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                              FOIA (Freedom of Information Act)
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                              HHS System of Records Notices (SORNs)
                              SORN 09-20-0055
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SORN 09-20-0055








  
  
    

  
      





**System Name:** Administrative Files for Research/Demonstration and Training Grants, and Cooperative Agreements Applications, HHS/CDC/PGO.

**Security Classification:** None.

**System Location(s):** Division of Research Grants, National Institutes of Health, Westbard Bldg., Westbard Avenue, Bethesda, MD 20014.

Grants Management Office, Procurement and Grants Office, Rm. 300, Buckhead Bldg., Centers for Disease Control and Prevention, 1600 Clifton Road, NE, Atlanta, GA 30333.

Office of Extramural Coordination and Special Projects, National Institute for Occupational Safety and Health (NIOSH), Bldg. 1, Rm. 3053, Centers for Disease Control and Prevention, 1600 Clifton Road, NE, Atlanta, GA 30333.

Division of Training and Manpower Development, Division of Biomedical and Behavioral Science, Division of Physical Sciences and Engineering, and Division of Surveillance, Hazard Evaluations, and Field Studies, NIOSH, 4676 Columbia Parkway, Cincinnati, OH 45226.

Division of Respiratory Disease Studies and Division of Safety Research, NIOSH, 1095 Willowdale Road, Morgantown, WV 26505-2845.

Federal Records Center, 4205 Suitland Road, Suitland, MD 20409, and 1557 St. Joseph Avenue, East Point, GA 30344.

A list of contractor sites where individually identified data are currently located is available upon request to the system manager.

Data are also occasionally located at grantee sites as studies are developed, data collected, and reports written. A list of grantee sites where individually identified data are currently located is available upon request to the system manager.

**Categories of Individuals Covered by the System:**Applicants for occupational safety and health research and demonstration grants, and training grants.

**Categories of Records in the System:** Draft and final grant application and review history, awards, financial records and progress reports and related correspondence.

**Authority for Maintenance of the System:** Occupational Safety and Health Act, Section 20, "Research and Related Activities" and Section 21, `Training and Employee Education" (29 U.S.C. 669, 670).

**Purpose(s):** The purpose of this system is to review grant applications for research and training and to administer funded grants. This information is provided to the National Institutes of Health and to components of the Centers for Disease Control (CDC) including NIOSH for review.

**Routine Uses of Records Maintained in the System, Including Categories of Users and the Purposes of such Uses:**

1. Referrals may be made of assignments of research investigators and project monitors on specific research projects to the National Technical Information Service (NTIS), Depart of Commerce, to contribute to the Smithsonian Science Information Exchange.

2. To the cognizant audit agency for auditing.

3. 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, however, that in each case, HHS determines that such disclosure is compatible with the purpose for which the records were collected.

4. 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.

5. To qualified experts not within the definition of Department employees as prescribed in Department regulations for opinions as a part of the application review process.

6. To a Federal agency, in response to its request, in connection with the letting of a contract, or the issuance of a license, grant, cooperative agreement, 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.

7. To individuals and organizations deemed qualified by PHS to carry out specific research related to the review and award processes of PHS.

8. To the grantee institution relative to performance or administration under the terms and conditions of the award.

9. Records subject to the Privacy Act are disclosed to private firms for data entry, computer systems analysis and computer programming services. The contractors promptly return data entry records after the contracted work is completed. The contractors are required to maintain Privacy Act safeguards.

10. 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 disclosed is relevant and necessary for that assistance.

**Policies and Practices for Storing, Retrieving, Accessing, Retaining, and Disposing of Records in the System—**

**Storage:** File folders.

**Retrievability:** Name is the index used to retrieve information.

**Safeguards:**

1. Authorized users: Access is granted to only a limited number of physicians, scientists, statisticians, and designated support staff of the Centers for Disease Control (CDC), as authorized by the system manager to accomplish the stated purposes for which the data in this system have been collected.

2. Physical safeguards: Records are kept in locked cabinets in locked rooms. Guard service in buildings provides screening of visitors. Electronic anti-intrusion devices are in operation at the Federal Records Center.

3. Procedural safeguards: Users of individually identified data protect information from public scrutiny, and only specifically authorized personnel may be admitted to the record storage area. CDC employees who maintain records are instructed to check with system manager prior to making disclosures of data.

4. Implementation guidelines: HHS Chapter 45-13 and supplementary Chapter PHS.hf: 45-13 of the General Administration Manual. FRC safeguards are in compliance with GSA Federal Property Mangement Regulations, subchapter B--Archives and Records.

**Retention and Disposal:** Approved and funded applications are kept for one year beyond closeout, and then sent to the Federal Records Center (FRC) for 10 years, after which time they are destroyed. Unsuccessful applications are retained for up to 2 years at the agency, and then sent to the FRC for 10 years. Draft applications are kept for one year or until an official application is received (at which time the draft is destroyed). Disposal methods include the paper recycling process, burning or shredding paper materials, and erasing computer tapes.

**System Manager(s) and Address(es):** Grants Management Officer, Procurement and Grants Office, Buckhead Bldg., Rm. 300, MS E09, Centers for Disease Control and Prevention, 1600 Clifton Road, NE, Atlanta, GA 30333.

Associate Director for Extramural Programs, NIOSH, Bldg. 1, Rm. 3053, MS D30, Centers for Disease Control and Prevention, 1600 Clifton Road, NE, Atlanta, GA 30333.

Policy coordination is provided by: Associate Director for Management and Operations, Bldg. 1, Rm. 2011, MS D15, Centers for Disease Control and Prevention, 1600 Clifton Road, NE, Atlanta, GA 30333.

**Notification Procedure:** An individual may learn if a record exists about himself or herself by contacting the appropriate system manager at the address above. Requesters in person must provide driver's license or other positive identification. Individuals who do not appear in person must either (1) submit a notarized request to verify their identify or (2) certify that they are the individuals they claim to be and that they understand that the knowing and willful request for or acquisition of a record pertaining to an individual under false pretenses is a criminal offense under the Privacy Act subject to a $5,000 dollars fine.

**Record Access Procedures:** Same as notification procedures. Requesters should also reasonably specify the record contents being sought. An accounting of disclosures that have been made of the record, if any, may be requested.

**Contesting Record Procedures:** Contact the official at the address specified under System Manager above, reasonably identify the record and specify the information being 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 directly from the individual.

**Systems Exempted from Certain Provisions of the Act:** None.

                    
  


Content created by Freedom of Information Act (FOIA) Division Content last reviewed December 15, 2017 Back to top
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