Flu PIA

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Privacy Impact Assessment Form
v 1.47.4
Status Draft

Form Number

F-57850

Form Date

Question

Answer

1

OPDIV:

CDC

2

PIA Unique Identifier:

P-8781131-614186

2a Name:

6/21/2018 1:21:22 PM

EIP_All Age Hospitalization Database (EIPAAHD)
General Support System (GSS)
Major Application

3

Minor Application (stand-alone)

The subject of this PIA is which of the following?

Minor Application (child)
Electronic Information Collection
Unknown

3a

Identify the Enterprise Performance Lifecycle Phase
of the system.

Operations and Maintenance
Yes

3b Is this a FISMA-Reportable system?

4

Does the system include a Website or online
application available to and for the use of the general
public?

5

Identify the operator.

6

Point of Contact (POC):

7

Is this a new or existing system?

8

Does the system have Security Authorization (SA)?

8b Planned Date of Security Authorization

No
Yes
No
Agency
Contractor
POC Title

Business Steward

POC Name

Shikha Garg

POC Organization NCIRD/ID/EPB
POC Email

[email protected]

POC Phone

404-639-6142
New
Existing
Yes
No
October 19, 2018
Not Applicable

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11 Describe the purpose of the system.

EIP_All Age Hospitalization Database (EIPAAHD) is a
population-based network of CDC and state health
departments, working with collaborators (local health
departments, public health laboratories, clinical laboratories,
infection control practitioners, healthcare providers, academic
institutions, and other federal agencies) to assess the public
health impact of emerging infections and to evaluate methods
for their prevention and control. The tool enables users to
enter clinical information into data entry screens for inclusion
in the CDC Influenza staff's analyses.
EIPAAHD maintains information related to patient
hospitalization from influenza, for example: information
related to enrollment, type of flu test performed, symptoms
and vaccination history, and treatment performed. Additional
demographics are also collected, such as: Date of Birth (DOB),
Hospital name, Hospital admission/discharge date, Nursing
Home Resident (Y/N), Age, Sex, Ethnicity and Lab results.

Describe the type of information the system will
collect, maintain (store), or share. (Subsequent
12
questions will identify if this information is PII and ask
about the specific data elements.)
External users access the system via the Secured Access
Management System (SAMS), a separate access control system.
SAMS has its own PIA. Internal users are identified and
authenticated via PIV and Active Directory (AD). AD is a
separate system with its own PIA.
The Emerging Infections Programs (EIPs) All Age
Hospitalization Database is a population-based network of
CDC and state health departments, working with collaborators
(local health departments, public health laboratories, clinical
laboratories, infection control practitioners, healthcare
providers, academic institutions, and other federal agencies) to
assess the public health impact of emerging infections and to
evaluate methods for their prevention and control. This system
allows collection of clinical information for inclusion in the CDC
Influenza analyses.

Provide an overview of the system and describe the
13 information it will collect, maintain (store), or share,
either permanently or temporarily.

EIPAAHD maintains information related to patient
hospitalization from influenza, for example: information
related to enrollment, type of flu test performed, symptoms
and vaccination history, and treatment performed. Additional
demographics are also collected, such as: Date of Birth (DOB),
Hospital name, Hospital admission/discharge date, Nursing
Home Resident (Y/N), Age, Sex, Ethnicity and Lab results. The
information related to type of flu test performed, symptoms
and vaccination history, and treatment provides insight into
cumulative and weekly flu related hospitalizations that are
laboratory confirmed cases for flu's weekly publication. No
records are extracted by PII and weekly publication only
provides aggregated count by categories.
External users access the system via the Secured Access
Management System (SAMS), a separate access control system.
SAMS has its own PIA. Internal users are identified and
authenticated via PIV and Active Directory (AD). AD is a
separate system with its own PIA.

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Yes

14 Does the system collect, maintain, use or share PII?

15

No

Indicate the type of PII that the system will collect or
maintain.

Social Security Number

Date of Birth

Name

Photographic Identifiers

Driver's License Number

Biometric Identifiers

Mother's Maiden Name

Vehicle Identifiers

E-Mail Address

Mailing Address

Phone Numbers

Medical Records Number

Medical Notes

Financial Account Info

Certificates

Legal Documents

Education Records

Device Identifiers

Military Status

Employment Status

Foreign Activities

Passport Number

Taxpayer ID

Employees
Public Citizens
16

Business Partners/Contacts (Federal, state, local agencies)

Indicate the categories of individuals about whom PII
is collected, maintained or shared.

Vendors/Suppliers/Contractors
Patients
Other

17 How many individuals' PII is in the system?

18 For what primary purpose is the PII used?

19

Describe the secondary uses for which the PII will be
used (e.g. testing, training or research)

10,000-49,999
The date of birth is used to calculate the age of the case so that
the case can be aggregated into the appropriate age category
for Flu's weekly report.
N/A

20 Describe the function of the SSN.

None

20a Cite the legal authority to use the SSN.

N/A

21

Identify legal authorities governing information use
Section 301 of Public Health Service Act (42 U.S.C. 241)
and disclosure specific to the system and program.

22

Are records on the system retrieved by one or more
PII data elements?

Yes
No

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Directly from an individual about whom the
information pertains
In-Person
Hard Copy: Mail/Fax
Email
Online
Other
Government Sources
23

Within the OPDIV
Other HHS OPDIV
State/Local/Tribal
Foreign
Other Federal Entities
Other

Identify the sources of PII in the system.

Non-Government Sources
Members of the Public
Commercial Data Broker
Public Media/Internet
Private Sector
Other
23a

Identify the OMB information collection approval
number and expiration date.

24 Is the PII shared with other organizations?
Describe the process in place to notify individuals
25 that their personal information will be collected. If
no prior notice is given, explain the reason.
26

Is the submission of PII by individuals voluntary or
mandatory?

N/A
Yes
No
CDC does not have direct contact with the individuals whose
PII is collected. PII is collected by the states and reported to
CDC as required by state law. The states have varying
processes for notifying individuals.
Voluntary
Mandatory

Describe the method for individuals to opt-out of the
collection or use of their PII. If there is no option to
27
object to the information collection, provide a
reason.

CDC does not have direct contact with the individuals whose
PII is collected. PII is collected by the states and reported to
CDC as required by state law. The states have varying
processes for notifying individuals.

Describe the process to notify and obtain consent
from the individuals whose PII is in the system when
major changes occur to the system (e.g., disclosure
28 and/or data uses have changed since the notice at
the time of original collection). Alternatively, describe
why they cannot be notified or have their consent
obtained.

CDC cannot notify and obtain consent from the individuals
whose PII is in the system when major changes occur to the
system. PII is collected by the states and reported to CDC as
required by state law; however, no PII is reported to that
identifies the individuals or provides the ability to contact
them.

Describe the process in place to resolve an
individual's concerns when they believe their PII has
29 been inappropriately obtained, used, or disclosed, or
that the PII is inaccurate. If no process exists, explain
why not.

CDC is not provided PII that directly identifies individuals and
hence, has no way of identifying an individual. Thus, CDC
cannot validate individual's claim of their data. As all
information is collected by the states, redress and grievances
can only be addressed by the states.

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Describe the process in place for periodic reviews of
PII contained in the system to ensure the data's
30
integrity, availability, accuracy and relevancy. If no
processes are in place, explain why not.

31

Identify who will have access to the PII in the system
and the reason why they require access.

If a potential inconsistency is detected such as between DOB
and hospitalization date, then CDC will request the state to
verify the data and retransmit necessary corrections.
Users

For data entry and analysis

Administrators

For data management

Developers

For troubleshooting errors

Contractors
Others
Describe the procedures in place to determine which All users must be approved by the Business Steward (BS) based
on roles, duties and responsibilities. Once authorized by the
32 system users (administrators, developers,
BS, the user will have access to the data. Roles are categorized
contractors, etc.) may access PII.
between read only, and read/write.
Describe the methods in place to allow those with
33 access to PII to only access the minimum amount of
information necessary to perform their job.
Identify training and awareness provided to
personnel (system owners, managers, operators,
contractors and/or program managers) using the
34
system to make them aware of their responsibilities
for protecting the information being collected and
maintained.
Describe training system users receive (above and
35 beyond general security and privacy awareness
training).
Do contracts include Federal Acquisition Regulation
36 and other appropriate clauses ensuring adherence to
privacy provisions and practices?

AD Role based file and folder permissions limit the user to
having either read only or read/write permission to the data.

CDC provides annual Security and Privacy Awareness Training.

None
Yes
No

Describe the process and guidelines in place with
37 regard to the retention and destruction of PII. Cite
specific records retention schedules.

Records are retained and disposed of in accordance with the
CDC Records Control Schedule. Records are maintained in
agency until no longer needed, at which point they will be
destroyed. Disposal methods include erasing computer media
when no longer needed. N1-442-09-1

Describe, briefly but with specificity, how the PII will
38 be secured in the system using administrative,
technical, and physical controls.

Administrative - users will be granted access on a need to
know basis by the Business Owner/Data Manager.
Technical - encryption; AD authentication; Access Control
tools.
Physical - The server is hosted in a secure area.

General Comments

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OPDIV Senior Official
for Privacy Signature

Beverly E.
Walker -S

Digitally signed by
Beverly E. Walker -S
Date: 2018.10.03 17:40:04
-04'00'

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