[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:
    <bullet> Federal eRulemaking Portal: http://regulations.gov. Follow 
the instructions for submitting comments.
    <bullet> E-mail: Include PA SOR number 09-20-0136 in the subject 
line of the message.

[[Page 4459]]

    <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.
    <bullet> 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]
BILLING CODE 4163-18-P