Skip Navigation
  • Text Size: A A A
  • Print
  • Email
  • Facebook
  • Tweet
  • Share
  • Print
  • Email
  • Facebook
  • Tweet
  • Share

SORN 09-90-0024

DEPARTMENT OF HEALTH AND HUMAN SERVICES 09-90-0024

System name: Financial Transactions of HHS Accounting and Finance Offices.

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.

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 United States:

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 non-tax 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 United States. Disclosure under this routine use is limited to: Name and 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 1966 (31 U.S.C. 1701(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 Government Accountability Office principles and standards as authorized by the National Archives and Records Administration.

System manager(s) and address: Department of Health and Human Services, DHHS, Assistant Secretary for Budget, Technology and Finance, Office of the Secretary, Room 510A, Hubert H. Humphrey Building, Washington, DC 20201.

Notification procedure: 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, 5600 Fishers Lane, Rockville, MD 20857. 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 procedure: 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)

Aberdeen Area Indian Health Service, Federal Building

115 Fourth Avenue, Southeast

Aberdeen, SD 57401

Alaska Area Indian Health Service

4141 Ambassador Drive

Anchorage, AK 99508-5928

Albuquerque Area Indian Health Service

5300 Homestead Road, NE.

Albuquerque, NM 87109-1311

Bemidji Area Indian Health Service

522 Minnesota Avenue, NW., Room 119

Bemidji, MN 56601

Billings Area Indian Health Service

2900 4th Avenue North

Billings, MT 59101

California Area Indian Health Service

650 Capitol Mall, Suite 7-100

Sacramento, CA 95814

Nashville Area Indian Health Service

711 Stewarts Ferry Pike

Nashville, TN 37214-2634

Navajo Area Indian Health Service

P.O. Box 9020

Window Rock, AZ 86515-9020

Oklahoma City Area Indian Health Service

Five Corporate Plaza, 3625 NW., 56th Street

Oklahoma City, OK 73112

Phoenix Area Indian Health Service

Two Renaissance Square, 40 North Central Avenue

Phoenix, AZ 85004-4424

Portland Area Indian Health Service

1220 SW., Third Avenue

Portland, OR 97204-2892

Tucson Area Indian Health Service

7900 S.J. Stock Road, Tucson, AZ 85746-7012

Food and Drug Administration District Offices (FDA):

Food and Drug Administration, FDA, Atlanta District Office

60 Eighth Street, NE.

Atlanta, GA 30309

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, U.S. Customhouse, 2nd and Chestnut Streets

Philadelphia, PA 19106

Food and Drug Administration, FDA, Baltimore District Office

6000 Metro Drive, Suite 101

Baltimore, MD 21215

Food and Drug Administration, FDA, San Juan District Office

466 Fernandez Juncos Avenue

San Juan, PR 00901-3223

Food and Drug Administration, FDA, Chicago District Office

550 W. Jackson Boulevard, Suite 1500 South

Chicago, IL 606601

Food and Drug Administration, FDA, Cincinnati District Office

Food and Drug Administration, FDA, 6751 Steger Drive

Cincinnati, OH 45237-3097

Food and Drug Administration, FDA, Minneapolis District Office

212 3rd Avenue South, Minneapolis, MN 55401-2532

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, Suite 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

Suite 200, Maitland, FL 32751

Food and Drug Administration, FDA, San Francisco District Office

1431 Harbor Bay Parkway, Alameda, CA 94502-7096

Food and Drug Administration, FDA, Los Angeles District Office

19701 Fairchild, Irvine, CA 92612-2506

Food and Drug Administration, FDA, New York District Office

158-15 Liberty Avenue, Jamaica, NY 11433-1034

Food and Drug Administration, FDA, Seattle District Office

22201 23rd Avenue, SE.

Bothell, WA 98021

Food and Drug Administration, FDA, Headquarters Office

5600 Fishers Lane, Room 14-71

Rockville, MD 20857

Centers for Disease Control and Prevention, CDC--and--Agency for Toxic Substances and Disease Registry (ATSDR):

Financial Management Office

12 Executive Park Drive, N.E.

(M/S D-04)

Atlanta, GA 30329

Centers for Medicare & Medicaid Services:

Centers for Medicare & Medicaid Services

7500 Security Boulevard, Baltimore, MD 21244

National Institutes of Health (NIH):

National Institutes of Health, NIH

Building 1, Room 222, Rocky Mountain Laboratory

Hilton, MT 59840

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

Frederick, MD 21702-1201

National Institutes of Health, NIH

National Institutes of Environmental Health Sciences

Room B2-03, Building 101

Research Triangle Park, NC 27709

National Institutes for Health, NIH

National Institute on Drug Abuse, Addiction Research Center, Building C,

Room 248, 4940 Eastern Avenue

Baltimore, MD 21224

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):

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

1 Choke Cherry Road, Room 8-1054

Rockville, MD 20857

Office of Applied Studies

Substance Abuse and Mental Health Services Administration

1 Choke Cherry Road, Room 7-1047

Rockville, MD 20857

Office of Program Services

Division of Administrative Services

Substance Abuse and Mental Health Services Administration

1 Choke Cherry Road, Room 7-1073

Rockville, MD 20857

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

1 Choke Cherry Road, Room 5-1015

Rockville, MD 20857

Center for Mental Health Services

Substance Abuse and Mental Health Services Administration

1 Choke Cherry Road, Room 6-1051

Rockville, MD 20857