Privacy Act of 1974; System of Records, 38882-38884 [2023-12710]

Agencies

• DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Federal Register Volume 88, Number 114 (Wednesday, June 14, 2023)]
[Notices]
[Pages 38882-38884]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-12710]



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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-7077-N-08]


Privacy Act of 1974; System of Records

AGENCY: Department of Housing and Urban Development, Office of Policy 
Development and Research.

ACTION: Notice of a modified system of records.

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SUMMARY: Pursuant to the Privacy Act of 1974, as amended, the 
Department of Housing and Urban Development (HUD), Office of Policy 
Development and Research (PD&R), is modifying system of records, for 
the Administrative Dataset for the Evaluation of HUD's Supportive 
Services Demonstration Evaluation. The Supportive Services 
Demonstration (SSD) is a demonstration sponsored by HUD to test the 
impact of Integrated Wellness in Supportive Housing (IWISH), which is a 
new model of housing-based supportive services on the healthcare 
utilization and housing stability of low-income older adults. Phase 1 
of the demonstration ran from 2017-2020 and the Continuing 
Appropriations Act, 2021 and Other Extensions Act and the Consolidated 
Appropriations Act, 2021 provided additional funds and authorization to 
extend the demonstration for an additional two years.

DATES: Comments will be accepted on or before July 14, 2023. This 
proposed action will be effective immediately upon publication. Routine 
uses will become effective on the date following the end of the comment 
period unless comments are received which result in a contrary 
determination.

ADDRESSES: You may submit comments, identified by docket number, by one 
of the following methods:
    Federal e-Rulemaking Portal: https://www.regulations.gov. Follow the 
instructions provided on that site to submit comments electronically.
    Fax: 202-619-8365.
    Email: [email protected].
    Mail: Attention: Privacy Office; Mr. LaDonne White, Chief Privacy 
Officer; Office of the Executive Secretariat; 451 Seventh Street SW, 
Room 10139; Washington, DC 20410-0001.
    Instructions: All submissions received must include the agency name 
and docket number for this rulemaking. All comments received will be 
posted without change to https://www.regulations.gov including any 
personal information provided.
    Docket: For access to the docket to read background documents or 
comments received go to https://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: LaDonne White; 451 Seventh Street SW, 
Room 10139; Washington, DC 20410-0001; telephone number (202) 708-3054 
(this is not a toll-free number). HUD welcomes and is prepared to 
receive calls from individuals who are deaf or hard of hearing, as well 
as individuals with speech or communication disabilities. To learn more 
about how to make an accessible telephone call, please visit https://www.fcc.gov/consumers/guides/telecommunications-relay-service-trs.

SUPPLEMENTARY INFORMATION: HUD's Office of PD&R contracted with Abt 
Associates Inc. (Abt) to evaluate the SSD through 2026. The evaluation 
entails matching administrative data already being collected on 
demonstration participants by HUD and the Centers for Medicare and 
Medicaid Services (CMS) in the Department of Health and Human Services 
(HHS). The administrative datasets will be matched to demonstration 
participants and linked using personally identifying information (PII) 
collected by HUD. The evaluation dataset that results from the 
administrative data matching will include PII and protected health 
information (PHI) and is included in the proposed system of records. 
The evaluation will include interviews with demonstration participants, 
including HUD-assisted older adults, property owners, property managers 
and staff who will be recorded in the system. The reason for this 
modification is because the Phase 1 evaluation of SSD has also been 
extended through 2026 (``Phase 2''). Modifications to the SORN are 
being made to reflect the updated purpose of the study, the data that 
will be collected in the new study phase, and changes to policies and 
practices for data storage, retrieval, disposal, and safeguards. 
Specific modifications include the following: (1) changes to categories 
of records in the system and sources categories to include name and 
contact information from interview respondents and to remove categories 
of records that are no longer part of the system; (2) updated routine 
uses and removal of those uses which are no longer relevant to the data 
collection; (3) updated purpose to reflect the additional phase of the 
study, updated record retention and disposal safeguards; and (4) 
updated policies and practices for storage and retrieval of records.
    The System of Records will encompass data assembled by HUD's 
contractor, Abt Associates Inc., for evaluating the Supportive Services 
Demonstration (SSD). In January 2016, HUD solicited applications for 
the SSD for Elderly Households in HUD-Assisted Multifamily Housing. The 
Notice of Funding Availability (NOFA) offered grant funding to 
multifamily property owners to implement the Integrated Wellness in 
Supportive Housing (IWISH) model. A total of 124 HUD-assisted 
properties, housing approximately 13,000 elderly residents, are 
participating in the demonstration. These properties are in seven 
states: California, Illinois, Maryland, Massachusetts, Michigan, New 
Jersey, and South Carolina. Phase 1 of the demonstration ran from 2017-
2020 and the evaluation was completed in 2022. Phase 2 of the 
demonstration will be completed in 2023 and the evaluation will 
conclude in 2026. Specific changes to the SORN include:
    a. Changes to the categories of individuals covered by the system. 
In addition to residents, which were included in the original SORN, 
individuals covered by the system will also include property owners and 
managers and property staff (Resident Wellness Directors and Wellness 
Nurses) at the 124 HUD-Assisted Multifamily Housing properties in the 
demonstration. These new categories of individuals are being added to 
reflect the new research design for the Phase 2 evaluation.
    b. Added new categories of records and categories of sources to 
include the addition of name and contact information to be collected 
from interview respondent sources. The new Phase 2 evaluation requires 
collecting this information to help with scheduling interviews.
    c. Removed categories of records that are no longer part of the 
system. It is no longer required to obtain Medicaid data directly from 
states. This information can now be accessed through CMS's Research 
Data Assistance Center (``ResDAC'') and thus the State Medicaid Data 
category has been removed. Additionally, properties in Phase 2 are no 
longer required to use the same web-based client management system 
(Population Health Logistics, or PHL), so the PHL data category has 
been removed as well.
    d. Updated routine uses and removal of those which are no longer 
relevant to this data collection. Original routine use 1, the routine 
use about utilizing new technology, was removed because it duplicates 
the routine use allowing for disclosure to contractors. Routine uses 2 
and 3 remain the same. A routine use about statistical purpose was 
added (now routine use 1) because it is

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essential to allow HUD to do research and statistical analysis on IWISH 
with outside researchers. Additionally, two other routine uses were 
added to cover a potential litigation event. The newly added routine 
use 4 allows for disclosure to a court if HUD is sued, and the newly 
added routine use 5 allows for disclosure to DOJ or another agency 
representing HUD in litigation.
    e. Updated purpose to reflect the additional phase of the study. 
The original SORN was published in 2019 and did not forecast this new 
follow up information collection, thus the SORN is being revised to 
refer to this additional phase of the study. Updated record retention 
and disposal sections to reflect current retention requirements. The 
original SORN stated that records would be retained for three years. 
The new SORN states they will be destroyed upon verification of 
successful creation of the final document or file or when no longer 
needed for business use, whichever is later.
    f. Updated safeguards sections to reflect current safeguard 
procedures for remote work. Because staff will work in their offices 
and remotely, additional language was added to clarify safeguarding 
procedures for hard copy data collected and maintained while staff are 
temporarily working outside of the office.
    g. Updated policies and practices for storage to reflect current 
agency requirements. The original description of storage policies and 
practices was revised to clarify that records will be kept in both 
electronic and paper form as per Privacy Office guidance.
    h. Updated policies and practices for retrieval of records to 
reflect this additional phase of the study. During Phase 2, electronic 
records may be retrieved by unique study ID, social security number, 
name, home address, telephone number, and personal email address.

SYSTEM NAME AND NUMBER:
    Supportive Services Demonstration Evaluation, HUD/PD&R-05.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Abt Associates has headquarters at 6130 Executive Blvd., Rockville, 
MD 20852. HUD's Office of Policy Development and Research, Program 
Evaluation Division, 471 Seventh Street SW, Room 8120, Washington, DC 
20410-0001.

SYSTEM MANAGER(S):
    Carol S. Star, Program Evaluation Division, Office of Policy 
Development and Research, U.S. Department of Housing and Urban 
Development, 451 7th Street SW, Washington, DC 20410-0001; telephone 
number (202) 402-6139 (this is not a toll-free number).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Sections 501 and 502 of the Housing and Urban Development Act of 
1970 (Pub. L. 91-609) (12 U.S.C. 1701z-1; 1701z-2(d) and (g)).

PURPOSE(S) OF THE SYSTEM:
    The purpose of the system is to allow the Department to study 
information gathered on Supportive Services Demonstration IWISH program 
participants in comparison to other participants receiving HUD-assisted 
elderly housing. The system will link, store, and analyze data 
collected through the SSD evaluation (HUD data, Medicare data, Medicaid 
data, and qualitative data). Use of this system is essential to 
successfully implementing the evaluation because analyzing person-level 
linked health and housing data is the main way the evaluation will 
measure the impacts of the demonstration on participating residents. 
Matching existing data from different federal and state government 
agencies is an innovative and cost-effective evaluation method that 
minimizes data collection burden on the public. The interview data is 
essential to understanding the participants' experiences with the 
program. HUD and policy makers will use the information collected 
through the evaluation to understand the effectiveness and outcomes of 
the IWISH model. The evaluation will provide insight to Congress, HUD, 
grantee states, and other interested parties on issues to consider in 
providing housing-based supportive services. It will also provide 
rigorous, quantitative data on the impact of housing-based supportive 
services on healthcare utilization and housing stability among older 
adults in HUD-assisted housing.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Residents, property owners and managers, Resident Wellness 
Directors (RWD) and Wellness Nurses (WN) of 124 HUD-Assisted 
Multifamily Housing properties.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Age, race/ethnicity, sex, household size, salary, housing cost, 
length of tenure, home address, full name, date of birth, and social 
security number for data matching to Medicare and Medicaid data and 
demographic analysis. Protected health information from Medicare fee-
for-service (FFS) claims data, Medicare encounter data, and Medicaid 
Transformed Medicaid Statistical Information System (T-MSIS) files, 
including data on gender. Responses to interview questions, including 
related to employment status, employment history, employment 
information, and place of birth; full name, phone number, email 
address, and home address to schedule interviews; Abt Study ID; audio 
recordings from interviews.

RECORD SOURCE CATEGORIES:
    IWISH Demonstration property owners and managers, Resident Wellness 
Director (RWD), Wellness Nurse (WN), Tenant Rental Assistance 
Certification System (TRACS), Medicare and Medicaid claims.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    (1) To contractors, grantees, experts, consultants, Federal 
agencies, and non-Federal entities, including, but not limited to, 
State and local governments and other research institutions or their 
parties, and entities and their agents with whom HUD has a contract, 
service agreement, grant, cooperative agreement, or other agreement for 
the purposes of statistical analysis and research in support of program 
operations, management, performance monitoring, evaluation, risk 
management, and policy development, or to otherwise support the 
Department's mission. Records under this routine use may not be used in 
whole or in part to make decisions that affect the rights, benefits, or 
privileges of specific individuals. Research reports and other analysis 
conducted under this routine use may not disclose identifiable 
information; all results must be reported in the aggregate and must 
ensure that no individual is identifiable.
    (2)(a) To appropriate agencies, entities, and persons when: (1) HUD 
suspects or has confirmed that there has been a system of records; (2) 
HUD has determined that as a result of the suspected or confirmed 
breach there is a risk of harm to individuals, HUD (including its 
information systems, programs, and operations), the Federal Government, 
or national security; and (3) The disclosure made to such agencies, 
entities, and persons is reasonably necessary to assist with HUD's 
efforts to respond to the suspected or confirmed breach or to prevent, 
minimize, or remedy such harm.

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    (3)(b) To another Federal agency or Federal entity, when HUD 
determines that information from this system of records is reasonably 
necessary to assist the recipient agency or entity in (1) responding to 
suspected or confirmed breach, or (2) preventing, minimizing, or 
remedying the risk of harm to individuals, the recipient agency or 
entity (including its information systems, programs, and operations), 
the Federal Government, or national security, resulting from a 
suspected or confirmed breach.
    (4) To a court, magistrate, administrative tribunal, or arbitrator 
in the course of presenting evidence, including disclosures to opposing 
counsel or witnesses in the course of civil discovery, litigation, 
mediation, or settlement negotiations, or in connection with criminal 
law proceedings; when HUD determines that use of such records is 
relevant and necessary to the litigation and when any of the following 
is a party to the litigation or have an interest in such litigation: 
(1) HUD, or any component thereof; or (2) any HUD employee in his or 
her official capacity; or (3) any HUD employee in his or her individual 
capacity where HUD has agreed to represent the employee; or (4) the 
United States, or any agency thereof, where HUD determines that 
litigation is likely to affect HUD or any of its components.
    (5) To any component of the Department of Justice or other Federal 
agency conducting litigation or in proceedings before any court, 
adjudicative, or administrative body, when HUD determines that the use 
of such records is relevant and necessary to the litigation and when 
any of the following is a party to the litigation or have an interest 
in such litigation: (1) HUD, or any component thereof; or (2) any HUD 
employee in his or her official capacity; or (3) any HUD employee in 
his or her individual capacity where the Department of Justice or 
agency conducting the litigation has agreed to represent the employee; 
or (4) the United States, or any agency thereof, where HUD determines 
that litigation is likely to affect HUD or any of its components.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Electronic and paper.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Name, social security number, home address, telephone number, 
personal email address, and unique study ID.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Temporary. Destroy upon verification of successful creation of the 
final document or file, or when no longer needed for business use, 
whichever is later.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    For Electronic Records: All personal data will be maintained on a 
secure workstation or virtual server that is protected by a firewall 
and complex passwords in a directory that can only be accessed by the 
system administrators and the analysts actively working on the data; 
access rights to the data are granted to limited researchers on a need-
to-know basis, and the level of access provided to each researcher is 
based on the minimal level required that individual to fulfill his 
research role; all systems used to process or store data have Federal 
security controls applied to them; the data will be backed up on a 
regular basis to safeguard against system failures or disasters; and, 
unencrypted data will not be stored on a laptop or on removable media 
such as CDs, diskettes, or USB flash drives.
    For Paper Records: The site interviewers will securely store any 
hard copy forms with personal identifiers until they are shipped to the 
evaluation contractor via commercial mail services; all hard copy forms 
with personal identifying data (the participant agreement/informed 
consent form) will be stored securely in a locked cabinet or bag that 
can only be accessed by authorized individuals working on the data. All 
hard copy forms will be shipped to the evaluation contractor and stored 
in a locked cabinet in a locked office in a limited-access building. 
Additionally, permissions will be defined for each authorized user 
based on the user's role on the project. For example, the local site 
interviewer will be able to review data for study participants only for 
his or her own specific site. Study data will be aggregated or de-
identified at the highest level possible for each required, authorized 
use.

RECORD ACCESS PROCEDURES:
    Individuals requesting records of themselves should address written 
inquiries to the Department of Housing Urban and Development 451 7th 
Street SW Washington, DC 20410-0001. For verification, individuals 
should provide their full name, current address, and telephone number. 
In addition, the requester must provide either a notarized statement or 
an unsworn declaration made under 24 CFR 16.4.

CONTESTING RECORD PROCEDURES:
    The HUD rule for contesting the content of any record pertaining to 
the individual by the individual concerned is published in 24 CFR 16.8 
or may be obtained from the system manager.

NOTIFICATION PROCEDURES:
    Individuals requesting notification of records of themselves should 
address written inquiries to the Department of Housing Urban 
Development, 451 7th Street SW, Washington, DC 20410-0001. For 
verification purposes, individuals should provide their full name, 
office or organization where assigned, if applicable, and current 
address and telephone number. In addition, the requester must provide 
either a notarized statement or an unsworn declaration made under 24 
CFR 16.4.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    This is a revision to the previously published notice published in 
the Federal Register on March 19, 2019 (84 FR 10113).

LaDonne L. White,
Chief Privacy Officer, Office of Administration.
[FR Doc. 2023-12710 Filed 6-13-23; 8:45 am]
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