System Notice 09-30-0027 1

SYSTEM NAME:

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

SECURITY CLASSIFICATION:

None.

SYSTEM LOCATION:

Director
Center for Substance Abuse Prevention
Substance Abuse and Mental Health Services Administration
5600 Fishers Lane
Rockville, Maryland 20857

Director
Center for Substance Abuse Treatment
Substance Abuse and Mental Health Services Administration
5600 Fishers Lane
Rockville, Maryland 20857

Director
Center for Mental Health Services
Substance Abuse and Mental Health Services Administration
5600 Fishers Lane
Rockville, Maryland 20857

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Principal investigators, program directors, trainees, fellows, and other employees of applicant or grantee institutions.

CATEGORIES OF RECORDS IN THE SYSTEM:

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

PURPOSE(S) OF THE SYSTEM:

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

  1. Disclosure may be made to qualified experts not within the definition of Department employees for opinion during the application review process.
  2. Disclosure may be made to SAMHSA contractors for the purpose of providing services related to the grant review or for carrying out quality assessment, program evaluation, and management reviews. Contractors are required to maintain Privacy Act safeguards with respect to the records.
  3. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal (e.g., the Department of Justice) or State (e.g., the State's Attorney's Office), charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto for litigation.
  4. Disclosure may be made to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the record is relevant and necessary to the requesting agency's decision on the matter.
  5. Where Federal agencies having the power to subpoena other Federal agencies' records, such as the Internal Revenue Service or the Civil Rights Commission, issue a subpoena to the Department for records in this system of records, the Department will make such records available.
  6. Disclosure may be made to a congressional office from the record of an individual in response to a verified inquiry from the congressional office made at the written request of that individual.
  7. The Department of Health and Human Services (HHS) may disclose information from this system of records to the Department of Justice, or to a court or other tribunal, when (a) HHS, or any component thereof; or (b) any HHS employee in his or her official capacity; or (c) any HHS employee in his or her individual capacity where the Department of Justice (or HHS, where it is authorized to do so) has agreed to represent the employee; or (d) the United States or any agency thereof where HHS determines that the litigation is likely to affect HHS or any of its components, is a party to litigation or has an interest in such litigation, and HHS determines that the use of such records by the Department of Justice, the court or other tribunal is relevant and necessary to the litigation and would help in the effective representation of the governmental party, provided that in each case, HHS determines that such disclosure is compatible with the purpose for which the records were collected.
  8. A record from this system may be disclosed to the following entities in order to help collect a debt owed the United States:
    1. to another Federal agency so that agency can effect a salary offset;
    2. to another Federal agency so that agency can effect an administrative offset under common law or under 31 U.S.C. 3716 (withholding from money payable to, or held on behalf of, the individual);
    3. to the Treasury Department, Internal Revenue Service (IRS), to request his/her mailing address to locate him/her or in order to have a credit report prepared;
    4. to agents of the Department and to other third parties to help locate him/her in order to help collect or compromise a debt;
    5. to debt collection agents under 31 U.S.C. 3718 or under common law to help collect a debt; and
    6. to the Justice Department for litigation or further administrative action.
      • Disclosure under part (d) of this routine use is limited to the individual's name, address, social security number and other information necessary to identify him/her. Disclosure under parts (a)-(c) and (e) is limited to those items; the amount, status, and history of the claim; and the agency or program under which the claim arose. An address obtained from IRS may be disclosed to a credit reporting agency under part (d) only for the purpose of preparing a commercial credit report on the individual. Part (a) applies to any claims or debts arising or payable under the Social Security Act if and only if the employee consents in writing to the offset.
  9. SAMHSA may disclose information from its records in this system to consumer reporting agencies in order to obtain credit reports to verify credit worthiness of grant/cooperative agreement applicants. Permissible disclosures include name, address, Social Security number or other information necessary to identify the individual; the funding being sought; and the program for which the information is being obtained.
  10. When a debt becomes partly or wholly uncollectible, either because the time period for collection under the statute of limitations has expired or because the Government agrees with the individual to forgive or compromise the debt, a record from this system of records may be disclosed to the Internal Revenue Service to report the written-off amount as taxable income to the individual.
  11. A record from this system may be disclosed to another Federal agency that has asked the Department to effect an administrative offset under common law or under 31 U.S.C. 3716 to help collect a debt owed the United States.
    • Disclosure under this routine use is limited to: name, address, Social Security number, and other information necessary to identify the individual, information about the money payable to or held for the individual, and other information concerning the administrative offset.
  12. SAMHSA may disclose from this system of records to the Department of Treasury, Internal Revenue Service (IRS): (1) A delinquent debtor's name, address, Social Security number, and other information necessary to identify the debtor; (2) the amount of the debt; and (3) the program under which the debt arose, so that IRS can offset against the debt any income tax refunds which may be due to the debtor.
  13. To appropriate federal agencies and Department contractors that have a need to know the information for the purpose of assisting the Department’s efforts to respond to a suspected or confirmed breach of the security or confidentiality of information maintained in this system of records, and the information disclosed is relevant and necessary for that assistance.

DISCLOSURES TO CONSUMER REPORTING AGENCIES:

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

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

STORAGE:

Noncomputerized documents are filed in folders in enclosed file cabinets and open shelves. Computerized records exist in tape and disk form.

RETRIEVABILITY:

By grant numbers and cross-indexed by name.

SAFEGUARDS:

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

RETENTION AND DISPOSAL:

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

SYSTEM MANAGER(S) AND ADDRESS:

Same as System Location

NOTIFICATION PROCEDURE:

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

RECORD ACCESS PROCEDURES:

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

CONTESTING RECORD PROCEDURES:

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

RECORD SOURCE CATEGORIES:

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

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

  1. Published in the Federal Register, Vol. 75, No. 97, Thursday, May 20, 2010 (pages 28264-28275)

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