09-90-0024 SYSTEMS
LISTING
System name:
Unified
Financial Management System, HHS/OS.
Security
classification:
None.
System
location:
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 and/or program
office of the HHS employee. Records concerning outstanding debts may also be
maintained at the program office or by the designated claims officer apart from
the finance office.
Categories
of individuals covered by the system
All persons who
receive a payment from the Operating Divisions (OPDIV) Headquarters, Area and
District offices and all persons owing monies to these HHS components. Persons
receiving payments include, but are not limited to, travelers on official
business, grantees, contractors, consultants, Fellows and recipients of loans
and scholarships and also employee reimbursement for training classes, mass
transit, and other appropriate costs. 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).
Categories
of records in the system
Name, identification
number/Social Security Number (SSN), or EIN/TID, address, e-mail address, phone
number, purpose of payment or request for payment bank account and routing
numbers, accounting classification and the amount paid of billed. Also, in the
event of an overpayment and for outstanding charges, fees, loans, grants or scholarships,
the amount of the indebtedness, the repayment status and the amount to be
collected. In the event of an administrative wage garnishment, information
about the debtor's employment status and disposable pay available for
withholding will be maintained.
Authority
for maintenance of the system
Budget and
Accounting Act of 1950 (Pub. L. 81-784); Debt Collection Act of 1982 (Pub. L.
97-365); Debt Collection Improvement Act of 1996 (Pub. L. 104-134, sec. 31001).
Purpose(s):
These records
are an integral part of the accounting systems at OPDIVs Headquarters and
specific Area and District 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 a person 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 a person, 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 (IRS) and applicable State and local taxing officials of taxable
income. This is a Department-wide notice of payment and collection activities
at all locations listed in Appendix 1.
Routine
uses of records maintained in the system, including categories of users and the
purposes of such uses:
1.
Records
will be routinely disclosed to the Treasury Department in order to effect
payment.
2.
Records
may be disclosed to members of Congress concerning a Federal financial
assistance program in order for members to make informed opinions on programs
and/or activities impacting on legislative decisions. 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 in
order to be responsive to the constituency.
3.
In
the event HHS 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 advice.
4.
A
record from this system 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 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 its decision on the matter.
6.
Where
Federal agencies having the power to subpoena other Federal agencies' records,
such as the Internal Revenue Service (IRS) or the Civil Rights Commission,
issue a subpoena to HHS for records in this system of records, HHS will make
such records available, provided however, that in each case, HHS determines
that such disclosure is compatible with the purpose for which the records were
collected.
7.
Where
a contract between a component of HHS 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/her official capacity; (3) Any
HHS employee in his/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 from the system of records to credit reporting agencies to obtain a
credit report in order to determine the person's credit worthiness and ability
to repay debts owed to the Federal Government.
10. When a person 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 the person's creditworthiness.
11. A record from this system may be
disclosed to the following entities in order to help collect a debt owed the
a.
To
another Federal agency so that agency can effect a salary offset;
b.
To
the Treasury Department or another Federal agency in order to 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 the person's mailing address under I.R.C.
6103(m)(2) in order to help locate the person or to have a credit report
prepared;
d.
To
agents of HHS and to other third parties, including credit reporting agencies,
to help locate the person or to obtain a credit report on him/her, in order to
help collect or compromise a debt;
e.
To
debt collection agents or contractors under 31 U.S.C. 3718 or under common law
to help collect a past due amount or locate or recover debtors' assets;
f.
To
the Justice Department for litigation or for further administrative action; and
g.
To
the public, as provided by 31 U.S.C. 3720E, in order to publish or otherwise
publicly disseminate information regarding the identity of the person and the
existence of a nontax debt.
Disclosure
under part (d) and (g) of this routine use is limited to the individual's name,
address, social security number, and other information necessary to identify
the person. 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 credit
report on the individual.
12. A record from this system may be
disclosed to another Federal agency that has asked HHS to effect an
administrative offset under common law or under 31 U.S.C. 3716 to help collect
a debt owed the
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 1966 (31 U.S.C.
3701(a)(3)). 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-2s and 1099 Forms to submit to the Internal Revenue Service
and applicable State and local governments items considered to be included as
income to a person: 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 person 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 (ADP) system used in processing financial
transactions. The contractor may have been engaged to develop, modify and test
a new 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 a system.
17. Records may be disclosed to student
volunteers, individuals working under a personal services contract, and other
individuals performing functions for the Department but technically not having
the status of agency employees, if they need access to the records in order to
perform their assigned agency functions.
18. A record from this system may be
disclosed to any Federal agency or its agents in order to participate in a
computer matching of a list of debtors against a list of Federal employees.
Disclosure of records is limited to debtors' names, names of employers,
taxpayers identifying numbers, addresses (including addresses of employers),
and dates of birth, and other information necessary to establish the person's
identity.
19. A record may be disclosed to a commercial
reporting agency that a person is responsible for a current claim, in order to
aid in the collection of claims, typically by providing an incentive to the
person to repay the claim or a debt timely. Disclosure of records is limited to
information about a person as is relevant and necessary to meet the principal
purpose(s) for which it is intended to be used under the law.
20. A record from this system may be
disclosed to the Treasury Department or to an agency operating a Debt
Collection Center designated by the Treasury in order to effect a collection of
past due amounts.
21. If HHS decides to sell a debt pursuant to
31 U.S.C. 3711(I), a record from the system may be disclosed to purchasers,
potential purchasers, and contractors engaged to assist in the sale or to obtain
information necessary for potential purchasers to formulate bids and
information necessary for purchasers to pursue collection remedies.
22. If HHS decides to administratively
garnish wages of a delinquent debtor under the wage garnishment provision in 31
U.S.C. 3720D, a record from the system may be disclosed to the debtor's
employer. This disclosure will take the form of a wage garnishment order
directing that the employer pay a portion of the employee/debtor's wages to the
Federal Government. Disclosure of
records is limited to debtor's name, address, and social security number. Also
a record from this system may be disclosed to other systems, Federal agencies
or its agents in order to participate in a computer matching of a list of
debtors against a list of Federal employees.
Disclosure to
consumer reporting agencies:
Disclosure
pursuant to 5 U.S.C. 552a(b)(12): Disclosure may be made from this system to “consumer
reporting agencies,” as defined in 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 their debts
timely, 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(e) have been followed.
Policies
and practices for storing, retrieving, accessing, retaining, and disposing of
records in the system:
Storage:
Hard copy
documents are maintained in file folders at agency headquarters and
area/district office sites; and on computer disc pack and magnetic tape at
central computer sites. Hard copy documents and automated records will both be
maintained in accordance with Chapter 45-13 of the HHS General Administration
Manual, “Safeguarding Records Contained in Systems of Records”, and the “HHS
Automated Information System Security Program Handbook.”
Retrievability:
This varies
according to the particular accounting system within the HHS Operating
Divisions, Area and District Offices. 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.
Safeguards:
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 System Manual Part 6, “ADP Systems Security.”
Retention
and disposal:
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 Administration.
System
manager(s) and address(es):
Department of
Health and Human Services, DHHS, Assistant Secretary for Management and Budget,
Office of the Secretary, Room 510A, Hubert H. Humphrey Building, Washington, DC
20201.
Notification
procedureS:
Inquiries should
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 (HFI-30), Food and Drug
Administration,
The individual
making the inquiry must show proof of identity before information is released. Give
name and social security number, purpose of payment or collection (travel,
grant, etc.) and, if possible, the agency accounting classification.
Record
access procedures:
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 HHS regulations (45 CFR 5b.5(a)(2)).)
Contesting
record procedures:
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.
Record
source categories:
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.
Systems
exempted from certain provisions of the act:
None.
Appendix 1 – Location
Indian Health Service Area Offices (IHS)
Navajo Area Indian Health Service,
Food and Drug Administration District Offices (FDA)
Food and Drug Administration, FDA, Atlanta District Office,
Food and Drug Administration, FDA, New England District Office, One Montvale Avenue, Stoneham, MA 02180
Food and Drug Administration, FDA, New Jersey District Office, 10 Waterview Boulevard, 3rd Floor, Parsippany, NJ 07054
Food and Drug Administration, FDA, Philadelphia District Office, Room 900,
Food and Drug Administration, FDA, Baltimore District Office,
Food and Drug Administration, FDA, San Juan District Office, 466 Fernandez
Food and Drug Administration, FDA, Chicago District Office,
Food and Drug Administration, FDA, Cincinnati District Office, Food and Drug
Administration, FDA,
Food and Drug Administration, FDA, Minneapolis District Office,
Food and Drug Administration, FDA, Dallas District Office, 4040 N. Central Expressway, Suite 300, Dallas, TX 75204
Food and Drug Administration, FDA, Southwest Import District, 4040 N. Central Expressway, Suit 300, Dallas, TX 75204
Food and Drug Administration, FDA, New Orleans District Office, 6600 Plaza Drive, Suite 400, New Orleans, LA 70127
Food and Drug Administration, FDA, Kansas City District Office, P.O. Box 15905, Lenexa, KS 66285-5905
Food and Drug Administration, FDA, Denver District Office, P.O. Box 25087, Denver, CO 80225-0087
Food and Drug Administration, FDA, Florida District Office, 555 Winderly
Place,
Food and Drug Administration, FDA, San Francisco District Office,
Food and Drug Administration, FDA, Los Angeles District Office, 19701
Fairchild,
Food and Drug Administration, FDA, New York District Office,
Food and Drug Administration, FDA, Seattle District Office,
Food and Drug Administration, FDA, Headquarters Office,
Centers for Disease Control and Prevention, CDC--and--Agency for Toxic
Substances and Disease Registry (ATSDR)
Financial Management Office,
Centers for Medicare & Medicaid Services
Centers for Medicare & Medicaid Services,
National Institutes of Health (NIH)
National Institutes of Health, NIH, Building 1, Room 222, Rocky Mountain
Laboratory,
National Institutes of Health, NIH, National Institute of Mental Health, National Institute of Mental Health (NIMH) Office of Communications, 6001 Executive Boulevard, Room 8184, MSC 9663, Bethesda, MD 20892-9663
National Institutes of Health, NIH, Frederick Cancer Research Facility, Fort
Detrick Building, Room 427,
National Institutes of Health, NIH, National Institutes of Environmental
Health Sciences, Room B2-03, Building 101,
National Institutes for Health, NIH, National Institute on Drug Abuse,
National Institutes for Health, NIH, Headquarters Office, Operations Accounting Branch, Building 31, Room B1-B63, 9000 Rockville Pike, Bethesda, MD 20892-0134
Program Support Center, PSC, Division of Fiscal Operations, 5600 Fishers Lane, Room 16-05, Rockville, MD 20857
Individual records of the following HHS Operating Divisions may be obtained from the Program Support Center (PSC):
1. Administration for Children and Families (ACF)
2. Administration on Aging (AoA)
3. Agency for Health Care Policy and Research (AHCPR)
4. Health Resources and Services Administration (HRSA)
5. Indian Health Service (IHS)
6. Substance Abuse and Mental Health Services Administration (SAMHSA)
7. Office of the Secretary (OS) Substance Abuse and Mental Health Services Administration (SAMHSA)
In addition to the individual records maintained by the PSC, travel-related records for SAMHSA employees may also be obtained from the following SAMHSA program offices:
Office of the Administrator, Substance Abuse and Mental Health Services
Administration,
Office of Applied Studies, Substance Abuse and Mental Health Services
Administration,
Office of Program Services, Division of Administrative Services, Substance
Abuse and Mental Health Services Administration,
Center for Substance Abuse Prevention, Substance Abuse and Mental Health Services Administration, 1 Choke Cherry Road Room 4-1051, Rockville, MD 20857
Center for Substance Abuse Treatment, Substance Abuse and Mental Health
Services Administration,
Center for Mental Health Services, Substance Abuse and Mental Health
Services Administration,