[Federal Register Volume 76, Number 16 (Tuesday, January 25, 2011)]
[Notices]
[Pages 4458-4460]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-33017]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Centers for Disease Control and Prevention
Privacy Act of 1974; Report of Modified or Altered System of
Records
AGENCY: National Center for Infectious Diseases (NCID), Department of
Health and Human Services (DHHS).
ACTION: Notification of Proposed Altered System of Records.
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SUMMARY: The Department of Health and Human Services proposes to alter
System of Records, 09-20-0136, ``Epidemiologic Studies and Surveillance
of Disease Problems, HHS/CDC/NCID.'' HHS is proposing to add the
following Breach Response Routine Use Language to comply with the
Office of Management and Budget (OMB) Memoranda (M) 07-16, Safeguarding
Against and Responding to the Breach of Personally Identifiable
Information:
To appropriate Federal agencies and Department contractors that
have a need to know the information for the purpose of assisting the
Department's efforts to respond to a suspected or confirmed breach of
the security or confidentiality of information disclosed is relevant
and necessary for that assistance.
These records will be maintained by the National Center for
Infectious Diseases (NCID).
DATES: Comments must be received on or before February 24, 2011. The
proposed altered System of Records will be effective 40 days from the
date submitted to the OMB, unless NCID receives comments that would
result in a contrary determination.
ADDRESSES: You may submit comments, identified by the Privacy Act
System of Record Number 09-20-0136:
Federal eRulemaking Portal: http://regulations.gov. Follow
the instructions for submitting comments.
E-mail: Include PA SOR number 09-20-0136 in the subject
line of the message.
[[Page 4459]]
Phone: 770/488-8660 (not a toll-free number).
Fax: 770/488-8659.
Mail: HHS/CDC Senior Official for Privacy (SOP), Office of
the Chief Information Security Officer (OCISO), 4770 Buford Highway--M/
S: F-35, Chamblee, GA 30341.
Hand Delivery/Courier: HHS/CDC Senior Official for Privacy
(SOP), Office of the Chief Information Security Officer (OCISO), 4770
Buford Highway--M/S: F-35, Chamblee, GA 30341.
Comments received will be available for inspection and
copying at this same address from 9 a.m. to 3 p.m., Monday through
Friday, Federal holidays excepted.
SUPPLEMENTARY INFORMATION: NCID proposes to alter System of Records,
No. 09-20-0136, ``Epidemiologic Studies and Surveillance of Disease
Problems, HHS/CDC/NCID.'' This record system enables Centers for
Disease Control and Prevention (CDC) officials to better understand
disease patterns in the United States, develop programs for prevention
and control of health problems, and communicate new knowledge to the
health community.
This System of Record Notice is being altered to add the Breach
Response Routine Use Language to comply with the Office of Management
and Budget (OMB) memorandum dated May 22, 2007.
The following notice is written in the present tense, rather than
the future tense, in order to avoid the unnecessary expenditure of
public funds to republish the notice after the System has become
effective.
Dated: December 11, 2009.
James D. Seligman,
Chief Information Officer, Centers for Disease Control and Prevention.
Editorial Note: This document was received at the Office of the
Federal Register on December 27, 2010.
Department of Health and Human Services (HHS)
Centers for Disease Control and Prevention (CDC)
National Center for Infectious Diseases (NCID)
Epidemiologic Studies and Surveillance of Disease Problems--Report of
Modified or Altered System of Records
Narrative Statement
I. Background and Purpose of the System
A. Background
The Department of Health and Human Services proposes to alter
System of Records, No. 09-20-0136 ``Epidemiologic Studies and
Surveillance of Disease Problems, HHS/CDC/NCID.'' HHS is proposing to
add the following Breach Response Routine Use Language to comply with
the Office of Management and Budget (OMB) Memoranda (M) 07-16,
Safeguarding Against and responding to the Breach of Personally
Identifiable Information:
To appropriate federal agencies and Department contractors that
have a need to know the information for the purpose of assisting the
Department's efforts to respond to a suspected or confirmed breach of
the security or confidentiality of information disclosed is relevant
and necessary for that assistance.
B. Purpose
This record system enables Centers for Disease Control and
Prevention (CDC) officials to better understand disease patterns in the
United States, develop programs for prevention and control of health
problems, and communicate new knowledge to the health community.
II. Authority for Maintenance of the System
Public Health Service Act, Section 301, ``Research and
Investigation,'' (42 U.S.C. 241); and Sections 304, 306 and 308(d)
which discuss authority and provide assurances of confidentiality for
health research and related activities (42 U.S.C. 242b, 242k, and
242m(d)).
III. Proposed Routine Use Disclosures of Data in the System
The following routine uses apply to all records in this system
except those maintained under an assurance of confidentiality provided
by Section 308(d) of the Public Health Service Act (unless expressly
authorized in the consent form or stipulated in the Assurance
Statement):
A record may be disclosed for a research purpose, when the
Department:
(A) Has determined that the use or disclosure does not violate
legal or policy limitations under which the record was provided,
collected, or obtained;
(B) has determined that the research purpose (1) cannot be
reasonably accomplished unless the record is provided in individually
identifiable form, and (2) warrants the risk to the privacy of the
individual that additional exposure of the record might bring;
(C) has required the recipient to (1) establish reasonable
administrative, technical, and physical safeguards to prevent
unauthorized use or disclosure of the record, (2) remove or destroy the
information that identifies the individual at the earliest time at
which removal or destruction can be accomplished consistent with the
purpose of the research project, unless the recipient has presented
adequate justification of a research or health nature for retaining
such information, and (3) make no further use or disclosure of the
record except (a) in emergency circumstances affecting the health or
safety of any individual, (b) for use in another research project,
under these same conditions, and with written authorization of the
Department, (c) for disclosure to a properly identified person for the
purpose of an audit related to the research project, if information
that would enable research subjects to be identified is removed or
destroyed at the earliest opportunity consistent with the purpose of
the audit, or (d) when required by law;
(D) Has secured a written statement attesting to the recipient's
understanding of, and willingness to abide by these provisions.
Disclosure may be made to organizations deemed qualified by the
Secretary to carry out quality assessment, medical audits or
utilization review.
Records may be disclosed to health departments and other public
health or cooperating medical authorities in connection with program
activities and related collaborative efforts to deal more effectively
with diseases and conditions of public health significance.
Records may be disclosed to appropriate federal agencies and
Department contractors that have a need to know the information for the
purpose of assisting the Department's efforts to respond to a suspected
or confirmed breach of the security or confidentiality of information
disclosed is relevant and necessary for that assistance.
IV. Effects of the Proposed System of Records on Individual Rights
Disclosure may be made to a congressional office from the record of
an individual in response to a verified inquiry from the congressional
office made at the written request of that individual.
In the event of litigation where the defendant is: (a) The
Department, any component of the Department, or any employee of the
Department in his or her official capacity; (b) the United States where
the Department determines that the claim, if successful, is likely to
directly affect the operations of the Department or any of its
components; or (c) any Department employee in his or her individual
capacity where the Department of Justice has agreed to represent such
employee, for example,
[[Page 4460]]
in defending a claim against the Public Health Service based upon an
individual's mental or physical condition and alleged to have arisen
because of activities of the Public Health Service in connection with
such individual, disclosure may be made to the Department of Justice to
enable that Department to present an effective defense, provided that
such disclosure is compatible with the purpose for which the records
were collected.
Records may be disclosed by CDC in connection with public health
activities to the Social Security Administration for sources of
locating information to accomplish the research or program purposes for
which the records were collected.
Same as notification procedures. Requesters should also reasonably
specify the record contents being sought. An accounting of disclosures
that have been made of the record, if any, may be requested.
V. Safeguards
The records in this System are stored in computer tapes/disks,
printouts, CD-ROMs, and file folders. The records are retrieved by name
and by identification number.
The records in this System have the following safeguards in place
to maintain and protect the information as it relates to authorized
users, physical and procedural safeguards:
Authorized users--A database security package is implemented on
CDC's mainframe computer to control unauthorized access to the system.
Attempts to gain access by unauthorized individuals are automatically
recorded and reviewed on a regular basis. Access is granted to only a
limited number of physicians, scientists, statisticians, and designated
support staff of the Centers for Disease Control and Prevention (CDC),
or its contractors, as authorized by the system manager to accomplish
the stated purposes for which the data in this system have been
collected.
Physical Safeguards--Access to the CDC Clifton Road facility where
the mainframe computer is located is controlled by a cardkey system.
Access to the computer room is controlled by a cardkey and security
code (numeric keypad) system. Access to the data entry area is also
controlled by a cardkey system. The hard copy records are kept in
locked cabinets in locked rooms. The local fire department is located
directly next door to the Clifton Road facility. The computer room is
protected by an automatic sprinkler system, numerous automatic sensors
(e.g., water, heat, smoke, etc.) are installed, and a proper mix of
portable fire extinguishers is located throughout the computer room.
The system is backed up on a nightly basis with copies of the files
stored off site in a secure fireproof safe. Security guard service in
buildings provides personnel screening of visitors.
Procedural Safeguards--Protection for computerized records both on
the mainframe and the CIO Local Area Network (LAN) includes programmed
verification of valid user identification code and password prior to
logging on to the system, mandatory password changes, limited log-ins,
virus protection, and user rights/file attribute restrictions. Password
protection imposes user name and password log-in requirements to
prevent unauthorized access. Each user name is assigned limited access
rights to files and directories at varying levels to control file
sharing. There is routine daily backup procedures and secure off-site
storage is available for backup tapes. To avoid inadvertent data
disclosure, ``degaussing'' is performed to ensure that all data are
removed from Privacy Act computer tapes and/or other magnetic media.
Additional safeguards may be built into the program by the system
analyst as warranted by the sensitivity of the data.
CDC and contractor employees who maintain records are instructed to
check with the system manager prior to making disclosures of data. When
individually identified data are being used in a room, admittance at
either CDC or contractor sites is restricted to specifically authorized
personnel. Privacy Act provisions are included in contracts, and the
CDC Project Director, contract officers and project officers oversee
compliance with these requirements. Upon completion of the contract,
all data will be either returned to CDC or destroyed, as specified by
the contract.
Implementation Guidelines: The safeguards outlined above are
developed in accordance with the HHS Information Security Program
Policy and FIPS Pub 200, ``Minimum Security Requirements for Federal
Information and Information Systems.'' Data maintained on CDC's
Mainframe and the National Centers' LANs are in compliance with OMB
Circular A-130, Appendix III. Security is provided for information
collection, processing, transmission, storage, and dissemination in
general support systems and major applications.
The records in this System are retained and disposed of in the
following way: Records are retained and disposed of in accordance with
the CDC Records Control Schedule. Record copy of study reports are
maintained in agency from two to three years in accordance with
retention schedules. Source documents for computer are disposed of when
no longer needed by program officials. Personal identifiers may be
deleted from records when no longer needed in the study as determined
by the system manager, and as provided in the signed consent form, as
appropriate. Disposal methods include erasing computer tapes, burning
or shredding paper materials or transferring records to the Federal
Records Center when no longer needed for evaluation and analysis.
Records are retained for 20 years; for longer periods if further study
is needed.
VI. OMB Control Numbers, Expiration Dates, and Titles of Information
Collection
A. Full Title: ``Epidemiologic Studies and Surveillance of Disease
Problems, HHS/CDC/NCID.''
OMB Control Number: 09-20-0136.
Expiration Date: TBD.
VII. Supporting Documentation
A. Preamble and Proposed Notice of System for publication in the
Federal Register.
B. Agency Rules: None.
C. Exemption Requested: None.
D. Computer Matching Report: The new system does not require a
matching report in accordance with the computer matching provisions of
the Privacy Act.
[FR Doc. 2010-33017 Filed 1-24-11; 8:45 am]
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