[Federal Register Volume 72, Number 218 (Tuesday, November 13, 2007)]
[Notices]
[Pages 63902-63906]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E7-22079]


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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 [email protected].

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.

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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