[Federal Register Volume 62, Number 221 (Monday, November 17, 1997)]
[Proposed Rules]
[Pages 61252-61259]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-29865]


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INTERNATIONAL TRADE COMMISSION

19 CFR Part 201


Revision of Public Notice, Freedom of Information Act, and 
Privacy Act Regulations, and Implementation of Electronic Freedom of 
Information Act Amendments of 1996

AGENCY: International Trade Commission.

ACTION: Notice of proposed rulemaking and request for comments.

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SUMMARY: The United States International Trade Commission (Commission) 
proposes to amend its rules of practice and procedure to make certain 
changes to rules relating to public notices, availability of 
information under the Freedom of Information Act (FOIA), and 
safeguarding of individual privacy under the Privacy Act of 1974 
(Privacy Act). The intended effect of the changes is to implement the 
Electronic Freedom of Information Act Amendments of 1996 and otherwise 
to bring the rules into conformity with current Commission practices 
and procedures, and with current costs of providing services.

DATES: Comments must be submitted on or before Decemnber 17, 1997.

ADDRESSES: Written comments (original and 14 copies) concerning these 
proposed rule amendments may be submitted to the Secretary, U.S. 
International Trade Commission, 500 E. Street, SW, Washington, DC 
20436.

FOR FURTHER INFORMATION: For further information contact the following 
persons in the Commission's Office of General Counsel: For the proposed 
Privacy Act and public notice rules amendments, Paul R. Bardos, 
telephone 202-205-3102; and for the proposed FOIA rules amendments, 
William W. Gearhart, telephone 202-205-3091. Hearing impaired 
individuals are advised that information on this matter can be obtained 
by contacting the Commission's TDD terminal at (202) 205-1810.

SUPPLEMENTARY INFORMATION: Section 335 of the Tariff Act of 1930 (19 
U.S.C. 1335) authorizes the Commission to adopt such reasonable 
procedures and rules and regulations as it deems necessary to carry out 
its functions and duties.

Public Notices

    Commission rule Sec. 201.10, which relates to public notices, 
currently provides that the Commission, inter alia, will publish a 
notice for every properly filed document that it receives, and that the 
Commission will furnish an announcement regarding notices to the 
Treasury Department for publication in Treasury Decisions and to the 
Department of Commerce for publication in International Commerce. The 
Commission seeks to bring the rule into conformity with current agency 
practice and eliminate both requirements. Because the Commission 
believes that it would be wasteful and unnecessary to provide public 
notice for every document filed, agency practice has been to not issue 
such notices. Nevertheless, the Commission will retain the discretion 
to provide public notification of properly filed documents as 
appropriate. The Commission no longer furnishes announcements of all 
public notices to Treasury and Commerce for further publication by 
those agencies and the agencies have not objected.

Freedom of Information Act

    The Commission's Freedom of Information Act rules are set forth in 
subpart C of part 201 (currently 19 CFR 201.17 through 201.21). The 
Commission proposes to amend Secs. 201.17, 201.18, and 201.20 to 
provide for expedited treatment of certain FOIA requests (as required 
by the Electronic Freedom of Information Act Amendments of 1996 (Pub.L. 
104-231)), adjust its charges for search, review, and computer time to 
reflect current agency staff salary levels, and make certain other 
changes to clarify and update the rules.
    More specifically, the Commission proposes to reorganize and amend 
Sec. 201.17 of its rules to provide, in new paragraph (b), for 
expedited processing of FOIA requests under certain circumstances. The 
Commission also proposes to amend paragraph (a) of Sec. 201.17 to state 
that FOIA requests will be processed in the order in which they

[[Page 61253]]

are filed, except when expedited processing has been requested and 
granted; and to advise the public that requests for agency publications 
can be made to the Publications Office within the Commission's Office 
of the Secretary and do not need to be submitted under FOIA. Finally, 
in new paragraph (c) the Commission would advise the public that it 
maintains a public reading room in the Office of the Secretary, through 
which the public can obtain access to agency records that the FOIA 
requires be made regularly available for public inspection and copying, 
including access in electronic form to agency records created on or 
after November 1, 1996. The purpose of these changes is to implement 
the requirements of section 8 of the Electronic Freedom of Information 
Act Amendments of 1996 and provide additional information on how the 
public can access records and how it can obtain certain agency records, 
such as agency publications, most expeditiously. These changes parallel 
rules on expedited processing recently promulgated by the U.S. 
Department of Justice. See proposed DOJ rules Secs. 16.2 and 16.5, 62 
FR 45185 (Aug. 26, 1997). Although these rules amendments are not yet 
in effect, the Commission is prepared currently to entertain requests 
for expedited treatment according to the procedures set out in the 
proposed amendments.
    The Commission proposes to amend paragraph (b) of Sec. 201.18 to 
provide that appeals to the Commission of denials of requests by the 
Secretary must be filed within 60 days of the date of the letter 
denying the request. This will give finality to the request process. 
The Commission would also delete the reference in the current rule to 
the right to file an appeal if a response to a FOIA request is not 
forthcoming within 10 days of the filing of the request. The Electronic 
FOIA Amendments have changed the 10-day response requirement to 20 
days. A requester would still have the right to file an appeal if no 
response were forthcoming after 20 days.
    The Commission proposes to amend paragraph (c) of Sec. 201.18 for 
conformity to state that persons filing an appeal of a denial of a FOIA 
request may request expedited processing of that appeal, and that the 
request for expedited processing should conform with the process set 
out in Sec. 201.17(b) of the rules.
    Finally, the Commission proposes to amend Sec. 201.20 to adjust the 
fees for search and review and computer time to reflect current agency 
personnel costs. The fees for searches will continue to reflect the 
distinction between lower grade clerical/professional and higher grade 
professional/managerial staff costs. They are based on January 1997 
salary levels for GS-8, step 1, and GS 12, step 1, respectively, plus 
agency-paid benefits, as calculated by the Commission's Office of 
Finance and Budget. The Commission estimates that these are the average 
staff grades in each of these two categories of personnel likely to be 
doing such searches. The fees for computer searches and review are also 
based on salary level GS-12, step 1, plus agency-paid benefits, which 
the Commission estimates is the average staff grade of personnel likely 
to be doing such computer searches or review. Other Commission fees 
will remain the same: the Commission's copying charge will remain at 10 
cents per page, and no fee will be charged unless the fee exceeds 
$25.00.

Privacy Act

    The Commission's Privacy Act rules are set forth in subpart D of 
section 201 (currently 19 CFR 201.22 through 201.32). The proposed 
amendments to the Commission's Privacy Act rules are in response to a 
comprehensive review of the Commission's Privacy Act compliance 
conducted by the Commission's Office of Inspector General and Office of 
General Counsel. In general, the Commission proposes to update and 
clarify its Privacy Act rules and conform them to the Commission's new 
and revised systems of records. See 62 FR 23485 (April 30, 1997). Where 
appropriate, the Commission has also based several of the proposed 
amendments on the recently published proposed revisions to the 
Department of Justice's Privacy Act regulations. See 62 FR 45184 (Aug. 
26, 1997).
    For clarity, this notice sets forth the Commission's Privacy Act 
rules in their entirety although revisions are not proposed for every 
provision of the rules. Throughout the proposed rules, the Commission 
has changed all references from the ``Director of Personnel'' to 
``Privacy Act Officer'' since the Director of Personnel is no longer 
the designated Privacy Act Officer. Where necessary, the Commission has 
made revisions to cross-references because new sections have been added 
and certain paragraphs have been deleted, and has made other minor 
changes of a typographical or stylistic nature.
    The Commission proposes to amend Sec. 201.22, governing the purpose 
and scope of the regulations, by deleting the current text of the rule 
and replacing it with language that would clarify that the Privacy Act 
rules apply only to those records of individuals found in systems of 
records governed by the Privacy Act maintained by the Commission that 
are retrieved by an individual's name or other personal identifier. The 
Commission also proposes to add a sentence to Sec. 201.22 describing 
the scope of the rules, i.e., that the rules set forth procedures 
governing access to individual records, requests for amendment or 
correction of records, and requests for accounting of disclosures of 
records. These proposed changes were modeled on the Department of 
Justice's proposed changes to its Privacy Act regulations. See DOJ 
proposed rule Sec. 16.40(a), 62 FR 45192 (Aug. 26, 1997).
    The only change the Commission proposes for Sec. 201.23, covering 
the definitions of the subpart, is to indicate that the Commission's 
Privacy Act Officer is now the Director of Administration, rather than 
the Director of Personnel.
    Section 201.24 governs the procedures an individual must follow to 
request his or her records in a system of records. Paragraph (b) of 
that section currently requires an individual requesting records to 
furnish the name of the system(s) of records containing the requested 
records or reasonably describe the requested records. The Commission 
proposes to amend paragraph (b) to require that an individual 
``whenever possible'' furnish the name of the system of records, 
reasonably describe the requested records, and also identify the time 
period in which the records were compiled. These revisions will enable 
the Commission to locate the requested records in the most efficient 
and quickest manner possible and are also in conformity with the 
Department of Justice's requirements for access to records. See DOJ 
proposed rule Sec. 16.41(b), 62 FR 45192 (Aug. 26, 1997). The 
Commission proposes to clarify in paragraph (c) of section 201.24 that 
any denials of requests for access to records will be made in writing, 
which also is in accordance with the Department of Justice's proposed 
rules amendments. See DOJ proposed rule Sec. 16.43(b), 62 FR 45193 
(Aug. 26, 1997).
    Section 201.25 governs the times, places, and requirements for 
identification of individuals making Privacy Act requests. As currently 
drafted, Sec. 201.25(d) states that the Commission ``may'' provide for 
copies of an individual's records to be sent by mail under certain 
circumstances. The Commission proposes to revise that paragraph to 
entitle an individual to obtain access to his or her records by 
certified mail without first having to establish that the individual is 
unable to appear in person, as the rule currently

[[Page 61254]]

requires. That amendment would appear in paragraph (c) rather than (d). 
Proposed paragraph (d) contains the requirements for verification of 
identity, currently set forth in paragraph (c), and adds identification 
requirements for individuals requesting records by certified mail. Such 
requirements are consistent with the Department of Justice's proposed 
identification rules. See proposed DOJ rule Sec. 16.41(d), 62 FR 45192 
(Aug. 26, 1997).
    With respect to Sec. 201.26, governing disclosure of requested 
information to individuals, the Commission proposes to amend paragraph 
(a). The Commission proposes to revise the first sentence by explicitly 
requiring that the Privacy Act Officer inform an individual in writing 
that his or her request for access to the individual's records has been 
granted once the Privacy Act Officer has determined to grant a request 
for records. This change conforms more closely to the Department of 
Justice's proposed Privacy Act revisions. See proposed DOJ rule 
Sec. 16.43(b), 62 FR 45193 (Aug. 26, 1997). The Commission proposes to 
amend the second sentence by deleting a cross-reference to paragraph 
(c) of Sec. 201.32, since the Commission is proposing to delete that 
paragraph, and instead cross-reference to Sec. 201.32 generally 
(governing exemptions to disclosure requirements).
    The only change the Commission proposes to make in Sec. 201.27, 
governing procedures for access to an individual's medical records, is 
to change all references from the Director of Personnel to the Privacy 
Act Officer.
    In Sec. 201.28(a), governing requests for correction or amendment 
of records, the Commission proposes to add certain requirements which 
have been modeled on the Department of Justice's proposed Privacy Act 
rules amendments. See DOJ proposed rule Sec. 16.46(a), 62 FR 45194 
(Aug. 26, 1997). If an individual requests an amendment to his or her 
records, the Commission proposes to require that the request identify 
each particular record in question and the system(s) of records wherein 
the records are located, specify the amendment requested, and specify 
the reasons why the records are not correct, relevant timely or 
complete. The Commission also proposes to have individuals submit any 
documentation that would be helpful in determining whether the 
requested amendment should be granted.
    The Commission proposes to move current Sec. 201.29, governing 
review by the Commission of requests for correction or amendment of 
records, and renumber it as Sec. 201.30. The Commission proposes that 
current Sec. 201.30, which governs disclosure of records to persons 
other than the individual to whom it pertains, would become 
Sec. 201.29. The Commission proposes this reordering because it 
proposes to expand the section governing review by the Commission of 
requests for amendment (currently Sec. 201.29) to add provision for 
Commission review of requests for access to records and requests for 
accounting of disclosure of records. It is thus more logical to have 
the section setting forth requests for an accounting of disclosure, 
which will be covered in proposed Sec. 201.29, to precede the section 
on review by the Commission.
    In addition to renumbering the section governing disclosure of 
records as Sec. 201.29, the Commission proposes to make other 
amendments to that section. First, the Commission proposes to change 
the statutory reference in paragraph (a) of proposed Sec. 201.29 from 
``5 U.S.C. 552a(b)(1)-(b)(11)'' to ``5 U.S.C. 552a(b).'' In 1982, the 
Privacy Act was amended to add subsection (b)(12) (authorizing agencies 
to disclose bad-debt information to credit bureaus), which is not 
reflected in the current Commission rule. The Commission also proposes 
to include in Sec. 201.29 a new paragraph setting forth procedures to 
be followed if an individual requests an accounting of disclosures made 
of his or her records. The procedures would be in conformity with those 
for other Commission Privacy Act requests such as requests for access 
to records and amendment of records. The Commission proposes to insert 
the provisions governing request procedures at paragraph (e) and 
redesignate current paragraph (e) as paragraph (f). Finally, the 
Commission proposes to rename the section ``Commission disclosure of 
individual records, accounting of record disclosures, and requests for 
accounting of record disclosures'' to reflect the expanded scope of the 
rule.
    Under the proposed revisions, current Sec. 201.29--entitled 
``Commission review of request for correction or amendment to 
record''--would become Sec. 201.30. The Commission proposes to expand 
the scope of that rule to include Commission review of denial of 
requests for access to records and denial of requests for an accounting 
of disclosure of records. Currently, the Commission rules contain no 
procedures for an individual to appeal to the Commission a denial by 
the Privacy Act Officer or Inspector General of a request for access or 
accountings of disclosure of records. The same appeal process would 
apply to all types of denials of requests under the Privacy Act rule. 
In addition, the Commission proposes to require an individual to make 
such an appeal within 60 days of receipt of the denial of a request by 
the Privacy Act Officer or Inspector General. These changes are 
consistent with the proposed Privacy Act rules amendments of the 
Department of Justice. See DOJ proposed rules Secs. 16.45(a), 16.46(c), 
and 16.47(c), 62 FR 45194-45195 (Aug. 26, 1997). To reflect the 
expanded scope of section 201.30, the Commission proposes to change the 
name of the section from ``Commission review of request for correction 
or amendment to record'' to ``Commission review of requests for access 
to records, for correction or amendment of records, or for an 
accounting of record disclosures.''
    In the rule governing fees for Privacy Act requests, Sec. 201.31, 
the Commission will maintain its charge of $0.10 per page for copying 
an individual's Privacy Act records, but change the provision to 
require such fees only if the total cost of copying exceeds $25 rather 
than $0.50 as the rule currently provides. This would harmonize the 
Privacy Act's fees with the fees charged under FOIA procedures.
    In addition, pursuant to 5 U.S.C. 552a(k), the Commission proposes 
to amend Sec. 201.32, governing exemptions to certain Privacy Act 
requirements, by adding one exemption and deleting three exemptions 
currently set forth in the rules. The Commission proposes to delete 
three unnecessary general exemptions covering classified records, 
statistical records, and investigatory material compiled for 
determining suitability for employment, federal contracts, and other 
purposes. These exemptions are currently set forth at paragraphs (a), 
(b), and (c), respectively. Because these three exemptions are not 
applied to specific systems of records, as required by the Privacy Act, 
the Commission is proposing to delete them. The remaining two current 
exemptions covering Inspector General Investigative Files (General) and 
Inspector General Investigative Files (Criminal) will be retained and 
become paragraphs (a) and (b) of Sec. 201.32, respectively. The 
Commission proposes to add an exemption for the system of records 
entitled ``Personnel Security Investigative Files Records'' from 
subsections (c)(3), (d), (e)(1), (e)(1)(G), (H) and (I), and (f) of the 
Privacy Act. For a complete description of the Personnel Security 
Investigative Files Records system, see 62 FR 23485-23496 (April 30, 
1997). The Commission proposes to set forth this new exemption at 
paragraph (c), to protect from disclosure classified and other 
sensitive information.

[[Page 61255]]

    Finally, the Commission proposes to add new Sec. 201.33 entitled 
``Employee conduct.'' This proposed rule would implement the 
requirement of the Privacy Act, set forth at 5 U.S.C. 552a(e)(9), that 
agencies establish rules of conduct for persons involved in the design, 
development, operation, or maintenance of any system of records, or in 
maintaining any record, and instruct each such person with respect to 
such rules and the requirements of the Privacy Act.

Regulatory Flexibility Act

    In accordance with the Regulatory Flexibility Act (5 U.S.C. 
606(b)), the Commission hereby certifies pursuant to 5 U.S.C. 605(b) 
that the proposed rules amendments set forth in this notice will not 
significantly affect any business or other entities, and thus are not 
likely to have a significant economic impact on a substantial number of 
small entities.

Executive Order 12866

    The Commission has determined that the proposed rules amendments do 
not meet the criteria described in section 3(f) of Executive Order 
12866 (58 FR 51735, Oct. 4, 1993) (EO) and thus do not constitute a 
significant regulatory action for purposes of the EO, since the 
revisions will not result in (1) an annual effect on the economy of 
$100 million or more, (2) a major increase in costs or prices for 
consumers, individual industries, Federal, State, or local government 
agencies, or geographic regions, or (3) significant adverse effects on 
competition, employment, investment, productivity, innovation, or on 
the ability of United States-based enterprises to compete with foreign-
based enterprises in domestic or foreign markets. Accordingly, no 
regulatory impact assessment is required.

Unfunded Mandates Reform Act of 1995

    The proposed rules amendments will not result in the expenditure by 
State, local, and tribal governments, in the aggregate, or by the 
private sector, of $100,000,000 or more in any one year, and will not 
significantly or uniquely affect small governments. Therefore, no 
actions are deemed necessary under the provisions of the Unfunded 
Mandates Reform Act of 1995 (Public Law 104-4).

Small Business Regulatory Enforcement Fairness Act of 1996

    The proposed rules amendments are not major rules as defined by 
section 804 of the Small Business Regulatory Enforcement Fairness Act 
of 1996 (Pub. L. 104-121). The proposed amendments will not result in 
an annual effect on the economy of $100,000,000 or more; a major 
increase in costs or prices; or significant adverse effects on 
competition, employment, investment, productivity, innovation, or on 
the ability of United States-based companies to compete with foreign-
based companies in domestic and export markets.

Contract With America Advancement Act of 1996

    The proposed rules amendments are exempt from the reporting 
requirements of the Contract With America Advancement Act of 1996 (Pub. 
L. 104-121) because they concern rules ``of agency organization, 
procedure, or practice'' that do not substantially affect the rights or 
obligations of non-agency parties. See Contract With America 
Advancement Act, section 804(3)(c).

Paperwork Reduction Act

    The proposed rules amendments are not subject to section 3504(h) of 
the Paperwork Reduction Act (44 U.S.C. 3501), since they do not contain 
any new information collection requirements.

List of Subjects in 19 CFR Part 201

    Administrative practice and procedure, Freedom of information, 
Privacy.

    For the reasons set out in the preamble, the Commission proposes to 
amend 19 CFR part 201, subparts B, C, and D as follows:

PART 201--RULES OF GENERAL APPLICATION

    1. It is proposed that the authority citation for part 201 continue 
to read as follows:

    Authority: Sec. 335 of The Tariff Act of 1930 (19 U.S.C. 1335), 
and sec. 603 of the Trade Act of 1974 (19 U.S.C. 2482), unless 
otherwise noted.

    2. It is proposed that Sec. 201.10 be revised to read as follows:


Sec. 201.10  Public notices.

    As required or appropriate, formal notice of the receipt of 
documents properly filed, of the institution of investigations, of 
public hearings, and of other formal actions of the Commission will be 
given by publication in the Federal Register. In addition to such 
publication of notice, a copy of each published notice will be posted 
at the Office of the Secretary of the Commission in Washington, DC, 
and, as appropriate, copies will be sent to press associations, to 
trade and similar organizations of producers and importers, and to 
others known to the Commission to have an interest in the subject 
matter.
    3. It is proposed that Sec. 201.17 be revised to read as follows:


Sec. 201.17  Procedures for requesting access to records.

    (a) Requests for records. (1) A request for any information or 
record shall be addressed to the Secretary, United States International 
Trade Commission, 500 E Street SW., Washington, DC 20436 and shall 
indicate clearly both on the envelope and in the letter that it is a 
``Freedom of Information Act Request.''
    (2) Any request shall reasonably describe the requested record to 
facilitate location of the record. If the request pertains to a record 
that is part of the Commission's file in an investigation, the request 
should identify the investigation by number and name. A clear 
description of the requested record(s) should reduce the time required 
by the Commission to locate and disclose releasable responsive 
record(s) and minimize any applicable search and copying charges.
    (3) Except as provided in paragraph (b) of this section, requests 
will be processed in the order in which they are filed.
    (4) Requests for transcripts of hearings should be addressed to the 
official hearing reporter, the name and address of which can be 
obtained from the Secretary. A copy of such request shall at the same 
time be forwarded to the Secretary.
    (5) Copies of public Commission reports and other publications can 
be requested by calling or writing the Publications Office in the 
Office of the Secretary. Generally, such publications can be obtained 
more quickly from this office. Certain Commission publications are sold 
by the Superintendent of Documents, U.S. Government Printing Office, 
and are available from that agency at the price set by that agency.
    (6) A day-to-day, composite record will be kept by the Secretary of 
each request with the disposition thereof.
    (b) Expedited processing. (1) Requests for records under paragraph 
(a)(1) of this section will be taken out of order and given expedited 
treatment whenever it is determined that they involve:
    (i) Circumstances in which the lack of expedited treatment could 
reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual;
    (ii) An urgency to inform the public about an actual or alleged 
federal government activity, if made by a person primarily engaged in 
disseminating information;

[[Page 61256]]

    (iii) The loss of substantial due process rights; or
    (iv) A matter of widespread and exceptional media interest in which 
there exist possible questions about the government's integrity which 
affect public confidence.
    (2) A request for expedited processing may be made at the time of 
the initial request for records or at any later time.
    (3) A requester who seeks expedited processing must submit a 
statement, certified to be true and correct to the best of that 
person's knowledge and belief, explaining in detail the basis for 
requesting expedited processing. For example, a requester within 
paragraph (b)(1)(ii) of this section, if not a full-time member of the 
news media, must establish that he or she is a person whose main 
professional activity or occupation is information dissemination, 
though it need not be his or her sole occupation. A requester within 
paragraph (b)(1)(ii) of this section also must establish a particular 
urgency to inform the public about the government activity involved in 
the request, beyond the public's right to know about government 
activity generally. The formality of certification may be waived as a 
matter of administrative discretion.
    (4) Within ten calendar days of receipt of a request for expedited 
processing, the Secretary will decide whether to grant it and will 
notify the requester of the decision. If a request for expedited 
treatment is granted, the request will be given priority and will be 
processed as soon as practicable. If a request for expedited processing 
is denied, any appeal of that decision will be acted on expeditiously.
    (c) Public reading room. The Commission maintains a public reading 
room in the Office of the Secretary for access to the records that the 
FOIA requires to be made regularly available for public inspection and 
copying. Reading room records created by the Commission on or after 
November 1, 1996, are available electronically. This includes a current 
subject-matter index of reading room records, which will indicate which 
records are available electronically.
    4. It is proposed that paragraphs (b) and (c) of Sec. 201.18 be 
revised to read as follows:


Sec. 201.18  Denial of requests, appeals from denial.

* * * * *
    (b) An appeal from a denial of a request must be received within 
sixty days of the date of the letter of denial and shall be made to the 
Commission and addressed to the Chairman, United States International 
Trade Commission, 500 E Street SW., Washington, DC 20436. Any such 
appeal shall be in writing, and shall clearly indicate both on the 
envelope and in the letter that it is a ``Freedom of Information Act 
Appeal.''
    (c) Except when expedited treatment is requested and granted, 
appeals will be decided in the order in which they are filed, but in 
any case within twenty days (excepting Saturdays, Sundays, and legal 
holidays) unless an extension, noticed in writing with the reasons 
therefor, has been provided to the person making the request. Notice of 
the decision on appeal and the reasons therefor will be made promptly 
after a decision. Requests for expedited treatment should conform with 
the requirements in Sec. 201.17(c) of this part.
    5. It is proposed that paragraphs (b)(1)(ii) and (iii) and 
(b)(3)(i) of Sec. 201.20 be revised to read as follows:


Sec. 201.20  Fees.

* * * * *
    (b) Charges. * * *
    (1) Search. * * *
    (ii) For each quarter hour spent by agency personnel in salary 
grades GS-2 through GS-10 in searching for and retrieving a requested 
record, the fee shall be $4.00. When the time of agency personnel in 
salary grades GS-11 and above is required, the fee shall be $6.50 for 
each quarter hour of search and retrieval time spent by such personnel.
    (iii) For computer searches of records, which may be undertaken 
through the use of existing programming, requester shall be charged the 
actual direct costs of conducting the search, although certain 
requesters (as defined in paragraph (c)(2) of this section) shall be 
entitled to the cost equivalent of two hours of manual search time 
without charge. These direct costs shall include the cost of operating 
a central processing unit for that portion of operating time that is 
directly attributable to searching for records responsive to a request, 
as well as the costs of operator/programmer salary apportionable to the 
search (at no more than $6.50 per quarter hour of time so spent).
* * * * *
    (3) Review. (i) Review fees shall be assessed with respect to only 
those requesters who seek records for a commercial use, as defined in 
paragraph (j)(5) of this section. For each quarter hour spent by agency 
personnel in reviewing a requested record for possible disclosure, the 
fee shall be $6.50.
* * * * *
    6. It is proposed that the authority citation for subpart D of part 
201 read as follows:

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

    7. It is proposed that subpart D of part 201 be revised to read as 
follows:

Subpart D--Safeguarding Individual Privacy Pursuant to 5 U.S.C. 552a

Sec.
201.22  Purpose and scope.
201.23  Definitions.
201.24  Procedures for requests pertaining to individual records in 
a records system.
201.25  Times, places, and requirements for identification of 
individuals making requests.
201.26  Disclosure of requested information to individuals.
201.27  Special procedures: Medical records.
201.28  Requests for correction or amendment of records.
201.29  Commission disclosure of individual records, accounting of 
record disclosures, and requests for accounting of record 
disclosures.
201.30  Commission review of requests for access to records, for 
correction or amendment to records, and for accounting of record 
disclosures.
201.31  Fees.
201.32  Specific exemptions.
201.33  Employee conduct.

Subpart D--Safeguarding Individual Privacy Pursuant to 5 U.S.C. 
552a


Sec. 201.22  Purpose and scope.

    This subpart contains the rules that the Commission follows under 
the Privacy Act of 1974, 5 U.S.C. 552a. The rules in this subpart apply 
to all records in systems of records maintained by the Commission that 
are retrieved by an individual's name or other personal identifier. 
They describe the procedures by which individuals may request access to 
records about themselves, request amendment or correction of those 
records, and request an accounting of disclosures of those records by 
the Commission.


Sec. 201.23  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 includes maintain, collect, use, or 
disseminate;
    (c) The term record means any item, collection, or grouping of 
information about an individual that is maintained by the Commission, 
including, but not limited to, his or her education, financial 
transactions, medical history, and criminal or employment history and 
that contains his or her name, or the identifying number, symbol, or 
other

[[Page 61257]]

identifying particular assigned to the individual;
    (d) The term system of records means a group of any records under 
the control of the Commission from which information is retrieved by 
the name of the individual or by some identifying particular assigned 
to the individual;
    (e) The term Privacy Act Officer refers to the Director, Office of 
Administration, United States International Trade Commission, 500 E 
Street SW., Washington, DC 20436, or his or her designee.


Sec. 201.24  Procedures for requests pertaining to individual records 
in a records system.

    (a) A request by an individual to gain access to his or her 
record(s) or to any information pertaining to him or her which is 
contained in a system of records maintained by the Commission shall be 
addressed to the Privacy Act Officer, United States International Trade 
Commission, 500 E Street SW., Washington, DC 20436, and shall indicate 
clearly both on the envelope and in the letter that it is a Privacy Act 
request.
    (b) In order to facilitate location of requested records, whenever 
possible, the request of the individual shall name the system(s) of 
records maintained by the Commission which he or she believes contain 
records pertaining to him or her, shall reasonably describe the 
requested records, and identify the time period in which the records 
were compiled.
    (c) The Privacy Act Officer shall acknowledge receipt of a request 
within ten days (excluding Saturdays, Sundays, and legal public 
holidays), and wherever practicable, indicate whether or not access can 
be granted. If access is not to be granted, the requestor shall be 
notified of the reason in writing.
    (d) The Privacy Act Officer, or, the Inspector General, if such 
records are maintained by the Inspector General, shall ascertain 
whether the systems of records maintained by the Commission contain 
records pertaining to the individual, and whether access will be 
granted. Thereupon the Privacy Act Officer shall:
    (1) Notify the individual whether or not the requested record is 
contained in any system of records maintained by the Commission; and
    (2) Notify the individual of the procedures as prescribed in 
Secs. 201.25 and 201.26 of this part by which the individual may gain 
access to those records maintained by the Commission which pertain to 
him or her. Access to the records will be provided within 30 days 
(excluding Saturdays, Sundays, and legal public holidays).


Sec. 201.25  Times, places, and requirements for identification of 
individuals making requests.

    (a) If an individual wishes to examine his or her records in 
person, it shall be the responsibility of the individual requester to 
arrange an appointment with the Privacy Act Officer for the purpose of 
inspecting individual records. The time of inspection shall be during 
the regular office hours of the Commission, 8:45 a.m. to 5:15 p.m., 
Monday through Friday. The time arranged should be mutually convenient 
to the requester and to the Commission.
    (b) The place where an individual may gain access to records 
maintained by the Commission which pertain to him or her shall be at 
the United States International Trade Commission Building, 500 E Street 
SW., Washington, DC 20436. The Privacy Act Officer shall inform the 
individual requester of the specific room wherein inspection will take 
place.
    (c) An individual may also request the Privacy Act Officer to 
provide the individual with a copy of his or her records by certified 
mail.
    (d) An individual who requests to gain access to those records 
maintained by the Commission which pertain to him or her shall not be 
granted access to those records without first presenting adequate 
identification to the Privacy Act Officer. Adequate identification may 
include, but is not limited to, a government identification card, a 
driver's license, Medicare card, a birth certificate, or a passport. If 
requesting records by mail, an individual must provide full name, 
current address, and date and place of birth. The request must be 
signed and either notarized or submitted under 28 U.S.C. 1746, which 
permits statements to be made under penalty of perjury as a substitute 
for notarization. In order to help the identification and location of 
requested records, a requestor may also, at his or her option, include 
the individual's social security number.


Sec. 201.26  Disclosure of requested information to individuals.

    (a) Once the Privacy Act Officer has made a determination to grant 
a request for access to individual records, in whole or in part, the 
Privacy Act Officer shall inform the requesting individual in writing 
and permit the individual to review the pertinent records and to have a 
copy made of all or any portion of them. Where redactions due to 
exemptions pursuant to Sec. 201.32 would render such records or 
portions thereof incomprehensible, the Privacy Act Officer shall 
furnish an abstract in addition to an actual copy.
    (b) An individual has the right to have a person of his or her own 
choosing accompany him or her to review his or her records. The Privacy 
Act Officer shall permit a person of the individual requester's 
choosing to accompany the individual during inspection.
    (c) When the individual requests the Privacy Act Officer to permit 
a person of the individual's choosing to accompany him or her during 
the inspection of his or her records, the Privacy Act Officer shall 
require the individual requester to furnish a written statement 
authorizing discussion of the records in the accompanying person's 
presence.
    (d) The Privacy Act Officer shall take all necessary steps to 
insure that individual privacy is protected while the individual 
requester is inspecting his or her records or while those records are 
being discussed. Only the Privacy Act Officer shall accompany the 
individual as representative of the Commission during the inspection of 
the individual's records. The Privacy Act Officer shall be authorized 
to discuss the pertinent records with the individual.


Sec. 201.27  Special procedures: Medical records.

    (a) While an individual has an unqualified right of access to the 
records in systems of records maintained by the Commission which 
pertain to him or her, medical and psychological records merit special 
treatment because of the possibility that disclosure will have an 
adverse physical or psychological effect upon the requesting 
individual. Accordingly, in those instances where an individual is 
requesting the medical and/or psychological records which pertain to 
him or her, he or she shall, in his or her Privacy Act request to the 
Privacy Act Officer as called for in Sec. 201.24(a) of this part, 
specify a physician to whom the medical and/or psychological records 
may be released.
    (b) It shall be the responsibility of the individual requesting 
medical or psychological records to specify a physician to whom the 
requested records may be released. If an individual refuses to name a 
physician and insists on inspecting his or her medical or psychological 
records in the absence of a doctor's discussion and advice, the 
individual shall so state in his or her Privacy Act request to the 
Privacy Act Officer as called for in Sec. 201.24(a) of this part and 
the Privacy Act Officer shall provide access to or

[[Page 61258]]

transmit such records directly to the individual.


Sec. 201.28  Requests for correction or amendment of records.

    (a) If, upon viewing his or her records, an individual disagrees 
with a portion thereof or feels sections thereof to be erroneous, the 
individual may request amendment[s] of the records pertaining to him or 
her. The individual should request such an amendment in writing and 
should identify each particular record in question, the system[s] of 
records wherein the records are located, specify the amendment 
requested, and specify the reasons why the records are not correct, 
relevant timely or complete. The individual may submit any 
documentation that would be helpful. The request for amendment of 
records shall be addressed to the Privacy Act Officer, United States 
International Trade Commission, 500 E Street SW., Washington, DC 20436, 
and shall clearly indicate both on the envelope and in the letter that 
it is a Privacy Act request for amendment of records.
    (b) Not later than 10 days (excluding Saturdays, Sundays and legal 
public holidays) after the date of receipt of a Privacy Act request for 
amendment of records, the Privacy Act Officer shall acknowledge such 
receipt in writing. Such a request for amendment will be granted or 
denied by the Privacy Act Officer or, for records maintained by the 
Inspector General. If the request is granted, the Privacy Act Officer, 
or the Inspector General for records maintained by the Inspector 
General, shall promptly make any correction of any portion of the 
record which the individual believes is not accurate, relevant, timely, 
or complete. If, however, the request is denied, the Privacy Act 
Officer shall inform the individual of the refusal to amend the record 
in accordance with the individual's request and give the reason(s) for 
the refusal. In cases where the Privacy Act Officer or the Inspector 
General has refused to amend in accordance with an individual's 
request, he or she also shall advise the individual of the procedures 
under Sec. 201.30 of this part for the individual to request a review 
of that refusal by the full Commission or by an officer designated by 
the Commission.


Sec. 201.29  Commission disclosure of individual records, accounting of 
record disclosures, and requests for accounting of record disclosures.

    (a) It is the policy of the Commission not to disclose, except as 
permitted under 5 U.S.C. 552a(b), any record which is contained in any 
system of records maintained by the Commission to any person, or to 
another agency, except pursuant to a written request by, or with the 
prior written consent of, the individual to whom the record pertains.
    (b) Except for disclosures either to officers and employees of the 
Commission, or to contractor employees who, in the Inspector General's 
or the Privacy Act Officer's judgment, as appropriate, are acting as 
federal employees, who have a need for the record in the performance of 
their duties, and any disclosure required by 5 U.S.C. 552, the Privacy 
Act Officer shall keep an accurate accounting of:
    (1) The date, nature, and purpose of each disclosure of a record to 
any person or to another agency under paragraph (a) of this section; 
and
    (2) The name or address of the person or agency to whom the 
disclosure is made.
    (c) The Privacy Act Officer shall retain the accounting required by 
paragraph (b) of this section for at least five years or the life of 
the record, whichever is longer, after such disclosure.
    (d) Except for disclosures made to other agencies for civil or 
criminal law enforcement purposes pursuant to 5 U.S.C. 552a(b)(7), the 
Privacy Act Officer shall make any accounting made under paragraph (b) 
of this section available to the individual named in the record at the 
individual's request.
    (e) An individual requesting an accounting of disclosure of his or 
her records should make the request in writing to the Privacy Act 
Officer, United States International Trade Commission, 500 E Street 
SW., Washington, DC 20436. The request should identify each particular 
record in question and, whenever possible, the system[s] of records 
wherein the requested records are located, and clearly indicate both on 
the envelope and in the letter that it is a Privacy Act request for an 
accounting of disclosure of records.
    (f) Where the Commission has provided any person or other agency 
with an individual record and such accounting as required by paragraph 
(b) of this section has been made, the Privacy Act Officer shall inform 
all such persons or other agencies of any correction, amendment, or 
notation of dispute concerning said record.


Sec. 201.30  Commission review of requests for access to records, for 
correction or amendment to records, and for accounting of record 
disclosures.

    (a) The individual who disagrees with the refusal of the Privacy 
Act Officer or the Inspector General for access to a record, to amend a 
record, or to obtain an accounting of any record disclosure, may 
request a review of such refusal by the Commission within 60 days of 
receipt of the denial of his or her request. A request for review of 
such a refusal should be addressed to the Chairman, United States 
International Trade Commission, 500 E Street, SW., Washington, DC 
20436, and shall clearly indicate both on the envelope and in the 
letter that it is a Privacy Act review request.
    (b) Not later than 30 days (excluding Saturdays, Sundays, and legal 
public holidays) from the date on which the Commission receives a 
request for review of the Privacy Act Officer's or the Inspector 
General's refusal to grant access to a record, to amend a record, or to 
provide an accounting of a record disclosure, the Commission shall 
complete such a review and make a final determination thereof unless, 
for good cause shown, the Commission extends the 30-day period.
    (c) After the individual's request has been reviewed by the 
Commission, if the Commission agrees with the Privacy Act Officer's or 
the Inspector General's refusal to grant access to a record, to amend a 
record, or to provide an accounting of a record disclosure, in 
accordance with the individual's request, the Commission shall:
    (1) Notify the individual in writing of the Commission's decision;
    (2) For requests to amend or correct records, advise the individual 
that he or she has the right to file a concise statement of 
disagreement with the Commission which sets forth his or her reasons 
for disagreement with the refusal of the Commission to grant the 
individual's request; and
    (3) Notify the individual of his or her legal right, if any, to 
judicial review of the Commission's final determination.
    (d) In any disclosure, containing information about which the 
individual has filed a statement of disagreement regarding an amendment 
of an individual's record, the Privacy Act Officer, or, for records 
maintained by the Inspector General, the Inspector General, shall 
clearly note any portion of the record which is disputed and shall 
provide copies of the statement and, if the Commission deems it 
appropriate, copies of a concise statement of the reasons of the 
Commission for not making the amendments requested, to persons or other 
agencies to whom the disputed record has been disclosed.

[[Page 61259]]

Sec. 201.31  Fees.

    (a) The Commission shall not charge any fee for the cost of 
searching for and reviewing an individual's records.
    (b) Reproduction, duplication or copying of records by the 
Commission shall be at the rate of $0.10 per page. There shall be no 
charge, however, when the total amount does not exceed $25.00.


Sec. 201.32  Specific exemptions.

    (a) Pursuant to 5 U.S.C. 552a(k)(2), and in order to protect the 
effectiveness of Inspector General investigations by preventing 
individuals who may be the subject of an investigation from obtaining 
access to the records and thus obtaining the opportunity to conceal or 
destroy evidence or to intimidate witnesses, records contained in the 
system titled Office of Inspector General Investigative Files 
(General), insofar as they include investigatory material compiled for 
law enforcement purposes, shall be exempt from this subpart and from 
subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) of the 
Privacy Act. However, if any individual is denied any right, privilege, 
or benefit to which he is otherwise entitled to under Federal law due 
to the maintenance of this material, such material shall be provided to 
such individual except to the extent that the disclosure of such 
material would reveal the identity of a source who furnished 
information to government investigators under an express promise that 
the identity of the source would be held in confidence.
    (b) Pursuant to 5 U.S.C. 552a(j)(2), and in order to protect the 
confidentiality and integrity of Inspector General investigations by 
preventing individuals who may be the subject of an investigation from 
obtaining access to the records and thus obtaining the opportunity to 
conceal or destroy evidence or to intimidate witnesses, records 
maintained in the Office of Inspector General Investigative Files 
(Criminal), insofar as they contain information pertaining to the 
enforcement of criminal laws, shall be exempt from this subpart and 
from the Privacy Act, except that subsections (b), (c)(1) and (2), 
(e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11) and (i) shall 
still apply to these records.
    (c) Pursuant to 5 U.S.C. 552a(k)(1), (5) and (6), records contained 
in the system entitled ``Personnel Security Investigative Files'' have 
been exempted from subsections (c)(3), (d), (e)(1), (e)(1)(G)-(I) and 
(f) of the Privacy Act. Pursuant to section 552a(k)(1) of the Privacy 
Act, the Commission exempts records that contain properly classified 
information that pertains to national defense or foreign policy and is 
obtained from other systems of records or another Federal agency. 
Application of exemption (k)(1) may be necessary to preclude the data 
subject's access to and amendment of such classified information under 
5 U.S.C. 552a(d). All information about individuals in these records 
that meets the criteria stated in 5 U.S.C. 552a(k)(5) is also exempted 
because this system contains investigatory material compiled solely for 
determining suitability, eligibility, and qualifications for Federal 
civilian employment, Federal contracts or access to classified 
information. To the extent that the disclosure of such material would 
reveal the identity of a source who furnished information to the 
Government under an express promise that the identity of the source 
would be held in confidence, or, prior to September 27, 1975, under an 
implied promise that the identity of the source would be held in 
confidence, the application of exemption (k)(5) will be required to 
honor such a promise should an individual request access to the 
accounting of disclosure, or access to or amendment of the record, that 
would reveal the identity of a confidential source. All information in 
these records that meets the criteria stated in 5 U.S.C. 552a(k)(6) is 
also exempt because portions of a case file record may relate to 
testing and examining material used solely to determine individual 
qualifications for appointment or promotion in the Federal service. 
Access to or amendment of this information by the data subject would 
compromise the objectivity and fairness of the testing or examining 
process.


Sec. 201.33  Employee conduct.

    The Privacy Act Officer shall establish rules of conduct for 
persons involved in the design, development, operation, or maintenance 
of any system of records, or in maintaining any record, and 
periodically instruct each such person with respect to such rules and 
the requirements of the Privacy Act including the penalties for 
noncompliance.

    Issued: November 7, 1997.

    By order of the Commission.
Donna R. Koehnke,
Secretary.
[FR Doc. 97-29865 Filed 11-14-97; 8:45 am]
BILLING CODE 7020-02-P