[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]
Z
INTERNATIONAL BOUNDARY AND WATER COMMISSION--U.S. AND MEXICO
TABLE OF CONTENTS
Sec.-1. Attendance, Leave, and Payroll records of employees.
Sec.-2. Accounts Receivable.
Sec.-3. Confidential statements of employment and financial
interests.
Sec.-4. Individual identification cards.
Sec.-5. Certificates of Medical Examination.
Sec.-6. Equal Employment Opportunity.
Sec.-7. Occupational Health and Injury Files.
Sec.-8. Motor Vehicle Operator Records.
Sec.-9. Employees' travel records--initial appointment and/or change
of duty stations.
Sec.-10. Freedom of Information Act requests for records.
Sec.-11. General Personnel Records.
Sec.-12. Investigative records.
Sec.-13. Employees' vehicle accident reports.
Sec.-14. Records of cash receipts.
Sec.-15. Disciplinary Action, Appeal, and Grievance Files; and
Unfair Labor Practices Charges/Complaints.
Sec.-16. Official Personnel Folders.
Sec.-17. Service records.
Sec.-18. Employment resources files.
Sec.-19. Incentive Awards files.
Sec.-20. Travel advance information files.
Sec.-21. Employer's tax return files.
Sec.-22. Privacy Act request file.
IBWC/US SEC.-1
System name: Attendance, Leave, and Payroll Records of
Employees.
System location: Room 229, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: All employees of the
United States Section.
Categories of records in the system: Name, Social Security Number and
employee number, grade, step, and salary; organization (code),
retirement or FICA data as applicable; Federal, State and local tax
deductions, as appropriate; Internal Revenue Service tax lien data;
savings bond and charitable deductions; regular and optional
government life insurance deduction(s), health insurance deduction
and plan or code; cash award data; jury duty data; military leave
data; pay differentials; union dues deductions; allotments, by type
and amount; financial institution code and employee account number;
leave status and leave data of all types (including annual,
compensatory, jury duty, maternity, military, retirement disability,
sick, transferred, and without pay); time and attendance records,
including number of regular, overtime, holiday, Sunday, and other
hours worked; pay period number and ending date; cost-of-living
allowances; mailing address; co-owner and/or beneficiary of bonds,
marital status and number of dependents; and ``Notification of
Personnel Action''. The individual records listed herein are
included only as pertinent or applicable to the individual employee.
Authority for maintenance of the system: Budget and Accounting Act of
1921; Budget and Accounting Procedures Act of 1950; and 31 U.S.C.
665.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Transmittal of data to
United States Treasury to effect issuance of paychecks to employees
and distribution of pay according to employee directions for savings
bonds, allotments, financial institutions, and other authorized
purposes.
Reporting: Tax withholding to Internal Revenue Service and appropriate
State and local authorities; FICA deductions to the Social Security
Administration; dues deductions to labor unions; withholdings for
health insurance to the insurance carriers and the United States Civil
Service Commission; charity contribution deductions to agents of
charitable institutions; annual W-2 statements to taxing authorities
and the individual.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Manual and machine-readable copy.
Retrievability: By name and/or employee number.
Safeguards: Physical, technical, and administrative security is
maintained, with all storage equipment and/or rooms locked when not
in use. Admittance when open is restricted to authorized personnel
only. All payroll personnel and computer operators and programmers
are instructed and cautioned on the confidentiality of the records.
Retention and disposal: Cut off at the end of a calendar year; retained
for 3 years or until after General Accounting Office audit,
whichever is earlier; and then destroyed in accordance with standard
procedures.
System manager(s) and address: Director of Personnel, United States
Section, International Boundary and Water Commission, IBWC Building,
4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Request from individuals should be addressed
to the FOIA Administrator, same address as stated in the
Notification Section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individuals concerned
appear in the Section's rules and published in the Federal Register
(42 FR 48291).
Record source categories: Subject individuals, supervisors, timekeepers,
official personnel records, and Internal Revenue Service.
IBWC/US SEC.-2
System name: Accounts Receivable.
System location: Room 229, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: Persons owing money to
the United States Section, including employees, former employees,
business firms, general public, and institutions.
Categories of records in the system: Names and addresses; amounts owed
and services performed, overpayment or other accounting therefor;
invoice numbers, if any; and United States Treasury certificates of
deposit numbers.
Authority for maintenance of the system: Budget and Accounting Act of
1921; Budget and Accounting Procedures Act of 1950; and 31 U.S.C.
665.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For billing purposes to
obtain funds due the Section.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Manual and machine-readable copy.
Retrievability: By name and invoice number, as appropriate.
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or secured premises, with
access limited to those individuals whose official duties require
access.
Retention and disposal: Retained until payment is received and account
audited, then disposed of in accordance with standard procedures.
System manager(s) and address: Chief Financial Services, United States
Section, International Boundary and Water Commission, IBWC Building,
4110 Rio Bravo, El Paso, Texas 79002.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
Notification section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned
appear in the Section's rules as published in the Federal Register
(42 FR 48291).
Record source categories: Subject individual; Procurement Section; and
accounting records.
IBWC/US SEC.-3
System name: Confidential Statements of Employment and Financial
Interests.
System location: Room 229, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: Employees paid at a
level of the Executive Schedule in subchapter II of 5 U.S.C. 53, and
Section employees who are required by Executive Order 11222 to file
such statements, including former employees.
Categories of records in the system: Statements of personal and family
holdings and other interests in business enterprises; listing of
creditors, outside employment and opinion of reviewing official; and
any confirmation material.
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: To comply with United States
Civil Service Commission Regulations (Federal Personnel Manual
Chapter 735) records from an effective system of review for
disclosing conflicts or apparent conflicts of interest on the part
of employees, records from this system may be forwarded to the
United States Civil Service Commission when requested. Information
may not be disclosed from a statement other than to designated
employees who have an official need, except as the Chairman of the
United States Civil Service Commission, or the Commissioner of the
Section, may determine for a good cause shown.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records in sealed envelopes.
Retrievability: Filed by name alphabetically.
Safeguards: Records are located in a locked box in a combination safe-
metal file cabinet in a secured room, with access limited under very
controlled conditions to those individuals whose official duties
require access.
Retention and disposal: The records are disposed of 2 years after
separation of the employee, in accordance with standard procedures.
System manager(s) and address: Director of Personnel, United States
Section, International Boundary and Water Commission, IBWC Building,
4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
Notification section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Record source categories: Employees on whom records are required to be
maintained:
IBWC/US SEC.-4
System name: Individual Identification Cards.
System location: Room 223, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: Key employees of the
two Sections of the International Boundary and Water Commission,
whose duties necessitate travel across the border between the two
countries in conduct of the Sections' business affairs.
Categories of records in the system: Names, titles, nationalities,
places of birth, physical descriptions (color of hair, eyes, and
height, etc.), and photographs.
Authority for maintenance of the system: 1944 Water Treaty; 5 U.S.C.
301, and 44 U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For the identification of
key employees of the two Sections of the International Boundary and
Water Commission, whose duties necessitate travel across the border
between the two countries in conduct of the Sections' business
affairs.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Index card records.
Retrievability: Filed by name-alphabetically.
Safeguards: Records are located in metal card-file cabinets in secured
rooms or secured premises, with access limited to those individuals
whose official duties require access.
Retention and disposal: Retained for 6 years after cancellation, and
then destroyed in accordance with standard procedures.
System manager(s) and address: Director of Personnel, United States
Section, International Boundary and Water Commission, Room 223, IBWC
Building, 4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
Notification Section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned
appear in the Section's rules as published in the Federal Register
(42 FR 48291).
Record source categories: Individuals to whom identification cards
pertain.
IBWC/US SEC.-5
System name: Certificates of Medical Examination.
System location: Room 223, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: All employees of the
United States Section.
Categories of records in the system: Medical certificates (SF-78* or
equivalent) and any other medical records of examinations used to
determine and employee's fitness for the job, and may include
employee's name, date of birth, and Social Security Number. (* Parts
D, E, and F of SF-78 are not considered a medical record, and are
filed in the Official Personnel Folder.)
Authority for maintenance of the system: 5 U.S.C. 3301, 3302; and
Executive Order 10577.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To determine medical
eligibility for appointment, and for changes in assignment within
the Section.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Filed by name alphabetically.
Safeguards: Records are located in lockable metal file cabinets in
secured premises, with access limited to those individuals whose
official duties require access.
Retention and disposal: Upon employee's transfer to another agency or
separation from Federal service, the sealed envelope with medical
records attached on the right side of the Official Personnel Folder
will be forwarded to National Personnel Records Center (Civilian),
111 Winnebago Street, St. Louis, Missouri 63118, within thirty (30)
days after separation from Federal service, or to the agency to
which the employee is transferring within thirty (30) days from such
transfer. In the case of disability retirements, medical information
is obtained and forwarded to the United States Civil Service
Commission's Medical Officer in the El Paso, Texas area.
System manager(s) and address: Director of Personnel, United States
Section, International Boundary and Water Commission, Room 223, IBWC
Building 4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
Notification Section above. Information may be released upon receipt
of a subpoena, or to a nonfederal entity or person, upon written
authorization from employee, and the extent of the information will
be in accordance with United States Civil Service Commission
Regulations (Federal Personnel Manual Chapter 339).
Contesting record procedures: Rules for access to records for contesting
contends and appealing initial determinations by the indivisual
concerned, as published in the Section's rules in the Federal
Register (42 FR 48291), are in accordance with United States Civil
Service Commission Regulations (Federal Personnel Manual Chapter
339).
Record source categories: Individual's physician or Section's designated
physician covering individuals to whom the records pertain.
Systems exempted from certain provisions of the act: Subject system from
Pub. L. 93-579, 552a, Sec. 3.(k)(6), unless approvd for release by
the Regional Medical Officer of the United States Civil Service
Commission. Information will be given to the employee if determined
by the Regional Medical Officer that the material is not considered
detrimental to the employee's well-being. Medical information may
also be released to a licensed physician designated in writing for
that purpose by the individual to whom the information pertains, or
to his or her designated representative.
IBWC/US SEC.-6
System name: Equal Employment Opportunity.
System location: Room 227, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: Employees or applicants
for employment who have filed complaints of discrimination against
the Section.
Categories of records in the system: Affidavits concerning the
complaint; correspondence and written documentation related to the
complaint; and copies of personnel records and information covering
how the complaint was resolved.
Authority for maintenance of the system: Executive Order 11478; Pub. L.
92-261; and Pub. L. 93-259.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To maintain records of
discrimination complaints filed by employees or applicants for
employment with the Section, and all documentation and information
pertaining thereto.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Filed by name alphabetically.
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or secured premises, with
access limited to those individuals whose official duties require
access.
Retention and disposal: Records are retained for 7 years after close of
the matter, and then destroyed in accordance with standard
procedures.
System manager(s) and address: Director, Equal Employment Opportunity,
United States Section, International Boundary and Water Commission,
Room 227, IBWC Building, 4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Bulding, 4110 Rio Bravo El Paso, Texas 79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
notification section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned
appear in the Section's rules published in the Federal Register (42
FR 48291).
Record source categories: From employees of, or applicants for
employment with, the Section involved as complainants, witnesses,
etc., in discrimination complaints; reports of investigations, and
other materials prepared by the Equal Employment Opportunity
Director, Equal Employment Opportunity Assistant, counselors,
coordinators, and investigators; copies of Section documents
relevant to any Equal Employment Opportunity investigations; and
records of hearings on complaints.
IBWC/US SEC.-7
System name: Occupational Health and Injury Files.
System location: Room 223, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: All employees of the
United States Section who have sustained injuries or have other
occupational health problems.
Categories of records in the system: Accident reports (CA-1 and CA-2);
claims for compensation for injury or occupational disease (CA-4);
claims for continuance of compensation on account of disability (CA-
8); logs of employees receiving medical services or who have
sustained a work-related injury or disease; health and medical
records, including medical reports on the compensation forms or in
response to medical treatment and examination; and related
correspondence.
Authority for maintenance of the system: 5 U.S.C. 81; 5 U.S.C. 7153; 5
U.S.C. 7901; The Occupational Safety and Health Act of 1970; and
Executive Order 11807.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To provide information,
including statistical data, required by the Occupational Safety and
Health Administration, Department of Labor, and Office of Workers's
Compensation Programs, Department of Labor.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Filed by name alphabetically.
Safeguards: Records are located in a lockable metal file cabinet in a
secured area, with access limited to those individuals whose
official duties require access.
Retention and disposal: Files are maintained indefinitely while
individual is in employ of the Section. Upon separation, records are
retained for 5 years and then destroyed in accordance with standard
procedures.
System manager(s) and address: Director of Personnel, United States
Section, International Boundary and Water Commission, Room 223, IBWC
Building, 4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
notification section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Official records are maintained by the
Office of Workers' Compensation Programs (OWCP), New Orleans,
Louisiana, or other district offices of the OWCP, and records
contested must be filed with that agency under its contesting
procedures. Information and address may be obtained from the
Comptroller, address as noted under notification section above.
Record source categories: From employees who have suffered a work-
related illness or injury; Section supervisory personnel; medical
authorities treating or examining employee; and witnesses to an
accident or occurrence giving rise to a claim.
Systems exempted from certain provisions of the act: Pub. L. 93-579,
552a, Sec. 3. (k)(1) and (4). Records maintained under this system
are unofficial copies of OWCP records and are maintained to assist
in processing compensation claims. Persons seeking information under
this system should follow the directions given in the notification
procedure above. Information will be given to supervisors and to the
employee covered by the record if the material is not considered
detrimental to the employee's well-being. Requests for information
which appear detrimental will be referred to the OWCP for opinion
prior to release.
IBSE/US SEC.-8
System name: Motor Vehicle Operator Records.
System location: Room 223, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: All employees of the
United States Section who are seeking or holding a United States
Government Motor Vehicle Operator's Identification Card.
Categories of records in the system: Applications for Government
driver's licenses, Social Security Numbers, physical fitness
statements, driving violation records, road test results, and
pertinent correspondence.
Authority for maintenance of the system: Federal Property and
Administrative Services Act of 1949, as amended (40 U.S.C. 471, et.
seq.).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To provide the Section with
information necessary and relevant to the accomplishment of its
functions covering motor vehicle operators; and to request
information from State and local police departments to determine an
employee's eligibility for a Government license.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Filed by name alphabetically.
Safeguards: Records are located in lockable metal file cabinets or in
secured rooms or secured premises with access limited to those
individuals whose official duties require access.
Retention and disposal: Retained 3 years after separation of employee or
3 years after rescission of authorization to operate a government-
owned vehicle, whichever occurs earlier; then destroyed in
accordance with standard procedures.
System manager(s) and address: Director of Personnel, United States
Section, International Boundary and Water Commission, Room 223, IBWC
Building, 4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
notification section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned
appear in the Section's rules as published in the Federal Register
(42 FR 48291).
Record source categories: Individuals to whom records pertain, witnesses
to driving violations, police and court records, and road test
examiners.
IBWC/US SEC.-9
System name: Employees' Travel Records--Initial Appointment and/
or Change of Duty Stations.
System location: Room 223, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: Employees and
applicants selected for appointment in shortage category
occupations.
Categories of records in the system: Names, addresses, estimated travel
expenses, modes of travel, employment service agreements, and travel
orders.
Authority for maintenance of the system: Budget and Accounting Act of
1921; Accounting and Auditing Act of 1950; and Federal Claims
Collection Act of 1966.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To document authority for
change of duty station travel and the payment of authorized travel
expenses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Manual and machine-readable paper copy.
Retrievability: Filed in chronological order.
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured premises with access limited to those
individuals whose official duties require access.
Retention and disposal: Retained according to General Services
Administration Federal Travel Regulations, and then disposed of and
destroyed in accordance with standard procedures.
System manager(s) and address: Director of Personnel, United States
Section, International Boundary and Water Commission, Room 223, IBWC
Building, 4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
as stated in the notification section above, and conform to the
inquiry provisions of the Section's rules as published in the
Federal Register (42 FR 48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned
appear in the Section's rules published in the Federal Register (42
FR 48291).
Record source categories: Subject individual, supervisors, and Finance
Office standard references.
IBWC/US SEC.-10
System name: Freedom of Information Act Requests for Records.
System location: Room 212, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: Persons requesting
copies of records from the United States Section under the
provisions of the Freedom of Information Act, as amended.
Categories of records in the system: Names, addresses and telephone
numbers of requesters; description or identification of records
requested, furnished, and/or denied; dates of request and response;
amount of fees paid, reduced, or waived, if any; payment
delinquencies, if any; petitions of indigency; appeals of denials;
final determinations; and names and titles of denying officials and
determining officials.
Authority for maintenance of the system: Freedom of Information Act, as
amended (Pub. L. 93-502).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For Annual Report to the
Congress under section (d) of the Freedom of Information Act, as
amended; and available for public inspection at all times.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Indexed chronologically by date received.
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or secured premises, with
access limited to those individuals whose official duties require
access.
Retention and disposal: Approved requests and denied requests which do
not result in appeals or litigation: Completed actions cut off at
close of fiscal year and destroyed two years after cutoff in
accordance with standard procedures. Denied requests resulting in
appeals or litigation: Cut off at close of fiscal year in which
final determination is made. Transferred to Federal Archives Records
Center, Fort Worth, Texas, two years after cut off, and destroyed
ten years after cutoff in accordance with standard procedures.
System manager(s) and address: FOIA Administrator, United States
Section, International Boundary and Water Commission, IBWC Building,
4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
notification section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned
appear in the Section's rules as published in the Federal Register
(42 FR 48291).
Record source categories: Subject individuals, Section officers, and
employees engaged in processing or making determinations with
respect to Freedom of Information Act requests.
IBWC/US SEC.-11
System name: General Personnel Records.
System location: Room 223, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902, or Field Office where individual is employed.
Categories of individuals covered by the system: Current employees of
the United States Section.
Categories of records in the system: General correspondence and files
relating to employment or conditions of employment; promotion,
Notification of Personnel Action (SF-50), and Request for Personnel
Action (SF-52) files; leave and training records; Central Personnel
Data File (CPDF), and retirement records relating to personnel
actions and determinations concerning an individual while employed.
These records may contain information about an individual relating
to name; date of birth; home address; telephone number; emergency
addresses; Social Security Number; Veteran's Preference; tenure;
work connected injuries; handicap code; employment history;
qualification background; past and present salaries; grades and
position titles; training; awards and other recognition; counseling;
performance appraisal; conduct; pay and leave; and data documenting
reasons for personnel actions; decisions or recommendations
concerning an employee; and background data and documentation
leading to an adverse action being taken against an employee.
Authority for maintenance of the system: 5 U.S.C. 1302, 2951, 4118,
4308, 4506, 7501, 7511, 7521; and Executive Order 10561.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Information in these records
may be used:
(A) By an agency of the Federal government having oversight or review
authority, such as the United States Civil Service Commission.
(B) In the event an appeal is made outside the Section, records which
are relevant may be referred to the appropriate agency charged with
rendering a decision on the appeal.
(C) Information, without prior employee consent, can be disclosed as
follows:
1. To the Public: Employee name; position title/grade (past/present);
salary (past/present); and duty station (past/present--as specific as
building/room number).
2. To a prospective Federal employer: All items on Request for
Preliminary Employment Data (SF-75).
3. To a prospective nonfederal employer: Employee name; position
title/grade (past/present); salary (past/present); duty station (past/
present); tenure of employment; Civil Service status; length of
service (Section/Federal government); and date/reason for separation
(from Notification of Personnel Action SF-50).
4. To a police department/court: Any information requested for law
enforcement purposes.
5. To a credit firm:
(a) May be provided: Employee name; position title/grade (past/
present); salary (past/present); duty station (past/present).
(b) May only be verified (the firm may be advised if its information
is correct; if not correct, it is not permitted to disclose the
``right answer''): Tenure of employment; Civil Service status; and
length of service (Section/Federal government).
Any other disclosure requires prior written consent.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: File folders, index cards, and computer printouts.
Retrievability: Records are indexed by any combination of name, date of
birth, Social Security Number, or employee identification number.
Safeguards: Records are located in locked metal file cabinets or in
metal file cabinets in secured rooms or secured premises, with
access limited to those individuals whose official duties require
access.
Retention and disposal: Retained during the period of individual's
employment with the Section; transferred to individual's Official
Personnel Folder upon resignation, transfer or separation from
Section service.
System manager(s) and address: Director of Personnel, United States
Section, International Boundary and Water Commission, Room 223, IBWC
Building, 4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
notification section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned,
appear in the Section's rules as published in the Federal Register
(42 FR 48291).
Record source categories: From information supplied by applicable
individuals, or as provided by applicable Section supervisors.
IBWC/US SEC.-12
System name: Investigative Records.
System location: Room 223, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: Current employees of
the United States Section.
Categories of records in the system: Name, address, date and place of
birth; citizenship status; physical characteristics; employment and
military service history; arrest records; Federally-employed
relatives; dates and purposes of visits to foreign countries;
passport numbers; names of spouses, relatives, and personal
associates; activities; and conflicts of interest, security, and
suitability material.
Authority for maintenance of the system: Executive Orders 10450 and
11652.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To determine suitability for
Federal employment.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Filed by employee name alphabetically.
Safeguards: Records are located in lockable metal file cabinets in
secured rooms or secured premises, with access limited to those
individuals whose official duties require access.
Retention and disposal: The records consist of confidential background
investigations for Section employees; and are filed in manila
envelopes attached on the outside of the Official Personnel Folder,
the envelopes bearing employee name and Social Security Number. When
the employee transfers or separates, these records are placed in the
Official Personnel Folder and disposed of as part of such Official
Personnel Folder.
System manager(s) and address: Director of Personnel, United States
Section, International Boundary and Water Commission, Room 223, IBWC
Building 4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
Notification Section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned
appear in the Section's rules published in the Federal Register (42
FR 48291).
Record source categories: Applications and other personnel and security
forms furnished by the individual; investigative and other record
material furnished by other Federal agencies; notices of personnel
actions furnished by other Federal agencies; personal investigations
or written inquiries from sources such as employers, educational
institutions, references, neighbors, associates, police departments,
courts, credit bureaus, medical records, probation officials, prison
officials, newspapers, magazines, periodicals, and other
publications; and published hearings of Congressional Committees.
Systems exempted from certain provisions of the act: Certain records
contained within this system of records are exempt from 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f). Reference
Section's rules published in the Federal Register (42 FR 48291).
IBWC/US SEC.-13
System name: Employees; Vehicle Accident Reports.
System location: Room 229, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: All employees of the
United States Section.
Categories of records in the system: Full names and addresses of persons
involved and their individual statements; vehicle tag number;
service and repairs required; invoice number; cost code; and
applicable appropriation symbol.
Authority for maintenance of the system: Federal Property and
Administrative Services Act of 1941, as amended (40 U.S.C.471, et
seq.).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For Finance Section
employees to complete billing procedures.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: By employee name, date of accident, and invoice number.
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or secured premises, with
access limited to those individuals whose official duties require
access.
Retention and disposal: Retain on hand 3 fiscal years, and then dispose
of and destroy in accordance with standard procedures.
System manager(s) and address: FOIA Administrator, United States
Section, International Boundary and Water Commission, IBWC Building,
4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
notification section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned
appear in the Section's rules published in the Federal Register (42
FR 48291).
Record source categories: From subject individual, supervisors and/or
Finance Section's standard references.
IBWC/US SEC.-14
System name: Records of Cash Receipts.
System location: Room 229, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: Individuals and
companies making payments to cover goods acquired and services
rendered; reimbursements for overpayments; and miscellaneous monies
received by the Section.
Categories of records in the system: Names of individuals or companies;
goods acquired or services rendered; amounts, dates; check numbers;
locations; bank deposit information; and United States Treasury
deposit numbers.
Authority for maintenance of the system: Budget and Accounting Act of
1921; Budget and Accounting Procedures act of 1950; and 31 U.S.C.
665.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Accounting for all monies
received by the Section.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Manual and machine-readable paper copy.
Retrievability: By name and/or account or invoice number.
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or secured premises, with
access limited to those individuals whose official duties require
access.
Retention and disposal: Retained for one year following the end of the
fiscal year; then transferred to Federal Archives Records Center,
Fort Worth, Texas.
System manager(s) and address: Chief Financial Services, United States
Section, International Boundary and Water Commission, IBWC Building,
4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
Notification Section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned
appear in the Section's rules as published in the Federal Register
(42 FR 48291).
Record source categories: Subject individual and/or company.
IBWC/US SEC.-15
System name: Disciplinary Action, Appeal, and Grievance Files;
and Unfair Labor Practice Charges/Complaints.
System location: Room 223, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: Section employees who
have had disciplinary actions taken against them, and who have filed
appeals or grievances.
Categories of records in the system: Warning letters and official
reprimand files; grievance files (Section or negotiated); adverse
action decision letters; disciplinary action files; appeals hearing
transcripts (if held); background information in support of
disciplinary and adverse actions; and unfair labor practice charges/
complaints.
Authority for maintenance of the system: Executive Orders 10987, 11491,
11787; and 5 U.S.C. 77.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(a) To the United States Civil Service Commission upon request in
conjunction with any appeal or in conjunction with its official duties
pertaining to personnel matters and investigations regarding
complaints of Federal employees or applicants for employment.
(b) To designated officers and employees of other Federal agencies
conducting investigations of an individual for the purpose of granting
security clearance or access determination, and having a need to
evaluate qualifications, suitability and loyalty to the United States
Government in connection with employment.
(c) In the event of any indication of violation or potential violation
of the law, to the appropriate Federal agency charged with the
responsibility of investigating or prosecuting such violation, or
charged with enforcement or implementation of the statute, rule,
regulation or order issued pursuant thereto.
(d) To respond to a court subpoena or response to a district court in
connection with a civil suit.
(e) To designated hearing examiners, arbitrators, and third-party
appellate authorities involved in the hearing or appeal processes.
(f) To investigate officials of the Department of Labor and Federal
Labor Relations Council for settlement of a complaint or appeal.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: By employee name, filed alphabetically.
Safeguards: Records are located in lockable metal file cabinets in
secured rooms or secured premises, with access limited to
individuals whose official duties require access.
Retention and disposal: Records involving court actions are retained
permanently; all others retained 7 years after completion of action,
and then disposed of in accordance with standard procedures.
System manager(s) and address: Director of Personnel, United States
Section, International Boundary and Water Commission, Room 223, IBWC
Building, 4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
notification section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned
appear in the Section's rules as published in the Federal Register
(42 FR 48291).
Record source categories: Individuals to whom records pertain; Section
officials; affidavits or statements from employees; testimony of
witnesses; official documents relating to appeals, grievances, or
complaints; and correspondence from specific organizations or
individuals.
IBWC/US SEC.-16
System name: Official Personnel Folders.
System location: Room 223, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: All employees of the
United States Section.
Categories of records in the system: Official Personnel Folders
containing name, Social Security Number; date of birth; employment
history; education; job and pay data; performance reviews; letters
of commendation; reprimands; training certificates; salary and
benefits information, to include allowance and insurance data;
travel orders and general correspondence; other personnel data such
as security clearance, loyalty, military service evidence, injury
reports, suggestions, health qualification records, etc.
Authority for maintenance of the system: Executive Order 10561; and
United States Civil Service Commission Regulations (Federal
Personnel Manual Chapters 293 and 294).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(A) To provide hard-copy documentation on employees' current job and
pay data, past job history, career progression, etc. Used to determine
qualifications and to provide information for processing personnel
actions.
(B) Information, without prior employee consent, can be disclosed as
follows:
1. To the public: Employee name; position title/grade (past/present);
salary (past/present); and duty station (past/present--as specific as
building/room number).
2. To a prospective Federal employer: All items on Request for
Preliminary Employment Data (SF-75).
3. To a prospective nonfederal employer: Employee name; position
title/grade (past/present); salary (past/present); duty station (past/
present); tenure of employment; Civil Service status; length of
service (Section/ Federal Government); and date/reason for separation
(from notification of Personnel Action SF-50).
4. To a police department/court: Any information requested for law
enforcement purposes.
5. To a credit firm:
(a) May be provided: Employee name; position title/grade (past/
present); salary (past/present); duty station (past/present).
(b) May only be verified (the firm may be advised if its information
is correct; if not, it is not permitted to disclose the ``right
answer''): Tenure of employment; Civil Service status; and length of
service (Section/Federal Government).
Any other disclosure requires prior written consent.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Filed by employee name--alphabetically.
Safeguards: Records are located in lockable metal file cabinets in
secured rooms or secured premises, with access limited to
individuals whose official duties require access.
Retention and disposal: Retained for duration of employment, and then
folders are transmitted to the Personnel Records Center (Civilian)
at 111 Winnebago Street, St. Louis, Missouri, 63118, within 30 days
after separation--except for those employees leaving on military
furlough, or with retirement applications pending, or compensation
cases which are pending and which have not been adjudicated.
System manager(s) and address: Director of Personnel, United States
Section, International Boundary and Water Commission, Room 223, IBWC
Building, 4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
Notification Section above, and conform to the inquiry provisions of
the Sections's rules as published in the Federal Register (41 FR
19625).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned
appear in the Section's rules as published in the Federal Register
(42 FR 48291).
Record source categories: Applications for employment; applications for
fidelity bonds; college transcripts; personnel actions; performance
reviews and/or personnel evaluation reports; letters of commendation
or reprimand; training certificates; travel orders; employee
insurance data; certificates of clearance; and loyalty affidavits.
IBWC/US SEC.-17
System name: Service Records.
System location: Room 223, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: All employees of the
United States Section.
Categories of records in the system: Official summary of employment
history to include name, Social Security Number, date of birth,
service computation date, Veteran's Preference, life insurance
enrollment, retirement data, handicap code, performance reviews
(date and type), service award data, and employment record to
include date, type, job, pay, and separation data.
Authority for maintenance of the system: United States Civil Service
Commission Regulations (Federal Personnel Manual Chapter 293-31).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To have a ready reference to
official summary of employment histories, chronology of personal and
service data of employees, and provide information for processing
personnel actions.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records filed in Kardex or file box.
Retrievability: Arranged by (a) budgeted position in organization
sequence; (b) pay plan; and (c) descending grade level within each
pay plan.
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or secured premises with access
limited to those individuals whose official duties require access.
Retention and disposal: Retain 3 years after employee's separation from
the Section, then dispose of in accordance with standard procedures.
System manager(s) and address: Director of Personnel, United States
Section, International Boundary and Water Commission, Room 223, IBWC
Building, 4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
Notification Section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned,
appear in the Section's rules as published in the Federal Register
(42 FR 48291).
Record source categories: Personnel actions, performance reviews and/or
personnel evaluation reports; application forms, and training and
service award certificates.
IBWC/US SEC.-18
System name: Employment Resources Files.
System location: Room 223, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: Applicants for
employment with the United States Section.
Categories of records in the system: Applications for employment;
personal qualifications statement (SF-171); and other pertinent
employment data.
Authority for maintenance of the system: 5 U.S.C. 301; 15 U.S.C.
634(b)(6); and 44 U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To maintain a source of
qualified applicants for the purpose of filing vacancies.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records files in file folders.
Retrievability: Grouped by positions for which applicants appear
qualified; arranged by name within position groupings.
Safeguards: Records are located in lockable metal file cabinets or metal
file cabinets in secured rooms or secured premises, with access
limited to those individuals whose official duties require access.
Retention and disposal: Applications considered active for 2 years; then
destroyed after 2 years from date signed, in accordance with
standard procedures--except upon written request that they be
returned to individuals.
System manager(s) and address: Director of Personnel, United States
Section, International Boundary and Water Commission, Room 223, IBWC
Building, 4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
Notification Section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned,
appear in the Section's rules published in the Federal Register (42
FR 48291).
Record source categories: Applicants; previous employers.
IBWC/US SEC.-19
System name: Incentive Awards Files.
System location: Room 223, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: All employees of the
United States Section, or non-employees who submit suggestions.
Categories of records in the system: Award certificates; letters of
commendation, citation, and awards; letters of non-adoption of
suggestions.
Authority for maintenance of the system: 5 U.S.C. 45.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To document staff or other
agency comments in support of justification for, or disapproval of,
award nominations in order to present findings to Incentive Awards
Committee or other Section officials or, at its request, to the
United States Civil Service Commission.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Suggestions--by number; performance nominations--
chronologically by type of award.
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured room or secured premises, with access
limited to those individuals whose official duties require access.
Retention and disposal: Cut off at end of calendar year, retained for 2
years, and then disposed of in accordance with standard procedures.
System manager(s) and address: Director of Personnel, United States
Section, International Boundary and Water Commission, Room 223, IBWC
Building, 4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
notification section above, and conform to the inquired provisions
of the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned
appear in the Section's rules as published in the Federal Register
(42 FR 48291).
Record source categories: Employees, supervisors, management officials,
Incentive Awards Committee, officials of other agencies, and members
of the public, if appropriate.
IBWC/US SEC./20
System name: Travel Advance Information Files.
System location: Room 229, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: All employees of the
United States Section who are required to travel.
Categories of records in the system: Employees' names, areas of
assignment, and dollar amounts advanced.
Authority for maintenance of the system: Budget and Accounting Act of
1921; Budget and Accounting Procedures Act of 1950; and 31 U.S.C.
665.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: By the Finance Section to
monitor travel advance expenditures.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Index card records.
Retrievability: Filed by employee name, alphabetically.
Safeguards: Records are located in metal card file cabinets in secured
rooms or secured premises, with access limited to those individuals
whose official duties require access.
Retention and disposal: Cut off at end of fiscal year; retained for 3
years, and then destroyed in accordance with standard procedures.
System manager(s) and address: Chief Financial Services, United States
Section, International Boundary and Water Commission, IBWC Building,
4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
Notification Section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned,
appear in the Section's rules as published in the Federal Register
(42 FR 48291).
Record source categories: From Imprest fund receipts signed by employee-
traveler when amount is under
150.00, and from Bureau schedules for checks issued by the United
States Treasury to employee-traveler when the amount is above
150.00.
IBWC/US SEC.-21
System name: Employer's Tax Return Files.
System location: Room 229, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Categories of individuals covered by the system: All employees of the
United States Section.
Categories of records in the system: Federal and State Monthly and/or
quarterly employee withholding tax for information; computer
printouts, magnetic tapes and related documents showing reports of
federal and State taxes withheld from employees, and the banking and
payment thereof.
Authority for maintenance of the system: Budget and Accounting Act of
1921; Budget and Accounting Procedures Act of 1950; and 31 U.S.C.
665.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: For reconciliation and
payment of taxes withheld from employees and employer's share; to
provide Internal Revenue Service with record representing wages
covered by Social Security.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Manual and machine-readable copy.
Retrievability: By name and/or employee number.
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or secured premises, with
access limited to those individuals whose official duties require
access.
Retention and disposal: Cut off at the close of fiscal year, retained
for 2 years, and then destroyed in accordance with standard
procedures.
System manager(s) and address: Chief Financial Services, United States
Section International Boundary and Water Commission, IBWC Building,
4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
Notification Section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned,
appear in the Section's rules as published in the Federal Register
(42 FR 48291).
Record source categories: Data stored in payroll master file.
IBWC/US SEC.-22
System name: Privacy Act Request File.
System location: IBWC Building, 4110 Rio Bravo, El Paso, Texas 79902.
Categories of individuals covered by the system: Individuals requesting
information on records concerning them or someone on whose behalf
the individual is authorized to act which are in the custody of the
United States Section, or individuals requesting access or amendment
to such records under the provisions of The Privacy Act of 1974, 5
U.S.C. 552a.
Categories of records in the system: Copies of correspondence between
individuals and Section custodian official; written summaries of
conversations with individuals; coordination documents between the
Section and other Federal, State, and local government agencies when
records which are the subject of an individual inquiry were
originated by another agency; and copies of documents which are the
subject of an individual inquiry. Originals of amendment requests,
refusals, and appeals accumulated by the custodian of the records
concerned are included in the file containing those records.
Authority for maintenance of the system: The Privacy Act of 1974, 5
U.S.C. 552a.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: To process and coordinate
requests for information, access, and amendment of personal records;
to process and record appeals by individuals against Section
rulings; and to assure timely response to requesters.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Filed alphabetically by requester's name.
Safeguards: Records are located in lockable metal file cabinets in
secured rooms or secured premises, with access limited to those
individuals whose official duties require access.
Retention and disposal: Approved and/or denied requests not resulting in
appeals or litigation--completed actions cut off at close of fiscal
year and destroyed 2 years after cutoff in accordance with standard
procedures. Denied requests resulting in appeals or litigation--cut
off at close of fiscal year in which final determination is made;
transferred to Federal Archives Record Center, Fort Worth, Texas, 2
years after cutoff; destroyed 10 years after cutoff in accordance
with standard procedures.
System manager(s) and address: FOIA Administrator, United States
Section, International Boundary and Water Commission, IBWC Building,
4110 Rio Bravo, El Paso, Texas 79902.
Notification procedure: Information may be obtained from the FOIA
Administrator, United States Section, International Boundary and
Water Commission, IBWC Building, 4110 Rio Bravo, El Paso, Texas
79902.
Record access procedures: Requests from individuals should be addressed
to the FOIA Administrator, same address as stated in the
Notification Section above, and conform to the inquiry provisions of
the Section's rules as published in the Federal Register (42 FR
48291).
Contesting record procedures: Rules for access for contesting contents
and appealing initial determinations by the individual concerned
appear in the Section's rules as published in the Federal Register
(42 FR 48291).
Record source categories: Individual requesters, and agencies of the
Federal, State, and local governments.
PRIVACY ACT RULES
INTERNATIONAL BOUNDARY AND WATER COMMISSION, U.S AND MEXICO
INTERNATIONAL BOUNDARY AND WATER COMMISSION, UNITED STATES AND MEXICO
22 CFR PART 1101--PRIVACY ACT OF 1974
Sec.
1101.1 Purpose and scope.
1101.2 Definitions.
1101.3 General policy: Collection and use of personal information.
1101.4 Reports on new systems of records; computer matching programs.
1101.5 Security, confidentiality and protection of records.
1101.6 Requests for access to records.
1101.7 Disclosure of records to individuals who are subjects of those
records.
1101.8 Disclosure of records to third parties.
1101.9 Exemptions.
1101.10 Accounting for disclosures.
1101.11 Fees.
1101.12 Request to correct or amend a record.
1101.13 Agency review of request to correct or amend a record.
1101.14 Appeal of Agency decision not to correct or amend a record.
1101.15 Judicial review.
1101.16 Criminal penalties.
1101.17 Annual Report to Congress.
Authority: Privacy Act of 1974 (Pub. L. 93-579, as amended, 5 U.S.C.
552a).
Source: 57 FR 24944, Jun. 12, 1992.
Sec. 1101.1 Purpose and scope.
The purpose of these regulations is to prescribe responsibilities,
rules, guidelines, and policies and procedures to implement the Privacy
Act of 1974 (Pub. L. 93-579, as amended; 5 U.S.C. 552a) to assure that
personal information about individuals collected by the United States
Section is limited to that which is legally authorized and necessary and
is maintained in a manner which precludes unwarranted intrusions upon
individual privacy. Further, these regulations establish procedures by
which an individual can: (a) Determine if the United States Section
maintains records or a system of records which includes a record
pertaining to the individual and (b) gain access to a record pertaining
to him or her for the purpose of review, amendment or correction.
Sec. 1101.2 Definitions.
For the purpose of these regulations:
(a) Act means the Privacy Act of 1974.
(b) Agency is defined to include any executive department, military
department, Government corporation, Government controlled corporation or
other establishment in the executive branch of the Government (including
the Executive Office of the President, or any independent regulatory
agency) (5 U.S.C. 552)).
(c) Commission means the International Boundary and Water Commission,
United States and Mexico.
(d) Commissioner means head of the United States Section,
International Boundary and Water Commission, United States and Mexico.
(e) Individual means a citizen of the United States or an alien
lawfully admitted for permanent residence.
(f) Maintain includes maintain, collect, use, or disseminate.
(g) Record means any item, collection, or grouping of information
about an individual that is maintained by an agency, including, but not
limited to, his education, financial transactions, medical history, and
criminal or employment history and that contains his name, or the
identifying number, symbol, or other identifying particular assigned to
the individual, such as a finger or voice print or a photograph.
(h) Routine use means, with respect to the disclosure of a record, the
use of such record for a purpose which is compatible with the purpose
for which it is collected.
(i) Section means the United States Section, International Boundary
and Water Commission, United States and Mexico.
(j) 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, except as provided by 13 U.S.C. 8 (Census
data).
(k) System of records means a group of any records under the control
of any agency from which information is retrieved by the name of the
individual or by some identifying number, symbol, or other identifying
particular assigned to the individual.
Sec. 1101.3 General policy: Collection and use of personal
information.
(a) Heads of Divisions, Branches, and the projects shall ensure that
all Section personnel subject to their supervision are advised of the
provisions of the Act, including the criminal penalties and civil
liabilities provided therein, and that Section personnel are made aware
of their responsibilities to protect the security of personal
information, to assure its accuracy, relevance, timeliness and
completeness, to avoid unauthorized disclosure either orally or in
writing, and to ensure that no system of records concerning individuals,
no matter how small or specialized, is maintained without public notice.
(b) Section personnel shall:
(1) Collect no information of a personal nature from individuals
unless authorized to collect it to achieve a function or carry out a
responsibility or function of the Section.
(2) Collect from individuals only that information which is necessary
to Section responsibilities or functions;
(3) Collect information, wherever possible, directly from the
individual to whom it relates;
(4) Inform individuals from whom information is collected of the
authority for collection, the purpose thereof, the uses that will be
made of the information, and the effects, both legal and practical, of
not furnishing the information;
(5) Neither collect, maintain, use nor disseminate information
concerning an individual's religious or political beliefs or activities
or his membership in associations or organizations, unless (i) the
individual has volunteered such information for his own benefit; (ii)
the information is expressly authorized by statute to be collected,
maintained, used or disseminated; or (iii) the activities involved are
pertinent to and within the scope of an authorized investigation or
adjudication activity;
(6) Advise an individual's supervisors of the existence or
contemplated development of any system of records which retrieves
information about individuals by individual identified;
(7) Maintain an accounting of all disclosures of information to other
than Section personnel;
(8) Disclose no information concerning individuals to other than
Section personnel except when authorized by the Act or pursuant to a
routine use published in the Federal Register;
(9) Maintain and process information concerning individuals with care
in order to ensure that no inadvertent disclosure of the information is
made to other than Section personnel; and
(10) Call to the attention of the PA Officer any information in a
system maintained by the Section which is not authorized to be
maintained under the provisions of the Act, including information on
First Amendment activities, information that is inaccurate, irrelevant
or so incomplete as to risk unfairness to the individual concerned.
(c) The system of records maintained by the Section shall be reviewed
annually by the PA Officer to ensure compliance with the provisions of
the Act.
(d) Information which may be used in making determinations about an
individual's rights, benefits, and privileges shall, to the greatest
extent practicable, be collected directly from that individual. In
deciding whether collection of information from an individual, as
opposed to a third party source, is practicable, the following criteria,
among others, may be considered:
(1) Whether the nature of the information sought is such that it can
only be obtained from a third party;
(2) Whether the cost of collecting the information from the individual
is unreasonable when compared with the cost of collecting it from a
third party;
(3) Whether there is a risk that information requested from the third
parties, if inaccurate, could result in an adverse determination to the
individual concerned;
(4) Whether the information, if supplied by the individual, would have
to be verified by a third party; or
(5) Whether provisions can be made for verification by the individual
of information collected from third parties.
(e) Employees whose duties require handling of records subject to the
Act shall, at all times, take care to protect the integrity, security
and confidentiality of these records.
(f) No employee of the section may alter or destroy a record subject
to the Act unless (1) such alteration or destruction is properly
undertaken in the course of the employee's regular duties or (2) such
alteration or destruction is required by a decision of the Commissioner
or the decision of a court of competent jurisdiction.
Sec. 1101.4 Reports on new systems of records; computer matching
programs.
(a) Before establishing any new systems of records, or making any
significant change in a system of records, the Section shall provide
adequate advance notice to:
(1) The Committee on Government Operations of the House of
Representatives;
(2) The Committee on Governmental Affairs of the Senate; and
(3) The Office of Management and Budget.
(b) Before participating in any computerized information ``matching
program,'' as that term is defined by 5 U.S.C. 552a(a)(8) the Section
will comply with the provisions of 5 U.S.C. 552a(o), and will provide
adequate advance notice as described in paragraph (a) of this section.
Sec. 1101.5 Security, confidentiality and protection of records.
(a) The Act requires that records subject to the Act be maintained
with appropriate administrative, technical and physical safeguards to
ensure the security and confidentiality of records and to protect
against any anticipated threats or hazards to their security or
integrity which could result in substantial harm, embarrassment,
inconvenience or unfairness to any individual on whom information is
maintained.
(b) When maintained in manual form (typed, printed, handwritten, etc.)
records shall be maintained, at a minimum, subject to the following
safeguards, or safeguards affording comparable protection:
(1) Areas in which the records are maintained or regularly used shall
be posted with an appropriate warning stating that access to the records
is limited to authorized persons. The warning shall also summarize the
requirements of Sec. 1101.3 and state that the Act contains a criminal
penalty for the unauthorized dislosure of records to which it applies.
(2) During working hours: (i) The area in which the records are
maintained or regularly used shall be occupied by authorized personnel
or (ii) access to the records shall be restricted by their storage in
locked metal file cabinets or a locked room.
(3) During non-working hours, access to the records shall be
restricted by their storage in locked metal file cabinets or a locked
room.
(4) Where a locked room is the method of security provided for a
system, that security shall be supplemented by: (i) Providing lockable
file cabinets or containers for the records or (ii) changing the lock or
locks for the room so that they may not be opened with a master key. For
purposes of this paragraph, a master key is a key which may be used to
open rooms other than the room containing records subject to the Act,
unless those rooms are utilized by officials or employees authorized to
have access to the records subject to the Act.
(5) Personnel handling personal information during routine use will
ensure that the information is properly controlled to prevent
unintentional or unauthorized disclosure. Such information will be used,
held, or stored only where facilities or conditions are adequate to
prevent unauthorized or unintentional disclosure.
(c) When the records subject to the Act are maintained in computerized
form, safeguards shall be utilized based on those recommended in the
National Bureau of Standard's booklet ``Computer Security Guidelines for
Implementing the Privacy Act of 1974'' (May 30, 1975), and any
supplements thereto, which are adequate and appropriate to assuring the
integrity of the records.
Sec. 1101.6 Requests for access to records.
(a) Any individual may submit an inquiry to the Section to ascertain
whether a system of records contains a record pertaining to him or her.
(b) The inquiry should be made either in person or by mail addressed
to the PA Officer, United States Section, International Boundary and
Water Commission, 4171 North Mesa, Suite C-310, El Paso, TX 79902-1422.
The PA Officer shall provide assistance to the individual making the
inquiry to assure the timely identification of the appropriate systems
of records. The office of the PA Officer is located in Suite C-316 and
is open to an individual between the hours of 8 a.m. and 4:30 p.m.,
Monday through Friday (excluding holidays).
(c) Inquiries submitted by mail should be marked ``PRIVACY ACT
REQUEST'' on the bottom left-hand corner of the envelope.
(d) The letter should state that the request is being made under the
Privacy Act.
(e) Inquiries concerning whether a system of records contains a record
pertaining to an individual should contain the following:
(1) Name, address and telephone number (optional) of the individual
making the inquiry;
(2) Name, address and telephone number (optional) of the individual to
whom the record pertains, if the inquiring individual is either the
parent of a minor or the legal guardian of the individual to whom a
record pertains;
(3) A certified or authenticated copy of documents establishing
parentage or guardianship;
(4) Whether the individual to whom the record pertains is a citizen of
the United States or an alien lawfully admitted for permanent residence
into the United States;
(5) Name of the system of records, as published in the Federal
Register;
(6) Location of the system of records, as published in the Federal
Register;
(7) Such additional information as the individual believes will or
might assist the Section in responding to the inquiry and in verifying
the individual's identity (for example: Date of birth, place of birth,
names of parents, place of work, dates of employment, position title,
etc.);
(8) Date of inquiry; and
(9) Signature of the requester.
The Section reserves the right to require compliance with the
identification procedures appearing at paragraph (f) of this section
where conditions warrant.
(f) The requirement for identification of individuals seeking access
to records are as follows:
(1) In person: Each individual making a request in person shall be
required to present satisfactory proof of identity. The means of proof,
in the order of preference and priority, are:
(i) A document bearing the individual's photograph (for example,
driver's license, passport or military or civilian identification card);
(ii) A document bearing the individual's signature, preferably issued
for participation in a federally sponsored program (for example, Social
Security card, unemployment insurance book, employer's identification
card, national credit card and professional, craft or union membership
card); and
(iii) A document bearing either the photograph or the signature of the
individual, preferably issued for participation in a federally sponsored
program (for example, Medicaid card). In the event the individual can
provide no suitable documentation of identity, the Section will require
a signed statement asserting the individual's identity and stipulating
that the individual understands the penalty provision of 5 U.S.C.
552a(i)(3).
(2) Not in person: If the individual making a request does not appear
in person before the PA Officer, a certificate of a notary public or
equivalent officer empowered to administer oaths must accompany the
request.
(3) Parents of minors and legal guardians: An individual acting as the
parent of a minor or the legal guardian of the individual or an heir or
legal representative of a deceased person to whom a record pertains
shall establish his or her personal identity in the manner prescribed in
either paragraph (f)(1) or (2) of this section. In addition, such
individual shall establish his or her identity in the representative
capacity of parent or legal guardian. In the case of the parent of a
minor, the proof of identity shall be a certified or authenticated copy
of the minor's birth certificate. In the case of a legal guardian of an
individual who has been declared incompetent due to physical or mental
incapacity or age by a court of competent jurisdiction, the proof of
identity shall be a certified or authenticated copy of the court's
order. A parent or legal guardian may act only for a living individual,
not for a decedent. A parent or legal guardian may be accompanied during
personal access to a record by another individual, provided the
requirements of paragraph (f) of Sec. 1101.7 are satisfied. In the case
of an heir or legal representative of a deceased person the proof of
identity shall be a certified copy of the Will, if any; the order of a
court of competent jurisdiction admitting the Will to probate; the order
of a court of competent jurisdiction appointing an executor, executrix,
or administrator; a letter of administration; or any other documentary
evidence which establishes the identity of the individual as an heir or
legal representative of a deceased person.
(g) When the provisions of this part are alleged to have the effect of
impeding an individual in exercising his or her right to access, the
Section will consider, from an individual making a request, alternative
suggestions regarding proof of identity and access to records.
(h) An inquiry which is not addressed as specified in paragraph (b) of
this section or which is not marked as specified in paragraph (c) of
this section will be so addressed and marked by the Section's personnel
and forwarded immediately to the PA Officer. An inquiry which is not
properly addressed by the individual will not be deemed to have been
``received'' for purposes of measuring time periods for response until
forwarding of the inquiry to the PA Officer has been effected. In each
instance when an inquiry so forwarded is received, the PA Officer shall
notify the individual that his or her inquiry was improperly addressed
and the date when the inquiry was received at the proper address.
(i) Each inquiry received shall be acted upon promptly by the PA
Officer. Although there is no fixed time when an agency must respond to
a request for access to records under the Act, every effort will be made
to respond within ten (10) days (excluding Saturdays, Sundays and
holidays) of the date of receipt. If a response cannot be made within
ten (10) days, the PA Officer shall send an acknowledgment during that
period providing information on the status of the inquiry and asking for
such further information as may be necessary to process the inquiry.
Every effort will be made to provide the requested records within thirty
(30) days.
(j) An individual shall not be required to state a reason or otherwise
justify his or her inquiry.
Sec. 1101.7 Disclosure of records to individuals who are subjects of
those records.
(a) Each request received shall be acted upon promptly by the PA
Officer. Every effort will be made to respond within ten (10) days
(excluding Saturdays, Sundays, and holidays) of the date of receipt. If
a response cannot be made within ten (10) days due to unusual
circumstances, the PA Officer shall send an acknowledgment during that
period providing information on the status of the request and asking for
such further information as may be necessary to process the request.
Every effort will be made to provide the requested records within thirty
(30) days. ``Unusual circumstances'' shall include circumstances where a
search for and collection of requested records from inactive storage,
field facilities or other establishments are required, cases where a
voluminous amount of data is involved, instances where information on
other individuals must be separated or expunged from the particular
record, and cases where consultations with other agencies having a
substantial interest in the determination of the request are necessary.
(b) Grant of access:
(1) Notification.
(i) An individual shall be granted access to a record pertaining to
him or her except where the record is subject to an exemption under the
Act and these rules.
(ii) The PA Officer shall notify the individual of such determination
and provide the following information:
(A) The methods of access, as set forth in paragraph (b)(2) of this
section;
(B) The place at which the records may be inspected;
(C) The earliest date on which the record may be inspected and the
period of time that the records will remain available for inspection. In
no event shall the earliest date be later than thirty (30) days from the
date of notification;
(D) The estimated date by which a copy of the record could be mailed
and the estimate of fees pursuant to Sec. 1101.11. In no event shall be
estimated date be later than thirty (30) days from the date of
notification;
(E) The fact that the individual, if he or she wishes, may be
accompanied by another individual during the personal access, subject to
the procedures set forth in paragraph (f) of this section; and
(F) Any additional requirements needed to grant access to a specific
record.
(2) Method of access: The following methods of access to records by an
individual may be available depending on the circumstances of a given
situation:
(i) Inspection in person may be made in the office specified by the PA
Officer, between the hours of 8 a.m. and 4:30 p.m., Monday through
Friday (excluding holidays);
(ii) Transfer of records to a Federal facility more convenient to the
individual may be arranged, but only if the PA Officer determines that a
suitable facility is available, that the individual's access can be
properly supervised at that facility, and that transmittal of the
records to that facility will not unduly interfere with operations of
the section or involve unreasonable costs, in terms of both money and
manpower; and
(iii) Copies may be mailed at the request of the individual, subject
to payment of the fees prescribed in Sec. 1101.11. The Section, at its
own initiative, may elect to provide a copy by mail, in which case no
fee will be charged to the individual.
(c) Access to medical records: Upon advice by a physician that release
of medical information directly to the requester could have an adverse
effect on the requester, the Section may attempt to arrange an
acceptable alternative. This will normally involve release of such
information to a physician named by the requester, with the requester's
written consent. (Note that release to any third party, including a
physician or family member, must comply with the provisions of
Sec. 1101.8 of this part.)
(d) The Section shall supply such other information and assistance at
the time of access to make the record intelligible to the individual.
(e) The Section reserves the right to limit access to copies and
abstracts of original records, rather than the original records. This
election would be appropriate, for example, when the record is in an
automated data media such as tape of disc, when the record contains
information on other individuals, and when deletion of information is
permissible under exemptions (for example 5, U.S.C. 552(k)(1)). In no
event shall original records of the Section be made available to the
individual except under the immediate supervision of the PA Officer or
his designee. Title 18 U.S.C. 2701(a) makes it a crime to conceal,
mutilate, obliterate, or destroy a record filed in a public office, or
to attempt to do any of the foregoing.
(f) Any individual who request access to a record pertaining to that
individual may be accompanied by another individual of his or her
choice. ``Accompanied'' includes discussion of the record in the
presence of the other individual. The individual to whom the record
pertains shall authorize the presence of the other individual in writing
and shall include the name of the other individual, a specific
description of the record to which access is sought, and the date and
the signature of the individual to whom the record pertains. The other
individual shall sign the authorization in the presence of the PA
Officer or his designee. An individual shall not be required to state a
reason or otherwise justify his or her decision to be accompanied by
another individual during the personal access to a record.
(g) Initial denial of access:
(1) Grounds. Access by an individual to a record which pertains to
that individual will be denied only upon a determination by the PA
Officer that:
(i) The record is subject to an exemption under the Act and these
rules;
(ii) The record is information compiled in reasonable anticipation of
a civil action or proceeding;
(iii) The provisions of Sec. 1101.7(c) pertaining to medical records
have been temporarily invoked; or
(iv) The individual unreasonably has failed to comply with the
procedural requirements of these rules.
(2) Notification. The PA Officer shall give notice of denial of access
of records to the individual in writing and shall include the following
information:
(i) The PA Officer's name and title or position;
(ii) The date of denial;
(iii) The reasons for the denial, including citation to the
appropriate section of the Act and these rules;
(iv) The individual's opportunities for further administrative
consideration, including the identity and address of the responsible
official;
(v) If stated to be administratively final within the Section, the
individual's right to judicial review under 5 U.S.C. 552a(g) (1) and
(5).
(3) Administrative review: When an initial denial of a request is
issued by the PA Officer, the individual's opportunities for further
consideration shall be as follows:
(i) As to denial under paragraph (g)(1)(i) of this section, the sole
procedure is a petition for the issuance, amendment, or repeal of a rule
under 5 U.S.C. 553(e). Such petition shall be filed with the
Commissioner, United States Section, International Boundary and Water
Commission, 4171 North Mesa, Suite C-310, El Paso, TX 79902-1422. If the
exception was determined by another agency, the PA Officer will provide
the individual with the name and address of the other agency and any
relief sought by the individual shall be that provided by the
regulations of the other agency. Within the Section, no such denial is
administratively final until such a petition has been filed by the
individual and disposed of on the merits by the Commissioner.
(ii) As to denial under paragraphs (g)(1), (ii), (iii) or (iv) of this
section, the individual may file for review with the Commissioner, as
indicated in the PA Officer's initital denial notification.
(h) If a request is partially granted and partially denied, the PA
Officer shall follow the appropriate procedures of this section as to
the records within the grant and the records within the denial.
Sec. 1101.8 Disclosure of records to third-parties.
(a) The Section will not disclose any information about an individual
to any person other than the individual except in the following
instances:
(1) Upon written request by the individual about whom the information
is maintained;
(2) With prior written consent of the individual about whom the
information is maintained;
(3) To the parent(s) of a minor child, or the legal guardian of an
incompetent person, when said parent(s) or legal guardian act(s) on
behalf of said minor or incompetent person.
(4) When permitted under 5 U.S.C. 552a(b) (1) through (11) which
provides as follows:
(i) To those officers and employees of the agency which maintains the
record who have a need for the record in the performance of their
duties;
(ii) Required under 5 U.S.C. 552 of the U.S. Code;
(iii) For a routine use as defined in the Act at 5 U.S.C. 552a(a)(7);
(iv) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
title 13 of the U.S. Code;
(v) To a recipient who has provided the agency with advance adequate
written assurance that the record will be used solely as a statistical
research or reporting record, and the record is to be transferred in a
form that is not individually identifiable;
(vi) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the United States Government, or for evaluation by the
Administrator of General Services or his designee to determine whether
the record has such value;
(vii) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law, if the head of the agency or instrumentality has made a written
request to the agency which maintains the record specifying the
particular portion desired and the law enforcement activity for which
the record is sought;
(viii) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual if upon such disclosure
notification is transmitted to the last known address of such
individual;
(ix) To either House of Congress, or, to the extent of matter within
its jurisdiction, any committee or subcommittee thereof, any joint
committee of Congress or subcommittee of any such joint committee, and
to a Congressman who is acting on behalf of his constituent;
(x) To the Comptroller General, or any of his authorized
representatives, in the course of the performance of the duties of the
General Accounting Office; or
(xi) Pursuant to the order of a court of competent jurisdiction;
(5) When required by the Act and not covered explicitly by the
provisions of 5 U.S.C. 552a(b). These situations include the following:
(i) Dissemination of a corrected or amended record or notation of a
disagreement statement (5 U.S.C. 552a(c)(4));
(ii) Disclosure of records to an individual to whom they pertain (5
U.S.C. 552a(d));
(iii) Civil actions by an individual (5 U.S.C. 552a(g));
(iv) Release of records or information to the Privacy Protection Study
Commission (Section 5 of Pub. L. 93-579);
(v) Fulfill the needs of Office of Management and Budget to provide
continuing oversight and assistance to the section in implementation of
the Act (Section 6 of Pub. L. 93-579).
Sec. 1101.9 Exemptions.
The following are exempt from disclosure under 5 U.S.C. 552a(j) and
(k):
(a) Any record originated by another agency which has determined that
the record is exempt. If a request encompasses such a record, the
Section will advise the requester of its existence, and of the name and
address of the source agency.
(b) Records specifically authorized under criteria established by an
executive order to be kept secret in the interest of national defense or
foreign policy, and which are, in fact, properly classified pursuant to
such executive order.
(c) Those systems of records listed as exempt in the Notice of Records
of the Federal Register, including: Certificates of Medical Examination;
Occupational Health and Injury Files; and Investigative Records.
Sec. 1101.10 Accounting for disclosures.
(a) Each system manager shall establish a system of accounting for all
disclosures of records, either orally or in writing made outside the
Section, unless otherwise exempted under this section. Accounting
procedures may be established in the least expensive and most convenient
form that will permit the PA Officer to advise individuals promptly upon
request of the persons or agencies to which records concerning them have
been disclosed. Accounting of disclosures made under 5 U.S.C. 552a(b)(7)
relating to civil or criminal law enforcement activities shall not be
made available to the individual named in the record.
(b) Accounting records, at a minimum, shall include the date, nature,
and purpose of each disclosure of a record and the name and address of
the person or agency to whom the disclosure was made. Accounting records
shall be maintained for at least five years or the life of the record,
whichever is longer.
(c) Accounting is not required to be kept for disclosure made within
the Section or disclosures made pursuant to the Freedom of Information
Act.
(d) If an accounting of the disclosure was made, the PA Officer shall
inform any person or other agency about any correction or notation of
dispute made by the Section in accordance with 5 U.S.C. 552a(d) of any
record that has been disclosed to the person or agency.
Sec. 1101.11 Fees.
(a) Under the Act, fees can only be charged for the cost of copying
records. No fees may be charged for the time it takes to search for the
records or for the time it takes to determine if any exemptions apply.
The Section will not charge a fee for the first copy of an individual's
personnel record.
(b) The Section will charge a fee of $0.10 per page for copies of
documents which are identified by an individual and reproduced at the
individual's request for retention, except that there will be no charge
for requests involving costs of $1.00 or less, but the copying fees for
contemporaneous request by the same individual shall be aggregated to
determine the total fee.
(c) Special and additional services provided at the request of the
individual, such as certification or authentication, will be charged to
the individual in accordance with other published regulations of the
Section pursuant to statute (for example, 22 CFR part 1102--Freedom of
Information Act.)
(d) Remittances shall be in the form of either a personal check or
bank draft drawn on a bank in the United States, a postal money order,
or cash. Remittance shall be made payable to the order of the U.S.
Section, International Boundary and Water Commission, and delivered to
or mailed to the PA Officer, United States Section, International
Boundary and Water Commission, 4171 North Mesa, Suite C-310, El Paso, TX
79902-1422. The Section will assume no responsibility for cash sent by
mail.
(e) A receipt for fees paid will be given only upon request.
Sec. 1101.12 Request to correct or amend a record.
(a) Any individual may submit a request for correction of or amendment
to a record to the Section. The request should be made either in person
or by mail addressed to the PA Officer who processed the individual's
request for access to the record, and to whom is delegated authority to
make initial determinations on requests for correction or amendment.
(b) Since the request, in all cases, will follow a request for access
under Sec. 1101.6, the individual's identity will be established by his
or her signature on the request.
(c) A request for correction or amendment should be in writing. The
envelope containing the request should be marked ``Privacy Act Amendment
Request'' on the lower left hand corner. The request should include the
following:
(1) First, the letter should state that it is a request to amend a
record under the Privacy Act of 1974.
(2) Second, the request should identify the specific record and the
specific information in the record for which an amendment is being
sought.
(3) Third, the request should state why the information is not
accurate, relevant, timely, or complete. Supporting evidence may be
included with the request.
(4) Fourth, the request should state what new or additional
information, if any, should be included in place of the erroneous
information. Evidence of the validity of new or additional information
should be included. If the information in the file is wrong and needs to
be removed rather than supplemented or corrected, the request should
make this clear.
(5) Fifth, the request should include the name, address, and telephone
number (optional) of the requester.
Sec. 1101.13 Agency review of request to correct or amend a record.
(a)(1) Not later than ten (10) days (excluding Saturdays, Sundays and
holidays) after receipt of a request to correct or amend a record, the
PA Officer shall send an acknowledgment providing an estimate of time
within which action will be taken on the request and asking for such
further information as may be necessary to process the request. The
estimate of time may take into account unusual circumstances as
described in Sec. 1101.7(a). No acknowledgment will be sent if the
request can be reviewed, processed and the individual notified of the
results of review (either compliance or denial) within ten (10) days
(excluding Saturdays, Sundays and holidays). Requests filed in person
will be acknowledged in writing at the time submitted.
(2) Promptly after acknowledging receipt of a request, or after
receiving such further information as might have been requested, or
after arriving at a decision within ten (10) days, the PA Officer shall
either:
(i) Make the requested correction or amendment and advise the
individual in writing of such action, providing either a copy of the
corrected or amended record or a statement as to the means whereby the
correction or amendment was effected in cases where a copy cannot be
provided (for example, erasure of information from a record maintained
only in an electronic data bank); or
(ii) Inform the individual in writing that his or her request is
denied and provide the following information:
(A) The PA Officer's name, title and position;
(B) The date of denial;
(C) The reasons for the denial, including citation to the appropriate
sections of the Act and these rules;
(D) The procedures for appeal of the denial as set forth in
Sec. 1101.14.
The term promptly in this paragraph means within thirty (30) days
(excluding Saturdays, Sundays and holidays). If the PA Officer cannot
make the determination within thirty (30) days, the individual will be
advised in writing of the reason therefor and of the estimated date by
which the determination will be made.
(b) Whenever an individual's record is corrected or amended pursuant
to a request by that individual, the PA Officer shall notify all persons
and agencies to which copies of the record had been disclosed prior to
its correction or amendment, if an accounting of such disclosure
required by the Act was made. The notification shall require a receipt
agency maintaining the record to acknowledge receipt of the
notification, to correct or amend the record, and to apprise any agency
or person to which it has disclosed the record of the substance of the
correction or amendment.
(c) The following criteria will be considered by the PA Officer in
reviewing a request for correction or amendment.
(1) The sufficiency of the evidence submitted by the individual;
(2) The factual accuracy of the information;
(3) The relevance and necessity of the information in terms of purpose
for which it was collected.
(4) The timeliness and currency of the information in light of the
purpose for which it was collected;
(5) The completeness of the information in terms of the purpose for
which it was collected;
(6) The degree of possibility that denial of the request could
unfairly result in determinations adverse to the individual;
(7) The character of the record sought to be corrected or amended; and
(8) The propriety and feasibility of complying with the specific means
of correction or amendment requested by the individual.
(d) The Section will not undertake to gather evidence for the
individual, but does reserve the right to verify the evidence which the
individual submits.
(e) Correction or amendment of a record requested by an individual
will be denied only upon a determination by the PA Officer that:
(1) The individual has failed to establish, by a preponderance of the
evidence, the propriety of the correction or amendment in light of the
criteria set forth in paragraph (c) of this section;
(2) The record sought to be corrected or amended was compiled in a
terminated judicial, quasi-judicial or quasi-legislative proceeding to
which the individual was a party or participant;
(3) The record sought to be corrected or amended is the subject of a
pending judicial, quasi-judicial or quasi-legislative proceeding to
which the individual is a party or participant;
(4) The correction or amendment would violate a duly enacted statute
or promulgated regulation; or
(5) The individual unreasonably has failed to comply with the
procedural requirements of these rules.
(f) If a request is partially granted and partially denied, the PA
Officer shall follow the approrpriate procedures of this section as to
the records within the grant and the records within the denial.
Sec. 1101.14 Appeal of agency decision not to correct or amend a
record.
(a) An appeal of the initial refusal to amend a record under
Sec. 1101.13 may be requested by the individual who submitted the
request. The appeal must be requested in writing, and state that the
appeal is being made under the Privacy Act of 1974, it should identify
the denial that is being appealed and the records that were withheld, it
should include the requester's name and address and telephone number
(optional), and it should be signed by the individual making the
request. It should be received by the Section within sixty (60) calendar
days of the date the individual is informed of the PA Officer's refusal
to amend a record in whole or in part. The request should be addressed
and sent via certified mail to the Commissioner, United States Section,
International Boundary and Water Commission, 4171 North Mesa, suite C-
310, El Paso, TX 79902-1422. The processing of appeals will be
facilitated if the words ``PRIVACY APPEAL'' appear in capital letters on
both the envelope and the top of the appeal papers. An appeal not
addressed and marked as provided herein will be marked by Section
personnel when it is so identified and will be forwarded immediately to
the Commissioner.
(b) The time for decision on the appeal begins on the date the appeal
is received by the Commissioner. The appeal should include any
documentation, information or statements advanced for the amendment of
the record.
(c) There shall be a written record of the reason for the final
determination. The final determination will be made not later than
thirty (30) days (excluding Saturdays, Sundays and holidays) from the
date the Commissioner receives the appeal; unless, for good cause shown,
the Commissioner extends such determination beyond the thirty (30) day
period.
(d) When the final determination is that the record should be amended
in accordance with the individual's request, the Commissioner shall
direct the office responsible for the record to comply. The office
responsible for the record shall:
(1) Amend the record as directed;
(2) If a distribution of the record has been made, advise all previous
recipients of the record of the amendment and its substance;
(3) So advise the individual in writing.
(e) When the final decision is that the request of the individual to
amend the record is refused, the Commissioner shall advise the
individual:
(1) Of the refusal and the reasons for it;
(2) Of his or her right to file a concise statement of the reasons for
disagreeing with the decision of the Section;
(3) Of the procedures for filing the statement of disagreement;
(4) That the statement which is filed will be made available to anyone
to whom the record is subsequently disclosed together with, at the
discretion of the Section, a brief statement by the Section summarizing
its reasons for refusing to amend the record;
(5) That prior recipients of the disputed record will be provided a
copy of any statement of dispute to the extent that an accounting of
disclosures was maintained; and
(6) Of his or her right to seek judicial review of the Section's
refusal to amend the record.
(f) When the final determination is to refuse to amend a record and
the individual has filed a statement under paragraph (e)(2) of this
section, the Section will clearly annotate the record so that the fact
that the record is disputed is apparent to anyone who may subsequently
have access to use or disclose it. When information that is the subject
of a statement of dispute filed by an individual is subsequently
disclosed, the Section will note that the information is disputed and
provide a copy of the individual's statement. The Section may also
include a brief summary of the reasons for not making a correction when
disclosing disputed information. Such statements will normally be
limited to the reasons given to the individual for not amending the
record. Copies of the Section's statement shall be treated as part of
the individual's record for granting access; however, it will not be
subject to amendment by the individual under these rules.
(g) An appeal will be decided on the basis of the individual's appeal
papers and the record submitted by the PA officer. No personal
appearance or hearings on appeals will be allowed.
Sec. 1101.15 Judicial review.
After having exhausted all administrative remedies set forth in
Sec. 1101.7(g)(3) or Sec. 1101.14, a requester may bring a civil action
against the Section, in a United States District Court of proper venue,
within two years of the final administrative decision which the
requester seeks to challenge.
Sec. 1101.16 Criminal penalties.
(a) Under the provisions of the Act, it is a Federal crime for any
person to knowingly and willfully request or obtain information from a
Federal agency, including this Section, by false pretenses.
(b) It is also a crime for any officer or employee of the Section to
knowingly and willfully:
(1) Make an unauthorized disclosure; or
(2) Fail to publish public notice of a system of records as required
by 5 U.S.C. 552a(e)(4).
Sec. 1101.17 Annual report to Congress.
(a) On or before August 1 of each calendar year the Commissioner shall
submit a report covering the preceding calendar year to the Speaker of
the House of Representatives and the President of the Senate for
referral to the appropriate committees of the Congress. The report shall
include:
(1) The U.S. Section's point of contact responsible for implementing
the Privacy Act of 1974;
(2) The number of active systems, new systems published, systems
deleted, systems automated, either in whole or part, number of existing
systems for which new routine uses were established, number of existing
systems for which new exemptions were claimed, number of existing
systems from which exemptions were deleted, and number of public
comments received by the agency of publication of rules or notices;
(3) Total number of requests for access, number of requests wholly or
partially granted, number of requests totally denied, number of requests
for which no record was found, number of appeals of denials of access,
number of appeals in which denial was upheld, number of appeals in which
denial was overturned either in whole or part, number of requests to
amend records in system, number of amendment requests wholly or
partially granted, number of amendment requests totally denied, number
of appeals of denials of amendment requests, number of appeals in which
denial was upheld, number in which denial was overturned either in whole
or in part, whether the U.S. Section denied an individual access to his
or her records in a system of record on any basis other than a Privacy
Act exemption under 5 U.S.C. 552(j) or (k), and the legal justification
for the denial, number of instances in which individuals litigated the
results of appeals of access or amendment, and the results of such
litigation, and a statement of our involvement in matching programs;
(4) Any other information which will indicate the U.S. Section's
effort to comply with the objectives of the Act, to include any problems
encountered, with recommendations for solving thereof;
(5) And, a copy of these regulations.