Executive Office of the President OA

The Office of Administration (OA), Executive Office of the President (EOP), provides joint services to the entities making up the EOP. This Notice contains systems of records maintained by OA for all of these entities as well as systems of records maintained solely for the Office of Administration's use. Payroll (AA/EOP/01), Travel (OA/EOP/02), and Library Circulation (OA/EOP/03) records are maintained by OA on behalf of the entire EOP. Security Records (OA/EOP/05) are maintained by OA for all EOP entities except the White House Office, the Office of the Vice President, the National Security Council, and the Office of Policy Development. Records of the White House Office and the Council of Economic Advisers are not, however, subject to the Privacy Act. Records for these two entities (when maintained by OA) are maintained in the same manner as those of other EOP constituent groups, but are segregated by category and location.

Confidential Statement of Employment and Financial Interest (OA/EOP/05) and Ethics in Government Financial Disclosure Records (OA/EOP/06) are maintained by OA solely on behalf of the Office of Administration.

In addition to the records set forth below, OA maintains personnel records under the authority described in, and in the manner described by, the Office of Personnel Management in its System of Records OPM/GOVT-1. Inquiry concerning these records, which cover all current employees of the EOP, should be directed to the Personnel Division, Office of Administration, Room 4013, New Executive Office Building, 726 Jackson Place NW, Washington, DC 20503.

/EOP/01 Payroll Records.

Office of Administration, New Executive Office Building, 726 Jackson Place NW, Washington, DC 20503, and at the Department of the Treasury, 12th and Constitution Avenue NW, Washington, DC 21220.

All EOP employees payrolled using the Department of the Treasury, Uniform Management System (TUMS), effective March 1, 1983.

Individual name, social security number, age, sex, minority group designation, type of appointment, tenure, employment status, grade, step, salary, time worked and on leave, tax withholdings, other deductions, allotments to financial institutions, and other payroll-related items.

5 U.S.C. 301, 31 U.S.C. 66a, 44 U.S.C. 3109, 3309.

1. To generate the payroll for EOP agencies and provide necessary payroll information for agency financial management and accounting.

2. To furnish required payroll information to Federal, State, and local government taxing authorities.

3. To provide input to management information systems, budget and accounting systems, and for required statistical and financial reports to the Office of Personnel Management, the General Accounting Office, Department of the Treasury, and Congress.

4. To provide reports and/or to respond to requests for statistical information necessary for the fulfillment of programs authorized by statute or executive order (the system manager shall delete personal identifying information prior to releasing the records to ensure the individual's anonymity).

5. Disclosures may be made from this system to "consumer reporting agencies" as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the Federal Claims Collection Act of 1966, as amended by the Debt Collection Act of 1982, 96 Stat. 1749 (31 U.S.C. 952).

Storage:

The Master File is maintained on disk and magnetic tape at the Department of the Treasury, Washington, DC. Paper records and other magnetic tape records are stored in files in the Office of Administration payroll office and information services offices. Other records are stored in the Federal Records Center.

Records are retrieved by name and social security number by EOP employing agencies.

Records are maintained in locked file cabinets or limited access areas under personal surveillance during working hours and in locked rooms at other times and electronically monitored by Secret Service, Uniform Division, 24 hours a day. Master records on disk and computer tape are under the program control of officials at the Department of the Treasury computer facility.

Records are maintained in the Office of Administration payroll office and the computer facility as long as the individual is employed at the EOP. When the employee separates from the EOP, the records are transferred to the National Personnel Records Center in St. Louis, Missouri, where they are retained for 56 years and then destroyed in accordance with FPMR 101-11.4. Payroll records subject to General Accounting Office audit are retained until completion of the audit. Other records are destroyed when three (3) years old. FPMR 101-11.4.

Director for Financial Management, Office of Administration, New Executive Office Building, 726 Jackson Place NW, Room 4005, Washington, DC 20503.

Contact Director, Financial Management Division, Office of Administration, 726 Jackson Place NW, Room 4005, Washington, DC 20503.

Same as above.

Individuals on whom records are maintained. Additional information is added from payroll transactions.

None.

/EOP/02 Travel Records.

Office of Administration, New Executive Office Building, 726 Jackson Place NW, Washington, DC 20503.

Employees of EOP and other authorized individuals who travel at government expense on official business for EOP agencies.

Approved travel authorizations, requests for travel advances, vouchers submitted by individuals, memoranda of approval for special conveyances or actual expenses in lieu of per diem, and receipts required by Federal Travel Regulations (FPMR 101-7).

31 U.S.C. 66a, 44 U.S.C. 3101, 3102, 3309, and the General Accounting Office and General Services Administration policy and procedures.

1. To document authorization and reimbursement for official travel of individuals.

2. To furnish financial and statistical information to officers and employees of EOP agencies for performance of their official duties.

3. Disclosures may be made from this system to "consumer reporting agencies" as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the Federal Claims Collection Act of 1966, as amended by the Debt Collection Act of 1982, 96 Stat. 1749, (31 U.S.C. 952).

Storage:

Records for the current and preceding two fiscal years are filed in cabinets in the accounting office. Other records are stored in the Federal Records Center.

Records are retrieved by individual name within each EOP agency and by fiscal year.

Records are maintained in file cabinets under staff surveillance during working hours and in a locked room at other times.

Records are maintained in conformity with the audit schedule of the General Accounting Office and the requirements of the General Services Administration. Non-current records are destroyed after three (3) years.

Director for Financial Management, Office of Administration, New Executive Office Building, 726 Jackson Place NW, Room 4005, Washington, DC 20503.

Contact Director, Financial Management Division, Office of Administration, 726 Jackson Place, NW, Room 4005, Washington DC 20503.

Same as above.

Contents of the record is obtained from the individual to whom the information pertains. Additional information may be added by the travel office as a result of processing and auditing the claim for reimbursement.

None.

/EOP/03 Library Circulation Records.

Office of Administration, New Executive Office Building, 726 Jackson Place NW, Washington, DC 20503.

Employees of EOP and other authorized individuals and libraries who have borrowed materials from the Library.

Titles and other identifying data on materials borrowed from the Library; room number, agency and suborganization; telephone number of the borrower, the scheduled return date for each item borrowed, and termination date for detailees interns.

Federal Property and Administrative Services Act, Title II, sec. 202(b)(1), 40 U.S.C. 483(b)(1).

To locate Library materials in circulation, and to control and inventory Library materials loaned. Disclosure is limited to Library staff and officers and other employees of EOP agencies in connection with the performance of official duties.

Storage:

These records are maintained on magnetic tape/disk and periodically in hard copy for instant reference at the Library circulation desk.

Records are arranged alphabetically by the last name of the borrower, by title of item borrowed, by library site, and by call number.

Hard copy records are under personal surveillance by Library staff during working hours and in a locked area at other times. The master records on magnetic/disk are under the program control of Office of Administration data processing officials.

Records are maintained on individual Library loans only until the material is returned, and then destroyed.

Director, Library and Information Services, Division, EOP Library, Office of Administration, New Executive Office Building, 726 Jackson Place NW, Washington, DC 20503.

Contact Director, Library and Information Services Division, EOP Library, Office of Administration, 726 Jackson Place, NW, Washington, DC 20503.

Same as above.

Information is obtained from the individual who borrows materials and from physical examination of materials borrowed.

None.

/EOP/04 Security Records.

Office of Administration, Old Executive Office Building, 17th &Pennsylvania Avenue NW, Washington, DC 20500.

Applicants for employment and employees (including contract employees and those on detail from other Federal agencies) of EOP entities other than the White House Office, the Office of the Vice President, the National Security Council and the Office of Policy Development.

Contains forms completed by the individual, investigative reports and other documents relating to suitability and security clearances, and building pass issuances.

Executive Order 10450 and 12356, Information Security Oversight Office Implementing Directive, and Chapters 732 and 736 of the Federal Personnel Manual.

To verify an individual's level of clearance and the date it was granted; to identify individuals whose security investigations require updating; and to control the issuance and renewal of building passes. Disclosure is limited to the Security Officer, the Security Alternate, legal counsel, and security investigative personnel of other Federal agencies who require access to the information for the performance of their official duties.

Storage:

The records are maintained in hard copy in approved combination safes within a room that is electronically alarmed for night protection.

Records are retrieved by name, agency, employee status and type, level of clearance, pass type, type and date of investigation.

Hard copy records are kept under the personal surveillance of Office of Administration staff during working hours and in a locked area at other times. Access to the facility is controlled by a security system.

Hard copy records are destroyed when no longer needed for administrative purposes. Records are purged from the master file two years after the separation of the employee.

Security Officer, Office of Administration, Old Executive Office Building, Room 405, 17th &Pennsylvania Avenue NW, Washington, DC 20500.

Contact Security Officer, Office of Administration, Old Executive Office Building, Room 405, 17th &Pennsylvania Avenue NW, Washington, DC 20500.

Same as above.

Information is provided by the subject individual, the Security Officer, and Federal investigative agencies.

None; however, investigative reports are the property of the Federal agency providing such materials and are available only from those agencies.

/EOP/05 Confidential Statement of Employment and Financial Interests.

Agency Ethics Office, Office of Administration, Old Executive Office Building, Room 490, 17th &Pennsylvania Avenue NW, Washington, DC 20500.

This system contains the financial disclosure reports of Office of Administration employees required to file by the Director, OA, or the General Counsel, OA.

These records contain statements of personal and family holdings and other interests in business enterprises and real property, listings of creditors and outside employment, and other information related to conflict-of-interest determinations including past employment.

Executive Order 11222 (May 8, 1965), 3 CFR 100.735-24 &25.

These records and information in these records may be used as follows, but only where the Director of the Office of Government Ethics, the Director, OA, or the General Counsel, OA, determines that good cause has been shown for such use and disclosure.

a. To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order.

b. To provide information to a Congressional office from the record of an individual in response to an inquiry from that Congressional office made at the request of that individual.

c. To disclose information to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, the classifying of a job, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter.

d. By the Office of Administration in the production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related work force studies. While published statistics and studies do not contain individual identifiers, in some instances the selection of elements of data included in the study may be structured in such a way as to make the data individually identifiable by inference.

e. To disclose information to any source when necessary to obtain information relevant to a conflict-of-interest investigation or determination.

f. By the National Archives and Records Administration (General Services Administration) in records management inspections conducted under authority of 44 U.S.C. 2904 &2906.

g. To disclose information to the OMB during any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A-19.

h. To disclose, in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding.

i. To disclose information to officials in the Merit Systems Protection Board, including the Office of the Special Counsel; the Federal Labor Relations Authority and its General Counsel, or the Equal Employment Opportunity Commission when requested in performance of their authorized duties.

Storage:

The records are maintained in file folders.

These records are retrieved by the names of the individuals on whom they are maintained.

These records are located in combination steel file cabinets to which only the Agency Ethics Officer, General Counsel and staff authorized by the Agency Ethics Officer or General Counsel have access.

Records on current employees are updated yearly and are retained so long as the individual occupies a covered position. Records on former employees are disposed of six (6) years after the date they leave a covered position in accordance with law regulating disposal of federal records.

Agency Ethics Officer, Office of Administration, Old Executive Office Building, Room 490, 17th &Pennsylvania Avenue NW, Washington, DC 20500.

Individuals wishing to inquire whether this system contains information about them should contact the Agency Ethics Officer or designee, as appropriate. Individuals must furnish the following information for their records to be located and identified.

a. Full name.

b. Full title of position(s) held with the agency.

Individuals wishing to inquire whether this system contains information about them should contact the Agency Ethics Officer or General Counsel. Individuals must furnish the following information for their records to be located and identified.

a. Full name.

b. Full title of position(s) held with the agency.

An individual requesting access must also follow the Office's Privacy Act procedures regarding access to records and proof of identity.

a. Full name.

b. Full title of position(s) held with the agency.

Individuals requesting access must also comply with the Office's procedures regarding access and amendment of records and verification of identity.

Information in this system of records is provided by:

a. The subject individual or by a designated person such as a trustee, attorney, accountant, or relative.

b. Agency Ethics Officer or designated Federal official who reviewed the statements to make conflict-of-interest determinations.

None.

/EOP/06 Ethics in Government Act Financial Disclosure Reports.

Agency Ethics Office, Office of Administration, Old Executive Office Building, Room 490, 17th &Pennsylvania Avenue NW, Washington, DC 20500.

a. Office of Administration Agency Ethics Officer.

b. Each office or employee in the Office of Administration, Executive Office of the President, including a Special Government Employee as defined in section 202 of Title 18, United States Code, whose position is classified at GS-16, or above of the General Schedule prescribed by section 5332 of Title 5, United States Code, or the rate of basic pay for which is fixed (other than under the General Schedule) at a rate equal to or greater than the minimum rate of basic pay fixed for GS-16, and each officer or employee in any other position to be determined by the Director of the Office of Government Ethics to be of equal classification.

Ethics in Government Act of 1978, Pub. L. 95-521 as amended by Pub. L. 96-19 &96-28.

These records, and information contained in these records, may be used for the same purposes and in the same manner as OA/EOP/05.

Storage:

The records are maintained in file folders.

These records are retrieved by the names of the individuals on whom they are maintained.

These records are located in combination lock steel file cabinets to which only the Agency Ethics Officer and staff authorized by that individual have access.

Agency Ethics Officer, Office of Administration, Old Executive Office Building, Room 490, 17th &Pennsylvania Avenue NW, Washington, DC 20500.

a. Full name.

b. Position title(s) held in agency to which inquiry is made.

Individual wishing to inquire whether this system contains information about them should contact the Agency Ethics Officer or designee, as appropriate. Individuals must furnish the following information for their records to be located and identified:

a. Full name.

b. Position title(s) held in agency to which inquiry is made.

An individual requesting access must also follow the Officer's Privacy Act procedures regarding access to records and proof of identity.

a. Full name.

b. Position title(s) held in agency to which inquiry is made.

Individuals requesting access and amendment must also comply with the Office's procedures regarding access to and amendment of records and verification of identity.

Information in this system of records is provided by:

a. The subject individual or by a designated person such as a trustee, attorney, accountant, or relative.

b. Federal officials who review the statements to make conflict-of-interest determinations.

None.

/EOP/08 Employee Transportation Facilitation.

Office of Administration, Human Resources Management, 725 17th Street, NW., Washington, DC 20503 will keep transportation subsidy records. Office of Administration, Facilities Management Division, 725 17th Street, NW., Washington, DC 20503 will keep parking management records.

Holders of parking permits, applicants for ridesharing information, members of carpools and vanpools, and applicants and recipients of fare subsidies who are employees with the following organizations within the EOP: Council on Environmental Quality, Office of Administration, Office of Management and Budget, Office of National Drug Control Policy, Office of Science and Technology Policy, and United States Trade Representative. The information in this system of records is kept by the Office of Administration to administer employee transportation programs on behalf of the EOP organizations listed above.

Records of holders of parking permits and records of carpool and vanpool members. Records and reports of status of rideshare applications; copies of applications and match letters received by rideshare applicants; applications and certifications of fare subsidy recipients; records and reports of disbursements to fare subsidy recipients; and information on local public mass transit facilities and fare subsidy programs.

Federal Property and Administrative Services Act of 1949, as amended; title 5 U.S.C. 301.

Parking management and fare subsidy management.

Carpool listing produced for use in creating or enlarging carpools or vanpools. Used for production of listings and reports. Used for periodic review or revalidation. Used as part of a program designed to ensure eligibility for, and receipt of, fare subsidy. See Standard Routine Uses.

Disclosure to consumer reporting agencies:

Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures may be made from this system to consumer reporting agencies (collecting on behalf of the United States Government) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).

Storage:

Records are stored in hard copy or electronically.

Records can be retrieved in hard copy form by name or electronically by employee name or social security number, or by ZIP code of residence, as applicable.

Except for carpool listings, access is accorded only to parking and fare subsidy management offices. Printout of carpool listing used in matching program has name, agency, Office of Administration permit number, and work telephone number only and is available upon request.

Data are deleted and not retained on ADP once the individual leaves the system for any reason (i.e., is no longer on the ridesharing listing, is no longer a member of a carpool or vanpool, or no longer receives a fare subsidy). Record copies of monthly reports and listings are retained for three years, forwarded to the Federal Records Center for two more years, and then destroyed.

Current or former employees seeking access to information about themselves contained in this system of records should address written inquiries to the system manager. Employees should provide full name, social security number, valid identification; and any other information verifiable from this record.

Same as above.

Applications submitted by individuals for parking permits, carpool and vanpool membership, ridesharing information, and fare subsidies; from notifications from other Federal agencies in the program; and from periodic certifications and reports regarding fare subsidies, as applicable.

None.

Administrative Personnel Executive Office of the President PRIVACY ACT REGULATIONS

Sec.

2504.1 Purpose and scope.

2504.2 Definitions.

2504.3 Annual notice of systems of records maintained.

2504.4 Determining if an individual is the subject of a record.

2504.5 Granting access to a record.

2504.6 Special procedures for medical records.

2504.7 Granting access when accompanied by another individual.

2504.8 Action on request.

2504.9 Identification requirements.

2504.10 Access of others to records about an individual.

2504.11 Access to the accounting of disclosures from records.

2504.12 Denials of access.

2504.13 Requirements for requests to amend records.

2504.14 Action on request to amend a record.

2504.15 Procedures for appeal of determination to deny access to or amendment of records.

2504.16 Appeals process.

2504.17 Fees.

2504.18 Penalties.

Authority: 5 U.S.C. 552a.

Source: 45 FR 41121, June 18, 1980, unless otherwise noted.

§ 2504.1 Purpose and scope.

These regulations implement the Privacy Act of 1974, 5 U.S.C. 552a. The regulations apply to all records maintained by the Office of Administration that are contained in a system of records, and that contain information about an individual. The regulations also establish procedures that (a) authorize an individual's access to records maintained about him; (b) limit the access of other persons to those records, and (c) permit an individual to request the amendment or correction of records about him.

§ 2504.2 Definitions.

For the purposes of this part--(a) Office means the Office of Administration, Executive Office of the President;

(b) Individual means a citizen of the United States or an alien lawfully admitted for permanent residence.

(d) Record means any item collection or grouping of information about an individual that is maintained by the Office, including but not limited to education, financial transactions, medical history, and criminal or employment history and that contain's the individual's name, identifying number, symbol, or other identifiers assigned to the individual, such as a finger or voice print or photograph;

(e) System of records means a group of any records controlled by the Office and from which information is retrieved by the name of the individual;

(f) System manager means the employee of the Office who is responsible for the maintenance, collection, use or distribution of information contained in a system of records;

(g) Routine use means, with respect to the disclosure of a record, the use of that record for a purpose consistent with the purpose for which it was collected;

(h) Subject individual means the individual by whose name or other personal identifier a record is maintained or retrieved;

(i) Statistical record means record in a system of records maintained for statistical research or reporting purposes only and not used in whole or in part in making any determination about an identifiable individual, except as provided by section 8 of title 13 U.S.C.;

(j) Agency means agency as defined in 5 U.S.C. 552(e);

(k) Work days as used in calculating the date when response is due does not include Saturdays, Sundays and legal public holidays.

§ 2504.3 Annual notice of systems of records maintained.

The Office will publish in the Federal Register upon establishment or revision a notice of the existence and character of the systems of records the Office maintains. The notices shall include (1) the system name, (2) the system location, (3) the categories of individuals covered by the system, (4) the categories of records in the system, (5) the Office's authority to maintain the system, (6) the routine uses of the system, (7) the Office's policies and practice for maintenance of the system, (8) the system manager, (9) the procedures for notification, access to and correction of records in the system, and (10) the sources of information for the system.

[45 FR 47112, July 14, 1980, as amended at 49 FR 28236, July 11, 1984]

§ 2504.4 Determining if an individual is the subject of a record.

(a) Individuals desiring to know if a specific system of records maintained by the Office contains a record pertaining to them should address inquiries to the Privacy Act Officer, Office of Administration, Washington, DC 20503.

(b) Inquiries must be in writing and the words "PRIVACY ACT REQUEST" should be printed on both the letter and the envelope. The request letter should contain the complete name and identifying number of the pertinent system as published in the annual Federal Register notice describing the Office's Systems of Records; the full name and address of the subject individual; a brief description of the nature, time, place and circumstances of the individual's prior association with the Office; and any other information the individual believes would help the Privacy Act Officer determine whether the information about the individual is included in the system of records. In instances when the information is insufficient to ensure disclosure to the subject individual to whom the record pertains, the Office reserves the right to ask the requestor for additional identifying information.

(c) To the extent possible, the Privacy Act Officer will answer or acknowledge the inquiry within 10 work days of its receipt by the Office. When the response cannot be made within 10 work days, the Privacy Act Officer will provide the requestor with the date when a response may be expected and, whenever possible, the specific reasons for the delay.

[45 FR 41121, June 18, 1980, as amended at 49 FR 28235, July 11, 1984]

§ 2504.5 Granting access to a record.

(a) An individual requesting access to a record about himself in a system of records maintained by the Office should submit the request in writing to the Privacy Act Officer. Due to security measures at the Old and New Executive Office Buildings, requests made in person can only be accepted from current Office employees, who should make access requests to the Privacy Act Officer on regularly scheduled work days between 9:00 a.m. and 5:30 p.m.

(b) The request for access should contain the same information set forth in § 2504.4(b). However, if the request for access follows a request made under § 2504.4(a) and (b) of this part, the same identifying information need not be included: Provided, That a copy of the prior request or a copy of the Office's response to that request is attached. The request should state if a copy of the record is desired.

[45 FR 41121, June 18, 1980, as amended at 49 FR 28235, July 11, 1984]

§ 2504.6 Special procedures for medical records.

(a) When the Privacy Act Officer receives a request from an individual for access to those official medical records which belong to the Office of Personnel Management and are described in Chapter 339, Federal Personnel Manual (medical records about entrance qualification or fitness for duty, or medical records which are otherwise filed in the Official Personnel Folder), the pertinent records shall be referred to a Federal Medical Officer for review and determination in accordance with this section. If no Federal Medical Officer is available to make the determination required by this section, the Privacy Act Officer shall refer the request and the medical reports concerned to the Office of Personnel Management for determination.

(b) If, in the opinion of a Federal Medical Officer, medical records requested by the subject individual indicate a condition about which a prudent physician would hesitate to inform a person suffering from such a condition of its exact nature and probable outcome, the Privacy Act Officer shall not release the medical information to the subject individual nor to any person other than a physician designated in writing by the subject individual, his guardian, or conservator.

(c) If, in the opinion of a Federal Medical Officer, the medical information does not indicate the presence of any condition which would cause a prudent physician to hesitate to inform a person suffering from such a condition of its exact nature and probable outcome, the Privacy Act Officer shall release it to the subject individual or to any person, firm, or organization which the individual authorizes in writing to receive it.

[45 FR 41121, June 18, 1980, as amended at 49 FR 28235, July 11, 1984]

§ 2504.7 Granting access when accompanied by another individual.

An individual who wishes to have a person of his choosing review, accompany him (or her) in reviewing, or obtain a copy of a record must, prior to the disclosure, sign a statement authorizing the disclosure of his record. The statement shall be maintained with the record.

§ 2504.8 Action on request.

(a) The Privacy Act Officer shall acknowledge requests for access within 10 work days of its receipt by the Office. At a minimum, the acknowledgement shall include:

(1) When and where the records will be available;

(2) The name, title and telephone number of the official who will make the records available;

(3) Whether access will be granted only through providing a copy of the record through the mail, or only by examination of the record in person if the Privacy Act Officer after consulting with the appropriate system manager, has determined the requestor's access would not be unduly impeded;

(4) Fee, if any, charged for copies. (See § 2504.17); and

(5) Identification documentation required to verify the identify of the requestor (see § 2504.9).

[45 FR 41121, June 18, 1980, as amended at 49 FR 28235, July 11, 1984]

§ 2504.9 Identification requirements.

(a) A requestor should be prepared to identify himself (or herself) by signature, i.e., to note by signature the date of access and/or to produce two other legal forms of identification (driver's license, employee identification, annuitant card, passport, etc.).

(b) If an individual is unable to produce adequate identification, the individual shall sign a statement asserting identity and acknowledging that knowingly or willfully seeking or obtaining access to records about another person under false pretenses may result in a fine of up to $5,000 (see § 2504.18). In addition, depending upon the sensitivity of the records, the Privacy Act Officer after consulting with the appropriate system manager, may require further reasonable assurances, such as statements of other individuals who can attest to the identity of the requestor.

(c) If access is granted by mail, the identity of the requestor shall be verified by comparing signatures. If, in the opinion of the Privacy Act Officer, after consulting with the appropriate system manager, the granting of access through the mail may result in harm or embarrassment if disclosed to a person other than the subject individual, a notarized statement of identify or some other similar assurance of identity will be required.

[45 FR 41121, June 18, 1980, as amended at 49 FR 28235, July 11, 1984]

§ 2504.10 Access of others to records about an individual.

(a) No official or employee of the Office shall disclose any record to any person or to another agency without the express written consent of the subject individual, unless the disclosure is:

(1) To officers or employees of the Office who need the information to perform their official duties;

(2) Under the requirements of the Freedom of Information Act;

(3) For a routine use that has been published in a notice in the Federal Register;

(4) To the Bureau of the Census for uses under title 13 of the United States Code;

(5) To a person or agency who has given the Office advance written notice of the purpose of the request and certification that the record will be used only for statistical purposes. (In addition to deleting personal identifying information from records released for statistical purposes, the Privacy Act Officer shall ensure that the identity of the individual cannot reasonably be deduced by combining various statistical records);

(6) To the National Archives of the United States if a record has sufficient historical or other value to be preserved by the United States Government, or to the Privacy Act Officer (or a designee) to determine whether the record has that value;

(7) In response to written request, that identifies the record and the purpose of the request, made by another agency or instrumentality of any Government jurisdiction within or under the control of the United States for civil or criminal law enforcement activity, if that activity is authorized by law;

(8) To a person who, showing compelling circumstances, needs the information to prevent harm to the health or safety of an individual, but not necessarily the individual to whom the record pertains (upon such disclosure, a notification shall be sent to the last known address of the subject individual);

(9) To either House of Congress, or to a Congressional committee or subcommittee if the subject matter is within its jurisdiction;

(10) To the Comptroller General, or an authorized representative, to carry out the duties of the General Accounting Office;

(11) Pursuant to a court order; or

(12) To a consumer reporting agency in accordance with section 3711(f) of title 31.

[45 FR 41121, June 18, 1980, as amended at 49 FR 28235, July 11, 1984]

§ 2504.11 Access to the accounting of disclosures from records.

Rules governing access to the accounting of disclosures are the same as those granting access to the records.

§ 2504.12 Denials of access.

(a) The Privacy Act Officer may deny an individual access to his (or her) record if: (1) In the opinion of the Privacy Act Officer, the individual seeking access has not provided sufficient identification documentation to permit access; or

(2) The Office has published rules in the Federal Register exempting the pertinent system of records from the access requirement.

(b) If access is denied, the requestor shall be informed of the reasons for denial and the procedures to obtain a review of the denial (see § 2504.15).

[45 FR 41121, June 18, 1980, as amended at 49 FR 28235, July 11, 1984]

§ 2504.13 Requirements for requests to amend records.

(a) Individuals who desire to correct or amend a record pertaining to them should submit a written request to the Privacy Act Officer, Office of Administration, Washington, DC 20503. The words "PRIVACY ACT--REQUEST TO AMEND RECORD" should be written on the letter and the envelope.

(b) The request for amendment or correction of the record must state the exact name of the system of records as published in the Federal Register; a precise description of the record proposed for amendment; a brief statement describing the information the requestor believes to be inaccurate or incomplete, and why; and, the amendment or correction desired. If the request to amend the record is the result of the individual's having accessed the record in accordance with §§ 2504.5, 2504.6, 2504.7, 2504.8 of this part, copies of previous correspondence between the requestor and the Office should be attached, if possible.

(c) Individuals needing assistance in preparing a request to amend a record may contact the Privacy Act Officer at the address cited in § 2504.13(a) of this part.

(d) If the individual's identity has not been previously verified, the Office may require identification documentation as described in § 2504.9.

[45 FR 41121, June 18, 1980, as amended at 49 FR 28235, July 11, 1984]

§ 2504.14 Action on request to amend a record.

(a) A request for amendment of a record will be acknowledged within 10 work days of its receipt by the Office. If a decision cannot be made within this time, the requestor will be informed by mail of the reasons for the delay and the date when a reply can be expected, normally within 30 work days from receipt of the request.

(b) The final response will include the Office's determination of whether to grant or deny the request. If the request is denied, the response will include:

(1) The reasons for the decision;

(2) The name and address of the official to whom an appeal should be directed;

(3) The name and address of the official designated to assist the individual in preparing the appeal;

(4) A description of the appeal process within the Office; and

(5) A description of any other procedures which may be required of the individual in order to process the appeal.

§ 2504.15 Procedures for appeal of determination deny access to or amendment of records.

(a) Individuals who disagree with the refusal of the Office to grant them access to or to amend a record about them should submit a written request for review to the Privacy Act Officer, Office of Administration, Washington, DC 20503. The words "PRIVACY ACT--APPEAL" should be written on the letter and the envelope. Individuals desiring assistance preparing their appeal should contact the Privacy Act Officer.

(b) The appeal letter must be received by the Office within 30 calendar days from the date the requestor received the notice of denial. At a minimum, the appeal letter should identify:

(1) The records involved;

(2) The date of the initial request for access to or amendment of the record;

(3) The date of the Office denial of that request; and

(4) The reasons supporting the request for reversal of the Office's decision.

Copies of previous correspondence from the Office denying the request to access or amend the record should also be attached, if possible.

(c) The Office reserves the right to dispose of correspondence concerning the request to access or amend a record if no request for review of the Office's decision is received within 180 days of the decision date. Therefore, a request for review received after 180 days may, at the discretion of the Privacy Act Officer, be treated as an initial request to access or amend a record.

[45 FR 41121, June 18, 1980, as amended at 49 FR 28235, July 11, 1984]

§ 2504.16 Appeals process.

(a) Within 20 work days of receiving the request for review, a review group composed of the Privacy Act Officer, the General Counsel and the Official having operational control over the record, will propose a determination on the appeal for the Director's final decision. If a final determination cannot be made in 20 days, the requestor will be informed of the reasons for the delay and the date on which a final decision can be expected. Such extensions are unusal, and should not exceed an additional 30 work days.

(b) If the original request was for access and the initial determination is reversed, the procedures in § 2504.8 will be followed. If the initial determination is upheld, the requestor will be so informed and advised of the right to judicial review pursuant to 5 U.S.C. 552a(g).

(c) If the initial denial of a request to amend a record is reversed, the Office will correct the record as requested and advise the individual of the correction. If the original decision is upheld, the requestor will be so advised and informed in writing of the right to judicial review pursuant to 5 U.S.C. 552a(g). In addition, the requestor will be advised of his (or her) right to file a concise statement of disagreement with the Director. The statement of disagreement should include an explanation of why the requestor believes the record is inaccurate, irrelevant, untimely or incomplete. The Director shall maintain the statement of disagreement with the disputed record, and shall include a copy of the statement of disagreement in any disclosure of the record. Additionally, the Privacy Act Officer shall provide a copy of the statement of disagreement to any person or agency to whom the record has been disclosed, if the disclosure was made pursuant to § 2504.10 (5 U.S.C. 552(a)(c)).

[45 FR 41121, June 18, 1980, as amended at 49 FR 28235, July 11, 1984]

§ 2504.17 Fees.

(a) Individuals will not be charged for:

(1) The search and review of the record;

(2) Any copies produced to make the record available for access;

(3) Copies of the requested record if access can only be accomplished by providing a copy through the mail; and

(4) Copies of three (3) or less pages of a requested record.

(b) Records will be photocopied for 10¢ per page for four pages or more (except for paragraphs (a), (1), (2), (3), (4) of this section). If the record is larger than 8 1/2x14 inches, the fee will be the cost of reproducing the record through Government or commerical sources.

(c) Fees shall be paid in full prior to issuance of requested copies. Payment shall be by personal check or money order payable to the Treasurer of the United States, and mailed or delivered to the Deputy Director, Office of Administration, Washington, DC 20503.

(d) The Deputy Director may waive the fee if: (1) The cost of collecting the fee exceeds the amount collected; or

(2) The production of the copies at no charge is in the best interest of the government.

(e) A receipt will be furnished on request.

[45 FR 41121, June 18, 1980, as amended at 49 FR 28235, July 11, 1984]

§ 2504.18 Penalties.

(a) Title 18, U.S.C. 1001, Crimes and Criminal Procedures, makes it a criminal offense, subject to a maximum fine of $10,000 or imprisonment for not more than five years, or both, to knowingly and willfully make or cause to be made any false or fraudulent statements or representation in any matter within the jurisdiction of any agency of the United States. Section (i)(3) of the Privacy Act (5 U.S.C. 552a) makes it a misdemeanor, subject to a maximum fine of $5,000 to knowingly and willfully request or obtain any record concerning an individual under false pretenses. Sections (i) (1) and (2) or 5 U.S.C. 552a provide penalties for violations by agency employees of the Privacy Act or regulations established thereunder.

Protection of Environment Council on Environmental Quality PRIVACY ACT IMPLEMENTATION

Sec.

1516.1 Purpose and scope.

1516.2 Definitions.

1516.3 Procedures for requests pertaining to individual records in a record system.

1516.4 Times, places, and requirements for the identification of the individual making a request.

1516.5 Disclosure of requested information to the individual.

1516.6 Request for correction or amendment to the record.

1516.7 Agency review of request for correction or amendment of the record.

1516.8 Appeal of an initial adverse agency determination on correction or amendment of the record.

1516.9 Disclosure of a record to a person other than the individual to whom the record pertains.

1516.10 Fees.

Authority: 5 U.S.C. 552a; Pub. L. 93-579.

Source: 42 FR 32537, June 27, 1977, unless otherwise noted.

§ 1516.1 Purpose and scope.

The purposes of these regulations are to:

(a) Establish a procedure by which an individual can determine if the Council on Environmental Quality (hereafter known as the Council) maintains a system of records which includes a record pertaining to the individual; and

(b) Establish a procedure by which an individual can gain access to a record pertaining to him or her for the purpose of review, amendment and/or correction.

§ 1516.2 Definitions.

For the purpose of these regulations:

(a) The term individual means a citizen of the United States or an alien lawfully admitted for permanent residence;

(b) The term maintain means maintain, collect, use or disseminate;

(c) The term record means any item or collection or grouping of information about an individual that is maintained by the Council (including, but not limited to, his or her employment history, payroll information, and financial transactions), and that contains his or her name, or an identifying number, symbol, or other identifying particular assigned to the individual such as a social security number;

(d) The term system of records means a group of any records under the control of the Council from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual; and

(e) The term routine use means with respect to the disclosure of a record, the use of such record for a purpose which is compatible with the purpose for which it was collected.

§ 1516.3 Procedures for requests pertaining to individual records in a record system.

An individual shall submit a written request to the Administrative Officer of the Council to determine if a system of records named by the individual contains a record pertaining to the individual. The individual shall submit a written request to the Administrative Officer of the Council which states the individual's desire to review his or her record. The Administrative Officer of the Council is available to answer questions regarding these regulations and to provide assistance in locating records in the Council's system of records.

[42 FR 32537, June 27, 1977; 42 FR 35960, July 13, 1977]

§ 1516.4 Times, places, and requirements for the identification of the individual making a request.

An individual making a request to the Administrative Officer of the Council pursuant to § 1516.3 shall present the request at the Council's office, 722 Jackson Place NW., Washington, DC 20006, on any business day between the hours of 9 a.m. and 5 p.m. and should be prepared to identify himself by signature. Requests will also be accepted in writing if mailed to the Council's offices and signed by the requester.

§ 1516.5 Disclosure of requested information to the individual.

Upon verification of identity, the Council shall disclose to the individual the information contained in the record which pertains to that individual.

(a) The individual may be accompanied for this purpose by a person of his choosing.

(b) Upon request of the individual to whom the record pertains, all information in the accounting of disclosures will be made available.

[42 FR 35960, July 13, 1977]

§ 1516.6 Request for correction or amendment to the record.

The individual may submit a request to the Administrative Officer of the Council which states the individual's desire to correct or to amend his or her record. This request must be made in accordance with the procedures of § 1516.4 and shall describe in detail the change which is requested.

[42 FR 32537, June 27, 1977. Redesignated at 42 FR 35960, July 13, 1977]

§ 1516.7 Agency review of request for correction or amendment of the record.

Within ten working days of the receipt of a request to correct or to amend a record, the Administrative Officer of the Council will acknowledge in writing such receipt and promptly either:

(a) Make any correction or amendment of any portion thereof which the individual believes is not accurate, relevant, timely, or complete; or

(b) Inform the individual of his or her refusal to correct or amend the record in accordance with the request, the reason for the refusal, and the procedure established by the Council for the individual to request a review of that refusal.

§ 1516.8 Appeal of an initial adverse agency determination on correction or amendment of the record.

An individual may appeal refusal by the Administrative Officer of the Council to correct or to amend his or her record by submitting a request for a review of such refusal to the General Counsel, Council on Environmental Quality, 722 Jackson Place NW., Washington, DC 20006. The General Counsel shall, not later than thirty working days from the date on which the individual requests such a review, complete such review and make a final determination unless, for good cause shown, the General Counsel extends such thirty day period. If, after his or her review, the General Counsel also refuses to correct or to amend the record in accordance with the request, the individual may file with the Council a concise statement setting forth the reasons for his or her disagreement with the General Counsel's decision and may seek judicial relief under 5 U.S.C. 552a(g)(1)(A).

§ 1516.9 Disclosure of a record to a person other than the individual to whom the record pertains.

The Council will not disclose a record to any individual other than to the individual to whom the record pertains without receiving the prior written consent of the individual to whom the record pertains, unless the disclosure either has been listed as a "routine use" in the Council's notices of its systems of records or falls within the special conditions of disclosure set forth in section 3 of the Privacy Act of 1974.

§ 1516.10 Fees.

If an individual requests copies of his or her record, he or she shall be charged ten cents per page, excluding the cost of any search for the record, in advance of receipt of the pages.