83 FR 11213 - Privacy Act of 1974; System of Records

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Federal Register Volume 83, Issue 50 (March 14, 2018)

In accordance with the requirements of the Privacy Act of 1974, as amended, HHS is altering an existing department-wide system of records, ``Records About Restricted Dataset Requesters,'' System Number 09-90-1401. This system of records covers records about individuals within and outside HHS who request restricted datasets and software products from HHS (e.g., for health-related scientific research and study purposes), when HHS maintains the requester records in a system from which they are retrieved directly by an individual requester's name or other personal identifier. The system of records currently covers records maintained by three HHS Operating Divisions. It is being altered to include records maintained by a fourth Operating Division, the National Institutes of Health (NIH), and to include three revised and five new routine uses, some of which will apply to all records in the system and some of which will apply to only NIH's records. The alterations affect the System Locations, Legal Authorities, Purposes, Retention, System Manager, and Routine Uses sections of the System of Records Notice (SORN).

[Federal Register Volume 83, Number 50 (Wednesday, March 14, 2018)]
[Notices]
[Pages 11213-11217]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-05176]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES


Privacy Act of 1974; System of Records

AGENCY: Office of the Secretary (OS), Department of Health and Human 
Services (HHS).

ACTION: Notice of a modified system of records.

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SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, as amended, HHS is altering an existing department-wide system of 
records, ``Records About Restricted Dataset Requesters,'' System Number 
09-90-1401. This system of records covers records about individuals 
within and outside HHS who request restricted datasets and software 
products from HHS (e.g., for health-related scientific research and 
study purposes), when HHS maintains the requester records in a system 
from which they are retrieved directly by an individual requester's 
name or other personal identifier. The system of records currently 
covers records maintained by three HHS Operating Divisions. It is being 
altered to include records maintained by a fourth Operating Division, 
the National Institutes of Health (NIH), and to include three revised 
and five new routine uses, some of which will apply to all records in 
the system and some of which will apply to only NIH's records. The 
alterations affect the System Locations, Legal Authorities, Purposes, 
Retention, System Manager, and Routine Uses sections of the System of 
Records Notice (SORN).

DATES: In accordance with 5 U.S.C. 552a(e)(4) and (11), this notice is 
applicable March 14, 2018, subject to a 30-day period in which to 
comment on the new and revised routine uses, described below. Please 
submit any comments by April 13, 2018.

ADDRESSES: The public should submit written comments, by mail or email, 
to Beth Kramer, HHS Privacy Act Officer, 200 Independence Avenue SW, 
Suite 729H, Washington, DC 20201, or [email protected]. Comments 
received will be available for review at this location without 
redaction, unless otherwise advised by the commenter. To review 
comments in person, please contact Beth Kramer at [email protected] 
or (202) 690-6941.

FOR FURTHER INFORMATION CONTACT: General questions about the system of 
records should be submitted by mail, email, or phone to Beth Kramer, 
HHS Privacy Act Officer, at 200 Independence Avenue SW, Suite 729H, 
Washington, DC 20201; [email protected] or (202) 690-6941.

SUPPLEMENTARY INFORMATION: This department-wide system of records was 
established April 2015 (see 80 FR 17447) and has not been previously 
revised. It covers records about individuals within and outside HHS who 
request restricted datasets and software products from HHS, when HHS 
maintains the requester records in a system from which they are 
retrieved directly by an individual requester's name or other personal 
identifier. It currently includes records maintained by three HHS 
Operating Divisions. It is being revised to add records maintained by a 
fourth Operating Division, the National Institutes of Health (NIH), 
which NIH plans to begin retrieving directly by personal identifier, 
and to include three revised and five new routine uses, some of which 
will apply to all records in the system and some of which will apply to 
only NIH's records.
    The alterations made to add NIH's records affect the System 
Location, Legal Authorities, Purposes, Retention, System Manager, and 
Routine Uses sections of the System of Records Notice (SORN). One new 
purpose was added to the ``Purposes'' section, which will apply to all 
records, not just NIH records, stating that records may be used to 
evaluate accomplishment of HHS functions related to the purposes of 
this system of records and to evaluate performance of contractors 
utilized by HHS to accomplish those functions. Minor wording and 
formatting changes have been made throughout the SORN to conform to the 
SORN template prescribed in OMB Circular A-108. The new and revised 
routine uses are as follows:
     Routine use 1 has been revised to add ``including 
ancillary functions, such as compiling reports and evaluating program 
effectiveness and contractor performance.''
     Routine use 2 has been revised to add ``including 
ancillary functions'' and to add a last sentence stating: ``For 
example, disclosure may be made to qualified experts not within the 
definition of HHS employees as prescribed in HHS regulations, for 
opinions as a part of the controlled data access process.''
     Routine use 10 has been revised to use wording prescribed 
in OMB Memorandum M-17-12 issued January 3, 2017.
     Routine uses 11 through 15 are new. Routine use 11 is a 
new routine use prescribed by OMB Memorandum M-17-12.
    ``Restricted'' datasets and software products are those that HHS 
makes affirmatively available to qualified members of the public but 
provides subject to restrictions, because they contain identifiable 
data and/or anonymized data that has the potential, when combined with 
other data, to identify the particular individuals, such as patients or 
providers, whose information is represented in the data. The datasets 
and products are made available through an on-line or paper-based 
ordering and delivery system that provides them to qualified requesters 
electronically or by mail.
    The restrictions are necessary to protect the privacy of 
individuals whose information is represented in the datasets or 
software products. The restrictions typically limit the data requester 
to using the data for research, analysis, study, and aggregate 
statistical reporting; prohibit any attempt to identify any individual 
or establishment represented in the data; and require specific security 
measures to safeguard the data from unauthorized access. HHS is 
required by law to impose, monitor, and enforce the restrictions (see, 
for example, provisions in the Confidential Information Protection and 
Statistical Efficiency Act of 2002 (CIPSEA), 44 U.S.C. 3501 at note). 
To impose and

[[Page 11214]]

enforce the restrictions, it is necessary to collect information about 
the data requesters.
    The altered system of records will cover requester records 
retrieved by requesters' personal identifiers in the following four 
systems or any successor systems, but only to the extent that the 
records pertain to requesters seeking restricted datasets:
     Agency for Healthcare Research and Quality (AHRQ) ``Online 
Application Ordering for Products from the Healthcare Cost and 
Utilization Project (HCUP).'' HCUP is an online system established in 
2013; it makes restricted databases and software available for 
qualified applicants to purchase for scientific research and public 
health use. Applicants may be researchers, patients, consumers, 
practitioners, providers, policy makers, or educators. The HCUP 
databases are annual files containing anonymous information from 
hospital discharge records for inpatient care and certain components of 
outpatient care. The HCUP software tools enhance the use of the data. 
The online system supports AHRQ's mission of promoting improvements in 
health care quality.
     Centers for Medicare & Medicaid Services (CMS) DUA 
tracking system. A new data use agreement (DUA) tracking system went 
into production in 2015 and replaced the previous system, ``Data 
Agreement & Data Shipping Tracking System (DADSS).'' The DUA system 
tracks authorization, payment status, shipping status, and ownership of 
restricted and unrestricted data extracts between CMS, its contractors, 
and other authorized entities.
     National Institutes of Health (NIH) ``Controlled Data 
Access Systems.'' NIH supports ``NIH-designated data repositories,'' 
which archive and distribute controlled-access de-identified human data 
and results from scientific studies under the NIH Genomic Data Sharing 
Policy. Controlled-access data in NIH-designated data repositories are 
made available for secondary research only after investigators have 
obtained approval from NIH to use the requested data for a particular 
project. The National Center for Biotechnology Information database of 
Genotypes and Phenotypes (dbGaP) serves as a central portal to submit, 
locate, and request access to controlled-access human genomic (e.g., 
GWAS, sequencing, expression, epigenomic) data. The dbGaP's capacity 
and functionality are extended by repositories managed by public or 
private organizations through structured partnerships (``trusted 
partnerships'') established by NIH through a contract mechanism. 
Information about investigators, Institutional Signing Officials, and 
other users of NIH-designated controlled access repositories may be 
located and viewed by approved staff using the dbGaP or trusted 
partner-managed systems. Sharing research data supports the mission of 
the NIH and is essential to facilitate the translation of research 
results into knowledge, products, and procedures that improve human 
health.
     Substance Abuse and Mental Health Services Administration 
(SAMHSA) ``Online Application for the Data Portal (SAMHDA).'' This 
online data portal was established in 2013 to more efficiently make 
restricted datasets from SAMHSA available to designated, approved 
researchers. The Data Portal and all applications are maintained 
through the Substance Abuse and Mental Health Data Archive (SAMHDA). 
Currently, data from the Drug Abuse Warning Network (DAWN), DAWN 
Medical Examiner/Coroner component, National Survey on Drug Use and 
Health (NSDUH), and NSDUH Adult Clinical Interview data are available 
through the portal. Data recipients must complete a web-based 
application process and receive project approval from SAMHSA's Center 
for Behavioral Health and Statistics and Quality (CBHSQ), and can use 
the datasets for statistical purposes only. No fees are charged for the 
datasets. The online portal supports SAMHSA' s mission to make 
substance use and mental disorder information and research more 
accessible.
    Note that this system of records does not include:
     Records about requesters who seek unrestricted datasets, 
publications, or other information products from an HHS on-line or 
paper-based ordering and delivery system. Unrestricted materials are 
also proactively made available to the public by HHS, but are released 
without restrictions (though some may be subject to terms or conditions 
of use and require registration for an account and payment of a fee). 
Because the requests or order forms collect minimal information about 
the requester (i.e., the requester's name, mailing address or email 
address, telephone number, or other contact or delivery information, 
and payment information if a fee is imposed) they would be adequately 
covered by other SORNs (for example, ``Correspondence Tracking 
Management System (CTMS)'' SORN #09-70-3005; ``Consumer Mailing List'' 
SORN #09-90-0041; and ``HHS Financial Management System Records'' SORN 
#09-90-0024 if a fee is involved), if a SORN is required (i.e., if the 
records are retrieved directly by an individual requester's name or 
other personal identifier). Examples include records about requesters 
who order materials online from AHRQ's Publications Online Store & 
Clearinghouse or by mail from AHRQ's Publications Clearinghouse, which 
provide only unrestricted publications and other information products; 
and records about requesters ordering unrestricted datasets from CMS's 
DUA tracking system, which processes orders for both restricted and 
unrestricted datasets.
     Records about data requesters that are not retrieved 
directly by an individual requester's name or other personal 
identifier. These records are not subject to the Privacy Act and are 
not required to be covered in a SORN, even when they are associated 
with a restricted dataset and include additional information about the 
requester (such as, the requester's intended research purpose, 
qualifications, signed Data Use Agreement, and confidentiality training 
certificate). An example would be requester records that are retrieved 
first by a dataset identifier and/or a requesting entity's name, and 
then by an individual researcher's or record custodian's name.
    A report on the altered system of records has been sent to OMB and 
Congress in accordance with 5 U.S.C. 552a(r).

    Dated: March 8, 2018.
Alfred C. Johnson,
Deputy Director for Management, National Institutes of Health.
SYSTEM NAME AND NUMBER:
    Records About Restricted Dataset Requesters, 09-90-1401

SECURITY CLASSIFICATION:
    Unclassified

SYSTEM LOCATION:
    The address of each agency component responsible for the system of 
records is:
     AHRQ: HCUP Project Officer, Center for Delivery, 
Organization, and Markets, 540 Gaither Road, Rockville, MD 20850.
     CMS: DUA tracking system, Division of Data and Information 
Dissemination, Data Development and Services Group, Office of 
Enterprise Data and Analytics, Centers for Medicare & Medicaid 
Services, 7500 Security Boulevard, Mailstop: B2-29-04, Office Location: 
B2-03-37, Baltimore, MD 21244-1870.
     NIH: Office of the Director, Office of Science Policy, 
Division of Scientific

[[Page 11215]]

Data Sharing Policy, 6705 Rockledge Drive, Suite 750, Bethesda, MD 
20817.
     SAMHSA: SAMHDA Project Officer, CBHSQ, 5600 Fisher's Lane, 
Rockville, MD 20857.

SYSTEM MANAGER(S):
     AHRQ: HCUP Project Officer, Center for Delivery, 
Organization, and Markets, 540 Gaither Road, Rockville, MD 20850; 
Telephone: 301-427-1410; [email protected].
     CMS: DUA tracking system, Division of Data and Information 
Dissemination, Data Development and Services Group, Office of 
Enterprise Data and Analytics, Centers for Medicare & Medicaid 
Services, 7500 Security Boulevard, Mailstop: B2-29-04, Office Location: 
B2-03-37, Baltimore, MD 21244-1870.
     NIH: Office of the Director, Office of Science Policy, 
Division of Scientific Data Sharing Policy, 6705 Rockledge Drive, Suite 
750, Bethesda, MD 20817.
     SAMHSA: SAMHDA Project Officer, CBHSQ, 5600 Fisher's Lane, 
Rockville, MD 20857. (``SAMHDA'' refers to Substance Abuse and Mental 
Health Data Archive.)

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The following legal authorities authorize the collection and 
maintenance of these records:
     AHRQ: 42 U.S.C. 299-299a; 42 U.S.C. 299c-2.
     CMS: 5 U.S.C. 552a(e)(10); 45 CFR 164.514(e); 44 U.S.C. 
3544; 42 U.S.C. 1306.
     NIH: 42 U.S.C. 217a, 241, 281, 282, 284; 48 CFR Subpart 
15.3; E.O. 13478.
     SAMHDA: 42 U.S.C. 290aa(d)(l); 44 U.S.C. 3501(8)
    See also: CIPSEA, codified at 44 U.S.C. 3501 note.

PURPOSE(S) OF THE SYSTEM:
    The purposes of this system of records are to provide restricted 
datasets and software products to qualified data requesters in a timely 
and efficient manner and consistent with applicable laws, and to enable 
HHS to enforce data requesters' compliance with use and security 
restrictions that apply to the data. Relevant HHS personnel use the 
records on a need-to-know basis for those purposes; specifically:
     Contact and user registration information is used to 
communicate with the requester, enable the requester to access 
requested data electronically (for example, the requester's email 
address would be used to register the requester to use a public access 
web portal or link, and to notify the requester when data has been 
delivered electronically to his registered account), locate the 
requester (e.g., for on-site inspections or to otherwise check 
compliance with the data use agreement), and deliver and track data 
provided by mail (e.g., to document receipt for enforcement purposes 
and report lost shipments to security personnel).
     Qualifications, planned use of the data, confidentiality 
training information, signed data use agreement, data receipt 
information, on-site inspection information, and information about data 
breaches or contract violations is used to grant the request 
(consistent with data use restrictions) or deny the request, bind the 
requester to the applicable data use restrictions and other security 
requirements, conduct on-site inspections or otherwise check the 
requester's compliance with the data use agreement, enforce the 
agreement if breached, and share information about data breaches and 
contract violations with other HHS components administering restricted 
dataset requests involving the same requesters.
     Payment information is used to collect any applicable fee. 
Any payment information shared with HHS accounting and debt collection 
systems is also covered under the accounting and debt collection 
systems' SORNs and is subject to the routine uses published in those 
SORNs (see, e.g., HHS Financial Management System Records, SORN #09-90-
0024; and Debt Management and Collection System, SORN #09-40-0012).
     Any of the above records could be used to evaluate 
accomplishment of HHS functions related to the purposes of this system 
of records and to evaluate performance of contractors utilized by HHS 
to accomplish those functions.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals within and outside HHS who request restricted datasets 
and software products that HHS makes proactively available to qualified 
members of the public, usually for health-related scientific research 
and study purposes. Examples include individual researchers and records 
custodians, project officers, or other representatives of entities such 
as universities, government agencies, and research organizations.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Categories of records include:
     Request records, containing the requester's name and 
contact information (telephone number, mailing address, email address), 
affiliated entity (e.g., if making the request as a records custodian 
or other employee), and a description of the dataset requested.
     Order fulfillment records, containing user registration 
information such as email address and IP address (if the requester is 
provided access to the dataset electronically through a public access 
web portal or link) or mailing information (if the dataset is mailed to 
the requester on a disk or other media), and tracking information 
(providing proof of delivery).
     Data use restriction records, containing the requester's 
identification, contact, and affiliated entity information, 
qualifications, intended use of the data (e.g., study name, contract 
number), confidentiality training documentation (e.g., a coded number 
indicating the individual completed required confidentiality training), 
signed and notarized data use agreement documents (e.g., Affidavit of 
Nondisclosure; Declaration of Nondisclosure; Confidential Data Use and 
Nondisclosure Agreement (CDUNA); Individual Designations of Agent; DUA 
number and expiration date), tracking information, and any on-site 
inspection information.
     Payment records (if a fee is charged), consisting of the 
requester's credit card account name, number, and billing address, or 
bank routing number and checking account name, address, and number.

RECORD SOURCE CATEGORIES:
    Information in this system of records is obtained directly from the 
individual data requester to whom it applies, or is derived from 
information supplied by the individual or provided by HHS officials.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    Information about an individual data requester may be disclosed to 
parties outside HHS, without the individual's prior, written consent, 
as provided in these routine uses:
    1. Disclosures may be made to federal agencies and Department 
contractors that have been engaged by HHS to assist in accomplishment 
of an HHS function relating to the purposes of this system of records 
(including ancillary functions, such as compiling reports and 
evaluating program effectiveness and contractor performance) and that 
have a need to have access to the records in order to assist HHS in 
performing the activity. Any contractor will be required to comply with 
the requirements of the Privacy Act.
    2. Records may be disclosed to student volunteers, individuals 
working

[[Page 11216]]

under a personal services contract, and other individuals performing 
functions (including ancillary functions) relating to the purposes of 
this system of records for the Department but technically not having 
the status of agency employees, if they need access to the records in 
order to perform their assigned agency functions. For example, 
disclosure may be made to qualified experts not within the definition 
of HHS employees as prescribed in HHS regulations, for opinions as a 
part of the controlled data access process.
    3. CMS records may be disclosed to a CMS contractor (including but 
not limited to Medicare Administrative Contractors, fiscal 
intermediaries, and carriers) that assists in the administration of a 
CMS-administered health benefits program, or to a grantee of a CMS-
administered grant program, when disclosure is deemed reasonably 
necessary by CMS to prevent, deter, discover, detect, investigate, 
examine, prosecute, sue with respect to, defend against, correct, 
remedy, or otherwise combat fraud, waste, or abuse in such program.
    4. Records may be disclosed to another federal agency or an 
instrumentality of any governmental jurisdiction within or under the 
control of the United States (including any state or local governmental 
agency) that administers federally funded programs, or that has the 
authority to investigate, potential fraud, waste or abuse in federally 
funded programs, when disclosure is deemed reasonably necessary by HHS 
to prevent, deter, discover, detect, investigate, examine, prosecute, 
sue with respect to, defend against, correct, remedy or otherwise 
combat fraud, waste or abuse in such programs.
    5. When a record on its face, or in conjunction with other records, 
indicates a violation or potential violation of law, whether civil, 
criminal or regulatory in nature, and whether arising by general 
statute or particular program statute, or by regulation, rule, or order 
issued pursuant thereto, disclosure may be made to the appropriate 
public authority, whether federal, foreign, state, local, tribal, or 
otherwise, responsible for enforcing, investigating or prosecuting the 
violation or charged with enforcing or implementing the statute, rule, 
regulation, or order issued pursuant thereto, if the information 
disclosed is relevant to the enforcement, regulatory, investigative, or 
prosecutorial responsibility of the receiving entity.
    6. Information may be disclosed to the U.S. Department of Justice 
(DOJ) or to a court or other tribunal, when:
    a. the agency or any component thereof, or
    b. any employee of the agency in his or her official capacity, or
    c. any employee of the agency in his or her individual capacity 
where DOJ has agreed to represent the employee, or
    d. the United States Government,

    is a party to litigation or has an interest in such litigation and, 
by careful review, HHS determines that the records are both relevant 
and necessary to the litigation and that, therefore, the use of such 
records by the DOJ, court or other tribunal is deemed by HHS to be 
compatible with the purpose for which the agency collected the records.
    7. Records may be disclosed to a federal, foreign, state, local, 
tribal, or other public authority of the fact that this system of 
records contains information relevant to the hiring or retention of an 
employee, the retention of a security clearance, the letting of a 
contract, or the issuance or retention of a license, grant or other 
benefit. The other agency or licensing organization may then make a 
request supported by the written consent of the individual for further 
information if it so chooses. HHS will not make an initial disclosure 
unless the information has been determined to be sufficiently reliable 
to support a referral to another office within the agency or to another 
federal agency for criminal, civil, administrative, personnel, or 
regulatory action.
    8. Information may be disclosed to a Member of Congress or 
Congressional staff member in response to a written inquiry of the 
Congressional office made at the written request of the constituent 
about whom the record is maintained. The Congressional office does not 
have any greater authority to obtain records than the individual would 
have if requesting the records directly.
    9. Records may be disclosed to the U.S. Department of Homeland 
Security (DHS) if captured in an intrusion detection system used by HHS 
and DHS pursuant to a DHS cybersecurity program that monitors internet 
traffic to and from federal government computer networks to prevent a 
variety of types of cybersecurity incidents.
    10. Disclosures may be made to appropriate agencies, entities, and 
persons when (1) HHS suspects or has confirmed that there has been a 
breach of the system of records; (2) HHS has determined that as a 
result of the suspected or confirmed breach there is a risk of harm to 
individuals, HHS (including its information systems, programs, and 
operations), the Federal Government, or national security; and (3) the 
disclosure made to such agencies, entities, and persons is reasonably 
necessary to assist in connection with HHS efforts to respond to the 
suspected or confirmed breach or to prevent, minimize, or remedy such 
harm.
    11. Disclosure may be made to another Federal agency or Federal 
entity, when HHS determines that information from this system of 
records is reasonably necessary to assist the recipient agency or 
entity in (1) responding to a suspected or confirmed breach or (2) 
preventing, minimizing, or remedying the risk of harm to individuals, 
the recipient agency or entity (including its information systems, 
programs, and operations), the Federal Government, or national 
security, resulting from a suspected or confirmed breach.
    12. Disclosure of past performance information pertaining to 
contractors engaged by HHS to assist in accomplishment of an HHS 
function relating to the purposes of this system of records may be made 
to a federal agency upon request and may include information about 
dataset requesters.
    13. NIH dataset requester records may be included in records 
disclosed to governmental or authorized non-governmental entities with 
a signed data access agreement for system data that includes records 
about individuals requesting and receiving restricted datasets, to use 
in compiling reports (such as, on the composition of biomedical and/or 
research workforce; authors of publications attributable to federally-
funded research; information made available through third-party systems 
as permitted by applicants or awardees for agency grants or contracts; 
or grant payment information reported to federal databases).
    14. When records about a requester of an NIH restricted dataset are 
related to an award or application for award under an NIH award 
program, the dataset requester records may be disclosed to the award 
applicant, principal investigator(s), institutional officials, trainees 
or others named in the application, or institutional service providers 
for purposes of application preparation, review, or award management, 
and to the public consistent with reporting and transparency standards 
and to the extent disclosure to the public would not cause an 
unwarranted invasion of personal privacy.
    15. HHS may disclose records from this system of records to the 
National Archives and Records Administration (NARA), General Services 
Administration (GSA), or other relevant

[[Page 11217]]

Federal Government agencies in connection with records management 
inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
    Information about a dataset requester may also be disclosed from 
this system of records to parties outside HHS without the individual's 
consent for any of the uses authorized directly in the Privacy Act at 5 
U.S.C. 552a(b)(2) and (b)(4)-(11).

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are stored in electronic databases and hard-copy files. 
CMS's DUA tracking system records may also be stored on portable media.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records are retrieved by the data requester's name, registrant/user 
name, User ID Number, email address, or data use agreement (DUA) 
number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records needed to enforce data use restrictions are retained for 20 
years by AHRQ (see DAA-0510-2013-0003-0001), 5 years by CMS (see Nl-
440-10-04), and 3 years by NIH (see DAA-0443-2013-0004-0004) after the 
agreement is closed, and may be kept longer if necessary for 
enforcement, audit, legal, or other purposes. The equivalent SAMHSA 
records will be retained indefinitely until a disposition schedule is 
approved by the National Archives and Records Administration (NARA). 
SAMHSA anticipates proposing a 5 year retention period to NARA. Records 
of payments made electronically are transmitted securely to a Payment 
Card Industry-compliant payment gateway for processing and are not 
stored. Records of payments made by check, purchase order, or wire 
transfer are disposed of once the funds have been received. Records are 
disposed of using destruction methods prescribed by NIST SP 800-88.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Records are safeguarded in accordance with applicable laws, rules 
and policies, including the HHS Information Technology Security Program 
Handbook, all pertinent National Institutes of Standards and Technology 
(NIST) publications, and OMB Circular A-130, Managing Information as a 
Strategic Resource. Records are protected from unauthorized access 
through appropriate administrative, physical, and technical safeguards. 
Safeguards conform to the HHS Information Security and Privacy Program, 
http://www.hhs.gov/ocio/securityprivacy/.
    The safeguards include protecting the facilities where records are 
stored or accessed with security guards, badges and cameras, securing 
hard-copy records in locked file cabinets, file rooms or offices during 
off-duty hours, limiting access to electronic databases to authorized 
users based on roles and the principle of least privilege, and two-
factor authentication (user ID and password), using a secured operating 
system protected by encryption, firewalls, and intrusion detection 
systems, using an SSL connection for secure encrypted transmissions, 
requiring encryption for records stored on removable media, and 
training personnel in Privacy Act and information security 
requirements.

RECORD ACCESS PROCEDURES:
    An individual who wishes to know if this system of records contains 
records about him or her should submit a written request to the 
relevant System Manager at the address indicated above. The individual 
must verify his or her identity by providing either a notarized request 
or a written certification that the requester is who he or she claims 
to be and understands that the knowing and willful request for 
acquisition of a record pertaining to an individual under false 
pretenses is a criminal offense under the Privacy Act, subject to a 
five thousand dollar fine.

CONTESTING RECORD PROCEDURES:
    An individual seeking to amend the content of information about him 
or her in this system should contact the relevant System Manager and 
reasonably identify the record, specify the information contested, 
state the corrective action sought, and provide the reasons for the 
amendment, with supporting justification.

NOTIFICATION PROCEDURES:
    An individual who wishes to know if this system of records contains 
records about him or her should submit a written request to the 
relevant System Manager at the address indicated above. The individual 
must verify his or her identity by providing either a notarized request 
or a written certification that the requester is who he or she claims 
to be and understands that the knowing and willful request for 
acquisition of a record pertaining to an individual under false 
pretenses is a criminal offense under the Privacy Act, subject to a 
five thousand dollar fine.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    80 FR 17447 (April 1, 2015).

[FR Doc. 2018-05176 Filed 3-13-18; 8:45 am]
 BILLING CODE 4140-01-P