Notices. Notice
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/register/2006/10/13/06-8642A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
BILLING CODE 6715-01-M FEDERAL HOUSING FINANCE BOARD [No. 2006-N-07] Federal Home Loan Bank Members Selected for Community Support Review AGENCY: Federal Housing Finance Board. ACTION: Notice. SUMMARY: The Federal Housing Finance Board (Finance Board) is announcing the Federal Home Loan Bank
(Bank)members it has selected for the 2006-07 third quarter review cycle under the Finance Board's community support requirements regulation. This notice also prescribes the deadline by which Bank members selected for review must submit Community Support Statements to the Finance Board. DATES: Bank members selected for the review cycle under the Finance Board's community support requirements regulation must submit completed Community Support Statements to the Finance Board on or before November 24, 2006. ADDRESSES: Bank members selected for the 2006-07 third quarter review cycle under the Finance Board's community support requirements regulation must submit completed Community Support Statements to the Finance Board either by regular mail at the Federal Housing Finance Board, Office of Supervision, Community Investment and Affordable Housing, 1625 Eye Street, NW., Washington, DC 20006, or by electronic mail at *FITZGERALDE@FHFB.GOV.* FOR FURTHER INFORMATION CONTACT: Emma J. Fitzgerald, Program Analyst, Office of Supervision, Community Investment and Affordable Housing, by telephone at 202/408-2874, by electronic mail at *FITZGERALDE@FHFB.GOV* , or by regular mail at the Federal Housing Finance Board, 1625 Eye Street, NW., Washington, DC 20006. SUPPLEMENTARY INFORMATION: I. Selection for Community Support Review Section 10(g)(1) of the Federal Home Loan Bank Act (Bank Act) requires the Finance Board to promulgate regulations establishing standards of community investment or service Bank members must meet in order to maintain access to long-term advances. See 12 U.S.C. 1430(g)(1). The regulations promulgated by the Finance Board must take into account factors such as the Bank member's performance under the Community Reinvestment Act of 1977 (CRA), 12 U.S.C. 2901 et seq., and record of lending to first-time homebuyers. See 12 U.S.C. 1430(g)(2). Pursuant to section 10(g) of the Bank Act, the Finance Board has promulgated a community support requirements regulation that establishes standards a Bank member must meet in order to maintain access to long-term advances, and review criteria the Finance Board must apply in evaluating a member's community support performance. See 12 CFR part 944. The regulation includes standards and criteria for the two statutory factors—CRA performance and record of lending to first-time homebuyers. 12 CFR 944.3. Only members subject to the CRA must meet the CRA standard. 12 CFR 944.3(b). All members, including those not subject to CRA, must meet the first-time homebuyer standard. 12 CFR 944.3(c). Under the rule, the Finance Board selects approximately one-eighth of the members in each Bank district for community support review each calendar quarter. 12 CFR 944.2(a). The Finance Board will not review an institution's community support performance until it has been a Bank member for at least one year. Selection for review is not, nor should it be construed as, any indication of either the financial condition or the community support performance of the member. Each Bank member selected for review must complete a Community Support Statement and submit it to the Finance Board by the November 24, 2006 deadline prescribed in this notice. 12 CFR 944.2(b)(1)(ii) and (c). On or before October 27, 2006, each Bank will notify the members in its district that have been selected for the 2006-07 third quarter community support review cycle that they must complete and submit to the Finance Board by the deadline a Community Support Statement. 12 CFR 944.2(b)(2)(i). The member's Bank will provide a blank Community Support Statement Form, which also is available on the Finance Board's Web site: *WWW.FHFB.GOV.* Upon request, the member's Bank also will provide assistance in completing the Community Support Statement. The Finance Board has selected the following members for the 2006-07 third quarter community support review cycle: Member City State Federal Home Loan Bank of Boston—District 1 Collinsville Savings Society Canton Connecticut The Guilford Savings Bank Guilford Connecticut Northwest Community Bank Winsted Connecticut Bar Harbor Bank and Trust Bar Harbor Maine Calais Federal Savings and Loan Association Calais Maine Camden National Bank Camden Maine Damariscotta Bank & Trust Company Damariscotta Maine Franklin Savings Bank Farmington Maine Katahdin Trust Company Patten Maine TD Banknorth, N.A Portland Maine Rockland Savings and Loan Association Rockland Maine Athol Savings Bank Athol Massachusetts Capital Crossing Bank Boston Massachusetts OneUnited Bank Boston Massachusetts Security Federal Savings Bank Brockton Massachusetts Bank of Canton Canton Massachusetts Clinton Savings Bank Clinton Massachusetts Danvers Savings Bank Danvers Massachusetts Lafayette Federal Savings Bank Fall River Massachusetts Family Federal Savings F.A Fitchburg Massachusetts Florence Savings Bank Florence Massachusetts Colonial Co-operative Bank Gardner Massachusetts Hingham Institution for Savings Hingham Massachusetts Peoples Bank Holyoke Massachusetts Roxbury Highland Co-operative Bank Jamaica Plain Massachusetts Equitable Co-operative Bank Lynn Massachusetts Mansfield Co-operative Bank Mansfield Massachusetts Milford Federal Savings and Loan Association Milford Massachusetts Northampton Cooperative Bank Northampton Massachusetts Hometown Bank, a Cooperative Bank Oxford Massachusetts Colonial Federal Savings Bank Quincy Massachusetts Reading Co-operative Bank Reading Massachusetts South Shore Savings Bank South Weymouth Massachusetts Southbridge Savings Bank Southbridge Massachusetts Mechanics Cooperative Bank Taunton Massachusetts Bow Mills Bank and Trust Bow New Hampshire Citizens Bank New Hampshire Manchester New Hampshire Newport Federal Savings Bank Newport Rhode Island Merchants Bank Burlington Vermont National Bank of Middlebury Middlebury Vermont Union Bank Morrisville Vermont Northfield Savings Bank Northfield Vermont Federal Home Loan Bank of New York—District 2 Audubon Savings Bank Audubon New Jersey Bogota Savings Bank Bogota New Jersey Peoples Savings Bank Bown New Jersey Century Savings Bank Bridgeton New Jersey Colonial Bank FSB Bridgeton New Jersey Sturdy Savings Bank Cape May Court House New Jersey NVE Bank Englewood New Jersey Kearny Federal Savings Bank Fairfield New Jersey Roma Bank Hamilton New Jersey Glen Rock Savings Bank Hawthorne New Jersey Schuyler Savings Bank Kearny New Jersey Lincoln Park Savings Lincoln Park New Jersey Metuchen Savings Bank Metuchen New Jersey Boiling Springs Savings Bank Rutherford New Jersey Gloucester County Federal Savings Bank Sewell New Jersey Penn Federal Savings Bank West Orange New Jersey Independence Community Bank Brooklyn New York Elmira Savings Bank, FSB Elmira New York Evans National Bank Hamburg New York Cattaraugus County Bank Little Valley New York Chinatown Federal Savings Bank New York New York Abacus Federal Savings Bank New York New York Wallkill Valley FS&LA Wallkill New York Doral Bank San Juan Puerto Rico Oriental Bank & Trust San Juan Puerto Rico Federal Home Loan Bank of Pittsburgh—District 3 Altoona First Savings Bank Altoona Pennsylvania Pennsylvania State Bank Camp Hill Pennsylvania Coatesville Savings Bank Coatesville Pennsylvania Slovenian S&LA of Franklin-Conemaugh Conemaugh Pennsylvania First National Community Bank Dunmore Pennsylvania Halifax National Bank Halifax Pennsylvania Peoples National Bank Hallstead Pennsylvania Polonia Bank Huntingdon Valley Pennsylvania Mauch Chunk Trust Company Jim Thorpe Pennsylvania 1st Summit Bank Johnstown Pennsylvania Mifflinburg Bank & Trust Company Mifflinburg Pennsylvania Union National Community Bank Mount Joy Pennsylvania The Muncy Bank and Trust Company Muncy Pennsylvania First Penn Bank Philadelphia Pennsylvania United-American Savings Bank Pittsburgh Pennsylvania Eureka Bank Pittsburgh Pennsylvania Slovak Savings Bank Pittsburgh Pennsylvania Iron and Glass Bank Pittsburgh Pennsylvania Scottdale Bank and Trust Company Scottdale Pennsylvania Hamlin Bank and Trust Company Smethport Pennsylvania Northwest Savings Bank Warren Pennsylvania Peoples State Bank of Wyalusing Wyalusing Pennsylvania Leesport Bank Wyomissing Pennsylvania City National Bank of West Virginia Cross Lanes West Virginia Citizens Bank of Morgantown Morgantown West Virginia First National Bank Ronceverte West Virginia Federal Home Loan Bank of Atlanta—District 4 The Exchange Bank of Alabama Altoona Alabama First Commercial Bank Birmingham Alabama Capital South Bank Birmingham Alabama Central State Bank Calera Alabama The Camden National Bank Camden Alabama Frontier Bank Chelsea Alabama SunSouth Bank Dothan Alabama The Southern Bank Company Gadsden Alabama First National Bank Hamilton Alabama The Headland National Bank Headland Alabama First State Bank Lineville Alabama First Citizens Bank Luverne Alabama First Tuskegee Bank Montgomery Alabama Citizens Bank, Inc Robertsdale Alabama The Slocomb National Bank Slocomb Alabama The Bank of Tuscaloosa Tuscaloosa Alabama First Liberty National Bank Washington D. C. BankAtlantic Fort Lauderdale Florida Natbank, N.A Hollywood Florida FirstBank Florida Miami Florida Eagle National Bank of Miami Miami Florida BankUnited, FSB Miami Lakes Florida Orion Bank Naples Florida Urban Trust Bank Orlando Florida First Federal Bank of North Florida Palatka Florida Bay Bank and Trust Panama City Florida Federal Trust Bank Sanford Florida BankTrust Santa Rosa Beach Florida Capital City Bank Tallahassee Florida Bay Financial Savings Bank, F.S.B Tampa Florida Wauchula State Bank Wauchula Florida Bank of Alapaha Alapaha Georgia Citizens Bank of Americus Americus Georgia The Summit National Bank Atlanta Georgia Georgia Bank and Trust Company of Augusta Augusta Georgia Planters & Citizens Bank Camilla Georgia Newton Federal Bank Covington Georgia First National Bank of Coffee County Douglas Georgia Citizens Bank and Trust Company Eastman Georgia Farmers and Merchants Bank Eatonton Georgia Elberton Federal Savings & Loan Association Elberton Georgia Central Bank of Georgia Ellaville Georgia BankSouth Greensboro Georgia Crescent Bank & Trust Company Jasper Georgia Pineland State Bank Metter Georgia Exchange Bank Milledgeville Georgia Gateway Bank and Trust Ringgold Georgia The Coastal Bank Savannah Georgia Farmers and Merchants Bank Statesboro Georgia Spivey State Bank Swainsboro Georgia Commercial Bank Thomasville Georgia First Federal Savings and Loan Association Valdosta Georgia Severn Savings Bank, F.S.B Annapolis Maryland Wilmington Trust FSB Baltimore Maryland Saint Casimirs Savings Bank Baltimore Maryland Fraternity Federal S&L Association Baltimore Maryland Hamilton Federal Bank Baltimore Maryland Homewood Federal Savings Bank Baltimore Maryland Advance Bank Baltimore Maryland United Medical Bank Baltimore Maryland Provident Bank of Maryland Baltimore Maryland Presidential Bank, FSB Bethesda Maryland The Peoples Bank Chestertown Maryland The Talbot Bank of Easton Easton Maryland The Peoples Bank of Elkton Elkton Maryland Madison Bohemian Savings Bank Forest Hills Maryland Eastern Savings Bank, FSB Hunt Valley Maryland Hunt Valley Owings Mills Maryland K Bank Owings Mills Maryland Baltimore County Savings Bank, FSB Perry Hall Maryland First Shore FS&L Association Salisbury Maryland American Bank Silver Spring Maryland Sykesville Federal Savings Association Sykesville Maryland AmericasBank Towson Maryland Home Trust Bank Asheville North Carolina High Point Bank & Trust Company High Point North Carolina BB & T of NC Lumberton North Carolina RBC Centura Bank Rocky Mount North Carolina Piedmont Federal Savings & Loan Association Winston Salem North Carolina First Palmetto Savings Bank, FSB Camden South Carolina Spratt Savings and Loan Association Chester South Carolina Plantation Federal Bank Pawleys Island South Carolina Woodruff Federal Savings & Loan Association Woodruff South Carolina Virginia Commerce Bank Arlington Virginia First and Citizens Bank Monterey Virginia Shore Bank Onley Virginia First Federal Savings Bank of Virginia Petersburg Virginia Community Bank Staunton Virginia EVB Tappahannock Virginia Federal Home Loan Bank of Cincinnati—District 5 Kentucky Home Bank, Inc Bardstown Kentucky Bank of Clarkson Clarkson Kentucky Citizens Federal Savings and Loan Association of Covington Covington Kentucky South Central Bank, FSB Edmonton Kentucky Fredonia Valley Bank Fredonia Kentucky First Southern National Bank Lancaster Kentucky Bank of the Bluegrass & Trust Company Lexington Kentucky First Federal Bank Lexington Kentucky Peoples Security Bank Louisa Kentucky The First Capital Bank of Kentucky Louisville Kentucky First FS&LA of Morehead Morehead Kentucky Traditional Bank, Inc Mt. Sterling Kentucky Commonwealth Bank, F.S.B Mt. Sterling Kentucky Farmers Bank & Trust Company, Inc Princeton Kentucky Farmers National Bank Walton Kentucky Belmont Savings Bank Bellaire Ohio The Citizens National Bank of Bluffton Bluffton Ohio The Brookville Building and Savings Association Brookville Ohio First Federal Community Bank of Bucyrus Bucyrus Ohio New Foundation Loan and Building Company Cincinnati Ohio Warsaw Federal S&LA of Cincinnati Cincinnati Ohio The Franklin Savings and Loan Company Cincinnati Ohio Columbia Savings Bank Cincinnati Ohio Third FS&LA of Cleveland Cleveland Ohio Charter One Bank, N.A Cleveland Ohio United Midwest Savings Bank DeGraff Ohio Hicksville Building, Loan and Savings Bank Hicksville Ohio Merchants National Bank Hillsboro Ohio NCB, FSB Hillsboro Ohio Oak Hills Banks Jackson Ohio Home Savings Bank Kent Ohio First FS&LA of Lakewood Lakewood Ohio Fairfield Federal S&LA of Lancaster Lancaster Ohio 1st National Bank Lebanon Ohio Leesburg Federal Savings Bank Leesburg Ohio The First-Knox Bank of Mount Vernon Mt. Vernon Ohio New Carlisle Federal Savings Bank New Carlisle Ohio The Park National Bank Newark Ohio American Savings Bank, fsb Portsmouth Ohio Home City Federal Savings Bank Springfield Ohio Perpetual Federal Savings Bank Urbana Ohio Liberty Savings Bank, F.S.B Wilmington Ohio North Valley Bank Zanesville Ohio Farmers & Merchants Bank Adamsville Tennessee First South Credit Union Bartlett Tennessee Bank of Crockett Bells Tennessee Decatur County Bank Decaturville Tennessee Chester County Bank Henderson Tennessee The Bank of Jackson Jackson Tennessee Wilson Bank and Trust Lebanon Tennessee First National Bank of Tennessee Livingston Tennessee Trust One Bank Memphis Tennessee Citizens Bank New Tazewell Tennessee Newport Federal Bank Newport Tennessee Citizens National Bank Sevierville Tennessee Federal Home Loan Bank of Indianapolis—District 6 Independent Federal Credit Union Anderson Indiana Boonville Federal Savings Bank Boonville Indiana Riddell National Bank Brazil Indiana Union Savings & Loan Association Connersville Indiana First Federal Savings Bank Evansville Indiana Pacesetter Bank Hartford City Indiana Kentland Federal Savings and Loan Association Kentland Indiana La Porte Savings Bank La Porte Indiana Logansport Savings Bank, FSB Logansport Indiana Home Bank, SB Martinsville Indiana Peoples Bank SB Munster Indiana Farmers State Bank New Ross Indiana First Bank Richmond, N.A Richmond Indiana Mid-Southern Savings Bank, FSB Salem Indiana Owen County State Bank Spencer Indiana Grant County State Bank Swayzee Indiana First State Bank, Southwest Indiana Tell City Indiana Liberty Savings Bank, FSB Whiting Indiana Commercial Bank Alma Michigan Fidelity Bank Birmingham Michigan Tri-County Bank Brown City Michigan Monarch Community Bank Coldwater Michigan Paramount Bank Farmington Hills Michigan Select Bank Grand Rapids Michigan Peoples State Bank Hamtramck Michigan Union Bank Lake Odessa Michigan Peoples State Bank of Munising Munising Michigan New Buffalo Savings Bank, FSB New Buffalo Michigan Thumb National Bank & Trust Pigeon Michigan Citizens First Savings Bank Port Huron Michigan Edgewater Bank St. Joseph Michigan First National Bank of Three Rivers Three Rivers Michigan First National Bank of Wakefield Wakefield Michigan Federal Home Loan Bank of Chicago—District 7 First Community Bank and Trust Beecher Illinois First State Bank of Beecher City Beecher City Illinois BankFinancial, F.S.B Burr Ridge Illinois The First National Bank in Carlyle Carlyle Illinois BankChampaign, N.A Champaign Illinois South Central Bank, N.A Chicago Illinois Oak Bank Chicago Illinois NAB Bank Chicago Illinois North Federal Savings Bank Chicago Illinois Labe Bank Chicago Illinois Community Savings Bank Chicago Illinois Washington Federal Bank for Savings Chicago Illinois Pulaski Savings Bank Chicago Illinois West Town Savings Bank Cicero Illinois Family Federal Savings of Illinois Cicero Illinois The John Warner Bank Clinton Illinois Elizabeth State Bank Elizabeth Illinois Flora Bank & Trust Flora Illinois Community Bank—Wheaton/Glen Ellyn Glen Ellyn Illinois Heritage State Bank Lawrenceville Illinois 1st State Bank of Mason City Mason City Illinois Mazon State Bank Mazon Illinois McHenry Savings Bank McHenry Illinois City National Bank Metropolis Illinois First National Bank Moline Illinois Brown County State Bank Mount Sterling Illinois Wabash Savings Bank Mt. Carmel Illinois The Farmers Bank of Pulaski Mt. Pulaski Illinois The Herget National Bank of Pekin Pekin Illinois National Bank of Petersburg Petersburg Illinois Citizens State Bank of Shipman Shipman Illinois Marine Bank Springfield Illinois Town & Country Bank of Springfield Springfield Illinois Tremont Savings Bank Tremont Illinois Banner Banks Birnamwood Wisconsin Community First Bank Boscobel Wisconsin North Shore Bank FSB Brookfield Wisconsin Advantage Community Bank Dorchester Wisconsin PremierBank Fort Atkinson Wisconsin Green Lake State Bank Green Lake Wisconsin PyraMax Bank, F.S.B Greenfield Wisconsin Greenleaf Wayside Bank Greenleaf Wisconsin Hustisford State Bank Hustisford Wisconsin Mid America Bank Janesville Wisconsin Union State Bank Kewaunee Wisconsin Bank of Lake Mills Lake Mills Wisconsin BLC Community Bank Little Chute Wisconsin Rural American Bank—Luck Luck Wisconsin AnchorBank, fsb Madison Wisconsin Home Savings Bank Madison Wisconsin The Peoples State Bank Mazomanie Wisconsin Bremer Bank, National Association Menomonie Wisconsin Middleton Community Bank Middleton Wisconsin First Community Bank Milton Wisconsin Milton Savings Bank Milton Wisconsin West Pointe Bank Oshkosh Wisconsin Wisconsin State Bank Random Lake Wisconsin The Reedsburg Bank Reedsburg Wisconsin Dairy State Bank Rice Lake Wisconsin Community Business Bank Sauk City Wisconsin Baylake Bank Sturgeon Bay Wisconsin Superior Savings Bank Superior Wisconsin Farmers & Merchants Bank Tomah Wisconsin The National Bank of Waupun Waupun Wisconsin Maritime Savings Bank West Allis Wisconsin West Bend Savings Bank West Bend Wisconsin First Citizens State Bank Whitewater Wisconsin Federal Home Loan Bank of Des Moines—District 8 Peoples State Bank Albia Iowa Community Bank Alton Iowa Bank Iowa Altoona Iowa First National Bank Ames Iowa Farmers & Traders Savings Bank Bancroft Iowa Chelsea Savings Bank Belle Plaine Iowa Boone Bank & Trust Company Boone Iowa Iowa Prairie Bank Brunsville Iowa Lincoln Savings Bank Cedar Falls Iowa Guaranty Bank & Trust Company Cedar Rapids Iowa Cherokee State Bank Cherokee Iowa First State Bank Conrad Iowa Dubuque Bank & Trust Company Dubuque Iowa First Federal Savings Bank of Iowa Fort Dodge Iowa Mills County Bank N.A Glenwood Iowa Security State Bank Guttenberg Iowa Farmers State Bank Hawarden Iowa First State Bank Hawarden Iowa Bank Iowa, Humboldt Humboldt Iowa State Central Bank Keokuk Iowa Heritage Bank Marion Iowa F & M Bank—Iowa Marshalltown Iowa Sibley State Bank Sibley Iowa MetaBank West Central Stuart Iowa First State Bank Sumner Iowa Farmers Savings Bank & Trust-Vinton Vinton Iowa Webster City Federal Savings Bank Webster City Iowa Community State Bank West Branch Iowa Citizens State Bank Wyoming Iowa Farmers State Bank of Adams Adams Minnesota Bremer Bank, NA Alexandria Minnesota State Bank of Aurora Aurora Minnesota First Federal Savings Bank Baxter Minnesota State Bank of Bellingham Bellingham Minnesota Star Bank Bertha Minnesota Farmers and Merchants State Bank Blooming Prairie Minnesota Highland Bank Bloomington Minnesota First National Bank of Blue Earth Blue Earth Minnesota First National Bank of Deer River Deer River Minnesota The First National Bank of Deerwood Deerwood Minnesota State Bank of Kimball Kimball Minnesota Lake Elmo Bank Lake Elmo Minnesota First National Bank of Le Center Le Center Minnesota First State Bank MN LeRoy Minnesota Community FS&LA Little Falls Minnesota Prairie Sun Bank Milan Minnesota Peoples National Bank of Mora Mora Minnesota Community National Bank North Branch Minnesota Northwoods Bank of Minnesota Park Rapids Minnesota Horizon Bank Pine City Minnesota Prior Lake State Bank Prior Lake Minnesota Minnwest Bank, M.V Redwood Falls Minnesota First Independent Bank Russell Minnesota State Bank of Tower Tower Minnesota Security State Bank of Wanamingo Wanamingo Minnesota Belgrade State Bank Belgrade Missouri Ozark Mountain Bank Branson Missouri O'Bannon Banking Company Buffalo Missouri First National Bank Camdenton Missouri Horizon State Bank Cameron Missouri Canton State Bank Canton Missouri Bank 21 Carrollton Missouri State Bank of Missouri Concordia Missouri Secuirty Bank of the Ozarks Eminence Missouri Rockwood Bank Eureka Missouri Allen Bank & Trust Company Harrisonville Missouri Blue Ridge Bank & Trust Company Independence Missouri Jonesburg State Bank Jonesburg Missouri Missouri Bank & Trust Company Kansas City Missouri Kearney Commercial Bank Kearney Missouri BoulevardBank Neosho Missouri Bank of New Madrid New Madrid Missouri Ozark Bank Ozark Missouri Progressive Ozark Bank, FSB Salem Missouri First National Bank of Sarcoxie Sarcoxie Missouri Security Bank & Trust Company Scott City Missouri Community State Bank Shelbina Missouri Community Bank, NA Summersville Missouri Peoples Bank & Trust Company Troy Missouri Bank of Urbana Urbana Missouri The Missouri Bank Warrenton Missouri Security Bank of Pulaski County Waynesville Missouri FMB Bank Wright City Missouri The First State Bank of North Dakota Arthur North Dakota Security State Bank of North Dakota Hannaford North Dakota The Goose River Bank Mayville North Dakota The First State Bank of Munich Munich North Dakota Liberty State Bank Powers Lake North Dakota Dakota Heritage State Bank Chancellor South Dakota The First Western Bank Custer Custer South Dakota Valley Bank NA Elk Pointe South Dakota Reliabank Dakota Estelline South Dakota Campbell County Bank, Inc Herreid South Dakota Plains Commerce Bank Hoven South Dakota First State Bank of Miller Miller South Dakota CorTrust Bank, National Association Mitchell South Dakota American State Bank Oldham South Dakota American State Bank of Pierre Pierre South Dakota Farmers and Merchants State Bank Plankinton South Dakota First Premier Bank Sioux Falls South Dakota The First Western Bank Sturgis Sturgis South Dakota Commercial State Bank Wagner South Dakota The First Western Bank Wall South Dakota Federal Home Loan Bank of Dallas—District 9 Elk Horn Bank & Trust Company Arkadelphia Arkansas Merchants and Farmers Bank Dumas Arkansas Planters & Merchants Bank Gillett Arkansas Calhoun County Bank Hampton Arkansas Community First Bank Harrison Arkansas Pulaski Bank & Trust Company Little Rock Arkansas One Bank & Trust, N.A Little Rock Arkansas Farmers Bank & Trust Company Magnolia Arkansas Union Bank and Trust Company Monticello Arkansas Priority Bank Ozark Arkansas United Bank Springdale Arkansas Farmers & Merchants Bank Stuttgart Arkansas Abbeville Building & Loan Abbeville Louisiana United Community Bank Gonzales Louisiana Central Progressive Bank Lacombe Louisiana The Union Bank Marksville Louisiana Iberia Bank New Iberia Louisiana Crescent Bank & Trust New Orleans Louisiana Fidelity Homestead Association New Orleans Louisiana First Financial Bank & Trust Plaquemine Louisiana Citizens Bank & Trust Company Plaquemine Louisiana Community Trust Bank Ruston Louisiana Bank of Zachary Zachary Louisiana Magnolia State Bank Bay Springs Mississippi BankFirst Financial Services Columbus Mississippi State Bank & Trust Company Greenwood Mississippi Grand Bank for Savings, fsb Hattiesburg Mississippi The First, A National Banking Association Hattiesburg Mississippi Trustmark National Bank Jackson Mississippi OmniBank Jackson Mississippi Bank of New Albany New Albany Mississippi Bank of Okolona Okoloona Mississippi First Federal Savings & Loan Pascagoula Mississippi Bank of Yazoo City Yazoo City Mississippi Union Savings Bank Albuquerque New Mexico Western Bank of Clovis Clovis New Mexico Citizens Bank of Las Cruces Las Cruces New Mexico The Bank of Las Vegas Las Vegas New Mexico Century Bank, F.S.B Santa Fe New Mexico IBM Texas Employees Federal Credit Union Austin Texas Franklin Bank, SSB Austin Texas Lamar Bank Beaumont Texas The First National Bank of Beeville Beeville Texas Bonham State Bank Bonham Texas Shelby Savings Bank, ssb Center Texas Chappell Hill Bank Chappell Hill Texas Charter Bank Corpus Christi Texas First Security State Bank Cranfills Gap Texas First National Bank of Crockett Crockett Texas First National Bank in Dalhart Dalhart Texas Inwood National Bank Dallas Texas Prosperity Bank El Campo Texas First Command Bank Fort Worth Texas Happy State Bank Happy Texas Henderson Federal Savings Bank Henderson Texas Encore Bank Houston Texas State Bank La Grange Texas Spring Hill State Bank Longview Texas Angelina Savings Bank, FSB Lufkin Texas Northeast National Bank Mesquite Texas Guaranty Bond Bank Mt. Pleasant Texas Olympic Savings, S.S.B Refugio Texas First Community Bank San Antonio, NA San Antonio Texas First State Bank Stratford Texas Alliance Bank Sulphur Springs Texas First State Bank Central Texas Temple Texas First Federal Bank Texas Tyler Texas The First National Bank of Weatherford Weatherford Texas Federal Home Loan Bank of Topeka—District 10 Valley Bank & Trust Company Brighton Colorado Farmers State Bank of Calhan Calhan Colorado Castle Rock Bank Castle Rock Colorado Colorado Capital Bank Castle Rock Colorado FirstBank of Colorado Springs Colorado Springs Colorado First National Bank of Durango Durango Colorado High Plains Bank Flagler Colorado Morgan Federal Bank Fort Morgan Colorado Colorado Federal Savings Bank Greenwood Village Colorado First National Bank in Lamar Lamar Colorado Colorado East Bank & Trust Lamar Colorado The First National Bank of Anthony Anthony Kansas Peoples Exchange Bank Belleville Kansas Guaranty State Bank & Trust Company Beloit Kansas Caldwell State Bank Caldwell Kansas The Elk State Bank Clyde Kansas Citizens Bank NA Fort Scott Kansas Central Bank and Trust Company Hutchinson Kansas Inter-State FS&LA of Kansas City Kansas City Kansas Kanza Bank Kingman Kansas Citizens Savings and Loan Association, fsb Leavenworth Kansas First State Bank Norton Kansas First FS&LA of Olathe Olathe Kansas First Option Bank Osawatomie Kansas Valley State Bank Roeland Park Kansas The Roxbury Bank Roxbury Kansas Thunder Bank Sylvan Grove Kansas The Columbian Bank and Trust Company Topeka Kansas First National Bank of Ainsworth Ainsworth Nebraska Community Bank Alma Nebraska Auburn State Bank Auburn Nebraska Bruning State Bank Bruning Nebraska Butte State Bank Butte Nebraska South Central State Bank Campbell Nebraska First National Bank & Trust Company Columbus Nebraska Cedar Security Bank Fordyce Nebraska City Bank & Trust Company Lincoln Nebraska Security Home Bank Malmo Nebraska Security National Bank of Omaha Omaha Nebraska Pinnacle Bank Papillion Nebraska Horizon Bank Waverly Nebraska First National Bank & Trust Company of Ardmore Ardmore Oklahoma Citizens Security Bank & Trust Bixby Oklahoma Chickasha Bank and Trust Company Chickasha Oklahoma First Bank & Trust Company Clinton Oklahoma First Texoma National Bank Durant Oklahoma The First Bank of Haskell Haskell Oklahoma Republic Bank & Trust Norman Oklahoma First National Bank of Oklahoma Oklahoma City Oklahoma Lakeside State Bank Oologah Oklahoma First American Bank Purcell Oklahoma Sulphur Community Bank Sulphur Oklahoma Federal Home Loan Bank of San Francisco—District 11 California National Bank Beverly Hills California Xerox Federal Credit Union El Segundo California First Commerce Bank Encino California Fremont Bank Fremont California Commercial Capital Bank, F.S.B Irvine California American First Credit Union La Habra California International City Bank Long Beach California National Bank of California Los Angeles California Preferred Bank Los Angeles California The Vintage Bank Napa California Oak Valley Community Bank Oakdale California Palm Desert National Bank Palm Desert California Greater Bay Bank, N.A Palo Alto California Malaga Bank, S.S.B Palos Verdes Estates California PFF Bank & Trust Pomona California North Valley Bank Redding California Summit State Bank Rohnert Park California 1st Pacific Bank of California San Diego California California Savings Bank San Francisco California Temecula Valley Bank, NA Temecula California Chinatrust Bank (U.S.A.) Torrance California Federal Home Loan Bank of Seattle—District 12 Northrim Bank Anchorage Alaska Northern Schools Federal Credit Union Fairbanks Alaska BankPacific, Ltd. Hagatna Guam Hawaii State Federal Credit Union Honolulu Hawaii Finance Factors, Limited Honolulu Hawaii Mountain West Bank Coeur D'Alene Idaho The Bank of Commerce Idaho Falls Idaho Ireland Bank Malad Idaho First Federal Savings Bank of Twin Falls Twin Falls Idaho United Banks, N.A Absarokee Montana Pioneer Federal Savings & Loan Association Dillon Montana Pacific Continental Bank Eugene Oregon First Federal McMinnville Oregon Albina Community Bank Portland Oregon Community First Bank Prineville Oregon Bank of American Fork American Fork Utah Home Savings Bank Salt Lake City Utah Trans West Credit Union Salt Lake City Utah Horizon Bank Bellingham Washington Bank of Fairfield Fairfield Washington Timberland Bank Hoquiam Washington Kitsap Bank Port Orchard Washington Valley Bank Puyallup Washington First Savings Bank of Renton Renton Washington Washington First International Bank Seattle Washington HomeStreet Bank Seattle Washington The Bank of Star Valley Afton Wyoming Oregon Trail Bank Guernsey Wyoming Pinnacle Bank—Wyoming Torrington Wyoming First National Bank Torrington Wyoming II. Public Comments To encourage the submission of public comments on the community support performance of Bank members, on or before October 27, 2006, each Bank will notify its Advisory Council and nonprofit housing developers, community groups, and other interested parties in its district of the members selected for community support review in the 2006-07 third quarter review cycle. 12 CFR 944.2(b)(2)(ii). In reviewing a member for community support compliance, the Finance Board will consider any public comments it has received concerning the member. 12 CFR 944.2(d). To ensure consideration by the Finance Board, comments concerning the community support performance of members selected for the 2006-07 third quarter review cycle must be delivered to the Finance Board on or before the November 24, 2006 deadline for submission of Community Support Statements. John P. Kennedy, General Counsel. [FR Doc. E6-16732 Filed 10-12-06; 8:45 am] BILLING CODE 6725-01-P FEDERAL TRADE COMMISSION Agency Information Collection Activities; Submission for OMB Review; Comment Request AGENCY: Federal Trade Commission. ACTION: Notice. SUMMARY: The information collection requirements described below will be submitted to the Office of Management and Budget (“OMB”) for review, as required by the Paperwork Reduction Act (“PRA”) (44 U.S.C. 3501-3520). The Federal Trade Commission (“FTC” or “Commission”) is seeking public comments on its proposal to extend through January 31, 2010 the current OMB clearance for information collection requirements contained in its Mail or Telephone Order Merchandise Trade Regulation Rule (“MTOR” or “Rule”), 16 CFR part 435. That clearance expires on January 31, 2007. DATES: Comments must be filed by December 12, 2006. ADDRESSES: Interested parties are invited to submit written comments. Comments should refer to “Mail or Telephone Order Merchandise Trade Regulation Rule: FTC File No. R511929,” to facilitate the organization of comments. A comment filed in paper form should include this reference both in the text and on the envelope and should be mailed or delivered, with two complete copies, to the following address: Federal Trade Commission, Room H 135 (Annex J), 600 Pennsylvania Ave., NW., Washington, DC 20580. Because paper mail in the Washington area and at the Commission is subject to delay, please consider submitting your comments in electronic form, (in ASCII format, WordPerfect, or Microsoft Word) as part of or as an attachment to e-mail messages directed to the following e-mail box: *paperworkcomment@ftc.gov.* However, if the comment contains any material for which confidential treatment is requested, it must be filed in paper form, and the first page of the document must be clearly labeled “Confidential.” 1 1 Commission Rule 4.2(d), 16 CFR 4.2(d). The comment must be accompanied by an explicit request for confidential treatment, including the factual and legal basis for the request, and must identify the specific portions of the comment to be withheld from the public record. The request will be granted or denied by the Commission's General Counsel, consistent with applicable law and the public interest. *See* Commission Rule 4.9(c), 16 CFR 4.9(c). The FTC Act and other laws the Commission administers permit the collection of public comments to consider and use in this proceeding as appropriate. All timely and responsive public comments will be considered by the Commission and will be available to the public on the FTC Web site, to the extent practicable, at *http://www.ftc.gov.* As a matter of discretion, the FTC makes every effort to remove home contact information for individuals from the public comments it receives before placing those comments on the FTC Web site. More information, including routine uses permitted by the Privacy Act, may be found in the FTC's privacy policy at *http://www.ftc.gov/ftc/privacy.htm* . FOR FURTHER INFORMATION CONTACT: Requests for additional information should be addressed to Joel N. Brewer, Attorney, Division of Enforcement, Bureau of Consumer Protection, Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580,
(202)326-2967. SUPPLEMENTARY INFORMATION: Under the Paperwork Reduction Act (“PRA”), 44 U.S.C. 3501-3520, Federal agencies must obtain approval from OMB for each collection of information they conduct or sponsor. “Collection of information” means agency requests or requirements that members of the public submit reports, keep records, or provide information to a third party. 44 U.S.C. 3502(3); 5 CFR 1320.3(c). As required by section 3506(c)(2)(A) of the PRA, the FTC is providing this opportunity for public comment before requesting that OMB extend the existing paperwork clearance for the regulations noted herein. The FTC invites comments on:
(1)Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;
(2)the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used;
(3)ways to enhance the quality, utility, and clarity of the information to be collected; and
(4)ways to minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, *e.g.* , permitting electronic submission of responses. All comments should be filed as prescribed in the ADDRESSES section above, and must be received on or before December 12, 2006. The Mail or Telephone Order Merchandise Trade Regulation Rule (“MTOR” or “Rule”), 16 CFR part 435, was promulgated in 1975 in response to consumer complaints that many merchants were failing to ship merchandise ordered by mail on time, failing to ship at all, or failing to provide prompt refunds for unshipped merchandise. A second rulemaking proceeding in 1993 demonstrated that the delayed shipment and refund problems of the mail order industry were also being experienced by consumers who ordered merchandise over the telephone. Accordingly, the Commission amended the Rule, effective on March 1, 1994, to include merchandise ordered by telephone, including by telefax or by computer through the use of a modem ( *e.g.* , Internet sales), and the Rule was then renamed the “Mail or Telephone Order Merchandise Rule.” Generally, the MTOR requires a merchant to:
(1)Have a reasonable basis for any express or implied shipment representation made in soliciting the sale;
(2)ship within the time period promised and, if no time period is promised, within 30 days;
(3)notify the consumer and obtain the consumer's consent to any delay in shipment; and
(4)make prompt and full refunds when the consumer exercises a cancellation option or the merchant is unable to meet the Rule's other requirements. The notice provisions in the Rule require a merchant who is unable to ship within the promised shipment time or 30 days to notify the consumer of a revised date and his or her right to cancel the order and obtain a prompt refund. Delays beyond the revised shipment date also trigger a notification requirement to consumers. When the MTOR requires the merchant to make a refund and the consumer has paid by credit card, the Rule also requires the merchant to notify the consumer either that any charge to the consumer's charge account will be reversed or that the merchant will take no action that will result in a charge. Burden Statement *Estimated total annual hours burden:* 3,083,000 hours (rounded to the nearest thousand). In its 2003 PRA-related **Federal Register** notices 2 and corresponding submission to OMB, FTC staff estimated that 53,600 established companies each spend an average of 50 hours per year on compliance with the Rule, and that approximately 1,800 new industry entrants spend an average of 230 hours (an industry estimate) for compliance measures associated with start-up. 3 Thus, the total estimated hours burden was 3,094,000 hours, rounded up to the nearest thousand [(53,600 established companies × 50 hours) + (1,800 new entrants × 230 hours)]. 2 68 FR 58683 (Oct. 10, 2003); 68 FR 74580 (Dec. 24, 2003). 3 Most of the estimated start-up time relates to the development and installation of computer systems geared to more efficiently handle customer orders. No provisions in the Rule have been amended or changed since staff's prior submission to OMB. Thus, the Rule's disclosure and recordkeeping requirements remain the same. Since then, however, the number of businesses engaged in the sale of merchandise by mail or by telephone has increased. Comparing data from the U.S. Department of Commerce 2002 Statistical Abstract with data from the 2006 Statistical Abstract, 4 between 1999 and 2002 the number of businesses subject to the MTOR grew from 51,800 to 54,500, or an average increase of 675 new businesses a year [(54,500 businesses in 2002 − 51,800 businesses in 1999) ÷ 4 years]. Assuming this growth rate continues, the average number of established businesses during the three-year period for which OMB clearance is sought for the Rule would be 58,550. 5 4 Comparing Table 1000 “Retail Trade—Establishments, Employees and Payroll: 1999 and 2000,” Statistical Abstract of the United States, 122nd edition, 2002, U.S. Department of Commerce, Economics and Statistics Administration, with Table 1015, “Retail Trade—Establishments, Employees and Payroll: 2000 and 2002,” Statistical Abstract of the United States, 125th edition, 2006, U.S. Department of Commerce, Economics and Statistics Administration. 5 As discussed above, the existing OMB clearance for the Rule expires on January 31, 2007 and the FTC is seeking to extend the clearance through January 31, 2010. The average number of established businesses during the three-year clearance period was determined as follows: [(54,500 businesses in 2002 + (675 new entrants per year × 5 years)) + (54,500 businesses in 2002 + (675 new entrants per year) + (675 new entrants per year × 6 years)) + (54,500 businesses in 2002 + (675 new entrants per year × 7 years))] ÷ 3 years. Conversely, based on the 2002 and 2006 Statistical Abstract data, FTC staff is reducing its estimate of new businesses per year from 1,800 to 675. Thus, staff estimates that the average number of affected entities during the three-year OMB clearance period will be approximately 59,225 (58,550 established companies + 675 new entrants). Accordingly, staff estimates total industry hours to comply with the MTOR by then will be 3,083,000 hours [(58,550 established companies × 50 hours) + (675 new entrants × 230 hours)], rounded to the nearest thousand. This may overstate the total number of hours spent on MTOR compliance. The mail-order industry has been subject to the basic provisions of the Rule since 1976 and the telephone-order industry since 1994. Thus, businesses have had several years (and some have had decades) to integrate compliance systems into their business procedures. Moreover, arguably much of the estimated time burden for disclosure-related compliance would be incurred even absent the Rule. Industry trade associations and individual witnesses have consistently taken the position that compliance with the MTOR is widely regarded by direct marketers as being good business practice. Providing consumers with notice about the status of their orders fosters consumer loyalty and encourages repeat purchases, which are important to direct marketers' success. Accordingly, the Rule's notification requirements would be followed in any event by most merchants to meet consumer expectations regarding timely shipment, notification of delay, and prompt and full refunds. Thus, it appears that much of the time and expense associated with Rule compliance may not constitute “burden” under the PRA. 6 Nevertheless, staff continues to conservatively assume that the time devoted to compliance with the Rule by existing and new companies remains unchanged. 6 Staff recognizes that, since the FTC's previous PRA submission to OMB for the Rule, many businesses have upgraded the information management systems they need in order to comply with the Rule and to track orders more effectively. These upgrades, however, were primarily prompted by the industry's need to deal with growing consumer demand for merchandise (resulting, in part, from increased public acceptance of making purchases over the telephone and, more recently, the Internet). Accordingly, most companies now maintain records and provide updated order information of the kind required by the Rule in their ordinary course of business. Under the OMB regulation implementing the PRA, burden is defined to exclude any effort that would be expended regardless of any regulatory requirement. 5 CFR 1320.3(b)(2). *Estimated labor costs:* $53,829,000 (rounded to the nearest thousand). FTC staff derived labor costs by applying appropriate hourly cost figures to the burden hours described above. According to the 2002 and 2006 Statistical Abstract, average payroll for “electronic shipping and mail order houses,” “direct selling establishments,” and “other direct selling establishments” rose from $14.41 per hour in 1999 to $15.92 per hour in 2002, an increase of $1.51 per hour over four years ($15.92 per hour in 2002 − $14.41 per hour in 1999), or an average of $0.378 per year ($1.51 increase over four years ÷ 4 years). Assuming average payroll continues to increase an average of $0.378 per hour per year, the average payroll during the three-year period for which OMB clearance is sought for the Rule would be $17.46 per hour. 7 Because the bulk of the burden of complying with the MTOR is borne by clerical personnel, staff believes that the average hourly payroll figure for electronic shipping and mail order houses and direct selling establishments is an appropriate measure of a direct marketer's average labor cost to comply with the Rule. Thus, the total annual labor cost to new and established businesses for MTOR compliance during the three-year period for which OMB approval is sought would be approximately $53,829,000 (3,083,000 hours × $17.46/hr), rounded to the nearest thousand. Relative to direct industry sales, this total is negligible. 8 7 The approximate payroll during the three-year clearance period was determined as follows: [($15.19 payroll in 2002 + ($0.378 average increase per year × 5 years)) + ($15.19 payroll in 2002 + ($0.378 average increase per year × 6 years)) + ($15.19 payroll in 2002 + ($0.378 × 7 years))] ÷ 3 years. 8 Based on a $9.775 billion average yearly increase in sales for “electronic shopping and mail-order houses” from 2000 to 2004 (according to the 2006 Statistical Abstract), staff estimates that total mail or telephone order sales to consumers in the threeyear period for which OMB clearance is sought will average $187.4 billion. Thus, the projected average labor cost for MTOR compliance by existing and new businesses for that period would amount to less than 0.029% of sales. *Estimated annual non-labor cost burden:* $0 or minimal. The applicable requirements impose minimal start-up costs, as businesses subject to the Rule generally have or obtain necessary equipment for other business purposes, i.e., inventory and order management, and customer relations. For the same reason, staff anticipates printing and copying costs to be minimal, especially given that telephone order merchants have increasingly turned to electronic communications to notify consumers of delay and to provide cancellation options. Staff believes that the above requirements necessitate ongoing, regular training so that covered entities stay current and have a clear understanding of Federal mandates, but that this would be a small portion of and subsumed within the ordinary training that employees receive apart from that associated with the information collected under the Rule. William Blumenthal, General Counsel. [FR Doc. E6-17091 Filed 10-12-06; 8:45 am] BILLING CODE 6750-01-P DEPARTMENT OF HEALTH AND HUMAN SERVICES Centers for Medicare & Medicaid Services [Document Identifier: CMS-43, CMS-R-142, CMS-4040 & 4040-SP, CMS-10210, and CMS-R-284] Agency Information Collection Activities: Proposed Collection; Comment Request AGENCY: Centers for Medicare & Medicaid Services, HHS. In compliance with the requirement of section 3506(c)(2)(A) of the Paperwork Reduction Act of 1995, the Centers for Medicare & Medicaid Services
(CMS)is publishing the following summary of proposed collections for public comment. Interested persons are invited to send comments regarding this burden estimate or any other aspect of this collection of information, including any of the following subjects:
(1)The necessity and utility of the proposed information collection for the proper performance of the agency's functions;
(2)the accuracy of the estimated burden;
(3)ways to enhance the quality, utility, and clarity of the information to be collected; and
(4)the use of automated collection techniques or other forms of information technology to minimize the information collection burden. 1. *Type of Information Collection Request:* Extension of a currently approved collection; *Title of Information Collection:* Application for Hospital Insurance Benefits for individuals with End Stage Renal Disease; *Use:* 42 CFR 406.13 outlines the requirements for entitlement to Medicare Part A (hospital insurance [HI]) and Part B (supplementary medical insurance [SMI]) for individuals with End Stage Renal Disease (ESRD). 42 CFR 406.7 lists the CMS-43 form, Application for Hospital Insurance Benefits for Individuals with End Stage Renal Disease, as the application to be used by individuals applying for Medicare under the ESRD provisions of the Act. The form CMS-43 elicits the information that the Social Security Administration and the Centers for Medicare & Medicaid Services need to determine entitlement to Medicare based on the ESRD requirements of the law and regulations. *Form Number:* CMS-43 (OMB#: 0938-0800); *Frequency:* Reporting—Once; *Affected Public:* Individuals or households; *Number of Respondents:* 60,000; *Total Annual Responses:* 60,000; *Total Annual Hours:* 25,989.60. 2. *Type of Information Collection Request:* Extension of a currently approved collection; *Title of Information Collection:* Examination and Treatment for Emergency Medical Conditions and Women in Labor Act (EMTALA) and Supporting Regulations in 42 CFR 482.12, 488.18, 489.20, and 489.24; *Use:* As mandated by Congress, the information collection requirements found in supporting regulations in 42 CFR 482.12, 488.18, 489.20, and 489.24, aim to prevent hospitals from inappropriately transferring individuals with emergency medical conditions. These requirements are supported by two other current statutes. Section 1861(e)(9) of the Act permits the Secretary to impose on hospitals such other requirements as he finds necessary in the interests of the health and safety of individuals who are furnished services in the institution. It is under this authority that the Secretary has obligated hospitals that participate in Medicare to report when they receive patients that have been inappropriately transferred. Under section 1866(b)(2)(A) and
(B)of the Social Security Act (the Act), the Secretary may terminate the provider agreement of a hospital that is not complying substantially with the statute and regulations under title XVIII or that no longer substantially meets the provisions of section 1861 of the Act. *Form Number:* CMS-R-142 (OMB#: 0938-0667); *Frequency:* Recordkeeping and Reporting—On occasion; *Affected Public:* Individuals or households, Business or other for-profit, Not-for-profit, State, Local or Tribal Governments, Federal Government; *Number of Respondents:* 5,600; *Total Annual Responses:* 5,600; *Total Annual Hours:* 1. 3. *Type of Information Collection Request:* Extension of a currently approved collection; *Title of Information Collection:* Request for Enrollment in Supplementary Medical Insurance; *Use:* 42 CFR 407.10 lists the alternative requirements for enrollment in Part B for any individual who is not entitled to hospital insurance under Part A but has attained age 65 and is either a citizen of the United States (U.S.) or an alien lawfully admitted for permanent residence who has lived in the U.S. continually for 5 years. 42 CFR 407.11 lists the CMS-4040 form, Request for Enrollment in Supplementary Medical Insurance, as the application to be used by individuals not eligible for monthly benefits or free Part A. Form CMS-4040 elicits the information that the Social Security Administration and Centers for Medicare & Medicaid Services need to determine entitlement to Part B only. *Form Number:* CMS-4040, 4040-SP (OMB#: 0938-0245); *Frequency:* Reporting—Once; *Affected Public:* Individuals or households; *Number of Respondents:* 10,000; *Total Annual Responses:* 10,000; *Total Annual Hours:* 25,000. 4. *Type of Information Collection Request:* New collection; *Title of Information Collection:* Hospital Reporting Initiative—Hospital Quality Measures (Surgical Care Improvement
(SCIP)Measures/Mortality Measures; *Use:* The purpose of this information collection request is to collect data to produce valid, reliable, comparable and salient quality measures to provide a potent stimulus for clinicians and providers to improve the quality of care they provide. The reporting of Surgical Care Improvement
(SCIP)measures is currently being collected from hospitals for activities associated with the Quality Improvement Organization
(QIO)Program. Section 5001(a) of Public Law 109-171 of the Deficit Reduction Act sets out new requirements under the Reporting Hospital Quality Data for Annual Payment Update program. This program was initially established under section 501(b) of the MMA which offers monetary incentives for hospitals participating in the reporting of quality data. The Act requires that we expand the existing “starter set” of 10 quality measures that we have used since 2003. Although, this effort increases the volume of data currently reported into the QIO Clinical Data Warehouse; it however, does not place a substantial data collection burden on hospitals. A substantial percentage of hospitals are voluntarily submitting these SCIP measures currently. In contrast to the SCIP quality measures, no additional data collection from hospitals will be required from the mortality measures. All three mortality measures can be calculated based on Medicare inpatient and outpatient claims data that are already reported to the Medicare program for payment purposes. *Form Number:* CMS-10210 (OMB#: 0938-NEW); *Frequency:* Recordkeeping, Reporting, Third-Party Disclosure—Quarterly; *Affected Public:* Business or other for-profit, Not-for-profit; *Number of Respondents:* 3,700; *Total Annual Responses:* 3,700; *Total Annual Hours:* 587,500. 5. *Type of Information Collection Request:* Revision of a currently approved collection; *Title of Information Collection:* Medicaid Statistical Information System; *Use:* State data are reported by the Federally mandated electronic process, known as Medicaid Statistical Information System (MSIS). These data are the basis of actuarial forecasts for Medicaid service utilization and costs; of analysis and cost savings estimates required for legislative initiatives relating to Medicaid; and for responding to requests for information from CMS components, the Department, Congress and other customers. *Form Number:* CMS-R-284 (OMB#: 0938-0345); *Frequency:* Quarterly; *Affected Public:* State, Local or Tribal Government; *Number of Respondents:* 53; *Total Annual Responses:* 212; *Total Annual Hours:* 3,392. To obtain copies of the supporting statement and any related forms for the proposed paperwork collections referenced above, access CMS' Web site address at *http://www.cms.hhs.gov/PaperworkReductionActof1995* , or e-mail your request, including your address, phone number, OMB number, and CMS document identifier, to *Paperwork@cms.hhs.gov* , or call the Reports Clearance Office on
(410)786-1326. To be assured consideration, comments and recommendations for the proposed information collections must be received at the address below, no later than 5 p.m. on December 12, 2006. CMS, Office of Strategic Operations and Regulatory Affairs, Division of Regulations Development—C, Attention: Bonnie L Harkless, Room C4-26-05, 7500 Security Boulevard, Baltimore, Maryland 21244-1850. Dated: October 4, 2006. Michelle Shortt, Director, Regulations Development Group, Office of Strategic Operations and Regulatory Affairs. [FR Doc. E6-17035 Filed 10-12-06; 8:45 am] BILLING CODE 4120-01-P DEPARTMENT OF HEALTH AND HUMAN SERVICES Centers for Medicare & Medicaid Services Privacy Act of 1974; Report of a Modified or Altered System AGENCY: Department of Health and Human Services (HHS), Centers for Medicare & Medicaid Services (CMS). ACTION: Notice of a Modified or Altered System of Records (SOR). SUMMARY: In accordance with the requirements of the Privacy Act of 1974, we are proposing to modify or alter an existing SOR, “Record of Individuals Allowed Regular and Special Parking Privileges at the Health Care Financing Administration
(HCFA)Building (PRKG), System No. 09-70-3004.” Notice for this system was published at 65 **Federal Register** (Fed. Reg.) 59193, October 4, 2000. The name of the Agency has been changed from HCFA to the Centers for Medicare & Medicaid Administration (CMS). We will modify the system name to read: “Record of Individuals Allowed Regular and Special Parking Privileges at the CMS Building (PRKG).” We propose to assign a new CMS identification number to this system to simplify the obsolete and confusing numbering system originally designed to identify the Bureau, Office, or Center that maintained information in the HCFA systems of records. The new assigned identifying number for this system should read: System No. 09-70-0515. We propose to modify existing routine use number 1 that permits disclosure to agency contractors and consultants to include disclosure to CMS grantees who perform a task for the agency. CMS grantees, charged with completing projects or activities that require CMS data to carry out that activity, are classified separate from CMS contractors and/or consultants. The modified routine use will remain as routine use number 1. We will delete routine use number 2 authorizing disclosure to support constituent requests made to a congressional representative. If an authorization for the disclosure has been obtained from the data subject, then no routine use is needed. The Privacy Act allows for disclosures with the “prior written consent” of the data subject. We are modifying the language in the remaining routine uses to provide a proper explanation as to the need for the routine use and to provide clarity to CMS's intention to disclose individual-specific information contained in this system. The routine uses will then be prioritized and reordered according to their usage. We will also take the opportunity to update any sections of the system that were affected by the recent reorganization or because of the impact of the Medicare Prescription Drug, Improvement, and Modernization Act of 2003
(MMA)(Public Law (Pub. L.) 108-173) provisions and to update language in the administrative sections to correspond with language used in other CMS SORs. The primary purpose of the system of records is to collect and maintain information on all CMS employees, non-CMS employees, contractors, employees of other Federal agencies, visitors, and others who require parking privileges at CMS complex at Baltimore, Maryland. Information retrieved from this system will also be disclosed to:
(1)Support regulatory, reimbursement, and policy functions performed within the agency or by a contractor, consultant or grantee; and,
(2)support litigation involving the agency. We have provided background information about the modified system in the Supplementary Information section below. Although the Privacy Act requires only that CMS provide an opportunity for interested persons to comment on the proposed routine uses, CMS invites comments on all portions of this notice. *See* Effective Dates section for comment period. DATES: *Effective Dates:* CMS filed a modified or altered system report with the Chair of the House Committee on Government Reform and Oversight, the Chair of the Senate Committee on Homeland Security & Governmental Affairs, and the Administrator, Office of Information and Regulatory Affairs, Office of Management and Budget
(OMB)on *October 5, 2006* . To ensure that all parties have adequate time in which to comment, the modified system, including 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 CMS receives comments that require alterations to this notice. ADDRESSES: The public should address comments to: CMS Privacy Officer, Division of Privacy Compliance, Enterprise Architecture and Strategy Group, Office of Information Services, CMS, Room N2-04-27, 7500 Security Boulevard, Baltimore, Maryland 21244-1850. Comments received will be available for review at this location, by appointment, during regular business hours, Monday through Friday from 9 a.m.-3 p.m., eastern time zone. FOR FURTHER INFORMATION CONTACT: Kristina Raitch-Zaruba, Physical Security Specialist, Emergency Resources Management and Response Group, Office of Operations Management, CMS, Room SLL-11-08, CMS, 7500 Security Boulevard, Baltimore, Maryland 21244-1850. Ms. Zaruba can be reached by telephone at 410-786-0837, or via e-mail at *kristina.raitchzaruba@cms.hhs.gov.* SUPPLEMENTARY INFORMATION: I. Description of the Modified or Altered System of Records A. Statutory and Regulatory Basis for System of Records Authority for maintenance of this system is given under Title 5 United States Code § 301. B. Scope of the Data Collected The system will collect information on all CMS employees, non-CMS employees, contractors, employees of other Federal agencies, visitors, and others who require parking privileges at the CMS complex in Baltimore. The information collected will include, but is not limited to, the name, social security number, parking permit number, telephone number, work location, position, title and grade, supervisor's name and telephone number and background information relating to medical or specific parking needs. II. Collection and Maintenance of Data in the System A. Agency Policies, Procedures, and Restrictions on the Routine Use The Privacy Act permits us to disclose information without an individual's consent if the information is to be used for a purpose that is compatible with the purpose(s) for which the information was collected. Any such disclosure of data is known as a “routine use.” The government will only release PRKG information that can be associated with an individual as provided for under “Section III. Proposed Routine Use Disclosures of Data in the System.” Both identifiable and non-identifiable data may be disclosed under a routine use. We will only collect the minimum personal data necessary to achieve the purpose of PRKG. CMS has the following policies and procedures concerning disclosures of information that will be maintained in the system. Disclosure of information from this system will be approved only to the extent necessary to accomplish the purpose of the disclosure and only after CMS: 1. Determines that the use or disclosure is consistent with the reason that the data is being collected; *e.g.* , to implement the regulations and directives that established those Federal workers and other authorized personnel will be issued parking permits for the CMS complex. 2. Determines: a. That the purpose for which the disclosure is to be made can only be accomplished if the record is provided in individually identifiable form; b. That the purpose for which the disclosure is to be made is of sufficient importance to warrant the potential effect and/or risk on the privacy of the individual that additional exposure of the record might bring; and c. That there is a strong probability that the proposed use of the data would in fact accomplish the stated purpose(s). 3. Requires the information recipient to: a. Establish administrative, technical, and physical safeguards to prevent unauthorized use of disclosure of the record; and b. Remove or destroy at the earliest time all patient-identifiable information. 4. Determines that the data are valid and reliable. III. Proposed Routine Use Disclosures of Data in the System A. The Privacy Act allows us to disclose information without an individual's consent if the information is to be used for a purpose that is compatible with the purpose(s) for which the information was collected. Any such compatible use of data is known as a “routine use.” The proposed routine uses in this system meet the compatibility requirement of the Privacy Act. We are proposing to establish the following routine use disclosures of information maintained in the system: 1. To support agency contractors, consultants or grantees who have been engaged by the agency to assist in the performance of a service related to this system and who need to have access to the records in order to perform the activity. We contemplate disclosing information under this routine use only in situations in which CMS may enter into a contractual or similar agreement with a third party to assist in accomplishing CMS function relating to purposes for this system. CMS occasionally contracts out some of its functions when doing so would contribute to more effective and efficient operations. CMS must be able to give a contractor, consultant or grantee whatever information is necessary for the contractor, consultant or grantee to fulfill its duties. In these situations, safeguards are provided in the contract prohibiting the contractor or consultant from using or disclosing the information for any purpose other than that described in the contract and requires the contractor, consultant or grantee to return or destroy all information at the completion of the contract. 2. To support the Department of Justice (DOJ), court or adjudicatory body when: a. The agency or any component thereof, or b. Any employee of the agency in his or her official capacity, or c. Any employee of the agency in his or her individual capacity where the DOJ has agreed to represent the employee, or d. The United States Government is a party to litigation or has an interest in such litigation, and by careful review, CMS 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. Whenever CMS is involved in litigation, and occasionally when another party is involved in litigation and CMS' policies or operations could be affected by the outcome of the litigation, CMS would be able to disclose information to the DOJ, court or adjudicatory body involved. IV. Safeguards CMS has safeguards in place for authorized users and monitors such users to ensure against excessive or unauthorized use. Personnel having access to the system have been trained in the Privacy Act and information security requirements. Employees who maintain records in this system are instructed not to release data until the intended recipient agrees to implement appropriate management, operational and technical safeguards sufficient to protect the confidentiality, integrity and availability of the information and information systems and to prevent unauthorized access. This system will conform to all applicable Federal laws and regulations and Federal, HHS, and CMS policies and standards as they relate to information security and data privacy. These laws and regulations include but are not limited to: the Privacy Act of 1974; the Federal Information Security Management Act of 2002; the Computer Fraud and Abuse Act of 1986; the Health Insurance Portability and Accountability Act of 1996; the E-Government Act of 2002, the Clinger-Cohen Act of 1996; the Medicare Modernization Act of 2003, and the corresponding implementing regulations. OMB Circular A-130, Management of Federal Resources, Appendix III, Security of Federal Automated Information Resources also applies. Federal, HHS, and CMS policies and standards include but are not limited to: All pertinent NIST publications; the HHS Automated Information Systems Security Handbook and the CMS Information Security Handbook. V. Effects of the Modified System of Records on Individual Rights CMS proposes to modify this system in accordance with the principles and requirements of the Privacy Act and will collect, use, and disseminate information only as prescribed therein. Data in this system will be subject to the authorized releases in accordance with the routine uses identified in this system of records. CMS will take precautionary measures (see item IV above) to minimize the risks of unauthorized access to the records and the potential harm to individual privacy or other personal or property rights of patients whose data are maintained in the system. CMS will collect only that information necessary to perform the system's functions. In addition, CMS will make disclosure from the proposed system only with consent of the subject individual, or his/her legal representative, or in accordance with an applicable exception provision of the Privacy Act. CMS, therefore, does not anticipate an unfavorable effect on individual privacy as a result of information relating to individuals. Dated: October 4, 2006. Charlene Friaaera, Acting Chief Operating Officer, Centers for Medicare & Medicaid Services. System No. 09-70-0515 SYSTEM NAME: “Record of Individuals Allowed Regular and Special Parking Privileges at the CMS Complex (PRKG),” HHS/CMS/OOM. SECURITY CLASSIFICATION: Level Three Privacy Act Sensitive Data. SYSTEM LOCATION: Centers for Medicare & Medicaid Services
(CMS)Data Center, 7500 Security Boulevard, North Building, First Floor, Baltimore, Maryland 21244-1850 and the Office of Operations Management, South Building, Lower Level, Baltimore, Maryland 21244-1850. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: The collected information on all CMS employees and non-CMS employees, contractors, employees of another Federal agency, visitors, and others who require parking privileges at the CMS buildings. CATEGORIES OF RECORDS IN THE SYSTEM: This system contains the collected information on all Federal employees at CMS buildings, *i.e.* , will contain name, social security number, parking permit number, telephone number, work location, position, title and grade, supervisor's name and telephone number and background information relating to medical or specific parking needs. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Authority for maintenance of this system is given under Title 5 United States Code § 301. PURPOSE(S) OF THE SYSTEM: The primary purpose of the system of records is to collect and maintain information on all CMS employees, non-CMS employees, contractors, employees of other Federal agencies, visitors, and others who require parking privileges at the CMS complex at Baltimore, Maryland. Information retrieved from this system will also be disclosed to:
(1)Support regulatory, reimbursement, and policy functions performed within the agency or by a contractor, consultant or grantee; and
(2)support litigation involving the agency. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OR USERS AND THE PURPOSES OF SUCH USES: A. The Privacy Act allows us to disclose information without an individual's consent if the information is to be used for a purpose that is compatible with the purpose(s) for which the information was collected. Any such compatible use of data is known as a “routine use.” The proposed routine uses in this system meet the compatibility requirement of the Privacy Act. We are proposing to establish the following routine use disclosures of information maintained in the system: 1. To support agency contractors, consultants or grantees who have been engaged by the agency to assist in the performance of a service related to this system and who need to have access to the records in order to perform the activity. 2. To support the Department of Justice (DOJ), court or adjudicatory body when: a. The agency or any component thereof, or b. Any employee of the agency in his or her official capacity, or c. Any employee of the agency in his or her individual capacity where the DOJ has agreed to represent the employee, or d. The United States Government is a party to litigation or has an interest in such litigation, and by careful review, CMS 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. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Information is maintained on paper, computer diskette and on magnetic storage media. RETRIEVABILITY: Name and parking permit identification number are used to retrieve the records. SAFEGUARDS: CMS has safeguards in place for authorized users and monitors such users to ensure against excessive or unauthorized use. Personnel having access to the system have been trained in the Privacy Act and information security requirements. Employees who maintain records in this system are instructed not to release data until the intended recipient agrees to implement appropriate management, operational and technical safeguards sufficient to protect the confidentiality, integrity and availability of the information and information systems and to prevent unauthorized access. This system will conform to all applicable Federal laws and regulations and Federal, HHS, and CMS policies and standards as they relate to information security and data privacy. These laws and regulations include but are not limited to: the Privacy Act of 1974; the Federal Information Security Management Act of 2002; the Computer Fraud and Abuse Act of 1986; the Health Insurance Portability and Accountability Act of 1996; the E-Government Act of 2002, the Clinger-Cohen Act of 1996; the Medicare Modernization Act of 2003, and the corresponding implementing regulations. OMB Circular A-130, Management of Federal Resources, Appendix III, Security of Federal Automated Information Resources also applies. Federal, HHS, and CMS policies and standards include but are not limited to: All pertinent NIST publications; the HHS Automated Information Systems Security Handbook and the CMS Information Security Handbook. RETENTION AND DISPOSAL: All records are destroyed one year after parking privileges are terminated. SYSTEM MANAGER AND ADDRESS: Director, Emergency Resources Management and Response Group, Office of Operations Management, CMS, Room SLL-11-08, CMS, 7500 Security Boulevard, Baltimore, Maryland 21244-1850. NOTIFICATION PROCEDURE: For purposes of access, the subject individual should write to the system manager who will require the system name, parking permit number, and for verification purposes, the subject individual's name (woman's maiden name, if applicable) and Social Security number (SSN). Furnishing the SSN is voluntary, but it may make searching for a record easier and prevent delay. RECORD ACCESS PROCEDURE: For purposes of access, use the same procedures outlined in Notification Procedures above. Requestors should also reasonably specify the record contents being sought. (These procedures are in accordance with Department regulation 45 CFR 5b.5(a)(2)). CONTESTING RECORD PROCEDURES: The subject individual should contact the system manager named above, and reasonably identify the record and specify the information to be contested. State the corrective action sought and the reasons for the correction with supporting justification. (These procedures are in accordance with Department regulation 45 CFR 5b.7). RECORD SOURCE CATEGORIES: Sources of information contained in this system are received from the individual requesting parking privileges on CMS Form 182. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. [FR Doc. E6-16951 Filed 10-12-06; 8:45 am] BILLING CODE 4120-03-P DEPARTMENT OF HEALTH AND HUMAN SERVICES Centers for Medicare & Medicaid Services Privacy Act of 1974; Report of a Modified or Altered System AGENCY: Department of Health and Human Services (HHS), Centers for Medicare & Medicaid Services (CMS). ACTION: Notice of a Modified or Altered System of Records (SOR). SUMMARY: In accordance with the requirements of the Privacy Act of 1974, we are proposing to modify or alter an existing system of records titled, “Provider Enrollment, Chain, and Ownership System (PECOS),” System No. 09-70-0532, established at 66 **Federal Register** 51961 (October 11, 2001). PECOS will collect information provided by the applicant related to identity, qualifications, practice locations, ownership, billing agency information, reassignment of benefits, electronic funds transfer, the national provider identifier (NPI), and related organizations. PECOS will also maintain information on business owners, chain home offices and provider/chain associations, managing/directing employees, partners, authorized and delegated representatives, supervising physicians of the supplier, staffing companies, ambulance vehicle information, and/or interpreting physicians and related technicians. We propose to modify existing routine use number 1 that permits disclosure to agency contractors and consultants to include disclosure to CMS grantees who perform a task for the agency. CMS grantees, charged with completing projects or activities that require CMS data to carry out that activity, are classified separate from CMS contractors and/or consultants. The modified routine use will remain as routine use number 1. We will delete routine use number 3 authorizing disclosure to support constituent requests made to a congressional representative. If an authorization for the disclosure has been obtained from the data subject, then no routine use is needed. The Privacy Act allows for disclosures with the “prior written consent” of the data subject. We propose to add a routine use to assist an individual or organization for research, evaluation or epidemiological projects related to the prevention of disease or disability, or the restoration or maintenance of health, and for payment related projects. The proposed routine use will be numbered as routine use number 3. We will broaden the scope of routine uses number 5 and 6, authorizing disclosures to combat fraud and abuse in the Medicare and Medicaid programs to include combating “waste” which refers to specific beneficiary/recipient practices that result in unnecessary cost to all federally-funded health benefit programs. We are modifying the language in the remaining routine uses to provide a proper explanation as to the need for the routine use and to provide clarity to CMS's intention to disclose individual-specific information contained in this system. The routine uses will then be prioritized and reordered according to their usage. We will also take the opportunity to update any sections of the system that were affected by the recent reorganization or because of the impact of the Medicare Prescription Drug, Improvement, and Modernization Act of 2003
(MMA)(Public Law 108-173) provisions and to update language in the administrative sections to correspond with language used in other CMS SORs. The primary purpose of the SOR is to:
(1)Collect information for an applying provider/supplier and record the associations between the applicant and those who have an ownership or control interest in the entity;
(2)permit informed enrollment decisions to be made based on past and present business history, any reported exclusions, sanctions and felonious behavior at their location or in multiple contractor jurisdictions; and,
(3)ensure that correct payments are made under the Medicare program. Information retrieved from this SOR will also be disclosed to:
(1)Support regulatory, reimbursement, and policy functions performed within the Agency or by a contractor, consultant, or CMS grantee;
(2)assist another Federal or state agency, agency of a state government, an agency established by state law, or its fiscal agent;
(3)assist an individual or organization for research, evaluation, or epidemiological projects;
(5)support litigation involving the Agency; and
(5)combat fraud, waste, and abuse in certain health benefits programs. We have provided background information about the modified system in the Supplementary Information section below. Although the Privacy Act requires only that CMS provide an opportunity for interested persons to comment on the routine uses, CMS invites comments on all portions of this notice. See Effective Dates section for comment period. DATES: *Effective Dates:* CMS filed a modified or altered system report with the Chair of the House Committee on Government Reform and Oversight, the Chair of the Senate Committee on Homeland Security & Governmental Affairs, and the Administrator, Office of Information and Regulatory Affairs, Office of Management and Budget
(OMB)on October 5, 2006. To ensure that all parties have adequate time in which to comment, the modified system, including 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 CMS receives comments that require alterations to this notice. ADDRESSES: The public should address comments to: CMS Privacy Officer, Division of Privacy Compliance, Enterprise Architecture and Strategy Group, Office of Information Services, CMS, Room N2-04-27, 7500 Security Boulevard, Baltimore, Maryland 21244-1850. Comments received will be available for review at this location, by appointment, during regular business hours, Monday through Friday from 9 a.m.-3 p.m., eastern time zone. FOR FURTHER INFORMATION CONTACT: Alisha Banks, Health Insurance Specialist, Division of Provider/Supplier Enrollment, Program Integrity Group, Office of Financial Management, CMS, C3-02-16, 7500 Security Boulevard, Baltimore, Maryland 21244-1850. Ms. Banks can be reached by telephone at 410-786-0671, or by e-mail at *alisha.banks@cms.hhs.gov.* SUPPLEMENTARY INFORMATION: I. Description of the Modified or Altered System of Records A. Statutory and Regulatory Basis for System The Authority for maintenance of the system is given under provisions of sections 1102(a) (Title 42 U.S.C. 1302(a)), 1128 (42 U.S.C. 1320a-7), 1814(a)) (42 U.S.C. 1395f(a)(1), 1815(a) (42 U.S.C. 1395g(a)), 1833(e) (42 U.S.C. 1395I(3)), 1871 (42 U.S.C. 1395hh), and 1886(d)(5)(F), (42 U.S.C. 1395ww(d)(5)(F) of the Social Security Act; 1842(r) (42 U.S.C. 1395u(r)); section 1124(a)(1) (42 U.S.C. 1320a-3(a)(1), and 1124A (42 U.S.C. 1320a-3a), section 4313, as amended, of the BBA of 1997; and section 31001(i) (31 U.S.C. 7701) of the DCIA (Pub. L. 104-134), as amended. B. Collection and Maintenance of Data in the System PECOS will collect information provided by an applicant related to identity, qualifications, practice locations, ownership, billing agency information, reassignment of benefits, electronic funds transfer, the NPI and related organizations. PECOS will also maintain information on business owners, chain home offices and provider/chain associations, managing/directing employees, partners, authorized and delegated officials, supervising physicians of the supplier, staffing companies, ambulance vehicle information, and/or interpreting physicians and related technicians. This system of records will contain the names, social security numbers (SSN), date of birth (DOB), and employer identification numbers
(EIN)and NPI's for each disclosing entity, owners, as well as managing/directing employees, with 5 percent or more ownership or control interest. Managing/directing employees include general manager, business managers, administrators, directors, and other individuals who exercise operational or managerial control over the provider/supplier. The system will also contain Medicare identification numbers ( *i.e.* , UPIN, OSCAR, PIN and the NPI), demographic data, professional data, past and present business history as well as information regarding any adverse actions such as exclusions, sanctions, and felonious behavior. II. Agency Policies, Procedures, and Restrictions on the Routine Use A. The Privacy Act permits us to disclose information without an individual's consent if the information is to be used for a purpose that is compatible with the purpose(s) for which the information was collected. Any such disclosure of data is known as a “routine use.” The government will only release PECOS information that can be associated with an individual as provided for under “Section III. Proposed Routine Use Disclosures of Data in the System.” Both identifiable and non-identifiable data may be disclosed under a routine use. We will only collect the minimum personal data necessary to achieve the purpose of PECOS. CMS has the following policies and procedures concerning disclosures of information that will be maintained in the system. Disclosure of information from this system will be approved only to the extent necessary to accomplish the purpose of the disclosure and only after CMS: 1. Determines that the use or disclosure is consistent with the reason that the data is being collected, *e.g.* , to collect information for an applying provider/supplier and record the associations between the applicant and those who have an ownership or control interest in the entity. 2. Determines: a. That the purpose for which the disclosure is to be made can only be accomplished if the record is provided in individually identifiable form; b. That the purpose for which the disclosure is to be made is of sufficient importance to warrant the potential effect and/or risk on the privacy of the individual that additional exposure of the record might bring; and c. That there is a strong probability that the proposed use of the data would in fact accomplish the stated purpose(s). 3. Requires the information recipient to: a. Establish administrative, technical, and physical safeguards to prevent unauthorized use of disclosure of the record; and b. Remove or destroy at the earliest time all patient-identifiable information. 4. Determines that the data are valid and reliable. III. Proposed Routine Use Disclosures of Data in the System A. The Privacy Act allows us to disclose information without an individual's consent if the information is to be used for a purpose that is compatible with the purpose(s) for which the information was collected. Any such compatible use of data is known as a “routine use.” The proposed routine uses in this system meet the compatibility requirement of the Privacy Act. We are proposing to establish the following routine use disclosures of information maintained in the system: 1. To support agency contractors, consultants, or grantees, who have been engaged by the agency to assist in the performance of a service related to this collection and who need to have access to the records in order to perform the activity. We contemplate disclosing information under this routine use only in situations in which CMS may enter into a contractual or similar agreement with a third party to assist in accomplishing CMS function relating to purposes for this system. CMS occasionally contracts out certain of its functions when doing so would contribute to effective and efficient operations. CMS must be able to give a contractor, consultant or grantee whatever information is necessary for the contractor or consultant to fulfill its duties. In these situations, safeguards are provided in the contract prohibiting the contractor, consultant or grantee from using or disclosing the information for any purpose other than that described in the contract and requires the contractor, consultant or grantee to return or destroy all information at the completion of the contract. 2. To assist another Federal or state agency, agency of a state government, an agency established by state law, or its fiscal agent to: a. Contribute to the accuracy of CMS's proper payment of Medicare benefits, b. Enable such agency to administer a Federal health benefits program, or as necessary to enable such agency to 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 c. Evaluate and monitor the quality of home health care and contribute to the accuracy of health insurance operations. Other Federal or state agencies in their administration of a Federal health program may require PECOS information in order to support evaluations and monitoring of reimbursement for services provided. 3. To assist an individual or organization for research, evaluation or epidemiological projects related to the prevention of disease or disability, or the restoration or maintenance of health, and for payment related projects. The collected data will provide the research, evaluation and epidemiological projects a broader, longitudinal, national perspective of the data. CMS anticipates that many researchers will have legitimate requests to use these data in projects that could ultimately improve the care provided to Medicare patients and the policy that governs the care. CMS understands the concerns about the privacy and confidentiality of the release of data for a research use. Disclosure of data for research and evaluation purposes may involve aggregate data rather than individual-specific data. 4. To support the Department of Justice (DOJ), court or adjudicatory body when: a. The agency or any component thereof, or b. Any employee of the agency in his or her official capacity, or c. Any employee of the agency in his or her individual capacity where the DOJ has agreed to represent the employee, or d. The United States Government, is a party to litigation or has an interest in such litigation, and by careful review, CMS 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. Whenever CMS is involved in litigation, and occasionally when another party is involved in litigation and CMS's policies or operations could be affected by the outcome of the litigation, CMS would be able to disclose information to the DOJ, court or adjudicatory body involved. 5. To assist a CMS contractor (including, but not necessarily limited to fiscal intermediaries and carriers) that assists in the administration of a CMS-administered health benefits program, or to a grantee of a CMS-administered grant program, when disclosure is deemed reasonably necessary by CMS 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 program. We contemplate disclosing information under this routine use only in situations in which CMS may enter into a contractual relationship or grant with a third party to assist in accomplishing CMS functions relating to the purpose of combating fraud, waste, and abuse. CMS occasionally contracts out certain of its functions and makes grants when doing so would contribute to effective and efficient operations. CMS must be able to give a contractor or grantee whatever information is necessary for the contractor or grantee to fulfill its duties. In these situations, safeguards are provided in the contract prohibiting the contractor or grantee from using or disclosing the information for any purpose other than that described in the contract and requiring the contractor or grantee to return or destroy all information. 6. To assist another Federal agency or to 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 that 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 CMS 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. Other agencies may require PECOS information for the purpose of combating fraud, waste, and abuse in such Federally funded programs. IV. Safeguards CMS has safeguards in place for authorized users and monitors such users to ensure against excessive or unauthorized use. Personnel having access to the system have been trained in the Privacy Act and information security requirements. Employees who maintain records in this system are instructed not to release data until the intended recipient agrees to implement appropriate management, operational and technical safeguards sufficient to protect the confidentiality, integrity and availability of the information and information systems and to prevent unauthorized access. This system will conform to all applicable Federal laws and regulations and Federal, HHS, and CMS policies and standards as they relate to information security and data privacy. These laws and regulations may apply but are not limited to: the Privacy Act of 1974; the Federal Information Security Management Act of 2002; the Computer Fraud and Abuse Act of 1986; the Health Insurance Portability and Accountability Act of 1996; the E-Government Act of 2002, the Clinger-Cohen Act of 1996; the Medicare Modernization Act of 2003, and the corresponding implementing regulations. OMB Circular A-130, Management of Federal Resources, Appendix III, Security of Federal Automated Information Resources also applies. Federal, HHS, and CMS policies and standards include but are not limited to: all pertinent National Institute of Standards and Technology publications; the HHS Information Systems Program Handbook and the CMS Information Security Handbook. V. Effects of the Modified System of Records on Individual Rights CMS proposes to modify this system in accordance with the principles and requirements of the Privacy Act and will collect, use, and disseminate information only as prescribed therein. Data in this system will be subject to the authorized releases in accordance with the routine uses identified in this system of records. CMS will take precautionary measures (see item IV above) to minimize the risks of unauthorized access to the records and the potential harm to individual privacy or other personal or property rights of patients whose data are maintained in the system. CMS will collect only that information necessary to perform the system's functions. In addition, CMS will make disclosure from the proposed system only with consent of the subject individual, or his/her legal representative, or in accordance with an applicable exception provision of the Privacy Act. CMS, therefore, does not anticipate an unfavorable effect on individual privacy as a result of information relating to individuals. Dated: October 4, 2006. Charlene Frizzera, Acting Chief Operating Officer, Centers for Medicare & Medicaid Services. System No. 09-70-0532 SYSTEM NAME: “Provider Enrollment, Chain, and Ownership System (PECOS), HHS/CMS/OFM” SECURITY CLASSIFICATION: Level Three Privacy Act Sensitive Data SYSTEM LOCATION: The Centers for Medicare & Medicaid Services
(CMS)Data Center, 7500 Security Boulevard, North Building, First Floor, Baltimore, Maryland 21244- 1850 and South Building, Baltimore, Maryland 21244-1850. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: PECOS will collect information provided by an applicant related to identity, qualifications, practice locations, ownership, billing agency information, reassignment of benefits, electronic funds transfer, the national provider identifier
(NPI)and related organizations. PECOS will also maintain information on business owners, chain home offices and provider/chain associations, managing/directing employees, partners, authorized and delegated officials, supervising physicians of the supplier, staffing companies, ambulance vehicle information, and/or interpreting physicians and related technicians. CATEGORIES OF RECORDS IN THE SYSTEM: This system of records will contain the names, social security numbers (SSN), date of birth (DOB), and employer identification numbers
(EIN)and NPI's for each disclosing entity, owners, as well as managing/directing employees, with 5 percent or more ownership or control interest. Managing/directing employees include general manager, business managers, administrators, directors, and other individuals who exercise operational or managerial control over the provider/supplier. The system will also contain Medicare identification numbers ( *i.e.,* UPIN, OSCAR, PIN and the NPI), demographic data, professional data, past and present business history as well as information regarding any adverse actions such as exclusions, sanctions, and felonious behavior. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The Authority for maintenance of the system is given under provisions of sections 1102(a) (Title 42 U.S.C. 1302(a)), 1128 (42 U.S.C. 1320a-7), 1814(a)) (42 U.S.C. 1395f(a)(1), 1815(a) (42 U.S.C. 1395g(a)), 1833(e) (42 U.S.C. 1395I(3)), 1871 (42 U.S.C. 1395hh), and 1886(d)(5)(F), (42 U.S.C. 1395ww(d)(5)(F) of the Social Security Act; 1842(r) (42 U.S.C. 1395u(r)); section 1124(a)(1) (42 U.S.C. 1320a-3(a)(1), and 1124A (42 U.S.C. 1320a-3a), section 4313, as amended, of the BBA of 1997; and section 31001(i) (31 U.S.C. 7701) of the DCIA (Pub. L. 104-134), as amended. PURPOSE(S) OF THE SYSTEM: The primary purpose of the SOR is to:
(1)Collect information for an applying provider/supplier and record the associations between the applicant and those who have an ownership or control interest in the entity;
(2)permit informed enrollment decisions to be made based on past and present business history, any reported exclusions, sanctions and felonious behavior at their location or in multiple contractor jurisdictions; and,
(3)ensure that correct payments are made under the Medicare program. Information retrieved from this SOR will also be disclosed to:
(1)Support regulatory, reimbursement, and policy functions performed within the Agency or by a contractor, consultant, or CMS grantee;
(2)assist another Federal or state agency, agency of a state government, an agency established by state law, or its fiscal agent;
(3)assist an individual or organization for research, evaluation, or epidemiological projects;
(5)support litigation involving the Agency; and
(5)combat fraud, waste, and abuse in certain health benefits programs. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OR USERS AND THE PURPOSES OF SUCH USES: The Privacy Act allows us to disclose information without an individual's consent if the information is to be used for a purpose that is compatible with the purpose(s) for which the information was collected. Any such compatible use of data is known as a “routine use.” The proposed routine uses in this system meet the compatibility requirement of the Privacy Act. We are proposing to establish the following routine use disclosures of information maintained in the system: 1. To support agency contractors, consultants, or grantees, who have been engaged by the agency to assist in the performance of a service related to this collection and who need to have access to the records in order to perform the activity. 2. To assist another Federal or state agency, agency of a state government, an agency established by state law, or its fiscal agent to: a. Contribute to the accuracy of CMS's proper payment of Medicare benefits, b. Enable such agency to administer a Federal health benefits program, or as necessary to enable such agency to 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 c. Evaluate and monitor the quality of home health care and contribute to the accuracy of health insurance operations. 3. To assist an individual or organization for research, evaluation or epidemiological projects related to the prevention of disease or disability, or the restoration or maintenance of health, and for payment related projects. 4. To support the Department of Justice (DOJ), court or adjudicatory body when: a. The agency or any component thereof, or b. Any employee of the agency in his or her official capacity, or c. Any employee of the agency in his or her individual capacity where the DOJ has agreed to represent the employee, or d. The United States Government, is a party to litigation or has an interest in such litigation, and by careful review, CMS 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 assist a CMS contractor (including, but not necessarily limited to fiscal intermediaries and carriers) that assists in the administration of a CMS-administered health benefits program, or to a grantee of a CMS-administered grant program, when disclosure is deemed reasonably necessary by CMS 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 program. 6. To assist another Federal agency or to 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 that 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 CMS 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. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: All records are stored on paper and magnetic disk. RETRIEVABILITY: Magnetic media records are retrieved by the name of the employees or other authorized individual and/or card key number. Paper records are retrieved alphabetically by name. SAFEGUARDS: CMS has safeguards in place for authorized users and monitors such users to ensure against excessive or unauthorized use. Personnel having access to the system have been trained in the Privacy Act and information security requirements. Employees who maintain records in this system are instructed not to release data until the intended recipient agrees to implement appropriate management, operational and technical safeguards sufficient to protect the confidentiality, integrity and availability of the information and information systems and to prevent unauthorized access. This system will conform to all applicable Federal laws and regulations and Federal, HHS, and CMS policies and standards as they relate to information security and data privacy. These laws and regulations may apply but are not limited to: the Privacy Act of 1974; the Federal Information Security Management Act of 2002; the Computer Fraud and Abuse Act of 1986; the Health Insurance Portability and Accountability Act of 1996; the E-Government Act of 2002, the Clinger-Cohen Act of 1996; the Medicare Modernization Act of 2003, and the corresponding implementing regulations. OMB Circular A-130, Management of Federal Resources, Appendix III, Security of Federal Automated Information Resources also applies. Federal, HHS, and CMS policies and standards include but are not limited to: all pertinent National Institute of Standards and Technology publications; the HHS Information Systems Program Handbook and the CMS Information Security Handbook. RETENTION AND DISPOSAL: CMS will retain identifiable data for a total period of 15 years from the date the information was collected. SYSTEM MANAGERS AND ADDRESS: Director, Division of Provider/Supplier Enrollment, Office of Financial Management, CMS, 7500 Security Boulevard, Baltimore, Maryland 21244-1850. NOTIFICATION PROCEDURE: For purpose of access, the subject individual should write to the system manager who will require the system name, SSN, EIN, and for verification purposes, the subject individual's name (woman's maiden name, if applicable). RECORD ACCESS PROCEDURE: For purpose of access, use the same procedures outlined in Notification Procedures above. Requestors should also reasonably specify the record contents being sought. (These procedures are in accordance with Department regulation 45 CFR 5b.5(a)(2).) CONTESTING RECORD PROCEDURES: The subject individual should contact the system manager named above, and reasonably identify the record and specify the information to be contested. State the corrective action sought and the reasons for the correction with supporting justification. (These procedures are in accordance with Department regulation 45 CFR 5b.7.) RECORD SOURCE CATEGORIES: Information contained in this system is received from the Form(s) CMS 855A, “Medicare Enrollment Application for Institutional Providers,” CMS 855B, “Medicare Enrollment Application for Clinic/Group Practices and Certain Other Providers,” CMS 855I, “Medicare Enrollment Application for Physician and Non-Physician Practitioners,” CMS 855R, “Medicare Enrollment Application for Reassignment of Medicare Benefits,” and CMS 855S, “Medicare Enrollment Application for Durable Medial Equipment, Prosthetics, Orthotics, and Supplies (DMEPOS).” SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. [FR Doc. E6-16954 Filed 10-12-06; 8:45 am] BILLING CODE 4120-03-P DEPARTMENT OF HEALTH AND HUMAN SERVICES Centers for Medicare & Medicaid Services Privacy Act of 1974; Report of a Modified or Altered System of Records AGENCY: Department of Health and Human Services (HHS), Centers for Medicare & Medicaid Services (CMS). ACTION: Notice of a Modified or Altered System of Records (SOR). SUMMARY: In accordance with the Privacy Act of 1974, we are proposing to modify or alter an existing SOR, “Evaluations of the Medicaid Reform Demonstrations (EMRD),” System No. 09-70-0068, last published at 67 **Federal Register** 2216 (January 16, 2002). CMS is reorganizing its databases because of the impact of the Medicare Prescription Drug, Improvement, and Modernization Act of 2003
(MMA)(Public Law (Pub. L.) 108-173) provisions and the large volume of information the Agency collects to administer the Medicare program. We propose to assign a new CMS identification number to this system to simplify the obsolete and confusing numbering system originally designed to identify the Bureau, Office, or Center that maintained the system of records. The new assigned identifying number for this system should read: System No. 09-70-0523. We propose to modify existing routine use number 1 that permits disclosure to agency contractors and consultants to include disclosure to CMS grantees who perform a task for the agency. CMS grantees, charged with completing projects or activities that require CMS data to carry out that activity, are classified separate from CMS contractor and/or consultants. The modified routine use will remain as routine use number 1. We propose to combine routine uses 2 and 3 to assist another Federal or state agency with information to contribute to the accuracy of CMS's proper payment of Medicare benefits, enable such agency to administer a Federal health benefits program, or to enable such agency to fulfill a requirement of Federal statute or regulation that implements a health benefits program funded in whole or in part with Federal funds. As they were duplicative of each other. We will delete routine use number 4, authorizing disclosure to support constituent requests made to a Congressional representative. If an authorization for the disclosure has been obtained from the data subject, then no routine use is needed. The Privacy Act allows for disclosures with the “prior written consent” of the data subject. We will broaden the scope of routine uses number 6 and 7, authorizing disclosures to combat fraud and abuse in the Medicare and Medicaid programs to include combating “waste” which refers to specific beneficiary/recipient practices that result in unnecessary cost to all Federally-funded health benefit programs. We are modifying the language in the routine uses to provide a proper explanation as to the need for the routine use and to provide clarity to CMS's intention to disclose individual-specific information contained in this system. The routine uses will then be prioritized and reordered according to their usage. We will also take the opportunity to update any sections of the system that were affected by the recent reorganization or MMA provisions and to update language in the administrative sections to correspond with language used in other CMS SORs. The primary purpose of this modified system is to collect and provide data necessary to evaluate a series of Medicaid Reform Demonstrations that rely on waivers of section 1115 of the Social Security Act (the Act). This system will allow measurement of the effects of the demonstration on beneficiaries' eligibility, access to care, utilization, health care costs, satisfaction with care, quality of care and health status. The information retrieved from this system of records will also be disclosed to:
(1)Support program administration, reporting, and regulator, reimbursement, and policy functions performed within the CMS or by a contractor, consultant, or grantee;
(2)assist another Federal or state agency with information to contribute to the accuracy of CMS's proper payment of Medicare benefits, enable such agency to administer a Federal health benefits program, or to enable such agency to fulfill a requirement of Federal statute or regulation that implements a health benefits program funded in whole or in part with Federal funds;
(3)support an individual or organization for a research project or in support of an evaluation project related to the prevention of disease or disability, the restoration or maintenance of health, or payment related projects;
(4)support litigation involving the agency; and
(5)combat fraud, waste, and abuse in a Federally-funded health benefits programs. We have provided background information about the modified system in the Supplementary Information section below. Although the Privacy Act requires only that CMS provide an opportunity for interested persons to comment on the modified or altered routine uses, CMS invites comments on all portions of this notice. See Effective Dates section for comment period. DATES: *Effective Date:* CMS filed a modified or altered SOR report with the Chair of the House Committee on Government Reform and Oversight, the Chair of the Senate Committee on Homeland Security & Governmental Affairs, and the Administrator, Office of Information and Regulatory Affairs, Office of Management and Budget
(OMB)on October 5, 2006. To ensure that all parties have adequate time in which to comment, the modified system will become effective 30 days from the publication of the notice, or 40 days from the date it was submitted to OMB and the Congress, whichever is later. We may defer implementation of this system or one or more of the routine use statements listed below if we receive comments that persuade us to defer implementation. ADDRESSES: The public should address comments to the CMS Privacy Officer, Division of Privacy Compliance, Enterprise Architecture and Strategy Group, CMS, Mail Stop N2-04-27, 7500 Security Boulevard, Baltimore, Maryland 21244-1850. Comments received will be available for review at this location, by appointment, during regular business hours, Monday through Friday from 9 a.m.-3 p.m., eastern daylight time. FOR FURTHER INFORMATION CONTACT: Paul J. Boben, Division of State Program Research, Research and Evaluation Group, Office of Research, Development and Information, CMS, Mail Stop C3-19-07, 7500 Security Boulevard, Baltimore, Maryland 21244-1850. He can also be reached by telephone at 410-786-6629, or via e-mail at *Paul.Boben@cms.hhs.gov.* SUPPLEMENTARY INFORMATION: This system was last published in the **Federal Register**
(FR)at 67 FR 2216 (January 16, 2002). The EMRD SOR provides data necessary to evaluate CMS' Evaluation of the Medicaid Reform Demonstrations, as part of this effort individually identifiable data will be used to analyze the effects of the demonstration on beneficiary eligibility, access to care, utilization, health care costs, satisfaction with care, quality of care, and health status. I. Description of the Modified or Altered System of Records A. Statutory and Regulatory Basis for SOR Authority for maintenance of the system is given under 42 United States Code (U.S.C.) 1315 § 1115, and 42 U.S.C. 1395ll § 1875(a) of the Social Security Act. B. Collection and Maintenance of Data in the System EMRD contains information on demonstration participants and comparison group members and their experiences in accessing health care before, during, and after the demonstration period. Information collected in the EMRD contains, but is not limited to, name, address, phone number, social security number, health insurance claim number, Medicaid identification number, gender, ethnicity, date of birth, employment, health care coverage, diagnostic and health status information, utilization and cost of health care services, and responses to survey or other types of data collection methods II. Agency Policies, Procedures, and Restrictions on the Routine Use A. Agency Policies, Procedures, and Restrictions on the Routine Use The Privacy Act permits us to disclose information without an individual's consent if the information is to be used for a purpose that is compatible with the purpose(s) for which the information was collected. Any such disclosure of data is known as a “routine use.” The government will only release EMRD information that can be associated with an individual as provided for under “Section III. Proposed Routine Use Disclosures of Data in the System.” Both identifiable and non-identifiable data may be disclosed under a routine use. We will only collect the minimum personal data necessary to achieve the purpose of EMRD. CMS has the following policies and procedures concerning disclosures of information that will be maintained in the system. Disclosure of information from this system will be approved only to the extent necessary to accomplish the purpose of the disclosure and only after CMS: 1. Determines that the use or disclosure is consistent with the reason that the data is being collected, *e.g.* , to collect and provide data necessary to evaluate a series of Medicaid Reform Demonstrations that rely on waivers of section 1115 of the Act. This system will allow measurement of the effects of the demonstration on beneficiaries' eligibility, access to care, utilization, health care costs, satisfaction with care, quality of care and health status. 2. Determines that: a. The purpose for which the disclosure is to be made can only be accomplished if the record is provided in individually identifiable form; b. The purpose for which the disclosure is to be made is of sufficient importance to warrant the effect and/or risk on the privacy of the individual that additional exposure of the record might bring; and c. There is a strong probability that the proposed use of the data would in fact accomplish the stated purpose(s). 3. Requires the information recipient to: a. Establish administrative, technical, and physical safeguards to prevent unauthorized use of disclosure of the record; b. Remove or destroy at the earliest time all patient-identifiable information; and c. Agree to not use or disclose the information for any purpose other than the stated purpose under which the information was disclosed. 4. Determines that the data are valid and reliable. III. Proposed Routine Use Disclosures of Data in the System A. The Privacy Act allows us to disclose information without an individual's consent if the information is to be used for a purpose that is compatible with the purpose(s) for which the information was collected. Any such compatible use of data is known as a “routine use.” The proposed routine uses in this system meet the compatibility requirement of the Privacy Act. We are proposing to establish the following routine use disclosures of information maintained in the system: 1. To support agency contractors, consultants, or grantee who have been contracted by the agency to assist in the performance of a service related to this system and who need to have access to the records in order to perform the activity. We contemplate disclosing this information under this routine use only in situations in which CMS may enter into a contractual or similar agreement with a third party to assist in accomplishing a CMS function relating to purposes for this system. CMS occasionally contracts out certain of its functions when doing so would contribute to effective and efficient operations. CMS must be able to give a contractor, consultant, or grantee whatever information is necessary for the contractor, consultant, or grantee to fulfill its duties. In these situations, safeguards are provided in the contract prohibiting the contractor, consultant, or grantee from using or disclosing the information for any purpose other than that described in the contract and requires the contractor, consultant or grantee to return or destroy all information at the completion of the contract. 2. To enable another Federal or state agency to: a. Contribute to the accuracy of CMS's proper payment of Medicare benefits; b. Enable such agency to administer a Federal health benefits program, or, as necessary, to enable such agency to 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 c. Assist Federal/state Medicaid programs within the state. CMS, and other Federal or state and local agencies, all contribute data to the databases included in this system, and (both separately and jointly) have an interest in performing program evaluation, conducting research and maintaining program integrity. 3. To support an individual or organization for a research project or in support of an evaluation project related to the prevention of disease or disability, the restoration or maintenance of health, or payment related projects. The EMRD data will provide for research or in support of evaluation projects, a broader, national perspective of the status of Medicare, Medicaid and SCHIP beneficiaries. CMS anticipates that many researchers will have legitimate requests to use these data in projects that could ultimately improve the care provided to Medicare, Medicaid and SCHIP beneficiaries and the policy that governs the care. 4. To support the Department of Justice (DOJ), court or adjudicatory body when: a. The agency or any component thereof, or b. Any employee of the agency in his or her official capacity, or c. Any employee of the agency in his or her individual capacity where the DOJ has agreed to represent the employee, or d. The United States Government is a party to litigation or has an interest in such litigation, and by careful review, CMS 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. Whenever CMS is involved in litigation, and occasionally when another party is involved in litigation and CMS' policies or operations could be affected by the outcome of the litigation, CMS would be able to disclose information to the DOJ, court or adjudicatory body involved. 5. To support a CMS contractor (including, but not necessarily limited to fiscal intermediaries and carriers) that assists in the administration of a CMS-administered health benefits program, or to a grantee of a CMS-administered grant program, when disclosure is deemed reasonably necessary by CMS 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 program. We contemplate disclosing information under this routine use only in situations in which CMS may enter into a contractual relationship or grant with a third party to assist in accomplishing CMS functions relating to the purpose of combating fraud, waste, and abuse. CMS occasionally contracts out certain of its functions and makes grants when doing so would contribute to effective and efficient operations. CMS must be able to give a contractor or grantee whatever information is necessary for the contractor or grantee to fulfill its duties. In these situations, safeguards are provided in the contract prohibiting the contractor or grantee from using or disclosing the information for any purpose other than that described in the contract and requiring the contractor or grantee to return or destroy all information. 6. To support another Federal agency or to 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 that 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 CMS 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. Other agencies may require EMRD information for the purpose of combating fraud, waste, and abuse in such federally-funded programs. B. Additional Provisions Affecting Routine Use Disclosures: To the extent this system contains Protected Health Information
(PHI)as defined by HHS regulation “Standards for Privacy of Individually Identifiable Health Information” (45 CFR parts 160 and 164, Subparts A and E) 65 FR 82462 (12-28-00). Disclosures of such PHI that are otherwise authorized by these routine uses may only be made if, and as, permitted or required by the “Standards for Privacy of Individually Identifiable Health Information.” (See 45 CFR 164.512(a)(1)). In addition, our policy will be to prohibit release even of data not directly identifiable, except pursuant to one of the routine uses or if required by law, if we determine there is a possibility that an individual can be identified through implicit deduction based on small cell sizes (instances where the patient population is so small that individuals could, because of the small size, use this information to deduce the identity of the beneficiary). IV. Safeguards CMS has safeguards in place for authorized users and monitors such users to ensure against excessive or unauthorized use. Personnel having access to the system have been trained in the Privacy Act and information security requirements. Employees who maintain records in this system are instructed not to release data until the intended recipient agrees to implement appropriate management, operational and technical safeguards sufficient to protect the confidentiality, integrity and availability of the information and information systems and to prevent unauthorized access. This system will conform to all applicable Federal laws and regulations and Federal, HHS, and CMS policies and standards as they relate to information security and data privacy. These laws and regulations may apply but are not limited to: the Privacy Act of 1974; the Federal Information Security Management Act of 2002; the Computer Fraud and Abuse Act of 1986; the Health Insurance Portability and Accountability Act of 1996; the E-Government Act of 2002, the Clinger-Cohen Act of 1996; the Medicare Modernization Act of 2003, and the corresponding implementing regulations. OMB Circular A-130, Management of Federal Resources, Appendix III, Security of Federal Automated Information Resources also applies. Federal, HHS, and CMS policies and standards include but are not limited to: all pertinent National Institute of Standards and Technology publications; the HHS Information Systems Program Handbook and the CMS Information Security Handbook. V. Effects of the Modified or Altered System of Records on Individual Rights CMS proposes to modify this system in accordance with the principles and requirements of the Privacy Act and will collect, use, and disseminate information only as prescribed therein. Data in this system will be subject to the authorized releases in accordance with the routine uses identified in this system of records. CMS will take precautionary measures to minimize the risks of unauthorized access to the records and the potential harm to individual privacy or other personal or property rights of patients whose data are maintained in the system. CMS will collect only that information necessary to perform the system's functions. In addition, CMS will make disclosure from the proposed system only with consent of the subject individual, or his/her legal representative, or in accordance with an applicable exception provision of the Privacy Act. CMS, therefore, does not anticipate an unfavorable effect on individual privacy as a result of information relating to individuals. Dated: October 4, 2006. Charlene Frizzera, Acting Chief Operating Officer, Centers for Medicare & Medicaid Services. System No. 09-70-0523 SYSTEM NAME: “Evaluations of the Medicaid Reform Demonstrations (EMRD),” HHS/CMS/ORDI SECURITY CLASSIFICATION: Level Three Privacy Act Sensitive Data SYSTEM LOCATION: The Centers for Medicare & Medicaid Services
(CMS)Data Center, 7500 Security Boulevard, North Building, First Floor, Baltimore, Maryland 21244-1850 and at various contractor sites and at CMS Regional Offices. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: EMRD contains information on demonstration participants and comparison group members and their experiences in access health care before, during, and after the demonstration period. CATEGORIES OF RECORDS IN THE SYSTEM: Information collected in the EMRD contains, but is not limited to, name, address, phone number, social security number (SSN), health insurance claim number (HICN), Medicaid identification number, gender, ethnicity, date of birth, employment, health care coverage, diagnostic and health status information, utilization and cost of health care services, and responses to survey or other types of data collection methods. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Authority for maintenance of the system is given under 42 United States Code (U.S.C.) 1315 § 1115, and 42 U.S.C. 1395ll § 1875(a) of the Social Security Act. PURPOSE(S) OF THE SYSTEM: The primary purpose of this modified system is to collect and provide data necessary to evaluate a series of Medicaid Reform Demonstrations that rely on waivers of section 1115 of the Social Security Act (the Act). This system will allow measurement of the effects of the demonstration on beneficiaries' eligibility, access to care, utilization, health care costs, satisfaction with care, quality of care and health status. The information retrieved from this system of records will also be disclosed to:
(1)Support program administration, reporting, and regulator, reimbursement, and policy functions performed within the CMS or by a contractor, consultant, or grantee;
(2)assist another Federal or state agency with information to contribute to the accuracy of CMS's proper payment of Medicare benefits, enable such agency to administer a Federal health benefits program, or to enable such agency to fulfill a requirement of Federal statute or regulation that implements a health benefits program funded in whole or in part with Federal funds;
(3)support an individual or organization for a research project or in support of an evaluation project related to the prevention of disease or disability, the restoration or maintenance of health, or payment related projects;
(4)support litigation involving the agency; and
(5)combat fraud, waste, and abuse in a Federally-funded health benefits programs. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OR USERS AND THE PURPOSES OF SUCH USES: A. The Privacy Act allows us to disclose information without an individual's consent if the information is to be used for a purpose that is compatible with the purpose(s) for which the information was collected. Any such compatible use of data is known as a “routine use.” The proposed routine uses in this system meet the compatibility requirement of the Privacy Act. We are proposing to establish the following routine use disclosures of information maintained in the system: 1. To support agency contractors, consultants, or grantee who have been contracted by the agency to assist in the performance of a service related to this system and who need to have access to the records in order to perform the activity. 2. To enable another Federal or state agency to: a. Contribute to the accuracy of CMS's proper payment of Medicare benefits; b. Enable such agency to administer a Federal health benefits program, or, as necessary, to enable such agency to 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 c. Assist Federal/state Medicaid programs within the state. 3. To support an individual or organization for a research project or in support of an evaluation project related to the prevention of disease or disability, the restoration or maintenance of health, or payment related projects. 4. To support the Department of Justice (DOJ), court or adjudicatory body when: a. The agency or any component thereof, or b. Any employee of the agency in his or her official capacity, or c. Any employee of the agency in his or her individual capacity where the DOJ has agreed to represent the employee, or d. The United States Government is a party to litigation or has an interest in such litigation, and by careful review, CMS 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 support a CMS contractor (including, but not necessarily limited to fiscal intermediaries and carriers) that assists in the administration of a CMS-administered health benefits program, or to a grantee of a CMS-administered grant program, when disclosure is deemed reasonably necessary by CMS 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 program. 6. To support another Federal agency or to 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 that 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 CMS 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. B. Additional Provisions Affecting Routine Use Disclosures: To the extent this system contains Protected Health Information
(PHI)as defined by HHS regulation “Standards for Privacy of Individually Identifiable Health Information” (45 CFR parts 160 and 164, Subparts A and E) 65 FR 82462 (12-28-00). Disclosures of such PHI that are otherwise authorized by these routine uses may only be made if, and as, permitted or required by the “Standards for Privacy of Individually Identifiable Health Information.” (See 45 CFR 164.512(a) (1)). In addition, our policy will be to prohibit release even of data not directly identifiable, except pursuant to one of the routine uses or if required by law, if we determine there is a possibility that an individual can be identified through implicit deduction based on small cell sizes (instances where the patient population is so small that individuals could, because of the small size, use this information to deduce the identity of the beneficiary). POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: All records are stored on paper or electronic media. RETRIEVABILITY: Information can be retrieved using the beneficiary's name, Medicaid identification number, HICN, or SSN. SAFEGUARDS: CMS has safeguards in place for authorized users and monitors such users to ensure against excessive or unauthorized use. Personnel having access to the system have been trained in the Privacy Act and information security requirements. Employees who maintain records in this system are instructed not to release data until the intended recipient agrees to implement appropriate management, operational and technical safeguards sufficient to protect the confidentiality, integrity and availability of the information and information systems and to prevent unauthorized access. This system will conform to all applicable Federal laws and regulations and Federal, HHS, and CMS policies and standards as they relate to information security and data privacy. These laws and regulations may apply but are not limited to: the Privacy Act of 1974; the Federal Information Security Management Act of 2002; the Computer Fraud and Abuse Act of 1986; the Health Insurance Portability and Accountability Act of 1996; the E-Government Act of 2002, the Clinger-Cohen Act of 1996; the Medicare Modernization Act of 2003, and the corresponding implementing regulations. OMB Circular A-130, Management of Federal Resources, Appendix III, Security of Federal Automated Information Resources also applies. Federal, HHS, and CMS policies and standards include but are not limited to: all pertinent National Institute of Standards and Technology publications; the HHS Information Systems Program Handbook and the CMS Information Security Handbook. RETENTION AND DISPOSAL: CMS will retain information for a total period not to exceed 10 years. All claims-related records are encompassed by the document preservation order and will be retained until notification is received from DOJ. SYSTEM MANAGER(S) AND ADDRESS: Director, Division of State Program Research, Research and Evaluation Group, Office of Research, Development and Information, CMS, Mail Stop C3-19-07, 7500 Security Boulevard, Baltimore, Maryland 21244-1850. NOTIFICATION PROCEDURE: For purpose of access, the subject individual should write to the system manager who will require the system name, HICN, address, date of birth, and gender, and for verification purposes, the subject individual's name (woman's maiden name, if applicable), and SSN. Furnishing the SSN is voluntary, but it may make searching for a record easier and prevent delay. RECORD ACCESS PROCEDURE: For purpose of access, use the same procedures outlined in Notification Procedures above. Requestors should also specify the record contents being sought. (These procedures are in accordance with department regulation 45 CFR 5b.5(a)(2)). CONTESTING RECORDS PROCEDURES: The subject individual should contact the system manager named above, and reasonably identify the records and specify the information to be contested. State the corrective action sought and the reasons for the correction with supporting justification. (These Procedures are in accordance with Department regulation 45 CFR 5b.7). RECORDS SOURCE CATEGORIES: Sources on information contained in this system include: State Medicaid Management Information Systems, managed care organizations, fee-for-service providers, surveys of demonstration participants or providers and comparison group members, medical records, Social Security Administration databases, vital statistics and other relevant data systems. SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: None. [FR Doc. E6-16955 Filed 10-12-06; 8:45 am] BILLING CODE 4120-03-P DEPARTMENT OF HEALTH AND HUMAN SERVICES Food and Drug Administration [Docket No. 2006N-0136] Agency Information Collection Activities; Submission for Office of Management and Budget Review; Comment Request; Interstate Shellfish Dealers Certificate AGENCY: Food and Drug Administration, HHS. ACTION: Notice. SUMMARY: The Food and Drug Administration
(FDA)is announcing that a proposed collection of information has been submitted to the Office of Management and Budget
(OMB)for review and clearance under the Paperwork Reduction Act of 1995. DATES: Fax written comments on the collection of information by November 13, 2006 ADDRESSES: To ensure that comments on the information collection are received, OMB recommends that written comments be faxed to the Office of Information and Regulatory Affairs, OMB, Attn: FDA Desk Officer, FAX: 202-395-6974. FOR FURTHER INFORMATION CONTACT: Jonna Capezzuto, Office of Management Programs (HFA-250), Food and Drug Administration, 5600 Fishers Lane, Rockville, MD 20857, 301-827-4659. SUPPLEMENTARY INFORMATION: In compliance with 44 U.S.C. 3507, FDA has submitted the following proposed collection of information to OMB for review and clearance. Interstate Shellfish Dealers Certificate—(OMB Control Number 0910-0021)—Extension Under 42 U.S.C. 243, FDA is required to cooperate with and aid State and local authorities in the enforcement of their health regulations and is authorized to assist States in the prevention and suppression of communicable diseases. Under this authority, FDA participates with State regulatory agencies, some foreign nations, and the molluscan shellfish industry in the National Shellfish Sanitation Program (NSSP). NSSP is a voluntary, cooperative program to promote the safety of molluscan shellfish by providing for the classification and patrol of shellfish growing waters and for the inspection and certification of shellfish processors. Each participating State and foreign nation monitors its molluscan shellfish processors and issues certificates for those that meet the State or foreign shellfish control authority's criteria. Each participating State and nation provides a certificate of its certified shellfish processors to FDA on Form FDA 3038, “Interstate Shellfish Dealer's Certificate.” FDA uses this information to publish the “Interstate Certified Shellfish Shippers List,” a monthly comprehensive listing of all molluscan shellfish processors certified under the cooperative program. If FDA did not collect the information necessary to compile this list, participating States would not be able to identify and keep out shellfish processed by uncertified processors in other States and foreign nations. Consequently, NSSP would not be able to control the distribution of uncertified and possibly unsafe shellfish in interstate commerce, and its effectiveness would be nullified. In the **Federal Register** of April 11, 2006 (71 FR 18339), FDA published a 60-day notice requesting public comment on the information collection provisions. No comments were received. FDA estimates the burden of this collection of information as follows: **Table 1.—Estimated Annual Reporting Burden** 1 FDA Form No. No. of Respondents Annual Frequency per Response Total Annual Responses Hours per Respondent Total Hours 3038 39 62 2,418 .10 242 1 There are no capital costs or operating and maintenance costs associated with this collection of information. This estimate is based on FDA's experience and the number of certificates received in the past 3 years. Dated: October 5, 2006. Jeffrey Shuren, Assistant Commissioner for Policy. [FR Doc. E6-16953 Filed 10-12-06; 8:45 am] BILLING CODE 4160-01-S DEPARTMENT OF HEALTH AND HUMAN SERVICES Indian Health Service Funding Opportunity Number: HHS-2007-IHS-TSGP-0002 Tribal Self-Governance Program; Negotiation Cooperative Agreement; New Funding Cycle for Fiscal Year 2007 *CFDA Number:* 93.210. *Key Dates:* Applications Due—November 16, 2006. Objective Review Committee to Evaluate Applications—December 7-8, 2006. Anticipation Project Start Date—January 15, 2007. I. Funding Opportunity Description The purpose of the program is to award cooperative agreements that provide negotiation resources to Tribes interested in participating in the Tribal Self-Governance Program
(TSGP)as authorized by Title V, Tribal Self-Governance Amendments of 2000 of the Indian Self-Determination and Education Assistance Act of Public Law (Pub. L.) 93-638, as amended. There is limited competition under this announcement because the authorizing legislation, Pub. L. 106-260, Title V, restricts eligibility to Tribes that meet specific criteria. (Refer to Section III. (1.) (A.), Eligible Applicants in this announcement.) The TSGP is designed to promote self-determination by allowing Tribes to assume more control of Indian Health Service
(IHS)programs and services through compacts negotiated with the IHS. The Negotiation Cooperative Agreement provides Tribes with funds to help cover the expenses involved in preparing for and negotiating with the IHS and assists eligible Indian Tribes to prepare for Compacts and Funding Agreements
(FAs)with an effective date of January 15, 2007. The Negotiation Cooperative Agreement provides resources to assist Indian Tribes to conduct negotiation activities that include but are not limited to: 1. Determine what programs, services, functions, and activities (PSFA's) will be negotiated. 2. Identification of Tribal shares that will be included in the FA. 3. Development of the terms and conditions that will be set forth in a Compact and Funding (FA). The award of a Negotiation Cooperative Agreement is not required as a prerequisite to enter the TSGP. Indian Tribes that have completed comparable health planning activities in previous years using Tribal resources but have not received a Tribal self-governance planning award are also eligible to apply. II. Award Information *Type of Award:* Cooperative Agreement. *Estimated Funds Available:* The total amount identified for Fiscal Year
(FY)2007 is $240,000 for approximately twelve
(12)Tribes to enter the TSGP negotiation process. *Anticipated Number of Awards:* The estimated number of awards to be funded is approximately 12. *Project Period:* 12 months. *Award Amount:* $20,000 per year. *Programmatic Involvement:* IHS TSGP funds will be awarded as cooperative agreements and will have substantial programmatic involvement to establish a process through which Tribes can effectively approach the IHS to identify Programs, Services, Functions and Activities (PSFA's) and associated funding that could be incorporated into their programs. The IHS roles and responsibilities will include: • Providing a description of PSFA's and associated funding at all levels, including funding formulas and methodologies related to determining Tribal shares. • Identification of IHS staff that will consult with applicants on methods currently used to manage and deliver health care. • Provide applicants with statutes, regulations and policies that provide authority for administering IHS programs, including contract support costs criteria for new or expanded programs. The Grantee roles and responsibilities are essential to the overall success of the project. Therefore the grantee must: • Determine the PSFA's and associated funding the Tribe may elect to assume. • Prepare to discuss each PSFA in comparison to the current level of services provided, so that an informed decision can be made on new programs assumption. • Develop a compact and FA to submit to the Agency Lead Negotiator prior to negotiations. III. Eligibility Information 1. Eligible Applicants To be eligible for a negotiation cooperative agreement under this announcement, an applicant must meet all of the following criteria: A. Be a Federally-recognized Tribe as defined in Title V, Pub. L. 106-260, Tribal Self-Governance Amendments of 2000, of the Indian Self-Determination and Education Assistance Act (the Act), Pub. L. 93-638, as amended. However, Alaska Native Villages or Alaska Native Village Corporations, who are located within the area served by an Alaska Native regional health entity already participating in compact status, are not eligible (Pub. L. 106-260, Title V, Section 12(a)(2)(b)). Those Tribes are represented by a self-governance Tribal consortium compact, within their area, may still be considered to participate in the TSGP. 2. Cost Sharing or Matching Funds The Self-Governance Negotiation Cooperative Agreement Announcement does not require matching funds or cost sharing to participate in the competitive grant process. 3. Other Requirements The following documentation is required (if applicable): A. This program is described at 93.210 in the *Catalog of Federal Domestic Assistance.* B. Request participation in self-governance by resolution by the governing body of the Indian Tribe. An Indian Tribe that is proposing a cooperative agreement affecting another Indian Tribe must include resolutions from all affected Tribes to be served. C. Tribal Resolution—A resolution of the Indian Tribe served by the project must accompany the application submission. For Tribal Consortia applying for a Negotiation Cooperative Agreement, individual Tribal Council Resolutions from all individual Tribes whose PSFAs will be compacted must be submitted. Draft resolutions are acceptable in lieu of an official resolution during the review process. However, an official signed Tribal resolution must be received by the Office of Tribal Self-Governance (OTSG), Attn: Jolene Aguilar, 801 Thompson Avenue, Suite 240, Rockville, MD 20852, before the Objective Review (December 6, 2006). If an official signed resolution is not submitted by December 6, 2006, the application will be considered incomplete and will be returned as unresponsive. *It is highly recommended that the Tribal resolution be sent by Federal Express for proof of receipt. D. Demonstrate, for three FY's, financial stability and financial management capability, which is defined as no uncorrected significant and material audit exceptions in the required annual audit of the Indian Tribe's self-determination contracts or self-governance funding agreements with any Federal agency. E. Grantees are required to submit a current version of the organization's audit report. Audit reports can be lengthy; therefore, the applicants may submit them separately via regular mail by the due date (November 16, 2006). If the grantee determines that the audit reports are not lengthy, the applicants may scan the documents and attach them to the electronic application. Applicants must submit two copies of the audits that reflect three previous fiscal years under separate cover directly to the Office of Tribal Self-Governance, Attn: Kevin C. Quinn, 801 Thompson Avenue, Suite 240, Rockville, MD 20852, referencing the Funding Opportunity Number, HHS-2007-IHS-TSGP-0002, as prescribed by Pub. L. 98-502, the Single Audit Act, as amended (see OMB Circular A-133, revised June 24, 1997, Audits of States, Local Governments, and Non-Profit Organizations). If this documentation is not submitted by the due date, the application will be considered as unresponsive and will not be considered. Applicants must include the grant tracking number assigned to their electronic submission by Grants.gov and the date submitted via Grants.gov in their cover letter transmitting the required audits for the previous three fiscal years. IV. Application and Submission Information 1. Application package and detailed instructions for this announcement can be found on Grants.gov ( *http://www.grants.gov* ) or at *http://www.ihs.gov/NonMedicalProgram/gogp/gogp_funding.asp.* Information regarding the electronic application process may be directed to Michelle G. Bulls, at
(301)443-6528 or via e-mail at *michelle.bulls@ihs.gov.* 2. Content and Form of Application Submission: A. All applications should: • Be single spaced. • Be typewritten. • Have consecutively numbered pages. • Use black type not smaller than 12 characters per one inch. • Be printed on one side only of standard size 8 1/2 ″ x 11″ paper. • Contain a narrative that does not exceed 7 typed pages that includes the sections listed below. (The 7 page narrative does not include the work plan, standard forms, Tribal resolution(s), table of contents, budget, budget justifications, narratives, and/or other appendix items.) Public Policy Requirements: All Federal-wide public policies apply to IHS cooperative agreements with exception of Lobbying and Discrimination. 3. Submission Dates and Times: Applications must be submitted on-line by November 16, 2006. Late applications not accepted for processing will be returned to the applicant and will not be considered for funding. 4. Intergovernmental Review: This funding opportunity is not subject to Executive Order 12372, “Intergovernmental Review of Federal Programs.” State approval is not required. 5. Funding Restrictions: A. Only one negotiation cooperative agreement will be awarded per applicant. B. Each negotiation cooperative agreement shall not exceed $20,000. The available funds are inclusive of direct and indirect costs. C. Division of Grants Operations will not acknowledge receipt of applications. 6. Other Submission Requirements: The application must comply with the following: A. Table of Contents B. Abstract (one page)—Summarizes the project. C. Application for Federal Assistance (SF-424, Rev. 09/03) D. Narrative (no more than 7 pages) and should include the following:
(1)Background information on the Tribe.
(2)Proposed scope of work, objectives, and activities that provide a description of what will be accomplished including a one-page Time Frame Chart. E. A line-item budget and narrative justification. F. Appendices to include:
(1)Resumes or position descriptions of key staff.
(2)Contractors/Consultants resumes or qualifications and scope of work.
(3)Current Indirect Cost Agreement.
(4)Organizational Chart (Optional) Electronic Transmission The preferred method for receipt of applications is electronic submission through Grants.gov. However, should any technical problems arise regarding the submission, please contact our Grants Policy Staff at
(301)443-6528 at least ten days prior to the application deadline. To submit an application electronically, please use the *http://www.Grants.gov* apply site. Download a copy of the application package, on the Grants.gov Web site, complete it offline and then upload and submit the application via the Grants.gov site. You may not e-mail an electronic copy of a cooperative agreement application to us. Please note the following: • Under the new IHS requirements, paper applications are not the preferred method. However, if you have technical problems submitting your application on-line, and you have contacted the Grants Policy Staff and advised them of the difficulties you are having submitting your application on-line, you may submit a paper application after you have downloaded the application package from Grants.gov, and sent it directly to the Division of Grants Operations, 801 Thompson Avenue, TMP 360, Rockville, MD 20852 by the due date, November 16, 2006. • When you enter the Grants.gov site, you will find information about submitting an application electronically through the site, as well as the hours of operation. We strongly recommend that you do not wait until the deadline date to begin the application process through Grants.gov. • To use Grants. gov, you, as the applicant, must have a DUNS Number and register in the Central Contractor Registry (CCR). You should allow a minimum of 10-15 days to complete CCR registration. See below on how to apply. • You must submit all documents electronically, including all information typically included on the SF-424 and all necessary assurances and certifications. • Your application must comply with any page limitation requirements described in the program announcement. • After you electronically submit your application, you will receive an automatic acknowledgment from Grants.gov that contains a Grants.gov tracking number. The Indian Health Service will retrieve your application from Grants. gov. • You may access the electronic application for this program on *http://www.Grants.gov.* • You must search for the downloadable application package by CFDA number. • To receive an application package, the applicant must provide the Funding Opportunity Number: HHS-2007-IHS-TSGP-0002. E-mail applications will not be accepted under this announcement. DUNS Number Beginning October 1, 2003, applicants were required to have a Dun and Bradstreet
(DUNS)number to apply for a grant or cooperative agreement from the Federal Government. The DUNS number is a nine-digit identification number, which uniquely identifies business entities. Obtaining a DUNS number is easy and there is no charge. To obtain a DUNS number, access *http://www.dunandbradstreet.com* or call 1-866-705-5711. Interested parties may wish to obtain their DUNS number by phone to expedite the process. Applications submitted electronically must also be registered with the Central Contractor Registry (CCR). A DUNS number is required before CCR registration can be completed. Many organizations may already have a DUNS number. Please use the number listed above to investigate whether or not your organization has a DUNS number. Registration with the CCR is free of charge. Applicants may register by calling 1-888-227-2423. Please review and complete the CCR “Registration Worksheet” located in the appendix of the TSGP Negotiation Cooperative Agreement application kit or on *http://www.grants.gov/CCRRegister.* More detailed information regarding these registration processes can be found at *http://www.grants.gov.* V. Application Review Information The instructions for preparing the application narrative also constitute the evaluation criteria for reviewing and scoring the application. Weights assigned to each section are noted in parentheses. 1. Criteria Demonstration of Previous Planning Activities (30 Points) Has the Indian Tribe determined the PSFAs to be assumed? Has the Indian Tribe determined it has the administrative infrastructure to support the assumption of the PSFAs? Are the results of what was learned or is being learned during the planning process clearly stated? Thoroughness of Approach (25 Points) Is a specific narrative provided regarding the direction the Indian Tribe plans to take in the TSGP? How will the Tribe demonstrate improved health and services? Are proposed time lines for negotiations indicated? Project Outcome (25 Points) What beneficial contributions are expected or anticipated for the Tribe? Is information provided on the services that will be assumed? What improvements will be made to manage the health care system? Are Tribal needs discussed in relation to the proposed programmatic alternatives and outcomes, which will serve the Tribal community? Administrative Capabilities (20 Points) Does the Indian Tribe clearly demonstrate knowledge and experience in the operation and management of health programs? Is the internal management and administrative infrastructure of the applicant described? Appendix Items • Work plan for proposed objectives. • Position descriptions for key staff. • Resumes of key staff that reflect current duties. • Consultant proposed scope of work (if applicable). • Indirect Cost Agreement. • Organizational chart (optional). • Audits. 2. Review and Selection Process In addition to the above criteria/requirements, applications are considered according to the following: A. Application Submission (Application Deadline: November 16, 2006). Applications submitted in advance of or by the deadline and verified by the tracking number will undergo a preliminary review to determine that: • The applicant and proposed project type is eligible in accordance with this cooperative agreement announcement. • The application is not a duplication of a previously funded project. • The application narrative, forms, and materials submitted meet the requirements of the announcement allowing the review panel to undertake an in-depth evaluation; otherwise, it may be returned. B. Competitive Review of Eligible Applications (Objective Review: December 7-8, 2006). Applications meeting eligibility requirements that are complete, responsive, and conform to this program announcement will be reviewed for merit by the Objective Review Committee
(ORC)appointed by the IHS to review and make recommendations on these applications. The review will be conducted in accordance with the IHS Objective Review Guidelines. The technical review process ensures selection of quality projects in a national competition for limited funding. Applications will be evaluated and rated on the basis of the evaluation criteria listed in Section V.1. The criteria are used to evaluate the quality of a proposed project, determine the likelihood of success, and assign a numerical score to each application. The scoring of approved applications will assist the IHS in determining which proposals will be funded if the amount of TSGP funding is not sufficient to support all approved applications. Applications recommended for approval, having a score of 60 or above by the ORC are forwarded to the Division of Grants Operations
(DGO)for cost analysis and further recommendation. The program official forwards the approval list to the IHS Director for final review and approval. Applications scoring below 60 points will be disapproved. Note: In making final selections, the IHS Director will consider the ranking factor and the status of the applicant's single audit reports. The comments from the ORC will be advisory only. The IHS Director will make the final decision on awards. VI. Award Administration Information 1. Award Notices The Division of Grants Operations
(DGO)will not award a cooperative agreement without an approved application that is in conformance with regulatory and policy requirements. When the application is approved for funding, the DGO will prepare a Notice of Award
(NOA)with special terms and conditions binding upon the award and refer to all general terms applicable to the award. The NOA, signed by the Grants Management Officer, will serve as the official notification of a cooperative agreement award and will state the amount of Federal funds awarded, the purpose of the cooperative agreement, the terms and conditions of the cooperative agreement award, the effective date of the award, the project period, and the budget period. Any other correspondence announcing to the Project Director that an application was selected is not an authorization to begin performance. 2. *Administrative and National Policy Requirements* Cooperative agreements are administered in accordance with the following documents: • This cooperative agreement announcement. • Health and Human Services regulations governing Pub. L. 93-638 grants at 42 CFR 36.101 *et seq.* • 45 CFR Part 92, “Department of Health and Human Services, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments Including Indian Tribes.” • Public Health Service Grants Policy Statement. • Grants Policy Directives. • Appropriate Cost Principles: OMB Circular A-87, “State and Local Governments.” • OMB Circular A-133, “Audits of States, Local Governments, and Non-Profit Organizations.” • Other Applicable OMB Circulars. 3. *Reporting* A. *Progress Report.* Program progress reports are required semi-annually. These reports will include a brief comparison of actual accomplishments to the goals established for the period, reasons for slippage (if applicable), and other pertinent information as required. A final report must be submitted within 90 days of expiration of the budget/project period. B. *Financial Status Report.* Semi-annual financial status reports must be submitted within 30 days of the end of the half year. Final financial status reports are due within 90 days of expiration of the budget/project period. Standard Form 269 (long form) will be used for financial reporting. Grantees are responsible and accountable for accurate reporting of the Progress Reports and Financial Status Reports which are generally due semi-annually. Financial Status Reports (SF-269) are due 90 days after each budget period and the final SF-269 must be verified from the grantee records on how the value was derived. Grantees are allowed a reasonable period of time in which to submit financial and performance reports. Failure to submit required reports within the time allowed may result in suspension or termination of an active cooperative agreement, withholding of additional awards for the project, or other enforcement actions such as withholding of payments or converting to the reimbursement method of payment. Continued failure to submit required reports may result in one or both of the following:
(1)the imposition of special award provisions; and
(2)the non-funding or non-award of other eligible projects or activities. This applies whether the delinquency is attributable to the failure of the grantee organization or the individual responsible for preparation of the reports. VII. Agency Contact(s) 1. Questions on the programmatic issues may be directed to: Jolene Aguilar, Program Specialists or Tena Larney, Program Analyst, Office of Tribal Self-Governance, Telephone No.: 301-443-7821, Fax No.: 301-443-1050, E-mail: *Jolene.Aguilar@ihs.gov,* E-mail: *Tena.Larney@ihs.gov.* 2. Questions on grants management and fiscal matters may be directed to: Denise Clark, Grants Management Specialist, Division of Grants Operations, Telephone No.: 301-443-5204, Fax No.: 301-443-9602, E-mail: *Denise.Clark@ihs.gov.* VIII. Other Information The Public Health Service
(PHS)strongly encourages all cooperative agreement and contract recipients to provide a smoke-free workplace and promote the non-use of all tobacco products. In addition, Publ. L. 103-227, the Pro-children Act of 1994, prohibits smoking in certain facilities (or in some cases, any portion of the facility) in which regular or routine education, library, day care, health care or early childhood development services are provided to children. This is consistent with the PHS mission to protect and advance the physical and mental health of the American people. Dated: October 6, 2006. Charles W. Grim, Assistant Surgeon General, Director, Indian Health Service. [FR Doc. 06-8642 Filed 10-12-06; 8:45 am]
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U.S. Code
- Advances to members§ 1430
- Congressional findings and statement of purpose§ 2901
- Definitions§ 3502
- Rules and regulations; impact analyses of Medicare and Medicaid rules and regulations on small rural hospitals§ 1302
- Exclusion of certain individuals and entities from participation in Medicare and State health care programs§ 1320a–7
- Conditions of and limitations on payment for services§ 1395f
- Payments to providers of services§ 1395g
- Regulations§ 1395hh
- Payments to hospitals for inpatient hospital services§ 1395ww
- Provisions relating to the administration of part B§ 1395u
- Disclosure of ownership and related information; procedure; definitions; scope of requirements§ 1320a–3
- Disclosure requirements for other providers under part B of Medicare§ 1320a–3a
- IMPROVING INTERNATIONAL STANDARDS AND COOPERATION TO FIGHT TERRORIST FINANCING.§ 7701
- Studies and recommendations§ 1395ll
- Public information collection activities; submission to Director; approval and delegation§ 3507
- General grant of authority for cooperation§ 243
CFR
register
30 references not yet in our index
- 12 CFR 944
- 12 CFR 944.3
- 12 CFR 944.3(b)
- 12 CFR 944.3(c)
- 12 CFR 944.2(a)
- 12 CFR 944.2(b)(1)(ii)
- 12 CFR 944.2(b)(2)(i)
- 12 CFR 944.2(b)(2)(ii)
- 12 CFR 944.2(d)
- 44 USC 3501-3520
- 16 CFR 435
- 5 CFR 1320.3(c)
- 5 CFR 1320.3(b)(2)
- 42 CFR 406.13
- 42 CFR 406.7
- 42 CFR 482.12
- 42 CFR 407.10
- 42 CFR 407.11
- Pub. L. 109-171
- 45 CFR 5
- Pub. L. 108-173
- 42 USC 1395I(3)
- Pub. L. 104-134
- 45 CFR 164.512(a)(1)
- 45 CFR 164.512(a)
- Pub. L. 106-260
- Pub. L. 93-638
- Pub. L. 98-502
- 42 CFR 36.101
- 45 CFR 92
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Cite12 CFR 944
Cite12 CFR 944.3
Cite12 CFR 944.3(b)
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