[Federal Register Volume 64, Number 11 (Tuesday, January 19, 1999)]
[Notices]
[Pages 2909-2918]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-1091]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Privacy Act of 1974: Annual Publication of Privacy Act Systems of 
Records

AGENCY: Substance Abuse and Mental Health Services Administration 
(SAMHSA), DHHS.

ACTION: Privacy Act of 1974: annual republication of notices of systems 
of records.

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SUMMARY: The Substance Abuse and Mental Health Services Administration 
(SAMHSA) has conducted a comprehensive review of all Privacy Act 
systems of records and is publishing a Table of Contents of active 
systems and a comprehensive publication all of its active systems 
consolidating minor changes in accordance with the Office of Management 
and Budget Circular No. A-130, Appendix I, ``Federal Agency 
Responsibilities for Maintaining Records about Individuals.

SUPPLEMENTARY INFORMATION: SAMHSA has completed the annual review of 
its systems notices and has determined that minor changes are needed. 
SAMHSA has consolidated such minor changes to make a comprehensive 
publication of all of its active systems notices. Published below are: 
(1) A Table of Contents which lists all active systems of records in 
SAMHSA, and (2) a complete text of all notices consolidating minor 
changes which affect the public's right or need to know, such as 
changes in the system location of records, the designation and address 
of system managers, clarification of system name, records retention and 
disposal, and minor editorial changes.

    Dated: January 12, 1999.
Richard Kopanda,
Executive Officer, Substance Abuse and Mental Health Services 
Administration.

1. Table of Contents

    A list of SAMHSA system notices of active systems of records is 
published below:

09-30-0023  Records of Contracts Awarded to Individuals, HHS/SAMHSA/
OPS.
09-30-0027  Grants and Cooperative Agreements: Alcohol, Drug Abuse, 
and Mental Health Services Evaluation, Services, Demonstration, 
Education, Fellowship, Training, Clinical Training, and Community 
Services Programs. HHS/SAMHSA/OA.
09-30-0029  Records of Guest Workers, HHS/SAMHSA/OPS.
09-30-0033  Correspondence Files, HHS/SAMHSA/OA.
09-30-0036  Alcohol, Drug Abuse, and Mental Health Epidemiologic 
Data, HHS/SAMHSA/OA.
09-30-0047  Patient Records on Chronic Mentally Ill Merchant Seamen 
Treated at Nursing Homes in Lexington, Kentucky (1942 to the 
Present), HHS/SAMHSA/CMHS.
09-30-0049  Consultant Records Maintained by SAMHSA Contractors, 
HHS/SAMHSA/OPS.

    2. A complete text of SAMHSA active systems of records is published 
below:
09-30-0023

SYSTEM NAME:
    Records of Contracts Awarded to Individuals. HHS/SAMHSA/OPS.

SECURITY CLASSIFICATION:
    None.

SYSTEM LOCATION:
    Director, Division of Contracts Management, Office of Program 
Services, Substance Abuse and Mental Health Services Administration, 
Room 6-70, Rockwall II Building, 5600 Fishers Lane, Rockville, Maryland 
20857.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    An individual who receives a contract as well as individuals who 
apply or compete for an award but do not receive the award and their 
consultants.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Curriculum vitae, salary information, evaluations of proposals by 
contract review committees.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    SAMHSA: Public Health Service Act, sections 301 (42 U.S.C. 241), 
322 (42 U.S.C. 249(c), and 501-05 (42 U.S.C. 290aa et. seq.). CSAT: 
Center for Substance Abuse Treatment, Section 507-12 (42 U.S.C. 290bb 
et. seq.). CSAP: Center for Substance Abuse Prevention, Section 515-8 
(42 U.S.C. 290bb-21 et. seq.). CMHS: Center for Mental Health Services, 
Section 520-35 (42 U.S.C. 290bb-31 et. seq.). Protection and Advocacy 
for Individuals with Mental Health Illness Act of 1986 as amended (42 
U.S.C. 10801 et. seq.); Refugee Education Assistance Act 1980, section 
501(c) (8 U.S.C. 1522 note). Pub. L. 96-422; Executive Order 12341; and 
Disaster Relief Act of 1974, section 413. Pub. L. 93-288, as amended by 
section 416 of the Robert T. Stafford Disaster Relief and Emergency 
Assistance Act. Pub. L. 100-107.

PURPOSE(S):
    To document the history of each contract procurement action and 
award made within SAMHSA to an individual. The records are also used by 
contract review committee members when evaluating a proposal submitted 
by an individual.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    1. Disclosure may be made to a congressional office from the record 
of an individual in response to a verified inquiry from the 
congressional office made at the written request of that individual.
    2. The Department of Health and Human Services (HHS) may disclose 
information from this system of records to the Department of Justice, 
or to a court or other tribunal, when (a) HHS, or any component 
thereof; or (b) any HHS employee in his or her official capacity; or 
(c) any HHS employee in his or her individual capacity where the 
Department of Justice (or HHS, where it is authorized to do so) has 
agreed to represent the employee; or (d) the United States or any 
agency thereof where HHS determines that the litigation is likely to 
affect HHS or any of its components, is a party to litigation or has an 
interest in such litigation, and HHS determines that the use of such 
records by the Department of Justice, the court or other tribunal is 
relevant and necessary to the litigation and would help in the 
effective representation of the governmental party, provided however, 
that in each case, HHS determines that such disclosure is compatible 
with the purpose for which the records were collected.
    3. A record from this system may be disclosed to the following 
entities in order to help collect a debt owed the United States:
    (a) To another Federal agency so that agency can effect a salary 
offset;
    (b) To another Federal agency so that agency can effect an 
administrative offset under common law or under 31 U.S.C. 3716 
(withholding from money payable to, or held on behalf of, the 
individual);
    (c) To the Treasury Department, Internal Revenue Service (IRS), to 
request his/her mailing address to locate him/her or in order to have a 
credit report prepared;
    (d) To agents of the Department and to other third parties to help 
locate him/

[[Page 2910]]

her in order to help collect or compromise a debt;
    (e) To debt collection agents under 31 U.S.C. 3718 or under common 
law to help collect a debt; and
    (f) To the Justice Department for litigation or further 
administrative action.
    Disclosure under part (d) of this routine use is limited to the 
individuals's name, address, Social Security number, and other 
information necessary to identify him/her. Disclosure under parts (a)-
(c) and (e) is limited to those items; the amount, status, and history 
of the claim; and the agency or program under which the claim arose. An 
address obtained from IRS may be disclosed to a credit reporting agency 
under part (d) only for purposes of preparing a commercial credit 
report on the individual. Part (a) applies to claims or debts arising 
or payable under the Social Security Act if and only if the employee 
consents in writing to the offset.
    4. SAMHSA may disclose information from its records in this system 
to consumer reporting agencies in order to obtain credit reports to 
verify credit worthiness of contract applicants. Permissible 
disclosures include name, address, Social Security number of other 
information necessary to identify the individual; the funding being 
sought; and the program for which the information is being obtained.
    5. When a debt becomes partly or wholly uncollectible, either 
because the time period for collection under the statute of limitations 
has expired or because the Government agrees with the individual to 
forgive or compromise the debt, a record from this system of records 
may be disclosed to the Internal Revenue Service to report the written-
off amount as taxable income to the individual.
    6. A record from this system may be disclosed to another Federal 
agency that has asked the Department to effect an administrative offset 
under common law or under 31 U.S.C. 3716 to help collect a debt owed 
the United States.
    Disclosure under this routine use is limited to: name, address, 
Social Security number, and other information necessary to identify the 
individual, information about the money payable to or held for the 
individual, and other information concerning the administrative offset.
    7. SAMHSA may disclose from this system of records to the 
Department of Treasury, Internal Revenue Service (IRS): (1) A 
delinquent debtor's name, address, Social Security number, and other 
information necessary to identify the debtor; (2) the amount of the 
debt; and (3) the program under which the debt arose, so that IRS can 
offset against the debt any income tax refunds which may be due to the 
debtor.

DISCLOSURES TO CONSUMERS REPORTING AGENCIES:
    Disclosures may be made from this system to `consumer reporting 
agencies'' as defined in the Fair Credit Reporting Act (15 U.S.C. 1681) 
(F)) or the Federal Claims Collection Act of 1966(31 U.S.C. 
3701(a)(3)). The purpose of such disclosures is to provide an incentive 
for debtors to repay delinquent Federal Government debts by making 
these debts part of their credit records. Information disclosed will be 
limited to name, Social Security number, address, other information 
necessary to establish the identity of the individual, and amount, 
status, and history of the claim, and the agency or program under which 
the claim arose. Such disclosures will be made only after the 
procedural requirements of 31 U.S.C. 3711(f) have been met.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE
    Documents are filed in manual files in enclosed and/or locked file 
cabinets.

RETRIEVABILITY:
    Records are retrieved by contract number and cross indexed by 
individual's name.

SAFEGUARDS:
    1. Authorized Users: Federal contract and support personnel, 
Federal contract review staff and outside consultants acting as peer 
reviewers of the project.
    2. Physical Safeguards: All folders are in file cabinets in a room 
that is locked after business hours in a building with controlled 
entery (picture identification). Files are withdrawn from cabinet for 
Federal staff who have a need to know by a sign in and out procedure.
    3. Procedural Safeguards: Access to records is strictly limited to 
those staff members trained in accordance with the Privacy Act.
    4. Implementation Guidelines: DHHS Chapter 45-13 of the General 
Administration Manual.

RETENTION AND DISPOSAL:
    a. Procurement or purchase copy, and related papers:
    (1) Transactions of more than $25,000 are destroyed 6 years and 3 
months after final payment.
    (2) Transactions of $25,000 or less are destroyed 3 years after 
final payment.
    b. Other copies of records used by the Division of Contracts 
Management for administrative purposes are destroyed upon termination 
or completion.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Division of Contracts Management, Office of Program 
Services, Substance Abuse and Mental Health Services Administration, 
Room 6-70, Rockwall II Building, 5600 Fishers Lane, Rockville, Maryland 
20857.

NOTIFICATION PROCEDURES:
    To determine if a record exists, write to the appropriate System 
Manager at the address above or appear in person to the Division of 
Contracts Management. An individual may learn if a record exists about 
himself/herself upon written request with notarized signature. The 
request should include, if known, contractor's name, contract number, 
and approximate date contract was awarded. An individual who is the 
subject of records maintained in this record system may also request an 
accounting of all disclosures that have been made from that 
individual's records, if any.

RECORD ACCESS PROCEDURES:
    Same as notification procedures. Requesters should reasonably 
specify the record contents being sought. An individual may also 
request an accounting of disclosures of his/her record, if any.

CONTESTING RECORD PROCEDURES:
    Contact the official at the address specified under notification 
procedures above and reasonably identify the record, specify the 
information being contested, the corrective action sought, along with 
supporting information to show how the record is inaccurate, 
incomplete, untimely, or irrelevant.

RECORD SOURCE CATEGORIES:
    Contract proposals and supporting contract documents, contract 
review committees, site visitors.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.
09-30-0027

SYSTEM NAME:
    Grants and Cooperative Agreements: Alcohol, Drug Abuse, and Mental 
Health Services Evaluation, Service, Demonstration, Education, 
Fellowship, Training, Clinical Training, and Community Services 
Programs. HHS/SAMHSA/OA.

SECURITY CLASSIFICATION:
    None.

[[Page 2911]]

SYSTEM LOCATION:
    Director, Center for Substance Abuse Prevention, Substance Abuse 
and Mental Health Services Administration, Room 9D10, Rockwall II 
Building, 5600 Fishers Lane, Rockville, Maryland 20857
    Director, Center for Substance Abuse Treatment, Substance Abuse and 
Mental Health Services Administration, Room 10-75, Rockwall II 
Building, 5600 Fishers Lane, Rockville, Maryland 20857
    Director, Center for Mental Health Services, Substance Abuse and 
Mental Health Services Administration, Room 15-105, Parklawn Building, 
5600 Fishers Lane, Rockville, Maryland 20857

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Prinicipal investigators, program directors, trainees, fellows, and 
other employees of applicant or grantee institutions.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Grant and cooperative agreement applications and review history, 
including curriculum vitae, salary information, summary of review 
committee deliberations and supporting documents, progress reports, 
financial records, and payback records of clinical training awardees.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    SAMHSA: Public Health Service Act, sections 301, (42 U.S.C. 241), 
303 (42 U.S.C. 242(a), 322 (42 U.S.C. 249(c), 501 (42 U.S.C. 290aa), 
503 (42 U.S.C. 290aa-2), and 505 (42 U.S.C. 290aa-4). CSAP: Center for 
Substance Abuse prevention, section 515-18 (42 U.S.C. 290bb-21 et 
seq.). CSAT: Center for Substance Abuse Treatment, section 507-12 (42 
U.S.C. 290bb et. seq.). CMHS: Center for Mental Health Services, 
sections 506 (42 U.S.C. 290aa-5) and 520-35 (42 U.S.C. 290bb-31 et 
seq.). Protection and Advocacy for Individuals with Mental Illness Act 
of 1986 as amended (42 U.S.C. 10801 et. seq.); Refugee Education 
Assistance Act of 1980, section 501(c) (8 U.S.C. 1522 note), Pub. L. 
96-422; Executive Order 12341; and Disaster Relief Act of 1974, section 
413, Pub. L. 93-288, as amended by section 416 of the Robert T. 
Stafford Disaster Relief and Emergency Assistance Act, Pub. L. 100-107.

PURPOSE(S):
    Records are maintained as official documentation relevant to the 
review, award, and administration of grant programs. Specifically, 
records are: (1) Used by staff program and management specialists for 
purpose of awarding and monitoring grant funds; and (2) used to 
maintain communication with former trainees/fellows who have incurred 
an obligation for clinical training under Pubic Health Service Act, 
section 303 (42 U.S.C. 242a).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    1. Disclosure may be made to qualified experts not within the 
definition of Department employees for opinion during the application 
review process.
    2. Disclosure may be made to SAMHSA contractors for the purpose of 
providing services related to the grant review or for carrying out 
quality assessment, program evaluation, and management reviews. 
Contractors are required to maintain Privacy Act safeguards with 
respect to the records.
    3. In the event that a system of records maintained by this agency 
to carry out is functions indicates a violation or potential violation 
of law, whether civil, criminal or regulatory in nature, and whether 
arising by statute, or by regulation, rule or order issued pursuant 
thereto, the relevant records in the system of records may be referred, 
as a routine use, to the appropriate agency, whether Federal (e.g., the 
Department of Justice) or State (e.g., the State's Attorney's Office), 
charged with the responsibility of investigating or prosecuting such 
violation or charged with enforcing or implementing the statute, or 
rule, regulation or order issued pursuant thereto for litigation.
    4. Disclosure may be made to a Federal agency, in response to its 
request, in connection with the hiring or retention of an employee, the 
issuance of a security clearance, the reporting of an investigation of 
an employee, the letting of a contract, or the issuance of a license, 
grant, or other benefit by the requesting agency, to the extent that 
the record is relevant and necessary to the requesting agency's 
decision on the matter.
    5. Where Federal agencies having the power to subpoena other 
Federal agencies' records, such as the Internal Revenue Service or the 
Civil Rights Commission, issue a subpoena to the Department for records 
in this system of records, the Department will make such records 
available.
    6. Disclosure may be made to a congressional office from the record 
of an individual in response to a verified inquiry from the 
congressional office made at the written request of that individual.
    7. The Department of Health and Human Services (HHS) may disclose 
information from this system of records to the Department of Justice, 
or to a court or other tribunal, when (a) HHS, or any component 
thereof; or (b) any HHS employee in his or her official capacity; or 
(c) any HHS employee in his or her individual capacity where the 
Department of Justice (or HHS, where it is authorized to do so) has 
agreed to represent the employee; or (d) the United States or any 
agency thereof where HHS determines that the litigation is likely to 
affect HHS or any of its components, is a party to litigation or has an 
interest in such litigation, and HHS determines that the use of such 
records by the Department of Justice, the court or other tribunal is 
relevant and necessary to the litigation and would help in the 
effective representation of the governmental party, provided that in 
each case, HHS determines that such disclosure is compatible with the 
purpose for which the records were collected.
    8. A record from this system may be disclosed to the following 
entities in order to help collect a debt owed the United States:
    (a) To another Federal agency so that agency can effect a salary 
offset;
    (b) To another Federal agency so that agency can effect an 
administrative offset under common law or under 31 U.S.C. 3716 
(withholding from money payable to, or held on behalf of, the 
individual);
    (c) To the Treasury Department, Internal Revenue Service (IRS), to 
request his/her mailing address to locate him/her or in order to have a 
credit report prepared;
    (d) To agents of the Department and to other third parties to help 
locate him/her in order to help collect or compromise a debt;
    (e) To debt collection agents under 31 U.S.C. 3718 or under common 
law to help collect a debt; and
    (f) To the Justice Department for litigation or further 
administrative action.
    Dislosure under part (d) of this routine use is limited to the 
individual's name, address, social security number and other 
information necessary to identify him/her. Disclosure under parts (a)-
(c) and (e) is limited to those items; the amount, status, and history 
of the claim; and the agency or program under which the claim arose. An 
address obtained from IRS may be disclosed to a credit reporting agency 
under part (d) only for the purpose of preparing a commercial credit 
report on the individual. Part (a) applies to any claims or debts 
arising or payable under the

[[Page 2912]]

Social Security Act if and only if the employee consents in writing to 
the offset.
    9. SAMHSA may disclose information from its records in this system 
to consumer reporting agencies in order to obtain credit reports to 
verify credit worthiness of grant/cooperative agreement applicants. 
Permissible disclosures include name, address, Social Security number 
or other information necessary to identify the individual; the funding 
being sought; and the program for which the information is being 
obtained.
    10. When a debt becomes partly or wholly uncollectible, either 
because the time period for collection under the statue of limitations 
has expired or because the Government agrees with the individual to 
forgive or compromise the debt, a record from this system of records 
may be disclosed to the Internal Revenue Service to report the written-
off amount as taxable income to the individual.
    11. A record from this system may be disclosed to another Federal 
agency that has asked the Department to effect an administrative offset 
under common law or under 31 U.S.C. 3716 to help collect a debt owed 
the United States.
    Disclosure under this routine use is limited to: name, address, 
Social Security number, and other information necessary to identify the 
individual, information about the money payable to or held for the 
individual, and other information concerning the administrative offset.
    12. SAMHSA may disclose from this system of records to the 
Department of Treasury, Internal Revenue Service (IRS): (1) A 
delinquent debtor's name, address, Social Security number, and other 
information necessary to identify the debtor; (2) the amount of the 
debt; and (3) the program under which the debt arose, so that IRS can 
offset against the debt any income tax refunds which may be due to the 
debtor.

DISCLOSURES TO CONSUMER REPORTING AGENCIES:
    Disclosures may be made from this system to ``consumer reporting 
agencies'' as defined in the Fair Credit Reporting Act (15 U.S.C. 1681 
(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. 
3701(a)(3)). The purpose of such disclosures is to provide an incentive 
for debtors to repay delinquent Federal Government debts by making 
these debts part of their credit records. Information disclosed will be 
limited to name, Social Security number, address, 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. Such disclosures will be made only after the 
procedural requirements of 31 U.S.C. 3711(f) have been met.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEMS:
STORAGE:
    Noncomupterized documents are filed in folders in enclosed file 
cabinets and open shelves. Computerized records exist in tape and disk 
form.

RETRIEVABILITY:
    By grant numbers and cross-indexed by name.

SAFEGUARDS:
    1. Authorized Users: Access is limited to the Director, Division of 
Grants Management, SAMHSA, and staff authorized by him/her: grants 
specialists, grants technicians, program officials assigned computer 
personnel, and possibly contractor staff including the project director 
and research associates.
    2. Physical Safeguards: Records are maintained in a secured area. 
During normal work hours, area is staffed by authorized personnel who 
must show identification for entry. At other times, the computer area 
is locked. Hard copy files are stored in rooms which are locked at 
night. A 24-hour security guard patrols building.
    3. Procedural Safeguards: Computer records are password protected; 
passwords are changed periodically. Contractors working on computerized 
records are given passwords to access data only on a need-to-know 
basis.
    4. Implementation Guidelines: DHHS Chapter 45-13 of the General 
Administration Manual and part 6, ``Automated Information System 
Security'' of the Information Resources Management Manual.

RETENTION AND DISPOSAL:
    a. Alcohol, Drug Abuse, and Mental Health Services Evaluation, 
Services and Demonstration Grants: A copy of the final report is 
offered to the National Archives and Records Administration when 10 
years old. Other records are held two years after termination of 
support and final audit and then transferred to the Washington National 
Records Center located at 4105 Suitland Road, Suitland, MD 20409. 
Records are destroyed when 6 years and 3 months old.
    b. Education Grants: Records are held 2 years after completion of 
grants activities and final audit and then transferred to the 
Washington National Records Center located at 4205 Suitland Road, 
Suitland, MD 20409. Records are destroyed when 13 years old.
    c. Training Program Grants: Records are held 1 year after 
termination of support and final audit and then retired to the 
Washington National Records Center located at 4205 Suitland Road, 
Suitland, MD 20409. Records are destroyed when 3 years old.
    d. Fellowships, Community Services Program Grants and Other Related 
Grants: Records are held 2 years after termination of support and final 
audit and then retired to the Washington National Records Center 
located at 4205 Suitland Road, Suitland, MD 20409. Records are 
destroyed when 5 years old.

SYSTEM MANAGER(S) AND ADDRESS:
    Same as System Location

NOTIFICATION PROCEDURE: 
    To determine if a record exists, write to the appropriate System 
Manager at the above address. Verifiable proof of identity is required.

RECORD ACCESS PROCEDURES:
    Same as notification procedure. Requesters should also reasonably 
specify the record contents being sought, and should provide the 
official grant number when possible. An individual may also request an 
accounting of disclosures of his/her record, if any.

CONTESTING RECORD PROCEDURES:
    Contact the appropriate System Manager at the address specified 
above and reasonably identify the record specify the information being 
contested, the corrective action sought, along with supporting 
information to show how the record is inaccurate, incomplete, untimely, 
or irrelevant.

RECORD SOURCE CATEGORIES:
    Applicants, grantees, fellows, trainees, personnel at grantee 
institution on whom the record is maintained, Federal advisory 
committees, site visitors, consultants, references.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.
09-30-0029

SYSTEM NAME:
    Record of Guest Workers. HHS/SAMHSA/OPS.

SECURITY CLASSIFICATION:
    None.

SYSTEM LOCATION:
    Director, Division of Human Resources Management, Office of

[[Page 2913]]

Program Services, Substance Abuse and Mental Health Services 
Administration, Room 14C-24, Parklawn Building, 5600 Fishers Lane, 
Rockville, Maryland 20857.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals using SAMHSA facilities who are not employees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Personal information including name, address, date and place of 
birth, education, employment, purpose for which SAMHSA facilities are 
desired, outside sponsor and SAMHSA sponsor.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Public Health Service Act, section 301, (42 U.S.C. 241).

Purpose(s):
    To documents individual's presence at SAMHSA and as a record that 
the individual is not performing services for SAMHSA and is therefore 
not an employee.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    1. Disclosure may be made to the U.S. Office of Personnel 
Management for program evaluation purposes.
    2. Disclosure may be made to institutions providing financial 
support for subject individual.
    3. Disclosure may be made to a congressional office from the record 
of an individual in response to a verified inquiry from the 
congressional office made at the written request of that individual.
    4. The Department of Health and Human Services (HHS) may disclose 
information from this system of records to the Department of Justice, 
or to a court or other tribunal, when (a) HHS, or any component 
thereof; or (b) any HHS employee in his or her official capacity; or 
(c) any HHS employee in his or her individual capacity where the 
Department of Justice (or HHS, where it is authorized to do so) has 
agreed to represent the employee; or (d) the United States or any 
agency thereof where HHS determines that the litigation is likely to 
affect HHS or any of its components, is a party to litigation or has an 
interest in such litigation, and HHS determines that the use of such 
records by the Department of Justice, the court or other tribunal is 
relevant and necessary to the litigation and would help in the 
effective representation of the governmental party, provided however, 
that in each case, HHS determines that such disclosure is compatible 
with the purpose for which the records were collected.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
storage:
    Stored in file folders.

Retrievability:
    Retrieved by name.

Safeguards:
    1. Authorized Users: Authorized employees of the Division of Human 
Resources Management and SAMHSA managers and supervisors with 
legitimate interest in guest workers.
    2. Physical Safeguards: Records are stored in locked rooms.
    3. Procedural Safeguards: Authorized individuals have been trained 
in accordance with the Privacy Act.
    4. Implementation Guidelines: DHHS Chapter 45-13 of the General 
Administration Manual.

Retention and disposal:
    Records are held 1 year after guest worker separates and then 
destroyed.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Division of Human Resources Management, Office of Program 
Services, Substance Abuse and Mental Health Services Administration, 
Room 14C-24, Parklawn Building, 5600 Fishers Lane, Rockville, Maryland 
20857.

NOTIFICATION PROCEDURE:
    To determine if a record exists, contact the System Manager at the 
address above. Individuals who request notification in person must 
supply one proof of identity containing individual's complete name and 
one other identifier with picture (e.g., driver's license, building 
pass). Individuals who request notification by mail must supply 
notarized signature as proof of identity.

RECORD ACCESS PROCEDURES:
    Same as notification procedures. Requesters should also reasonably 
specify the record contents being sought. An individual may also 
request an accounting of disclosures of his/her record, if any.

CONTESTING RECORD PROCEDURES:
    Contact the official at the address specified under Notification 
Procedures above and reasonably identify the record, specify the 
information to be contested, and state the corrective action sought, 
with supporting information to show how the record is inaccurate, 
incomplete, untimely, or irrelevant

RECORD SOURCE CATEGORIES:
    Subject individual and SAMHSA sponsor.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.
09-30-0033

SYSTEM NAME:
    Correspondence Files. HHS/SAMHSA/OA.

SECURITY CLASSIFICATION:
    None.

SYSTEM LOCATION:
    Office of the Administrator, Substance Abuse and Mental Health 
Services Administration, Room 12-107, Parklawn Building, 5600 Fishers 
Lane, Rockville, Maryland 20857
    Office of the Director, Center for substance Abuse Prevention, 
Substance Abuse and Mental Health Services Administration, Room 9D10, 
Rockwall II Building, 5600 Fishers Lane, Rockville, Maryland 20857
    Office of the Director, Center for Substance Abuse Treatment, 
Substance Abuse and Mental Health Services Administration, Room 10-75, 
Rockwall II Building, 5600 Fishers Lane, Rockville, Maryland 20857
    Office of the Director, Center for Mental Health Services, 
Substance Abuse and Mental Health Services Administration, Room 15-105, 
Parklawn Building, 5600 Fishers Lane, Rockville, Maryland 20857

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who request information on SAMHSA programs.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Correspondence.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    SAMHSA: Public Health Service Act, sections 301 (42 U.S.C. 241), 
322 (42 U.S.C. 249(c)), and 501-05 (42 U.S.C. 290aa et seq.). CSAP: 
Center for Substance Abuse Prevention, section 515-8 (42 U.S.C. 290bb-
21 et seq.). CSAT: Center for Substance Abuse Treatment, section 507-12 
(42 U.S.C. 290bb et seq.). CMHS: Center for Mental Health Services, 
sections 506 (42 U.S.C. 290aa-5) and 520-35 (42 U.S.C. 290bb-31 et 
seq.). Protection and Advocacy for Individuals with Mental Illness Act 
of 1986 as amended (42 U.S.C. 1901 et. seq.); Refugee Education 
Assistance Act of 1980, section 501(c) (8 U.S.C. 1522 note), Pub. L. 
96-422; Executive Order 12341; and Disaster Relief Act of 1974, section 
413, Pub. L. 93-288, as amended by section 416 of the Robert T. 
Stafford Disaster Relief and Emergency Assistance Act Pub. L. 100-107.

[[Page 2914]]

PURPOSE(S):
    To provide reference retrieval and control to assure timely and 
appropriate attention.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    1. Disclosure may be made to a congressional office from the record 
of an individual in response to a verified inquiry from the 
congressional office made at the request of that individual.
    2. The Department of Health and Human Services (HHS) may disclose 
information from this system of records to the Department of Justice, 
or to a court or other tribunal, when (a) HHS, or any component 
thereof; or (b) any HHS employee in his or her official capacity; or 
(c) any HHS employee in his or her individual capacity where the 
Department of Justice (or HHS, where it is authorized to do so) has 
agreed to represent the employee; or (d) the United States or any 
agency thereof where HHS determines that the litigation is likely to 
affect HHS or any of its components, is a party to litigation or has an 
interest in such litigation, and HHS determines that the use of such 
records by the Department of Justice, the court or other tribunal is 
relevant and necessary to the litigation and would help in the 
effective representation of the governmental party, provided however, 
that in each case, HHS determines that such disclosure is compatible 
with the purpose for which the records were collected.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Correspondence records maintained in hard copy; control records 
maintained on computer printout, tape, and disk.

RETRIEVABILITY:
    Hard copy records indexed alphabetically by name and date of 
outgoing correspondence, by subject, and/or by computerized numerical 
code. Records are cross-referenced in detail on computer.

SAFEGUARDS:
    1. Authorized Users: Authorized correspondence control staff in 
each location and managers and supervisors on a need-to-know basis.
    2. Physical Safeguards: Records are maintained in file cabinets in 
a locked, secure location; computer system records are secured through 
the use of passwords which are changed frequently.
    3. Procedural Safeguards: Only authorized personnel have access to 
files and passwords.
    4. Implementation Guidelines: DHHS Chapter 45-13 of the General 
Administration Manual and Part 6, ``Automated Information Systems 
Security'' in the HHS Information Resources Management Manual.

RETENTION AND DISPOSAL:
    Records which are pertinent are held 5 years and then transferred 
to the Washington National Records Center (WNRC) located at 4205 
Suitland Road, Suitland, MD 20409. Records are destroyed when 10 years 
old. Other material is destroyed when 2 years old. Control forms are 
destroyed when 1 year old.

SYSTEM MANAGER(S) AND ADDRESS:
    Same as system location; each system manager maintains full 
responsibility for their specific correspondence system.

NOTIFICATION PROCEDURE:
    An individual may learn if a record exists about himself or herself 
by contacting the appropriate System Manager as listed under system 
location above. Give name and approximate date of records requested. 
Individuals who request notification in person must supply one proof of 
identity containing individual's complete name and one other identifier 
with picture (e.g., driver's license, building pass). Individuals who 
request notification by mail must supply notarized signature as proof 
of identity.

RECORD ACCESS PROCEDURES:
    Same as notification procedures. Requesters should also reasonably 
specify the record contents being sought. An individual may also 
request an accounting of disclosures of his/her record, if any.

CONTESTING RECORD PROCEDURES:
    Contact the appropriate official at the address specified under 
Notification Procedures above and reasonably identify the record. 
Specify the information to be contested, and state the corrective 
action sought, with supporting information to show how the record is 
inaccurate, incomplete, untimely, or irrelevant.

RECORD SOURCE CATEGORIES:
    Records are derived from incoming and outgoing correspondence.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.
09-30-0036

system name:
    Alcohol, Drug Abuse, and Mental Health Epidemiologic Data. HHS/
SAMHSA/OA.

SECURITY CLASSIFICATION:
    None.

SYSTEM LOCATION:
    Records are located at facilities which collect or provide service 
evaluations for this system under contract to the agency. Contractors 
may include, but are not limited to, research centers, clinics, 
hospitals, universities, research foundations, national associations, 
and coordinating centers. Records may also be located at the Office of 
Applied Studies, the Center for Substance Abuse Prevention, the Center 
for Substance Abuse Treatment, and the Center for Mental Health 
Services. A current list of sites is available by writing to the 
appropriate System Manager at the address below.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who are the subjects of epidemiologic, methodologic, 
services evaluations, and longitudinal studies and surveys of mental 
health and alcohol and drug use/abuse and mental, alcohol, and/or drug 
abuse disorders. These individuals are selected as representative of 
the general adult and/or child population or of special groups. Special 
groups include, but are not limited to, normal individuals serving as 
controls; clients referred for or receiving medical, mental health, and 
alcohol and/or drug abuse related treatment and prevention services; 
providers of services; demographic sub-groups as applicable, such as 
age, sex, ethnicity, race, occupation, geographic location; and groups 
exposed to hypothesized risks, such as relatives of individuals who 
have experienced mental health and/or alcohol, and/or drug abuse 
disorders, life stresses, or have previous history of mental, alcohol, 
and/or drug abuse related illness.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system contains data about the individual as relevant to a 
particular study. Examples include, but are not limited to, items about 
the health/mental health and/or alcohol or drug consumption patterns of 
the individual; demographic data; social security numbers (voluntary); 
past and present life experiences; personality characteristics; social 
functioning; utilization of health/mental health, alcohol, and/or drug 
abuse services;

[[Page 2915]]

family history; physiological measures; and characteristics and 
activities of health/mental health; alcohol abuse, and/or abuse care 
providers.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    SAMHSA: Public Health Service Act, section 301 (42 U.S.C. 241), 322 
(42 U.S.C. 249(c)), 501 (42 U.S.C. 290aa), 502 (42 U.S.C. 290aa-2), and 
505 (42 U.S.C. 290aa-4), CSAP: Center for Substance Abuse Prevention, 
section 515-18 (42 U.S.C. 290bb-21 et seq.). CSAT: Center for Substance 
Abuse Treatment, section 507-12 (42 U.S.C. 290bb et seq.). CMHS: Center 
for Mental Health Services, section 506 (42 U.S.C. 290aa-5) and 520-35 
(42 U.S.C. 290bb-31 et. seq.). Protection and Advocacy for Individuals 
with Mental Illness Act of 1980, section 501(c) (8 U.S.C. 1522 note), 
Pub. L. 96-422; Executive Order 12341; and Disaster Relief Act of 1974, 
section 416 of the Robert T. Stafford Disaster Relief and Emergency 
Assistance Act, Pub. L. 100-107.

PURPOSE(S):
    The purpose of the system of records is to collect and maintain a 
data base for health services evaluation activities of the Center for 
Substance Abuse Prevention, the Center for Substance Abuse Treatment, 
and the Center for Mental Health Services. Analyses of these data 
involve groups of individuals with given characteristics and do not 
refer to special individuals. The generation of information and 
statistical analyses will ultimately lead to a better description and 
understanding of mental, alcohol, and/or drug abuse disorders, their 
diagnosis, treatment and prevention, and the promotion of good physical 
and mental health.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    1. A record may be disclosed for an evaluation purpose, when the 
Department:
    (a) Has determined that the use or disclosure does not violate 
legal or policy limitations under which the record was provided, 
collected, or obtained; e.g., disclosure of alcohol or drug abuse 
patient records will be made only in accordance with 42 U.S.C. 290(dd-
2).
    (b) Has determined that the study purpose (1) cannot be reasonably 
accomplished unless the record is provided in individually identifiable 
form, and (2) warrants the risk to the privacy of the individual that 
additional exposure of the record might bring;
    (c) Has required the recipient to--(1) establish reasonable 
administrative, technical, and physical safeguards to prevent 
unauthorized use or disclosure of the record, and (2) remove or destroy 
the information that identifies the individual at the earliest time at 
which removal or destruction can be accomplished consistent with the 
purpose of the health services evaluation project, unless the recipient 
has presented adequate justification of an analytical or health nature 
for retaining such information, and (3) make no further use of 
disclosure of the record except--(A) in emergency circumstances 
affecting the health or safety of any individual, (B) for use in 
another health services research or evaluation project, under these 
same conditions, and with written authorization of the Department, (C) 
for disclosure to a properly identified person for the purpose of an 
audit related to the evaluation project, if information that would 
enable study subjects to be identified is removed or destroyed at the 
earliest opportunity consistent with the purpose of the audit, or (D) 
when required by law; and
    (d) Has secured a written statement attesting to the recipient's 
understanding of, and willingness to abide by, these provisions.
    2. Disclosure may be made to a congressional office from the record 
of an individual in response to a verified inquiry from a congressional 
office made at the written request of that individual.
    3. 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 is his or her individual 
capacity where the Justice Department has agreed to represent such 
employee; the Department may disclose such records as it deems 
desirable or necessary to the Department of Justice to enable that 
Department to present an effective defense, provided such disclosure is 
compatible with the purpose for which the records were collected (e.g., 
disclosure may be made to the Department of Justice or other 
appropriate Federal agencies in defending claims against the United 
States when the claim is based upon an individual's mental or physical 
condition and is alleged to have arisen because of the individuals' 
participation in activities of a Federal Government supported research 
project).
    4. The Department contemplates that it will contract with a private 
firm for the purpose of collecting, analyzing, aggregating, or 
otherwise refining records in this system. Relevant records will be 
disclosed to such contractor. The contractor shall be required to 
maintain Privacy Act safeguards with respect to such records.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records may be stored on index cards, file folders, computer tapes 
and disks, microfiche, microfilm, and audio and video tapes. Normally, 
the factual data, with study code numbers, are stored on computer tape 
or disk, while the key to personal identifiers is stored separately, 
without factual data, in paper files.

RETRIEVABILITY:
    During data collection stages and follow up, if any, retrieval by 
personal identifier (e.g., name, social security number (in some 
studies), or medical record number), is necessary. During the data 
analysis stage, data are normally retrieved by the variables of 
interest (e.g., diagnosis, age, occupation).

SAFEGUARDS:
    1. Authorized Users: Access to identifiers and to link files is 
strictly limited to those authorized personnel whose duties require 
such access. Procedures for determining authorized access to identified 
data are established as appropriate for each location. Personnel, 
including contractor personnel, who may be so authorized include those 
directly involved in data collection and in the design of research 
studies, e.g., interviewers and interviewer supervisors; project 
managers; and statisticians involved in designing sampling plans.
    2. Physical Safeguards: Records are stored in locked rooms, locked 
file cabinets, and/or secured computer facilities. Personal identifiers 
and link files are separated as much as possible and stored in locked 
files. Computer data access is limited through the use of key words 
known only to authorized personnel.
    3. Procedural Safeguards: Collection and maintenance of data is 
consistent with legislation and regulations in the protection of human 
subjects, informed consent, confidentiality, and confidentiality 
specific to drug and alcohol abuse patients where these apply. When a 
SAMSHA component or a contractor anonymous data to research scientists 
for analysis, study numbers which can be matched to personal

[[Page 2916]]

identifiers will be eliminated, scrambled, or replaced by the agency or 
contractor with random numbers which cannot be matched. Contractors who 
maintain records in this system are instructed to make no further 
disclosure of the records. Privacy Act requirements are specifically 
included in contracts for survey and research activities related to 
this system. The HHS project directors, contract officers, and project 
officers oversee compliance with these requirements.
    4. Implementation Guidelines: DHHS Chapter 45-13 of the General 
Administration Manual and Part 6,``Automated Information Systems 
Security'' of the HHS Information Resources Management Manual.

RETENTION AND DISPOSAL: 
    Records may be retired to the Washington National Records Center 
located at 4205 Suitland Road, Suitland, MD, 20409, and subsequently 
disposed of an in accordance with the SAMHSA Records Control Schedule. 
The records control schedule and disposal standard for these records 
may be obtained by writing to the appropriate System Manager at the 
address below.

SYSTEM MANAGER(S) AND ADDRESS: 
    Office of the Director
    Office of Applied Studies
    Substance Abuse and Mental Health Services Administration
    Room 16-105, Parklawn Building
    5600 Fishers Lane
    Rockville, Maryland 20857
    Office of the Director
    Center for Substance Abuse Prevention
    Substance Abuse and Mental Health Services Administration
    Room 9D10, Rockwall II Building
    5600 Fishers Lane
    Rockville, Maryland 20857
    Office of the Director
    Center for Substance Abuse Treatment
    Substance Abuse and Mental Health Services Administration
    Room 10-75, Rockwall II Building
    5600 Fishers Lane
    Rockville, Maryland 20857
    Office of the Director
    Center for Mental Health Services Administration
    Substance Abuse and Mental Health Services
    Room 15-105, Parklawn Building
    5600 Fishers Lane
    Rockville, Maryland 20857

NOTIFICATION PROCEDURE: 
    To determine if a record exists, write to the appropriate System 
Manager at the address above. Provide individual's name; current 
address; date of birth; place and nature of participation in specific 
evaluation study; name of individual or organization administering the 
study (if known); name or description of the study (if known); address 
at the time of participation; and a notarized statement by two 
witnesses attesting to the individual's identity.

RECORD ACCESS PROCEDURE:
    Same as notification procedures. Requesters should also reasonably 
specify the record contents being sought. An individual may also 
request an accounting of disclosures of his/her record, if any.
    An individual who requests notification of, or access to, a medical 
record shall, at the time the request is made, designate in writing a 
responsible representative who will be willing to review the record and 
inform the subject individual of its contents at the representative's 
discretion.
    A parent or guardian who requests notification of, or access to, a 
child's or incompetent person's medical 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 relationship to the child or incompetent person as well as his 
or her own identify.

CONTESTING RECORD PROCEDURE:
    Contact the appropriate official at the address specified under 
System Manager(s) above and reasonably identify the record, specify the 
information being contested, and state corrective action sought, with 
supporting information to show how the record is inaccurate, 
incomplete, untimely, or irrelevant.

RECORD SOURCE CATEGORIES:
    The system contains information obtained directly from the subject 
individual by interview (face-to-face or telephone), by written 
questionnaire, or by other tests, recording devices or observations, 
consistent with legislation and regulation regarding informed consent 
and protection of human subjects. Information is also obtained from 
other sources, such as health, mental health, alcohol, and/or drug 
abuse care providers; relatives; guardians; and clinical medical 
research records.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.
09-30-0047

SYSTEM NAME:
    Patient Records on Chronic Mentally Ill Merchant Seamen Treated at 
Nursing Homes in Lexington, Kentucky, (1942 to the Present). HHS/
SAMHSA/CMHS.

SECURITY CLASSIFICATION:
    None.

SYSTEM LOCATION:
    CONTRACTOR: Commonwealth of Kentucky, Department of Mental Health/
Mental Retardation, Mental Health Branch, Cabinet for Human Resources, 
275 E. Main Street, Frankfort, Kentucky 40621.
    SUBCONTRACTOR: Homestead Nursing Center, Inc., 1608 Versailles 
Road, Lexington, Kentucky 40505.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Chronic mentally ill former merchant seamen originally treated at 
PHS Hospitals in Fort Worth, Texas, and Lexington, Kentucky, and now in 
nursing homes in Lexington, Kentucky (1942 to the present).

CATEGORIES OF RECORDS IN THE SYSTEM:
    Administrative records, such as admission and release dates; name, 
address, Social Security number, and other demographic data; medical 
records, such as, but not limited to, psychological, medical and social 
evaluations as well as treatment information, any laboratory test, etc.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Executive Order 9079 (1942) authorizes the care and treatment of 
these individuals.

PURPOSE(S):
    The records are used to facilitate patient care, to monitor 
progress, and to ensure quality and continuity of care.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    1. In the event of litigation where the defendant is (a) the 
Department, a component of the Department, or any employee of the 
Department in his or her official capacity; (b) the United States where 
the Department determines that the claim, if successful, is likely to 
directly affect the operations of the Department or any of its 
components; or (c) any Department employee in his or her individual 
capacity where the Justice Department has agreed to represent such 
employee, the Department may disclose such records as it deems 
desirable or necessary to the Department of Justice to enable that 
Department to present an effective

[[Page 2917]]

defense, provided such disclosure is compatible with the purpose for 
which the records were collected.
    2. Disclosure may be made to the Center for Mental Health Services 
(CMHS) contractors and subcontractors, including nursing home staff, 
for the purpose of carrying out and maintaining quality care. 
Contractors maintain, and are also required to ensure that the 
subcontractors maintain, Privacy Act safeguards with respect to the 
records.
    3. Disclosure may also be made to a congressional office from the 
record of an individual in response to an inquiry from the 
congressional office made at the request of that individual or his 
legally authorized representative.
    4. Records may be disclosed to Federal, State, local, or other 
authorized organizations which provide medical care and treatment to 
these individuals to facilitate continuity of care by supplying 
information to medical care facilities/practitioners who provide 
treatment to individual seamen.
    3. Records may be disclosed to the Department of Veterans Affairs, 
the Social Security Administration, or other Federal or State agencies 
having special benefit programs for the purpose of obtaining these 
benefits for these individuals.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:
    Hard copy files stored in locked file cabinets in the State office. 
In the nursing homes, hard copy records are maintained at nursing 
stations.

RETRIEVABILITY:
    The records are retrieved by patient name.

SAFEGUARDS:
    1. Authorized Users: Only the System Manager and designated staff, 
designated contractor staff and appropriate subcontractor staff at the 
nursing home.
    2. Physical Safeguards: The State records are stored in locked file 
cabinets. These cabinets are in a room within a building that is locked 
at night after business hours. Patient records of subject individuals 
at the nursing homes are commingled with the records of other patients 
at nursing stations under the supervision of the attendant on duty.
    3. Procedural Safeguards: Only the System Manager, contractor staff 
and appropriate nursing home staff have access to the files. Only those 
authorized personnel are allowed to gain access to material in the 
locked file cabinets.
    4. Implementation Procedures: DHHS Chapter 45-13 of the General 
Administration Manual.

RETENTION AND DISPOSAL:
    The administrative and medical records will be retained for 25 
years after last treatment or after the death of a patient, and then 
destroyed.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Division of Program Development, Special Populations and 
Projects, Center for Mental Health Services, Substance Abuse and Mental 
Health Services Administration, Room 16-05, Parklawn Building, 5600 
Fishers Lane, Rockville, Maryland 20857

NOTIFICATION PROCEDURE:
    To determine if a record exists, write to the System Manager at the 
address above. An individual or his legally authorized representative 
may learn if a record exists about himself upon written request with 
notarized signature. The request should include full name or any alias 
used and birth date.
    An individual or his legally authorized representative who requests 
notification of, or access to, a medical record shall, at the time the 
request is made, designate a family physician or other health 
professional (other than a family member) to whom the record will be 
released. The representative must verify relationship to the individual 
as well as his/her own identity.

RECORD ACCESS PROCEDURES:
    Same as Notification Procedures. Requestors should also reasonably 
specify the record contents being sought. An individual or his legally 
authorized representative may also request an accounting of disclosures 
that have been made of the subject individual's records, if any.

CONTESTING RECORD PROCEDURES:
    Contact the official at the address specified under Notification 
Procedures above and reasonably identify the record, specify the 
information to be contested, and state the corrective action sought 
with supporting information to show how the record is inaccurate, 
incomplete,untimely, or irrelevant.

Record source categories:
    Patients; legally authorized representatives; nursing home and 
hospital personnel.

systems exempted from certain provisions of the act:
    None.
09-30-0049

System name:
    Consultant Records Maintained By SAMHSA Contractors. HHS/SAMHSA/
OPS.

security classification:
    None.

System location:
    A current list of contractor sites is available by writing to the 
System Manager at the address below.

Categories of individuals covered by the system:
    Consultants who participate in Substance Abuse and Mental Health 
Services Administration (SAMHSA) conferences, meetings, evaluation 
projects, or technical assistance at site locations arranged by 
contractors.

Categories of records in the system:
    Names, addresses, Social Security numbers, qualifications, 
curricula vitae, travel records, and payment records for consultants.

Authority for maintenance of the system:
    SAMHSA: Public Health Service Act, as Amended, section 301 (42 
U.S.C. 241), 322 (42 U.S.C. 249(c)), and 501-05 (42 U.S.C. 290aa et 
seq.). CSAP: Center for Substance Abuse Prevention, section 515-8 (42 
U.S.C. 290bb-21 et seq.). CSAT: Center for Substance Abuse Treatment, 
section 507-12 (42 U.S.C. 290bb et seq.). CMHS: Center for Mental 
Health Services, section 506 (42 U.S.C. 290aa-5) and 520-35 (42 U.S.C. 
290bb-31 et seq.). Protection and Advocacy for Individuals with Mental 
Illness Act of 1986 as amended (42 U.S.C. 10801 et seq.); Refugee 
Education Assistance Act of 1980, section 501(c) (8 U.S.C. 1522 note), 
Pub. L. 96-422; Executive Order 12341; and Disaster Relief Act of 1974, 
section 413, Pub. L. 93-288, as amended by section 416 of the Robert T. 
Stafford Disaster Relief and Emergency Assistance Act, Pub. L. 100-107.

Purpose(s):
    This umbrella system of records covers a varying number of separate 
sets of records used in different projects. These records are 
established by contractors to organize programs, obtain and pay 
consultants, and to provide necessary reports related to payment to the 
Internal Revenue Service for these programs for SAMHSA. SAMHSA 
personnel may use records when a technical assistance consultant is 
needed for a specialized area of research, review, advice, etc.

[[Page 2918]]

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    1. The Department of Health and Human Services (HHS) may disclose 
information from this system of records to the Department of Justice, 
or to a court or other tribunal, when (a) HHS, or any component 
thereof; or (b) any HHS employee in his or her individual capacity 
where the Department of Justice (or HHS, where it is authorized to do 
so) has agreed to represent the employee; or (d) the United States or 
any agency thereof where HHS determines that the litigation is likely 
to affect HHS or any of its components, is a party to litigation or has 
an interest in such litigation, and HHS determines that the use of such 
records by the Department of Justice, the court or other tribunal is 
relevant and necessary to the litigation and would help in the 
effective representation of the governmental party, provided, however, 
that in each case, HHS determines that such disclosure is compatible 
with the purpose for which the records were collected.
    2. Disclosure may be made to a congressional office from the record 
of an individual in response to a verified inquiry from the 
congressional office made at the written request of that individual.
    3. Disclosure may be made to private contractors for the purposes 
of handling logistics for conferences, reviews, development of training 
materials, and of obtaining the services of consultants. Relevant 
records will be disclosed to such a contractor or may be developed by 
the contractor for use in the project. The contractor shall be required 
to maintain Privacy Act safeguards with respect to such records.
    4. Disclosure may be made to the Department of the Treasury, 
Internal Revenue Service, and applicable State and local governments 
those items to be included as income to an individual.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records may be stored in file folders, on index cards, computer 
tapes and disks, microfiche, microfilm.

RETRIEVABILITY:
    Information will be retrieved by name.

SAFEGUARDS:
    Measures to prevent unauthorized disclosures are implemented as 
appropriate for each location. Each site implements personnel, 
physical, and procedural safeguards such as the following:
    1. Authorized Users: Only SAMHSA personnel working on these 
projects and personnel employed by SAMHSA contractors to work on these 
projects are authorized users as designated by the system managers.
    2. Physical Safeguards: Records are stored in locked rooms, locked 
file cabinets, and/or secured computer facilities.
    3. Procedural Safeguards: Contractors who maintain records in this 
system are instructed to make no further disclosure of the records 
except as authorized by the system manager and permitted by the Privacy 
Act. Privacy Act requirements are specifically included in contracts 
and in agreements with grantees or collaborators participating in 
research activities supported by this system. HHS project directors, 
contract officers, and project officers oversee compliance with these 
requirements.
    4. Implementation Guidelines: DHHS Chapter 45-13 of the General 
Administration Manual, and Part 6, ``Automated Information Systems 
Security'' in the HHS Information Resources Management Manual.

RETENTION AND DISPOSAL:
    Records are destroyed 3 years after they are no longer used, or, if 
payment is involved, 3 years after closeout of the contract.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Division of Contracts Management, Office of Program 
Services, Substance Abuse and Mental Health Services Administration, 
Room 6-70, Rockwall II Building, 5600 Fishers Lane, Rockville, Maryland 
20857

NOTIFICATION PROCEDURE:
    To determine if a record exists, write to the appropriate System 
Manager at the address above. Provide notarized signature as proof of 
identity. The request should include as much of the following 
information as possible: (a) Full name; (b) title of project individual 
participated in; (c) SAMHSA project officer, and (d) approximate 
date(s) of participation.

RECORD ACCESS PROCEDURES:
    Same as notification procedures. Requesters should also reasonably 
specify the record contents being sought.
    Individuals may also request an accounting of disclosures of their 
records, if any.

CONTESTING RECORD PROCEDURES:
    Contact the official at the address specified under Notification 
Procedures above and reasonably identify the record, specify the 
information being contested, and state the corrective action sought, 
with supporting information to show how the record is inaccurate, 
incomplete, untimely, or irrelevant.

RECORD SOURCE CATEGORIES:
    Information gathered from individual consultants and from 
assignment or travel documents.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.

[FR Doc. 99-1091 Filed 1-15-99; 8:45 am]
BILLING CODE 4162-20-M