Privacy Act of 1974; System of Records Notice, 79685-79688 [2011-32791]
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the meeting, it will be made publicly
available at the location of the advisory
committee meeting, and the background
material will be posted on ONC’s Web site
after the meeting, at https://healthit.hhs.gov.
Procedure: Interested persons may present
data, information, or views, orally or in
writing, on issues pending before the
committee. Written submissions may be
made to the contact person on or before
October 17, 2011. Oral comments from the
public will be scheduled between
approximately 11:30 a.m. and 12:30 p.m./
Eastern Time. Time allotted for each
presentation will be limited to three minutes
each. If the number of speakers requesting to
comment is greater than can be reasonably
accommodated during the scheduled open
public hearing session, ONC will take written
comments after the meeting until close of
business.
Persons attending ONC’s advisory
committee meetings are advised that the
agency is not responsible for providing
access to electrical outlets.
ONC welcomes the attendance of the
public at its advisory committee meetings.
Seating is limited at the location, and ONC
will make every effort to accommodate
persons with physical disabilities or special
needs. If you require special accommodations
due to a disability, please contact Mary Jo
Deering at least seven (7) days in advance of
the meeting.
ONC is committed to the orderly conduct
of its advisory committee meetings. Please
visit our Web site at https://healthit.hhs.gov
for procedures on public conduct during
advisory committee meetings.
Notice of this meeting is given under the
Federal Advisory Committee Act (Pub. L. 92–
463, 5 U.S.C., App. 2).
Dated: December 15, 2011.
Mary Jo Deering,
Office of Programs and Coordination, Office
of the National Coordinator for Health
Information Technology.
[FR Doc. 2011–32790 Filed 12–21–11; 8:45 am]
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DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Office of the Secretary
Privacy Act of 1974; System of
Records Notice
Department of Health and
Human Services (HHS), Office of the
Secretary (OS), Office of the National
Coordinator for Health Information
Technology (ONC).
ACTION: Notice to establish a new system
of records.
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AGENCY:
In accordance with the
requirements of the Privacy Act of 1974,
HHS/OS/ONC is establishing a new
system of records, ‘‘ONC Health IT
Dashboard,’’ to create datasets that will
be used by ONC and its partners
SUMMARY:
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(including grantees in the Health IT
Extension Center program and ONC
program evaluation contractors) to
assess, improve, and publicize the
effectiveness of ONC health IT grants to
States and State-designated entities. The
datasets will enable ONC to (1) Evaluate
the state of health IT implementation by
parties registered to receive (i.e., who
have received or could receive)
electronic health record implementation
assistance from ONC grantees, (2)
compare the evaluations to grantees’
progress reports in order to validate
claims submitted for grant payments, (3)
share the evaluations with the grantees
to help improve grant performance, and
(4) make aggregate data (e.g., national
and State-level implementation
estimates) publicly available on ONC’s
Web site at https://www.healthit.hhs.gov.
The parties receiving grants and
health IT implementation assistance
from ONC grantees include health care
providers (not only provider-entities
such as hospitals, but individual
providers such as individual
physicians), community colleges, Statedesignated entities, and other entities.
Information about an individual
provider (e.g., an individual physician
as opposed to a hospital, corporation or
other organization) is protected by the
Privacy Act. Privacy Act-protected
information about each individual
provider will consist of the provider’s
health IT implementation information,
demographic information, and contact
information, retrieved by his or her
National Provider Identifier (NPI). The
system will not contain information
about patients. The system of records is
more thoroughly described in the
Supplementary Information section and
System of Records Notice (SORN),
below.
DATES: Effective Dates: Effective 30 days
after publication. Written comments
should be submitted on or before the
effective date. HHS/OS/ONC may
publish an amended System of Records
Notice (SORN) in light of any comments
received.
ADDRESSES: The public should send
written comments to: ONC Dashboard
Administrator, ONCRequest@HHS.gov,
200 Independence Ave. SW.,
Washington, DC 20201.
FOR FURTHER INFORMATION CONTACT:
Email: ONCRequest@HHS.gov,
Telephone: 1–(202) 690–7151, 200
Independence Ave. SW., Washington,
DC 20201.
SUPPLEMENTARY INFORMATION:
I. ONC Health IT Dashboard
The Office of the National
Coordinator is establishing the ‘‘ONC
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79685
Health IT Dashboard’’ system as part of
the U.S. Department of Health and
Human Service’s (HHS) implementation
of the Open Government Directive
issued by the Office of Management and
Budget (OMB) on December 8, 2009
(OMB Memorandum M–10–06). The
purpose of the system is to advance
open government principles and
facilitate three programmatic objectives:
(1) Aggregate data to create nationaland State-level estimates about health IT
adoption, (2) identify participants in
other HHS health IT-related programs
that could be assisted by ONC grantees,
and (3) verify the integrity of grant
payments made to ONC grantees.
The Dashboard system will enable
ONC to create datasets using data from
two types of sources: (1) Data created
during the administration of ONC grant
programs or obtained from ONC
partners administering other Federal ITrelated grant programs, and (2) data
procured from private vendors that
monitor health IT adoption trends and
activity. The Dashboard system is
divided into two interfaces: an internal
system used by ONC researchers to
create and analyze said datasets, and a
public-facing Open Government internet
site that will contain de-identified Statelevel summary statistics derived from
said datasets, and pre-configured
graphs, charts, and maps displaying the
summarized data.
Individually-identifying information
in the Dashboard system will pertain to
individual office-based health care
providers who are enrolled with the
ONC Health IT Regional Extension
Centers (RECs) and/or participate in
other Federal IT-related grant programs,
such as the CMS Medicare and
Medicaid EHR Incentive programs.
Privacy Act-protected information in
this system will consist of an individual
provider’s contact information,
demographic information, and health IT
implementation information, retrieved
by the provider’s National Provider
Identifier (NPI). Examples of records
from which this information will be
obtained include:
• Records from private vendors that
monitor health IT adoption trends and
activity, which include provider-level
information such as contact and
demographic information and
characteristics of the electronic health
records (EHR) systems and
functionalities in use at the provider’s
site.
• ONC REC Program grant
administration records, which contains
the NPI, contact information, and
demographic information for providers
that are enrolled with ONC RECs.
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• Centers for Medicare & Mediaid
Services (CMS) Electronic Health
Records (EHR) Incentive Program grant
administration records, which include
registration and attestation records
containing NPI, contact information,
and demographic information for
providers who register to participate in
that program.
Some of the datasets to be created and
used by ONC and shared with ONC
grantees and partners will necessarily
include identifying information
pertaining to particular participants in
ONC and other Federal IT-related grant
programs (including individual health
care providers, identified by NPI);
however, datasets that will be made
publicly available on the ONC Web site
will contain only aggregated data that
cannot be identified with particular
participants. Examples of both types of
datasets (identifiable and aggregate) are
described below:
• The system will create datasets
containing NPI for use by ONC
researchers, to validate the accuracy of
claims for grant payment by ONC
grantees.
• ONC may share versions of the
above datasets containing NPI with ONC
partners and grantees, to help grantees
better assist registered parties in
implementing health IT. An ONC
partner or ONC grantee will be able to
access datasets created in the system via
a secure login to an internet portal.
Accordingly, ONC partners and ONC
grantees will only have access to data
specifically pertaining to the
achievement of that entity’s grant or
contract purpose. Further, an ONC
grantee will only receive or have access
to individually-identifying data about
health care providers who are within
the grantee’s geographic area.
• The system will enable ONC to
create aggregated summary tables from
the above datasets that examine patterns
of grants participation and health IT
implementation using summary
categories deriving from the provider’s
geography (e.g., by state, region, urban/
rural classification) or demographic data
(e.g., health care provider type, such as
office-based provider, hospital or
pharmacy) and not by NPI, for posting
to ONC’s Web site.
II. The Privacy Act
The Privacy Act (5 U.S.C. 552a)
governs the means by which the U.S.
Government collects, maintains, and
uses information about individuals in a
system of records. A ‘‘system of
records’’ is a group of any records under
the control of a Federal agency from
which information about an individual
is retrieved by the individual’s name or
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other personal identifier. The Privacy
Act requires each agency to publish in
the Federal Register a system of records
notice (SORN) identifying and
describing each system of records the
agency maintains, including the
purposes for which the agency uses
information about individuals in the
system, the routine uses for which the
agency discloses such information
outside the agency, and how individual
record subjects can exercise their rights
under the Privacy Act (e.g., to determine
if the system contains information about
them).
SYSTEM NUMBER:
09–90–1201
SYSTEM NAME:
ONC Health IT Dashboard, HHS/OS/
ONC.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
The server infrastructure for the
system will be located at Managed
Application Hosting Facility (MAHC
Core Site), Reston Virginia.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
The system will contain information
about individual office-based health
care providers who are enrolled with
the ONC Health IT Regional Extension
Centers (REC) and/or participate in
other Federal health IT-related grant
programs, including the CMS EHR
Incentive Programs.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system will contain the following
records about individual health care
providers:
• IT implementation information,
such as the functionalities that are being
used within a provider’s electronic
health record system;
• Demographic records, such as
gender and ethnicity;
• Contact information, such as name,
address, and phone number; and
• National Provider Identifier (NPI).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Health Information Technology
for Economic and Clinical Health
(HITECH) Act, enacted as part of the
American Recovery and Reinvestment
Act of 2009 (ARRA) (Pub. L. 111–5),
codified at 42 U.S.C. 300jj.
PURPOSE(S) OF THE SYSTEM:
HHS/ONC personnel will use the
system to create and use datasets to
assess, improve, and publicize the
effectiveness of ONC health IT grants
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made to States and State-designated
entities. Some of the datasets will
contain individually identifying
information about health care providers
who are registered to receive health IT
implementation assistance from ONC
grantees. HHS/ONC personnel will use
individually identifying information in
the system, on a need to know basis, to
(1) Evaluate the state of health IT
implementation by parties registered to
receive electronic health record
implementation assistance from ONC
grantees, (2) compare grantees’ progress
reports in order to validate claims
submitted for grant payments, (3) share
the evaluations with the grantees to help
improve grant performance, and (4)
make aggregate data (e.g., national and
State-level implementation estimates)
publicly available on ONC’s Web site.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
The ONC Health IT Dashboard system
will or may disclose datasets containing
individually identifying information
about providers to the following parties
outside the agency, for the following
routine uses:
1. To ONC grantees to help them
improve grant performance and to ONC
contractors that help evaluate the
effectiveness of Federal health ITrelated grants to States and Statedesignated entities. The group of ONC
grantees with whom this data will be
shared is available on the ONC Web site
at https://www.healthit.gov. An ONC
grantee will only receive individually
identifying data about health care
providers that are within the grantee’s
geographic service area.
2. To agency contractors, consultants,
or HHS grantees who have been engaged
by the agency to assist in
accomplishment of an HHS function
relating to the purposes of this system
of records and who need to have access
to the records in order to assist HHS.
3. To another Federal or State agency,
agency of a State government, agency
established by State law, or its fiscal
agent, pursuant to agreements with
HHS, as necessary to enable such
agency to:
• Contribute to the accuracy of HHS’s
reimbursements to grantees;
• Administer a Federal health
benefits program or fulfill a requirement
of a Federal statute or regulation that
implements a health benefits program
funded in whole or in part with Federal
funds; and/or
• Assist Federal/State Medicaid
programs which may require ONC
Health IT Dashboard information for
purposes related to this system.
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4. To the Department of Justice (DOJ),
a court or an adjudicatory body when:
• The agency or any component
thereof, or
• Any employee of the agency in his
or her official capacity, or
• Any employee of the agency in his
or her individual capacity where the
DOJ has agreed to represent the
employee, or
• The United States Government, is a
party to litigation or has an interest in
such litigation and, by careful review,
HHS 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.
5. To another Federal agency or 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 has the authority to
investigate potential fraud, waste or
abuse in a health benefits program
funded in whole or in part by Federal
funds, when disclosure is deemed
reasonably necessary by HHS 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.
6. 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,
when the information disclosed is
relevant and necessary for that
assistance.
7. To the Department of Justice (DOJ)
and/or the Office of Government
Information Services (OGIS) for the
purposes of determining whether
disclosure is required under the
Freedom of Information Act (FOIA),
resolving disputes between FOIA
requesters and Federal agencies, and
reviewing agencies’ FOIA policies,
procedures and compliance in order to
recommend policy changes to Congress
and the President.
8. To the National Archives and
Records Administration (NARA) in
records management inspections
conducted under the authority of 44
U.S.C. 2904 and 2906.
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POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM—
Electronic records will be stored on
an ONC infrastructure servers
maintained at a contracted IT services
unit of HHS. Electronic records
containing source data, including
individually identifiable information,
can only be accessed from secure
computer stations inside the HHS/ONC
workspace by authorized users.
Aggregated datasets including national
and State-level EHR implementation
estimates that do not include
individually identifiable information
will be available through the ONC Web
site, https://healthIT.gov.
RETRIEVABILITY:
Records will be retrieved, compared
and cross-checked using the National
Provider Identifier (NPI).
SAFEGUARDS:
Appropriate physical, technical, and
administrative safeguards will be in
place to protect against unauthorized
access to or disclosure of individually
identifiable information from this
system. The system will be secured and
protected using standards established
through the Federal Information
Security Management Act of 2002
(44 U.S.C. 3541) and standards
established by the National Institutes for
Standards in Technology (NIST) for
certifying and accrediting IT systems.
Furthermore, access to the system’s
internal ONC interface (which provides
the only available access to
individually-identifying data) will be
limited to a small group of authorized
HHS/ONC researchers, and within that
group, individual datasets will be
micromanaged to ensure that access is
restricted to the subset of ONC staff with
the bona fide need to use the
information. Access to any portion of
the internal ONC system and or source
datasets is predicated on successful user
registration with the HHS IT help desk
and the user’s ability to abide by the
HHS IT security terms of use.
Datasets created in the system for
provided to an ONC grantee or
contractor will contain only data
specifically pertaining to that entities
grant or contract purpose. Further, an
ONC grantee or contractor will only
receive or have access to individuallyidentifiable data about health care
providers who are within the grantee’s
geographic area. An ONC partner or
ONC grantee will be able to access
datasets created in the system via a
secure login to an internet portal. No
Frm 00042
records will be maintained in hard-copy
files.
RETENTION AND DISPOSAL:
STORAGE:
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The records are currently
unscheduled; the records disposition
schedule will provide for records to be
destroyed approximately two years after
the completion of the applicable ONC
health IT-related grant program that was
evaluated using the records.
SYSTEM MANAGER AND ADDRESS:
ONC Dashboard Administrator, Office
of the National Coordinator for Health
IT, 200 Independence Avenue SW.,
Washington, DC 20201.
NOTIFICATION PROCEDURE:
An individual provider who wishes to
know if this system contains records
about him or her should write to the
System Manager and include his or her
National Provider Identifier (NPI).
RECORD ACCESS PROCEDURE:
An individual provider seeking access
to records about him or her in this
system should follow the same
instructions indicated under
‘‘Notification Procedure.’’ The request
should reasonably identify the record
contents to which access is sought.
(These procedures are in accordance
with Department regulation 45 CFR 5b.5
(a)(2).)
CONTESTING RECORD PROCEDURES:
An individual provider seeking to
contest the content of information about
him or her in this system should follow
the same instructions indicated under
‘‘Notification Procedure.’’ The request
should reasonably identify the record,
specify the information contested, state
the corrective action sought, and
provide the reasons for the correction,
with supporting justification. (These
procedures are in accordance with
Department regulation 45 CFR 5b.7.)
The right to contest records is limited to
information that is incomplete,
irrelevant, incorrect, or untimely (i.e.,
obsolete).
RECORD SOURCE CATEGORIES:
The system will use data procured
from private vendors that monitor
health IT adoption trends and activity
and grant administrative data already
collected or generated in administering
ONC and other Federal health IT-related
grant programs. Datasets created by this
system, from those sources, will be
cross-checked against certain data in
other HHS systems (such as the PECOS
system), to ensure the datasets are valid,
accurate and reliable for use in
evaluating ONC grants. Most of the data
used will come from records collected
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directly from participants in the grant
programs.
EXEMPTIONS CLAIMED FOR THIS SYSTEM:
None.
Dated: December 5, 2011.
Michael Furukawa,
Acting Director, Office of Economic Analysis,
Evaluation and Modeling, Office of the
National Coordinator for Health IT, U.S.
Department of Health and Human Services.
[FR Doc. 2011–32791 Filed 12–21–11; 8:45 am]
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DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Administration for Children and
Families
Agency Recordkeeping/Reporting
Requirements Under Emergency
Review by the Office of Management
and Budget (OMB)
Title: Mother and Infant Home
Visiting Program Evaluation. (MIHOPE):
Site Recruitment.
OMB No.: New Collection.
Description: The Administration for
Children and Families (ACF) and Health
Resources and Services Administration
(HRSA) within the U.S. Department of
Health and Human Services (HHS) have
launched a national evaluation called
the Mother and Infant Home Visiting
Evaluation Project (MIHOPE). This
evaluation, mandated by the Affordable
Care Act, will inform the federal
government about the effectiveness of
the newly established MIECHV program
in its first few years of operation, and
provide information to help states
develop and strengthen home visiting
programs in the future. By
systematically estimating the effects of
home visiting programs across a wide
range of outcomes and studying the
variation in how programs are
implemented, MIHOPE will provide
valuable information on the effects of
these programs on parents and children.
This includes investigating the effects of
home visiting on maternal and child
well-being, how those effects vary for
different home visiting approaches, and
how variations in program design and
implementation influence program
fidelity and impacts.
The MIHOPE study includes two
phases: Phase 1 includes site
recruitment, baseline data collection
and implementation data; Phase 2
includes follow up data collection. The
purpose of the current document is to
request an emergency approval of site
recruitment efforts needed for Phase 1.
The overall goal for site recruitment in
MIHOPE is to select 85 sites across
approximately 12 states. States and their
local program sites will be selected for
MIHOPE in 2012 based on a variety of
characteristics including: The type of
home visiting model, geography,
urbanicity, target population, and
research feasibility. There is currently
limited documentation available to aid
site selection. The study team reviewed
and analyzed the MIECHV
implementation plans each state
submitted to the U.S. Department of
Health and Human Services. These
plans provided a general overview,
however, the plans did not consistently
provide the specific answers needed for
site selection. For this reason, we will
need to contact states and their local
programs to confirm what was collected
from the plans and request some
additional information. This
information needs to be collected in
early 2012 to ensure that baseline data
collection can begin in July 2012. Site
recruitment will include: emails, phone
calls, and site visits with state
administrators and state and local
program site staff.
Respondents: The respondents will be
state MIECHV administrators and home
visiting program managers. Data
collection activities will take place over
a 1-year period.
ANNUAL BURDEN ESTIMATES
Annual number
of respondents
Instrument
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Information package for state representatives ................................
Telephone script for state representatives ......................................
Telephone protocol for local program directors ...............................
In-person visit protocol for local program directors .........................
Estimated Total Annual Burden
Hours: 285.
In compliance with the requirements
of Section 3506(c)(2)(A) of the
Paperwork Reduction Act of 1995, the
Administration for Children and
Families is soliciting public comment
on the specific aspects of the
information collection described above.
Copies of the proposed collection of
information can be obtained and
comments may be forwarded by writing
to the Administration for Children and
Families, Office of Planning, Research
and Evaluation, 370 L’Enfant
Promenade SW., Washington, DC 20447,
Attn: OPRE Reports Clearance Officer.
Email address:
OPREinfocollection@acf.hhs.gov. All
requests should be identified by the title
of the information collection.
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Number of
responses per
respondent
30
30
80
40
The Department specifically requests
comments on (a) whether the proposed
collection of information is necessary
for the proper performance of the
functions of the agency, including
whether the information shall have
practical utility; (b) the accuracy of the
agency’s estimate of the burden of the
proposed collection of information; (c)
the quality, utility, and clarity of the
information to be collected; and (d)
ways to minimize the burden of the
collection of information on
respondents, including through the use
of automated collection techniques or
other forms of information technology.
Consideration will be given to
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Average burden
hours per
response
1
1
1
1
Total annual
burden hours
0.5
1.0
1.5
3.0
comments and suggestions submitted
within 21 days of this publication.
Robert Sargis,
Reports Clearance Officer.
[FR Doc. 2011–32824 Filed 12–21–11; 8:45 am]
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]]>Agencies
[Federal Register Volume 76, Number 246 (Thursday, December 22, 2011)]
[Notices]
[Pages 79685-79688]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-32791]
-----------------------------------------------------------------------
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Office of the Secretary
Privacy Act of 1974; System of Records Notice
AGENCY: Department of Health and Human Services (HHS), Office of the
Secretary (OS), Office of the National Coordinator for Health
Information Technology (ONC).
ACTION: Notice to establish a new system of records.
-----------------------------------------------------------------------
SUMMARY: In accordance with the requirements of the Privacy Act of
1974, HHS/OS/ONC is establishing a new system of records, ``ONC Health
IT Dashboard,'' to create datasets that will be used by ONC and its
partners (including grantees in the Health IT Extension Center program
and ONC program evaluation contractors) to assess, improve, and
publicize the effectiveness of ONC health IT grants to States and
State-designated entities. The datasets will enable ONC to (1) Evaluate
the state of health IT implementation by parties registered to receive
(i.e., who have received or could receive) electronic health record
implementation assistance from ONC grantees, (2) compare the
evaluations to grantees' progress reports in order to validate claims
submitted for grant payments, (3) share the evaluations with the
grantees to help improve grant performance, and (4) make aggregate data
(e.g., national and State-level implementation estimates) publicly
available on ONC's Web site at https://www.healthit.hhs.gov.
The parties receiving grants and health IT implementation
assistance from ONC grantees include health care providers (not only
provider-entities such as hospitals, but individual providers such as
individual physicians), community colleges, State-designated entities,
and other entities. Information about an individual provider (e.g., an
individual physician as opposed to a hospital, corporation or other
organization) is protected by the Privacy Act. Privacy Act-protected
information about each individual provider will consist of the
provider's health IT implementation information, demographic
information, and contact information, retrieved by his or her National
Provider Identifier (NPI). The system will not contain information
about patients. The system of records is more thoroughly described in
the Supplementary Information section and System of Records Notice
(SORN), below.
DATES: Effective Dates: Effective 30 days after publication. Written
comments should be submitted on or before the effective date. HHS/OS/
ONC may publish an amended System of Records Notice (SORN) in light of
any comments received.
ADDRESSES: The public should send written comments to: ONC Dashboard
Administrator, ONCRequest@HHS.gov, 200 Independence Ave. SW.,
Washington, DC 20201.
FOR FURTHER INFORMATION CONTACT: Email: ONCRequest@HHS.gov, Telephone:
1-(202) 690-7151, 200 Independence Ave. SW., Washington, DC 20201.
SUPPLEMENTARY INFORMATION:
I. ONC Health IT Dashboard
The Office of the National Coordinator is establishing the ``ONC
Health IT Dashboard'' system as part of the U.S. Department of Health
and Human Service's (HHS) implementation of the Open Government
Directive issued by the Office of Management and Budget (OMB) on
December 8, 2009 (OMB Memorandum M-10-06). The purpose of the system is
to advance open government principles and facilitate three programmatic
objectives: (1) Aggregate data to create national- and State-level
estimates about health IT adoption, (2) identify participants in other
HHS health IT-related programs that could be assisted by ONC grantees,
and (3) verify the integrity of grant payments made to ONC grantees.
The Dashboard system will enable ONC to create datasets using data
from two types of sources: (1) Data created during the administration
of ONC grant programs or obtained from ONC partners administering other
Federal IT-related grant programs, and (2) data procured from private
vendors that monitor health IT adoption trends and activity. The
Dashboard system is divided into two interfaces: an internal system
used by ONC researchers to create and analyze said datasets, and a
public-facing Open Government internet site that will contain de-
identified State-level summary statistics derived from said datasets,
and pre-configured graphs, charts, and maps displaying the summarized
data.
Individually-identifying information in the Dashboard system will
pertain to individual office-based health care providers who are
enrolled with the ONC Health IT Regional Extension Centers (RECs) and/
or participate in other Federal IT-related grant programs, such as the
CMS Medicare and Medicaid EHR Incentive programs. Privacy Act-protected
information in this system will consist of an individual provider's
contact information, demographic information, and health IT
implementation information, retrieved by the provider's National
Provider Identifier (NPI). Examples of records from which this
information will be obtained include:
Records from private vendors that monitor health IT
adoption trends and activity, which include provider-level information
such as contact and demographic information and characteristics of the
electronic health records (EHR) systems and functionalities in use at
the provider's site.
ONC REC Program grant administration records, which
contains the NPI, contact information, and demographic information for
providers that are enrolled with ONC RECs.
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Centers for Medicare & Mediaid Services (CMS) Electronic
Health Records (EHR) Incentive Program grant administration records,
which include registration and attestation records containing NPI,
contact information, and demographic information for providers who
register to participate in that program.
Some of the datasets to be created and used by ONC and shared with ONC
grantees and partners will necessarily include identifying information
pertaining to particular participants in ONC and other Federal IT-
related grant programs (including individual health care providers,
identified by NPI); however, datasets that will be made publicly
available on the ONC Web site will contain only aggregated data that
cannot be identified with particular participants. Examples of both
types of datasets (identifiable and aggregate) are described below:
The system will create datasets containing NPI for use by
ONC researchers, to validate the accuracy of claims for grant payment
by ONC grantees.
ONC may share versions of the above datasets containing
NPI with ONC partners and grantees, to help grantees better assist
registered parties in implementing health IT. An ONC partner or ONC
grantee will be able to access datasets created in the system via a
secure login to an internet portal. Accordingly, ONC partners and ONC
grantees will only have access to data specifically pertaining to the
achievement of that entity's grant or contract purpose. Further, an ONC
grantee will only receive or have access to individually-identifying
data about health care providers who are within the grantee's
geographic area.
The system will enable ONC to create aggregated summary
tables from the above datasets that examine patterns of grants
participation and health IT implementation using summary categories
deriving from the provider's geography (e.g., by state, region, urban/
rural classification) or demographic data (e.g., health care provider
type, such as office-based provider, hospital or pharmacy) and not by
NPI, for posting to ONC's Web site.
II. The Privacy Act
The Privacy Act (5 U.S.C. 552a) governs the means by which the U.S.
Government collects, maintains, and uses information about individuals
in a system of records. A ``system of records'' is a group of any
records under the control of a Federal agency from which information
about an individual is retrieved by the individual's name or other
personal identifier. The Privacy Act requires each agency to publish in
the Federal Register a system of records notice (SORN) identifying and
describing each system of records the agency maintains, including the
purposes for which the agency uses information about individuals in the
system, the routine uses for which the agency discloses such
information outside the agency, and how individual record subjects can
exercise their rights under the Privacy Act (e.g., to determine if the
system contains information about them).
SYSTEM NUMBER:
09-90-1201
SYSTEM NAME:
ONC Health IT Dashboard, HHS/OS/ONC.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
The server infrastructure for the system will be located at Managed
Application Hosting Facility (MAHC Core Site), Reston Virginia.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
The system will contain information about individual office-based
health care providers who are enrolled with the ONC Health IT Regional
Extension Centers (REC) and/or participate in other Federal health IT-
related grant programs, including the CMS EHR Incentive Programs.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system will contain the following records about individual
health care providers:
IT implementation information, such as the functionalities
that are being used within a provider's electronic health record
system;
Demographic records, such as gender and ethnicity;
Contact information, such as name, address, and phone
number; and
National Provider Identifier (NPI).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Health Information Technology for Economic and Clinical Health
(HITECH) Act, enacted as part of the American Recovery and Reinvestment
Act of 2009 (ARRA) (Pub. L. 111-5), codified at 42 U.S.C. 300jj.
PURPOSE(S) OF THE SYSTEM:
HHS/ONC personnel will use the system to create and use datasets to
assess, improve, and publicize the effectiveness of ONC health IT
grants made to States and State-designated entities. Some of the
datasets will contain individually identifying information about health
care providers who are registered to receive health IT implementation
assistance from ONC grantees. HHS/ONC personnel will use individually
identifying information in the system, on a need to know basis, to (1)
Evaluate the state of health IT implementation by parties registered to
receive electronic health record implementation assistance from ONC
grantees, (2) compare grantees' progress reports in order to validate
claims submitted for grant payments, (3) share the evaluations with the
grantees to help improve grant performance, and (4) make aggregate data
(e.g., national and State-level implementation estimates) publicly
available on ONC's Web site.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The ONC Health IT Dashboard system will or may disclose datasets
containing individually identifying information about providers to the
following parties outside the agency, for the following routine uses:
1. To ONC grantees to help them improve grant performance and to
ONC contractors that help evaluate the effectiveness of Federal health
IT-related grants to States and State-designated entities. The group of
ONC grantees with whom this data will be shared is available on the ONC
Web site at https://www.healthit.gov. An ONC grantee will only receive
individually identifying data about health care providers that are
within the grantee's geographic service area.
2. To agency contractors, consultants, or HHS grantees who have
been engaged by the agency to assist in accomplishment of an HHS
function relating to the purposes of this system of records and who
need to have access to the records in order to assist HHS.
3. To another Federal or State agency, agency of a State
government, agency established by State law, or its fiscal agent,
pursuant to agreements with HHS, as necessary to enable such agency to:
Contribute to the accuracy of HHS's reimbursements to
grantees;
Administer a Federal health benefits program or fulfill a
requirement of a Federal statute or regulation that implements a health
benefits program funded in whole or in part with Federal funds; and/or
Assist Federal/State Medicaid programs which may require
ONC Health IT Dashboard information for purposes related to this
system.
[[Page 79687]]
4. To the Department of Justice (DOJ), a court or an adjudicatory
body when:
The agency or any component thereof, or
Any employee of the agency in his or her official
capacity, or
Any employee of the agency in his or her individual
capacity where the DOJ has agreed to represent the employee, or
The United States Government, is a party to litigation or
has an interest in such litigation and, by careful review, HHS
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.
5. To another Federal agency or 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 has the authority to investigate potential fraud, waste
or abuse in a health benefits program funded in whole or in part by
Federal funds, when disclosure is deemed reasonably necessary by HHS 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.
6. 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, when the information disclosed is relevant and
necessary for that assistance.
7. To the Department of Justice (DOJ) and/or the Office of
Government Information Services (OGIS) for the purposes of determining
whether disclosure is required under the Freedom of Information Act
(FOIA), resolving disputes between FOIA requesters and Federal
agencies, and reviewing agencies' FOIA policies, procedures and
compliance in order to recommend policy changes to Congress and the
President.
8. To the National Archives and Records Administration (NARA) in
records management inspections conducted under the authority of 44
U.S.C. 2904 and 2906.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM--
STORAGE:
Electronic records will be stored on an ONC infrastructure servers
maintained at a contracted IT services unit of HHS. Electronic records
containing source data, including individually identifiable
information, can only be accessed from secure computer stations inside
the HHS/ONC workspace by authorized users. Aggregated datasets
including national and State-level EHR implementation estimates that do
not include individually identifiable information will be available
through the ONC Web site, https://healthIT.gov.
RETRIEVABILITY:
Records will be retrieved, compared and cross-checked using the
National Provider Identifier (NPI).
SAFEGUARDS:
Appropriate physical, technical, and administrative safeguards will
be in place to protect against unauthorized access to or disclosure of
individually identifiable information from this system. The system will
be secured and protected using standards established through the
Federal Information Security Management Act of 2002 (44 U.S.C. 3541)
and standards established by the National Institutes for Standards in
Technology (NIST) for certifying and accrediting IT systems.
Furthermore, access to the system's internal ONC interface (which
provides the only available access to individually-identifying data)
will be limited to a small group of authorized HHS/ONC researchers, and
within that group, individual datasets will be micromanaged to ensure
that access is restricted to the subset of ONC staff with the bona fide
need to use the information. Access to any portion of the internal ONC
system and or source datasets is predicated on successful user
registration with the HHS IT help desk and the user's ability to abide
by the HHS IT security terms of use.
Datasets created in the system for provided to an ONC grantee or
contractor will contain only data specifically pertaining to that
entities grant or contract purpose. Further, an ONC grantee or
contractor will only receive or have access to individually-
identifiable data about health care providers who are within the
grantee's geographic area. An ONC partner or ONC grantee will be able
to access datasets created in the system via a secure login to an
internet portal. No records will be maintained in hard-copy files.
RETENTION AND DISPOSAL:
The records are currently unscheduled; the records disposition
schedule will provide for records to be destroyed approximately two
years after the completion of the applicable ONC health IT-related
grant program that was evaluated using the records.
SYSTEM MANAGER AND ADDRESS:
ONC Dashboard Administrator, Office of the National Coordinator for
Health IT, 200 Independence Avenue SW., Washington, DC 20201.
NOTIFICATION PROCEDURE:
An individual provider who wishes to know if this system contains
records about him or her should write to the System Manager and include
his or her National Provider Identifier (NPI).
RECORD ACCESS PROCEDURE:
An individual provider seeking access to records about him or her
in this system should follow the same instructions indicated under
``Notification Procedure.'' The request should reasonably identify the
record contents to which access is sought. (These procedures are in
accordance with Department regulation 45 CFR 5b.5 (a)(2).)
CONTESTING RECORD PROCEDURES:
An individual provider seeking to contest the content of
information about him or her in this system should follow the same
instructions indicated under ``Notification Procedure.'' The request
should reasonably identify the record, specify the information
contested, state the corrective action sought, and provide the reasons
for the correction, with supporting justification. (These procedures
are in accordance with Department regulation 45 CFR 5b.7.) The right to
contest records is limited to information that is incomplete,
irrelevant, incorrect, or untimely (i.e., obsolete).
RECORD SOURCE CATEGORIES:
The system will use data procured from private vendors that monitor
health IT adoption trends and activity and grant administrative data
already collected or generated in administering ONC and other Federal
health IT-related grant programs. Datasets created by this system, from
those sources, will be cross-checked against certain data in other HHS
systems (such as the PECOS system), to ensure the datasets are valid,
accurate and reliable for use in evaluating ONC grants. Most of the
data used will come from records collected
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directly from participants in the grant programs.
EXEMPTIONS CLAIMED FOR THIS SYSTEM:
None.
Dated: December 5, 2011.
Michael Furukawa,
Acting Director, Office of Economic Analysis, Evaluation and Modeling,
Office of the National Coordinator for Health IT, U.S. Department of
Health and Human Services.
[FR Doc. 2011-32791 Filed 12-21-11; 8:45 am]
BILLING CODE 199R-EC-P
