[Federal Register Volume 59, Number 32 (Wednesday, February 16, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-3541]


[[Page Unknown]]

[Federal Register: February 16, 1994]


=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of the Secretary

 

Privacy Act of 1974: Altered System of Records

AGENCY: Office of the Assistant Secretary for Management and Budget, 
Office of the Secretary, HHS.

ACTION: Notice of an altered system of records.

-----------------------------------------------------------------------

SUMMARY: The U.S. Department of Health and Human Services (HHS) 
proposes to amend the system notice for its system of records 09-90-
0024, the Financial Transactions of HHS Accounting and Finance Offices, 
by adding routine use Number 16. This routine use would enable the 
Department to disclose necessary information to automated data 
processing contractors that have been hired to develop, test, or 
operate automated data processing systems to be used for processing the 
financial and accounting transactions of HHS.

DATES: HHS invites interested parties to submit comments on the 
proposed routine use on or before March 18, 1994. HHS has sent a Report 
of Altered System to the Congress and to the Office of Management and 
Budget (OMB) on February 10, 1994. The alteration to the system will be 
effective 40 days from the date submitted to OMB unless HHS receives 
comments which would result in a contrary determination.

ADDRESSES: Please address comments to: Deputy Assistant Secretary, 
Finance, Room 739-H, Hubert H. Humphrey Building, 200 Independence Ave, 
SW., Washington, DC 20201.
    Comments received will be available for inspection at this same 
address from 9 a.m. to 3 p.m. Monday through Friday.

FOR FURTHER INFORMATION CONTACT:
Sue Mundstuk, DASF Privacy Act Coordinator, Room 705-D, Hubert H. 
Humphery Building, 200 Independence Ave, SW, Washington, DC 20201, 
Telephone: (202) 690-6228.

SUPPLEMENTARY INFORMATION: The system notice was last published at 53 
FR 11707 (1988). The proposed routine use is to enable the agency to 
disclose to a contractor so that it can develop, test, or operate 
automated data processing systems to be used for processing these 
financial transactions. This use meets the compatibility of purpose 
criterion since the financial records have been collected to process 
and keep track of individual financial transactions, and the automated 
data processing system being serviced by the contractor will be used 
for that purpose.
    The complete system notice is republished below.

    Dated: February 7, 1994.
Kenneth S. Apfel,
Assistant Secretary for Management and Budget.
09-90-0024
    Financial Transactions of HHS Accounting and Finance Offices, HHS/
OS/ASMB.
    None.
    See Appendix 1.
    Memoranda copies of claims submitted for reimbursement of travel 
and other expenditures while on official business may also be 
maintained at the administrative office of the HHS employee. Records 
concerning delinquent debts may also be maintained at the program 
office or by designated claims officers apart from the finance office.
    All persons who receive a payment from OPDIV/Agency/Regional 
finance offices and all persons owing monies to these HHS offices. 
Persons receiving payments include, but are not limited to, travelers 
on official business, grantees, contractors, consultants, and 
recipients of loans and scholarships. Persons owing monies include, but 
are not limited to, persons who have been overpaid and who owe HHS a 
refund and persons who have received from HHS goods or services for 
which there is a charge or fee (e.g. Freedom of Information Act 
requesters).
    Name, identification number, address, purpose of payment, 
accounting classification and amount paid. Also, in the event of an 
overpayment and for delinquent loans, grants or scholarships, the 
amount of the indebtedness, the repayment status and the amount to be 
collected.
    Budget and Accounting Act of 1950 (Pub. L. 81-784). Debt Collection 
Act of 1982 (Pub. L. 97-365).
    These records are an integral part of the accounting systems at 
operating division, agency, regional office and specific area 
locations. The records are used to keep track of all payments to 
individuals, exclusive of salaries and wages, based upon prior entry 
into the systems of the official commitment and obligation of 
government funds. When an individual is to repay funds advanced as a 
loan or scholarship, etc., the records will be used to establish a 
receivable record and to track repayment status. In the event of an 
overpayment to an individual, the record is used to establish a 
receivable record for recovery of the amount claimed. The records are 
also used internally to develop reports to the Internal Revenue Service 
and applicable state and local taxing officials of taxable income. This 
is a Departmentwide notice of payment and collection activities at all 
locations listed in Appendix 1.
    1. Records will be routinely disclosed to the Treasury Department 
for check preparation.
    2. Records may be disclosed to members of Congress concerning a 
Federal financial assistance program. Also, disclosure may be made to a 
congressional office from an individual's record in response to an 
inquiry from the congressional office made at the request of the 
individual.
    3. In the event the Department deems it desirable or necessary, in 
determining whether particular records are required to be disclosed 
under the Freedom of Information Act, disclosure may be made to the 
Department of Justice for the purpose of obtaining its device.
    4. A record from this system of records may be disclosed as a 
``routine use'' to a Federal, State or local agency maintaining civil, 
criminal or other relevant enforcement records or other pertinent 
records, such as current licenses, if necessary to obtain a record 
relevant to an agency decision concerning the hiring or retention of an 
employee, the issuance of a security clearance, the letting of a 
contract or the issuance of a license, grant or other benefit.
    5. A record from this system of records may be disclosed to a 
Federal agency, in response to its request, in connection with the 
hiring or retention of an employee, the issuance of a security 
clearance, the reporting of an investigation of an employee, the 
letting of a contract or the issuance of a license, grant, 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.
    6. Where Federal agencies having the power to subpoena other 
Federal agencies' records, such as the Internal Revenue Service or the 
Civil Rights Commission, issue a subpoena to the Department for records 
in this system of records, the Department will make such records 
available.
    7. Where a contract between a component of the Department and a 
labor organization recognized under E.O. 11491 provides that the agency 
will disclose personal records relevant to the organization's mission, 
records in the system of records may be disclosed to such organization.
    8. A record may be disclosed to the Department of Justice, to a 
court, or other tribunal, or to another party before such tribunal, 
when: (1) HHS, or any component thereof; (2) Any HHS employee in his or 
her official capacity; (3) 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 (4) 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 
tribunal, or the 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.
    9. A record about a loan applicant or potential contractor or 
grantee may be disclosed to credit reporting agencies to obtain a 
credit report in order to determine his/her creditworthiness.
    10. When an individual applies for a loan under a loan program as 
to which the OMB has made a determination under I.R.C. 6103(a)(3), a 
record about his/her application may be disclosed to the Treasury 
Department to find out whether he/she has a delinquent tax account, for 
the sole purpose of determining his/her creditworthiness.
    11. A record from this system may be disclosed to the following 
entities in order to help collect a debt owed the United States:
    a. To another Federal agency so that agency can effect a salary 
offset;
    b. To another Federal agency so that agency can effect an 
administrative offset under common law or under 31 U.S.C. 3716 
(withholding from money payable to, or held on behalf of, the 
individual);
    c. To the Treasury Department to request his/her mailing address 
under I.R.C. 6103(m)(2) in order to locate him/her or in order to have 
a credit report prepared;
    d. To agents of the Department and to other third parties, 
including credit reporting agencies, to help locate him/her or to 
obtain a credit report on him/her, in order to help collect or 
compromise a debt;
    e. To debt collection agents under 31 U.S.C. 3718 or under common 
law to help collect a debt; and
    f. To the Justice Department for litigation or for further 
administrative action.
    Disclosure under part (d) of this use is limited to the 
individual's name, address, Social Security number, and other 
information necessary to identify him/her. Disclosure under parts (a)-
(c) and (e) is limited to those items; the amount, status, and history 
of the claim; and the agency or program under which the claim arose. An 
address obtained from IRS may be disclosed to a credit reporting agency 
under part (d) only for purposes of preparing a commercial credit 
report on the individual. Part (a) applies to claims or debts arising 
or payable under the Social Security Act only if the employee consents 
in writing to the offset.
    12. A record from this system may be disclosed to another Federal 
agency that has asked the Department to effect an administrative offset 
under common law or under 31 U.S.C. 3716 to help collect a debt owed 
the United States. Disclosure under this routine use is limited to: 
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 
administrative offset.
    13. Disclosure with regard to claims or debts arising under or 
payable under the Social Security Act may be made from this system to 
``consumer reporting agencies'' as defined in the Fair Credit Reporting 
Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1986 
(31 U.S.C. 3701(a)(3)). However, this disclosure will not be made with 
regard to debts from overpayments to beneficiaries under Title II (Old-
Age, Survivors, and Disability Insurance) and Title XVI (Supplementary 
Security Income) of this Act. The purpose of this disclosure is to aid 
in the collection of outstanding debts owed the Federal Government. 
Disclosure of records is limited to the individual's name, address, 
Social Security number, and other information necessary to establish 
the individual's identity; the amount, status, and history of the 
claim; and the agency or program under which the claim arose.
    14. Information in this system of records is used to prepare W-2 
and 1099 Forms to submit to the Internal Revenue Service and applicable 
state and local governments items considered to be included as income 
to an individual: certain travel related payments to employees, all 
payments made to persons not treated as employees (e.g. fees to 
consultants and experts), and amounts written-off as legally or 
administratively uncollectible, in whole or in part.
    15. A record may be disclosed to banks enrolled in the Treasury 
Credit Card Network to collect a payment or debt when the individual 
has given his/her credit card number for this purpose.
    16. Records may be disclosed to a contractor (and/or to its 
subcontractor) who has been engaged to perform services on an automated 
data processing system used in processing financial transactions. The 
contractor may have been engaged to develop, modify and test a new 
automated data processing (ADP) system, including both software and 
hardware upgrades or enhancements to such a system; perform periodic or 
major maintenance on an existing ADP system; audit or otherwise 
evaluate the performance of such an ADP system; and/or operate such an 
ADP system.
    Disclosure pursuant to 5 U.S.C. 552a(b)(12): Disclosure may be made 
from this system to ``consumer reporting agencies'' as defined in the 
Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the Federal Claims 
Collection Act of 1966 (31 U.S.C. 3701(a)(3)). The purpose of this 
disclosure is to aid in the collection of outstanding debts owed to the 
Federal Government, typically, to provide an incentive for debtors to 
repay delinquent Federal Government debts by making these debts part of 
their credit records. Disclosure of records is limited to the 
individual's name, address, Social Security number, and other 
information necessary to establish the individual's identity; the 
amount, status and history of the claim; and the agency or program 
under which the claim arose. The disclosure will be made only after the 
procedural requirements of 31 U.S.C. 3711(f) have been followed.
    Hard copy documents are manually filed at agency and regional 
office sites; and on disc pack and magnetic tape at central computer 
sites.
    This varies according to the particular accounting system within 
the Operating Division, Agency and Regional Office. Usually the hard 
copy document is filed by name within accounting classification. 
Computer records may be indexed by social security number and voucher 
number. Intra-departmental uses and transfers concern the validation 
and certification for payment, and for HHS internal audits.
    1. Authorized users: Employees and officials directly responsible 
for programmatic or fiscal activity, including administrative and staff 
personnel, financial management personnel, computer personnel, and 
managers who have responsibilities for implementing HHS funded 
programs.
    2. Physical safeguards: File folders, reports and other forms of 
personnel data, and electronic diskettes are stored in areas where fire 
and life safety codes are strictly enforced. All documents and 
diskettes are protected during lunch hours and nonworking hours in 
locked file cabinets or locked storage areas. Magnetic tapes and 
computer matching tapes are locked in a computer room and tape vault.
    3. Procedural safeguards: Password protection of automated records 
is provided. All authorized users protect information from public view 
and from unauthorized personnel entering an office. The safeguards 
described above were established in accordance with HHS Chapter 45-13 
of the General Administration Manual; and the HHS ADP Systems Manual 
Part 6, ``ADP Systems Security.''
    Records are purged from automated files once the accounting purpose 
has been served; printed copy and manual documents are retained and 
disposed of in accordance with General Accounting Office principles and 
standards as authorized by the National Archives and Records Service.
    See Appendix 2.
    Inquiries are to be made, either in writing or in person, to the 
organizations listed under ``Location'' in appendix 1, with the 
exception of Food and Drug Administration records. For those records, 
contact: FDA Privacy Act Coordinator (HFW-30), Food and Drug 
Administration, 5600 Fishers Lane, Rockville, MD 20857.
    Give name and social security number, purpose of payment or 
collection (travel, grant, etc.) and, if possible, the agency 
accounting classification.
    Same as notification procedures. Requesters should also clearly 
specify the record contents being sought, and may include a request for 
an accounting of disclosures that have been made of their records, if 
any. (These access procedures are in accordance with Department 
regulations (45 CFR 5b.5(a)(2)).)
    Contact the official at the address specified under notification 
procedure above, and 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.
    Travel vouchers submitted by the individual; grant, contract and 
loan award document; delinquent loan, grant and scholarship record; 
consultant invoice of services rendered; and application for travel 
advance.
    None.

Appendix 1

Location

    Payments to and Collections from individual records are located 
at the following HHS Regional Offices:

Regional Office I, John F. Kennedy Federal Building, Boston, MA 
02203
Regional Office II, 26 Federal Plaza, Room 41-106, New York, NY 
10278
Regional Office III, 3535 Market Street, PO Box 13716, Philadelphia, 
PA 19101
Regional Office IV, 101 Marietta Tower, Atlanta, GA 30323
Regional Office V, 105 West Adams St., Chicago, IL 60603
Regional Office VI, 1200 Main Tower, Room, 935, Dallas, TX 75202
Regional Office VII, Federal Office Building, Kansas City, MO 64106
Regional Office VIII, Federal Office Building, 1961 Stout Street, 
Denver, CO 80294-3538
Regional Office IX, Federal Office Building, Room 411, 50 United 
Nations Plaza, San Francisco, CA 94102
Regional Office X, 2201 6th Avenue, Seattle, WA 98121.

    Payments to and Collections from individuals records are located 
at the following HHS Operating Division and Agency Headquarters and 
Field Offices:

Office of the Secretary (to include the records of Administration 
for Children and Families) Hubert H. Humphrey Building, 200 
Independence Avenue, SW., Division of Accounting Operations, 
Washington, DC 20201.

Indian Health Service

Headquarters IHS, 5600 Fishers Lane, Room 6A-30, Rockville MD 20857
Aberdeen Area IHS, Federal Building, 115 Fourth Ave., SE, Aberdeen, 
SD 57401
Alaska Area IHS, 250 Gambell St., Anchorage, AK 99501
Albuquerque Area Office, 505 Marquette NW, Suite 1502, Albuquerque, 
NM 57102-2163
Albuquerque Headquarters West IHS, 300 San Mateo, NE, Suite 500, 
Albuquerque, NM 87108
Bemidji Area IHS, 203 Federal Building, Bemidji, MN 56601
Billings Area IHS, 711 Central Ave., Billings, MT 59103
California Area IHS, 1825 Bell St., Sacramento, CA 95825-1097
Nashville Area IHS, 3310 Perimeter Hill Dr., Nashville, TN 37211
Navajo Area IHS, PO Box ``G'', Window Rock, AZ 86515-5004
Oklahoma Area IHS, 3625 NW 56th St., Five Corporation Plaza, 
Oklahoma City, OK 73112
Phoenix Area IHS, 3738 North 16th St., Suite ``A'', Phoenix, AZ 
85016-5981
Portland Area IHS, 1220 SW Third Ave., Room 476, Portland, OR 97204-
2892
Office of Health Program Research and Development IHS, 7900 South 
``J'' Stock Rd., Tucson, AZ 85746-9352.

Public Health Service

Centers for Disease Control and Prevention, Financial Management 
Office (E-12), 1600 Clifton Road, NE, Atlanta, GA 30333
Centers for Disease Control and Prevention, Accounting Section 
(C05), Robert A. Taft Laboratories, 4676 Columbia Parkway, 
Cincinnati, OH 45226
Food and Drug Administration, Parklawn Building, HFA-120, 5600 
Fishers Lane, Rockville, MD 20857
Food and Drug Administration, 60 Eighth Street, NE, Atlanta, GA 
30309
Food and Drug Administration, Boston District Office, One Montvale 
Avenue, Stoneham, MA 62180
Food and Drug Administration, 599 Delaware Avenue, Buffalo, NY 14202
Food and Drug Administration, Room 700, Federal Office Building, 850 
3rd Avenue (at 30th Street), Brooklyn, NY 11232
Food and Drug Administration, 61 Main Street, West Orange, NJ 07052
Food and Drug Administration, room 1204, US Customhouse, 2nd and 
Chestnut Streets, Philadelphia, PA 19106
Food and Drug Administration, 900 Madison Avenue, Baltimore, MD 
21201
Food and Drug Administration, San Juan District Office, PO Box 5719 
PTA, De Tierra Station, San Juan, PR 00906-5719
Food and Drug Administration, Room 1222, Main Post Office Building, 
433 West Van Buren Street, Chicago, IL 60607
Food and Drug Administration, 1560 East Jefferson Avenue, Detroit, 
MI 48207
Food and Drug Administration, 1141 Central Parkway, Cincinnati, OH 
45202
Food and Drug Administration, 240 Hennepin Avenue, Minneapolis, MN 
55401
Food and Drug Administration, 3032 Bryan Street, Dallas, TX 75204
Food and Drug Administration, 4298 Elysian Fields, New Orleans, LA 
70122
Food and Drug Administration, National Center for Toxicological 
Research, Jefferson, AR 72079
Food and Drug Administration, 1009 Cherry Street, Kansas City, MO 
64106
Food and Drug Administration, Room 1002, US Courthouse and 
Courthouse Building, 1114 Market Street, St. Louis, MO 63101
Food and Drug Administration, Building 20, Denver Federal Center, 
PO. Box 25087, Denver, CO 80255-0087
Food and Drug Administration, Federal Office Building, Room 506, 50 
U.N. Plaza, San Francisco, CA 94102
Food and Drug Administration, 1521 West Pico Boulevard, Los Angeles, 
CA 90015
Food and Drug Administration, 22201 23rd Avenue, SE., Bothell, WA 
98021-4421.

National Institutes of Health

National Institutes of Health, Operations Accounting Branch, 
Building 31 Room B1B58, 9000 Rockville Pike, Bethesda, MD 20014
National Institutes of Health, Building 1, Room 222, Rocky Mountain 
laboratory, Hilton, MT 59840
National Institutes of Health, National Institute of Mental Health, 
WAW Building, Room 562, St. Elizabeth's Hospital, Washington, DC 
20032
National Institutes of Health, Frederick Cancer Research Facility, 
Fort Detrick Building, Room 427, Frederick, MD 21702-1201
National Institutes of Health, National Institutes of Environmental 
Health Sciences, Building 101, Room B2-03, Research Triangle Park, 
NC 27709
National Institutes of Health, National Institute on Drug Abuse, 
Addiction Research Center, 4940 Eastern Avenue, Building C, Room 
248, Baltimore, MD 21224
National Institutes of Health, National Institute on Aging, 
Gerontology Research Center, 4940 Eastern Avenue, Room 1-E-15, 
Baltimore, MD 21224
Social Security Administration, Division of Finance, Administrative 
Collections, PO Box 17052, Baltimore, MD 21235
Social Security Administration, Division of Finance, Vendor Payment 
Inquiries, PO Box 47, Baltimore, MD 21235
Social Security Administration, Office of Disability Operations, PO 
Box 1039, Baltimore, MD 21241

Title II:

Social Security Administration--Title II, Northeastern Program 
Service Center, PO Box 4400, Jamaica, NY 11431
Social Security Administration--Title II, Mid-Atlantic Program 
Service Center, PO Box 3430, Philadelphia, PA 19122
Social Security Administration--Title II, Southeastern Program 
Service Center, PO Box 830580, Birmingham, AL 35282-9688
Social Security Administration--Title II, Great Lakes Program 
Service Center, PO Box 4471, Chicago, IL 60680
Social Security Administration--Title II, Western Program Service 
Center, PO Box 1909, Richmond, CA 94802-9966
Social Security Administration--Title II, Mid-America Program 
Service Center, PO Box 15528, Kansas City, MO 64106-9937
Social Security Administration--Title XVI, Northeastern Program 
Service Center, PO Box 4500, Jamaica, NY 11431
Social Security Administration--Title XVI, Mid-Atlantic Program 
Service Center, PO Box 3490, Philadelphia, PA 19122
Social Security Administration--Title XVI, Southeastern Program 
Service Center, PO Box 12263, Birmingham, AL 35282-3678
Social Security Administration--Title XVI, Great Lakes Program 
Service Center, PO Box 5931, Chicago, IL 60680
Social Security Administration--Title XVI, Western Program Service 
Center, PO Box 4055, Richmond, CA 94804-9941
Social Security Administration--Title XVI, Mid-America Program 
Service Center, PO Box 15627, Kansas City, MO 64106-9937
Health Care Financing Administration, Gwynn Oak Avenue, Baltimore, 
MD 21235.

    Payments to and Collections from individual records maintained 
by the Payment Management System at the following central payment 
office for Grants and contracts:

Public Health Service, Division of Payment Management, Box 6021, 
Rockville, MD 20852.

Appendix 2

    Systems Manager, Departmental principles and standards 
concerning the system of records are the responsibility of:

Department of Health and Human Services, Assistant Secretary for 
Management and Budget, Office of the Secretary, Room 510A, Hubert H. 
Humphrey Building, Washington, DC 20201

    Operational responsibilities are as follows:

     For payment and Collections from individual records at 
Department and Regional Offices: Department of Health and Human 
Services, Office of the Secretary and Headquarters for Regional 
Operations, Finance, Room 750D, Hubert H. Humphrey Building, 
Washington, DC 20201.
     For Payments and Collections from individual records at 
Principal Operating Component Offices (CDC, FDA, NIH, SAMHSA, HRSA, 
ASH, IHS, AHCPR):
Public Health Service, Director, Division of Financial Management, 
Room 16-05, Parklawn Building, 5600 Fishers Lane, Rockville, MD 
20857
Social Security Administration, Director, Office of Financial 
Management, Room 840, Annex Social Building, Baltimore, MD 21235
Administration for Children and Families, Director, Office of 
Financial Management, 370 L'Enfant Promenade, SW., 6th Floor, 
Washington, DC 20447
Health Care Financing Administration, Director, Office of Management 
and Budget, Room G-P-4, East High Rise Building, 8401 Security Blvd, 
Baltimore, MD 21235
    or
Health Care Financing Administration, Room H1, Hubert H. Humphrey 
Building, 200 Independence Ave, SW., Washington, DC 20201.

[FR Doc. 94-3541 Filed 2-15-94; 8:45 am]
BILLING CODE 4150-04