[Federal Register Volume 66, Number 61 (Thursday, March 29, 2001)]
[Rules and Regulations]
[Pages 17079-17082]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-7669]


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CHEMICAL SAFETY AND HAZARD INVESTIGATION BOARD

40 CFR Part 1602


Privacy Act of 1974; Implementation

AGENCY: Chemical Safety and Hazard Investigation Board.

ACTION: Final rule.

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SUMMARY: The Chemical Safety and Hazard Investigation Board adopts 
regulations for handling requests made under the Privacy Act. The 
Privacy Act requires Federal agencies to create regulations 
establishing procedures for its implementation. These regulations will 
ensure the proper handling and preservation of agency records subject 
to the Privacy Act. A Notice of Systems of Records is published 
elsewhere in this issue of the Federal Register.

DATES: This rule is effective April 30, 2001.

FOR FURTHER INFORMATION CONTACT: Christopher Kirkpatrick, 202-261-7619.

SUPPLEMENTARY INFORMATION: In the Federal Register of December 27, 2000 
(65 FR 81810), the Chemical Safety and Hazard Investigation Board 
published a proposed rule setting forth its proposed procedures for the 
implementation of the Privacy Act of 1974. The proposed rule provided 
for a 30-day comment period. No comments were received in response to 
the proposed rule and invitation for comments. This final rule is 
unchanged from the proposed rule.
    The Chemical Safety and Hazard Investigation Board is concurrently 
publishing a Notice of Systems of Records in the Notices section of 
this issue of the Federal Register.
    These regulations implement the Privacy Act of 1974, 5 U.S.C. 552a. 
The Board adopts the following set of regulations to discharge its 
responsibilities under the Privacy Act. The Privacy Act establishes: 
Basic procedures for individuals' access to all records in systems of 
records maintained by the Chemical Safety and Hazard Investigation 
Board (``CSB'' or ``Board'') that are retrieved by an

[[Page 17080]]

individual's name or personal identifier. These regulations 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 CSB.

Regulatory Flexibility Act

    The Board, in accordance with the Regulatory Flexibility Act, 5 
U.S.C. 605(b), has reviewed this regulation and by approving it 
certifies that this regulation will not have a significant economic 
impact on a substantial number of small entities.

Unfunded Mandates Reform Act of 1995

    This regulation 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 it will not significantly or 
uniquely affect small governments. Therefore, the Board did not deem 
any action necessary under the provisions of the Unfunded Mandates 
Reform Act of 1995, Pub. L. 104-4, 109 Stat. 48.

    Dated: March 21, 2001.
Christopher W. Warner,
General Counsel.

List of Subjects in 40 CFR Part 1602

    Administrative practice and procedure, Privacy.


    For the reasons set forth in the preamble, the Chemical Safety and 
Hazard Investigation Board adds a new 40 CFR Part 1602 to read as 
follows:

PART 1602---PROTECTION OF PRIVACY AND ACCESS TO INDIVIDUAL RECORDS 
UNDER THE PRIVACY ACT OF 1974

Sec.
1602.1  General provisions.
1602.2  Requests for access to records.
1602.3  Responsibility for responding to requests for access to 
records.
1602.4  Responses to requests for access to records.
1602.5  Appeals from denials of requests for access to records.
1602.6  Requests for amendment or correction of records.
1602.7  Requests for accountings of record disclosures.
1602.8  Preservation of records.
1602.9  Fees.
1602.10  Notice of court-ordered and emergency disclosures.

    Authority: 5 U.S.C. 552a, 553; 42 U.S.C. 7412 et seq.


Sec. 1602.1  General provisions.

    (a) Purpose and scope. This part contains the rules that the 
Chemical Safety and Hazard Investigation Board (``CSB'' or ``Board'') 
follows under the Privacy Act of 1974, 5 U.S.C. 552a. These rules 
should be read together with the Privacy Act, which provides additional 
information about records maintained on individuals. The rules in this 
part apply to all records in systems of records maintained by the CSB 
that are retrieved by an individual's name or 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 CSB. In addition, the CSB processes all Privacy Act requests for 
access to records under the Freedom of Information Act (FOIA), 5 U.S.C. 
552, following the rules contained in part 1601 of this chapter, which 
gives requests the benefit of both statutes.
    (b) Definitions. As used in this part:
    Requester means an individual who makes a request for access, a 
request for amendment or correction, or a request for an accounting 
under the Privacy Act.
    Request for access to a record means a request made as described in 
subsection (d)(1) of the Privacy Act, 5 U.S.C. 552a.
    Request for amendment or correction of a record means a request 
made as described in subsection (d)(2) of the Privacy Act, 5 U.S.C. 
552a.
    Request for an accounting means a request made as described in 
subsection (c)(3) of the Privacy Act, 5 U.S.C. 552a.


Sec. 1602.2  Requests for access to records.

    (a) How made and addressed. You may make a request for access to a 
CSB record about yourself by appearing in person or by writing to the 
CSB. Your request should be sent or delivered to the CSB's General 
Counsel, at 2175 K Street, NW., 4th Floor, Washington, DC 20037. For 
the quickest possible handling, you should mark both your request 
letter and the envelope ``Privacy Act Request.''
    (b) Description of records sought. You must describe the records 
that you want in enough detail to enable CSB personnel to locate the 
system of records containing them with a reasonable amount of effort. 
Whenever possible, your request should describe the records sought, the 
time periods in which you believe they were compiled, and the name or 
identifying number of each system of records in which you believe they 
are kept. The CSB publishes notices in the Federal Register that 
describe its systems of records. A description of the CSB's systems of 
records also may be found as part of the ``Privacy Act Compilation'' 
published by the National Archives and Records Administration's Office 
of the Federal Register. This compilation is available in most large 
reference and university libraries. This compilation also can be 
accessed electronically at the Government Printing Office's World Wide 
Web site (which can be found at http://www.access.gpo.gov/su_docs).
    (c) Agreement to pay fees. If you make a Privacy Act request for 
access to records, it shall be considered an agreement by you to pay 
all applicable fees charged under Sec. 1602.9 up to $25.00. The CSB 
ordinarily will confirm this agreement in an acknowledgment letter. 
When making a request, you may specify a willingness to pay a greater 
or lesser amount.
    (d) Verification of identity. When you make a request for access to 
records about yourself, you must verify your identity. You must state 
your full name, current address, and date and place of birth. You must 
sign your request and your signature must either be notarized or 
submitted by you under 28 U.S.C. 1746, a law that 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, you 
may also, at your option, include your social security number.
    (e) Verification of guardianship. When making a request as the 
parent or guardian of a minor or as the guardian of someone determined 
by a court to be incompetent, for access to records about that 
individual, you must establish:
    (1) The identity of the individual who is the subject of the 
record, by stating the name, current address, date and place of birth, 
and, at your option, the social security number of the individual;
    (2) Your own identity, as required in paragraph (d) of this 
section;
    (3) That you are the parent or guardian of that individual, which 
you may prove by providing a copy of the individual's birth certificate 
showing your parentage or by providing a court order establishing your 
guardianship; and
    (4) That you are acting on behalf of that individual in making the 
request.


Sec. 1602.3  Responsibility for responding to requests for access to 
records.

    (a) In general. In determining which records are responsive to a 
request, the CSB ordinarily will include only those records in its 
possession as of the date the CSB begins its search for them. If any 
other date is used, the CSB will inform the requester of that date.
    (b) Authority to grant or deny requests. The CSB's General Counsel, 
or

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his/her designee, is authorized to grant or deny any request for access 
to a record of the CSB.
    (c) Consultations and referrals. When the CSB receives a request 
for access to a record in its possession, it will determine whether 
another agency of the Federal Government is better able to determine 
whether the record is exempt from access under the Privacy Act. If the 
CSB determines that it is best able to process the record in response 
to the request, then it will do so. If the CSB determines that it is 
not best able to process the record, then it will either:
    (1) Respond to the request regarding that record, after consulting 
with the agency best able to determine whether the record is exempt 
from access and with any other agency that has a substantial interest 
in it; or
    (2) Refer the responsibility for responding to the request 
regarding that record to another agency that originated the record (but 
only if that agency is subject to the Privacy Act). Ordinarily, the 
agency that originated a record will be presumed to be best able to 
determine whether it is exempt from access.
    (d) Notice of referral. Whenever the CSB refers all or any part of 
the responsibility for responding to your request to another agency, it 
ordinarily will notify you of the referral and inform you of the name 
of each agency to which the request has been referred and of the part 
of the request that has been referred.
    (e) Timing of responses to consultations and referrals. All 
consultations and referrals shall be handled according to the date the 
Privacy Act access request was initially received by the CSB, not any 
later date.


Sec. 1602.4  Responses to requests for access to records.

    (a) Acknowledgments of requests. On receipt of your request, the 
CSB ordinarily will send an acknowledgment letter, which shall confirm 
your agreement to pay fees under Sec. 1602.2(c) and may provide an 
assigned request number for further reference.
    (b) Grants of requests for access. Once the CSB makes a 
determination to grant your request for access in whole or in part, it 
will notify you in writing. The CSB will inform you in the notice of 
any fee charged under Sec. 1602.9 and will disclose records to you 
promptly on payment of any applicable fee. If your request is made in 
person, the CSB may disclose records to you directly, in a manner not 
unreasonably disruptive of its operations, on payment of any applicable 
fee and with a written record made of the grant of the request. If you 
are accompanied by another person when you make a request in person, 
you shall be required to authorize in writing any discussion of the 
records in the presence of the other person.
    (c) Adverse determinations of requests for access. If the CSB makes 
an adverse determination denying your request for access in any 
respect, it will notify you of that determination in writing. Adverse 
determinations, or denials of requests, consist of: a determination to 
withhold any requested record in whole or in part; a determination that 
a requested record does not exist or cannot be located; a determination 
that what has been requested is not a record subject to the Privacy 
Act; a determination on any disputed fee matter; and a denial of a 
request for expedited treatment. The notification letter shall be 
signed by the General Counsel, or his/her designee, and shall include:
    (1) The name and title or position of the person responsible for 
the denial;
    (2) A brief statement of the reason(s) for the denial, including 
any Privacy Act exemption(s) applied by the CSB in denying the request; 
and
    (3) A statement that the denial may be appealed under 
Sec. 1602.5(a) and a description of the requirements of Sec. 1602.5(a).


Sec. 1602.5  Appeals from denials of requests for access to records.

    (a) Appeals. If you are dissatisfied with the CSB's response to 
your request for access to records, you may appeal an adverse 
determination denying your request in any respect to the Privacy Act 
Appeals Officer of the CSB, 2175 K Street, NW., Suite 400, Washington, 
DC 20037. You must make your appeal in writing, and it must be received 
within 60 days of the date of the letter denying your request. Your 
appeal letter may include as much or as little related information as 
you wish, as long as it clearly identifies the determination (including 
the assigned request number, if any) that you are appealing. For the 
quickest possible handling, you should mark both your appeal letter and 
the envelope ``Privacy Act Appeal.''
    (b) Responses to appeals. The decision on your appeal will be made 
in writing. A decision affirming an adverse determination in whole or 
in part will include a brief statement of the reason(s) for the 
affirmance, including any Privacy Act exemption applied, and will 
inform you of the Privacy Act provisions for court review of the 
decision. If the adverse determination is reversed or modified on 
appeal in whole or in part, you will be notified in a written decision 
and your request will be reprocessed in accordance with that appeal 
decision.
    (c) When appeal is required. If you wish to seek review by a court 
of any adverse determination or denial of a request, you must first 
appeal it under this section.


Sec. 1602.6  Requests for amendment or correction of records.

    (a) How made and addressed. You may make a request for amendment or 
correction of a CSB record about yourself by following the procedures 
in Sec. 1602.2. Your request should identify each particular record in 
question, state the amendment or correction that you want, and state 
why you believe that the record is not accurate, relevant, timely, or 
complete. You may submit any documentation that you think would be 
helpful.
    (b) CSB responses. Within ten working days of receiving your 
request for amendment or correction of records, the CSB will send you a 
written acknowledgment of its receipt of your request, and it will 
promptly notify you whether your request is granted or denied. If the 
CSB grants your request in whole or in part, it will describe the 
amendment or correction made and advise you of your right to obtain a 
copy of the corrected or amended record. If the CSB denies your request 
in whole or in part, it will send you a letter stating:
    (1) The reason(s) for the denial; and
    (2) The procedure for appeal of the denial under paragraph (c) of 
this section, including the name and business address of the official 
who will act on your appeal.
    (c) Appeals. You may appeal a denial of a request for amendment or 
correction in the same manner as a denial of a request for access to 
records (see Sec. 1602.5), and the same procedures will be followed. If 
your appeal is denied, you will be advised of your right to file a 
Statement of Disagreement as described in paragraph (d) of this section 
and of your right under the Privacy Act for court review of the 
decision.
    (d) Statements of Disagreement. If your appeal under this section 
is denied in whole or in part, you have the right to file a Statement 
of Disagreement that states your reason(s) for disagreeing with the 
CSB's denial of your request for amendment or correction. Statements of 
Disagreement must be concise, must clearly identify each part of any 
record that is disputed, and should be no longer than one typed page 
for each fact disputed. Your Statement of Disagreement must be sent to 
the CSB, which will place it in the system of records in which the 
disputed record is

[[Page 17082]]

maintained and will mark the disputed record to indicate that a 
Statement of Disagreement has been filed and where in the system of 
records it may be found.
    (e) Notification of amendment/correction or disagreement. Within 30 
working days of the amendment or correction of a record, the CSB shall 
notify all persons, organizations, or agencies to which it previously 
disclosed the record, if an accounting of that disclosure was made, 
that the record has been amended or corrected. If an individual has 
filed a Statement of Disagreement, the CSB will attach a copy of it to 
the disputed record whenever the record is disclosed and may also 
attach a concise statement of its reason(s) for denying the request to 
amend or correct the record.


Sec. 1602.7  Requests for an accounting of record disclosures.

    (a) How made and addressed. Except where accountings of disclosures 
are not required to be kept (as stated in paragraph (b) of this 
section), you may make a request for an accounting of any disclosure 
that has been made by the CSB to another person, organization, or 
agency of any record about you. This accounting contains the date, 
nature, and purpose of each disclosure, as well as the name and address 
of the person, organization, or agency to which the disclosure was 
made. Your request for an accounting should identify each particular 
record in question and should be made by writing to the CSB, following 
the procedures in Sec. 1602.2.
    (b) Where accountings are not required. The CSB is not required to 
provide accountings to you where they relate to disclosures for which 
accountings are not required to be kept---in other words, disclosures 
that are made to employees within the agency and disclosures that are 
made under the FOIA.
    (c) Appeals. You may appeal a denial of a request for an accounting 
to the CSB Appeals Officer in the same manner as a denial of a request 
for access to records (see Sec. 1602.5) and the same procedures will be 
followed.


Sec. 1602.8  Preservation of records.

    The CSB will preserve all correspondence pertaining to the requests 
that it receives under this part, as well as copies of all requested 
records, until disposition or destruction is authorized by Title 44 of 
the United States Code or the National Archives and Records 
Administration's General Records Schedule 14. Records will not be 
disposed of while they are the subject of a pending request, appeal, or 
lawsuit under the Privacy Act.


Sec. 1602.9  Fees.

    The CSB will charge fees for duplication of records under the 
Privacy Act in the same way in which it charges duplication fees under 
the FOIA (see part 1601, subpart D of this chapter). No search or 
review fee will be charged for any record.


Sec. 1602.10  Notice of court-ordered and emergency disclosures.

    (a) Court-ordered disclosures. When a record pertaining to an 
individual is required to be disclosed by a court order, the CSB will 
make reasonable efforts to provide notice of this to the individual. 
Notice will be given within a reasonable time after the CSB's receipt 
of the order--except that in a case in which the order is not a matter 
of public record, the notice will be given only after the order becomes 
public. This notice will be mailed to the individual's last known 
address and will contain a copy of the order and a description of the 
information disclosed.
    (b) Emergency disclosures. Upon disclosing a record pertaining to 
an individual made under compelling circumstances affecting health or 
safety, the CSB will notify that individual of the disclosure. This 
notice will be mailed to the individual's last known address and will 
state the nature of the information disclosed; the person, 
organization, or agency to which it was disclosed; the date of 
disclosure; and the compelling circumstances justifying the disclosure.
[FR Doc. 01-7669 Filed 3-28-01; 8:45 am]
BILLING CODE 6350-01-U