Privacy Impact Assessment

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Privacy Impact Assessment Form
v 1.47.4
Status Draft

Form Number

F-26384

Form Date

Question

Answer

1

OPDIV:

CDC

2

PIA Unique Identifier:

P-5132987-098375

2a Name:

2/16/2021 10:41:01 AM

Data Coordinating Center (DCC)
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

IT Specialist

POC Name

Carman Layne

POC Organization NCHHSTP/OD
POC Email

[email protected]

POC Phone

770.488.8116
New
Existing
Yes
No
April 23, 2021
Not Applicable

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11 Describe the purpose of the system.

The Data Coordinating Center (DCC) application was
developed by Division of HIV/AIDS Prevention (DHAP) to
provide Local and State health departments (Grantee) with
user-friendly tools to manage participant (Public Citizen)
tracking information, data collection schedules, data
submissions, error resolutions, and reporting. (Public Citizen)
data collected by the grantees are entered into the Medical
Monitoring Project (MMP) Tracking Module application then
synced to DCC using Centers for Disease Control and
Prevention (CDC) encrypted variables on a monthly bases. CDC
uses these cumulative datasets to inform and instruct the
internal data management processes.

The types of data DCC collects and stores from National HIV
Behavioral Surveillance (NHBS) and MMP area sites are;
person's name, birth-date, sex at birth, year of birth, birth
county, gender, race, ethnicity and MMP Participant ID (ParID).
The ParID contains a list of de-identified field variables about
the person's (Public Citizen) disposition which is; interview
date, interview status, date of first contact and attempts, lead
source, data collector IDs, user-name of person syncing and
Describe the type of information the system will
time. Data sets are then returned to the project area sites to
collect, maintain (store), or share. (Subsequent
use for their local analysis and reporting the national HIV
12
questions will identify if this information is PII and ask database.
about the specific data elements.)
Non-sensitive business contact and email address (Grantee)
data is collected and stored to create their system user
accounts to receive their unique user-id from the DCC
administrator by email. (Grantee) user access to this
application is authenticated via user-id and password. (CDC)
user access is authenticated via Personal Identity Verification
(PIV) and Active Directory (AD) for Single-Sign On (SSO). AD is a
system with its own PIA.

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DCC is a DHAP vendor developed application, designed to
sync and receive critical MMP fielding information collected
and supported by the NHBS and MMP project area sites.
During each collecting period, only variables unique to the
DCC identifiers will be available to CDC project staff for HIV
data management and report generation.
DCC primary objectives are to:

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

1) Receive sync data from the MMP Tracking Module collected
by MMP project area sites over a secure encrypted internet
connection;
2) Process received data for quality assurance and error
correction;
3) Create and transfer cumulative and final data sets to CDC
and to project area sites;
4) Provide ad-hoc technical assistance to National HIV
Behavioral Surveillance (NHBS) and Medical Monitoring Project
(MMP) area sites;
5) Provide formal training sessions for NHBS and MMP project
area staff; and
6) Communicate with and report to CDC DHAP.
The types of data DCC collects and stores from NHBS and MMP
area sites are; person name, birth-date, sex at birth, year of
birth, birth county, gender, race, ethnicity and MMP Participant
ID (ParID). The ParID contains a list of de-identified field
variables about the person's (Public Citizen) disposition which
is; interview date, interview status, date of first contact and
attempts, lead source, data collector IDs, user-name of person
syncing and time. Data sets are then returned to the project
area sites to use for their local analysis and reporting the
national HIV database.
Non-sensitive business contact and email address (Grantee) PII
data is collected and stored to create their system user
accounts to receive their unique user-id from the DCC
administrator by email. External (Grantee) user access to this
application is authenticated via user-id and password. Internal
(CDC) user access is authenticated via PIV and AD for SSO. AD
has its own PIA.

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

Yes
No

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15

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
User ID and Password
City, State and Zipcode
sex at birth, year of birth, birth county, gender, race, and
ethnicity

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 Grantees

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)

100,000-999,999
PII (Public Citizen): data will be used for surveillance and
reporting of cumulative HIV data to CDC. Business contact and
Email (Grantee): will be used to create user accounts and to
receive their unique user-id email from the DCC administrator
for system identification and authorization.
To control external (Grantee) access to DCC application for
technical assistance, training and communication with DHAP.

20 Describe the function of the SSN.

N/A

20a Cite the legal authority to use the SSN.

N/A

Public Health Service Act, Section 301, "Research and
Identify legal authorities governing information use Investigation," (42 U.S.C. 241); and Sections 304, 306 and 308(d)
21
which discuss authority to maintain data and provide
and disclosure specific to the system and program.
assurances of confidentiality for health research and related
activities (42 U.S.C. 242 b, k, and m(d)).

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22

Yes

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

No
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?

TBD
Yes
No
The process to notify individuals is having project participants
(Grantee) sign a Medical Monitoring Project Statement of
Informed Consent form which notifies the individual about
what type of personal information will be collected. (Public
Citizen) are notified by their state and local health
departments, HIV Surveillance Programs.
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.

(Grantee) participation in the DCC application is strictly
voluntary. The method at the local, state level, individuals
(Public Citizen) have the option to decline to answer any of the
interview questions, therefore, they would not have to provide
their education status.

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.

The process to notify and obtain consent in the event of major
changes, the individual project area sites have contact
information available to notify participants (Grantee) and
obtain additional consent if the need arises. (Public Citizen) are
notified by their state and local health departments, HIV
Surveillance Programs.

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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.

The informed consent document contains information for
(Grantee) contacting the appropriate individuals or
organizations should they have questions/concerns about
their PII. Individuals (Public Citizen) can also contact their state
and local health departments, HIV Surveillance Programs for
assistance.

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.

The process is each project area (Grantee) is responsible for
securing and maintaining their MMP datasets on secure drives
and managing access to the data. They follow their local data
destruction policies regarding any data they may have
collected in addition to the final dataset in the course of their
routine surveillance activities. They also follow their local
policies and procedures for conducting routine reviews of the
data to ensure availability, integrity, and access to the data.
Accuracy is assured by CDC when they receive the dataset.
CDC receives a final national dataset and maintains these
annual datasets on secure CDC data drives. Annual security/
privacy reviews are conducted to control access and
availability of the data to CDC users. Integrity is ensured by
CDC’s routine back-ups.
Users

Administrators
31

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

Users need access to monitor HIV
(Public Citizen) data then sync this data
to DCC for CDC to analyze and
document.
To control access to the system by
creating user (Grantee) accounts then
emailing unique user ids to the user.

Developers

Contractors

(Direct Contractor) To control access to
the system by creating user (Grantee)
accounts then emailing unique user ids
to the user.

Others
There are three roles in DCC, System Administrator, Analyst
and Data Entry. The System Administrator role determines who
has access to PII through access control list (ACL). Role-based
Describe the procedures in place to determine which access controls (RBAC) are configured so that each user
(Grantee) could access only the data necessary for the user's
32 system users (administrators, developers,
role. System Administrator may access (Grantee) PII used
contractors, etc.) may access PII.
during account creation, or if technical assistance is provided
to the user. Data Analyst and Entry users (Grantee) roles only
access (Public Citizen) PII which they have uploaded to the
tracking module for processing.
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.

The least-privilege model is utilized to ensure those with
access to PII only have access to the minimum amount of data
assigned to them by access-level (i.e., read, write, full)
necessary to perform their job.

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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.

(System Admin/Data Analyst/Entry): Annual CDC Security and
Privacy Awareness Training (SAT). Individual MMP Sites
(Grantee) are required to complete their organization specific
Security Awareness training.

Describe training system users receive (above and
35 beyond general security and privacy awareness
training).

N/A

Do contracts include Federal Acquisition Regulation
36 and other appropriate clauses ensuring adherence to
privacy provisions and practices?

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

Yes
No
Internal (CDC users) are required to use the CDC Records
Control Schedule. The applicable section is General Records
Schedule (GRS) 4.2: Information Access and Protection Records
which states destruction when 3 years old, but longer
retention is authorized if needed for business use. Information
that would permit identification of any individual or
establishment is collected with a guarantee that it will be held
in confidence, will be used only for purposes stated in
reporting forms, and will not be otherwise disclosed or
released without the consent of the individual or the
establishment in accordance with Sections 306 and 308(d) of
the Public Health Service Act (42 USC 242K and 252m, {d}).
Access to the data set is limited to members of the Division of
HIV/AIDS performing activities or analysis supporting public
health activities. Appeal is to the Director, Division of HIV/AIDS,
NCHSTP, or Director, CDC. CDC doesn’t access the PII, CDC data
sets are encrypted when submitted to the Data Portal. No
information will be disclosed to the public, parties involved in
civil, criminal, or administrative litigation, or non-public-health
agencies of the federal, state, or local government.
The MMP project area sites are required to follow their
organization specific records retention schedules for the
retention and destruction of (Grantee) PII data. Retention and
destruction of (Public Citizen) data process is handled by their
state and local health departments, HIV Surveillance Programs.

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Administrative:
The MMP project area sites are responsible for following their
organization specific security procedures, which at a minimum
include restricting access to the PII to only authorized
(Grantee) users. CDC users are required to follow CDC, HHS,
and OMB policies and procedures for protecting PII
information. This includes restricting access to PII following
approved access control list (ACL).
Describe, briefly but with specificity, how the PII will
38 be secured in the system using administrative,
technical, and physical controls.

Technical:
Users (Grantee) can only access the application via unique
user-id and password authentication. The application is set to
automatically log off the when left unattended. The
application utilizes role-based access controls. PII (Public
Citizen) data is further protected by implementing encryption
for data while in transit and at rest.
Physical:
DCC data centers housing the electronic data are protected
with locked doors to the server rooms, in some cases, closed
circuit tv may be used to monitor the facility, in other facilities,
guards are posted at the front entrance to restrict access to the
building to only authorized DCC individuals.

General Comments

OPDIV Senior Official
for Privacy Signature

Q10: C.2.8.9: PII Data Categorization change from Low to Moderate

signed by Jarell
Jarell Oshodi Digitally
Oshodi -S
Date: 2021.03.02 12:39:39
-S
-05'00'

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