[Federal Register Volume 76, Number 16 (Tuesday, January 25, 2011)]
[Notices]
[Pages 4463-4466]
From the Federal Register Online via the Government Publishing 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
[[Page 4466]]
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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