[Federal Register Volume 71, Number 43 (Monday, March 6, 2006)]
[Notices]
[Pages 11204-11206]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-3009]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of the Secretary


Departmental Appeals Board; Privacy Act of 1974; System of 
Records

AGENCY: Departmental Appeals Board (DAB), Office of the Secretary, 
Department of Health and Human Services (HHS).

ACTION: Notification of Altered Privacy Act System Notice.

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SUMMARY: On May 19, 1993, in accordance with the requirements of the 
Privacy Act, the Departmental Appeals Board (DAB) published a notice of 
a system of records entitled ``Departmental Appeals Board Case and 
Appeal Records, HHS/OS/DAB No. 09-90-0049.'' 58 FR 29228, May 19, 1993. 
The DAB has reviewed its May 19, 1993 Privacy Act notice and now 
proposes to revise that notice. Revisions include the following: Adding 
routine uses; updating the DAB's address; clarifying its policies and 
practices for storing, retrieving, accessing, retaining and disposing 
of records in the system; and making minor editorial or formatting 
changes. The revised notice, like the original, covers records 
maintained by the DAB's Appellate Division, Civil Remedies Division, 
and Alternative Dispute Resolution Division. The DAB's Medicare Appeals 
Council (MAC) will issue a separate Privacy Act notice describing the 
system of records used by the MAC and its supporting component, the 
Medicare Operations Division, to docket, track, manage, and decide 
appeals and other matters before the MAC.

DATES: The DAB sent a report of the altered system to Congress and the 
Office of Management and Budget (OMB) on January 19, 2006. The altered 
system will be effective 40 days after the submittal of the report of 
new system to OMB or 30 days after publication of the notice, whichever 
is later, unless the DAB receives comments on the routine uses during 
that period.
    Submit comments on or before April 5, 2006. Comments may be viewed 
on or before April 5, 2006.

ADDRESSES: Please mail written comments to: Departmental Appeals Board, 
MS 6127, 330 Independence Avenue, SW., Cohen Building, Room G-644, 
Washington, DC 20201 (Attention: Maxine Winerman or Ken Veilleux). The 
DAB will not accept comments by facsimile (fax) transmission.
    Comments received will be available for public inspection, by 
appointment, from 9 a.m. to 5 p.m. at the DAB's offices, which are 
located at 800 North Capitol Street, NW., 6th Floor, Washington, DC. To 
schedule an appointment, please call (202) 565-0200.

FOR FURTHER INFORMATION CONTACT: Maxine Winerman (DAB), 202-565-0147, 
or Ken Veilleux (DAB), (202) 565-0130.

SUPPLEMENTARY INFORMATION: The system of records described in the DAB's 
May 19, 1993 Privacy Act notice is used by DAB staff to docket, track, 
manage, and decide or mediate appeals and other matters involving 
individuals who are parties in those matters. This system includes 
information on all individuals who are parties in matters before the 
DAB, including their names and addresses and any other information 
about those individuals that is presented by a party or intervener to 
enable the DAB to decide, decline to decide, mediate, or conclude a 
matter. The amount of information recorded on each individual will be 
only that which is necessary to resolve the matter that is before the 
DAB. In addition, this system contains some information that is about 
entities, rather than individuals, and

[[Page 11205]]

that information is not covered by the Privacy Act.
    The records in this system are maintained in a secure manner 
compatible with their content and use. The System Managers control 
access to the information in the records. Only authorized users whose 
official duties require the use of such information will have regular 
access to the records. The records (whether paper or computer-based) 
are maintained in accordance with the standards of Chapter 45-13 of the 
HHS General Administration Manual: ``Safeguarding Records Contained in 
the System of Records.''
    The Privacy Act permits the DAB to disclose information or records 
pertaining to an individual without that individual's consent if the 
information is to be used for a purpose that is compatible with the 
purpose(s) for which the information was collected. Any such disclosure 
is known as a ``routine use.'' This revised notice identifies eight 
routine uses for the DAB's system of records. The DAB expects that its 
routine use disclosures will not result in any unwarranted adverse 
effects on personal privacy.
    Mediation-related records are maintained in conformity with the 
confidentiality provisions of the Administrative Dispute Resolution Act 
(ADRA), 5 U.S.C. 574, and with guidelines contained in the Federal 
Register document ``Confidentiality in Federal Alternative Dispute 
Resolution Programs,'' 65 FR 83085, December 29, 2000. Disclosure of 
such records is made only in conformity with those provisions and 
guidelines. That is, all dispute resolution communications would be 
confidential unless specifically subject to disclosure under one of the 
public policy type exceptions identified in sections 574(a) or 574(b) 
of the ADRA.

    Dated: January 13, 2006.
Cecilia Sparks Ford,
Chair, Departmental Appeals Board.
HHS/OS/DAB 09-90-0049

System Name:
    Departmental Appeals Board Case and Appeal Records, HHS/OS/DAB.

Security Classification:
    None.

System Location:
    6th Floor, 800 North Capitol Street, NW., Washington, DC 20002.

Categories of Individuals Covered by the System:
    Individuals who are parties in matters before the Departmental 
Appeals Board (DAB), or who are requesting review or consideration of a 
matter by the DAB.
    Categories of Records in the System:
    The DAB's system of records contains correspondence, pleadings, 
legal briefs, documentary evidence, and other paper or computer-stored 
records relevant to the issues being adjudicated, mediated, or 
considered by the DAB or its personnel. This system also contains some 
information that is about entities, rather than individuals, and that 
information is not covered by the Privacy Act.

Authority for Maintenance of the System:
    The DAB provides ALJ hearings and/or Board reviews in cases in 
which an individual has a right to a hearing pursuant to the following 
statutory authorities and/or the regulations implementing them:
     42 U.S.C. 1320a-7a(c),
     42 U.S.C. 1320a-8(b),
     42 U.S.C. 1395cc(h) and (j),
     42 U.S.C. 1395ff(f),
     31 U.S.C. 3801 et seq.,
     5 U.S.C. 5514(a)(2),
     42 U.S.C. 216, 241, and 289b, and
     Any other authorities that are cited when new cases are 
added to the DAB's jurisdiction.
    The DAB also mediates disputes pursuant to the federal 
Administrative Dispute Resolution Act, 5 U.S.C. 571-584.
    The system of records has been created for the purpose of tracking, 
adjudicating, and mediating matters that come before the DAB. 
Information about the types of matters that come before the DAB can be 
obtained by contacting the DAB at 202-565-0200 or by visiting the DAB 
Web site at the following Internet addresses: http://www.hhs.gov/dab/civil/overview.html, http://www.hhs.gov/dab/appellate, and http://www.hhs.gov/dab/adr.

Purpose:
    The system of records is used to docket, track, adjudicate, 
mediate, or conclude matters before the DAB and, in those matters 
before the Appellate and Civil Remedies Divisions, to develop a body of 
case law that can guide persons and agency components in the future 
with respect to matters that are before or might come before the DAB.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:
    The following are the routine uses of records or information 
contained in the DAB's system of records:
    (1) To apprise the public of the basis on which the DAB makes its 
decisions, the DAB may disclose records or parts of records not subject 
to a Freedom of Information Act exemption to persons who request the 
records or who attend DAB hearings.
    (2) The DAB will disclose the status of a pending or past matter, 
and similar docket information, to any person making an inquiry about 
such information in order to apprise the public of the status and 
progress of matters before the DAB.
    (3) The DAB may make disclosures to the Department of Justice, to a 
court or other tribunal, or to another party before such 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 Justice Department (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 the 
litigation or has an interest in such litigation, and HHS determines 
that the use of such records by the Department of Justice, the 
tribunal, or the other party 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.
    (4) The DAB may make disclosures to a Congressional office in 
response to an inquiry made by that office at the request of an 
individual who is a party in a matter before the DAB.
    (5) The DAB may make disclosures to the public and to commercial 
reporters of DAB decisions and rulings for the purpose of distributing 
and publishing the decisions and rulings.
    (6) The DAB may make disclosures to third parties, including public 
and private organizations, in order to obtain from them (by subpoena or 
other means) information relevant or necessary to the proceedings 
before the DAB.
    (7) The DAB may make disclosures to HHS contractors who have been 
engaged by the agency to assist in the performance of a service related 
to this system of records and who have a need to access the records in 
order to perform the activity.
    (8) The DAB may make disclosures to student volunteers, individuals 
working under a personal services contract, and other individuals 
performing functions for HHS but technically not having the status of 
agency employees, if they need access to the records to perform their 
assigned agency functions.

[[Page 11206]]

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage
    Records in the system are maintained in file folders and binders, 
and on password-protected computers or computer servers.

Retrievability
    Records in the system are retrieved by the name of the non-
government party or by docket or decision number.

Safeguards
    Access to and use of records in the system are limited to those 
persons (including DAB contractors) whose official duties require such 
access. Paper records are maintained in file cabinets, offices, and 
other secure areas to which only authorized persons have access; 
information or records stored on computers may be retrieved through the 
use of passwords known only to authorized personnel. Physical access to 
the DAB's offices and computers is controlled by security personnel and 
by a computerized card entry system, and is limited to DAB employees 
and to non-DAB persons whose access is authorized and whose activities 
are supervised or monitored by the System Managers or other DAB 
employees. DAB employees who maintain records in the system are 
instructed to grant access to these records only to persons whose 
official duties require such access. In addition, DAB employees are 
required and instructed to adhere to the provisions of the Privacy Act, 
the HHS Privacy Act Regulations, and security guidelines set forth in 
Chapter 45-13 of the HHS General Administration Manual. Contractors who 
assist the DAB in maintaining the records are instructed to make no 
disclosure of the records except as authorized by the System Managers 
and permitted by the Privacy Act. Privacy Act language is included in 
contracts related to this system.

Retention and Disposal
    Once a matter is closed, the DAB's paper records for that matter 
are stored in DAB files for a period of time not exceeding seven years. 
After that time, the files are turned over to the Office of the 
Secretary, HHS Records Management Officer. The records are then 
transferred to the Washington National Records Center, Washington, DC 
20409, where they are kept for an additional 20 years, after which time 
they may be destroyed.
    Electronic files that are part of the DAB's system of records 
(including case tracking information) are maintained on a secure server 
that can be accessed only by authorized personnel.

System Managers and Addresses
    Appellate Division: Chief, Appellate Division, Departmental Appeals 
Board, MS 6127, Room G-644, Cohen Building, 330 Independence Avenue, 
SW., Washington, DC 20201.
    Civil Remedies Division: Chief, Civil Remedies Division, 
Departmental Appeals Board, MS 6132, Room G-644, Cohen Building, 330 
Independence Avenue, SW., Washington, DC 20201.
    Alternative Dispute Resolution Division: Chief, Alternative Dispute 
Resolution Division, Departmental Appeals Board, MS 6132, Room G-644, 
Cohen Building, 330 Independence Avenue, SW., Washington, DC 20201.

Notification Procedure
    Individuals who wish to inquire about whether the DAB's system of 
records contains information about them should contact the appropriate 
System Manager indicated above. When making such an inquiry, it is 
necessary to provide the following information regarding the 
individual:
    (1) Full name;
    (2) Date of birth;
    (3) Kind of action taken by the agency;
    (4) Date and location of the filing of the case, appeal or other 
matter before the DAB; and
    (5) If appropriate, the DAB docket or decision number.

Record Access Procedure
    Same as notification procedures. Requesters should also reasonably 
specify the record contents being sought.

Contesting Record Procedure
    Contact the appropriate System Manager at the address specified 
under notification procedures, reasonably identify the record, and 
specify the information to be contested and corrective action sought 
with the supporting justification.

Record Source Categories
    Information in this system is obtained from:
    (1) The individuals to whom the record pertains;
    (2) Agency officials and documents;
    (3) The testimony, affidavits and statements of witnesses;
    (4) The documents, received testimony, exhibits and submissions of 
the parties involved in the matter.

Systems Exempted from Certain Provisions of the Act
    None.

[FR Doc. E6-3009 Filed 3-3-06; 8:45 am]
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