[Federal Register Volume 76, Number 16 (Tuesday, January 25, 2011)]
[Notices]
[Pages 4463-4466]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-33020]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention


Privacy Act of 1974; Report of Modified or Altered System of 
Records

AGENCY: Division of Surveillance, Hazard Evaluation, and Field Studies 
(DSHEFS), National Institute for Occupational Safety and Health 
(NIOSH), Centers for Disease Control and Prevention (CDC), Department 
of Health and Human Services (DHHS).

ACTION: Notification of Proposed Altered System of Records.

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SUMMARY: The Department of Health and Human Services proposes to alter 
System of Records, 09-20-0147, ``Occupational Health Epidemiological 
Studies and EEOICPA Program Records, HHS/CDC/NIOSH.'' HHS is proposing 
to add the following Breach Response Routine Use Language to comply 
with the Office of Management and Budget (OMB) Memoranda (M) 07-16, 
Safeguarding Against and responding to the Breach of Personally 
Identifiable Information:

[[Page 4464]]

    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 disclosed is relevant 
and necessary for that assistance.
    These records will be maintained by the National Institute for 
Occupational Safety and Health (NIOSH).

DATES: Comments must be received on or before February 24, 2011. The 
proposed altered System of Records will be effective 40 days from the 
date submitted to the OMB, unless NIOSH receives comments that would 
result in a contrary determination.

ADDRESSES: You may submit comments, identified by the Privacy Act 
System of Record Number 09-20-0147:
     Federal eRulemaking Portal: http://regulations.gov. Follow 
the instructions for submitting comments.
     E-mail: Include PA SOR number 09-20-0147 in the subject 
line of the message.
     Phone: 770/488-8660 (not a toll-free number).
     Fax: 770/488-8659.
     Mail: HHS/CDC Senior Official for Privacy (SOP), Office of 
the Chief Information Security Officer (OCISO), 4770 Buford Highway--M/
S: F-35, Chamblee, GA 30341.
     Hand Delivery/Courier: HHS/CDC Senior Official for Privacy 
(SOP), Office of the Chief Information Security Officer (OCISO), 4770 
Buford Highway--M/S: F-35, Chamblee, GA 30341.
     Comments received will be available for inspection and 
copying at this same address from 9 a.m. to 3 p.m., Monday through 
Friday, Federal holidays excepted.

SUPPLEMENTARY INFORMATION: NIOSH proposes to alter System of Records, 
No. 09-20-0147, ``Occupational health Epidemiological Studies and 
EEOICPA Program Records, HHS/CDC/NIOSH.'' Studies carried out under 
this system are to evaluate mortality and morbidity of occupationally 
related diseases and injuries, to determine their causes, and to lead 
toward prevention of occupationally related diseases and injuries in 
the future. EEOICPA records are maintained to enable NIOSH to fulfill 
its dose reconstruction responsibilities under the Act.
    This System of Record Notice is being altered to add the Breach 
Response Routine Use Language to comply with the Office of Management 
and Budget (OMB) memorandum dated May 22, 2007.
    The following notice is written in the present tense, rather than 
the future tense, in order to avoid the unnecessary expenditure of 
public funds to republish the notice after the System has become 
effective.

    Dated: December 11, 2009.
James D. Seligman,
Chief Information Officer, Centers for Disease Control and Prevention.

Department of Health and Human Services (HHS)

Centers for Disease Control and Prevention (CDC)

National Institute for Occupational Safety and Health (NIOSH)

Occupational Health Epidemiological Studies and EEOICPA Program 
Records--Report of Modified or Altered System of Records

Narrative Statement

I. Background and Purpose of the System

A. Background

    The Department of Health and Human Services proposes to alter 
System of Records, No. 09-20-0147 ``Occupational Health Epidemiological 
Studies and EEOICPA Program Records, HHS/CDC/NIOSH.'' HHS is proposing 
to add the following Breach Response Routine Use Language to comply 
with the Office of Management and Budget (OMB) Memoranda (M) 07-16, 
Safeguarding Against and Responding to the Breach of Personally 
Identifiable Information:
    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 disclosed is relevant 
and necessary for that assistance.

B. Purpose

    Studies carried out under this system are to evaluate mortality and 
morbidity of occupationally related diseases and injuries, to determine 
their causes, and to lead toward prevention of occupationally related 
diseases and injuries in the future. EEOICPA records are maintained to 
enable NIOSH to fulfill its dose reconstruction responsibilities under 
the Act.

II. Authority for Maintenance of the System

    Public Health Service Act, Section 301, ``Research and 
Investigation'' (42 U.S.C. 241); Occupational Safety and Health Act, 
Section 20, ``Research and Related Activities'' (29 U.S.C. 669); the 
Federal Mine Safety and Health Act of 1977, Section 501, ``Research'' 
(30 U.S.C. 951) and the Energy Employees Occupational Illness 
Compensation Program Act of 2000 (EEOICPA) (42 U.S.C. 7384, et seq.)

III. Proposed Routine Use Disclosures of Data in the System

    The Privacy Act allows us to disclose information without an 
individual's consent if the information is to be used for a purpose 
that is compatible with the purpose(s) for which the information was 
collected. Any such compatible use of data is known as a ``routine 
use.'' The routine uses proposed for this System are compatible with 
the stated purpose of the System and support the agency's evaluation of 
mortality and morbidity of occupationally related diseases and 
injuries, determination their causes prevention of occupationally 
related diseases and injuries in the future, and enable NIOSH to 
fulfill its dose reconstruction responsibilities under the EEOICPA.
    Portions of records (name, Social Security number if known, date of 
birth, and last known address) may be disclosed to one or more of the 
sources selected from those listed in Appendix I, as applicable. This 
may be done for obtaining a determination regarding an individual's 
health status and last known address. If the sources determine that the 
individual is dead, NIOSH may obtain death certificates, which state 
the cause of death, from the appropriate Federal, State or local 
agency. If the individual is alive, NIOSH may obtain information on 
health status from disease registries or on last known address in order 
to contact the individual for a health study or to inform him or her of 
health findings. This information on health status enables NIOSH to 
evaluate whether excess occupationally related mortality or morbidity 
is occurring.
    In the event of litigation where the defendant is: (a) The 
Department, any component of the Department, or any employee of the 
Department in his or her official capacity; (b) the United States where 
the Department determines that the claim, if successful, is likely to 
directly affect the operations of the Department or any of its 
components; or (c) any Department employee in his or her individual 
capacity where the Department of Justice has agreed to represent such 
employee, for example, in defending a claim against the Public Health 
Service based upon an individual's mental or physical condition and 
alleged to have arisen because of activities of the Public Health 
Service in connection with such individual, disclosure may be made to 
the Department of Justice to enable that Department to present an 
effective

[[Page 4465]]

defense, provided that such disclosure is compatible with the purpose 
for which the records were collected.
    Records may also be disclosed when deemed desirable or necessary, 
to the Department of Justice, and/or the Department of Labor, to enable 
those Departments to effectively represent the Department of Health and 
Human Services and/or the Department of Labor in litigation involving 
the Energy Employees Occupational Illness Compensation Program Act of 
2000 (EEOICPA).
    Records subject to the Privacy Act are disclosed to private firms 
for data entry, scientific support services, nosology coding, computer 
systems analysis and computer programming services. The contractors 
promptly return data entry records after the contracted work is 
completed. The contractors are required to maintain Privacy Act 
safeguards.
    Certain diseases or exposures may be reported to State and/or local 
health departments where the State has a legally constituted reporting 
program for communicable diseases and which provides for the 
confidentiality of the information.
    In the event of litigation initiated at the request of NIOSH, the 
Institute may disclose such records as it deems desirable or necessary 
to the Department of Justice and to the Department of Labor, Office of 
the Solicitor, where appropriate, to enable the Departments to 
effectively represent the Institute, provided such disclosure is 
compatible with the purpose for which the records were collected. The 
only types of litigation proceedings that NIOSH is authorized to 
request are: (1) Enforcement of a subpoena issued to an employer to 
provide relevant information; and (2) administrative search warrants to 
obtain access to places of employment and relevant information therein 
and related contempt citations against an employer for failure to 
comply with a warrant obtained by the Institute; and (3) injunctive 
relief against employers or mine operators to obtain access to relevant 
information.
    Disclosure may be made to NIOSH collaborating researchers (e.g., 
NIOSH contractors, grantees, cooperative agreement holders, or other 
Federal or State scientists) in order to accomplish the research 
purpose for which the records are collected. The collaborating 
researchers must agree in writing to comply with the confidentiality 
provisions of the Privacy Act and NIOSH must have determined that the 
researchers' data security procedures will protect confidentiality.
    Disclosure of epidemiologic study records pertaining to uranium 
workers may be made to the Department of Justice to be used in 
determining eligibility for compensation payments to the uranium 
workers or their survivors.
    Records may be disclosed by CDC in connection with public health 
activities to the Social Security Administration for sources of 
locating information to accomplish the research or program purposes for 
which the records were collected.
    Disclosure of records or portions of records may be made to a 
Member of Congress or a Congressional staff member submitting a 
verified request involving an individual who is entitled to the 
information and has requested assistance from the Member or staff 
member. The Member of Congress or Congressional staff member must 
provide a copy of the individual's written request for assistance.
    Records may be disclosed 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 
disclosed is relevant and necessary for that assistance.

The Following Routine Uses Apply Only to EEOICPA Program Records

    Disclosure of dose reconstructions, epidemiologic study records and 
employment and medical information pertaining to Department of Energy 
employees and other cancer-related claimants covered under the Energy 
Employees Occupational Illness Compensation Program Act may be made to 
the Department of Labor to be used in determining eligibility for 
compensation payments to such claimants and in defending its 
determinations under the Act.
    Disclosure of personal identifying information associated with 
cancer-related claims under the Energy Employees Occupational Illness 
Compensation Program Act may be made to the Department of Energy, other 
Federal agencies, other government or private entities and to private-
sector employers to permit these entities to retrieve records required 
to reconstruct radiation doses and to enable NIOSH to evaluate 
petitions for inclusion in the Special Exposure Cohort.
    Completed dose reconstruction reports for cancer-related claims 
under the Energy Employees Occupational Illness Compensation Program 
Act may be released to the Department of Energy and the Department of 
Labor to permit these entities to fulfill EEOICPA and HHS dose 
reconstruction regulation requirements to notify claimants of their 
dose reconstruction results.
    Disclosure of personal identifying information associated with 
cancer-related claims under the Energy Employees Occupational Illness 
Compensation Program Act may be made to identified witnesses as 
designated by the Office of Compensation Analysis and Support to assist 
NIOSH in obtaining information required to complete the dose 
reconstruction process and to enable NIOSH to evaluate petitions for 
inclusion in the Special Exposure Cohort.

IV. Effects of the Proposed System of Records on Individual Rights

    The routine uses proposed for this System are compatible with the 
stated purpose of the System and support the agency's evaluation of 
mortality and morbidity of occupationally related diseases and 
injuries, determination their causes prevention of occupationally 
related diseases and injuries in the future, and enable NIOSH to 
fulfill its dose reconstruction responsibilities under the EEOICPA.
    An individual may learn if a record exists about himself or herself 
by contacting the system manager at the above address. Requesters in 
person must provide driver's license or other positive identification. 
Individuals who do not appear in person must either: (1) Submit a 
notarized request to verify their identity; or (2) certify that they 
are the individuals they claim to be and that they understand that the 
knowing and willful request for or acquisition of a record pertaining 
to an individual under false pretenses is a criminal offense under the 
Privacy Act subject to a $5,000 fine.
    An individual who requests notification of or access to medical 
records shall, at the time the request is made, designate in writing a 
responsible representative who is willing to review the record and 
inform the subject individual of its contents. A subject individual 
will be granted direct access to a medical record if the system manager 
determines direct access is not likely to have adverse effect on the 
subject individual.
    The following information must be provided when requesting 
notification: (1) Full name; (2) the approximate date and place of the 
study, if known; and (3) nature of the questionnaire or study in which 
the requester participated.
    Same as notification procedures. Requesters should also reasonably 
specify the record contents being sought. An accounting of disclosures

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that have been made of the record, if any, may be requested.

V. Safeguards

    The records in this System are retained and disposed of in the 
following way: Records are retained and disposed of according to the 
provisions of the CDC Electronic Records Control Schedule for NIOSH 
records. Records are maintained in agency for three years after the 
close of the study. Records transferred to the Federal Records Center 
when no longer needed for evaluation and analysis are destroyed after 
75 years for epidemiologic studies, unless needed for further study. 
Records from health hazard evaluations will be retained at least 20 
years. EEOICPA program records are transferred to the Federal Records 
Center 15 years after the case file becomes inactive and are destroyed 
after 75 years. Paper files that have been scanned to create electronic 
copies are disposed of after the copies are verified. Disposal methods 
include erasing computer tapes and burning or shredding paper 
materials.
    The records in this System have the following safeguards in place 
to maintain and protect the information as it relates to Authorized 
users, physical and procedural safeguards:
    Authorized users--A database software security package is utilized 
to control unauthorized access to the system. Access is granted to only 
a limited number of physicians, scientists, statisticians, and 
designated support staff or contractors, as authorized by the system 
manager to accomplish the stated purposes for which the data in this 
system have been collected.
    Physical Safeguards--Hard copy records are kept in locked cabinets 
in locked rooms. Guard service in buildings provides screening of 
visitors. The limited access, secured computer room contains fire 
extinguishers and an overhead sprinkler system. Computer workstations 
and automated records are located in secured areas. Electronic anti-
intrusion devices are in operation at the Federal Records Center.
    Procedural Safeguards--Data sets are password protected and/or 
encrypted. Protection for computerized records both on the mainframe 
and the NIOSH Local Area Network (LAN) includes programmed verification 
of valid user identification code and password prior to logging on to 
the system, mandatory password changes, limited log-ins, virus 
protection, and user rights/file attribute restrictions. Password 
protection imposes user name and password log-in requirements to 
prevent unauthorized access. Each user name is assigned limited access 
rights to files and directories at varying levels to control file 
sharing. There are routine daily backup procedures and secure off-site 
storage is available for backup tapes. Additional safeguards may be 
built into the program by the system analyst as warranted by the 
sensitivity of the data.
    Employees and contractor staff who maintain records are instructed 
to check with the system manager prior to making disclosures of data. 
When individually identified data are being used in a room, admittance 
at either government or contractor sites is restricted to specifically 
authorized personnel. Privacy Act provisions are included in contracts, 
and the Project Director, contract officers and project officers 
oversee compliance with these requirements. Upon completion of the 
contract, all data will be either returned to CDC or destroyed, as 
specified by the contract.
    Implementation Guidelines: The safeguards outlined above are in 
accordance with the HHS Information Security Program Policy and FIPS 
Pub 200, ``Minimum Security Requirements for Federal Information and 
Information Systems.'' Data maintained on CDC's Mainframe and the NIOSH 
LAN are in compliance with OMB Circular A-130, Appendix III. The CDC 
LAN currently operates under a Microsoft Windows Server and is in 
compliance with applicable security standards.

VI. OMB Control Numbers, Expiration Dates, and Titles of Information 
Collection

    A. Full Title: ``Occupational Health Epidemiological Studies and 
EEOICPA Program Records, HHS/CDC/NIOSH.''
    OMB Control Number: 09-20-0147.
    Expiration Date: TBD.

VII. Supporting Documentation

    A. Preamble and Proposed Notice of System for publication in the 
Federal Register.
    B. Agency Rules: None.
    C. Exemption Requested: None.
    D. Computer Matching Report: The new system does not require a 
matching report in accordance with the computer matching provisions of 
the Privacy Act.

Appendix I--Potential Sources for Determination of Health Status, Vital 
Status and/or Last Known Address

Military records
Appropriate State Motor Vehicle Registration Departments
Appropriate State Driver's License Departments
Appropriate State Government Division of: Assistance Payments 
(Welfare), Social Services, Medical Services, Food Stamp Program, 
Child Support, Board of Corrections, Aging, Indian Affairs, Worker's 
Compensation, Disability Insurance
Retail Credit Association follow-up
Veterans Administration files
Appropriate employee union or association records
Appropriate company pension or employment records
Company group insurance records
Appropriate State Vital Statistics Offices
Life insurance companies
Railroad Retirement Board
Area nursing homes
Area Indian Trading Posts
Mailing List Correction Cards (U.S. Postal Service)
Letters and telephone conversations with former employees of the 
same establishment as cohort member
Appropriate local newspaper (obituaries)
Social Security Administration
Internal Revenue Service
National Death Index
Centers for Medicare & Medicaid Services
Pension Benefit Guarantee Corporation
State Disease Registries
Commercial Telephone Directories

[FR Doc. 2010-33020 Filed 1-24-11; 8:45 am]
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