[Federal Register Volume 64, Number 182 (Tuesday, September 21, 1999)]
[Rules and Regulations]
[Pages 51043-51045]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-24552]


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MERIT SYSTEMS PROTECTION BOARD

5 CFR Part 1205


Privacy Act Regulations

AGENCY: Merit Systems Protection Board.

ACTION: Final rule.

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SUMMARY: The Merit Systems Protection Board (MSPB or the Board) is 
amending its Privacy Act regulations to update its fee schedule, update 
certain information to conform to administrative changes, and to comply 
with the President's Memorandum on Plain Language in Government 
Writing.

DATES: Effective date: September 21, 1999.

FOR FURTHER INFORMATION CONTACT: Robert E. Taylor, Clerk of the Board, 
(202) 653-7200.

SUPPLEMENTARY INFORMATION: To be consistent with the amendments to our 
regulations (5 CFR 1204.11(c)) which were allowed by the Electronic 
Freedom of Information Act Amendments of 1996 (Pub. L. 104-231, 101 
Stat. 3048), the Board is changing from 10 to 20 the number of workdays 
in which it will acknowledge a request for access to records in 
Sec. 1205.12(a) and (a)(4). Section 1205.23 retains the 10 workday time 
limit but reflects the requirement that the Board acknowledge, rather 
than rule on a request for amendment of the record. The amendments also 
add to unusual circumstances in Sec. 1205.12(a)(1) the circumstance 
where the Board must obtain requested records from a Federal Records 
Center.
    These amendments also update Sec. 1205.16 of the Board's rules 
controlling the computation and collection of fees. Paragraphs (e) and 
(f) of Sec. 1205.16 are eliminated as redundant and paragraph (f) is 
renamed. Section 1205.31 adds a time limit of 10 workdays to file an 
appeal of a denial of an amendment with the Board's Chairman.
    In addition, the Board is updating the wording of its regulations 
to reflect the existence of field offices in addition to its regional 
offices and the chief administrative judges who handle certain 
responsibilities in those offices. Other changes have been made for 
consistency, to update zip codes, and to comply with the President's 
Memorandum, ``Plain Language in Government Writing'', 34 Weekly Comp. 
Pres. Doc. 1010 (June 1, 1998).

List of Subjects in 5 CFR Part 1205--Privacy

    Accordingly, the Board is revising 5 CFR part 1205 to read as 
follows:

PART 1205--PRIVACY ACT REGULATIONS

Subpart A--General Provisions

Sec.
1205.1  Purpose.
1205.2  Policy and scope.
1205.3  Definitions.
1205.4  Disclosure of Privacy Act records.

Subpart B--Procedures for Obtaining Records

1205.11  Access to Board records.
1205.12  Time limits and determinations.
1205.13  Identification.
1205.14  Granting access.
1205.15  Denying access.
1205.16  Fees.

Subpart C--Amendment of Records

1205.21  Request for amendment.
1205.22  Action on request.
1205.23  Time limits.

Subpart D--Appeals

1205.31  Submitting appeal.
1205.32  Decision on appeal.

    Authority: 5 U.S.C. 552a and 1204.

Subpart A--General Provisions


Sec. 1205.1  Purpose.

    This subpart implements the Privacy Act of 1974, 5 U.S.C. 552a, 
(``the Act'') by stating the procedures by which individuals may 
determine the existence of, seek access to, and request amendment of 
Board records concerning themselves, and by stating the requirements 
that apply to Board employees' use and disclosure of those records.


Sec. 1205.2  Policy and scope.

    The Board's policy is to apply these regulations to all records 
that can be retrieved from a system of records under the Board's 
control by using an individual's name or by using a number, symbol, or 
other way to identify the individual. These regulations, however, do 
not govern the rights of the parties in adversary proceedings before 
the Board to obtain discovery from adverse parties; those rights are 
governed by part 1201 and part 1209 of this chapter. These regulations 
also are not meant to allow the alteration, either before or after the 
Board has issued a decision on an appeal, of evidence presented during 
the Board's adjudication of the appeal.


Sec. 1205.3  Definitions.

    The definitions of 5 U.S.C. 552a apply to this part. In addition, 
as used in this part:
    (a) Inquiry means a request by an individual regarding whether the 
Board has a record that refers to that individual.
    (b) Request for access means a request by an individual to look at 
or copy a record.
    (c) Request for amendment means a request by an individual to 
change the substance of a particular record by addition, deletion, or 
other correction.
    (d) Requester means the individual requesting access to or 
amendment of a record. The individual may be either the person to whom 
the requested record

[[Page 51044]]

refers, a legal guardian acting on behalf of the individual, or a 
representative designated by that individual.


Sec. 1205.4  Disclosure of Privacy Act records.

    (a) Except as provided in 5 U.S.C. 552a(b), the Board will not 
disclose any personal record information from systems of records it 
maintains to any individual other than the individual to whom the 
record refers, or to any other agency, without the express written 
consent of the individual to whom the record refers, or his or her 
representative or attorney.
    (b) The Board's staff will take necessary steps, in accordance with 
the law and these regulations, to protect the security and integrity of 
the records and the personal privacy interests of the subjects of the 
records.

Subpart B--Procedures for Obtaining Records


Sec. 1205.11  Access to Board records.

    (a) Submission of request. Inquiries or requests for access to 
records must be submitted to the appropriate regional or field office 
of the Board, or to the Clerk of the Board, U.S. Merit Systems 
Protection Board, 1120 Vermont Avenue NW., Washington, DC 20419-0001. 
If the requester has reason to believe that the records are located in 
a regional or field office, the request must be submitted to that 
office. Requests submitted to the regional or field office must be 
addressed to the Regional Director or Chief Administrative Judge at the 
appropriate regional or field office listed in appendix II of 5 CFR 
part 1201.
    (b) Form. Each submission must contain the following information:
    (1) The name, address, and telephone number of the individual to 
whom the record refers;
    (2) The name, address, and telephone number of the individual 
making the request if the requester is someone other than the person to 
whom the record refers, such as a legal guardian or an attorney, along 
with evidence of the relationship. Evidence of the relationship may 
consist of an authenticated copy of:
    (i) The birth certificate of the minor child, and
    (ii) The court document appointing the individual legal guardian, 
or
    (iii) An agreement for representation signed by the individual to 
whom the record refers;
    (3) Any additional information that may assist the Board in 
responding to the request, such as the name of the agency that may have 
taken an action against an individual, or the docket number of the 
individual's case;
    (4) The date of the inquiry or request;
    (5) The inquirer's or requester's signature; and
    (6) A conspicuous indication, both on the envelope and the letter, 
that the inquiry is a ``PRIVACY ACT REQUEST''.
    (c) Identification. Each submission must follow the identification 
requirements stated in Sec. 1205.13 of this part.
    (d) Payment. Records usually will not be released until fees have 
been received.


Sec. 1205.12  Time limits and determinations.

    (a) Board determinations. The Board will acknowledge the request 
for access to records and make a determination on whether to grant it 
within 20 workdays after it receives the request, except under the 
unusual circumstances described below:
    (1) When the Board needs to obtain the records from other Board 
offices or a Federal Records Center;
    (2) When it needs to obtain and examine a large number of records;
    (3) When it needs to consult with another agency that has a 
substantial interest in the records requested; or
    (4) When other extenuating circumstances prevent the Board from 
processing the request within the 20-day period.
    (b) Time extensions. When unusual circumstances exist, the Board 
may extend the time for making a determination on the request for no 
more than 10 additional workdays. If it does so, it will notify the 
requester of the extension.
    (c) Improper request. If a request or an appeal is not properly 
labeled, does not contain the necessary identifying information, or is 
submitted to the wrong office, the time period for processing the 
request will begin when the correct official receives the properly 
labeled request and the necessary information.
    (c) Determining officials. The Clerk of the Board, a Regional 
Director, or a Chief Administrative Judge will make determinations on 
requests.


Sec. 1205.13  Identification.

    (a) In person. Each requester must present satisfactory proof of 
identity. The following items, which are listed in order of the Board's 
preference, are acceptable proof of the requester's identity when the 
request is made in person:
    (1) A document showing the requester's photograph;
    (2) A document showing the requester's signature; or
    (3) If the items described in paragraphs (a)(1) and (2) of the 
section are not available, a signed statement in which the requester 
asserts his or her identity and acknowledges understanding that 
misrepresentation of identity in order to obtain a record is a 
misdemeanor and subject to a fine of up to $5,000 under 5 U.S.C. 
552a(i)(3).
    (b) By mail. The identification of a requester making a request by 
mail must be certified by a notary public or equivalent official or 
contain other information to identify the requester. Information could 
be the date of birth of the requester and some item of information in 
the record that only the requester would be likely to know.
    (c) Parents of minors, legal guardians, and representatives. 
Parents of minors, legal guardians, and representatives must submit 
identification under paragraph (a) or (b) of this section. 
Additionally, they must present an authenticated copy of:
    (1) The minor's birth certificate, and
    (2) The court order of guardianship, or
    (3) The agreement of representation, where appropriate.


Sec. 1205.14  Granting access.

    (a) The Board may allow a requester to inspect records through 
either of the following methods:
    (1) It may permit the requester to inspect the records personally 
during normal business hours at a Board office or other suitable 
Federal facility closer to the requester; or
    (2) It may mail copies of the records to the requester.
    (b) A requester seeking personal access to records may be 
accompanied by another individual of the requester's choice. Under 
those circumstances, however, the requester must sign a statement 
authorizing the discussion and presentation of the record in the 
accompanying individuals presence.


Sec. 1205.15  Denying access.

    (a) Basis. In accordance with 5 U.S.C. 552a(k)(2), the Board may 
deny access to records that are of an investigatory nature and that are 
compiled for law enforcement purposes. Those requests will be denied 
only where access to them would otherwise be unavailable under 
Exemption (b)(7) of the Freedom of Information Act.
    (b) Form. All denials of access under this section will be made in 
writing and will notify the requester of the right to judicial review.


Sec. 1205.16  Fees.

    (a) No fees will be charged except for making copies of records.
    (b) Photocopies of records duplicated by the Board will be subject 
to a charge of 20 cents a page.

[[Page 51045]]

    (c) If the fee to be assessed for any request is less than $100 
(the cost to the Board of processing and collecting the fee), no charge 
will be made to the requester.
    (d) Fees for copying audio tapes and computer records will be 
charged at a rate representing the actual costs to the Board, as shown 
in paragraphs (d)(1) through (d)(3) of this section.
    (1) Audio tapes will be provided at a charge not to exceed $15 for 
each cassette tape.
    (2) Computer printouts will be provided at a charge of 10 cents a 
page.
    (3) Records reproduced on computer tapes, computer diskettes, or 
other electronic media, will be provided at the actual cost to the 
Board.
    (e) The Board will provide one copy of the amended parts of any 
record it amends free of charge as evidence of the amendment.

Subpart C--Amendment of Records


Sec. 1205.21  Request for amendment.

    A request for amendment of a record must be submitted to the 
Regional Director or Chief Administrative Judge of the appropriate 
regional or field office, or to the Clerk of the Board, U.S. Merit 
Systems Protection Board, 1120 Vermont Avenue NW., Washington, DC 
20419-0001, depending on which office has custody of the record. The 
request must be in writing, must be identified conspicuously on the 
outside of the envelope and the letter as a ``PRIVACY ACT REQUEST,'' 
and must include the following information:
    (a) An identification of the record to be amended;
    (b) A description of the amendment requested; and
    (c) A statement of the basis for the amendment, along with 
supporting documentation, if any.


Sec. 1205.22  Action on request.

    (a) Amendment granted. If the Board grants the request for 
amendment, it will notify the requester and provide him or her with a 
copy of the amendment.
    (b) Amendment denied. If the Board denies the request for amendment 
in whole or in part, it will provide the requester with a written 
notice that includes the following information:
    (1) The basis for the denial; and
    (2) The procedures for appealing the denial.


Sec. 1205.23  Time limits.

    The Clerk of the Board, Regional Director, or Chief Administrative 
Judge will acknowledge a request for amendment within 10 workdays of 
receipt of the request in the appropriate office except under the 
unusual circumstances described in paragraphs (a)(1) through (a)(4) of 
Sec. 1205.12 of this part.

Subpart D--Appeals


Sec. 1205.31  Submitting appeal.

    (a) A partial or complete denial, by the Clerk of the Board, by the 
Regional Director, or by the Chief Administrative Judge, of a request 
for amendment may be appealed to the Chairman, Merit Systems Protection 
Board, 1120 Vermont Avenue, NW., Washington, DC 20419-0001 within 10 
workdays from the date of the denial.
    (b) Any appeal must be in writing, must be clearly and 
conspicuously identified as a Privacy Act appeal on both the envelope 
and letter, and must include:
    (1) A copy of the original request for amendment of the record;
    (2) A copy of the denial; and
    (3) A statement of the reasons why the original denial should be 
overruled.


Sec. 1205.32  Decision on appeal.

    (a) The Chairman will decide the appeal within 30 workdays unless 
the Chairman determines that there is good cause for extension of that 
deadline. If an appeal is improperly labeled, does not contain the 
necessary information, or is submitted to an inappropriate official, 
the time period for processing that appeal will begin when the Chairman 
receives the appeal and the necessary information.
    (b) If the request for amendment of a record is granted on appeal, 
the Chairman will direct that the amendment be made. A copy of the 
amended record will be provided to the requester.
    (c) If the request for amendment of a record is denied, the 
Chairman will notify the requester of the denial and will inform the 
requester of:
    (1) The basis for the denial;
    (2) The right to judicial review of the decision under 5 U.S.C. 
552a(g)(1)(A); and
    (3) The right to file a concise statement with the Board stating 
the reasons why the requester disagrees with the denial. This statement 
will become a part of the requester's record.

    Dated: September 2, 1999.
Robert E. Taylor,
Clerk of the Board.
[FR Doc. 99-24552 Filed 9-20-99; 8:45 am]
BILLING CODE 7400-01-U