Federal Register / Vol. 76, No. 16 / Tuesday, January 25, 2011 / Notices 4469 

Circular A–130, Appendix III. Security 

is provided for information collection, 

processing, transmission, storage, and 

dissemination in general support 

systems and major applications. The 

CIO LAN currently operates under 

Novell v. 4.11 and is in compliance with 

‘‘CDC & ATSDR Security Standards for 

Novell File Servers.’’ 

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: ‘‘Morbidity Studies in 

Coal Mining, Metal and Non-metal 

Mining and General Industry, HHS/ 

CDC/NIOSH.’’ 

OMB Control Number: 09–20–0149. 

Expiration Date: TBD. 

VII. Supporting Documentation 

A. Preamble and Proposed Notice of 

System for publication in the Federal 

Register. 

B. Agency Rules: 

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. 2010–33021 Filed 1–24–11; 8:45 am] 

BILLING CODE 4163–18–P 

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. 

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 tollfree 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 

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4470 Federal Register / Vol. 76, No. 16 / Tuesday, January 25, 2011 / Notices 

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 Nonmetal 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 

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Federal Register / Vol. 76, No. 16 / Tuesday, January 25, 2011 / Notices 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] 

BILLING CODE 4163–18–P 

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. 

SUMMARY: The Department of Health and 

Human Services proposes to alter 

System of Records, 09–20–0154, 

‘‘Medical and Laboratory Studies, 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) 

mstockstill on DSKH9S0YB1PROD with NOTICES2