[Federal Register Volume 73, Number 66 (Friday, April 4, 2008)]
[Notices]
[Pages 18532-18535]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-7034]


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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of Inspector General


Privacy Act of 1974, New OIG Privacy Act System of Records: 
Administrative Files

AGENCY: Office of Inspector General (OIG), HHS.

ACTION: Notice of proposed new Privacy Act systems of records.

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

SUMMARY: The Office of Inspector General (OIG) is proposing a new 
system of records, entitled ``Administrative Files'' (09-90-0076). This 
proposed notice is in accordance with the Privacy Act requirement that 
agencies publish their systems of records in the Federal Register when 
there is a revision, change, or addition. This system of records 
contains certain administrative files for the purpose of maintaining, 
archiving, and filing records.

DATES: Effective Date: This system of records will become effective 
without further notice on June 3, 2008, unless comments received on or 
before that date result in a contrary determination.
    Comment Date: Comments on this new system of records will be 
considered if we receive them at the addresses provided below no later 
than 5 p.m. Eastern Standard Time on May 5, 2008.

ADDRESSES: In commenting, please reference file code OIG-794-PN. 
Because of staff and resource limitations, we cannot accept comments by 
facsimile (FAX) transmission. However, you may submit comments using 
one of the following three ways (no duplicates, please):
    1. Electronically. You may submit electronically through the 
Federal eRulemaking Portal at http://www.regulations.gov. (Attachments 
should be in Microsoft Word, if possible.)
    2. By regular, express, or overnight mail. You may mail your 
printed or written submissions to the following address: Office of 
Inspector General, Department of Health and Human Services, Attention: 
OIG-794-PN, Room 5246, Cohen Building, 330 Independence Avenue, SW., 
Washington, DC 20201. Please allow sufficient time for mailed comments 
to be received before the close of the comment period.
    3. By hand or courier. You may deliver, by hand or courier, before 
the close of the comment period, your printed or written comments to 
the Office of Inspector General, Department of Health and Human 
Services, Cohen Building, 330 Independence Avenue, SW., Washington, DC 
20201. Because access to the interior of the Cohen Building is not 
readily available to persons without Federal Government identification, 
commenters are encouraged to schedule their delivery with one of our 
staff members at (202) 358-3141.
    Inspection of Public Comments: All comments received before the end 
of the comment period will be posted on http://www.regulations.gov for 
public viewing. Hard copies will also be available for public 
inspection at the Office of Inspector General, Department

[[Page 18533]]

of Health and Human Services, Cohen Building, 330 Independence Avenue, 
SW., Washington, DC 20201, Monday through Friday from 8:30 a.m. to 4 
p.m. To schedule an appointment to view public comments, phone (202) 
619-0089.

FOR FURTHER INFORMATION CONTACT: Joel Schaer, OIG Regulations Officer, 
Office of External Affairs, (202) 619-0089; or Melissa McCurdy, Office 
of Counsel to the Inspector General, (202) 619-0335.

SUPPLEMENTARY INFORMATION: The Office of Inspector General (OIG) 
proposes to establish a new Privacy Act system of records, 09-90-0076, 
``Administrative Files, HHS/OS/OIG/OCIG.'' The Inspector General Act of 
1978 (5 U.S.C. app.) established OIG ``to conduct and supervise audits 
and investigations relating to the programs and operations'' of the 
Department of Health and Human Services (HHS). Within OIG, the Office 
of Counsel to the Inspector General (OCIG): (1) Provides general legal 
services to OIG including, among other things, advice and 
representation on HHS programs and operations, administrative law 
issues, and criminal procedure; (2) imposes program exclusions and 
civil money penalties on health care providers and litigates those 
actions within the department; (3) represents OIG in the global 
settlement of cases arising under the False Claims Act; (4) represents 
OIG in personnel actions; and (5) issues anti-kickback safe harbor 
regulations, renders advisory opinions on OIG sanctions, and issues 
special fraud alerts and other industry guidance.
    In addition, in compliance with the ``Incident Reporting and 
Handling Requirements'' set forth in the Office of Management and 
Budget's Memoranda 07-16, Safeguarding Against and Responding to the 
Breach of Personally Identifiable Information, OIG is incorporating the 
routine use language into this new system of records as part of our 
normal SORN review development process.

Description of the Proposed System of Records

    The ``Administrative Files, HHS/OS/OIG/OCIG'' system will 
specifically enable OCIG to access and maintain records for the purpose 
of archiving and filing records. The system will house various types of 
records and will permit OCIG to search and retrieve memoranda, 
opinions, correspondence, testimony, and other writings relevant to the 
functioning of OCIG.

Policies, Procedures, and Restrictions on the Routine Use

    The Privacy Act permits OIG to disclose information without an 
individual's consent if the information is to be used for a purpose 
that is compatible with the purposes for which the information was 
collected. Any such disclosure of data is known as a routine use. 
Accordingly, we are proposing to establish the following routine use 
disclosures of records maintained in the system:
    1. Disclosure may 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.
    2. In the event of litigation, information from the system of 
records may be disclosed to the Department of Justice, to a judicial or 
administrative tribunal, opposing counsel, and witnesses, in the course 
of proceedings involving HHS, any HHS employee (where the matter 
pertains to the employee's official duties), or the United States, or 
any agency thereof where the litigation is likely to affect HHS, or HHS 
is a party or has an interest in the litigation and the use of the 
information is relevant and necessary to the litigation.
    3. In the event that a system of records maintained by OIG 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, as a routine use, to the appropriate 
agency, whether Federal, State, local, or foreign, 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. In the event the Department deems it desirable or necessary, in 
determining whether particular records are required to be disclosed 
under the Freedom of Information Act, disclosure may be made to the 
Department of Justice for the purpose of obtaining its advice.
    5. A record from this system of records may be disclosed 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.
    6. The system of records may be disclosed to student volunteers and 
other individuals performing functions for the Department but 
technically not having the status of agency employees, if they need 
access to the records in order to perform their assigned agency 
functions.
    7. A record may be disclosed to appropriate Federal agencies and 
Department contractors that have a need to know the information for the 
purpose of assisting the Department's efforts to respond to a suspected 
or confirmed breach of the security or confidentiality of information 
maintained in this system of records, and the information disclosed is 
relevant and necessary for that assistance.

Safeguards

    OIG has safeguards in place for authorized users and monitors users 
to ensure against unauthorized use. The system will conform to all 
applicable Federal laws and regulations, and Federal, HHS, and OIG 
policies and standards as they relate to information security and data 
privacy.

Effects of the Proposed System of Records on Individual Rights

    OIG proposes to establish this system of records in accordance with 
the principles and requirements of the Privacy Act and will collect, 
use, and disseminate information only as prescribed therein. Data in 
this system will be subject to the authorized releases in accordance 
with the routine uses identified in this system of records notice.
    OIG will take precautionary measures to minimize the risks of 
unauthorized access to the records and the potential harm to individual 
privacy or other personal or property rights of applicants whose data 
are maintained in the system. OIG will make disclosures from the 
proposed system in accordance with the Privacy Act. OIG does not 
anticipate an unfavorable effect on individual privacy as a result of 
the disclosure of information relating to individuals.
    This proposed new system of records will not otherwise increase 
access to these records.

Daniel R. Levinson,
Inspector General.
09-90-0076

SYSTEM NAME:
    Administrative Files, HHS/OS/OIG/OCIG.

[[Page 18534]]

SYSTEM CLASSIFICATION:
    None.

LOCATION:
    Office of Inspector General (OIG), Department of Health and Human 
Services, Room 5527, Wilbur J. Cohen Building, 330 Independence Avenue, 
SW., Washington, DC 20201.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    The system consists of information concerning persons mentioned in 
opinions, memoranda, correspondence, testimony, and other writings 
relevant to the Office of Counsel to the Inspector General (OCIG) 
within OIG. Individuals mentioned may include:
     Staff members and authors whose names are mentioned in 
memoranda, opinions, correspondence, testimony, and other writings;
     Individuals addressed in memoranda, opinions, 
correspondence, testimony, and other writings;
     Attendees at meetings and conferences described in 
memoranda, opinions, correspondence, testimony, and other writings; or
     Any individual identified in connection with questions 
presented to OCIG.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system will consist of memoranda, opinions, correspondence, 
testimony, and other writings.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The authority for maintaining this system is found in the various 
statutes, regulations, rules, or orders pertaining to the subject 
matter of the memoranda, opinions, correspondence, testimony, and other 
writings of the office, (e.g., Inspector General Act (5 U.S.C. App.)).

PURPOSE(S):
    In accordance with the Inspector General Act of 1978, this system 
is maintained for the purposes of maintaining a searchable record of 
memoranda, opinions, correspondence, testimony, and other writings.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    a. Disclosure may 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.
    b. In the event of litigation, information from the system of 
records may be disclosed to the Department of Justice, to a judicial or 
administrative tribunal, opposing counsel, and witnesses, in the course 
of proceedings involving HHS, any HHS employee (where the matter 
pertains to the employee's official duties), or the United States, or 
any agency thereof where the litigation is likely to affect HHS, or HHS 
is a party or has an interest in the litigation and the use of the 
information is relevant and necessary to the litigation.
    c. In the event that a system of records maintained by OIG 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, as a routine use, to the appropriate agency, 
whether Federal, State, local, or foreign, 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.
    d. In the event the Department deems it desirable or necessary, in 
determining whether particular records are required to be disclosed 
under the Freedom of Information Act, disclosure may be made to the 
Department of Justice for the purpose of obtaining its advice.
    e. A record from this system of records may be disclosed 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.
    f. The system of records may be disclosed to student volunteers and 
other individuals performing functions for the Department but 
technically not having the status of agency employees, if they need 
access to the records in order to perform their assigned agency 
functions.
    g. A record may be disclosed to appropriate Federal agencies and 
Department contractors that have a need to know the information for the 
purpose of assisting the Department's efforts to respond to a suspected 
or confirmed breach of the security or confidentiality of information 
maintained in this system of records, and the information disclosed is 
relevant and necessary for that assistance.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored in electronic form and paper, and maintained 
under secure conditions in limited access areas. Computer server 
containing files are locked in controlled-access rooms. Laptops that 
may contain files are protected with whole-disk encryption.

RETRIEVABILITY:
    These records are retrievable by certain personal identifiers, such 
as by name, of the individuals covered by this system of record.

SAFEGUARDS:
    Office buildings in which these records are maintained are secured 
by a variety of security systems. The computer terminals used to access 
the records are secured with passwords, encryptions, and other security 
devices, comply with all relevant computer security procedures, are 
kept in rooms that are locked at the close of the business day, and are 
generally accessible only to OCIG staff. Paper files are stored in 
locked cabinets, in locked offices and are accessible to limited 
members of OCIG on a need-to-know basis.

RETENTION AND DISPOSAL
    These records may be maintained for an indefinite duration.

SYSTEM MANAGER(S) AND ADDRESS:
    The agency official responsible for the system policies and 
practices outlined above is: The Chief Counsel, Office of Counsel to 
the Inspector General, Department of Health and Human Services, Wilbur 
J. Cohen Building, Room 5527, 330 Independence Avenue, SW., Washington, 
DC 20201.

NOTIFICATION PROCEDURE:
    Any individual who wants to know whether this system of records 
contains a record about him or her, who wants access to his or her 
record, or who wants to contest the contents of a record, should make a 
written request to the system manager.

RECORD ACCESS PROCEDURES:
    Same as notification procedures. Requesters should also reasonably 
specify the record contents being sought. (These access procedures are 
in accordance with Department regulations (45 CFR 5b.5(a)(2).)

CONTESTING RECORD PROCEDURES:
    Contact the official at the address in the System Manager(s) and 
Address section above, and reasonably identify

[[Page 18535]]

the record and specify the information to be contested and corrective 
action sought with supporting justification. (These procedures are in 
accordance with Department Regulations (45 CFR 5b.7).)

RECORD SOURCES CATEGORIES:
    The information for this system is obtained through a number of 
sources including OCIG attorney, exchange of legal pleadings, 
documents, formal and informal discovery, program offices and component 
agencies, private attorneys, State and local governments, their 
agencies and instrumentalities, and officers of other Federal agencies 
and the individuals involved.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.

 [FR Doc. E8-7034 Filed 4-3-08; 8:45 am]
BILLING CODE 4152-01-P