NIH_SOR_DLR_LRP_Update_June2007_FinalDraft

DLR LRP SOR – UPDATED JUNE 2007 – FINAL REVIEW DRAFT

NUMBER TO BE ASSIGNED (currently - 09-25-0165) SYSTEMS LISTING

SYSTEM NAME:

National Institutes of Health (NIH) Division of Loan Repayment (DLR) Record System, HHS/NIH/OD/OER/OEP.

SECURITY CLASSIFICATION:

None.

SYSTEM LOCATION:

Division of Loan Repayment (DLR) (formerly Office of Loan Repayment and Scholarship (OLRS), National Institutes of Health, 6011 Executive Boulevard, Suite 206, MSC 7650, Bethesda, Maryland 20892-7650.

National Center on Minority Health and Health Disparities, National Institutes of Health, 6707 Democracy Boulevard, Suite 800, Bethesda, Maryland 20892-5465.

See Appendix I for a listing of NIH offices responsible for administration of the NIH Loan Repayment Programs (LRPs). Write to the System Manager at the address below for the address of any Federal Records Center where records from this system may be stored.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals who have applied for, who have been approved to receive, who are receiving, or who have received funds under the NIH LRPs; and individuals who are interested in participation in the NIH LRPs.

CATEGORIES OF RECORDS IN THE SYSTEM:

Name, address, Social Security number (SSN), grant number, program application and associated forms, service pay-back obligations, employment data, professional performance and credentialing history of licensed health professionals; personal, professional, and demographic background information; academic and research progress reports (which include related data, correspondence, and professional performance information consisting of continuing education, performance awards, and adverse or disciplinary actions); financial data including loan balances, deferment, forbearance, and repayment/delinquent/default status information; commercial credit reports; educational data including academic program and status; employment status verification (which includes certifications and verifications of continuing participation in qualified research); Federal, State and county tax related information, including copies of tax returns.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Sections 487A-F (42 U.S.C. 288-1, 288-2, 288-3, 288-4, 288-5, 288-5a, 288-6) of the PHS Act, as amended; Section 103 of the Minority Health and Health Disparities Research Education Act (Pub. L. 106-525), as amended; and section 223 of Pub. L. 106-554 (114 Stat. 2763A-30) authorize the NIH to establish and implement multiple programs of educational loan repayment for qualified health professionals who agree to conduct research, subject to each program’s specific statutory requirements; The provisions of subpart III of part D of title III of the PHS Act (42 U.S.C. 2541 et seq.), as amended, governing the National Health Service Corps (NHSC) loan repayment and scholarship programs, are incorporated in these authorities, except as inconsistent with sections 487A-F, sections 103 of Pub. L. 106-525, and section 223 of Pub. L. 106-554. The Internal Revenue Code at 26 U.S.C. 6109 requires the provision of the SSN for the receipt of loan repayment =funds under the NIH LRPs. The Federal Debt Collection Procedures Act of 1990, Public Law 101-647 (28 U.S.C. 3201) requires that an individual who has a judgement lien against his/her property for a debt to the United States shall not be eligible to receive funds directly from the Federal Government in any program, except funds to which the debtor is entitled as a beneficiary, until the judgement is paid in full or otherwise satisfied. Thus, individuals applying to the LRPs are required to disclose in their applications whether they have a judgement lien against them arising from a debt to the United States.

PURPOSE(S):

These records are used to: (1) Identify and select applicants for the NIH LRPs; (2) monitor loan repayment activities, such as payment tracking, academic status and performance, research and related services, deferment of service obligation, and default; and (3) assist NIH officials in the collection of overdue debts owed under the NIH LRPs. Records may be transferred to System No. 09-15-0045, "Health Resources and Services Administration Loan Repayment/Debt Management Records System, HHS/HRSA/OA," for debt collection purposes when NIH officials are unable to collect overdue debts owed under the NIH LRPs.

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

1. Disclosure may be made to a Member of Congress or to a Congressional staff member in response to an inquiry of the Congressional office made at the written request of the constituent about whom the record is maintained.

2. 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 Government, is a party to litigation or has an interest in such litigation, and by careful review, HHS determines that the records are both relevant and necessary to the litigation and the use of such records by the Department of Justice is therefore deemed by HHS to be for a purpose that is compatible with the purpose for which the records were collected.

3. When a record on its face, or in conjunction with other 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, disclosure may be made to the appropriate agency, whether Federal, foreign, State, local, or tribal, or other public authority responsible for enforcing, investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation, or order issued pursuant thereto, if the information disclosed is relevant to any enforcement, regulatory, investigative or prosecutive responsibility of the receiving entity.

4. The NIH may disclose records to HHS contractors and subcontractors for the purpose of collecting, compiling, aggregating, analyzing, or refining records in the system, and/or for the purpose of evaluating the programs covered by the system. Contractors maintain, and are also required to ensure that subcontractors maintain, Privacy Act safeguards with respect to such records.

5. The NIH may disclose information from this system of records to private parties such as present and former employers, references listed on applications and associated forms, other references and educational institutions. The purpose of such disclosures is to evaluate an individual’s professional and or academic accomplishments and plans, performance, credentials, and educational background, and to determine if an applicant is suitable for participation in the NIH LRPs.

6. The NIH will disclose information from this system of records to a consumer reporting agency (credit bureau) to obtain an applicant or participant’s commercial credit report for the following purposes: (1) To establish his/her creditworthiness; (2) To assess and verify his/her ability to repay debts owed to the Federal Government; and (3) To determine and verify the eligibility of loans submitted for repayment. The NIH will also disclose information from this system of records to the National Student Clearinghouse using the Loan Locator Internet System or similar system to assist in the verification of loan data submitted by LRP applicants. Disclosures are limited to the individual’s name, address, Social Security number and other information necessary to identify him/her; locate all student loans and verify payment addresses; identify the funding being sought or amount and status of the debt; and the program under which the applicant or claim is being processed.

7. The NIH may disclose from this system of records a delinquent debtor’s or a defaulting participant’s name, address, Social Security number, and other information necessary to identify him/her; the amount, status, and history of the claim, and the agency or program under which the claim arose, as follows:

a. To another Federal agency so that agency can effect a salary offset for debts owed by Federal employees; if the claim arose under the Social Security Act, the employee must have agreed in writing to the salary offset.

b. To another Federal agency so that agency can effect an authorized administrative offset; i.e., withhold money, other than Federal salaries, payable to or held on behalf of the individual.

c. To the Treasury Department, Internal Revenue Service (IRS), to request an individual’s current mailing address to locate him/her for purposes of either collecting or compromising a debt, or to have a commercial credit report prepared.

8. The NIH may disclose information from this system of records to another agency that has asked the HHS to effect a salary or administrative offset to help collect a debt owed to the United States. Disclosure is limited to the individual’s 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 offset.

9. The NIH may disclose to the IRS information about an individual applying for any NIH loan repayment program authorized by the Public Health Service Act to find out whether the applicant has a delinquent tax account. This disclosure is for the sole purpose of determining the applicant’s creditworthiness and is limited to the individual’s name, address, Social Security number, other information necessary to identify him/her, and the program for which the information is being obtained.

10. The NIH may report to the IRS, as taxable income, the written-off amount of a debt owed by an individual to the Federal Government when a debt becomes partly or wholly uncollectible, either because the time period for collection under statute or regulations has expired, or because the Government agrees with the individual to forgive or compromise the debt.

11. The NIH may disclose to debt collection agents, other Federal agencies, and other third parties who are authorized to collect a Federal debt, information necessary to identify a delinquent debtor or a defaulting participant. Disclosure will be limited to the individual’s name, address, Social Security number, and other information necessary to identify him/her; the amount, status, and history of the claim, and the agency or program under which the claim arose.

12. The NIH may disclose information from this system of records to any third party that may have information about a delinquent debtor’s or a defaulting participant’s current address, such as a U.S. post office, a State motor vehicle administration, a university’s office of the registrar or dean’s office, a professional organization, an alumni association, etc., for the purpose of obtaining the individual’s current address. This disclosure will be strictly limited to information necessary to identify the individual, without any reference to the reason for the agency’s need for obtaining the current address.

13. The NIH may disclose information from this system of records to other Federal agencies that also provide loan repayment at the request of these Federal agencies in conjunction with a matching program conducted by these Federal agencies to detect or curtail fraud and abuse in Federal loan repayment programs, and to collect delinquent loans or benefit payments owed to the Federal Government.

14. The NIH will disclose from this system of records to the Department of Treasury, IRS: (1) A delinquent debtor’s or a defaulting participant’s name, address, Social Security number, and other information necessary to identify the individual; (2) the amount of the debt; and (3) the program under which the debt arose, so that the IRS can offset against the debt any income tax refunds which may be due to the individual.

15. The NIH may disclose information provided by a lender or educational institution to other Federal agencies, debt collection agents, and other third parties who are authorized to collect a Federal debt. The purpose of this disclosure is to identify an individual who is delinquent in loan or benefit payments owed to the Federal Government and the nature of the debt.

16. The NIH may disclose information from this system of records to officials or representatives of grantee institutions in connection with the review of an LRP application or performance or administration under the terms and conditions of the LRP award, or in connection with problems that might arise in performance or administration of the LRP contract.

17. The NIH may disclose records to NIH contractors and subcontractors for the purpose of recruiting, screening, and matching health professionals for NIH employment in qualified research positions under the NIH LRPs. In addition, HHS contractors and subcontractors: (1) May disclose biographic data and information supplied by potential applicants (a) to references listed on application and associated forms for the purpose of evaluating the applicant’s professional qualifications, experience, and suitability, and (b) to a State or local government medical licensing board and/or to the Federation of State Medical Boards or a similar nongovernmental entity for the purpose of verifying that all claimed background and employment data are valid and all claimed credentials are current and in good standing; (2) may disclose biographic data and information supplied by references listed on application and associated forms to other references for the purpose of inquiring into the applicant’s professional qualifications and suitability; and (3) may disclose professional suitability evaluation information to NIH officials for the purpose of appraising the applicant’s professional qualifications and suitability for participation in the NIH LRPs. Contractors maintain, and are also required to ensure that subcontractors maintain, Privacy Act safeguards with respect to such records.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Disclosure pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to "consumer reporting agencies" as defined in the Federal Claims Collection Act of 1966, as amended (31 U.S.C. 3701(a)(3)). The purposes of these disclosures are: (1) To provide an incentive for debtors to repay delinquent debts to the Federal Government by making these debts part of their credit records, and (2) to enable NIH to improve the quality of loan repayment decisions by taking into account the financial reliability of applicants, including obtaining a commercial credit report to assess and verify the ability of an individual to repay debts owed to the Federal Government. Disclosure of records will be limited to the individual’s name, Social Security number, and other information necessary to establish the identify of the individual, the amount, status, and history of the claim, and the agency or program under which the claim arose.

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

STORAGE:

Records are maintained in file folders, file cards, microfiche and electronic media, including computer tape, discs, servers, connected to local area networks, and Internet servers.

RETRIEVABILITY:

Records are retrieved by name, NIH Institutes and Centers, grantee institutions, Social Security number, grant number, or other identifying numbers or characteristics.

SAFEGUARDS:

1. Authorized Users Access to information is limited to authorized personnel in the performance of their duties. Authorized personnel include system managers and their staffs, financial, fiscal and records management personnel, legal personnel, computer personnel, and NIH contractors and subcontractors - all of whom are responsible for administering the NIH LRPs.

2. Physical Safeguards: Rooms where records are stored are locked when not in use. During regular business hours rooms are unlocked but are controlled by on-site personnel. Security guards perform random checks on the physical security of the storage locations after duty hours, including weekends and holidays.

3. Procedural and Technical Safeguards: A password is required to access the terminal and a data set name controls the release of data to only authorized users. All users of personal information in connection with the performance of their jobs (see Authorized Users, above) protect information from public view and from unauthorized personnel entering an unsupervised office. Data on local area network computer files is accessed by keyword known only to authorized personnel. Codes by which automated files may be accessed are changed periodically. This procedure also includes deletion of access codes when employees or contractors leave. New employees and contractors are briefed and the security department is notified of all staff members and contractors authorized to be in secured areas during working and nonworking hours. This list is revised as necessary. Individuals remotely accessing the secured areas of the DLR Internet sites have separate accounts and passwords. Passwords are assigned by project staff and may include both alphabetic and non-alphabetic characters. These practices are in compliance with the standards of Chapter 45-13 of the HHS General Administration Manual, "Safeguarding Records Contained in Systems of Records," supplementary Chapter PHS hf: 45-13, and the Department’s Automated Information System Security Handbook.

RETENTION AND DISPOSAL:

Records are retained and disposed of under the authority of the NIH Records Control Schedule contained in NIH Manual Chapter 1743, Appendix 1 - "Keeping and Destroying Records" (HHS Records Management Manual, Appendix B-361), item 2300-537-1. Participant case files are transferred to a Federal Records Center one year after closeout and destroyed five years later. Closeout is the process by which it is determined that all applicable administrative actions and disbursements of benefits have been completed by the DLR and service obligations have been completed by the participant. Applicant case files are destroyed three years after disapproval or withdrawal of their application. Appeal and litigation case files are destroyed six years after the calendar year in which the case is closed. Other copies of these files are destroyed two years after the calendar year in which the case is closed.

SYSTEM MANAGER(S) AND ADDRESS (ES):

Director, Division of Loan Repayment, (formerly Office of Loan Repayment and Scholarship), National Institutes of Health, 6011 Executive Boulevard, Suite 206, MSC 7650, Bethesda, Maryland 20892-7650.

Director, National Center on Minority Health and Health Disparities, National Institutes of Health, 6707 Democracy Boulevard, Suite 800, Bethesda, Maryland 20892-5465.

Director, Contraceptive and Infertility Research Loan Repayment Program, National Institute of Child Health and Human Development, National Institutes of Health, 6100 Executive Boulevard, Room 8B01A, Rockville, Maryland 20892.

NOTIFICATION PROCEDURE:

To determine if a record exists, write to the appropriate System Manager listed above. A written request must contain the name and address of the requester, Social Security number, and his/her signature which is either notarized to verify his/her identity or includes a written certification that the requester is the person he/she claims to be and that he/she understands that the knowing and willful request or acquisition of records pertaining to an individual under false pretenses is a criminal offense subject to a $5,000 fine. In addition, the following information is needed: dates of enrollment in the NIH LRPs and current enrollment status, such as pending application approval or approved for participation.

An individual who appears in person at a specific location seeking access to or disclosure of records relating to him/her shall provide his/her name, current address, Social Security number, dates of enrollment in an NIH loan repayment program, and at least one piece of tangible identification, such as driver’s license, passport, or voter registration card. Identification papers with current photographs are preferred but not required. If an individual has no identification papers but is personally known to an agency employee, such employees shall make a written record verifying the individual’s identity.

Where the individual has no identification papers, the responsible agency official shall require that the individual certify in writing that he/she is the individual who he/she claims to be and that he/she understands that the knowing and willful request or acquisition of a record concerning an individual under false pretenses is a criminal offense subject to a $5,000 fine. Since positive identification of the caller or sender cannot be established, telephone and electronic mail requests are not honored.

RECORD ACCESS PROCEDURE:

Write to the appropriate System Manager specified above to attain access to records and provide the same information as is required under the Notification Procedures. Requesters should also reasonably specify the record contents being sought. Individuals may also request an accounting of disclosures of their records, if any.

CONTESTING RECORD PROCEDURE:

Contact the appropriate System Manager specified above and reasonably identify the record, specify the information to be contested, the corrective action sought, and your reasons for requesting the correction, along with supporting information to show how the record is inaccurate, incomplete, untimely or irrelevant. The right to contest records is limited to information that is incomplete, irrelevant, incorrect, or untimely (obsolete).

RECORD SOURCE CATEGORIES:

Subject individual; participating lending and loan servicing institutions; educational and grantee institutions; other Federal agencies; consumer reporting agencies/credit bureaus; National Student Clearinghouse; and third parties that provide references concerning the subject individual.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.

Appendix I: System Locations

Division of Loan Repayment (DLR), National Institutes of Health, 6011 Executive Boulevard, Suite 206, MSC 7650, Bethesda, Maryland 20892-7650.

Center for Information Technology, National Institutes of Health 10401 Fernwood Road, Bethesda, Maryland 20817

Clinical Center, National Institutes of Health, 6100 Executive Boulevard, Suite 3CO1, Bethesda, Maryland 20892-7511.

National Cancer Institute, National Institutes of Health, NCI Public Enquiries Office, Suite 3036A 6116 Executive Boulevard, MSC 8322, Bethesda, Maryland 20892-8322.

National Center on Minority Health and Health Disparities, National Institutes of Health, 6707 Democracy Boulevard, Suite 800, Bethesda, Maryland 20892-5465.

National Heart, Lung, and Blood Institute, National Institutes of Health, Building 31, Room 5A52, 31 Center Drive MSC 2486, Bethesda, Maryland 20892-2486.

National Institute of Dental and Craniofacial Research, National Institutes of Health, 45 Center Drive, MSC 6400, Bethesda, Maryland 20892-6400.

National Institute of Diabetes and Digestive and Kidney Diseases, National Institutes of Health, Building 31, Room 9A04 Center Drive MSC 2560, Bethesda, Maryland 20892-2560.

National Institute of Neurological Disorders and Stroke, National Institutes of Health, P.O. Box 5801, Bethesda, Maryland 20824.

National Institute of Allergy and Infectious Diseases, National Institutes of Health, Office of Communications and Public Liaison, 6610 Rockledge Drive, MSC 6612, Bethesda, MD 20892-6612.

National Institute of Mental Health, National Institutes of Health, Office of Communications, 6001 Executive Boulevard, Room 8184, MSC 9663, Bethesda, Maryland 20892-9663.

National Institute of General Medical Sciences, National Institutes of Health, 45 Center Drive, MSC 6200, Bethesda, Maryland 20892-6200.

National Institute of Child Health and Human Development, National Institutes of Health, Public Information and Communications Branch, 31 Center Drive, Building 31 Room 2A32, 9000 Rockville Pike, Bethesda, Maryland 20892-2425.

National Eye Institute, National Institutes of Health, 31 Center Drive MSC 2510, Bethesda Maryland 20892-2510.

National Institute of Environmental Health Sciences, National Institutes of Health, P.O. Box 12233, Research Triangle Park, North Carolina 27709.

National Institute on Aging, National Institutes of Health, Building 31, Room 5C27, 31 Center Drive, MSC 2292, Bethesda, Maryland 20892-2292.

National Institute of Arthritis and Musculoskeletal and Skin Diseases, National Institutes of Health, Information Clearinghouse, 1 AMS Circle, Bethesda, Maryland 20892-3675.

National Institute of Deafness and Other Communication Disorders, National Institutes of Health, 31 Center Drive, MSC 2320, Bethesda, Maryland 20892-2320.

National Institute on Drug Abuse, National Institutes of Health, 6001 Executive Boulevard, Room 5213, Bethesda, Maryland 20892-9561.

National Center for Research Resources, National Institutes of Health, One Rockledge Center, Room 6070, 6705 Rockledge Drive, Bethesda, Maryland 20892-7965.

National Institute for Nursing Research, National Institutes of Health, Building 31, Room 5B25, 9000 Rockville Pike, Bethesda, Maryland 20892-2178.

National Institute on Alcohol Abuse and Alcoholism, National Institutes of Health, 5635 Fishers Lane, MSC 9304, Bethesda, Maryland 20892-9304.

National Human Genome Research Institute, National Institutes of Health, Building 31, Room 4B09, 31 Center Drive, MSC 2152, 9000 Rockville Pike, Bethesda, Maryland 20892-2152.

Office of Financial Management, National Institutes of Health, Building 31, Room B1B47, 9000 Rockville Pike, Bethesda, Maryland 20892.