The PHS requests Social Security numbers for accurate identification, referral, and review of progress reports, and for management of PHS grant programs. Provision of the Social Security number is voluntary. No individual will be denied any right, benefit, or privilege provided by law because of refusal to disclose his or her Social Security number. The PHS requests Social Security numbers under Sections 301 (a) and 487 of the PHS Act as amended (42 USC 241a and 42 USC 288).
The Privacy Act of 1974 (5 USC 552a) is a records management statute and regulates the collection, maintenance, use, and dissemination of personal information by Federal agencies. In accordance with the Act, the PHS is required to provide the following notification to each individual from whom information is requested.
The PHS maintains progress reports and grant records pursuant to its statutory authority for awarding grants. The purpose of the information collection is to aid in the review, award, and administration of PHS programs. Provision of information is voluntary; however, a lack of sufficient information may hinder the PHS' ability to review progress reports, monitor grantee performance, or perform overall management of grant programs.
The Privacy Act authorizes discretionary disclosure of this information within the Department of Health and Human Services (DHHS) and outside the Agency to the public, as required by the Freedom of Information Act and the associated DHHS regulations (45 CFR 5), including: Congress acting within its legislative authority; the National Archives; the General Accounting Office; the Bureau of Census; law enforcement agencies; and pursuant to a court order.
Information may also be disclosed outside the Department for the following purposes:
Under the provisions of the Privacy Act, principal investigators may request copies of records pertaining to their grant progress reports from the PHS component responsible for funding decisions. Principal investigators are given the opportunity under established procedures to request that the records be amended if they believe the records are inaccurate, untimely, incomplete, or irrelevant. If the PHS concurs, the records will be amended.
The PHS makes information about awarded grants available to the public, including the title of the project, the grantee institution, principal investigator, abstract, and amount of the award.
The Freedom of Information Act and implementing DHHS regulations (45 CFR Part 5) require the release of certain information about grants upon request, irrespective of the intended use of the information. Trade secrets and commercial, financial, or otherwise intrinsically valuable information that is obtained from a person or organization and that is privileged or confidential information may be withheld from disclosure. Information, which, if disclosed, would be a clearly unwarranted invasion of personal privacy, may also be withheld from disclosure. Although the grantee institution and the principal investigator will be consulted about any such release, the PHS will make the final determination. Generally available for release, upon request, except as noted above, are: all funded grant progress reports including their derivative funded noncompeting supplemental grant progress reports; pending and funded noncompeting continuation progress reports; progress reports of grantees; and final reports of any review or evaluation of grantee performance conducted or caused to be conducted by the DHHS. Generally not available for release to the public are: competing grant progress reports (initial, competing continuation, and supplemental) for which awards have not been made; evaluative portions of site visit reports; and summary statements of findings and recommendations of review groups.
By regulation (45 CFR 74.36), grantees that are institutions of higher education,
hospitals, or non-profit organizations are required to release research data first produced
in a project supported in whole or in part with Federal funds that are cited publicly and
officially by a Federal agency in support of an action that has the force and effect of law
(e.g., regulations and administrative orders). "Research data" is defined as the recorded
factual material commonly accepted in the scientific community as necessary to validate
research findings. It does not include preliminary analyses; drafts of scientific papers;
plans for future research; peer reviews; communications with colleagues; physical objects
(e.g., laboratory samples, audio or video tapes); trade secrets; commercial information;
materials necessary to be held confidential to a researcher until publication in a peer-reviewed journal; information that is protected under the law (e.g. intellectual property);
personnel and medical files and similar files, the disclosure of which would constitute an
unwarranted invasion of personal privacy or information that could be used to identify a
particular person in a research study.
These requirements do not apply to commercial organizations or to research data produced by State or local governments. However, if a state or local governmental grantee contracts with an educational institution, hospital or non-profit organization, and the contract results in covered research data, those data are subject to these disclosure requirements.
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