Office of the Assistant Secretary for Planning and Evaluation; Privacy Act of 1974; Report of New System of Records, 77027-77029 [E8-28345]

Agencies

• DEPARTMENT OF HEALTH AND HUMAN SERVICES

[Federal Register Volume 73, Number 244 (Thursday, December 18, 2008)]
[Notices]
[Pages 77027-77029]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-28345]


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

DEPARTMENT OF HEALTH AND HUMAN SERVICES


Office of the Assistant Secretary for Planning and Evaluation; 
Privacy Act of 1974; Report of New System of Records

AGENCY: Office of the Assistant Secretary for Planning and Evaluation 
(ASPE).

ACTION: Notice of new System of Records (SOR).

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

SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, the Office of Assistant Secretary for Planning and Evaluation 
(ASPE) is proposing to establish a new system of records, called the 
Partnership for Long Term Care Data Set. The Partnership allows states 
to offer special Medicaid asset disregards to persons purchasing 
specially certified long term care insurance policies. This program and 
the data collection were established by the Deficit Reduction Act of 
2005--Section 6021. Although the Privacy Act requires only that the 
``routine uses'' portion of the system be published for comment, ASPE 
invites comments on all portions of this notice. Elsewhere in today's 
Federal Register, a related final rulemaking establishing the State 
Long Term Care Partnership: Reporting Requirements for Insurers.

DATES: Effective Date: The new system of records, including routine 
uses, will become effective January 27, 2009 unless ASPE receives 
comments that require alteration to this notice.

ADDRESSES: Address comments to the Privacy Act Officer, Office of 
Assistant Secretary for Planning and Evaluation, U.S. Department of 
Health and Human Services, 200 Independence Ave, SW., Room Number 
436E.2, Washington, DC 20201. 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. Call 202-
205-8999 for appointment.

FOR FURTHER INFORMATION CONTACT: Hunter McKay, Office of the Assistant 
Secretary for Planning and Evaluation, U.S. Department of Health and 
Human Services, 200 Independence Ave, SW., Room Number 424E, 
Washington, DC 20201. The telephone number is (202) 205-8999 and the e-
mail address is hunter.mckay@hhs.gov.

SUPPLEMENTARY INFORMATION:
    The Partnership for Long Term Care initiative was mandated by 
Section 6021 of Public Law 109-171, the Deficit Reduction Act of 2005 
(DRA). The Partnership allows states to offer special Medicaid asset 
disregards to persons purchasing specially certified long term care 
insurance policies. The asset disregards allow program participants to 
keep additional assets should they need to apply for Medicaid coverage 
of long term care. DRA also mandates the use of a standard reporting 
system for all insurers participating in a state Partnership for Long 
Term Care program through a Medicaid State Plan Amendment approved 
after May 14, 1993. Participating insurers are required to report data 
on Partnership policy purchasers, features of the policies they 
purchase, and, selected claims information.
    The Privacy Act permits us to disclose information without the 
consent of individuals under a ``routine use.'' A routine use is a 
disclosure outside of the Department of Health and Human Services that 
is compatible with the purpose for which we collected the information. 
The proposed routine uses in the new system of records meet the 
compatibility criterion of the statute.

    Dated: November 21, 2008.
Mary M. McGeein,
Principal Deputy Assistant Secretary for Planning and Evaluation.
SYSTEM NO.
09-90-0085

SYSTEM NAME:
    Partnership for Long Term Care Data Set.

SECURITY CLASSIFICATION:
    None.

SYSTEM LOCATION:
    Thomson Reuters, 610 Opperman Drive, Eagan, Minnesota 55123.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Purchasers of long term care insurance policies certified by a 
selected state (Medicaid state plan amendment approved after May 14, 
1993) insurance commissioner as meeting the state's Partnership's 
requirements for certification.

CATEGORIES OF RECORDS IN THE SYSTEM:
    [diam] Name
    [diam] Address
    [diam] Social Security Number
    [diam] Date of Birth
    [diam] Long Term Care Insurance Policy Information
    [cir] Long Term Care Insurance Company
    [cir] Long Term Care Insurance Policy Number
    [cir] Type of Policy (Group, Individual and Comprehensive, Nursing 
Home Only)
    [cir] Policy Issue State
    [cir] Lifetime Maximum Benefit
    [cir] Duration of Insurance Benefits (dollars or days)
    [cir] Daily Benefit Amount
    [cir] Inflation Protection Feature (required by DRA for select 
ages)
    [diam] Claims Information
    [cir] Qualifying Condition for Claim (ADL, Cognitive Impairment, 
Other)
    [cir] Benefits Payment by Type of Service (institutional or home)
    [cir] Remaining Lifetime Maximum Benefits (by service type when 
multiple pools)

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The authority for this system of records is contained in Section 
6021 of the Deficit Reduction Act of 2005, Public Law 109-171, 42 
U.S.C. 1396p note.

PURPOSE(S) OF THE SYSTEM:
    The purpose of the system of records is to support Medicaid 
eligibility determinations for persons participating in a Partnership 
for long term care program.

[[Page 77028]]

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSE OF SUCH USES:
    Section 552a(b)(3) of the Privacy Act permits an agency to 
establish disclosures not anticipated by the statute itself, compatible 
with the purpose for which the information was collected, under which 
the information may be released without the consent of the individual 
to whom the information pertains. ASPE is identifying the following 
routine disclosures for information held in the Partnership for Long 
Term Care Data Set. 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. Disclosure may be made under the following 
circumstances.
    1. Disclosure may be made to a State, local, tribal or other public 
authority for the purpose of verifying Partnership program 
participation and calculation of the amount of the Medicaid Partnership 
asset disregard.
    2. Disclosure may be made to the Department of Justice when: (a) 
The agency or any component thereof; or (b) any employee of the agency 
in his or her official capacity; (c) any employee of the agency in his 
or her individual capacity where agency or the Department of Justice 
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, the agency determines that the 
records are both relevant and necessary to the litigation and the use 
of such records by the Department of Justice is therefore deemed by the 
agency to be for a purpose that is compatible with the purpose for 
which the agency collected the records.
    3. Disclosure may be made to a court or adjudicative body in a 
proceeding when: (a) The agency or any component thereof; or (b) any 
employee of the agency in his or her official capacity; (c) any 
employee of the agency in his or her individual capacity where agency 
or the Department of Justice 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, the agency 
determines that the records are both relevant and necessary to the 
litigation and the use of such records is therefore deemed by the 
agency to be for a purpose that is compatible with the purpose for 
which the agency collected the records.
    4. When a record on its face, or in conjunction with other records, 
indicates a violation or potential violation of law, whether civil, 
criminal, or regulatory in nature, and whether arising by general 
statute or particular program statute, or by regulation, rule, or order 
issued pursuant thereto, disclosure may be made to the appropriate 
public authority, whether Federal, foreign, state, local, tribal, or 
otherwise responsible for enforcing, investigating, or prosecuting such 
violation or charged with enforcing, or implementing the statute, rule, 
regulation, or order issued pursuant hereto, if the information 
disclosed is relevant to any enforcement, regulatory, investigative or 
prosecutorial responsibility of the receiving entity.
    5. Disclosure may be made to a Member of Congress or to a 
congressional staff member in response to an inquiry of the 
congressional office made at the written request of the constituent 
about whom the record is maintained. The Member of Congress does not 
have any greater authority to obtain records than the individual would 
have if requesting the record directly.
    6. Disclosure may be made to agency contractors, grantees, or 
volunteers who have been engaged to assist the agency in the 
performance of a contract service, grant, cooperative agreement or 
other activity related to this system of records and who need to have 
access to the records in order to perform the activity. Recipients 
shall be required to comply with the requirements of the Privacy Act of 
1974, as amended 5 U.S.C. 552a.
    7. Disclosure may be made to an individual or organization 
conducting a research, demonstration, or evaluation project related to 
long term care financing generally, the performance of long term care 
insurance or Partnership programs, or for the purposes of determining, 
evaluating, assessing cost effectiveness, or quality of the long term 
care services provided through a Partnership program.
    8. To another Federal or state agency for the purpose of operating 
the Medicaid program or otherwise assisting states in the 
administration of those portions of the Medicaid program with direct 
connection to state Partnership programs.
    9. To appropriate federal agencies and Department contractors that 
have a need to know the information for the purpose of assisting the 
Department's efforts to respond to a suspected or confirmed breach of 
the security or confidentiality of information maintained in this 
system of records, and the information disclosed is relevant and 
necessary for that assistance.

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

RETRIEVABILITY:
    The records are retrieved by the long term care insurance policy 
number, name, social security number, or a combination of these.

SAFEGUARDS:
    For computerized records, safeguards established in accordance with 
Department standards and National Institute of Standards and Technology 
guidelines (e.g., security codes) will be used, limiting access to 
authorized personnel. System security policy and practices are 
established in accordance with HHS, Information Resources Management 
(IRM) Circular 10, Automated Information Systems Security 
Program; HCFA Automated Information System (AIS) Guide, Systems 
Security Policies; and OMB Circular No. A-130 (revised), Appendix III.

RETENTION AND DISPOSAL:
    We are working with the National Archives and Records 
Administration (NARA) to determine the appropriate retention schedule. 
Due to the nature of these records, we expect them to be preserved for 
at least 20 years after the death of the policyholder. When the 
retention period has been approved by NARA, we will amend this notice.

SYSTEM MANAGER(S) AND ADDRESS:
    Hunter McKay, Office of the Assistant Secretary for Planning and 
Evaluation, U.S. Department of Health and Human Services, 200 
Independence Ave, SW., Room Number 424E, Washington, DC 20201.

NOTIFICATION PROCEDURE:
    For purpose of notification, individuals may write the system 
manager, who will require the insured's name, insurance company name, 
insurance policy number, and, for verification purposes, date of birth, 
to ascertain whether or not the individual's record is in the system. 
(These notification procedures are in accordance with Department 
regulation 45 CFR part 5b.)

RECORD ACCESS PROCEDURE:
    Same as notification procedures. Requestors should also reasonably 
specify the record contents being

[[Page 77029]]

sought. (These access procedures are in accordance with the Department 
regulation 45 CFR 5b.5(a)(2).)

CONTESTING RECORD PROCEDURES:
    Contact the system manager named above, and reasonably identify the 
record and specify the information to be contested. State the 
corrective action sought and the reasons for the correction with 
supporting justification. (These procedures are in accordance with 
Department regulation 45 CFR 5b.7.)

RECORD SOURCE CATEGORIES:
    Information is reported by private long term care insurance 
companies selling policies that have been certified by a state 
insurance commissioner as Partnership qualified in a state that had 
obtained a Medicaid state plan amendment approved after of May 14, 
1993.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
    None.

 [FR Doc. E8-28345 Filed 12-17-08; 8:45 am]
BILLING CODE 4154-05-P