[Federal Register: September 29, 2003 (Volume 68, Number 188)]
[Notices]
[Page 55962-55967]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr29se03-73]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Centers for Disease Control and Prevention
Privacy Act of 1974; System of Records
AGENCY: Department of Health and Human Services (HHS), Centers for
Disease Control and Prevention (CDC).
ACTION: Notification of the addition of new routine uses, modification
of existing routine use, and system name revision.
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SUMMARY: In accordance with the requirements of the Privacy Act, the
Centers for Disease Control and Prevention (CDC) is publishing notice
of a proposal to add three new routine uses, to amend one routine use,
and to revise the system name of an existing National Institute for
Occupational Safety and Health (NIOSH) system of records, 09-20-0147,
``Occupational Health Epidemiological Studies. HHS/CDC/NIOSH.'' The
purpose of the three new routine uses and one amended routine use is to
clarify that NIOSH, under the Energy Employees Occupational Illness
Compensation Program Act of 2000 (EEOICPA), will release identifiable
information associated with cancer-related claims to a number of
entities described in the Supplementary Information Section below in
order to implement dose reconstruction responsibilities and make
informed judgments on addition of classes of workers to the Special
Exposure Cohort. In addition, NIOSH is also revising the name of the
system of records to ``Occupational Health
[[Page 55963]]
Epidemiological Studies and EEOICPA Program Records. HHS/CDC/NIOSH.''
This modification is being done to facilitate the general public's
search for the system of records containing EEOICPA program cancer
claimant records associated with dose reconstruction.
DATES: CDC invites interested parties to submit comments on the
proposed routine uses and system of records name change on or before
October 29, 2003. The CDC will adopt the new routine uses and name
change without further notice 30 days after the date of publication,
unless CDC receives comments which would result in a contrary
determination.
ADDRESSES: Comments should be addressed to the Centers for Disease
Control and Prevention (CDC) Privacy Act Officer at the address listed
below. Comments received will be available for inspection from 8:30
a.m. to 4 p.m. Monday through Friday in the CDC Executive Park
Facility, Building 37 Executive Park Drive, Room 3756C, Atlanta,
Georgia.
FOR FURTHER INFORMATION CONTACT: Betsey S. Dunaway, Privacy Act
Officer, Centers for Disease Control and Prevention, 1600 Clifton Road
NE., Executive Park Facility, Building 37, Room 3756C, Mailstop E-11,
Atlanta, Georgia 30333, (404) 498-1506. This is not a toll-free number.
SUPPLEMENTARY INFORMATION: CDC proposes to add three new routine uses
and amend one routine use of an existing system of records within its
National Institute for Occupational Safety and Health (NIOSH): 09-20-
0147, ``Occupational Health Epidemiological Studies. HHS/CDC/NIOSH.''
These new routine uses will be used by NIOSH's Office of Compensation
Analysis and Support (OCAS) to fulfill its responsibilities under
EEOICPA by releasing information to the indicated entities listed
below:
1. Disclosure of personal identifying information associated with
cancer-related claims under EEOICPA to the Department of Energy (DOE),
other federal agencies, other government or private entities, and to
private-sector employers to permit these entities to retrieve records
required by NIOSH to reconstruct radiation doses;
2. Disclosure of completed dose reconstruction reports of cancer-
related claimants under EEOICPA to the Department of Labor (DOL) and
the Department of Energy (DOE) to fulfill HHS dose reconstruction
regulations that require disclosure to the claimant, DOL, and DOE, and
to fulfill DOE's notification obligations as required by EEOICPA (42
U.S.C. 7384n(e)(1)); and
3. Disclosure of personal identifying information associated with
cancer-related claims under EEOICPA to identified witnesses as
designated by the NIOSH Office of Compensation Analysis and Support
(OCAS) so that these individuals can provide more detailed information
on employment exposures to enable NIOSH to more accurately determine
claimant radiation exposure levels and to determine the eligibility of
claimant classes for membership in the Special Exposure Cohort.
The previous routine uses of the existing system notice are hereby
incorporated and maintained by reference with one modification: A
record from this system of records may be disclosed to a Member of
Congress or a Congressional staff member submitting a verified request
involving an individual who is entitled to the information when the
individual has requested assistance from the Member or staff member.
The Member of Congress or staff member must provide a copy of the
individual's written request for assistance. The purpose of this
modification is to clarify that records from this system of records
will be released to a Member of Congress or a Congressional staff
member only as a result of a documented request from an individual who
is entitled to the information.
The new routine uses are compatible with the NIOSH system's purpose
to evaluate the mortality, morbidity, and prevention of occupationally
related diseases. The routine uses are compatible in that they will
permit NIOSH, OCAS to better fulfill its responsibilities to complete
dose reconstructions for cancer-related claims which will in turn
enable DOL to determine award of benefits under the Energy Employees
Occupational Illness Compensation Program Act of 2000 (42 U.S.C.S.
7384-7385) and they will also allow OCAS to evaluate petitions for
inclusion in the Special Exposure Cohort.
In EEOICPA, Congress recognized the fact that since World War II,
Federal nuclear activities have been explicitly recognized under
Federal law as activities that are ultra-hazardous. Nuclear weapons
production and testing have involved unique dangers, including
potential catastrophic nuclear accidents that private insurance
carriers have not covered. It is further recognized that recurring
exposures to radioactive substances and beryllium, even in small
amounts, can cause medical harm. Since the inception of the nuclear
weapons program and for several decades afterwards, a large number of
nuclear weapons workers at sites of the DOE and at sites of vendors who
supplied the Cold War effort were put at risk.
Because of this, Congress established the ``Energy Employees
Occupational Illness Compensation Program.'' The purpose of the program
is to provide for timely, equitable, and adequate compensation of
covered employees and, where applicable, survivors of such employees,
who incurred illnesses during the performance of their duties for the
DOE and certain of its contractors and subcontractors. The Department
of Labor is the federal agency with lead responsibility and is to
administer the program. Within HHS, NIOSH's Office of Compensation
Analysis and Support (OCAS) has responsibility under the Act to prepare
individual dose reconstructions for specified cancer-related claims and
to evaluate petitions for inclusion in the Special Exposure Cohort. The
Special Exposure Cohort is a cohort of claimants for whom there is
inadequate documentation to complete a dose reconstruction and a
reasonable likelihood that their health was endangered by exposure to
radiation. The Cohort members can only receive compensation if they
develop one of 22 specified cancers.
Pertinent information and records used to develop individual dose
reconstruction reports and to evaluate petitions for membership in the
Special Exposure Cohort from the NIOSH system of records are acquired
from two NIOSH program efforts. NIOSH's Health-Related Energy Research
Branch (HERB) has been given access to the DOE's Privacy Act system of
records to collect information, records, and data for the purpose(s) of
evaluating the mortality and morbidity of occupationally related
diseases to determine the cause and prevention of occupationally
related diseases (Memorandum of Understanding with Department of Energy
(DOE), 56 FR 9701, March 7, 1991 renewed 1995 and 2000 as part of DOE's
Radiation Research Program; routine use formalizing data exchange
between DOE and HHS added to Privacy Act System of Records DOE-10,
``Worker Advocacy Records''). This information is sufficient for NIOSH
to fulfill research purposes to evaluate morbidity and mortality of
occupationally related diseases, but is not in sufficient detail to
complete dose reconstruction of EEOICPA claimants. Additionally,
through its research program, NIOSH acquires vital status information,
death certificates, and
[[Page 55964]]
records from the National Death Index and from State Vital Registrars.
NIOSH, Office of Compensation Analysis and Support (OCAS), is now
proposing to add three new routine uses, the first of which is to
enable the agency to disclose personal identifying information so that
NIOSH can receive from DOE additional records and information needed to
complete the dose reconstruction process for cancer-related claims and
to evaluate applications for the Special Exposure Cohort. The
information received by NIOSH, OCAS will include employment histories
of claimants, production process and work history information, exposure
and dosimetry monitoring data, safety and accident reports, and
pertinent excerpts from employee medical records. In addition to DOE as
a source for these records, NIOSH, OCAS is proposing a routine use to
also allow the disclosure of personal identifying information to other
federal agencies, other government or private entities and to private-
sector employers to allow these entities to similarly locate necessary
records so that NIOSH can complete dose reconstructions and evaluate
petitions for inclusion in the Special Exposure Cohort. Such private
entities might include, but are not limited to, previous DOE
contractors and subcontractors who may no longer be in a contractual
relationship with DOE.
A second routine use is needed to enable NIOSH, Office of
Compensation Analysis and Support (OCAS), to provide the Department of
Energy (DOE) and Department of Labor (DOL) with completed dose
reconstruction reports in compliance with HHS' Dose Reconstruction
Final Rule (42 CFR part 82), and the requirements of EEOICPA. Under
EEOICPA (42 U.S.C. 7384n(e)(1)), DOE is required to provide, to each
covered employee with cancer specified in 42 U.S.C. 7384l(9)(B),
information specifying the estimated radiation dose of that employee
during each employment specified in 42 U.S.C. 7384l(9)(B), whether
established by a dosimetry reading, by a method established under 42
U.S.C. 7384n(d), or by both a dosimetry reading and such method. To
assist DOE and DOL in fulfilling their legal obligations, the HHS dose
reconstruction regulations require disclosure of the completed dose
reconstruction to the claimant, DOE and DOL.
The third routine use is being proposed because NIOSH, Office of
Compensation Analysis and Support (OCAS), often finds it necessary to
contact witnesses who have been identified as possible sources of
information that may assist NIOSH, OCAS in completing the dose
reconstruction process or evaluating petitions for inclusion in the
Special Exposure Cohort. In many instances NIOSH will be directed to
speak with a chain of witnesses, one recommending another, and
provision of personal identifying information to these witnesses will
facilitate NIOSH's efforts without having to obtain consent for each
release of personal identifying information from each claimant. This
routine use will prevent the expenditure of a great deal of time and
resources on the part of the Department of Health and Human Services
(HHS) and facilitate more timely dose reconstruction reports and
Special Exposure Cohort petition reviews.
Provision of identifiable information to the Department of Energy
(DOE), other federal agencies, other government or private entities,
private-sector employers, Office of Compensation Analysis and Support
(OCAS) designated witnesses, and to members of Congress or their staff
in response to requests, to aid NIOSH in providing dose reconstruction
reports and evaluating petitions for inclusion in the Special Exposure
Cohort are compatible with the purposes for which the records within
this NIOSH Privacy Act system were collected. These new and modified
routine uses will also significantly decrease the administrative cost
and effort required to implement EEOICPA. Without these routine uses,
HHS may be forced to request that each claimant for whom it performs a
dose reconstruction provide written consent for each listed entity or
appropriate designated individual to obtain access to the claimant's
personal identifying information, employment, dosimetry, and related
information. The Department of Health and Human Services would spend
resources and time unnecessarily in requesting written consent for each
entity listed above, transmitting each written consent to the
appropriate entity and following up on each request for data. Routine
uses permitting disclosure of such information as indicated would be
cost effective, eliminate these inefficiencies, and be in the best
interests of the claimants.
Permitting these entities to receive and use the information/data
in these records, as appropriate and to the extent indicated, would not
result in the unauthorized release of private information contained in
the records. Information received by these entities will be maintained
in a secure manner, as required by the Privacy Act. Access will be
limited to employees whose official job duties require access to the
records. Files and automated systems will be maintained under
supervision of the appropriate personnel during normal working hours.
Only authorized personnel may handle, retrieve, or disclose any
information contained therein. Access to electronic records is
controlled by password protection.
We have also made editorial changes throughout the system notice to
enhance clarity and specificity and to accommodate normal updating
changes.
Dated: September 16, 2003.
Alvin Hall,
Director, Management Analysis and Services Office, Centers for Disease
Control and Prevention.
System name:
Occupational Health Epidemiological Studies and EEOICPA Program
Records. HHS/CDC/NIOSH.
Security classification:
None.
System location:
Division of Surveillance, Hazard Evaluation, and Field Studies
(DSHEFS), National Institute for Occupational Safety and Health
(NIOSH), Robert A. Taft Laboratories, 4676 Columbia Parkway,
Cincinnati, OH 45226.
Division of Respiratory Disease Studies (DRDS), National Institute
for Occupational Safety and Health (NIOSH), 1095 Willowdale Road,
Morgantown, WV 20505-2888.
Pittsburgh Research Laboratory, NIOSH, 626 Cochrans Mill Road,
Pittsburgh, PA 15236.
Spokane Research Laboratory, NIOSH, 315 E. Montgomery Avenue,
Spokane, WA 99207.
Office of Compensation Analysis and Support (OCAS), NIOSH, Robert
A. Taft Laboratories, 4676 Columbia Parkway, Cincinnati, Ohio 45226.
and
Federal Records Center, 3150 Bertwynn Drive, Dayton, OH 45439.
Data are also occasionally located at contractor sites as studies
are developed, data collected, and reports written. A list of
contractor sites where individually identifiable data are currently
located is available upon request to the system manager.
Also, occasionally data may be located at the facilities of
collaborating researchers where analyses are performed, data collected
and reports written. A list of these facilities is available upon
request to the system manager. Data may be located only at those
facilities that have an adequate data security program and the
collaborating researcher must return the
[[Page 55965]]
data to NIOSH or destroy individual identifiers at the conclusion of
the project.
Categories of individuals covered by the system:
Working population exposed to physical and/or chemical agents or
other workplace hazards that may damage the human body in any way. Some
examples are: (1) Organic carcinogens; (2) inorganic carcinogens; (3)
mucosal or dermal irritants; (4) fibrogenic materials; (5) acute toxic
agents including sensitizing agents; (6) neurotoxic agents; (7)
mutagenic (male and female) and teratogenic agents; (8) bio-
accumulating non-carcinogen agents; (9) chronic vascular disease-
causing agents; and (10) ionizing radiation. Also included are those
individuals in the general population who have been selected as control
groups. Workers employed by the Department of Energy and its
predecessor agencies and their contractors are also included, as are
cancer-related claimants under the Energy Employees Occupational
Illness Compensation Program Act of 2000 (EEOICPA).
Categories of records in the system:
Physical exams, sputum cytology results, questionnaires, urine test
records, X-rays, medical history, pulmonary function test records,
medical disability forms, blood test records, hearing test results,
smoking history, occupational histories, previous and current
employment records, union membership records, driver's license data,
demographic information, exposure history information and test results
are examples of the records in this system. The specific types of
records collected and maintained are determined by the needs of the
individual study. Also included are records on cancer-related claimants
under EEOICPA.
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.S. 7384, et seq.).
Purpose(s):
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.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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 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 that Department 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.
[[Page 55966]]
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.
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manager files, card files, computer tapes/disks and printouts,
microfilm, microfiche, and other files as appropriate.
Retrievability:
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.
Safeguards:
1. 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.
2. Physical Safeguards: Hard copy records are kept in locked
cabinets in locked rooms (or equivalent safeguarding). Guard service in
buildings provides screening of visitors. The limited access, secured
computer room contains fire extinguishers and an overhead sprinkler
system. Computer terminals and automated records are located in secured
areas. Electronic anti-intrusion devices are in operation at the
Federal Records Center.
3. Procedural Safeguards: Data sets are password protected and/or
encrypted. Protection for computerized records both on the mainframe
and the CIO 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 Vault Management
System for 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.
4. Implementation Guidelines: The safeguards outlined above are
developed in accordance with Chapter 45-13, ``Safeguarding Records
Contained in Systems of Records,'' of the HHS General Administration
Manual; and part 6, ``Automated Information System Security,'' of the
HHS Information Resources Management Manual. FRC safeguards are in
compliance with GSA Federal Property Management Regulations, Subchapter
B--Archives and Records. Data maintained in CDC Atlanta's Processing
Center 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 CIO LANs operate under the current CDC approved
version of Novell Netware, and are in compliance with ``CDC & ATSDR
Security Standards for Novell File Servers.''
Retention and disposal:
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, and
then disposed of in accordance with the CDC Records Control Schedule.
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.
System manager(s) and address:
Program Management Officer, Division of Surveillance, Hazard
Evaluations, and Field Studies (DSHEFS), National Institute for
Occupational Safety and Health (NIOSH), Robert A. Taft Laboratories,
Rm. 40A, MS R12, 4676 Columbia Parkway, Cincinnati, OH 45226.
[[Page 55967]]
Director, Division of Respiratory Disease Studies (DRDS), National
Institute for Occupational Safety and Health (NIOSH), ALOSH Bldg., Rm.
H-2920, MS H2900, 1095 Willowdale Road, Morgantown, WV 26505.
Director, Pittsburgh Research Laboratory, NIOSH, 626 Cochrans Mill
Road, Pittsburgh, PA 15236.
Director, Spokane Research Laboratory, NIOSH, 315 E. Montgomery
Avenue, Spokane, WA 99207.
Director, Office of Compensation and Support (OCAS), NIOSH, Robert
A. Taft Laboratories, 4676 Columbia Parkway, Cincinnati, OH 45226.
Policy coordination is provided by: Director, National Institute
for Occupational Safety and Health (NIOSH), Bldg. HHH, Rm. 715H, MS P-
12, 200 Independence Avenue, SW., Washington, DC 20201.
Notification procedure:
An individual may learn if a record exists about him 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.
Record access procedures:
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.
Contesting record procedures:
Contact the official at the address specified under System Manager
above, 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.
Record source categories:
Vital status information is obtained from Federal, State and local
governments and other available sources selected from those listed in
Appendix I. Information is obtained directly from the individual and
employer records, whenever possible.
Systems exempted from certain provisions of the act:
None.
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
[FR Doc. 03-24481 Filed 9-26-03; 8:45 am]
BILLING CODE 4163-18-P