[Federal Register Volume 75, Number 72 (Thursday, April 15, 2010)]
[Notices]
[Pages 19652-19654]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-8620]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Health Resources and Services Administration


Privacy Act of 1974; Report of an Altered System of Records

AGENCY: Department of Health and Human Services (HHS), Health Resources 
& Services Administration (HRSA).

ACTION: Notice of an Altered System of Records (SOR).

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SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, the Health Resources and Services Administration (HRSA) is 
publishing notice of a proposal to alter an existing System of Records. 
The existing system of records, ``State-Provided Physician Records for 
the Application Submission & Processing System (ASAPS), Office of 
Shortage Designation (OSD), Bureau of Health Professions (BHPr), 
HRSA,'' SORN 09-15-0066, originally published on January 10, 
2005, covers health care practitioners who are the subjects of 
databases collected and maintained by State Primary Care Offices/
Associations. Such health care practitioners include physicians (both 
M.D.s and D.O.s), licensed or otherwise authorized by a State to 
provide health care services, dentists, and mental health 
professionals. This State collected data may now also be made available 
to contractors employed by the OSD to assist in the application review 
process. The States affected have signed a Data Use Agreement 
permitting the contractors to have access to their data.
    The purposes of these alterations are to update the system manager 
location, authority for maintenance of the system, categories of 
individuals covered by the system and categories of records in the 
system. Additionally, HRSA is adding new routine uses numbers 4 and 5, 
to include the reviewing and processing assistance from contractors and 
the breach notification language. This system of records is required to 
comply with the implementation directives of Section 332 of the Public 
Health Service Act. The records will be used to support the ASAPS 
electronic application for the development, submission, and review of 
applications for HPSAs and MUPs. The most critical requirement for 
accurate designation determinations is accurate data on the location of 
health care providers relative to the population. To this end, OSD 
continually tries to obtain the latest data on primary care, dental, 
and mental health providers and their practice location(s) at the 
lowest geographical level possible for use in the designation process, 
with the objective of minimizing the level of effort required on the 
part of States and communities seeking designations.

DATES: HRSA filed an altered system report with the Chair of the House 
Committee on Government Reform and Oversight, the Chair of the Senate 
Committee on Homeland Security and Governmental Affairs, and the 
Administrator, Office of Information and Regulatory Affairs, Office of 
Management and Budget (OMB) on March 1, 2010. To ensure all parties 
have adequate time in which to comment, the altered system, including 
the routine uses, will become effective 30 days from the publication of 
the notice or 40 days from the date it was submitted to OMB and 
Congress, whichever is later, unless HRSA receives comments that 
require alterations to this notice.

ADDRESSES: Please address comments to the Application Submission & 
Processing System (ASAP) System Manager, Office of Shortage 
Designation, Bureau of Health Professions, Health Resources and 
Services Administration, 5600 Fishers Lane, Room 8A-08, Rockville, 
Maryland 20857; telephone (301) 594-4473. This is not a toll-free 
number. Comments received will be available for inspection at this same 
address from 9 a.m. to 3 p.m., (Eastern Standard Time zone), Monday 
through Friday.

FOR FURTHER INFORMATION CONTACT: Please contact the ASAPS, System 
Manager, Office of Shortage Designation, Bureau of Health Professions, 
Health Resources and Services Administration (HRSA), 5600 Fishers Lane, 
Room 8A-08, Rockville, Maryland 20857; telephone (301) 594-4473. This 
is not a toll-free number.

SUPPLEMENTARY INFORMATION: The following changes/additions are being 
made to the current System of Records Routine Uses: (4) The Office of 
Shortage Designation (OSD) has contracted with a vendor to assist OSD 
in the review and processing of the HPSA and/or MUA/P applications 
received by the State offices. Such access will only be granted to the 
contractors with the States' written permission, and all such 
contractors shall be required to sign a Rules of Behavior document, 
maintain Privacy Act safeguards with respect to such records, and 
return all records to HRSA; (5) The SORN will now include specific 
language to appropriate Federal agencies and Department contractors 
that have a need to know the information for the purpose of assisting

[[Page 19653]]

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. Also being modified with this Altered 
System of Records Notice is the room number and program name for the 
location of the system manager. The room number is being changed from 
8C-26 to 8A-08 and the program name is being changed from the Shortage 
Designation Branch to the Office of Shortage Designation. Lastly, the 
authority for the maintenance of the system has been changed from 42 
CFR, chapter 1, part 5--Designation of Health Professional Shortage 
Areas and section 332 of the Public Health Service (PHS) Act to just 
section 332 of the Public Health Service (PHS) Act.

    Dated: March 24, 2010.
Mary K. Wakefield,
Administrator.

SYSTEM NUMBER: 09-15-0066
SYSTEM NAME:
    State-Provided Physician Records for the Application Submission & 
Processing System, OSD, BHPr, HRSA.

SECURITY CLASSIFICATION:
    None.

SYSTEM LOCATION:
    The Application Submission and Processing System (ASAPS) System 
Manager is located in Office of Shortage Designation, Bureau of Health 
Professions, Health Resources and Services Administration, 5600 Fishers 
Lane, Room 8A-08, Rockville, Maryland 20857. The actual computer server 
is located in Office of Information Technology, Health Resources and 
Services Administration, 5600 Fishers Lane, Room 10A-08, Rockville, 
Maryland 20857.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Health care practitioners who are the subjects of databases 
collected and maintained by State Primary Care Offices/Associations. 
Such health care practitioners include physicians (both M.D.s and 
D.O.s), dentists, and mental health care providers, licensed or 
otherwise authorized by a State to provide health care services.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system will include records that show a value for each of the 
following fields for all of the physicians that are included in each 
States' database:
     Provider ID (System-Assigned).
     Provider Type.
     Provider Status.
     First Name.
     Middle Name.
     Last Name.
     Suffix.
     Physician License Number.
     Specialty Code.
     Visa Status.
     Federal Employee Status.
     National Health Service Corps Status.
     MD/DO/DDS.
     AMA ID.
     AOA ID.
     Hospital Privileges Status.
     Gender.
     Source Type.
     Address 1.
     Address 2.
     Address 3.
     City.
     State.
     Zip.
     FIPS State.
     FIPS County.
     Census Tract.
     Minor Civil Division.
     Longitude.
     Latitude.
     Address FTE.
     Office Visits (Per Year).
     New Patients Waiting Time For Appointments (days).
     Current Patients Waiting Time For Appointments (days).
     Average Wait for New Patient (hours).
     Average Wait for Current Patient (hours).
     Patient Percent--Homeless.
     Patient Percent--Medicaid.
     Patient Percent--Migrant Farmworker.
     Patient Percent--Native American.
     Patient Percent--Sliding Fee Scale.
     Patient Percent--Language Barrier Present.
     Patient Percent--Migrant/Seasonal Farmworker.
     Patient Percent--Other Population.
     Medicaid Claims.
     Hours Given Include Time Spent in Hospital.
     Accepts New Patients.
     Tour Hours in Direct Patient Care for this Address.
     Sub Specialty.
     Sub Specialty Percent.
     Language 1.
     Language 1 Percent.
     Language 2.
     Language 2 Percent.
     Language 3.
     Language 3 Percent.
     Age/Date of Birth (Dentists only).
     Number of Auxillaries (Dentists only).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Section 332 of the Public Health Service Act provides that the 
Secretary of Health and Human Services shall designate health 
professional shortage areas, or HPSAs, and/or Medically Underserved 
Populations, or MUPs, based on criteria established by regulation. The 
authority for designation of HPSAs is delegated to the Bureau of Health 
Professions Office of Shortage Designation (OSD). Criteria and the 
process used for designation of HPSAs and/or MUPs were developed in 
accordance with the requirements of Section 332. Designation as a HPSA 
is a prerequisite to application for National Health Service Corps 
recruitment assistance. To accomplish this task, the OSD relies on data 
specified in 42 CFR Part 5, which implements Section 332, and HPSA and/
or MUP guidelines, to review applications submitted by State Primary 
Care Offices (PCO) and their affiliates for designation status.

PURPOSE(S):
    The sole purpose of the system is to support the Application 
Submission and Processing System electronic application for the 
development, submission, and review of applications for HPSAs and MUPs. 
The most critical requirement for accurate designation determinations 
is accurate data on the location of health care providers relative to 
the population. To this end, Office of Shortage Designation continually 
tries to obtain the latest data on health care providers and their 
practice location(s) at the lowest geographical level possible for use 
in the designation process, with the objective of minimizing the level 
of effort required on the part of States and communities seeking 
designations.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    1. Each State Primary Care Office (and a few Primary Care 
Associations) may have access to provider data within their own State 
for Medically Underserved Population/Area (MUA/P) and/or Health 
Professional Shortage Area (HPSA) applications. These users will also 
have access to bordering States' data (one county-deep) at an aggregate 
level only.
    2. Disclosure may be made to contractors engaged by the Department 
to geocode the physicians' address so that it may be seen on a 
computerized map, or to load the provider data into the Application 
Submission and Processing Systems. All such contractors shall be 
required to maintain Privacy Act safeguards with respect to such 
records and return all records to HRSA.

[[Page 19654]]

    3. Disclosure may be made to contractors engaged by the Department 
to assist OSD in the review and processing of the HPSA and/or MUA/P 
applications received by the State offices. Such access will only be 
made with the State's permission (through a Data Use Agreement) and all 
such contractors shall be required to sign a Rules of Behavior 
document, maintain Privacy Act safeguards with respect to such records, 
and return all records to HRSA.
    4. 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:
    Records are maintained in file folders and in computer data files.

RETRIEVABILITY:
    Retrieval of physician records is by use of personal identifiers 
used when entering the system.

SAFEGUARDS:
    1. Authorized users: Access to records is limited to designated 
HRSA, HRSA hired contractors, and PCO/A staff. These employees are the 
only authorized users. HRSA maintains current lists of authorized 
users.
    2. Physical Safeguards: All computer equipment and files are stored 
in areas where fire and life safety codes are strictly enforced. All 
automated and non-automated documents are protected on a 24-hour basis. 
Perimeter security includes intrusion alarms, on-site guard force, 
random guard patrol, key/passcard/combination controls, and 
receptionist controlled area. Hard copy files are maintained in a file 
room used solely for this purpose with access limited by combination 
lock to authorized users identified above. Computer files are password 
protected and are accessible only by use of computers which are 
password protected.
    3. Procedural Safeguards: A password is required to access computer 
files. All users of personal information in connection with the 
performance of their jobs protect information from public view and from 
unauthorized personnel entering an unsupervised area. All authorized 
users sign a ``Rules of Behavior'' document. All passwords, keys and/or 
combinations are changed when a person leaves or no longer has 
authorized duties. Access to records is limited to those authorized 
personnel trained in accordance with the Privacy Act and ADP security 
procedures. The safeguards described above were established in 
accordance with DHHS Chapter 45-13 and supplementary chapter PHS hf:45-
13 of the General Administration Manual; and the DHHS Information 
Resources Management Manual, Part 6, ``ADP Systems Security.''

RETENTION AND DISPOSAL:
    HRSA is working with the Records Officer and NARA to obtain the 
appropriate retention value.

SYSTEM MANAGER(S) AND ADDRESS:
    Application Submission & Processing System System Manager, Office 
of Shortage Designation, Bureau of Health Professions, Health Resources 
and Services Administration, 5600 Fishers Lane, Room 8A-08, Rockville, 
Maryland 20857.

NOTIFICATION PROCEDURE:
    Write to the Application Submission & Processing System System 
Manager to determine if a record exists. 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 and understands that the knowing and willful request for 
acquisition of a record pertaining to an individual under false 
pretenses is a criminal offense under the Act, subject to a fine.

RECORD ACCESS PROCEDURE:
    To obtain access to a record, contact the Application Submission 
and Processing System (ASAPS) System Manager at the address specified 
above. Requesters should provide the same information as is required 
under the Notification Procedures above. Individuals may also request 
listings of accountable disclosures that have been made of their 
records, if any.

CONTESTING RECORD PROCEDURES:
    Write to the official specified under Notification Procedures 
above, and reasonably identify the record and specify the information 
being contested, the corrective action sought, and your reasons for 
requesting the correction, along with supporting information to show 
how the record is inaccurate, incomplete, untimely, or irrelevant. The 
right to contest records is limited to information which is incomplete, 
incorrect, untimely, or irrelevant.

RECORD SOURCE CATEGORIES:
    Data are collected from the State Primary Care Offices and a few 
State Primary Care Associations.

[FR Doc. 2010-8620 Filed 4-14-10; 8:45 am]
BILLING CODE 4160-15-P