<?xml version="1.0" encoding="UTF-8"?>


<pai>
<agency toc="yes">
<name>Marine Mammal Commission</name>
<abbrev>
MMC
</abbrev>
<section id="mmc1" toc="yes">
<systemNumber>-1</systemNumber>
<subsection type="systemName">Applications for Permits to Take or Import Marine Mammals or to Import Marine Mammal Products for Purposes of Scientific Research or Public Display--MMC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Commission Offices, 1625 I Street, NW, Room 307, Washington, DC 20006; Commission Members' Offices, presently:
</p><p>Dr.William E. Evans, Chairman,
</p><p>Hubbs-Sea World Research Institute,
</p><p>1700 South Shores Road,
</p><p>Mission Bay,
</p><p>San Diego, California 92109
</p><p>Dr. Donald K.MacCallum,
</p><p>Department of Anatomy,
</p><p>4812 Medical Science II Building,
</p><p>University of Michigan,
</p><p>Ann Arbor, Michigan 48109
</p><p>Dr. Robert B. Weeden,
</p><p>Division of Life Sciences,
</p><p>University of Alaska,
</p><p>Bunnell Building, Room 203,
</p><p>Fairbanks, Alaska 99701
</p><p>Committee of Scientific Advisors Members' offices, presently:
</p><p>Dr. David G. Ainley,
</p><p>Point Reyes Bird Observatory,
</p><p>4990 Shoreline Highway,
</p><p>Stinson Beach, California 94970
</p><p>Dr. Douglas G. Chapman, Chairman,
</p><p>Center for Quantitative Science in Forestry,
</p><p>Fisheries and Wildlife,
</p><p>University of Washington, HR-20,
</p><p>Seattle, Washington 98195
</p><p>Dr. Paul K. Dayton (A-001),
</p><p>Scripps Institution of Oceanography,
</p><p>La Jolla, California 92093
</p><p>Dr. Douglas P. DeMaster,
</p><p>National Marine Fisheries Service,
</p><p>Southwest Fisheries Center,
</p><p>PO Box 271,
</p><p>La Jolla, California 92038
</p><p>Dr. Daryl P. Domning,
</p><p>Department of Anatomy,
</p><p>College of Howard University,
</p><p>Washington, DC 20059
</p><p>Dr. William W. Fox, Jr.,
</p><p>Biology and Living Resources and Cooperative Institute of Marine and Atmospheric Studies,
</p><p>University of Miami,
</p><p>4600 Rickenbacker Causeway,
</p><p>Miami, Florida 33149
</p><p>Dr. Bruce R. Mate,
</p><p>Marine Science Center,
</p><p>Oregon State University,
</p><p>Marine Science Drive,
</p><p>Newport, Oregon 97365
</p><p>Dr. James G. Mead,
</p><p>Curator of Mammals,
</p><p>National Museum of Natural History,
</p><p>Washington, DC 20560
</p><p>Dr., William Medway,
</p><p>School of Veterinary Medicine,
</p><p>University of Pennsylvania,
</p><p>3800 Spruce Street, Room 4035,
</p><p>Philadelphia, Pennsylvania 19104
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have submitted applications, as required by the Marine Mammal Protection Act of 1972 and regulations of the Departments of Interior and Commerce, for permits to take or import marine mammals or to import marine mammal products.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, mailing address, telephone number, date of birth, height, weight, color of hair, color of eyes, sex, business or institutional affiliation, education and/or experience of the applicant which qualifies him/her to conduct the proposed activities.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title II, Section 206(5) of the Marine Mammal Protection Act of 1972, 16 U.S.C. 1406(5).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See appendix. Information contained in permit applications is used by the Commission, its Committee of Scientific Advisors, the Executive Director and his staff for the purpose of reviewing such applications and making recommendations thereon, regarding proper disposition of the application, to the Secretaries of Commerce and Interior in order to carry out the duties assigned to the Commission by the Marine Mammal Protection Act of 1972. Subsequent to final disposition of the application, records are maintained for use in connection with the review of future applications submitted by the same individuals. The records contained in the system also are available for inspection by members of the public.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage: </p><p>Maintained in 8 1/2 by 11 inch folders in vertical file.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Manual--indexed by name of applicant.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in an office which is assessible only to authorized persons.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records will be retained in the Commission offices during the life of the Commission. Copies forwarded to the offices of individual Commissioners and Committee members are disposed of after disposition of the permit application, or at such other times as are deemed appropriate by the Commissioners and Committee members.
</p><p>Method of disposal: No particular method of disposal is followed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, Marine Mammal Commission, 1625 I Street, NW, Room 307, Washington, DC 20006.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual may obtain notification of whether the system of records contains a record pertaining to him/her by forwarding an inquiry to the System Manager, or by appearing in person, at the above address. See Commission regulations in 50 CFR 501.3.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See Commission access regulations in 50 CFR 501.4, 501.5.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Commission's rules for contesting contents of records, and for appealing adverse determinations with respect thereto, are contained in 50 CFR 502.6 through 501.8. Assistance in obtaining access to or contesting the contents of records can be obtained from the System Manager at the above address.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject applicants.
</p></xhtmlContent></subsection></section>
<section id="mmc2" toc="yes">
<systemNumber>-2</systemNumber>
<subsection type="systemName">Personnel Files on Current, Past and Prospective Employees and Members of the Marine Mammal Commission and its Committee of Scientific Advisors--MMC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Commission offices, 1625 I Street, NW, Room 307, Washington, DC 20006; General Services Administration, Region 3, Office of Personnel, 7th &amp; D Streets, SW, Room 1007, Washington, DC 20407.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Present and past employees, individuals who have submitted solicited or unsolicited applications for employment, members of the Commission and Committee of Scientific Advisors, and individuals who have been invited to submit personal information for consideration as a potential member of the Committee.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, telephone number, educational background, employment history, special employment qualifications, honors and awards, research and other activities relating to position, publications, letters of recommendation, and memoranda regarding conversations between Commission staff members and previous employers concerning quality of job performance.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title II, Section 206(5) of the Marine Mammal Protection Act of 1972, 16 U.S.C. 1406(5).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Appendix. Information contained in the system is used, in conjunction with data supplied on Standard Civil Service Commission forms, for the purpose of assessing the qualification of subject individuals for appointment to the various positions described above. The Chairman of the Commission, the Executive Director, and the Administrative Officer are authorized users of the System.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage: </p><p>Maintained in 8 and one half by 11 inch folders in a locked vertical file.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Manual--indexed by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The system is maintained in a locked, metal safe, the access combination to which is known only by the Executive Director, his Administrative Officer, and one member of his support staff. Other members of the staff have been instructed that they are under no circumstances to make any use of the system except in accordance with procedures promulgated by the agency pursuant to Subsection 552a(f)(3) of the Privacy Act.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in the system will be retained during the life of the Commission.
</p><p>Method of disposal: No particular method of disposal is followed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, Marine Mammal Commission, 1625 I Street, NW, Room 307, Washington, DC 20006.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual may obtain notification of whether the system of records contains a record pertaining to him/her by forwarding an inquiry to the System Manager, or by appearing in person, at the above address. See Commission regulations in 50 CFR 501.3.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See Commission access regulations in 50 CFR 501.4, 501.5.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Commission's rules for contesting contents of records, and for appealing adverse determinations with respect thereto, are contained in 50 CFR 501.6 through 501.8. Assistance in obtaining access to or contesting the contents of records can be obtained from the System Manager at the above address.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals; former and/or present employers of subject individuals; and others familiar with the individual and whom the individual has suggested as a reference.
</p></xhtmlContent></subsection></section>
<section id="mmc3" toc="yes">
<systemNumber>-3</systemNumber>
<subsection type="systemName">Research Proposals and Contracts-MMC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Commission offices, 1625 I Street, NW, Room 307, Washington, DC 20006; Commission Members' Offices, presently: Same as MMC-1.Committee of Scientific Advisors Members' Offices, presently: Same as MMC-1.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have submitted proposals to conduct scientific research, including those to whom research contracts have been awarded.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, telephone number, educational background, employment history, honors and awards, part research activities, publications, records of payments made to individuals pursuant to research contracts that have been awarded.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title II, Section 206(5) of the Marine Mammal Protection Act of 1972, 16 USC 1406(5).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See appendix. Research proposals, containing personal qualifications information, are utilized by the Scientific Program Director and other members of the Commission staff, outside consultants, and Members of the Commission and the Committee for the purpose of determining the merit of such proposals. Records of contract payments are utilized by the Scientific Program Director, the Executive Director and his staff, and members of the Commissions and Committee for purposes of budgeting, contract review, and evaluation.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage: </p><p>Maintained in 8 and one half by 11 inch folders in a vertical file.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Manual--indexed by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in an office which is accessible only to authorized persons.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in the system will be retained during the life of the Commission.
</p><p>Method of disposal: None.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, Marine Mammal Commission, 1625 I Street, NW, Room 307, Washington, DC 20006.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual may obtain notification of whether the system of records contains a record pertaining to him/her by forwarding an inquiry to the System Manager, or by appearing in person, at the above address. See Commission regulations in 50 CFR 501.3.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See Commission access regulations in 50 CFR 501.4, 501.5.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Commission's rules for contesting contents of records, and for appealing adverse determinations with respect thereto, are contained in 50 CFR 501.6 through 501.8. Assistance in obtaining access to or contesting and contents of records can be obtained from the System Manager at the above address.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individuals, Research Program Director, and othe Commission personnel administering contract payments.
</p></xhtmlContent></subsection></section>
<section id="mmc4" toc="yes">
<systemNumber>-4</systemNumber>
<subsection type="systemName">General Financial Records--MMC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>General Services Administration, Central Office; copies held by the Commission. (GSA holds records for Commission under contract.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Commission employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>SF 1038, Application and account for advance of funds; Vendor register and vendor payment tape. Information is used by accounting technicians to maintain adequate financial information and by other officers and employees of GSA and the Commission who have a need for the record in the performance of their duties.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C., generally; Section 206(5) of the Marine Mammal Protection Act of 1972, 16 U.S.C. 1406(5).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See appendix. Records also are released to GAO for audits; to the IRS for investigation; and to private attorneys, pursuant to a power of attorney.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage: </p><p>Paper and tape.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Manual and automated by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Stored in guarded building; released only to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Disposition of records shall be in accordance with the HB GSA Records Maintenance and Disposition System (OAD P 1820.2)/
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, Marine Mammal Commission, 1625 I Street, NW, Washington, DC 2006, Room 307.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See Commission access regulations in 50 CFR 501.3.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See Commission access regulations in 50 CFR 501.4, 501.5.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Commission regulations in 50 CFR 501.6 through 501.8.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The subject individual; the Commission.
</p></xhtmlContent></subsection></section>
<section id="mmc5" toc="yes">
<systemNumber>-5</systemNumber>
<subsection type="systemName">Payroll Records--MMC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Commission Offices, 1625 I Street, NW, Room 307, Washington, DC 20006; General Services Administration, Region 3, 1500 East Bannister Road, Kansas City, Missouri 64131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Past and present Commission employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Varied payroll records, including, among other documents, time and attendance cards; payment vouchers; comprehensive listing of employees; health benefits records; requests for deductions, tax forms; W-2 forms; overtime requests; leave data; retirement records. Records are used by Commission and GSA employees to maintain adequate payroll information for Commission employees and otherwise by Commission and GSA employees who have a need for the record in the performance of their duties.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C., generally.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See appendix. Records also are released to GAO for audits; to the Internal Revenue Service for investigation; and to private attorneys, pursuant to a power of attorney.
</p><p>A copy of an employee's Department of the Treasury Form W-2, Wage and Tax Statement, also is disclosed to the State, city, or other local jurisdiction which is authorized to tax the employee's compensation. The record will be provided in accordance with a withholding agreement between the State, city, or other local jurisdiction and the Department of the Treasury pursuant to 5 U.S.C. 5516, 5517, or 5520, or, in the absence thereof, in response to a written request from an appropriate official of the taxing jurisdiction to the Executive Director, Marine Mammal Commission, 1625 I Street, NW, Room 307, Washington, DC 20006. The request must include a copy of the applicable statute or ordinance authorizing the taxation of compensation and should indicate whether the authority of the jurisidiction to tax the employee is based on place of residence, place of employment, or both.
</p><p>Pursuant to a withholding agreement between a city and the Department of the Treasury (5 U.S.C. 5520), copies of executed city and the Department of the Treasury (5 U.S.C. 5520), copies of executed city tax withholding certificates shall be furnished the city in response to written request from an appropriate city official to the Executive Director of the Marine Mammal Commission.
</p><p>In the absence of a withholding agreement, the Social Security Number will be furnished only to a taxing jurisdiction which has furnished this agency with evidence of its independent authority to compel disclosure of the Social Security Number, in accordance with section 7 of the Privacy Act, Pub. L. 93-579.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage: </p><p>Paper and microfilm.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Social Security Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Stored in guarded building; released only to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Disposition of records shall be in accordance with HB GSA Records Maintenance and Disposition System (OAD P 1820.2)
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, Marine Mammal Commission, 1625 I Street, NW, Washington, DC 20006.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See Commission access regulations in 50 CFR 501.3.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See Commission access regulations in 50 CFR 501.4, 501.5.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Commission regulations in 50 CFR 501.6 through 501.8.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The subject individual; the Commission.
</p></xhtmlContent></subsection></section>

<appendix id="app" toc="yes">
<title>MMC</title>
<xhtmlContent>
<p>In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal State, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>A record from this system of records may be disclosed as a `routine use" to a Federal, State or local agency maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract or the issuance of a license grant or other benefit.
</p><p>A record from this system of records may be disclosed 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 reporting of an investigation of an employee, 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 in the matter.
</p><p>A record from this system of records may be disclosed to an authorized appeal grievance examiner, formal complaints examiner, equal employment opportunity investigator, arbitrator or other duly authorized official engaged in investigation or settlement of a grievance, complaint, or appeal filed by an employee.
</p><p>A record from this system of records may be disclosed to the United States Civil Service Commission in accordance with the agency's responsibility for evaluation and oversight of Federal personnel management.
</p><p>A record from this system of records may be disclosed to officers and employees of a Federal agency for purposes of audit.
</p><p>A record from this system of records may be disclosed to officers and employees of the General Services Administration in connection with administrative services provided to the agency under agreement with GSA.
</p><p>Disclosure may be made, as a routine use, to a Congressional office from the record of an individual contained in any of the Commission's systems in response to an inquiry from the Congressional office made at the request of that individual.</p></xhtmlContent></appendix>
<regulations id="reg" toc="yes">
<regulationsTitle number="50">
<heading> Wildlife and Fisheries </heading>
<regulationsChapter number="V">
<heading> Marine Mammal Commission </heading>
<regulationsPart number="501">
<heading> IMPLEMENTATION OF THE PRIVACY ACT OF 1974</heading>
<xhtmlContent>
<p>Sec.
</p>
<p>501.1 Purpose and scope.
</p>
<p>501.2 Definitions.
</p>
<p>501.3 Procedure for responding to requests regarding the existence of records pertaining to an individual.
</p>
<p>501.4 Requests for access--times, places and requirements for identification of individuals.
</p>
<p>501.5 Disclosure of requested information.
</p>
<p>501.6 Requests for correction or amendment of a record.
</p>
<p>501.7 Agency review of requests for amendment or correction of a record.
</p>
<p>501.8 Appeal of initial denial of a request for amendment or correction.
</p>
<p>501.9 Fees.
</p>
<p><b>Authority:</b> Sec. 3, Privacy Act of 1974 (5 U.S.C. 552a(f)).
</p>
<p><b>Source:</b> 40 FR 49276, Oct. 21, 1975, unless otherwise noted.
</p>
<p><b>&#167; 501.1 Purpose and scope.
</b></p>
<p>(a) <i>Purpose.</i> The purpose of these rules is to fulfill the responsibilities of the Marine Mammal Commission (the "Commission") under section 3 of the Privacy Act of 1974, 5 U.S.C. 552a(f) (the "Act") by establishing procedures whereby an individual will be notified if any system of records maintained by the Commission contains a record pertaining to him or her; by defining the times and places at which records will be made available and the identification requirements which must be met by any individual requesting access to them; by establishing procedures for disclosure to an individual, on request, of any record pertaining to him or her; and by establishing procedures for processing, reviewing, and making a final determination on requests of individuals to correct or amend a record pertaining to him or her, including a provision for administrative appeal of initial adverse determinations on such requests. These rules are promulgated with particular attention to the purposes and goals of the Act, and in accordance therewith provide for relative ease of access to records pertaining to an individual, and for maintenance by the Commission of only those records which are current, accurate, necessary, relevant and complete with respect to the purposes for which they were collected.
</p>
<p>(b) <i>Scope.</i> These rules apply only to "record" contained in "systems of records," defined by the Act as follows:
</p>
<p>The term "record" means any item, collection, or grouping of information about an individual that is maintained by an agency, including, but not limited to, his education, financial transactions, medical history, and criminal or employment history and that contains his name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print or a photograph;
</p>
<p>The term "system of records" means of group of any record under the control of any agency 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.
</p>
<p>Notices with respect to the systems maintained by the Commission have been published in the <i>Federal Register,</i> as required by the Act. These rules pertain only to the systems of records disclosed in such notices, and to any systems that may become the subject of a notice at any time in the future.
</p>
<p>(c) Nothing in these rules shall be construed as pertaining to requests made under the Freedom of Information Act, 5 U.S.C. 552.
</p>
<p><b>&#167; 501.2
 Definitions.
</b></p>
<p>(a) As used in this part:
</p>
<p>(1) The term <i>Act</i> means the Privacy Act of 1974, 5 U.S.C. 552a.
</p>
<p>(2) The term <i>Commission</i> means the Marine Mammal Commission.
</p>
<p>(3) The term <i>Director</i> means the Executive Director of the Marine Mammal Commission.
</p>
<p>(4) The term <i>Privacy Officer</i> means an individual designated by the Director to receive all requests regarding the existence of records, requests for access and requests for correction or amendment; to review and make initial determinations regarding all such requests; and to provide assistance to any individual wishing to exercise his or her rights under the Act.
</p>
<p>(b) Other terms shall be used in this part in accordance with the definitions contained in section 3 of the Privacy Act of 1974, 5 U.S.C. 552a(a).
</p>
<p><b>&#167; 501.3
 Procedure for responding to requests regarding the existence of records pertaining to an individual.
</b></p>
<p>Any individual may submit a request to be notified whether a system of records, with respect to which the Commission has published a notice in the <i>Federal Register,</i> contains a record pertaining to him or her. Requests may be made in writing to the Privacy Officer or by appearing in person at the Commission offices located at 1625 I Street, NW., Room 307, Washington, DC 20006 between the hours of 9:00 a.m. and 5:00 p.m. on any working day. Systems of records that are the subject of a request should be identified by reference to the system name designated in the Notice of Systems of Records published in the <i>Federal Register.</i> In the event a system name is not known to the individual, a general request will suffice if it indicates reasons for the belief that a record pertaining to the named individual is maintained by the Commission. Receipt of inquiries submitted by mail will be acknowledged within 10 days of receipt (excluding Saturdays, Sundays, and legal public holidays) unless a response can also be prepared and forwarded to the individual within that time.
</p>
<p><b>&#167; 501.4
 Requests for access--times, places and requirements for identification of individuals.
</b></p>
<p>Requests for access to a system of records pertaining to any individual may be made by that individual by mail addressed to the Privacy Officer, or by submitting a written request in person at the Commission offices located at 1625 I Street, NW., Room 307, Washington, DC 20006, between the hours of 9 a.m. and 5 p.m. on any working day. Assistance in gaining access under this section, securing an amendment or correction under &#167; 501.6, or preparing an appeal under &#167;&#167; 501.5(d) and 501.8 shall be provided by the Privacy Officer on request directed to the Commission office. An individual appearing in person at the Commission offices will be granted immediate access to any records to which that individual is entitled under the Act upon satisfactory proof of identity by means of a document bearing the individual's photograph or signature. For requests made by mail, identification of the individual shall be adequate if established by means of submitting a certificate of a notary public, or equivalent officer empowered to administer oaths, substantially in accord with the following:
</p>
<p>City of ____________ County of ____________: ss (Name of individual) who affixed (his) (her) signature below in my presence, came before me, a (Title), in the aforesaid County and State, this ____________ day of ____________, 19____, and established (his)(her) identity to my satisfaction.
</p>
<p>My Commission expires ________________________.
</p>
<p>The certificate shall not be required, however, for written requests pertaining to non-sensitive information or to information which would be required to be made available under the Freedom of Information Act. The Privacy Officer shall determine the adequacy of any proof of identity offered by an individual.
</p>
<p>[41 FR 5, Jan. 2, 1976]
</p>
<p><b>&#167; 501.5
 Disclosure of requested information.
</b></p>
<p>(a) Upon request and satisfactory proof of identity, an individual appearing at the Commission offices shall be given immediate access to and permission to review any record, contained in a system of records, pertaining to him or her, shall be allowed to have a person of his/her choosing accompany him/her, and shall be given a copy of all or any portion of the record. The individual to which access is granted shall be required to sign a written statement authorizing the presence of the person who accompanies him or her, and authorizing discussion of his or her record in the presence of the accompanying person.
</p>
<p>(b) Requests made by mail to the Privacy Officer at the Commission offices will be acknowledged within 10 days from date of receipt (excluding Saturdays, Sundays, and legal public holidays). This acknowledgement shall advise the individual whether access to the record will be granted and, if access is granted, copies of such records shall be enclosed.
</p>
<p>(c) If the Privacy Officer initially determines to deny access to all or any portion of a record, notice of denial shall be given to the individual in writing, within 30 days (excluding Saturdays, Sundays and holidays) after acknowledgement is given, and shall include the following:
</p>
<p>(1) The precise record to which access is being denied;
</p>
<p>(2) The reason for denial, including a citation to the appropriate provisions of the Act and of these Rules;
</p>
<p>(3) A statement that the denial may be appealed to the Director;
</p>
<p>(4) A statement of what steps must be taken to perfect an appeal to the Director; and,
</p>
<p>(5) A statement that the individual has a right to judicial review under 5 U.S.C. 552a(g)(1) of any final denial issued by the Director.
</p>
<p>(d) Administrative appeal of an initial denial, in whole or in part, of any request for access to a record, shall be available. An individual may appeal by submitting to the Director a written request for reconsideration stating therein specific reasons for reversal which address directly the reasons for denial stated in the initial notice of denial. If access is denied on appeal, a final notice of denial shall be sent to the individual within 30 days (excluding Saturdays, Sundays and holidays), and shall state with particularity the grounds for rejecting all reasons for reversal submitted by the individual. The denial shall then be deemed final for purposes of obtaining judicial review.
</p>
<p>[40 FR 49276, Oct. 21, 1975, as amended at 41 FR 5, Jan. 2, 1976]
</p>
<p><b>&#167; 501.6
 Requests for correction or amendment of a record.
</b></p>
<p>(a) Any individual may request the correction or amendment of a record pertaining to him or her in writing addressed to the Privacy Officer at the Commission offices. Verification of identity required for such requests shall be the same as that specified in &#167; 501.4 of this part with respect to requests for access. Records sought to be amended must be identified with as much specificity as is practicable under the circumstances of the request, and at a minimum, should refer to the system name designated in the Notice of System Records published in the <i>Federal Register,</i> the type of record in which the information thought to be improperly maintained or incorrect is contained, and the precise information that is the subject of the request (for example, system name, description of record, paragraph, sentence, line, words). Assistance in identifying a record, and in otherwise preparing a request, may be obtained by contacting the Privacy Officer at the Commission offices.
</p>
<p>(b) A request should, in addition to identifying the individual and the record sought to be amended or corrected, include:
</p>
<p>(1) The specific wording or other information to be deleted, if any;
</p>
<p>(2) The specific wording or other information to be inserted, if any, and the exact place in the record at which it is to be inserted, and,
</p>
<p>(3) A statement of the basis for the requested amendment or correction (e.g. that the record is inaccurate, unnecessary, irrelevant, untimely, or incomplete), together with supporting documents, if any, which substantiate the statement.
</p>
<p><b>&#167; 501.7
 Agency review of requests for amendment or correction of a record.
</b></p>
<p>(a) Where possible, each request for amendment or correction shall be reviewed, and a determination on the request made, by the Privacy Officer within 10 days of receipt (excluding Saturdays, Sundays and holidays). Requests shall be acknowledged within that period where insufficient information has been provided to enable action to be taken. An acknowledgement shall inform the individual making the request of the estimated time within which a disposition of the request is expected to be made, and shall prescribe such further information as may be necessary to process the request. The request shall be granted, or an initial decision to deny shall be made, within ten days of receipt of all information specified in the acknowledgement (excluding Saturdays, Sundays and holidays).
</p>
<p>(b) Within 30 days (excluding Saturdays, Sundays and holidays) after arriving at a decision on a request, the Privacy Officer shall either:
</p>
<p>(1) Make the requested amendment or correction, in whole or in part, and advise the individual in writing of such action; or,
</p>
<p>(2) Advise the individual in writing that the request has been initially denied, in whole or in part, stating, with respect to those portions denied;
</p>
<p>(i) The date of the denial;
</p>
<p>(ii) The reasons for the denial, including a citation to an appropriate section of the Act and these Rules; and,
</p>
<p>(iii) The right of the individual to prosecute an appeal and to obtain judicial review should a final denial result from the appeal.
</p>
<p>(c) In reviewing a request for amendment or correction of a record, the Privacy Officer shall consider the following criteria:
</p>
<p>(1) The sufficiency of the evidence submitted by the individual;
</p>
<p>(2) The factual accuracy of the information sought to be amended or corrected;
</p>
<p>(3) The relevance and necessity of the information sought to be amended or corrected in terms of the purposes for which it was collected;
</p>
<p>(4) The timeliness and currency of the information sought to be amended or corrected in terms of the purposes for which it was collected;
</p>
<p>(5) The completeness of the information sought to be amended or corrected in terms of the purposes for which it was collected;
</p>
<p>(6) The degree of possibility that denial of the request could unfairly result in determinations adverse to the individual;
</p>
<p>(7) The character of the record sought to be corrected or amended; and,
</p>
<p>(8) The propriety and feasibility of complying with the specific means of correction or amendment requested by the individual. If an amendment or correction is otherwise permissible under the Act and other relevant statutes, a request shall be denied only if the individual has failed to establish, by a preponderance of the evidence, the propriety of the amendment or correction in light of these criteria.
</p>
<p>[40 FR 49276, Oct. 21, 1975, as amended at 41 FR 5, Jan. 2, 1976]
</p>
<p><b>&#167; 501.8
 Appeal of initial denial of a request for amendment or correction.
</b></p>
<p>(a) The initial denial of a request for amendment or correction may be appealed by submitting to the Director the following appeal papers:
</p>
<p>(1) A copy of the original request for amendment or correction;
</p>
<p>(2) A copy of the initial denial; and
</p>
<p>(3) A precise statement of the reasons for the individual's belief that the denial is in error, referring specifically to the criteria contained in &#167; 501.7(c)(1) through (8).
</p>
<p>The appeal must be signed by the individual. While these papers normally will constitute the entire Record on Appeal, the Director may add additional information, from sources other than the individual, where necessary to facilitate a final determination. Any such additional information added to the record shall promptly be disclosed to the individual to the greatest extent possible, and an opportunity for comment thereon shall be afforded prior to the final determination. Appeals should be submitted to the Director within 90 days after the date of the initial denial.
</p>
<p>(b) The Director shall issue a final determination on appeal within thirty days (excluding Saturdays, Sundays, and legal public holidays) from the date on which a completed Record on Appeal (including any additional information deemed necessary) is received. Review, and final determination by the Director, shall be based upon the criteria specified in &#167; 501.7(c)(1) through (8).
</p>
<p>(c) If the appeal is resolved favorably to the individual, the final determination shall specify the amendments or corrections to be made. Copies of the final determination shall be transmitted promptly to the individual and to the Privacy Officer. The Privacy Officer shall make the requested amendment or correction and advise the individual in writing of such action.
</p>
<p>(d) If the appeal is denied, the final determination shall state, with particularity, the reasons for denial, including a citation to an appropriate section of the Act and of these Rules. The final determination shall be forwarded promptly to the individual, together with a notice which shall inform the individual of his or her right to submit to the Privacy Officer, for inclusion in the record, a concise statement of grounds for disagreement with the final determination. Receipt of any such statement shall be acknowledged by the Privacy Officer, and all subsequent and prior users of the record shall be provided copies of the statement. The notice shall also inform the individual of his or her right, under 5 U.S.C. 552a(g)(1), to obtain judicial review of the final determination.
</p>
<p>[40 FR 49276, Oct. 21, 1975, as amended at 41 FR 5, Jan. 2, 1976]
</p>
<p><b>&#167; 501.9
 Fees.
</b></p>
<p>A fee of $0.10 shall be charged for each copy of each page of a record made, by photocopy or similar process, at the request of an individual. No fee shall be charged for copies made at the initiative of the Commission incident to granting access to a record. A total copying fee of $2.00 or less may be waived by the Privacy Officer, but fees for all requests made contemporaneously by an individual shall be aggregated to determine the total fee.

</p>
</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>
</agency>
</pai>

