[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]
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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.
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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