DUA - Contact changes

Effective June 1, 2012, the Subject line for all e-mails requesting contact changes must be: 

    DUA ### - Contact change        (##### is the DUA #)

and for CMS Contact bulk changes only

    Bulk contact change - [name of person being replaced]

Effective January 1, 2012, all DUA requests must be submitted to CMS via e-mail with any required documentation signed and attached to the e-mail.  This includes all requests for new DUAs, contact changes, data file updates, extension and closure requests. The signed and scanned documentation may be attached to the e-mails as .pdf .jpg .tif or bitmap images.  Requests which require initial processing via ResDAC must still be submitted to ResDAC.

Changing the DUA Contacts

Step 1 - the Requester or any Custodian listed on the DUA may request contact changes.  If none of these individuals are available, a representative of the Requester's or Custodian's organization may submit the request.

Step 2 - multiple contact changes (replace, adds and removals) may be submitted in each e-mail, however, only request changes for one (1) DUA in each e-mail.  Any and all types of contact changes may be submitted in the same e-mail as long as they are all for the same DUA. (i.e. CMS contacts, Federal contacts and changes to the Requester, Custodian(s), Recipient(s), sub-contractors, Data Extract System [DESY] users and Integrated Data Repository [IDR] users) 

Step 3 - 

    a) Requester - only one (1) Requester is allowed per DUA and each DUA must at all times have a Requester.  Follow the directions below to complete the DUA Addendum form if you wish to replace the Requester.

    b) Custodian - multiple Custodians are allowed on a DUA, and each DUA must at all times have at least one (1) Custodian.  Follow the directions below to complete the DUA Addendum form if you wish to add a Custodian.  To remove Custodians, you must ensure that they have destroyed all data from the DUA in their possession and then follow the removal instructions below.  Do not submit a Certificate of Disposition, simply verify that they have no copies, derivatives, subsets, manipulated files on all computers in their possession or that of their peers who had access to the data but were not listed individually on the DUA, including hardcopy materials. 

    d) Sub-contractor - multiple Sub-contractors are allowed on a DUA but none are required.  If a sub-contractor is listed as the Custodian and/or Recipient, do not add them again as a Sub-contractor.  Follow the instructions for Custodians if you wish to add or remove a Sub-contractor.

    e) DESY users - multiple DESY users are allowed on a DUA, but none are required.  Generally, DESY access is only granted to CMS employees and contractors.  Only on extremely rare and special circumstances is DESY access permitted for any other users.  The person requesting DESY access must first obtain a CMS User Id before requesting DESY access.  Provide the CMS User Id and name in an e-mail submitted by the Requester or Custodian to their CMS Contracting Officer Representative (COR) or Government Task Lead (GTL) who will forward the request with their approval to DataUseAgreement@cms.hhs.gov.

    f) IDR users - same as DESY except in the e-mail, indicate which data description(s) are to be associated with each User Id.

    g) CMS Contact - every DUA has a CMS contact.  For CMS contractors/grantees, this will be their COR/GTL.  For CMS sponsored State programs, the CMS program representative's name will be shown as the CMS contact.  A CMS employee issued a DUA for DESY or IDR access will have their manager listed as their CMS contact.  For all other DUAs, the CMS contact is a CMS DUA team member which is determined internally by CMS.  Only the CMS contact may request a change to the DUA(s) for which they are associated.  The new contact needs to send an e-mail to DataUseAgreement@cms.hhs.gov and provide their User Id and indicate the DUA number(s) or name of the CMS sponsored State program for which they are now responsible.   

    h)  Federal Project Officer (PO) - only DUAs funded or supported by a Federal agency other than CMS will have a Federal PO.  The new PO must send an e-mail to DataUseAgreement@cms.hhs.gov and provide their phone number and DUA number(s) to which they are now responsible.

Step 4 - DUA Addendum form - will be redesigned during July 2012.  Follow the instructions on the form and look for an "Anytime Webinar" on the "What's New" page to be posted in July 2012.

Step 5 - print, sign, scan and send as an e-mail attachment to DataUseAgreement@cms.hhs.gov.

Step 6 - e-mail Subject line: DUA ##### - Contact Change            (##### is the DUA #)

Step 6 - you will receive an e-mail from the CMS DUA team confirming the contact changes for your DUA.