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SORN 09-90-0049

System Name:  Departmental Appeals Board Case and Appeal Records, HHS/OS/DAB.

Security classification:  None.

System location:   Rm. 637D, Hubert H. Humphrey Building, 200 Independence Ave., SW, Washington, DC 20201.

Categories of individuals covered by the system:   Individuals who are parties in matters before the Departmental Appeals Board (DAB), or who are requesting review or consideration of a matter by DAB.

Categories of records in the system:   This includes, but is not limited to, pleadings, formal filings, evidence, and other records relevant to the issues being adjudicated or mediated by the DAB and/or its personnel.

Authority for maintenance of the system:  The matters adjudicated, decided, and considered by the DAB arise under some or all of the following authorities: 

(1) 42 U.S.C. 1320a-7; (2) 42 U.S.C. 1320a-7a, 42 U.S.C. 1320b-10, 42 U.S.C. 13951, 42 U.S.C. 1395u, 42 U.S.C. 1395cc, 42 U.S.C. 1395dd, 42 U.S.C. 11131, 42 U.S.C. 11137, 31 U.S.C. 3801; (3) 42 U.S.C. 1320c-5; (4) 5 U.S.C. 504; (5) 42 U.S.C. 2000e-16, 29 U.S.C. 631 and 633A, 29 U.S.C. 791; (6) 5 U.S.C. 301, 42 U.S.C. 289b; (7) 42 U.S.C. 2000d, 42 U.S.C. 216b, 20 U.S.C. 1405, 29 U.S.C. 794, 42 U.S.C. 290dd, 21 U.S.C. 1174, 20 U.S.C. 1081, 42 U.S.C. 6101; (8) 42 U.S.C. 395w-2; (9) Matters arising under direct discretionary grants awarded to an individual by the Secretary or her designee, including, but not limited to: 42 U.S.C. 216, 42 U.S.C. 241, 42 U.S.C. 242a, 42 U.S.C. 263d, 42 U.S.C. 280b-5, 42 U.S.C. 300a-2, 42 U.S.C. 300a-4, 42 U.S.C. 4585, 42 U.S.C. 300d-4, 21 U.S.C. 1177, 42 U.S.C. 242n, 42 U.S.C. 300z-7, 42 U.S.C. 242c, 42 U.S.C. 242b, 42 U.S.C. 280b-4, 42 U.S.C. 287a, 42 U.S.C. 300b-1; (10) 42 U.S.C. 1396i, 42 U.S.C. 1395y; (11) 42 U.S.C. 1395i-3, 42 U.S.C. 1396r, 42 U.S.C. 1395rr, 42 U.S.C. 1395bbb, 42 U.S.C. 263a; (12) 42 U.S.C. 1320b-8; (13) 5 U.S.C. 5514; and (14) Such other matters that may be added to the Board's jurisdiction after submission of this notice.

Purpose(s):

The records are used to track and decide matters that are before the DAB and to develop a body of case law that can guide persons and agency components in the future with respect to matters that are before or might come before the DAB.

Routine uses of records maintained in the system, including categories of users and the purposes of such uses:  Information may be disclosed:

  1. The Board will disclose the status of a pending or past matter, and similar docket information, to any person making an inquiry about such information, to apprise the public of the status and progress of matters before the Board.
  2. To the Department of Justice, to a court or other tribunal, or to another party before such tribunal, when (a) HHS, or any component thereof; or (b) any HHS employees in his or her official capacity; or (c) any HHS employee in his or her individual capacity where the Justice Department (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 the litigation or has an interest in such litigation, and HHS determines that the use of such records by the Department of Justice, the tribunal, or other party is relevant and necessary to the litigation and would help in the effective representation of the governmental party provided however, that in each      case, HHS determines that such disclosure is compatible with the purpose for which the records were collected.
  3. To a Congressional office, from the record of an individual in response to an inquiry from  that congressional office made at the request of that individual;
  4. To the public and commercial reporters after a decision is final, for the purpose of distributing and publishing the final DAB decision;
  5. To the third party contacts, including public and private organizations, in order to obtain information relevant or necessary to the proceedings, such as the subpoena of documents or witnesses, or, in the case of medical practitioners, inquiry into State licensing proceedings; and
  6. The Board will disclose records in the Board's administrative case file to persons requesting such records or to persons attending Board hearings, to apprise the public of the basis on which the Board makes its decisions.
  7. 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: These records are maintained in file folders, binders, and computer disks and tapes.

Retrievability:  These records are retrieved by the names of the non-governmental party or by docket or decision numbers.

Safeguards:  Access to and use of these records are limited to those persons whose official duties require such access. Paper records are maintained in file cabinets and offices that only authorized individuals may have access to; computer records are maintained on computer systems and disks that only authorized individuals may use.

Retention and disposal:  Once a matter is closed, the files are stored and maintained in the DAB file room for a period of time not exceeding seven years.  After that time, the files are turned over to the Office of the Secretary, HHS Records Management Officer, Rm. G322A, Switzer Bldg., 330 C St., SW, Washington, DC 20201. The records are then transferred to the Washington National Records

Center, Washington, DC 20409, where they are kept for an additional 20 years, after which time they are destroyed. DAB has the option for retaining its written decisions, but not its files, indefinitely, until such time as they have no precedential value.

System manager(s) and address:  Chair, Departmental Appeals Board, Room 637D, HHH Building, 200 Independence Avenue, SW, Washington, DC 20201.

Notification procedure:  Individuals inquiring whether this system of records contains information about them should contact the System Manager indicated above. It is necessary to provide the following information respecting the individual when making inquiries about records:

  • Full name;
  • Date of birth;
  • Kind of action taken by the agency;
  • Date and location of the filing of the case, appeal or other matter before the DAB; and
  • If appropriate, the DAB docket or decision number.

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

Contesting record procedure:  Contact the official at the address specified under notification procedures, reasonably identify the record, and specify the information to be contested and corrective action sought with the supporting justification.

Record source categories:  Information in this system is obtained from:

  • The individuals to whom the record pertains;
  • Agency officials and documents;
  • The testimony, affidavits and statements of witnesses;
  • The documents, received testimony, exhibits and submissions of the parties involved in the      matter.

Systems exempted from certain provisions of the Act:  None.