PIA Form

Save

Privacy Impact Assessment Form
v 1.47.4
Status Draft

Form Number

F-33121

Form Date

Question

Answer

1

OPDIV:

CDC

2

PIA Unique Identifier:

P-9757425-856031

2a Name:

12/2/2019 7:51:19 AM

DFWED Outbreak_Event Surveillance (DFWED OES)
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

Darien Ogburn

POC Organization CDC / NCEZID / DFWED
POC Email

[email protected]

POC Phone

404.639.1840
New
Existing
Yes
No
March 12, 2020
Not Applicable

Page 1 of 6

Save

11 Describe the purpose of the system.

The system provides State health departments in all 50 states,
the District of Columbia, Puerto Rico, and the territories the
ability to enter data about enteric disease outbreaks caused by
food, water, animal contact, person-to-person contact, and the
environment.

The system captures aggregate information about an
outbreak. This includes information about the mode of
transmission, implicated foods, symptoms, etc. Additionally,
the system captures the name of the reporting agency, the
Describe the type of information the system will
name of the agency point of contact, their title, Phone number,
collect, maintain (store), or share. (Subsequent
12
questions will identify if this information is PII and ask fax number, and email address. The name of both the form
author and the report author is also collected. The system does
about the specific data elements.)
store the individuals user id and password to perform user
identification and authentication for authorized users. CDC
users are authenticated using Active Directory (AD) and AD has
it's own PIA.

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

The DFWED OES system is a web application with a database
backend. This system provides the ability for states to enter
data about enteric disease outbreaks. The system captures
aggregate information about an outbreak. This includes
information about the mode of transmission, implicated foods,
symptoms, etc. The system captures the name of the reporting
agency, the name of the agency point of contact, their title,
phone number, fax number, and email address. The name of
both the form author and the report author is also collected.
The system does store the individuals user id and password to
perform user identification and authentication for authorized
users.
Yes

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

15

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

No
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
Name of Agency
User ID
Password
Fax Number

Page 2 of 6

Save
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)

100-499
The Agency contact information is primarily used to confirm
details or answer questions concerning the reported outbreak.
The individual’s user ID and Password are needed to perform
identification and authentication to operate the system.

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 grant assurances of confidentiality
and disclosure specific to the system and program.
for health research and related activities (42 U.S.C. 242 b, k, and
m(d)).
22

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

Yes
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

Page 3 of 6

Save
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?

0920-1105 Expiration: 03/31/2022
Yes
No
The outbreak form asks for the Agency contact information.
This serves as the notice that their personal information will be
collected.
When a user requests access to the system, the program
determines the need for access, and if access is granted the
individual is advised that they will access the system using
their user id and other pertinent information to complete the
identity, authentication, and access process.
Voluntary
Mandatory

There is no process in place for the reporting agency to not
Describe the method for individuals to opt-out of the give their contact information. This information is needed to
follow up with the agency to clarify or answer questions about
collection or use of their PII. If there is no option to
27
their submission.
object to the information collection, provide a
reason.
If the individual does not want to have the system store their
user id they may chose not to have access to the system.
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 reporting agencies would be provided adequate
notification by the program prior to any major change to the
system. This would not affect whether they provide their
contact information as that information is needed to clarify or
answer questions about their outbreak submission.
Although changes to the system will not affect the individuals
user id, each user can be notified via email when major
changes occur to the system.
The individual can contact the point of contact listed on this
document, either by phone or email, concerning any questions
or concerns when they believe their PII has been
inappropriately obtained, used, or disclosed, or that the PII is
inaccurate.

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 The individual is notified by the system administrator as part of
why not.
the access request process that their user id will be needed to
set up an access account. Individuals with concerns about their
PII can contact the point of contact on this document to
resolve any identified issues.

Page 4 of 6

Save

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 Agency PII is reviewed each time the agency makes an
outbreak report. The phone number and email are confirmed
when used to obtain clarification or answers to questions.
There is no formal process in place for periodic review since
the only time the data will be used is when the agency submits
a new outbreak report, at which time, they will submit their
current information.
The individual user PII is reviewed for integrity, availability,
accuracy and relevance each time a user logs into the system,
their user id is checked as part of the identification and
authentication process. If the user is unable to log in, they will
contact the system administrator to find out why the system
does not allow them to login. If the user is transferred their
user id is disabled in the system.
Users

Administrators
31

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

Agency contact information is needed
to obtain clarification or answer
questions concerning a submitted
outbreak report.
Direct Contractors are the system
administrators. They have access to
User Information to verify access to the
system.

Developers

Contractors

Direct Contractors are the system
administrators. They have access to
User Information to verify access to the
system.

Others
The program first evaluates whether the individual has a need
Describe the procedures in place to determine which for access to the system. If the individual's manager
determines that access to the system is required for the
32 system users (administrators, developers,
individual to perform their regular duties, they will make a
contractors, etc.) may access PII.
request to the system administrator who will establish an
account for the user to access the system.
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.

Least privilege, Role Based Access Control methods are used to
allow those with access to PII to only access the minimum
amount of information necessary to perform their job. The
system administrator is responsible for setting up the user
access to the system based on the CDC user id and the
permissions assigned to it.

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.

Annual CDC Security Awareness Training (SAT) is mandatory
for all CDC system users. Non-Organizational users are required
to complete their annual Security Awareness Training. Failure
to complete the training by the specified date will result in the
individuals user id being revoked.

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

Annual Role Based Security Training for IT Administrators.

Page 5 of 6

Save
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
The CDC General Records Schedule (GRS) 20.2 is applicable to
this system. Data is input by user via webform. No output of
data; the data is used only online for security administration of
access. Data is retained as long as it is needed and is disposed
of when no longer needed.
Administrative - access to the application is approved by the
individuals supervisor indicating that the user has a need to
know the information on the system.

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

General Comments

OPDIV Senior Official
for Privacy Signature

Technical- The CDC user id is encrypted while stored in the
system.
Physical- The server is housed on CDC property with security
guards at the entrances to the property and in each building,
individual user access credentials are required for each nonpublic building , floor, and office. Closed circuit TV is also used
by the security guards to check for and grant access to
authorized individuals.

Q10: System name change from National Outbreak Reporting System (NORS) to DFWED Outbreak_Event
Surveillance (DFWED OES)

signed by Jarell
Jarell Oshodi Digitally
Oshodi -S
Date: 2019.12.16 13:40:58
-S
-05'00'

Page 6 of 6