DEPARTMENT OF HEALTH 8: HUMAN SERVICES Centers for Medicare 8: Medicaid Services 7500 Security Boulevard. Mail Stop (25-2447 Baltimore, MD 212244850 O?ice of Operations Warrant DATE: September 7, 2010 TO: I All CMS Employees FROM: Director I . cc of Operations Management SUBJECT: Employee Nondisclosure Policy The purpose of this memorandum and the accompanying document is to reinforce your awareness that as a CMS employee you frequently have access to nonpublic, con?dential, privileged, or proprietary information, which may not be disclosed except as authorized by law. The attached document explains how such infonnation must be handled and describes the potential penalties for inappropriately disclosing such information. When reviewing the attached document, please remember that some information that falls into the category of nonpublic, con?dential, privileged or proprietary may be ?market sensitive? information, meaning that its disclosure may have stock or bond market implications. For example, an announced change in CMS payment or coverage policy may be market sensitive in that it could result in a stock or bond value increasing 'or decreasing as investors react to the announced information. Such inferrnation should be released for public disclosure unless it is properly authorized for such release. Even when misinformation is prOperly released, given the potential effects on the markets, the information should be released in a careful way so as to minimize these effects, such as by releasing the information after the markets have closed at 4:00 pm. Eastern Time to allow the investment community broad access to the information and time to fully analyze the announced I change before reacting to it. In deciding how and when to release information that has already been properly authorized for public release, CMS of?cials (who are speci?cally authorized to release such information) strive to err on the side of caution by releasing such information after the market closes because it is sometimes dif?cult to determine whether a CMS announcement will be market sensitive. If after reading the attached document, you have questions about Whether the information you access is nonpublic, con?dential, privileged or proprietary, please consult with your supervisor. In the event that supervisors have legal questions regarding these issues, they should contact the Of?ce of the General Counsel. Isl James Weber Attachment .mit. a- . . ?i?glenters for Medicare Medicaid Servic?s Employee Nondisclosure Policy While employed by the Centers for Medicare Medicaid Services (GM-S), you may have access to, or be furnished with, records or information that are nonpublic, con?dential, privileged, or proprietary and are, therefore, not disclosable except as authorized bylaw. communication addresses these terms, explains how this information must be handled, and describes the potential penalties for inappropriately disclosing this information. ?Nonpublic information? is infortnation that an employee gains by reason of Federal employment and that he/she knows or reasonably shouldiltnow is not available to the general public. It includes information that: I Is protected under the Privacy Act of 1974 and is routinely exempt from disclosure under the Freedom of Information Act or otherwise protected from disclosure by statute, Executive order, law, or regulation; Is designated as con?dential by an agency; or Has not-actually been disseminated to the generalpublic and is not authorized to be made available to the public on request.1 Except through the Freedom of Information Of?ce, no information should be provided to the public unless it is already availale to the public, such as through a public web page or another publication. Please confer with your supervisor before disclosing any information that may constitute nonpublic information or if you have any questions about what constitutes nonpublic information. In the event that supervisors have legal questions regarding these issues, they should contact the Of?ce of the General Counsel. Federal law also prohibits the unauthorized disclosure of trade secrets, or commercial or ?nancial information.2 This type of infonnation could include, but is not limited to, certain types of infonnation submitted as part of the bidding process3 or contractor information. It is important to confer with your supervisor before disclosing any information that may constitute this type of information or if you have any questions about what constitutes this type of information. Any response to a request for informationthat is related to any acquisition must be cleared by the Office- of Acquisitions and Grants Management Contracting Of?cer. The unauthorized disclosure of such information may result in ?nes and/or imprisonment for a year or less and removal from of?ce or employment. Additionally, you may not use con?dential, proprietary, or nonpublic information to make your own investment decisions or give investment ?tips? to others ?insider trading?). Under applicable ethical standards,4 you shall not engage in a ?nancial transaction using nonpublic information, nor allow the improper use of nonpublic information to further your own private 1 See Standards of Ethical Conduct for Employees of the Executive Branch, 5 C.F.R. 2 See. Trade Secrets Act, 18 U.S.C. 1905. 3 Procurement Integrity Act, 41 U.S.C. 423, also protects this type of information and carries criminal and civil penalties, such as fines, imprisonment of 5 years or less, or adverse personnel actions. 4. See Standards of Ethical Conduct for Employees of the Executive Branch, 5 C.F.R. 2635.703. i\ Page 2 Employee Nondisclosure Policy interest or the interests of another person, whether through advice or recommendation, or by knowingly disclosing such information. If you are uncertain about whether information is of the type that'should not be disclosed or used for these purposes, you should consult with your supervisor before disclosing or using information for such purposes. Therefore, with reSpect-to any nondisclosable information that may be furnished to you or that you gain access to in the course of your of?cial CMS duties, you should: 0 Use this information only for the purpose of performing of?cial CMS duties; I Refrain from disclosing or discussing the information with any person who does not need the information for purposes of performing of?cial CMS duties; 0 Refrain from copying, for other than of?cial purposes, all or part of this information that may be provided to you in the course of your of?cial CMS duties, and when ?nished reviewing or utilizing such information for of?cial CMS duties, store or dispose of such materials as speci?cally directed; and . Advise CMS management immediater if any nondisclosable information that is/was maintained by or in the possession of CMS is disclosed, whether intentionally or unintentionally, or if this information is used or handled in a manner inconsistent with this policy. All information shall be held con?dential until such time as the information is made available to the public as authorized. This is not intended to restrict the rights of third parties such as law enforcement agencies, courts/administrative tribunals of proper jurisdiction, or congressional committees, from securing the release of protected information pursuant to their legal authority. All con?dentiality obligations apply even after the employee no longer possesses the con?dential information and/or has left Federal service. Failure to comply with this policy could result in disciplinary action, up to and including removal from Federal service.