[Federal Register: November 23, 2007 (Volume 72, Number 225)]
[Notices]
[Page 65741-65744]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr23no07-80]
-----------------------------------------------------------------------
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 requirements of the Privacy Act of
1974, we are proposing to modify or alter an SOR, ``Employee Building
Pass File (EBP) System, System No. 09-70-3002,'' last published at 67
FR 40937 (June 14, 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 assigned identifying number for this system
should read: System No. 09-70-0529.
We propose to modify existing routine use number 2 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 separately 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.
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 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 SOR is to issue and control United
States Government building passes issued to all CMS employees and non-
CMS employees who require continuous access to CMS buildings in
Baltimore and other CMS and HHS facilities. Information retrieved from
this SOR will be used to: (1) Support regulatory and policy functions
performed within the Agency or by a contractor, consultant, or grantee;
(2) assist other Federal agencies with activities related to this
system; and (3) support litigation
[[Page 65742]]
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 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 15, 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: Marcia Levin, Security System
Administrator, Emergency Management and Response Group, Office of
Operations Management, CMS, Room SLL-11-28, 7500 Security Boulevard,
Baltimore, Maryland 21244-1850. Ms. Levin can be reached by telephone
at 410-786-7840, or via e-mail at Marcia.Levin@cms.hhs.gov.
SUPPLEMENTARY INFORMATION:
I. Description of the Modified or Altered System of Records
A. Statutory and Regulatory Basis for SOR
Authority for maintenance of this system of records is given under
Section 5 United States Code (U.S.C.) 301, 40 USCA 121(c)(2), and 41
Code of Federal Regulations (CFR) 102-74.375.
B. Collection and Maintenance of Data in the System
The system contains information on Federal employees, contractors,
consultants or grantees, Government Services Administration employees,
and contract guards working in CMS's central office complex in
Baltimore, Maryland, and other CMS and HHS Federal buildings. The
system contains the name of the employee or other authorized
individuals, social security number, identification card number,
building/work location, phone number, position, title, grade,
supervisor's name and telephone number.
II. Agency Policies, Procedures, and Restrictions on Routine Uses
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 EBP 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 disclose the minimum personal data necessary to
achieve the purpose of EBP. CMS has the following policies and
procedures concerning disclosures of information that will be
maintained in the system. Disclosure of information from the SOR 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 data is being collected; e.g., to issue and control United
States Government building passes issued to all CMS employees and non-
CMS employees who require continuous access to CMS buildings in
Baltimore and other CMS and HHS facilities.
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. Entities Who May Receive Disclosures Under Routine Use
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 the EBP 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 are proposing to
establish or modify the following routine use disclosures of
information maintained in the system:
1. To Agency contractors, consultants, or grantees 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 grantees 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 grantees 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 other Federal agencies with activities related to this
system and who need to have access to the records in order to perform
the activity.
The Federal Protection Service may require EBP data to enable them
to assist in inquiries about an individual's
[[Page 65743]]
authorization to enter CMS's central office complex in Baltimore,
Maryland and other CMS and HHS Federal buildings.
We contemplate disclosing information under this routine use only
in situations in which CMS may enter into a contractual or similar
agreement with another Federal agency to assist in accomplishing CMS
functions relating to purposes for this SOR.
3. To 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, 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 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 the disclosure of information relating to individuals.
Dated: November 7, 2007.
Charlene Frizzera,
Chief Operating Officer, Centers for Medicare & Medicaid Services.
SYSTEM NO. 09-70-0529
SYSTEM NAME:
``Employee Building Pass File (EBPF),'' HHS/CMS/OOM.
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 other contractor locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
The system contains information on Federal employees, contractors,
consultants or grantees, Government Services Administration employees,
and contract guards working in CMS's central office complex in
Baltimore, Maryland, and other CMS and HHS Federal buildings.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains the name of the employee or other authorized
individuals, social security number (SSN), identification card number,
building/work location, phone number, position, title, grade,
supervisor's name and telephone number.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Authority for maintenance of this system of records is given under
Section 5 United States Code (U.S.C.) 301, 40 USCA 121(c)(2), and 41
Code of Federal Register (CFR) 102-74.375.
PURPOSE(S) OF THE SYSTEM:
The primary purpose of the SOR is to issue and control United
States Government building passes issued to all CMS employees and non-
CMS employees who require continuous access to CMS buildings in
Baltimore and other CMS and HHS facilities. Information retrieved from
this SOR will be used to: (1) Support regulatory and policy functions
performed within the Agency or by a contractor, consultant, or grantee;
(2) assist other Federal agencies with activities related to this
system; and (3) 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 Agency contractors, consultants, or grantees 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
[[Page 65744]]
to have access to the records in order to assist CMS.
2. To assist other Federal agencies with activities related to this
system and who need to have access to the records in order to perform
the activity.
3. To 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:
All records are stored on electronic media.
RETRIEVABILITY:
The collected data are retrieved by an individual identifier; e.g.,
name or SSN.
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 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 25
years. All claims-related records are encompassed by the document
preservation order and will be retained until notification is received
from DOJ.
SYSTEM MANAGER AND
Director Security & Emergency Management Group, Office of
Operations Management, CMS, Room SLL-11-28, 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, employee
identification number, tax identification number, national provider
number, and for verification purposes, the subject individual's name
(woman's maiden name, if applicable), HICN, and/or 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).
RECORDS SOURCE CATEGORIES:
CMS obtains information in this system from the individuals who are
covered by this system.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
None.
[FR Doc. E7-22817 Filed 11-21-07; 8:45 am]
BILLING CODE 4120-03-P