[Privacy Act Issuances (1997)]
[From the U.S. Government Publishing Office, www.gpo.gov]
CONSUMER PRODUCT SAFETY COMMISSION
Table of Contents
CPSC-1 Injury Investigation Files
CPSC-2 Advisory Committee Records
CPSC-3 Claims
CPSC-4 Hotline Database
CPSC-5 Commissioners' Biographies
CPSC-6 Office of the Inspector General Investigative Files
CPSC-7 Enforcement and Investigation Files
CPSC-8 Integrated Field System
CPSC-9 General Counsel Tracking System
CPSC-10 Procurement Files
CPSC-11 Physical Security Records
CPSC-12 Employee Outside Activity Notices
CPSC-13 Personnel Data System
CPSC-14 Corrective Actions and Sample Tracking System
CPSC-15 Employee Relations Files
CPSC-16 Equal Employment Opportunity (EEO)
CPSC-17 Commissioned Officers Personal Data File
CPSC-18 Procurement Integrity Records
CPSC-19 Office of Hazard Identification and Reduction Tracking
System
CPSC-20 Personnel Security File
CPSC-21 Contractor Personnel Security File
CPSC-22 Management Information System
CPSC-23 [Reserved]
CPSC-24 Respirator Program Medical Reports
Appendix I Regional Office Addresses
Appendix II Pertinent Record Systems of Other Agencies
CPSC-1
System name:
CPSC-1, Injury Investigation Files.
System location:
For computer records: Consumer Product Safety Commission,
Directorate for Epidemiology and Health Sciences, 4330 East West
Highway, Bethesda, MD 20814.
For paper records: Consumer Product Safety Commission, National
Injury Information Clearinghouse, 4330 East West Highway, Bethesda,
MD 20814.
Categories of individuals covered by the system:
Victims of consumer product-related incidents or injuries on
which specific epidemiologic data is needed in order to analyze and
correct product hazards.
Categories of records in the system:
These records contain demographic data on the person involved in
an incident or injury, location of the incident, data on the
incident, product and manufacturer identification, and a narrative
description of the incident. They may also contain photographs and
other documents relevant to the incident.
Authority for maintenance of the system:
15 U.S.C. 2054.
Purpose(s):
Records are used to support CPSC staff work in analyzing the
incidence, severity, and causes of consumer product related injuries.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Records are used as a compilation of statistical and other
information on product-related injuries to support CPSC staff work in
analyzing the incidence and severity of product related injuries and
to respond to Congressional inquiries and requests for information
from private individuals and private and public organizations.
2. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
3. Records may be provided to another Federal, State or local
agency or authority engaged in activities relating to health, safety
or consumer protection in accordance with section 29(e) of the
Consumer Product Safety Act.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained as coded data and computer images on
computer storage media. The original hard copy of investigation
reports is maintained by the National Injury Information
Clearinghouse, Office of Information Services, in file folders and as
computer images. Hard copies are retired to the Washington National
Records Center, Suitland, Maryland.
Retrievability:
Records are retrievable by a coded number which indicates the
date of assignment of the investigation, the Commission unit
requesting the report, and a sequential number assigned to the
investigation. Records are also retrievable by product category.
Safeguards:
Confidentiality of the identity of the accident victim and
attending physician are guaranteed by the Consumer Product Safety
Act, section 25(c) (15 U.S.C. 2074(c)) and, therefore, names do not
appear in the coded computer record and can not be used for
retrieval. Hard copies and computer images of investigation reports
are redacted as necessary to remove identifying information before
they are disclosed outside the Commission.
Retention and disposal:
Hard copy records are maintained for a period of up to 10 years
on-site, subject to change in Commission policy. They are then sent
to the Washington National Records Center in Suitland, Maryland and
destroyed after 30 years. Computer records are maintained
indefinitely.
System manager(s) and address:
Director, National Injury Information Clearinghouse, Office of
Information Services, Consumer Product Safety Commission, Washington,
DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information is provided by victims and their families, witnesses,
public safety and law enforcement agencies, and others having
knowledge of circumstances of incidents or injuries.
CPSC-2
System name:
CPSC-2, Advisory Committee Records.
System location:
Consumer Product Safety Commission, Directorate for Epidemiology
and Health Sciences, 4330 East West Highway, Bethesda, MD 20814.
Categories of individuals covered by the system:
Individuals seeking or nominated for or selected for membership
on CPSC Advisory Committees.
Categories of records in the system:
Records of applicants contain an individual's name, address,
personal history and qualifications, any correspondence with the
individual and any Commission memoranda relating to the selection of
the individual. Records of members additionally contain information
about the member's financial compensation and Commission documents
relating to the individual's service as a member.
Authority for maintenance of the system:
15 U.S.C. 2077 and 15 U.S.C. 1275.
Purpose(s):
These records are used to select candidates for filling vacancies
on advisory committees and to administer the operation of the
committees.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5
U.S.C. 552a(b)(12), disclosures may be made to a consumer reporting
agency as defined in the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in hard copy.
Retrievability:
Records are indexed alphabetically by name of committee and then
by name of applicant or member.
Safeguards:
Records are maintained in file cabinets in a secured area.
Retention and disposal:
Applicants' and nominees' records are retained until new
applications are solicited or committee is terminated and then
destroyed. Members' records are retained for 2 years after
termination of membership and then destroyed.
System manager(s) and address:
Committee Management Officer, Directorate for Epidemiology and
Health Sciences, Consumer Product Safety Commission, Washington, DC
20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information is provided by applicants, nominees for, and members
of Advisory Committees and by Commission staff.
CPSC-3
System name:
CPSC-3, Claims.
System location:
Consumer Product Safety Commission, Office of the General
Counsel, 4430 East West Highway, Bethesda, MD 20814.
Categories of individuals covered by the system:
CPCS employees sustaining personal property damage or loss
incident to service; CPSC employees involved in situations where
personal injury or property damage to others results from wrongful or
negligent act or omission of employee acting within scope of
employment; claimants sustaining injury or property damage due to
activities of CPSC or its employees.
Categories of records in the system:
These records contain claims for money damages, accident and
investigative reports, and correspondence and other documents
concerning claims or potential claims.
Authority for maintenance of the system:
31 U.S.C. 3721; 28 U.S.C. 1346(b), 2672.
Purpose(s):
(a) for processing claims and litigation under the Federal Tort
Claims Act or the Military Personnel and Civilian Employee's Claims
Act; (b) For preparation of reports.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
2. Information from a record in this system of records may be
disclosed to a person or entity having a legal interest in the claim.
3. Information may be disclosed to Federal, state, or local law
authorities, court authorities, administrative authorities, for use
in connection with civil, criminal, administrative, and regulatory
proceedings and actions relating to the claim.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in hard copy.
Retrievability:
Records are indexed alphabetically by name of individual
claimant.
Safeguards:
Records are maintained in a file cabinet in a secured area.
Access to such area is limited to those persons whose official duties
require such access.
Retention and disposal:
Records are retained up to six years after case is closed.
Disposal is by normal procedures.
System manager(s) and address:
General Counsel, Consumer Product Safety Commission, Washington,
DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information is provided by (1) the individual to whom the record
pertains (2) CPSC and/or employees (3) affidavits, statements, or
testimony of witnesses (4) official documents relating to the claim
(5) correspondence from organizations or persons involved.
CPSC-4
System name:
CPSC-4, Hotline Database.
System location:
Consumer Product Safety Commission, Office of Information
Systems, 4330 East West Highway, Bethesda, MD 20814.
Categories of individuals covered by the system:
Persons who contact the Consumer Product Safety Commission to
report consumer product associated injuries, illnesses, deaths,
incidents, or perceived hazards associated with consumer products, or
request information about such matters; and other persons identified
by the reporting persons as victims of consumer product associated
incidents.
Categories of records in the system:
Information about accidents, injuries, illnesses, death, and
suspected safety hazards associated with consumer products. The
records contain free form narratives, and a variety of fields
dedicated to specific data about different types of products or
incidents. Records contain personal information such as the name,
address, and telephone number of the person submitting the
information and in some cases of the victim, if different.
Authority for maintenance of the system:
Section 5 of the Consumer Product Safety Act, 15 U.S.C. 2054.
Purpose(s):
To collect data on hazards, defects, injuries, illnesses, and
deaths associated with consumer products; to respond to inquiries
from the public; to record personal information to permit further
interaction with persons submitting data or persons named by those
who submit data; to further public safety by helping determine the
cause of injuries and deaths associated with consumer products.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Records are disclosed to contractor personnel who operate the
Consumer Product Safety Commission's Hotline and who enter data into
the database.
2. Copies of records are mailed to callers for their verification
of the information provided.
3. Copies of records may be sent to sources of consumer products
identified in the records (e.g., manufacturers, distributors, or
retailers) and may be distributed to others, but any personal
identifying information is deleted before such disclosure unless
permission to disclose such personal identifying information has been
explicitly granted in writing by the person in question.
4. Copies of records may be sent to other governmental agencies
having apparent jurisdiction over the products or hazards disclosed
in a record.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained by a computer database management system
on a local and wide area network. Paper copies of individual computer
records are made by the Hotline staff and are stored by month and by
name of the person who contacted the Hotline. Other paper copies are
made available to Commission staff but are not stored by name or
other individual identifier.
Retrievability:
Records are retrievable by a variety of fields, including the
name of the person who submitted the information.
Safeguards:
Access to the computer records requires the use of two passwords:
One to access the agency's computer network and another to access the
database. Access is limited to those with a particular need to know
the information--selected Commission employees and the contractor
employees who operate the Hotline.
Retention and disposal:
Computer records are maintained indefinitely. Paper records are
kept for 10 years and then transferred to a Federal Records Center.
System manager(s) and address:
Hotline Project Officer, Communication Services Division, Office
of Information Services, Consumer Product Safety Commission,
Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in these records is initially supplied by persons who
contact the Commission. The Commission may solicit additional or
verifying information from those persons or from other persons who
were identified as victims.
CPSC-5
System name:
CPSC-5, Commissioners' Biographies.
System location:
Consumer Product Safety Commission, Office of Information and
Public Affairs, 4330 East West Highway, Bethesda, MD 20814.
Categories of individuals covered by the system:
CPSC Commissioners who have submitted biographical information.
Categories of records in the system:
This record contains a brief statement of information relating to
educational and professional background and present position and
responsibilities within the Commission.
Authority for maintenance of the system:
15 U.S.C. 2051-83.
Purpose(s):
This information is furnished to the public media, including the
Internet, in connection with Commissioners' activities and
Commissioners' participation in conferences, meetings and other
functions.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosure may be made to anyone who makes a request.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in hard copy.
Retrievability:
Records are indexed alphabetically by name of the Commissioner.
Safeguards:
Records are maintained in secured areas.
Retention and disposal:
Records are maintained until the Commissioner leaves the agency.
Disposal is by normal methods.
System manager(s) and address:
Director, Office of Information and Public Affairs, Consumer
Product Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in this record is furnished by the employee to whom
it pertains.
CPSC-6
System name:
CPSC-6, Office of the Inspector General Investigative Files.
System location:
Office of the Inspector General
Consumer Product Safety Commission, 4330 East West Highway,
Bethesda, MD 20814.
Categories of individuals covered by the system:
Individuals who are or have been the subject of an Office of he
Inspector General investigation relating to the programs and
operations of the Commission including, but not limited to, current
and former employees, contractor or subcontractor personnel, as well
as other individuals whose actions affect the Commission, its
programs, or its operations.
Categories of records in the system:
All records relevant to an Inspector General investigation
including correspondence; internal staff memoranda; copies of
subpoenas issued during the investigation; affidavits, statements
from witnesses, transcripts of any testimony taken in the
investigation and accompanying exhibits; documents and records
obtained during the investigation; interview notes and working papers
of the Office of the Inspector General's staff; opening reports,
progress reports, and final reports containing findings and
recommendations of appropriate action; and other investigatory
information or data relating to alleged or suspected criminal, civil,
or administrative violations or similar wrongdoing by subject
individuals.
Authority for maintenance of the system:
Inspector General Act of 1978, as amended, 5 U.S.C. App.
Purpose(s):
This system is maintained for the purposes of conducting and
documenting investigations conducted by the Office of the Inspector
General, or other investigative agencies assisting the Office of the
Inspector General, regarding CPSC personnel, programs, and
operations; documenting the outcome of Inspector General reviews of
allegations and complaints received by the Office of the Inspector
General concerning CPSC personnel, programs, and operations; aiding
in the prosecution or imposition of criminal, civil, or
administrative sanctions against subjects of Inspector General
investigations; reporting the results of investigations to the
Chairman of the Commission and CPSC managers for their use in
operating and evaluating their programs; and compiling information
necessary to fulfill any reporting requirements by the Inspector
General Act.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in the system may be disclosed:
1. To an appropriate governmental agency, whether federal, state,
or local, where there is an indication of a violation or a potential
violation of law, regulation, or order, whether civil or criminal in
nature, which that agency is charged with investigating or enforcing.
2. To federal, state, or local governmental authorities in order
to obtain information or records relevant to an Inspector General
investigation.
3. To federal, state or local governmental authorities
maintaining civil, criminal, or other relevant information, such as
current licenses, to obtain information relevant to a Commission
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the award of a contract, or the
issuance of a grant or other benefit.
4. To federal, state, or local governmental authorities in
response to their request in connection with the hiring or retention
of an employee, disciplinary or other administrative action
concerning an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the award of a
contract, or the issuance of a license, grant, or other benefit, to
the extent that the information is relevant and necessary to the
requesting agency's decision in the matter.
5. To non-governmental parties where those parties may have
information the Office of the Inspector General seeks to obtain in
connection with an investigation.
6. To independent auditors or other private firms with which the
Office of the Inspector General has contracted to carry out an
independent audit or investigation, or to collate, aggregate, or
otherwise refine data collected in the system or records. These
contractors will be required to maintain Privacy Act safeguards with
respect to such records.
7. To the Office of the General Counsel of the Commission, the
Department of Justice, or other law enforcement authorities, for
disclosure by such parties to extent relevant and necessary, when the
defendant in litigation is:
a. The Commission, any component of the Commission, or any
employee of the Commission acting in his or her offical capacity;
b. The United States where the litigation, if successful, is
likely to affect the operations of the Commission; or
c. Any Commission employee sued in his or her individual capacity
where the Department of Justice and/or the Office of the General
Counsel of the Commission agree to represent such employee.
8. To a court or adjudicative body where the Commission is a
party to the litigation or has an interest in such litigation, the
records are relevant and necessary to the litigation, and disclosure
of the records is compatible with the purpose for which the records
were collected.
9. To a Congressional office from the record of an individual in
response to an inquiry from the Congressional office made at the
request of that individual, but only to the extent the record would
be legally accessible to that individual.
10. To other Commission employees in the course of employee
disciplinary proceedings.
11. To the Department of the Treasury or debt collection agencies
for the purpose of collecting delinquent debts owed to the
Commission, as authorized by the Debt Collection Act 31 U.S.C. 3718,
and subject to applicable Privacy Act safeguards.
12. To the Office of Personnel Management, the Office of
Government Ethics, the Merit Systems Protection Board, the Office of
the Special Counsel, the Equal Employment Opportunity Commission, or
the Federal Labor Relations Authority or its General Counsel, those
records or portions thereof which are relevant and necessary to
carrying out their authorized functions.
13. To any direct recipient of federal funds, such as a
contractor, where information in a record reflects serious
inadequacies by the recipient's personnel and disclosure of the
record is for purpose of permitting the recipient to take corrective
action beneficial to the Government.
14. To a grand jury pursuant either to a federal or state grand
jury subpoena, or to a prosecution request that such record be
released for the purpose of its introduction to a grand jury, where
the subpoena or request has been specifically approved by a court.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5
U.S.C. 552a(b)(12), disclosure may be made to a consumer reporting
agency as defined in the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in hard copy or on computer diskettes.
Retrievability:
The records are retrieved by the name of the subject of the
investigation or by a unique control number assigned to each
investigation.
Safeguards:
These records are available only to those persons whose official
duties require such access. Paper records and computer diskettes are
kept in limited access areas during duty hours and in safe-type file
cabinets in locked offices at all other times. Highly sensitive
records are created on a personal computer, stored on paper or
diskettes, and then deleted from computer storage. Less sensitive
records may be created and stored in password-protected computer
files.
Retention and disposal:
The Investigative Files are kept indefinitely.
System manager(s) and address:
Inspector General, Office of the Inspector General, Consumer
Product Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information is supplied by: Individuals including, where
practicable, those to whom the information relates; witnesses,
corporations and other entities; records of individuals and of the
Commission; records of other entities such as federal, foreign, state
or local bodies and law enforcement agencies; documents;
correspondence relating to litigation; transcripts of testimony; and
miscellaneous other sources.
Systems exempted from certain provisions of the act:
All portions of this system of records which fall within 5 U.S.C.
552a(k)(2) (investigatory materials compiled for law enforcement
purposes) and 5 U.S.C. 522a(k)(5) (investigatory materials solely
compiled for suitability determinations) are exempt from 5 U.S.C.
552a(c)(3), (mandatory accounting of disclosures); 5 U.S.C. 552a(d),
(access by individuals to records that pertain to them); 5 U.S.C.
552a(e)(1), (requirement to maintain only such information as is
relevant and necessary to accomplish an authorized agency purpose); 5
U.S.C. 552a(e)(4)(G), (mandatory procedures to notify individuals of
the existence of records pertaining to them); 5 U.S.C. 552a(e)(4)(H),
(mandatory procedures to notify individuals how they can obtain
access to and contest records pertaining to them); 5 U.S.C.
552a(e)(4)(I), (mandatory disclosure of record source categories);
and the Commission's regulations in 16 CFR part 1014 which implement
these statutory provisions.
CPSC-7
System name:
CPSC-7, Enforcement and Investigation Files.
System location:
Office of Compliance, and Office of the General Counsel, Consumer
Product Safety Commission, 4330 East West Highway, Bethesda, MD
20814.
Categories of individuals covered by the system:
Individuals who are the authors or recipients of, or mentioned
in, documents received by, or generated by, the Consumer Product
Safety Commission in preparation for, or the conduct of, potential or
actual administrative or judicial enforcement actions, and
individuals mentioned in such documents.
Categories of records in the system:
Memoranda, correspondence, test reports, injury reports, notes,
and any other documents relating to the preparation for, or conduct
of, potential or actual administrative or judicial enforcement
actions. The materials may contain personal information as well as
purely legal and technical information.
Authority for maintenance of the system:
15 U.S.C. 1194, 1195, 1196, 1264, 1265, 2069, 2070.
Purpose(s):
These files are used by Commission attorneys, compliance officers
and supporting technical staff investigating product hazards and
enforcing the Commission's statutory authority.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. These records may be cited and quoted in the course of
enforcement negotiations, and in pleadings filed with an adjudicative
body and served on opposing counsel.
2. They may be disclosed to the Department of Justice in
connection with the conduct of litigation.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in file folders or computer files or both.
Retrievability:
Paper records may be filed by and retrievable by name of the
document's author or addressee or by other indicia. Computer records
are indexed by, and retrievable by the names and other indicia of
authors and addresses, and may permit retrieval by names elsewhere in
documents.
Safeguards:
Paper records are kept in secure areas. Computer records are
protected by passwords available only to staff with a need to know.
Retention and disposal:
Records are kept indefinitely.
System manager(s) and address:
General Counsel; Director, Office of Compliance Consumer Product
Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Consumer Product
Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
These records come from organizations and individuals under
investigation; from Commission attorneys, compliance officers,
investigators, and supporting technical staff; and from other sources
of information relevant to an investigation or adjudication.
Systems exempted from certain provisions of the act:
All portions of this system of records which fall within 5 U.S.C.
552a(k)(2) (investigatory materials compiled for law enforcement
purposes) are exempt from 5 U.S.C. 552a(c)(3), (mandatory accounting
of disclosures); 5 U.S.C. 552a(d), (access by individuals to records
that pertain to them); 5 U.S.C. 552a(e)(1), (requirement to maintain
only such information as is relevant and necessary to accomplish an
authorized agency purpose); 5 U.S.C. 552a(e)(4)(G), (mandatory
procedures to notify individuals of the existence of records
pertaining to them); 5 U.S.C. 552a(e)(4)(H), (mandatory procedures to
notify individuals how they can obtain access to and contest records
pertaining to them); and 5 U.S.C. 552a(e)(4)(I), (mandatory
disclosure of record source categories); as well as the Commission's
regulations in 16 CFR part 1014 which implement these statutory
provisions.
CPSC-8
System name:
CPSC-8, Integrated Field System.
System location:
Directorate for Field Operations, Consumer Product Safety
Commission, 4330 East West Highway, Bethesda, MD 20814.
Categories of individuals covered by the system:
Employees and persons signing affidavits related to items
acquired for testing or evidentiary purposes by the Commission.
Categories of records in the system:
These records contain data regarding inspections, accident
investigations, recall effectiveness checks, and the collection and
custody of product samples for testing or evidentiary purposes. These
records contain task assignments made to field personnel, the names
of the designated personnel and their supervisors, initial target
completion dates, revised target completion dates, and actual
completion dates.
Authority for maintenance of the system:
15 U.S.C. 2053, 2076(f).
Purpose(s):
The Directorate of Field Operations and the Office of Compliance
use this system to manage their operations and document the results
of their investigatory activities for potential enforcement action by
the Commission. The system is accessed and used in the field by
supervisors, investigators, and compliance officers, and at
headquarters by compliance officers, attorneys, and managers. It is
used to monitor staff workloads and may be used to evaluate staff
performance. Statistical compilations from these records may be used
in reports to Congress or the press.
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:
These records are stored in a computer database system. Users of
the system may make printouts of selected portions of the records
from time to time.
Retrievability:
Information may be retrieved by any field, including personal
name or identifiers, by authorized headquarters and field staff.
Safeguards:
Access to the computer records requires two separate passwords,
one for the network on which the database resides and one for the
database itself. Paper records are kept in secure locations.
Retention and disposal:
Records are kept indefinitely.
System manager(s) and address:
Deputy Executive Director, Directorate for Field Operations,
Consumer Product Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information comes primarily from field staff and their
supervisors.
CPSC-9
System name:
CPSC-9, General Counsel Tracking System.
System location:
Office of the General Counsel, Consumer Product Safety
Commission, 4330 East West Highway, Bethesda, MD 20814.
Categories of individuals covered by the system:
Attorneys working in the Office of the General Counsel.
Categories of records in the system:
Descriptions and dates of assignments; comments; starting and
completion dates; due dates; names of attorneys to whom assignments
are given; names of divisions within the Office of the General
Counsel.
Authority for maintenance of the system:
44 U.S.C. 3101; 15 U.S.C. 2051 et seq.; 16 CFR 1000.14.
Purpose(s):
To manage the workflow in the Office of the General Counsel; to
assure timely completion of assignments; to respond to queries from
other units of the Consumer Product Safety Commission; to assist in
evaluating attorney performance.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained by a computer database management system.
Hard copy printouts of selected groups of records are made from time
to time.
Retrievability:
Records are retrievable by any field, including attorney name.
Safeguards:
Access to the records, and to fields within the records, is
controlled by passwords. Records are accessible by all Office of the
General Counsel staff, but not by others. Only supervisory staff may
create records, assign or extend due dates, or enter completion
dates.
Retention and disposal:
Old records are purged from time to time, based on need for
computer storage space.
System manager(s) and address:
General Counsel, Consumer Product Safety Commission, Washington,
DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Office, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in these records is supplied by the attorneys
themselves and by supervisors.
CPSC-10
System name:
CPSC-10, Procurement Files.
System location:
Division of Procurement Services, Consumer Product Safety
Commission, 4330 East West Highway, Bethesda, MD 20814.
Categories of individuals covered by the system:
Individuals who sell goods or services to the Consumer Product
Safety Commission.
Categories of records in the system:
Contracts, proposals, purchase orders, correspondence and other
documents related to specific procurements from individuals. These
records may include social security number, home address, home
telephone number, and sometimes other personal data. Documents
related to procurements from corporations, partnerships, or other
such business entities are not included in this system of records.
Authority for maintenance of the system:
15 U.S.C. 2076.
Purpose(s):
These records support all facets of the Commission's procurement
activities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. To the U.S. Department of Justice when related to litigation
or anticipated litigation.
2. To the appropriate Federal, State, or local investigation or
enforcement agency when there is an indication of a violation or
potential violation of statute or regulation in connection with a
procurement.
3. To a Congressional office in response to an inquiry made at
the request of the individual who is the subject of the record.
4. To the General Accounting Office in the event of a procurement
protest involving the individual.
5. To the General Services Administration Board of Contract
Appeals in the event of a contract claim or dispute involving the
individual.
Disclosure to consumer reporting agencies:
Disclosure pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5 U.S.C.
552a(b)(12), disclosures may be made to a consumer reporting agency
as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or
the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in file folders. Extracts of these records,
including social security number, address, and phone number, are also
kept in a computer database.
Retrievability:
Records are retrieved from the computer database by personal
name, contract number, and other fields. Paper records are retrieved
by contract number, which may be retrieved by first searching for the
personal name in the computer database.
Safeguards:
Paper records are stored in locked cabinets in a secure area.
Computer records are accessible only through the use of two separate
passwords, which are issued to those with a need to know.
Retention and disposal:
Computer records are kept indefinitely. Paper records are
destroyed 6 years and 3 months after final payment.
System manager(s) and address:
Director, Division of Procurement Services, Consumer Product
Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Personal information in these records is normally obtained from
the person to whom the records pertains, but other information may be
obtained from references or past performance reports.
CPSC-11
System name:
CPSC-11, Physical Security Records.
System location:
Directorate for Administration, Consumer Product Safety
Commission, 4330 East West Highway, Bethesda, MD 20814.
Categories of individuals covered by the system:
Employees, contractors, and other who have received uniquely
coded tokens (key cards, key fobs, etc.) to gain access to various
parts of Commission facilities.
Categories of records in the system:
Records which show the time a token has been used; the identity
of the token and, therefore, of the person to whom it is assigned;
the location at which it has been used; and the access privileges of
the person to whom it is assigned.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
These records may be used to investigate breaches of security,
theft, vandalism, other property losses, criminal offenses, and
employee misconduct.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be disclosed:
1. To a law enforcement agency when the Commission becomes aware
of an indication of a violation of civil or criminal law or
regulation to which these records may be pertinent.
2. To the Department of Justice, a court or other tribunal
(including an adjudicative or administrative body), or other third-
party before such tribunal when the Commission determines that the
use of these records by the entity is relevant and necessary to
litigation involving the Commission or a Commission employee or
former employee.
3. To an employee, an employee's attorney or other representative
designated by the employee, when the Commission questions the
employee's conduct based at least in part on information from this
system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stored in a central computer managed by
security services contractor. Printouts are stored in locked file
cabinets.
Retrievability:
These records can be retrieved by time period, location(s), the
unique identifier of a person's token, or a combination of these.
Safeguards:
These records are kept in a secure computer facility and can be
retrieved only by the Commission's Physical Security Manager or
designee upon request of a senior Commission official or a law
enforcement officer. Printouts are stored in locked file cabinets.
Retention and disposal:
These records are kept one year from the date of creation.
System manager(s) and address:
Physical Security Manager, Directorate for Administration,
Consumer Product Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification
Record source categories:
These records are automatically generated when a token is passed
through or across an electronic reading device.
CPSC-12
System name:
CPSC-12, Employee Outside Activity Notices.
System location:
Office of the General Counsel, Consumer Product Safety
Commission, 4330 East West Highway, Bethesda, MD 20814.
Categories of individuals covered by the system:
Commission employees engaged in outside employment activities or
outside activities such as consultative services, practice of law, or
teaching.
Categories of records in the system:
This system of records contains information concerning the
employee's position, nature of outside activity, relation of official
duties to activity, and method of compensation for outside activity.
Authority for maintenance of the system:
Executive Order 12674; 5 CFR part 2635, subpart H; and 5 CFR part
8101.
Purpose(s):
Information in these records is used by the Ethics Counselor in
making a determination as to whether an employee's outside activity
constitutes a real or apparent conflict of interest with the
employee's government duties and responsibilities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained on hard copy.
Retrievability:
Records are filed by employee name.
Safeguards:
Records are maintained in locked file cabinets.
Retention and disposal:
Records are maintained for four years after an employee
terminates employment with agency. Disposal is by normal procedures.
System manager(s) and address:
Designated Agency Ethics Official (General Counsel), Consumer
Product Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
The information in these records is furnished by the employees to
whom it pertains.
CPSC-13
System name:
CPSC-13, Personnel Data System.
System location:
Consumer Product Safety Commission, Director, Office of Human
Resources Management and Director, Division of Financial Services,
4330 East West Highway, Bethesda, MD 20814 and the Headquarters unit
or Regional Center to which an employee is assigned. Regional Center
addresses are listed in Appendix I.
Categories of individuals covered by the system:
Employees and former employees of CPSC.
Categories of records in the system:
Records consist of payroll records, personnel security records,
safety records, EEO records, and personnel records. In addition, the
system contains data necessary to update the Central Personnel Data
File at the Office of Personnel Management, to process personnel
actions, to perform detailed accounting distributions, to
automatically provide for such tasks as mailing checks and bonds, and
to prepare and mail tax returns and reports. Records include, but are
not limited to the following categories of records;
1. Employee identification and status data such as name, social
security number, date of birth, sex, work schedule, type of
appointment, education, veterans' preference, military service.
2. Relevant data such as service computation date for leave, date
probationary period began, and date of performance rating.
3. Position and pay data such as pay plan, occupational series,
grade, step, salary, merit pay, organization location.
4. Employment data such as position description, special
employment program, and target occupational series and grade.
5. Payroll data such as time; attendance; leave; Federal, State,
and local tax; allotments; savings bonds; and other pay allowances
and deductions.
6. Personnel security data such as security clearance level and
basis with dates.
7. Financial data pertaining to travel.
8. Information on debts owed to the government as a result of
overpayment, refund owed, or a debt referred for collection by
another agency.
9. Information, including address and social security number, on
individual vendors to the Commission. This includes employees who
receive reimbursements for expenses incurred.
Authority for maintenance of the system:
5 U.S.C. Part III, is the authority for the overall system.
Specific authority for use of Social Security numbers is contained in
Executive Order 9397, 26 CFR 31.6011(b)(2) and 26 CFR 31.6109-1. The
authority for the personnel security clearance and statistical
records is contained in Executive Order 19450, April 27, 1953, as
amended; Executive Order 12065, June 28, 1978; 31 U.S.C. 686; and 40
U.S.C. 318 (a) through (d).
Purpose(s):
This system supports the day to day operating requirements
associated with personnel oriented program areas from hiring
employees and paying employees and vendors to calculating estimated
retirement annuities. Payroll-related outputs include a comprehensive
payroll; detailed accounting distribution of costs; leave data
summary reports; an employee's statement of earnings, deductions and
leave every payday for each employee; State, city, and local
unemployment compensation reports; Federal, State, and local tax
reports; W-2 wage and tax statements; and reports of withholdings and
contributions. Personnel-related reports include automated personnel
actions as well as organization rosters, retention registers,
retirement calculations, reports of the Federal civilian employment,
employee master record printouts, length of service lists, and
listings of within-grade increases. These records are used to provide
data for agency reports and internal workforce statistics and
information regarding such matters as average grade, veteran and
handicap employment, retention-standing, within-grade due dates,
occupational groupings, geographic employment and others related to
the operation of the personnel office.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Routine uses of records maintained in the system include:
1. Providing data to the Office of Personnel Management's Central
Personnel Data File (CPDF).
2. Providing a copy of an employee's Department of the Treasury
Form W-2, Wage and Tax Statement, to the State, city, or other local
jurisdiction which is authorized to tax the employee's compensation.
The record will be provided in accordance with a withholding
agreement between the State, city, or other local jurisdiction and
the Department of the Treasury pursuant to 5 U.S.C. 5516, 5517, and
5520.
3. Pursuant to a withholding agreement between a city and the
Department of the Treasury (5 U.S.C. 5520), copies of executed tax
withholding certificates shall be furnished the city in response to a
written request from an appropriate city official to the Assistant
Administrator for Plans, Programs, and Financial Management, General
Services Administration (B), Washington, DC 20405.
4. To the extent necessary, records are available to Commission
and outside government agencies to monitor and document grievance
proceedings, EEO complaints, and adverse actions; and to provide
reference to other agencies and persons for employees seeking
employment elsewhere.
5. Some records or data elements in this system of records may
also be in the Office of Personnel Management's government-wide
system OPM/GOVT-1 and are subject to that system's routine uses.
6. 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.
7. The names, social security numbers, home addresses, dates of
birth, quarterly earnings, employer identifying 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 Services for the purpose of locating
individuals to establish paternity, establishing 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 (Welfare
Reform law, Pub. L. 104-193).
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5
U.S.C. 552a(b)(12), disclosures may be made to a consumer reporting
agency as defined in the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored on paper in file folders and on computer
magnetic media.
Retrievability:
Paper records are filed by name. Computer records are retrievable
by any data element or combination of data elements.
Safeguards:
Paper records are stored in lockable metal cabinets or in secured
rooms. Password system protects access to the computerized records.
Information is released only to authorized officials on a need-to-
know basis.
Retention and disposal:
Payroll-related records are sent to storage two years after the
end of the fiscal year to which they pertain.
Personnel-related records are disposed of two years after
termination of employment.
System manager(s) and address:
For payroll-related records: Director, Division of Financial
Services, Consumer Product Safety Commission, Washington, DC 20207.
For personnel-related records: Director, Office of Human
Resources Management, Consumer Product Safety Commission, Washington,
DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
The individuals themselves, other employees, supervisors, other
agencies' management officials, non-Federal sources such as private
firms, and data from the systems of records OPM/GOVT-1 and EEOC/GOVT-
1.
CPSC-14
System name:
CPSC-14, Corrective Actions and Sample Tracking System.
System location:
Recallss and Compliance Division, Office of Compliance, Consumer
Product Safety Commission, 4330 East West Highway, Bethesda, MD
20814.
Categories of individuals covered by the system:
CPSC compliance officers and CPSC attorneys in the Office of
Compliance; Regional Center compliance officers; contact persons for
manufacturers, distributors, or retailers of potentially hazardous
products.
Categories of records in the system:
There are two types of records in the system. The first type of
record includes various kinds of abbreviated descriptive and status
information about samples of consumer products collected as potential
evidence of substantial product hazards. This kind of record
identifies the compliance officer responsible for the sample, the
name of the product, and the manufacturer of the product.
The second type of record includes management information about
investigations opened to deal with potentially hazardous products,
including the name and manufacturer, distributor, or retailer of the
product, the compliance officer and attorney assigned to the case,
the status and priority of the case, various dates which document the
progress of the case, and the corrective action taken.
Authority for maintenance of the system:
15 U.S.C. 2064; 16 CFR parts 1115 and 1118.
Purpose(s):
15 U.S.C. 2064 authorizes the Consumer Product Safety Commission
to order the manufacturer, distributor, or retailer of a consumer
product to take corrective action whenever the Commission determines
that the product creates a substantial risk of injury to the public.
Where appropriate, the Commission may attempt to negotiate a
voluntary agreement with a manufacturer, distributor, or retailer to
take corrective action. The Commission's Recalls and Compliance
Division uses this system of records to manage its substantial
product hazard correction activities, from the receipt of information
about a suspected product hazard, through the collection and
evaluation of evidence, to ultimate resolution. It is also used to
monitor staff workloads and evaluate staff performance.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained by a computer database management system.
Hard copy printouts of all or selected groups of records are made
from time to time.
Retrievability:
Records are retrievable by any field, including compliance
officer and attorney name.
Safeguards:
Access to records and to fields within records, is controlled by
passwords. Records are accessible only by members of the Commission's
Recalls and Compliance Division and Legal Division in the Office of
Compliance and by Regional Center compliance officers. Only members
of the Recalls and Compliance Division and a designated clerical
person may enter data, other than a preliminary determination date
and the file closing date, which can only be entered by supervisory
personnel.
Retention and disposal:
Records are retained indefinitely.
System manager(s) and address:
Director, Recalls and Compliance Division, Office of Compliance,
Consumer Product Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom and Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in these records is supplied by manufacturers,
distributors, or retailers of consumer products, Commission
compliance officers, Commission attorneys, and other Commission
staff.
CPSC-15
System name:
CPSC-15, Employee Relations Files.
System location:
Consumer Product Safety Commission, Office of Human Resources
Management, 4430 East West Highway, Bethesda, MD 20814.
Categories of individuals covered by the system:
Current and former employees of the Consumer Product Safety
Commission.
Categories of records in the system:
This system of records contains information or documents relating
to: (1) Disciplinary actions, complaints, grievances, potential
adverse actions, and proposals, decisions, or determinations made by
management relative to the foregoing; (2) retirement records.
The records consist of the notices to the individuals, records of
resolutions of complaints, materials placed into the record to
support the decision or determination, affidavits or statements.
Authority for maintenance of the system:
5 U.S.C. 1302, 3301, 4308, 5115, 5338, 7151, 7301, 7701, 8347;
Executive Orders 9830, 10987, 11222, 11478.
Purpose(s):
These records and information in the records may be used as a
data source for management information for production of summary
descriptive statistics and analytical studies in support of the
function for which the records are collected and maintained, or for
related personnel management functions or manpower studies; may also
be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. To respond to a request from a Member of Congress regarding
the status of an appeal, complaint or grievance.
2. To provide information to the public on the decision of an
appeal, complaint, or grievance required by the Freedom of
Information Act.
3. To respond to a court subpoena and/or refer to a district
court in connection with a civil suit.
4. To adjudicate or resolve an appeal, complaint, or grievance.
5. To refer, where there is an indication of a violation or
potential violation of law, whether civil, criminal, or regulatory in
nature, to the appropriate agency, whether federal, state, or local,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute,
rule, regulation or order issued pursuant thereto.
6. To request information from a federal, state or local agency
maintaining civil, criminal, or other relevant enforcement or other
pertinent information, such as licenses, if necessary to obtain
relevant information to an agency decision concerning the hiring or
retention of an employee, the issuance of a security clearance, or
the issuance of a license, grant, or other benefit.
7. To provide information or disclose to a Federal agency, in
response to its request, in connection with the hiring or retention
of an employee, or issuance of a license, grant or other benefit by
the requesting agency to the extent that the information is relevant
and necessary to the requesting agency's decision of that matter.
8. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual.
9. 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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are indexed by the names of the individuals on whom
they are maintained.
Safeguards:
Records are located in a combination lock metal file cabinet and
access is limited to those persons whose official duties require such
access.
Retention and disposal:
(1) For documents relating to disciplinary actions, complaints,
grievances, and potential adverse actions, destroy 7 years after case
is closed.
(2) For retirement records, transfer the records to the Office of
Personnel Management after the employee.
Disposal is by normal procedures.
System manager(s) and address:
Chief, Labor and Employee Relations Branch, Office of Human
Resources Management, Consumer Product Safety, Commission,
Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in these records is furnished by: (1) Individual to
whom the record pertains; (2) Agency officials; (3) Affidavits or
statements from employee; (4) Testimonies of witnesses; (5) Official
documents relating to appeal, grievance, or complaints; (6)
Correspondence from specific organizations or persons.
CPSC-16
System name:
CPSC-16, Equal Employment Opportunity (EEO) Counseling Files.
System location:
Consumer Product Safety Commission, Office of Equal Employment
Opportunity and Minority Enterprise, 4430 East West Highway,
Bethesda, MD 20814.
Categories of individuals covered by the system:
Employees who are counseled by EEO Counselors on EEO matters.
Categories of records in the system:
These records contain information regarding counseling of
employees who believe they have been discriminated against on the
basis of race, color, religion, sex, national origin, age, or mental
or physical handicaps.
Authority for maintenance of the system:
29 CFR part 1614.
Purpose(s):
To document instances of discrimination on any of the above bases
and to be part of the record in any formal complaint of
discrimination.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in hard copy.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in locked files in a secured area.
Retention and disposal:
Destroyed after two years.
System manager(s) and address:
Director, Office of Equal Employment Opportunity and Minority
Enterprise, Consumer Product Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in these records is furnished by the employee to whom
it pertains and by any witnesses.
CPSC-17
System name:
CPSC-17, Commissioned Officers Personal Data File.
System location:
A complete record on every commissioned officer is maintained in
the Regional Center to which the commissioned officer is assigned.
Regional Center addresses are listed in Appendix I.
Categories of individuals covered by the system:
State employees commissioned as officers of CPSC.
Categories of records in the system:
The system contains documents related to the commissioning of the
individual and personal data including name, social security number,
date of birth, educational background, employment history, medical
information, home address and phone number.
Authority for maintenance of the system:
Section 29(a)(2), Consumer Product Safety Act (15 U.S.C.
2078(a)(2)); E.O. 10450, sections 8(c), 9(a), 9(b); E.O. 10561.
Purpose(s):
1. Used by agency officials for purposes of review in connection
with commissioning, and determination of qualifications for
recommissioning of an individual.
2. To provide statistical reports to Congress, agencies and the
public on characteristics of the Commissioned officer program.
3. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained, or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information without personal identification of individuals. Under the
Freedom of Information Act or to locate specific individuals for
personnel research or other personal management functions.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. To provide information to a Federal or state agency, in
response to its request, in connection with the hiring or retention
of an employee, or other benefit by the requesting agency.
2. To request information from a Federal, state, or local agency
maintaining civil, criminal, or other relevant enforcement or other
pertinent information if necessary to obtain information relevant to
an agency decision concerning the commissioning or recommissioning of
an individual.
3. Disclosure to a congressional office in response to an inquiry
from the congressional office made at the request of the individual.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Pursuant to 5
U.S.C. 552a(b)(12), disclosures may be made to a consumer reporting
agency as defined in the Fair Credit Reporting Act (15 U.S.C.
1681a(f) or the Federal Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are indexed by state and by name.
Safeguards:
Records are located in lockable metal file cabinets or metal file
cabinets in secured rooms with access limited to those whose official
duties require access.
Retention and disposal:
The records are maintained and disposed of in accordance with
Commission records management policies and procedures.
System manager(s) and address:
Regional Center Directors, Consumer Product Safety Commission,
(Regional Center addresses are listed in Appendix I).
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in these records comes either from the individual to
whom it pertains or from agency officials, CPSC supervisors, or state
officials.
CPSC-18
System name:
CPSC-18, Procurement Integrity Records.
System location:
Division of Procurement Services, Consumer Product Safety
Commission, 4330 East West Highway, Bethesda, MD 20814.
Categories of individuals covered by the system:
Commission employees involved in the procurement of goods or
services.
Categories of records in the system:
Procurement Integrity Certificates. These are standard forms that
are certifications that the employees to whom they pertain understand
and will abide by specified laws and regulations pertaining to
procurement activities. The forms include the name, signature and,
for forms completed before April, 1997, the social security number of
the individuals.
Authority for maintenance of the system:
41 U.S.C. 423(l)(2).
Purpose(s):
These certificates provide continuing evidence of an individual's
qualification to participate in procurement activities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Transfers to Federal, State, local, or foreign agencies when
relevant to civil, criminal, administrative or regulatory
investigations or proceedings, including transfer to the Office of
Government Ethics in connection with its program oversight
responsibilities.
2. To a Federal agency pursuant to a request by the agency in
connection with hiring, retention, or grievance of an employee or
applicant, the issuance of a security clearance, the award or
administration of a contract, the issuance of a license, grant, or
other benefit.
3. To committees of the Congress.
4. Any other use specified by the Office of Personnel Management
(OPM) in the system of records entitled ``OPM/GOVT-1, General
Personnel Records,'' as published in the Federal Register
periodically by OPM.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Stored alphabetically in file folders.
Retrievability:
Retrieved by name of the individual to whom the record pertains.
Safeguards:
Records are kept in a secure area.
Retention and disposal:
Records are kept until no longer needed.
System manager(s) and address:
Director, Division of Procurement Services, Consumer Product
Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information is supplied by the individual to whom a record
pertains.
CPSC-19
System name:
Office of Hazard Identification and Reduction Tracking System.
System location:
Office of Hazard Analysis and Reduction, Consumer Product Safety
Commission, 4330 East West Highway, Bethesda, MD 20814.
Categories of individuals covered by the system:
Project managers and supervisors.
Categories of records in the system:
Records include management information such as the project
manager, supervisor, origin of the project, products and hazards
addressed, types of interventions, schedules and milestones,
Commission decisions, key accomplishments, and resources expended.
Authority for maintenance of the system:
15 U.S.C. 2051 et seq.; 31 U.S.C. 1116.
Purpose(s):
The Consumer Product Safety Act, the Federal Hazardous Substances
Act, the Flammable Fabrics Act, and the Poison Prevention Packaging
Act authorize the Consumer Product Safety Commission to collect death
and injury data, conduct research on the safety of consumer products,
develop voluntary and mandatory safety standards, and ban unusually
hazardous consumer products. The Office of Hazard Identification and
Reduction and other Commission staff use this system to manage such
programs. The system tracks critical project elements from the
identification and characterization of hazards to the development and
implementation of voluntary or regulatory solutions. Reports from the
system are used for evaluating and reporting progress in addressing
hazards of importance to the Commission. The system generates
statistical data for OMB and the Congress. The system is also used to
prepare reports on agency progress as required by the Government
Performance and Results Act of 1993. It may also be used to evaluate
staff performance.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained by a computer database system. Hard copy
printouts of all or selected groups of records are made from time to
time.
Retrievability:
Records are retrievable by any field, including names of project
managers and supervisors.
Safeguards:
Access to records and to fields within records is controlled by
passwords. Records are accessible only by members of the Office of
Hazard Identification and Reduction, including project mangers and
their supervisors.
Retention and disposal:
Records are retained indefinitely.
System manager(s) and address:
Assistant Executive Director, Office of Hazard Identification and
Reduction, Consumer Product Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information in these record is developed within the Commission
from the planning and implementing of project activities. Information
is obtained from project managers, their supervisors, official
Commission records, and other management and accounting systems.
CPSC-20
System name:
CPSC-20, Personnel Security File.
System location:
Office of Human Resources Management, Consumer Product Safety
Commission, 4330 East-West Highway, Bethesda, MD 20814
Categories of individuals covered by the system:
Employees of the Consumer Product Safety Commission, and
applicants for employment with the Consumer Product Safety
Commission.
Categories of records in the system:
Results of name checks, inquiries, and investigations furnished
by the Office of Personnel Management to determine suitability for
employment with, or continued employment by, the Consumer Product
Safety Commission. Information in records may include date and place
of birth, citizenship, marital status, military status, and social
security status. These records contain investigative information
regarding an individual's character, conduct, and behavior in the
community where he or she lives or lived; arrests and convictions for
any violations of law; information from present and former
supervisors, co-workers, associates, educators; credit and National
Agency checks; and other information developed from the above.
Authority for maintenance of the system:
Executive Order 10450; 5 U.S.C. 301.
Purpose(s):
The records in this system of records are used by the Director,
Office of Human Resources and the Personnel Security Officer to
determine whether the employment of an applicant, or retention of a
current employee, is in the interest of the Commission and to
determine whether to grant an employee access to non-public
information or restricted areas.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. To request from a federal, state, or local agency maintaining
civil, criminal, or other relevant enforcement information, data
relevant to a Commission decision concerning the hiring or retention
of an employee, the issuance of a security clearance to an employee,
or other administrative action concerning an employee.
2. To the Office of Personnel Management in their role as an
investigating agency, and in their role as the agency responsible for
conducting a continuing assessment of agency compliance with federal
personnel security and suitability program requirements.
3. To the Office of Personnel Management for use in other
personnel matters.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are indexed alphabetically by name.
Safeguards:
Records are maintained in a safe-type combination lock file
cabinet in the custody of the Personnel Security Officer, Directorate
for Administration. Access is limited to the Personnel Security
Officer and the Director, Office of Human Resources Management.
Retention and disposal:
Records are maintained at the Consumer Product Safety Commission
for at least two years from the date of any final decision placed in
the record.
System manager(s) and address:
Chief, Labor and Employee Relations, Office of Human Resources
Consumer Product Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission Washington, DC 20207.
Record access procedures:
Same as notification. The Freedom of Information/Privacy Act
Officer will forward the request to the agency which conducted the
investigation, which will make the final determination.
Contesting record procedures:
Same as access.
Record source categories:
Office of Personnel Management reports and reports from other
federal agencies.
CPSC-21
System name:
CPSC-21, Contractor Personnel Security File.
System location:
Directorate for Administration, Consumer Product Safety
Commission, 4330 East West Highway, Bethesda, MD 20814.
Categories of individuals covered by the system:
Employees of contractors for the Consumer Product Safety
Commission who perform work on site at the Commission.
Categories of records in the system:
Results of name checks, inquiries, and investigations furnished
by the Office of Personnel Management to determine suitability of
contractor employees for performing on site work at the Consumer
Product Safety Commission. Information in records may include date
and place of birth, citizenship, marital status, military status, and
social security status. These records contain investigative
information regarding an individual's character, conduct, and
behavior in the community where he or she lives or lived; arrests and
convictions for any violations of law; information from present and
former supervisors, co-workers, associates, educators; credit and
National Agency checks; and other information developed from the
above.
Authority for maintenance of the system:
15 U.S.C. 2076(e).
Purpose(s):
The records in this system of records are used by the Associate
Executive Director for Administration and the Personnel Security
Officer to determine whether it is in the interest of the Commission
to permit a contractor's employee to work on the Commission premises,
and whether it is in the interest of the Commission to grant a
contractor's employee access to non-public information or restricted
areas.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are retrieved by contractor name and by contractor
employee name.
Safeguards:
Records are maintained in a safe-type combination lock file
cabinet in the custody of the Associate Executive Director for
Administration. Access is limited to the Personnel Security Officer
and the Associate Executive Director for Administration.
Retention and disposal:
Records are maintained at the Consumer Product Safety Commission
for at least two years from the date of termination of the contract
under which a person is employed.
System manager(s) and address:
Associate Executive Director for Administration, Consumer Product
Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification. The Freedom of Information/Privacy Act
Officer will forward the request to the agency which conducted the
investigation, which will make the final determination.
Contesting record procedures:
Same as access.
Record source categories:
The individual to whom the record pertains, Office of Personnel
Management reports and reports from other federal agencies.
CPSC-22
System name:
CPSC-22, Management Information System.
System location:
Consumer Product Safety Commission, Associate Executive Director
for Administration, 4330 East West Highway, Bethesda, Maryland 20814.
Categories of individuals covered by the system:
All CPSC employees.
Categories of records in the system:
The records contain information on work and leave hours charged
by individual employees against CPSC programs, projects, and
organization categories. The data included are: program codes,
project codes, organization codes, reporting period, employee name
and CPSC employee number, and hours charged.
Authority for maintenance of the system:
15 U.S.C. 2051 et seq.; 44 U.S.C. 3101.
Purpose(s):
The records are used to produce periodic printed reports which
show total employee time and costs allocated to Commission programs
and projects by organizational elements. The cost information
includes information derived from the Commission's accounting system.
Some of the reports will display the time charged by individual
employees by programs and projects within organizational elements.
These reports are distributed to CPSC managers, supervisory
personnel and staff at all levels as a management tool to:
1. Inform project managers of time worked by individuals on
specified program and project activities;
2. Assure accurate reporting and recording of time worked on
agency programs and projects;
3. Track the agency's work in terms of programs and projects;
4. Assist in the preparation of the CPSC Fiscal Year Operating
Plan.
5. Assess achievement of planned goals established in the CPSC
Fiscal Year Operating Plan;
6. Identify resource allocation deficiencies;
7. Provide an historical record of agency program, project, and
organization resource expenditures;
8. Assure effective distribution of staff skills for planned
workloads;
9. Provide reports to top level management on agency
accomplishment.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in hard copy and on computer magnetic
media.
Retrievability:
Records are retrievable by any of the data items on the records.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None.
Safeguards:
Access to individual computer records is restricted to staff of
the Associate Executive Director for Administration through the use
of special computer identification codes. Hard copy individual
records are kept in locked file cabinets with access also restricted
to the staff of the Associate Executive Director for Administration.
Management Information System data will not be used as evidence
against the supplying employee in employee performance evaluations or
adverse actions.
Retention and disposal:
Individual hard copy employee records and computer records, other
than time and cost totals, are retained for not more than one year.
Disposal is accomplished through magnetic disc or magnetic tape
erasure for computer-stored records, and direct disposal into trash
for hard copy individual records.
System manager(s) and address:
Associate Executive Director for Administration, Consumer Product
Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as Notification.
Contesting record procedures:
Same as Notification.
Record source categories:
Information in these records is furnished by the employees to
whom it pertains.
CPSC-23 [Reserved]
CPSC-24
System name:
CPSC-24 Respirator Program Medical Reports.
System location:
Directorate for Administration, Consumer Product Safety
Commission, 4330 East West Highway, Bethesda, MD 20814.
Categories of individuals covered by the system:
CPSC employees whose jobs may require them to wear respirators.
Categories of records in the system:
Medical reports indicating (a) approval or disapproval for an
employee's use of respirators; (b) allowable level of exertion and
any medical conditions relevant to the use of respirators; and (c)
recommended interval until next medical evaluation.
Authority for maintenance of the system:
29 CFR 1910.134(b)(10).
Purpose(s):
These records are used to keep track of employees who are
authorized to work in hazardous environments requiring the use of
respirators and to schedule repeat medical examinations for those
employees.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in hard copy.
Retrievability:
Records are retrieved by name of employee.
Safeguards:
Records are maintained in a combination lock safe-type filing
cabinet.
Retention and disposal:
Records are maintained until termination of employment with CPSC.
System manager(s) and address:
Associate Executive Director for Administration, Consumer Product
Safety Commission, Washington, DC 20207.
Notification procedure:
Freedom of Information/Privacy Act Officer, Office of the
Secretary, Consumer Product Safety Commission, Washington, DC 20207.
Record access procedures:
Same as notification.
Contesting record procedures:
Same as notification.
Record source categories:
Information is provided by the medical facility performing the
medical evaluations. The evaluation is based in part on information
provided by the employee to the medical facility.
Appendix I Regional Office Addresses
Central Regional Center, 230 S. Dearborn Street, Room 2944,
Chicago, Illinois 60604-1601.
Eastern Regional Center, 6 World Trade Center, Room 350, New
York, New York 10048-0206.
Western Regional Center, 600 Harrison Street, Room 245, San
Francisco, California 94107-1370.
Appendix II Pertinent Record Systems of Other Agencies
Other Federal agencies maintain government-wide systems of
records which may contain information about CPSC employees. Some of
these records may be physically located at CPSC. These systems
include:
1. Office of Personnel Management, OPM/GOVT-1, General Personnel
Records (includes official personnel folders).
2. Office of Personnel Management, OPM/GOVT-2, Employee
Performance File System Records.
3. Office of Personnel Management, OPM/GOVT-3, Records of Adverse
Actions, Performance Based Reduction in Grade and Removal Actions,
and Termination of Probationers.
4. Office of Personnel Management, OPM/GOVT-5, Recruiting,
Examining, and Placement Records.
5. Office of Personnel Management, OPM/GOVT-6, Personnel Research
and Test Validation Records.
6. Office of Personnel Management, OPM/GOVT-7, Applicant Race,
Sex, National Origin, and Disability Status Records.
7. Office of Personnel Management, OPM/GOVT-9, File on Position
Classification Appeals, Job Grading Appeals, and Retained Grade or
Pay Appeals.
8. Office of Personnel Management, OPM/GOVT-10, Employee Medical
File System Records.
9. Office of Government Ethics, OGE/GOVT-1, Executive Branch
Public Financial Disclosure Reports and Other Ethics Program Records
(includes financial interest disclosure forms of CPSC employees
subject to the Ethics in Government Act).
10. Office of Government Ethics, OGE/GOVT-2, Confidential
Statements of Employment and Financial Interests.
11. Office of Special Counsel, OSC/GOVT-1, Complaint, Litigation
and Political Activity Files.
12. Federal Emergency Management Agency, FEMA/GOVT-1, Uniform
Identification System for Federal Employees Performing Essential
Duties During Emergencies.
13. Equal Employment Opportunity Commission, EEOC/GOVT-1, Equal
Employment Opportunity in the Federal Government Complaint and Appeal
Records.
14. Merit System protection Board, MSPB/GOVT-1, Appeal and Case
Records.
15. General Services Administration, GSA/GOVT-3, Travel Charge
Card Program.
16. General Services Administration, GSA/GOVT-4, Contracted
Travel Services Program.
17. Department of Labor, DOL/GOVT-1, Office of Workers
Compensation Programs, Federal Employees Compensation Act Files.
CONSUMER PRODUCT SAFETY COMMISSION
Title 16-Commercial Practices
Chapter II-Consumer Product Safety Commission
Subchapter A-General
PART 1014--POLICIES AND PROCEDURES IMPLEMENTING THE PRIVACY ACT OF
1974
Sec.
1014.1 Purpose and scope.
1014.2 Definitions.
1014.3 Procedures for requests pertaining to individual records.
1014.4 Requirements for identification of individuals making requests.
1014.5 Disclosure of requested information to individuals.
1014.6 Request for correction or amendment to a record.
1014.7 Agency review of request for correction or amendment of a
record.
1014.8 Appeal of initial denial of access, correction or amendment.
1014.9 Disclosure of record to a person other than the individual to
whom it pertains.
1014.10 Fees.
1014.11 Penalties.
1014.12 Specific exemptions.
Authority: Privacy Act of 1974 (5 U.S.C. 552a).
Source: 40 FR 53381, Nov. 18, 1975, unless otherwise noted.
Sec. 1014.1 Purpose and scope.
This part sets forth the regulations of the Consumer Product Safety
Commission implementing the Privacy Act of 1974 (Pub. L. 93-579). The
purpose of these regulations is to inform the public about records
maintained by the Commission which contain personal information about
individuals, and to inform those individuals how they may seek access to
and correct records concerning themselves. These regulations do not
apply to requests for information made pursuant to the Freedom of
Information Act (except where such disclosures would constitute an
invasion of privacy of an individual).
Sec. 1014.2 Definitions.
As used in this part:
(a) ``Individual'' means a person who is a citizen of the United
States or an alien lawfully admitted for permanent residence.
(b) ``Privacy Act'' means the Privacy Act of 1974 (Pub. L. 93-579).
(c) ``Record'' means any item of personal information relating to an
individual, such as educational, employment, financial or medical
information.
(d) ``Statistical record'' means a record in a system of records
maintained for statistical research or reporting purposes only and not
used in whole or in part in making any determination about an
identifiable individual.
(e) ``System of records'' or ``records systems'' means a group of
records maintained by the Commission from which information may be
retrieved by the name of an individual or some other individual
identifier.
(f) ``Maintain'' includes the collection, use, storage, and
dissemination of information.
Sec. 1014.3 Procedures for requests pertaining to individual
records.
(a) Any individual may request the Commission to inform him or her
whether a particular record system named by the individual contains a
record pertaining to him or her. The request may be made by mail or in
person during business hours (8:30 a.m. to 5 p.m.) to the Freedom of
Information/Privacy Act Officer, Office of the Secretary, Consumer
Product Safety Commission, 5401 Westbard Avenue, Bethesda, Maryland
(mailing address: Consumer Product Safety Commission, Washington, DC
20207).
(b) An individual who believes that the Commission maintains a record
pertaining to him or her but who cannot determine which record system
may contain the record, may request assistance by mail or in person at
the Office of the Secretary during business hours.
(c) A Commission officer or employee or former employee who desires to
review or obtain a copy of a personnel record pertaining to him or her
may make a request by mail or in person at the Division of Personnel's
Processing Unit in Room 337, 5401 Westbard Avenue, Bethesda, Md.
(mailing address: Consumer Product Safety Commission, Washington, DC
20207.
(d) Each individual requesting the disclosure of a record or a copy of
a record shall furnish the following information to the extent known
with the request to the Freedom of Information/Privacy Act Officer or
the Division of Personnel's Processing Unit, as applicable:
(1) A description of the record sought;
(2) The approximate date of the record;
(3) The name or other description of the record system containing the
record;
(4) Proof as required in Sec. 1014.4 that he or she is the individual
to whom the requested record relates; and
(5) Any other information required by the notice describing the record
system.
(e) An individual personally inspecting his or her records may be
accompanied by other persons of his or her own choosing. The individual
shall sign a written statement authorizing disclosure of the record in
the other person's presence.
(f) Any individual who desires to have a record concerning himself or
herself disclosed to or mailed to another person may authorize that
person to act as his or her agent for that specific purpose. The
authorization shall be in writing, signed by the individual, and shall
be notarized. An agent requesting the review or copy of another's record
shall submit with the request the authorization and proof of his or her
identify as required by Sec. 1014.4(c).
(g) The parent of any minor individual or the legal guardian of any
individual who has been declared by a court of competent jurisdiction to
be incompetent, due to physical or mental incapacity or age, may act on
behalf of that individual in any matter covered by this part. A parent
or guardian who desires to act on behalf of such individual shall
present suitable evidence of parentage or guardianship, by birth
certificate, certified copy of a court order, or similar documents, and
proof of the individual's identity in a form that complies with
Sec. 1014.4(c).
(h) An individual may request an accounting of all disclosures made to
other persons or agencies of his or her record, except those disclosures
made to law enforcement agencies pursuant to section (b)(7) of the
Privacy Act (5 U.S.C. 552a(b)(7)). A request for accounting, whenever
made, shall be treated as a request for disclosure of records.
[40 FR 53381, Nov. 18, 1975, as amended at 53 FR 52405, Dec. 28, 1988]
Sec. 1014.4 Requirement for identification of individuals making
requests.
The following proof of identity is required for requests for records
made pursuant to Sec. 1014.3:
(a) An individual seeking a record about himself or herself in person
may establish his or her identity by the presentation of a single
document bearing a photograph (such as a passport or driver's license)
or by a presentation of two items of identification which do not bear a
photograph but do bear both a name and address. An individual who cannot
provide documentation of his or her identity may provide a written
statement affirming his or her identity and the fact that he or she
understands the penalties for making false statements (18 U.S.C. 1001
and 5 U.S.C. 552a(i)(3)).
(b) An individual seeking a record by mail shall include a statement
signed by the individual and properly notarized, that he or she appeared
before a notary public and submitted proof of identity acceptable to the
notary public.
(c) Requests made by an agent, parent, or guardian shall, in addition
to establishing the identity of the minor or other person he or she
represents as required by paragraphs (a) and (b) of this section,
establish his or her agency, parentage, or guardianship by
documentation.
(d) In any case in which the Commission determines that the proof of
identity is not adequate, it may request the individual to submit
additional proof of identity.
Sec. 1014.5 Disclosure of requested information to individuals.
(a) Upon submission of proof of identity, the Office of the Secretary
or the Director of Resource Utilization, as applicable, shall promptly
forward the request to the system manager who will promptly allow the
individual to see and/or have a copy of the requested record or send a
copy of the record to the individual by mail, as requested by the
individual. If the individual asks to see the record, the record should
be made available for review and/or copying at the location where the
record is maintained, in the Office of the Secretary, or the Director of
Resource Utilization, or at the nearest Area Office.
(b) If the system manager should determine, for any reason, that the
requested records are exempt from the right of access, a notice of
denial shall be sent to the requester stating the reasons for denial,
and the requester's right to appeal the denial in accordance with the
procedures set forth in Sec. 1014.8 of these regulations.
Sec. 1014.6 Request for correction or amendment to a record.
(a) Any individual who has reviewed a record pertaining to himself or
herself may request the Executive Director to correct or amend all or
any part of the record.
(b) Each request for a correction or amendment of a record shall be in
writing and shall contain the following information:
(1) The name of the individual requesting the correction or amendment;
(2) The name or other description of the system of records in which
the record sought to be amended is maintained;
(3) The location of that record in the system of records to the extent
that it is known;
(4) A copy of the record sought to be amended or a description of that
record;
(5) A statement of the material in the record that should be corrected
or amended;
(6) A statement of the specific wording of the correction or amendment
sought; and
(7) A statement of the basis for the requested correction or amendment
including any material that the individual can furnish to substantiate
the reasons for the amendment sought.
[40 FR 53381, Nov. 18, 1975, as amended at 42 FR 22878, May 5, 1977]
Sec. 1014.7 Agency review of request for correction or amendment of
record.
(a) Not later than 10 working days after the receipt of the request
for the correction or amendment of a record under Sec. 1014.6, the
responsible Commission official shall acknowledge receipt of the request
and inform the individual whether further information is required before
the correction or amendment can be considered.
(b) The responsible Commission official will promptly review the
request and either make the requested correction or amendment or notify
the individual of his or her refusal to do so, including in the
notification the reasons for the refusal, and the appeal procedures
provided by Sec. 1014.8.
(c) The responsible Commission official will make each requested
correction or amendment to a record if that correction or amendment will
correct anything within the record that is not accurate, relevant,
timely, or complete. A copy of each corrected or amended record shall be
furnished to the individual who requested the action. If an accounting
of disclosure has been kept, all previous recipients of the record shall
be notified of the correction and its substance.
Sec. 1014.8 Appeal of initial denial of access, correction or
amendment.
(a) Any individual whose request for access, correction or amendment
to a record is denied, in whole or in part, may appeal that decision
within 30 working days to the Chairman, Consumer Product Safety
Commission, Washington, DC 20207.
(b) The appeal shall be in writing and shall:
(1) Name the individual making the appeal;
(2) Identify the record to which access is sought or which is sought
to be corrected or amended;
(3) Name or describe the record system in which the record is
contained;
(4) Contain a short statement describing the correction of amendment
sought;
(5) State the name and location of the Commission official who
initially denied the correction or amendment; and
(6) State the date of the initial denial.
(c) Not later than 30 working days after the date on which the appeal
is received, the Chairman shall complete a review of the appeal and make
a final decision thereon. However, for good cause shown, the Chairman of
the Commission may extend the 30-day period. If the Chairman so extends
the period, he or she shall promptly notify the individual requesting
the review that the extension has been made.
(d) If after review of an appeal request, the Chairman also refuses to
amend the record or grant access to the record in accordance with the
request, he or she shall send a written notice to the requester
containing the following information:
(1) The decision and the reasons for the decision;
(2) The right of the requester to institute a civil action in a
Federal District Court for judicial review of the decision; and
(3) The right of the requester to file with the Chairman a concise
statement setting forth the reasons for his or her disagreement with the
denial of the correction or amendment. A copy of the statement of
disagreement shall be filed with the record in issue, and the record in
issue shall be so marked as to indicate that there is a disagreement.
The system manager shall make the statement of disagreement available to
prior recipients of the disputed record to the extent that an accounting
of disclosures was maintained, and to any person to whom the record is
later disclosed, together with a brief statement, if deemed appropriate,
of the reasons for denying the requested correction or amendment.
[40 FR 53381, Nov. 18, 1975, as amended at 42 FR 22878, May 5, 1977]
Sec. 1014.9 Disclosure of record to person other than the
individual to whom it pertains.
(a) Any person or agency (other than an officer or employee of the
Commission who has a need for individual records in the performance of
his or her duty) seeking disclosure of personal records of another
individual which are contained in a system of records shall submit a
request in accordance with the Commission's Procedures for Disclosure of
Production of Information under the Freedom of Information Act (16 CFR
part 1015, subpart A).
(b) The determination of whether or not the requested disclosure is
proper will be made in accordance with the provisions of the Freedom of
Information Act, as amended (5 U.S.C. 552) and the Commission's policies
and procedures issued thereunder (16 CFR part 1015).
[41 FR 30324, July 23, 1976]
Sec. 1014.10 Fees.
The Commission shall not charge an individual for the costs of making
a search for a record, the costs of reviewing or copying a record, or
the cost of correcting or amending a record.
Sec. 1014.11 Penalties.
Any person who makes a false statement in connection with any request
for a record, or an amendment thereto, under this part, is subject to
the penalties prescribed in 18 U.S.C. 494, 495, and 1001; and 5 U.S.C.
552a(i)(3).
Sec. 1014.12 Specific exemptions.
(a) Injury information. (1) The Bureau of Epidemiology maintains a
file of Accident Reports (In-Depth Investigations) which are conducted
on a sample of product related injuries reported to the Commission by
selected hospital emergency rooms by consumers through the Commission's
``Hot-Line'' telephone service and through written consumer complaints
and by other means such as newspaper reports. The purpose of this record
system is to compile accident statistics for analyzing the incidence and
severity of product related injuries.
(2) Inasmuch as the maintenance of the record system listed in
paragraph (a)(1) of this section is authorized by section 5 of the
Consumer Product Safety Act (15 U.S.C. 2054) and the data are used
solely as statistical records, the system is exempted from the
requirements of the Privacy Act relating to making available the
accounting of disclosures, correction or amendment of the record and the
application of these rules to the system of records. Specifically, the
system is exempt from 5 U.S.C. 552a(c)(3); (d) (2) and (3); (e)(1);
(e)(4) (G), (H) and (I); and (f). However, Accident Reports made by
Commission employees are disclosable in accordance with paragraph (a)(3)
of this section:
(3) Section 25(c) of the Consumer Product Safety Act (15 U.S.C.
2074(c)) provides that accident or investigation reports made by an
officer or employee of the Commission shall be made available to the
public in a manner which will not identify any injured person or any
person treating him or her, without the consent of the person
identified. Consequently, an accident or investigation report which
identifies individuals is available to the injured party or the person
treating him or her but would not be available for disclosure to a third
party without the consent of the injured party or person treating him or
her.
(4) Since accident or investigation reports are compiled only for
statistical purposes and are not used in whole or in part in making any
determination about an individual, they are exempted from the
requirement to correct or amend a record as provided by subsection
(d)(2) of the Privacy Act (5 U.S.C. 552a(d)(2)). Exceptions from this
paragraph, insofar as they relate to amendments or additions, may be
allowed by the Executive Director.
(b) Inspector General Investigative Files--CPSC-6. All protions of
this system of records which fall within 5 U.S.C. 552a(k)(2)
(investigatory materials solely compiled for suitabiliy determinations)
are exempt from 5 U.S.C. 552a(c)(3) (mandatory accounting of
disclosures); 5 U.S.C. 552a(d) (access by individuals to records that
pertain to them); 5 U.S.C. 552a(e)(1) (requirement to maintain only such
information as is relevant and necessary to accomplish an authorized
agency purposes); 5 U.S.C. 552a(e)(4)(G) (mandatory procedures to notify
individuals of the existence of records pertaining to them); 5 U.S.C.
552a(e)(4)(H) (mandatory procedures to notify individuals how they can
obtain access to and contest records pertaining to them); 5 U.S.C.
552a(e)(4)(I) (mandatory disclosure of records source categories); and
the Commission's regulations in 16 CFR part 1014 which implement these
statutory provisions.
(c) Enforcement and Litigation Files--CPSC-7. All portions of this
system of records that fall within 5 U.S.C. 552a(k)(2) (investigatory
materials compiled for law enforcement purposes) are exempt from 5
U.S.C. 552a(c)(3) (mandatory accounting of disclosures); 5 U.S.C.
552a(d) (access by individuals to records that pertain to them); 5
U.S.C. 552a(e)(1) (requirement to maintain only such information as is
relevant and necessary to accomplish an authorized agency purpose); 5
U.S.C. 552a(e)(4)(G) (mandatory procedures to notify individuals of the
existence of records pertaining to them); 5 U.S.C. 552a(e)(4)(H)
(mandatory procedures to notify individuals how they can obtain access
to and contest records pertaining to them); 5 U.S.C. 552a(e)(4)(I)
(mandatory disclosure of records source categories); and the
Commission's regulations in 16 CFR part 1014 that implement these
statutory provisions.
[40 FR 53381, Nov. 18, 1975, as amended at 42 FR 9161, Feb. 15, 1977; 59
FR 32078, June 22, 1994; 62 FR 48756, Sept. 17, 1997]