[Federal Register Volume 76, Number 16 (Tuesday, January 25, 2011)]
[Notices]
[Pages 4474-4476]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-33024]
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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: National Personal Protective Technology Laboratory (NPPTL),
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, 09-20-0159, ``Records of Subject in Certification,
Testing, Studies of Personal Protective Devices, and Accident
Investigations, 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), National Personal Protective
Technology Laboratory (NPPTL).
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 09-20-0159:
Federal eRulemaking Portal: http://regulations.gov. Follow
the instructions for submitting comments.
E-mail: Include PA SOR number 09-20-0159 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. 09-20-0159, ``Records of Subject in Certification, Testing, Studies
of Personal Protective Devices, and Accident Investigations, HHS/CDC/
NIOSH.'' The purpose of this system is to permit acquisition of
information related to certification and performance of personal
protective equipment, and safety research studies.
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.
Department of Health and Human Services (HHS)
Centers for Disease Control and Prevention (CDC)
National Institute for Occupational Safety and Health (NIOSH)
Records of Subject in Certification, Testing, Studies of Personal
Protective Devices, and Accident Investigations
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. 09-20-0159 ``Records of Subject in
Certification, Testing, Studies of Personal Protective Devices, and
Accident Investigations, 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 permit acquisition of information
related to certification and performance of personal protective
equipment, and safety research studies.
[[Page 4475]]
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); and
the Federal Mine Safety and Health Act of 1977, Section 501,
``Research'' (30 U.S.C. 951)
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:
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.
Portions of records (name, Social Security number if known, date of
birth, and last known address) may be disclosed to one or more sources
selected from those listed in Appendix 1. This may be done to determine
if the individual has died so that a death certificate can be obtained.
Knowing the cause of death enables NIOSH to evaluate whether excess
occupationally-related mortality is occurring.
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.
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.
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.
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 purpose of the System:
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 at the representative's
discretion. 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
that have been made of the record, if any, may be requested.
V. Safeguards
The records in this System are stored in manual files, computer
cards, tapes/disks and printouts, microfilm, index audiogram files,
audiograms, and questionnaire forms. The records in this System are
retrieved by name, assigned number, plant name, and year tested are
some of the indices used to retrieve records from these systems. Other
retrieval methods are utilized as individual research dictates.
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 only a limited number of
physicians, scientists, statisticians, and designated support staff of
the Centers for Disease Control and Prevention (CDC), as authorized by
the system manager to accomplish the stated purposes for which the data
in this system have been collected.
Physical Safeguards--Locked cabinets in locked rooms, electronic
anti-intrusion devices in operation at the Federal Records Center,
security guard service in buildings, personnel screening of visitors.
Procedural Safeguards--The NIOSH Local Area Network (LAN) uses
security packages 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 LAN include
[[Page 4476]]
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 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: Records are retained and disposed of according to the
provisions of the CDC Records Control Schedule for NIOSH records.
Records are maintained in agency while the approval and certification
is active, at a minimum for three years. Personal identifiers are
stripped from records when no longer needed. Disposal methods include
burning or shredding paper materials or transferring records to the
Federal Records Center when no longer needed for evaluation and
analysis. Records 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: ``Records of Subjects in Certification, Testing,
Studies of Personal protective Devices, and Accident Investigations,
HHS/CDC/NIOSH.''
OMB Control Number: 09-20-0159.
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. 2010-33024 Filed 1-24-11; 8:45 am]
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