Federal Register / Vol. 79, No. 108 / Thursday, June 5, 2014 / Notices 32547 

FEDERAL RESERVE SYSTEM 

Change in Bank Control Notices; 

Formations of, Acquisitions by, and 

Mergers of Bank Holding Companies; 

Correction 

This notice corrects a notice (FR Doc. 

2014–12672) published on page 31335 

of the issue for Monday, June 2, 2014. 

Under the Federal Reserve Bank of 

Dallas heading, the entry for Kenneth D. 

Willmon, individually and as co-trustee 

of AIM Bancshares, Inc. 401(k) and 

Employee Stock Ownership Program; 

Lanny B. Modawell; Marjorie Willmon; 

and Debra Willmon, all of Lubbock, 

Texas, is revised to read as follows: 

1. Kenneth D. Willmon, individually 

and as co-trustee of AIM Bancshares, 

Inc. 401(k) and Employee Stock 

Ownership Program; Lanny B. 

Modawell; Marjorie Willmon; and Debra 

Willmon, all of Lubbock, Texas; to retain 

voting shares of AIM Bancshares, Inc., 

Levelland, Texas, and thereby indirectly 

retain voting shares of AimBank, 

Littlefield, Texas. 

Comments on this application must 

be received by June 17, 2014. 

In addition, this notice also corrects a 

notice (FR Doc. 2014–12361) published 

on page 30844 of the issue for Thursday, 

May 29, 2014. 

Under the Federal Reserve Bank of 

Minneapolis heading, the entry for Carol 

A. Nelson, Baxter, Minnesota, and Lee 

W. Anderson, Tower, Minnesota, 

individually, and, with Doug B. Junker, 

Brainerd, Minnesota, as a group acting 

in concert, is revised to read as follows: 

1. Carol A. Nelson, Lake Shore, 

Minnesota, and Lee W. Anderson, 

Tower, Minnesota, individually, and, 

with Doug B. Junker, Brainerd, 

Minnesota, as a group acting in concert; 

to acquire voting shares of Timberland 

Bancorp, Baxter, Minnesota, and 

thereby indirectly acquire voting shares 

of First National Bank of Buhl, 

Mountain Iron, Minnesota. 

Comments on this application must 

be received by June 11, 2014. 

Board of Governors of the Federal Reserve 

System, June 2, 2014. 

Michael J. Lewandowski, 

Associate Secretary of the Board. 

[FR Doc. 2014–13040 Filed 6–4–14; 8:45 am] 

BILLING CODE 6210–01–P 

DEPARTMENT OF HEALTH AND 

HUMAN SERVICES 

Centers for Medicare & Medicaid 

Services 

Privacy Act of 1974; Report of New 

System of Records 

AGENCY: Centers for Medicare & 

Medicaid Services (CMS), Department 

of Health and Human Services (HHS). 

ACTION: Notice of a New System of 

Records (SOR). 

SUMMARY: In accordance with the 

requirements of the Privacy Act of 1974, 

CMS is establishing a new SOR titled, 

‘‘Open Payments,’’ System No. 09–70– 

0507, to implement the requirements in 

Section 6002 of the Patient Protection 

and Affordable Care Act of 2010 (ACA) 

(Pub. L. 111–148), which added section 

1128G to the Social Security Act (the 

Act). The Open Payments program 

requires applicable manufacturers and 

applicable Group Purchasing 

Organizations (GPOs) to report 

payments and other transfers of value to 

covered physician recipients as defined 

by 42 CFR 403.902, as well as certain 

ownership or investment interests held 

by physicians and/or their immediate 

family members in such applicable 

manufacturers and/or applicable GPOs. 

CMS is required to publish the data 

submitted by applicable manufacturers 

or GPOs on a public Web site. 

DATES: Effective Dates: July 7, 2014. 

Written comments should be submitted 

on or before the effective date. HHS/

CMS/Center for Program Integrity (CPI) 

may publish an amended SORN in light 

of any comments received. 

ADDRESSES: The public should address 

comments to: CMS Privacy Officer, 

Privacy Policy Compliance Group, 

Office of E-Health Standards & Services, 

Office of Enterprise Management, CMS, 

7500 Security Boulevard, Baltimore, MD 

21244–1870, Mailstop: S2–24–25, 

Office: (410) 786–5357, Email: 

walter.stone@cms.hhs.gov. Comments 

received will be available for review at 

this location, by appointment, during 

regular business hours, Monday through 

Friday from 9:00 a.m.–3:00 p.m., Eastern 

Time zone. 

FOR FURTHER INFORMATION CONTACT: Data 

Sharing and Partnership Group, Center 

for Program Integrity, Centers for 

Medicare & Medicaid Services, 7210 

Ambassador Road, Mail Stop AR–18–50, 

Baltimore, MD 21244. Email: 

veronika.peleshchukfradlin@

cms.hhs.gov. 

SUPPLEMENTARY INFORMATION: 

Applicable Manufacturers and/or 

applicable GPOs are required to report 

payments and other transfers of value to 

covered physician recipients. 

Additionally, applicable manufacturers 

and/or applicable GPOs are required to 

report information pertaining to certain 

ownership or investment interests held 

by physicians and/or their immediate 

family members in such applicable 

manufacturers and/or applicable GPOs. 

Such reports are to be made annually to 

CMS in an electronic format. Applicable 

Manufacturers and/or applicable GPOs 

are subject to civil monetary penalties 

for failing to comply with the reporting 

requirements. CMS will publish the 

reported data on a public Web site. The 

data must be downloadable, easily 

searchable, and aggregated. In addition, 

CMS must submit annual reports to the 

Congress and each state summarizing 

the data reported. 

Title 42 Code of Federal Regulations 

(CFR) 403.908(g) provides covered 

physician recipients and physicians 

who are owners or investors a 45-day 

review period to review data submitted 

about them and submit corrections prior 

to the data becoming available to the 

public. Additionally, 42 CFR 

403.908(g)(3)(iv) and (v) provides 

covered physician recipients and 

physicians who are owners or investors 

an opportunity to dispute the accuracy 

of such information. Covered physician 

recipients and physician owners or 

investors will indicate which 

information regarding a specific 

payment or other transfer of value is 

being disputed. Applicable 

Manufacturers and/or applicable GPOs 

will receive a notification that a covered 

physician recipient and/or a physician 

who is an owner or investor is disputing 

reported information. The dispute 

resolution process is between the 

applicable manufacturers and/or the 

applicable GPOs, and the covered 

physician recipients and physicians 

who are owners or investors. If a dispute 

is resolved or if errors/omissions are 

discovered, the applicable manufacturer 

or applicable GPO is required to submit 

corrected data to CMS. Upon receipt, 

CMS notifies the affected covered 

physician recipient and/or the 

physician who is an owner or investor 

that the additional information has been 

submitted and is available for review. 

CMS updates the Web site at least once 

annually with corrected information. 

The Privacy Act 

The Privacy Act governs the 

collection, maintenance, use, and 

dissemination of certain information 

about individuals by agencies of the 

Federal Government. 


rmajette on DSK2TPTVN1PROD with NOTICES
32548 Federal Register / Vol. 79, No. 108 / Thursday, June 5, 2014 / Notices 

A ‘‘SOR’’ is a group of any records 

under the control of a Federal agency 

from which information about 

individuals is retrieved by name or 

other personal identifier. The Privacy 

Act requires each agency to publish in 

the Federal Register a description of the 

type and character of each system of 

records that the agency maintains, and 

the routine uses that are contained in 

each system to make agency 

recordkeeping practices transparent, to 

notify individuals regarding the uses to 

which their records are put, and to 

assist individuals to more easily find 

such files within the agency. 

System Number: 09–70–0507 

SYSTEM NAME: 

Open Payments System. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Lockheed Martin’s Virtual Data Center 

hosted by Terremark Network Access 

Point (NAP) of the National Capital 

Region (NCR) facility located at 

Culpeper, Virginia and CMS Data 

Center, Baltimore, Maryland 21244– 

1850. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

The system will contain information 

about the following categories of 

individuals covered by the Open 

Payments program: (1) Physicians and 

authorized representatives of physicians 

and teaching hospitals and, (2) any 

applicable manufacturers and 

applicable GPO system users. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Information collected about 

applicable manufacturers or applicable 

GPOs includes but is not limited to 

profile information for the company and 

users interacting with the Open 

Payments system on the applicable 

manufacturers or applicable GPOs’ 

behalf. Such information includes but 

may not be limited to user first name 

and last name, business contact 

information and job title. 

Information collected about 

physicians in the Open Payments 

system includes but is not limited to 

physician’s name, specialty, business 

address, business phone number, 

National Provider Identifier (NPI) 

number, state license numbers, types 

and descriptions as to the nature and 

form of payments received from 

applicable manufacturers or applicable 

GPOs, amounts of payments, natures 

and context of payments and dates of 

payments. With respect to payments 

that were made in relation to a 

particular covered drug, device, 

biological, or medical supply, the name 

of that covered drug, device, biological, 

or medical supply shall also be 

reported. With respect to physicians 

who hold certain ownership or 

investment interests in such 

manufacturers and/or GPOs, or who 

have immediate family members who 

hold such ownership or investment 

interests in such manufacturers and/or 

GPOs, collected information will 

include the dollar amount invested; the 

value and terms of such ownership or 

investment, and information pertaining 

to any payment or other transfer of 

value provided to a physician holding 

such an ownership interest. 

Teaching hospital information also 

includes profile information for the 

users interacting with the Open 

Payments system on the hospital’s 

behalf. Such information includes but 

may not be limited to user’s first name 

and last name, business contact 

information, and job title. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Authority for the SOR is given by 

Title 42 U.S.C. § 1128G [42 U.S.C. 

1320a–7h]. 

PURPOSE(S) OF THE SYSTEM: 

The purpose(s) of this SOR is to 

maintain information submitted by 

applicable manufacturers and/or 

applicable GPOs regarding payments or 

other transfers of value provided to 

covered physician recipients, as well as 

certain ownership or investment 

interests in such entities held by 

physicians and/or their immediate 

family members. CMS may use 

information from this system to: (1) 

Support regulatory, reimbursement, and 

policy functions performed by Agency 

contractors, consultants, or CMS 

grantees; (2) assist Federal agencies and 

their fiscal agents in performing the 

statutory functions of the Open 

Payments; (3) assist applicable 

manufacturers or applicable GPOs with 

the statutory reporting requirements; (4) 

comply with the requirements of 42 

U.S.C. 1320a–7h, and publish the 

information submitted on a public Web 

site; (5) support research and program 

evaluation activities; (6) support 

litigation involving the agency; (7) assist 

with fraud, waste, and abuse detection 

and prevention activities; (8) assist 

agencies, entities, contractors, or 

persons tasked with the response and 

remedial efforts in the event of a breach 

of information, and (9) assist the U.S. 

Department of Homeland Security 

(DHS) cyber security personnel. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OR USERS AND

THE PURPOSES OF SUCH USES: 

These routine uses specify 

circumstances, in addition to those 

provided by statute in the Privacy Act 

of 1974, under which CMS may release 

information from Open Payments 

without the consent of the individual to 

whom such information pertains. Each 

proposed disclosure of information 

under these routine uses will be 

evaluated to ensure that the disclosure 

is legally permissible, including but not 

limited to ensuring that the purpose of 

the disclosure is compatible with the 

purpose for which the information was 

collected. We propose to establish the 

following routine use disclosures of 

information maintained in the system: 

1. To support Agency personnel, 

contractors, consultants, or CMS 

grantees who have been engaged by the 

Agency to assist in accomplishment of 

a CMS function relating to the purposes 

for this collection and who need to have 

access to the records in order to assist 

CMS. 

2. To assist another Federal, agency of 

a State government, an agency 

established by State law, or its fiscal 

agents with information that is 

necessary and/or required in order to 

perform the statutory functions of Open 

Payments. 

3. To provide applicable 

manufacturers and applicable GPOs 

with information they need to meet any 

statutory requirements of the program, 

assist with other reports as required by 

CMS, and to assist in the 

implementation of statutory reporting 

requirements. 

4. To comply with the requirements of 

Section 6002 of the ACA and 42 CFR 

Part 403 to publish payment or other 

transfers of value and investment 

interest information submitted by 

applicable manufacturers or applicable 

GPOs on a public Web site. CMS will 

notify covered recipients, physician 

owners and investors, and applicable 

manufacturers or applicable GPOs when 

data are available for public viewing via 

a public announcements and listserv 

messages. 

5. To support an individual or 

organization for research, program 

evaluation or epidemiological projects 

related to transparency initiatives 

around financial relationships between 

drug and medical device manufacturers 

and physicians, and teaching hospitals. 

6. To provide information to the U.S. 

Department of Justice (DOJ), a court, or 

an 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 


rmajette on DSK2TPTVN1PROD with NOTICES
Federal Register / Vol. 79, No. 108 / Thursday, June 5, 2014 / Notices 32549 

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; 

7. To assist a CMS contractor 

(including, but not limited to Medicare 

Administrative Contractors, fiscal 

intermediaries, and carriers) that assists 

in the administration of a CMSadministered 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; 

8. 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; 

9. To disclose records to appropriate 

Federal agencies and Department 

contractors that have a need to know the 

information for the purpose of assisting 

the Department’s efforts to respond to a 

suspected or confirmed breach of the 

security or confidentiality of 

information maintained in this system 

of records, and the information 

disclosed is relevant and necessary for 

that assistance; and 

10. To assist the U.S. Department of 

Homeland Security (DHS) cyber security 

personnel, if captured in an intrusion 

detection system used by HHS and DHS 

pursuant to the Einstein 2 program. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM. 

STORAGE: 

All records are stored is a relational 

database in CMS Virtual Data Center 

hosted by Terremark Network Access 

Point (NAP) of the National Capital 

Region (NCR) facility located at 

Culpeper, Virginia. 

RETRIEVABILITY: 

Information about physicians and 

their authorized representatives may be 

retrieved by any of these personal 

identifiers: physicians’ name, address, 

license number, or National Provider 

Identifier (NPI). Profile information 

about applicable manufacturer and GPO 

system users may be retrieved by these 

identifiers: applicable manufacturers or 

applicable GPOs’ DUNS, name and 

address. Information may be extracted 

through a backend database access or 

through a business intelligence 

reporting tool by authorized personnel. 

SAFEGUARDS: 

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. 

Access to records in the Open 

Payments database system will be 

limited to CMS personnel and 

contractors through password security, 

encryption, firewalls, and secured 

operating system. Any electronic copies 

which contain information about an 

individual at CMS and contractor 

locations will be kept in secure 

electronic files. 

RETENTION AND DISPOSAL: 

All records in the Open Payments 

database will be maintained for a period 

of up to 10 years from the end of the 

calendar year in which files were made 

publically available on CMS Web site. 

Any records that are needed longer, 

such as audit or other exceptions, will 

be retained until such matters are 

resolved. 

SYSTEM MANAGER AND ADDRESS: 

Director, Data Sharing and 

Partnership Group, Center for Program 

Integrity, Centers for Medicare & 

Medicaid Services, 7210 Ambassador 

Road, Mail Stop AR–18–50, Baltimore, 

MD 21244. 

NOTIFICATION PROCEDURE: 

Physician covered recipients and 

physicians who are owners or investors, 

as well as members of their immediate 

families will be notified by CMS via an 

online posting and notifications on 

CMS’s listservs. They may also register 

with CMS to receive notification about 

the review processes. 

RECORD ACCESS PROCEDURE: 

Physician covered recipients and 

physicians who are owners or investors, 

as well as representatives from teaching 

hospitals, applicable manufacturers and 

GPOs will be able log into the Open 

Payments system through a secure Web 

site to directly view records pertaining 

to them for the previous reporting year 

as well as access their profile 

information. 

CONTESTING RECORD PROCEDURES: 

Title 42 Code of Federal Regulations 

(CFR.) § 403.908(g) provides covered 

physician recipients and physicians 

who are owners or investors, as well as 

teaching hospitals, a 45-day review 

period to review data submitted about 

them and dispute its accuracy and 

completeness prior to the data becoming 

available to the public. Additionally, 42 

CFR 403.908(g) (3) (iv) and (v) provides 

covered physician recipients and 

physicians who are owners or investors 

an opportunity to dispute the accuracy 

of such information. Covered recipients 

and physicians who are owners or 

investors will indicate which 

information regarding a specific 

payment or other transfer of value is 

being disputed. Applicable 

Manufacturers and/or applicable GPOs 

will receive a notification that a covered 

recipient or physician owner or investor 

is disputing reported information. The 

dispute resolution process is between 

applicable manufacturers, applicable 

GPOs, covered recipients and physician 

owners or investors. When a dispute is 

resolved and/or errors or omissions are 

discovered, 42 C.F.R § 403.908(g)(4) and 

(h)(1) require the applicable 

manufacturer or applicable GPO to 

submit corrected data to CMS. Upon 

receipt, CMS notifies the affected 

covered recipient or physicians who are 

owner or investor that the additional 

information has been submitted and is 

available for review. CMS updates the 

Web site at least once annually with 

corrected information after the initial 

publication. 

RECORD SOURCE CATEGORIES: 

Information collected and maintained 

in this database is submitted by 

applicable manufacturers and/or 

applicable GPOs. 

EXEMPTIONS CLAIMED FOR THIS SYSTEM: 

None. 


rmajette on DSK2TPTVN1PROD with NOTICES
32550 Federal Register / Vol. 79, No. 108 / Thursday, June 5, 2014 / Notices 

Dated: May 30, 2014. 

Niall Brennan, 

Acting Director, Offices of Enterprise 

Management, Centers for Medicare & 

Medicaid Services. 

[FR Doc. 2014–13012 Filed 5–30–14; 5:00 pm] 

BILLING CODE 4120–03–P 

DEPARTMENT OF HEALTH AND 

HUMAN SERVICES 

Administration for Children and 

Families 

Proposed Information Collection 

Activity; Comment Request 

Proposed Projects 

Title: Freedom of Information Act 

(FOIA) Online Request Form 

OMB No.: 

Description: The proposal is for an 

online form for filing a request for ACF 

documents under the Freedom of 

Information Act (FOIA). The form 

prompts requesters to provide all the 

information necessary to ensure the 

most efficient processing of the request: 

name, address, telephone number, email 

address, description of the documents 

sought, date or time frame for the 

documents sought, limit on fees 

requester is willing to pay, whether 

expedited processing or a fee waiver is 

sought and the justification for the 

waiver or expedited processing. The 

online form is voluntary; it is provided 

purely for the convenience of the 

requester and is not required to file a 

FOIA request. 

Respondents: Individuals, private 

organizations, businesses, state or local 

governments seeking access to ACF 

records under the FOIA. 

ANNUAL BURDEN ESTIMATES

Instrument Number of 

respondents 

Number of 

responses per 

respondent 

Average 

burden hours 

per response 

Total burden 

hours 

FOIA Online Request Form ............................................................................. 200 1.15 .25 58 

Estimated Total Annual Burden Hours: .................................................... ........................ ........................ ........................ 58 

In compliance with the requirements 

of Section 506(c)(2)(A) of the Paperwork 

Reduction Act of 1995, the 

Administration for Children and 

Families is soliciting public comment 

on the specific aspects of the 

information collection described above. 

Copies of the proposed collection of 

information can be obtained and 

comments may be forwarded by writing 

to the Administration for Children and 

Families, Office of Planning, Research 

and Evaluation, 370 L’Enfant 

Promenade SW., Washington, DC 20447, 

Attn: ACF Reports Clearance Officer. 

Email address: infocollection@

acf.hhs.gov. All requests should be 

identified by the title of the information 

collection. 

The Department specifically requests 

comments on: (a) Whether the proposed 

collection of information is necessary 

for the proper performance of the 

functions of the agency, including 

whether the information shall have 

practical utility; (b) the accuracy of the 

agency’s estimate of the burden of the 

proposed collection of information; (c) 

the quality, utility, and clarity of the 

information to be collected; and (d) 

ways to minimize the burden of the 

collection of information on 

respondents, including through the use 

of automated collection techniques or 

other forms of information technology. 

Consideration will be given to 

comments and suggestions submitted 

within 60 days of this publication. 

Robert Sargis, 

Reports Clearance Officer. 

[FR Doc. 2014–13043 Filed 6–4–14; 8:45 am] 

BILLING CODE 4184–01–P 

DEPARTMENT OF HEALTH AND 

HUMAN SERVICES 

Administration for Children and 

Families 

Submission for OMB Review; 

Comment Request 

Title: Low Income Home Energy 

Assistance Program Performance 

Measures. 

OMB No.: New Collection. 

Description 

The Low Income Home Energy 

Assistance Program (LIHEAP) block 

grant (42 U.S.C. 8621 et seq.) was 

established under Title XXVI of the 

Omnibus Budget Reconciliation Act of 

1981, Public Law 97–35. The Office of 

Community Services (OCS) within the 

U.S. Department of Health and Human 

Services (HHS), Administration for 

Children and Families (ACF) 

administers LIHEAP at the federal level. 

The LIHEAP statute requires HHS to 

develop performance measures and 

report to Congress annually on program 

impacts on recipient and eligible 

households. The primary program goals, 

as articulated in the statute, are to 

ensure that benefits are targeted to those 

households where the greatest program 

impacts are expected, and to assure that 

timely resources are available to 

households experiencing home energy 

crises. 

OCS is seeking authorization to 

collect data from all state grantees and 

the District of Columbia that will 

establish performance indicators of the 

impact of LIHEAP services on its 

recipients. Specific data elements OCS 

is seeking to collect are detailed below. 

Broken down by main heating fuel 

type, report for all households receiving 

any type of LIHEAP-funded energy bill 

assistance and for all high energy 

burden households receiving any type 

of LIHEAP-funded energy bill assistance 

(‘‘high energy burden households’’ is 

defined as the top 25% of all bill 

assistance households sorted by energy 

burden for that state): 

• Total number of unduplicated 

households receiving LIHEAP-funded 

energy bill assistance. Note that the total 

number of unduplicated households 

served with LIHEAP funds is a current 

reporting requirement for the LIHEAP 

Household Report—Long Form. This 

new requirement is in addition to that 

requirement and is a slight variation in 

that grantees will be asked to exclude 

households receiving only LIHEAP 

services that are not related to payment 

of energy bills (such as weatherization 

assistance or heating/cooling equipment 

repairs/replacements). 

• Average household income. 


rmajette on DSK2TPTVN1PROD with NOTICES