[Federal Register Volume 66, Number 71 (Thursday, April 12, 2001)]
[Notices]
[Pages 18938-18941]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-9033]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Agency for Healthcare Research and Quality


Privacy Act of 1974; Annual Publication of Systems of Records

AGENCY: Agency for Healthcare Research and Quality, HHS.

ACTION: Annual Publication of HHS Privacy Act System Notices.

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SUMMARY: The Agency for Agency for Healthcare Research and Quality 
(AHRQ) has conducted a comprehensive review of all Privacy Act systems 
of records and is publishing a Table of Contents of active systems and 
a comprehensive publication of all its active systems consolidating 
minor changes in accordance with the Office of Management and Budget 
Circular No. A-130, Appendix I, Federal Agency Responsibilities for 
Maintaining Records About Individuals.

SUPPLEMENTARY INFORMATION: AHRQ has completed the annual review of its 
systems notices and has determined that minor changes are needed. AHRQ 
has consolidated such minor changes to make a comprehensive publication 
of all of its system notices. Published below are: (1) A Table of 
Contents which lists all active systems of records in AHRQ, and (2) a 
complete text of all notices consolidating minor changes which affect 
the public's right or need to know, such as changes in the system 
location of records, the designation and address of system managers, 
clarification of system name, records retention and disposal, and minor 
editorial changes.

    Dated: March 29, 2001.
John M. Eisenberg,
Director.

Table of Contents

09-35-0001  Agency Management Information System/Grants (AMIS/GRANTS 
and CONTRACTS), HHS/AHRQ/OM.
09-35-0002  Agency for Healthcare Research and Quality, Medical 
Expenditure Panel Survey (MEPS) and National Medical Expenditure 
Survey 2 (NMES 2), HHS/AHRQ/CCFS.

09-35-0001

System Name:
    Agency Management Information System/Grants (AMIS/GRANTS) and 
CONTRACTS), HHS/AHRQ/OM. The ``Agency Management Information System/
Grants and Contracts (AMIS/GRANTS and CONTRACTS), HHS/AHRQ/OM'' was 
previously named the ``Agency for Healthcare Research and Quality 
Grants Information and Tracking System with Contracts Component 
(GIAnT), HHS/AHRQ/OM''.

Security Classification:
    None.

System Location:
    Agency for Healthcare Research and Quality, Office of Management, 
Executive Office Center, Suite 601, 2101 E. Jefferson Street, 
Rockville, Maryland 20852.
    Program Support Center, Office of Management, Division of 
Acquisition Management, Parklawn building, Room 5C-10, 5600 Fishers 
Lane, Rockville, Maryland 20857.
    For a list of contractors, please write to the system manager at 
the address listed below.
    Inactive records will be stored at: Washington National Records 
Center, 4205 Suitland Road, Suitland, Maryland 20746-8001.

Categories of Individuals Covered by the System:
    Research training and career development grant applicants and 
principal investigators, research training grant program directors, and 
research fellowship recipients; peer and other special reviewers; 
contract project directors and other contractor key personnel.

Categories of Records in the System:
    Research grant, research training grant, research career 
development, research fellowship, and contract files,

[[Page 18939]]

including applications, proposals, award notices, and summary comments 
of peer reviewers.

Authority for Maintenance of the System:
    AHRQ grants and contract administration authorities: secs. 902, 
922, 924, 926 Public Health Service (PHS) Act (42 U.S.C. 299a, 299c-1, 
299c-3, 299c-5); Sec. 1142 of the Social Security Act (42 U.S.C. 1320b-
12) and sec. 487 PHS Act (42 U.S.C. 288) (National Research Service 
Awards).

Purposes(s):
    The information in this system is used to facilitate day-to-day 
grants and contracts management operations and for purposes of review, 
analysis, planning and policy formulation by AHRQ staff members and by 
other components of DHHS which conduct research. AHRQ also may refer 
these records to the appropriate office in the Department for the 
purpose of monitoring payback; if necessary, debt collection; and 
investigation of alleged scientific misconduct.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purpose of Such Uses:
    1. Disclosure may be made to a congressional office from the 
records of an individual in response to an inquiry from the 
congressional office made at the request of the individual.
    2. The Department may disclose information from this system of 
records to the Department of Justice, to a court or other tribunal, 
when (a) HHS, or any component thereof; or (b) any HHS employee in his 
or her official capacity; or (c) any HHS employee in his or her 
individual capacity where the Department of Justice (or HHS, where it 
is authorized to do so) has agreed to represent the employee; or (d) 
the United States or any agency thereof where HHS determines that the 
litigation is likely to affect HHS or any of its components, is a party 
to litigation or has an interest in such litigation, and HHS determines 
that the use of such records by the Department of Justice, the court or 
other tribunal, is relevant and necessary to the litigation and would 
help in the effective representation of the governmental party, 
provided, however, that in each case, HHS determines that such 
disclosure is compatible with the purpose of which the records were 
collected.
    3. AHRQ may disclose information about an individual grant or 
contract applicant or fellowship applicant to credit reporting agencies 
to obtain a credit report in order to determine his/her credit 
worthiness.
    4. Disclosure may be made to the National Technical Information 
Service (NTIS), U.S. Department of Commerce, to contribute to the 
Smithsonian Science Information Exchange, for dissemination of 
scientific and fiscal information on funded awards (abstracts and 
relevant administrative and financial data.)
    5. Disclosure may be made to qualified experts, not within the 
definition of Department employees, for opinions, as a part of the 
grant application review award process.
    6. Disclosure may be made to an AHRQ grantee or contractor for the 
purposes of (a) carrying out research, or (b) providing services 
relating to grant review, or for carrying out quality assessment, 
program evaluation, and/or management reviews. They will be required by 
written agreement to maintain Privacy Act safeguards with respect to 
such records.
    7. Disclosure may be made to a Federal Agency, in response to its 
request, in connection with the hiring or retention of an employee, the 
issuance of security clearance, the reporting of an investigation of an 
employee, the letting of a contract, or the issuance of a license, 
grant, or other benefit of the requesting agency, to the extent that 
the record is relevant and necessary to the requesting agency's 
decision on the matter.
    8. Where Federal agencies having power to subpoena other Federal 
agencies' records, such as the Internal Revenue Service or the Civil 
Rights Commission, issue a subpoena to the Department for records in 
this system of records, the Department will make such records 
available.
    9. Disclosure may be made to the cognizant Audit Agency for 
auditing.
    10. In the event that a system of records maintained by the 
Department indicates a violation of potential violation of law, whether 
civil, criminal or regulatory in nature, and whether arising by statute 
or by regulation, rule or order issued pursuant thereto, the relevant 
records in system of records may be referred for purposes of 
litigation, as a routine use, to the appropriate agency, whether 
Federal (e.g., the Department of Justice), or State (e.g., the State's 
Attorney General's Office) charged with the responsibility of 
investigating or processing such violation or charged with enforcing or 
implementing the statute or rule, regulation or order issued pursuant 
thereto.
    11. Disclosure may be made to the grants/contractor institution in 
connection with performance or administration under the terms and 
condition of the award, or in connection with problems that might arise 
in performance or administration if an award is made on a grant/
contract proposal.

Disclosure to Consumer Reporting Agencies:
    Disclosure pursuant to 5 U.S.C. 552a(b)(12): Disclosure may be made 
from this system to ``consumer reporting agencies'' as defined in the 
Fair Credit Reporting Act (15 U.S.C. 1681ff. or the Federal Claims 
Collection Act of 1966 (31 U.S.C. 3701(a)(3)). The purpose of this 
disclosure is to aid in the collection of outstanding debts owed to the 
Federal Government; typically, to provide an incentive for debtors to 
repay delinquent Federal Government debts by making these debts part of 
their credit records. Disclosure of records is limited to the 
individual's name, address, Social Security number, and other 
information necessary to establish the individual's identity; the 
amount, status, and history of the claim; and the agency program under 
which the claim arose. This disclosure will be made only after the 
procedural prerequisites of 31 U.S.C. 3711 have been followed.

Policies and Practices for Storing, Retrieving, Accessing,Retaining, 
and Disposing of Records in the System:
Storage:
    Records are stored on hard disks with magnetic tape backup was well 
as in manual files (file folders).

Retrievability:
    Electronic records are retrievable by key data fields such as 
investigator name, application, grant or contract number. Paper records 
are retrievable by name of principal investigator and/or grant/contract 
number.

Safeguards:
    1. Authorized users: All AHRQ staff who work with grants or 
contracts have access to the system. Level of access will be granted by 
the System Manager. Only staff members of the Division of Grants 
Management and Division of Contracts Management have regular access to 
their Division's paper grant and contract files. Limited access to 
official grant and contract files is granted to other AHRQ and DHHS 
staff with need-to-know about AHRQ research projects, only with 
authorization of the responsible Division Director.
    2. Physical safeguards: File servers and database servers are 
maintained in areas secured by combination lock. Data is backed up from 
hard drive to magnetic tape daily. Paper records are

[[Page 18940]]

secured in locked file cabinets in locked offices. All file cabinet and 
computer equipment is maintained under general building security.
    3. Procedural safeguards: Access to electronic records by non-AHRQ 
personnel is through the Systems Manager only. DHHS staff may inspect 
AHRQ grant and contract records on a need-to-know basis only, with the 
approval of the responsible of the responsible Division Director. 
Visitors are not left unattended in the office containing the files. 
Offices are locked when not in use. Grant and contract records are 
either transmitted in sealed envelopes or are hand-carried.
    4. Technical safeguards: Initial electronic access is through the 
AHRQ local area network which is controlled by password. Subsequent 
level of security exist for access to the Agency Management Information 
System/Grants and contracts (AMIS/GRANTS and CONTRACTS) system itself 
and, within the system, individual users are granted appropriate levels 
of access (read on, read/write) depending upon individual need. Levels 
of access are granted by the System Manager.

Retention and Disposal:
    Electronic records containing portions of information from the 
paper applications and proposal of unfunded grant and contract 
applications will be retained and accessible at AHRQ for ten years. The 
complete paper applications and proposals of unfunded grants and 
contracts will be retired to the Federal Records Retention Center after 
one year and subsequently disposed of in accordance with the records 
retention schedule. Electronic records containing portions of 
information from the paper applications of funded grants or contracts 
will be retained and made accessible at AHRQ for fifteen years 
following final payment. Paper records of funded grant applications and 
contracts and their respective files are retained at AHRQ for one year 
beyond the termination date of the grant or until after the final 
report is received, whichever is sooner. They are then retired to the 
Federal Records Center and disposed of twelve years after final payment 
in accordance with the National Archives and Records Administration 
General Records Schedule. The pertinent records retention control 
schedule may be obtained by writing a System Manager at the following 
address.

System Manager(s) and Address:
    For administrative information: AMIS/GRANTS and CONTRACTS Policy-
Coordinating Official/Administrator, 301-594-1439
    For grants information: Director, Division of Grants Management, 
301-594-1447
    For contracts information: Director, Division of Contracts 
Management, 301-594-1445
    All System Managers are located at the following address: Office of 
Management, AHRQ, Executive Officer Center, Suite 601, 2101 E. 
Jefferson Street, Rockville, Maryland 20852.

Notification Procedure:
    To determine if a record exists, write to the System Manager at the 
above address. The requester must also verify his or her identity by 
providing either a notarization of the request or a written 
certification that the requester is who he or she claims to be. The 
requester should specify name or number of grant/contract. The 
requester must also sign a statement indicating an understanding that 
the knowing and willful request for acquisition of information from a 
protected record pertaining to an individual under false pretense is a 
criminal offense under the Act, punishable by a five thousand dollar 
fine.

Record Access Procedures:
    Same as notification procedures. Requester should also reasonably 
specify the record contents being sought. Positive identification of 
the requester as above is required. Subject individuals may also 
request an accounting of disclosures that have been made of their 
record, if any.

Contesting Record Procedures:
    Contact the official at the address specified under the System 
Manager subheading above and reasonably identify the record, specify 
the information being contested, and state the corrective action sought 
and reason(s) for requesting the correction, along with supporting 
information to show how the record is inaccurate, incomplete, untimely, 
or irrelevant.

Record Source Categories:
    Grant applications, contractor project directors, reports and 
correspondence from the research community, and statement from grant 
review committees; consumer reporting agencies; DHHS System of Records 
09-25-0036, Extramural Awards: IMPAC (Grant/Contract/Cooperative 
Agreement Information), HHS/NIH/DRG.

Systems Exempted from Certain Provisions of the Act:
    None.
09-35-0002

System Name:
    Medical Expenditure Panel Survey (MEPS) and National Medical 
Expenditure Survey 2 (NMES 2), HHS/AHRQ/CCFS.

Security Classification:
    None.

System Location:
    Center for Cost and Financing Studies, AHRQ, Executive Office 
Center, Suite 500, 2101 E. Jefferson Street, Rockville, Maryland 20852-
4993.

Categories of Individuals Covered by the System:
    (1) Individuals and members of households selected by probability 
sampling techniques to be representative of the civilian 
noninstitutionalized population of the United States; health care 
providers, staff responding on behalf of health insurers and the 
employers of members of sampled households; (2) residents and next-of-
kin of such residents of nursing and personal care homes, selected by 
probability sampling techniques to be representative of residents of 
such homes, and facilities and the staff responding on behalf of such 
facilities.

Categories of Records in the System:
    Records containing information on: (1) The incidence of illness and 
accidental injuries, prevalence of diseases and impairments, the extent 
of disability, the use, expenditures and sources of payment for health 
care services, and other characteristics of individuals obtained in 
household interviews (demographic and socioeconomic characteristics 
such as age, martial status, education, occupation and family income) 
and the names, telephone numbers and addresses of the responding staffs 
of health care providers, health insurers, and employers; (2) the 
utilization of long-term care, nursing home care, care in personal care 
homes through data on residents (demographic and social 
characteristics, health status and charges and sources of payment for 
care); through data facility characteristics (general characteristics, 
certification, services offered and corresponding expenses), and 
through data on next-of-kin or representative of residents (demographic 
and social characteristics, health status, and expenditures for health 
care of residents); and (3) Medicare claims records of members of 
sampled households and of sampled residents of nursing and personal 
care homes.

[[Page 18941]]

Authority for Maintenance of the System:
    Section 913 and 306 of the Public Health Service (PHS) Act (42 
U.S.C. 299b-2 and 242k(b)). Sections 924(c) and 308(d) of the PHS Act 
(42 U.S.C. 299c-3(c) and 242m(d)) provide authority for additional 
restrictions on identifiable information about individuals.

Purposes:
    The data are used in aggregated form for statistical and health 
services research purposes respecting analysis and evaluation of health 
care costs, and the accessibility, planning, organization, 
distribution, technology, utilization, quality, and financing of health 
services and systems.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:
    The Department has contracted with private firms for the purpose of 
collecting, analyzing, aggregating, or otherwise refining records in 
this system. Relevant records are collected by and/or disclosed to such 
contractors. The contractors are required to maintain Privacy Act 
safeguards with respect to such records.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    File folders, magnetic tapes, CD ROM and secure network servers.

Retrievability:
    Information can be retrieved by respondent name and address. 
However, this information is not stored in routinely used analytic 
files.

Safeguards:
    AHRQ and its contractors implement personnel, physical, and 
procedural safeguards as follows:
    1. Authorized users: Access is limited to persons authorized and 
needing to use the records, including project directors, contract 
officers, interviewers, health care researchers and analysts, 
statisticians, statistical clerks and data entry staff on the staffs of 
AHRQ and the MEPS contractors.
    2. Physical safeguards: The hard-copy records are stored in locked 
safes, locked files, and locked offices when not in use. Computer 
terminals used to process identifiable data are located in secured 
areas and are accessible only to authorized users. Automated backup 
files are stored in locked, fire proof safes.
    3. Procedural safeguards: All employees of AHRQ and contractor 
personnel with access to AHRQ records are required, as a condition of 
employment, to sign an affidavit binding them to nondisclosure of 
individually identifiable information. Periodic training sessions are 
conducted to reinforce the statutorily-based confidentiality 
restrictions. Actual identifiers are maintained in separate files 
linked only if there is a specific need as authorized by the System 
Manager. Data stored in computers both at AHRQ and the contractor sites 
are accessed through the use of passwords/keywords unique to each user 
and changed at least every 45 days. An automated audit trail will be 
maintained. Contractors who maintain records in this system are 
instructed to make no further disclosure of the records other than 
those requested by AHRQ/CCFS. Privacy Act requirements and the 
restrictions of 42 U.S.C. 242m(d) are specifically included in 
contracts for survey, research and data processing activities related 
to this system. The DHHS project directors, contract officers and 
project officers oversee compliance with these requirements.
    4. These safeguards are in accordance with chapter 45-13, 
``Safeguarding Records Contained in Systems of Records,'' of the HHS 
General Administration Manual, supplementary chapter PHS hf. 45-13; 
Part 6, ``ADP Systems Security,'' of the HHS ADP Systems Manual, and 
the National Bureau of Standards Federal Information Processing 
Standards (FIPS Pub. 41 and FIPS Pub. 31).

Retention and Disposal:
    Hard-copy records will be burned or shredded following verification 
that such data were correctly entered into a machine readable format.

System Manager(s) and Address:
    Director, Division of Survey Operations, CCFS/AHRQ, Executive 
Office Center, Suite 501, 2101 East Jefferson Street, Rockville, 
Maryland 20852.

Notification Procedure:
    To determine if a record exists, write to the System Manager, 
giving your full name and address.

Record Access Procedures:
    The system is exempt from the requirements of the Privacy Act; 
however, a subject individual may be granted access to his/her records 
at the System's Manager's discretion. Positive identification is 
required from anyone seeking access.

Contesting Record Procedures:
    If access has been granted and some information is being contested, 
contact the System Manager and reasonably identify the record, specify 
the contested information, and state the corrective action sought, with 
supporting information to show how the record is inaccurate, 
incomplete, untimely, or irrelevant.

Record Source Categories:
    Respondents in the survey samples including: Members of households, 
physicians, hospitals, health insurers, employers, staff of nursing and 
personal care homes, the next-of-kin of residents of such homes and 
facilities, and Systems 09-70-0005, Medicare Bill File (Statistics), 
HHS/HCFA/BDMS.

Systems Exempted from Certain Provisions of the Act:
    With respect to this system of records, exemption has been granted 
from the requirements contained in subsections 552a(c)(3), (d)(1) 
through (4) and (e)(4) (G) and (H), in accordance with the provisions 
of subsection 552a(k)(4) of the Privacy Act of 1974. This system has 
been exempted because it contains only records which are required by 
statue to be maintained and used solely as statistical records.

[FR Doc. 01-9033 Filed 4-11-01; 8:45 am]
BILLING CODE 4160-90-M