DUA - Extensions & Closures

Our "What's New" page has instruction webinars on extending and closing DUAs as well as why your DUA expiration date may have been reassigned.

CMS DUAs do not automatically close upon reaching their expiration/retention date.  The DUA Requestor is responsible for the extension or closure of their DUA.

All requests except extensions and closures for DUAs will be suspended for any individual or organization associated with an expired DUA.

Requesting DUA Closures

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

Step 2 - only send one (1) Certificate of Disposition for one (1) DUA in each e-mail

Step 3 - complete the on-line fillable CMS DUA Certificate of Disposition form.  In the "CMS Data Files Destroyed" section, the file(s) being destroyed must be listed exactly as they are listed for your DUA in our Database.  Refer to your DUA expiration e-mail notification or your most recent .htm file for your DUA that you received from the CMS DUA Team.  Files received for one DUA that are also being used as approved by CMS in another DUA, must still be certified as being destroyed by the Requestor on the Certificate of Disposition for each DUA.  For example, a file is received from CMS and used in DUA #1 and subsequently approved by CMS to also be used by the Requestor for their DUA #2.  When the Requestor is ready to close either DUA, they must list the file on the Certificate of Disposition, even though the file is still being used under the other approved DUA.  The file is accounted for by each DUA independently of the other DUA and therefore each DUA's Certificate of Disposition must list the file.  The file is being destroyed for that specific DUA even though it may still be in use under another DUA.

Step 4 - print, sign, scan and send as an e-mail attachment to DataUseAgreement@cms.hhs.gov.

Step 5 - e-mail Subject line: DUA ##### - Closure            (where ##### is the DUA #)

Step 6 - you will receive an e-mail from the CMS DUA team confirming the closure of your DUA.

Requesting DUA Extensions

Step 1 - any incorrect contact information must be requested and confirmation of the correction received from the DUA team prior to requesting an extension.  Refer to the DUA - Contact Changes page for further details.

Step 2 - the Requestor or any Custodian listed on the DUA may request the extension

Step 3 - only send one (1) request for one (1) DUA in each e-mail

Step 4 - create an e-mail:

    a) Reply to one of the DUA expiration e-mail notifications that you received and include the full e-mail in the body of your e-mail.  Do NOT attach the e-mail.  By seeing our e-mail, we can easily verify that none of the contact's e-mail or phone information is blank.  This also allows us to quickly see, if applicable, whether or not your CMS contact has approved your request.  In our e-mail notifications, the CMS contact is either your CMS sponsored State program representative, Contracting Officer Representative (COR) or Government Task Lead (GTL).  If the CMS contact is blank in our e-mail notification, this just means that your DUA does not have a CMS contact.

    b) non-Federally sponsored DUAs send to DataUseAgreement@cms.hhs.gov

    c) Federally sponsored DUAs, must have the approval of the CMS contact mentioned above in step 4a or the your Federal Project Officer (PO), which ever is applicable.  When you send your request to your federal contact, do NOT cc DataUseAgreement@cms.hhs.gov

Step 5 - e-mail Subject line: DUA ##### - Extension            (where ##### is the DUA #)

Step 6 - copy/paste the following extension justification statements into the body of your e-mail

1. We are currently still using this data as originally requested for our Project/Study. 
2. In accordance with the terms and conditions of the DUA, we understand that the data for this DUA may not be used in any form for any additional work outside the scope of this DUA without the expressed written consent of CMS' DUA Team.
3. All contacts on the DUA are correct and their contact information is accurate. 
4. We request a one (1) year [or less if applicable] extension for the DUA number listed in the Subject of this e-mail.

Step 7 - for Federal sponsored DUAs only, the sponsor must send the e-mail to DataUseAgreement@cms.hhs.gov, and state "I approval this request".  Be sure to cc the individual who originated the request as well as the Requestor of the DUA.

Step 8 - Regardless of who funded your project/study, make sure all individuals listed on the DUA are cc'd on your e-mail requesting the extension to avoid duplication.  All of the individuals listed on the e-mail that is received by the DUA team will receive a reply when the DUA is extended.