[Privacy Act Issuances (1997)]
[From the U.S. Government Publishing Office, www.gpo.gov]
DEPARTMENT OF COMMERCE
Table of Contents
DEPT--1 Attendance, Leave, and Payroll Records of Employees and
Certain Other Persons
DEPT--2 Accounts Receivable
DEPT--3 Conflict of Interest Records, Appointed Oficials
DEPT--4 Congressional Files
DEPT--5 Freedom of Information and Privacy Request Records
DEPT--6 Visitor Logs and Permits for Facilities Under Department
Control
DEPT--7 Employee Accident Reports
DEPT--8 Employee Applications for Motor Vehicle Operator's Card
DEPT--9 Travel Records (Domestic and Foreign) of Employees and
Certain Other Persons
DEPT--10 Executive Correspondence Files
DEPT--11 Candidates for Membership, Members and Former Members of
Department of Commerce Advisory Committees
DEPT--12 Investigative and Inspection Records
DEPT--13 Investigative and Security Records
DEPT--14 Litigation, Claims, and Administrative Proceeding
Records
DEPT--15 Private Legislation Claimants-Central Legislative Files
DEPT--16 Property Accountability Files
DEPT--17 Records of Cash Receipts
DEPT--18 Employees Personnel Files Not Covered by Notices of
Other Agencies
DEPT--19 Department Mailing Lists
DEPT--20 Biographical Files
DEPT--22 Small Purchase Records
CENSUS--1 Agriculture Census Records for 1974 and 1978
CENSUS--2 Employee Productivity Measurement Records
CENSUS--3 Individual and Household Statistical Surveys and
Special Studies Records
CENSUS--4 Minority-Owned Business Enterprises Survey Records
CENSUS--5 Population and Housing Census Records of the 1960 and
Subsequent Censuses
CENSUS--6 Population Census Personal Service Records for 1900 and
All Subsequent Decennial Censuses
CENSUS--7 Special Censuses of Population Conducted for State and
Local Government
CENSUS--8 Statistical Administrative Records System.
ITA--1 Individuals Identified in Export Transactions
ITA--2 Individuals Involved in International Business Trade
Complaints
ITA--3 Mission Directors/Seminar Chairpersons/Industry Technical
Representatives
ITA--4 Membership Information: District Export Councils
ITA--5 National Defense Executive Reserve Personnel Folders
ITA--6 Foreign Service Officer Evaluations
IATC--1 Auditor Trainee Registrants
MBDA--1 Descriptive Data Questionnaire
NBS--1 NBS Guest Workers
NBS--2 Inventors of Energy-Related Processes and Devices
NBS--3 Research Associates
NBS--4 Employees External Radiation Exposure Records
NBS--5 Nuclear Reactor Operator Licensees File
NBS--6 Participants in Experiments, Studies, and Surveys
NBS--7 NBS Emergency Locator System
NOAA--1 Applicants for the NOAA Corps
NOAA--2 Commissioned Officers Official Travel Orders Folders
NOAA--3 Commissioned Officer Official Personnel Folders
NOAA--4 Commissioned Officers Retired Payroll
NOAA--5 Fisheries Law Enforcement Case Files
NOAA--6 Fishermen's Statistical Data
NOAA--7 Guest Workers at National Geophysical and Solar-
Terrestrial Data Center
NOAA--8 Individuals Engaged in Weather Modification Activities
NOAA--9 Scientist-Researchers in GATE (Global Atmospheric
Research Program Atlantic Tropical Experiment)
NOAA--10 NOAA Diving Program File
NOAA--11 NOAA Mailing Lists
NOAA--12 Marine Mammals, Endangered and Threatened Species,
Permits, and Exemptions Applicants
NOAA--13 Personnel, Payroll, Travel, and Attendance Records of
the Regional Fishery Management Councils
NTIA--1 Radio Spectrum Management Career Development Program
NTIS--1 Individuals Interested in NTIS Publications, Shipped
Order Addresses, Customer Account Records, and Subscriber Files
NTIS--2 Employee Daily Time and Production Reports
PAT/TM--1 Attorneys and Agents Registered to Practice Before the
Office
PAT/TM--2 Complaints, Investigations and Disciplinary Proceedings
Relating to Registered Patent Attorneys and Agents
PAT/TM--3 Employee Production Records
PAT/TM--4 Government Employees Invention Rights
PAT/TM--5 Non-Registered Persons Rendering Assistance to Patent
Applicants
PAT/TM--6 Parties Involved in Patent Interference Proceedings
PAT/TM--7 Patent Application Files
PAT/TM--8 Patent Application Secrecy Order Files
PAT/TM--9 Patent Assignment Records
PAT/TM--10 Patent Deposit Accounts System
PAT/TM--11 Patent Examiner Testimony Files
PAT/TM--12 Patent Subscription Service System
PAT/TM--13 Petitioners for License to File for Foreign Patents
PAT/TM--14 Users of Public Facilities of the of the Patent and
Trademark Office
PAT/TM--15 System for Maintenance of Invention Promoter
Complaints
PAT/TM--16 USPTO PKI Registration and Maintenance SystemN
WBO--1 Talent and Experience File of Women's Business Experts
Office of the Secretary
COMMERCE/DEPT-1
System name:
Attendance, Leave, and Payroll Records of Employees and Certain
Other Persons.
System location:
For employees of the Office of the Secretary, Bureau of Economic
Analysis, Bureau of Export Administration, Bureau of the Census,
Economic Development Administration, Economics and Statistics
Administration, International Trade Administration, Minority Business
Development Agency, National Institute of Standards and Technology,
National Oceanic and Atmospheric Administration, National
Telecommunications and Information Administration, National Technical
Information Service, Office of the Inspector General, Patent and
Trademark Office, Technology Administration: National Finance Center,
U.S. Department of Agriculture, PO Box 70160, New Orleans, Louisiana
70160.
For Census Field Representative employees: Field Administrative
Payroll System, Bureau of the Census, Suitland, Maryland 20746.
Categories of individuals covered by the system:
All Commerce Department employees and certain other persons as
categorized by organizational component above.
Categories of records in the system:
Name, date of birth, social security number and employee number,
service computation date, grade, step, and salary; organization
(copde), retirement or FICA data as applicable; Federal, State, and
local tax deductions, as appropriate; IRS tax lien data; savings bond
and charity deductions; regular and optional Government life
insurance deduction(s), health insurance deduction and plan of 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, type of
account; leave status and leave data of all types (including annual,
compensarory, jury duty, maternity, military, retirement disability,
sick, transferred, absence without leave, and without pay); time and
attendance records, including number of regular, overtime, holiday,
Sunday, and other hours worked; pay period number and ending date 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:
Title 5 U.S.C., Title 31 U.S.C. 66a, 492, Title 44 U.S.C. 3101,
3309.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Transmittal of data of U.S. Department of Agriculture, and
Treasury, and employee designated financial institutions to effect
issuance of paycheck to employees and distributions of pay according
to employee directions for savings bonds, allotments, alimony, child
support, and other authorized purposes.
Reporting: Tax withholding to Internal Revenue Service and
appropriate State and local taxing authorities; FICA deductions to
the Social Security Administration; dues deductions to labor unions;
withholding for health and life insurance to the insurance carriers
and the U.S. Office of Personnel Management; charity contribution
deductions to agents of charitable institutions; annual W-2
statements to taxing authorities and the indivudals; wage,
employment, and separation information to state unemployment
compensation agencies, to the U.S. Department of Labor to determine
eligibility for unemployment compensation, and to housing authorities
for low-cost housing applications; and NOAA Corps data to U.S. Office
of Personnel Management for preparation of statistical materials.
Disclosure of information from this system of records may also be
made to commercial contractors (debt collection agencies) for the
purpose of collecting delinquent debts as authorized by the Debt
Collection Act (31 U.S.C. 3718). Also, see routine use paragraphs 1-5
and 8-13 of the Prefatory Statement.
The names, social security numbers, home addresses, dates of
birth, dates of hire, quarterly earnings, employer information, and
State of hire of employees may be disclosed to the Office of Child
Support Enforcement, Administration for Children and Families,
Department of Health and Human Servicels, for the purpose of locating
individuals to establish paternity, esatablishing and modifying
orders of child support, identifying sources of income, and for other
child support enforcement actions as required by the Personal
Responsibility and Work Opportunity Reconciliation Act (PRWORA; Pub.-
193).
Disclosure to consumer reporting agencies:
Disclosures to 5 U.S.C. 552a(b)(12):Disclosures may be made from
this system to consumer reporting agencies as
defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f), and the
Federal Claims Collection Act of 1966 (31 U.AS.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Both manual and machine-readable.
Retrievability:
By name and/or employee or social security 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:
Retained on site until after GAO audit, then disposed of, or
transferred either to Federal Records Storage Centers in accordance
with the fiscal records program approval by GAO, as appropriate, or
general Record Schedules of GSA.
System manager(s) and address:
National Finance Center, U.S. Department of Agriculture, PO Box
70160, New Orleans, Louisiana 70160.
Field Administrative Payroll System, Demographic and Decennial
Census Staff, Bureau of the Census, Suitland, Maryland 20746.
Notification procedure:
For Economics and Statistics Administration and Bureau of the
Census records of employees employed in the Washington, D.C.,
metropolitan area, a Census Regional Office, the Census Hagerstown
Telephone Center and the Census Tucson Telephone Center, information
may be obtained from: Bureau of the Census, Human Resources Division,
ATTN: Chief, Pay, Processing and Systems Branch, Room 3254, FOB 3,
Washington, DC 20233, (301) 457-3710.
For records of Census employees employed by the Jeffersonville
Census Data Preparation Division, information may be obtained from:
Bureau of the Census, Data Administration Preparation Division, ATTN:
Chief, Human Resources Branch Room 113, Bldg. 66, Jeffersonville,
Indiana 47132, (812) 218-3323.
For Patent and Trademark Office records, information may be
obtained from: Human Resources Manager, U.S. Patent and Trademark
Office, Box 3, Washington, DC 20231, (703) 305-8221.
For records of International Trade Administration employees
employed in the Washington, D.C., metropolitan area, information may
be obtained from: Human Resources Manager, Personnel Management
Division, Room 4809, 14th & Constitution Avenue, NW, Washington, DC
20230, (202) 482-3438.
For records of National Institute of Standards and Technology
employees other than those employed in Colorado and Hawaii and for
Technology Administration records, information may be obtained from:
Personnel Officer, Office of Human Resources Management,
Administration Building, Room A-123, Gaithersburg, Maryland 20899,
(301) 975-3000.
For National Technical Information Service records, information
may be obtained from: Human Resources Manager, 8001 Forbes Place,
Suite 203, Springfield, Virginia 22161, (703) 605-6692.
For Office of the Inspector General records, information may be
obtained from: Human Resources Manager, Resource Management Division,
Room 7713, 14th & Constitution Avenue, NW, Washington, DC 20230,
(202) 482-4948.
For records of National Oceanic and Atmospheric Administration
employees in the Washington, D.C., metropolitan area, information may
be obtained from: Chief, Human Resources Services Division, National
Oceanic and Atmospheric Administration, 1315 East-West Highway, Room
13619, Silver Spring, Maryland 20910, (301) 713-0524.
For records of Office of the Secretary, Bureau of Economic
Analysis, Bureau of Export Administration, Economic Development
Agency, Minority Business Development Agency, and National
Telecommunications and Information Administration employees in the
Washington, D.C., metropolitan area, information may be obtained
from: Human Resources Manager, Office of Human Resources Services,
Office of the Secretary, Room 5005, 14th & Constitution Avenue, NW,
Washington, DC 20230, (202) 482-3827.
For records of regional employees of National Oceanic and
Atmospheric Administration, National Institute of Standards and
Technology, Bureau of Export Administration, Economic Development
Administration, Minority Business Development Agency, International
Trade Administration, and National Telecommunications and Information
Administration, information may be obtained from the Human Resources
Manager servicing the region or state in which they are employed, as
follows:
a. Central Region. For National Oceanic and Atmospheric
Administration employees in the States of Arkansas, Florida, Georgia,
Illinois, Indiana, Iowa, Kentucky, Louisiana, Michigan, Minnesota,
Mississippi, Missouri, Ohio, Tennessee, and Wisconsin; for National
Marine Fisheries Service employees in the States of North Carolina,
South Carolina and Texas; and for National Weather Service employees
in the States of Colorado, Kansas, Nebraska, North Dakota, South
Dakota, and Wyoming; for employees in the Bureau of Export
Administration, Economic Development Administration, Minority
Business Development Agency, and International Trade Administration
in the States of Arkansas, Connecticut, Illinois, Indiana, Iowa,
Kansas, Kentucky, Louisiana, Maine, Massachusetts, Michigan,
Minnesota, Mississippi, Missouri, Nebraska, New Hampshire, New York,
Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, South
Dakota, Tennessee, Texas, Vermont, and Wisconsin: Human Resources
Manager, Central Administrative Support Center (CASC), Federal
Building, Room 1736, 601 East 12th Street, Kansas City, Missouri
64106, (816) 426-2056.
b. Eastern Region. For National Oceanic and Atmospheric
Administration employees in the States of Connecticut, Delaware,
Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New York,
North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina,
Vermont, Virginia, West Virginia, Puerto Rico, and the Virgin
Islands; for employees in Bureau of Export Administration, Economic
Development Administration, Minority Business Development Agency, and
International Trade Administration in the States of Alabama,
Delaware, Florida, Georgia, Maryland, New Jersey, New York, North
Carolina, Pennsylvania, South Carolina, Tennessee, Virginia, West
Virginia, Puerto Rico, and the Virgin Islands: Human Resources
Manager, Eastern Administrative Support Center (EASC), National
Oceanic and Atmospheric Administration EC, 200 World Trade Center,
Norfolk, Virginia 23510, (757) 441-6517.
c. Mountain Region. For National Oceanic and Atmospheric
Administration employees in the States of Alaska, Colorado, Florida,
Hawaii, Idaho, and Oklahoma, at the South Pole and in American Samoa;
and for the National Weather Service employees in the States of
Alabama, Arkansas, Florida, Georgia, Louisiana, Mississippi, New
Mexico, Oklahoma, Tennessee, Texas and in Puerto Rico; for employees
in Bureau of Export Administration, Economic Development
Administration, Minority Business Development Agency, National
Institute of Standards and Technology, and National
Telecommunications and Information Administration in the States of
Arkansas, Colorado, Hawaii, Iowa, Louisiana, Missouri, Montana, South
Dakota, Texas, Utah and Wisconsin: Human Resources Office, Mountain
Administrative Support Center (MASC), MC22A, 325 Broadway, Boulder,
Colorado 80303-3328, (303) 497-3578.
d. Western Region. For National Oceanic and Atmospheric
Administration employees in the States of Arizona, California,
Montana, Nevada, Oregon, Utah, Washington, and the Trust Territories;
for employees in Bureau of Export Administration, Economic
Development Administration, Minority Business Development Agency, and
International Trade Administration in the States of Arizona,
California, Nevada, Oregon, Utah, Washington, and the Trust
Territories: Human Resources Manager, Western Administrative Support
Center (WASC), National Oceanic and Atmospheric Administration WC2,
7600 Sand Point Way, NE, Bin C15700, Seattle, Washington 98115-0070,
(206) 526-6057.
For all other records, information may be obtained from: Director
for Human Resources Management, U.S. Department of Commerce, Room
5001, 14th & Constitution Avenue, NW, Washington, DC 20230, (202)
482-4807.
Record access procedures:
Requests from individuals should be addressed to: Same address of
the desired location as stated in the Notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address for desired location.
Record source categories:
Subject individuals, those authorized by the individual tof
urnish information, supervisors, timekeepers, official personnel
records, and IRS.
COMMERCE/DEPT-2
System name:
Accounts Receivable--COMMERCE/DEPT-2.
System location:
a. For Departmental offices, BEA, ITA, and MBDA: Office of
Financial Operations and Travel Management, U.S. Department of
Commerce, 14th Street and Constitution Avenue, NW, Washington, DC
20230.
b. For NIST (including the Technology Administration) and NTIA:
National Institute of Standards and Technology, Office of the
Comptroller, Administration Building, Gaithersburg, Maryland 20899.
c. For NOAA and BXA: Office of Budget and Finance, National
Oceanic and Atmospheric Administration, 14th Street and Constitution
Avenue, NW, Washington, DC 20230.
d. For PTO: Office of Finance, U.S. Patent and Trademark Office,
2021 Jefferson Davis Highway, Arlington, Virginia 22202.
e. For CENSUS: Finance Division, Bureau of the Census Federal
Building 3, Washington, DC 20233.
f. For NTIS: Accounting Division, National Technical Information
Service, Springfield, Virginia 22161.
g. For EDA: Accounting Division, Economic Development
Administration, U.S. Department of Commerce, 14th Street and
Constitution Avenue, NW, Washington, DC 20230.
Categories of individuals covered by the system:
Debtors owing money to organizational components identified in a
through g above, including employees, former employees, business
firms, the general public, and institutions.
Categories of records in the system:
Name and address; amount owed; service to which the amount is
owed; overpayment or other accounting therefor; and invoice number,
if any.
Authority for maintenance of the system:
5 U.S.C. 5701-09; 31 U.S.C. 951-953, 4 CFR 102.4, FPMR 101-7;
Treasury Fiscal Requirements Manual.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--Billing debtors, reporting delinquent debts to credit
bureaus.
--Reporting to Office of Personnel Management for liquidating
debts from retirement and other benefits.
--Disclosure of information from this system of records may
also be made to commercial contractors (debt collection agencies) for
the purpose of collecting delinquent debts as authorized by the Debt
Collection Act (31 U.S.C. 3718).
--Disclosure of information in this system of records to any
other Federal agency as necessary for the purpose of effecting
administrative offset against the debtor to recoup a delinquent debt
owed to the U.S. Government by the debtor.
--Disclosures to consumer reporting agencies pursuant to 5
U.S.C. 552a(b)(12) may be made from this system to ``consumer
reporting agencies'' as defined in the Fair Credit Reporting Act (15
U.S.C. 1681a(f)); and the Federal Claims Collection Act of 1966 (31
U.S.C. 3701(a)(3)).
--Also, see routine uses 1-5 and 8-13 of the Prefatory
Statement, found at 46 FR 63502, December 31, 1981.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Both manual and machine-readable records.
Retrievability:
By name, and invoice number as appropriate.
Safeguards:
Physical security, handling by authorized personnel only.
Retention and disposal:
Retained until payment is received and account is audited, then
disposed of in accordance with Records Control Schedule.
System manager(s) and address:
For records at location a: Director, Office of Financial
Operations and Travel Management, U.S. Department of Commerce,
Washington, DC 20230.
For records at location b: Comptroller, Office of the
Comptroller, National Institute of Standards and Technology,
Administration Building, Gaithersburg, Maryland 20899.
For records at location c: Director, Office of Budget and
Finance, NOAA, Room 6811, Herbert C. Building, 14th Street and
Constitution Avenue, NW, Washington, DC 20230.
For records at location d: Director, Office of Finance, U.S.
Patent and Trademark Office, Washington, DC 20231.
For records at location e: Associate Director for Administration,
Bureau of the Census, Federal Building 3, Washington, DC 20233.
For records at location f: Chief, Accounting Division, National
Technical Information Service, Springfield, Virginia 22161.
For records at location g: Chief, Accounting Division, Economic
Development Administration, U.S. Department of Commerce, 14th Street
and Constitution Avenue NW, Washington, DC 20230.
Notification procedure:
For ITA records at location a, information may be obtained from
Director, Office of Management and Systems, ITA, U.S. Department of
Commerce, Washington, DC 20230.
For all others at location a, information may be obtained from:
Chief, Information Management Division, Office of Information
Resources Management, U.S. Department of Commerce, Washington, DC
20230.
For records at location b, information may be obtained from:
Deputy Director of Administration, National Institute of Standards
and Technology, Gaithersburg, Maryland 20899.
For records at location c, information may be obtained from:
Director, Administrative and Technical Services, National Oceanic and
Atmospheric Administration, U.S. Department of Commerce, 14th Street
and Constitution Avenue, NW, Washington, DC 20230.
For PTO records at location d, information may be obtained from:
Assistant Commissioner for Administration, U.S. Patent and Trademark
Office, Washington, DC 20231.
For records at location e, information may be obtained from:
Associate Director for Administration, Bureau of the Census, Federal
Building 3, Washington, DC 20233.
For NTIS records at location f, information may be obtained from:
Associate Director for Financial and Administrative Management,
National Technical Information Service, Springfield, Virginia 22161.
For records at location g, information may be obtained from:
Director, Office of Public Affairs, EDA, U.S. Department of Commerce,
Washington, DC 20230.
Requester should provide name and address, and invoice number as
appropriate, pursuant to the inquiry provisions of the Department's
rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the Notification procedure section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Same address as stated in the Notification
procedure section above.
Record source categories:
Subject individual, those authorized by the individual to furnish
information, contracting officer as appropriate, accounting records.
COMMERCE/DEPT-3
System name: Conflict of Interest Records, Appointed Officials--
COMMERCE/DEPT-3.
System location:
Office of General Counsel, Room 5897, U.S. Department of
Commerce, Washington, DC 20230.
Categories of individuals covered by the system:
Individuals, past and present, appointed by the President to
Commerce Department offices and other senior level officers of the
Department.
Categories of records in the system:
Statement of personal and family shareholding and other interests
in business enterprises; copies of blind trust and other agreements
pertaining to such interests; correspondence as to insulation of
control of such interests; opinions of counsel; and confirmation
materials.
Authority for maintenance of the system:
5 U.S.C. 301, 18 U.S.C. 208, 28 U.S.C. 533-535, 44 U.S.C. 3101,
E.O. 10450, and E.O. 11222.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See routine use paragraphs of Prefatory Statement, except
paragraphs 6, 8, and 10.
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 name.
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 whose official duties require access.
Retention and disposal:
Disposed of 6 years after separation of employee.
System manager(s) and address:
Assistant General Counsel for Administration, Room 5883, U.S.
Department of Commerce, Washington, DC 20230.
Notification procedure:
Information may be obtained from: Assistant General Counsel for
Administration, U.S. Department of Commerce, Washington, DC 20230.
Requester should provide name, and date of appointment pursuant to
the inquiry provisions of the Department's rules which appear in 15
CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the Notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
The subject individual, financial institutions involved, counsel,
and those authorized by the individual to furnish information.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(5), all investigatory material in
the record which meets the criteria of 5 U.S.C. 552a(k)(5) is
exempted from the notice, access, and contest requirements (under 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f)) of
the agency regulations in order to fulfill commitments made to
protect the confidentiality of sources, and to maintain access to
sources of information which are necessary to determine suitability
for employment.
COMMERCE/DEPT-4
System name: Congressional Files--COMMERCE/DEPT-4.
System location:
a. Office of the Assistant Secretary for Congressional Affairs,
U.S. Department of Commerce, 14th and Constitution Avenue, NW,
Washington, DC 20230.
b. Office of the Director of Congressional and Public Affairs,
National Telecommunications and Information Administration, 1800 G
Street, NW, Washington, DC 20504.
Categories of individuals covered by the system:
Members of Congress.
Categories of records in the system:
Biographical information from sources such as the Congressional
Quarterly, Almanac of American Politics, Congressional Directory,
biographies provided by Members' Offices, extracts from the
Congressional Record, and correspondence between the Members and the
Department.
Authority for maintenance of the system:
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:
See routine use paragraphs 1-5, 8, 10, and 12 of Prefatory
Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained in paper form only.
Retrievability:
Indexed by name of Member or State or Congressional District.
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 whose official duties require access.
Retention and disposal:
The records are retained in accordance with the Office's Record
Control Schedule.
System manager(s) and address:
For records at location a.: Assistant Secretary for Congressional
Affairs, U.S. Department of Commerce, 14th and Constitution Avenue,
NW, Washington, DC 20230.
For records at location b.: Director of Congressional and Public
Affairs, National Telecommunications and Information Administration,
U.S. Department of Commerce, 1800 G Street, NW, Washington, DC 20504.
Notification procedure:
For records at location a.: Information may be obtained from:
Departmental Office of Organization and Management Systems, OS, U.S.
Department of Commerce, 14th and Constitution Avenue, NW, Washington,
DC 20230.
For records at location b.: Information may be obtained from:
Privacy Officer, National Telecommunications and Information
Administration, U.S. Department of Commerce, 1800 G Street, NW,
Washington, DC 20504. Requester should provide name of Member
pursuant to the inquiry provisions of the Department's rules which
appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the Notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Published Congressional reference materials and the Member,
himself or herself.
COMMERCE/DEPT-5
System name: Freedom of Information and Privacy Request
Records--COMMERCE/DEPT-5.
System location:
a. For FOIA request records of CENSUS: Planning and Security
Office, Bureau of the Census, Federal Building 3, Suitland, MD 20233.
b. For FOIA and PA request records of ITA: Office of Management
and Systems, ITA, Room 3102, U.S. Department of Commerce, Washington,
DC 20230.
c. For FOIA and PA requests for EDA Office of Public Affairs,
U.S. Department of Commerce, Washington, DC 20230.
d. For FOIA request records of NOAA: Freedom of Information
Request Control Desk, National Oceanic and Atmospheric
Administration, 6010 Executive Boulevard, Rockville, MD 20852.
e. For FOIA request records of NTIA: Freedom of Information
Request Control Desk, National Telecommunications and Information
Administration, 1800 G Street, NW, Washington, DC 20504.
f. For PA request records of the Office of the Secretary: Office
of Organization and Management Systems, U.S. Department of Commerce,
Washington, DC 20230.
g. For FOIA and PA request records of PTO: Office of the
Solicitor, U.S. Patent and Trademark Office, 2121 Crystal Drive,
Suite 918, Arlington, VA 22202.
Categories of individuals covered by the system:
Individuals who have requested records under the Freedom of
Information and/or Privacy Acts contained in files maintained by the
organizational units shown in the System Location paragraph above.
Categories of records in the system:
Incoming requests; correspondence developed during processing of
requests; initial and final determination letters; records
summarizing pertinent facts about requests and action taken; copy or
description of records released; description of records denied
(copies of records denied are not kept with these files).
Authority for maintenance of the system:
5 U.S.C. 301, 5 U.S.C. 552, 5 U.S.C. 552a and 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Used by Department
management and legal personnel to assure that each request receives
an appropriate reply and to compile data for the required annual
reports on activities under the Acts. General routine uses of the 1-
5, 9, 12, and 13 of the Prefatory Statement also apply.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
At all locations: Paper records in file folders or loose-leaf
binders.
Retrievability:
At location b.: By control number assigned to each request based
on date of receipt.
At all other locations: Alphabetically by name of requester.
Safeguards:
At all locations: Privacy Act request records are stored in file
cabinets in secured premises with access limited to those whose
official duties require access. Freedom of Information request
records are generally available to the public.
Retention and disposal:
Records are disposed of in accordance with the appropriate
records disposition authorization approved by the Archivist of the
United States.
System manager(s) and address: For records at location a.:
Associate Director for Administration, Bureau of the Census.
For records at location b.: Privacy Act Officer, ITA.
For records at location c.: Director, Office of Public Affairs,
EDA.
For records at location d.: Assistant Administrator for
Management and Budget, NOAA.
For records at location e.: Director, Office of Administration,
NTIA.
For records at location f.: Director, Office of Organization and
Management Systems, U.S. Department of Commerce.
For records at location g.: Deputy Solicitor, Box B, U.S. Patent
and Trademark Office, Washington, DC 20231.
For each system manager, use the same address as shown for that
unit in the System Location section above.
Notification procedure:
For records at locations a., b., c., d., and f.: Same individual
and address for each as shown in System Manager section above.
For records at location e.: Privacy Officer, NTIA, same address
as shown in System Manager section above.
Requestor should provide name and address pursuant to the inquiry
provisions of the Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to same address as
stated in the Notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
The individual making the request, and records derived from the
processing of Freedom of Information and Privacy Act requests.
COMMERCE/DEPT-6
System name: Visitor Logs and Permits for Facilities Under
Department Control--COMMERCE/DEPT-6.
System location:
National Bureau of Standards: Security Office, Administration
Building, Washington, DC 20234; and Physical Security Office, Radio
Building, NBS, Boulder, Colorado 80302.
Categories of individuals covered by the system:
Non-Federal visitors, Federal personnel entering facilities after
duty hours, and employees seeking parking and firearm permits.
Categories of records in the system:
Name, address, place of birth, citizenship, physical
characteristics, type and number of firearms and amount of
ammunition, purpose of visit, affiliation, time in and time out,
license numbers, and records of violations.
Authority for maintenance of the system:
5 U.S.C. 301; 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See routine use paragraphs 1-5 and 8-13 of Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Retrievability:
Filed alphabetically by name, or date and time.
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 whose official duties require access.
Retention and disposal:
Retained on site for five years, then disposed of in accordance
with unit's Record Control Schedule.
System manager(s) and address:
Security Officer, National Bureau of Standards, Washington, DC
20234.
Notification procedure:
Information may be obtained from Deputy Director of
Administration, Room A1105, Administration Building, National Bureau
of Standards, Washington, DC 20234.
Requesters should provide name and address, date of visit or type
of permit, as appropriate, in accordance with the inquiry provisions
of the Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the Notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual, those authorized by the individual to furnish
information, and employers.
COMMERCE/DEPT-7
System name: Employee Accident Reports--COMMERCE/DEPT-7.
System location:
a. For employees of Departmental Offices, BEA, BIE, and USTS:
Office of Administrative Services, U.S. Department of Commerce,
Washington, DC 20230.
b. For employees of ITA: Office of Administrative Support,
International Trade Administration, Washington, DC 20230.
c. For employees of EDA: Office Service Division, Economic
Development Administration, U.S. Department of Commerce, 14th and
Constitution Avenue, NW, Washington, DC 20230.
d. For employees of MBDA: Office of Planning, Budget and
Evaluation, Minority Business Development Agency, Washington, DC
20230.
e. For employees of NBS: Occupational Health and Safety Division,
Supply and Plant Building, NBS, Washington, DC 20234.
f. For employees of NOAA: Office of Administrative Operations,
National Oceanic and Atmospheric Administration, 6010 Executive
Blvd., Rockville, MD 20852.
g. For employees of NTIS: Facilities Management Division,
National Technical Information Service, Springfield. VA 22161.
h. For employees of PAT-TM: Office of General Services, U.S.
Patent and Trademark Office, 2021 Jefferson Davis Highway, Arlington,
VA 22202.
i. For employees of CENSUS: Administrative Service Division,
Bureau of the Census, Building 4, Washington, DC 20233.
j. For employees of NTIA: Office of Administration, National
Telecommunications and Information Administration, 1800 G Street, NW,
Washington, DC 20504.
Categories of individuals covered by the system:
All Department employees as categorized by organization component
in a through j above, who have sustained occupational injury/illness
or who have been involved in a motor vehicle accident while on
official Government business.
Categories of records in the system:
Name; address; home telephone number; date and place of birth;
sex; social security number; occupation; grade; location and
description of accident or injury; driving permit or license data;
physical condition at time of incident; insurance information;
vehicle ownership and licensing data.
Authority for maintenance of the system:
29 U.S.C. 651-78, 28 U.S.C. 2671-2680, Executive Order 12196.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See routine use
paragraphs of Prefatory Statement. Also, accident reports involving
Government vehicles are disclosed to the General Services
Administration, the custodian of Government vehicles; accident
information may also be disclosed to insurance carriers during
resolution of claims.
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 name.
Safeguards:
Records are located in lockable metal file cabinets with access
limited to those whose official duties require access.
Retention and disposal:
Disposed after 5 years.
System manager(s) and address:
For records at location a: Coordinator for Occupational Safety
and Health and Motor Management, Departmental Office of
Administrative Services, U.S. Department of Commerce, Washington, DC
20230.
For records at location b.: Director, Office of Administrative
Support, International Trade Administration, Washington, DC 20230.
For records at location c.: Chief, Office Service Division,
Economic Development Administration, U.S. Department of Commerce,
14th and Constitution Avenue, NW, Washington, DC 20230.
d. For records at location: Assistant Director, Office of
Planning, Budget, and Evaluation, Minority Business Development
Agency, Washington, DC 20230.
e. For records at location: Safety and Health Manager, Supply and
Plant Building, NBS, Washington, DC 20234.
f. For records at location: Safety Engineer, Office of
Administrative Operations, National Oceanic and Atmospheric
Administration, Rockville, MD 20852.
g. For records at location: Chief, Facilities Management
Division, National Technical Information Service, Springfield, VA
22161.
h. For records at location: Director, Office of General Services,
U.S. Patent and Trademark Office, Washington, DC 20231.
i. For records at location: Associate Director for
Administration, Bureau of the Census, Federal Building 3, Washington,
DC 20233.
j. For records at location: Safety Officer, Office of
Administration, National Telecommunications and Information
Administration, 1800 G Street, NW, U.S. Department of Commerce,
Washington, DC 20504.
Notification procedure:
For Departmental office records at location a., information may
be obtained from: Director, Office of Organization and Management
Systems, OS, U.S. Department of Commerce, Washington, DC 20230;
For BEA records at location a., information may be obtained from:
Chief, Management and Organization Branch of Administration, BEA,
Tower Building, 1401 K Street, NW, Washington, DC 20230;
For BIE records at location a., information may be obtained from:
Administrative Officer, BIE Room 4845, 14th & Constitution Avenue,
NW, Washington, DC 20230;
For USTS records at location a., information may be obtain from:
Director, Office of Administration, United States Travel Service,
Washington, DC 20230.
For records at location b., information may be obtain from:
Privacy Act Officer, Office of Management and Systems, International
Trade Administration, Room 3102, U.S. Department of Commerce,
Washington, DC 20230;
For records at location c., information may be obtain from:
Director, Office of Public Affairs, Economic Development
Administration, U.S. Department of Commerce, 14th and Constitution
Avenue, NW, Washington, DC 20230.
For records at location d., information may be obtain from:
Privacy Officer, Office of Chief Counsel, Minority Business
Development Agency, Washington, DC 20230;
For records at location e., information may be obtain from:
Deputy Director of Administration, Room A1105, Administration
Building, National Bureau of Standards, Washington, DC 20234;
For records at location f., information may be obtain from:
Assistant Administrator for Management and Budget, National Oceanic
and Atmospheric Administration, Rockville, MD 20852;
For records at location g., information may be obtain from:
Associate Director for Financial and Administrative Management,
National Technical Information Service, Springfield, VA 22161;
For records at location h., information may be obtain from:
Assistant Commissioner for Administration, U.S. Patent and Trademark
Office, Washington, DC 20231;
For records at location i., information may be obtain from:
Associate Director for Administration, Bureau of the Census, Federal
Building 3, Washington, DC 20233;
For records at location j., information may be obtain from:
Privacy Officer, National Telecommunications and Information
Administration, 1800 G Street, NW, U.S. Department of Commerce,
Washington, DC 20504.
Requester should provide name and approximate date of accident
pursuant to the inquiry provisions of the Department's rules which
appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address of
the desired location as stated in the Notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address for desired location.
Record source categories:
Subject individual, those authorized by the individual to furnish
information; others involved in accident; witnesses; employee's
supervisor; and, the safety officer.
COMMERCE/DEPT-8
System name: Employee Applications for Motor Vehicle Operator's
Card--COMMERCE/DEPT-8.
System location: a. For employees of Departmental offices, BEA,
BIE, MBDA, NTIA, offices of Federal Cochairmen, and USTS: Office of
Administrative Services, U.S. Department of Commerce, Washington, DC
20230
b. For employees of ITA: Office of Administrative Support,
International Trade Administration, Washington, DC 20230.
c. For employees of EDA: Office Service Division, Economic
Development Administration, U.S. Department of Commerce, 14th and
Constitution Avenue, NW, Washington, DC 20230.
d. For employees of NBS and NTIS: Occupational Health and Safety
Division, Supply and Plant Building, Washington, DC 20234; and Staff
Services Office, Radio Building, NBS, Boulder, Colorado 80302.
e. For employees of NOAA: Office of Administrative Operations,
National Oceanic and Atmospheric Administration, Rockville, MD 20852.
f. For employees of PAT-TM: Office of General Services, U.S.
Patent and Trademark Office, 2021 Jefferson Davis Highway, Arlington,
Virginia 22202.
g. For employees of CENSUS: Administrative Service Division,
Bureau of the Census, Federal Building 4, Washington, DC 20233; and
the following Census Regional Offices: 1365 Peachtree Street, NE,
Atlanta, Georgia 30309; 441 Stuart Street, Boston, Massachusetts
02116; 230 South Tryon Street, Charlotte, North Carolina 28202; 55
East Jackson Boulevard, Chicago, Illinois 60604; 1100 Commerce
Street, Dallas, Texas 75242; 575 Union Boulevard (PO Box 25207),
Denver, Colorado 80225; 231 W. Lafayette, Detroit, Michigan 48226;
One Gateway Center, 4th and State Streets, Kansas City, Kansas 66101;
11777 San Vicente Boulevard, Los Angeles, California 90049; 26
Federal Plaza, New York City, New York 10278, 600 Arch Street,
Philadelphia, Pennsylvania 19106; and 1700 Westlake Avenue, Seattle,
Washington 98109.
Categories of individuals covered by the system: All Department
employees as categorized by organizational components in a through g
above, who are seeking or holding a Federal vehicle operator permit.
Categories of records in the system: Name; position title; date
and place of birth; physical characteristics; social security number,
summary of driving record, including all arrests, traffic citations
and accidents for the past five years; hearing and visual acuity
examination report; road test results; and medical history.
Authority for maintenance of the system: 40 U.S.C. 471; E.O. 9397.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See routine use
paragraphs 1-6 and 9-13 in the Prefatory Statement. Also, information
is transmitted to the Department of Transportation with request for
suitability check.
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 name.
Safeguards:
Records are located in lockable metal file cabinets with access
limited to those whose official duties require access.
Retention and disposal: Disposed of when re-issued at the end of
three years or upon employee's termination of employment.
System manager(s) and address: For records at location a.:
Coordinator for Occupational Safety and Health and Motor Management,
Departmental Office of Administrative Services, U.S. Department of
Commerce, Washington, DC 20230.
For records at location b.: Director, Office of Administrative
Support, International Trade Administration, Washington, DC 20230.
For records at location c.: Chief, Office Service Division,
Economic Development Administration, U.S. Department of Commerce,
14th and Constitution Avenue, NW, Washington, DC 20230.
For records at location d.: Safety and Health Manager, Supply and
Plant Building, National Bureau of Standards, Washington, DC 20234;
and Safety Engineer, Radio Building, NBS, Boulder, Colorado 80302.
For records at location e.: Motor Fleet Manager, Office of
Administrative Operations, National Oceanic and Atmospheric
Administration, Rockville, MD 20852.
For records at location f.: Director, Office of General Services,
U.S. Patent and Trademark Office, Washington, DC 20231.
For records at location g.: Associate Director for
Administration, Bureau of the Census, Federal Building 3, Washington,
DC 20233.
Notification procedure:
For BEA records at location a., information may be obtained from:
Chief, Management and Organization Branch BEA, Tower Building, 1401 K
Street, NW, Washington, DC 20230;
For BIE records at location a., information may be obtained from:
Administrative Officer, BIE, Room 4845, 14th & Constitution Avenue,
NW, Washington, DC 20230;
For MBDA records at location a., information may be obtained
from: Privacy Officer, Office of Chief Counsel MBDA, U.S. Department
of Commerce, Washington, DC 20230;
For NTIA records at location a., information may be obtained
from: Privacy Officer, NTIA, U.S. Department of Commerce, Washington,
DC 20504;
For USTS records at location a., information may be obtained
from: Director, Office of Administration, USTS, U.S. Department of
Commerce, Washington, DC 20230; and
For all other records at location a., information may be obtained
from: Director, Office of Organization and Management Systems, U.S.
Department of Commerce, Washington, DC 20230.
For records at location b., information may be obtained from:
Privacy Act Officer, Office of Management and Systems, International
Trade Administration, Room 3102, U.S. Department of Commerce,
Washington, DC 20230.
For records at location c., information may be obtained from:
Director, Office of Public Affairs, Economic Development
Administration, U.S. Department of Commerce, 14th and Constitution
Avenue, NW, Washington, DC 20230.
For records at location d., information may be obtained from:
Deputy Director of Administration, Room A1105, Administration
Building, National Bureau of Standards, Washington, DC 20234.
For records at location e., information may be obtained from:
Assistant Administrator for Management and Budget, National Oceanic
and Atmospheric Administration, Rockville, Maryland 20852.
For records at location f., information may be obtained from:
Assistant Commissioner for Administration, U.S. Patent and Trademark
Office, Washington, DC 20231.
For records at location g., information may be obtained from:
Associate Director for Administration, Bureau of the Census, Federal
Building 3, Washington, DC 20233.
Requester should provide name, organizational unit, and
approximate date of employment pursuant to the inquiry provisions of
the Department's rules which appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address of the desired location as stated in the
Notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual, those authorized by the individual to
furnish information, motor vehicle departments in individual's state,
and National Driver Register of the Department of Transportation.
COMMERCE/DEPT-9
System name: Travel Records (Domestic and Foreign) of Employees
and Certain Other Persons--COMMERCE/DEPT-9.
System location:
a. For employees of Departmental Offices, BEA, Census (for travel
paid on or after July 1, 1982), EDA, ITA, MBDA, NBS, NOAA (except
employees of NOAA regional offices listed in c. below), NTIA, NTIS,
PTO, USTTA, members of DOC Advisory Committees; and private citizens
invited to visit the Department: Management Service Center, U.S.
Department of Commerce, Caller Service No. 6025, Germantown, Maryland
20874.
b. For employees of CENSUS (for travel paid prior to July 1,
1982); Finance Division, Bureau of the Census, Federal Building 3,
Washington, DC 20233 and the following Regional Offices for
intermittent CENSUS employees: 1365 Peachtree Street, NE, Atlanta,
Georgia 30309; 441 Stuart Street, Boston, Massachusetts 02116; 230
South Tryon Street, Charlotte, North Carolina 28202; 55 East Jackson
Boulevard, Chicago, Illinois 60604; 1100 Commerce Street, Dallas,
Texas 75242; 7655 W. Mississippi Avenue (PO Box 26750), Denver,
Colorado 80226; 231 W. Lafayette, Detroit, Michigan 48226; One
Gateway Center, 4th and State Streets, Kansas City, Kansas 66101;
11777 San Vicente Boulevard, Los Angeles, California 90049; 26
Federal Plaza, New York City, New York 10278; 600 Arch Street,
Philadelphia, Pennsylvania 19106; and 1700 Westlake Avenue, Seattle,
Washington 98109.
For employees of NOAA regional offices: DOC/NOAA/EASC, RAS/EC5,
235 Monticello Avenue, Norfolk, Virginia 23510; DOC/NOAA/MASC, RAS/
MC7 Room 5524, 325 Broadway, Boulder, Colorado 80303; DOC/NOAA/WASC,
RAS/WC5, Operations Building, 7600 Sand Point Way, NE, Seattle,
Washington 98115; and DOC/NOAA/CASC, RAS/CC5, Federal Building, Room
1758, 601 E. 12th Street, Kansas City, Missouri 64106.
Categories of individuals covered by the system:
Employees, Advisory Committee Members, and official guests of the
Department.
Categories of records in the system:
Name, address, social security number, destination, itinerary,
mode and purpose of travel; dates; expenses including amounts
advanced (if any), amounts claimed, and amounts reimbursed; travel
orders, travel vouchers, receipts, and passport record card.
Authority for maintenance of the system:
Budget and Accounting Act of 1921; Accounting and Auditing Act of
1950; and Federal Claim Collection Act of 1966.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Transmittal to U.S. Treasury for payment, to State Department for
passports. Disclosure of information from this system of records may
also be made to commercial contractors (debt collection agencies) for
the purpose of collecting delinquent debts as authorized by the Debt
Collection Act (31 U.S.C. 3718). Also, see paragraphs 1-5 and 9-13 of
the Prefatory Statement.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be
made from this system to ``consumer reporting agencies'' as defined
in their Fair Credit Reporting Act (15 U.S.C. 1681a(f)), and the
Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual and machine-readable.
Retrievability:
Filed by name, social security number, or travel order number.
Safeguards:
Records are located in lockable metal file cabinets or in secured
rooms or secured premises with access limited to those whose official
duties require access.
Retention and disposal:
Retained according to GSA Federal Travel Regulations, and then
disposed of according to unit's Records Control Schedule.
System manager(s) and address:
For records at location a., Director, Management Service Center,
U.S. Department of Commerce, Caller Service No. 6025, Germantown,
Maryland 20874.
For records at location b., Associate Director for
Administration, Bureau of the Census, Federal Building 3, Washington,
DC 20233 and the Director of the particular Regional Office listed
above.
Notification procedure:
For BEA records at location a., information may be obtained from:
Chief, Management and Organization Branch, BEA Tower Building, 1401 K
Street, NW, Washington, DC 20230;
For Census records at location a. and b., information may be
obtained from: Associate Director for Administration, Bureau of the
Census, Federal Building 3, Washington, DC 20233;
For EDA records at location a., information may be obtained from:
Director, Office of Public Affairs, EDA, U.S. Department of Commerce,
14th and Constitution Avenue, NW, Washington, DC 20230;
For ITA records at location a., information may be obtained from:
Director, Office of Management and Systems, ITA, U.S. Department of
Commerce, Washington, DC 20230;
For MBDA records at location a., information may be obtained
from: Privacy Officer, Office of Chief Counsel, MBDA, U.S. Department
of Commerce, Washington, DC 20230;
For NBS records at location a., information may be obtained from:
Deputy Director of Administration, Room A1105, Administration
Building, National Bureau of Standards, Washington, DC 20234.
For NOAA records at locations a. and c., information may be
obtained from: Director, Administrative and Technical Services,
National Oceanic and Atmospheric Administration, Room 4213, Herbert
C. Hoover Building, 14th and Constitution Avenue, NW, Washington, DC
20230;
For NTIA records at location a., information may be obtained
from: Privacy Officer NTIA, U.S. Department of Commerce, Washington,
DC 20504.
For PTO records at location a., information may be obtained from:
Assistant Commissioner for Administration, U.S. Patent and Trademark
Office, Washington, DC 20231.
For USTTA records at location a., information may be obtained
from: Director, Office of Administration, USTTA, U.S. Department of
Commerce, Washington, DC 20230; and
For all other records at location a., information may be obtained
from: Chief, Information Management Division, Office of Information
Resources Management, U.S. Department of Commerce, Washington, DC
20230.
Requester should provide name, travel order number, if known, and
date of travel, in accordance with the inquiry provisions of the
Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests should be address to: Same address as stated in the
Notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual, those authorized by the individual to furnish
information, supervisors, and finance (or accounting) office standard
references.
COMMERCE/DEPT-10
System name: Executive Correspondence Files--COMMERCE/DEPT-10.
System location:
a. For Office of the Secretary correspondence: Executive
Secretariat and Office of Information Management (Computer Services
Division); U.S. Department of Commerce; 14th & Constitution Avenue,
NW., Washington, DC 20230.
b. For EDA correspondence: Executive Secretariat, EDA, Room 7227,
14th and Constitution Avenue, NW., Washington, DC 20230.
c. For MBDA correspondence: MBDA Secretariat, Room 5083, 14th and
Constitution Avenue, NW., Washington, DC 20230.
d. For NOAA correspondence: Executive Secretariat, Office of the
Administrator, NOAA, Room 5807, 14th and Constitution Avenue, NW.,
Washington, DC 20230. Records on magnetic tape are also temporarily
located at the contractor's installation: Dialcom Inc., 1104 Spring
Street, Silver Spring, MD 20910.
e. For PTO correspondence: Office of the Commissioner of Patents
and Trademarks, U.S. Patent and Trademark Office, 2021 Jefferson
Davis Highway, Arlington, Virginia 22202.
Categories of individuals covered by the system:
(a) Individuals who correspond with the Secretary of Commerce,
and the Deputy Secretary, and individuals whose correspondence has
been referred by the White House, other Executive agencies or Members
of Congress to the Secretary or Deputy Secretary for response.
(b) Individuals who correspond with top level officials in EDA,
MBDA, NOAA, and PTO. In these categories the individuals include only
those who express views or seek information or assistance. Freedom of
Information Act or Privacy Act requests are not indexed in this
system (See Freedom of Information and Privacy Request Records--
COMMERCE/DEPT-5).
Categories of records in the system:
The system may include the name and address or correspondent,
summary of subject matter, original correspondence, official
response, referral letters, memoranda or notes concerning the subject
of the correspondence, or copies of any enclosures. The records in
the system are arranged numerically by control number assigned to
each item of correspondence.
Authority for maintenance of the system:
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:
Used by personnel in the Office of the Secretary, Executive
Secretariat, and administrative offices of each operating unit of the
Department to assure that each request receives an appropriate and
timely reply and to prepare statistical reports for management on
correspondence volume or topics of public interest. Information from
or copies of the records may be provided to the original addresses of
the original correspondence. General routine uses of the Prefatory
Statement also apply.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained in paper form and on diskettes and magnetic tape.
Retrievability:
By agency responsibility, by control number, by correspondent's
name, by subject, by addressee, by category of writer (e.g., Member
of Congress, White House staff, Cabinet member, mayor, citizen) by
category of correspondence, by Executive Secretariat analysts'
identification code, by type of priority for response time, by date,
or possibly by city and state of correspondent's address.
Safeguards:
Paper records, disk, and magnetic tape as stored in file cabinets
on secured premises with access limited to personnel whose official
duties require access.
Retention and disposal:
Records are disposed of in accord with the appropriate records
disposition schedule approved by the Archivist of the United States.
System manager(s) and address:
For records at location a.: Director, Executive Secretariat,
Office of the Secretary, U.S. Department of Commerce, Washington, DC
20230. for records at location b.: Chief, Executive Secretariat, EDA,
Room 7227, 14th and Constitution Avenue NW., Washington, DC.
For records at location c.: Chief, MBDA Secretariat, Room 5083,
14th and Constitution Avenue NW., Washington, DC 20230. For records
at location d.: Director, Executive Secretariat, Office of the
Administrator, National Oceanic and Atmospheric Administration,
Washington, DC 20230. For records at location e.: Commissioner of
Patents and Trademarks, U.S. Patent and Trademark Office, 2021
Jefferson Davis Highway, Arlington, Virginia 22202.
Notification procedure:
For records at location a., information may be obtained from the
Director, Office of Management and Organization, U.S. Department of
Commerce, Washington, DC 20230. For records at location b.,
information may be obtained from the Director, Office of Public
Affairs, EDA, U.S. Department of Commerce, Washington, DC 20230.
For records at location c., information may be obtained from the
Privacy Officer, Office of Chief Counsel, MBDA, U.S. Department of
Commerce, Washington, DC 20230.
For records at location d., information may be obtained from the
Assistant Administrator for Management and Budget, NOAA, 6010
Executive Boulevard, Rockville, Maryland 20852. For records at
location e., information may be obtained from the Solicitor, U.S.
Patent and Trademark Office, Washington, DC 20231.
All requests for information should provide the correspondent's
name as included in original correspondence, or provide any items
listed under the retrievability section above pursuant to the inquiry
provisions of the Department's rules that appear in 15 CFR part 4b.
Record access procedures:
Request for access and disclosures should be addressed to the
same address as stated in the Notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
for appealing initial determination by the individual concerned
appear in 15 CFR part 4b. Requests for correction should be addressed
to manager as shown above.
Record source categories:
The correspondent, referral source, Department employees involved
in processing the correspondence, and other individuals, as required
to prepare an appropriate response.
COMMERCE/DEPT-11
System name: Candidates for Membership, Members, and Former
Members of Department of Commerce Advisory Committees.
System location: Office of the Secretary, Room 5716, U.S.
Department of Commerce, Washington, DC 20230.
Categories of individuals covered by the system: Individuals
recommended for membership on advisory committees, current members
and former members of advisory committees.
Categories of records in the system: Resume information: Name, home
address, business address, educational and employment histories,
awards and honors received, age, date of birth, and other
biographical information; records of appointment, expiration of the
appointment, and correspondence including letters of recommendation.
Authority for maintenance of the system: 5 U.S.C. 301, Pub.L. 92-
463.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See general
routine uses 1, 2, 3, 5, and 9 of the Prefatory statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper hard copy, diskettes for use on word processing
equipment.
Retrievability: Data is filed by committee. An alphabetical card
file index of candidates, members, and former members' names is used
to retrieve data. This index is also on diskette to retrieve
information on word processing equipment.
Safeguards: Records are located in a locked office. Paper records
and diskettes are in locked file cabinets. Access to data on the word
processor is by password.
Retention and disposal: Records will be maintained indefinitely.
System manager(s) and address: Confidential Assistant, Office of
the Secretary, Room 5716, U.S. Department of Commerce, Washington, DC
20230.
Notification procedure: Information may be obtained from: Director,
Office of Organization and Management Systems, O/S, U.S. Department
of Commerce, Washington, DC 20230. Requestor should provide name and
address, pursuant to the Department's rules which appear in 15 CFR
part 4b.
Record access procedures: Requests from individuals should be
addressed to: The address listed in the notification section above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual appear in 15 CFR part 4b. Use the address given in the
notification section above.
Record source categories:
Individual candidate or member, persons recommending candidates
and those authorized by the individual to provide information.
COMMERCE/DEPT-12
System name: Investigative and Inspection Records--COMMERCE/
DEPT-12.
System location:
Office of Inspector General, U.S. Department of Commerce, 14th
and Constitution Avenue, NW, Washington, DC 20230.
Categories of individuals covered by the system:
a. Current and former employees of the Department of Commerce and
such other persons whose association with the Department relates to
the alleged violations of the Department's rules of conduct, the
Civil Service merit system, or any other criminal or civil
misconduct, which affects the integrity or facilities of the
Department of Commerce. The names of individuals and the files in
their names may be: (1) Received by referral; or (2) initiated at the
discretion of the Inspector General in the conduct of assigned
duties.
b. Individuals who are: Witnesses; complainants; confidential or
nonconfidential informants; suspects; defendants, parties who have
been identified by the Office of the Inspector General or by other
agencies, constituent units of the Department of Commerce and members
of the general public in connection with the authorized functions of
the Inspector General.
c. Current and former Commerce officials who are the subject of
investigations initiated and conducted by the Office of the Inspector
General.
Categories of records in the system:
Letters, memoranda, and other documents citing complaints of
alleged criminal or administrative misconduct. Investigative files
which include: Reports of investigations to resolve allegations of
misconduct or violations of law with related exhibits, statements,
affidavits or records obtained during investigations; prior criminal
or noncriminal records of individuals as they relate to the
investigations; reports of actions taken by management personnel
regarding misconduct; and reports from or to other law enforcement
bodies.
Authority for maintenance of the system:
Inspector General Act of 1978 (Pub. L. 95-462); Executive Orders
12065 and 10450; 44 U.S.C. 3101; 28 U.S.C. 535; 18 U.S.C. including
Sections 201, 202, 205, 207, 208, 209, 210, 211, 219, 285, 287, 508,
595, 600, 602, 603, 604, 607, 608, 641, 643, 653, 654, 798, 1001,
1719, 1905, 1913, 1917, 1918, 2071, 2073; 5 U.S.C. including Sections
301, 2302, 7311, 7324, 7352; 15 U.S.C. 1512; 31 U.S.C. 638(a)(c).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine use for law enforcement purposes will include disclosure
to the appropriate agency, whether Federal, State, local, foreign, or
international, charged with the responsibility for investigating or
prosecuting a violation of any law, rule, regulation or order.
Routine use for law enforcement purposes will also include disclosure
to individuals or to agencies, whether Federal, State, local, foreign
or international, when necessary to further the ends of an
investigation. Disclosure of information from this system of records
may also be made to commercial contractors (debt collection agencies)
for the purpose of collecting delinquent debts as authorized by the
Debt Collection Act (31 U.S.C. 3718). See routine use paragraphs 1-5
and 8-13 in Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders and automated storage media.
Retrievability:
Indices are alphabetical, cross referenced to file number.
Safeguards:
Locked cabinets in secured rooms or in guarded building, and used
only by authorized screened personnel.
Retention and disposal:
When cases are closed records are disposed of in accordance with
the unit's Records Control Schedule.
System manager(s) and address:
Counsel to the Inspector General, Office of Inspector General,
U.S. Department of Commerce, Washington, DC 20230.
Notification procedure:
Information may be obtained from: Counsel to the Inspector
General, Office of the Inspector General, U.S. Department of
Commerce, Washington, DC 20230. Requester should provide name and
association with the Department, if any, pursuant to the inquiry
provisions of the Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the Notification selection above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individuals: Office of Personnel Management, FBI and
other Federal, State, local, foreign and international agencies;
individuals and organizations that have pertinent knowledge about the
subject; and those authorized by the individual to furnish
information.
Systems exempted from certain provisions of the act:
Under 5 U.S.C. 552a(j)(2), the head of any agency may exempt any
system of records within the agency from certain provisions of the
Privacy Act of 1974, if the agency or component that maintains the
system performs as its principal function any activities pertaining
to the enforcement of criminal laws. The Inspector General Act of
1978, Pub. L. 95-462, mandates the Inspector General to recommend
policies for, and to conduct, supervise and coordinate activities in
the Department and between the Department and other Federal, State
and local government agencies with respect to all matters relating to
the prevention and detection of fraud in programs and operations
administered or financed by the Department, and to the identification
and prosecution of participants in such fraud. Under the Act,
whenever the Inspector General has reasonable grounds to believe
there has been a violation of Federal criminal law, the Inspector
General must report the matter expeditiously to the Attorney General.
In addition to these principal functions pertaining to the
enforcement of criminal laws, the Inspector General may receive and
investigate complaints on information from various sources concerning
the possible existence of activities constituting violations of law,
rules or regulations, or mismanagement, gross waste of funds, abuses
of authority or substantial and specific danger to the public health
and safety. The provisions of the Privacy Act of 1974 from which
exemptions are claimed under 5 U.S.C. 552a(j)(2) are as follows: 5
U.S.C. 552a(c) (3) and (4); 5 U.S.C. 552a(d); 5 U.S.C. 552a(e) (1),
(2) and (3); 5 U.S.C. 552a(e)(4) (G), (H), and (I); 5 U.S.C. 552a(e)
(5) and (8); 5 U.S.C. 552a(f); 5 U.S.C. 552a(g).
To the extent that the exemption under 5 U.S.C. 552a(j)(2) is
held to be invalid, then the exemptions under 5 U.S.C. 552a (k)(1),
(k)(2), and (k)(5) are claimed for all material which meets the
criteria of these three subsections.
Provisions of the Privacy Act of 1974 from which exemptions are
claimed under 5 U.S.C. 552a (k)(1), (k)(2) and (k)(5) are as follows:
5 U.S.C. 552a(c)(3); 5 U.S.C. 552a(d); 5 U.S.C. 552a(e)(1); 5 U.S.C.
552a(e)(4) (G), (H), and (I); 5 U.S.C. 552a(f).
Reasons for exemptions: In general, the exemption of this
information and material is necessary in order to accomplish the law
enforcement function of the Office of Inspector General, to prevent
disclosure of classified information as required by Executive Order
12065, to prevent subjects of investigations from frustrating the
investigatory process, to prevent the disclosure of investigative
techniques, to fulfill commitments made to protect the
confidentiality of sources, to maintain access to sources of
information, and to avoid endangering these sources and law
enforcement personnel. Detailed reasons follow: Reasons for
exemptions under 5 U.S.C. 552a(j)(2) and (k)(2);
(1) 5 U.S.C. 552a(c)(3) requires that upon request, an agency
must give an individual named in a record an accounting which
reflects the disclosure of the record to other persons or agencies.
This accounting must state the date, nature and purpose of each
disclosure of the record and the name and address of the recipient.
The application of this provision would alert subjects of an
investigation to the existence of the investigation and that such
persons are subjects of that investigation. Since release of such
information to subjects of an investigation would provide the
subjects with significant information concerning the nature of the
investigation, it could result in the alerting or destruction of
documentary evidence, improper influencing of witnesses, and other
activities that could impede or compromise the investigation.
(2) 5 U.S.C. 552a (c)(4), (d), (e)(4) (G) and (H), (f) and (g)
relate to an individual's right to be notified of the existence of
records pertaining to such individual; requirements for identifying
an individual who requests access to records; the agency procedures
relating to access to records and the contest of information
contained in such records; and the civil remedies available to the
individual in the event of adverse determinations by an agency
concerning access to or amendment of information contained in records
systems. This system is exempt from the foregoing provisions for the
following reasons: To notify an individual at the individual's
request of the existence of records in an investigative file
pertaining to such individual, or to grant access to an investigative
file could interfere with investigative and enforcement proceedings,
deprive co-defendants of a right to a fair trial or other impartial
adjudication, constitute an unwarranted invasion of personal privacy
of others, disclose the identity or confidential sources, reveal
confidential information supplied by these sources and disclose
investigative techniques and procedures.
(3) 5 U.S.C. 552a(e)(4)(I) requires the publication of the
categories of sources of records in each system of records. The
application of this provision could disclose investigative techniques
and procedures and cause sources to refrain from giving such
information because of fear or reprisal, or fear of breach of
promises of anonymity and confidentiality. This would compromise the
ability to conduct investigations, and to identify, detect, and
apprehend violators.
(4) 5 U.S.C. 552a(e)(I) requires each agency to maintain in its
records only such information about an individual that is relevant
and necessary to accomplish a purpose of the agency required by
statute or Executive Order. An exemption from the foregoing is
needed:
a. Because it is not possible to detect relevance or necessity of
specific information in the early stages of a criminal or other
investigation.
b. Relevance and necessity are questions of judgment and timing.
What appears relevant and necessary when collected may ultimately be
determined to be unnecessary. It is only after the information is
evaluated that the relevance and necessity of such information can be
established.
c. In any investigation the Inspector General may obtain
information concerning the violations of laws other than those within
the scope of his jurisdiction. In the interest of effective law
enforcement, the Inspector General should retain this information as
it may aid in establishing patterns of criminal activity, and provide
leads for those law enforcement agencies charged with enforcing other
segments of criminal or civil law.
d. In interviewing persons, or obtaining other forms of evidence
during an investigation, information may be supplied to the
investigator which related to matters incidental to the main purpose
of the investigation but which may relate to matters under the
investigative jurisdiction of another agency. Such information cannot
readily be segregated.
(5) 5 U.S.C. 552(e)(2) requires an agency to collect information
to the greatest extent practicable directly from the subject
individual when the information may result in adverse determinations
about an individual's rights, benefits, and privilege under Federal
programs. The application of the provision would impair
investigations of illegal acts, violations of the rules of conduct,
merit system and any other misconduct of the following reasons:
a. In certain instances the subject of an investigation cannot be
required to supply information to investigators. In those instances,
information relating to a subject's illegal acts, violations of rules
of conduct, or any other misconduct, etc., must be obtained from
other sources.
b. Most information colected about an individual under
investigation is obtained from third parties such as witnesses and
informers. It is not feasible to rely upon the subject of the
investigation as a source for information regarding his activities.
c. The subject of an investigation will be alerted to the
existence of an investigation if any attempt is made to obtain
information from subject. This could afford the individual the
opportunity to conceal any criminal activities to avoid apprehension.
d. In any investigation, it is necessary to obtain evidence from
a variety of sources other than the subject of the investigation in
order to verify the evidence necessary for successful litigation.
(6) 5 U.S.C. 552(a)(e)(3) requires that an agency must inform the
subject of an investigation who is asked to supply information of:
a. The authority under which the information is sought and
whether disclosure of the information is mandatory or voluntary,
b. The purposes for which the information is intended to be used,
c. The routine uses which may be made of the information, and
d. The effects on the subject, if any, of not providing the
requested information. The reasons for exempting this system of
records from the foregoing provision are as follows:
(i) The disclosure to the subject of the investigation as stated
in (b) above would provide the subject with substantial information
relating to the nature of the investigation and could impede or
compromise the investigation.
(ii) If the subject were informed of the information required by
this provision, it could seriously interfere with undercover
activities requiring disclosure of undercover agents' identity and
impairing their safety, as well as imparing the successful conclusion
of the investigation.
(iii) Individuals may be contracted during preliminary
information-gathering in investigations before any individual is
identified as the subject of an investigation. Informing the
individual of the matters required by this provision would hinder or
adversely affect any present or subsequent investigations.
(7) 5 U.S.C. 552a(e)(5) requires that records be maintained with
such accuracy, relevance, timeliness, and completeness as is
reasonably necessary to assure fairness to the individual in making
any determination about an individual. Since the law defines
``maintain'' to include the collection of information complying with
this provision would prevent the collection of any data not shown to
be accurate, relevant, timely, and complete at the moment of its
collection. In gathering information during the course of an
investigation it is not possible to determine this prior to
collection of the information. Facts are first gathered and then
placed into a logical order which objectively proves or disproves
criminal behavior on the part of the suspect. Material which may seem
unrelated, irrelevant, incomplete, untimely, etc., may take on added
meaning as an investigation progresses. The restrictions in this
provision could interfere with the preparation of a complete
investigative report.
(8) 5 U.S.C. 552a(e)(8) requires an agency to make reasonable
efforts to serve notice on an individual when any record of such
individual is made available to any persons; under compulsory legal
process when such process becomes a matter of public record. The
notice requirements of this provision could prematurely reveal an
ongoing criminal investigation to the subject of the investigation.
Reasons for exemptions under 5 U.S.C. 552a(k)(1):
(1) 5 U.S.C. 552a(c)(3) requires that an agency make accountings
of disclosures of records available to individuals named in the
record at their request. These accountings must state the date,
nature and purpose of each disclosure of the record and the name and
address of the recipient. The application of this provision would
alert subjects of an investigation to the existence of the
investigation, and that such persons are subjects of that
investigation, information which if known might cause damage to
national security.
(2) 5 U.S.C. 552a (d), (e)(4) (G) and (H), and (f) relate to an
individual's right to be notified of the existence of records
pertaining to such individual; requirements for identifying an
individual who requests access to records; and the agency procedures
relating to access to records, and the contest of information
contained in such records. This system is exempt from the foregoing
provisions for the following reasons: To notify an individual at the
individual's request of the existence of records in an investigative
file pertaining to such individual or to grant access to an
investigative file could interfere with investigations undertaken in
connection with national security; or could disclose the identity of
sources kept secret to protect national security or reveal
confidential information supplied by these sources.
(3) 5 U.S.C. 552a(3)(4)(I) requires the publication of the
categories of sources of records in each system of records. The
application of this provision could disclose the identity of sources
kept secret to protect national security.
(4) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual that is relevant
and necessary to accomplish a purpose of the agency required by
statute or Executive Order. An exemption from the foregoing is needed
:
a. Because it is not possible to detect relevance or necessity of
specific information in the early stages of an investigation
involving national security matters.
b. Relevance and necessity are questions of judgment and timing.
What appears relevant and necessary when collected may ultimately be
determined to be unnecessary. It is only after the information is
evaluated that the relevance and necessity of such information can be
established.
c. In any investigation the Inspector General may obtain
information concerning the violators of laws other than those within
the scope of his jurisdiction. In the interests of effective law
enforcement, the Inspector General should retain this information as
it may aid in establishing patterns of criminal activity, and provide
leads for those law enforcement agencies charged with enforcing other
segments of criminal or civil law.
d. In interviewing persons, or obtaining forms of evidence during
an investigation, information may be supplied to the investigator
which relate to matters incidental to the main purpose of the
investigation but which may relate to matters under the investigative
jurisdiction of another agency. Such information cannot readily be
segregated.
Reasons for exemptions under 5 U.S.C. 552a(k)(5):
(1) 5 U.S.C. 552a(c)(3) requires that an agency make accountings
of disclosures of records available to individuals named in the
records at their request. These accountings must stated the date,
nature and purpose of each disclosure of the record and the name and
address of the recipient. The application of this provision would
alert subjects of an investigation to the existence of the
investigation and that such persons are subjects of that
investigation. Since release of such information to subjects of an
investigation would provide the subject with significant information
concerning the nature of the investigation, it could result in the
altering or destruction of documentary evidence, improper influencing
of witnesses, and other activities that could impede or compromise
the investigation.
(2) 5 U.S.C. 552a(d), (e)(4)(G) and (H), and (f) relate to an
individual's right to be notified of the existence of records
pertaining to such individual; requirements for identifying an
individual who requests access to records; and the agency procedures
relating to access to records and the contest of information
contained in such records. This system is exempt from the foregoing
provisions for the following reasons: To notify an individual at the
individual's request of the existence of records in an investigative
file pertaining to such individual or to grant access to an
investigative file could interfere with investigative and enforcement
proceedings; co-defendants of a right to a fair trial; constitute an
unwarranted invasion of personal privacy of others; disclose the
identity of confidential sources and reveal confidential information
supplied by these sources; and disclose investigative techniques and
procedures.
(3) 5 U.S.C. 552a(e)(4)(I) requires the publication of the
categories of sources of records in each system of records. The
application of this provision could disclose investigative techniques
and procedures and cause sources to refrain from giving such
information because of fear of reprisal, or fear of breach of
promises of anonymity and confidentiality. This would compromise the
ability to conduct investigations, and to make fair and objective
decisions on questions of suitability for Federal employment and
related issues.
(4) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual that is relevant
and necessary to accomplish a purpose of the agency required by
statute or Executive Order. An exemption from the foregoing is
needed:
a. Because it is not possible to detect relevance or necessity of
specific information in the early stages of an investigation.
b. Relevance and necessity are questions of judgment and timing.
What appears relevant and necessary when collected may ultimately be
determined to be unnecessary. It is only after that information is
evaluated that the relevance and necessity of such information can be
established.
c. In any investigation the Inspector General may obtain
information concerning the violations of laws other than those within
the scope of his jurisdiction. In the interest of effective law
enforcement, the Inspector General should retain this information as
it may aid in establishing patterns of criminal activity, and provide
leads for those law enforcement agencies charged with enforcing other
segments of criminal or civil law.
d. In interviewing persons, or obtaining other forms of evidence
during an investigation, information may be supplied to the
investigator which relate to matters incidental to the main purpose
of the investigation but which may relate to matters under
investigative jurisdiction of another agency. Such information cannot
readily be segregated.
COMMERCE/DEPT-13
System name: Investigative and Security Records--COMMERCE/DEPT-
13.
System location:
Departmental Office of Security, OS, Herbert C. Hoover Building,
Washington, DC 20230.
Categories of individuals covered by the system:
Nominees, members, and former members of public advisory
committees, trade missions and export councils; employees, former
employees, and prospective employees; research associates; and guest
workers. Employees of contractors used, or which may be used, by the
Department on national security classified projects. Principal
officers of some contractors used, or which may be used by the
Department, principal officers and some employees of organizations,
firms, or institutions which were recipients or beneficiaries, or
prospective recipients or beneficiaries, of grants, loans, or loan
guarantee programs of the Department prior to May 9, 1980.
Categories of records in the system:
Name; address; date and place of birth; Social Security Number;
citizenship; physical characteristics; employment and military
service history; credit references and credit records; education;
medical history; arrest records; Federal employee relatives; dates
and purpose of visits to foreign countries; passport numbers; names
of spouses, relatives, references, and personal associates;
activities; and security; and suitability materials. This system does
not include records of EEO investigations. Such records are covered
in a government-wide system noticed by the Office of Personnel
Management and now the responsibility of the Equal Employment
Opportunity Commission. For assistance contact the Privacy Officer
for the Office of the Secretary.
Authority for maintenance of the system:
Executive Orders 10450, 11478, 12065, 5 U.S.C. 301 and 7531-332;
15 U.S.C. 1501 et. seq.; 28 U.S.C. 533-535; 44 U.S.C. 3101; and Equal
Employment Act of 1972.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information concerning nominees, members and former members of
public advisory committees may be disclosed: (a) To OMB in connection
with its committee management responsibilities; (b) to other Federal
agencies which have joint responsibility for advisory committees or
which receive or utilize advice of the committees; and (c) to a
Federal, state or local agency, private organization or individual as
necessary to obtain information in connection with a decision
concerning appointment or reappointment of an individual to committee
membership.
Information concerning (1) nominees, members, and former members
of trade missions and export councils; (2) current employees, former
employees, and prospective employees; (3) research associates; (4)
guest workers; (5) employees of contractors used, or which may be
used, by the Department on national security classified projects; (6)
principal officers of some contractors used, or which may be used, by
the Department; and (7) principal officers and some employees of
organizations, firms or institutions which are recipients or
beneficiaries or prospective recipients or beneficiaries of grants,
loans, guarantee or other assistance programs of the Department;--may
be disclosed to a private organization or individual as necessary to
obtain information in connection with a decision concerning the
assignment, hiring or retention of an individual, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit. Disclosure of information from this
system of records may also be made to commercial contractors (debt
collection agencies) for the purpose of collecting delinquent debts
as authorized by the Debt Collection Act (31 U.S.C. 3718). See
routine use paragraphs in Prefatory Statement.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be
made from this system to ``consumer reporting agencies'' as defined
in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)), and the
Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
Filed alphabetically by name.
Safeguards:
Locked cabinets in secure rooms in guarded buildings, and used
only by authorized screened personnel.
Retention and disposal:
When cases are closed, records are disposed of in accordance with
the unit's Records Control Schedule.
System manager(s) and address:
Director, Office of Security, OS, Herbert C. Hoover Building,
Washington, DC 20230.
Notification procedure:
Information may be obtained from: Chief, Information Management
Division, Office of Information Resources Management, U.S. Department
of Commerce, Washington, DC 20230. Requester should provide name and
association with the Department, pursuant to the inquiry provisions
of the Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the Notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individuals; OPM, FBI and other Federal, state and local
agencies; individuals and organizations that have pertinent knowledge
about the subject; and, those authorized by the individual to furnish
information.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a (k)(1), (k)(2) and (k)(5), all
information and material in the record which meets the criteria of
these subsections are exempted from the notice, access, and contest
requirements under 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4) (G),
(H), and (I), and (f) of the agency regulations because of the
necessity to exempt this information and material in order to
accomplish the law enforcement function of the agency, to prevent
disclosure of classified information as required by Executive Order
12065, to assure the protection of the President, to prevent subjects
of investigation from frustrating the investigatory process, to
prevent the disclosure of investigative techniques, to fulfill
commitments made to protect the confidentiality of information, and
to avoid endangering these sources and law enforcement personnel.
COMMERCE/DEPT-14
System name: Litigation, Claims, and Administrative Proceeding
Records--COMMERCE/DEPT-14.
System location:
a. For matters involving CENSUS: Office of the Associate Director
for Administration, Bureau of the Census, Federal Building 3,
Washington, DC 20233. Some records may be duplicated in the offices
of Census Bureau division chiefs. A complete address list of division
chiefs is available upon request from the individual designated in
the Notification section below.
b. For matters involving ITA tort and personal property claims:
Office of Administrative Support, International Trade Administration,
U.S. Department of Commerce, 14th and Constitution Avenue, NW,
Washington, DC 20230.
c. For matters involving EDA: Office of Chief Counsel, EDA, U.S.
Department of Commerce, 14th and Constitution Avenue, NW, Washington,
DC 20230.
d. For matters involving NBS other than personal property loss
claims and violations of traffic and grounds regulation: National
Bureau of Standards, Office, of the Legal Adviser, Administration
Building, Washington, DC 20234. For matters involving personal
property loss claims, Office Management Division, National Bureau of
Standards Supply and Plant Building, Washington, DC 20234. For
matters involving violations of traffic and grounds regulations at
Gaithersburg, Maryland, Security Office, Administration Building,
Washington, DC 20234 and for violations of those regulations at
Boulder or Fort Collins, Colorado, Physical Security Office, NBS,
Radio Building, Boulder, Colorado, 80302.
e. For matters including NOAA--see location i.
f. For matters involving NTIS: Office of the Associate Director
for Financial and Administrative Management, National Technical
Information Service, Springfield, VA 22161.
g. For matters involving NTIA: Office of the Chief Counsel,
National Telecommunications and Information Administration, 1800 G
Street, NW, Washington, DC 20504; or Office of Administration,
National Telecommunications and Information Administration, 1800 G
Street, NW, Washington, DC 20504.
h. For matters involving PAT-TM: Office of the Solicitor, U.S.
Patent and Trademark Office, 2021 Jefferson Davis Highway, Arlington,
Virginia 22202.
i. For matters involving the Department's Sexual Orientation
Discrimination Complaint Process: Files containing informal complaint
records are maintained by the Bureau EEO Officer. Files containing
records of formal complaints are maintained in the Departmental
Office of Civil Rights, U.S. Department of Commerce, 14th Street and
Constitution Avenue, NW, Room 6010, Washington, DC 20230.
j. For all other matters: Office of the General Counsel, U.S.
Department of Commerce, 14th and Constitution Avenue, NW, Washington,
DC 20230. Some of the records at location a through h may be
duplicated at location i. Also, the records at locations a through h
may be duplicated in part or in whole in other Department of Commerce
systems of records, or in Government-wide systems, at other
locations. For assistance in this regard, information may be obtained
from the individual identified in the appropriate Notification
procedure section below.
Categories of individuals covered by the system: Individuals the
subject of any litigation in which the Department is involved;
individuals who make administrative claims or appeals against the
Department; individuals the subject of claims and administrative
actions brought by the Department. Individuals cited for violation of
traffic and grounds regulations. Individuals who may have provided
statements or other evidence with respect to any of the above.
``Department'' means the U.S. Department of Commerce or any component
thereof, or any officer or employee thereof.
Categories of records in the system: Names, addresses, social
security account numbers, statements of claims and analyses thereof,
investigatory reports, opinions of law, and pleadings, motions,
depositions, rulings, opinions, citation particulars (description of
vehicle, date of birth, physical characteristics, driving permit or
license data, vehicle license data, etc.), and other litigation and
claims documentation.
Authority for maintenance of the system:
5 U.S.C. 301; 44 U.S.C. 31101; 42 U.S.C. 3211; 31 U.S.C. 240; 28
U.S.C. 533-535 and 1346(b); 15 U.S.C. 277 and 278e(b); E.O. 10450;
E.O. 11478, as amended and all other authorities of the Department.
Routine uses of records maintained in the system, including
categories of users and purposes of such uses:
The names, social security numbers, home address and salary may
be disclosed to the appropriate federal, state, or local agency
responsible for investigating, prosecuting, enforcing, or
implementing a statute, rule, regulation, or order, where the
disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; to a
congressional office from the record of an individual in response to
an inquiry from that congressional office made at the request of that
individual; to an authorized appeal grievance examiner, formal
complaints examiner, administrative judge, equal employment
opportunity investigator, arbitrator or other duly authorized
official engaged in investigation or settlement of a grievance,
complaint or appeal filed by an employee; in response to a request
for discovery or for appearance of a witness, information that is
relevant to the subject matter involved in a pending judicial or
administrative proceeding.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders and electronic records in computer
files.
Retrievability:
Filed alphabetically by name or numerically by complaint 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 whose official duties require access. Access to
electronic files is limited to those whose official duties require
access.
Retention and disposal:
Records are disposed of according to unit's Record Control
Schedule.
System manager(s) and address:
For records at location a.: Associate Director for Administration
Bureau of the Census, Federal Building 3, Washington, DC 20233.
For records at location b.: Director, Officer of Administrative
Support, International Trade Administration, U.S. Department of
Commerce, Washington, DC 20230.
For records at location c.: Chief Counsel, Economic Development
Administration, U.S. Department of Commerce, 14th and Constitution
Avenue, NW, Washington, DC 20230.
For records at location d.: For matters involving NBS other than
personal property loss claims and violations of traffic and grounds
regulations: Legal Adviser, National Bureau of Standards, Washington,
DC 20234. For matters involving violations of traffic and grounds
regulations; Chief, Facilities Services Division, National Bureau of
Standards, Supply and Plant Building, Washington, DC 20234. For
matters involving personal property loss claims: Staff Officer,
Office Management Division, National Bureau of Standards, Washington,
DC 20234.
For records at location f.: Associate Director for Financial and
Administrative Management, National Technical Information Service,
Springfield, VA 22161.
For records at location g.: Chief Counsel and Director of
Administration (for their respective portions), National
Telecommunications and Information Administration, U.S. Department of
Commerce, 1800 G Street, NW, Washington, DC 20504.
For records at location h.: Solicitor, U.S. Patent and Trademark
Office, Washington, DC 20231.
For records at location i.: Chief Compliance Division, Office of
Civil Rights, U.S. Department of Commerce, Washington, DC 20230.
For records at location e, f and j.: General Counsel, U.S.
Department of Commerce, Washington, DC 20230.
Notification procedure:
For records at location a.: Information may be obtained from:
Associate Director for Administration, Bureau of the Census, Federal
Building 3, Washington, DC 20233.
For records at location b., information may be obtained from:
Privacy Act Office, Office of Management and Systems, ITA, Room 3102,
U.S. Department of Commerce, Washington, DC 20230.
For records at location c., information may be obtained from:
Director, Office of Public Affairs, EDA, U.S. Department of Commerce,
Washington, DC 20230.
For records at location d.: Information may be obtained from:
Deputy Director of Administration, Room A1105, Administration
Building, National Bureau of Standards, Washington, DC 20234;
For records at location e.: Information may be obtained from:
Assistant Administrator for Management and Budget, National Oceanic
and Atmospheric Administration, 6010 Executive Boulevard, Rockville,
Maryland 20852.
For records at location f.: Information may be obtained from:
Associate Director for Financial and Administrative Management,
National Technical Information Service, Springfield, VA 22161.
For records at location g.: Information may be obtained from:
Privacy Officer, National Telecommunications and Information
Administration, U.S. Department of Commerce, 1800 G Street, NW,
Washington, DC 20504.
For records at location h.: Information may be obtained from:
Assistant Commissioner for Administration, U.S. Patent and Trademark
Office, Washington, DC 20231.
For records at location i.: Information may be obtained from:
Chief, Compliance Division, Office of Civil Rights, U.S. Department
of Commerce, Washington, DC 20230.
For records at location j.: Information may be obtained from:
Director, Office of Organization and Management Systems, U.S.
Department of Commerce, Washington, DC 20230.
Requester should provide name, address, social security number,
case number, date of claim, organization unit in which employed, as
appropriate, pursuant to the inquiry provisions which appear in 15
CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the Notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b.
Record source categories:
Subject claimant or plaintiff; those authorized by the foregoing
to furnish information; and, whatever sources pertinent to the nature
of the case.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a (k)(1), (k)(2) and (k)(5), all
investigatory material and material subject to the provisions of 5
U.S.C. 552(b)(1) in the record which meets the criteria of these sub-
sections is exempted from the notice, access, and contest
requirements (under 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G),
(H), and (I), and (f)) of the agency regulations because of the
necessity to exempt this information and material in order to prevent
disclosure of classified information as required by Executive Order
12065 in the interest of the national defense and foreign policy and
in order for the Department's legal staff to properly perform its
functions.
COMMERCE/DEPT-15
System name: Private Legislation Claimants-Central Legislative
Files--COMMERCE/DEPT-15.
System location: Office of the General Counsel, U.S. Department of
Commerce, 14th and Constitution Avenue, NW, Washington, DC 20230.
Categories of individuals covered by the system: Individual
claimants against the government seeking remedy through private
relief bills in patent, contract, employee compensation, and other
similar areas which involve the Department.
Categories of records in the system: Draft and formal relief bills,
statements, and information as to the basis and validity of the
claim, and correspondence with the claimant and the sponsor of the
legislation.
Authority for maintenance of the system: 5 U.S.C. 301, Act of
February 4, 1903, 32 Stat. 825.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See routine use
paragraphs of the Prefatory Statement.
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 name.
Safeguards: Records are located in lockabled metal file cabinets or
in metal file cabinets in secured rooms or secured premises with
access limited to those whose official duties require access.
Retention and disposal: Records are retained according to the
Office's Records Control Schedule.
System manager(s) and address: Assistant General Counsel,
Legislation, U.S. Department of Commerce, Washington, DC 20230.
Notification procedure: Information may be obtained from: Director,
Office of Organization and Management Systems, OS, U.S. Department of
Commerce, Washington, DC 20230. Requester should provide name, social
security number, date of claim, and name of bill, if any, pursuant to
the inquiry provisions of the Department's rules which appear in 15
CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: same address as stated in the Notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject claimant and those authorized by the claimant to furnish
information; records of units of the Department primarily involved in
the transaction; service or application on which the claim is
founded; and the sponsoring Member of Congress.
COMMERCE/DEPT-16
System name: Property Accountability Files--COMMERCE/DEPT--16.
System location:
a. For all libraries of the Department. For listing, see
Directory of Libraries in the United States Department of Commerce,
Department of Commerce, Washington, DC; or American Library
Directory, biennial, R.R. Bowker Company, New York City.
b. For employees of Census: Administrative Services Division,
Bureau of the Census, Federal Building 4, Washington, DC 20233, and
the following Census Regional Offices: 1365 Peachtree Street, NE,
Atlanta, Georgia 30309; 441 Stuart Street, Boston, Massachusetts
02116; 230 South Tryon Street, Charlotte, North Carolina 28202; 55
East Jackson Boulevard, Chicago, Illinois 60604; 1100 Commerce
Street, Dallas, Texas 75242; 7655 W. Mississippi Avenue (PO Box
26750), Denver, Colorado 80226; 231 W. Lafayette, Detroit, Michigan
48226; One Gateway Center, 4th and State Streets, Kansas City, Kansas
66101; 11777 San Vicente Boulevard, Los Angeles, California 90049; 26
Federal Plaza, New York City, New York 10278; 600 Arch Street,
Philadelphia, Pennsylvania 19106; and 1700 Westlake Avenue, Seattle,
Washington 98109.
c. For employees of NBS: Security Office, National Bureau of
Standards, Administration Building, Gaithersburg, Maryland 20899.
Instrument Shops Division, Shops Building, NBS, Gaithersburg,
Maryland 20890; and Security Office, Radio Building, NBS, Boulder,
Colorado 80302.
d. For employees of PTO: Users Service Section, Scientific
Library, U.S. Patent and Trademark Office, Washington, DC 20231.
e. For NTIA: Office of Administration, National
Telecommunications and Information Administration, U.S. Department of
Commerce, Washington, DC 20230.
Categories of individuals covered by the system:
Employees, general public, institutions, and anyone who charges
out or signs for books or other materials.
Categories of records in the system:
Name; telephone number, title of book; identification of property
or equipment; home and business address; employee I.D. number,
position, job title; grade; organization; explanations for items not
accounted for, correspondence; clearance; and key number.
Authority for maintenance of the system:
5 U.S.C. 301; 44 U.S.C. 3101; 40 U.S.C. 481-92; 15 U.S.C. 1518.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosure of information from this system of records may also be
made to commercial contractors (debt collection agencies) for the
purpose of collecting delinquent debts as authorized by the Debt
Collection Act (31 U.S.C. 3718). See routine use paragraphs 1-5 and
9-13 of Prefatory Statement.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be
made from this system to ``consumer reporting agencies'' as defined
in the Fair Credit Reporting Act (15 U.S.C. 1681a(1)) or the Federal
Claims Collection Act of 1966 (31 U.S.C. 3701(a)93)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper copy in file folders and trays and machine-readable media.
Retrievability:
Filed alphabetically by name.
Safeguards:
Records are located in lockable metal file cabinets, or lockable
desks, or in metal file cabinets in secured rooms or secured premises
with access limited to those whose official duties require access.
Retention and disposal:
Retained until property is accounted for, then disposed of in
accordance with unit's Records Control Schedule.
System manager(s) and address:
For records at location a.: The head of the respective library.
For records at location b.: Associate Director for Management
Services, Bureau of the Census, Federal Building 3, Washington, DC
20233, and the Director of the particular Regional Office listed
above.
For records at location c.: Security Officer, National Bureau of
Standards, Administration Building, Gaithersburg, Maryland 20899.
For records at location d.: Program Manager, Scientific Library,
U.S. Patent and Trademark Office, Washington, DC 20231.
For records at location e.: Director of Administration, National
Telecommunications and Information Administration, U.S. Department of
Commerce, Washington, DC 20230.
Notification procedure:
For records at location a.: Address communication to the
library's parent organization (e.g., National Bureau of Standards),
Attention: Privacy Officer, or use the Privacy Officer's official
position title and address as listed in Appendix B to the
Department's rules which appear in 15 CFR part 4b.
For records at location b.: Information may be obtained from:
Associate Director for Administration, Bureau of the Census, Federal
Building 3, Washington, DC 20233.
For records at location c.: Information may be obtained from:
Deputy Director of Administration, Room A1105, Administration
Building, National Bureau of Standards, Washington, DC 20234.
For records at location d.: Information may be obtained from:
Assistant Commissioner for Administration, U.S. Patent and Trademark
Office, U.S. Department of Commerce, Washington, DC 20231.
For records at location e.: Information may be obtained from:
Privacy Officer, National Telecommunications and Information
Administration, U.S. Department of Commerce, Washington, DC 20230.
Requester should provide name and address pursuant to the inquiry
provisions of the Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the Notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual, those authorized by the individual to furnish
information, book cards, and supply person providing the equipment.
COMMERCE/DEPT-17
System name: Records of Cash Receipts--COMMERCE/DEPT-17.
System location:
a. For Departmental offices, BEA, ITA, MBDA, USTTA, Office of
Financial Operations and Travel Management, OS, U.S. Department of
Commerce, 14th and Constitution Avenue, NW, Washington, DC 20230.
b. For NTIS: Accounting Division, National Technical Information
Service, Springfield, Virginia 22161.
c. For PTO: Office of Finance, U.S. Patent and Trademark Office,
2021 Jefferson Davis Highway, Arlington, Virginia 22202.
d. For Census: Finance Division, Bureau of the Census, Federal
Building 3, Washington, DC 20233.
e. For NTIA: Office of Administration, National
Telecommunications and Information Administration, U.S. Department of
Commerce, Washington, DC 20230.
f. For EDA: Accounting Division, Economic Development
Administration, U.S. Department of Commerce, 14th and Constitution
Avenue, NW., Washington, DC 20230.
Categories of individuals covered by the system:
Individuals paying for goods or services, reimbursing
overpayments, or otherwise delivering cash to the Department.
Categories of records in the system:
Individual's name, the goods or service purchased, amount, date,
check number, division or office, bank deposit, treasury deposit
number.
Authority for maintenance of the system:
31 U.S.C. 66(a).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosure of information from this system of records may also be
made to commercial contractors (debt collection agencies) for the
purpose of collecting delinquent debts as authorized by the Debt
Collection Act (31 U.S.C. 3718). See routine use paragraphs 1-5 and
9-13 of the Prefatory Statement.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be
made from this system to ``consumer reporting agencies'' as defined
in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)), and the
Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual and machine-readable.
Retrievability:
Name and/or account or case number.
Safeguards:
Records are located in lockable metal file cabinets or in secured
rooms or secured premises with access limited to those whose official
duties require access.
Retention and disposal:
Permanently maintained.
System manager(s) and address:
For records at location a.: Director, Office of Financial
Operations and Travel Management, U.S. Department of Commerce,
Washington, DC 20230.
For records at location b.: Chief, Accounting Division, National
Technical Information Service, Springfield, Virginia 22161.
For records at location c.: Director, Office of Finance, U.S.
Patent and Trademark Office, Washington, DC 20231.
For records at location d.: Associate Director for Management
Services, Bureau of the Census, Federal Building 3, Washington, DC
20233.
For records at location e.: Director of Administration, National
Telecommunications and Information Administration, U.S. Department of
Commerce, Washington, DC 20230.
For records at location f.: Chief, Accounting Division, Economic
Development Administration, U.S. Department of Commerce, 14th and
Constitution Avenue, NW, Washington, DC 20230.
Notification procedure:
For BEA records at location a., information may be obtained from:
Chief, Management and Organization Branch, BEA, Tower Building, 1401
K Street, NW, Washington, DC 20230;
For ITA records at location a., information may be obtained from:
Director, Office of Management and Systems, ITA, U.S. Department of
Commerce, Washington, DC 20230;
For MBDA records at location a., information may be obtained
from: Privacy Officer, Office of Chief Counsel MBDA, U.S. Department
of Commerce, Washington, DC 20230;
For USTTA records at location a., information may be obtained
from: Director, Office of Administration, USTTA, U.S. Department of
Commerce, Washington, DC 20230; and
For all other records at location a., information may be obtained
from: Chief, Information Management Division, Office of Information
Resources Management, U.S. Department of Commerce, Washington, DC
20230;
For records at location b., information may be obtained from:
Associate Director for Financial and Administrative Management,
National Technical Information Service, Springfield, Virginia 22161.
For records at location c., information may be obtained from:
Assistant Commissioner for Administration, U.S. Patent and Trademark
Office, Washington, DC 20231;
For records at location d., information may be obtained from:
Associate Director for Management Services, Bureau of the Census,
Federal Building 3, Washington, DC 20233;
For records at location e., information may be obtained from:
Privacy Officer, National Telecommunications and Information
Administration, U.S. Department of Commerce, Washington, DC 20230;
For records at location f., information may be obtained from:
Director, Office of Public Affairs, EDA, U.S. Department of Commerce,
Washington, DC 20230;
Requester should provide name, address, date of receipt, an check
number or case number pursuant to the inquiry provisions of the
Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the Notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual and those authorized by the individual to
furnish information.
COMMERCE/DEPT-18
System name: Employees Personnel Files Not Covered By Notices of
Other Agencies-COMMERCE/DEPT-18.
System location:
a. For all Departmental employees: Departmental Office of
Personnel, Room 5001, U.S. Department of Commerce, Washington, DC
20230 (for automated records and for selected records relating to
Senior Executive Service and Departmental Honor Awards).
b. For employees of Departmental Offices, NTIA, NTIS, MBDA, and
USTTA: Departmental Office of Personnel Operations, Room 5008, U.S.
Department of Commerce, Washington, DC 20230.
c. For employees of Census: Office of Personnel, Bureau of the
Census, Federal Building 3, Room 3260, Washington, DC 20233;
d. For employees of ITA; Office of Personnel, International Trade
Administration, Room 3512, U.S. Department of Commerce, Washington,
DC 20230;
e. For employees of NBS: Office of Personnel, National Bureau of
Standards, Administration Building Room A123, Gaithersburg, Maryland
20899;
f. For employees of NOAA: Office of Personnel, National Oceanic
and Atmospheric Administration, Rockville, Maryland 20852, and the
following Administrative Support Centers:
DOC/NOAA/EASC, RAS/EC5, 235 Monticello Avenue, Norfolk, Virginia
23510; DOC/NOAA/MASC, RAS/MC7, Room 5534; 325 Broadway, Boulder,
Colorado, 80303; DOC/NOAA/WASC, RAS/WC5, Operations Building, 7600
Sand Point Way, NE, Seattle, Washington 98115; and
DOC/NOAA/CASC, RAS/CC5, Federal Building, Room 1758, 601 E. 12th
Street Kansas City, Missouri 64106.
g. For employees of PTO, Office of Personnel, U.S. Patent and
Trademark Office, U.S. Department of Commerce, Room 9C06, Crystal
Plaza 2, Arlington, Virginia 22202;
h. For employees of EDA, Personnel Management Division, Economic
Development Administration, Room 7089, U.S. Department of Commerce,
Washington, DC 20230;
i. For political appointees in the Department of Commerce: Office
of White House Liaison, U.S. Department of Commerce, Room 5717,
Washington, DC 20230.
j. For any Department employee: The immediate office of an
employee's supervisor(s), for records which have been disclosed to
someone else.
Categories of individuals covered by the system:
Current and former employees.
Categories of records in the system:
All personnel records in the Department which are subject to the
Privacy Act but are not covered in the notices of systems of records
published by other agencies with influence upon personnel management
in the Department such as the Office of Personnel Management, Merit
System Protection Board, Equal Employment Opportunity Commission,
Department of State or Department of Labor. The records of this
system may include, but are not limited to Employee Development;
Incentive Awards; Employee Relations; Grievance Records; Medical;
Work-related Injury or Illness Claims; Grievance Records; Medical;
Career Management Program Ship Personnel; Employee Overseas
Assignment; Minority Group Statistics Program, Work Performance and
Appraisal Records; including supervisory records which have been
disclosed; Re-employment and Priority Placement Program; Executive
Assignments and Merit Pay Actions; Merit Assignment Programs;
Retirements; Within-Grade Denials (Reconsideration File); and
Automated Employee Information System.
Authority for maintenance of the system:
5 U.S.C. 301; 44 U.S.C. 3101; 5 U.S.C. 4101 et seq., 5 U.SC.
1302, 3302, E.O. 10577, 3 CFR 1954-1958 Comp. p. 218, E.O. 12107, 3
CFR 1978 Comp. p264; and Federal Personnel Manual and related
directives of the agencies cited above.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. Information concerning current or former employees may be
disclosed to a private organization or individual as necessary to
obtain information in connection with a decision concerning the
assignment, hiring, or retention of an individual, the issuance of a
security clearance, the letting of a contract or the issuance of a
license, grant or other benefit.
b. To disclose information to any source from which additional
information is requested in the course of processing a grievance to
the extent necessary to identify the individual, inform the source of
the purpose(s) of the request, and identify the type of information
requested.
c. To disclose information to officials of the Office of
Personnel Management, Merit Systems Protection Board, including the
Office of the Special Counsel, the Federal Labor Relations Authority
and its General Counsel, or the Equal Employment Opportunity
Commission, the Department of State, or the Department of Labor when
requested in performance of their authorized duties.
d. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
e. To provide information to officials or labor organizations
reorganized under the Civil Service Reform Act when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting work conditions.
f. To disclose information to commercial contractors (debt
collection agencies) for the purpose of collecting delinquent debts
as authorized by the Debt Collection Act (31 U.S.C. 3718).
g. See routine uses paragraphs in the Prefatory Statement.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be
made from this system to ``consumer reporting agencies'' as defined
in the Fair Credit Reporting Act (15 U.S.C. 1681a(f), and the Federal
Claims Collection Act of 1968 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual and machine-readable.
Retrievability:
Filed by name and/or social security number.
Safeguards:
Records are located in lockable metal file cabinets or in secured
rooms or secured premises with access limited to those whose official
duties require access.
Retention and disposal:
Retained according to Unit's Records Control Schedule.
System manager(s) and address:
For records at location a: Director, Office of Personnel, Room
5001, U.S. Department of Commerce, Washington, DC 20230;
For records at location b: Director, Office of Personnel
Operations, Room 5008, U.S. Department of Commerce, Washington, DC
20230;
For records at location c: Chief of Personnel, Bureau of the
Census, Federal Building 3, Room 3260, Washington, DC 20233;
For records at location d: Director, Office of Personnel,
International Trade Administration, U.S. Department of Commerce, Room
3512, Washington, DC 20230;
For records at location e: Chief, Personnel Division, National
Bureau of Standards, Administration Building, Room A123,
Gaithersburg, Maryland 20899;
For records at location f: Chief, Personnel Division, WSC5,
National Oceanic and Atmospheric Administration, NBOC2, Rockville,
Maryland 20852, and the Director of the particular Administrative
Support Center listed above;
For records at location g: Personnel Officer, U.S. Patent and
Trademark Office, U.S. Department of Commerce, Room 9C06, Crystal
Plaza 2, Arlington, Virginia 22202;
For records at location h: Personnel Management Division,
Economic Development Administration, Room 7089, Washington, DC 20230;
and
For records at location i: Employee's supervisor(s).
Notification procedure:
For BEA records at locations a. and b., information may be
obtained from: Chief, Management and Organization Branch, BEA, Tower
Building, 1401 K Street, NW, Washington, DC 20230;
For NTIA records at locations a. and b., information may be
obtained from: Privacy Officer, NTIA, U.S. Department of Commerce,
Washington, DC 20504;
For NTIS records at locations a. and b., information may be
obtained from: Privacy Officer, NTIA, U.S. Department of Commerce,
Washington, DC 20230;
For MBDA records at locations a. and b. information may be
obtained from: Privacy Officer, Office of Chief Counsel, MBDA, U.S.
Department of Commerce, Washington, DC 20230;
For USTTA records at locations a. and b., information may be
obtained from: Director, Office of Administration, USTTA, U.S.
Department of Commerce, Washington, DC 20230;
For all other records at locations a. and b., information may be
obtained from Chief, Information Management Division, Office of
Information Resources Management, U.S. Department of Commerce,
Washington, DC 20230;
For records at location c., information may be obtained from
Associate Director for Management Services, Bureau of the Census,
Federal Building 3, Washington, DC 20233;
For records at location d., information may be obtained from:
Privacy Act Officer, Office of Management and Systems, International
Trade Administration, Room 4001B, U.S. Department of Commerce,
Washington, DC 20230.
For records at location e., information may be obtained from:
Deputy Director of Administration, Room A1105, Administration
Building, National Bureau of Standards, Gaithersburg, Maryland 20899.
For records at location f., information may be obtained from:
Director, Administrative and Technical Services, National Oceanic and
Atmospheric Administration, Room 4213, Herbert C. Hoover Building,
14th and Constitution Avenue, NW, Washington, DC 20230.
For records at location g., information may be obtained from:
Assistant Commissioner for Administration, U.S. Patent and Trademark
Office, Washington, DC 20231.
For records at location h., information may be obtained from:
Personnel Management Division, Economic Development Administration,
Room 7089, U.S. Department of Commerce, Washington, DC 20230; and
For records at location i., information may be obtained from:
Privacy Officer for employee's unit.
Requester should provide name, social security number, and time
or organization unit of employment pursuant to the inquiry provisions
of the Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Request from individuals should be addressed to: Same address as
stated in the Notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual and those authorized by the individual to
furnish information; others involved in references of the individual;
physicians; enployee's supervisor; for grievance records information
is also provided by the testimony of witnesses, by agency officials,
and from related correspondence from organizations or persons.
COMMERCE/DEPT-19
System name: Department Mailing Lists--COMMERCE/DEPT-19.
System location: a. Bureau of the Census, Federal Building 3,
Washington, DC 20233.
b. Minority Business Development Agency, U.S. Department of
Commerce, Washington, DC 20230.
c. Office of General Services, U.S. Patent and Trademark Office,
2021 Jefferson Davis Highway, Arlington, Virginia 22202.
d. For carpool locator records of NBS: Facilities Services
Division, National Bureau of Standards, Administration Building,
Washington, DC 20234.
e. Office of Administrative Services, U.S. Department of
Commerce, 14th & Constitution Avenue, NW, Washington, DC 20230.
Categories of individuals covered by the system: At location a.: 1.
Persons employed in the Suitland Federal Center who have voluntarily
submitted an application to be included in the carpool locator system
and be listed as a possible carpool member, and 2. Subscribers to
Bureau of the Census publications.
At location b.: Subscribers to MBDA publications and/or
representatives of the media who receive MBDA material at their home
addresses.
At location c.: Former employees of the Patent and Trademark
Office who have requested that their names be included on a
newsletter mailing list.
At location d.: Individuals who have voluntarily submitted an
application to be included in the carpool locator system and to be
listed as a potential carpool member.
At location e.: Individuals who communicated with the 1978 White
House Conference on Balanced National Growth and Economic
Development, including individuals who received Conference
literature.
Categories of records in the system: At location a.: 1. Carpool
records include name, address, work week, hours of work, work
location, work phone number, willingness to join in a carpool,
willingness to participate as a driver or rider in a carpool, zip
code. 2. Subscriber lists include name and home address.
At location b.: Name and home address.
At location c.: Name and home address.
At location d.: Carpool locator records include applicant's name,
home address, zip code, work hours, work location, office telephone
number.
At location e.: Name, home and/or business address; home and/or
business telephone number; place of employment or interest group;
type of organization; nature of relationship to the Conference
(participant, guest, observer, etc.); source of name; and subject
area(s) of interest.
Authority for maintenance of the system: 5 U.S.C. 301; 15 U.S.C.
1512, 2205, 2208, and 44 U.S.C. 3101.
For records at location e.: Public Works and Economic Development
Act of 1976, Pub.L. 94-487, Title II, 90 Stat. 2339, 42 U.S.C. 3121
note.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: For all locations,
see general routine uses 4, 5, 9, 10, 12, and 13 of the Prefatory
Statement.
For records at location a.: Carpool records are disseminated to
other persons working at the Suitland Federal Center who have
voluntarily listed themselves to form carpools; home address is
suppressed.
For records at location d.: Carpool locator records are
disseminated to individuals working at or near the NBS site, who
request information on carpools. (Home addresses are withheld.)
For records at location e.: Information may be provided Federal,
State, local or international agencies in response to a written
request indicating likelihood that individuals on the mailing list
would benefit by or be interested in material to be sent by the
requesting agency.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper copy in file folders, computer tape, mailing labels.
For records at location e.: Index cards and computer print-outs.
Retrievability: Alphabetically by name, and for records at location
a., by zip code.
For records at location e.: Alphabetically, by name, by
geographical area (state, city), by type of organization with which
affiliated if any, by nature of relationship to the Conference, by
source of name, and by subject area(s) of interest.
Safeguards: Records are located in locked cabinets or in secured
rooms or premises with access limited to those whose official duties
require access.
Retention and disposal: Records are retained in accordance with
each unit's Records Control Schedule.
System manager(s) and address: For records at location a.:
Associate Director for Administation, Bureau of the Census, Federal
Building 3, Washington, DC 20233.
For records at location b.: Chief of Information, Office of
Public Affairs, MBDA, Washington, DC 20230.
For records at location c.: Director, Office of General Services,
U.S. Patent and Trademark Office, Washington, DC 20231.
For records at location d.: Chief, Facilities Services Division,
National Bureau of Standards, Administration Building, Room A705,
Washington, DC 20234.
For records at location e.: Director, Office of Administrative
Services, U.S. Department of Commerce, 14th and Constitution Avenue,
NW, Washington, DC 20230.
Notification procedure: For records at location a.: Information may
be obtained from: Associate Director for Administration, Federal
Building 3, Bureau of the Census, Washington, DC 20233.
For records at location b.: Privacy Officer, Office of Chief
Counsel, Minority Business Development Agency, U.S. Department of
Commerce, Washington, DC 20230.
For records at location c.: Information may be obtained from:
Assistant Commissioner for Administration, U.S. Patent and Trademark
Office, Washington, DC 20231.
For records at location d.: Information may be obtained from
Deputy Director of Administration, Room 1105, Administration
Building, National Bureau of Standards, Washington, DC 20234.
Requests should provide applicant's name and address in accord with
the inquiry provisions of the Department's rules that appear in 15
CFR part 4b.
For records at location e.: Information may be obtained from:
Director, Office of Organization and Management Systems, U.S.
Department of Commerce, Washington, DC 20230.
Record access procedures: Requests from individuals should be
addressed to: Same address of the desired location as stated in the
Notification section above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address for
desired location.
Record source categories:
Subject individuals, and those authorized by subject individual.
For records at location e.: Subject individual; those authorized
by the individual to furnish information; public reference sources
(press articles, Who's Who, etc.); government, private and public
interest organizations.
COMMERCE/DEPT-20
System name: Biographical Files--COMMERCE/DEPT-20.
System location: a. For Secretarial Officers, senior-level
officials, and employees of the Office of the Secretary: Office of
Public Affairs, U.S. Department of Commerce, Washington, DC 20230.
b. For Secretarial Officers and senior-level officials included
in Biographical Resumes of Key Officials: Offices of the Director of
Personnel, and Assistant Secretary for Administration; all Office of
the Secretary, U.S. Department of Commerce, Washington, DC 20230.
c. For employees of CENSUS: Public Information Office, Federal
Building No.3, Bureau of the Census, Washington, DC 20230.
d. For employees of ITA: Office of Public Affairs, International
Trade Administration, U.S. Department of Commerce, Washington, DC
20233.
e. For employees of EDA: Office of Public Affairs, Economic
Development Administration, U.S. Department of Commerce, 14th and
Constitution Avenue, NW, Washington, DC 20230.
f. For employees of MARAD: Office of Public Affairs, Maritime
Administration, U.S. Department of Commerce, Washington, DC 20230.
g. For members of the Advisory Board to the U.S Merchant Marine
Academy: Office of Assistant Secretary for Maritime Affairs, U.S.
Department of Commerce, Washington, DC 20230.
h. For employees of NBS and for participants in the Commerce
Science and Technology Fellowship Program: Public Information
Division, Administration Building, National Bureau of Standards,
Washington, DC 20234.
i. For employees of NBS' Boulder Laboratories: Program
Information Office, National Bureau of Standards, Radio Building,
Boulder, Colorado 80303.
j. For members of the National Advisory Committee on Oceans and
Atmosphere: National Advisory Committee on Oceans and Atmosphere,
3300 Whitehaven Street, NW (PG No.1, Room 438), Washington, DC 20235.
k. For employees of NOAA: NOAA headquarters locations: Office of
Public Affairs, National Oceanic and Atmospheric Administration,
11420 Rockville Pike, Rockville, Maryland 20852, and/or NOAA field
installations, the principal addresses of which are:
NOAA's National Ocean Survey, 6001 Executive Boulevard,
Rockville, Maryland 20850.
NOAA's National Weather Service, 8060 13th Street, Silver Spring,
Maryland 20910.
NOAA's Office of Coastal Zone Management, 2001 Wisconsin Avenue,
NW, Washington, DC 20235.
NOAA's Office of Sea Grant, 6010 Executive Boulevard, Rockville,
Maryland 20852.
NOAA's Environmental Research Laboratories, 3100 Marine Street,
RB3, Boulder, Colorado 80302, and Environmental Research Laboratories
at 9 locations in the United States.
NOAA's National Marine Fisheries Service, 3300 Whitehaven Street,
Washington, DC 20235.
A complete list of all field installations is available upon
request from individual designated in Notification section below.
l. For employees of MBDA: Public Affairs Office, Minority
Business Development Agency, U.S. Department of Commerce, Washington,
DC 20230.
m. For employees of PAT-TM: Office of Information Services,
Patent and Trademark Office, Washington, DC 20231.
n. For employees of the Office of Science and Technology and
Productivity, Technology and Innovation and organizational components
reporting to the Assistant Secretary; for members of the Commerce
Technical Advisory Board and its subcommittees; and for participants
in the Commerce Science and Tech-Productivity, Technology and
Innovation, U.S. Department of Commerce, Washington, DC 20230.
o. For employees of NTIA's Institute for Telecommunication
Sciences: Institute for Telecommunication Sciences, NTIA, Boulder,
Colorado 80302. For other NTIA employees: Office of the Director of
Congressional and Public Affairs, NTIA, 1800 G Street, NW,
Washington, DC 20504.
The information in this system may be duplicated in other Privacy
Act systems of the Commerce Department, in the systems maintained by
the Office of Personnel Management, or in the immediate office of the
individual to whom the biographical record pertains. For assistance
in this regard, contact the Director, Office of Organization and
Management Systems, U.S. Department of Commerce, Washington, DC
20230.
Categories of individuals covered by the system: Present and former
Department personnel, and members of advisory committees.
Categories of records in the system:
Biographical information which typically includes date and place
of birth; education; military service; present position; employment
history; field of research; publications; inventions and patents;
awards and honors; memberships and affiliations; present and past
residences; telephone number; names, ages, and addresses of family
members; hobbies and outside interests; and photograph of individual.
Authority for maintenance of the system:
5 U.S.C. 301, 15 U.S.C. 1512, 44 U.S.C. 3101 and Reorganization
Plan No. 5 of 1950.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Distributed to the press, other government agencies, and the
general public for use in connection with written articles, oral
interviews, speaking engagements, retirement and obituary notices,
and other purposes of public information.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper records in file folders or notebooks.
Retrievability:
By name alphabetically or by position or work unit.
Safeguards:
Records are located in locked metal file cabinets or locked rooms
during non-business hours.
Retention and disposal:
Records retention and disposal is in accord with each operating
unit's Records Control Schedule.
System manager(s) and address:
For records at location a.: Information Assistant, Office of
Communications.
For records at location b.: Director of Personnel, U.S.
Department of Commerce.
For records at location c.: Director, Bureau of the Census.
For records at location d.: Director, Office of Public Affairs,
International Trade Administration.
For records at location e.: Director, Office of Public Affairs,
Economic Development Administration, U.S. Department of Commerce,
14th and Constitution Avenue, NW, Washington, DC 20230.
For records at location f.: Chief, Public Information Division,
National Bureau of Standards.
For records at location g.: Chief, Program Information Office,
National Bureau of Standards.
For records at location h.: Executive Director, National Advisory
Committee on Oceans and Atmosphere.
For records at location i.: Director, Office of Public Affairs,
National Oceanic and Atmospheric Administration.
For records at location j.: Information Officer, Minority
Business Development Agency.
For records at location k.: Director, Office of Information
Services, Patent and Trademark Office.
For records at location l.: Special Assistant to the Assistant
Secretary for Productivity, Technology, and Innovation, Office of
Productivity, Technology, and Innovation, U.S. Department of
Commerce.
For records at location m.: Director of Congressional and Public
Affairs, National Telecommunications and Information Administration.
For each system manager, use same address as shown in applicable
System Location section above.
Notification procedure:
For records at locations a. b. h., and for Office of the
Secretary records at location l. Information may be obtained from:
Director, Office of Organization and Management Systems, U.S.
Department of Commerce, Washington, DC 20230.
For records at the locations listed below, information may be
obtained from the individual designated. Use same address for each as
shown in appropriate System Location section above.
c.: Associate Director for Administration, Bureau of the Census.
d.: Privacy Act Officer, Office of Management and Systems,
International Trade Administration, Room 3102, U.S. Department of
Commerce, Washington, DC 20230.
e.: Director, Office of Public Affairs, Economic Development
Administration, U.S. Department of Commerce, 14th and Constitution
Avenue, NW, Washington, DC 20230.
f. and g. and NBS records at location l. Deputy Director of
Administration, National Bureau of Standards.
k.: Assistant Administrator for Management and Budget, National
Oceanic and Atmospheric Administration.
l.: Privacy Officer, Office of Chief Counsel, Minority Business
Development Agency.
m.: and PTA-TM records at location l. Assistant Commissioner for
Administration, Patent and Trademark Office.
n: Privacy Officer, National Telecommunications and Information
Administration.
For NTIS records at location l. Assistant Director for
Administration, National Technical Information Service, Sills
Building, Springfield, Virginia 22161.
BEA records are included in locations a. and b. above.
Record access procedures:
Requests from individuals should be addressed to: Same address of
the desired location as stated in the Notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address for desired location.
Record source categories:
All locations, subject individuals. Also, for records at
locations b. and f, the individual's Official Personnel File; for
records at location i. supervisors of subject individuals; for
records at locations h. and i., personnel offices; and for records at
locations f., g., and l., other sources such as news releases,
articles and publications relating to the subject individual.
COMMERCE/DEPT-21
System name: COMMERCE/DEPT-21--Telephone Call Detail Records.
System location:
a. For employees of the Bureau of the Census: Office of the
Associate Director for Management Services, Federal Building 3, Room
2027, Suitland, Maryland 20233.
b. For employees of the Bureau of Economic Analysis: Office of
Administration, Room 1026A, Bureau of Economic Analysis, U.S.
Department of Commerce, Washington, DC 20230.
c. For employees of the Economic Development Administration:
Office of the Chief Counsel, Room 7001, U.S. Department of Commerce,
Washington, DC 20230.
d. For employees of the Bureau of Export Administration: Office
of Administration, Room 4886, U.S. Department of Commerce,
Washington, DC 20230.
e. For employees of Economic Affairs: Office of Administration,
Economic Affairs, Room 4079, U.S. Department of Commerce, Washington,
DC 20230.
f. For employees of the International Trade Administration:
Director, Office of Organization and Management Support,
International Trade Administration, Room 4102, U.S. Department of
Commerce, Washington, DC 20230.
g. For employees of the Minority Business Development Agency:
Director, Office of Administrative Management, Management Division,
Minority Business Development Agency, Room 5087A, U.S. Department of
Commerce, Washington, DC 20230.
h. For employees of the National Institute of Standards and
Technology: Office of the Associate Director of Administration, Room
A1105, National Institute of Standards and Technology, Gaithersburg,
Maryland 20234.
i. For employees of the National Oceanic and Atmospheric
Administration:
(1) Chief, Facilities and Logistics Division, National Capital
Administrative Support Center, National Oceanic and Atmospheric
Administration, Rockwall Building, Room 505, Rockville, Maryland
20852.
(2) Chief, Facilities and Logistics Division, Eastern
Administrative Support Center, National Oceanic and Atmospheric
Administration, Room 301, 253 Monticello Avenue, Norfolk, Virginia
23510.
(3) Chief, Facilities and Logistics Division, Central
Administrative Support Center, National Oceanic and Atmospheric
Administration, 601 East 12th Street, Kansas City, Missouri 64106.
(4) Chief, Facilities and Logistics Division, Mountain
Administrative Support Center, National Oceanic and Atmospheric
Administration, 325 Broadway, Room 4532, Boulder, Colorado 80303.
(5) Chief, Facilities and Logistics Division, Western
Administrative Support Center, National Oceanic and Atmospheric
Administration, 7600 Sand Point Way, NE., BIN C15700, Seattle,
Washington 98115-0070.
j. For employees of the National Technical Information Service:
Office of Administrative Management, Room 209, Forbes Building,
National Technical Information Service, Springfield, Virginia 22161.
k. For employees of the National Telecommunications & Information
Administration: Office of the Chief Counsel, Room 4717, U.S.
Department of Commerce, Washington, DC 20230.
1. For employees of the Office of the Secretary: Office of
Federal Property Programs, Procurement and Administrative Services,
Room 1032, U.S. Department of Commerce, Washington, DC 20230.
m. For employees of the Patent and Trademark Office: Office of
the Solicitor, Room 5C15, Crystal Plaza 2, Patent and Trademark
Office, Crystal City, Virginia 20231.
n. For employees of the United States Travel and Tourism
Administration,: Office of Management and Administration, Room 1524,
U.S. Travel & Tourism Administration, Washington, DC 20230.
Categories of individuals covered by the system:
Commerce employees and contractor personnel who make long
distance calls, and individuals who receive telephone calls placed
from or charged to agency telephones.
Categories of records in the system:
Records relating to use of the agency telephones; records
indicating assignment of telephone numbers to employees; records
relating to location of telephones; records relating to unauthorized
use of telephones and personnel or administrative actions related to
telephone abuse.
Authority for maintenance of the system:
Title 5 U.S.C. 301; Pub. L. 97-258; Title 31 U.S.C. 1348; 44
U.S.C. 3101, 5 U.S.C. 552a; 41 CFR part 201-38.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records and data may be disclosed, as is necessary, (1) to
Members of Congress to respond to inquiries made on behalf of
individual constituents that are record subjects; (2) to
representatives of the General Services Administration or the
National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906; (3) in response to a request for discovery or for the
appearance of a witness, to the extent that what is disclosed is
relevant to the subject matter involved in a pending judicial or
administrative proceeding; (4) in a proceeding before a court or
adjudicative body to the extent that they are relevant and necessary
to the proceeding; (5) in the event that material in this system
indicates a violation of law, whether civil or criminal or regulatory
in nature, and whether arising by general statute, or by regulation,
rule or order issued pursuant thereto, the relevant records may be
disclosed to the appropriate agency, whether Federal, State, local or
foreign, charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, or rule, regulation or order, issued pursuant thereto;
(6) to employees of the agency to determine their individual
responsibility for telephone calls; (7) to respond to a Federal
agency's request made in connection with the hiring or retention of
an employee, the letting of a contract or issuance of a grant,
license or other benefit by the requesting agency, but only to the
extent that the information disclosed is relevant and necessary to
the requesting agency's decision on the matter; (8) to a non-
government company providing telecommunications consulting or
contracting services to the Government; (9) to managers, supervisors
and other personnel responsible for the management of
telecommunications activities within the agency, to manage the
operations and costs of telecommunications and to identify improper
or unauthorized use of telecommunications resources; (10) to an
employee of the Federal government, but only to the extent that the
information relates specifically and solely to the specific employee.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12):Disclosures may be
made from this system to ``consumer reporting agencies'' as defined
in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the Federal
Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
The Department's policy is that only those individuals with a
need to know, pursuant to their official duties, shall have access to
call detail records. Each individual with such access is responsible
for controlling records in their possession in such a way that
ensures privacy. Storage of such material is also the responsibility
of the individual and must be done in such a way as to prevent
unauthorized disclosure. Call detail records shall be maintained by
Department personnel for a period of not more than two years. After
that period, records on electronic media should be erased and those
records on papers, microform or microfiche media destroyed through
shredding or burning. Records requiring storage longer than two years
(e.g., kept under court order, etc.) shall be maintained until
appropriate releases are issued. At that time, such records may be
disposed of in the methods described in this document.
Storage:
Paper records in file folders, computer printouts, magnetic tape,
word processor diskettes, microform media or other electronic media.
Retrievability:
Records may be retrieved by employee name or identification
number, by name of recipient of telephone call, by telephone number,
or by location.
Safeguards:
Paper records and backup diskettes are located in locked metal
file cabinets; data on personal computer is password protected. Other
machine readable records are stored on magnetic tape in a safe
accessible only to security personnel.
Retention and disposal:
Records are disposed of as provided in National Archives and
Records Administration General Records Schedule 12.
System manager(s) and address:
For Telecommunications Management Information System (TMIS):
Chief, Telecommunications Management Division, Office of Information
Resources Management, Room H6625, U.S. Department of Commerce,
Washington, DC 20230. For records at location a.: Chief,
Telecommunications Staff, Office of the Director, Bureau of the
Census, Room 1553, FOB No. 3, Suitland, Maryland 20233.
For records at location b.: Director, Office of Administration,
Bureau of Economic Analysis, Room 1026A, Department of Commerce,
Washington, DC 20230.
For records at location c.: Deputy Assistant Secretary for
Management Support, Economic Development Administration, Room 7019B,
Washington, DC 20230.
For records at location d.: Director, Office of Administration,
Bureau of Export Administration, Room 4886, Washington, DC 20230.
For records at location e.: Director, Office of Administration,
Economic Affairs, Room 4079, Department of Commerce, Washington, DC
20230.
For records at location f.: Director, Office of Organization and
Management Support, International Trade Administration, Room 4102,
U.S. Department of Commerce, Washington, DC 20230.
For records at location g.: Associate Director, Office of
Operations, Minority Business Development Agency, Room 6723, U.S.
Department of Commerce, Washington, DC 20230.
For records at location h.: Chief, Computer Systems and
Communications Division, National Institute of Standards and
Technology, Technology Building, Room A 151(716), Gaithersburg,
Maryland 20899.
For records at location i.: Chief, Organization and Directives
Division, Office of Administration, National Oceanic and Atmospheric
Administration, Room 716 WSC 5, U.S. Department of Commerce,
Rockville, Maryland 20230.
For records at location j.: Chief, Facilities Management
Division, National Technical Information Service, Room 1016, Forbes
Building, Springfield, Virginia 22161.
For records at location k.: Director, Office of Policy
Coordination and Management, National Telecommunications and
Information Administration, Room 4890, Washington, DC 20230.
For records at location l.: Director, Office of Federal Property
Program, U.S. Department of Commerce, Room 1032, Washington, DC
20230.
For records at location m.: Chief, Facilities Management
Division, Office of General Services, Patent and Trademark Office,
Room 802C, Crystal Park No. 1, Washington, DC 20231.
For records at location n.: Director, Office of Management and
Administration, United States Travel and Tourism Administration, Room
1524, Washington, DC 20230.
Notification procedure:
Information may be obtained from the appropriate component as
listed under System Manager(s). Requester should provide his or her
name pursuant to the inquiry provisions of the Department's rules
which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to the same address
as stated in the notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determination by the individual concerned appear in
15 CFR part 4b. Use above address.
COMMERCE/DEPT-22
System name: Small Purchase Records.
System location:
1. Records on cardholders and authorizing officials: the Office
of the Secretary's computer facilities in Springfield, Virginia at
5285 Port Royal Road, Springfield, Virginia 22151. 2. Records
reflecting information on imprest funds paid to individuals: Finance
Services Division, Office of Administration, National Oceanic and
Atmospheric Administration, Germantown, Maryland 20876.
Categories of individuals covered by the system:
Commerce employees established as Government Credit Card
(BankCard) holders and their authorizing officials; and individuals
seeking reimbursement through the Department's imprest funds.
Categories of records in the system:
Name, social security number, official duty station; background
information and authorities given to BankCard holders and authorizing
officials, and claim for reimbursement forms filed by imprest fund
claimants; receipts for small purchases, and receipts and/or other
documentation for nominal expenses incurred for ground
transportation.
Authorities for maintenance of the system:
31 U.S.C. 3321 and 40 U.S.C. 486(c).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records and data may be disclosed, as necessary, (1) to Members
of Congress who respond to inquiries for individual constituents that
are record subjects; (2) to representatives of the General Services
Administration or to the National Archives and Records Administration
who conduct records management inspections under the authority of 44
U.S.C. 2904 and 2906; (3) to a non-government company providing
credit card consulting or contracting services to the Government.
Also, records and data may be disclosed, as necessary, (1) in
responding to a request for discovery or for the appearance of a
witness, provided that what is disclosed pertains to the subject
matter involved in a pending judicial or administrative proceeding;
and (2) to respond to a Federal agency's request made regarding the
hiring or retention of an employee, provided that the information
disclosed is relevant and necessary to the requesting agency's
decision on the matter. If material in this system indicates a
violation of civil, criminal, or regulatory law whether arising by
general statute, by regulation, or order issued pursuant thereto,
then the relevant records may be disclosed to the appropriate
Federal, state, local or foreign agency charged with investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, or rule, regulation or order, issued pursuant thereto.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in a system:
Storage:
System records will be stored on paper, computer printouts,
magnetic tape, word processor diskettes, microform media or other
electronic media.
Retrievability:
Records are retrieved by employee name, social security number or
account number.
Safeguards:
Paper records and backup diskettes are located in locked metal
file cabinets; data on personal computer is password protected. Other
machine readable records are stored on magnetic tape in a safe
accessible only to security personnel; captured social security
numbers will be invisible and will be maintained and sealed in a
record system maintained solely in the Springfield office.
Retention and disposal:
Records will be retained and disposed of at the time specified in
the National Archives and Records Administration General Records
Schedules 7 and 20. Records on electronic media will be erased, and
records on paper, microform or microfiche will be destroyed through
shredding or burning.
Records that must be retained longer than the specified retention
period (e.g., records kept under court order, etc.) shall be
maintained until appropriate releases are issued. At that time, such
records will be disposed of in the method described above.
System manager(s) and address:
1. For Charge Card Management Information System: Director,
Office of Financial Policies and Procedures, Office of Financial
Management, room H6818, U.S. Department of Commerce, Washington, DC
20230.
2. For Imprest Management Information System: Chief, Finance
Services Division, Office of Administration, National Oceanic and
Atmospheric Administration, U.S. Department of Commerce, Washington,
DC 20230.
Notification procedures:
Information may be obtained from the System Manager(s). Requester
should provide his or her name pursuant to the inquiry provisions of
the Department's rules which appear in 15 CFR part 4b.
Records access procedures:
Requests from individuals should be sent to the address stated in
the notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing the initial determination appear in 15 CFR part 4b. Use
above address.
Record source categories:
The subject individual, commercial entities involved,
contractors, and those authorized by the individual to furnish
information.
Bureau of the Census
COMMERCE/CENSUS-1
System name: Agriculture Census Records for 1974 and 1978--
COMMERCE/CENSUS-1.
System location: Bureau of the Census, Federal Building 3,
Washington, DC 20233 and Bureau of the Census, 1201 East 10th Street,
Jeffersonville, Indiana 47103.
Categories of individuals covered by the system: Farm operators.
Categories of records in the system: Age, race, residence, ethnic
groups off-farm employment, income.
Authority for maintenance of the system: 13 U.S.C. 142.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These data
maintained by the Bureau of the Census are used solely for
statistical purposes and are confidential under 13 U.S.C. 8 and 9.
Publications of the Bureau do not contain data that could identify
any particular establishment or individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Magnetic tape, microform, paper hard copy.
Retrievability: Retrieved by unique serial identification numbers
internal to the Bureau.
Safeguards: All employees are subject to the restrictions
penalties, and prohibitions of Title 13, U.S.C. Employees are also
regularly advised of the regulations issued pursuant to Title 13,
governing the confidentiality of the data.
Retention and disposal: Retention and disposal practices are in
accordance with approved General Services Administration schedules.
Generally, records are retained for periods of 5 to 11 years, unless
a longer period is necessary for statistical purposes or for
permanent archival retention.
System manager(s) and address: Associate Director for
Administration, Bureau of the Census, Federal Building 3, Washington,
DC 20233.
Systems exempted from certain provisions of the act: Pursuant to 5
U.S.C. 552a(k)(4), this record is exempted from the notification,
access and contest requirements of the agency procedures (under 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f)).
This exemption is applicable as the data are maintained by the Bureau
of the Census solely as statistical records as required under Title
13 U.S.C. and are not used in whole or in part in making any
determination about an identifiable individual. This exemption is
made in accordance with agency rules published in 15 CFR part 4b.
COMMERCE/CENSUS-2
System name: Employee Productivity Measurement Records--
COMMERCE/CENSUS-2.
System location: Bureau of the Census, Federal Building 3,
Washington, DC 20233 and Bureau of the Census, 1201 East 10th Street,
Jeffersonville, Indiana 47103 and Bureau of the Census, Personal
Census Service Branch, Pittsburg, Kansas 66762. Also at the following
Census Regional Offices: 1365 Peachtree Street NE, Atlanta, Georgia
30309; 441 Stuart Street, Boston, Massachusetts 02116; 230 S. Tryon
Street, Charlotte, North Carolina 28202; 55 E. Jackson Boulevard,
Suite 1304, Chicago, Illinois 60604; 1100 Commerce Street, Dallas,
Texas 75242; 575 Union Boulevard, PO Box 25207, Denver, Colorado
80225; 231 W. Lafayette, RM 565, Detroit, Michigan 48226; One Gateway
Center, 4th and State Streets, Kansas City, Kansas 66101; 11777 San
Vicente Boulevard, Los Angeles, California 90049; 26 Federal Plaza,
New York, New York 10278; 600 Arch Street, Philadelphia, Pennsylvania
19106; 1700 Westlake Avenue, Seattle, Washington, 98109. Also at the
following processing offices: Bureau of the Census, Laguna Niguel
Processing Office, Chet Holifield Building, 24000 Avila Road, Laguna
Niguel, California 92677 and Bureau of the Census, New Orleans
Processing Office, Michoud Assembly Facility, Building 350-2W, 13800
Old Gentilly Road, New Orleans, Louisiana 70129.
Categories of individuals covered by the system: Census employees.
Categories of records in the system: Name, employee number, rate of
pay, supervisor, organization unit, location, type of work performed,
time work accomplished, work units processed, production standard and
percent performance, number and types of errors and error rates, work
units accepted and rejected, and similar information on employee and
work group productivity.
Authority for maintenance of the system: 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See routine use
paragraphs 1-5 and 8-13 in the Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Magnetic tape, paper copy, microform.
Retrievability: Retrieved by name or employee number and/or program
or interviewer code.
Safeguards: Tape under ADP security, sensitive material is held in
locked file cabinets.
Retention and disposal: Records retained for 5 years.
System manager(s) and address: Associate Director for
Administration, Bureau of the Census, Federal Building 3, Washington,
DC 20233.
Notification procedure: Information may be obtained from: Same
address as stated in the system manager section above. Requester
should provide name, employee number and/or program or interviewer
code, pursuant to the inquiry provisions of the Department's rules
which appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department rules for access, for
contesting contents and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individuals, timekeepers, supervisors, managers, and
those authorized by the individuals to furnish information.
COMMERCE/CENSUS-3
System name: Individual and Household Statistical Surveys and
Special Studies Records--COMMERCE/CENSUS-3.
System location:
Bureau of the Census, Federal Building 3, Washington, DC 20233;
and Bureau of the Census, 1201 East 10th Street, Jeffersonville,
Indiana 47103; and National Archives and Records Administration,
Washington National Records Center, Washington, DC 20409.
Categories of individuals covered by the system:
Individuals designated for statistical sample surveys and special
studies.
Categories of records in the system:
Age, sex, race, education, marital status, residence, family
income, birth expectations, employment, ethnic origin, relationship
to head of household, mobility status, and similar social, economic,
and demographic characteristics of individuals.
Authority for maintenance of the system:
12 U.S.C. 17012-1, 2(f) and 2(g); 13 U.S.C. 6, 8, 9, 41, 89, 101,
141, 181, 195, and 301; 15 U.S.C. 772; 16 U.S.C. 742d (4) and (5); 23
U.S.C. 134, 307, and 307a; 29 U.S.C. 1 and 9; 31 U.S.C. 686; 42
U.S.C. 242c, 242k, 282(5), 902, 1395 11(a), 1862, 2825, 3732, 5617,
and 5652; and 49 U.S.C. 1605.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(1) Identifiable data from records not protected by 13 U.S.C. 9,
received from state and local units of government responsible for
administering Comprehensive Employment and Training Act funds and
from individual respondents pursuant to the Longitudinal Manpower
Survey authorized by 29 U.S.C. 881(c) and 883 may be furnished to the
Social Security Administration solely for the purpose of obtaining
further identifiable data for statistical use in the survey. The data
provided are: Social Security Number, name, month and year of birth,
race, and sex. No determinations affecting individual respondents are
made as a result of this routine use.
(2) Identifiable data from records not protected by 13 U.S.C. 9,
received from state and local units of government responsible for the
custody of juvenile offenders may be furnished to the Department of
Justice, Office of Juvenile Justice and Delinquency Prevention. The
data will be used solely for statistical purposes.
(3) Publications resulting from the use of the records in this
system do not contain data that could identify any particular
establishment or individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper copy, punch card, magnetic tape, microfilm, microcomputer
floppy disk, and hard disk.
Retrievability:
Unique serial identification numbers internal to the Bureau of
the Census.
Safeguards:
All employees are subject to the restrictions, penalties, and
prohibitions of Title 13, United States Code. Employees are also
regularly advised of the regulations issued pursuant to Title 13,
United States Code, governing the confidentiality of the data.
Retention and disposal:
Retention and disposal practices are in accordance with approved
GSA schedules. Generally, records are retained for periods of 5 to 7
years, unless a longer period is necessary for statistical purposes
or for permanent archival retention.
System manager(s) and address:
Privacy Officer, Program and Policy Development Office, Bureau of
the Census, Washington, DC 20233.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(4), this record is exempted from the
notification, access, and contest requirements of the agency
procedures (under 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4) (G), (H),
(I), and (f)). This exemption is applicable as the data are
maintained by the Bureau of the Census solely as statistical records
as required under Title 13, United States Code, and are not used in
whole or in part in making any determination about an identifiable
individual.
COMMERCE/CENSUS-4
System name: Minority-Owned Business Enterprises Survey
Records--COMMERCE/CENSUS-4.
System location: National Archives and Records Administration,
Washington National Records Center, Washington, DC 20409 and General
Services Administration, Federal Records Center, Suitland, Maryland
20233 and Bureau of the Census, Federal Building 3, Washington, DC
20233.
Categories of individuals covered by the system: Female and
minority persons who are sole proprietors, partners, or shareholders
of small business corporations.
Categories of records in the system: Name, social security number,
sex, race, whether Spanish surname, receipts of business, geographic
area, legal form of business. Name and social security number are
deleted from partners and stockholders once other data are coded.
Data include number, geographic dispersion, and economic
characteristics of minority business enterprises.
Authority for maintenance of the system: 13 U.S.C. 131 and 132.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These data
maintained by the Bureau of the Census are used solely for
statistical purposes. Publications do not contain data that could
identify any particular establishment or individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper copy and magnetic tape.
Retrievability: Filed by name and social security number.
Safeguards: All employees are subject to the restrictions,
penalties, and prohibitions of Title 13, U.S.C. Employees are also
regularly advised of the regulations issued pursuant to Title 13,
U.S.C. governing the confidentiality of the data.
Retention and disposal: Records are retained in accordance with the
unit's Records Control Schedule.
System manager(s) and address: Associate Director for
Administration, Bureau of the Census, Federal Building 3, Washington,
DC 20233.
Systems exempted from certain provisions of the act: Pursuant to 5
U.S.C. 552a(k)(4), this record is exempted from the notification,
access and contest requirements of the agency procedures (under 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f)).
This exemption is applicable as the data are maintained by the Bureau
of the Census solely as statistical records as required under Title
13 U.S.C. and are not used in whole or in part in making any
determination about an identifiable individual. This exemption is
made in accordance to agency rules published in the rules section of
this Federal Register.
COMMERCE/CENSUS-5
System name: Population and Housing Census Records of the 1960
and Subsequent Censuses--COMMERCE/CENSUS-5.
System location: Bureau of the Census, Federal Building 3,
Washington, DC 20233 and Bureau of the Census, 1201 East 10th Street,
Jeffersonville, Indiana 47103.
Categories of individuals covered by the system: All persons
counted during the Censuses of Population and Housing taken in 1960
and later.
Categories of records in the system: Records contain population
information on age; sex; race or color; marital status and family
relationships; citzenship and ethnic origin; education and veteran
status, income, occupation and employment; and housing information on
occupancy, vacancy, utilization, plumbing, structural and financial
characteristics and equipment, fuels and appliances, and similar
social, economic, and demographic characteristics.
Authority for maintenance of the system: 13 U.S.C. 141.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records are
maintained and used solely for statistical purposes and are
confidential under 13 U.S.C. 8 and 9. Publications do not contain
data that could identify any particular establishment or individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Microform, paper copy, magnetic tape, punch cards.
Retrievability: Information is retrieved by the use of unique
serial identification numbers internal to the Bureau of the Census.
Safeguards: All employees are subject to the restrictions,
penalties, and prohibitions of Title 13, U.S.C. employees are also
regularly advised of the regulations issued pursuant to title 13,
U.S.C. governing the confidentiality of the data.
Retention and disposal: Records are retained in accordance with the
unit's Records Control Schedule.
System manager(s) and address: Associate Director for
Administration, Bureau of the Census, Federal Building 3, Washington,
DC 20233.
Systems exempted from certain provisions of the act: Pursuant to 5
U.S.C. 552a(k)(4), this record is exempted from the notification,
access and contest requirements of the agency procedures (under 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f)).
This exemption is applicable as data are maintained by the Bureau of
the Census solely as statistical records as required under title 13
U.S.C. and are not used in whole or in part in making any
determination about an identifiable individual. This exemption is
made in accordance to agency rules published in the rules section of
this Federal Register.
COMMERCE/CENSUS-6
System name: Population Census Personal Service Records for 1900
and All Subsequent Decennial Censuses--COMMERCE/CENSUS-6.
System location: Bureau of the Census, Personal Census Services
Branch, Pittsburg, Kansas 66762.
Categories of individuals covered by the system: All persons ever
counted during decennial censuses of population (1900-1970).
Categories of records in the system: Name, address, relationship to
head of household, date of birth, marital status, occupation and
education data, race of household members, and other similar
characteristics as reported in each census.
Authority for maintenance of the system: 13 U.S.C. 8.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records may
be considered as statistical records pursuant to 5 U.S.C. 552(a), as
they were originally collected for statistical purposes, and are now
maintained to perform searches at the request of subject individual
under procedures published in the 15 CFR part 60 and in accordance
with 13 U.S.C. 8 to provide proof of age, citizenship, proof of
relationship, and limited use for genealogical purposes.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Microform.
Retrievability: Indexed by numerical coding of surname on SOUNDEX
system and by township, county, and state.
Safeguards: All employees are subject to the restrictions,
penalties, and prohibitions of Title 13, U.S.C. Employees are also
regularly advised of the regulations issued pursuant to Title 13,
U.S.C. governing the confidentiality of the data.
Retention and disposal: Records are retained indefinitely.
System manager(s) and address: Associate Director for
Administration, Bureau of the Census, Federal Building 3, Washington,
DC 20233.
Systems exempted from certain provisions of the act: Pursuant to 5
U.S.C. 552a(k)(4) this record is exempt from the notification access
and contest requirements of the agency procedures (under 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f)). This
exemption is applicable as data are maintained by the Bureau of the
Census as statistical records as required by Title 13, U.S. Code and
are not used by the Bureau in whole or in part in making any
determination about an identifiable individual. This exemption is
made in accordance with the Department's rules which appear in 15 CFR
part 4b.
COMMERCE/CENSUS-7
System name: Special Censuses of Population Conducted for State
and Local Government--COMMERCE/CENSUS-7.
System location: Bureau of the Census, Federal Building 3,
Washington, DC 20233 and Bureau of the Census, 1201 East 10th Street,
Jeffersonville, Indiana 47103.
Categories of individuals covered by the system: Residents counted
in the area requesting a census.
Categories of records in the system: Address, name, age, race, sex,
relationship to head of household, and occasionally other related
social, economic, and demographic characteristics.
Authority for maintenance of the system: 13 U.S.C. 8.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These data
maintained by the Bureau of the Census are used solely for
statistical purposes. Publications do not contain data that could
identify any particular establishment or individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Magnetic tape, paper copy.
Retrievability: Records are retrieved by name and address.
Safeguards: All employees are subject to the restrictions,
penalties, and prohibitions of Title 13, U.S.C. Employees are also
regularly advised of the regulations issued pursuant to Title 13,
U.S.C. governing the confidentiality of the data.
Retention and disposal: Tapes retained for 90 days after
processing, then erased, paper copy is retained for 2 years, then
destroyed.
System manager(s) and address: Associate Director for
Administration, Bureau of the Census, Federal Building 3, Washington,
DC 20233.
Systems exempted from certain provisions of the act: Pursuant to 5
U.S.C. 552a(k)(4) this record is exempt from the notification access
and contest requirements of the agency procedures (under 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f)). This
exemption is applicable as the data are maintained by the Bureau of
the Census solely as statistical records as required under Title 13
U.S.C. and are not used in whole or in part in making any
determination about an identifiable individual. This exemption is
made in accordance to agency rules published in the rules section of
this Federal Register.
COMMERCE/CENSUS--8
System name:
Statistical Administrative Records System--Commerce/Census--8.
System location:
Bowie Computer Center, Bureau of the Census, 17101 Melford Blvd.,
Bowie, Maryland 20715.
Categories of individuals covered by the system:
The population of the United States. In order to approximate
coverage of the entire U.S. population, the Census Bureau will
combine and delete redundant administrative record files from the
Internal Revenue Service, Social Security Administration, Health Care
Financing Administration, Selective Service System, Department of
Housing and Urban Development, and the Indian Health Service.
Comparable data may also be sought from selected state agencies, if
available.
Categories of records in the system:
Personal identifiers --including but not limited to name and
social security number--needed for matching purposes only; once
matched, personal identifiers will be eliminated and replaced by
Census Bureau-generated unique identifiers, which will be provided on
output statistical data files; Demographic information--including but
not limited to sex, race, ethnicity, education, marital status,
tribal affiliation, veteran's status; Geographic information--
including but not limited to address; Economic information--including
but not limited to income, job information, total assets; and
Processing information--including but not limited to processing codes
and quality indicators.
Authority for maintenance of the system:
Title 13, U.S.C. 6.
Purpose(s):
The purpose of the statistical administrative records system of
records is to evaluate the 2000 decennial census; plan for the 2010
decennial census; evaluate and enhance selected survey data; and
produce estimates of social and economic characteristics of the
population. By using administrative records data from other agencies,
the Census Bureau will be able to improve the quality and usefulness
of its data, while reducing costs and respondent burden.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records will be stored in a secure computerized system and on
magnetic tape; output data will be either electronic or paper copy.
All identifiable data will be maintained in a secure environment and
access to identifiable information will be restricted to only a small
number of people with a need to know.
Retrievability:
Records can be retrieved by name, address, or Social Security
Number by only a limited number of sworn Census Bureau personnel
within a secure, restricted access environment. It should be noted
that the purpose of these identifiers is not to retrieve information
for specific individuals, but only to develop matched data sets for
subsequent statistical extracts. Names and Social Security Numbers
will be deleted from all output files and replaced by unique serial
identification numbers internal to the Bureau of the Census.
Safeguards:
Only a limited number of sworn Census Bureau employees will have
access to these data in identifiable form, in order to construct the
linked data sets and produce statistical extracts; the data will not
be used to identify specific individuals, but will be used to create
extracts with information from one or more of the source files.
Extract files will only be released to designated sworn Census Bureau
staff with a need-to-know; all data going outside the restricted
access environment will be stripped of personally identifying
information; the crosswalk for the recoded identifiers will be
maintained within the secure, restricted access environment and may
only be accessed only by authorized personnel. The microdata will not
be made publicly available. Any publications resulting from these
data will be cleared for release under the direction of the Census
Bureau's Disclosure Review Board, which will confirm that the data do
not directly or indirectly disclose information which would identify
any individual. All employees are subject to the restrictions,
penalties, and prohibitions of Title 13 U.S.C. 9 and 214; Privacy Act
of 1974 (5 U.S.C. 552a(b)(4)); Title 18 U.S.C. 1905; Title 26 U.S.C.
7213; and Title 42, U.S.C., Section 1306. When confidentiality or
penalty provisions differ, the most stringent provisions apply to
protect the data. Employees are regularly advised of the regulations
issued pursuant to Titles 13 U.S.C. and other relevant statutes
governing confidentiality of the data. The restricted access
environment has been established to limit the number of Census Bureau
employees with direct access to identifiable microdata from this
system, so as to protect the confidentiality of the data and to
prevent unauthorized use or access to it.
[[Page 3204]]
These safeguards provide a level and scope of security that is not
less than the level and scope of security established by the Office
of Management and Budget in OMB Circular No. A-130, Appendix III,
Security of Federal Automated Information Systems. Furthermore, the
use of unsecured telecommunications to transmit individually
identifiable or deducible information derived from the administrative
record files is prohibited.
Retention and disposal:
Records to be retained in accordance with the unit's Records
Control Schedule, which is based on separate agreements with each
source agency. Retention is not to exceed 10 years, unless, by
agreement with the source agency, it is determined that a longer
period is necessary for statistical purposes. At the end of the
retention period or upon demand, all original files, extracts and
paper copies from each agency will be returned to the source agency
or destroyed, as stated in the interagency agreement.
System manager(s) and address:
Associate Director for Methodology and Standards, Bureau of the
Census, FB 3, Washington, DC 20233.
Notification procedure:
For Census records, information may be obtained from: Assistant
Division Chief for Administrative Records Research, Planning,
Research, and Evaluation Division, Methodology and Standards
Directorate, Bureau of the Census, Suitland Federal Center Building
2, Washington, D.C. 20233.
Record source categories:
Individuals covered by selected Federal administrative record
systems and Census Bureau censuses and surveys.
Exemptions claimed for this system:
Pursuant to Title 5 U.S.C., Section 552a(k)(4), this system of
records is exempted from the notification, access, and contest
requirements of the agency procedures (under Title 5 U.S.C., Section
552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f)). This
exemption is applicable as the data are maintained by the Bureau of
the Census solely as statistical records, as required under Title 13
U.S.C., and are not used in whole or in part in making any
determination about an identifiable individual. This exemption is
made in accordance with agency rules published in the rules section
of this Federal Register.
International Trade Administration
COMMERCE/ITA-1
System name: Individuals Identified in Export Transactions--
COMMERCE/ITA-1.
System location: Office of Export Administration, ITA, U.S.
Department of Commerce, 14th St. and Constitution Ave., NW,
Washington, DC 20230.
Categories of individuals covered by the system: a. Individuals
involved in export transactions. Information is maintained on
domestic and foreign companies and business officials, and includes
U.S. citizens involved with or working for firms abroad. b.
Individuals identified in an export administration compliance
proceeding or investigation. Individuals alleged to have violated the
Export Administration regulations; established violators of the
regulations; certain other individuals identified by the FBI or other
investigating agency or individual in the investigative process such
as those involved in organized crime; and individuals who have
received warning letters.
Categories of records in the system: Reports and cables from U.S.
foreign service posts. Reports from F.B.I., other law enforcement or
investigative agencies, investigators, or informants; investigative
and intelligence data; documented violations; warning letters.
Includes any information on alleged or proven violators of the Export
Administration Act.
Authority for maintenance of the system: Export Administration Act
of 1979 (Pub. L. 96-72, 50 U.S.C. App. et seq.). 5 U.S.C. 301, 28
U.S.C. 533-535, 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See routine use
paragraphs 1-5 and 8-13 of the Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Information filed by case or subject file. All
names are cross-referenced by name card file.
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 whose official duties require access.
Retention and disposal: Retained for a reasonable period of time.
Disposition is recorded.
System manager(s) and address: Director, Compliance Division,
Office of Export Administration, ITA, U.S. Department of Commerce,
Washington, DC 20230.
Notification procedure: Information may be obtained from: Privacy
Officer, Office of Management and Systems, ITA, Room 3102, U.S.
Department of Commerce, Washington, DC 20230. Requester should
provide name, address, and case or subject, if known, pursuant to the
inquiry provisions of the Department's rules which appear in 15 CFR
part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing intial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Individual exporters, those authorized by the individual
exporters to furnish information, trade sources, investigative
agencies, intelligence, investigative and other personnel of the
Office of Export Administration, informants, CIA, FBI, Justice
Department, Defense Department, Energy Department, and State
Department.
Systems exempted from certain provisions of the act: Pursuant to 5
U.S.C. 552a(j)(2), all information about an individual in the record
which meets the criteria stated in 5 U.S.C. 552a(j)(2) are exempted
from the notice, access and contest requirements of the agency
regulations and from all parts of 5 U.S.C. 552a except subsections
(b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10),
and (11), and (i), and pursuant to 5 U.S.C. 552a(k)(1) and (k)(2) on
condition that the 5 U.S.C. 552a(j)(2) exemption is held to be
invalid, all investigatory material in the record which meets the
criteria stated in 5 U.S.C. 552a(k)(1) and (k)(2) are exempted from
the notice, access, and contest requirements (under 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f)) of the
agency regulations because of the necessity to exempt this
information and material in order to accomplish this law enforcement
function of the agency, to prevent subjects of investigation from
frustrating the investigatory process, to prevent the disclosure of
investigative techniques, to fulfill commitments made to protect the
confidentiality of sources, to maintain access to sources of
information, and to avoid endangering these sources and law
enforcement personnel. Section 12(c) of the Export Administration Act
of 1979 also protects certain of this information and material
related to export licenses from disclosure.
COMMERCE/ITA-2
System name: Individuals Involved in International Business
Trade Complaints--COMMERCE/ITA-2.
System location: Office of Export Marketing Assistance, ITA, U.S.
Department of Commerce, 14th St. and Constitution Ave., NW,
Washington, DC 20230.
Categories of individuals covered by the system: Individuals filing
trade complaints (business disputes) against foreign firms, or
against whom foreign firms file complaints through U.S. Embassies.
Categories of records in the system: Complaint and supporting
documentation, record of the handling and disposition of the
complaint, and third party information (bank references, information
obtained from other parties to the transaction, and commercial
contacts of the individual).
Authority for maintenance of the system: 15 U.S.C. 1512.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See routine use
paragraphs 1-5, 9 and 13 of the Prefatory Statement. Also foreign
governments obtain information on the disputants in order to check
reliability of the firms involved, and foreign firms involved in the
dispute obtain information. This information is supplied to the
foreign governments and foreign firms through the Department of
State. The Department of State also uses information to check the
credibility of the foreign firms involved in a dispute. Information
is released to other executive branch agencies, e.g., SBA, USDA, when
a party to the dispute falls within their area of jurisdiction in an
attempt to solve the dispute.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Name of American party to the dispute.
Safeguards: Metal cabinets with bar and combination lock.
Retention and disposal: Permanent.
System manager(s) and address: Director, Office of Export Marketing
Assistance, ITA, U.S. Department of Commerce, Washington, DC 20230.
Notification procedure: Information may be obtained from: Privacy
Act Officer, Office of Management and Systems, ITA, Room 3102, U.S.
Department of Commerce, Washington, DC 20230. Requester should
provide name of individual and name of American party to the dispute
pursuant to the inquiry provisions of the Department's rules which
appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual, those authorized by the individual to furnish
information, the complainant, banks, commercial contracts, and other
parties to the transaction.
Systems exempted from certain provisions of the act: Pursuant to 5
U.S.C. 552a(k)(1), material which is classified is exempted from 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f), to
prevent disclosures detrimental to national defense or foreign
policy.
COMMERCE/ITA-3
System name: Mission Directors/Seminar Chairpersons/Industry
Technical Representatives--COMMERCE/ITA-3.
System location: Office of Export Promotion, ITA, 14th St. and
Constitution Ave. NW, U.S. Department of Commerce, Washington, DC
20230.
Categories of individuals covered by the system: Individuals who
are Directors of Department of Commerce U.S. Trade Missions,
Chairpersons of U.S. Government Seminar Missions, and Industry
Technical Representatives of Department of Commerce Catalog
Exhibitions and Video/Catalog Exhibitions.
Categories of records in the system: Home address, date and place
of birth, photographs, brief career history, citizenship, and
passport numbers.
Authority for maintenance of the system: Delegation of Authority,
dated June 25,1962 from United States Information Agency under
Section 5(e) of Executive Order 11034 of June 25, 1962, as amended by
Executive Order 11380 of November 8, 1967, insofar as said delegation
pertains to U.S. Participation in trade missions abroad under the
Mutual Educational and Cultural Exchange Act of 1961, as amended (22
U.S.C. 2451 et seq.).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: General routine
uses 1-5, 9 and 13 apply.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability: By promotion theme of trade event, location of
trade event and individual's name.
Safeguards: Records are locked in lockable metal file cabinets or
in metal file cabinets in secured rooms or premises with access
limited to those whose official duties require access.
Retention and disposal: File is retained for three years and then
destroyed.
System manager(s) and address: Director, Special Promotions
Division, Office of Export Promotion, ITA, U.S. Department of
Commerce, Washington, DC 20230.
Notification procedure:
Information may be obtained from: Privacy Act Officer, Office of
Management and Systems, ITA, Room 3102, U.S. Department of Commerce,
Washington, DC 20230. Requester should provide name and location of
trade mission and individual's name pursuant to the inquiry
provisions of the Department's rules which appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories: .
Subject individual, and individual's company, and those
authorized by the individual to furnish information.
COMMERCE/ITA-4
System name: Membership Information: District Export Councils--
COMMERCE/ITA-4.
System location:
U.S. Commercial Service, ITA, 14th St. and Constitution Ave. NW.,
U.S. Department of Commerce, Washington, DC 20230.
Categories of individuals covered by the system:
Present, former and potential members of the District Export
Councils.
Categories of records in the system:
Address, date and place of birth, brief career history,
education, special qualifications for appointment, and record of
appointment. Miscellaneous material such as photographs, press
releases and resumes are maintained on some members.
Authority for maintenance of the system:
15 U.S.C. 1512.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See routine use paragraphs 1-5 and 9, 12, and 13 of Prefatory
Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
Filed by council and name of individual.
Safeguards:
Records are located in lockable metal file cabinets or in metal
cabinets in secured rooms or premises with access limited to those
whose Official duties require access.
Retention and disposal:
Retained for active councils. Retired when councils terminate or
when individuals leave councils.
System manager(s) and address:
Deputy Assistant Secretary for the U.S. Commercial Service, ITA,
U.S. Department of Commerce, Washington, DC 20230.
Notification procedure:
Information may be obtained from: Privacy Act officer, Office of
Management and Systems, ITA, Room 3102, U.S. Department of Commerce,
Washington, DC 20230. Requester should provide name of individual and
council pursuant to the inquiry provisions of the Department's rules
which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual, individual's company, and persons nominating
the individual for council membership.
COMMERCE/ITA-5
System name: National Defense Executive Reserve Personnel
Folders--COMMERCE/ITA-5.
System location:
Office of Industrial Mobilization and Office of Export
Administration, ITA, 14th and Constitution Ave., NW, U.S. Department
of Commerce, Washington, DC 20230.
Categories of individuals covered by the system:
Individuals from the business community selected to assume
responsibility for industrial production, construction, and
distribution in the event of national emergencies.
Categories of records in the system:
Name; home address; photograph; brief career history; names of
close relatives; marital status; previous government experience;
previous residences; current and recent past employment and
approximate earnings; citizenship; social security number; business
and residence telephone numbers; security clearance; statement of
understanding; request for appointment; secrecy agreement; sex; date
and place of birth; military and civil defense obligations;
education; and professional and other memberships.
Authority for maintenance of the system:
E.O. 11179 of September 22, 1964.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See routine use paragraphs 1-5, 9, 12, and 13 of Prefatory
Statement. Transferring data to the Federal Emergency Management
Agency pursuant to E.O. 11179.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper forms, index cards, word processor diskettes, and magnetic
tape.
Retrievability:
Paper forms and index cards are filed alphabetically by
individual's name. Data on magnetic tape is retrieved by serial
number. Data on word processor diskettes also retrieved
alphabetically by individual's name.
Safeguards:
Records are located in lockable metal file cabinets or in secured
rooms or premises with access limited to those whose official duties
require access.
Retention and disposal:
Retained until two years after individual's resignation or death
and then discarded.
System manager(s) and address:
Director, Office of Industrial Mobilization, ITA, U.S. Department
of Commerce, Washington, DC 20230.
Emergency Planning Officer, Office of Export Administration, ITA,
U.S. Department of Commerce, Washington, DC 20230.
Notification procedure:
Information may be obtained from: Privacy Act Officer, Office of
Management and Systems, ITA, Room 3102, U.S. Department of Commerce,
Washington, DC 20230. Requester should provide name of individual
pursuant to the inquiry provisions of the Department's rules which
appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the notification section above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual and those authorized by the individual to
furnish information.
COMMERCE/ITA-6
System name: Foreign Service Officer Evaluations--COMMERCE/ITA-
6.
System location:
Foreign Commerce Service, ITA, U.S. Department of Commerce, 14th
and Constitution Ave., NW, Washington, DC 20230.
Categories of individuals covered by the system: Members of the
Foreign Commercial Service of the United States and Foreign Service
Officers of the United States (State Department) serving abroad in
commercial and/or economic positions or serving domestically in the
United States Government.
Categories of records in the system: (1) Memorandums, cables,
letters and other documents used in the preparation of Foreign
Service Commercial Officer Evaluation Reports; and (2) other
documents relating to officer performance.
Authority for maintenance of the system: Foreign Service Act of
1980 (Pub.L. 96-465)
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: A record in this
system may be disclosed as a routine use to the Department of State
in connection with the evaluation of the performance of a Foreign
Service Officer. See also paragraphs 1-5 of the Prefatory Statement.
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 individual FSO's name.
Safeguards: Records are located in lockable metal file cabinets in
premises with access limited to those whose official duties require
access.
Retention and disposal: Documents relating to officer performance
are retained until retirement, resignation, or death of the
individual and then retired or destroyed, as appropriate.
System manager(s) and address: Director General of the Foreign
Commercial Service, ITA, U.S. Department of Commerce, Washington, DC
20230.
Notification procedure: Information may be obtained from: Privacy
Act Officer, Office of Management and Systems, ITA, Room 3102, U.S.
Department of Commerce, Washington, DC 20230. Requester should
provide his name pursuant to the inquiry provisions of the
Department's rules which appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual, and supervisors of those individuals.
COMMERCE/IATC-1
System name: Auditor Trainee Registrants--COMMERCE/IATC-1.
System location: Office of Administrative Services, Records
Management Division, U.S. Department of Commerce, Washington, DC
20230.
Categories of individuals covered by the system: Individuals who
had registered as an enrollee at the Interagency Auditor Training
Center.
Categories of records in the system: Name; date of birth; social
security number; phone; address; occupation; position; grade level;
and education.
Authority for maintenance of the system: Government Employees
Training Act of 1958; Executive Order 11348, April 20, 1976; and
Intergovernmental Cooperation Act of 1968 (Pub.L. 90-557).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See routine use paragraphs 1-5 and 9-13 of Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Indexed by name and year of attendance.
Safeguards: Records are located in secured premises with access
limited to those whose official duties require access.
Retention and disposal: Records will be disposed of in accordance
with the Office's Records Control Schedule.
System manager(s) and address:
Director, Office of Administrative Services, U.S. Department of
Commerce, Washington, DC 20230.
Notification procedure:
Information may be obtained from: address same as above.
Requester should provide name and dates of attendance pursuant to the
inquiry provisions of the Department's rules which appear in 15 CFR
part 4b.
Record access procedures:
Requests from individuals should be addressed to: Director,
Office of Organization and Management Systems, OS, Department of
Commerce, Washington, DC 20230.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individuals and those authorized by the individual to
furnish information.
COMMERCE/MBDA-1
System name: Descriptive Data Questionnaire--COMMERCE/MBDA-1.
System location: James H. Lowry and Associates, Suite 1340, 303
East Wacker Drive, Chicago, Illinois 60601.
Categories of individuals covered by the system: Students and
business managers and entrepreneurs surveyed on a voluntary basis as
part of the study of business management development needs of
minorities.
Categories of records in the system: Age, sex, ethnic origin,
education, company data, assessment of career and goals,
organizational affiliation(s), personal performance evaluation,
opinions of career opportunities/impediments.
Authority for maintenance of the system: Executive Order 11625.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The James H. Lowry
Associates, specifically the Project Manager and an administrative
staffer, will use this information to identify those areas which
MBDA's business management development program should address.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper copy in file folders for 60 days; then converted to
magnetic tape.
Retrievability: By site code.
Safeguards: Records are located in company vault with access
limited to those whose official duties require access. Only two James
H. Lowry and Associates employees will have access.
Retention and disposal: Survey information will be destroyed
September 30, 1982.
System manager(s) and address: Assistant Director for Planning,
Budget and Evaluation, MBDA, U.S. Department of Commerce, Washington,
DC 20230.
Notification procedure: Information may be obtained from Deputy
Chief Counsel, MBDA, U.S. Department of Commerce, Washington, DC
20230.
Record access procedures: Requests from individuals should be
addressed to same address as stated in the Notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual and those authorized by the individual to
furnish information.
National Bureau of Standards
COMMERCE/NBS-1
System name: NBS Guest Workers--COMMERCE/NBS-1.
System location:
Personnel Division, National Bureau of Standards, U.S. Department
of Commerce, Washington, DC 20234.
Categories of individuals covered by the system:
Guest workers pursuing individual scientific or technical
projects.
Categories of records in the system:
Agreement between NBS and guest worker; name; citizenship; social
security number; supervisor; arrival and departure dates; date of
security assurance; conditions; and facilities to be made available.
Authority for maintenance of the system:
27 Stat. 395 and 31 Stat. 1039.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See routine use paragraphs 1-10 and 13 in the Prefatory
Statement.
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 name.
Safeguards:
Records are located in lockable metal file cabinets with access
limited to those whose official duties require access.
Retention and disposal:
The records are disposed 5 years after guest worker terminates.
System manager(s) and address:
Personnel Officer, Administration Building, National Bureau of
Standards, Washington, DC 20234.
Notification procedure:
Information may be obtained from: Deputy Director of
Administration, Room 1105, Administration Building, National Bureau
of Standards, Washington, DC 20234. Requester should provide name and
approximate date of affiliation, pursuant to the inquiry provisions
of the Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual, those authorized by the individual to furnish
information, and operating officials making the facilities available.
COMMERCE/NBS-2
System name: Inventors of Energy-Related Processes and Devices--
COMMERCE/NBS-2.
System location:
Office of Energy-Related Inventions, National Engineering
Laboratory, National Bureau of Standards, Washington, DC 20234.
Categories of individuals covered by the system:
Inventors submitting ideas for evaluation by NBS.
Categories of records in the system:
Name, address, and telephone number of the persons submitting
ideas or inventions for evaluation.
Authority for maintenance of the system:
88 Stat. 1894.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to the routine use paragraphs 1-10 and 13 in the
Prefatory Statement, the information is used in correspondence with
the inventor or person submitting the invention for evaluation and
submitter-designated interested third parties, in the evaluation of
technical and commercial feasibility, in reports to the Department of
Energy, and in development of statistical and analytical data.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual and machine-readable.
Retrievability:
Filed alphabetically by name.
Safeguards:
Records are located in lockable metal file cabinets; access to
all files is restricted to those persons requiring access for
evaluation or administrative purposes and who have permission
pursuant to a written contract or agreement with NBS, or have written
authorization of the legal advisor; an exception to this would be a
valid request made under the Freedom of Information Act for
information that is not (1) a trade secret or (2) commercial or
financial information that is privileged or confidential and
therefore falling within the exemption set out in the Act, 5 U.S.C.
552(b)(4).
Retention and disposal:
Currently all records are retained indefinitely.
System manager(s) and address:
Chief, Office of Energy-Related Inventions, National Engineering
Laboratory, National Bureau of Standards, Washington, DC 20234.
Notification procedure:
Information may be obtained from: Deputy Director of
Administration, Room 1105, Administration Building, National Bureau
of Standards, Washington, DC 20234. Requester should provide name and
additional factual data as appropriate, pursuant to the inquiry
provisions of the Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: same address as
stated in the notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individuals and those authorized by the individual to
furnish information.
COMMERCE/NBS-3
System name: Research Associates--COMMERCE/NBS-3.
System location: Office of the Director, Administration Building,
National Bureau of Standards, U.S. Department of Commerce,
Washington, DC 20234.
Categories of individuals covered by the system: Research
Associates.
Categories of records in the system: Personal history statement,
conflict of interest statement.
Authority for maintenance of the system: 27 Stat. 395 and 31 Stat.
1039.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See routine use
paragraphs 1-5, 9, and 13 of the Prefatory Statement.
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 name.
Safeguards: Records are located in lockable file cabinets with
access limited to those whose official duties require access.
Retention and disposal: Records are transferred from an active to
terminated section of the files at conclusion of individual's service
as a research associate and are retained in accordance with the
unit's Records Control Schedule.
System manager(s) and address: Industrial Liaison Officer, Office
of the Director, Administration Building, National Bureau of
Standards, Washington, DC 20234.
Notification procedure: Information may be obtained from: Deputy
Director of Administration, Room 1105, Administration Bldg., National
Bureau of Standards, Washington, DC 20234. Requester should provide
name and approximate date of affiliation, pursuant to the inquiry
provisions of the Department's rules which appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual and those authorized by the individual to
furnish information.
COMMERCE/NBS-4
System name: Employees External Radiation Exposure Records--
COMMERCE/NBS-4.
System location: Health Physics, Occupational Health and Safety
Division, National Bureau of Standards, Washington, DC 20234.
Categories of individuals covered by the system: Individuals
working with radioactive materials and machines who may be exposed to
ionizing radiation.
Categories of records in the system: Name, social security number,
date of birth, organizational unit, and amount of radiation received.
Authority for maintenance of the system: 42 U.S.C. 2201 and 68
Stat. 950.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See routine use
paragraphs 1, 3, 4, 5, 6, and 9 in the Prefatory Statement. Also,
film from badges is sent monthly to the U.S. Army for determination
of amount of radiation exposure.
Information involving exposure levels, incidents, and amounts of
overexposure is required to be submitted to the Nuclear Regulatory
Commission. In the event of serious overexposure, information would
be disclosed to the Bethesda (Maryland) Naval Medical Center,
employee's family physician, and other appropriate medical
authorities.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper records in file folders, film, and/or machine-
readable.
Retrievability: Filed alphabetically by name.
Safeguards: Manual records are located in lockable metal file
cabinets with access limited to those whose official duties require
access. Machine-readable records are accessible only with terminals
under the administrative control of the Health Physics Unit of the
Occupational Health and Safety Division.
Retention and disposal: Currently, records are retained
indefinitely.
System manager(s) and address: Chief, Health Physics, Occupational
Health and Safety Division, National Bureau of Standards, Washington,
DC 20234.
Notification procedure: Information may be obtained from: Deputy
Director, Room 1105, Administration Building, National Bureau of
Standards, Washington, DC 20234. Requester should provide name,
social security number, and date of employment, pursuant to the
inquiry provisions of the Department's rules which appear in 15 CFR
part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rule for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories: :
Subject individuals and U.S. Army.
COMMERCE/NBS-5
System name: Nuclear Reactor Operator Licensees File--COMMERCE/
NBS-5.
System location:
Reactor Radiation Division, National Measurement Laboratory,
National Bureau of Standards, Washington, DC 20234.
Categories of individuals covered by the system:
NBS employees who are licensed as Nuclear Reactor Operators,
those whose applications for licenses are being processed, and those
whose licenses have expired.
Categories of records in the system:
These records contain information relating to the application for
a Nuclear Reactor Operator's license, certification of competency,
certification of medical history, results of medical examination and
related correspondence, reactor operator examination and examination
results, records of training, and license or denial letter.
Authority for maintenance of the system:
Sections 107, 161(i), Atomic Energy Act of 1954 as amended, 42
U.S.C. 2137, and 2021(i), 15 U.S.C. 272.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in these records may be disclosed: To the Nuclear
Regulatory Commission for the purpose of conducting audits of the
qualifications of reactor operators. Also see routine use paragraphs
1-6 and 9-13 of the Prefatory Statement.
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 name.
Safeguards:
Records are maintained in a locked filing cabinet in a limited
access building.
Retention and disposal: All records relating to an individual's
license and documentation for license including requalification
requirements will be retained as long as is required by the Reactor
License and will thereafter either be turned over to the individual
concerned or destroyed.
System manager(s) and address:
Chief, Reactor Radiation Division, National Measurement
Laboratory, National Bureau of Standards, Washington, DC 20234.
Notification procedure:
Information may be obtained from: Deputy Director of
Administration, Room 1105, Administration Building, National Bureau
of Standards, Washington, DC 20234. Requester should provide name and
additional factual data as appropriate, pursuant to the inquiry
provisions of the Department's rules, which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual, licensed physician, employees of the Reactor
Radiation Division, and those authorized by the subject individual to
supply information.
COMMERCE/NBS-6
System name: Participants in Experiments, Studies, and Surveys--
COMMERCE/NBS-6.
System location: Portions of the system may be located with
contractors involved in the experiments, studies, or surveys, or in
any one of the following locations:
National Measurement Laboratory, Room B364, Materials Bldg., NBS,
Washington, DC 20234; Room R4011, NBS, Boulder, CO 80302;
National Engineering Laboratory, Room B117, Technology Bldg.,
NBS, Washington, DC 20234.
Institute for Computer Sciences and Technology, Room A200,
Administration Bldg., NBS, Washington, DC 20234.
For those portions located with contractors, a complete list of
contractors and addresses is available from the Deputy Director for
Information Systems, Room A1105, Administration Building, National
Bureau of Standards, Washington, DC 20234.
Categories of individuals covered by the system: Individuals who
have voluntarily applied to serve or who have served as participants
in socio-economic, technical, or psychological experiments, studies
and surveys undertaken in furtherance of authorized research
activities.
Categories of records in the system: Name, age, birth date, place
of birth, sex, race, home address and telephone number, business
address and telephone number, education, income, occupation, family
size and composition, patterns of product use, drug sensitivity data,
medical, dental and physical history information, and such other
information as is necessary, to be determined by the subject matter
and purpose of the experiment, study or survey, including data
derived from participants' responses during the course of the
authorized research.
Authority for maintenance of the system: 15 U.S.C. 271 et. seq.; 29
U.S.C. 651 et. seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Information in the
system may, on occasion, be disclosed to Federal agencies and other
outside organizations which have sponsored the research in connection
with which the data were obtained. General routine use paragraphs 5,
9, and 13 of the Prefatory Statement also apply to this system.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper records in file folders, electromagnetic storage
material and microform.
Retrievability: Filed alphabetically by name, or control number or
other code identifier.
Safeguards: During business hours the records at NBS sites are
maintained in a secured building with access limited to those whose
official duties require access; during non-business hours, the
records are in secured rooms with access controlled by security
guards. Any records maintained by contractors will be maintained in
similar fashion in accordance with contractual specifications.
Retention and disposal: Retained in accord with NBS's records
control schedule.
System manager(s) and address: Director, National Engineering
Laboratory, Room B117, Technology Bldg., NBS, Washington, DC 20234.
Notification procedure: Information may be obtained from: Deputy
Director of Administration, Room A1105, Administration Building,
National Bureau of Standards, Washington, DC 20234. Requester should
provide name, approximate date, and title of experiment, study or
survey pursuant to the inquiry provisions of the Department's rules
which appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and for appealing initial determinations by
the individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individuals and those authorized by the individual to
furnish information.
COMMERCE/NBS-7
System name: NBS Emergency Locator System--COMMERCE/NBS-7.
System location:
National Bureau of Standards, Gaithersburg, Maryland: Physical
Security Office, Fire Protection Service Office, Health Physics Unit
Office; National Bureau of Standards, Boulder, Colorado: Guard
Office, Deputy Security Office, homes of Department of Commerce
management officials having overall responsibility for the protection
of personnel, buildings, and equipment.
Categories of individuals covered by the system:
NBS employees and other individuals utilizing NBS facilities.
Categories of records in the system:
Names and home telephone numbers.
Authority for maintenance of the system:
5 U.S.C. 301, 15 U.S.C. 278e, 40 U.S.C. 490(d).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Home telephone numbers will be used by the Department of Commerce
staff to contact NBS employees or individuals using NBS facilities in
the case of an emergency (e.g., fire, explosion, power outage, heavy
snow). Those contacted will typically be scientists or engineers
whose experiments might be affected by such an emergency or other
employees who will be required to deal with the emergency.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual and machine-readable.
Retrievability:
Building and room number; organizational code.
Safeguards:
Paper records will be kept in lockable file cabinets with limited
access; machine-readable records will have limited access with
security key required.
Retention and disposal:
Records will be updated every 6 months or more frequently.
System manager(s) and address:
Chief, Facilities Services Division, Office of the Director of
Administrative and Information Systems, NBS, Washington, DC 20234;
Staff Services Officer, Boulder Executive Office, Radio Building,
Room 4011, NBS, Boulder, Colorado 80303.
Notification procedure:
Information may be obtained from: Deputy Director of
Administration, Room A1105, Administration Building, National Bureau
of Standards, Washington, DC 20234. Requester should provide name and
building location or organizational unit.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the Notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
for appealing initial determinations by the individual concerned
appear at 15 CFR part 4b. Use above address.
Record source categories:
Subject individuals and those authorized by the individual to
furnish information.
National Oceanic and Atmospheric Administration
COMMERCE/NOAA-1
System name: Applicants for the NOAA Corps--Commerce/NOAA-1.
System location: Office of the Director, NOAA Corps, National
Oceanic and Atmospheric Administration, Rockville, Maryland 20852.
Categories of individuals covered by the system: Applicants for
appointment in the NOAA Corps.
Categories of records in the system: Name, social security number,
letters of reference, physical examinations, college transcripts,
statements of prior military service, recruiting officer's appraisal,
personal resumes, and similar data necessary to be considered for a
commission in the NOAA Corps.
Authority for maintenance of the system: 33 U.S.C. 853i; 853j;
853j-1; 853t; 854; 854a-1.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See routine use
paragraphs of Prefatory Statement. General routine use No.12 does not
apply. Also to respond to the applicant, Members of Congress, or
others with a valid interest who may inquire as to the status of the
application or who may request reconsideration of a rejected
application.
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 name.
Safeguards: Records are maintained in secured room. Access only on
the authority of the Director, NOAA Corps or the Chief/Deputy Chief,
Commissioned Personnel Division.
Retention and disposal: Destroyed after approximately six months if
rejected, unless applicant indicates a desire for reconsideration.
System manager(s) and address: Director, NOAA Corps, National
Oceanic and Atmospheric Administration, Rockville, Maryland 20852.
Notification procedure: Information may be obtained from: Assistant
Administrator for Management and Budget, NOAA, 6010 Executive
Boulevard, Rockville, Maryland 20852. Requester should provide name,
address, social security number, and date of birth, pursuant to the
inquiry provisions of the Department's rules which appear in 15 CFR
part 4b.
Record access procedures: Requests from individuals should be
addressed to: same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individuals, personal references, the NOAA Corps officer
who recruited the individual, and those authorized by the individual
to furnish information.
Systems exempted from certain provisions of the act: Pursuant to 5
U.S.C. 552a(k)(5), all investigatory material in the record which
meets the criteria of 5 U.S.C. 552a(k)(5) is exempted from the
notice, access, and contest requirements (under 5 U.S.C. 552a(c)(3),
(d), (e)(1), (e)(4)(G), (H), and (I), and (f)) of the agency
regulations in order to fulfill commitments made to protect the
confidentiality of sources, and to maintain access to sources of
information which are necessary to determine applicant's suitability
for employment in the NOAA Corps.
COMMERCE/NOAA-2
System name: Commissioned Officers Official Travel Orders
Folders--COMMERCE/NOAA-2.
System location: Office of the Director, NOAA Corps, National
Oceanic and Atmospheric Administration, Rockville, Maryland 20852.
Categories of individuals covered by the system: Commissioned
officers of the NOAA Corps (active, retired, and deceased) and former
officers separated within previous six months.
Categories of records in the system: Name, grade, social security
number, estimated travel cost, dates of transfer, assignment
locations, and type of duty.
Authority for maintenance of the system: 37 U.S.C.; 33 U.S.C. 857-
5, 857a, 855.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See routine use
paragraphs of the Prefactory Statement. General Routine uses No.6 and
No.12 do not apply. Also the record is sent to the organization to
which officer is assigned such as branches of the U.S. Military
service, branches of foreign military services, World Weather
Organization, etc., to authorize travel and travel allowances and to
effect assignments and assignment changes for commissioned officers.
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 name.
Safeguards: Records are maintained in a locked space. Access only
on the authority of the Director, NOAA Corps, or the Chief/Deputy
Chief, Commissioned Personnel Division.
Retention and disposal: Retained as separate file on all active
duty officers. Incorporated into the Official Personnel File of
retired and deceased officers and retained. Incorporated into the
Official Personnel File of separated officers and after six months
transferred to the National Personnel Records Center, St. Louis,
Missouri 63118.
System manager(s) and address: Director, NOAA Corps, see above
address.
Notification procedure: Information may be obtained from:
Assistant Administrator for Management and Budget, 6010 Executive
Boulevard, Rockville, Maryland 20852. Requester should provide full
name, social security number, date of birth, and dates of service,
pursuant to the inquiry provisions of the Department's rules which
appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual's Official Personnel Record and from the
approved recommendations of the Officer Assignment Board.
COMMERCE/NOAA-3
System name: Commissioned Officer Official Personnel Folders--
COMMERCE/NOAA-3.
System location:
Office of the Director, NOAA Corps (NC), National Oceanic and
Atmospheric Administration, Rockville, Maryland 20852.
Categories of individuals covered by the system:
Commissioned Officers of the NOAA Corps (active, retired, and
deceased) and former commissioned officers separated within previous
six months.
Categories of records in the system:
Name, social security number; selective service number; promotion
history; history of assignments; performance evaluations; date of
birth; education; prior employment history; prior uniformed service;
pay and allowance data; relatives; references; commendations;
discipline; insurance; medical evaluations; and similar personal
information.
Authority for maintenance of the system:
33 U.S.C. 853a-t, 854a-a2, 855, 856, 857, 857-1-5, 857a, 858,
864, 865, 872, 873, 874, 875, 876; 5 U.S.C. 301; 28 U.S.C. 533-535;
44 U.S.C. 3101; and, E.O. 10450.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See routine use paragraphs of the Prefatory Statement. Users are
Selective Service System, Veteran's Administration, Federal Housing
Administration, Social Security Administation, Public Health Service,
Department of Defense elements, Taxing authorities (Federal, State
and local), unemployment compensation authorities, and the
organization to which officer is assigned such as branches of U.S.
Military Service, branches of foreign military services, World
Weather Organizations, etc.
Selected information is disseminated to determine eligibility for
retention, promotion, retirement, separation, and other personnel
actions; physical fitness; entitlement to pay and various allowances;
report taxes withheld; entitlement to social security benefits,
Veteran's benefits, unemployment compensation, waivers for repayment
of student loans, death benefits, survivor benefits, and FHA in-
service loans; assignments; and selective service status.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders (selected data elements in this
system are duplicated on word processing equipment for ease of
retrieval).
Retrievability:
Filed alphabetically by name.
Safeguards:
Records are maintained in secured area. Access only on the
authority of the Director, NOAA Corps or the Chief/Deputy Chief,
Commissioned Personnel Division.
Retention and disposal:
Records are retained indefinitely on active, retired, and
deceased officers; discharged officers' records are retained for
approximately 6 months, then transferred to the National Personnel
Records Center, St. Louis, Missouri 63118.
System manager(s) and address:
Director, NOAA Corps, see above address.
Notification procedure:
Information may be obtained from: Director, Office of
Administration, NOAA, Room 6863, Herbert C. Hoover Building,
Washington, DC 20230.
Requester should provide name, address, social security number,
and date of birth pursuant to the inquiry provisions of the
Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individuals concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual, official correspondence and forms generated
by routine personnel actions, previous employers, prior military
service, Selective Service System, Federal Housing Administration,
Social Security Administration, and similar sources.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(5), all investigatory material in
the record which meets the criteria of 5 U.S.C. 552a(k)(5), is
exempted from the notice, access, and contest requirements (under 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f)) of
the agency regulations in order to fulfill commitments made to
protect the confidentiality of sources, and to maintain access to
sources of information which are necessary to determine employee's
suitability for employment in the NOAA Corps.
COMMERCE/NOAA-4
System name: Commissioned Officers Retired Payroll--COMMERCE/
NOAA-4.
System location: Office of the Director, NOAA Corps, NOAA,
Rockville, Md. 20852.
Categories of individuals covered by the system: Commissioned
officers of the NOAA Corps who are entitled to retired pay, and the
survivors of deceased active duty and retired officers who are
entitled to a survivor's annuity.
Categories of records in the system: Name, social security number;
amount of gross retired pay or survival annuity; amount of federal
income tax withheld; amount of VA reduction; amount of survivor
benefit cost deducted; miscellaneous deductions; and net retired pay
or annuity.
Authority for maintenance of the system: 33 U.S.C. 853a-h; 853j-1-
t; 854a-2; 856; 857-2; 857-5; 872; 873. Authorities for Payroll
Records: 5 U.S.C. 301; 552; Chap. 55; 31 U.S.C. 550; 628; 31 U.S.C.
52; 15 U.S.C. 1511; 37 U.S.C. 201 (Pay for Commissioned Officers); 5
App. Reorg. Plan No. 4 of 1970.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See routine use
paragraphs of Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Manual, flat-paper computer print-out.
Retrievability: Filed by month and year.
Safeguards: Records are maintained in a secured area. Access only
by authority of the Director, NOAA Corps or the Chief, Program
Planning, Liaison and Training Division.
Retention and disposal: Retained 3 years and then destroyed.
System manager(s) and address: Director, NOAA Corps, see above
address.
Notification procedure: Information may be obtained from: Assistant
Administrator for Management and Budget, 6010 Executive Boulevard,
Rockville, Maryland 20852. Requester should provide full name, grade,
social security number and branch of service pursuant to the inquiry
provisions of the Department's rules which appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Information is a print-out from the computerized retired pay
system maintained by the Commanding Officer, U.S. Navy Finance
Center, 240 East Ninth Street, Cleveland, Ohio 44199, who maintains,
under contract, the pay accounts of retired NOAA Corps officers and
their annuitants.
COMMERCE/NOAA--5
System name: Fisheries Law Enforcement Case Files--COMMERCE/
NOAA--5.
System location:
Enforcement Office, NMFS, 1825 Connecticut Avenue, NW, National
Oceanic and Atmospheric Administration, U.S. Department of Commerce,
Washington, DC 20235; and the Office of General Counsel, Southeast
Regional Counsel, National Oceanic and Atmospheric Administration,
9450 Koger Blvd., Suite 102, St. Petersburg, Fl. 33702.
Categories of individuals covered by the system:
Violators and alleged violators of the criminal and/or civil
provisions of certain laws (listed in the Authority Section of this
notice) and the regulations issued thereunder, within the
responsibility of the Secretary of Commerce.
Categories of records in the system:
1. Information compiled for the purpose of identifying individual
criminal and/or civil offenders and alleged offenders and consisting
of identifying data and notations of arrests, the nature and
disposition of criminal or civil charges, sentencing, confinement,
release, parole and probation status, and fines and penalties
assessed;
2. Information compiled for the purpose of a criminal or civil
investigation, including reports of informants and investigators, and
associated with an identifiable individual;
3. Reports identifiable to an individual compiled at any stage of
the process of enforcement of the criminal and civil laws from arrest
or indictment through release from supervision, and the imposition of
civil sanctions through administrative and/or judicial process; and
4. Investigatory material compiled for law enforcement purposes
other than the material covered above.
Authority for maintenance of the system:
Reorganization Plan No. 4 of 1970; 5 U.S.C. 301; 28 U.S.C. 533-
535; 44 U.S.C. 3101; E.0.10450; certain sections of Titles 15, 16,
18, and 22 of the United States Code; and relevant treaty,
international convention, and/or agreements of which there are
approximately 20 (Example: International Convention for the
Regulation of Whaling (TIAS 1849) cf. 16 U.S.C. 916).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Information is given to the Marine Mammal Commission for its
use in making recommendations on the issuance of permits and the
award of grants under the Marine Mammal Protection Act of 1972.
2. Disclosure may also be made to commercial contractors (debt
collection agencies) for the purpose of collecting delinquent
penalties as authorized by the Debt Collection Act (31 U.S.C. 3718).
3. Other routine uses for this system are identified at
paragraphs 1-5, 8-10, and 13 of the Prefatory Statement.
Disclosure to consumer reporting agencies:
Pursuant to the Privacy Act, 5 U.S.C. 552a(b)(12), disclosures
may be made to ``consumer reporting agencies'' as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f), or the Federal Claims
Collection Act of 1966 (3 U.S.C. 3701(a)(31)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Both manual and machine-readable, and computer output records in
file folders.
Retrievability:
Filed alphabetically by individual's name or by an identifying
case number upon initiation of the case.
Safeguards:
Employees are informed of the Departmental rules of conduct
regarding unauthorized disclosure of information contained in
official records. All Special Agents receive a security clearance,
granted by the Department of Commerce, after an investigation. The
files of the Law Enforcement Division that relate to information
concerning an identifiable individual are maintained in locked, metal
file cabinets. The files of the Southeast Regional Counsel are
maintained in metal locked file cabinets. Automated records are
maintained on premises with access limited to those whose official
duties require access.
Retention and disposal:
All records of this Division are subject to the retention and
disposal procedures set forth in NOAA Directives Manual 62-10, et
seq.
System manager(s) and address:
Chief, Enforcement Office, National Marine Fisheries Services,
National Oceanic and Atmospheric Administration, U.S. Department of
Commerce, 1825 Connecticut Avenue, NW, Washington, DC 20235.
Southeast Regional Counsel, National Oceanic and Atmospheric
Administration, U.S. Department of Commerce, 9450 Koger Blvd., Suite
102, St. Petersburg, FL 33702.
Notification procedure:
Information may be obtained from: Acting Director, Office of
Administration, NOAA, Room H6863, Washington, DC 20230.
Requester should provide name, address, and case number pursuant
to the inquiry provisions of the Department's rules which appear in
15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual and those authorized by the individual to
furnish information; NMFS investigators; Federal and state law
enforcement personnel; foreign governments; special interest
organizations, members of the general public, and all information
sources that are open to the public at large.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(j)(2), all information about an
individual in the record which meets the criteria stated in the Act:
5 U.S.C. 552a(j)(2) are exempted from the notice, access and contest
requirements of the agency regulations and from all parts of 5 U.S.C.
552a except subsections (b), (c) (1) and (2), (e)(4)(A) through (F),
(e) (6), (7), (9), (10), and (11), and (i), and pursuant to 5 U.S.C.
552a(k)(2), on condition that if the 5 U.S.C. 552a(j)(2) exemption is
held to be invalid, all investigatory material in the record which
meet the criteria stated in 5 U.S.C. 552a(k)(2) are exempted from the
notice access, and contest requirements (under 5 U.S.C. 552a(c)(3),
(d), (e)(1), (e)(4) (G), (H), and (I), and (f)) of the agency
regulations because of the necessity to exempt this information and
material in order to accomplish this law enforcement function of the
agency, to prevent subjects of investigation from frustrating the
investigatory process, to prevent the disclosure of investigative
techniques, to fulfill commitments made to protect the
confidentiality of sources, to maintain access to sources of
information, and to avoid endangering these sources and law
enforcement personnel. In addition, pursuant to 5 U.S.C. 552a(k)(1),
all materials qualifying for this exemption are exempt from 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4) (G), (H), (I), and (f) in order to
prevent disclosure of classified information as required by Executive
Order 12065 in the interest of the national defense and foreign
policy.
COMMERCE/NOAA-6
System name: Fishermen's Statistical Data--COMMERCE/NOAA-6.
System location: Data Management and Information Systems Division,
NMFS, NOAA, U.S. Department of Commerce, 3300 Whitehaven Street, NW,
Washington, DC 20235; and the following field locations of the
National Marine Fisheries Services:
Northeast Fisheries Center, Woods Hole, Massachusetts 02543
Southeast Fisheries Center, 75 Virginia Beach Drive, Miama,
Florida 33149
Southwest Fisheries Center, PO Box 271, LaJolla, California
92038
Northwest and Alaska Fisheries Center, 2725 Montlake Boulevard,
East, Seattle, Washington 98112
Northeast Regional Office, 14 Elm Street, Federal Building,
Gloucester, Massachusetts 01930
Southeast Regional Office, 9450 Gandy Boulevard, St.
Petersburg, Florida 33702
Southwest Regional Office, 300 South Ferry Street, Terminal
Island, California 90731
Northwest Regional Office, 1700 Westlake Avenue, North,
Seattle, Washington 98105
Alaska Regional Office, PO Box 1668, Juneau, Alaska 99802
Categories of individuals covered by the system: Marine
recreational and commercial fishermen, owners/operators of
registered/documented boats and vessels.
Categories of records in the system: a. Marine recreational
fishermen catches by species, length, weight, area of capture,
disposition of catch, and expenses and other trip records.
b. Fishery Management Plan data consist of such data as:
Individual's name, address, telephone number, sex, age group, and
income group, obtained in fishing censuses. Other data contain boat
and vessel registration information, including owner and operator,
vessel characteristics, gear types, and area fished.
Authority for maintenance of the system: a. Fish and Wildlife Act
as amended (16 U.S.C. 742 et seq.). b. Fishery Conservation and
Management Act of 1976 as amended (16 U.S.C. 1852).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: a. See routine use
paragraphs 1-5, 9, and 12 of the Prefatory Statement.
b. Data in the system are required for the development and
monitoring of fishery management plans.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper copy, punch cards, mag-tape, and disc files.
Retrievability: Filed alphabetically by name.
Safeguards: Personnel indoctrination and screening; secured
offices; and entrance into the computer system to obtain individual
records would require detailed knowledge of in-house ADP procedures
by a skilled computer programmer.
Retention and disposal: Records are permanently maintained.
System manager(s) and address: Executive Director, National Marine
Fisheries Service, 3300 Whitehaven Street, Washington, DC 20235.
Notification procedure: Information may be obtained from: Assistant
Administrator for Management and Budget, NOAA, 6010 Executive
Boulevard, Rockville, Maryland 20852. Requester should provide name
pursuant to the inquiry provisions of the Department's rules which
appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individuals.
COMMERCE/NOAA-7
System name: Guest Workers at National Geophysical and Solar-
Terrestrial Data Center--COMMERCE/NOAA-7.
System location: National Geophysical and Solar-Terrestrial Data
Center, EDS/NOAA, RB3, Room A123, Boulder, Colorado 80302.
Categories of individuals covered by the system: People that are
visiting NGSDC as Guest Workers to use the data files.
Categories of records in the system: Name; address; length of
visit; type of work they are doing; and education.
Authority for maintenance of the system: 5 U.S.C. 301 and 44 U.S.C.
3301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See routine use
paragraphs 1-5, 9, and 12 of the Prefatory Statement.
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 name.
Safeguards: Records are located in metal file cabinets which are
locked after hours. Access is limited to those whose official duties
require access.
Retention and disposal: Records are retained for 3 years.
System manager(s) and address: Administrative Officer, NGSDC, see
above address.
Notification procedure: Information may be obtained from: Assistant
Administrator for Management and Budget, NOAA, 6010 Executive Blvd.,
Rockville, Maryland 20852. Requester should provide name pursuant to
the inquiry provisions of the Department's rules which appear in 15
CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual and those authorized by the individual to
furnish information.
COMMERCE/NOAA-8
System name: Individuals Engaged in Weather Modification
Activities, COMMERCE/NOAA-8.
System location:
Assistant Administrator for Oceanic and Atmospheric Research,
NOAA, U.S. Department of Commerce, 6010 Executive Boulevard,
Rockville, Md. 20852.
Categories of individuals covered by the system:
Individuals and associations involved in weather modification
operations.
Categories of records in the system:
Individual's name and address; type of weather modification
activity; location and duration of project; and equipment used.
Authority for maintenance of the system:
Pub. L. 92-205; 15 CFR part 908.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See routine use paragraphs in the Prefatory Statement. Also
information is made available to anyone who so requests to comply
with Pub. L. 92-205.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic data base.
Retrievability:
Filed sequentially by name.
Safeguards:
Records are located on an electronic data base with full public
access upon request to comply with Pub. L. 92-205.
Retention and disposal:
Records are maintained indefinitely.
System manager(s) and address:
Office of the Director, Office of Weather Modification, see above
address.
Notification procedure:
Information may be obtained from: Director, Office of
Administration, NOAA, Room 6863, Herbert C. Hoover Building,
Washington, DC 20230. Requester should provide name, address, date(s)
of project etc., pursuant to the inquiry provisions of the
Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual or association involved and those authorized
by the foregoing to furnish information.
COMMERCE/NOAA-9
System name: Scientist-Researchers in GATE (Global Atmospheric
Research Program Atlantic Tropical Experiment)--COMMERCE/NOAA-9.
System location: Assistant Administrator for Research and
Development, NOAA, 6010 Executive Boulevard, Rockville, Maryland
20852.
Categories of individuals covered by the system: Research
meteorologists and ocean scientists participating in the Global
Atmospheric Research Program Atlantic Tropical Experiment (GATE).
Categories of records in the system: Names of individual
scientists; their research institutions and research programs; and
their addresses.
Authority for maintenance of the system: Ministerial requirement
necessitated by NOAA's appointment, as lead agency for the U.S.
participation in ``GATE''; Presidential memorandum dated July 5, 1968
to DOC; 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:
See routine use paragraphs 1-5, 9, 12, and 13 of the Prefatory
Statement. Data is also used to summarize and evaluate the U.S. GATE
Research Program for the orld Meteorological Organization in
cooperation into the International summary.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Indexed by name of principal scientist.
Safeguards: Records are located in lockable metal file cabinets or
in metal file cabinets in secured rooms or secure premises with
access limited to those whose official duties require access.
Retention and disposal: Records maintained indefinitely.
System manager(s) and address: Director, GATE Project Office, see
above address.
Notification procedure: Information may be obtained from: Assistant
Administrator for Management and Budget, NOAA, 6010 Executive Blvd.,
Rockville, Maryland 20852. Requester should provide--name and
address, etc., pursuant to the inquiry provisions of the Department's
rules which appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual and those authorized by the individual to
furnish information.
COMMERCE/NOAA-10
System name: NOAA Diving Program File--COMMERCE/NOAA-10.
System location: a. NOAA Diving Office, 11400 Rockville Pike,
Rockville, Maryland 20852.
b. For Atlantic Marine Center personnel, duplicate records are
maintained at the Atlantic Marine Center, 439 West York Street,
Norfolk, Virginia 23510.
c. For Pacific Marine Center personnel, duplicate records are
maintained at the Pacific Marine Center, 1801 Fairview Avenue, East,
Seattle, Washington 98102.
Categories of individuals covered by the system: Applicants for the
diving program and NOAA employees who are NOAA Certified Divers.
Categories of records in the system: Diving physical examinations,
verification of completed scuba instruction, NOAA scuba diving
written examination, diver resume, diver evaluations, letters of
certification and/or appointment, monthly diving logs, individual
correspondence.
Authority for maintenance of the system: 5 U.S.C. 301; 44 U.S.C.
3101; 16 U.S.C. 1432; 33 U.S.C. 1441, 1442.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See general
routine use paragraphs numbered 1 through 6, 8 through 10, and 12 of
the Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Manual and machine readable.
Retrievability: Alphabetically by surname.
Safeguards: Records are located in locked metal file cabinets in
secured rooms or secured premises with access limited to those whose
official duties require access.
Retention and disposal: Five years after termination of diver.
System manager(s) and address: For records at location a.: NOAA
Diving Coordinator, 6001 Executive Boulevard, Rockville, Maryland
20852.
For records at location b.: CAM Diving Officer, Atlantic Marine
Center, 439 W. York Street, Norfolk, Virginia 23510.
For records at location c.: Budget and Finance Officer, Pacific
Marine Center, 1801 Fairview Avenue, East, Seattle, Washington 98102.
Notification procedure: Information may be obtained from: Assistant
Administrator for Management and Budget, National Oceanic and
Atmospheric Administration, 6010 Executive Boulevard Rockville,
Maryland 20852. Requestor should provide name and address pursuant to
the inquiry provisions of the Department's rules which appear in 15
CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual, the Unit Diving Officer, training officers
and NOAA Diving Medical Review Board.
COMMERCE/NOAA-11
System name: NOAA Mailing Lists--COMMERCE/NOAA-11.
System location: Mailing lists are maintained at numerous NOAA
installations throughout the United States. Addresses of major
installations where there are mailing lists are:
Office of Publications, Main Commerce Building, 14th Street and
Constitution Avenue, NW, Washington, DC 20230.
Headquarters:
Assistant Administrator for Management and Budget, 6010
Executive Boulevard, Rockville, Maryland 20852.
Director, Office of Finance, North Bethesda Office Center,
11420 Rockville Pike, Rockville, Maryland 20852.
Assistant Administrator for Fisheries:
Assistant Administrator for Fisheries, Office of Fisheries,
3300 Whitehaven Street, NW, Washington, DC 20235.
Director, Northwest Region, National Marine Fisheries Service,
NOAA, 1700 Westlake Avenue North, Seattle, Washington, 98109.
Director, Southeast Region, National Marine Fisheries Service,
NOAA, 9450 Koger Boulevard, St. Petersburg, Florida 33702.
Director, Northeast Region, National Marine Fisheries Service,
NOAA, 14 Elm Street, Federal Building, Gloucester, Massachusetts
01930.
Director, Southwest Region, National Marine Fisheries Service,
NOAA, 300 South Ferry Street, Terminal Island, California 90731.
Director, Alaska Region, National Marine Fisheries Service,
NOAA, PO Box 1668, Juneau, Alaska 99802.
Chief, Resource Statistics Division, National Marine Fisheries
Service, NOAA, 3300 Whitehaven Street, NW, Washington, DC 20235.
Chief, Scientific Publications Office, National Marine
Fisheries Service, NOAA, 1107 Northeast 45th Street, Seattle,
Washington 98105.
Director, Northeast Fisheries Center, NOAA, Woods Hole,
Massachusetts 02543.
Director, Southwest Fisheries Center, NOAA, PO Box 271,
LaJolla, California 92038.
Director, Charleston Laboratory, NOAA, PO Box 12607,
Charleston, S.C. 29412.
Director, Southeast Fisheries Center, NOAA, 75 Virginia Beach
Drive, Miami, Florida 33149.
Director, Beaufort Laboratory, NOAA, PO Box 570, Beaufort,
North Carolina 28516.
National Ocean Survey:
Director, National Ocean Survey, 6001 Executive Boulevard,
Rockville, Maryland 20852.
Chief, Distribution Division, NOAA, Riverdale Building, 6501
Lafayette Avenue, Riverdale, Maryland 20840.
Environmental Data and Information Service:
Director, Environmental Data and Information Service, 3300
Whitehaven Street, NW, Washington, DC 20235.
Director, National Climatic Center, Environmental Data and
Information Service, Federal Building, Ashville, North Carolina
28801.
Director, National Geophysical and Solar Terrestrial Center,
Research Building 3, NOAA, 3100 Marine Street, Boulder, Colorado
80302.
National Earth Satellite Service:
National Earth Satellite Service, National Oceanic and
Atmospheric Administration, Federal Building 4, Suitland, Maryland
20233.
A roster of each mailing list covered by the Privacy Act and its
specific location is maintained by the system manager, address below.
Categories of individuals covered by the system:
Recipients of NOAA publications and/or other publicly available
programmatic information.
Categories of records in the system:
All of the lists contain names and addresses. Some of the lists
contain telephone numbers, subscription information, addressee's
product and its country of origin.
Authority for maintenance of the system:
5 U.S.C. 301; 15 U.S.C. 1512.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See general routine use paragraphs numbered 4, 5, and 9-13 in the
Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual and machine readable.
Retrievability:
Alphabetically by name.
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 whose official duties require access.
Retention and disposal:
Records are retained indefinitely; however, individuals are
advised of the existence of the mailing list annually and at their
request, names will be deleted or addresses corrected.
System manager(s) and address:
Assistant Administrator for Management and Budget, 6010 Executive
Boulevard, Rockville, Maryland 20852.
Notification procedure:
Information may be obtained from: Assistant Administrator for
Management and Budget, National Oceanic and Atmospheric
Administration, 6010 Executive Boulevard, Rockville, Maryland 20852.
Requester should provide name and address pursuant to the inquiry
provisions of the Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual.
COMMERCE/NOAA-12
System name: Marine Mammals, Endangered and Threatened Species,
Permits and Exemptions Applicants--COMMERCE/NOAA-12.
System location:
Office of Marine Mammal and Endangered Species, National Marine
Fisheries Service, National Oceanic and Atmospheric Administration,
U.S. Department of Commerce, Washington, DC 20235.
Duplicate portions of the system may be located in the Regional
Offices of the National Marine Fisheries Service at:
Federal Building, 14 Elm Street, Gloucester, Massachusetts
01930.
Duval Building, 9450 Gandy Boulevard, St. Petersburg, Florida
33702.
300 South Ferry Street, Terminal Island, California 90731.
Lake Union Building, 1700 Westlake Avenue North, Seattle,
Washington 98109.
PO Box 1668, Juneau, Alaska 99801.
Categories of individuals covered by the system:
Applicants for permits to take, import, transport or sell in
interstate or foreign commerce endangered species or marine mammals
either for scientific research or public display purposes; for
enhancement of propagation or enhancement of survival. Applicants for
exemptions from the provisions of the Marine Mammal Protection Act of
1972, on the basis of undue economic hardship. Applicants for permits
to engage in activities involving threatened species.
Categories of records in the system:
Name and address; professional or business affiliation;
educational and professional background; other qualifications of the
individuals; the activities conducted by an individual as authorized
by exemption or by permit; and economic and financial information
indicating the degree of anticipated economic hardship.
Authority for maintenance of the system:
Endangered Species Act of 1973; 16 U.S.C. 1531-1543 10(a), 10(b),
11(f); Marine Mammal Protection Act of 1972; 16 U.S.C. 1361-1407, and
regulations (50 CFR 216.31) promulgated thereunder.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See routine use paragraphs 1-5 and 9-13 of Prefatory Statement.
Information from the applications is published in the Federal
Register and made available to the public to comply with the statutes
under which the application is made.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Both manual and machine-readable, and computer output records in
file folders.
Retrievability:
Filed by file number and cross-referenced alphabetically by
applicant names and permit or exemption number.
Safeguards:
Records are located in cabinets with full public access upon
request.
Retention and disposal:
Records are maintained indefinitely.
System manager(s) and address: Director, Office of Marine Mammals
and Endangered Species, National Marine Fisheries Service, National
Oceanic and Atmospheric Administration, U.S. Department of Commerce,
Washington, DC 20235
Notification procedure:
Information may be obtained from the Assistant Administrator for
for Management and Budget, National Oceanic and Atmospheric
Administration, 6010 Executive Boulevard, Rockville, Maryland 20852.
Requester should provide name and address pursuant to to the inquiry
provisions of the Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the notification procedure section above.
Contesting record procedures:
The rules for access, for contesting contents and appealing
initial determination by the individuals concerned appear in 15 CFR
part 4b. Use above address.
Record source categories:
Subject individual applicants; public comments on an application;
reviews by NMFS Offices and, in the case of marine mammals, the
Marine Mammal Commission; reports from Federal agents and observers
on activities conducted under permit authority; and those authorized
by the individual to provide the information.
COMMERCE/NOAA-13
System name: Personnel, Payroll, Travel, and Attendance Records
of the Regional Fishery Management Councils--COMMERCE NOAA-13.
System location:
New England Fishery Management Council, Office of the Executive
Director, Suntaug Office Park, Five Broadway--Route One, Saugus,
Massachusetts 01906.
Mid-Atlantic Fishery Management Council, Office of the
Executive Director, Federal Building, Room 2115, North and New
Streets, Dover, Delaware 19901.
South Atlantic Fishery Management Council, Office of the
Executive Director, Southpark Building, Suite 306, 1 Southpark
Circle, Charleston, South Carolina 29407.
Caribbean Fishery Management Council, Office of the Executive
Director, Suite 806, Banco de Ponce Building, (Postal Address), PO
Box 1001, Hato Rey, Puerto Rico.
Gulf of Mexico Fishery Management Council, Office fo the
Executive Director, Lincoln Center, Suite 881, 5401 West Kennedy
Boulevard, Tampa, Florida 33609.
Pacific Fishery Management Council, Office of the Executive
Director, 528 SW Mill Street, Portland, Oregon 97201.
North Pacific Fishery Management Council, Office of the
Executive Director, Suite 32, 333 West Fourth Avenue, (Postal
Address), PO Box 3136DT, Anchorage, Alaska 99501.
Western Pacific Fishery Management Council, Office of the
Executive Director, Room 1506, 1164 Bishop Street, Honolulu, Hawaii
96813.
Categories of individuals covered by the system: Members of each
Regional Fishery Management Council, members of each Council's
Scientific and Statistical Committee, members of each Council's
Advisory Panel; each Council's staff.
Categories of records in the system: a. Personnel information
including but not limited to name, birthdate, social security number,
employment history, education and training, personnel actions and
performance appraisals, records relating to life insurance, health
benefits, and designation of beneficiary, medical records.
b. Payroll information including but not limited to marital
status, mailing address, number of dependents, allotments and
deductions for income tax withholding, savings bonds, charity
contributions, and insurance premiums.
c. Travel orders and vouchers including data such as destination,
itinerary, mode and purpose of travel, expense incurred.
d. Time and attendance data including number of regular, overtime
holiday, Sunday, and other hours worked; number of hours on leave
(sick, annual, holiday, etc.).
Authority for maintenance of the system: Fishery Conservation and
Management Act of 1976 (Pub.L. 94-265, 16 U.S.C. 1852).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records are
used as indicated below:
a. See routine use paragraphs in Prefatory Statement 1-5, 9, 12
and 13 in Prefatory Statement.
b. When an individual to whom a record pertains dies, information
in the individual's record may be disclosed to the person appointed
as representative of the estate, to the person designated by the
representative, or to a designated beneficiary. When a representative
of the estate has not been appointed, the next of kin may be
recognized as the representative of the estate.
c. Information may be disclosed to authorize payroll deductions
for allotments, savings bonds, charitable contributions, union dues,
health benefits and life insurance; collect indebtedness for
overpayment of salary and unpaid internal revenue taxes; pay income
tax obligations to the Internal Revenue Service and state and local
tax authorities, as appropriate; authorize mailing or holding salary
checks or savings bonds; authorize issuing of salary checks by the
Treasury Department; obtain reimbursement of travel expenses for
official business; report gross wages and separation information for
unemployment compensation; pay any uncollected compensation due a
deceased employee; and provide for a summary of employees payroll
data and retirement contributions.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper records in file folders and magnetic storage media.
Retrievability: Alphabetically by name, or by social security
number.
Safeguards: Physical, technical, and administrative security is
maintained, with all storage equipment and/or rooms locked when not
in use. Admittance is restricted to authorized personnel only. All
payroll personnel, computer operators and programmers are instructed
and cautioned on the confidentiality of the records.
Retention and disposal: Retained on site until after GAO audit,
then either disposed of or transferred to Federal Records Storage
Centers in accordance with the fiscal records program approval by
GAO, as appropriate, or General Record Schedules of GSA.
System manager(s) and address: The Executive Director of each
Council; address as shown under system location above.
Notification procedure: Information may be obtained from: The
Executive Director of the appropriate Regional Fishery Management
Council or the Assistant Administrator for Management and Budget,
NOAA, 6010 Executive Boulevard, Rockville, Maryland 20852. Requester
should provide name and other identifying information pursuant to the
inquiry provisions of the Department's rules which appear in 15 CFR
part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individuals, those authorized by the individual to
furnish information; employee's supervisor; timekeepers.
National Telecommunications and Information Administration
COMMERCE/NTIA-1
System name: Radio Spectrum Management Career Development
Program--COMMERCE/NTIA-1.
System location: National Telecommunications and Information
Administration, 1325 G Street, NW, Washington, DC 20005 (paper); and
179 Admiral Cochrane Drive, Annapolis, Maryland 21401 (magnetic
disc).
Categories of individuals covered by the system: Applicants for
spectrum management career training; persons trained or training in
the program; persons employed in the Federal spectrum management
field, or seeking employment therein, who register with the program.
Categories of records in the system: Employee Career Appraisals;
Career Program Qualification Records and Supplements thereto; Career
Plans; Personal Qualification Statements; Federal Employment
Application. These records contain information about an individual
and his skills and qualifications for training which typically
includes, but is not limited to, name, address, date of birth, Social
Security Account Number, education, military experience, present
position, employment history, performance evaluations, and career
goals.
Authority for maintenance of the system: 47 U.S.C. 305, Executive
Order 12046 and Reorganization Plan No. 1 of 1977.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Information is
disclosed to participating Federal agencies upon their request in
connection with the selection of candidates for training, the
evaluation of trainees, and in the administration of the training
program. Information is disclosed to other Federal agencies upon
their request in connection with the availability of trained spectrum
managers for employment. Routine uses Nos.1-5 and Nos.8-13 of the
Prefatory Statement also apply.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Stored alphabetically by name.
Safeguards: Records are located in lockable metal file cabinets
with access limited to those whose official duties require access.
Retention and disposal: Unless updated, documents are disposed of
after two years.
System manager(s) and address: Coordinator, Radio Spectrum
Management Career Development Program, National Telecommunications
and Information Administration, U.S. Department of Commerce,
Washington, DC 20504.
Notification procedure: Information may be obtained from: Privacy
Officer, National Telecommunications and Information Administration,
U.S. Department of Commerce, Washington, DC 20504. Requestor should
provide his or her full name.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the Notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use address in
Notification section, above.
Record source categories:
Applicants for spectrum management career training; trainees in
the program; instructors and other officials conducting the program;
Federal government employees in the spectrum management field, and
persons desiring such employment, who register with the program,
their supervisors, and other officials of the agencies that employ
them.
National Technical Information Service
COMMERCE/NTIS-1
System name: Individuals interested in NTIS Publications,
Shipped Order Addresses, Customer Account Records, and Subscriber
Files--COMMERCE/NTIS-1.
System location:
Automated Data Processing Division and Document Distribution and
Reproduction Division, Office of Computer and Communications Service
and Document Services Division, NTIS, 5285 Port Royal Road,
Springfield, Virginia 22161.
Categories of individuals covered by the system:
All individuals who order and/or purchase products and services
from NTIS and all individuals who have requested (that they be placed
on the NTIS promotional mailing list) NTIS promotional literature.
Categories of records in the system:
Name; address; nine-digit taxpayer identification number; items
ordered; items sent; amount of purchases, date order received; date
order mailed; NTIS deposit account or customer code number; total
charge to date; whether account collectible or not; categories of
publications ordered by each purchaser; when subscription expired;
amount of deposit.
Authority for maintenance of the system:
15 U.S.C. 1151-57; 41 U.S.C. 104, 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records maintained in the system are disclosed to NTIS sales
agents; and to individuals, organizations, Federal agencies, and
State and local governments contributing publications to NTIS for
their market research and sales accounting purposes, through the
mechanism of providing them the names and addresses of individuals
(and others) who have purchased their publications. Disclosure of
information from this system of records may also be made to
commercial contractors (debt collection agencies) for the purpose of
collecting delinquent debts as authorized by the Debt Collection Act
(31 U.S.C. 3718). Also see general routine uses (1 through 6, 8
through 10, and 12 of Prefatory Statement notice in the Federal
Register on October 2, 1975 (40 FR 45635), and amended on November 7,
1975 (40 FR 52074) and August 17, 1976 (41 FR 34805), 4, 5, 9 and 13
of Prefatory Statement.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12):
Disclosures may be made from this system to ``consumer reporting
agencies'' as defined in the Fair Credit Reporting Act (15 U.S.C.
1681a(f)), and the Federal Claims Collection Act of 1968 (31 U.S.C.
3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders, film files, magnetic tape and disc
files.
Retrievability:
Filed by individual identifier such as deposit account number of
credit card account number.
Safeguards:
Records are located in lockable metal file cabinets or in metal
tape vaults in secured rooms or premises with access limited to those
whose official duties require access. The data can also be obtained
at in-house computer terminals used by those whose official NTIS
duties require access.
Retention and disposal:
Records are updated regularly and maintained indefinitely.
System manager(s) and address:
Chief, (Automated Data Processing Division) Office of Computer
and Communications Services, NTIS, (5285 Port Royal Road),
Springfield, Virginia 22161.
Notification procedure:
Information may be obtained from: Director, Office of
Administrative Management, NTIS (Sills Building), Springfield,
Virginia 22161. Requester should provide name and address in
accordance with the inquiry provisions of the Department's rules
which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the Notification section above.
Contesting record procedures:
The Department rules for access, for contesting contents and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Subject individuals and NTIS transaction files.
Patent and Trademark Office
COMMERCE/PAT-TM-1
System name:
Attorneys and Agents Registered to Practice Before the Office--
COMMERCE/PAT-TM-1.
System location:
Office of Enrollment and Discipline, U.S. Patent and Trademark
Office, 2221 South Clark Street, Arlington, Virginia 22202; Office of
the Commissioner, 2121 Crystal Dr., Arlington, VA 22202; Office of
the Solicitor, 2121 Crystal Drive, Arlington, VA 22202.
Categories of individuals covered by the system:
Attorneys and agents who are, or have been, registered to
practice before the Patent and Trademark Office (``PTO'') in patent
cases, and applicants and former applicants for such registration to
practice.
Categories of records in the system:
Biographical information, personal and professional
qualifications, character and fitness report, investigations of an
applicant's suitability or eligibility for registration to practice
before the PTO, undertakings of former patent examiners, current
address, and status information.
Authority for maintenance of the system:
35 U.S.C. 1, 6, and 31.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See Prefatory Statement of General Routine uses Nos. 1-5 and 8-
13. A public roster including an address of record, law firm or
company affiliation, telephone number, and registration number of the
registered individuals is published and disseminated; registration
status is disseminated upon inquiry; and information may be published
or otherwise disclosed to solicit information regarding an
applicant's suitability and eligibility for registration to practice
before the PTO.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders, microfilm, and machine readable
storage media.
Retrievability:
Filed alphabetically by name or registration 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 whose official duties require access. Electronic
files are stored in secured premises with access limited to those
whose official duties require access.
Retention and disposal:
Records retention and disposal is in accordance with the unit's
Records Control Schedule.
System manager(s) and address:
Director, Office of Enrollment and Discipline, Box OED, U.S.
Patent and Trademark Office, Washington, DC 20231.
Notification procedure:
Information may be obtained from Director, Office of Enrollment
and Discipline, Box OED, U.S. Patent and Trademark Office,
Washington, DC 20231. Requester should provide name, address, date of
application, and record sought, pursuant to the inquiry provisions of
the Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
for appealing initial determinations by the individual concerned
appear in 15 CFR part 4b.
Record source categories:
Subject individual, references, and individuals furnishing
information.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(2), all investigatory materials in
the record which meet the criteria in 5 U.S.C. 552a(k)(2) are
exempted from the notice, access, and contest requirements (under 5
U.S.C. 552a(c)(3), (d), (e) (1), (e)(4)(G), (H), and (I), and (f)) of
the agency regulations because of the necessity to exempt this
information and material in order to accomplish the law enforcement
function of the agency, to prevent subjects of investigations from
frustrating the investigatory process, to prevent the disclosure of
investigative techniques, to fulfill commitments made to protect the
confidentiality of sources, to maintain access to sources of
information, and to avoid endangering these sources and law
enforcement personnel.
COMMERCE/PAT-TM-2
System name:
Complaints, Investigations and Disciplinary Proceedings Relating
to Registered Patent Attorneys and Agents--COMMERCE/PAT-TM-2.
System location:
Office of Enrollment and Discipline, U.S. Patent and Trademark
Office, 2221 South Clark Street, Arlington, Virginia 22202; Office of
the Commissioner, 2121 Crystal Drive, Arlington, VA 22202; Office of
the Solicitor, 2121 Crystal Drive, Arlington, VA 22202.
Categories of individuals covered by the system:
Attorneys and agents registered to practice before the Patent and
Trademark Office (PTO) in patent cases, attorneys practicing before
the PTO in trademark cases, attorneys appearing before the PTO, and
excluded or suspended attorneys and agents.
Categories of records in the system:
Complaints and information obtained during investigations and
quasi-judicial disciplinary proceedings.
Authority for maintenance of the system:
35 U.S.C. 1, 6, and 32.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses Nos. 1-5, 8-10,
and 13. Dissemination of information concerning the complaint,
investigation, or disciplinary proceeding may be made to the
complainant and to persons who can reasonably be expected to provide
information needed in connection with the complaint, investigation,
or disciplinary proceeding. Notice of filing of a disciplinary
complaint may be publicly disclosed. Upon a final order reprimanding,
suspending, or excluding an attorney or agent, the records in this
system may be publicly disclosed.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders, microfilm, and machine readable
storage media.
Retrievability:
Filed alphabetically by name or registration 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 whose official duties require access. Electronic
files are stored in secured premises with access limited to those
whose official duties require access.
Retention and disposal:
Records retention and disposal is in accordance with the unit's
Records Control Schedule.
System manager(s) and address:
Director, Office of Enrollment and Discipline, Box OED, U.S.
Patent and Trademark Office, Washington, DC 20231.
Notification procedure:
Information may be obtained from Director, Office of Enrollment
and Discipline, Box OED, U.S. Patent and Trademark Office,
Washington, DC 20231. Requester should provide name, address, date of
application, and record sought, pursuant to the inquiry provisions of
the Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
for appealing initial determinations by the individual concerned
appear in 15 CFR part 4b.
Record source categories:
Subject individuals, clients of same, registered attorneys and
agents, witnesses in disciplinary proceedings, court opinions, and
individuals furnishing information.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(2), all investigatory materials in
the record which meet the criteria in 5 U.S.C. 552a(k)(2) are
exempted from the notice, access, and contest requirements (under 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f)) of
the agency regulations because of the necessity to exempt this
information and material in order to accomplish the law enforcement
function of the agency, to prevent subjects of investigations from
frustrating the investigatory process, to prevent the disclosure of
investigative techniques, to fulfill commitments made to protect the
confidentiality of sources, to maintain access to sources of
information, and to avoid endangering these sources and law
enforcement personnel.
COMMERCE/PAT-TM-3
System name: Employee Production Records--COMMERCE/PAT-TM-3.
System location: Office of Management and Organization, U.S. Patent
and Trademark Office, 2021 Jefferson Davis Highway, Arlington,
Virginia 22202; and Office of ADP Administration, U.S. Patent and
Trademark Office, 2021 Jefferson Davis Highway, Arlington, VA 22202.
Categories of individuals covered by the system: Employees of the
Patent and Trademark Office.
Categories of records in the system: Employee name and number,
position and grade level, time in duty status, time on leave, duty
hours distributed by task, receipt date of oldest item in processing
queue, beginning and ending balances of work in process, work volumes
compiled by organization and in some organizations by individuals,
and comparative data on current production compared with earlier
periods.
Authority for maintenance of the system: 5 U.S.C. 301 and 35 U.S.C.
6.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See Prefatory
Statement of General Routine Uses Nos.1-5 and 9-13.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper records in file folder, microfilm and magnetic
storage media.
Retrievability: Filed by organizations; cross referenced for access
by name.
Safeguards: Buildings employ security guards. Records are
maintained in areas accessible only to authorized personnel who are
properly screened, cleared, and trained. Where information is
retrievable by terminal, all safeguards appropriate to secure the ADP
telecommunications system (hardware and software) are utilized.
Retention and disposal: Records retention and disposal is in
accordance with the unit's Records Control Schedule.
System manager(s) and address: Director, Office of Management and
Organization, U.S. Patent and Trademark Office, Washington, DC 20231.
Notification procedure: Information may be obtained from Assistant
Commissioner for Administration, U.S. Patent and Trademark Office,
Washington, DC 20231. Requester should provide employee name and
number, in accordance with the inquiry provisions of the Department's
rules which appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual, those authorized by the individual to furnish
information, and the individual's supervisors.
COMMERCE/PAT-TM-4
System name: Government Employee Invention Rights--COMMERCE/PAT-
TM-4.
System location: Office of the Solicitor, U.S. Patent and Trademark
Office, 2021 Jefferson Davis Highway, Arlington, Virginia 22202.
Categories of individuals covered by the system: Government
employees who are inventors or nongovernment employees who are joint
inventors together with a government employee inventor.
Categories of records in the system: Invention rights
questionnaires including information as to the inventor's employment
status and his official duties and responsibilities at the time the
invention was made, title determinations, appeals to the
Commissioner, and petitions for reconsideration.
Authority for maintenance of the system: 35 U.S.C. 1 and 6, and
E.O. 10096, dated January 23, 1950.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See prefatory
Statement of General Routine Uses Nos.1-5 and 8-13. Also, information
is transferred to various Government departments and agencies in
connection with determinations made as to respective property rights
(or the methods of protection thereof) of Government employees and
such departments and agencies in and to inventions made by such
employees.
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 name and case number.
Safeguards: Buildings employ security guards. Records are
maintained in areas accessible only to authorized personnel who are
properly screened, cleared, and trained.
Retention and disposal: Records retention and disposal is in
accordance with the unit's Records Control Schedule.
System manager(s) and address: Head, Office of Government Employee
Inventions, Office of the Solicitor, U.S. Patent and Trademark
Office, Washington, DC 20231.
Notification procedure: Information may be obtained from: Assistant
Commissioner for Administration, U.S. Patent and Trademark Office,
Washington, DC 20231. Requester should provide name (and case number,
if known) pursuant to the inquiry provisions of the Department's
rules which appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual and their employees, and those authorized by
the individual to furnish information.
Systems exempted from certain provisions of the act: Pursuant to 5
U.S.C. 552a(k)(1), Government Employee Invention Rights records which
relate to applications or inventions subject to a secrecy order
pursuant to 35 U.S.C. 181 or are otherwise subject to security
classification pursuant to E.O. 12065 or the Atomic Energy Act of
1954, are exempted from the notification, access, and contest
requirements of the agency procedures (under 5 U.S.C. 552a(c)(3),
(d), (e)(1), (e)(4)(G), (H), and (I), and (f)). This exemption is
made to prevent disclosure of information which might be detrimental
to national security and in accordance to agency rules, which are
published in the Rules Section of this Federal Register.
COMMERCE/PAT-TM-5
System name:
Non-Registered Persons Rendering Assistance to Patent
Applicants--COMMERCE/PAT-TM-5.
System location:
Office of Enrollment and Discipline, U.S. Patent and Trademark
Office, 2221 South Clark Street, Arlington, Virginia 22202.
Categories of individuals covered by the system:
Persons other than registered attorneys or agents who have
offered or rendered, for payment, various services to inventors,
patent applicants, and patentees.
Categories of records in the system:
Declarations of assistance received and other reports or
complaints, including names and addresses, of persons rendering
services, and information obtained and used for investigatory and law
enforcement purposes.
Authority for maintenance of the system:
35 U.S.C. 1, 6, and 33; 5 U.S.C. 301; 28 U.S.C. 533-535; 44
U.S.C. 3101; and E.O. 10450.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Providing notice to patent applicants regarding whether or not
the persons from whom assistance was received are registered to
practice before the Office. Used for investigative purposes. Also,
see Prefatory Statement of General Routine Uses Nos. 1-5, 8-10, and
13.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders, microfilm, and machine readable
storage media.
Retrievability:
Filed alphabetically by name.
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 whose official duties require access. Electronic
files are stored in secured premises with access limited to those
whose official duties require access.
Retention and disposal:
Records retention and disposal is in accordance with the unit's
Records Control Schedule.
System manager(s) and address:
Director, Office of Enrollment and Discipline, Box OED, U.S.
Patent and Trademark Office, Washington, DC 20231.
Notification procedure:
Director, Office of Enrollment and Discipline, Box OED, U.S.
Patent and Trademark Office, Washington, DC 20231. Requester should
provide name, address, date of application, and record sought,
pursuant to the inquiry provisions of the Department's rules in 15
CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
for appealing initial determinations by the individual concerned
appear in 15 CFR part 4b.
Record source categories:
Patent applicants who have received and paid for services by the
individuals on whom the records are maintained.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(2), all investigatory materials in
the record which meet the criteria in 5 U.S.C. 552a(k)(2) are
exempted from the notice, access, and contest requirements (under 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f)) of
the agency regulations because of the necessity to exempt this
information and material in order to accomplish the law enforcement
function of the agency, to prevent subjects of investigations from
frustrating the investigatory process, to prevent the disclosure of
investigative techniques, to fulfill commitments made to protect the
confidentiality of sources, to maintain access to sources of
information, and to avoid endangering these sources and law
enforcement personnel.
COMMERCE/PAT-TM-6
System name: Parties Involved in Patent Interference
Proceedings--COMMERCE/PAT-TM-6.
System location:
Board of Patent Interferences, U.S. Patent and Trademark Office,
2021 Jefferson Davis Highway, Arlington, Virginia 22202.
Categories of individuals covered by the system:
Applicants for patent and patentees who become involved in a
conflict involving the question of priority of invention.
Categories of records in the system:
All records relating to the declaration, conduct, and termination
of interference proceedings, including, but not limited to:
Preliminary statements, motions, testimony and settlement agreements.
The data contained in the records may include information relating to
the applicant's or patentee's name, age, citizenship, residence,
educational and work background, physical and mental health,
activities relating to conception and reduction to practice of the
contested subject matter, and other matters which may arise during
the conduct of the interference proceeding or in connection with any
agreements made by the parties relative to the interference
proceeding.
Authority for maintenance of the system:
35 U.S.C. 1, 6, 23, 24, and 135.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records relating to interferences which involve a patent are open
to public inspection after an award of priority by the Board of
Patent Interferences as to all parties, or, if none, after
termination of the interference. Records relating to interferences
which do not involve a patent are open to public inspection after the
interference has terminated and one of the applications involved has
issued a patent. Otherwise, information concerning these records is
provided outside the Office only upon authorization of the applicants
or owners of the applications or patents involved, or when necessary
to carry out the provisions of any act of Congress or in such special
circumstances as may be determined by the Commissioner. Copies of
settlement agreements filed under 35 USC 135(c) are kept separate
from other interference records if the party filing them so requests,
and are made available, as provided in the statute, only to
Government agencies on written request or to any person on a showing
of good cause. Also see routine use paragraphs of the Prefatory
Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
Filed by Interference Number, cross-indexed to the names of the
parties.
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 whose official duties require access.
Retention and disposal:
Records retention and disposal is in accordance with the unit's
Records Control Schedule.
System manager(s) and address:
Chairman, Board of Patent Interferences, U.S. Patent and
Trademark Office, Washington, DC 20231.
Notification procedure:
Information may be obtained from: Assistant Commissioner for
Administration, U.S. Patent and Trademark Office, Washington, DC
20231. Requesters should provide name and address, and Interference
Number, if known, pursuant to the inquiry provisions of the
Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents and
appealing initial determinations by the individual concerned appear
in 15 CFR part 4b. Use above address.
Record source categories:
Applicants for patent and patentees, the patent attorneys or
agents authorized by such persons to represent them, those authorized
by the applicant to furnish information, and witnesses and other
parties involved in the taking of testimony.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(1), Patent Interference Proceedings
records which relate to applications subject to a secrecy order
pursuant to 35 U.S.C. 181 or are otherwise subject to security
classification pursuant to E.O. 12065 or the Atomic Energy Act of
1954, are exempted from the notification, access, and contest
requirements of the agency procedures (under 5 U.S.C. 552a(c)(3),
(d), (e)(1), (e)(4)(G), (H), and (I), and (f)). This exemption is
made to prevent disclosure of information which might be detrimental
to national security and in accordance to agency rules, which appear
in 15 CFR part 4b.
COMMERCE-PAT-TM-7
System name: Patent Application Files--COMMERCE/PAT-TM-7. (Note:
This notice is broken down, where indicated, into three subsystems
relating to the status of the files: a. Pending; b. Abandoned; and
c. Patented.)
System location: a. U.S. Patent and Trademark Office, 2021
Jefferson Davis Highway, Arlington, Va. 22202; National Underground
Storage, Boyers, Pa. 16020; Office of ADP Administration, U.S. Patent
and Trademark Office, 2021 Jefferson Davis Highway, Arlington, Va.
22202; and Customer Services Division, U.S. Department of Commerce,
Washington, DC 20230; b. Abandoned Files Unit, Office Services
Division, U.S. Patent and Trademark Office, 2021 Jefferson Davis
Highway, Arlington, Va. 22202; and Office of ADP Administration, U.S.
Patent and Trademark Office, 2021 Jefferson Davis Highway, Arlington,
Va. 22202; c. Record Branch, Patent Search Division, U.S. Patent and
Trademark Office, 2021 Jefferson Davis Highway, Arlington, Va. 22202;
and Office of ADP Administration, U.S. Patent and Trademark Office,
2021 Jefferson Davis Highway, Arlington, Va. 22202; and Office of
Automatic Data Processing Management, Computer Center, U.S.
Department of Commerce, Washington, DC 20230.
Categories of individuals covered by the system: Applicants for
patent, including inventors, legal representatives for deceased or
incapacitated inventors, and other persons authorized by law to make
applications for patent.
Categories f records in the system: Oath or declaration of
applicant including name, citizenship, residence, post office address
and other information pertaining to the applicant's activities in
connection with the invention for which a patent is sought.
Statements containing various kind of information with respect to
inventors who are deceased or incapacitated, or who are unavailable
or unwilling to make application for patent.
Authority for maintenance of the system: 35 U.S.C. 1, 6, and 115; 5
U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: a. Information
concerning these records is provided outside the Office only upon
authorization of the applicant or owner of the application or when
necessary to carry out the provisions of any act of Congress or in
such special circumstances as may be determined by the Commissioner,
e.g. files referred for secrecy order determination under 35 U.S.C.
181. b. Same as a., except where application is referred to in a U.S.
Patent, in which case the record is open to public inspection. c.
Records are open to public inspection.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system: All three
subsystems are also subject to the routine use paragraphs No. 1-5 and
No. 8-13 of the Prefatory Statement.
Storage: Paper records in file folders, microfilm and magnetic
storage media.
Retrievability: Subsystems a. and b. filed by serial number, cross-
indexed to name of applicant. Subsystem c. filed by patent number,
cross-indexed to name of applicant.
Safeguards: Buildings employ security guards. Records are
maintained in areas accessible only to authorized personnel who are
properly screened, cleared, and trained. Where information is
retrievable by terminal, all safeguards appropriate to secure the ADP
telecommunications system (hardware and software) are utilized.
Retention and disposal: Records retention and disposal is in
accordance with the unit's Records Control Schedule.
System manager(s) and address: a. Assistant Commissioner for
Patents, U.S. Patent and Trademark Office, Washington, DC 20231; b.
Director, Office of General Services, U.S. Patent and Trademark
Office, Washington, DC 20231; c. Director, Office of Patent and
Trademark Services, U.S. Patent and Trademark Office, Washington, DC
20231.
Notification procedure: Information may be obtained from: Assistant
Commissioner for Administration, U.S. Patent and Trademark Office,
Washington, DC 20231. Requester should provide name of applicant or
patentee and Serial Number or Patent Number, if known, pursuant to
the inquiry provisions of the Department's rules which appear in 15
CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appears in 15 CFR part 4b. Use above address.
Record source categories:
The inventors or other persons who submit applications for patent
and the patent attorneys or agents authorized by such inventor or
other persons to represent them.
Systems exempted from certain provisions of the act: Pursuant to 5
U.S.C. 552a(k)(1), Patent Applications, to the extent that they are
subject to a secrecy order pursuant to 35 U.S.C. section 181 or are
otherwise subject to security classification pursuant to E.O. 12065
or the Atomic Energy Act of 1954 are exempted from the notification,
access and content requirements of the agency procedures (under 5
U.S.C. 552((c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f)).
This exemption is made to prevent disclosure of information which
might be detrimental to national security and in accordance to agency
rules which appear in 15 CFR part 4b.
COMMERCE/PAT-TM-8
System name: Patent Application Secrecy Order Files--COMMERCE/
PAT-TM-8.
System location: Patent Examining Operation, Group 220, U.S. Patent
and Trademark Office, 2021 Jefferson Davis Highway, Arlington,
Virginia 22202.
Categories of individuals covered by the system: Applicants
including inventors, legal representatives for deceased or
incapacitated inventors, and other persons authorized by law to make
applications for patent.
Categories of records in the system: Identification of patent
application and applicant including application serial number, filing
date, title of invention, applicant's or inventor's address and
addresses of applicant's duly appointed representatives.
Authority for maintenance of the system: 35 U.S.C. 1, 6, and 181
through 183.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Referral to
authorized Government agencies under 35 U.S.C. 181 for determination
of the requirement for a secrecy order, and notification of the
applicant or his duly appointed representative of such secrecy order.
Also, see Prefatory Statement of General Routine Uses Nos.1-5, 8-10,
and 13.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper records in file folders.
Retrievability: Filed by application serial number, cross-indexed
to name of applicant.
Safeguards: Buildings employ security guards. Records are
maintained in areas accessible only to authorized personnel who are
properly screened, cleared, and trained, and stored in a locked
vault.
Retention and disposal: Records retention and disposal is in
accordance with the unit's Records Control Schedule.
System manager(s) and address: Director, Patent Examining Group
220, U.S. Patent and Trademark Office, Washington, DC 20231.
Notification procedure: Information may be obtained from: Assistant
Commissioner for Administration, U.S. Patent and Trademark Office,
Washington, DC 20231. Requester should provide name and social
security or Patent Number, if known, pursuant to the inquiry
provisions of the Department's rules which appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject applicants or their representatives and authorized
representatives of the Department of Energy, the Secretary of
Defense, and the Chief Officer of any other department or agency of
the Government designated by the President as a defense agency of the
United States.
Systems exempted from certain provisions of the act: Pursuant to 5
U.S.C. 552a(k)(1), these records, since they relate to determinations
pertinent to secrecy orders pursuant to 35 U.S.C. 181 or to security
classification pursuant to E.O. 12065 or the Atomic Energy Act of
1954 are exempted from the notification, access, and contest
requirements of the agency procedures (under 5 U.S.C. 552a(c)(3),
(d), (e)(1), (e)(4)(G), (H), and (I), and (f)). This exemption is
made to prevent disclosure of information which might be detrimental
to national security and in accordance to agency rules which appear
in 15 CFR part 4b.
COMMERCE/PAT-TM-9
System name: Patent Assignment Records--COMMERCE/PAT-TM-9.
System location: Office of Patent and Trademark Services,
Assignment Division, U.S. Patent and Trademark Office, 2021 Jefferson
Davis Highway, Arlington, Virginia 22202; Patent Examining Operation
Group 220, U.S. Patent and Trademark Office, 2021 Jefferson Davis
Highway, Arlington, Va. 22202; and Office of ADP Administration, U.S.
Patent and Trademark Office, 2021 Jefferson Davis Highway, Arlington,
Va. 22202.
Categories of individuals covered by the system: Persons who have
given or received property rights under an application for patent or
a patent by means of a written instrument recorded in the Patent and
Trademark Office. Deceased or incapacitated inventors and their legal
representatives.
Categories of records in the system: Assignments, grants,
mortgages, liens, encumbrances, licenses, and other instruments
affecting title. Letters testamentary and other court certificates
and orders.
Authority for maintenance of the system: 35 U.S.C. 1, 6, and 261,
and E.O. 9424.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See Prefatory
Statement of General Routine Uses Nos.1-5 and 8-13. Statement.
Records open to the public are searched by users for the purpose of
determining ownership for other property rights with respect to
patents and trademarks. On the separate Government Register, records
categorized as ``Public'' are available for public inspection; those
records categorized as ``Departmental'' are used by duly authorized
employees of Government agencies; and those records designated as
``Secret'' are disclosed only to persons having written authority
from the head of the agency submitting the record. Assignment records
relating to pending patent applications are maintained in confidence
in accordance with 5 U.S.C. 122.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper files, microfilm reels, index card files and
magnetic storage media.
Retrievability: Filed by inventor's name, application serial
number, assignee's name, assignor's name, and patent number.
Safeguards: Building employs security guards. Records subject to
confidence requirements are maintained in areas accessible only to
authorized personnel who are properly screened, cleared and trained.
Records in the Secret Portion of the Government Register are,
additionally, stored in a locked vault. Where information is
retrievable by terminal, all safeguards appropriate to secure the ADP
telecommunications system (hardware and software) are utilized.
Retention and disposal: Records retention and disposal is in
accordance with the unit's Records Control Schedule.
System manager(s) and address: Recording Officer, Assignment
Division, U.S. Patent and Trademark Office, Washington, DC 20231.
Notification procedure: Information may be obtained from: Assistant
Commissioner for Administration, U.S. Patent and Trademark Office,
Washington, DC 20231. Requesters should provide assignee's or
assignor's name(s) and application serial number, if known, in
accordance with the inquiry provisions of the Department's rules
which appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Persons who have submitted written instruments to the Patent and
Trademark Office for recording.
Systems exempted from certain provisions of the act: Pursuant to 5
U.S.C. 552a(k)(1), assignment records which are designated ``Secret''
and maintained in the Government Register pursuant to E.O. 9424 are
exempted from the notification, access, and contest requirements of
the agency procedures (under 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4)(G), (H), and (I), and (f)). This exemption is made to prevent
disclosure of information which might be detrimental to national
security and in accordance with agency rules which appear in 15 CFR
part 4b.
COMMERCE/PAT-TM-10
System name: Patent Deposit Accounts System--COMMERCE/PAT-TM-10.
System location: Receipts Control Division, Office of Finance, U.S.
Patent and Trademark Office, 2021 Jefferson Davis Highway, Arlington,
Va. 22202; and Office of ADP Administration, U.S. Patent and
Trademark Office, 2021 Jefferson Davis Highway, Arlington, Va. 22202.
Categories of individuals covered by the system: Registered patent
attorneys and agents and other members of the public who maintain
deposit accounts to pay the cost of services rendered by the Patent
and Trademark Office.
Categories of records in the system: Name, address, account number,
and financial transactions with the Office.
Authority for maintenance of the system: 35 U.S.C. 1, 6, and 41.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See Prefatory
Statement of General Routine Uses Nos.1-5, 9-10 and 13.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Microfilm and magnetic storage media.
Retrievability: Filed by name, account number.
Safeguards: Buildings employ security guards. Records are
maintained in areas accessible only to authorized personnel who are
properly screened, cleared, and trained. Where information is
retrievable by terminal, all safeguards appropriate to secure the ADP
telecommunications system (hardware and software) are utilized.
Retention and disposal: Records retention and disposal is in
accordance with the unit's Records Control Schedule.
System manager(s) and address: Director, Office of Finance, U.S.
Patent and Trademark Office, Washington, DC 20231.
Notification procedure: Information may be obtained from: Assistant
Commissioner for Administration, U.S. Patent and Trademark Office,
Washington, DC 20231. Requesters should provide name and account
number in accordance with the inquiry provisions of the Department's
rules which appear in 15 CFR part 4b.
Record access procedures: Request from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individuals and those authorized by the individual to
furnish information.
COMMERCE/PAT-TM-11
System name: Patent Examiner Testimony Files--COMMERCE/PAT-TM-
11.
System location: Office of the Solicitor, U.S. Patent and Trademark
Office, 2021 Jefferson Davis Highway, Arlington, Va. 22202.
Categories of individuals covered by the system: Employees and
former employees who have testified in person or through deposition
in court actions in regard to duties performed while employed by the
Patent and Trademark Office, or who have been interviewed to
determine whether such testimony will be taken.
Categories of records in the system: Name, address, employment
status, education, work experience, and other matters which might be
raised in the course of a deposition or other testimony.
Authority for maintenance of the system: 35 U.S.C. 1 and 6; 5
U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See Prefatory
Statement of General Routine Uses Nos.1-5 and 9-13.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper copy.
Retrievability: Filed alphabetically by name.
Safeguards:
Buildings employ security guards. Records are maintained in areas
accessible only to authorized personnel who are properly screened,
cleared, and trained.
Retention and disposal: Records retention and disposal is in
accordance with the unit's Records Control Schedule.
System manager(s) and address: Solicitor, U.S. Patent and Trademark
Office, Washington, DC 20231.
Notification procedure: Information may be obtained from: Assistant
Commissioner for Administration, U.S. Patent and Trademark Office,
Washington, DC 20231. Requester should provide name and date(s) of
testimony or interview, if known, in accordance with the inquiry
provisions of the Department's rules which appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual, the individual's co-workers, and those
authorized by the individual to furnish information.
COMMERCE/PAT-TM-12
System name: Patent Subscription Service System--COMMERCE/PAT-
TM-12.
System location: U.S. Patent and Trademark Office, Office of Patent
and Trademark Services, 2021 Jefferson Davis Highway, Arlington,
Virginia 22202.
Categories of individuals covered by the system: Individuals
subscribing to copies of patents, trademarks, designs, defensive
publications, and related publications issued in certain classes or
subclasses.
Categories of records in the system: Name of subscriber, Deposit
Account Number, address, classes or subclasses subscribed to, total
number of subclasses subscribed to; and initial payment per year.
Weekly listings of patent, trademark, design, defensive publication,
and related publication numbers for each subscription order.
Authority for maintenance of the system: 35 U.S.C. 41; 5 U.S.C.
301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See Prefatory
Statement of General Routine Uses Nos.4-5, 9-10 and 13.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: On magnetic tape and computer printout.
Retrievability: Subscriber's name and account number.
Safeguards: Maintained in areas accessible only to authorized
personnel in building protected by security guards nonbusiness hours.
Retention and disposal: Records retention and disposal is in
accordance with the unit's Records Control Schedule.
System manager(s) and address: Director of Office of Patent and
Trademark Services U.S. Patent and Trademark Office, Washington, DC
20231.
Notification procedure: Information may be obtained from: Assistant
Commissioner for Administration, U.S. Patent and Trademark Office,
Washington, DC 20231. Requester should provide name and Deposit
Account Number in accordance with the inquiry provisions of the
Department's rules which appear in 15 CFR Part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individuals and those authorized by the individual to
furnish information.
COMMERCE/PAT-TM-13
System name: Petitioners for License to File for Foreign
Patents--COMMERCE/PAT-TM-13.
System location: Patent Examining Operation, Group 220, U.S. Patent
and Trademark Office, 2021 Jefferson Davis Highway, Arlington, Va.
22202; and Office of ADP Administration, U.S. Patent and Trademark
Office, 2021 Jefferson Davis Highway, Arlington, Va. 22202.
Categories of individuals covered by the system: Petitioners for
license to file a patent application in any foreign country.
Categories of records in the system: Petitioner's name, address,
and description of subject matter, or, where a corresponding U.S.
application has been filed, identification of applicant, application
serial number, filing date, title to invention, applicant's address
and addresses of applicant's duly appointed representatives.
Authority for maintenance of the system: 35 U.S.C. 1, 6, and 184.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See Prefatory
Statement of General Routine Uses Nos.1-5, 8-10 and 13.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper copy and magnetic storage media.
Retrievability: By number assigned called P number and by serial
number related to P number when additional matter is submitted in
connection with a corresponding U.S. application, cross-indexed to
petitioner's name.
Safeguards: Buildings employ security guards. Records are
maintained in areas accessible only to authorized personnel who are
properly screened, cleared, and trained. Where information is
retrievable by terminal, all safeguards appropriate to secure the ADP
telecommunications system (hardware and software) are utilized.
Retention and disposal: Records retention and disposal is in
accordance with the unit's Records Control Schedule.
System manager(s) and address: Director, Patent Examining Group
220, U.S. Patent and Trademark Office, Washington, DC 20231.
Notification procedure: Information may be obtained from: Assistant
Commissioner for Administration, U.S. Patent and Trademark Office,
Washington, DC 20231. Requester should provide name and serial number
or P number, if known, in accordance with the inquiry provisions of
the Department's rules which appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individuals or their duly appointed representatives.
COMMERCE/PAT-TM-14
System name: Users of Public Facilities of the Patent and
Trademark Office--COMMERCE/PAT-TM-14.
System location: Patent and Trademark Office, 2021 Jefferson Davis
Highway, Arlington, Virginia 22202.
Categories of individuals covered by the system: Federal employees
other than employees of the Patent and Trademark Office; employees
and other representatives of commercial firms offering patent search
services to the public; registered agents before the Patent and
Trademark Office; and any member of the general public who uses the
search room.
Categories of records in the system:
Name; addresses; telephone numbers; business firm or other
organizations with which affiliated; user pass number; user
photograph; registration number, if a registered practitioner before
the Patent and Trademark Office; record of use; violations of
policies governing use of the search facilities and other office
areas; signature of recipients of user passes; government-issued
identification card and information contained therein; and, other
information as needed to establish identity.
Authority for maintenance of the system: 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: Information may be
disclosed to law enforcement authorities, employers of violators of
regulations governing use of the search room, and organizations with
which recipients of user passes claim affiliation. Information such
as home address or business affiliation, on individuals who have
removed, with proper authority, patent documents from the search room
but have failed to return such documents, may be used in retrieving
such documents. Also, see Prefatory Statement of General Routine Uses
Nos.1-5 and 9-13.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders and electronic storage.
Retrievability:
Alphabetically by name and sequentially by user pass number.
Also, electronic sort by data element.*
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 whose official duties require access. Electronic
files are stored in secured premises with access limited to those
whose official duties require access.*
Retention and disposal: Retained pursuant to Records Control
Schedule, with periodic updating or posting of information, when
appropriate and necessary.
System manager(s) and address: Director, Office of Patent and
Trademark Services, U.S. Patent and Trademark Office, Washington, DC
20231.
System manager(s) and address:
Director, Public Search Services Division, U.S. Patent and
Trademark Office, Washington, DC 20231.
Notification procedure:
Information may be obtained from: Privacy Officer, Office of the
Solicitor, U.S. Patent and Trademark Office, Box 8, Washington, DC
20231. Requesters should provide name, signature, address, date of
visit, and record sought in accordance with the inquiry provisions of
the Department's rules which appear in 15 CFR part 4b.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and appealing initial determinations by the
individual concerned appear in 15 CFR part 4b. Use above address.
Record source categories:
Subject individual; employers; and those authorized by
individual.
COMMERCE/PAT-TM-15
System name:
System for Maintenance of Invention Promoter Complaints--
COMMERCE/PAT-TM- TBD.
System location:
The Office of Independent Inventor Programs, U.S. Patent and
Trademark Office, 2121 South Clark Street, Arlington, Virginia 22202.
Categories of individuals covered by the system:
Complaining inventors, invention promoters, and interested
members of the public.
Categories of records in the system:
Complainant names, addresses, and telephone numbers; invention
promoter names, addresses, and telephone numbers; complaints
regarding invention promoters, responses to complaints by invention
promoters, and correspondence relating to these complaints and
responses.
Authority for maintenance of the system:
5 U.S.C. 301; 35 U.S.C. 1, 6, and 297.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See Prefatory Statement of General Routine uses Nos.1-5, 8-10, 12
and 13. Customer complaints regarding invention promoters together
with responses by the invention promoters will be made publicly
available.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folder or distributed to individuals and
management; microfilm and electronic storage media.
Retrievability:
Complaints and responses will be assigned numbers. Documents may
be retrieved by number, name of complainant, or name of invention
promoter.
Safeguards:
Buildings employ security systems. Records are maintained in
areas accessible only to authorized personnel who are properly
screened, cleared, and trained. Where information is retrievable by
terminal, all safeguards appropriate to secure the ADP
telecommunications system (hardware and software) are utilized.
Retention and disposal:
Records retention and disposal is in accordance with the Office
of Independent Inventor Program Records Control Schedule.
System manager(s) and address:
Director, Office of Independent Inventor Programs, U.S. Patent
and Trademark Office, 2011 Crystal Drive, Arlington, VA 22202.
Notification procedure:
Information may be obtained from: Privacy Officer, Office of the
Solicitor, U.S. Patent and Trademark Office, Box 8, Washington, DC
20231. Requester should provide name, address, date of application,
and record sought, pursuant to the inquiry provisions of the
Department's rules which appear in 15 CFR part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
for appealing initial determinations by the individual concerned
appear in 15 CFR part 4b.
Record source categories:
Complaining individuals and responding invention promoters.
COMMERCE/PAT-TM-16
System name:
USPTO PKI Registration and Maintenance System.
System location:
Office of Enrollment and Discipline, U.S. Patent and Trademark
Office, 2011 Crystal Drive, Arlington, VA 22202; and Office of
Information Systems Security, U.S. Patent and Trademark Office, 2121
Crystal Drive, Arlington, VA 22202.
Categories of individuals covered by the system:
Registered Attorneys and Agents; Employees of Registered
Attorneys and Agents designated to hold a certificate; Independent
Inventors; an Employees of the Patent and Trademark Office and other
individuals who apply for the use of a digital certificate including
Patent and Trademark Depository Library personnel, employees of other
Intellectual Property Offices, and World Intellectual Property
Organization.
Categories of records in the system:
Requester status, signature, name, address, registration number,
telephone, facsimile, electronic mail, associated customer numbers,
action requested (certificate application, certificate revocation or
key recovery), reason for the request, sponsoring Attorney/Agency
signature, Notary Public signature, trusted party signature,
distinguished name, date of issuance, and expiration.
Authority for maintenance of the system:
5 U.S.C. 301 and 35 U.S.C. 6, 42(c).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses Nos. 1-5 and 9-
13.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folder and electronic storage media.
Retrievability:
Filed by organizations; cross referenced for access by name, and
where appropriate, customer number, employee number, issue, activity,
or other unique variable information field.
Safeguards:
Building employ security systems. Records are maintained in areas
accessible only to authorized personnel who are properly screened,
cleared, and trained. Where information is retrievable
electronically, all safeguards appropriate to secure the ADP
telecommunications system (hardware and software) are utilized.
Retention and disposal:
Records retention and disposal is in accordance with the Office
of Enrollment and Discipline Records Control Schedule.
System manager(s) and address:
Director, Office of Enrollment and Discipline, U.S. Patent and
Trademark Office, Washington, DC 20231; Manager, Information Systems
Security Division, U.S. Patent and Trademark Office, Washington, DC
20231.
Notification procedure:
Information may be obtained from: Director, Office of Enrollment
and Discipline, U.S. Patent and Trademark Office, Washington, DC
20231; Chief Information Officer, U.S. Patent and Trademark Office,
Washington, DC 20231. Requester should provide employee name and
number, in accordance with the inquiry provisions of the Department's
rules which appear in 15 CFR Part 4b.
Record access procedures:
Requests from individuals should be addressed to: Same address as
stated in the notification section above.
Contesting record procedures:
The Department's rules for access, for contesting contents, and
appealing initial determinations by the individual concerned appear
in 15 CFR Part 4b. Use above address.
Record source categories:
Subject individual, those authorized by the individual to furnish
information, and the individual's supervisors.
Office of Administrative Service
COMMERCE/WBO-1
System name: Talent and Experience File of Women's Business
Experts--COMMERCE/WBO-1.
System location: Office of Administrative Services, U.S. Department
of Commerce, 14th & E Streets and Constitution Avenue, NW,
Washington, DC 20230.
Categories of individuals covered by the system: Individuals with
whom the Task Force communicated; having knowledge of women's
business operations, problems and discriminations; or having special
skills which would be of assistance to the Task Force.
Categories of records in the system: Personal background data
normally including name, age, address, telephone numbers, Social
Security number, business and work experience, educational
background, professional association memberships, publications and
information on areas of expertise.
Authority for maintenance of the system: 5 U.S.C. 301; 15 U.S.C.
1512; 44 U.S.C. 3101.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Information is
disclosed to other Federal agencies upon their request to provide
names and addresses of individuals who possess special skills or
expertise related to the problems of women business owners. General
routine uses 4, 5, 9, and 13 in the Prefatory Statement also apply.
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 individual's name.
Safeguards: Records are on premises with access limited to
individuals whose official duties require access.
Retention and disposal: Retained on site for five (5) years and
then disposed of in accordance with the Office of the Secretary
Records Control Schedule.
System manager(s) and address: Deputy Under Secretary for Regional
Affairs, Office of the Secretary, U.S. Department of Commerce,
Washington, DC 20230.
Notification procedure: Information may be obtained from: Director,
Office of Organization and Management Systems, U.S. Department of
Commerce, Washington, DC 20230.
Record access procedures: Requests from individuals should be
addressed to: Same address as stated in the notification section
above.
Contesting record procedures: The Department's rules for access,
for contesting contents, and for appealing initial determinations by
the individual concerned appear in 15 CFR part 4b. Requests from
individuals should be addressed as stated in the notification section
above.
Record source categories:
Subject individual; those authorized by the individual to furnish
information; public reference sources; government, private and public
interest organizations.
COMMERCE DEPARTMENT
DEPARTMENT OF COMMERCE
PART 102--DISCLOSURE OF GOVERNMENT INFORMATION
Subpart B--Privacy Act
102.21 Purpose and scope.
102.22 Definitions.
102.23 Procedures for making inquiries.
102.24 Procedures for making requests for records.
102.25 Disclosure of requested records to individuals.
102.26 Special procedures: Medical records.
102.27 Procedures for making requests for correction or amendment.
102.28 Review of requests for correction or amendment.
102.29 Appeal of initial adverse determination on correction or
amendment.
102.30 Disclosure of record to person other than the individual to
whom it pertains.
102.31 Fees.
102.32 Penalties.
102.33 General exemptions.
102.34 Specific exemptions.
Appendix to Part 102--Systems of Records Noticed by Other Federal
Agencies and Applicable to USPTO Records, and Applicability of this
Part Thereto
Authority: 5 U.S.C. 552; 5 U.S.C. 552a; 5 U.S.C. 553; 31 U.S.C. 3717;
35 U.S.C. 2(b)(2), 21, 41, 42, 122; 44 U.S.C. 3101.
Source: 65 FR 52917, Aug. 31, 2000.
Subpart B--Privacy Act
Sec. 102.21 Purpose and scope.
(a) The purpose of this subpart is to establish policies and
procedures for implementing the Privacy Act of 1974, as amended (5
U.S.C. 552a) (the Act). The main objectives are to facilitate full
exercise of rights conferred on individuals under the Act and to ensure
the protection of privacy as to individuals on whom USPTO maintains
records in systems of records under the Act. USPTO accepts the
responsibility to act promptly and in accordance with the Act upon
receipt of any inquiry, request or appeal from a citizen of the United
States or an alien lawfully admitted for permanent residence into the
United States, regardless of the age of the individual. Further, USPTO
accepts the obligations to maintain only such information on individuals
as is relevant and necessary to the performance of its lawful functions,
to maintain that information with such accuracy, relevancy, timeliness,
and completeness as is reasonably necessary to assure fairness in
determinations made by USPTO about the individual, to obtain information
from the individual to the extent practicable, and to take every
reasonable step to protect that information from unwarranted disclosure.
USPTO will maintain no record describing how an individual exercises
rights guaranteed by the First Amendment unless expressly authorized by
statute or by the individual about whom the record is maintained or
unless pertinent to and within the scope of an authorized law
enforcement activity. An individual's name and address will not be sold
or rented by USPTO unless such action is specifically authorized by law;
however, this provision shall not be construed to require the
withholding of names and addresses otherwise permitted to be made
public.
(b) This subpart is administered by the Privacy Officer of USPTO.
(c) Matters outside the scope of this subpart include the following:
(1) Requests for records which do not pertain to the individual making
the request, or to the individual about whom the request is made if the
requester is the parent or guardian of the individual;
(2) Requests involving information pertaining to an individual which
is in a record or file but not within the scope of a system of records
notice published in the Federal Register;
(3) Requests to correct a record where a grievance procedure is
available to the individual either by regulation or by provision in a
collective bargaining
[[Page 52924]]
agreement with USPTO, and the individual has initiated, or has expressed
in writing the intention of initiating, such grievance procedure. An
individual selecting the grievance procedure waives the use of the
procedures in this subpart to correct or amend a record; and,
(4) Requests for employee-employer services and counseling which were
routinely granted prior to enactment of the Act, including, but not
limited to, test calculations of retirement benefits, explanations of
health and life insurance programs, and explanations of tax withholding
options.
(d) Any request for records which pertains to the individual making
the request, or to the individual about whom the request is made if the
requester is the parent or guardian of the individual, shall be
processed under the Act and this subpart and under the Freedom of
Information Act and USPTO's implementing regulations at Subpart A of
this part, regardless whether the Act or the Freedom of Information Act
is mentioned in the request.
Sec. 102.22 Definitions.
(a) All terms used in this subpart which are defined in 5 U.S.C. 552a
shall have the same meaning herein.
(b) As used in this subpart:
(1) Act means the ``Privacy Act of 1974, as amended (5 U.S.C. 552a)''.
(2) Appeal means a request by an individual to review and reverse an
initial denial of a request by that individual for correction or
amendment.
(3) USPTO means the United States Patent and Trademark Office.
(4) Inquiry means either a request for general information regarding
the Act and this subpart or a request by an individual (or that
individual's parent or guardian) that USPTO determine whether it has any
record in a system of records which pertains to that individual.
(5) Person means any human being and also shall include but not be
limited to, corporations, associations, partnerships, trustees,
receivers, personal representatives, and public or private
organizations.
(6) Privacy Officer means a USPTO employee designated to administer
this subpart.
(7) Request for access means a request by an individual or an
individual's parent or guardian to see a record which is in a particular
system of records and which pertains to that individual.
(8) Request for correction or amendment means the request by an
individual or an individual's parent or guardian that USPTO change
(either by correction, amendment, addition or deletion) a particular
record in a system of records which pertains to that individual.
Sec. 102.23 Procedures for making inquiries.
(a) Any individual, regardless of age, who is a citizen of the United
States or an alien lawfully admitted for permanent residence into the
United States may submit an inquiry to USPTO. The inquiry should be made
either in person at Crystal Park Two, 2121 Crystal Park Drive, Suite
714, Arlington, Virginia, or by mail addressed to the Privacy Officer,
United States Patent and Trademark Office, WASHINGTON DC 20231 or to the
official identified in the notification procedures paragraph of the
systems of records notice published in the Federal Register. If an
individual believes USPTO maintains a record pertaining to that
individual but does not know which system of records might contain such
a record, the USPTO Privacy Officer will provide assistance in person or
by mail.
(b) Inquiries submitted by mail should include the words ``PRIVACY ACT
INQUIRY'' in capital letters at the top of the letter and on the face of
the envelope. If the inquiry is for general information regarding the
Act and this subpart, no particular information is required. USPTO
reserves the right to require compliance with the identification
procedures appearing at Sec. 102.24(d) where circumstances warrant. If
the inquiry is a request that USPTO determine whether it has, in a given
system of records, a record which pertains to the individual, the
following information should be submitted:
(1) Name of individual whose record is sought;
(2) Individual whose record is sought is either a U.S. citizen or an
alien lawfully admitted for permanent residence;
(3) Identifying data that will help locate the record (for example,
maiden name, occupational license number, period or place of employment,
etc.);
(4) Record sought, by description and by record system name, if known;
(5) Action requested (that is, sending information on how to exercise
rights under the Act; determining whether requested record exists;
gaining access to requested record; or obtaining copy of requested
record);
(6) Copy of court guardianship order or minor's birth certificate, as
provided in Sec. 102.24(f)(3), but only if requester is guardian or
parent of individual whose record is sought;
(7) Requester's name (printed), signature, address, and telephone
number (optional);
(8) Date; and,
(9) Certification of request by notary or other official, but only if
(i) Request is for notification that requested record exists, for
access to requested record or for copy of requested record;
(ii) Record is not available to any person under 5 U.S.C. 552; and
(iii) Requester does not appear before an employee of USPTO for
verification of identity.
(c) Any inquiry which is not addressed as specified in paragraph (a)
of this section or which is not marked as specified in paragraph (b) of
this section will be so addressed and marked by USPTO personnel and
forwarded immediately to the Privacy Officer. An inquiry which is not
properly addressed by the individual will not be deemed to have been
``received'' for purposes of measuring the time period for response
until actual receipt by the Privacy Officer. In each instance when an
inquiry so forwarded is received, the Privacy Officer shall notify the
individual that his or her inquiry was improperly addressed and the date
the inquiry was received at the proper address.
(d)(1) Each inquiry received shall be acted upon promptly by the
Privacy Officer. Every effort will be made to respond within ten working
days (i.e., excluding Saturdays, Sundays and legal public holidays) of
the date of receipt. If a response cannot be made within ten working
days, the Privacy 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. The
first correspondence sent by the Privacy Officer to the requester shall
contain USPTO's control number assigned to the request, as well as a
note that the requester should use that number in all future contacts in
order to facilitate processing. USPTO shall use that control number in
all subsequent correspondence.
(2) If the Privacy Officer fails to send an acknowledgment within ten
working days, as provided above, the requester may ask the General
Counsel to take corrective action. No failure of the Privacy Officer to
send an acknowledgment shall confer administrative finality for purposes
of judicial review.
(e) An individual shall not be required to state a reason or otherwise
justify his or her inquiry.
(f) Special note should be taken of the fact that certain agencies are
responsible for publishing notices of systems of records having
Government-wide
[[Page 52925]]
application to other agencies, including USPTO. The agencies known to be
publishing these general notices and the types of records covered
therein appear in an appendix to this part. The provisions of this
section, and particularly paragraph (a) of this section, should be
followed in making inquiries with respect to such records. Such records
in USPTO are subject to the provisions of this part to the extent
indicated in the appendix to this part. The exemptions, if any,
determined by an agency publishing a general notice shall be invoked and
applied by USPTO after consultation, as necessary, with that other
agency.
Sec. 102.24 Procedures for making requests for records.
(a) Any individual, regardless of age, who is a citizen of the United
States or an alien lawfully admitted for permanent residence into the
United States may submit a request for access to records to USPTO. The
request should be made either in person at Crystal Park Two, 2121
Crystal Drive, Suite 714, Arlington, Virginia, or by mail addressed to
the Privacy Officer, United States Patent and Trademark Office,
Washington, DC 20231.
(b) Requests submitted by mail should include the words ``PRIVACY ACT
REQUEST'' in capital letters at the top of the letter and on the face of
the envelope. Any request which is not addressed as specified in
paragraph (a) of this section or which is not marked as specified in
this paragraph will be so addressed and marked by USPTO personnel and
forwarded immediately to the Privacy Officer. A request 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
actual receipt by the Privacy Officer. In each instance when a request
so forwarded is received, the Privacy Officer shall notify the
individual that his or her request was improperly addressed and the date
when the request was received at the proper address.
(c) If the request follows an inquiry under Sec. 102.23 in connection
with which the individual's identity was established by USPTO, the
individual need only indicate the record to which access is sought,
provide the USPTO control number assigned to the request, and sign and
date the request. If the request is not preceded by an inquiry under
Sec. 102.23, the procedures of this section should be followed.
(d) The requirements 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, preferably issued for participation in a federally
sponsored program, bearing the individual's signature (for example,
unemployment insurance book, employer's identification card, national
credit card, and professional, craft or union membership card); and
(iii) A document bearing neither the photograph nor 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, USPTO 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) recited in Sec. 102.32(a). In order to avoid any
unwarranted disclosure of an individual's records, USPTO reserves the
right to determine the adequacy of proof of identity offered by any
individual, particularly when the request involves a sensitive record.
(2) Not in person. If the individual making a request does not appear
in person before the Privacy Officer or other employee authorized to
determine identity, a certification of a notary public or equivalent
officer empowered to administer oaths must accompany the request under
the circumstances prescribed in Sec. 102.23(b)(9). The certification in
or attached to the letter must be substantially in accordance with the
following text:
City of ____
County of ____ :ss
(Name of individual), who affixed (his) (her) signature below in my
presence, came before me, a (title), in and for the aforesaid County
and State, this ___ day of ___, 20_, and established (his) (her)
identity to my satisfaction.
My commission expires ____.
(Signature)
(3) Parents of minors and legal guardians. An individual acting as the
parent of a minor or the legal guardian of the individual to whom a
record pertains shall establish his or her personal identity in the same
manner prescribed in either paragraph (d)(1) or (d)(2) of this section.
In addition, such other 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. For purposes of the Act, a
parent or legal guardian may represent only a living individual, not a
decedent. A parent or legal guardian may be accompanied during personal
access to a record by another individual, provided the provisions of
Sec. 102.25(f) are satisfied.
(e) When the provisions of this subpart are alleged to impede an
individual in exercising his or her right to access, USPTO will
consider, from an individual making a request, alternative suggestions
regarding proof of identity and access to records.
(f) An individual shall not be required to state a reason or otherwise
justify his or her request for access to a record.
Sec. 102.25 Disclosure of requested records to individuals.
(a)(1) The Privacy Officer shall act promptly upon each request. Every
effort will be made to respond within ten working days (i.e., excluding
Saturdays, Sundays, and legal public holidays) of the date of receipt.
If a response cannot be made within ten working days due to unusual
circumstances, the Privacy Officer shall send an acknowledgment during
that period providing information on the status of the request and
asking for any further information that may be necessary to process the
request. ``Unusual circumstances'' shall include circumstances in which
(i) A search for and collection of requested records from inactive
storage, field facilities or other establishments is required;
(ii) A voluminous amount of data is involved;
(iii) Information on other individuals must be separated or expunged
from the particular record; or
(iv) Consultations with other agencies having a substantial interest
in the determination of the request are necessary.
(2) If the Privacy Officer fails to send an acknowledgment within ten
working days, as provided above in paragraph (a) of this section, the
requester may ask the General Counsel to take corrective action. No
failure of the Privacy Officer to send an acknowledgment shall confer
administrative finality for purposes of judicial review.
[[Page 52926]]
(b) Grant of access--(1) Notification. An individual shall be granted
access to a record pertaining to him or her, except where the provisions
of paragraph (g)(1) of this section apply. The Privacy Officer will
notify the individual of a determination to grant access, and provide
the following information:
(i) The methods of access, as set forth in paragraph (b)(2) of this
section;
(ii) The place at which the record may be inspected;
(iii) 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 calendar days from
the date of notification;
(iv) The estimated date by which a copy of the record could be mailed
and the estimate of fees pursuant to Sec. 102.31. In no event shall the
estimated date be later than thirty calendar days from the date of
notification;
(v) The fact that the individual, if he or she wishes, may be
accompanied by another individual during personal access, subject to the
procedures set forth in paragraph (f) of this section; and,
(vi) Any additional requirements needed to grant access to a specific
record.
(2) Methods 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 had in a location specified by the
Privacy Officer during business hours;
(ii) Transfer of records to a Federal facility more convenient to the
individual may be arranged, but only if the Privacy 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
USPTO 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. 102.31. USPTO, on its own
initiative, may elect to provide a copy by mail, in which case no fee
will be charged the individual.
(c) Access to medical records is governed by the provisions of
Sec. 102.26.
(d) USPTO will supply such other information and assistance at the
time of access as to make the record intelligible to the individual.
(e) USPTO 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 or diskette, when the record contains
information on other individuals, and when deletion of information is
permissible under exemptions (for example, 5 U.S.C. 552a(k)(2)). In no
event shall original records of USPTO be made available to the
individual except under the immediate supervision of the Privacy Officer
or the Privacy Officer's designee.
(f) Any individual who requests 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. The authorization shall include the name of the other
individual, a specific description of the record to which access is
sought, the USPTO control number assigned to the request, 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 Privacy
Officer. An individual shall not be required to state a reason or
otherwise justify his or her decision to be accompanied by another
individual during 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 Privacy Officer that:
(i) The record is exempt under Sec. 102.33 or Sec. 102.34, or exempt
by determination of another agency publishing notice of the system of
records, as described in Sec. 102.23(f);
(ii) The record is information compiled in reasonable anticipation of
a civil action or proceeding;
(iii) The provisions of Sec. 102.26 pertaining to medical records
temporarily have been invoked; or
(iv) The individual has unreasonably failed to comply with the
procedural requirements of this part.
(2) Notification. The Privacy Officer shall give notice of denial of
access to records to the individual in writing and shall include the
following information:
(i) The Privacy Officer's name and title or position;
(ii) The date of the denial;
(iii) The reasons for the denial, including citation to the
appropriate section of the Act and this part;
(iv) The individual's opportunities, if any, for further
administrative consideration, including the identity and address of the
responsible official. If no further administrative consideration within
USPTO is available, the notice shall state that the denial is
administratively final; and
(v) If stated to be administratively final within USPTO, the
individual's right to judicial review provided under 5 U.S.C.
552a(g)(1), as limited by 5 U.S.C. 552a(g)(5).
(3) Administrative review. When an initial denial of a request is
issued by the Privacy Officer, the individual's opportunities for
further consideration shall be as follows:
(i) As to denial under paragraph (g)(1)(i) of this section, two
opportunities for further consideration are available in the
alternative:
(A) If the individual contests the application of the exemption to the
records, review procedures in Sec. 102.25(g)(3)(ii) shall apply; or
(B) If the individual challenges the exemption itself, the procedure
is a petition for the issuance, amendment, or repeal of a rule under 5
U.S.C. 553(e). If the exemption was determined by USPTO, such petition
shall be filed with the General Counsel. If the exemption was determined
by another agency (as described in Sec. 102.23(f)), USPTO 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 USPTO, no such denial is
administratively final until such a petition has been filed by the
individual and disposed of on the merits by the General Counsel.
(ii) As to denial under paragraphs (g)(1)(ii) of this section,
(g)(1)(iv) of this section or (to the limited extent provided in
paragraph (g)(3)(i)(A) of this section) paragraph (g)(1)(i) of this
section, the individual may file for review with the General Counsel, as
indicated in the Privacy Officer's initial denial notification. The
procedures appearing in Sec. 102.28 shall be followed by both the
individual and USPTO to the maximum extent practicable.
(iii) As to denial under paragraph (g)(1)(iii) of this section, no
further administrative consideration within USPTO is available because
the denial is not administratively final until expiration of the time
period indicated in Sec. 102.26(a).
(h) If a request is partially granted and partially denied, the
Privacy Officer shall follow the appropriate procedures of this section
as to the records within the grant and the records within the denial.
[[Page 52927]]
Sec. 102.26 Special procedures: Medical records.
(a) No response to any request for access to medical records by an
individual will be issued by the Privacy Officer for a period of seven
working days (i.e., excluding Saturdays, Sundays, and legal public
holidays) from the date of receipt.
(b) USPTO has published as a routine use, for all systems of records
containing medical records, consultations with an individual's physician
or psychologist if, in the sole judgment of USPTO, disclosure could have
an adverse effect upon the individual. The mandatory waiting period set
forth in paragraph (a) of this section will permit exercise of this
routine use in appropriate cases. USPTO will pay no cost of any such
consultation.
(c) In every case of a request by an individual for access to medical
records, the Privacy Officer shall:
(1) Inform the individual of the waiting period prescribed in
paragraph (a) of this section;
(2) Obtain the name and address of the individual's physician and/or
psychologist, if the individual consents to give them;
(3) Obtain specific, written consent for USPTO to consult the
individual's physician and/or psychologist in the event that USPTO
believes such consultation is advisable, if the individual consents to
give such authorization;
(4) Obtain specific, written consent for USPTO to provide the medical
records to the individual's physician or psychologist in the event that
USPTO believes access to the record by the individual is best effected
under the guidance of the individual's physician or psychologist, if the
individual consents to give such authorization; and
(5) Forward the individual's medical record to USPTO's medical expert
for review and a determination on whether consultation with or
transmittal of the medical records to the individual's physician or
psychologist is warranted. If the consultation with or transmittal of
such records to the individual's physician or psychologist is determined
to be warranted, USPTO's medical expert shall so consult or transmit.
Whether or not such a consultation or transmittal occurs, USPTO's
medical officer shall provide instruction to the Privacy Officer
regarding the conditions of access by the individual to his or her
medical records.
(d) If an individual refuses in writing to give the names and consents
set forth in paragraphs (c)(2) through (c)(4) of this section and USPTO
has determined that disclosure could have an adverse effect upon the
individual, USPTO shall give the individual access to said records by
means of a copy, provided without cost to the requester, sent registered
mail return receipt requested.
Sec. 102.27 Procedures for making requests for correction or
amendment.
(a) Any individual, regardless of age, who is a citizen of the United
States or an alien lawfully admitted for permanent residence into the
United States may submit a request for correction or amendment to USPTO.
The request should be made either in person or by mail addressed to the
Privacy 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. The office of
the Privacy Officer is open to the public between the hours of 9 a.m.
and 4 p.m., Monday through Friday (excluding legal public holidays).
(b) Requests submitted by mail should include the words ``PRIVACY ACT
REQUEST'' in capital letters at the top of the letter and on the face of
the envelope. Any request which is not addressed as specified in
paragraph (a) of this section or which is not marked as specified in
this paragraph will be so addressed and marked by USPTO personnel and
forwarded immediately to the Privacy Officer. A request which is not
properly addressed by the individual will not be deemed to have been
``received'' for purposes of measuring the time period for response
until actual receipt by the Privacy Officer. In each instance when a
request so forwarded is received, the Privacy Officer shall notify the
individual that his or her request was improperly addressed and the date
the request was received at the proper address.
(c) Since the request, in all cases, will follow a request for access
under Sec. 102.25, the individual's identity will be established by his
or her signature on the request and use of the USPTO control number
assigned to the request.
(d) A request for correction or amendment should include the
following:
(1) Specific identification of the record sought to be corrected or
amended (for example, description, title, date, paragraph, sentence,
line and words);
(2) The specific wording to be deleted, if any;
(3) The specific wording to be inserted or added, if any, and the
exact place at which to be inserted or added; and
(4) A statement of the basis for the requested correction or
amendment, with all available supporting documents and materials which
substantiate the statement. The statement should identify the criterion
of the Act being invoked, that is, whether the information in the record
is unnecessary, inaccurate, irrelevant, untimely or incomplete.
Sec. 102.28 Review of requests for correction or amendment.
(a)(1)(i) Not later than ten working days (i.e., excluding Saturdays,
Sundays and legal public holidays) after receipt of a request to correct
or amend a record, the Privacy 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. 102.25(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
the ten working days. Requests filed in person will be acknowledged in
writing at the time submitted.
(ii) If the Privacy Officer fails to send the acknowledgment within
ten working days, as provided in paragraph (a)(1)(i) of this section,
the requester may ask the General Counsel to take corrective action. No
failure of the Privacy Officer to send an acknowledgment shall confer
administrative finality for purposes of judicial review.
(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 the ten working days, the Privacy
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 magnetically recorded computer files); or
(ii) Inform the individual in writing that his or her request is
denied and provide the following information:
(A) The Privacy Officer's name and title or position;
(B) The date of the denial;
(C) The reasons for the denial, including citation to the appropriate
sections of the Act and this subpart; and
[[Page 52928]]
(D) The procedures for appeal of the denial as set forth in
Sec. 102.29, including the address of the General Counsel.
(3) The term promptly in this section means within thirty working days
(i.e., excluding Saturdays, Sundays, and legal public holidays). If the
Privacy Officer cannot make the determination within thirty working
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 Privacy Officer shall be
responsible for notifying all persons and agencies to which the
corrected or amended portion 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 recipient
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 had disclosed the record of the substance of the
correction or amendment.
(c) The following criteria will be considered by the Privacy 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 risk 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) USPTO 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 Privacy 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 is part of the
official record in a terminated judicial, quasi-judicial, or quasi-
legislative proceeding to which the individual was a party or
participant;
(3) The information in the record sought to be corrected or amended,
or 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 has unreasonably failed to comply with the
procedural requirements of this part.
(f) If a request is partially granted and partially denied, the
Privacy Officer shall follow the appropriate procedures of this section
as to the records within the grant and the records within the denial.
Sec. 102.29 Appeal of initial adverse determination on correction or
amendment.
(a) When a request for correction or amendment has been denied
initially under Sec. 102.28, the individual may submit a written appeal
within thirty working days (i.e., excluding Saturdays, Sundays and legal
public holidays) after the date of the initial denial. When an appeal is
submitted by mail, the postmark is conclusive as to timeliness.
(b) An appeal should be addressed to the General Counsel, United
States Patent and Trademark Office, Washington, DC 20231. An appeal
should include the words ``PRIVACY APPEAL'' in capital letters at the
top of the letter and on the face of the envelope. An appeal not
addressed and marked as provided herein will be so marked by USPTO
personnel when it is so identified and will be forwarded immediately to
the General Counsel. An appeal which is not properly addressed by the
individual will not be deemed to have been ``received'' for purposes of
measuring the time periods in this section until actual receipt by the
General Counsel. In each instance when an appeal so forwarded is
received, the General Counsel shall notify the individual that his or
her appeal was improperly addressed and the date when the appeal was
received at the proper address.
(c) The individual's appeal shall include a statement of the reasons
why the initial denial is believed to be in error and USPTO's control
number assigned to the request. The appeal shall be signed by the
individual. The record which the individual requests be corrected or
amended and all correspondence between the Privacy Officer and the
requester will be furnished by the Privacy Officer who issued the
initial denial. Although the foregoing normally will comprise the entire
record on appeal, the General Counsel may seek additional information
necessary to assure that the final determination is fair and equitable
and, in such instances, disclose the additional information to the
individual to the greatest extent possible, and provide an opportunity
for comment thereon.
(d) No personal appearance or hearing on appeal will be allowed.
(e) The General Counsel shall act upon the appeal and issue a final
determination in writing not later than thirty working days (i.e.,
excluding Saturdays, Sundays and legal public holidays) from the date on
which the appeal is received, except that the General Counsel may extend
the thirty days upon deciding that a fair and equitable review cannot be
made within that period, but only if the individual is advised in
writing of the reason for the extension and the estimated date by which
a final determination will issue. The estimated date should not be later
than the sixtieth working day after receipt of the appeal unless unusual
circumstances, as described in Sec. 102.25(a), are met.
(f) If the appeal is determined in favor of the individual, the final
determination shall include the specific corrections or amendments to be
made and a copy thereof shall be transmitted promptly both to the
individual and to the Privacy Officer who issued the initial denial.
Upon receipt of such final determination, the Privacy Officer promptly
shall take the actions set forth in Sec. 102.28(a)(2)(i) and (b).
(g) If the appeal is denied, the final determination shall be
transmitted promptly to the individual and state the reasons for the
denial. The notice of final determination also shall inform the
individual of the following:
(1) The right of the individual under the Act to file a concise
statement of reasons for disagreeing with the final determination. The
statement ordinarily should not exceed one page and USPTO reserves the
right to reject a statement of excessive length. Such a statement shall
be filed with the General Counsel. It should provide the USPTO control
number assigned to the request, indicate the date of the final
determination and be signed by the individual. The General Counsel shall
acknowledge receipt of such statement and inform the individual of the
date on which it was received.
[[Page 52929]]
(2) The facts that any such disagreement statement filed by the
individual will be noted in the disputed record, that the purposes and
uses to which the statement will be put are those applicable to the
record in which it is noted, and that a copy of the statement will be
provided to persons and agencies to which the record is disclosed
subsequent to the date of receipt of such statement;
(3) The fact that USPTO will append to any such disagreement statement
filed by the individual, a copy of the final determination or summary
thereof which also will be provided to persons and agencies to which the
disagreement statement is disclosed; and,
(4) The right of the individual to judicial review of the final
determination under 5 U.S.C. 552a(g)(1)(A), as limited by 5 U.S.C.
552a(g)(5).
(h) In making the final determination, the General Counsel shall
employ the criteria set forth in Sec. 102.28(c) and shall deny an appeal
only on the grounds set forth in Sec. 102.28(e).
(i) If an appeal is partially granted and partially denied, the
General Counsel shall follow the appropriate procedures of this section
as to the records within the grant and the records within the denial.
(j) Although a copy of the final determination or a summary thereof
will be treated as part of the individual's record for purposes of
disclosure in instances where the individual has filed a disagreement
statement, it will not be subject to correction or amendment by the
individual.
(k) The provisions of paragraphs (g)(1) through (g)(3) of this section
satisfy the requirements of 5 U.S.C. 552a(e)(3).
Sec. 102.30 Disclosure of record to person other than the individual
to whom it pertains.
(a) USPTO may disclose a record pertaining to an individual to a
person other than the individual to whom it pertains only in the
following instances:
(1) Upon written request by the individual, including authorization
under Sec. 102.25(f);
(2) With the prior written consent of the individual;
(3) To a parent or legal guardian under 5 U.S.C. 552a(h);
(4) When required by the Act and not covered explicitly by the
provisions of 5 U.S.C. 552a(b); and
(5) When permitted under 5 U.S.C. 552a(b)(1) through (12), which read
as follows:\1\
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\1\ 5 U.S.C. 552a(b)(4) has no application within USPTO.
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(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 ;
(iii) For a routine use as defined in 5 U.S.C. 552a(a)(7) and
described under 5 U.S.C. 552a(e)(4)(D);
(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;
(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 and Records Administration 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
Archivist of the United States or the designee of the Archivist 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, and 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;
(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;
(xi) Pursuant to the order of a court of competent jurisdiction; or
(xii) To a consumer reporting agency in accordance with section
3711(e) of Title 31.
(b) The situations referred to in paragraph (a)(4) of this section
include the following:
(1) 5 U.S.C. 552a(c)(4) requires dissemination of a corrected or
amended record or notation of a disagreement statement by USPTO in
certain circumstances;
(2) 5 U.S.C. 552a(d) requires disclosure of records to the individual
to whom they pertain, upon request; and
(3) 5 U.S.C. 552a(g) authorizes civil action by an individual and
requires disclosure by USPTO to the court.
(c) The Privacy Officer shall make an accounting of each disclosure by
him of any record contained in a system of records in accordance with 5
U.S.C. 552a(c) (1) and (2). Except for a disclosure made under 5 U.S.C.
552a(b)(7), the Privacy Officer shall make such accounting available to
any individual, insofar as it pertains to that individual, on request
submitted in accordance with Sec. 102.24. The Privacy Officer shall make
reasonable efforts to notify any individual when any record in a system
of records is disclosed to any person under compulsory legal process,
promptly upon being informed that such process has become a matter of
public record.
Sec. 102.31 Fees.
The only fees to be charged to or collected from an individual under
the provisions of this part are for duplication of records at the
request of the individual. The Privacy Officer shall charge fees for
duplication of records under the Act in the same way in which they
charge duplication fees under Sec. 102.11, except as provided in this
section.
(a) No fees shall be charged or collected for the following: Search
for and retrieval of the records; review of the records; copying at the
initiative of USPTO without a request from the individual;
transportation of records and personnel; and first-class postage.
(b) It is the policy of USPTO to provide an individual with one copy
of each record corrected or amended pursuant to his or her request
without charge as evidence of the correction or amendment.
(c) As required by the United States Office of Personnel Management in
its published regulations implementing the Act, USPTO will charge no fee
for a single copy of a personnel record covered by that agency's
Government-wide published notice of systems of records.
Sec. 102.32 Penalties.
(a) The Act provides, in pertinent part:
Any person who knowingly and willfully requests or obtains any record
concerning an individual from an agency under false pretenses shall be
guilty of a misdemeanor and fined not more than $5,000. (5 U.S.C.
552a(i)(3)).
[[Page 52930]]
(b) A person who falsely or fraudulently attempts to obtain records
under the Act also may be subject to prosecution under such other
criminal statutes as 18 U.S.C. 494, 495 and 1001.
Sec. 102.33 General exemptions.
(a) Individuals may not have access to records maintained by USPTO but
which were provided by another agency which has determined by regulation
that such information is subject to general exemption under 5 U.S.C.
552a(j). If such exempt records are within a request for access, USPTO
will advise the individual of their existence and of the name and
address of the source agency. For any further information concerning the
record and the exemption, the individual must contact that source
agency.
(b) The general exemption determined to be necessary and proper with
respect to systems of records maintained by USPTO, including the parts
of each system to be exempted, the provisions of the Act from which they
are exempted, and the justification for the exemption, is as follows:
Investigative Records--Contract and Grant Frauds and Employee Criminal
Misconduct--COMMERCE/DEPT.--12. Pursuant to 5 U.S.C. 552a(j)(2), these
records are hereby determined to be exempt from all provisions of the
Act, except 5 U.S.C. 552a (b), (c) (1) and (2), (e)(4) (A) through (F),
(e) (6), (7), (9), (10), and (11), and (i). These exemptions are
necessary to ensure the proper functions of the law enforcement
activity, to protect confidential sources of information, to fulfill
promises of confidentiality, to prevent interference with law
enforcement proceedings, to avoid the disclosure of investigative
techniques, to avoid the endangering of law enforcement personnel, to
avoid premature disclosure of the knowledge of criminal activity and the
evidentiary bases of possible enforcement actions, and to maintain the
integrity of the law enforcement process.
Sec. 102.34 Specific exemptions.
(a)(1) Some systems of records under the Act which are maintained by
USPTO contain, from time-to-time, material subject to the exemption
appearing at 5 U.S.C. 552a(k)(1), relating to national defense and
foreign policy materials. The systems of records published in the
Federal Register by USPTO which are within this exemption are: COMMERCE/
PAT-TM-6, COMMERCE/PAT-TM-7, COMMERCE/PAT-TM-8, COMMERCE/PAT-TM-9.
(2) USPTO hereby asserts a claim to exemption of such materials
wherever they might appear in such systems of records, or any systems of
records, at present or in the future. The materials would be exempt from
5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) to
protect materials required by Executive order to be kept secret in the
interest of the national defense and foreign policy.
(b) The specific exemptions determined to be necessary and proper with
respect to systems of records maintained by USPTO, including the parts
of each system to be exempted, the provisions of the Act from which they
are exempted, and the justification for the exemption, are as follows:
(1)(i) Exempt under 5 U.S.C. 552a(k)(2). The systems of records exempt
(some only conditionally), the sections of the Act from which exempted,
and the reasons therefor are as follows:
(A) Investigative Records--Contract and Grant Frauds and Employee
Criminal Misconduct--COMMERCE/DEPT-12, but only on condition that the
general exemption claimed in Sec. 102.33(b)(3) is held to be invalid;
(B) Investigative Records--Persons Within the Investigative
Jurisdiction of USPTO--COMMERCE/DEPT-13;
(C) Litigation, Claims and Administrative Proceeding Records--
COMMERCE/DEPT-14;
(D) Attorneys and Agents Registered to Practice Before the Office--
COMMERCE/PAT-TM-1;
(E) Complaints, Investigations and Disciplinary Proceedings Relating
to Registered Patent Attorneys and Agents--COMMERCE/PAT-TM-2; and
(F) Non-Registered Persons Rendering Assistance to Patent Applicants--
COMMERCE/PAT-TM-5.
(ii) The foregoing are exempted from 5 U.S.C. 552a (c)(3), (d),
(e)(1), (e)(4)(G), (H), and (I), and (f). The reasons for asserting the
exemption are to prevent subjects of investigation from frustrating the
investigatory process, to insure the proper functioning and integrity of
law enforcement activities, to prevent disclosure of investigative
techniques, to maintain the ability to obtain necessary information, to
fulfill commitments made to sources to protect their identities and the
confidentiality of information and to avoid endangering these sources
and law enforcement personnel. Special note is taken of the fact that
the proviso clause in this exemption imports due process and procedural
protections for the individual. The existence and general character of
the information exempted will be made known to the individual to whom it
pertains.
(2)(i) Exempt under 5 U.S.C. 552a(k)(5). The systems of records exempt
(some only conditionally), the sections of the act from which exempted,
and the reasons therefor are as follows:
(A) Investigative Records--Contract and Grant Frauds and Employee
Criminal Misconduct--COMMERCE/DEPT-12, but only on condition that the
general exemption claimed in Sec. 102.33(b)(3) is held to be invalid;
(B) Investigative Records--Persons Within the Investigative
Jurisdiction of USPTO--COMMERCE/DEPT-13; and
(C) Litigation, Claims, and Administrative Proceeding Records--
COMMERCE/DEPT-14.
(ii) The foregoing are exempted from 5 U.S.C. 552a (c)(3), (d),
(e)(1), (e)(4) (G), (H), and (I), and (f). The reasons for asserting the
exemption are to maintain the ability to obtain candid and necessary
information, to fulfill commitments made to sources to protect the
confidentiality of information, to avoid endangering these sources and,
ultimately, to facilitate proper selection or continuance of the best
applicants or persons for a given position or contract. Special note is
made of the limitation on the extent to which this exemption may be
asserted. The existence and general character of the information
exempted will be made known to the individual to whom it pertains.
(c) At the present time, USPTO claims no exemption under 5 U.S.C.
552a(k) (3), (4), (6) and (7).
Appendix to Part 102--Systems of Records Noticed by other Federal
Agencies 1 and Applicable to USPTO Records and Applicability
of this Part thereto
------------------------------------------------------------------------
Category of records Other federal agency
------------------------------------------------------------------------
Federal Personnel Records.............. Office of Personnel
Management.2
Federal Employee Compensation Act Department of Labor.3
Program.
Equal Employment Opportunity Appeal Equal Employment Opportunity
Complaints. Commission.4
[[Page 52931]]
Formal Complaints/Appeals of Adverse Merit Systems Protection
Personnel Actions. Board.5
------------------------------------------------------------------------
\1\ Other than systems of records noticed by the Department of Commerce.
Where the system of records applies only to USPTO, these regulations
apply. Where the system of records applies generally to components of
the Department of Commerce, the regulations of that department attach
at the point of any denial for access or for correction or amendment.
\2\ The provisions of this part do not apply to these records covered by
notices of systems of records published by the Office of Personnel
Management for all agencies. The regulations of OPM alone apply.
\3\ The provisions of this part apply only initially to these records
covered by notices of systems of records published by the U.S.
Department of Labor for all agencies. The regulations of that
department attach at the point of any denial for access or for
correction or amendment.
\4\ The provisions of this part do not apply to these records covered by
notices of systems of records published by the Equal Employment
Opportunity Commission for all agencies. The regulations of the
Commission alone apply.
\5\ The provisions of this part do not apply to these records covered by
notices of systems of records published by the Merit Systems
Protection Board for all agencies. The regulations of the Board alone
apply.