81_FR_17523 81 FR 17463 - Privacy Act of 1974; System of Records Notice

81 FR 17463 - Privacy Act of 1974; System of Records Notice

DEPARTMENT OF HEALTH AND HUMAN SERVICES
Office of the Secretary

Federal Register Volume 81, Issue 60 (March 29, 2016)

Page Range17463-17467
FR Document2016-07060

In accordance with the requirements of the Privacy Act of 1974, as amended (5 U.S.C. 552a), HHS is updating a department-wide system of records, System No. 09-90-0058, currently titled ``Freedom of Information Case Files and Correspondence Control Log, HHS/OS/ASPA/ FOIA.'' This system of records was established prior to 1979 (see 44 FR 58144) and was previously revised in 1989 and 1994 (see 54 FR 41684 and 59 FR 55845). Due to the length of time since the last revision, the updates published in this Notice affect most sections of the System of Records Notice (SORN). The updates include changing the system name to ``Tracking Records and Case Files for FOIA and Privacy Act Requests and Appeals;'' expanding the scope of the system to include tracking records and case files pertaining to not only FOIA and Privacy Act requests processed in agency FOIA offices, but Privacy Act requests and appeals handled by System Managers for Privacy Act systems and related privacy personnel, when those records are retrieved by personal identifier; adding several new routine uses; and clarifying that some of the records in this system of records may be exempt from certain Privacy Act requirements. The updates are more fully explained in the SUPPLEMENTARY INFORMATION section of this Notice.

Federal Register, Volume 81 Issue 60 (Tuesday, March 29, 2016)
[Federal Register Volume 81, Number 60 (Tuesday, March 29, 2016)]
[Notices]
[Pages 17463-17467]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-07060]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of the Secretary


Privacy Act of 1974; System of Records Notice

AGENCY: Assistant Secretary for Public Affairs (ASPA), Office of the 
Secretary (OS), Department of Health and Human Services (HHS).

ACTION: Notice of an altered system of records.

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

SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, as amended (5 U.S.C. 552a), HHS is updating a department-wide 
system of records, System No. 09-90-0058, currently titled ``Freedom of 
Information Case Files and Correspondence Control Log, HHS/OS/ASPA/
FOIA.'' This system of records was established prior to 1979 (see 44 FR 
58144) and was previously revised in 1989 and 1994 (see 54 FR 41684 and 
59 FR 55845). Due to the length of time since the last revision, the 
updates published in this Notice affect most sections of the System of 
Records Notice (SORN). The updates include changing the system name to 
``Tracking Records and Case Files for FOIA and Privacy Act Requests and 
Appeals;'' expanding the scope of the system to include tracking 
records and case files pertaining to not only FOIA and Privacy Act 
requests processed in agency FOIA offices, but Privacy Act requests and 
appeals handled by System Managers for Privacy Act systems and related 
privacy personnel, when those records are retrieved by personal 
identifier; adding several new routine uses; and clarifying that some 
of the records in this system of records may be exempt from certain 
Privacy Act requirements. The updates are more fully explained in the 
SUPPLEMENTARY INFORMATION section of this Notice.

DATES: This Notice is effective on publication, with the exception of 
the new and revised routine uses. The new and revised routine uses will 
be effective 30 days after publication of this Notice, unless comments 
are received that warrant a revision to this Notice. Written comments 
on the routine uses should be submitted within 30 days. Until the new 
and revised routine uses are effective, the routine uses previously 
published for the system will remain in effect.

ADDRESSES: You may submit comments to Beth Kramer, HHS Privacy Act 
Officer, FOIA/PA Division, by email to: [email protected].

FOR FURTHER INFORMATION CONTACT: Beth Kramer, HHS Privacy Act Officer, 
FOIA/PA Division, Hubert H. Humphrey Building--Suite 729H, 200 
Independence Avenue SW., Washington, DC 20201. Ms. Kramer can also be 
reached by telephone at 202-690-7453.

SUPPLEMENTARY INFORMATION:

I. Explanation of Revisions to System No. 09-90-0058

    The revised System of Records Notice (SORN) published in this 
Notice for System No. 09-90-0058 includes the following significant 
changes, in addition to minor wording changes throughout:
     The system name and scope have been revised to cover not 
only tracking records and case files used by HHS Freedom of Information 
Act (FOIA) offices to process FOIA and Privacy Act requests and appeals 
(which typically involve only ``access'' to agency records), but 
tracking records and case files used by System Managers of Privacy Act 
systems and related privacy personnel to process any type of Privacy 
Act request or appeal (e.g., seeking access, notification, correction 
and amendment, or an accounting of disclosures), when those tracking 
records and case files are retrieved by personal identifier.
     The Categories of Individuals section has been revised to 
omit organizations (because the Privacy Act applies only to 
individuals, not entities), but not to add any additional categories of 
individuals besides individual FOIA and Privacy Act requesters and 
appellants. The result is that only an individual FOIA or Privacy Act 
requester or appellant may make a Privacy Act request under this SORN 
for access to, correction of, notification as to, or an accounting of 
disclosures with respect to tracking records and/or case files used by 
HHS to process a FOIA and/or Privacy Act request in which that 
individual was the requester or appellant. Further, because agency 
records processed in response to a third-party FOIA request are not 
about the requester or appellant, a provision has been added to make 
clear that Privacy Act rights are afforded to an individual requester 
or appellant only to the extent that the information in the tracking 
record and case file retrieved by that individual's identifier is, in 
fact, about that individual requester or appellant. The intent is to 
include in the Categories of Individuals section only individual 
requesters and appellants (not, for example, individual representatives 
who requested records under FOIA on behalf of an entity).
    [cir] Note: Privacy Act case files and tracking records are about 
individual requesters and appellants only, because Privacy Act requests 
can only be made by an individual record subject personally, not by a 
third party or through a representative (unless the representative is 
the parent of or court-appointed guardian for a minor or legally-
declared incompetent who is the record subject). The agency's position 
is that FOIA case files and tracking records, likewise, are about 
requesters and appellants only, not other individuals who may be 
identified in the agency records sought by FOIA requesters and 
appellants. This is because HHS' FOIA case files and tracking records 
are not keyed or indexed to individuals mentioned in records requested 
under FOIA, but are keyed to requesters and appellants, and because the 
purpose for which records are processed under FOIA is to release 
information about the agency (not to release information about 
individuals mentioned in the records to third party FOIA requesters, 
except as required to shed light on conduct of the agency).
     The Categories of Records section has been rewritten, to 
reflect two distinct categories (tracking records and case files); to 
describe the contents in more detail; to clarify that any classified 
records responsive to a FOIA request or appeal are considered part of 
the case file for that request or appeal, even if the classified 
records must be maintained in a security office instead of in the FOIA 
office; and to specifically exclude related categories of records 
covered by other SORNs, to avoid duplicating other systems of records.
     The Purposes section has been rewritten to provide a 
broader description of uses and users of the records within HHS. (The 
prior description mentioned only ``FOIA correspondence and 
processing,'' ``Freedom of Information staff,'' and ``appeals officials 
and members of the Office of General Counsel.'')
     An existing routine use authorizing disclosures to 
contractors (routine use 2) has been revised to be more accurate in 
reflecting the broad purposes for which contractors may be engaged to 
assist HHS and require access to records in the system. (The former 
description was limited to ``collating, aggregating, analyzing, or 
otherwise refining records in this system.'')

[[Page 17464]]

     Four new routine uses have been added (see routine uses 6 
through 9).
     The System Locations and System Manager sections have been 
updated with current information and expanded to be consistent with the 
scope of the system.
     The Policies and Practices section has been revised. 
Specifically, the Storage and Safeguards descriptions have been revised 
to reflect that any of the records (not just tracking records) may be 
maintained electronically, and to include safeguards applicable to 
classified records. The Retention description has been updated to refer 
to new General Records Schedule (GRS) 4.2, issued August 2015 
(superseding GRS 14).
     The Exemptions section has been changed from stating 
``none'' to including an explanation that certain records in this 
system may be exempt if they are from other Privacy Act systems that 
have promulgated exemptions.
    Because the revised SORN includes significant changes, a report on 
the altered system has been sent to Congress and OMB in accordance with 
5 U.S.C. 552a(r).

II. Background on the Privacy Act Requirement To Publish a System of 
Records Notice

    The Privacy Act governs the means by which the U.S. Government 
collects, maintains, and uses information about individuals in a system 
of records. A ``system of records'' is a group of any records under the 
control of a federal agency from which records about individuals are 
retrieved by the individuals' names or other personal identifiers. 
While FOIA entitles any person to seek access to agency records, an 
individual has a right of access under the Privacy Act, in addition to 
FOIA, with respect to agency records about him that are maintained in a 
Privacy Act system of records. The Privacy Act requires each agency to 
publish in the Federal Register a system of records notice (SORN) 
identifying and describing each system of records the agency maintains, 
including the purposes for which the agency uses information about 
individuals in the system, the routine uses for which the agency 
discloses such information to parties outside the agency, and how an 
individual record subject can exercise his rights under the Privacy Act 
(e.g., to request notification of whether the system contains records 
about him, or to request access to or correction or amendment of his 
records).
SYSTEM NUMBER:
09-90-0058

SYSTEM NAME:
    Tracking Records and Case Files for FOIA and Privacy Act Requests 
and Appeals.

SECURITY CLASSIFICATION:
    Classified and Unclassified.

SYSTEM LOCATIONS:
    Physical locations for the case files and tracking records covered 
by this SORN include:
     The HHS Freedom of Information/Privacy Acts Division 
within the Office of the Assistant Secretary for Public Affairs (ASPA) 
in Washington, DC;
     HHS FOIA Requester Service Centers in Washington, DC; 
Baltimore, MD; Bethesda, MD; Research Triangle, NC; Rockville, MD; and 
Atlanta, GA;
     Any contractor locations that support FOIA and/or Privacy 
Act request processing (for example, the Centers for Medicare & 
Medicaid Services (CMS) uses contractors located near its Regional 
Offices in Boston, MA; New York, NY; Philadelphia, PA; Atlanta, GA; 
Chicago, IL; Dallas, TX; Kansas City, MO; Denver, CO; San Francisco, 
CA; and Seattle, WA);
     Server locations for electronic systems used by HHS FOIA 
offices, System Managers, and/or related privacy personnel (for 
example, server locations for agency-developed FOIA systems include 
Bethesda, MD for the system used by National Institutes of Health; 
White Oak, MD and Ashburn, VA for the system used by the Food and Drug 
Administration; and Baltimore, MD for the system used by CMS and PSC; 
locations for commercial off-the-shelf FOIA systems include 
Gaithersburg, MD for FOIAXpress and Washington, DC for the Request 
Management System);
     Security office locations where classified records 
responsive to FOIA and Privacy Act requests may be stored, including 
the Office of Security and Strategic Information (OSSI) in Washington, 
DC; and
     System Manager locations identified in each SORN posted at 
http://www.hhs.gov/foia/privacy/sorns.html, where any tracking records 
and case files used by System Managers and related privacy personnel to 
process Privacy Act requests and appeals would be maintained.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    The records in this system of records pertain to individual FOIA 
and Privacy Act requesters and appellants only. Individual FOIA and 
Privacy Act requesters and appellants include:
     Any individual who the agency treated as the requester or 
appellant for an access request or appeal that was received in or 
referred to a HHS FOIA office for processing under FOIA (and under the 
Privacy Act, if applicable), excluding individual representatives who 
requested records under FOIA on behalf of an entity; and
     Any individual who made any type of Privacy Act request or 
appeal that was received by or referred to the System Manager (or 
related privacy personnel) for the relevant HHS Privacy Act system of 
records for handling--but only if the System Manager's (or related 
privacy personnel's) Privacy Act tracking records and case files are 
retrieved by requester or appellant identifier.
    For a FOIA request or appeal involving non-Privacy Act records, the 
individual treated as the requester or appellant may have made the FOIA 
request or appeal personally, through a representative, or as a 
representative for another individual. For a Privacy Act request or 
appeal, the individual requester or appellant may have made the request 
or appeal personally, or as the parent of or court-appointed guardian 
for a minor or legally-declared incompetent who is the subject of the 
records, or with the prior, written consent of the record subject. When 
any of the aforementioned individual requesters or appellants seeks to 
exercise Privacy Act rights under this SORN with respect to the 
tracking record and case file pertaining to his or her FOIA or Privacy 
Act request or appeal, the information in the tracking record and case 
file must be about him, as required by 5 U.S.C. 552a(a)(4) (i.e., not 
merely be retrieved by his identifier), for the individual to be 
afforded Privacy Act rights with respect to those records.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records consist of tracking records and case files for FOIA and 
Privacy Act requests and appeals made by individuals. This system of 
records excludes tracking records and case files for FOIA requests and 
appeals made by or on behalf of entities.
    Tracking records typically include the requester/appellant's name 
and contact information, case tracking number, date of request or 
appeal, a brief description of the request or appeal, processing 
status, and response date or appeal decision date. A tracking record 
for a FOIA request may include additional information, such as the 
requester's fee category and whether expedited processing or a fee 
waiver or reduction was sought and was granted or denied.

[[Page 17465]]

    A case file typically includes a copy of the request and any 
appeal, which would include the requester/appellant's name; contact 
information; a description of the records that were the subject of the 
access, correction, or other request; issues raised on appeal; copies 
of any documents included with the request or appeal; the case tracking 
number; the agency's response letter and any appeal decision letter; 
copies of records responsive to the request; correspondence about the 
request or appeal with the requester and with other involved parties 
and agencies; and any fee-related information. A case file also may 
include identity verification documents and information (such as 
photocopies of the requester's driver's license, passport, alien or 
voter registration card, or union card; identifying particulars about 
the records sought, such as an account number; or a statement 
certifying that the requester is the individual who he or she claims to 
be) if the case file pertains to a first-party request; a consent form 
signed by an individual record subject, authorizing HHS to provide 
records about that individual to a third party; and photocopies of 
documents establishing a parent, guardian, or other legal relationship 
(such as a court order or birth certificate) if the request or appeal 
was made by a legal representative. Any classified records responsive 
to a FOIA request or appeal are considered to be part of the FOIA case 
file, even if maintained in a security office instead of in the FOIA 
case file.
    Note that the scope of this system of records excludes the 
following related records:
     Litigation files maintained in the HHS Office of General 
Counsel related to requests covered in this system of records (see 
instead the SORN for System No. 09-90-0064 ``Litigation Files, 
Administrative Complaints and Adverse Personnel Actions'');
     Records pertaining to Privacy Act violation claims (see 
instead the SORNs for System Nos. 09-90-0062 ``Administrative Claims'' 
and 09-90-0064 ``Litigation Files, Administrative Complaints and 
Adverse Personnel Actions''); and
     Records about agency personnel who process FOIA and 
Privacy Act requests (see instead SORNs covering personnel records; 
e.g., 09-90-0018 ``Personnel Records in Operating Offices,'' 09-40-0001 
``Public Health Service (PHS) Commissioned Corps General Personnel 
Records,'' and OPM/GOVT-2 ``Employee Performance File System 
Records'').

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 552, 552a; 44 U.S.C. 3301.

PURPOSE(S) OF THE SYSTEM:
    FOIA and Privacy Act tracking records and case files are used on a 
need-to-know basis within the agency, primarily by FOIA office 
personnel, FOIA Coordinators and subject matter experts in program 
offices who locate and provide records responsive to requests, 
attorneys in the Office of General Counsel, Privacy Officers, and 
System Managers for Privacy Act systems of records. HHS uses the 
tracking records and case files to:
     Track, process, and respond to the requests and any 
related administrative appeals, litigation, and mediation actions and 
communicate with the requesters and appellants;
     locate records responsive to requests and appeals and 
verify the identity of first-party requesters and appellants;
     identify related requests and records frequently requested 
under FOIA and generate publicly-releasable versions of FOIA request 
logs;
     provide aggregate and statistical data for reports and 
facilitate management and oversight reviews of FOIA and Privacy Act 
operations; and
     share relevant information with other HHS offices that 
manage related matters arising from processing FOIA and Privacy Act 
requests and appeals, such as investigating erroneous release incidents 
and responding to lawsuits alleging Privacy Act violation claims or 
other claims. (Records used for such purposes, if retrieved by personal 
identifier, would be covered under other SORNs.)

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    The Privacy Act allows us to disclose information without an 
individual's consent to parties outside the agency 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 compatible use of data is 
known as a ``routine use.'' The proposed routine uses in this system 
meet the compatibility requirement of the Privacy Act. To the extent 
this system contains Protected Health Information (PHI) as defined by 
HHS regulation ``Standards for Privacy of Individually Identifiable 
Health Information'' (45 CFR parts 160 and 164, 65 FR 82462 (December 
28, 2000), Subparts A and E), disclosures of such PHI that are 
otherwise authorized by these routine uses may only be made if, and as, 
permitted or required by the ``Standards for Privacy of Individually 
Identifiable Health Information.'' This system may make the following 
routine use disclosures:
    1. Records may be disclosed to the Department of Justice (DOJ) for 
the purpose of obtaining DOJ's advice as to whether or not records are 
required to be disclosed under FOIA and/or the Privacy Act in response 
to an access request.
    2. Records may be disclosed to federal agencies and Department 
contractors that have been engaged by HHS to assist in accomplishing an 
HHS function related to the purposes of the system and that need to 
have access to the records in order to assist HHS. Any contractor will 
be required to comply with the requirements of the Privacy Act of 1974 
and appropriately safeguard the records. These safeguards are explained 
in the ``Safeguards'' section.
    3. 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.
    4. Records may be disclosed to a Member of Congress or to a 
congressional staff member in response to a written inquiry of the 
congressional office made at the written request of the constituent 
about whom the record is maintained. The Member of Congress does not 
have any greater authority to obtain records than the individual would 
have if requesting the records directly.
    5. Records may be disclosed to the Department of Justice (DOJ) or 
to a court or other tribunal when:
    a. The agency or any component thereof, or
    b. any employee of the agency in his or her official capacity, or
    c. any employee of the agency in his or her individual capacity 
where DOJ has agreed to represent the employee, or
    d. the United States Government, is a party to litigation or has an 
interest in such litigation and, by careful review, HHS determines that 
the records are both relevant and necessary to the litigation and that, 
therefore, the use of such records by the DOJ, court, or other tribunal 
is deemed by HHS to be compatible with the purpose for which the agency 
collected the records.
    6. Records may be disclosed to another federal, foreign, state, 
local, tribal, or other public agency with an interest in or control 
over information in records responsive to or otherwise related to an 
access or amendment request, for the following purposes:

[[Page 17466]]

    a. Consulting the other agency for its views about providing access 
to the information or assistance in verifying the identity of an 
individual or the accuracy of information sought to be amended or 
corrected;
    b. informing the other agency of HHS' response or intended response 
to the request; or
    c. referring the request to the most appropriate federal agency for 
response.
    7. The identity of the requester or appellant may be disclosed to a 
submitter of business records that are sought by that requester or 
appellant, when obtaining the submitter's views concerning release of 
the submitter's business information under FOIA.
    8. Records may be disclosed to the National Archives and Records 
Administration, Office of Government Information Services (OGIS), to 
the extent necessary to fulfill its responsibilities under 5 U.S.C. 
552(h) to review administrative agency policies, procedures, and 
compliance with FOIA, and to facilitate OGIS' offering of mediation 
services to resolve disputes between persons making FOIA requests and 
administrative agencies.
    9. Records 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, when 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:
    Electronic records are stored in secure electronic tracking and/or 
storage applications, and on compact disks, DVDs, and network drives. 
Hard-copy files are stored at office locations, in file rooms, shelves, 
safes, cabinets, bookcases or desks.

RETRIEVAL:
    Records are retrieved by personal identifier (i.e., requester or 
appellant name).

SAFEGUARDS:
    Safeguards conform to the HHS Information Security and Privacy 
Program, http://www.hhs.gov/ocio/securityprivacy/index.html and HHS 
Office of Security and Strategic Information (OSSI) policies regarding 
classified information, and include the following:
    Administrative Safeguards: Authorized users are limited to HHS 
employees and officials who are responsible for processing FOIA and 
Privacy Act requests and appeals, authorized personnel of any 
contractors or federal agencies assisting HHS with those functions, and 
any other authorized individuals who work for HHS and assist HHS with 
those functions but technically do not have the status of agency 
employees. Only personnel with a ``need to know'' and appropriate 
security clearances issued by OSSI or the Office of Inspector General 
(OIG) regarding OIG personnel are allowed to access classified records. 
Each user's access is limited, based on the user's role, to the records 
that are essential to the user's duties. Security safeguards are 
imposed on contractors through inclusion of Privacy Act-required 
clauses in contracts and through monitoring by contract and project 
officers.
    Technical Safeguards: Access to electronic systems and records is 
controlled and protected by a secure log-in method (using passwords 
that are unique, complex, and frequently changed), time-out features, 
NSA and/or NIST-approved encryption methods, firewalls, intrusion 
detection systems, and cybersecurity monitoring systems.
    Physical Safeguards: Hard-copy records and records displayed on 
computer screens are protected from the view of unauthorized 
individuals while the records are in use by an authorized employee. 
Hard-copy records and electronic storage media are secured during 
nonbusiness hours in locked file cabinets, locked desk drawers, locked 
offices, or locked storage areas. Office buildings are protected by 
cameras and uniformed guards. When records are photocopied, printed, 
scanned, or faxed for authorized purposes, care is taken to ensure that 
no copies are left where they can be read by unauthorized individuals. 
When eligible for destruction, records are securely disposed of using 
destruction methods prescribed by NSA and/or NIST SP 800-88.

RETENTION AND DISPOSAL:
    Records are retained and disposed of in accordance with General 
Records Schedule (GRS) 4.2 ``Information Access and Protection 
Records'' (superseding GRS 14 ``Information Services Records''), which 
prescribes retention periods ranging from approximately two years to 
six years after final agency action or adjudication by a court, date of 
closure, or last entry. For specific periods, see GRS 4.2 Items 020 
access and disclosure request files; 030 general administrative 
(tracking) records; 050 Privacy Act accounting of disclosure files; and 
090 Privacy Act amendment request files.

SYSTEM MANAGER(S) AND ADDRESS(ES):
    HHS Privacy Act Officer, Freedom of Information/Privacy Acts 
Division, OS/ASPA, Hubert H. Humphrey Building--Suite 729H, 200 
Independence Avenue SW., Washington, DC 20201.

NOTIFICATION PROCEDURE:
    An individual who wishes to know if this system contains tracking 
records and case files for FOIA and Privacy Act requests or appeals in 
which he was the requester or appellant must submit a written request 
to the System Manager identified above. The request should include the 
full name of the individual, information to verify the individual's 
identity, and the individual's current address.

RECORD ACCESS PROCEDURE:
    An individual requester or appellant may request access to tracking 
records and case files about his FOIA or Privacy Act request or appeal 
by making a written request to the System Manager identified above, and 
by identifying or describing the records sought, providing information 
to verify his identity, and including his current address.

CONTESTING RECORD PROCEDURES:
    An individual may contest information in tracking records and case 
files about his FOIA or Privacy Act request or appeal by contacting the 
System Manager identified above, and by identifying the information 
contested, the corrective action sought, and the reasons for requesting 
the correction, along with supporting information to show how the 
record is inaccurate, incomplete, untimely, or irrelevant.

RECORD SOURCE CATEGORIES:
    Information is obtained from individual requesters and appellants, 
responsive records, program offices that provide responsive records, 
and personnel at HHS, other agencies, and outside organizations (e.g., 
consultants and business submitters) who provide information relevant 
to processing the requests.

EXEMPTIONS CLAIMED FOR THIS SYSTEM:
    This system of records is not a type of system eligible to 
promulgate exemptions under subsections (j) and (k) of the Privacy Act 
(5 U.S.C. 552a(j), (k)); however, any record in this system that is 
from another Privacy Act system of records that has promulgated 
exemptions will be exempt from access and other requirements of the 
Privacy Act if and to the same extent that the

[[Page 17467]]

record is exempt from such requirements in the source system. Records 
in this system that are from a system described in 5 U.S.C. 552a(j)(2) 
may be exempt from the requirements in these subsections of the Privacy 
Act: (c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)G), (e)(4)(H), 
(e)(4)(I), (e)(5), (e)(8), (e)(12), (f), (g), and (h). Records in this 
system that are from a system described in 5 U.S.C. 552a(k) may be 
exempt from the requirements in these subsections of the Privacy Act: 
(c)(3), (d), (e)(1), (e)(4)G), (e)(4)(H), (e)(4)(I), and (f). Any 
records compiled in reasonable anticipation of a civil action or 
proceeding are excluded from the Privacy Act access requirement in all 
systems of records, as provided in 5 U.S.C. 552a(d)(5).

    Dated: March 9, 2016.
Catherine Teti,
Executive Officer, Deputy Agency Chief FOIA Officer, Assistant 
Secretary for Public Affairs.
[FR Doc. 2016-07060 Filed 3-28-16; 8:45 am]
 BILLING CODE 4150-25-P



                                                                                Federal Register / Vol. 81, No. 60 / Tuesday, March 29, 2016 / Notices                                              17463

                                                    Dated: March 23, 2016.                                uses previously published for the                     that individual requester or appellant.
                                                  Leslie Kux,                                             system will remain in effect.                         The intent is to include in the
                                                  Associate Commissioner for Policy.                      ADDRESSES: You may submit comments                    Categories of Individuals section only
                                                  [FR Doc. 2016–07012 Filed 3–28–16; 8:45 am]             to Beth Kramer, HHS Privacy Act                       individual requesters and appellants
                                                  BILLING CODE 4164–01–P                                  Officer, FOIA/PA Division, by email to:               (not, for example, individual
                                                                                                          HHS.ACFO@hhs.gov.                                     representatives who requested records
                                                                                                          FOR FURTHER INFORMATION CONTACT: Beth                 under FOIA on behalf of an entity).
                                                  DEPARTMENT OF HEALTH AND                                Kramer, HHS Privacy Act Officer, FOIA/                   Æ Note: Privacy Act case files and
                                                  HUMAN SERVICES                                                                                                tracking records are about individual
                                                                                                          PA Division, Hubert H. Humphrey
                                                                                                                                                                requesters and appellants only, because
                                                                                                          Building—Suite 729H, 200
                                                  Office of the Secretary                                 Independence Avenue SW.,
                                                                                                                                                                Privacy Act requests can only be made
                                                                                                                                                                by an individual record subject
                                                  Privacy Act of 1974; System of                          Washington, DC 20201. Ms. Kramer can
                                                                                                                                                                personally, not by a third party or
                                                  Records Notice                                          also be reached by telephone at 202–
                                                                                                                                                                through a representative (unless the
                                                                                                          690–7453.
                                                                                                                                                                representative is the parent of or court-
                                                  AGENCY:  Assistant Secretary for Public                 SUPPLEMENTARY INFORMATION:                            appointed guardian for a minor or
                                                  Affairs (ASPA), Office of the Secretary
                                                                                                          I. Explanation of Revisions to System                 legally-declared incompetent who is the
                                                  (OS), Department of Health and Human
                                                                                                          No. 09–90–0058                                        record subject). The agency’s position is
                                                  Services (HHS).
                                                                                                                                                                that FOIA case files and tracking
                                                  ACTION: Notice of an altered system of                     The revised System of Records Notice               records, likewise, are about requesters
                                                  records.                                                (SORN) published in this Notice for                   and appellants only, not other
                                                                                                          System No. 09–90–0058 includes the                    individuals who may be identified in
                                                  SUMMARY:   In accordance with the                       following significant changes, in
                                                  requirements of the Privacy Act of 1974,                                                                      the agency records sought by FOIA
                                                                                                          addition to minor wording changes                     requesters and appellants. This is
                                                  as amended (5 U.S.C. 552a), HHS is                      throughout:                                           because HHS’ FOIA case files and
                                                  updating a department-wide system of                       • The system name and scope have                   tracking records are not keyed or
                                                  records, System No. 09–90–0058,                         been revised to cover not only tracking
                                                  currently titled ‘‘Freedom of                                                                                 indexed to individuals mentioned in
                                                                                                          records and case files used by HHS                    records requested under FOIA, but are
                                                  Information Case Files and                              Freedom of Information Act (FOIA)
                                                  Correspondence Control Log, HHS/OS/                                                                           keyed to requesters and appellants, and
                                                                                                          offices to process FOIA and Privacy Act               because the purpose for which records
                                                  ASPA/FOIA.’’ This system of records                     requests and appeals (which typically
                                                  was established prior to 1979 (see 44 FR                                                                      are processed under FOIA is to release
                                                                                                          involve only ‘‘access’’ to agency                     information about the agency (not to
                                                  58144) and was previously revised in                    records), but tracking records and case               release information about individuals
                                                  1989 and 1994 (see 54 FR 41684 and 59                   files used by System Managers of                      mentioned in the records to third party
                                                  FR 55845). Due to the length of time                    Privacy Act systems and related privacy               FOIA requesters, except as required to
                                                  since the last revision, the updates                    personnel to process any type of Privacy              shed light on conduct of the agency).
                                                  published in this Notice affect most                    Act request or appeal (e.g., seeking                     • The Categories of Records section
                                                  sections of the System of Records Notice                access, notification, correction and                  has been rewritten, to reflect two
                                                  (SORN). The updates include changing                    amendment, or an accounting of                        distinct categories (tracking records and
                                                  the system name to ‘‘Tracking Records                   disclosures), when those tracking                     case files); to describe the contents in
                                                  and Case Files for FOIA and Privacy Act                 records and case files are retrieved by               more detail; to clarify that any classified
                                                  Requests and Appeals;’’ expanding the                   personal identifier.                                  records responsive to a FOIA request or
                                                  scope of the system to include tracking                    • The Categories of Individuals                    appeal are considered part of the case
                                                  records and case files pertaining to not                section has been revised to omit                      file for that request or appeal, even if the
                                                  only FOIA and Privacy Act requests                      organizations (because the Privacy Act                classified records must be maintained in
                                                  processed in agency FOIA offices, but                   applies only to individuals, not                      a security office instead of in the FOIA
                                                  Privacy Act requests and appeals                        entities), but not to add any additional              office; and to specifically exclude
                                                  handled by System Managers for                          categories of individuals besides                     related categories of records covered by
                                                  Privacy Act systems and related privacy                 individual FOIA and Privacy Act                       other SORNs, to avoid duplicating other
                                                  personnel, when those records are                       requesters and appellants. The result is              systems of records.
                                                  retrieved by personal identifier; adding                that only an individual FOIA or Privacy                  • The Purposes section has been
                                                  several new routine uses; and clarifying                Act requester or appellant may make a                 rewritten to provide a broader
                                                  that some of the records in this system                 Privacy Act request under this SORN for               description of uses and users of the
                                                  of records may be exempt from certain                   access to, correction of, notification as             records within HHS. (The prior
                                                  Privacy Act requirements. The updates                   to, or an accounting of disclosures with              description mentioned only ‘‘FOIA
                                                  are more fully explained in the                         respect to tracking records and/or case               correspondence and processing,’’
                                                  SUPPLEMENTARY INFORMATION section of                    files used by HHS to process a FOIA                   ‘‘Freedom of Information staff,’’ and
                                                  this Notice.                                            and/or Privacy Act request in which                   ‘‘appeals officials and members of the
                                                  DATES: This Notice is effective on                      that individual was the requester or                  Office of General Counsel.’’)
                                                  publication, with the exception of the                  appellant. Further, because agency                       • An existing routine use authorizing
                                                  new and revised routine uses. The new                   records processed in response to a third-             disclosures to contractors (routine use 2)
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                                                  and revised routine uses will be                        party FOIA request are not about the                  has been revised to be more accurate in
                                                  effective 30 days after publication of                  requester or appellant, a provision has               reflecting the broad purposes for which
                                                  this Notice, unless comments are                        been added to make clear that Privacy                 contractors may be engaged to assist
                                                  received that warrant a revision to this                Act rights are afforded to an individual              HHS and require access to records in the
                                                  Notice. Written comments on the                         requester or appellant only to the extent             system. (The former description was
                                                  routine uses should be submitted within                 that the information in the tracking                  limited to ‘‘collating, aggregating,
                                                  30 days. Until the new and revised                      record and case file retrieved by that                analyzing, or otherwise refining records
                                                  routine uses are effective, the routine                 individual’s identifier is, in fact, about            in this system.’’)


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                                                  17464                         Federal Register / Vol. 81, No. 60 / Tuesday, March 29, 2016 / Notices

                                                     • Four new routine uses have been                    SYSTEM NUMBER:                                           • Any individual who the agency
                                                  added (see routine uses 6 through 9).                   09–90–0058                                            treated as the requester or appellant for
                                                     • The System Locations and System                    SYSTEM NAME:                                          an access request or appeal that was
                                                  Manager sections have been updated                        Tracking Records and Case Files for                 received in or referred to a HHS FOIA
                                                  with current information and expanded                   FOIA and Privacy Act Requests and                     office for processing under FOIA (and
                                                  to be consistent with the scope of the                  Appeals.                                              under the Privacy Act, if applicable),
                                                                                                                                                                excluding individual representatives
                                                  system.                                                 SECURITY CLASSIFICATION:                              who requested records under FOIA on
                                                     • The Policies and Practices section                   Classified and Unclassified.                        behalf of an entity; and
                                                  has been revised. Specifically, the                                                                              • Any individual who made any type
                                                  Storage and Safeguards descriptions                     SYSTEM LOCATIONS:
                                                                                                                                                                of Privacy Act request or appeal that
                                                  have been revised to reflect that any of                  Physical locations for the case files               was received by or referred to the
                                                  the records (not just tracking records)                 and tracking records covered by this                  System Manager (or related privacy
                                                  may be maintained electronically, and                   SORN include:                                         personnel) for the relevant HHS Privacy
                                                  to include safeguards applicable to                       • The HHS Freedom of Information/                   Act system of records for handling—but
                                                  classified records. The Retention                       Privacy Acts Division within the Office               only if the System Manager’s (or related
                                                  description has been updated to refer to                of the Assistant Secretary for Public                 privacy personnel’s) Privacy Act
                                                  new General Records Schedule (GRS)                      Affairs (ASPA) in Washington, DC;                     tracking records and case files are
                                                                                                            • HHS FOIA Requester Service                        retrieved by requester or appellant
                                                  4.2, issued August 2015 (superseding
                                                                                                          Centers in Washington, DC; Baltimore,                 identifier.
                                                  GRS 14).
                                                                                                          MD; Bethesda, MD; Research Triangle,                     For a FOIA request or appeal
                                                     • The Exemptions section has been                    NC; Rockville, MD; and Atlanta, GA;                   involving non-Privacy Act records, the
                                                  changed from stating ‘‘none’’ to                          • Any contractor locations that                     individual treated as the requester or
                                                  including an explanation that certain                   support FOIA and/or Privacy Act                       appellant may have made the FOIA
                                                  records in this system may be exempt if                 request processing (for example, the                  request or appeal personally, through a
                                                  they are from other Privacy Act systems                 Centers for Medicare & Medicaid                       representative, or as a representative for
                                                  that have promulgated exemptions.                       Services (CMS) uses contractors located               another individual. For a Privacy Act
                                                     Because the revised SORN includes                    near its Regional Offices in Boston, MA;              request or appeal, the individual
                                                  significant changes, a report on the                    New York, NY; Philadelphia, PA;                       requester or appellant may have made
                                                  altered system has been sent to Congress                Atlanta, GA; Chicago, IL; Dallas, TX;                 the request or appeal personally, or as
                                                  and OMB in accordance with 5 U.S.C.                     Kansas City, MO; Denver, CO; San
                                                                                                                                                                the parent of or court-appointed
                                                  552a(r).                                                Francisco, CA; and Seattle, WA);
                                                                                                                                                                guardian for a minor or legally-declared
                                                                                                            • Server locations for electronic
                                                                                                          systems used by HHS FOIA offices,                     incompetent who is the subject of the
                                                  II. Background on the Privacy Act
                                                                                                          System Managers, and/or related                       records, or with the prior, written
                                                  Requirement To Publish a System of
                                                                                                          privacy personnel (for example, server                consent of the record subject. When any
                                                  Records Notice
                                                                                                          locations for agency-developed FOIA                   of the aforementioned individual
                                                     The Privacy Act governs the means by                 systems include Bethesda, MD for the                  requesters or appellants seeks to
                                                  which the U.S. Government collects,                     system used by National Institutes of                 exercise Privacy Act rights under this
                                                  maintains, and uses information about                   Health; White Oak, MD and Ashburn,                    SORN with respect to the tracking
                                                  individuals in a system of records. A                   VA for the system used by the Food and                record and case file pertaining to his or
                                                  ‘‘system of records’’ is a group of any                 Drug Administration; and Baltimore,                   her FOIA or Privacy Act request or
                                                  records under the control of a federal                  MD for the system used by CMS and                     appeal, the information in the tracking
                                                  agency from which records about                         PSC; locations for commercial off-the-                record and case file must be about him,
                                                  individuals are retrieved by the                        shelf FOIA systems include                            as required by 5 U.S.C. 552a(a)(4) (i.e.,
                                                  individuals’ names or other personal                    Gaithersburg, MD for FOIAXpress and                   not merely be retrieved by his
                                                  identifiers. While FOIA entitles any                    Washington, DC for the Request                        identifier), for the individual to be
                                                  person to seek access to agency records,                Management System);                                   afforded Privacy Act rights with respect
                                                  an individual has a right of access under                 • Security office locations where                   to those records.
                                                  the Privacy Act, in addition to FOIA,                   classified records responsive to FOIA                 CATEGORIES OF RECORDS IN THE SYSTEM:
                                                  with respect to agency records about                    and Privacy Act requests may be stored,                 Records consist of tracking records
                                                  him that are maintained in a Privacy Act                including the Office of Security and
                                                                                                                                                                and case files for FOIA and Privacy Act
                                                  system of records. The Privacy Act                      Strategic Information (OSSI) in
                                                                                                                                                                requests and appeals made by
                                                  requires each agency to publish in the                  Washington, DC; and
                                                                                                            • System Manager locations                          individuals. This system of records
                                                  Federal Register a system of records                                                                          excludes tracking records and case files
                                                  notice (SORN) identifying and                           identified in each SORN posted at
                                                                                                          http://www.hhs.gov/foia/privacy/                      for FOIA requests and appeals made by
                                                  describing each system of records the                                                                         or on behalf of entities.
                                                  agency maintains, including the                         sorns.html, where any tracking records
                                                                                                                                                                  Tracking records typically include the
                                                  purposes for which the agency uses                      and case files used by System Managers
                                                                                                                                                                requester/appellant’s name and contact
                                                  information about individuals in the                    and related privacy personnel to process
                                                                                                                                                                information, case tracking number, date
                                                  system, the routine uses for which the                  Privacy Act requests and appeals would
                                                                                                                                                                of request or appeal, a brief description
                                                  agency discloses such information to                    be maintained.
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                                                                                                                                                                of the request or appeal, processing
                                                  parties outside the agency, and how an                  CATEGORIES OF INDIVIDUALS COVERED BY THE              status, and response date or appeal
                                                  individual record subject can exercise                  SYSTEM:                                               decision date. A tracking record for a
                                                  his rights under the Privacy Act (e.g., to                The records in this system of records               FOIA request may include additional
                                                  request notification of whether the                     pertain to individual FOIA and Privacy                information, such as the requester’s fee
                                                  system contains records about him, or to                Act requesters and appellants only.                   category and whether expedited
                                                  request access to or correction or                      Individual FOIA and Privacy Act                       processing or a fee waiver or reduction
                                                  amendment of his records).                              requesters and appellants include:                    was sought and was granted or denied.


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                                                                                Federal Register / Vol. 81, No. 60 / Tuesday, March 29, 2016 / Notices                                            17465

                                                     A case file typically includes a copy                AUTHORITY FOR MAINTENANCE OF THE SYSTEM:              ‘‘Standards for Privacy of Individually
                                                  of the request and any appeal, which                      5 U.S.C. 552, 552a; 44 U.S.C. 3301.                 Identifiable Health Information.’’ This
                                                  would include the requester/appellant’s                                                                       system may make the following routine
                                                                                                          PURPOSE(S) OF THE SYSTEM:
                                                  name; contact information; a description                                                                      use disclosures:
                                                  of the records that were the subject of                    FOIA and Privacy Act tracking                         1. Records may be disclosed to the
                                                  the access, correction, or other request;               records and case files are used on a                  Department of Justice (DOJ) for the
                                                  issues raised on appeal; copies of any                  need-to-know basis within the agency,                 purpose of obtaining DOJ’s advice as to
                                                  documents included with the request or                  primarily by FOIA office personnel,                   whether or not records are required to
                                                  appeal; the case tracking number; the                   FOIA Coordinators and subject matter                  be disclosed under FOIA and/or the
                                                  agency’s response letter and any appeal                 experts in program offices who locate                 Privacy Act in response to an access
                                                  decision letter; copies of records                      and provide records responsive to                     request.
                                                  responsive to the request;                              requests, attorneys in the Office of                     2. Records may be disclosed to federal
                                                  correspondence about the request or                     General Counsel, Privacy Officers, and                agencies and Department contractors
                                                  appeal with the requester and with                      System Managers for Privacy Act                       that have been engaged by HHS to assist
                                                  other involved parties and agencies; and                systems of records. HHS uses the                      in accomplishing an HHS function
                                                  any fee-related information. A case file                tracking records and case files to:                   related to the purposes of the system
                                                  also may include identity verification                     • Track, process, and respond to the               and that need to have access to the
                                                  documents and information (such as                      requests and any related administrative               records in order to assist HHS. Any
                                                  photocopies of the requester’s driver’s                 appeals, litigation, and mediation                    contractor will be required to comply
                                                  license, passport, alien or voter                       actions and communicate with the                      with the requirements of the Privacy Act
                                                  registration card, or union card;                       requesters and appellants;                            of 1974 and appropriately safeguard the
                                                  identifying particulars about the records                  • locate records responsive to                     records. These safeguards are explained
                                                  sought, such as an account number; or                   requests and appeals and verify the                   in the ‘‘Safeguards’’ section.
                                                  a statement certifying that the requester               identity of first-party requesters and                   3. Records may be disclosed to
                                                  is the individual who he or she claims                  appellants;                                           student volunteers and other
                                                  to be) if the case file pertains to a first-               • identify related requests and                    individuals performing functions for the
                                                  party request; a consent form signed by                 records frequently requested under                    Department but technically not having
                                                  an individual record subject,                           FOIA and generate publicly-releasable                 the status of agency employees, if they
                                                  authorizing HHS to provide records                      versions of FOIA request logs;                        need access to the records in order to
                                                  about that individual to a third party;                    • provide aggregate and statistical                perform their assigned agency functions.
                                                  and photocopies of documents                            data for reports and facilitate                          4. Records may be disclosed to a
                                                  establishing a parent, guardian, or other               management and oversight reviews of                   Member of Congress or to a
                                                  legal relationship (such as a court order               FOIA and Privacy Act operations; and                  congressional staff member in response
                                                  or birth certificate) if the request or                    • share relevant information with                  to a written inquiry of the congressional
                                                  appeal was made by a legal                              other HHS offices that manage related                 office made at the written request of the
                                                  representative. Any classified records                  matters arising from processing FOIA                  constituent about whom the record is
                                                  responsive to a FOIA request or appeal                  and Privacy Act requests and appeals,                 maintained. The Member of Congress
                                                  are considered to be part of the FOIA                   such as investigating erroneous release               does not have any greater authority to
                                                  case file, even if maintained in a                      incidents and responding to lawsuits                  obtain records than the individual
                                                  security office instead of in the FOIA                  alleging Privacy Act violation claims or              would have if requesting the records
                                                  case file.                                              other claims. (Records used for such                  directly.
                                                     Note that the scope of this system of                purposes, if retrieved by personal                       5. Records may be disclosed to the
                                                  records excludes the following related                  identifier, would be covered under other              Department of Justice (DOJ) or to a court
                                                  records:                                                SORNs.)                                               or other tribunal when:
                                                     • Litigation files maintained in the                 ROUTINE USES OF RECORDS MAINTAINED IN THE                a. The agency or any component
                                                  HHS Office of General Counsel related                   SYSTEM, INCLUDING CATEGORIES OF USERS AND             thereof, or
                                                  to requests covered in this system of                   THE PURPOSES OF SUCH USES:                               b. any employee of the agency in his
                                                  records (see instead the SORN for                         The Privacy Act allows us to disclose               or her official capacity, or
                                                  System No. 09–90–0064 ‘‘Litigation                      information without an individual’s                      c. any employee of the agency in his
                                                  Files, Administrative Complaints and                    consent to parties outside the agency if              or her individual capacity where DOJ
                                                  Adverse Personnel Actions’’);                           the information is to be used for a                   has agreed to represent the employee, or
                                                     • Records pertaining to Privacy Act                  purpose that is compatible with the                      d. the United States Government, is a
                                                  violation claims (see instead the SORNs                 purpose(s) for which the information                  party to litigation or has an interest in
                                                  for System Nos. 09–90–0062                              was collected. Any such compatible use                such litigation and, by careful review,
                                                  ‘‘Administrative Claims’’ and 09–90–                    of data is known as a ‘‘routine use.’’ The            HHS determines that the records are
                                                  0064 ‘‘Litigation Files, Administrative                 proposed routine uses in this system                  both relevant and necessary to the
                                                  Complaints and Adverse Personnel                        meet the compatibility requirement of                 litigation and that, therefore, the use of
                                                  Actions’’); and                                         the Privacy Act. To the extent this                   such records by the DOJ, court, or other
                                                     • Records about agency personnel                     system contains Protected Health                      tribunal is deemed by HHS to be
                                                  who process FOIA and Privacy Act                        Information (PHI) as defined by HHS                   compatible with the purpose for which
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                                                  requests (see instead SORNs covering                    regulation ‘‘Standards for Privacy of                 the agency collected the records.
                                                  personnel records; e.g., 09–90–0018                     Individually Identifiable Health                         6. Records may be disclosed to
                                                  ‘‘Personnel Records in Operating                        Information’’ (45 CFR parts 160 and 164,              another federal, foreign, state, local,
                                                  Offices,’’ 09–40–0001 ‘‘Public Health                   65 FR 82462 (December 28, 2000),                      tribal, or other public agency with an
                                                  Service (PHS) Commissioned Corps                        Subparts A and E), disclosures of such                interest in or control over information in
                                                  General Personnel Records,’’ and OPM/                   PHI that are otherwise authorized by                  records responsive to or otherwise
                                                  GOVT–2 ‘‘Employee Performance File                      these routine uses may only be made if,               related to an access or amendment
                                                  System Records’’).                                      and as, permitted or required by the                  request, for the following purposes:


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                                                  17466                         Federal Register / Vol. 81, No. 60 / Tuesday, March 29, 2016 / Notices

                                                    a. Consulting the other agency for its                employees and officials who are                       files; and 090 Privacy Act amendment
                                                  views about providing access to the                     responsible for processing FOIA and                   request files.
                                                  information or assistance in verifying                  Privacy Act requests and appeals,
                                                                                                                                                                SYSTEM MANAGER(S) AND ADDRESS(ES):
                                                  the identity of an individual or the                    authorized personnel of any contractors
                                                  accuracy of information sought to be                    or federal agencies assisting HHS with                  HHS Privacy Act Officer, Freedom of
                                                  amended or corrected;                                   those functions, and any other                        Information/Privacy Acts Division, OS/
                                                    b. informing the other agency of HHS’                 authorized individuals who work for                   ASPA, Hubert H. Humphrey Building—
                                                  response or intended response to the                    HHS and assist HHS with those                         Suite 729H, 200 Independence Avenue
                                                  request; or                                             functions but technically do not have                 SW., Washington, DC 20201.
                                                    c. referring the request to the most                  the status of agency employees. Only                  NOTIFICATION PROCEDURE:
                                                  appropriate federal agency for response.                personnel with a ‘‘need to know’’ and
                                                    7. The identity of the requester or                                                                           An individual who wishes to know if
                                                                                                          appropriate security clearances issued
                                                  appellant may be disclosed to a                                                                               this system contains tracking records
                                                                                                          by OSSI or the Office of Inspector
                                                  submitter of business records that are                                                                        and case files for FOIA and Privacy Act
                                                                                                          General (OIG) regarding OIG personnel
                                                  sought by that requester or appellant,                                                                        requests or appeals in which he was the
                                                                                                          are allowed to access classified records.
                                                  when obtaining the submitter’s views                    Each user’s access is limited, based on               requester or appellant must submit a
                                                  concerning release of the submitter’s                   the user’s role, to the records that are              written request to the System Manager
                                                  business information under FOIA.                        essential to the user’s duties. Security              identified above. The request should
                                                    8. Records may be disclosed to the                    safeguards are imposed on contractors                 include the full name of the individual,
                                                  National Archives and Records                           through inclusion of Privacy Act-                     information to verify the individual’s
                                                  Administration, Office of Government                    required clauses in contracts and                     identity, and the individual’s current
                                                  Information Services (OGIS), to the                     through monitoring by contract and                    address.
                                                  extent necessary to fulfill its                         project officers.                                     RECORD ACCESS PROCEDURE:
                                                  responsibilities under 5 U.S.C. 552(h) to                  Technical Safeguards: Access to
                                                  review administrative agency policies,                                                                          An individual requester or appellant
                                                                                                          electronic systems and records is                     may request access to tracking records
                                                  procedures, and compliance with FOIA,                   controlled and protected by a secure
                                                  and to facilitate OGIS’ offering of                                                                           and case files about his FOIA or Privacy
                                                                                                          log-in method (using passwords that are               Act request or appeal by making a
                                                  mediation services to resolve disputes                  unique, complex, and frequently
                                                  between persons making FOIA requests                                                                          written request to the System Manager
                                                                                                          changed), time-out features, NSA and/or
                                                  and administrative agencies.                                                                                  identified above, and by identifying or
                                                                                                          NIST-approved encryption methods,
                                                    9. Records may be disclosed to                                                                              describing the records sought, providing
                                                                                                          firewalls, intrusion detection systems,
                                                  appropriate federal agencies and                                                                              information to verify his identity, and
                                                                                                          and cybersecurity monitoring systems.
                                                  Department contractors that have a need                                                                       including his current address.
                                                                                                             Physical Safeguards: Hard-copy
                                                  to know the information for the purpose                 records and records displayed on                      CONTESTING RECORD PROCEDURES:
                                                  of assisting the Department’s efforts to                computer screens are protected from the                  An individual may contest
                                                  respond to a suspected or confirmed                     view of unauthorized individuals while                information in tracking records and case
                                                  breach of the security or confidentiality               the records are in use by an authorized               files about his FOIA or Privacy Act
                                                  of information maintained in this                       employee. Hard-copy records and                       request or appeal by contacting the
                                                  system of records, when the information                 electronic storage media are secured                  System Manager identified above, and
                                                  disclosed is relevant and necessary for                 during nonbusiness hours in locked file               by identifying the information
                                                  that assistance.                                        cabinets, locked desk drawers, locked                 contested, the corrective action sought,
                                                  POLICIES AND PRACTICES FOR STORING,                     offices, or locked storage areas. Office              and the reasons for requesting the
                                                  RETRIEVING, ACCESSING, RETAINING, AND                   buildings are protected by cameras and                correction, along with supporting
                                                  DISPOSING OF RECORDS IN THE SYSTEM—                     uniformed guards. When records are                    information to show how the record is
                                                  STORAGE:                                                photocopied, printed, scanned, or faxed               inaccurate, incomplete, untimely, or
                                                     Electronic records are stored in secure              for authorized purposes, care is taken to             irrelevant.
                                                  electronic tracking and/or storage                      ensure that no copies are left where they
                                                                                                          can be read by unauthorized                           RECORD SOURCE CATEGORIES:
                                                  applications, and on compact disks,
                                                                                                          individuals. When eligible for                          Information is obtained from
                                                  DVDs, and network drives. Hard-copy
                                                                                                          destruction, records are securely                     individual requesters and appellants,
                                                  files are stored at office locations, in file
                                                                                                          disposed of using destruction methods                 responsive records, program offices that
                                                  rooms, shelves, safes, cabinets,
                                                                                                          prescribed by NSA and/or NIST SP 800–                 provide responsive records, and
                                                  bookcases or desks.
                                                                                                          88.                                                   personnel at HHS, other agencies, and
                                                  RETRIEVAL:                                                                                                    outside organizations (e.g., consultants
                                                                                                          RETENTION AND DISPOSAL:
                                                    Records are retrieved by personal                                                                           and business submitters) who provide
                                                  identifier (i.e., requester or appellant                  Records are retained and disposed of                information relevant to processing the
                                                  name).                                                  in accordance with General Records                    requests.
                                                                                                          Schedule (GRS) 4.2 ‘‘Information Access
                                                  SAFEGUARDS:                                             and Protection Records’’ (superseding                 EXEMPTIONS CLAIMED FOR THIS SYSTEM:
                                                    Safeguards conform to the HHS                         GRS 14 ‘‘Information Services                            This system of records is not a type
                                                  Information Security and Privacy                        Records’’), which prescribes retention                of system eligible to promulgate
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                                                  Program, http://www.hhs.gov/ocio/                       periods ranging from approximately two                exemptions under subsections (j) and (k)
                                                  securityprivacy/index.html and HHS                      years to six years after final agency                 of the Privacy Act (5 U.S.C. 552a(j), (k));
                                                  Office of Security and Strategic                        action or adjudication by a court, date               however, any record in this system that
                                                  Information (OSSI) policies regarding                   of closure, or last entry. For specific               is from another Privacy Act system of
                                                  classified information, and include the                 periods, see GRS 4.2 Items 020 access                 records that has promulgated
                                                  following:                                              and disclosure request files; 030 general             exemptions will be exempt from access
                                                    Administrative Safeguards:                            administrative (tracking) records; 050                and other requirements of the Privacy
                                                  Authorized users are limited to HHS                     Privacy Act accounting of disclosure                  Act if and to the same extent that the


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                                                                                Federal Register / Vol. 81, No. 60 / Tuesday, March 29, 2016 / Notices                                                  17467

                                                  record is exempt from such                              Boulevard, Bethesda, MD 20892–5452, (301)               Contact Person: William J Johnson, Ph.D.,
                                                  requirements in the source system.                      594–7791, goterrobinsonc@                             Scientific Review Officer, Office of Scientific
                                                  Records in this system that are from a                  extra.niddk.nih.gov.                                  Review/DERA National Heart, Lung, and
                                                                                                            Name of Committee: National Institute of            Blood Institute, 6701 Rockledge Drive, Room
                                                  system described in 5 U.S.C. 552a(j)(2)                                                                       7178, Bethesda, MD 20892, 301–435–0725,
                                                  may be exempt from the requirements in                  Diabetes and Digestive and Kidney Diseases
                                                                                                          Special Emphasis Panel; NIDDK Central                 johnsonwj@nhlbi.nih.gov.
                                                  these subsections of the Privacy Act:                   Repositories Sample Access (X01)-Diabetes,            (Catalogue of Federal Domestic Assistance
                                                  (c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3),            obesity and Kidney Diseases-PAR14–301.                Program Nos. 93.233, National Center for
                                                  (e)(4)G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8),           Date: May 26, 2016.                                 Sleep Disorders Research; 93.837, Heart and
                                                  (e)(12), (f), (g), and (h). Records in this               Time: 11:00 a.m. to 1:30 p.m.                       Vascular Diseases Research; 93.838, Lung
                                                  system that are from a system described                   Agenda: To review and evaluate grant                Diseases Research; 93.839, Blood Diseases
                                                  in 5 U.S.C. 552a(k) may be exempt from                  applications.                                         and Resources Research, National Institutes
                                                  the requirements in these subsections of                  Place: National Institutes of Health, Two           of Health, HHS)
                                                  the Privacy Act: (c)(3), (d), (e)(1),                   Democracy Plaza, 6707 Democracy                         Dated: March 23, 2016.
                                                                                                          Boulevard, Bethesda, MD 20892 (Telephone
                                                  (e)(4)G), (e)(4)(H), (e)(4)(I), and (f). Any            Conference Call).                                     Anna Snouffer,
                                                  records compiled in reasonable                            Contact Person: Najma Begum, Ph.D.,                 Deputy Director, Office of Federal Advisory
                                                  anticipation of a civil action or                       Scientific Review Officer, Review Branch,             Committee Policy.
                                                  proceeding are excluded from the                        DEA, NIDDK, National Institutes of Health,            [FR Doc. 2016–06981 Filed 3–28–16; 8:45 am]
                                                  Privacy Act access requirement in all                   Room 7349, 6707 Democracy Boulevard,                  BILLING CODE 4140–01–P
                                                  systems of records, as provided in 5                    Bethesda, MD 20892–5452, (301) 594–8894,
                                                  U.S.C. 552a(d)(5).                                      begumn@niddk.nih.gov.
                                                    Dated: March 9, 2016.                                 (Catalogue of Federal Domestic Assistance             DEPARTMENT OF HEALTH AND
                                                  Catherine Teti,
                                                                                                          Program Nos. 93.847, Diabetes,                        HUMAN SERVICES
                                                                                                          Endocrinology and Metabolic Research;
                                                  Executive Officer, Deputy Agency Chief FOIA             93.848, Digestive Diseases and Nutrition              National Institutes of Health
                                                  Officer, Assistant Secretary for Public Affairs.        Research; 93.849, Kidney Diseases, Urology
                                                  [FR Doc. 2016–07060 Filed 3–28–16; 8:45 am]             and Hematology Research, National Institutes          National Institute of Biomedical
                                                  BILLING CODE 4150–25–P                                  of Health, HHS)                                       Imaging and Bioengineering; Notice of
                                                                                                            Dated: March 23, 2016.                              Meeting
                                                                                                          David Clary,
                                                  DEPARTMENT OF HEALTH AND                                Program Analyst, Office of Federal Advisory
                                                                                                                                                                   Pursuant to section 10(d) of the
                                                  HUMAN SERVICES                                          Committee Policy.
                                                                                                                                                                Federal Advisory Committee Act, as
                                                                                                                                                                amended (5 U.S.C. App.), notice is
                                                  National Institutes of Health                           [FR Doc. 2016–06983 Filed 3–28–16; 8:45 am]           hereby given of a meeting of the
                                                                                                          BILLING CODE 4140–01–P                                National Advisory Council for
                                                  National Institute of Diabetes and                                                                            Biomedical Imaging and Bioengineering.
                                                  Digestive and Kidney Diseases; Notice                                                                            The meeting will be open to the
                                                  of Closed Meetings                                      DEPARTMENT OF HEALTH AND                              public as indicated below, with
                                                                                                          HUMAN SERVICES                                        attendance limited to space available.
                                                    Pursuant to section 10(d) of the
                                                                                                                                                                Individuals who plan to attend and
                                                  Federal Advisory Committee Act, as                      National Institutes of Health
                                                  amended (5 U.S.C. App.), notice is                                                                            need special assistance, such as sign
                                                  hereby given of the following meetings.                 National Heart, Lung, and Blood                       language interpretation or other
                                                    The meetings will be closed to the                    Institute; Notice of Closed Meeting                   reasonable accommodations, should
                                                  public in accordance with the                                                                                 notify the Contact Person listed below
                                                                                                            Pursuant to section 10(d) of the                    in advance of the meeting.
                                                  provisions set forth in sections
                                                                                                          Federal Advisory Committee Act, as                       The meeting will be closed to the
                                                  552b(c)(4) and 552b(c)(6), title 5 U.S.C.,
                                                                                                          amended (5 U.S.C. App.), notice is                    public in accordance with the
                                                  as amended. The grant applications and
                                                                                                          hereby given of the following meeting.                provisions set forth in sections
                                                  the discussions could disclose                            The meeting will be closed to the
                                                  confidential trade secrets or commercial                                                                      552b(c)(4) and 552b(c)(6), Title 5 U.S.C.,
                                                                                                          public in accordance with the                         as amended. The grant applications
                                                  property such as patentable material,                   provisions set forth in sections
                                                  and personal information concerning                                                                           and/or contract proposals and the
                                                                                                          552b(c)(4) and 552b(c)(6), title 5 U.S.C.,            discussions could disclose confidential
                                                  individuals associated with the grant                   as amended. The grant applications and
                                                  applications, the disclosure of which                                                                         trade secrets or commercial property
                                                                                                          the discussions could disclose                        such as patentable material, and
                                                  would constitute a clearly unwarranted                  confidential trade secrets or commercial
                                                  invasion of personal privacy.                                                                                 personal information concerning
                                                                                                          property such as patentable material,                 individuals associated with the grant
                                                    Name of Committee: National Institute of              and personal information concerning                   applications and/or contract proposals,
                                                  Diabetes and Digestive and Kidney Diseases              individuals associated with the grant                 the disclosure of which would
                                                  Special Emphasis Panel; Fellowship and                  applications, the disclosure of which
                                                  Career Award Grants.                                                                                          constitute a clearly unwarranted
                                                                                                          would constitute a clearly unwarranted                invasion of personal privacy.
                                                    Date: April 13, 2016.
                                                    Time: 4:00 p.m. to 5:00 p.m.
                                                                                                          invasion of personal privacy.
                                                                                                                                                                  Name of Committee: National Advisory
                                                    Agenda: To review and evaluate grant                    Name of Committee: National Heart, Lung,            Council for Biomedical Imaging and
                                                  applications.                                           and Blood Institute Special Emphasis Panel,
mstockstill on DSK4VPTVN1PROD with NOTICES




                                                                                                                                                                Bioengineering.
                                                    Place: National Institutes of Health, Two             Translational Programs in Lung Diseases.                Date: May 19, 2016.
                                                  Democracy Plaza, 6707 Democracy                           Date: April 20–21, 2016.                              Open: 9:00 a.m. to 12:30 p.m.
                                                  Boulevard, Bethesda, MD 20892 (Telephone                  Time: 1:00 p.m. to 3:00 p.m.                          Agenda: Report from the Institute Director,
                                                  Conference Call).                                         Agenda: To review and evaluate grant                other Institute Staff, presentation of Task
                                                    Contact Person: Carol J. Goter-Robinson,              applications.                                         Force reports, and Scientific Presentation.
                                                  Ph.D., Scientific Review Officer, Review                  Place: Crystal Gateway Marriott, 1700                 Place: The William F. Bolger Center,
                                                  Branch, DEA, NIDDK, National Institutes of              Jefferson Davis Highway Arlington, VA                 Franklin Building, Classroom 15/16, 9600
                                                  Health, Room 7347, 6707 Democracy                       22202.                                                Newbridge Drive, Potomac, MD 20854.



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Document Created: 2016-03-30 08:29:02
Document Modified: 2016-03-30 08:29:02
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
ActionNotice of an altered system of records.
DatesThis Notice is effective on publication, with the exception of the new and revised routine uses. The new and revised routine uses will be effective 30 days after publication of this Notice, unless comments are received that warrant a revision to this Notice. Written comments on the routine uses should be submitted within 30 days. Until the new and revised routine uses are effective, the routine uses previously published for the system will remain in effect.
ContactBeth Kramer, HHS Privacy Act Officer, FOIA/PA Division, Hubert H. Humphrey Building--Suite 729H, 200 Independence Avenue SW., Washington, DC 20201. Ms. Kramer can also be reached by telephone at 202-690-7453.
FR Citation81 FR 17463 

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