[Federal Register Volume 76, Number 16 (Tuesday, January 25, 2011)]
[Notices]
[Pages 4454-4456]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-33015]


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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 Applied Research and Technology (DART), National 
Institute for Occupational Safety and Health (NIOSH), Centers for 
Disease Control and Prevention (CDC),

[[Page 4455]]

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, 09-20-0117, ``Medical and Test Record Results of 
Individuals Involved in NIOSH 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) 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 09-20-0117:
    <bullet> Federal eRulemaking Portal: http://regulations.gov. Follow 
the instructions for submitting comments.
    <bullet> E-mail: Include PA SOR number 09-20-0117 in the subject 
line of the message.
    <bullet> Phone: 770/488-8660 (not a toll-free number).
    <bullet> Fax: 770/488-8659.
    <bullet> 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.
    <bullet> 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.
    <bullet> 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. 09-20-0117, ``Medical and Test Record Results of Individuals 
Involved in NIOSH Laboratory Studies, HHS/CDC/NIOSH.'' The purpose of 
this system is to develop composite data summaries to support the 
development of criteria for occupational safety and health standards, 
and to provide other recommendations for improving worker safety and 
health.
    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)

Medical and Test Record Results of Individuals Involved in NIOSH 
Laboratory Studies--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. 09-20-0117 ``Medical and Test Record Results of 
Individuals Involved in NIOSH 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) 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 develop composite data summaries 
to support the development of criteria for occupational safety and 
health standards, and to provide other recommendations for improving 
worker safety and health.

II. Authority for Maintenance of the System

    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.
    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

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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.
    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.
    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.
    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:
    The first routine use permits 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 at the representative's 
discretion.
    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 file folders. Service 
fellow personnel data is also maintained in an automated database. The 
records in this System are retrieved by the name of the individual, 
fellow, or guest researcher.
    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--Users of individually identified data 
protect information from public scrutiny, and only specifically 
authorized personnel may be admitted to the record storage area. CDC 
employees who maintain records are instructed to check with the system 
manager prior to making disclosures of data.
    Implementation Guidelines: The safeguards outlined above in 
accordance with the Chapter 45-13, ``Safeguarding Records Contained in 
Systems of Records,'' of the HHS General Administration Manual.
    The records in this System are retained and disposed of in the 
following way: Personal identifiers are destroyed as soon as they are 
no longer necessary for the protection of the individuals involved. 
Records are maintained in agency for three years. Records are 
maintained according to the provisions of the CDC Records Control 
Schedule for NIOSH records. 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: ``Medical and Test Record Results of Individuals 
Involved in NIOSH Laboratory Studies, HHS/CDC/NIOSH.''
    OMB Control Number: 09-20-0117.
    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. 2010-33015 Filed 1-24-11; 8:45 am]
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