[Federal Register: November 13, 2007 (Volume 72, Number 218)]
[Notices]
[Page 63902-63906]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr13no07-59]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Centers for Medicare & Medicaid Services
Privacy Act of 1974; Report of a Modified System of Records
AGENCY: Centers for Medicare & Medicaid Services (CMS), Department of
Health and Human Services (HHS).
ACTION: Notice of a Modified System of Records (SOR).
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SUMMARY: In accordance with the requirements of the Privacy Act of
1974, we are proposing to modify an existing SOR titled, ``Individuals
Authorized Access to Centers for Medicare & Medicaid Services (CMS)
Computer Services (IACS), System No. 09-70-0064,'' most recently
modified at 67 FR 48911 (July 26, 2002). 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 Health Care
Financing Administration systems of records. The new identifying number
for this system should read: System No. 09-70-0538.
We propose to broaden the scope of this system to include a CMS
service planned to provide a centralized user provisioning and
administration service that supports the creation, deletion, and
lifecycle management of enterprise identities. This service creates
accounts, supports Role Based Access Control (RBAC), and provides
business application integration points. RBAC is a form flow approval
process and enterprise identity audit and recertification based on the
role of the individual. The business application integration point
allows business application owners to use the form flow process of the
user provisioning service to approve or deny requests for access to
business applications. This modification will permit CMS to implement a
unified framework for managing user information and access rights, for
those individuals who apply for and are granted access across multiple
CMS systems and business contexts.
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.
Finally, we will delete the section titled ``Additional Circumstances
Affecting Routine Use Disclosures,'' that addresses ``Protected Health
Information (PHI)'' and ``small cell size.'' The requirement for
compliance with HHS regulation ``Standards for Privacy of Individually
Identifiable Health Information'' does not apply because this system
does not collect or maintain PHI. In addition, our policy to prohibit
release if there is a possibility that an individual can be identified
through ``small cell size'' is not applicable to the data maintained in
this system.
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
[[Page 63903]]
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)
(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 has been to collect and maintain
individually identifiable information to assign, control, track, and
report authorized access to and use of CMS's computerized information
and resources, for those individuals who apply for and are granted
access across multiple CMS systems and business contexts. Information
in this system will also be used to: (1) Support regulatory and policy
functions performed within the Agency or by a contractor, consultant,
or CMS grantee; and (2) support litigation involving the Agency related
to this system. We have provided background information about the
modified system in the ``Supplementary Information'' section below.
Although the Privacy Act requires only that the ``routine use'' portion
of the system be published for comment, CMS invites comments on all
portions of this notice. See Effective Dates section for comment
period.
Effective Dates: CMS filed a modified system report with the Chair of
the House Committee on Government Reform and Oversight, the Chair of
the Senate Committee on Homeland Security and Governmental Affairs, and
the Administrator, Office of Information and Regulatory Affairs, Office
of Management and Budget (OMB) on November 7, 2007. To ensure that all
parties have adequate time in which to comment, the modified SOR,
including routine uses, will become effective 40 days from the
publication of the notice, or from the date it was submitted to OMB and
the 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: Nancy Martin, Division of Development
& Engineering, Information Services Design & Development Group, Office
of Information Services, CMS, Room N2-15-04, 7500 Security Boulevard,
Baltimore, Maryland 21244-1850. Her telephone number is 410-786-0167,
or e-mail at Nancy.Martin@cms.hhs.gov.
SUPPLEMENTARY INFORMATION: The IACS framework consists of two major
components: An identity management service and a set of authentication
or access management services. These two components will enable a
single identity to be used throughout CMS and will ensure that users
authenticate to applications using a level of assurance equal to the
sensitivity of the application and/or data. As CMS moves into the web-
enabled application arena for mission critical applications, the need
to securely manage this environment is a major concern. The Health
Insurance Portability and Accountability Act of 1996 (HIPAA)
requirements, e-Authentication guidance and the Personal Identity
Verification initiative make the need for a security services framework
even more important.
CMS has provided an application that will streamline our
information technology environment so that existing and new
applications can work more effectively by sharing information, and so
that CMS can be more responsive to the demands of changing business
needs and emerging technology. CMS plans to make our data more readily
accessible to our beneficiaries, partners, and stakeholders in a
secure, efficient, and carefully planned manner. In striving to meet
these goals, CMS has established a target enterprise architecture and
modernization strategy that is based upon several key design
principles: (1) An established, secure Internet architecture for the
CMS enterprise; (2) Defined products for the target enterprise
architecture; (3) Defined security classifications and controls for CMS
applications; (4) Defined security services that support the
architecture and implement the controls; and (5) Prescriptive
application development standards and guidelines for the target
environment.
When an account/identity is created, a unique identifier will be
generated to universally associate a user with CMS. The provisioning
service uses a seven-character algorithm to generate user IDs that are
unique across the CMS enterprise. The provisioning service will also
provide a mechanism to assign roles that will be maintained in the
central data store. An application integration point will be
established to allow business application owners to use the user
provisioning service to approve or deny requests for access to business
applications.
Initial users of the IACS will be primarily CMS business partners
such as health care plans and customer inquiry service personnel who
answer queries to 1-800-MEDICARE. Three entities are key in providing
this support: The Customer Support for Medicare Modernization Support,
the CMS IT CITIC Service Desk and the Centers for Beneficiary Choices.
Future users will consist of but are not limited to, individuals who
apply from Plans and Providers, Provider Hospitals, Group
Practitioners, Physicians and Beneficiaries.
I. Description of the Modified System of Records
A. Statutory and Regulatory Basis for the System
Authority for maintenance of the system is given under Executive
Order 9397, the Debt Collection Improvement Act, 31 United States Code
(U.S.C.) Sec. 7701(c)(1), and 5 U.S.C. 552a(b)(1).
B. Collection and Maintenance of Data in the System
Information for this system is collected and maintained on
individuals who voluntarily apply for access to the Web-based
Application Systems and individuals with an approved need for access to
the computer resources and information maintained by CMS. Information
collected for this system will include, but is not limited to, name,
social security number, date of birth, current Resource Access Control
Facility Identification (RACF ID), e-mail address, telephone number,
company name, and geographic location.
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 IACS 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 IACS. CMS has the following policies and procedures
concerning disclosures of information that will be
[[Page 63904]]
maintained in the system. Disclosure of information from the 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 maintain
individually identifiable information to assign, control, track, and
report authorized access to and use of CMS's computerized information
and resources.
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 CMS grantee who
have been contracted by the Agency to assist in accomplishment of a CMS
function relating to the purposes for this system and who need to have
access to the records in order to assist CMS.
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 functions
relating to purposes for this system.
CMS occasionally contracts out certain of its functions when this
would contribute to effective and efficient operations. CMS must be
able to give a contractor, consultants, or grantee whatever information
is necessary for the contractor to fulfill its duties. In these
situations, safeguards are provided in the contract prohibiting the
contractor, consultants, or grantee from using or disclosing the
information for any purpose other than that described in the contract
and to return or destroy all information at the completion of the
contract.
2. To assist 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.
Whenever CMS is involved in litigation, or 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. A determination would be made in each instance that,
under the circumstances involved, the purposes served by the use of the
information in the particular litigation is compatible with a purpose
for which CMS collects the information.
IV. Safeguards
CMS has safeguards in place for authorized users and monitors such
users to ensure against 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 National
Institute of Standards and Technology publications; 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 establish 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 modified 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 the disclosure of information relating to individuals.
Dated: November 7, 2007.
Charlene Frizzera,
Chief Operating Officer, Centers for Medicare & Medicaid Services.
System No.: 09-70-0538
System Name:
``Individuals Authorized Access to Centers for Medicare & Medicaid
Services (CMS) Computer Services (IACS), HHS/CMS/OIS''.
[[Page 63905]]
SECURITY CLASSIFICATION:
Level 3 Privacy Act Sensitive.
SYSTEM LOCATION:
Centers for Medicare & Medicaid Services Data Center, 7500 Security
Boulevard, North Building, First Floor, Baltimore, Maryland 21244-1850.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Information for this system is collected and maintained on
individuals who voluntarily apply for access to the Web-based
Application Systems and individuals with an approved need for access to
the computer resources and information maintained by CMS.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information collected for this system will include, but is not
limited to, name, social security number (SSN), date of birth, current
Resource Access Control Facility Identification (RACF ID), e-mail
address, telephone number, company name, and geographic location.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Authority for maintenance of the system is given under Executive
Order 9397, the Debt Collection Improvement Act, 31 United States Code
(U.S.C.) Sec. 7701(c)(1), and 5 U.S.C. 552a(b)(1).
PURPOSE(S) OF THE SYSTEM:
The primary purpose of the system has been to collect and maintain
individually identifiable information to assign, control, track, and
report authorized access to and use of CMS's computerized information
and resources, for those individuals who apply for and are granted
access across multiple CMS systems and business contexts. Information
in this system will also be used to: (1) Support regulatory and policy
functions performed within the Agency or by a contractor, consultant,
or CMS grantee; and (2) support litigation involving the Agency related
to this system.
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 CMS grantee who
have been contracted by the Agency to assist in accomplishment of a CMS
function relating to the purposes for this system and who need to have
access to the records in order to assist CMS.
2. To assist 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
All records are stored on magnetic media.
RETRIEVABILITY:
Information can be retrieved by assigned User ID, user name, and
user e-mail address.
SAFEGUARDS:
CMS has safeguards in place for authorized users and monitors such
users to ensure against 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 National
Institute of Standards and Technology publications; HHS Information
Systems Program Handbook and the CMS Information Security Handbook.
RETENTION AND DISPOSAL:
CMS will retain information for the duration the user needs access
to CMS' computer systems or until no longer needed for administrative,
legal, audit or other operations services, whichever is longer. All
claims-related records are encompassed by the document preservation
order and will be retained until notification is received from DOJ.
SYSTEM MANAGER AND ADDRESS:
Director, Division of Development & Engineering, Information
Services Design & Development Group, Office of Information Services,
CMS, Mail Stop N2-15-18, 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, 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 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 records system include
data collected from applications submitted by the individuals requiring
access to computer services.
[[Page 63906]]
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
[FR Doc. E7-22079 Filed 11-9-07; 8:45 am]
BILLING CODE 4120-03-P