Health Data Reporting
Privacy Impact Assessment (PIA) published by CMS as an Operating Division of the U.S. Department of Health and Human Services
Date signed: 6/21/2023
PIA Questions | PIA Answers |
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OPDIV: | CMS |
PIA Unique Identifier: | P-7846634-059201 |
Name: | Health Data Reporting |
The subject of this PIA is which of the following? | Major Application |
Identify the Enterprise Performance Lifecycle Phase of the system. | Operate |
Is this a FISMA-Reportable system? | Yes |
Does the system include a Website or online application available to and for the use of the general public? | No |
Identify the operator: | Agency |
Is this a new or existing system? | Existing |
Does the system have Security Authorization (SA)? | Yes |
Date of Security Authorization | 11/30/2023 |
Indicate the following reason(s) for updating this PIA. Choose from the following options. | PIA Validation (PIA Refresh/Annual Review) |
Describe in further detail any changes to the system that have occurred since the last PIA. | Changes to the Health Data Reporting (HDR) application since the last Privacy Impact Assessment (PIA) include enhancements to support the Center for Medicare and Medicaid Innovation (CMMI) strategic initiative for collecting Health Equity-related data. HDR was updated to enable data transformation to the Fast Healthcare Interoperability Resources (FHIR) standard. Additionally, a connection between HDR and Centralized Data Exchanges (CDX’s) Box Service was established. To improve data integrity, the Application Programming Interface (API) for uploading model participant data has been expanded to return status updates from CDX. Future releases will expand the connection to provide Model Teams an option for transferring the data HDR collects for research and payments. |
Describe the purpose of the system | Health Data Reporting (HDR) is a Center for Medicare and Medicaid Innovation (CMMI) application whose function it is to collect, validate, store, and disseminate health-related data for CMMI Alternate Payment Models (APM). APM participants submit model specific data via a secured portal where the data is used to monitor the progress towards the intended quality outcomes and cost containment. Payment adjustments are then applied to participant reimbursements based on the expected results. |
Describe the type of information the system will collect, maintain (store), or share. (Subsequent questions will identify if this information is PII and ask about the specific data elements) | HDR collects, validates, stores, and disseminates APM specific information including health-related CMS beneficiary data, and can include some or all the following data types: electronic health record, administrative, claims, beneficiary/disease registry, survey, clinical trials, vital records and assessments. Types of information include participant information such as the Model ID and Participant Entity ID. HDR also stores beneficiary information including MBI, Name, Address, Phone Number, E-mail Address, Sex, Sex Identify, Date of Birth, Race, Date of Death and Ethnicity. |
Provide an overview of the system and describe the information it will collect, maintain (store), or share, either permanently or temporarily. | HDR provides APMs functionality to build and store textual and electronic quality measure specifications for quantifying healthcare processes, outcomes, patient perceptions, and other measures that are associated with the ability to provide high-quality health care and/or that relate to one or more quality goals for health care. |
Does the system collect, maintain, use or share PII? | Yes |
Indicate the type of PII that the system will collect or maintain. |
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Indicate the categories of individuals about whom PII is collected, maintained or shared. |
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How many individuals' PII in the system? | 1,000,000 or more |
For what primary purpose is the PII used? | PII is used to uniquely identify the beneficiary for data matching. |
Describe the secondary uses for which the PII will be used (e.g. testing, training or research) | Data Analysis and Reporting |
Describe the function of the SSN. | N/A SSN is not collected or stored. |
Cite the legal authority to use the SSN. | N/A SSN is not collected or stored. |
Identify legal authorities governing information use and disclosure specific to the system and program. | Affordable Care Act (ACA) Sec. 3021 |
Are records on the system retrieved by one or more PII data elements? | No |
Identify the sources of PII in the system: Directly from an individual about whom the information pertains | Other - CMS is not original collector of the data. Data is provided to health care practitioner by the beneficiary in person. |
Identify the sources of PII in the system: Government Sources | Within the OPDIV |
Identify the sources of PII in the system: Non-Government Sources | Private Sector |
Identify the OMB information collection approval number and expiration date | N/A |
Is the PII shared with other organizations? | No |
Describe the process in place to notify individuals that their personal information will be collected. If no prior notice is given, explain the reason. | HDR does not collect PII information. Individuals’ personal information is collected at the point of care by the model participating practitioners. All Medicare participants are provided with a Notice of Privacy Practice that states that although they can elect to not share data for certain processes, as a condition of participating in Medicare, their information will be shared for certain purposes, such as quality assessment and reporting. Alternative Payment Model (APM) Participants are required to inform beneficiaries that they are included in research and provide opt out procedures. HDR end-users are given Terms and Conditions during the CMS account registration process which include Consent to Monitoring, Protecting Your Privacy, and Consent to Collection of Personal Identifiable Information (PII). Users will be emailed at the email address provided during registration if there are any changes in the Terms and Conditions. |
Is the submission of the PII by individuals voluntary or mandatory? | Voluntary |
Describe the method for individuals to opt-out of the collection or use of their PII. If there is no option to object to the information collection, provide a reason. | The provision of PII is "voluntary" as that term is used by the Privacy Act. However, in order to participate in Medicare programs, participants must provide PII. Individuals’ information that is submitted to HDR is collected at the point of care by the model participating practitioners. Responsibility for patient opt-out process resides at the point of information collection from the individual. APM Participants must inform beneficiaries that they are included in research and provide opt out procedures. Alternatively, at any time, beneficiaries may opt out of sharing this data through calling 1-800 MEDICARE or completing a form provided to beneficiaries with their notification. |
Describe the process to notify and obtain consent from the individuals whose PII is in the system when major changes occur to the system (e.g., disclosure and/or data uses have changes since the notice at the time of original collection). Alternatively, describe why they cannot be notified or have their consent obtained. | The information that is submitted is sourced from existing medical records that have already been collected by the provider. Changes to HDR that would involve changes in uses and disclosures of beneficiaries' PII are not expected to occur. In the event that such changes were to occur, CMS will inform individuals using multiple channels, including direct mailings; notices on the CMS website (including edits to CMS's posted privacy policy), or changes to the relevant systems of records notices. Changes involving uses and disclosures of authentication information are also not expected to occur. In the event of such changes, employees will be notified by notices on the CMS intranet; newsletters; updates to the relevant systems of records notices; e-mails to affected individuals; and through supervisors and system owners. |
Describe the process in place to resolve an individual's concerns when they believe their PII has been inappropriately obtained, used, or disclosed, or that the PII is inaccurate. If no process exists, explain why not. | The information that is submitted is sourced from existing medical records that have already been collected by the provider. Responsibility for patient concerns regarding the use of PII resides at the point of information collection from the individual. If an individual has concerns that their PII has been inappropriately obtained, used, or disclosed or that the PII is inaccurate, the following procedures should take place: If reportable, security will notify the CMS Help Desk within 1 hour of the incident occurring. (If the event is unreportable, security will notify the Help Desk to close the ticket). The CMS Help Desk Representative will serve as the CMS First Respondent in documenting and assessing the incident to ensure that the incident has been contained. The incident will be escalated and routed to the appropriate CMS group per CMS Incident Response Policy to determine the severity and course of action for mitigation. |
Describe the process in place for periodic reviews of PII contained in the system to ensure the data's integrity, availability, accuracy and relevancy. If no processes are in place, explain why not. | HDR does not directly collect data from individuals. The data is sourced from existing records whose business owners are responsible for conducting initial evaluation of PII/PHI holdings and review holdings annually to ensure, to the maximum extent practicable, that such holdings are accurate, relevant, timely, and complete and reduce PII holdings to the minimum necessary for the proper performance of the documented CMS function for all information systems containing PII/PHI. |
Identify who will have access to the PII in the system and the reason why they require access. |
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Describe the procedures in place to determine which system users (administrators, developers, contractors, etc.) may access PII. | User roles are established and managed in a way to ensure that users are only able to access data that pertains to their own organization. Roles are assigned and access is granted, to HDR and the PII it contains, based upon principle of least privilege and "need-to-know" or "need-to-access" requirements to perform their assigned duties. |
Describe the methods in place to allow those with access to PII to only access the minimum amount of information necessary to perform their job. | The system enforces role-based access controls, based on a least privilege model, to enforce the protection of data from unauthorized personnel. The application controls data access, such that the organizational user will be restricted to only access the data pertaining to their own organization. |
Identifying training and awareness provided to personnel (system owners, managers, operators, contractors and/or program managers) using the system to make them aware of their responsibilities for protecting the information being collected and maintained. | All CMS employees and direct contractors are required to complete mandatory security and privacy awareness training prior to gaining access to the CMS Network. Each year, thereafter, the user must get recertified. In the event they fail to complete the recertification training, the user's access will be terminated. |
Describe training system users receive (above and beyond general security and privacy awareness training) | CMS requires users, on an annual basis, to complete Role Based Training and HHS Records and Retention Training. Employees are also required to complete Annual Refresher Training, and Insider Threat Training. |
Do contracts include Federal Acquisition Regulation and other appropriate clauses ensuring adherence to privacy provisions and practices? | Yes |
Describe the process and guidelines in place with regard to the retention and destruction of PII. Cite specific records retention schedules. | The application adheres to data retention and destruction policies/procedures that follow National Archives and Record Administration (NARA) guidelines related to data retention and NIST guidelines related to data destruction. More specifically, HDR adheres to the following NARA general records schedule guidelines: DAA-0440-2015-0007-0001; Destroy no sooner than 10 year(s) after cutoff but longer retention is authorized |
Describe, briefly but with specificity, how the PII will be secured in the system using administrative, technical, and physical controls. | To secure PII, HDR follows, and the direct contractors are bound by contract to follow, the CMS Security and Privacy program and complies with the CMS Acceptable Risk Safeguards which are aligned to Health and Human Services (HHS) policies and to NIST requirements. HDR PII is secured with security controls as required by the CMS Security Program. |
Session Cookies - Collects PII?: | No |