[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]
CONSUMER PRODUCT SAFETY COMMISSION
Table of Contents
CPSC-Accident Reports (In-Depth).
CPSC-2 Advisory Committee Records.
CPSC-3 Claims.
CPSC-5 Employee Biographies.
CPSC-6 Office of the Inspector General Investigative Files.
CPSC-7 Employee Discrimination Complaint and Investigation File.
CPSC-8 [Reserved]
CPSC-9 General Counsel Tracking System.
CPSC-10 [Reserved]
CPSC-11 Employee Motor Vehicle Operators and Accident Report
Records.
CPSC-12 Employee Outside Activity Notices.
CPSC-13 Personnel Data System.
CPSC-14 Corrective Actions Tracking System.
CPSC-15 Employee Relations Files.
CPSC-16 Employee Upward Mobility Counseling Files.
CPSC-17 Commissioned Officers Personal Data File.
CPSC-18 Job Applicant File.
CPSC-19 Labor-Management Relations File.
CPSC-20 Personnel Security File.
CPSC-21 Western Regional Center Outreach Tracking System.
CPSC-22 Management Information System.
CPSC-23 Health Unit Medical Records.
Appendix I--Regional Office Addresses
Appendix II--Pertinent Record Systems of Other Agencies
CPSC-1
System name: Accident Reports (In-Depth)--CPSC-1.
System location:
Consumer Product Safety Commission, Directorate for Epidemiology, 5401
Westbard Avenue, Washington, DC 20207
Categories of individuals covered by the system:
Victims of Consumer product-related injuries on which specific
epidemiologic data is needed in order to analyze and correct product
hazards.
Categories of records in the system:
This record contains demographic data on an injured person, location
of accident, data on injury, product and manufacturer identification,
and a narrative description of the accident.
Authority for maintenance of the system:
Consumer Product Safety Act, section 5 (15 U.S.C. 2054).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records are used as a compilation of statistical information on
product-related injuries to support CPSC staff work in analysing the
incidence and severity of product related injuries and to respond to
Congressional inquiries and requests for information from private
individuals and private and public organizations.
Disclosure may be made to a congressional office from the record of an
individual in response to an inquiry from the congressional office
made at the request of that individual.
Records may be provided to another Federal, State or local agency or
authority engaged in activities relating to health, safety or consumer
protection in accordance with section 29(e) of the Consumer Product
Safety Act, as amended (Pub. L. 92-573, as amended by Pub. L. 94-284,
15 U.S.C. 2078(e)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on magnetic data bank disk. The original hard
copy of the investigation report is maintained by the National Injury
Information Clearinghouse, Directorate for Epidemiology in file
folders.
Retrievability:
Records are retrievable by a coded number which indicates the date of
assignment of the investigation, the Commission unit requesting the
report, the product involved and a sequential number assigned to the
investigation.
Safeguards:
Confidentiality of the name of the accident victim and attending
physician are guaranteed by the Consumer Product Safety Act, section
25(c) (15 U.S.C. 2074(c)) and, therefore, names do not appear in the
record and are not used for retrieval.
Retention and disposal:
Records are maintained for a period of 10 years subject to change in
Commission policy. Disposal is by normal methods.
System manager(s) and address:
Director, Division of Hazard and Injury Data Systems, Directorate for
Epidemiology, Consumer Product Safety Commission, 5401 Westbard
Avenue, Washington, DC 20207.
Systems exempted from certain provisions of the act:
This system of records is subject to the specific exemption provided
for in 5 U.S.C. 552a(k)(4) and is therefore exempt from subsections
(c)(3), (d) (2) and (3), (e)(1), (e)(4)(G), (H) and (I) and (f) of
section 552a. The data is required to be maintained by 15 U.S.C. 2054
and is used solely as statistical records.
CPSC-2
System name: Advisory Committee Records--CPSC-2.
System location:
Consumer Product Safety Commission, Directorate for Health Sciences,
5401 Westbard Avenue, Washington, DC 20207.
Categories of individuals covered by the system:
Individuals seeking or nominated for or selected for membership of
CPSC Advisory Committees.
Categories of records in the system:
Records of applicants contain an individual's name, address, personal
history and qualifications, any correspondence with the individual and
any Commission memoranda relating to the selection of the individual.
Records of members additionally contain information about the member's
financial compensation and Commission documents relating to the
individual's service as a member.
Authority for maintenance of the system:
15 U.S.C. 2077 and 15 U.S.C. 1275.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records are used to select candidates for filling vacancies on
advisory committees and to administer the operation of the committees.
Disclosure may be made to a congressional office from the record of an
individual in response to an inquiry from the congressional office
made at the request of that individual.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C.
552a(b)(12), disclosures may be made to a consumer reporting agency as
defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the
Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in hard copy.
Retrievability:
Records are indexed alphabetically by name of committee and then by
name of applicant or member.
Safeguards:
Records are maintained in file cabinets in a secured area.
Retention and disposal:
Applicants' and nominees' records are retained until new applications
are solicited or committee is terminated and then destroyed. Members'
records are retained for 2 years after termination of membership and
then destroyed.
System manager(s) and address:
Committee Management Officer, Directorate for Health Sciences,
Consumer Product Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information is provided by applicants, nominees for, and members of
Advisory Committees and by Commission staff.
CPSC-3
System name: Claims--CPSC-3.
System location:
Consumer Product Safety Commission, Division of Personnel Management,
5401 Westbard Avenue, Washington, DC 20207.
Categories of individuals covered by the system:
CPSC employees sustaining personal property damage or loss incident to
service; CPSC employees involved in situations where personal injury
or property damage to others results from wrongful or negligent act or
omission of employee acting within scope of employment; claimants
sustaining injury or property damage due to activities of CPSC or its
employees.
Categories of records in the system:
These records contain claims for money damages, accident and
investigative reports, and correspondence and other documents
concerning claims.
Authority for maintenance of the system:
31 U.S.C. 240-243; 28 U.S.C. 1346(b), 2672.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(a) For processing claims and litigation under the Federal Tort Claims
Act or the Military Personnel and Civilian Employee's Claims Act; (b)
For preparation of reports.
Disclosure may be made to a congressional office from the record of an
individual in response to an inquiry from the congressional office
made at the request of that individual.
Information from a record in this system of records may be disclosed
to a person or entity having a legal interest in the claim.
Information may be disclosed to Federal, state, or local law
authorities, court authorities, administrative authorities, for use in
connection with civil, criminal, administrative, and regulatory
proceedings and actions relating to the claim.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in hard copy.
Retrievability:
Records are indexed alphabetically by name of individual claimant.
Safeguards:
Records are maintained in combination lock metal file cabinet in a
secured area. Access to such area is limited to those persons whose
official duties require such access.
Retention and disposal:
Records are retained up to six years after case is closed. Disposal is
by normal procedures.
System manager(s) and address:
Chief, Labor and Employee Relations Branch, Division of Personnel
Management, Consumer Product Safety Commission, 5401 Westbard Avenue,
Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information is provided (1) the individual to whom the record pertains
(2) CPSC and/or its employees (3) affidavits, statements, or testimony
of witnesses (4) official documents relating to claim (5)
correspondence from organizations or persons involved.
CPSC-5
System name: Employee Biographies--CPSC-5.
System location:
Consumer Product Safety Commission, Office of Public Affairs, 5401
Westbard Avenue, Washington, DC 20207.
Categories of individuals covered by the system:
CPSC employees who have submitted biographical information.
Categories of records in the system:
This record contains a brief statement of information relating to
educational and professional background and present position and
responsibilities within the Commission.
Authority for maintenance of the system:
Consumer Product Safety Act (15 U.S.C. 2051-83).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
This information is furnished to the public media in connection with
employee activities and employee participation in conferences,
meetings and other functions.
Disclosure may be made to a congressional office from the record of an
individual in response to an inquiry from the congressional office
made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in hard copy.
Retrievability:
Records are indexed alphabetically by name of employee.
Safeguards:
Records are maintained in locked file cabinets in secured areas.
Retention and disposal:
Records are maintained until employee terminates employment at agency.
Disposal is by normal methods.
System manager(s) and address:
Director, Office of Public Affairs, Consumer Product Safety
Commission, 5401 Westbard Avenue, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in this record is furnished by the employees to whom it
pertains.
CPSC-6
System name: Office of the Inspector General Investigative
Files--CPSC-6.
System location:
Office of the Inspector General Consumer Product Safety Commission,
5401 Westbard Avenue, Washington, DC 20207.
Categories of individuals covered by the system:
Individuals who are or have been the subject of an Office of the
Inspector General investigation relating to the programs and
operations of the Commission including, but not limited to, current
and former employees, contractor or subcontractor personnel, as well
as other individuals whose actions affect the Commission, its
programs, or its operations.
Categories of records in the system:
All records relevant to an Inspector General investigation including
correspondence; internal staff memoranda; copies of subpoenas issued
during the investigation; affidavits, statements from witnesses,
transcripts of any testimony taken in the investigation and
accompanying exhibits; documents and records obtained during the
investigation; interview notes and working papers of the Office of the
Inspector General's staff; opening reports, progress reports, and
final reports containing findings and recommendations of appropriate
action; and other investigatory information or data relating to
alleged or suspected criminal, civil, or administrative violations or
similar wrongdoing by subject individuals.
Authority for maintenance of the system:
Inspector General Act of 1978, as amended, 5 U.S.C. App.
Purpose(s):
This system is maintained for the purposes of conducting and
documenting investigations conducted by the Office of the Inspector
General, or other investigative agencies assisting the Office of the
Inspector General, regarding CPSC personnel, programs, and operations;
documenting the outcome of Inspector General reviews of allegations
and complaints received by the Office of the Inspector General
concerning CPSC personnel, programs, and operations; aiding in the
prosecution or imposition of criminal, civil, or administrative
sanctions against subjects of Inspector General investigations;
reporting the results of investigations to the Chairman of the
Commission and CPSC managers for their use in operating and evaluating
their programs; and compiling information necessary to fulfill any
reporting requirements by the Inspector General Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in the system may be disclosed:
(1) To an appropriate governmental agency, whether federal, state, or
local, where there is an indication of a violation or a potential
violation of law, regulation, or order, whether civil or criminal in
nature, which that agency is charged with investigating or enforcing.
(2) To Federal, state, or local governmental authorities in order to
obtain information or records relevant to an Inspector General
investigation.
(3) To Federal, state or local governmental authorities maintaining
civil, criminal, or other relevant information, such as current
licenses, to obtain information relevant to a Commission decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the award of a contract, or the issuance of a
grant or other benefit.
(4) To Federal, state, or local governmental authorities in response
to their request in connection with the hiring or retention of an
employee, disciplinary or other administrative action concerning an
employee, the issuance of a security clearance, the reporting of an
investigation of an employee, the award of a contract, or the issuance
of a license, grant, or other benefit, to the extent that the
information is relevant and necessary to the requesting agency's
decision in the matter.
(5) To non-governmental parties where those parties may have
information the Office of the Inspector General seeks to obtain in
connection with an investigation.
(6) To independent auditors or other private firms with which the
Office of the Inspector General has contracted to carry out an
independent audit or investigation, or to collate, aggregate, or
otherwise refine data collected in the system of records. These
contractors will be required to maintain Privacy Act safeguards with
respect to such records.
(7) To the Office of the General Counsel of the Commission, the
Department of Justice, or other law enforcement authorities, for
disclosure by such parties to extent relevant and necessary, when the
defendant in litigation is:
(a) The Commission, any component of the Commission, or any employee
of the Commission acting in his or her official capacity;
(b) The United States where the litigation, if successful, is likely
to affect the operations of the Commission; or
(c) Any Commission employee sued in his or her individual capacity
where the Department of Justice and/or the Office of the General
Counsel of the Commission agree to represent such employee.
(8) To a court or adjudicative body where the Commission is a party to
the litigation or has in interest in such litigation, the records are
relevant and necessary to the litigation, and disclosure of the
records is compatible with the purpose for which the records were
collected.
(9) To a Congressional office from the record of an individual in
response to an inquiry from the Congressional office made at the
request of that individual, but only to the extent the record would be
legally accessible to that individual.
(10) To other Commission employees in the course of employee
disciplinary proceedings.
(11) To debt collection agencies for the purpose of collecting
delinquent debts owned to the Commission, as authorized by the Debt
Collection Act (31 U.S.C. 3718), and subject to applicable Privacy Act
safeguards.
(12) To the Office of Personnel Management, the Office of Government
Ethics, the Merit Systems Protection Board, the Office of the Special
Counsel, the Equal Employment Opportunity Commission, or the Federal
Labor Relations Authority or its General Counsel, those records or
portions thereof which are relevant and necessary to carrying out
their authorized functions.
(13) To any direct recipient of federal funds, such as a contractor,
where information in a record reflects serious inadequacies by the
recipient's personnel and disclosure of the record is for purpose of
permitting the recipient to take corrective action beneficial to the
Government.
(14) To a grand jury pursuant either to a federal or state grand jury
subpoena, or to a prosecution request that such record be released for
the purpose of its introduction to a grand jury, where the supoena or
request has been specifically approved by a court.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C.
552a(b)(12), disclosure may be made to a consumer reporting agency as
defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the
Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in hard copy, on computer diskettes, and in a
multiuser computer system.
Retrievability:
The records are retrieved by the name of the subject of the
investigation or by a unique control number assigned to each
investigation.
Safeguards:
These records are available only to those persons whose official
duties require such access. Paper records and computer diskettes are
kept in limited access areas during duty hours and in safe-type file
cabinets in locked offices at all other times. Highly sensitive
records are created on a typewriter, or a stand-alone word processor
without permanent internal storage, and are stored on paper or
diskettes. Less sensitive records may be created and stored in
password protected computer files.
Retention and disposal:
The Investigative Files are kept indefinitely.
System manager(s) and address:
Inspector General, Office of Inspector General, Consumer Product
Safety Commission, 5401 Westbard Avenue, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information is supplied by: Individuals including, where practicable,
those to whom the information relates; witnesses, corporations and
other entities; records of individual and of the Commission; records
of other entities such as federal, foreign, state or local bodies and
law enforcement agencies; documents; correspondence relating to
litigation; transcripts of testimony; and miscellaneous other sources.
Systems exempted from certain provisions of the act:
All portions of this system of records which fall within 5 U.S.C.
552a(k)(2) (investigatory materials compiled for law enforcement
purposes) and 5 U.S.C. 552a(k)(5) (investigatory materials solely
compiled for suitability determinations) are exempt from 5 U.S.C.
552a(c)(3), (mandatory accounting of disclosures); 5 U.S.C. 552a(d),
(access by individual to records that pertain to them); 5 U.S.C.
552a(e)(1), (requirement to maintain only such information as is
relevant and necessary to accomplish an authorized agency purpose); 5
U.S.C. 552a(e)(4)(G), (mandatory procedures to nofity individual of
the existence of records pertaining to them); 5 U.S.C. 552a(e)(4)(H),
(mandatory procedures to notify individuals how they can obtain access
to and contest records pertaining to the); 5 U.S.C. 552a(e)(4)(I),
(mandatory disclosure of record source categories); and the
Commission's regulations in 16 CFR part 1014 which implement these
statutory provisions.
CPSC-7
System name: Employee Discrimination Complaint and Investigation
File--CPSC-7.
System location:
Consumer Product Safety Commission, Office of Equal Employment
Opportunity and Minority Enterprise (OEEOME), 5401 Westbard Avenue,
Washington, DC 20207.
Categories of individuals covered by the system:
Commission employees and applicants for employment who have filed
complaints of discrimination based on race, color, religion, sex,
national origin or age.
Categories of records in the system:
This record contains information pertaining to the complainant, any
alleged discriminatory official, and others having a relationship to
the complaint.
Authority for maintenance of the system:
29 CFR part 1613.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records is used or a record may be used for: (1)
Review by the assigned EEO Investigator (2) review by the Director,
Office of Equal Employment Opportunity and Minority Enterprise (3)
referral to Office of General Counsel for legal analysis and action.
Disclosure may be made to a congressional office from the record of an
individual in response to an inquiry from the congressional office
made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in hard copy.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in locked file cabinets in secured areas.
Retention and disposal:
Records are retained indefinitely. Disposal is by normal procedures.
System manager(s) and address:
Director, Office of Equal Employment Opportunity and Minority
Enterprise, Consumer Product Safety Commission, 5401 Westbard Avenue,
Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in this file is furnished by supervisors, co-workers and
others who are involved in the complaint or have information
pertaining thereto.
CPSC-8 [Reserved]
CPSC--9
System name: General Counsel Tracking System--CPSC-9.
System location:
Office of the General Counsel, Consumer Product Safety Commission,
5401 Westbard Avenue, Washington, DC 20207.
Categories of individuals covered by the system:
Attorneys working in the Office of the General Counsel.
Categories of records in the system:
Descriptions and dates of assignments; comments; starting and
completion dates; due dates; names of attorneys to whom assignments
are given; names of divisions within the Office of the General
Counsel.
Authority for maintenance of the system:
44 U.S.C. 3101; Consumer Product Safety Act, 15 U.S.C. 2051 et seq.;
16 CFR 1000.14.
Purpose(s):
To manage the workflow in the Office of the General Counsel; to assure
timely completion of assignments; to respond to queries from other
units of the Consumer Product Safety Commission; to assist in
evaluating attorney performance.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained by a computer database management system. Hard
copy printouts of selected groups of records are made from time to
time.
Retrievability:
Records are retrievable by any field, including attorney name.
Safeguards:
Access to the records, and to fields within the records, is controlled
by passwords. Records are accessible by all Office of the General
Counsel staff, but not by others. Only supervisory staff may create
records, assign or extend due dates, or enter completion dates.
Retention and disposal:
Old records are purged from time to time, based on need for computer
storage space.
System manager(s) and address:
General Counsel, Consumer Product Safety Commission, Washington, DC
20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consummer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in these records is supplied by the attorneys themselves
and by supervisors.
CPSC-10 [Reserved]
CPSC-11
System name: Employee Motor Vehicle Operators and Accident
Report Records--CPSC-11.
System location:
Consumer Product Safety Commission, Division of Management Services,
5401 Westbard Avenue, Washington, DC 20207.
Categories of individuals covered by the system:
Employees of the Commission who (1) hold Government motor vehicle
operator's permit and who regularly operate vehicles (2) are involved
in automobile accidents.
Categories of records in the system:
This record contains data on employees issued a Government motor
vehicle operator's permit, and reports, correspondence and fiscal
documents concerning employees involved in automobile accidents.
Authority for maintenance of the system:
Consumer Product Safety Act (15 U.S.C. 2051-2081) and 28 U.S.C. Chap.
171.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records are used as indicated below:
(1) To identify those CPSC employees authorized to operate Government-
owned or Government-leased vehicles.
(2) For use by the Office of General Counsel in connection with claims
litigation.
(3) To refer, where there is an indication of a violation or potential
violation of law, whether civil, criminal, or regulatory in nature, to
the appropriate agency, whether Federal, State, or local 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.
(4) To request information from a Federal, State, or local agency
maintaining civil, criminal, or other relevant information to an
agency decision concerning the hiring or retention of an employee, the
issuance of a security clearance, or the issuance of a license, grant,
or other benefit.
(5) To provide information or disclose to a Federal Agency, in
response to its request, in connection with the hiring or retention of
an employee, or issuance of a license, grant, or other benefit by the
requesting agency to the extent that the information is relevant and
necessary to the requesting agency's decision on that matter.
Disclosure may be made to a congressional office from the record of an
individual in response to an inquiry from the congressional office
made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in hard copy.
Retrievability:
Records are indexed by employee name.
Safeguards:
Records are maintained in a secured area.
Retention and disposal:
Records on driver's permits are retained for one year after employee
is terminated. Records on automobile accidents are retained for two
years after accident. Disposal is by normal procedures.
System manager(s) and address:
Director, Division of Management Services, Consumer Product Safety
Commission, 5401 Westbard Avenue, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
The information in this record is furnished by the employee.
Information on accidents is furnished by the employee and witnesses to
the accident.
CPSC-12
System name: Employee Outside Activity Notices--CPSC-12.
System location:
Consumer Product Safety Commission, Ethics Counselor, Deputy General
Counsel, 5401 Westbard Avenue, Washington, DC 20207.
Categories of individuals covered by the system:
Commission employees carrying on outside activities such as
consultative services, practice of law, or teaching.
Categories of records in the system:
This system of records contains information concerning the employee's
position, nature of outside activity, relation of official duties to
activity, and method of compensation for outside activity.
Authority for maintenance of the system:
Executive Order 11222.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records is used by the Ethics Counselor in making
a determination as to whether an employee's outside activity
constitutes a real or apparent conflict of interest.
Disclosure may be made to a congressional office from the record of an
individual in response to an inquiry from the congressional office
made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on hard copy.
Retrievability:
Records are indexed by employee name.
Safeguards:
Records are maintained in locked file cabinets.
Retention and disposal:
Records are maintained until employee terminates employment with
agency. Disposal is by normal procedures.
System manager(s) and address:
Ethics Counselor, Deputy General Counsel, Consumer Product Safety
Commission, 5401 Westbard Avenue, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
The information in these records is furnished by the employees to whom
it pertains.
CPSC-13
System name: Personnel Data System--CPSC-13.
System location:
Consumer Product Safety Commission, Associate Executive Director for
Administration, 5401 Westbard Avenue, Washington, DC 20207, and the
Headquarters unit or Regional Office to which an employee is assigned.
Regional Office addresses are listed in appendix I.
Categories of individuals covered by the system:
Employees and former employees of CPSC.
Categories of records in the system:
Records consist of payroll records, personnel security records, safety
records, EEO records, and personnel records. In addition, the system
contains data necessary to update the Central Personnel Data File at
the Office of Personnel Management, to process personnel actions, to
perform detailed accounting distributions, to automatically provide
for such tasks as mailing checks and bonds, and to prepare and mail
tax returns and reports. Records include, but are not limited to the
following categories of records:
1. Employee identification and status data such as name, social
security number, date of birth, sex, work schedule, type of
appointment, education, veteran's preference, military service, and
race/national origin.
2. Relevant data such as service computation date for leave, date
probationary period began, and date of performance rating.
3. Position and pay data such as pay plan, occupational series, grade,
step, salary, merit pay, organization location.
4. Employment data such as merit pool identifier, position
description, special employment program, and target occupational
series and grade.
5. Payroll data such as time; attendance; leave; Federal, State, and
local tax; allotments; savings bonds; and other pay allowances and
deductions.
6. Personnel security data such as security clearance level and basis
with dates.
7. Financial data pertaining to travel.
8. Information on debts owed to the government as a result of
overpayment, refund owed, or a debt referred for collection by another
agency.
Authority for maintenance of the system:
5 U.S.C., Part III, is the authority for the overall system. Specific
authority for use of Social Security numbers is contained in Executive
Order 9397, 26 CFR 31.6011(b)(2), and 26 CFR 31.6109-1. The authority
for the personnel security clearance and statistical records is
contained in Executive Order 19450, April 27, 1953, as amended;
Executive Order 12065, June 28, 1978; 31 U.S.C. 686; and 40 U.S.C.
318(a) through (d).
Purpose(s):
This system supports the day to day operating requirements associated
with personnel oriented program areas from hiring employees and paying
employees to calculating estimated retirement annuities. Payroll-
related outputs include a comprehensive payroll; detailed accounting
distribution of costs; leave data summary reports; an employee's
statement of earnings, deductions and leave every payday for each
employee; State, city, and local unemployment compensation reports;
Federal, State, and local tax reports; W-2 wage and tax statements;
and reports of withholdings and contributions. Personnel-related
reports include automated personnel actions as well as organization
rosters, retention registers, retirement calculations, reports of the
Federal civilian employment, employee master record printouts, length
of service lists, and listings of within-grade increases. These
records are used to provide data for agency reports and internal
workforce statistics and information regarding such matters as average
grade, minority, veteran and handicap employment, retention-standing,
within-grade due dates, occupational groupings, geographic employment
and others related to the operation of the personnel office.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine uses of records maintained in the system include:
a. Providing data to the Office of Personnel Management's Central
Personnel Data File (CPDF).
b. Providing a copy of an employee's Department of the Treasury Form
W-2, Wage and Tax Statement, 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, and 5520.
c. Pursuant to a withholding agreement between a city and the
Department of the Treasury (5 U.S.C. 5520), copies of executed tax
withholding certificates shall be furnished the city in response to a
written request from an appropriate city official to the Assistant
Administrator for Plans, Programs, and Financial Management, General
Services Administration (B), Washington, DC 20405.
d. To the extent necessary, records are available to Commission and
outside government agencies to monitor and document grievance
proceedings, EEO complaints, and adverse actions; and to provide
reference to other agencies and persons for employees seeking
employment elsewhere.
e. Some records or data elements in this system of records may also be
in the Office of Personnel Management's government-wide system OPM/
GOVT-1 and are subject to that system's routine uses.
Disclosure to consumer reporting agencies:
Disclosure pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C.
552a(b)(12), disclosures may be made to a consumer reporting agency as
defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the
Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored on paper in file folders and on computer magnetic
media.
Retrievability:
Paper records are filed by name. Computer records are retrievable by
any data element or combination of data elements.
Safeguards:
Paper records are stored in lockable metal cabinets or in secured
rooms. Password system protects access to the computerized records.
Information is released only to authorized officials on a need-to know
basis.
Retention and disposal:
Payroll-related records are sent to storage 2 years after the end of
the fiscal year to which they pertain.
Personnel-related records are disposed of 2 years after termination of
employment.
System manager(s) and address:
For payroll-related records: Director, Division of Financial and
Management Services, Consumer Product Safety Commission, 5401 Westbard
Avenue, Washington, DC 20207.
For personnel-related records: Chief, Employment Branch, Division of
Personnel Management, Consumer Product Safety Commission, 5401
Westbard Avenue, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
The individuals themselves, other employees, supervisors, other
agencies' management officials, non-Federal sources such as private
firms, and data from the systems of records OPM/GOVT-1 and EEOC/GOVT-
1.
CPSC--14
System name: Corrective Actions Tracking System--CPSC--14.
System location:
Division of Corrective Actions, Directorate for Compliance and
Administrative Litigation, Consumer Product Safety Commission, 5401
Westbard Avenue, Washington, DC 20207.
Categories of individuals covered by the system:
CPSC Compliance officers and CPSC attorneys in the Directorate for
Compliance and Administrative Litigation.
Categories of records in the system:
There are two types of records in the system. The first type of record
includes various kinds of abbreviated descriptive and status
information about samples of consumer products collected as potential
evidence of substantial product hazards. This kind of record
identifies the compliance officer responsible for the sample, the name
of the product, and the manufacturer of the sample.
The second type of record includes management information about
investigations opened to deal with potentially hazardous products,
including the name and manufacturer of the product, the compliance
officer and attorney assigned to the case, the status and priority of
the case, various dates which document the progress of the case, and
the corrective action taken.
Authority for maintenance of the system:
15 U.S.C. 2064; 16 CFR parts 1115 and 1118.
Purpose(s):
15 U.S.C. 2064 authorizes the Consumer Product Safety Commission to
order the manufacturer, distributor, or retailer of a consumer product
of take corrective action whenever the Commission determines that the
product creates a substantial risk of injury to the public. Where
appropriate, the Commission may attempt to negotiate a voluntary
agreement with a manufacturer, distributor, or retailer to take
corrective action. The Commission's Division of Corrective Actions
uses this system of records to manage its substantial product hazard
correction activities, from the receipt of information about a
suspected product hazard, through the collection and evaluation of
evidence, to ultimate resolution, It is also used to monitor staff
workloads and evaluate staff performance.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained by a computer data base management system. Hard
copy printouts of all or selected groups of records are made from time
to time.
Retrievability:
Records are retrievable by any field, including compliance officer and
attorney name.
Safeguards:
Access to records and to fields within records, is controlled by
passwords. Records are accessible only by members of the Commission's
Corrective Action and Administrative Litigation Divisions. Only
members of the Division of Corrective Actions and a designated
clerical person may enter data, other than a preliminary determination
date and the file closing date, which can only be entered by
supervisory personnel.
Retention and disposal:
Old records are retained indefinitely.
System manager(s) and address:
Director, Division of Corrective Actions, Directorate for Compliance
and Administrative Litigation, Consumer Product Safety Commission,
5401 Westbard Avenue, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in these records is supplied by manufacturers,
distributors, or retailer of consumer products, Commission compliance
officers, Commission attorneys and other Commission staff.
CPSC-15
System name: Employee Relations Files--CPSC-15.
System location:
Consumer Product Safety Commission, Division of Personnel Management,
5401 Westbard Avenue, Washington, DC 20207.
Categories of individuals covered by the system:
Current and former employees of the Consumer Product Safety
Commission.
Categories of records in the system:
This system of records contains information or documents relating to:
(1) Disciplinary actions, complaints, grievances, potential adverse
actions, and proposals, decisions, or determinations made by
management relative to the foregoing; (2) retirement records.
The records consist of the notices to the individuals, records of
resolutions of complaints, materials placed into the record to support
the decision or determination, affidavits or statements.
Authority for maintenance of the system:
5 U.S.C. 1302, 3301, 4308, 5115, 5338, 7151, 7301, 7701, 8347,
Executive Orders 9830, 10987, 11222, 11478.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used: (1) To
respond to a request from a Member of Congress regarding the status of
an appeal, complaint or grievance. (2) To provide information to the
public on the decision of an appeal, complaint, or grievance required
by the Freedom of Information Act. (3) To respond to a court subpoena
and/or refer to a district court in connection with a civil suit. (4)
To adjudicate or resolve an appeal, complaint, or grievence. (5) As a
data source for management information for production of summary
descriptive statistics and analytical studies in support of the
function for which the records are collected and maintained, or for
related personnel management functions of manpower studies; may also
be utilized to respond to general requests for statistical information
(without personal identification of individuals) under the Freedom of
Information Act or to locate specific individuals for personnel
research or other personnel management functions. (6) To refer, where
there is an indication of a violation or potential violation of law,
whether civil, criminal, or regulatory in nature, to the appropriate
agency, whether federal, state, or local, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, rule, regulation
or order issued pursuant thereto. (7) To request information from a
federal, state or local agency maintaining Civil, criminal, or other
relevant enforcement or other pertinent information, such as licenses,
if necessary to obtain relevant information to an angency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, or the issuance of a license, grant, or other
benefit. (8) To provide information or disclose to a Federal agency,
in response to its request, in connection with the hiring or retention
of an employee, or 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 of that matter.
Disclosure may be made to a congressional office from the record of an
individual in response to an inquiry from the congressional office
made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are indexed by the names of the individuals on whom they
are maintained.
Safeguards:
Records are located in a combination lock metal file cabinet and
access is limited to those persons whose official duties require such
access.
Retention and disposal:
The records are maintained up to 2 years after an employee has left
the Consumer Product Safety Commission. Disposal is by normal
procedures.
System manager(s) and address:
Chief, Labor and Employee Relations Branch, Division of Personnel
Management, Consumer Product Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in these records is furnished by: (1) Individual to whom
the record pertains (2) Agency and/or Commission officials (3)
Affidavits or statements from employee (4) Testimonies of witnesses
(5) Official documents relating to appeal, grievance, or complaints
(6) Correspondence from specific organization or persons.
CPSC-16
System name: Employee Upward Mobility Counseling Files--CPSC-16.
System location:
Office of Equal Employment Opportunity and Minority Enterprise, 5401
Westbard Avenue, Washington, DC 20207.
Categories of individuals covered by the system:
All persons participating in the Upward Mobility Program.
Categories of records in the system:
This record contains information regarding the counseling of employees
to assist them in enhancing their career in the Federal system;
contains personal data on employees seeking advancement or Upward
Mobility assignments.
Authority for maintenance of the system:
29 CFR part 1613.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records is reviewed by the Upward Mobility
Counselor and Director, OEEOME, in counseling and placing employees.
Disclosure may be made to a congressional office from the record of an
individual in response to an inquiry from the congressional office
made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in hard copy.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in locked files in a secured area.
Retention and disposal:
Records are retained until employee reaches goal. Disposal is by
normal procedures.
System manager(s) and address:
Director, Office of Equal Employment Opportunity and Minority
Enterprise, Consumer Product Safety Commission, 5401 Westbard Avenue,
Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in this record is furnished by the employee to whom it
pertains and by employee's supervisors.
CPSC-17
System name: Commissioned Officers Personal Data File--CPSC-17.
System location:
A complete record on every commissioned officer is maintained in the
Regional Office to which the commissioned officer is assigned. Records
concerning the commissioned officer's activities and performance are
also maintained by the CPSC Regional Office to which the individual is
assigned. Regional Office addresses are listed in Appendix I.
Categories of individuals covered by the system:
State employees commissioned as officers of CPSC.
Categories of records in the system:
The system contains documents related to the commissioning of the
individual and personal data including name, social security number,
date of birth, educational, background, employment history, security
clearance information, medical information, fingerprints, home address
and phone number, duty station, service computation date and benefits
information.
Authority for maintenance of the system:
Section 29(a)(2), Consumer Product Safety Act (15 U.S.C. 2078(a)(2));
E.O. 10450, sections 8(c), 9(a), 9(b); E.O. 10561.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) By agency officials for purposes of review in connection with
appointments, reassignments, and determination of qualifications for
reappointment of an individual.
(2) To provide statistical reports to Congress, agencies and the
public on characteristics of the Commissioned officer program.
(3) As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained, or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under the
Freedom of Information Act or to locate specific individuals for
personnel research or other personal management functions.
(4) To provide information or disclose to a Federal or state agency,
in response to its request, in connection with the hiring or retention
of an employee, or other benefit by the requesting agency, to the
extent that the information is relevant and necessary to the
requesting agency's decision on the matter.
(5) To request information from a Federal, state, or local agency
maintaining civil, criminal, or other relevant enforcement or other
pertinent information if necesary to obtain information relevant to an
agency decision concerning the hiring or retention of an employee, the
issuance of a license, grant, or other benefit.
(6) Disclosure to a congressional office in response to an inquiry
from the congressional office made at the request of the individual.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C.
552a(b)(12), disclosures may be made to a consumer reporting agency as
defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the
Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are indexed by name.
Safeguards:
Records are located in lockable metal file cabinets or metal file
cabinets in secured rooms with access limited to those whose official
duties require access.
Retention and disposal:
The records are maintained and disposed of in accordance with
Commission records management policies and procedures.
System manager(s) and address:
Regional Office Directors, Consumer Product Safety Commission,
(Regional Office addresses are listed in appendix I).
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in these records comes either from the individual to whom
it pertains or from agency officials, CPSC supervisors, or state
officials.
CPSC-18
System name: Job Applicant Files--CPSC-18.
System location:
Consumer Product Safety Commission, Division of Personnel Management,
5401 Westbard Avenue, Washington, DC 20207.
Categories of individuals covered by the system:
Applicants for employment who have forwarded resumes or Standard Form
171's to the Commission.
Categories of records in the system:
These records contain personal data and job history in the form of a
resume or Standard Form 171.
Authority for maintenance of the system:
FPM Chapters 333 and 713.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these files is reviewed as vacancies occur for the
purpose of placement.
Disclosure may be made to a congressional office from the record of an
individual in response to an inquiry from the congressional office
made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in hard copy.
Retrievability:
Records are indexed alphabetically by name of applicant within general
job categories.
Safeguards:
Records are maintained in locked file cabinets.
Retention and disposal:
Record are maintained up to two years and disposal is by normal
procedures.
System manager(s) and address:
Chief, Employment Branch, Division of Personnel Management, Consumer
Product Safety Commission, 5401 Westbard Avenue, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Contesting record procedures:
Same as notification.
Record source categories:
Information in this record is furnished by the person to whom it
pertains.
CPSC-19
System name: Labor Management Relations Files--CPSC-19.
System location:
Consumer Product Safety Commission, Division of Personnel Management,
5401 Westbard Avenue, Washington, DC 20207.
Categories of individuals covered by the system:
CPSC employees involved in union activity, whether in the capacity of
an officer or a rank and file employee.
Categories of records in the system:
These records contain data relating to (1) employees involved in the
maintenance of the labor-management program (2) employees presenting
grievances under the collective bargaining agreement (3) employees
involved in unfair labor practice charges pursuant to statute or (4)
employees whose grievances are presented to arbitration.
Authority for maintenance of the system:
5 U.S.C. Chapter 71.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Materials in these records are used primarily for reference except in
the cast of grievances, unfair labor practice charges, and
arbitrations, where information may be essential to prepare for a
hearing.
Disclosure may be made to a congressional office from the record of an
individual in response to an inquiry from the congressional office
made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
Those records are indexed by the names of the individuals on whom they
are maintained.
Safeguards:
Records are located in a combination lock metal file cabinet and
access is limited to those persons whose official duties require such
access.
Retention and disposal:
The records are maintained up to two years after an employee has left
the Consumer Product Safety Commission.
System manager(s) and address:
Chief, Labor and Employee Relations Branch, Division of Personnel
Management, Consumer Product Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in this record is furnished by:
(1) Individual to whom the records pertains
(2) Agency and/or Commission official
(3) Affidavits or statements from employee
(4) Testimony of witnesses
(5) Official document relating to grievance
(6) Correspondence from specific organization or persons.
CPSC-20
System name: Personnel Security File--CPSC-20.
System location:
Division of Personnel Management, Directorate for Administration,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Categories of individuals covered by the system:
Employees of the Consumer Product Safety Commission, and applicants
for employment with the Consumer Product Safety Commission.
Categories of records in the system:
Results of name checks, inquiries, and investigations furnished by the
Office of Personnel Management to determine suitability for employment
with, or continued employment by, the Consumer Product Safety
Commission. Information in records may include date and place of
birth, citizenship, marital status, military status, and social
security status. These records contain investigative information
regarding an individual's character, conduct, and behavior in the
community where he or she lives or lived; arrests and convictions for
any violations of law; information from present and former
supervisors, co-workers, associates, educators; credit and National
Agency checks; and other information developed from the above.
Authority for maintenance of the system:
Executive Order 10450; 5 U.S.C. 301.
Purpose(s):
The records in this system of records are used by the Director,
Division of Personnel Management and the Personnel Security Officer,
Labor and Employee Relations Branch, to determine whether the
employment of an applicant, or retention of a current employee, is in
the interest of the Commission and to determine whether to grant an
employee access to non-public information or restricted areas.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. To request from a federal, state, or local agency maintaining
civil, criminal, or other relevant enforcement information, data
relevant to a Commission decision concerning the hiring or retention
of an employee, the issuance of a security clearance to an employee,
or other administrative action concerning an employee.
2. To the Office of Personnel Management in their role as an
investigating agency, and in their role as the agency responsible for
conducting a continuing assessment of agency compliance with federal
personnel security and suitability program requirements.
3. To the Office of Personnel Management for use in other personnel
matters.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are indexed alphabetically by name.
Safeguards:
Records are maintained in a safe-type combination lock file cabinet in
the custody of the Personnel Security Officer, Labor and Employee
Relations Branch, Division of Personnel Management, Directorate for
Administration. Access is limited to the Personnel Security Officer,
Labor and Employee Relations Branch, and the Director, Division of
Personnel Management.
Retention and disposal:
Records are maintained at the Consumer Product Safety Commission for
at least two years from the date of any final decision placed in the
record.
System manager(s) and address:
Personnel Security Officer, Labor and Employee Relations Branch,
Division of Personnel Management, Directorate for Administration,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Notification procedure:
Freedom of Information/ Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification. The Freedom of Information/Privacy Act Officer
will forward the request to the agency which conducted the
investigation, which will make the final determination.
Contesting record procedures:
Same as access.
Record source categories:
Office of Personel Management reports and reports from other federal
agencies.
CPSC-21
System name:
Western Regional Center Outreach Tracking System- CPSC 0921.
System location:
Consumer Product Safety Commission, Western Regional Center, U.S.
Customs House, 555 Battery St., room 415, San Francisco, California
94110-2390.
Categories of individuals covered by the system:
Individuals contacted by staff of the Commission's Western Regional
Center in connection with their assigned outreach activities.
Categories of records in the system:
Information about outreach activities conducted by the Western
Regional Center's staff including the name and title of a contacted
individual; the name, address and telephone number of a contacted
organization; the topic and type of outreach activity involved, such
as media interviews, speeches, or mailings; a narrative description of
the outreach activity; and management information such as dates
assigned and completed and the job classification, but not the name,
of the staff member.
Authority for maintenance of the system:
15 U.S.C. 2054.
Purpose(s):
The Western Regional Center uses this system of records to manage its
outreach workload, including budgetary analysis and the avoidance of
duplicative assignments.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained by a computer database management system. Hard
copy printouts of all or selected groups of records are made from time
to time.
Retrievability:
Records are retrievable by any field, including names of persons
contacted.
Safeguards:
Access to the records is controlled by passwords. Computer records are
accessible only by staff members of the Western Regional Center. Hard
copy access is limited to Consumer Product Safety Commission staff.
Retention and disposal:
Records are retained for five years and then purged.
System manager(s) and address:
Regional Director, Consumer Product Safety Commission, Western
Regional Center, U.S. Customs House, 555 Battery St., room 415, San
Francisco, California 94110-2390.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in these records comes from Western Regional Center staff
who perform outreach activities.
CPSC-22
System name: CPSC Management Information System--CPSC-22.
System location:
Consumer Product Safety Commission, Associate Executive Director for
Administration, 5401 Westbard Avenue, Washington, DC 20207.
Categories of individuals covered by the system:
All CPSC employees.
Categories of records in the system:
The records contain information on work and leave hours charged by
individual employees against CPSC programs, projects, and organization
categories. The data included are: Program Codes, Project Codes,
Organization Codes, Reporting Period, Employee Name and CPSC Employee
Number, and hours charged.
Authority for maintenance of the system:
15 U.S.C. 2051 et seq.; 44 U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The records are used to produce periodic printed reports which show
total employee time and costs allocated to Commission programs and
projects by organizational elements. The cost information includes
information derived from the Commission's accounting system. Some of
the reports will display the time charged by individual employees by
programs and projects within organizational elements.
These reports are distributed to CPSC managers and staff at all levels
as a management tool to:
(a) Inform project managers of time worked by individuals on specified
program and project activities;
(b) Assure accurate reporting and recording of time worked on Agency
programs and projects;
(c) Track the agency's work in terms of programs and projects;
(d) Assist in the preparation of the CPSC Fiscal Year Operating Plan;
(e) Assess achievement of planned goals established in the CPSC Fiscal
Year Operating Plan;
(f) Identify resource allocation deficiencies;
(g) Provide an historical record of Agency program, project, and
organization resource expenditures;
(h) Assure effective distribution of staff skills for planned
workloads;
(i) Provide reports to top level management on Agency accomplishment.
Printed reports produced by the system are distributed to project
leaders, management, and supervisory personnel within the Commission.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in hard copy, on computer punch cards, and on
computer magnetic media.
Retrievability:
Records are retrievable by any of the data items on the records.
Safeguards:
Access to individual computer records is restricted to staff of the
Associate Executive Director for Administration through the use of
special computer identification codes. Hard copy individual records
and punch cards are kept in locked file cabinets with access also
restricted to the staff of the Associate Executive Director for
Administration. Management Information System data will not be used as
evidence against the supplying employee in employee performance
evaluations or adverse actions.
Retention and disposal:
Individual hard copy employee records, punch cards, and computer
records, other than time and cost totals, are retained for not more
than one year. Disposal is accomplished through magnetic disc or
magnetic tape erasure for computer-stored records, and direct disposal
into trash for hard copy individual records and punch cards.
System manager(s) and address:
Associate Executive Director for Administration, Consumer Product
Safety Commission, 5401 Westbard Avenue, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in these records is furnished by the employees to whom it
pertains.
CPSC-23
System name: Health Unit Medical Records--CPSC-23.
System location:
CPSC Employee Health Unit, 5401 Westbard Avenue, Washington, DC 20207.
Categories of individuals covered by the system:
All CPSC Headquarters employees.
Categories of records in the system:
Medical records of CPSC employees who have received health care or
health maintenance examinations in the Employee Health Unit, and names
and addresses of relatives or friends of these employees to be
contacted in case of emergency.
Authority for maintenance of the system:
5 U.S.C. 7901, 44 U.S.C. 3101.
Purpose(s):
a. To document single incidences of walk-in patients, symptoms and
treatment.
b. To maintain a continuing history file on each patient.
c. To document physical examinations, complete with histories and
laboratory reports (physicals normally limited to CPSC laboratory and
warehouse personnel whose work involves a possible health risk).
d. For use by Health Unit nurses and doctors in the course of
providing medical treatment and advice to Commission employees.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. To report individual cases of certain diseases and injuries to
Federal, state, and local health authorities, as required by law.
b. To make available records of occupational injuries and illnesses to
Federal and state health officials as required by law.
c. To notify employee-designated relative or friend in case of health
emergency.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records, primarily handwritten or typed cards and forms, plus EKG
tracings mounted on forms, are stored in locked file cabinets.
Retrievability:
Filed alphabetically by patient's name.
Safeguards:
Access to records is limited to Health Unit personnel. Records are
released only upon written request of the employee.
Retention and disposal
Records are retained for duration of CPSC employment. On termination
of employment, records are given to employee or forwarded to
employee's physician as requested by employee. If terminated, employee
does not take possession of his or her records or direct that they be
forwarded to a physician, the records are sealed and sent to the
Personnel Office for inclusion in the employee's official personnel
folder, which is sent to the Federal Records Center in St. Louis,
Missouri for retention, or to a new Federal employer, as appropriate.
System manager(s) and address:
Director, Division of Management Services, Consumer Product Safety
Commission, 5401 Westbard Avenue, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the Secretary,
Consumer Product Safety Commission, 5401 Westbard Avenue, Washington,
DC 20207.
Record access procedure:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in this system of records is obtained from the employee to
whom a record pertains, Health Unit personnel, an employee's personal
physician when the employee approves, witnesses of accident or illness
incidents, and medical records transferred from an employee's previous
employer.
Appendix I--Regional Office Addresses
Central Regional Center, 230 S. Dearborn Street, Room 2944, Chicago,
Illinois 60604.
Eastern Regional Center, 6 World Trade Center, Vesey Street, Room
301, New York, New York 10048.
Western Regional Office, U.S. Customs House, 555 Battery Street,
Room 415, San Francisco, California 94111.
Appendix II--Pertinent Record Systems of Other Agencies
Other Federal agencies maintain government-wide systems of records
which may contain information about CPSC employees. Some of these
records may be physically located at CPSC. These systems include:
1. Office of Personnel Management, OPM/GOVT-1, General Personnel
Records (includes official personnel folders).
2. Office of Personnel Management, OPM/GOVT-2, Employee Performance
File System Records.
3. Office of Personnel Management, OPM/GOVT-3, Adverse Action
Records.
4. Office of Personnel Management, OPM/GOVT-5, Recruiting,
Examining, and Placement Records.
5. Office of Personnel Management, OPM/GOVT-6, Personnel Research
and Test Validation Records.
6. Office of Personnel Management, OPM/GOVT-7, Applicant Race, Sex,
National Origin, and Disability Status Records.
7. Office of Personnel Management, OPM/GOVT-9, File on Position
Classification Review Requests (Appeals) and Grade and Pay Retention
Appeals.
8. Office of Government Ethics, OGE/GOVT-1, Executive Branch Public
Financial Disclosure Reports (includes financial interest disclosure
forms of CPSC employees subject to the Ethics in Government Act).
9. Office of Government Ethics, OGE/GOVT-2, Confidential Statements
of Employment and Financial Interests (includes CPSC Form 219).
10. Federal Emergency Management Agency, FEMA/GOVT-1, Uniform
Identification System for Federal Employees Performing Essential
Duties During Emergencies.
11. Equal Employment Opportunity Commission, EEOC/GOVT-1, Equal
Employment Opportunity Complaint Records and Appeal Records.
12. Merit System Protection Board, MSPB/GOVT-1, Appeal and Case
Records.
13. General Services Administration, GSA/GOVT-3, Travel Charge Card
Program.
PRIVACY ACT RULES
CONSUMER PRODUCT SAFETY COMMISSION
Title 16-Commercial Practices
Chapter II-Consumer Product Safety Commission
Subchapter A-General
PART 1014--POLICIES AND PROCEDURES IMPLEMENTING THE PRIVACY ACT OF
1974
Sec.
1014.1 Purpose and scope.
1014.2 Definitions.
1014.3 Procedures for requests pertaining to individual records.
1014.4 Requirements for identification of individuals making requests.
1014.5 Disclosure of requested information to individuals.
1014.6 Request for correction or amendment to a record.
1014.7 Agency review of request for correction or amendment of a
record.
1014.8 Appeal of initial denial of access, correction or amendment.
1014.9 Disclosure of record to a person other than the individual to
whom it pertains.
1014.10 Fees.
1014.11 Penalties.
1014.12 Specific exemptions.
Authority: Privacy Act of 1974 (5 U.S.C. 552a).
Source: 40 FR 53381, Nov. 18, 1975, unless otherwise noted.
Sec. 1014.1 Purpose and scope.
This part sets forth the regulations of the Consumer Product Safety
Commission implementing the Privacy Act of 1974 (Pub. L. 93-579). The
purpose of these regulations is to inform the public about records
maintained by the Commission which contain personal information about
individuals, and to inform those individuals how they may seek access to
and correct records concerning themselves. These regulations do not
apply to requests for information made pursuant to the Freedom of
Information Act (except where such disclosures would constitute an
invasion of privacy of an individual).
Sec. 1014.2 Definitions.
As used in this part:
(a) ``Individual'' means a person who is a citizen of the United
States or an alien lawfully admitted for permanent residence.
(b) ``Privacy Act'' means the Privacy Act of 1974 (Pub. L. 93-579).
(c) ``Record'' means any item of personal information relating to an
individual, such as educational, employment, financial or medical
information.
(d) ``Statistical record'' means a record in a system of records
maintained for statistical research or reporting purposes only and not
used in whole or in part in making any determination about an
identifiable individual.
(e) ``System of records'' or ``records systems'' means a group of
records maintained by the Commission from which information may be
retrieved by the name of an individual or some other individual
identifier.
(f) ``Maintain'' includes the collection, use, storage, and
dissemination of information.
Sec. 1014.3 Procedures for requests pertaining to individual
records.
(a) Any individual may request the Commission to inform him or her
whether a particular record system named by the individual contains a
record pertaining to him or her. The request may be made by mail or in
person during business hours (8:30 a.m. to 5 p.m.) to the Freedom of
Information/Privacy Act Officer, Office of the Secretary, Consumer
Product Safety Commission, 5401 Westbard Avenue, Bethesda, Maryland
(mailing address: Consumer Product Safety Commission, Washington, DC
20207).
(b) An individual who believes that the Commission maintains a record
pertaining to him or her but who cannot determine which record system
may contain the record, may request assistance by mail or in person at
the Office of the Secretary during business hours.
(c) A Commission officer or employee or former employee who desires to
review or obtain a copy of a personnel record pertaining to him or her
may make a request by mail or in person at the Division of Personnel's
Processing Unit in Room 337, 5401 Westbard Avenue, Bethesda, Md.
(mailing address: Consumer Product Safety Commission, Washington, DC
20207.
(d) Each individual requesting the disclosure of a record or a copy of
a record shall furnish the following information to the extent known
with the request to the Freedom of Information/Privacy Act Officer or
the Division of Personnel's Processing Unit, as applicable:
(1) A description of the record sought;
(2) The approximate date of the record;
(3) The name or other description of the record system containing the
record;
(4) Proof as required in Sec. 1014.4 that he or she is the individual
to whom the requested record relates; and
(5) Any other information required by the notice describing the record
system.
(e) An individual personally inspecting his or her records may be
accompanied by other persons of his or her own choosing. The individual
shall sign a written statement authorizing disclosure of the record in
the other person's presence.
(f) Any individual who desires to have a record concerning himself or
herself disclosed to or mailed to another person may authorize that
person to act as his or her agent for that specific purpose. The
authorization shall be in writing, signed by the individual, and shall
be notarized. An agent requesting the review or copy of another's record
shall submit with the request the authorization and proof of his or her
identify as required by Sec. 1014.4(c).
(g) The parent of any minor individual or the legal guardian of any
individual who has been declared by a court of competent jurisdiction to
be incompetent, due to physical or mental incapacity or age, may act on
behalf of that individual in any matter covered by this part. A parent
or guardian who desires to act on behalf of such individual shall
present suitable evidence of parentage or guardianship, by birth
certificate, certified copy of a court order, or similar documents, and
proof of the individual's identity in a form that complies with
Sec. 1014.4(c).
(h) An individual may request an accounting of all disclosures made to
other persons or agencies of his or her record, except those disclosures
made to law enforcement agencies pursuant to section (b)(7) of the
Privacy Act (5 U.S.C. 552a(b)(7)). A request for accounting, whenever
made, shall be treated as a request for disclosure of records.
[40 FR 53381, Nov. 18, 1975, as amended at 53 FR 52405, Dec. 28, 1988]
Sec. 1014.4 Requirement for identification of individuals making
requests.
The following proof of identity is required for requests for records
made pursuant to Sec. 1014.3:
(a) An individual seeking a record about himself or herself in person
may establish his or her identity by the presentation of a single
document bearing a photograph (such as a passport or driver's license)
or by a presentation of two items of identification which do not bear a
photograph but do bear both a name and address. An individual who cannot
provide documentation of his or her identity may provide a written
statement affirming his or her identity and the fact that he or she
understands the penalties for making false statements (18 U.S.C. 1001
and 5 U.S.C. 552a(i)(3)).
(b) An individual seeking a record by mail shall include a statement
signed by the individual and properly notarized, that he or she appeared
before a notary public and submitted proof of identity acceptable to the
notary public.
(c) Requests made by an agent, parent, or guardian shall, in addition
to establishing the identity of the minor or other person he or she
represents as required by paragraphs (a) and (b) of this section,
establish his or her agency, parentage, or guardianship by
documentation.
(d) In any case in which the Commission determines that the proof of
identity is not adequate, it may request the individual to submit
additional proof of identity.
Sec. 1014.5 Disclosure of requested information to individuals.
(a) Upon submission of proof of identity, the Office of the Secretary
or the Director of Resource Utilization, as applicable, shall promptly
forward the request to the system manager who will promptly allow the
individual to see and/or have a copy of the requested record or send a
copy of the record to the individual by mail, as requested by the
individual. If the individual asks to see the record, the record should
be made available for review and/or copying at the location where the
record is maintained, in the Office of the Secretary, or the Director of
Resource Utilization, or at the nearest Area Office.
(b) If the system manager should determine, for any reason, that the
requested records are exempt from the right of access, a notice of
denial shall be sent to the requester stating the reasons for denial,
and the requester's right to appeal the denial in accordance with the
procedures set forth in Sec. 1014.8 of these regulations.
Sec. 1014.6 Request for correction or amendment to a record.
(a) Any individual who has reviewed a record pertaining to himself or
herself may request the Executive Director to correct or amend all or
any part of the record.
(b) Each request for a correction or amendment of a record shall be in
writing and shall contain the following information:
(1) The name of the individual requesting the correction or amendment;
(2) The name or other description of the system of records in which
the record sought to be amended is maintained;
(3) The location of that record in the system of records to the extent
that it is known;
(4) A copy of the record sought to be amended or a description of that
record;
(5) A statement of the material in the record that should be corrected
or amended;
(6) A statement of the specific wording of the correction or amendment
sought; and
(7) A statement of the basis for the requested correction or amendment
including any material that the individual can furnish to substantiate
the reasons for the amendment sought.
[40 FR 53381, Nov. 18, 1975, as amended at 42 FR 22878, May 5, 1977]
Sec. 1014.7 Agency review of request for correction or amendment of
record.
(a) Not later than 10 working days after the receipt of the request
for the correction or amendment of a record under Sec. 1014.6, the
responsible Commission official shall acknowledge receipt of the request
and inform the individual whether further information is required before
the correction or amendment can be considered.
(b) The responsible Commission official will promptly review the
request and either make the requested correction or amendment or notify
the individual of his or her refusal to do so, including in the
notification the reasons for the refusal, and the appeal procedures
provided by Sec. 1014.8.
(c) The responsible Commission official will make each requested
correction or amendment to a record if that correction or amendment will
correct anything within the record that is not accurate, relevant,
timely, or complete. A copy of each corrected or amended record shall be
furnished to the individual who requested the action. If an accounting
of disclosure has been kept, all previous recipients of the record shall
be notified of the correction and its substance.
Sec. 1014.8 Appeal of initial denial of access, correction or
amendment.
(a) Any individual whose request for access, correction or amendment
to a record is denied, in whole or in part, may appeal that decision
within 30 working days to the Chairman, Consumer Product Safety
Commission, Washington, DC 20207.
(b) The appeal shall be in writing and shall:
(1) Name the individual making the appeal;
(2) Identify the record to which access is sought or which is sought
to be corrected or amended;
(3) Name or describe the record system in which the record is
contained;
(4) Contain a short statement describing the correction of amendment
sought;
(5) State the name and location of the Commission official who
initially denied the correction or amendment; and
(6) State the date of the initial denial.
(c) Not later than 30 working days after the date on which the appeal
is received, the Chairman shall complete a review of the appeal and make
a final decision thereon. However, for good cause shown, the Chairman of
the Commission may extend the 30-day period. If the Chairman so extends
the period, he or she shall promptly notify the individual requesting
the review that the extension has been made.
(d) If after review of an appeal request, the Chairman also refuses to
amend the record or grant access to the record in accordance with the
request, he or she shall send a written notice to the requester
containing the following information:
(1) The decision and the reasons for the decision;
(2) The right of the requester to institute a civil action in a
Federal District Court for judicial review of the decision; and
(3) The right of the requester to file with the Chairman a concise
statement setting forth the reasons for his or her disagreement with the
denial of the correction or amendment. A copy of the statement of
disagreement shall be filed with the record in issue, and the record in
issue shall be so marked as to indicate that there is a disagreement.
The system manager shall make the statement of disagreement available to
prior recipients of the disputed record to the extent that an accounting
of disclosures was maintained, and to any person to whom the record is
later disclosed, together with a brief statement, if deemed appropriate,
of the reasons for denying the requested correction or amendment.
[40 FR 53381, Nov. 18, 1975, as amended at 42 FR 22878, May 5, 1977]
Sec. 1014.9 Disclosure of record to person other than the
individual to whom it pertains.
(a) Any person or agency (other than an officer or employee of the
Commission who has a need for individual records in the performance of
his or her duty) seeking disclosure of personal records of another
individual which are contained in a system of records shall submit a
request in accordance with the Commission's Procedures for Disclosure of
Production of Information under the Freedom of Information Act (16 CFR
part 1015, subpart A).
(b) The determination of whether or not the requested disclosure is
proper will be made in accordance with the provisions of the Freedom of
Information Act, as amended (5 U.S.C. 552) and the Commission's policies
and procedures issued thereunder (16 CFR part 1015).
[41 FR 30324, July 23, 1976]
Sec. 1014.10 Fees.
The Commission shall not charge an individual for the costs of making
a search for a record, the costs of reviewing or copying a record, or
the cost of correcting or amending a record.
Sec. 1014.11 Penalties.
Any person who makes a false statement in connection with any request
for a record, or an amendment thereto, under this part, is subject to
the penalties prescribed in 18 U.S.C. 494, 495, and 1001; and 5 U.S.C.
552a(i)(3).
Sec. 1014.12 Specific exemptions.
(a) Injury information. (1) The Bureau of Epidemiology maintains a
file of Accident Reports (In-Depth Investigations) which are conducted
on a sample of product related injuries reported to the Commission by
selected hospital emergency rooms by consumers through the Commission's
``Hot-Line'' telephone service and through written consumer complaints
and by other means such as newspaper reports. The purpose of this record
system is to compile accident statistics for analyzing the incidence and
severity of product related injuries.
(2) Inasmuch as the maintenance of the record system listed in
paragraph (a)(1) of this section is authorized by section 5 of the
Consumer Product Safety Act (15 U.S.C. 2054) and the data are used
solely as statistical records, the system is exempted from the
requirements of the Privacy Act relating to making available the
accounting of disclosures, correction or amendment of the record and the
application of these rules to the system of records. Specifically, the
system is exempt from 5 U.S.C. 552a(c)(3); (d) (2) and (3); (e)(1);
(e)(4) (G), (H) and (I); and (f). However, Accident Reports made by
Commission employees are disclosable in accordance with paragraph (a)(3)
of this section:
(3) Section 25(c) of the Consumer Product Safety Act (15 U.S.C.
2074(c)) provides that accident or investigation reports made by an
officer or employee of the Commission shall be made available to the
public in a manner which will not identify any injured person or any
person treating him or her, without the consent of the person
identified. Consequently, an accident or investigation report which
identifies individuals is available to the injured party or the person
treating him or her but would not be available for disclosure to a third
party without the consent of the injured party or person treating him or
her.
(4) Since accident or investigation reports are compiled only for
statistical purposes and are not used in whole or in part in making any
determination about an individual, they are exempted from the
requirement to correct or amend a record as provided by subsection
(d)(2) of the Privacy Act (5 U.S.C. 552a (d)(2)). Exceptions from this
paragraph, insofar as they relate to amendments or additions, may be
allowed by the Executive Director.
[40 FR 53381, Nov. 18, 1975, as amended at 42 FR 9161, Feb. 15, 1977]