[Federal Register Volume 74, Number 97 (Thursday, May 21, 2009)]
[Notices]
[Pages 23869-23872]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-11946]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Health Resources and Services Administration


Privacy Act of 1974 Report of an Altered System of Records

AGENCY: Health Resources and Services Administration (HRSA), HHS.

ACTION: Notice of an altered system of records.

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SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, the Health Resources and Services Administration (HRSA) is 
publishing notice of a proposal to alter the system of records for the 
C.W. Bill Young Cell Transplantation Program. This system of records is 
required to comply with the implementation directives of Public Law 
109-129. Records are used for the C.W. Bill Young Cell Transplantation 
Program's planning, implementation, evaluation, monitoring, and 
document storage purposes.
    The purposes of these alterations are to update the locations of 
this system,

[[Page 23870]]

to clarify that existing routine use number 4 for this system includes 
disclosures to subcontractors, and to add routine use number 9 related 
to notification of breaches in security or confidentiality of records 
maintained in the system.

DATES: Persons wishing to comment on this revised system of records 
notice may do so until June 30, 2009. Unless there is a further notice 
in the Federal Register, this revised system of records will become 
effective on June 30, 2009.

ADDRESSES: Please address comments to Director, Blood Stem Cell 
Transplantation Program, HRSA/HSB/DoT, 5600 Fishers Lane, Room 12C-06, 
Rockville, Maryland 20857; telephone (301) 443-7577. This is not a 
toll-free number. Comments received will be available for inspection at 
this same address from 9 a.m. to 3 p.m., Monday through Friday.

FOR FURTHER INFORMATION CONTACT: Director, Blood Stem Cell 
Transplantation Program, HRSA/HSB/DoT, 5600 Fishers Lane, Room 12C-06, 
Rockville, Maryland 20857; telephone (301) 443-7577; fax (301) 594-
6095. These are not toll-free numbers.

SUPPLEMENTARY INFORMATION: The Health Resources and Services 
Administration published in the Federal Register of August 17, 2007, 
notice of a new system of records, 09-15-0068, C.W. Bill Young Cell 
Transplantation Program. The Stem Cell Therapeutic and Research Act of 
2005 (the Act) establishes the C.W. Bill Young Cell Transplantation 
Program (the Program), which maintains information related to patients 
in need of a blood stem cell transplant and potential adult volunteer 
blood stem cell donors who have agreed to be listed on the registry 
maintained by the Program. Additionally, the Program maintains 
information related to the outcomes of patients who have undergone 
blood stem cell transplantation.
    The Stem Cell Therapeutic and Research Act of 2005 authorizes the 
C.W. Bill Young Cell Transplantation Program and provides for the 
collection, maintenance, and distribution of human blood stem cells for 
the treatment of patients and for research. The Program consists of 
four interrelated components each operated under a separate contract. 
The four components are: The Bone Marrow Coordinating Center; the Cord 
Blood Coordinating Center; the Office of Patient Advocacy/Single Point 
of Access; and the Stem Cell Therapeutic Outcomes Database. The 
contracts for operation of the Bone Marrow Coordinating Center, Cord 
Blood Coordinating Center, and Office of Patient Advocacy/Single Point 
of Access were awarded to the National Marrow Donor Program in 
September, 2006. A single contract for the Stem Cell Therapeutic 
Outcomes Database was awarded to the Center for International Blood and 
Marrow Transplant Research (CIBMTR) at the Medical College of Wisconsin 
in September 2006 as well.
    As identified by the Act, the Program is charged with: Operating a 
system for identifying, matching, and facilitating the distribution of 
bone marrow that is suitably matched to candidate patients; operating a 
system for identifying, matching, and facilitating the distribution of 
donated umbilical cord blood units that are suitably matched to 
candidate patients; providing a means by which transplant physicians, 
other healthcare professionals, and patients can electronically search 
for and access all available adult marrow donors available through the 
Program; recruiting potential adult volunteer marrow donors; 
coordinating with other Federal programs to maintain and expand medical 
contingency response capabilities; carrying out informational and 
educational activities; providing patient advocacy services; providing 
case management services for potential donors; and collecting, 
analyzing, and publishing blood stem cell transplantation related data, 
including patient outcomes data, in a standardized electronic format. 
This system of records is required to comply with the implementation 
directives of the Act, Public Law 109-129. The records will be used for 
the C.W. Bill Young Cell Transplantation Program's planning, 
implementation, evaluation, monitoring, and document storage purposes.

Mary K. Wakefield,
Administrator.

System Number:
    09-15-0068.

System Name:
    C.W. Bill Young Cell Transplantation Program.

Security Classification:
    None.

System Location:
    Data collected by the C.W. Bill Young Cell Transplantation Program 
(the Program) are maintained by the National Marrow Donor Program 
(NMDP) and the Medical College of Wisconsin, contractors for the 
Program. The Division of Transplantation within the Health Resources 
and Services Administration oversees the Program and the contracts with 
the NMDP and Medical College of Wisconsin.
    Records associated with the C.W. Bill Young Cell Transplantation 
Program are located at the National Marrow Donor Program, 3001 Broadway 
Street, NE., Suite 500, Minneapolis, MN 55413 and Time Warner Telecom, 
5488 Feltl Road, Minnetonka, MN 55343.
    Additional records associated with the Stem Cell Therapeutic 
Outcomes Database component of the Program are located at the Medical 
College of Wisconsin's Center for International Blood and Marrow 
Transplant Research (CIBMTR), 9200 W. Wisconsin Avenue, Milwaukee, WI 
53226.

Categories of Individuals Covered by the System:
    1. Volunteers whose bone marrow, peripheral blood or cord blood 
donations are to be used for hematopoietic reconstitution or other 
therapeutic applications on behalf of patients in need.
    2. Patients searching for an unrelated donor or who are receiving 
transplant or ancillary services through the C.W. Bill Young Cell 
Transplantation Program.
    3. Recipients of allogeneic blood stem cell transplantation.

Categories of Records in the System:
    Records consist of documents (printed and electronic) containing 
all information necessary to manage and facilitate patient searches and 
to track detailed post-transplant clinical status, including 
documentation and correspondence concerning patients in need of (or 
recipients of) blood stem cell transplants and volunteers listed on the 
Program's registry as potential blood stem cell donors. These documents 
include all information necessary to manage and facilitate patient 
searches, and to track detailed post-transplant and post-donation 
clinical status. The following information is maintained in the system: 
Individual identifiers about the recipients and donors (e.g., social 
security number (voluntary), names, date of birth, etc.); recipient and 
donor demographics and socio-demographics; recipients' disease, disease 
history and treatment, transplant procedure details, post-
transplantation medical history, events, and complications; donor 
medical history; donation procedure and blood stem cell product 
details; long-term follow-up of medical outcomes and assessment of 
functioning for donors and recipients; provider identifiers; transplant 
and collection facility identifiers; and donor management center 
identifiers.

[[Page 23871]]

Authority for Maintenance of The System:
    Public Law 109-129 establishes the C.W. Bill Young Cell 
Transplantation Program, authorizing the Department to establish by 
contract a system for identifying, matching, and facilitating bone 
marrow and cord blood transplants, including recruitment, patient 
advocacy and maintenance of a stem cell therapeutic outcomes database.

Purpose(s):
    The C.W. Bill Young Cell Transplantation Program is comprised of 
the Office of Patient Advocacy/Single Point of Access, the Bone Marrow 
Coordinating Center, the Cord Blood Coordinating Center, and the Stem 
Cell Therapeutic Outcomes Database. The purpose of the system is to 
support the Program's mission to facilitate and increase access to 
blood stem cell transplantation. Additionally, information in the 
system will be used to advise the Secretary of the Department of Health 
and Human Services and the Advisory Council on Blood Stem Cell 
Transplantation on matters related to the Program and for ongoing 
monitoring of the Program by the Health Resources and Services 
Administration to determine the effectiveness of the Program and to 
guide implementation of the policies and procedures that govern the 
Program's structure. Records from this system will be used to carry out 
the statutory charge of the C.W. Bill Young Cell Transplantation 
Program. Specifically, records vital and attendant to the full scope of 
activities involved at every stage of the process of facilitation of 
blood stem cell transplantation or other therapies for recipients 
suitably matched to biologically unrelated donors; analyzing factors 
affecting transplant outcomes; monitoring and reporting of adverse 
events; monitoring and reporting of quality, compliance, and 
performance indicators; monitoring and reporting on the size and 
composition of the registry of adult bone marrow donors and size and 
composition of the umbilical cord blood inventory; and to provide 
pertinent information to transplant programs, physicians, patients, 
other entities awarded a contract under Section 379 of the Public 
Health Service Act, donor registries, and cord blood banks as stated in 
Public Law 109-129.

Routine Uses of Records Maintained In the System, Including Categories 
of Users and the Purposes of Such Uses:
    Disclosure of records from this system of records may be made as 
provided in the Privacy Act, 5 U.S.C. 552a(b), and to the following 
recipients for the purposes stated:
    1. Departmental contractors who have been engaged by the Department 
to assist in accomplishment of a departmental function related to the 
purposes of this system of records and who have a need to access the 
records in order to carry out that function.
    2. Transplant centers, physicians and staff, and NMDP participating 
organizations, for the purpose of searching for donors or products and/
or facilitating transplants, matching donor blood stem cells with 
recipients, monitoring participant outcomes, and monitoring compliance 
of member organizations with contractor requirements.
    3. Personnel involved in the care of volunteer blood stem cell 
donors and management of their participation in the Program. 
Disclosures of clinically relevant de-identified information contained 
in certain donor records may be made to transplant physicians, patients 
or their designated representatives for purposes of facilitating 
searches for blood stem cell donors or products and/or facilitation of 
unrelated donor transplants.
    4. Disclosures may be made by the contractors for the Office of 
Patient Advocacy/Single Point of Access, the Bone Marrow Coordinating 
Center, the Cord Blood Coordinating Center, the Stem Cell Therapeutic 
Outcomes Database, NMDP and CIBMTR participating centers to one another 
and their subcontractors (so long as such subcontractors are 
contractually bound to comply with the Privacy Act) as well as 
participating umbilical cord blood banks to carry out the purposes of 
the C.W. Bill Young Cell Transplantation Program.
    5. Disclosure may be made to the Department of Justice when: (a) 
The agency or any component thereof; or (b) any employee of the agency 
in his or her official capacity; (c) any employee of the agency in his 
or her individual capacity where agency or the Department of Justice 
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, the agency determines that the 
records are both relevant and necessary to the litigation and the use 
of such records by the Department of Justice is therefore deemed by the 
agency to be for a purpose that is compatible with the purpose for 
which the agency collected the records.
    6. Disclosure may be made to a court or adjudicative body in a 
proceeding when: (a) The agency or any component thereof; or (b) any 
employee of the agency in his or her official capacity; (c) any 
employee of the agency in his or her individual capacity where agency 
or the Department of Justice 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, the agency 
determines that the records are both relevant and necessary to the 
litigation and the use of such records is therefore deemed by the 
agency to be for a purpose that is compatible with the purpose for 
which the agency collected the records.
    7. 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.
    8. Disclosure may be made for research purposes. Rarely, with the 
appropriate safeguards and consistent with the applicable provisions of 
the Privacy Act and the Common Rule (45 CFR Part 46), disclosure for 
research purposes may be made when the Department, independently or 
through its contractor(s): (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 a 
bona fide research/analysis purpose exists; (c) has required the 
recipient to: (1) Establish strict limitations concerning the receipt 
and use of patient-identified data; (2) establish reasonable 
administrative, technical, and physical safeguards to protect the 
confidentiality of the data and to prevent the unauthorized use or 
disclosure of the record; (3) remove, destroy, or return 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 (4) make no further use or disclosure of the 
record except as authorized by HHS or its contractor(s) or when 
required by law; (d) has determined that other applicable safeguards or 
protocols will be followed; and (e) has secured a written statement 
attesting to the recipient's understanding of, and willingness to abide 
by these provisions.
    9. 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

[[Page 23872]]

maintained in this system of records, and the information disclosed is 
relevant and necessary for that assistance.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System: Storage:
    Records are maintained in file folders and in computer data files.

Retrievability:
    Patient and donor records may be retrieved by a unique ID assigned 
by the system or through the use of other identifying information 
(e.g., names, date of birth, Social Security Number, or address).

Safeguards:
    1. Authorized users: Access is limited to authorized personnel 
responsible for administering the program, including program managers 
and program specialists who have responsibilities for implementing the 
program and the HRSA Information Systems Security Officer. The 
contractor(s) shall maintain current lists of authorized users. 
Retrieval of donor or patient records will be limited to authorized 
users for search, outcomes data collection and data auditing, or 
transplant management purposes.
    2. Assign Responsibility for Security: Responsibility is assigned 
to a management official knowledgeable of the nature of the information 
and processes supported by the C.W. Bill Young Cell Transplantation 
Program and in the management, personnel, operational, and technical 
controls used to protect it.
    3. Perform Risk Assessment: A risk assessment was conducted in 
conjunction with the development of the system. The system design 
ensures vulnerabilities, risks, and other security concerns are 
identified and addressed in the system design and throughout the life 
cycle of the project. This is consistent with the HHS Automated 
Information Systems Security Program Handbook.
    4. Certification and Accreditation: The Program's electronic data 
systems are certified under the auspices of HRSA's Office of 
Information Technology Certification and Accreditation system.
    5. Physical safeguards: All computer equipment and files and hard 
copy files are stored in areas where fire and life safety codes (e.g., 
OSHA standards) are strictly enforced. All automated and non-automated 
documents are protected on a 24-hour basis. Perimeter security includes 
intrusion alarms, key/passcard/combination controls, and receptionist 
controlled area. Most hard copy files are maintained in a file room 
used solely for purposes of the Program with access limited by 
combination lock to authorized users identified above. Computer files 
are password protected and are accessible only by use of computers 
which are password protected. Servers are password protected and 
protected in locked rooms, with access restricted to specific 
authorized staff using controls specified in the certification and 
accreditation process.
    6. Procedural safeguards: A password is required to access computer 
files. All users of personal information in connection with the 
performance of their jobs protect information from public view and from 
unauthorized personnel entering an unsupervised area. All authorized 
users sign a nondisclosure statement. All passwords, keys and/or 
combinations are changed when a person leaves or no longer has 
authorized duties. Access to records is limited to those authorized 
personnel trained in accordance with the Privacy Act and automated data 
processing (ADP) security procedures. The transmission of records is 
protected using secure protocols. Individuals with access to the system 
have User IDs and passwords and must be granted access to the system. 
External access to the data requires two-factor authentication. The 
safeguards described above were established in accordance with NIST 
800-53 and OMB Circular A-130 Appendix III.

Retention and Disposal:
    HRSA is working with the National Archives and Records 
Administration (NARA) to obtain the appropriate retention value of 
these records.

System Manager and Address:
    Director, Blood Stem Cell Transplantation Program, HRSA, Parklawn 
Building, Room 12C-06, 5600 Fishers Lane, Rockville, MD 20857.

Notification Procedure:
    Requests must be made to the System Manager.
    Requests by mail: Requests for information and/or access to records 
received by mail must contain information providing the identity of the 
writer, and a reasonable description of the record desired, and whom it 
concerns. Written requests must contain the name and address of the 
requester, his/her date of birth and his/her signature. Requests must 
be notarized to verify the identity of the requester, or the requester 
must certify that (s)he is the individual who (s)he claims to be and 
that (s)he understands that to knowingly and willfully request or 
acquire a record pertaining to another individual under false pretenses 
is a criminal offense under the Privacy Act subject to a $5,000 fine 
(45 CFR 5b.5(b)(2)(ii)).
    Requests in person or by telephone, electronic mail or facsimile 
cannot be honored.

Requests in Person:
    No requests in person at the system location will be honored.

Requests by Telephone:
    Since positive identification of the caller cannot be established, 
telephone requests are not honored.

Record Access Procedures:
    Record access procedures are the same as notification procedures. 
Requesters should also provide a reasonable description of the contents 
of the record being sought. A parent or guardian who requests 
notification of, or access to, a minor's/incompetent person's record 
shall designate a family physician or other health professional (other 
than a family member) to whom the record, if any, will be sent. The 
parent or guardian must verify relationship to the minor/incompetent 
person as well as his/her own identity. Records will be mailed only to 
the requester's address that is on file, unless a different address is 
demonstrated by official documentation.

Contesting Record Procedures:
    To contest a record in the system, contact the official at the 
address specified above and reasonably identify the record, specify the 
information being contested, and state the corrective action sought and 
the reason(s) for requesting the correction, along with supporting 
documentation to show how the record is inaccurate, incomplete, 
untimely, or irrelevant.

Record Source Categories:
    Sources of records include, but are not limited to, patients, 
donors, and/or their representatives under the C.W. Bill Young Cell 
Transplantation Program and any other sources of information or 
documentation submitted by any other person or entity for inclusion in 
a request for the purpose of facilitating and monitoring blood stem 
cell transplantation (e.g., transplant center healthcare 
professionals).

Systems Exempted from Certain Provisions of the Act:
    None.

[FR Doc. E9-11946 Filed 5-20-09; 8:45 am]
BILLING CODE 4165-15-P