Privacy Act of 1974; Report of a Modified or Altered System, 69691-69696 [E7-23877]

Download as PDF 69691 Federal Register / Vol. 72, No. 236 / Monday, December 10, 2007 / Notices minimization of potential impacts on wetlands, and compensation for any remaining unavoidable impacts. A wetland assessment will be completed in accordance with the requirements of 10 CFR Part 1022 once the proposed site layout is known. This EA is being prepared pursuant to the National Environmental Policy Act of 1969 (NEPA), and regulations implementing NEPA issued by the Council on Environmental Quality (40 CFR Parts 1500–1508), GSA (ADM 1095.1F), and to the extent not inconsistent with ADM 1095.1F, DOE (10 CFR Part 1021). GSA and NNSA will consider comments received (see DATES and ADDRESSES, above) in finalizing the EA. Based on the final EA, GSA and NNSA will determine whether to prepare an environmental impact statement or issue a finding of no significant impact if appropriate for the proposed action. Carlos Salazar, Regional NEPA Coordinator, GSA Public Buildings Service, Heartland Region. [FR Doc. E7–23843 Filed 12–7–07; 8:45 a.m.] BILLING CODE 6820–CG–P DEPARTMENT OF HEALTH AND HUMAN SERVICES Centers for Disease Control and Prevention [30Day-08–07AJ] Agency Forms Undergoing Paperwork Reduction Act Review The Centers for Disease Control and Prevention (CDC) publishes a list of information collection requests under review by the Office of Management and Budget (OMB) in compliance with the Paperwork Reduction Act (44 U.S.C. Chapter 35). To request a copy of these requests, call the CDC Reports Clearance Officer at (404) 639–5960 or send an email to omb@cdc.gov. Send written comments to CDC Desk Officer, Office of Management and Budget, Washington, DC or by fax to (202) 395–6974. Written comments should be received within 30 days of this notice. Proposed Project Racial and Ethnic Approaches to Community Health Across the U.S. (REACH U.S.) Management Information System—New—National Center for Chronic Disease Prevention and Health Promotion (NCCDPHP), Centers for Disease Control and Prevention (CDC). Background and Brief Description Racial and Ethnic Approaches to Community Health Across the U.S. (REACH U.S.) is a national, multi-level program that serves as the cornerstone of CDC’s efforts to eliminate racial and ethnic disparities in health. Through REACH U.S., CDC currently supports forty local coalitions to establish community-based programs and culturally-appropriate interventions to eliminate racial and ethnic health disparities. REACH U.S. serves communities with African American, American Indian, Hispanic American, Asian American, and Pacific Islander citizens. The communities served by REACH U.S. are assessing the prevalence of selfreported risk behaviors in the following key health priority areas: Cardiovascular disease; diabetes mellitus; breast and cervical cancer; adult/older adult immunizations, hepatitis B, and/or tuberculosis; asthma; and infant mortality. Guided by logic models, each community is required to articulate goals, objectives, and related activities; track whether goals and objectives are met, ongoing, or revised; and evaluate all program activities. CDC requests OMB clearance for a new, customized, Internet-based management information system, the REACH U.S. MIS, designed to replace the current REACH Information Network (REACH IN, OMB #0920– 0603). The new REACH U.S. MIS will allow REACH grantees to perform remote data entry and retrieval of data, create on-demand graphs and reports of grantees’ activities and accomplishments, monitor progress toward the achievement of goals and objectives, and share and synthesize information across grantees’ activities. Both quantitative and qualitative analyses can be performed. The REACH U.S. MIS will collect new data elements needed to measure progress toward, or achievement of, newly developed performance indicators, and will allow CDC to monitor, and report on, grantee activities more efficiently. In addition, data reported to CDC through the REACH U.S. MIS will be used by CDC to identify training and technical assistance needs and to obtain information needed to respond to Congressional and other inquiries regarding program activities and effectiveness. Information will be reported to CDC on a semi-annual schedule. There are no costs to respondents except their time. The total estimated annualized burden hours are 120. ESTIMATED ANNUALIZED BURDEN HOURS Number of respondents Type of respondents REACH U.S. Grantees ................................................................................................................ 40 Number of responses per respondent 2 Average burden per response (in hours) 90/60 DEPARTMENT OF HEALTH AND HUMAN SERVICES ACTION: Centers for Medicare & Medicaid Services BILLING CODE 4163–18–P rmajette on PROD1PC64 with NOTICES Dated: December 3, 2007. Maryam I. Daneshvar, Acting Reports Clearance Officer, Centers for Disease Control and Prevention. [FR Doc. E7–23855 Filed 12–7–07; 8:45 am] Privacy Act of 1974; Report of a Modified or Altered System SUMMARY: In accordance with the requirements of the Privacy Act of 1974, we are proposing to modify or alter an existing SOR, ‘‘Intern and Resident Information System (IRIS), System No. 09–70–0524, last published at 67 Federal Register 48189 (July 23, 2002). We propose to modify existing routine use number 1 that permits disclosure to agency contractors and consultants to include disclosure to CMS grantees who Department of Health and Human Services (HHS), Centers for Medicare & Medicaid Services (CMS). AGENCY: VerDate Aug<31>2005 15:35 Dec 07, 2007 Jkt 214001 PO 00000 Frm 00050 Fmt 4703 Sfmt 4703 Notice of a Modified or Altered System of Records (SOR). E:\FR\FM\10DEN1.SGM 10DEN1 rmajette on PROD1PC64 with NOTICES 69692 Federal Register / Vol. 72, No. 236 / Monday, December 10, 2007 / Notices perform a task for the agency. CMS grantees, charged with completing projects or activities that require CMS data to carry out that activity, are classified separate from CMS contractors and/or consultants. The modified routine use will remain as routine use number 1. We will delete routine use number 5 authorizing disclosure to support constituent requests made to a congressional representative. If an authorization for the disclosure has been obtained from the data subject, then no routine use is needed. The Privacy Act allows for disclosures with the ‘‘prior written consent’’ of the data subject. We will broaden the scope of published routine uses number 7 and 8, authorizing disclosures to combat fraud and abuse in the Medicare and Medicaid programs to include combating ‘‘waste’’ which refers increasingly more to specific beneficiary or recipient practices that result in unnecessary cost to Federallyfunded health benefit programs. We will delete the section titled ‘‘Additional Circumstances Affecting Routine Use Disclosures,’’ that addresses ‘‘Protected Health Information (PHI)’’ and ‘‘small cell size.’’ The requirement for compliance with HHS regulation ‘‘Standards for Privacy of Individually Identifiable Health Information’’ does not apply because this system does not collect or maintain PHI. In addition, our policy to prohibit release if there is a possibility that an individual can be identified through ‘‘small cell size’’ is not applicable to the data maintained in this system. We are modifying the language in the remaining routine uses to provide a proper explanation as to the need for the routine use and to provide clarity to CMS’ intention to disclose individualspecific information contained in this system. The routine uses will then be prioritized and reordered according to their usage. We will also take the opportunity to update any sections of the system that were affected by the recent reorganization or by Medicare Prescription Drug, Improvement, and Modernization Act of 2003 (Pub. L. 108– 173) provisions and to update language in the administrative sections to correspond with language used in other CMS SORs. The primary purpose of the SOR is to ensure that no interns and residents (IRs) are counted by the Medicare program as more than one full-time equivalent (FTE) employee in the calculation of payments for the costs of direct graduate medical education (GME) and indirect medical education (IME). Information retrieved from this SOR will also be disclosed to: (1) VerDate Aug<31>2005 15:35 Dec 07, 2007 Jkt 214001 Support regulatory, reimbursement, and policy functions performed within the Agency or by a contractor or consultant, (2) assist another Federal and/or state agency, agency of a state government, an agency established by state law, or its fiscal agent, (3) support providers and suppliers of services, (4) assist thirdparty contacts where necessary to establish or verify information, (5) support litigation involving the Agency, and (6) combat fraud, waste, and abuse in certain health benefits programs. We have provided background information about the modified system in the ‘‘Supplementary Information’’ section below. Although the Privacy Act requires only that CMS provide an opportunity for interested persons to comment on the routine uses, CMS invites comments on all portions of this notice. See ‘‘Effective Dates’’ section for comment period. Effective Dates: CMS filed a modified or altered system report with the Chair of the House Committee on Government Reform and Oversight, the Chair of the Senate Committee on Homeland Security and Governmental Affairs, and the Administrator, Office of Information and Regulatory Affairs, Office of Management and Budget (OMB) on December 4, 2007. To ensure that all parties have adequate time in which to comment, the modified system, including routine uses, will become effective 30 days from the publication of the notice, or 40 days from the date it was submitted to OMB and Congress, whichever is later, unless CMS receives comments that require alterations to this notice. DATES: The public should address comments to: CMS Privacy Officer, Division of Privacy Compliance, Enterprise Architecture and Strategy Group, Office of Information Services, CMS, 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. ADDRESSES: FOR FURTHER INFORMATION CONTACT: Milton Jacobson, Division of Provider Audit Operations, Financial Services Group, Office of Financial Management, CMS, Room C3–14–00, 7500 Security Boulevard, Baltimore, Maryland 21244– 1850. Mr. Jacobson can be reached by telephone at 410–786–7553 or via e-mail at Milton.Jacobson@cms.hhs.gov. SUPPLEMENTARY INFORMATION: PO 00000 Frm 00051 Fmt 4703 Sfmt 4703 I. Description of the Modified or Altered System of Records A. Statutory and Regulatory Basis for System Authority for maintenance of the system is given under the provisions of §§ 1886(d)(5)(B) and 1886(h) of the Social Security Act (Title 42 United States Code (U.S.C.) 1395ww(d)(5)(B) and 1395ww(h)). B. Collection and Maintenance of Data in the System The system collects and maintains information interns and residents in programs approved under 42 CFR 413.75, working in all areas of the hospital complex, or other freestanding providers, as well as non-hospital or non-provider settings on or after July 1, 1985. The system includes the following information for each IR: name, social security number; name of medical, osteopathic, dental, or podiatric school graduated from and date of graduation, type of residency program for the medical specialty, number of years completed in all types of residency programs, foreign medical school graduation date and certification date, name of employer (e.g., hospital, university, corporation) paying the salary, the percentage of time spent working in either the inpatient areas of the hospital subject to the Prospective Payment System or in the outpatient areas of the hospital or in a non-hospital setting under agreement with the hospital for IME, the percentage of time spent working in any area of the hospital complex or in a non-provider setting under agreement with the hospital for GME, the start and end dates assigned to the hospital and any hospital-based providers (assignment periods) during the hospital’s cost reporting period, the start and end dates assigned to any non-hospital or nonprovider setting in connection with approved residency programs (assignment periods) during the hospital’s cost reporting period, and the full-time or part-time percentage during each assignment period. II. Agency Policies, Procedures, and Restrictions on the Routine Use A. 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 disclosure of data is known as a ‘‘routine use.’’ The government will only release IRIS information that can be associated with an individual as provided for under ‘‘Section III. E:\FR\FM\10DEN1.SGM 10DEN1 Federal Register / Vol. 72, No. 236 / Monday, December 10, 2007 / Notices Proposed Routine Use Disclosures of Data in the System.’’ Both identifiable and non-identifiable data may be disclosed under a routine use. We will only collect the minimum personal data necessary to achieve the purpose of IRIS. CMS has the following policies and procedures concerning disclosures of information that will be maintained in the system. Disclosure of information from this system will be approved only to the extent necessary to accomplish the purpose of the disclosure and only after CMS: 1. Determines that the use or disclosure is consistent with the reason that the data is being collected, e.g., to ensure that no interns and residents (IR) are counted by the Medicare program as more than one full-time equivalent (FTE) employee in the calculation of payments for the costs of GME and IME. 2. Determines: a. That the purpose for which the disclosure is to be made can only be accomplished if the record is provided in individually identifiable form; b. That the purpose for which the disclosure is to be made is of sufficient importance to warrant the potential effect and/or risk on the privacy of the individual that additional exposure of the record might bring; and c. That there is a strong probability that the proposed use of the data would in fact accomplish the stated purpose(s). 3. Requires the information recipient to: a. Establish administrative, technical, and physical safeguards to prevent unauthorized use of disclosure of the record; and b. Remove or destroy at the earliest time all patient-identifiable information. 4. Determines that the data are valid and reliable. rmajette on PROD1PC64 with NOTICES III. Proposed Routine Use Disclosures of Data in the System A. Entities Who May Receive Disclosures Under Routine Use These routine uses specify circumstances, in addition to those provided by statute in the Privacy Act of 1974, under which CMS may release information from the IRIS without the consent of the individual to whom such information pertains. Each proposed disclosure of information under these routine uses will be evaluated to ensure that the disclosure is legally permissible, including but not limited to ensuring that the purpose of the disclosure is compatible with the purpose for which the information was collected. We are proposing to establish or modify the following routine use disclosures of information maintained in the system: VerDate Aug<31>2005 15:35 Dec 07, 2007 Jkt 214001 1. To support agency contractors, consultants, or grantees, who have been engaged by the agency to assist in the performance of a service related to this collection 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 CMS may enter into a contractual or similar agreement with a third party to assist in accomplishing CMS function relating to purposes for this system. CMS occasionally contracts out certain of its functions when doing so would contribute to effective and efficient operations. CMS must be able to give a contractor, consultant or grantee 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, consultant or grantee from using or disclosing the information for any purpose other than that described in the contract and requires the contractor, consultant or grantee to return or destroy all information at the completion of the contract. 2. To another Federal or state agency, agency of a state government, an agency established by state law, or its fiscal agent: a. To contribute to the accuracy of CMS’ proper payment of Medicare benefits, b. To enable such agency to administer a Federal health benefits program, or as necessary to enable such agency to fulfill a requirement of a Federal statute or regulation that implements a health benefits program funded in whole or in part with federal funds. Other Federal or state agencies in their administration of a Federal health program may require IRIS information in order to support evaluations and monitoring of reimbursement for services provided. SSA may require IRIS data to enable it to assist in the implementation and maintenance of the Medicare program. State licensing boards may require IRIS data to enable them to assist in the review of activities related to IRs in their state. The Medicare Payment Advisory Commission and Congressional Budget Office may require IRIS data to assist in certain budgetary and planning activities related to IR status. 3. To providers and suppliers of services (and their authorized billing agents) directly or dealing through fiscal intermediaries or carriers, for PO 00000 Frm 00052 Fmt 4703 Sfmt 4703 69693 administration of provisions of Title XVIII of the Social Security Act. We contemplate disclosing information under this routine use only in situations in which CMS may enter into a contractual agreement with providers and suppliers of services to assist in accomplishing CMS functions relating to purposes for this SOR. 4. To third-party contacts where necessary to establish or verify information provided on or by IR. We contemplate disclosing information under this routine use only in situations in which CMS may enter into a contractual or similar agreement with a third party to assist in accomplishing CMS functions relating to purposes for this system of records. 5. 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, CMS determines that the records are both relevant and necessary to the litigation and that the use of such records by the DOJ, court or adjudicatory body is compatible with the purpose for which the agency collected the records. Whenever CMS is involved in litigation, or occasionally when another party is involved in litigation and CMS’ policies or operations could be affected by the outcome of the litigation, CMS would be able to disclose information to the DOJ, court or adjudicatory body involved. 6. To a CMS contractor (including, but not limited to FIs and carriers) that assists in the administration of a CMSadministered health benefits program, or to a grantee of a CMS-administered grant program, when disclosure is deemed reasonably necessary by CMS to prevent, deter, discover, detect, investigate, examine, prosecute, sue with respect to, defend against, correct, remedy, or otherwise combat fraud, waste, or abuse in such program. We contemplate disclosing information under this routine use only in situations in which CMS may enter into a contract or grant with a third party to assist in accomplishing CMS functions relating to the purpose of combating fraud, waste, and abuse. CMS occasionally contracts out certain of its functions when doing so E:\FR\FM\10DEN1.SGM 10DEN1 69694 Federal Register / Vol. 72, No. 236 / Monday, December 10, 2007 / Notices rmajette on PROD1PC64 with NOTICES would contribute to effective and efficient operations. CMS must be able to give a contractor or grantee whatever information is necessary for the contractor or grantee to fulfill its duties. In these situations, safeguards are provided in the contract prohibiting the contractor or grantee from using or disclosing the information for any purpose other than that described in the contract and requiring the contractor or grantee to return or destroy all information. 7. To another Federal agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States (including any state or local governmental agency), that administers, or that has the authority to investigate potential fraud or abuse in a health benefits program funded in whole or in part by Federal funds, when disclosure is deemed reasonably necessary by CMS to prevent, deter, discover, detect, investigate, examine, prosecute, sue with respect to, defend against, correct, remedy, or otherwise combat fraud, waste, or abuse in such programs. Other agencies may require IRIS information for the purpose of combating fraud, waste, and abuse in such Federally funded programs. IV. Safeguards CMS has safeguards in place 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 information security requirements. Employees who maintain records in this system are instructed not to release data until the intended recipient agrees to implement appropriate management, operational and technical safeguards sufficient to protect the confidentiality, integrity and availability of the information and information systems and to prevent unauthorized access. This system will conform to all applicable Federal laws and regulations and Federal, HHS, and CMS policies and standards as they relate to information security and data privacy. These laws and regulations may apply but are not limited to: the Privacy Act of 1974; the Federal Information Security Management Act of 2002; the Computer Fraud and Abuse Act of 1986; the Health Insurance Portability and Accountability Act of 1996; the EGovernment Act of 2002, the ClingerCohen Act of 1996; the Medicare Modernization Act of 2003, and the corresponding implementing regulations. OMB Circular A–130, Management of Federal Resources, VerDate Aug<31>2005 15:35 Dec 07, 2007 Jkt 214001 Appendix III, Security of Federal Automated Information Resources also applies. Federal, HHS, and CMS policies and standards include but are not limited to: all pertinent National Institute of Standards and Technology publications; the HHS Information Systems Program Handbook and the CMS Information Security Handbook. V. Effects of the Modified or Altered System of Records on Individual Rights CMS proposes to modify 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. CMS will take precautionary measures to minimize the risks of unauthorized access to the records and the potential harm to individual privacy or other personal or property rights of patients whose data are maintained in the system. CMS will collect only that information necessary to perform the system’s functions. In addition, CMS 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. CMS, therefore, does not anticipate an unfavorable effect on individual privacy as a result of information relating to individuals. Dated: November 28, 2007. Charlene Frizzera, Chief Operating Officer, Centers for Medicare & Medicaid Services. SYSTEM NO. 09–70–0524 SYSTEM NAME: ‘‘Intern and Resident Information System (IRIS), HHS/CMS/OFM’’ SECURITY CLASSIFICATION: Level Three Privacy Act Sensitive Data SYSTEM LOCATION: The Centers for Medicare & Medicaid Services (CMS) Data Center, 7500 Security Boulevard, North Building, First Floor, Baltimore, Maryland 21244– 1850 and South Building, Baltimore, Maryland 21244–1850. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Interns and residents (IR) in medical residency programs approved under 42 CFR § 413.75, working in all areas of the hospital complex, or other freestanding providers, as well as non-hospital or PO 00000 Frm 00053 Fmt 4703 Sfmt 4703 non-provider settings on or after July 1, 1985. CATEGORIES OF RECORDS IN THE SYSTEM: The system includes the following information for each IR: name, social security number; name of medical, osteopathic, dental, or podiatric school graduated from and date of graduation, type of residency program for the medical specialty, number of years completed in all types of residency programs, foreign medical school graduation date and certification date, name of employer (e.g., hospital, university, corporation) paying the salary, the percentage of time spent working in either the inpatient areas of the hospital subject to the Prospective Payment System or in the outpatient areas of the hospital or in a non-hospital setting under agreement with the hospital for indirect medical education (IME), the percentage of time spent working in any area of the hospital complex or in a non-provider setting under agreement with the hospital for graduate medical education (GME), the start and end dates assigned to the hospital and any hospital-based providers (assignment periods) during the hospital’s cost reporting period, the start and end dates assigned to any nonhospital or non-provider setting in connection with approved residency programs (assignment periods) during the hospital’s cost reporting period, and the full-time or part-time percentage during each assignment period. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Authority for maintenance of the system is given under the provisions of §§ 1886(d)(5)(B) and 1886(h) of the Social Security Act (Title 42 United States Code (U.S.C.) §§ 1395ww(d)(5)(B) and 1395ww (h)). PURPOSE(S) OF THE SYSTEM: The primary purpose of the SOR is to ensure that no interns and residents (IRs) are counted by the Medicare program as more than one full-time equivalent (FTE) employee in the calculation of payments for the costs of direct graduate medical education (GME) and indirect medical education (IME). Information retrieved from this SOR will also be disclosed to: (1) Support regulatory, reimbursement, and policy functions performed within the Agency or by a contractor or consultant, (2) assist another Federal and/or state agency, agency of a state government, an agency established by state law, or its fiscal agent, (3) support providers and suppliers of services, (4) assist thirdparty contacts where necessary to establish or verify information, (5) E:\FR\FM\10DEN1.SGM 10DEN1 Federal Register / Vol. 72, No. 236 / Monday, December 10, 2007 / Notices support litigation involving the Agency, and (6) combat fraud, waste, and abuse in certain health benefits programs. rmajette on PROD1PC64 with NOTICES ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OR USERS AND THE PURPOSES OF SUCH USES: A. Entities Who May Receive Disclosures Under Routine Use These routine uses specify circumstances, in addition to those provided by statute in the Privacy Act of 1974, under which CMS may release information from the IRIS without the consent of the individual to whom such information pertains. Each proposed disclosure of information under these routine uses will be evaluated to ensure that the disclosure is legally permissible, including but not limited to ensuring that the purpose of the disclosure is compatible with the purpose for which the information was collected. We are proposing to establish or modify the following routine use disclosures of information maintained in the system: 1. To support agency contractors, consultants, or grantees, who have been engaged by the agency to assist in the performance of a service related to this collection and who need to have access to the records in order to perform the activity. 2. To another Federal or state agency, agency of a state government, an agency established by state law, or its fiscal agent: a. To contribute to the accuracy of CMS’ proper payment of Medicare benefits, b. To enable such agency to administer a Federal health benefits program, or as necessary to enable such agency to fulfill a requirement of a Federal statute or regulation that implements a health benefits program funded in whole or in part with federal funds. 3. To providers and suppliers of services (and their authorized billing agents) directly or dealing through fiscal intermediaries or carriers, for administration of provisions of Title XVIII of the Social Security Act. 4. To third-party contacts where necessary to establish or verify information provided on or by IR. 5. 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 VerDate Aug<31>2005 15:35 Dec 07, 2007 Jkt 214001 Is a party to litigation or has an interest in such litigation, and by careful review, CMS determines that the records are both relevant and necessary to the litigation and that the use of such records by the DOJ, court or adjudicatory body is compatible with the purpose for which the agency collected the records. 6. To a CMS contractor (including, but not limited to FIs and carriers) that assists in the administration of a CMSadministered health benefits program, or to a grantee of a CMS-administered grant program, when disclosure is deemed reasonably necessary by CMS to prevent, deter, discover, detect, investigate, examine, prosecute, sue with respect to, defend against, correct, remedy, or otherwise combat fraud, waste, or abuse in such program. 7. To another Federal agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States (including any state or local governmental agency), that administers, or that has the authority to investigate potential fraud or abuse in a health benefits program funded in whole or in part by Federal funds, when disclosure is deemed reasonably necessary by CMS to prevent, deter, discover, detect, investigate, examine, prosecute, sue with respect to, defend against, correct, remedy, or otherwise combat fraud, waste, or abuse in such programs. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: All records are stored on paper and magnetic disk. RETRIEVABILITY: Magnetic media records are retrieved by the name of the employees or other authorized individual and/or card key number. Paper records are retrieved alphabetically by name. SAFEGUARDS: CMS has safeguards in place 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 information security requirements. Employees who maintain records in this system are instructed not to release data until the intended recipient agrees to implement appropriate management, operational and technical safeguards sufficient to protect the confidentiality, integrity and availability of the information and information systems and to prevent unauthorized access. PO 00000 Frm 00054 Fmt 4703 Sfmt 4703 69695 This system will conform to all applicable Federal laws and regulations and Federal, HHS, and CMS policies and standards as they relate to information security and data privacy. These laws and regulations may apply but are not limited to: the Privacy Act of 1974; the Federal Information Security Management Act of 2002; the Computer Fraud and Abuse Act of 1986; the Health Insurance Portability and Accountability Act of 1996; the E-Government Act of 2002, the ClingerCohen Act of 1996; the Medicare Modernization Act of 2003, and the corresponding implementing regulations. OMB Circular A–130, Management of Federal Resources, Appendix III, Security of Federal Automated Information Resources also applies. Federal, HHS, and CMS policies and standards include but are not limited to: all pertinent National Institute of Standards and Technology publications; the HHS Information Systems Program Handbook and the CMS Information Security Handbook. RETENTION AND DISPOSAL: Records are maintained in a secure storage area with identifiers. Disposal occurs three years from the last action on the hospital’s cost report, and should be coordinated with disposal of the reports. SYSTEM MANAGER AND ADDRESS: Director, Division of Provider Audit Operations, Financial Services Group, Office of Financial Management, CMS, 7500 Security Boulevard, C3–14–00, Baltimore, Maryland 21244–1850. NOTIFICATION PROCEDURE: For purpose of access, the subject individual should write to the systems manager who will require the system name, SSN, address, date of birth, sex, and for verification purposes, the subject individual’s name (woman’s maiden name, if applicable). Furnishing the SSN is voluntary, but it may make searching for a record easier and prevent delay. 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. E:\FR\FM\10DEN1.SGM 10DEN1 69696 Federal Register / Vol. 72, No. 236 / Monday, December 10, 2007 / Notices 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: Data for this system is collected from IRIS diskettes/CDs as transmitted by the hospitals. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. [FR Doc. E7–23877 Filed 12–7–07; 8:45 am] BILLING CODE 4120–03–P DEPARTMENT OF HEALTH AND HUMAN SERVICES Administration for Children and Families Submission for OMB Review; Comment Request Title: Supporting Healthy Marriage (SHM) Demonstration and Evaluation Project: 12-month Follow-up and Implementation Research Data Collection. OMB No.: New Collection. The Administration for Children and Families (ACF), U.S. Department of Health and Human Services, is conducting a demonstration and evaluation called the Supporting Healthy Marriage (SHM) project. SHM is a test of marriage education demonstration programs in eight separate locations that will aim to enroll up to 1,000 couples per location, up to 500 couples participating in SHM programs and 500 control group couples. SHM is designed to inform program operators and policymakers of the most effective ways to help low-income married couples strengthen and maintain healthy marriages. In particular, the project will measure the effectiveness of marriage education programs by randomly assigning eligible volunteer couples to SHM program groups and control groups. This data collection request includes three components. First, a survey will be administered to couples 12 months after they are enrolled in the program. The survey is designed to assess the effects of the SHM program on marital status and stability, quality of relationship with spouse, marital expectations and ideals, marital satisfaction, participation in services, parenting outcomes, child outcomes, parental well-being, employment, income, material hardship, and social support characteristics of study participants assigned to both the program and control groups. Second, survey data will be complemented by videotaped observations of couple, coparenting, and parent-child interactions with a subset of intact and separated couples at the 12-month follow-up. Third, qualitative data will be collected through a process and implementation study in each of the eight SHM demonstration programs across the country. These data will complement the information gathered by the SHM baseline data collection (OMB Control No. 0970–0299). The information collected at the 12-month follow-up will allow the research team to examine the effects of SHM services on outcomes of interest and to identify mechanisms that might account for these effects. The process and implementation research will consist of a qualitative component that will help ACF to better understand the results from the impact analysis as well as how to replicate programs that prove to be successful. Respondents: Low-income married couples with children. ANNUAL BURDEN ESTIMATES Annual number of respondents Instrument Number of responses per respondent Average burden hours per response 10,240 3,200 160 1,600 160 504 1 1 1 1 1 1 0.83 0.68 0.17 0.33 0.17 1 12-month survey .......................................................................................... 12-month observational study (intact couples) ............................................ 12-month observational study (separated couples) .................................... 12-month observational study (children of intact couples) .......................... 12-month observational study (children of separated couples) .................. The process and implementation field research guide ............................... Estimated Total Annual Burden Hours: 11,761.6. Additional Information rmajette on PROD1PC64 with NOTICES Copies of the proposed collection may be obtained by writing to the Administration for Children and Families, Office of Administration, Office of Information Services, 370 L’Enfant Promenade, SW., Washington, DC 20447, Attn: ACF Reports Clearance Officer. All requests should be identified by the title of the information collection. E-mail address: infocollection@acf.hhs.gov. OMB Comment OMB is required to make a decision concerning the collection of information between 30 and 60 days after publication of this document in the VerDate Aug<31>2005 15:35 Dec 07, 2007 Jkt 214001 Federal Register. Therefore, a comment is best assured of having its full effect if OMB receives it within 30 days of publication. Written comments and recommendations for the proposed information collection should be sent directly to the following: Office of Management and Budget, Paperwork Reduction Project, Fax: 202–395–6974, Attn: Desk Officer for the Administration for Children and Families. Dated: November 29, 2007. Brendan C. Kelly, OPRE Reports Clearance Officer. [FR Doc. 07–5978 Filed 12–7–07; 8:45 am] BILLING CODE 4184–01–M PO 00000 Frm 00055 Fmt 4703 Sfmt 4703 Estimated annual burden hours 8,499.2 2,176 27.2 528 27.2 504 DEPARTMENT OF HEALTH AND HUMAN SERVICES Indian Health Service Request for Public Comment: 60-Day Proposed Information Collection: Indian Health Service Customer Satisfaction Survey Indian Health Service, HHS. Notice. AGENCY: ACTION: SUMMARY: In compliance with Section 3506(c)(2)(A) of the Paperwork Reduction Act of 1995 which requires 60 days advance opportunity for public comment on proposed information collection projects, the Indian Health Service (IHS) in publishing for comment a summary of a proposed information collection to be submitted to the Office E:\FR\FM\10DEN1.SGM 10DEN1

Agencies

[Federal Register Volume 72, Number 236 (Monday, December 10, 2007)]
[Notices]
[Pages 69691-69696]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-23877]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Medicare & Medicaid Services


Privacy Act of 1974; Report of a Modified or Altered System

AGENCY: Department of Health and Human Services (HHS), Centers for 
Medicare & Medicaid Services (CMS).

ACTION: Notice of a Modified or Altered System of Records (SOR).

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

SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, we are proposing to modify or alter an existing SOR, ``Intern and 
Resident Information System (IRIS), System No. 09-70-0524, last 
published at 67 Federal Register 48189 (July 23, 2002). We propose to 
modify existing routine use number 1 that permits disclosure to agency 
contractors and consultants to include disclosure to CMS grantees who

[[Page 69692]]

perform a task for the agency. CMS grantees, charged with completing 
projects or activities that require CMS data to carry out that 
activity, are classified separate from CMS contractors and/or 
consultants. The modified routine use will remain as routine use number 
1. We will delete routine use number 5 authorizing disclosure to 
support constituent requests made to a congressional representative. If 
an authorization for the disclosure has been obtained from the data 
subject, then no routine use is needed. The Privacy Act allows for 
disclosures with the ``prior written consent'' of the data subject. We 
will broaden the scope of published routine uses number 7 and 8, 
authorizing disclosures to combat fraud and abuse in the Medicare and 
Medicaid programs to include combating ``waste'' which refers 
increasingly more to specific beneficiary or recipient practices that 
result in unnecessary cost to Federally-funded health benefit programs.
    We will delete the section titled ``Additional Circumstances 
Affecting Routine Use Disclosures,'' that addresses ``Protected Health 
Information (PHI)'' and ``small cell size.'' The requirement for 
compliance with HHS regulation ``Standards for Privacy of Individually 
Identifiable Health Information'' does not apply because this system 
does not collect or maintain PHI. In addition, our policy to prohibit 
release if there is a possibility that an individual can be identified 
through ``small cell size'' is not applicable to the data maintained in 
this system.
    We are modifying the language in the remaining routine uses to 
provide a proper explanation as to the need for the routine use and to 
provide clarity to CMS' intention to disclose individual-specific 
information contained in this system. The routine uses will then be 
prioritized and reordered according to their usage. We will also take 
the opportunity to update any sections of the system that were affected 
by the recent reorganization or by Medicare Prescription Drug, 
Improvement, and Modernization Act of 2003 (Pub. L. 108-173) provisions 
and to update language in the administrative sections to correspond 
with language used in other CMS SORs.
    The primary purpose of the SOR is to ensure that no interns and 
residents (IRs) are counted by the Medicare program as more than one 
full-time equivalent (FTE) employee in the calculation of payments for 
the costs of direct graduate medical education (GME) and indirect 
medical education (IME). Information retrieved from this SOR will also 
be disclosed to: (1) Support regulatory, reimbursement, and policy 
functions performed within the Agency or by a contractor or consultant, 
(2) assist another Federal and/or state agency, agency of a state 
government, an agency established by state law, or its fiscal agent, 
(3) support providers and suppliers of services, (4) assist third-party 
contacts where necessary to establish or verify information, (5) 
support litigation involving the Agency, and (6) combat fraud, waste, 
and abuse in certain health benefits programs. We have provided 
background information about the modified system in the ``Supplementary 
Information'' section below. Although the Privacy Act requires only 
that CMS provide an opportunity for interested persons to comment on 
the routine uses, CMS invites comments on all portions of this notice. 
See ``Effective Dates'' section for comment period.

DATES: Effective Dates: CMS filed a modified or altered system report 
with the Chair of the House Committee on Government Reform and 
Oversight, the Chair of the Senate Committee on Homeland Security and 
Governmental Affairs, and the Administrator, Office of Information and 
Regulatory Affairs, Office of Management and Budget (OMB) on December 
4, 2007. To ensure that all parties have adequate time in which to 
comment, the modified system, including routine uses, will become 
effective 30 days from the publication of the notice, or 40 days from 
the date it was submitted to OMB and Congress, whichever is later, 
unless CMS receives comments that require alterations to this notice.

ADDRESSES: The public should address comments to: CMS Privacy Officer, 
Division of Privacy Compliance, Enterprise Architecture and Strategy 
Group, Office of Information Services, CMS, 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: Milton Jacobson, Division of Provider 
Audit Operations, Financial Services Group, Office of Financial 
Management, CMS, Room C3-14-00, 7500 Security Boulevard, Baltimore, 
Maryland 21244-1850. Mr. Jacobson can be reached by telephone at 410-
786-7553 or via e-mail at Milton.Jacobson@cms.hhs.gov.

SUPPLEMENTARY INFORMATION:

I. Description of the Modified or Altered System of Records

A. Statutory and Regulatory Basis for System

    Authority for maintenance of the system is given under the 
provisions of Sec. Sec.  1886(d)(5)(B) and 1886(h) of the Social 
Security Act (Title 42 United States Code (U.S.C.) 1395ww(d)(5)(B) and 
1395ww(h)).

B. Collection and Maintenance of Data in the System

    The system collects and maintains information interns and residents 
in programs approved under 42 CFR 413.75, working in all areas of the 
hospital complex, or other freestanding providers, as well as non-
hospital or non-provider settings on or after July 1, 1985. The system 
includes the following information for each IR: name, social security 
number; name of medical, osteopathic, dental, or podiatric school 
graduated from and date of graduation, type of residency program for 
the medical specialty, number of years completed in all types of 
residency programs, foreign medical school graduation date and 
certification date, name of employer (e.g., hospital, university, 
corporation) paying the salary, the percentage of time spent working in 
either the inpatient areas of the hospital subject to the Prospective 
Payment System or in the outpatient areas of the hospital or in a non-
hospital setting under agreement with the hospital for IME, the 
percentage of time spent working in any area of the hospital complex or 
in a non-provider setting under agreement with the hospital for GME, 
the start and end dates assigned to the hospital and any hospital-based 
providers (assignment periods) during the hospital's cost reporting 
period, the start and end dates assigned to any non-hospital or non-
provider setting in connection with approved residency programs 
(assignment periods) during the hospital's cost reporting period, and 
the full-time or part-time percentage during each assignment period.

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

    A. 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 disclosure of data is known as a ``routine use.'' 
The government will only release IRIS information that can be 
associated with an individual as provided for under ``Section III.

[[Page 69693]]

Proposed Routine Use Disclosures of Data in the System.'' Both 
identifiable and non-identifiable data may be disclosed under a routine 
use.
    We will only collect the minimum personal data necessary to achieve 
the purpose of IRIS. CMS has the following policies and procedures 
concerning disclosures of information that will be maintained in the 
system. Disclosure of information from this system will be approved 
only to the extent necessary to accomplish the purpose of the 
disclosure and only after CMS:
    1. Determines that the use or disclosure is consistent with the 
reason that the data is being collected, e.g., to ensure that no 
interns and residents (IR) are counted by the Medicare program as more 
than one full-time equivalent (FTE) employee in the calculation of 
payments for the costs of GME and IME.
    2. Determines:
    a. That the purpose for which the disclosure is to be made can only 
be accomplished if the record is provided in individually identifiable 
form;
    b. That the purpose for which the disclosure is to be made is of 
sufficient importance to warrant the potential effect and/or risk on 
the privacy of the individual that additional exposure of the record 
might bring; and
    c. That there is a strong probability that the proposed use of the 
data would in fact accomplish the stated purpose(s).
    3. Requires the information recipient to:
    a. Establish administrative, technical, and physical safeguards to 
prevent unauthorized use of disclosure of the record; and
    b. Remove or destroy at the earliest time all patient-identifiable 
information.
    4. Determines that the data are valid and reliable.

III. Proposed Routine Use Disclosures of Data in the System

A. Entities Who May Receive Disclosures Under Routine Use

    These routine uses specify circumstances, in addition to those 
provided by statute in the Privacy Act of 1974, under which CMS may 
release information from the IRIS without the consent of the individual 
to whom such information pertains. Each proposed disclosure of 
information under these routine uses will be evaluated to ensure that 
the disclosure is legally permissible, including but not limited to 
ensuring that the purpose of the disclosure is compatible with the 
purpose for which the information was collected. We are proposing to 
establish or modify the following routine use disclosures of 
information maintained in the system:
    1. To support agency contractors, consultants, or grantees, who 
have been engaged by the agency to assist in the performance of a 
service related to this collection 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 CMS may enter into a contractual or similar 
agreement with a third party to assist in accomplishing CMS function 
relating to purposes for this system.
    CMS occasionally contracts out certain of its functions when doing 
so would contribute to effective and efficient operations. CMS must be 
able to give a contractor, consultant or grantee 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, consultant or grantee from using or disclosing the 
information for any purpose other than that described in the contract 
and requires the contractor, consultant or grantee to return or destroy 
all information at the completion of the contract.
    2. To another Federal or state agency, agency of a state 
government, an agency established by state law, or its fiscal agent:
    a. To contribute to the accuracy of CMS' proper payment of Medicare 
benefits,
    b. To enable such agency to administer a Federal health benefits 
program, or as necessary to enable such agency to fulfill a requirement 
of a Federal statute or regulation that implements a health benefits 
program funded in whole or in part with federal funds.
    Other Federal or state agencies in their administration of a 
Federal health program may require IRIS information in order to support 
evaluations and monitoring of reimbursement for services provided.
    SSA may require IRIS data to enable it to assist in the 
implementation and maintenance of the Medicare program.
    State licensing boards may require IRIS data to enable them to 
assist in the review of activities related to IRs in their state.
    The Medicare Payment Advisory Commission and Congressional Budget 
Office may require IRIS data to assist in certain budgetary and 
planning activities related to IR status.
    3. To providers and suppliers of services (and their authorized 
billing agents) directly or dealing through fiscal intermediaries or 
carriers, for administration of provisions of Title XVIII of the Social 
Security Act.
    We contemplate disclosing information under this routine use only 
in situations in which CMS may enter into a contractual agreement with 
providers and suppliers of services to assist in accomplishing CMS 
functions relating to purposes for this SOR.
    4. To third-party contacts where necessary to establish or verify 
information provided on or by IR.
    We contemplate disclosing information under this routine use only 
in situations in which CMS may enter into a contractual or similar 
agreement with a third party to assist in accomplishing CMS functions 
relating to purposes for this system of records.
    5. 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, CMS determines that the records are both relevant and 
necessary to the litigation and that the use of such records by the 
DOJ, court or adjudicatory body is compatible with the purpose for 
which the agency collected the records.
    Whenever CMS is involved in litigation, or occasionally when 
another party is involved in litigation and CMS' policies or operations 
could be affected by the outcome of the litigation, CMS would be able 
to disclose information to the DOJ, court or adjudicatory body 
involved.
    6. To a CMS contractor (including, but not limited to FIs and 
carriers) that assists in the administration of a CMS-administered 
health benefits program, or to a grantee of a CMS-administered grant 
program, when disclosure is deemed reasonably necessary by CMS to 
prevent, deter, discover, detect, investigate, examine, prosecute, sue 
with respect to, defend against, correct, remedy, or otherwise combat 
fraud, waste, or abuse in such program.
    We contemplate disclosing information under this routine use only 
in situations in which CMS may enter into a contract or grant with a 
third party to assist in accomplishing CMS functions relating to the 
purpose of combating fraud, waste, and abuse.
    CMS occasionally contracts out certain of its functions when doing 
so

[[Page 69694]]

would contribute to effective and efficient operations. CMS must be 
able to give a contractor or grantee whatever information is necessary 
for the contractor or grantee to fulfill its duties. In these 
situations, safeguards are provided in the contract prohibiting the 
contractor or grantee from using or disclosing the information for any 
purpose other than that described in the contract and requiring the 
contractor or grantee to return or destroy all information.
    7. To another Federal agency or to an instrumentality of any 
governmental jurisdiction within or under the control of the United 
States (including any state or local governmental agency), that 
administers, or that has the authority to investigate potential fraud 
or abuse in a health benefits program funded in whole or in part by 
Federal funds, when disclosure is deemed reasonably necessary by CMS to 
prevent, deter, discover, detect, investigate, examine, prosecute, sue 
with respect to, defend against, correct, remedy, or otherwise combat 
fraud, waste, or abuse in such programs.
    Other agencies may require IRIS information for the purpose of 
combating fraud, waste, and abuse in such Federally funded programs.

IV. Safeguards

    CMS has safeguards in place 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 
information security requirements. Employees who maintain records in 
this system are instructed not to release data until the intended 
recipient agrees to implement appropriate management, operational and 
technical safeguards sufficient to protect the confidentiality, 
integrity and availability of the information and information systems 
and to prevent unauthorized access.
    This system will conform to all applicable Federal laws and 
regulations and Federal, HHS, and CMS policies and standards as they 
relate to information security and data privacy. These laws and 
regulations may apply but are not limited to: the Privacy Act of 1974; 
the Federal Information Security Management Act of 2002; the Computer 
Fraud and Abuse Act of 1986; the Health Insurance Portability and 
Accountability Act of 1996; the E-Government Act of 2002, the Clinger-
Cohen Act of 1996; the Medicare Modernization Act of 2003, and the 
corresponding implementing regulations. OMB Circular A-130, Management 
of Federal Resources, Appendix III, Security of Federal Automated 
Information Resources also applies. Federal, HHS, and CMS policies and 
standards include but are not limited to: all pertinent National 
Institute of Standards and Technology publications; the HHS Information 
Systems Program Handbook and the CMS Information Security Handbook.

V. Effects of the Modified or Altered System of Records on Individual 
Rights

    CMS proposes to modify 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.
    CMS will take precautionary measures to minimize the risks of 
unauthorized access to the records and the potential harm to individual 
privacy or other personal or property rights of patients whose data are 
maintained in the system. CMS will collect only that information 
necessary to perform the system's functions. In addition, CMS 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. CMS, therefore, does 
not anticipate an unfavorable effect on individual privacy as a result 
of information relating to individuals.

    Dated: November 28, 2007.
Charlene Frizzera,
Chief Operating Officer, Centers for Medicare & Medicaid Services.
SYSTEM NO. 09-70-0524

SYSTEM NAME:
    ``Intern and Resident Information System (IRIS), HHS/CMS/OFM''

SECURITY CLASSIFICATION:
    Level Three Privacy Act Sensitive Data

SYSTEM LOCATION:
    The Centers for Medicare & Medicaid Services (CMS) Data Center, 
7500 Security Boulevard, North Building, First Floor, Baltimore, 
Maryland 21244-1850 and South Building, Baltimore, Maryland 21244-1850.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Interns and residents (IR) in medical residency programs approved 
under 42 CFR Sec.  413.75, working in all areas of the hospital 
complex, or other freestanding providers, as well as non-hospital or 
non-provider settings on or after July 1, 1985.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system includes the following information for each IR: name, 
social security number; name of medical, osteopathic, dental, or 
podiatric school graduated from and date of graduation, type of 
residency program for the medical specialty, number of years completed 
in all types of residency programs, foreign medical school graduation 
date and certification date, name of employer (e.g., hospital, 
university, corporation) paying the salary, the percentage of time 
spent working in either the inpatient areas of the hospital subject to 
the Prospective Payment System or in the outpatient areas of the 
hospital or in a non-hospital setting under agreement with the hospital 
for indirect medical education (IME), the percentage of time spent 
working in any area of the hospital complex or in a non-provider 
setting under agreement with the hospital for graduate medical 
education (GME), the start and end dates assigned to the hospital and 
any hospital-based providers (assignment periods) during the hospital's 
cost reporting period, the start and end dates assigned to any non-
hospital or non-provider setting in connection with approved residency 
programs (assignment periods) during the hospital's cost reporting 
period, and the full-time or part-time percentage during each 
assignment period.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Authority for maintenance of the system is given under the 
provisions of Sec. Sec.  1886(d)(5)(B) and 1886(h) of the Social 
Security Act (Title 42 United States Code (U.S.C.) Sec. Sec.  
1395ww(d)(5)(B) and 1395ww (h)).

PURPOSE(S) OF THE SYSTEM:
    The primary purpose of the SOR is to ensure that no interns and 
residents (IRs) are counted by the Medicare program as more than one 
full-time equivalent (FTE) employee in the calculation of payments for 
the costs of direct graduate medical education (GME) and indirect 
medical education (IME). Information retrieved from this SOR will also 
be disclosed to: (1) Support regulatory, reimbursement, and policy 
functions performed within the Agency or by a contractor or consultant, 
(2) assist another Federal and/or state agency, agency of a state 
government, an agency established by state law, or its fiscal agent, 
(3) support providers and suppliers of services, (4) assist third-party 
contacts where necessary to establish or verify information, (5)

[[Page 69695]]

support litigation involving the Agency, and (6) combat fraud, waste, 
and abuse in certain health benefits programs.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OR USERS AND THE PURPOSES OF SUCH USES:
    A. Entities Who May Receive Disclosures Under Routine Use
    These routine uses specify circumstances, in addition to those 
provided by statute in the Privacy Act of 1974, under which CMS may 
release information from the IRIS without the consent of the individual 
to whom such information pertains. Each proposed disclosure of 
information under these routine uses will be evaluated to ensure that 
the disclosure is legally permissible, including but not limited to 
ensuring that the purpose of the disclosure is compatible with the 
purpose for which the information was collected. We are proposing to 
establish or modify the following routine use disclosures of 
information maintained in the system:
    1. To support agency contractors, consultants, or grantees, who 
have been engaged by the agency to assist in the performance of a 
service related to this collection and who need to have access to the 
records in order to perform the activity.
    2. To another Federal or state agency, agency of a state 
government, an agency established by state law, or its fiscal agent:
    a. To contribute to the accuracy of CMS' proper payment of Medicare 
benefits,
    b. To enable such agency to administer a Federal health benefits 
program, or as necessary to enable such agency to fulfill a requirement 
of a Federal statute or regulation that implements a health benefits 
program funded in whole or in part with federal funds.
    3. To providers and suppliers of services (and their authorized 
billing agents) directly or dealing through fiscal intermediaries or 
carriers, for administration of provisions of Title XVIII of the Social 
Security Act.
    4. To third-party contacts where necessary to establish or verify 
information provided on or by IR.
    5. 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, CMS determines that the records are both relevant 
and necessary to the litigation and that the use of such records by the 
DOJ, court or adjudicatory body is compatible with the purpose for 
which the agency collected the records.
    6. To a CMS contractor (including, but not limited to FIs and 
carriers) that assists in the administration of a CMS-administered 
health benefits program, or to a grantee of a CMS-administered grant 
program, when disclosure is deemed reasonably necessary by CMS to 
prevent, deter, discover, detect, investigate, examine, prosecute, sue 
with respect to, defend against, correct, remedy, or otherwise combat 
fraud, waste, or abuse in such program.
    7. To another Federal agency or to an instrumentality of any 
governmental jurisdiction within or under the control of the United 
States (including any state or local governmental agency), that 
administers, or that has the authority to investigate potential fraud 
or abuse in a health benefits program funded in whole or in part by 
Federal funds, when disclosure is deemed reasonably necessary by CMS to 
prevent, deter, discover, detect, investigate, examine, prosecute, sue 
with respect to, defend against, correct, remedy, or otherwise combat 
fraud, waste, or abuse in such programs.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    All records are stored on paper and magnetic disk.

RETRIEVABILITY:
    Magnetic media records are retrieved by the name of the employees 
or other authorized individual and/or card key number. Paper records 
are retrieved alphabetically by name.

SAFEGUARDS:
    CMS has safeguards in place 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 
information security requirements. Employees who maintain records in 
this system are instructed not to release data until the intended 
recipient agrees to implement appropriate management, operational and 
technical safeguards sufficient to protect the confidentiality, 
integrity and availability of the information and information systems 
and to prevent unauthorized access.
    This system will conform to all applicable Federal laws and 
regulations and Federal, HHS, and CMS policies and standards as they 
relate to information security and data privacy. These laws and 
regulations may apply but are not limited to: the Privacy Act of 1974; 
the Federal Information Security Management Act of 2002; the Computer 
Fraud and Abuse Act of 1986; the Health Insurance Portability and 
Accountability Act of 1996; the E-Government Act of 2002, the Clinger-
Cohen Act of 1996; the Medicare Modernization Act of 2003, and the 
corresponding implementing regulations. OMB Circular A-130, Management 
of Federal Resources, Appendix III, Security of Federal Automated 
Information Resources also applies. Federal, HHS, and CMS policies and 
standards include but are not limited to: all pertinent National 
Institute of Standards and Technology publications; the HHS Information 
Systems Program Handbook and the CMS Information Security Handbook.

RETENTION AND DISPOSAL:
    Records are maintained in a secure storage area with identifiers. 
Disposal occurs three years from the last action on the hospital's cost 
report, and should be coordinated with disposal of the reports.

SYSTEM MANAGER AND ADDRESS:
    Director, Division of Provider Audit Operations, Financial Services 
Group, Office of Financial Management, CMS, 7500 Security Boulevard, 
C3-14-00, Baltimore, Maryland 21244-1850.

NOTIFICATION PROCEDURE:
    For purpose of access, the subject individual should write to the 
systems manager who will require the system name, SSN, address, date of 
birth, sex, and for verification purposes, the subject individual's 
name (woman's maiden name, if applicable). Furnishing the SSN is 
voluntary, but it may make searching for a record easier and prevent 
delay.

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.

[[Page 69696]]

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:
    Data for this system is collected from IRIS diskettes/CDs as 
transmitted by the hospitals.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.

 [FR Doc. E7-23877 Filed 12-7-07; 8:45 am]
BILLING CODE 4120-03-P
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