[Federal Register Volume 66, Number 59 (Tuesday, March 27, 2001)]
[Notices]
[Pages 16679-16682]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-7444]



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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Health Care Financing Administration


Privacy Act of 1974; Report of New System of Records

AGENCY: Department of Health and Human Services (HHS), Health Care 
Financing 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, ``1-800 
Medicare Choices Helpline (HELPLINE), HHS/HCFA/CBS System No. 09-70-
0535.'' HCFA proposes a new system of records collecting data under the 
authority of Public Law 105-33, the Balanced Budget Act (BBA) of 1997. 
The primary purpose of the system of records is to provide general 
information to beneficiaries and future beneficiaries so that they can 
make informed Medicare decisions. Information retrieved from this 
system of records will also be used to support regulatory and policy 
functions performed within the agency or by a contractor or consultant; 
constituent requests made to a congressional representative; and 
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 the ``routine use'' portion of the system be 
published for comment, HCFA invites comments on all portions of this 
notice. See EFFECTIVE DATES section for comment period.

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 March 20, 2001. 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: Carol Davis, Project Officer, Division 
of Call Center Operations, Customer Teleservice Operations Group, 
Center for Beneficiary Services, HCFA, 7500 Security Boulevard, C2-26-
20, Baltimore, Maryland 21244-1850.

SUPPLEMENTARY INFORMATION:

I. Description of the Modified System of Records

Statutory and Regulatory Basis for System of Records

    In accordance with the requirements of the Privacy Act of 1974, we 
are proposing to establish a new system of records, called ``1-800-
Medicare Choices Helpline (HELPLINE), Systems No. 09-70-0535.'' HCFA 
proposes to initiate this new system of records collecting data under 
the authority of 41 CFR Chapter 101-20.302, Conduct on Federal 
Property, and OMB Circular A-123, Internal Control Systems and Public 
Law 105-3, the Balanced Budget Act of 1997.
    HCFA is mandated to provide for activities to broadly disseminate 
information to Medicare beneficiaries and prospective Medicare 
beneficiaries on the coverage options provided under the Medicare + 
Choice program in order to promote an active, informed selection among 
such options. The information campaign shall include general 
information, information comparing plan options, and information on 
Medigap and Medicare Select. This information is to be provided through 
toll-free telephone service, Internet Site, Print, and local education 
and outreach.
    The collected information will contain name, address, telephone 
number, and Health Insurance Claim (HIC) Number, as well as, background 
information relating to Medicare or Medicaid issues. The HELPLINE will 
also maintain a caller history in the desktop for purposes of re-
contacts by customer service representatives or HCFA.

II. Collection and Maintenance of Data in the System

A. Scope of the Data Collected

    The collected information will contain name, address, telephone 
number, and health insurance claim number, email address and background 
information relating to Medicare or Medicaid issues.

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

    We are establishing the following policies, procedures and 
restrictions on routine uses of this system. In general, disclosure of 
information from the system of records will be approved only for the 
minimum information necessary to accomplish the purpose of the 
disclosure after HCFA:
    (a) Determines that the use or disclosure is consistent with the 
reason that the data is being collected; e.g., provide general 
information to beneficiaries so that they can make informed decisions.
    (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 patient-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

    The Privacy Act permits us to disclose information without an 
individual's consent if the information is to be used for a purpose 
that is compatible with the purpose(s) for which the information was 
collected. Any such compatible use of data is known as a ``routine 
use.'' The proposed routine use in this system meets the compatibility 
requirement of the Privacy Act. HCFA is proposing to disclose 
information from this system of records under the following routine 
uses.
    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.

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    We contemplate disclosing information under this routine use only 
in situations in which HCFA may enter into a contractual or similar 
agreement with a third party to assist in accomplishing HCFA functions 
relating to purposes of this system of records.
    HCFA occasionally contracts out certain of its functions when this 
would contribute to effective and efficient operations. HCFA must be 
able to give a contractor whatever information is necessary for the 
contractor to fulfill its duties. In these situations, safeguards are 
provided in the contract prohibiting the contractor 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.
    Beneficiaries sometimes 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 purposes served by the use of the 
information in the particular litigation is compatible with a purpose 
for which HCFA collects the information.

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 Index (QI) 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 
HELPLINE system:
    Access to all servers is controlled, with access limited to only 
those support personnel with 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 
that 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 adequate 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 State 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 State agency level.
     Inactivity Lockout--Access to the NT workstation is 
automatically locked after a specified period of inactivity.
     Warnings--Legal notices and security warnings display on 
all servers and when servers are accessed by workstations.
     Remote Access Security--Windows NT Remote Access Service 
(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 HELPLINE 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 HELPLINE transmission 
connections to the system. As a result, Netscape controls all HELPLINE 
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 (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

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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; Information Resource Management (IRM) 
Circular #10; DHHS 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 HELPLINE 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 
functions. 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 of records.

    Dated: March 14, 2001.
Michael M. McMullan,
Acting Deputy Administrator, Health Care Financing Administration.
09-70-0535

System Name:
    Medicare Choices Helpline (HELPLINE), HHS/HCFA/CBS.

SECURITY CLASSIFICATION:
    Level 3, Privacy Act Sensitive.

System Location:
    HCFA Data Center, 7500 Security Boulevard, North Building, First 
Floor, Baltimore, Maryland 21244-1850.

Categories of Individuals Covered by the System:
    All beneficiaries and callers to the call center who require a 
written response.

Categories of Records in the System:
    This system contains the beneficiary's name and/or caller's name, 
social security number, Health Insurance Claim (HIC) number, phone 
number, and background information relating to Medicare or Medicaid 
related issues.

Authority for Maintenance of the System:
    41 CFR Chapter 101-20.302, Conduct on Federal Property, OMB 
Circular A-123, Internal Control Systems and Public Law 105-3, the 
Balanced Budget Act of 1997.

Purpose(s):
    The primary purpose of the system of records is to provide general 
information to beneficiaries and future beneficiaries so that they can 
make informed decisions on their Medicare options.
    Information retrieved from this system of records will also be used 
to support regulatory and policy functions performed within the agency 
or by a contractor or consultant; constituent requests made to a 
congressional representative; and 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 us to disclose information without an 
individual's consent if the information is to be used for a purpose 
that is compatible with the purpose(s) for which the information was 
collected. Any such compatible use of data is known as a ``routine 
use.'' The proposed routine use in this system meets the compatibility 
requirement of the Privacy Act. HCFA is 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:
    The records are retrieved by name and identification number.

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 HELPLINE system. For computerized 
records, 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:
    HCFA will retain HELPLINE data for a total retention of seven (7) 
years after the date of the response to the inquiry.

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System Managers and Address:
    Director, Center for Beneficiary Services, Division of Call Center 
Operations, Customer Teleservice Operations Group, Center for 
Beneficiary Services, HCFA, 7500 Security Boulevard, C2-26-20, 
Baltimore, Maryland 21244-1850.

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

Record Access Procedure:
    For purpose 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 include 
data collected from HELPLINE calls to the 1-800 Medicare Choices 
Helpline.

Systems Exempted from Certain Provisions of the Act:
    None.
[FR Doc. 01-7444 Filed 3-26-01; 8:45 am]
BILLING CODE 4120-03-P