[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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