[Federal Register Volume 76, Number 16 (Tuesday, January 25, 2011)]
[Notices]
[Pages 4443-4445]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-33009]



[[Page 4443]]

-----------------------------------------------------------------------

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 HIV, STD and TB Prevention (NCHSTP), 
Centers for Disease Control and Prevention (CDC), Department of Health 
and Human Services (DHHS).

ACTION: Notification of Proposed Altered System of Records.

-----------------------------------------------------------------------

SUMMARY: The Department of Health and Human Services proposes to alter 
System of Records, 09-20-0096, ``Records of Tuskegee Study Health 
Benefit Recipients, HHS/CDC/NCHSTP.'' HHS is proposing to add the 
following Breach Response Routine Use Language to comply with the 
Office of Management and Budget (OMB) Memorandum (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 HIV, 
STD and TB Prevention (NCHSTP).

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 NIOSH receives comments that would 
result in a contrary determination.

ADDRESSES:  You may submit comments, identified by the Privacy Act 
System of Record Number 09-20-0096:
    <bullet> Federal eRulemaking Portal: http://regulations.gov. Follow 
the instructions for submitting comments.
    <bullet> E-mail: Include PA SOR number 09-20-0096 in the subject 
line of the message.
    <bullet> Phone: 770/488-8660 (not a toll-free number).
    <bullet> Fax: 770/488-8659.
    <bullet> 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.
    <bullet> 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: NCHSTP proposes to alter System of Records, 
No. 09-20-0096, ``Records of Tuskegee Study Health Benefit Recipients, 
HHS/CDC/NCHSTP.'' To determine eligibility and provide medical benefits 
for participants and qualified family members.
    This System of Records 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 HIV, STD and TB Prevention (NCHSTP)

Records of Tuskegee Study Health Benefit Recipients--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. 09-20-0096 ``Records of Tuskegee Study Health 
Benefit Recipients, HHS/CDC/NCHSTP.'' HHS is proposing to add the 
following Breach Response Routine Use Language to comply with the 
Office of Management and Budget (OMB) Memorandum (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

    To determine eligibility and provide medical benefits for 
participants and qualified family members.

II. Authority for Maintenance of the System

    The statutory authority for this system is given under the Public 
Health Service Act, Section 301, ``Research and Investigation'' (42 
U.S.C. 241).

III. Proposed Routine Use Disclosures of Data in the System

    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 routine uses proposed for this System are compatible with 
the stated purpose of the System:
    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 records, (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;

[[Page 4444]]

    (D) Has secured a written statement attesting to the recipient's 
understanding of, and willingness to abide by these provisions.
    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.
    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, 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.
    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

    The first routine use permits an individual to learn if a record 
exists about himself or herself by contacting the system manager at the 
address above. Requesters in person must provide driver's license or 
other positive identification. Individuals who do not appear in person 
must either: (1) Submit a notarized request to verify their identity; 
or (2) certify that they are the individuals they claim to be and that 
they understand that the knowing and willful request for or acquisition 
of a record pertaining to an individual under false pretenses is a 
criminal offense under the Privacy Act subject to a $5,000 fine.
    An individual who requests notification of or access to medical 
records shall, at the time the request is made, designate in writing a 
responsible representative who is willing to review the record and 
inform the subject individual of its contents at the representative's 
discretion.
    A parent or guardian who requests notification of, or access to, a 
child's medical record shall designate a family physician or other 
health professional (other than a family member) to whom the record, if 
any, will be sent. The parent or guardian must verify relationship to 
the child by means of a birth certificate or court order, as well as 
verify that he or she is who he or she claims to be.
    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 File folders, computer 
tapes/disks, and CD-ROMs.
    The records have the following safeguards in place:
    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 
nearby. The computer room is protected by an automatic sprinkler 
system, automatic sensors (e.g., water, heat, smoke, etc.) are 
installed, and portable fire extinguishers are 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 National Center Local Area Network (LAN) include 
programmed verification of valid user identification code and password 
prior to logging on to the system, changed 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 are routine daily backup procedures and 
secure off-site storage is available for backup files. 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.
    Implementation Guidelines: The safeguards outlined above are 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 Center LAN 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.
    Records are retained and disposed of in accordance with the CDC 
Records Control Schedule. Records are maintained in agency for five 
years. Disposal methods include erasing computer tapes and burning or 
shredding paper materials or transferring records to the Federal 
Records Center when no longer needed for evaluation and analysis. 
Special Reports are to be maintained permanently.

[[Page 4445]]

VI. OMB Control Numbers, Expiration Dates, and Titles of Information 
Collection

    A. Full Title: ``Records of Tuskegee Study Health Benefit 
Recipients, HHS/CDC/NCHSTP.''
    OMB Control Number: 09-20-0096.
    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. 2010-33009 Filed 1-24-11; 8:45 am]
BILLING CODE 4163-18-P