[Federal Register Volume 76, Number 16 (Tuesday, January 25, 2011)]
[Notices]
[Pages 4469-4471]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-33022]
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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 Respiratory Disease Studies (DRDS), 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, 09-20-0153, ``Mortality Studies in Coal Mining,
Metal and Non-metal Mining and General Industry, 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.
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 09-20-0153:
Federal eRulemaking Portal: http://regulations.gov. Follow
the instructions for submitting comments.
E-mail: Include PA SOR number 09-20-0153 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. 09-20-0153, ``Morbidity Studies in Coal Mining, Metal and Non-metal
Mining and General Industry, HHS/CDC/NIOSH.'' The purpose of this
system is to investigate occupationally related diseases at workplaces
identified as general industry, surface mining, or below ground mining
operations, to determine the cause and prevention of such diseases, and
to evaluate whether excess occupationally related mortality is
occurring.
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.
Editorial Note: This document was received at the Office of the
Federal Register on December 27, 2010.
Appendix I--Potential Sources for Determination of Vital Status and/or
Last Known Address
Military records
Appropriate State Motor Vehicle Registration Departments
Appropriate State Driver's License Departments
Appropriate State Government Divisions of:
Assistance Payments (Welfare), Social Services, Medical Services,
Food Stamp Program,
Child Support, Board of Corrections, Aging, Indian Affairs, Worker's
Compensation,
Disability Insurance
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 relatives
[[Page 4470]]
Letters and telephone conversations with former employees of the
same establishment as cohort member
Appropriate local newspaper (obituaries)
Social Security Administration
Internal Revenue Service
Department of Health and Human Services (HHS)
Centers for Disease Control and Prevention (CDC)
National Institute for Occupational Safety and Health (NIOSH)
Mortality Studies in Coal Mining, Metal and Non-Metal Mining and
General Industry
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. 09-20-0153 ``Mortality Studies in Coal Mining,
Metal and Non-metal Mining and General Industry, 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
The purpose of this system is to investigate occupationally related
diseases at workplaces identified as general industry, surface mining,
or below ground mining operations, to determine the cause and
prevention of such diseases, and to evaluate whether excess
occupationally related mortality is occurring.
II. Authority for Maintenance of the System
Occupational Safety and Health Act, Section 20, ``Research and
Related Activities'' (29 U.S.C. 669); Federal Mine Safety and Health
Act of 1977, Section 101, ``Mandatory Safety and Health Standards'' and
Section 501, ``Research'' (30 U.S.C. 811, 951); and the Public Health
Service Act, Section 301, ``Research and Investigation'' (42 U.S.C.
241).
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 mission:
Data may be sent to State Vital Statistics Divisions to obtain
death certificates and to missing person location agencies to find
those individuals who cannot otherwise be located.
Portions of records (name, Social Security number if known, date of
birth, and last known address) may be disclosed to one or more other
sources selected from those listed in Appendix I, as applicable. This
may be done for obtaining a determination as to whether or not an
individual has died and, if alive, last known address. The purpose of
determining death is so that NIOSH may obtain death certificates, which
state the cause of death, from the appropriate Federal, State, or local
agency. Cause of death enables NIOSH to evaluate whether excess
occupationally related mortality is occurring.
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.
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 defense, provided that such disclosure is compatible with the
purpose for which the records were collected.
Records subject to the Privacy Act are disclosed to private firms
for data entry, 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.
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 litigative proceedings that NIOSH is authorized to
request are: (1) Enforcement of a subpoena issued to an employer to
provide relevant information; or (2) contempt citation 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 (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.
The records in this System are stored in computer cards, tapes/
disks and printouts, microfiche, and manual files. The records in this
System are retrieved by Name and/or assigned numerical identifier,
plant name and study are some of the indices used to retrieve records
from this system. Social Security numbers, supplied on a voluntary
basis may occasionally be used for data retrieval.
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.
IV. Effects of the Proposed System of Records on Individual Rights
The routine uses proposed for this System are compatible with the
stated
[[Page 4471]]
purpose of the System and support the agency's mission:
An individual may learn if a record exists about himself or herself
by contacting the system manager at the address above. 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.
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
that have been made of the record, if any, may be requested.
Individuals may contact the official at the address specified under
System Manager above, and reasonably identify the record and specify
the information being contested, the corrective action sought, and the
reasons for requesting the correction, along with supporting
information to show how the record is inaccurate, incomplete, untimely,
or irrelevant.
V. Safeguards
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--Access is granted to physicians, scientists,
statisticians, and designated support staff of the Centers for Disease
Control and Prevention (CDC), or its contractors, as authorized by the
system manager to accomplish the stated purposes for which the data in
this system have been collected.
Physical Safeguards--Access to the facility is monitored, and
controlled after hours, by security guard service. Hard copy records
are kept in locked cabinets in locked rooms. Access to the LAN computer
room is controlled by a punch lock system. The local fire department is
one mile from the facility, which is of structural steel and cement
block construction, with pre-cast cement panels on the envelope. No
combustible materials are used in the building construction, including
all interior walls. Heat sensors are installed, and portable fire
extinguishers are located throughout the computer room. The active
system files are backed up on a weekly basis. The entire system is
backed up, with copies of the files stored in a secure, fireproof safe
in a separate location within the facility.
Procedural Safeguards--The NIOSH Local Area Network (LAN) computer
system, located within the Morgantown facility, uses a security package
to control unauthorized access to the system. Attempts to gain access
by unauthorized individuals are automatically recorded and reviewed on
a daily basis. 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.
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. Security
is provided for information collection, processing, transmission,
storage, and dissemination in general support systems and major
applications.
The records in this System are retained and disposed of in the
following way: Master records for completed studies are maintained in
agency until transferred to the National Archives. Source documents for
computer data are disposed of when no longer needed in the study, as
determined by the system manager, and as provided in the signed consent
form, as appropriate. Disposal methods include erasing computer tapes,
burning or shredding paper materials or transferring records to the
Federal Records Center when no longer needed for evaluation and
analysis. Electronic records are maintained according to the provisions
of the Records Control Schedule for NIOSH Electronic Records, which is
consistent with the records maintenance requirements for other forms of
records. Copies of notifications to workers/private physicians of
needed medical attention and/or medical treatment are destroyed when no
longer needed for administrative purposes, but may be retained for as
long as seventy years. Paper records are destroyed by paper recycling
process when 20 years old, unless needed for further study.
VI. OMB Control Numbers, Expiration Dates, and Titles of Information
Collection
A. Full Title: ``Mortality Studies in Coal Mining, Metal and Non-
metal Mining and General Industry, HHS/CDC/NIOSH.''
OMB Control Number: 09-20-0153.
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.
[FR Doc. 2010-33022 Filed 1-24-11; 8:45 am]
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