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SORN 09-90-0002

System name: Investigatory Material Compiled for Security and Suitability Purposes, HHS/OS.

Security classification:  None for the system; however, a portion of the records within the system are classified at the level of Confidential and Secret.

System location:  Security and Protection Division, Room 523B, Humphrey Building, U.S. Department of Health and Human Services, 200 Independence Avenue, SW, Washington, DC 20201.

Categories of individuals covered by the system: Prospective, current, and, former employees and others doing business with the Department.

Categories of records in the system: Personnel security and suitability investigations.

Authority for maintenance of the system: Executive Orders 10450 and 12356.

Purpose(s):

Records in this system are maintained to assist the Secretary and other responsible officials in determining whether the appointment and retention of HHS employees is clearly consistent with the national security and whether they are otherwise suitable for employment. This system contains records of certain applicants to and employees of each Department component. See also ``Retrievability'' below.  Routine uses of records maintained in the system, including categories of users and the purposes of such uses:

These records may be used as follows:

(1) In the event that this system of records indicates a violation or potential violation of law, whether civil, criminal or    regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether federal, or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.

(2) A record from this system of records may be disclosed as a "routine use" to a federal, state or local agency maintaining    civil, criminal or other relevant enforcement records or other pertinent records, such as current licenses, if necessary to obtain a record relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.

A record from this system of records may be disclosed to a federal agency, in response to its request, in connection with the   hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the   letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the record is relevant and necessary to the requesting agency's decision on the matter.

(3) In the event that this system of records indicates a violation or potential violation of law, whether civil, criminal or   regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use to the appropriate agency, whether  state or local charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.

(4) Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the    congressional office made at the request of that individual.

(5) In the event of litigation where the defendant is (a) the Department, any component of the Department, or any employee of the Department in his or her official capacity; (b) the United States where the Department determines that the claim, if successful, is likely to directly affect the operations of the Department or any of  its components; or (c) any Department employee in his or her individual capacity where the Justice Department has agreed to represent such employee, the Department may disclose such records as it deems desirable or necessary to the Department of Justice to enable that Department to present an effective defense provided such disclosure is compatible with the purpose for which the records were collected.

(6) Records may be disclosed to student volunteers, individuals working under a personal services contract, 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.

Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:

Storage: The records are maintained in security type vaults or safes or lock bar file cabinets with manipulation proof combination locks.

Retrievability: The records are alphabetically indexed by name and date of birth of the individual subject of the file or by cross reference to another file. Access within HHS is limited to the Secretary, and on a need-to-know basis to other Department officials having program management responsibility.

Safeguards:  Direct access is restricted to authorized OIG staff; access within HHS is limited to the Secretary, Under Secretary and other officials and employees on a need-to-know basis. Access to the safes in which the records are stored is limited to those OIG employees with appropriate security clearances and the lock combination.

Retention and disposal: Security investigative records on individuals who occupy sensitive positions are maintained during the term of their employment. Other security and suitability investigative records are maintained for ten years if subject to EO 10450. Other files may be destroyed after three years.

System manager(s) and address: Director, Security and Protection Division, Office of Investigations, OIG, Room 523B, Humphrey Bldg., U.S. Department of Health and Human Services, 200 Independence Avenue, SW, Washington, DC 20201.

Notification procedure: Exempt. However, consideration will be given requests addressed to the system manager. For general inquiries, include the name and date of birth, and employment or other affiliation with the Department.

Record access procedures: Same as notification procedures. Requestors should also reasonably specify the record contents being sought.

Contesting record procedures: Exempt. However, consideration will be given requests addressed to the systems manager. Requests for correction should reasonably identify the record and specify the information to be contested, the corrective action sought and the reasons for the correction with supporting justification.

Record source categories:  Federal, state or local agencies maintaining civil, criminal, suitability or other relevant enforcement information or other pertinent information correspondence and material or data obtained during the course of the conduct of the investigations.

Systems exempted from certain provisions of the act: Exempt from certain provisions of the Act under 5 U.S.C. 552a(k)(5). Pursuant to 45 CFR 5b.11(b)(2)(iv)(A), this system is exempt from the following subsections of the Act: (c)(3), (d)(1)-(4), and (e)(4) (G) and (H).