Attachment #2 Privacy Act Systems of Records Notices (SORNs).pdf

Privacy Act Systems of Record Notices (SORNs)

If records in the possession of NIH (or a contractor working on our behalf) are stored in a paper or electronic record system designed (i.e., engineered/structured) to retrieve records about a person by the individual’s name or a unique identifier assigned to them, those records are subject to the Privacy Act of 1974, as amended.

Records subject to the Privacy Act must be covered by a Systems of Record Notice (SORN).

There are three (3) types of SOR (or System) Notices that we use to cover NIH records.

Internal System of Record Notices (e.g., NIH, HHS):

• Owned by each federal agency to cover their internal records;

• Often referred to as “umbrella” notices;

• NIH SORNs are numbered 09-25-xxxx;

• HHS SORNs are numbered 09-90-xxxx.

Government System of Record Notices (e.g., EEOC, FEMA, GSA, OGE, OPM):

• Federal agencies may use the notices to cover government-wide record systems;

• Physical records belong to the respective federal agency;

• OPM still retains some authority over the records (e.g., during an appeal process);

• GOV SORNs are numbered GOVT-1, 2, etc.

Central System of Record Notices (e.g., OPM):

• Owned by OPM who maintains full responsibility for the records;

• Federal agencies are permitted to maintain copies of the records;

• OPM SORNs are numbered CENTRAL-1, 2, etc.

If one of the following SORNs does not adequately cover records being collected, stored, maintained or disseminated by NIH, please contact the Office of the Senior Official for Privacy at (301) 451-3426 or via email at privacy@mail.nih.gov so that we may work with you to put one in place.

Listed below are the Privacy Act System Notices most commonly referenced within NIH.

NIH Internal System Notices

With the exception of 09-25-0165, 09-25-0217 and 09-25-0223 listed below, these internal

SORNs were last published in the Federal Register on September 26, 2002 (Vol. 67, No. 187, Pages 60742-60784):

09-25-0005, Administration: Library Operations and NIH Library User I.D. File, HHS/NIH http://oma.od.nih.gov/public/ms/privacy/pafiles/0005.htm mailto:privacy@mail.nih.gov http://oma.od.nih.gov/public/ms/privacy/pafiles/0005.htm

09-25-0007, Administration: NIH Safety Glasses Issuance Program, HHS/NIH/ORS http://oma.od.nih.gov/public/ms/privacy/pafiles/0007.htm

09-25-0011, Clinical Research: Blood Donor Records, HHS/NIH/CC http://oma.od.nih.gov/public/ms/privacy/pafiles/0011.htm

09-25-0012, Clinical Research: Candidate Healthy Volunteer Records, HHS/NIH/CC http://oma.od.nih.gov/public/ms/privacy/pafiles/0012.htm

09-25-0014, Clinical Research: Student Records, HHS/NIH/OD/OIR/OE http://oma.od.nih.gov/public/ms/privacy/pafiles/0014.htm

09-25-0033, International Activities: Fellowships Awarded by Foreign Organizations, HHS/NIH/FIC http://oma.od.nih.gov/public/ms/privacy/pafiles/0033.htm

09-25-0034, International Activities: Scholars-in-Residence Program, HHS/NIH/FIC http://oma.od.nih.gov/public/ms/privacy/pafiles/0034.htm

09-25-0036, Extramural Awards and Chartered Advisory Committees (IMPAC 2), Contract

Information (DCIS), and Cooperative Agreement Information, HHS/NIH http://oma.od.nih.gov/public/ms/privacy/pafiles/0036.htm

09-25-0041, Research Resources: Scientists Requesting Hormone Distribution, HHS/NIH/NIDDK http://oma.od.nih.gov/public/ms/privacy/pafiles/0041.htm

09-25-0054, Administration: Property Accounting (Card Key System) HHS/NIH/ORS http://oma.od.nih.gov/public/ms/privacy/pafiles/0054.htm

09-25-0078, Administration: Consultant File, HHS/NIH/NHLBI http://oma.od.nih.gov/public/ms/privacy/pafiles/0078.htm

09-25-0087, Administration: Senior Staff, HHS/NIH/NIAID http://oma.od.nih.gov/public/ms/privacy/pafiles/0087.htm

09-25-0099, Clinical Research: Patient Medical Records, HHS/NIH/CC http://oma.od.nih.gov/public/ms/privacy/pafiles/0099.htm

09-25-0105, Administration: Health Records of Employees, Visiting Scientists, Fellows, and

Others Who Receive Medical Care Through the Employee Health Unit, HHS/NIH/ORS http://oma.od.nih.gov/public/ms/privacy/pafiles/0105.htm

09-25-0106, Administration: Office of the NIH Director and Institute/Center Correspondence

Records, HHS/NIH/OD http://oma.od.nih.gov/public/ms/privacy/pafiles/0007.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0011.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0012.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0014.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0033.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0034.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0036.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0041.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0054.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0078.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0087.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0099.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0105.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0166.htm

09-25-0167, National Institutes of Health (NIH) TRANSHARE Program, HHS/NIH/OD http://oma.od.nih.gov/public/ms/privacy/pafiles/0167.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0106.htm

09-25-0108, Personnel: Guest Researchers, Special Volunteers, and Scientists Emeriti, HHS/NIH/OHRM http://oma.od.nih.gov/public/ms/privacy/pafiles/0108.htm

09-25-0115, Administration: Curricula Vitae of Consultants and Clinical Investigators, HHS/NIH/NIAID http://oma.od.nih.gov/public/ms/privacy/pafiles/0115.htm

09-25-0118, Contracts: Professional Services Contractors, HHS/NIH/NCI http://oma.od.nih.gov/public/ms/privacy/pafiles/0118.htm

09-25-0121, International Activities: Senior International Fellowships Program, HHS/NIH/FIC http://oma.od.nih.gov/public/ms/privacy/pafiles/0121.htm

09-25-0124, Administration: Pharmacology Research Associates, HHS/NIH/NIGMS http://oma.od.nih.gov/public/ms/privacy/pafiles/0124.htm

09-25-0140, International Activities: International Scientific Researchers in Intramural

Laboratories at the National Institutes of Health, HHS/NIH/FIC/ORS/DIRS http://oma.od.nih.gov/public/ms/privacy/pafiles/0140.htm

09-25-0156, Records of Participants in Programs and Respondents in Surveys Used to Evaluate

Programs of the Public Health Service, HHS/PHS/NIH/OD http://oma.od.nih.gov/public/ms/privacy/pafiles/0156.htm

09-25-0158, Administration: Records of Applicants and Awardees of the NIH Intramural

Research Training Awards Program, HHS/NIH/OD/OIR/OE http://oma.od.nih.gov/public/ms/privacy/pafiles/0158.htm

09-25-0160, United States Renal Data System (USRDS), HHS/NIH/NIDDK http://oma.od.nih.gov/public/ms/privacy/pafiles/0160.htm

09-25-0165, National Institutes of Health (NIH) Office of Loan Repayment and Scholarship

(OLRS) Records System, HHS/NIH/OD

Published in the Federal Register on February 8, 2002 (Vol. 67, No. 27, Pages 6043-6048) http://oma.od.nih.gov/public/ms/privacy/pafiles/0165.htm

09-25-0166, Administration: Radiation and Occupational Safety and Health Management

Information Systems, HHS/NIH/ORS http://oma.od.nih.gov/public/ms/privacy/pafiles/0166.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0167.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0106.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0108.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0115.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0118.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0121.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0124.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0140.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0156.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0158.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0160.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0165.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0213.

htm

09-25-0216, Administration: NIH Electronic Directory, HHS/NIH http://oma.od.nih.gov/public/ms/privacy/pafiles/0216.htm

09-25-0168, Invention, Patent, and Licensing Documents Submitted to the Public Health Service by its Employees, Grantees, Fellowship Recipients, and Contractors, HHS/NIH/OD http://oma.od.nih.gov/public/ms/privacy/pafiles/0168.htm

09-25-0169, Medical Staff-Credentials Files, HHS/NIH/CC http://oma.od.nih.gov/public/ms/privacy/pafiles/0169.htm

09-25-0200, Clinical, Basic and Population-based Research Studies of the National Institutes of

Health (NIH), HHS/NIH/OD http://oma.od.nih.gov/public/ms/privacy/pafiles/0200.htm

09-25-0202, Patient Records on PHS Beneficiaries (1935-1974) and Civilly Committed Drug

Abusers (1967-1976) Treated at the PHS Hospitals in Fort Worth, Texas, or Lexington, Kentucky, HHS/NIH/NIDA http://oma.od.nih.gov/public/ms/privacy/pafiles/0202.htm

09-25-0203, National Institute on Drug Abuse, Intramural Research Program, Federal Prisoner and Non-Prisoner Research Files, HHS/NIH/NIDA http://oma.od.nih.gov/public/ms/privacy/pafiles/0203.htm

09-25-0207, Subject-Participants in Pharmacokinetic Studies on Drugs of Abuse and on

Treatment Medications, HHS/NIH/NIDA http://oma.od.nih.gov/public/ms/privacy/pafiles/0207.htm

09-25-0208, Drug Abuse Treatment Outcome Study (DATOS), HHS/NIH/NIDA http://oma.od.nih.gov/public/ms/privacy/pafiles/0208.htm

09-25-0209, Subject-Participants in Drug Abuse Research Studies on Drug Dependence and in

Research Supporting Investigational New Drug and New Drug Applications, HHS/NIH/NIDA http://oma.od.nih.gov/public/ms/privacy/pafiles/0209.htm

09-25-0210, Shipment Records of Drugs of Abuse to Authorized Researchers, HHS/NIH/NIDA http://oma.od.nih.gov/public/ms/privacy/pafiles/0210.htm

09-25-0211, Intramural Research Program Records of In-and Out-Patients with Various Types of

Alcohol Abuse and Dependence, Relatives of Patients with Alcoholism, and Healthy Volunteers, HHS/NIH/NIAAA http://oma.od.nih.gov/public/ms/privacy/pafiles/0211.htm

09-25-0213, Administration: Employee Conduct Investigative Records, HHS/NIH/OD/OM/OA/OMA http://oma.od.nih.gov/public/ms/privacy/pafiles/0213.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0213.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0216.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0168.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0169.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0200.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0202.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0203.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0207.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0208.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0209.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0210.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0211.htm

09-25-0217, NIH Business System (NBS), HHS/NIH

Published in the Federal Register on August 22, 2002 (Vol. 67, No. 163, Pages 54441-54444) http://oma.od.nih.gov/public/ms/privacy/pafiles/0217.htm

09-25-0223, NIH Records Related to Research Misconduct Proceedings, HHS/NIH

Published in the Federal Register on August 28, 2012 (Vol. 77, No. 167, Pages 52043-52047) http://oma.od.nih.gov/public/ms/privacy/pafiles/0223.htm

HHS Internal System Notices

09-90-0005, Safety Management Information System (HHS Accident, Injury, and Illness Reporting

System) http://www.hhs.gov/foia/privacy/recordsnotices/09900005.html

09-90-0006, Applicants for Employment Records http://www.hhs.gov/foia/privacy/recordsnotices/09900006.html

09-90-0009, Discrimination Complaints Records http://www.hhs.gov/foia/privacy/recordsnotices/09900009.html

09-90-0010, Employee Assistance Program (EAP) Records http://www.hhs.gov/foia/privacy/recordsnotices/09900010.html

09-90-0016, HHS Motor Vehicle Operator Records http://www.hhs.gov/foia/privacy/recordsnotices/09900016.html

09-90-0018, Personnel Records in Operating Offices, HHS/OS/ASPER http://www.hhs.gov/foia/privacy/recordsnotices/09900018.html

09-90-0020, Suitability for Employment Records, HHS/OS/ASPER (to be renamed HHS Personnel

Security, and amended to be compliant with the new I.D. badge procedure under HSPD-12.)

http://www.hhs.gov/foia/privacy/recordsnotices/09900020.html

09-90-0024, Financial Transportation of HHS Accounting & Finance Offices (Renamed per 7/1/2005

FR), Unified Financial Management System (UFMS) http://www.hhs.gov/foia/privacy/recordsnotices/09900024.html

09-90-0028, Biographics and Photographs of HHS Officials http://www.hhs.gov/foia/privacy/recordsnotices/09900028.html

09-90-0036, Employee Suggestion Program Records http://www.hhs.gov/foia/privacy/recordsnotices/09900036.html

09-90-0039, National Disaster Claims Processing System http://www.hhs.gov/foia/privacy/recordsnotices/09900039.html

09-90-0058, Freedom of Information Case File & Correspondence Control Index http://www.hhs.gov/foia/privacy/recordsnotices/09900058.html http://oma.od.nih.gov/public/ms/privacy/pafiles/0217.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/0223.htm http://www.hhs.gov/foia/privacy/recordsnotices/09900005.html http://www.hhs.gov/foia/privacy/recordsnotices/09900006.html http://www.hhs.gov/foia/privacy/recordsnotices/09900009.html http://www.hhs.gov/foia/privacy/recordsnotices/09900010.html http://www.hhs.gov/foia/privacy/recordsnotices/09900016.html http://www.hhs.gov/foia/privacy/recordsnotices/09900018.html http://www.hhs.gov/foia/privacy/recordsnotices/09900020.html http://www.hhs.gov/foia/privacy/recordsnotices/09900024.html http://www.hhs.gov/foia/privacy/recordsnotices/09900028.html http://www.hhs.gov/foia/privacy/recordsnotices/09900036.html http://www.hhs.gov/foia/privacy/recordsnotices/09900039.html http://www.hhs.gov/foia/privacy/recordsnotices/09900058.html

09-90-0059, Federal Advisory Committee Membership Files http://www.hhs.gov/foia/privacy/recordsnotices/09900059.html

09-90-0095, Management Information System Efficiency Reporter (MISER) http://www.hhs.gov/foia/privacy/recordsnotices/09900095.html

09-90-0777, Identification and Credentialing Issuance Station and System, HHS/OCID (in draft form

- to cover personal identity verification (PIV) card holders as well as short-term employees, temporary guests and visitors).

09-40-0010, Pay, Leave and Attendance Records, HHS/PSC/HRS http://oma.od.nih.gov/public/MS/privacy/Documents/Privacy%20Act%20Systems%20of%20Records

%20Notices%20(SORNs).pdf

98-32-625, Privacy Act of 1974; Republication of System Notices

National Science Foundation (NSF) Notices – used by the Office of Extramural Research http://www.gpo.gov/fdsys/pkg/FR-1998-12-11/pdf/98-32625.pdf

NSF-6, Doctorate Records File http://oma.od.nih.gov/public/ms/privacy/pafiles/SOR%20PA%20NSF-06%20%201987.doc

NSF-43, Doctorate Work History File http://oma.od.nih.gov/public/ms/privacy/pafiles/SOR%20PA%20NSF-43%201987.doc

Government System Notices

OGE/GOVT-1, Executive Branch Personnel Public Financial Disclosure Reports and Other Name-

Retrieved Ethics Program Records http://oma.od.nih.gov/public/ms/privacy/pafiles/OGEGOVT1.htm

OGE/GOVT-2, Executive Branch Confidential Financial Disclosure Reports http://oma.od.nih.gov/public/ms/privacy/pafiles/OGEGOVT2.htm

OPM/GOVT-1, General Personnel Records http://oma.od.nih.gov/public/ms/privacy/pafiles/OPMGOVT1

.htm http://www.hhs.gov/foia/privacy/recordsnotices/09900059.html http://www.hhs.gov/foia/privacy/recordsnotices/09900095.html http://oma.od.nih.gov/public/MS/privacy/Documents/Privacy%20Act%20Systems%20of%20Records%20Notices%20(SORNs).pdf http://oma.od.nih.gov/public/MS/privacy/Documents/Privacy%20Act%20Systems%20of%20Records%20Notices%20(SORNs).pdf http://www.gpo.gov/fdsys/pkg/FR-1998-12-11/pdf/98-32625.pdf http://www.gpo.gov/fdsys/pkg/FR-1998-12-11/pdf/98-32625.pdf http://oma.od.nih.gov/public/ms/privacy/pafiles/SOR%20PA%20NSF-06%20%201987.doc http://oma.od.nih.gov/public/ms/privacy/pafiles/SOR%20PA%20NSF-43%201987.doc http://oma.od.nih.gov/public/ms/privacy/pafiles/OGEGOVT1.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/OGEGOVT2.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/OPMGOVT1.htm http://oma.od.nih.gov/public/ms/privacy/pafiles/OPMGOVT1.htm