Federal Register / Vol. 62, No. 199 / Wednesday, October 15, 1997 / Rules and Regulations 53571

determination that probable cause

exists; and

(iv) Names of individuals who are

residents and provide information for

the record.

(2) Have written policies governing

access to, storage of, duplication and

release of information from client

records; and

(3) Obtain written consent from the

client, if competent, or from his or her

legal representative, from individuals

who have been provided general

information or technical assistance on a

particular matter and from individuals

who furnish reports or information that

forms the basis for a determination of

probable cause, before releasing

information to individuals not

otherwise authorized to receive it.

(b) Nothing in this subpart shall

prevent the P&A system from. (1)

Issuing a public report of the results of

an investigation which maintains the

confidentiality of the individuals listed

in paragraph (a)(1) of this section or,

(2) Reporting the results of an

investigation which maintains the

confidentiality of individual service

recipients to responsible investigative or

enforcement agencies should an

investigation reveal information

concerning the facility, its staff, or

employees warranting possible

sanctions or corrective action. this

information may be reported to agencies

responsible for facility licensing or

accreditation, employee discipline,

employee licensing or certification, or

criminal prosecution.

(c) For purposes of any periodic audit,

report, or evaluation of the performance

of the P&A system, the Secretary shall

not require the P&A system to disclose

the identity, or any other personally

identifiable information, of any

individual requesting assistance under a

program. This requirement does not

restrict access by the Department or

other authorized Federal or State

officials to client records or other

records of the P&A system when

deemed necessary for audit purposes

and for monitoring P&A system

compliance with applicable Federal or

State laws and regulations. The purpose

of obtaining such information is solely

to determine that P&A systems are

spending their grant funds awarded

under the Act on serving individuals

with mental illness. Officials that have

access to such information must keep it

confidential to the maximum extent

permitted by law and regulations. If

photostatic copies of materials are

provided, then the destruction of such

evidence is required once such reviews

have been completed.

(d) Subject to the restrictions and

procedures set out in this section,

implementing section 106 (a) and (b) of

the Act (42 U.S.C. 10806 (a) and (b)),

this part does not limit access by a legal

guardian, conservator, or other legal

representative of an individual with

mental illness, unless prohibited by

State or Federal law, court order or the

attorney-client privilege.

§ 51.46 Disclosing information obtained

from a provider of mental health services.

(a) Except as provided in paragraph

(b) of this section, if a P&A system has

access to records pursuant to section

105(a)(4) of the Act (42 U.S.C.

10805(a)(4)) which, under Federal or

State law, are required to be maintained

in a confidential manner by a provider

of mental health services, it may not

disclose information from such records

to the individual who is the subject of

the information if the mental health

professional responsible for supervising

the provision of mental health services

to that individual has given the P&A

system a written determination that

disclosure of such information to the

individual would be detrimental to the

individual’s health. The provider shall

be responsible for giving any such

written determination to the P&A

system at the same time as access to the

records containing the information is

granted.

(b)(1) If the disclosure of information

has been denied under paragraph (a) of

this section to an individual, the

following individuals or the P&A system

may select another mental health

professional to review the information

and to determine if disclosure of the

information would be detrimental to the

individual’s health:

(i) Such individual;

(ii) The legal guardian, conservator or

other legal representative of the

individual; or

(iii) An eligible P&A system, acting on

behalf of an individual:

(A) Whose legal guardian is the State;

or

(B) Whose legal guardian, conservator,

or other legal representative has not,

within a reasonable time after the denial

of access to information under

paragraph (a), selected a mental health

professional to review the information.

(2) If such mental health professional

determines, based on professional

judgment, that disclosure of the

information would not be detrimental to

the health of the individual, the P&A

system may disclose such information

to the individual.

(c) The restriction in paragraph (b) of

this section does not affect the P&A

system’s access to the records.

[FR Doc. 97–26835 Filed 10–9–97; 8:45 am]

BILLING CODE 4160–20–M

DEPARTMENT OF HEALTH AND

HUMAN SERVICES

Health Care Financing Administration

42 CFR Part 433

[MB–113–F]

RIN: 0938–AI30

Medicaid Program; Limitation on

Provider-Related Donations and Health

Care-Related Taxes; Revision of

Waiver Criteria for Tax Programs

Based Exclusively on Regional

Variations; Correction

AGENCY: Health Care Financing

Administration (HCFA), HHS.

ACTION: Correcting amendment.

SUMMARY: This document contains a

correction to the final regulations that

were published in the Federal Register

on August 13, 1993 (58 FR 43156).

These regulations revised the Medicaid

regulations relating to limitations on

federal financial participation (FFP) in

State medical assistance expenditures

when States receive funds from

provider-related donations and revenues

generated by certain health care-related

taxes.

EFFECTIVE DATE: September 13, 1993.

FOR FURTHER INFORMATION CONTACT:

Jim Frizzera, (410) 786–9535.

SUPPLEMENTARY INFORMATION: On August

13, 1993, we published final regulations

that further implemented statutory

provisions that limit the amount of

Federal financial participation (FFP)

available for medical assistance

expenditures in a fiscal year when

States receive funds donated from

providers and revenues generated by

certain health care related taxes. The

August 13, 1993 final rule amended on

interim final rule that was published in

the Federal Register on November 24,

1992 that established in regulations the

statutory limitations.

In general, the statute specified the

types of health care related taxes that a

State is permitted to receive without a

reduction in FFP. Such taxes are broadbased taxes that apply in a uniform

manner to all health care providers in a

class, and that do not hold providers

harmless for their tax costs. If, however,

a State tax is not broad-based and

uniform, a State may submit a waiver

application to us requesting that we
53572 Federal Register / Vol. 62, No. 199 / Wednesday, October 15, 1997 / Rules and Regulations

treat its tax as a broad-based and

uniform health care-related tax. A State

application may be approved if the State

established that, among other things, the

tax is generally redistributive. We

established in the regulation the waiver

criteria under which we will determine

whether a tax, that does not meet the

statutory defined broad-based or

uniform requirements, is generally

redistributive.

As published, the regulation at 42

CFR 433.68(e)(2)(iv) contains an error in

the percentage amount necessary to

demonstrate that a State tax that varies,

based exclusively on regional variations,

and enacted and in effect prior to

November 24, 1992, is generally

redistributive and can be considered to

meet the criteria for waiver of the

uniform tax requirement.

List of Subjects in 42 CFR Part 433

Administrative practice and

procedure, Child support, Claims, Grant

programs—health, Medicaid, Reporting

and recordkeeping requirements.

Accordingly, 42 CFR part 433 is

corrected by making the following

correcting amendment:

PART 433—STATE FISCAL

ADMINISTRATION

1. The authority citation for part 433

continues to read as follows:

Authority: Secs. 1102, 1137, 1902(a)(4),

1902(a)(18), 1902(a)(25), 1902(a)(45), 1902(t),

1903(A)(3), 1903(d)(2), 1903(d)(5), 1903(o),

1903(p), (1903(r), 1903(w), 1912, and 1919(e)

of the Social Security Act (42 U.S.C. 1302,

1320b–7, 1396a(a)(4), 1396a(a)(18),

1396a(a)(25), 1396a(a)(45), 1396a(t),

1396b(a)(3), 1396b(d)(2), 1396a(d)(5),

1396b(i), 1396b(o), 1396b(p), 1396b(r),

1396b(w), and 1396k.)

§ 433.68 [Corrected]

2. In § 433.68, paragraph (e)(2)(iv),

remove the percentage ‘‘0.85’’ and add

in its place ‘‘0.70’’.

(Catalog of Federal Assistance Program No.

93.778, Medical Assistance Program)

Dated: September 12, 1997.

Neil J. Stillman,

Deputy Assistant Secretary for Information

Resources Management.

[FR Doc. 97–27194 Filed 10–9–97; 4:00 pm]

BILLING CODE 4120–01–M

FEDERAL COMMUNICATIONS

COMMISSION

47 CFR Part 76

[MM Docket Nos. 92–266 and 93–215; FCC

97–339]

Small Cable Television Systems; Rate

Regulation

AGENCY: Federal Communications

Commission.

ACTION: Final rule.

SUMMARY: The Commission has adopted

a Fourteenth Order on Reconsideration

denying two petitions seeking

reconsideration of the rules adopted for

small cable television systems governing

rates charged for regulated cable

services in the Sixth Report and Order

and Eleventh Order on Reconsideration

in MM Docket Nos. 92–266 and 93–215,

FCC 95–195. The Commission also

adopted minor clarifications to the rate

rules.

EFFECTIVE DATE: October 15, 1997.

FOR FURTHER INFORMATION CONTACT: Julie

Buchanan, Cable Services Bureau, (202)

418–7200.

SUPPLEMENTARY INFORMATION: The

following is a synopsis of the

Commission’s Fourteenth Order on

Reconsideration in MM Docket Nos. 92–

266 and 93–215, adopted September 24,

1997 and released October 1, 1997. The

full text of this decision is available for

inspection and copying during normal

business hours in the FCC Reference

Center (Room 239), 1919 M Street, NW.,

Washington, DC 20554, and may be

purchased from the Commission’s copy

contractor, International Transcription

Services, Inc., (202) 857–3800, 1231

20th Street, NW., Washington, DC

20036.

Synopsis

I. Introduction

1. On May 5, 1995, the Commission

adopted the Sixth Report and Order and

Eleventh Order on Reconsideration in

MM Docket Nos. 92–266 and 93–215,

FCC 95–196, 60 FR 35854 (July 12,

1995) (‘‘Small System Order’’), thereby

modifying the rules governing rates

charged for regulated cable services by

certain smaller cable systems. In this

order, we address petitions for

reconsideration of the Small System

Order.

II. Background

2. Section 623(i) of the

Communications Act of 1934, as

amended (‘‘Communications Act’’),

requires that the Commission design

rate regulations to reduce the

administrative burdens and the cost of

compliance for cable systems with 1,000

or fewer subscribers. In the Small

System Order, the Commission

extended small system rate relief to

small cable systems owned by small

cable companies. The Small System

Order defines a small system as any

system that serves 15,000 or fewer

subscribers, and it defines a small cable

company as a cable operator that serves

a total of 400,000 or fewer subscribers

over all of its systems.

3. In addition to adopting the new

categories of small systems and small

cable companies, the Small System

Order introduced a form of rate

regulation known as the small system

cost of service methodology. This

approach, which is available only to

small systems owned by small cable

companies, follows general principles of

cost of service rate regulation. An

eligible cable operator may establish a

maximum permitted rate for regulated

cable service equal to the amount

necessary to cover its operating

expenses plus a reasonable return on its

prudent investment in the assets used to

provide that service. The small system

cost of service methodology differs both

procedurally and substantively from the

standard cost of service methodology

available to cable operators generally.

4. To implement the small system cost

of service rules, we designed FCC Form

1230, a simplified one-page form, for

use exclusively by operators eligible for

these rules. This form is more

streamlined than Form 1220 used for

cost of service showings by larger

operators. To use Form 1230, the

operator must calculate five items of

data pertaining to the system in

question: annual operating expenses,

net rate base, rate of return, channel

count and subscriber count. Once these

variables are calculated, the form

generates the maximum per channel rate

the operator may charge for regulated

service. Although subject to regulatory

review, this rate is presumed reasonable

if it is no more than $1.24 per channel.

5. When applicable, the presumption

of reasonableness effectively exempts

eligible cable operators from many of

the proof burdens that apply under our

standard cost of service rules. For

example, eligible small cable companies

have greater discretion than larger

operators in determining how to allocate

costs between regulated and

unregulated services and between

various levels of regulated services.

Similarly, qualifying cable operators

using Form 1230 are not subject to the

presumption of unreasonableness that

otherwise attaches when an operator

seeks a rate of return higher than