[Federal Register Volume 65, Number 193 (Wednesday, October 4, 2000)]
[Notices]
[Pages 59193-59196]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-25450]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Health Care Financing Administration


Privacy Act of 1974; Report of New System

AGENCY: Health Care Financing, Department of Health and Human Services 
(HHS), Administration (HCFA).

ACTION: Notice of New System of Records.

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SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, we are proposing to establish a new system of records, ``Record 
of Individuals Allowed Regular and Special Parking Privileges at the 
HCFA Building (PRKG), HHS/HCFA/OICS, System No. 09-70-3004.'' PRKG will 
be used as part of our building security plan. All Federal employees 
will be issued parking permits by HCFA to provide regular or special 
parking based on specific needs.
    The primary purpose of the system of records is to issue parking 
permits for the HCFA complex at 7500 Security Boulevard, Baltimore, 
Maryland. Information retrieved from this system of records will also 
be used to support regulatory and policy activities performed within 
the agency or by a contractor or consultant; support constituent 
requests made to a Congressional representative; and to support 
litigation involving the agency related to this system of records. We 
have provided background information about the proposed system in the 
``Supplementary Information'' section below. Although the Privacy Act 
requires only that HCFA provide an opportunity for interested persons 
to comment on the proposed routine uses, HCFA invites comments on all 
portions of this notice. See ``Effective Dates'' section for comment 
period.

EFFECTIVE DATES: HCFA filed a new system report with the Chair of the 
House Committee on Government Reform and Oversight, the Chair of the 
Senate Committee on Governmental Affairs, and the Administrator, Office 
of Information and Regulatory Affairs, Office of Management and Budget 
(OMB) on September 20, 2000. To ensure that all parties have adequate 
time in which to comment, the new system of records, including routine 
uses, will become effective 40 days from the publication of the notice, 
or from the date it was submitted to OMB and the Congress, whichever is 
later, unless HCFA receives comments that require alterations to this 
notice.

ADDRESSES: The public should address comments to: Director, Division of 
Data Liaison and Distribution (DDLD), HCFA, Room N2-04-27, 7500 
Security Boulevard, Baltimore, Maryland 21244-1850. Comments received 
will be available for review at this location, by appointment, during 
regular business hours, Monday through Friday from 9 a.m.-3 p.m., 
eastern time zone.

FOR FURTHER INFORMATION CONTACT: Ms. Kris Zaruba, Division of 
Facilities Management Services, Administrative Services Group, Office 
of Internal Customer Support, HCFA, 7500 Security Boulevard, SLL-11-08, 
Baltimore, Maryland 21244-1850. The telephone number is 410-786-0837.

SUPPLEMENTARY INFORMATION:   

I. Description of the New System of Records

Statutory and Regulatory Basis for System of Records

    HCFA proposes a new system of records collecting data under the 
authority of 5 U.S.C. 301.

II. Collection and Maintenance of Data in the System.

A. Scope of the Data Collected

    The collected information on all HCFA employees and non-HCFA 
employees who require parking privileges at HCFA buildings, will 
contain name, social security number, parking permit number, telephone 
number, work location, position, title and grade, supervisor's name and 
telephone number and background information relating to medical or 
specific parking needs.

B. Agency Policies, Procedures, and Restrictions on the Routine Use

    The Privacy Act permits disclosure of information without an 
individual's consent if the information is to be used for a purpose, 
which is compatible with the purpose(s) for which the information was 
collected. Any such disclosure of data is known as a ``routine use.'' 
The government will only release PRKG information as provided for under 
``Section III. Entities Who May Receive Disclosures Under Routine 
Use.''
    We will only disclose the minimum personal data necessary to 
achieve the purpose of PRKG. HCFA has the following policies and 
procedures concerning disclosures of information, which will be 
maintained in the system. In general, disclosure of information from 
the system of records will be approved only to the extent necessary to 
accomplish the purpose of the disclosure and only after HCFA:
    (a) Determines that the use or disclosure is consistent with the 
reason data is being collected; e.g., implements the regulations and 
directives that established that Federal workers and other authorized 
personnel will be issued parking permits for the HCFA complex.
    (b) Determines:
    (1) That the purpose for which the disclosure is to be made can 
only be accomplished if the record is provided in individually 
identifiable form;
    (2) That the purpose for which the disclosure is to be made is of 
sufficient importance to warrant the effect and/or risk on the privacy 
of the individual that additional exposure of the record might bring; 
and
    (3) That there is a strong probability that the proposed use of the 
data would in fact accomplish the stated purpose(s).
    (c) Requires the information recipient to:
    (1) Establish administrative, technical, and physical safeguards to 
prevent unauthorized use of disclosure of the record;
    (2) Remove or destroy at the earliest time all individually-
identifiable information; and
    (3) Agree to not use or disclose the information for any purpose 
other than the stated purpose under which the information was 
disclosed.
    (d) Determines that the data are valid and reliable.

III. Proposed Routine Use Disclosures of Data in the System

Entities Who May Receive Disclosures Under Routine Use

    The routine use disclosures in this system may occur only to the 
following

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three (3) categories of entities (i.e., the entities, which can get 
identifiable data only if we apply the policies and procedures in 
Section II.B. above). Disclosures may be made:
    1. To agency contractors, or consultants who have been engaged by 
the agency to assist in the performance of a service related to this 
system of records and who need to have access to the records in order 
to perform the activity.
    We contemplate disclosing information under this routine use only 
in situations in which HCFA may enter into a contract or similar 
agreement with a third party to assist in accomplishing HCFA activities 
relating to purposes for this system of records.
    HCFA occasionally contracts out certain of its activities when this 
would contribute to effective and efficient operations. HCFA must be 
able to give a contractor or consultant whatever information is 
necessary for the contractor or consultant to fulfill its duties. In 
these situations, safeguards are provided in the contract prohibiting 
the contractor or consultant from using or disclosing the information 
for any purpose other than that described in the contract and to return 
or destroy all information at the completion of the contract.
    2. 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.
    Constituents may request the help of a Member of Congress in 
resolving some issue relating to a matter before HCFA. The Member of 
Congress then writes HCFA, and HCFA must be able to give sufficient 
information to be responsive to the inquiry.
    3. To the Department of Justice (DOJ), court or adjudicatory body 
when:
    (a) The agency or any component thereof, or
    (b) Any employee of the agency in his or her official capacity, or
    (c) Any employee of the agency in his or her individual capacity 
where the DOJ 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, HCFA determines 
that the records are both relevant and necessary to the litigation.
    Whenever HCFA is involved in litigation, or occasionally when 
another party is involved in litigation and HCFA's policies or 
operations could be affected by the outcome of the litigation, HCFA 
would be able to disclose information to the DOJ, court or adjudicatory 
body involved. A determination would be made in each instance that, 
under the circumstances involved, the records are both relevant and 
necessary to the litigation.

IV. Safeguards

A. Authorized Users

    Personnel having access to the system have been trained in Privacy 
Act requirements. Employees who maintain records in the system are 
instructed not to release any data until the intended recipient agrees 
to implement appropriate administrative, technical, procedural, and 
physical safeguards sufficient to protect the confidentiality of the 
data and to prevent unauthorized access to the data. Records are used 
in a designated work area or workstation and the system location is 
attended at all times during working hours.
    To ensure security of the data, the proper level of class user is 
assigned for each individual user. This prevents unauthorized users 
from accessing and modifying critical data. The system database 
configuration includes five classes of database users:
     Database Administrator class owns the database objects; 
e.g., tables, triggers, indexes, stored procedures, packages, and has 
database administration privileges to these objects;
     Quality Control Administrator class has read and write 
access to key fields in the database;
     Quality Indicator Report Generator class has read-only 
access to all fields and tables;
     Policy Research class has query access to tables, but are 
not allowed to access confidential patient identification information; 
and
     Submitter class has read and write access to database 
objects, but no database administration privileges.

B. Physical Safeguards

    All server sites have implemented the following minimum 
requirements to assist in reducing the exposure of computer equipment 
and thus achieve an optimum level of protection and security for the 
PRKG system:
    Access to all servers is controlled, with access limited to only 
those support personnel with a demonstrated need for access. Servers 
are to be kept in a locked room accessible only by specified management 
and system support personnel. Each server requires a specific log-on 
process. All entrance doors are identified and marked. A log is kept of 
all personnel who were issued a security card, key and/or combination, 
which grants access to the room housing the server, and all visitors 
are escorted while in this room. All servers are housed in an area 
where appropriate environmental security controls are implemented, 
which include measures implemented to mitigate damage to Automated 
Information System (AIS) resources caused by fire, electricity, water 
and inadequate climate controls.
    Protection applied to the workstations, servers and databases 
include:
     User Log-on--Authentication is performed by the Primary 
Domain Controller/Backup Domain Controller of the log-on domain.
     Workstation Names--Workstation naming conventions may be 
defined and implemented at the agency level.
     Hours of Operation--May be restricted by Windows NT. When 
activated all applicable processes will automatically shut down at a 
specific time and not be permitted to resume until the predetermined 
time. The appropriate hours of operation are determined and implemented 
at the agency level.
     Inactivity Log-out--Access to the NT workstation is 
automatically logged out after a specified period of inactivity.
     Warnings--Legal notices and security warnings display on 
all servers and workstations.
     Remote Access Services (RAS)--Windows NT RAS security 
handles resource access control. Access to NT resources is controlled 
for remote users in the same manner as local users, by utilizing 
Windows NT file and sharing permissions. Dial-in access can be granted 
or restricted on a user-by-user basis through the Windows NT RAS 
administration tool.
    There are several levels of security found in the PRKG system. 
Windows NT provides much of the overall system security. The Windows NT 
security model is designed to meet the C2-level criteria as defined by 
the U.S. Department of Defense's Trusted Computer System Evaluation 
Criteria document (DoD 5200.28-STD, December 1985). Netscape Enterprise 
Server is the security mechanism for all PRKG transmission connections 
to the system. As a result, Netscape controls all PRKG information 
access requests. Anti-virus software is applied at both the workstation 
and NT server levels.
    Access to different areas on the Windows NT server are maintained 
through the use of file, directory and share level permissions. These 
different levels of access control provide security that is managed at 
the user and group level within the NT domain. The file and directory 
level access controls rely on the presence of an NT File System

[[Page 59195]]

(NTFS) hard drive partition. This provides the most robust security and 
is tied directly to the file system. Windows NT security is applied at 
both the workstation and NT server levels.

C. Procedural Safeguards

    All automated systems must comply with Federal laws, guidance, and 
policies for information systems security. These include, but are not 
limited to: the Privacy Act of 1974; the Computer Security Act of 1987; 
OMB Circular A-130, revised; HHS, Information Resource Management (IRM) 
Circular #10; HHS Automated Information Systems Security Program; the 
HCFA Information Systems Security Policy and Program Handbook; and 
other HCFA systems security policies. Each automated information system 
should ensure a level of security commensurate with the level of 
sensitivity of the data, risk, and magnitude of the harm that may 
result from the loss, misuse, disclosure, or modification of the 
information contained in the system.

V. Effect of the Proposed System of Records on Individual Rights

    HCFA proposes to establish this system in accordance with the 
principles and requirements of the Privacy Act and will collect, use, 
and disseminate information only as prescribed therein. Data in this 
system will be subject to the authorized releases in accordance with 
the routine uses identified in this system of records.
    HCFA will monitor the collection and reporting of PRKG data. HCFA 
will take precautionary measures (see item IV. above) to minimize the 
risks of unauthorized access to the records and the potential harm to 
individual privacy or other personal or property rights. HCFA will 
collect only that information necessary to perform the system's 
activities. In addition, HCFA will make disclosure from the proposed 
system only with consent of the subject individual, or his/her legal 
representative, or in accordance with an applicable exception provision 
of the Privacy Act.
    HCFA, therefore, does not anticipate an unfavorable effect on 
individual privacy as a result of maintaining this system.

    Dated: September 18, 2000.
Nancy-Ann Min DeParle,
Administrator, Health Care Financing Administration.
09-70-3004

System Name:
    Record of Individuals Allowed Regular and Special Parking 
Privileges at the Health Care Financing Administration (HCFA) Building 
(PRKG), HHS/HCFA/OICS.

Security Classification:
    Level Three, Privacy Act Sensitive Data

System Location:
    HCFA Data Center, 7500 Security Boulevard, North Building, and the 
Office of Internal Customer Support, South Building, Lower Level, 
Baltimore, Maryland 21244-1850.

Categories of Individuals Covered by the System:
    All Federal employees who require parking privileges at HCFA 
buildings.

Categories of Records in the System:
    This system contains the collected information on all Federal 
employees at HCFA buildings, i.e., name, social security number, 
parking permit number, telephone number, work location, position, title 
and grade, supervisor's name and telephone number and background 
information relating to medical or specific parking needs.

Authority for Maintenance of the System:
    5 U.S.C. 301.

Purpose (S) of the System:
    The primary purpose of the system of records is to issue parking 
permits for the HCFA complex at 7500 Security Boulevard, Baltimore, 
Maryland. Information retrieved from this system of records will also 
be used to support regulatory and policy activities performed within 
the agency or by a contractor or consultant; support constituent 
requests made to a Congressional representative; and to support 
litigation involving the agency related to this system of records.

Routine Uses of Records Maintained in the System, Including Categories 
or Users and the Purposes of Such Uses:
    The Privacy Act permits disclosure of information without an 
individual's consent if the information is to be used for a purpose, 
which is compatible with the purpose(s) for which the information was 
collected. Any such compatible use of data is known as a ``routine 
use''. We are proposing to disclose information from this system of 
records under the following routine uses. These routine uses are 
discussed in detail in the attached Preamble.
    1. To agency contractors, or consultants who have been engaged by 
the agency to assist in the performance of a service related to this 
system of records and who need to have access to the records in order 
to perform the activity.
    2. 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.
    3. To the Department of Justice (DOJ), court or adjudicatory body 
when:
    (a) The agency or any component thereof, or
    (b) Any employee of the agency in his or her official capacity, or
    (c) Any employee of the agency in his or her individual capacity 
where the DOJ 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, HCFA determines 
that the records are both relevant and necessary to the litigation.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Information is maintained on paper, computer diskette and on 
magnetic storage media.

Retrievability:
    Name and parking permit identification number are used to retrieve 
the records.

Safeguards:
    HCFA has safeguards for authorized users and monitors such users to 
ensure against excessive or unauthorized use. Personnel having access 
to the system have been trained in the Privacy Act and systems security 
requirements. Employees who maintain records in the system are 
instructed not to release any data until the intended recipient agrees 
to implement appropriate administrative, technical, procedural, and 
physical safeguards sufficient to protect the confidentiality of the 
data and to prevent unauthorized access to the data.
    In addition, HCFA has physical safeguards in place to reduce the 
exposure of computer equipment and thus achieve an optimum level of 
protection and security for the PRKG system. For computerized records,

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safeguards have been established in accordance with HHS standards and 
National Institute of Standards and Technology guidelines; e.g., 
security codes will be used, limiting access to authorized personnel. 
System securities are established in accordance with HHS, Information 
Resource Management (IRM) Circular #10, Automated Information Systems 
Security Program; HCFA Automated Information Systems (AIS) Guide, 
Systems Securities Policies; and OMB Circular No. A-130 (revised), 
Appendix III.

Retention and Disposal:
    All records are destroyed one year after parking privileges are 
terminated.

System Manager and Address:
    Director, Division of Facilities Management Services, 
Administrative Services Group, Office of Internal Customer Support, 
HCFA, 7500 Security Boulevard, Baltimore, Maryland, 21244-1850.

Notification Procedure:
    For purposes of access, the subject individual should write to the 
system manager who will require the system name, parking permit number, 
and for verification purposes, the subject individual's name (woman's 
maiden name, if applicable), address, date of birth, sex, and social 
security number (SSN) (furnishing the SSN is voluntary, but it may make 
searching for a record easier and prevent delay).

Record Access Procedure:
    For purposes of access, use the same procedures outlined in 
Notification Procedures above. Requestors should also reasonably 
specify the record contents being sought. (These procedures are in 
accordance with Department regulation 45 CFR 5b.5(a)(2).)

Contesting Record Procedures:
    The subject individual should contact the system manager named 
above, and reasonably identify the record and specify the information 
to be contested. State the corrective action sought and the reasons for 
the correction with supporting justification. (These procedures are in 
accordance with Department regulation 45 CFR 5b.7.)

Record Source Categories:
    Sources of information contained in this records system are 
received from the individual requesting parking privileges on HCFA Form 
182 04/99.

Systems Exempted from Certain Provisions of the Act:
    None.
[FR Doc. 00-25450 Filed 10-3-00; 8:45 am]
BILLING CODE 4120-03-P