[Privacy Act Issuances (1997)]
[From the U.S. Government Publishing Office, www.gpo.gov]
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
Privacy Act Notice of Systems
NARA 1. Researcher Application Files.
NARA 2. Reference Request Files.
NARA 3. Donors of Historical Materials Files.
NARA 4. National Archives Committees Files.
NARA 5. Conference and Related Activities Files.
NARA 6. Mailing List Files.
NARA 7. Mandatory Review of Classified Documents Request Files
and Freedom of Information Act Request Files.
NARA 8. Restricted and Classified Records Access Authorization
Files.
NARA 9. Authors Files.
NARA 10. Employee Drug Abuse/Alcoholism Files.
NARA 11. Credentials, Passes, and Licenses.
NARA 12. Emergency Notification Roster and Files.
NARA 13. Defunct Agency Records.
NARA 14. Payroll and Time and Attendance Reporting System.
NARA 15. Editorial Freelance Vendor File.
NARA 16. Library Circulation Files.
NARA 17. Grievance Records.
NARA 18. General Law Files.
NARA 19. Workers Compensation Case Files.
NARA 20. Reviewer/Consultant File.
NARA 21. Fellowship and Editing Institute Files.
NARA 22. Employee Related Files.
NARA 23. Investigation Case Files.
NARA 24. Personnel Security Files.
NARA 1
System name:
Researcher Application Files.
System location:
Researcher application files are maintained in the following
locations in the Washington, DC, area and other geographical regions.
The addresses for these locations are listed in Appendix B following
the NARA Notices:
(1) Customer Services Division (College Park, MD);
(2) Presidential libraries and projects; and
(3) regional records services facilities.
Categories of individuals covered by the system:
Individuals covered by this system include persons who apply to
use original records for research in NARA facilities in the
Washington, DC, area, the Presidential libraries, and the regional
records services facilities.
Categories of records in the system:
Researcher application files may include: Researcher
applications; related correspondence; and electronic records. These
files may contain the following information about an individual:
Name, address, telephone number, proposed research topic(s),
occupation, name and address of employer/institutional affiliation,
educational level and major field, expected result(s) of research,
photo, researcher card number, type of records used, and other
information furnished by the individual. Electronic systems may also
contain additional information related to the application process.
Authority for maintenance of the system:
44 U.S.C. 2108, 2111 note, and 2203(f)(1).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains researcher application files on individuals to:
Register persons who apply to use original records for research at a
NARA facility; record initial research interests of researchers;
determine which records researchers may want to use; contact
researchers if additional information of research interest is found
or if problems with the requested records are discovered; and prepare
mailing lists for sending information on NARA events, programs,
publications, and invitations to join and contribute to the
Foundation for the National Archives (unless individuals elect that
their application information not be used for this purpose). The
electronic databases serve as finding aids to the applications.
Information in the system is also used by NARA staff to compile
statistical and other aggregate reports regarding researcher use of
records.
The routine use statements A, C, E, F, and G, described in
Appendix A following the NARA Notices, also apply to this system of
records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system: STORAGE:
Paper and electronic records.
Retrievability:
Information in the records may be retrieved by the name of the
individual or by researcher card number.
Safeguards:
During normal hours of operation, paper records are maintained in
areas accessible only to authorized NARA personnel. Electronic
records are accessible via passwords from terminals located in
attended offices. After hours, buildings have security guards and/or
doors are secured and all entrances are monitored by electronic
surveillance equipment.
Retention and disposal:
Researcher application files are temporary records and are
destroyed in accordance with the disposition instructions in the NARA
records schedule contained in FILES 203, the NARA Files Maintenance
and Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
For researchers who apply to use records and Nixon presidential
materials in the Washington, DC area, the system manager for
researcher application files is: Assistant Archivist for Records
Services--Washington, DC (NW), 8601 Adelphi Road, College Park, MD
20740-6001. For researchers who apply to use accessioned records,
presidential records, and donated historical materials in the
Presidential libraries and the regional records services facilities,
the system managers of researcher application files are the directors
of the individual libraries and regional records services facilities.
The addresses for these locations are listed in Appendix B following
the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify: NARA Privacy Act Officer (NGC), National Archives and Records
Administration, 8601 Adelphi Road, College Park, MD 20740-6001.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given above.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in researcher application files is obtained from
researchers and from NARA employees who maintain the files.
NARA 2
System name: Reference Request Files.
System location:
This system of records is located in the National Archives
Building, the National Audiovisual Center, the Presidential
Libraries, the Washington National Records Center, the Federal
Records Centers, the National Personnel Records Center, and the
Regional Archives. The addresses are listed in the appendix following
the NARA Notices.
Categories of individuals covered by the system:
Researchers and correspondents requesting information from the
records in the National Archives, the National Audiovisual Center,
Presidential Libraries, the Washington National Records Center, the
Federal Records Centers, the National Personnel Records Center and
the Regional Archives.
Categories of records in the system:
Correspondence, reference slips, receipts for money, deposit
account records, reproduction orders, reference logs, lending files,
and reference files pertaining to requests for information, including
all or parts of the following: Requester's name, address, telephone
number, occupation, research topic, educational level, and field of
interest.
Authority for maintenance of the system:
44 U.S.C. 2108, 2203(f)(2), and 2907.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records are used by employees of NARA who have a need for the
records in the performance of their duties to record requests for
information and the responses to those requests; to maintain control
over information requests received and answered; to enable later
contact with the requester if required; to assist in the preparation
of standard replies to similar questions; to facilitate preparation
of statistical and other reports; to maintain control of records
being used; to establish researcher accountability for records; to
record payment for reproduction orders and funds placed on deposit;
to record loans of materials or records from the above locations;
and, when requested by a researcher, to write recommendations for
researchers for grants or employment. The routine use statements A,
F, and G, described in the appendix following the NARA Notices, also
apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in card files and file folders.
Retrievability:
The records within this system are primarily retrieved by name.
Safeguards:
During normal working hours of operation, records are maintained
in areas accessible only to authorized personnel of NARA. After
hours, buildings have security guards and/or doors are secured and
all entrances are monitored by electronic surveillance equipment.
Retention and disposal:
Records which are:
(1) Created in the administration of loans are cut off after the
return of the materials, held one year, and destroyed.
(2) Created in the process of providing reference service by mail
are cut off annually, held two years, and destroyed.
(3) Created in the process of providing records to researchers in
National Archives research rooms are cut off annually, held one year
and retired. They are destroyed when 25 years old.
These procedures are in accordance with the NARA Records
Maintenance and Disposition Manual.
System manager(s) and address:
Depending on where the records are located, the system managers
are the Assistant Archivist for the National Archives, the Director
of the National Audiovisual Center, the directors of the Presidential
Libraries, the director of the Washington National Records Center,
the directors of the Federal Records Center, the director of the
National Personnel Records Center and the directors of the Regional
Archives, at the addresses listed for these locations in the appendix
following the NARA Notices.
Notification procedure:
Information may be obtained from the officials listed above at
the appropriate repository where individuals have used records or
directed inquiries. The addresses are listed in the appendix
following the NARA Notices.
Record access procedures:
Requests for these records should be addressed to the Assistant
Archivist for the National Archives, the Director of the National
Audiovisual Center, the directors of the Presidential Libraries, the
director of the Washington National Records Center, the directors of
the Federal Records Center, the director of the National Personnel
Records Center or the directors of the Regional Archives, depending
on where individuals used records or directed inquiries. In-person
requests may be made during normal business hours listed for each
location in the appendix following the NARA notices. For written
requests, provide full name, address, telephone number, and the
approximate dates of the correspondence or transaction. For personal
visits, individuals should be able to provide some acceptable
identification, such as a driver's license or student or employee
identification. Only general inquiries may be made by telephone.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Researchers, correspondents, and employees of the National
Archives.
NARA 3
System name: Donors of Historical Materials Files.
System location:
This system of records is located in the National Archives
Building and the Presidential Libraries. The addresses are listed in
the appendix following the NARA Notices.
Categories of individuals covered by the system:
Donors and potential donors of papers or other historical
materials to the National Archives and Presidential Libraries.
Categories of records in the system:
Correspondence, deeds of gift, deposit agreements, accession
files, accession cards, administrative files, inventories of museum
objects, oral history use agreements, tapes, and transcripts, all of
which are related to the solicitation and preservation of donations.
Also included are biographical data on donors as well as their
addresses, telephone numbers, and occupations.
Authority for maintenance of the system:
44 U.S.C. 2111 and 2112.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records are used by employees of NARA who have a need for the
records in the performance of their duties primarily to record
solicitation efforts and accessioning of papers and other historical
materials for preservation in the above locations; to maintain
control over the accessions program; to facilitate future
solicitations of gifts; to record deeds of gift; and to record
agreements of use. The routine uses of records also include releasing
biographical material about donors and prospective donors to the
public as well as the routine use statements A, F, and G, described
in the appendix following the NARA Notices.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders; sound recordings.
Retrievability:
Filed alphabetically at each location by name of donor.
Safeguards:
Buildings have security guards, and records and other materials
are maintained in areas accessible only to authorized personnel of
NARA.
Retention and disposal:
Records are permanent, in accordance with the NARA Records
Maintenance and Disposition Manual.
System manager(s) and address:
Depending on where the records are maintained the system managers
are the Assistant Archivist for the National Archives and the
Assistant Archivist for Presidential Libraries at the National
Archives Building, and the directors of the Presidential Libraries.
The addresses are listed in the appendix following the NARA Notices.
Notification procedure:
Information may be obtained from the officials listed above at
the appropriate repository where individuals have donated materials
or from which they have received requests for donations. The
addresses are listed in the appendix following the NARA Notices.
Record access procedures:
Requests for these records should be addressed to the Assistant
Archivist for the National Archives, the Assistant Archivist for
Presidential Libraries, or a director of a Presidential Library
depending on which repository the individual has been associated
with. In-person requests may be made during normal business hours
listed for each location in the appendix following the NARA Notices.
For written requests, provide full name, address, telephone number,
and the approximate dates of the correspondence or transaction. For
personal visits individuals should be able to provide some acceptable
identification such as a driver's license or employee identification
card. Only general inquiries may be made by telephone.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Donors, potential donors, and employees of the National Archives.
NARA 4
System name: National Archives Committees Files.
System location:
This system of records is located in the National Archives
building, 7th and Pennsylvania Avenue, NW, Washington, DC.
Categories of individuals covered by the system:
Former, current, and prospective advisory committee members.
Categories of records in the system:
Correspondence with and biographical information about former,
current, and prospective advisory committee members including all or
parts of the following: Name, address, telephone number, education,
professional vita, and publications.
Authority for maintenance of the system:
44 U.S.C. 2104(f).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records are used by employees of NARA who have a need for
these records in the performance of their duties to review
professional qualifications of prospective committee members; to
document activities of the committees themselves: To serve as a
mailing list of current and past members; to record the committee
members' role; and to help formulate advisory committee policy.
Biographical material relating to advisory committee members is made
available to the public for purposes of publicizing the membership
and activities of the committees. The routine use statement F,
described in the appendix following the NARA Notices, also applies to
this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
Filed alphabetically by name of individual.
Safeguards:
During normal hours of operation, records are maintained in areas
accessible only to authorized personnel of NARA. After hours, the
building has security guards and/or doors are secured and all
entrances are monitored by electronic surveillance equipment.
Retention and disposal:
These records are cut off after each meeting, held five years,
and offered to the National Archives. These procedures are in
accordance with the NARA Records Maintenance and Disposition Manual.
System manager(s) and address:
The NARA official with overall responsibility for the system
records is the Assistant Archivist for Management and Administration
(NA), National Archives Building, 7th and Pennsylvania Avenue, NW.,
Washington, DC.
Notification procedure:
Information may be obtained from the official listed above at the
address listed above.
Record access procedures:
Requests for these records should be addressed to the Assistant
Archivist for Management and Administration (NA). In-person requests
may be made during normal business hours listed in the appendix,
following the NARA Notices. For written requests, provide full name,
address, telephone number, and if applicable, dates of service. For
personal visits, individuals should be able to provide some
acceptable identification, such as a driver's license or employee
identification card. Only general inquiries may be made by telephone.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Former, current, and prospective advisory committee members,
associates of committee members, and employees of the National
Archives.
NARA 5
System name:
Conference, Workshop, and Training Course Files.
System location:
Conference, workshop, and training course files may be maintained
in the following locations in the Washington, DC, area and other
geographical regions. The addresses for these locations are listed in
Appendix B following the NARA Notices:
(1) Office of Records Services--Washington, DC (College Park,
MD);
(2) Office of Human Resources and Information Services (College
Park, MD);
(3) Presidential libraries and projects; and
(4) Office of Regional Records Services (College Park, MD).
Categories of individuals covered by the system:
Individuals covered by this system include attendees and speakers
at NARA-sponsored conferences, workshops, and training courses.
Categories of records in the system:
Conference, workshop, and training course files maintained on
attendees may include: Standard Forms 182--Request, Authorization,
Agreement, and Certification of Training or equivalent forms;
application/registration forms; evaluations; other administrative
forms; and copies of payment records. Files maintained on speakers
may include correspondence, biographical statements, and resumes.
These files may contain some or all of the following information
about an individual: Name, home address, business address, home
telephone number, business telephone number, social security number,
birthdate, position title, name of employer/organization, employment
history, professional awards, areas of expertise, research interests,
reasons for attendance, titles of publications, and other information
furnished by the attendee or speaker.
Authority for maintenance of the system:
44 U.S.C. 2104, 2109, and 2904.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains files on attendees and speakers to: Register
attendees for conferences, workshops, training courses, and other
events; contact attendees for follow-up discussions; plan, publicize,
and document interest in current and future NARA-sponsored
conferences, workshops, training courses, and special events; and
prepare mailing lists for sending information on NARA events,
programs, publications, and invitations to join and contribute to the
Foundation for the National Archives (unless individuals elect that
that their application information not be used for this purpose).
Information in the records is also used to prepare statistical and
other reports on conferences, workshops, training courses, and other
events sponsored by NARA.
NARA may disclose information on individuals in the files to
outside organizations that co-sponsor conferences, workshops,
training courses, and other events for purposes of administering the
course or event. NARA may disclose information on an individual to
the organization or agency that funded the individual's attendance.
The routine use statement F, described in Appendix A following the
NARA Notices, also applies to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in paper records may be retrieved by either the title
or the date of the conference, workshop, training course, or event
and thereunder by the name of the individual. Information in
electronic records may be retrieved by the name of the individual.
Safeguards:
During business hours, paper records are maintained in areas
accessible only to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
After business hours, buildings have security guards and/or secured
doors, and all entrances are monitored by electronic surveillance
equipment.
Retention and disposal:
Conference, workshop, and training course files are temporary
records and are destroyed in accordance with the disposition
instructions in the NARA records schedule contained in FILES 203, the
NARA Files Maintenance and Records Disposition Manual. Individuals
may request a copy of the disposition instructions from the NARA
Privacy Act Officer.
System manager(s) and address:
For conference, workshop, and training course files located in
the Office of Records Services--Washington, DC, the system manager is
the Assistant Archivist for Records Services--Washington, DC (NW),
8601 Adelphi Road, College Park, MD 20740-6001. For files located in
the Office of Human Resources and Information Services, the system
manager is the Assistant Archivist for Human Resources and
Information Services (NH), 8601 Adelphi Road, College Park, MD 20740-
6001. For files in the following locations, the system manager is the
director: Presidential libraries and projects, and regional records
services facilities. The addresses are listed in Appendix B following
the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify: NARA Privacy Act Officer (NGC), National Archives and Records
Administration, 8601 Adelphi Road, College Park, MD 20740-6001.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given above.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in the files may be obtained from speakers,
attendees, and potential speakers and attendees at NARA-sponsored
conferences, workshops, and training courses, and from references
provided by those individuals.
NARA 6
System name:
Mailing List Files.
System location:
Mailing lists may be maintained in the following NARA locations.
The addresses for these locations are listed in Appendix B following
the NARA Notices:
(1) Communications Staff (College Park, MD);
(2) National Historical Publications and Records Commission
(Washington, DC);
(3) Public Programs (NWE) (College Park, MD);
(4) Staff Development Services Branch (College Park, MD);
(5) Acquisitions Services Division (College Park, MD);
(6) Presidential libraries and projects;
(7) Regional records services facilities; and
(8) Development Staff (College Park, MD).
Categories of individuals covered by the system:
Individuals covered by this system may include: Members of the
media; Members of Congress; members of the National Historical
Publications and Records Commission; members of the Foundation for
the National Archives; local, political, and other dignitaries;
researchers and records managers; historians, archivists, librarians,
documentary editors, and other professionals in related fields;
educators; authors; subscribers to free and fee publications and
newsletters; buyers of NARA products; vendors; and other persons with
an interest in NARA programs, exhibits, conferences, training
courses, and other events.
Categories of records in the system:
In addition to names and addresses, mailing lists may include any
of the following information about an individual: Home/business
telephone number; position title; name of employer, organization,
and/or institutional affiliation; and subscription expiration date.
Authority for maintenance of the system:
44 U.S.C. 2104, 2307 and 2904(c).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains mailing lists to generate address labels to:
Disseminate mailings of NARA and Foundation for the National Archives
publications, newsletters, press releases, and announcements of
meetings, conferences, workshops, training courses, public and
educational programs, special events, and procurements; send
invitations for exhibit openings, lectures, and other special events;
send information on NARA events, programs, publications, and
invitations to join and contribute to the Foundation for the National
Archives; and send customers updated information about NARA holdings
and about methods of requesting copies of accessioned and non-current
records.
The routine use statement F, described in Appendix A following
the NARA Notices, also applies to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic records from which paper records may be printed.
Retrievability:
Information about individuals maintained in mailing lists may be
retrieved by: the name of the individual; the name of an employer or
institutional/organizational affiliation; the category of
individuals/organizations on mailing lists; the city or zip code.
Safeguards:
During business hours, paper records are maintained in areas
accessible only to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
After business hours, buildings have security guards and/or secured
doors, and all entrances are monitored by electronic surveillance
equipment.
Retention and disposal:
Mailing lists are periodically updated and purged of outdated
information. NARA organizational units retain mailing lists for as
long as the lists are needed for the purposes previously cited.
System manager(s) and address:
For mailing lists maintained in the previously cited locations
(1) through (8), the system managers are:
(1) Director, Communications Staff (NCOM) (College Park, MD);
(2) Executive Director, National Historical Publications and
Records Commission (NHPRC) (Washington, DC);
(3) Assistant Archivist for Records Services--Washington, DC
(College Park, MD);
(4) Assistant Archivist for Human Resources and Information
Services (College Park, MD);
(5) Assistant Archivist for Administrative Services (College
Park, MD);
(6) Directors of the Presidential libraries;
(7) Directors of regional records services facilities; and
(8) Development Officer (College Park, MD).
The addresses are listed in Appendix B following the NARA
Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify: NARA Privacy Act Officer (NGC), National Archives and Records
Administration, 8601 Adelphi Road, College Park, MD 20740-6001.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given above.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in mailing lists is obtained from individuals whose
names are recorded on mailing lists for the purposes previously cited
or from NARA employees who maintain the lists.
NARA 7
System name: Mandatory Review of Classified Documents Request
Files and Freedom of Information Act Request Files.
System location:
This system of records is located in the National Archives
Building, Presidential Libraries, Washington National Records Center,
Federal Records Centers, and the Regional Archives. The addresses are
listed in the appendix following the NARA Notices.
Categories of individuals covered by the system:
Researchers requesting mandatory review of security classified
documents and requesting records under the Freedom of Information
Act.
Categories of records in the system:
Requests for records under the Freedom of Information Act include
requestor's name, address, and material requested. Requests for
mandatory review of classified documents include requestor's name,
address, telephone number, occupation, employer, and research topic.
Authority for maintenance of the system:
Executive Order 12356, April 2, 1982 (3 CFR, 1982 Comp., p. 166)
and 5 U.S.C. 552, as amended.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records are used by employees of NARA who have a need for the
records in the performance of their duties to record requests for
access to security-classified records and requests to obtain records
under the Freedom of Information Act; to record the status of each
request; to record actions taken on requests, and to compile
information for statistical reports. Records in this system may be
made available for access review to the agency that created the
documents requested under the Freedom of Information Act or a
Mandatory Review request. The routine use statements A, F, and G,
described in the appendix following the NARA Notices, also apply to
this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in card files and file folders.
Retrievability:
Filed alphabetically at each location by name of individual.
Safeguards:
During normal hours of operation, these records are maintained in
areas accessible only to authorized personnel of NARA. After hours,
buildings have security guards and/or doors are secured and all
entrances are monitored by electronic surveillance equipment.
Retention and disposal:
Records are cut off annually, held one year, and retired. They
are subsequently destroyed in accordance with the NARA Records
Maintenance and Disposition Manual.
System manager(s) and address:
NARA officials with responsibility for this geographically
dispersed system of records are the Assistant Archivist for the
National Archives and the Assistant Archivist for Management and
Administration at the National Archives Building, the directors of
the Presidential Libraries, the director of the Washington National
Records Center, the directors of the Federal Records Centers, and the
directors of the Regional Archives, at the addresses listed for these
locations in the appendix following the NARA Notices.
Notification procedure:
Information may be obtained from the officials listed above at
the appropriate repository where individuals have requested mandatory
review of classified records or have requested records under the
Freedom of Information Act. The addresses are listed in the appendix
following the NARA Notices.
Record access procedures:
Requests for these records should be addressed to the Assistant
Archivist for Management and Administration, the Assistant Archivist
for the National Archives, the directors of the Presidential
Libraries, the director of the Washington National Records Center,
the directors of the Federal Record Centers, or the directors of the
Regional Archives, depending on where the individual requested the
mandatory review or requested records under the Freedom of
Information Act. In-person requests may be made during normal
business hours listed for each location in the appendix following
NARA Notices. For written requests, provide some acceptable
identification. Only general inquiries may be made by telephone.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Researchers who have requested mandatory review of records or who
have requested records under the Freedom of Information Act.
NARA 8
System name: Restricted and Classified Records Access
Authorization Files.
System location:
This system of records is located in the National Archives
Building, Presidential Libraries, Washington National Records Center,
National Personnel Records Center, Federal Records Centers, and the
Regional Archives. The addresses are listed in the appendix following
the NARA Notices.
Categories of individuals covered by the system:
Researchers who apply to use agency-restricted, donor/restricted,
or classified records in the locations listed above.
Categories of records in the system:
Applications and letters of authorization to use restricted and/
or classified records, including name, address, telephone number,
occupation, employer, security clearance, social security number,
date and place of birth, purpose, field of interest, citizenship,
intention to publish, and type of publication.
Authority for maintenance of the system:
44 U.S.C. 2108 and 2204.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records are used by employees of NARA who have a need for the
records in the performance of their duties to control access to
restricted materials; to maintain a record of requests for access;
and to authorize access to restricted/classified materials. Records
in this system may be made available for access review to agencies
whose restricted records are the subject of an accesss request. The
routine use statements A, F, and G, described in the appendix
following the NARA Notices, also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in card files and file folders.
Retrievability:
Filed alphabetically at each location by name of individual.
Safeguards:
During normal hours of operation, these records are maintained in
areas accessible only to authorized personnel of NARA. After hours,
buildings have security guards and/or doors are secured and all
entrances are monitored by electronic surveillance equipment.
Retention and disposal:
These records relating to private individuals requesting access
are cut off annually, held one year, and retired. After 14 additional
years they are destroyed. Records relating to agency officials
requesting access are destroyed on supersession or obsolescence of
the authorization document, or on transfer or separation of the
individual concerned. These procedures are in accordance with the
NARA Records Maintenance and Disposition Manual.
System manager(s) and address:
NARA officials with responsibility for this system of records are
the Assistant Archivist for the National Archives at the National
Archives Building, the directors of Presidential Libraries, the
director of the Washington National Records Center, the director of
the National Personnel Records Center, the directors of the Federal
Record Centers and the directors of the Regional Archives, at the
addresses listed for these locations in the appendix following the
NARA Notices.
Notification procedure:
Information may be obtained from the officials listed above at
the appropriate repository where individuals have applied for access
to records. The addresses are listed in the appendix following the
NARA Notices.
Record access procedures:
Requests for these records should be addressed to the Assistant
Archivist for the National Archives, the directors of the
Presidential Libraries, the directors of the Washington National
Records Center, the director of the National Personnel Records
Center, the directors of the Federal Records Centers or directors of
the Regional Archives, depending on where the individual submitted
his or her application for access to the records. In-person requests
may be made during normal business hours listed for each location in
the appendix following the NARA Notices. For written requests,
provide full name, address, telephone number, and the approximate
dates the application was made. For personal visits, individuals
should be able to provide some acceptable identification, such as a
driver's license or employee identification card. Only general
inquiries may be made by telephone.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Researchers and agency officials.
NARA 9
System name: Authors Files.
System location:
This system of records is located in the National Archives
Building, Presidential Libraries, and the Regional Archives. The
addresses are listed in the appendix following the NARA Notices.
Categories of individuals covered by the system:
Authors whose publications are based on National Archives
holdings and authors who have submitted manuscripts which have been
published or considered for publication in Prologue: The Journal of
the National Archives.
Categories of records in the system:
Biographical information about the authors including name,
address, telephone number, occupation, education, and research
interests, and manuscript copies of writings.
Authority for maintenance of the system:
44 U.S.C. 2307.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records are used by employees of NARA who have a need for the
records in the performance of their duties to provide an indication
of areas of interest in archival holdings and the extent to which the
scholarly community relies on National Archives holdings as primary
source material; and to maintain a record of manuscripts which
Prologue has rejected or accepted and published. The routine use
statement F, described in the appendix following the NARA Notices,
also applies to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Retrievability:
Filed alphabetically at each location by name of individual.
Safeguards:
During normal hours of operation, these records are maintained in
areas accessible only to authorized personnel of NARA. After hours,
buildings have security guards and/or doors are secured, and all
entrances are monitored by electronic surveillance equipment.
Retention and disposal:
Disposition of these records shall be in accordance with the NARA
Records Maintenance and Disposition Manual.
System manager(s) and address:
NARA officials responsible for this geographically dispersed
system of records are the Assistant Archivist for the National
Archives and the Assistant Archivist for Public Programs at the
National Archives Building, the directors of the Presidential
Libraries, and the directors of the Regional Archives. The addresses
are listed in the appendix following the NARA Notices.
Notification procedure:
Information may be obtained from the official listed above at the
appropriate repository where individuals have used records or
submitted manuscripts for publication. The addresses are listed in
the appendix following the NARA Notices.
Record access procedures:
Requests for these records should be addressed to the Assistant
Archivist for the National Archives, the Assistant Archivist for
Public Programs, the directors of the Presidential Libraries, or the
directors of the Regional Archives. In-person requests may be made
during normal business hours listed for each location in the appendix
following NARA notices. For written requests, provide full name,
address, telephone number, and the title of publication. For personal
visits, individuals should be able to provide some acceptable
identification such as a driver's license or an employee
identification card. Only general inquiries may be made by telephone.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Authors and NARA employees.
NARA 10
System name: Employee Drug Abuse/Alcoholism Files.
System location:
This system of records in located in the personnel offices of
NARA at the addresses listed in the appendix following the NARA
Notices; in the offices of designated counselors; and in the offices
of supervisors who supervise employees suspected or known to have
drug abuse problems (including alcoholism).
Categories of individuals covered by the system:
NARA employees who have been suspected or known to have an
alcohol or drug abuse problem.
Categories of records in the system:
This system of records includes referrals for counseling,
counseling files, and referrals for rehabilitative assistance.
Authority for maintenance of the system:
21 U.S.C. 1101 et seq. and 5 U.S.C. 7901.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records in this system of records are used to document that
supervisors have properly dealt with employees whose work is affected
by alcohol or other drug abuse; to communicate information to
personnel having a need for the information in connection with their
duties, such as medical or health personnel, alcohol or other drug
abuse counselors and program administrators, and qualified service
organizations; to provide a basis for meeting reporting requirements
to the Office of Personnel Management; and to disclose information to
the Department of Justice or other appropriate Federal agencies in
defending claims against the United States, when the claim is based
upon an employee's mental or physical condition and is alleged to
have arisen because of the activities of NARA in connection with such
individual. Such disclosure will be restrictively made; in
particular, disclosures of information pertaining to an individual
with a history of alcohol or other drug abuse will be limited in
compliance with the restrictions of the confidentiality of Alcohol
and Drug Abuse Patient Records regulation, 42 CFR part 2.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file drawers or cabinets.
Retrievability:
Filed alphabetically at each location by name of individual.
Safeguards:
When not in normal use by an authorized person, these records are
stored in lockable metal file cabinets or in secured rooms.
Retention and disposal:
These records are maintained for 1 year after the employee's last
contact with the counselor, or until the employee's separation or
transfer, whichever comes first. These records are destroyed by
shredding or burning.
System manager(s) and address:
The Director of Personnel at 601 D Streets NW, Washington, DC
Mailing address: National Archives and Records Administration (NAP),
Washington, DC 20408.
Notification procedure:
Current NARA employees may obtain information about whether they
are part of this system of records from their supervisor or from
their personnel officer at the appropriate address listed in the
appendix following the NARA Notices, or from the NARA Director of
Personnel at the address noted above, whichever is applicable. Former
NARA employees should direct requests to gain access to information
pertaining to them to the appropriate NARA personnel officer at the
address listed in the appendix. For identification requirements refer
to the NARA regulations outlined in 36 CFR part 1202.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Supervisors, counselors, personnel specialists, and the employees
themselves.
NARA 11
System name: Credentials, Passes, and Licenses.
System location:
This system of records is maintained by the Facilities and
Materiel Management Division, at the National Archives Building, 7th
and Pennsylvania Avenue NW, Washington, DC and the National Archives
at College Park, 8601 Adelphi Road, College Park, Maryland, the
Director of the Washington National Records Center, 4205 Suitland
Road, Suitland, Maryland, and by the Administrative Officers at other
NARA facilities listed in the Federal Register Privacy Act Issuances,
1991 Compilation, Vol. V.
Categories of individuals covered by the system:
All NARA employees, contractors and volunteers whose assigned
responsibilities require the issuance of credentials for
identification and security purposes, or a license to operate a
Federal government owned motor vehicle.
Categories of records in the system:
1. NA Form 6006, Request for and Record of Credential or Pass
(Name, social security number, position title, organizational unit,
building and room number, date of birth, height, weight, color of
hair and eyes, identification card number, date issued, expiration
date, and signature or requesting official).
2. NA Form 6000, National Archives Identification Card
(Photograph, name of employee, expiration date, signature of issuing
official, identification card number, date of birth, height, weight,
color of hair and eyes, building and room number, and signature of
employee). This card will be issued to all NARA employees outside the
Washington, DC, area.
3. Electronically generated National Archives Identification Card
(Photograph, name, identification card number, expiration date, and
signature) and an electronic database maintained at the National
Archives at College Park, MD (Name, date of birth, color of hair and
eyes, height, weight, social security number, type of identification
card issued, date of issue and expiration, position title, building,
office symbol, telephone number, command access card number and
command access codes, and hard keys issued).
4. NA Form 6003, Contractor's Identification (Name, agency or
firm, building and room number, expiration date, signatures of
administrative official and protection official, date, and signature
of employee).
5. NA Form 6009, Parking Control Record (Name, home address,
office telephone number, agency, type of vehicle, tag number and
applicant's signature).
6. NA Form 7001, Application for Motor Vehicle Operator's
Identification Card (SF 46).
7. Standard Form 47, Physical Fitness Inquiry for Motor Vehicle
Operators (Name, date of birth, title of position, home address,
agency, medical inquiry, applicant's signature and date, and
signature of designated official and date).
Authority for maintenance of the system:
44 U.S.C. 2104.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records in this system are used primarily to facilitate the
issuance and control of cards, parking permits, building passes,
drivers licenses, and similar credentials. The routine use statements
A, B, and F, described in Federal Register Privacy Act Issuances,
1991 Compilation, Vol. V, also apply to this system of records.
Policies and practices for storing, retrieving accessing,
retaining, and disposing of records in the system:
Storage:
Paper forms and computer disk.
Retrievability:
Alphabetically by name of individual, except at the National
Archives buildings in Washington, DC and College Park, MD, records
may be retrieved by name, ID card number, or social security number
accessed through the electronic database.
Safeguards:
During normal hours of operation, paper records are maintained in
lockable metal file cabinets, accessible only to authorized
personnel. The electronic database is maintained by NARA Security
Staff and operates on a non-networked computer that is accessible
only to security staff employees via passwords on terminals located
in attended offices. After normal work hours the facilities are
staffed with security guards to patrol the building and insure all
doors and entrances are locked. Entrances are monitored by electronic
surveillance equipment.
Retention and disposal:
Credential and pass records are destroyed 3 months after
expiration or revocation. All field locations return revoked/expired
credential records to the NARA Security Staff (NAFS). Electronic
records are screened monthly for updating and screened semiannually
for nonactive and expired credentials. The data screened semiannually
is transferred and maintained on computer disk, and then deleted 3
years later. Motor vehicle records are destroyed 3 years after
employee separation or rescission of certificate. Parking control
records are destroyed when 3 years old. These procedures are in
accordance with the NARA Records Maintenance and Disposition Manual.
System manager(s) and address:
The officials responsible for this system of records are the
Director, Facilities and Materiel Management Division, The National
Archives at College Park, 8601 Adelphi Road, College Park, Maryland
20740-6001 and, for contractor's building passes at the Washington
National Records Center, the Director, Washington National Records
Center, 4205 Suitland Road, Suitland, Maryland (Mailing address:
Washington National Records Center (NCW), Washington, DC 20409).
Since this is a geographically dispersed system, individuals may also
gain access by contacting the Administrative Officers at locations
listed in the Federal Register Privacy Act Issuances, 1991
Compilation, Vol. V.
Notification procedure:
The addresses of the NARA offices to which inquiries should be
addressed and addresses at which an individual may request whether a
system contains records pertaining to himself or herself are shown in
the Federal Register Privacy Act Issuances, 1991 Compilation, Vol. V.
Individuals should provide name, social security number, period of
employment, and position held to assist the office in locating the
record.
Record access procedures:
Individuals can obtain information on the procedures for gaining
access to or contesting records from the Director, Facilities and
Materiel Management Division, the Director of the Washington National
Records Center (for contractor's passes at that location), or the
Administrative Officers at NARA facilities, as shown in the Federal
Register Privacy Act Issuances, 1991 Compilation, Vol. V.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information is provided by the employee, contractor or volunteer
being issued the credential, pass, or license, and by the authorized
issuing official.
NARA 12
System name: Emergency Notification Rosters and Files.
System location:
This system of records is maintained in the Administrative
Services Division, 7th and Pennsylvania Avenue NW, Washington, DC and
in all NARA facilities outside the Washington, DC metropolitan area
listed in the appendix following the NARA Notices.
Categories of individuals covered by the system:
NARA officials at division director level and above, and NARA
employees with emergency assignments.
Categories of records in the system:
Records consist of roster of NARA officials; NARA employee
emergency assignments; and essential employees's residence telephone
numbers. Information includes name, office and home telephone
numbers, home address, title and emergency assignment.
Authority for maintenance of the system:
44 U.S.C. 2104.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records in this system are used primarily to maintain current
directory information on key NARA officials or for use by the Central
Office contact point during weekends, holidays, and emergencies; to
provide essential telephone service to key employees during
emergencies; and to notify officials and employees of emergency
conditions.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper.
Retrievability:
Indexed by name.
Safeguards:
When not in use by an authorized person, these records will be
stored in lockable metal file cabinets or in secured areas.
Retention and disposal:
Disposition of records shall be in accordance with the NARA
Records Maintenance and Disposition Manual.
System manager(s) and address:
The NARA official with overall responsibility for the system of
records is the Director of Administrative Services, 7th and
Pennsylvania Avenue NW, Washington, DC. Since this is a
geographically dispersed system of records, individuals may gain
access to it by contacting the officials at locations listed in the
appendix following the NARA Notices.
Notification procedure:
NARA employees may obtain information as to whether they are part
of this system of records from the Director of Administrative
Services or the appropriate director of a Presidential Library,
Federal Records Center, Regional Archives, the Washington National
Records Center or National Personnel Records Center listed in the
appendix following the NARA Notices.
Record access procedures:
An individual can obtain information on the procedures for
gaining access to records from the Director of Administrative
Services or the appropriate director of a Presidential Library,
Federal Records Center, Regional Archives, the Washington National
Records Center, or National Personnel Records Center listed in the
appendix following the NARA Notices.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information is provided by subject individuals and their
supervisors.
NARA 13
System name: Defunct Agency Records.
System location:
This system of records is located in the Federal records centers
at the locations listed in the appendix following the NARA Notices.
Categories of individuals covered by the system:
Employees of defunct agencies and individuals who may have had
dealings with the defunct agencies.
Categories of records in the system:
Records other than those covered by Governmentwide systems which
are arranged or can be retrieved alphabetically by name or other
personal identifiers.
Authority for maintenance of the system:
44 U.S.C. 2108.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The routine use of statements A, B, C, F, and G, described in the
appendix following the NARA notices, apply to this system of records.
The records, if unscheduled for disposition, are routinely used
during the appraisal process.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders and card files, microfilm records
in reels, and computer records on tapes. All records are stored in
record center containers.
Retrievability:
Records are retrieved generally by name or social security
number.
Safeguards:
When not in use by an authorized person, the records are stored
in record center containers located in Federal records center storage
areas.
Retention and disposal:
Records appraised as permanent will be transferred to the custody
of the Office of the National Archives. Records appraised as
temporary will be destroyed immediately or after a fixed period of
time, whichever is approved by the Archivist of the United States.
System manager(s) and address:
The system manager is the Deputy Archivist of the United States,
7th and Pennsylvania Avenue NW, Washington, DC. Mailing address:
National Archives and Records Administration (ND), Washington, DC
20408.
Notification procedure:
Requests for assistance should be made to the Deputy Archivist of
the United States, National Archives and Records Administration (ND),
Washington, DC 20408.
Record access procedures:
NARA procedures for record access are contained in 36 CFR part
1202.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Upon termination of an agency, the agency transfers its records
to the custody of NARA.
NARA 14
System name: Payroll and Time and Attendance Reporting System.
System location:
This system of records is located in the NARA offices wherever
there are timekeepers and at the addresses listed in the appendix
following the NARA Notices. An automated series of records in this
system, the Payroll Information Processing System (PIPS), is
maintained for NARA by the General Services Administration under a
reimbursable agreement.
Categories of individuals covered by the system:
Current and former NARA employees.
Categories of records in the system:
The system provides for reporting each employee's pay status as
either on the job time or as paid or unpaid time, including absences
without authorized leave. Accordingly, records include but are not
limited to name, home address, telephone number, work location,
social security number, hours of duty, and payroll and attendance
information.
Authority for maintenance of the system:
5 U.S.C., Part III (sec 2101-8901), is the authority for the
overall system. Specific authority for use of social security numbers
is contained Executive Order 9397, 26 CFR 31.6011(b)2, and 26 CFR
31.6109-1.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
To the extent necessary, the records are available outside NARA
to monitor and document grievance proceedings, EEO complaints, and
adverse actions; and to conduct counseling sessions. The information
contained in this system of records may be disclosed to the Office of
Management and Budget in connection with the review of private relief
legislation at any stage of the legislative coordination and
clearance process. A record from this system of records may be
provided to the Office of Personnel Management in its production of
summary descriptive statistics for which these records are collected
and maintained, or for related work studies. While published
statistics and studies do not contain individual identifiers, in some
instances the selection of elements of data included in the study may
be structured in a way to make individuals identifiable by inference.
The routine use statements A, B, C, D, E, F, G, and H, described in
the appendix following the NARA Notices, also apply to this system of
records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders, card files, and cabinets;
microfilm records in reels and cabinets; microfiche in cabinets;
magnetic tapes and cards in cabinets and storage libraries; and
computer records within a computer and attached equipment.
Retrievability:
Filed alphabetically by name.
Safeguards:
Stored in guarded buildings and/or in controlled areas.
Retention and disposal:
Disposition of these records will be in accordance with the NARA
Records Maintenance and Disposition Manual.
System manager(s) and address:
Chief, National Payroll Center, General Services Administration,
1500 E. Bannister, Kansas City, MO 64131. Mailing Address: Chief,
National Payroll Center (6BCY-N), PO Box 419277, Kansas City, MO
64414.
Notification procedure:
Current NARA employees may obtain information about this system
of records from their supervisor or from the address listed above.
Former NARA employees may obtain information at the address listed
above.
Record access procedures:
Requests from current or former NARA employees to access records
should be directed to the employee's superior or to the Chief,
National Payroll Center at the address noted above, whichever is
applicable. For written requests, former NARA employees should
provide full name, social security number, address, telephone number,
and approximate dates and places of employment. For identification
requirements, refer to the agency regulations as outlined in 36 CFR
part 1202.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
The individuals themselves, other NARA employees, supervisors,
other Federal agencies, and management officials.
NARA 15
System name: Editorial Freelance Vendor File.
System location:
The system is located in the National Archives Building.
Categories of individuals covered by the system:
Former and current freelance vendors qualified to perform
editorial services.
Categories of records in the system:
Correspondence with the biographical information about former and
current editorial freelance vendors, including all or parts of the
following: Name, address, telephone number, education, professional
vita, samples of work, assignments and evaluations of work done for
NARA, and purchase order documents.
Authority for maintenance of the system:
44 U.S.C. 2104.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records are used by the employees of NARA who have a need for
the records in the performance of their duties to review professional
qualifications of freelance contract editors; to make editorial
assignments to freelance contract editors; to review progress being
made on an assignment; to evaluate the quality of work performed
during an assignment; and to account for money spent on contract
editorial work.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
Filed alphabetically by name of individual.
Safeguards:
System is in a locked file cabinet.
Retention and disposal:
Disposition of these records will be in accordance with the NARA
Records Maintenance and Disposition Manual.
System manager(s) and address:
The officials responsible for this system are the Director,
Publications Division (NEP) and the Chief, Archival Publications
Staff (NN-E) in the National Archives Building. The address for this
location is listed in the appendix following the NARA notices.
Notification procedure:
Information may be obtained from the applicable system manager.
Record access procedures:
Requests for these records should be addressed to the Director,
Publications Division, Office of Public Programs or the Chief,
Archival Publications Staff, Office of the National Archives, as
appropriate. In-person requests may be made during normal business
hours. For written requests, provide full name, address, telephone
number, and data span. For personal visits, individuals should
provide some acceptable identification, such as a driver's license or
employee identification card. Only general inquiries may be made by
telephone.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Former and current freelance vendors qualified to perform
editorial services and NARA employees.
NARA 16
System name: Library Circulation Files.
System location:
This system of records is located in the Reference Services
Branch in the National Archives Building and the Washington National
Records Center. The addresses are listed in the appendix following
the NARA notices.
Categories of individuals covered by the system:
All NARA employees who have borrowed books and other materials
from the Library.
Categories of records in the system:
Specialized forms giving the names of individuals, materials
borrowed, and dates of loan.
Authority for maintenance of the system:
44 U.S.C. 2104.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records are primarily used by the Reference Services Branch
staff for controlling the circulation of library monographs and
serials. The routine use statements A and F, described in the
appendix following the NARA Notices, apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file trays.
Retrievability:
Filed alphabetically by name.
Safeguards:
Records are stored in an area available to authorized Reference
Services Branch personnel only.
Retention and disposal:
Disposition of records is in accordance with the NARA Records
Maintenance and Disposition Manual.
System manager(s) and address:
The Chief, Reference Services Branch (NNRS), 7th and Pennsylvania
Avenue, NW, Washington, DC. Mailing address: National Archives and
Records Administration (NNRS), Washington, DC 20408.
Notification procedure:
NARA employees may obtain information about whether they are part
of this system of records from the Library staff at the address
listed above.
Record access procedures:
Requests from NARA employees to gain access to information
pertaining to them should be directed to the Chief, Reference
Services Branch (NNRS), 7th and Pennsylvania Avenue NW, Washington,
DC. For identification requirements refer to the agency regulations
as outlined in 36 CFR part 1202.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
NARA employees borrowing books and other materials from the
National Archives Library.
NARA 17
System name: Grievance Records.
System location:
These records are located in the personnel offices of NARA at the
location listed in the appendix following the NARA Notices or
designated offices in NARA where the grievances were filed.
Categories of individuals covered by the system:
Current or former NARA employees who have submitted grievances
with NARA in accordance with the Office of Personnel Management (OPM)
Regulations (5 CFR part 771) or a negotiated procedure.
Categories of records in the system:
This system of records contains records relating to grievances
filed by NARA employees under the OPM regulations. These case files
contain all documents related to grievances including statements of
witnesses, reports of interviews and hearings, examiner's findings
and recommendations, a copy of the original and final decision, and
related correspondence and exhibits. This system also includes files
and records of internal grievances filed under negotiated grievance
procedures.
Authority for maintenance of the system:
5 U.S.C. 1302, 3301, and 3302; E.O. 10577 (3 CFR 1954-1958 Comp.,
p. 218); E.O. 10987 (3 CFR 1959-1963 Comp., p. 519).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records in this system of records are used to disclose
information to any source from which additional information is
requested in the course of processing a grievance, to the extent
necessary to identify an individual, inform the source of the
purpose(s) of the request and identify the type of information
requested. They are also used to provide information to officials of
labor organizations recognized under the Civil Service Reform Act
when relevant and necessary to their duties of exclusive presentation
concerning personnel policies, practices, and matters affecting work
conditions. The routine use statements D, F, G, and H, described in
the appendix following the NARA Notices, also apply to this system of
records.
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 retrieved by the names of the individuals on
whom they are maintained.
Safeguards:
These records are maintained in lockable metal filing cabinets to
which only authorized personnel have access.
Retention and disposal:
These records are disposed of 3 years after closing of the case.
Disposal is by shredding or burning.
System manager(s) and address:
The Director, Personnel Service Division, 601 D Street NW,
Washington, DC. Mailing address: National Archives and Records
Administration (NAP), Washington, DC 20408.
Notification procedure:
It is required that individuals submitting grievances be provided
a copy of the record under the grievance process. They may, however,
contact the NARA personnel, or other designated office, where the
action was processed regarding the existence of such records on them.
They must furnish the following information for their records to be
located and identified: Name, date of birth, approximate date of
closing of the case and kind of action taken, and the organization
component involved.
Record access procedures:
It is required that individuals submitting grievances be provided
a copy of the record under the grievance process. However, after the
action has been closed, an individual may request access to the
official copy of the grievance file by contacting the NARA personnel
or other designated office where the action was processed.
Individuals must provide the following information for their records
to be located and identified: Name, date of birth, approximate date
of closing of the case, kind of action taken, and organizational
component involved. Individuals requesting access must also follow
the NARA regulations as outlined in 36 CFR part 1202 regarding access
to records.
Contesting record procedures:
Review of requests from individuals seeking amendment of their
records which have been the subject of a judicial or quasi-judicial
action will be limited in scope. Review of amendment requests of
these records will be restricted to determine if the record
accurately documents the action of NARA's ruling on the case and will
not include a review of the merits of the action, determination, or
finding. Individuals wishing to request amendment of their records to
correct factual errors should contact the NARA personnel or
designated office where the grievance was processed. Individuals must
furnish the following information for their records to be located and
identified: Name, date of birth, approximate date of closing of the
case, kind of action taken, and organizational component involved.
Individuals must also follow the NARA Privacy Act regulations
outlined in 36 CFR part 1202 regarding amendment to records.
Record source categories:
Information in this system of records is provided by the
individual on whom the record is maintained, by testimony of
witnesses, by agency officials, and from related correspondence from
organizations or persons.
NARA 18
System name: General Law Files.
System location:
This system of records is maintained by the Legal Service Staff,
National Archives Building, 7th and Pennsylvania Avenue NW,
Washington, DC. Mailing address: National Archives and Records
Administration (NSL), Washington, DC 20408.
Categories of individuals covered by the system:
The system covers one or more of the following categories of
individuals: NARA employees, past and present; other Federal agency
employees; members of the public (including individuals,
corporations, and firms); witnesses in litigation; persons who have
Freedom of Information and Privacy Act requests and persons about
whom such requests have been made; persons pursuing tort claims
against the Government or who are involved in litigation with NARA
and/or have filed grievances.
Categories of records in the system:
The system covers one or more of the following categories of
records: Name of individual; position description, grade, salary;
SSN; work history; complaint; history of the case; applicable law;
working papers of attorneys; testimony of witnesses; background
investigation materials, records subject to complaint, request, or
litigation; correspondence; damage reports; contracts, accident
reports, pleadings; affidavits; credit ratings; medical diagnoses and
prognoses; doctor's bills; estimates of repair costs; invoices;
litigation reports; financial data; and other data.
Authority for maintenance of the system:
5 U.S.C. 552 as amended; 5 U.S.C. 552a; 5 U.S.C., Part II; 5
U.S.C., Chapter 33; 5 U.S.C. 5108, 5314-5316 and 42 U.S.C. 20003, et
seq.; 5 U.S.C. 7151-7154; 5 U.S.C. 7301; 5 U.S.C. 7501, note (adverse
actions); 5 U.S.C., Chapter 77; 11 U.S.C.; 28 U.S.C. 1291,
1346(b)(c), 1402(b), 1504, 2110, 2401(b), 2402, 2411(b), 2412(c),
2671-2680; 31 U.S.C. 191; 31 U.S.C. 951-953, 341 U.S.C. 240-243; E.O.
6166; E.O. 10577; E.O. 11491; E.O. 11787.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records are used to give general legal advice, as requested,
throughout NARA and to prepare attorneys for hearings and trials, to
reference past actions, and to maintain internal statistics.
Information may be released to the Department of Justice in review,
settlement, defense, and prosecution of claims, complaints, and law
suits involving contracts, torts, debts, bankruptcy, personnel
adverse action, EEO, unit determination, unfair labor practices, and
Freedom of Information and Privacy Act requests. The routine use
statements A, B, C, E, F, and G, described in the appendix following
the NARA notices, also supply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper.
Retrievability:
Manual, by name.
Safeguards:
Records are stored in secured buildings; available to authorized
persons only.
Retention and disposal:
Disposition of records shall be in accordance with the NARA
Records Maintenance and Disposition Manual.
System manager(s) and address:
The system manager for the system is: Director, Legal Services
Staff (NSL).
Notification procedure:
NARA notification procedures are contained in 36 CFR part 1202.
Record access procedures:
NARA procedures for record access are contained in 36 CFR part
1202.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in this system of records comes from one or more of
the following sources: Federal employees and private parties involved
in torts, contracts, personnel actions, unfair labor practices, and
debts concerning the Federal Government; general law texts and
sources; Dun and Bradstreet and other sources of financial
information; law enforcement officers; and witnesses.
NARA 19
System name: Workers Compensation Case Files.
System location:
This system of records is located in the Employee and Labor
Relations Branch, 601 D Street, NW, Washington, DC; in administrative
offices of field units; and in the offices of all supervisors who
have had employees injured on the job or employees with other
occupational health problems. The addresses for these locations are
listed in the appendix following the NARA Notices.
Categories of individuals covered by the system:
NARA employees who have sustained injuries or other occupational
health problems.
Categories of records in the system:
This system contains accident reports (including CA-1 & 2:
Federal Employees Notice of Injury or Occupational Disease); claims
for compensation for injury or occupation disease (CA-4); and claims
for continuance of compensation on account of disability (CA-8).
Authority for maintenance of the system:
5 U.S.C. Chap. 81 (Compensation for Work Injuries) and 5 U.S.C.
7203 and 7901.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records in this system of records are used to identify and
record those employees who have sustained injuries or other
occupational health problems and provide information required by
applicable law to be disclosed to a Federal, State, or local public
health service agency concerning individuals who have contracted
certain communicable diseases or conditions. Such information is used
to prevent further outbreak of the disease or condition and is used
in connection with a claim for benefits filed by an employee. The
routine use statements A, B, C, F, and G, described in the appendix
following the NARA Notices, also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file cabinets.
Retrievability:
Filed alphabetically at each location by name.
Safeguards:
When not in use by an authorized person, these records are stored
in lockable metal file cabinets or in secured rooms.
Retention and disposal:
Disposition of records shall be in accordance with the NARA
Records Maintenance and Disposition Manual.
System manager(s) and address:
Chief, Employee and Labor Relations Branch, 601 D Street NW,
Washington, DC. Mailing address: National Archives and Records
Administration (NAPL), Washington, DC 20408.
Notification procedure:
Current NARA employees may obtain information about whether they
are a part of this system of records from their supervisor or from
their administrative officer at the appropriate address listed in the
appendix following the NARA Notices, or from the Chief, Labor and
Employee Relations Branch at the address noted above, whichever is
applicable. Former NARA employees may obtain information from the
appropriate administrative officer at the addresses listed in the
appendix.
Record access procedures:
Requests from current NARA employees to gain access to
information pertaining to them should be directed to their supervisor
or to their administrative officer at the appropriate address listed
in the appendix following the NARA Notices, or to the Chief, Labor
and Employee Relations Branch at the address noted above, whichever
is applicable. Former NARA employees should direct requests to gain
access to information pertaining to them to the appropriate
administrative officer at the address listed in the appendix. For
identification requirements, refer to the agency regulations as
outlined in 36 CFR part 1201.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in this system of records is provided by the
individuals to whom the records pertain, by supervisors required to
complete various forms, or by the personnel specialists who prepare
various records or claims.
NARA 20
System name: Reviewer/Consultant File.
System location:
This system of records is located at the National Historical
Publications and Records Commission, 7th and Pennsylvania Avenue NW,
Washington, DC.
Categories of individuals covered by the system:
Archival reviewers and consultants who apply to serve as
consultants or reviewers for the National Historical Publications and
Records Commission's (NHPRC) records grant program.
Categories of records in the system:
Biographical information about the reviewers and consultants
including name, address, telephone number, education, professional
vita, publications, archival skills, archival and historical records
experience, and program evaluation experience.
Authority for maintenance of the system:
44 U.S.C. 2501-2506.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The biographical material is used by NHPRC staff principally in
the records grant program for selecting reviewers to evaluate
proposals received by NHPRC and for proposing possible archival
consultants for those individuals who have received grants. The
routine use statement F, described in the appendix following the NARA
Notices, also applies to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
Filed alphabetically by name of individual.
Safeguards:
During normal hours of operation, records are maintained in areas
accessible only to authorized personnel of NARA. After hours, the
building has security guards and/or doors are secured and all
entrances are monitored by electronic surveillance equipment.
Retention and disposal:
Records are destroyed when no longer needed for administrative
purposes.
System manager(s) and address:
The official responsible for the system is the Executive
Director, National Historical Publications and Records Commission,
7th and Pennsylvania Avenue, NW, Washington, DC. Mailing address:
National Historical Publications and Records Commission (NP),
Washington, DC 20408.
Notification procedure:
Inquiries by individuals as to whether the system contains a
record pertaining to themselves should be addressed to the system
manager.
Record access procedures:
Requests from individuals for access to records should be
addressed to the system manager. In-person requests may be made
during normal business hours. For written requests individuals should
provide full name, address, telephone number, and approximate date of
communication with the Commission. For personal visits, individuals
should be able to provide some acceptable identification such as a
driver's license or employee identification card. Only general
inquiries may be made by telephone.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Archival experts who have volunteered to serve as reviewers or
consultants.
NARA 21
System name: Fellowship and Editing Institute Files.
System location:
This system of records is located at the National Historical
Publications and Records Commission, 7th and Pennsylvania Avenue, NW,
Washington, DC.
Categories of individuals covered by the system:
Those individuals who apply for the National Historical
Publications and Records Commission (NHPRC) Fellowships in Archival
Administration and Documentary Editing and to attend the NHPRC
Institute for the Editing of Historical Documents.
Categories of records in the system:
Biographical information about the applicants including name,
address, telephone number, education, professional vita,
publications, archival skills, archival and historical records
experience, and college transcripts.
Authority for maintenance of the system:
44 U.S.C. 2504 and 2506.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The information in the system will be used by: (1) The staff of
the National Historical Publications and Records Commission (NHPRC)
to evaluate the eligibility of applicants for NHPRC fellowships, to
select applicants to attend the Editing Institute, and for grant-
making and grant administration; (2) institutions and documentary
editing projects pre-selected by NHPRC who may host and select the
fellow; (3) resident advisors of the Editing Institute to determine
the most useful areas of instruction for the selected applicants; and
(4) by any of these parties to verify the status of an applicant. The
routine use statement F, described in the Federal Register Privacy
Act Issuances, 1991 Compilation, Volume V, also applies to this
system.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
Filed alphabetically by name of individual, in program files or
grant files.
Safeguards:
During normal hours of operation, records are maintained in areas
accessible only to authorized personnel of NARA. After hours, the
building has security guards and/or doors are secured and all
entrances are monitored by electronic surveillance equipment.
Retention and disposal:
Fellowship records on successful applications are transferred to
grant case files and usually destroyed when 15 years old. On
occasion, fellowship (grant) records may be selected by the Program
Director for permanent retention because of certain unique
characteristics. Editing Institute records on successful applications
are destroyed when 10 years old. Fellowship and Institute records on
unsuccessful (rejected or withdrawn) applications are destroyed when
5 years old.
System manager(s) and address:
The official responsible for the system is the Program Director,
National Historical Publications and Records Commission, 7th and
Pennsylvania Avenue, NW, Washington, DC. Mailing address: National
Historical Publications and Records Commission (NP), Washington, DC
20408.
Notification procedure:
Inquiries by individuals as to whether the system contains a
record pertaining to themselves should be addressed to the system
manager.
Record access procedures:
Requests from individuals for access to records should be
addressed to the system manager. In-person requests may be made
during normal business hours. For written requests individuals should
provide full name, address, telephone number, and approximate date of
communication with the Commission. For personal visits, individuals
should be able to provide some acceptable identification such as a
driver's license or employee identification card. Only general
inquiries may be made by telephone.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Individuals who have applied for either an archival
administration or documentary editing fellowship under the grant
program of the NHPRC or to attend the Institute for the Editing of
Historical Documents.
NARA 22
System name: Employee Related Files.
System location:
This system of records may be maintained at the supervisory or
administrative offices at all NARA facilities.
Categories of individuals covered by the system:
Former and current NARA employees, applicants for employment,
volunteer workers, and relatives of employees of the National
Personnel Records Center.
Categories of records in the system:
This system consists of a variety of employee related records
maintained by operating officials for the purpose of administering
personnel matters affecting their employees and uncompensated
workers. The documents include, but are not limited to, information
on the individuals relating to name, social security number, birth
date, home and emergency addresses and telephone numbers, personnel
actions, professional registration, qualifications, training,
congressional employee relief bills, injuries, employment history,
awards and other recognition, counseling, warnings, reprimands,
grievances, appeals, conduct, leave, pay, attendance, work
assignments, performance, assessments, applications for permits and
passes, indebtedness complaints, travel, and outside employment. The
documents include military service data on employees of the National
Personnel Records Center and their relatives accumulated by operating
officials in administering the records security program at the
Center. This system does not include official personnel files which
are covered by the Office of Personnel Management's systems of
records OPM/GOVT-1 through 10.
Authority for maintenance of the system:
Titles 5 and 31 U.S.C. generally.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records in this system of records are used to initiate
requests for personnel actions, to plan and schedule training, to
counsel employees on their performance, to establish a basis for
proposing recommendations for disciplinary actions, and to carry out
personnel management responsibilities in general. The routine use
statements A, B, C, D, F, and G, described in the appendix following
the NARA Notices, also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders and card files, magnetic tape and
disks, and computer printout.
Retrievability:
The records within this system are primarily retrieved by name.
Safeguards:
When not in use by an authorized person, these records are stored
in lockable file cabinets, lockable desk drawers, and/or in secured
rooms.
Retention and disposal:
Records are reviewed annually, documents are updated, and
irrelevant documents destroyed. No copies of records are retained in
this system after the original or copies of the same records have
been purged from the Official Personnel Folders. When an employee
leaves the agency through transfer or other separation, the records
in this system are immediately forwarded to the office maintaining
the Official Personnel Folder. There the records are screened to
ensure that there are no records that should be permanently filed in
the Official Personnel Folder. The records in this system are then
destroyed.
System manager(s) and address:
Administrative officers in NARA field facilities and all NARA
supervisors maintaining employee related files. The addresses of
Administrative officers and NARA supervisors are listed in the
appendix following the NARA Notices.
Notification procedure:
Information about whether an individual is a part of this system
of records may be obtained from the supervisors at the appropriate
repository where the individuals have records. If not known, general
inquiries should be made to the appropriate Head of the Offices or
Staffs. Their addresses are listed in the appendix following the NARA
Notices.
Record access procedures:
Requests from current NARA employees to gain access to
information pertaining to them should be directed to their supervisor
or to their personnel officer at the appropriate address listed in
the appendix following the NARA Notices, or to the Director,
Personnel Services Division at the address noted above, whichever is
applicable. Former NARA employees should direct requests to gain
access to information pertaining to them to the appropriate
administrative officer at the address listed in the appendix. For
identification requirements refer to the agency regulations as
outlined in 36 CFR part 1202.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
The individuals themselves, other employees, supervisors,
personnel records, and third parties submitting indebtedness
complaints.
NARA 23
System name: Investigation Case Files.
Security classification:
Some of the material contained in the system has been classified
in the interests of the national security pursuant to Executive Order
12356.
System location:
Investigative case files are maintained by the office conducting
the investigation. There are three locations for this system: The
Administrative Services Division (NAS) and the Legal Services Staff
(NSL) at the National Archives Building, and the Inspector General
(NG) at 601 D Street, NW, Washington, DC. Mailing address: National
Archives and Records Administration, Washington, DC 20408.
Categories of individuals in the system:
Individuals covered by the system are employees, applicants for
employment, and former employees of NARA and advisory committee
members. Also included are researchers, employees of contractors
performing custodial or guard services in buildings under NARA
jurisdiction, individuals who have been the source of a complaint or
an allegation that a crime has taken place, witnesses having
information or evidence concerning an investigation and suspects in
criminal, administrative, or civil actions.
Categories of records in the system:
Investigative files contain information such as name, date and
place of birth, experience, and investigatory material.
Authority for maintenance of the system:
5 U.S.C. App. Section 2 et seq.; Executive Order 10450; Executive
Order 11478; Executive Order 11246; Executive Order 12356; and 40
U.S.C. 276a through a-7, 276c, 318(a) through (d), and 327 through
331.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records are used to make determinations resulting from
authorized investigations and to document such investigations. The
routine use statements A, B, C, and G, described in the appendix
following the NARA Notices, apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in files and file folders.
Retrievability:
Records are retrieved by name from files that are indexed
alphabetically and filed numerically by case number or location and
incident.
Safeguards:
These records are maintained in lockable cabinets in rooms that
are secured at the close of the business day, in guarded buildings,
with access limited to authorized personnel.
System manager(s) and address:
The system managers are the Director of Administrative Services
(NAS) and the Director, Legal Services Staff (NSL) at the National
Archives Building, and the Inspector General (NG) at 601 D Street,
NW, Washington, DC. Mailing address: National Archives and Records
Administration, (followed by the appropriate mail routing code in
parentheses), Washington, DC 20408.
Notification procedure:
Inquiries made by individuals as to whether the system contains a
record pertaining to themselves should be addressed to the
appropriate system manager at the addresses and locations listed
above.
Record access procedures:
Requests from individuals for access to records should be
addressed to the Director of Administrative Services (NAS), the
Director, Legal Services Staff (NSL) or the Inspector General, as
appropriate. Requests should include full name (maiden name where
appropriate), address, and date and place of birth. Only general
inquiries may be made by phone.
Contesting record procedures:
NARA rules for contesting the contents and appealing intitial
determinations are found in 36 CFR part 1202.
Record source categories:
Individuals, employees, informants, law enforcement agencies,
other government agencies, intelligence sources, employers,
references, co-workers, neighbors, and educational institutions.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a (k)(1), (k)(2), and (k)(5), this
system of records is exempt from subsections (c)(3); (d); (e)(1);
(E)(4) (G), (H), and (I); and (f) of the Privacy Act of 1974. The
system is exempt:
a. To the extent that the system consists of investigatory
material compiled for law enforcement purposes; however, if any
individual is denied any right, privilege, or benefit to which the
individual would otherwise be eligible as a result of the maintenance
of such material, such material shall be provided to such individual,
except to the extent that the disclosure of such material would
reveal the identity of a person who furnished information to the
Government under an express promise that the identity of the person
would be held in confidence, or, prior to the effective date of the
Act, under an implied promise that the identity of the person would
be held in confidence; and
b. To the extent the system of invetigatory material compiled
solely for the purpose of determining suitability, eligibility, or
qualifications for Federal civilian employment, military service,
Federal contracts, or access to classified material, but only to the
extent that the disclosure of such material would reveal the identity
of a person who furnished information to the Government under an
express promise that the identity of the person would be held in
confidence, or, prior to the effective date of the Act, under an
implied promise that the identity of the person would be held in
confidence.
This system has been exempted to maintain the efficacy and
integrity of lawful investigations conducted pursuant to the
responsibilities of the Administrative Services Division, the Legal
Services Staff and the Inspector General in the areas of law
enforcement, Federal employment, Government contracts, and access to
security classified information.
NARA 24
System name: Personnel Security Files.
Security classification:
Some of the material contained in the system has been classified
in the interests of the national security pursuant to Executive Order
12356.
System location:
Personnel security files are maintained in the Personnel Services
Division (NAP), 601 D Street, NW, Washington, DC. Records relating to
violations of information security regulations are maintained by the
Administrative Services Division (NAS), National Archives Building,
7th and Pennsylvania Avenue, NW, Washington, DC.
Categories of individuals covered by the sysem:
Individuals covered by the system are employees, applicants for
employment, and former employees of NARA. Also included are
researchers, experts or consultants, and employees of contractors
performing services under NARA jurisdiction.
Categories of records in the system:
Personnel security files contain information such as name, date
and place of birth, address, social security number, education,
occupation, experience, and investigatory material. Information
security files contain records of security violations which may
include employees' names and positions.
Authority for maintenance of the system:
Executive Order 10450, as amended; Executive Order 12356; 31
U.S.C. 686; and 40 U.S.C. 318 (a) through (d).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records in this system of records are used as a basis for
issuance of security and ADP clearance and for recommending
administrative action against employees found to be in violation of
NARA information security regulations. The routine use statements A
and F, described in the appendix following the NARA notices, also
apply to this system of records
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders and microfiche in cabinets.
Retrievability:
Paper records are retrieved manually by name from files that are
indexed alphabetically and filed numerically by location and
incident. Microfiche records are filed alphabetically or by social
security number.
Safeguards:
Records are stored in locked, alarmed room and/or three-way
combination dial safes with access limited to authorized employees.
Information is released only to officials on a need-to-know basis.
Retention and disposal:
Disposition of these records is in accordance with the NARA
Records Maintenance and Disposition Manual.
System manager(s) and address:
The official responsible for the personnel security files is the
Director of Personnel Services (NAP), 601 D Street, NW, Washington,
DC (Mailing address: National Archives and Records Administration
(NAP), Washington, DC 20408). The official responsible for files
relating to violations of information security regulations is the
Director of Administrative Services (NAS), 7th and Pennsylvania
Avenue, NW, Washington, DC.
Notification procedure:
Inquiries by individuals as to whether the system contains a
record pertaining to themselves should be addressed to the applicable
system manager.
Record access procedures:
Requests from individuals for access to records should be
addressed to the applicable system manager and should include full
name (maiden name where appropriate), address, and date and place of
birth. Only general inquiries may be made by telephone.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Individuals, employees, informants, law enforcement agencies,
other Government agencies, employees references, co-workers,
neighbors, educational institutions, and intelligence sources.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a (k)(1), (k)(2), and (k)(5), the
personnel security case files in this system of records are exempt
from subsections (c)(3); (d); (e)(1); (e)(4) (G), (H), and (I); and
(f) of the Privacy Act of 1974, as amended. The system is exempt:
a. To the extent that the system consists of investigatory
material complied for law enforcement purposes; however, if any
individual is denied any right, privilege, or benefit to which the
individual would otherwise be eligible as a result of the maintenance
of such material, such material shall be provided to such individual,
except to the extent that the disclosure of such material would
reveal the identity of a person who furnished information to the
Government under an express promise that the identity of the person
would be held in confidence, or, prior to the effective date of the
Act, under an implied promise that the identity of the person would
be held in confidence; and
b. To the extent the system consists of investigatory material
compiled solely for the purpose of determining suitability,
eligibility, or qualifications for Federal civilian employment,
military service, Federal contracts, or access to classified
material, but only to the extent that the disclosure of such material
would reveal the indentity of a person who furnished information to
the Government under an express promise that the identity of the
person would be held in confidence, or, prior to the effective date
of the Act, under an implied promise that the identity of the person
would be held in confidence.
This system has been exempted to maintain the efficacy and
integrity of lawful investigations conducted pursuant to the
Administrative Services Division's and the Personnel Services
Division's responsibilities in the areas of Federal employment,
Government contracts, and access to security classified information.
Appendix A
The following routine use statements will apply to National
Archives and Records Administration notices where indicated:
A. Routine Use-Law Enforcement: In the event that a system of
records maintained by this agency to carry out its functions
indicates a violation or potential violation of law, whether civil,
criminal or regulatory in nature, and whether arising by general
statute or particular program statute, or by regulation, rule or
order issued pursuant thereto, the relevant records in the system of
records, may be referred, as a routine use, to the appropriate
agency, whether Federal, State, local, or foreign, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
B. Routine Use-Disclosure When Requesting Information: A record
from this system of records may be disclosed as a routine use to a
Federal, State, or local agency maintaining civil, criminal or other
relevant enforcement information or other pertinent information, such
as current licenses, if necessary, to obtain information relevant to
an agency decision concerning the hiring or retention of an employee,
the issuance of a security clearance, the letting of a contract, or
the issuance of a license, grant, or other benefit.
C. Routine Use-Disclosure of Requested Information: A record from
this system of records may be disclosed to a Federal agency, in
response to its request, in connection with the hiring or retention
of an employee, the issuance of a security clearance, conducting a
security or suitability investigation, classifying a job, the
reporting of an investigation of an employee, the letting of a
contract, or the issuance of a license, grant, or other benefit by
the requesting agency, to the extent that the information is relevant
and necessary to the requesting agency's decision on the matter.
D. Routine Use-Grievance, Complaint, Appeal: A record from this
system of records may be disclosed to an authorized appeal or
grievance examiner, formal complaints examiner, equal employment
opportunity investigator, arbitrator, or other duly authorized
official engaged in investigation or settlement of a grievance,
complaint, or appeal filed by an employee. A record from this system
of records may be disclosed to the United States Office of Personnel
Management in accordance with its responsibility for evaluation of
Federal personnel management. To the extent that official personnel
records in the custody of NARA are covered within the system of
records published by the Office of Personnel Management as
Governmentwide records, those records will be considered as a part of
that Governmentwide system. Other official personnel records covered
by notices published by NARA and considered to be separate systems of
records may be transferred to the Office of Personnel Management in
accordance with official personnel programs and activities as a
routine use.
E. Routine Use-Congressional Inquiries: A record from this system
of records may be disclosed as a routine use to a Member of Congress
or to a Congressional staff member in response to an inquiry of the
Congressional office made at the request of the individual about whom
the record is maintained.
F. Routine Use-NARA Agents: A record from this system of records
may be disclosed as a routine use to an expert, consultant, or a
contractor of NARA to the extent necessary for them to assist NARA in
the performance of its duties.
G. Routine Use-Department of Justice/Courts: A record from this
system of records may be disclosed to the Department of Justice or in
a proceeding before a court or adjudicative body before which NARA is
authorized to appear, when: (a) NARA, or any component thereof; or,
(b) any employee of NARA in his or her official capacity; or, (c) any
employee of NARA in his or her individual capacity where the
Department of Justice or NARA has agreed to represent the employee;
or (d) the United States, where NARA determines that litigation is
likely to affect the agency or any of its components, is a party to
litigation or has an interest in such litigation, and the use of such
records by the Department of Justice or by NARA before a court or
adjudicative body is deemed by NARA to be relevant and necessary to
the litigation, provided, however, that in each case, NARA determines
that disclosure of the records is a use of the information contained
in the records that is compatible with the purpose for which the
records were collected.
H. Routine Use-MSPB, FLRA, and EEOC: Information from this system
of records may be disclosed to officials of the Merit Systems
Protection Board or Federal Labor Authority, or the Equal Employment
Opportunity Commission when requested in performance of their
authorized duties.
APPENDIX B--ADDRESSES OF NARA FACILITIES
Washington, DC, Area Facilities
The National Archives Building, 700 Pennsylvania
Avenue, NW, Washington, DC 20408-0001
The National Archives at College Park, 8601 Adelphi
Road, College Park, MD 20740-6001
National Records Centers
Washington National Records Center, 4205 Suitland Road,
Washington, DC 20409-0002
Military Personnel Records, National Personnel Records
Center, 9700 Page Ave., St. Louis, MO 63132-5100
Civilian Personnel Records, National Personnel Records
Center, 111 Winnebago St., St. Louis, MO 63118-4199
Presidential Libraries
Herbert Hoover Library, 210 Parkside Dr., West Branch,
IA (Mailing address: PO Box 488, West Branch, IA 52358-
0488)
Franklin D. Roosevelt Library, 511 Albany Post Rd.,
Hyde Park, NY 12538-1999
Harry S. Truman Library, 500 W. US Hwy 24,
Independence, MO 64050-1798
Dwight D. Eisenhower Library, 200 SE Fourth Street,
Abilene, KS 67410-2900
John Fitzgerald Kennedy Library, Columbia Point,
Boston, MA 02125
Lyndon Baines Johnson Library, 2313 Red River St.,
Austin, TX 78705-5702
Gerald R. Ford Library, 1000 Beal Avenue, Ann Arbor, MI
48109-2114
Gerald R. Ford Museum, 303 Pearl St. NW, Grand Rapids
MI 49504-5353
Jimmy Carter Library, 1 Copenhill Ave. NE, Atlanta, GA
30307-1406
Ronald Reagan Library, 40 Presidential Dr., Simi
Valley, CA 93065-0666
George Bush Library, 1000 George Bush Dr. West, College
Station, TX 77845
Regional Records Services Facilities
NARA's Northeast Region (Boston), 380 Trapelo Road,
Waltham, MA 02452-6399
NARA's Northeast Region (Pittsfield), 10 Conte Drive,
Pittsfield, MA 01201-8230
NARA's Northeast Region (New York City), 201 Varick
Street, New York, NY 10014-4811
NARA's Mid Atlantic Region (Northeast Philadelphia),
14700 Townsend Road, Philadelphia, PA 19154-1096
NARA's Mid Atlantic Region (Center City Philadelphia),
900 Market Street, Philadelphia, PA 19107-4292
NARA's Southeast Region, 1557 St. Joseph Avenue, East
Point, GA 30344-2593
NARA's Great Lakes Region (Chicago), 7358 South Pulaski
Road, Chicago, IL 60629-5898
NARA's Great Lakes Region (Dayton), 3150 Springboro
Road, Dayton, OH 45439-1883
NARA's Central Plains Region (Kansas City), 2312 East
Bannister Road, Kansas City, MO 64131-3011
NARA's Central Plains Region (Lee's Summit), 200 Space
Center Drive, Lee's Summit, MO 64064-1182
NARA's Southwest Region, 501 West Felix Street,
Building 1, Fort Worth, TX 76115-3405 (Mailing Address:
PO Box 6216, Fort Worth, Texas 76115-0216)
NARA's Rocky Mountain Region, Building 48, Denver
Federal Center, West 6th Avenue and Kipling Street,
Denver, CO (Mailing Address: PO Box 25307, Denver, CO
80225-0307)
NARA's Pacific Region (San Francisco), 1000 Commodore
Drive, San Bruno, CA 94066-2350
NARA's Pacific Region (Laguna Niguel), 24000 Avila
Road, First Floor-East Entrance, Laguna Niguel, CA
(Mailing Address: PO Box 6719, Laguna Niguel, CA 92607-
6719)
NARA's Pacific Alaska Region (Seattle), 6125 Sand Point
Way NE, Seattle, WA 98115-7999
NARA's Pacific Alaska Region (Anchorage), 654 West
Third Avenue, Anchorage, AK 99501-2145
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
PART 1202--REGULATIONS IMPLEMENTING THE PRIVACY ACT OF 1974
Subpart A--General Information About the Privacy Act
Sec.
1202.1 What does this part cover?
1202.2 What this part does not cover.
1202.4 Definitions.
1202.6 Whom should I contact for Privacy Act matters at NARA?
1202.8 How does NARA handle records that are in Government-wide Privacy
Act systems?
1202.10 Does NARA handle access to and disclosure of records of defunct
agencies in the custody of NARA?
Subpart B--Collecting Information
1202.18 How does NARA collect information about individuals?
1202.20 What advisory information does NARA provide before collecting
information from me?
1202.22 Will NARA need my Social Security Number?
1202.24 Will NARA ever request information about me from someone else?
1202.26 Who will make sure that my record is accurate?
1202.28 What rules do NARA employees follow in managing personal
information?
1202.30 How does NARA safeguard its systems of records?
Subpart C--Individual Access to Records
1202.40 How can I gain access to NARA records about myself?
1202.42 How are requests for access to medical records handled?
1202.44 How long will it take for NARA to process my request?
1202.46 In what ways will NARA provide access?
1202.48 Will I have to pay for copies of records?
1202.50 Does NARA require prepayment of fees?
1202.52 How do I pay?
1202.54 On what grounds can NARA deny my Privacy Act request?
1202.56 How do I appeal a denial of my Privacy Act request?
1202.58 How are appeals processed?
Subpart D--Disclosure of Records
1202.60 When does NARA disclose a record in a Privacy Act system of
records?
1202.62 What are the procedures for disclosure of records to a third
party?
1202.64 How do I appeal a denial of disclosure?
1202.66 How does NARA keep account of disclosures?
Subpart E--Request to Amend Records
1202.70 Whom should I contact at NARA to amend records about myself?
1202.72 How does NARA handle requests to amend records?
1202.74 How will I know if NARA approved my amendment request?
1202.76 Can NARA deny my request for amendment?
1202.78 How do I accept an alternative amendment?
1202.80 How do I appeal the denial of a request to amend a record?
1202.82 How do I file a Statement of Disagreement?
1202.84 Can I seek judicial review?
Subpart F--Exemptions
1202.90 What NARA systems of records are exempt from release under the
National Security Exemption of the Privacy Act?
1202.92 What NARA systems of records are exempt from release under the
Law Enforcement Exemption of the Privacy Act?
1202.94 What NARA systems of records are exempt from release under the
Investigatory Information Material Exemption of the Privacy Act?
Authority: 5 U.S.C. 552a; 44 U.S.C. 2104(a).
Source 66 FR 65652, Dec. 20, 2001.
Subpart A--General Information About the Privacy Act
Sec. 1202.1 What does this part cover?
(a) This part covers requests under the Privacy Act (5 U.S.C. 552a)
for NARA operational records and records of defunct agencies stored in
NARA record centers.
(b) This part explains how NARA collects, uses and maintains records
about you that are filed by your name or other personal identifiers and
which are contained in a ``system of records'' as defined by 5 U.S.C.
552a(a)(5).
(c) This part describes the procedures to gain access to and contest
the contents of your records, and the conditions under which NARA
discloses such records to others.
Sec. 1202.2 What this part does not cover.
This part does not cover:
(a) Records that have been transferred into the National Archives of
the United States for permanent preservation. Archival records that are
contained in systems of records that become part of the National
Archives of the United States are exempt from most provisions of the
Privacy Act (see 5 U.S.C. 552a(l)(2) and (l)(3)). See subchapter C of
this chapter for rules governing access to these type records.
(b) Records of other agencies that are stored in NARA record centers
on behalf of that agency are governed by the Privacy Act rules of the
transferring agency. Send your request for those records directly to
those agencies.
(c) Personnel and medical records held by the National Personnel
Records Center (NPRC) on behalf of the Department of Defense and the
Office of Personnel Management. Privacy Act requests for these records
should come to the NPRC.
Sec. 1202.4 Definitions.
For the purposes of this part, the term:
(a) Access means a transfer of a record, a copy of a record, or the
information in a record to the subject individual, or the review of a
record by the subject individual.
(b) Agency means any executive department, military department,
Government corporation, Government-controlled corporation, or other
establishment in the executive branch of the Government (including the
Executive Office of the President), or any independent regulatory
agency.
(c) Defunct agency means an agency that has ceased to exist, and has
no successor in function.
(d) Defunct agency records means the records in a Privacy Act system
of a defunct agency that are stored in a NARA records center.
(e) Disclosure means a transfer by any means of a record, a copy of a
record, or the information contained in a record to a recipient other
than the subject individual, or the review of a record by someone other
than the subject individual.
(f) Individual means a citizen of the United States or an alien
lawfully admitted for permanent residence.
(g) Maintain includes maintain, collect, use, or disseminate.
(h) NARA Privacy Act Appeal Official means the Deputy Archivist of the
United States for appeals of denials of access to or amendment of
records maintained in a system of records, except where the system
manager is the Inspector General; then the term means the Archivist of
the United States.
(i) Record means any item, collection, or grouping of information
about an individual that is maintained by an agency, including, but not
limited to, his or her education, financial transactions, medical
history and criminal or employment history, and that contains his or her
name or an identifying number, symbol, or other identifying particular
assigned to the individual, such as a fingerprint, voiceprint, or
photograph. For purposes of this part, ``record'' does not mean archival
records that have been transferred to the National Archives of the
United States.
(j) Routine use means, with respect to the disclosure of a record, the
use of that record for a purpose which is compatible with the purpose
for which it was collected.
(k) Solicitation means a request by a NARA employee or contractor that
an individual provide information about himself or herself.
(l) Statistical record means a record in a system of records
maintained for statistical research or reporting purposes only and not
used in whole or in part in making any determination about an
identifiable individual, except as provided by 13 U.S.C. 8.
(m) Subject individual means the individual named or discussed in a
record or the individual to whom a record otherwise pertains.
(n) System manager means the NARA employee who is responsible for the
maintenance of a system of records and for the collection, use, and
dissemination of information in that system of records.
(o) System of records means a group of records from which information
is retrieved by the name of the individual or by some identifying
number, symbol, or other identifier assigned to that individual.
Sec. 1202.6 Whom should I contact for Privacy Act matters at NARA?
Contact the NARA Privacy Act Officer, National Archives and Records
Administration (NGC), Room 3110, 8601 Adelphi Road, College Park, MD
20740-6001, for guidance in making a Privacy Act request, or if you need
assistance with an existing request. The Privacy Act Officer will refer
you to the responsible system manager. Details about what to include in
your Privacy Act request are discussed in Subpart C of this part.
Sec. 1202.8 How does NARA handle records that are in Government-wide
Privacy Act systems?
Records in the custody of NARA in a Government-wide Privacy Act system
are the primary responsibility of another agency, e.g., the Office of
Personnel Management (OPM) or the Office of Government Ethics (OGE).
These records are governed by the regulations established by that agency
pursuant to the Privacy Act. NARA provides access using that agency's
regulations.
Sec. 1202.10 Does NARA handle access to and disclosure of records of
defunct agencies in the custody of NARA?
Yes, records of defunct agencies in the custody of NARA at a NARA
record center are covered by the provisions of this part.
Subpart B--Collecting Information
Sec. 1202.18 How does NARA collect information about individuals?
Any information that is used in making a determination about your
rights, benefits, or privileges under NARA programs is collected
directly from you--the subject individual-- to the greatest extent
possible.
Sec. 1202.20 What advisory information does NARA provide before
collecting information from me?
(a) Before collecting information from you, NARA will advise you of:
(1) The authority for collecting the information and whether providing
the information is mandatory or voluntary;
(2) The purpose for which the information will be used;
(3) The routine uses of the information; and
(4) The effect on you, if any, of not providing the information.
(b) NARA ensures that forms used to record the information that you
provide are in compliance with the Privacy Act and this part.
Sec. 1202.22 Will NARA need my Social Security Number?
(a) Before a NARA employee or NARA contractor asks you to provide your
social security number (SSN), he or she will ensure that the disclosure
is required by Federal law or under a Federal law or regulation adopted
before January 1, 1975.
(b) If you are asked to provide your SSN, the NARA employee or
contractor must first inform you:
(1) Whether the disclosure is mandatory or voluntary;
(2) The statute or authority under which your SSN is solicited; and
(3) How your SSN will be used.
Sec. 1202.24 Will NARA ever request information about me from
someone else?
NARA will make every effort to gather information from you directly.
When NARA solicits information about you from someone else, NARA will
explain to that person the purpose for which the information will be
used.
Sec. 1202.26 Who will make sure that my record is accurate?
The system manager ensures that all records used by NARA to make a
determination about any individual are maintained with such accuracy,
relevancy, timeliness, and completeness as is reasonably possible to
ensure fairness to you.
Sec. 1202.28 What rules do NARA employees follow in managing
personal information?
All NARA employees and contractors involved in the design,
development, operation or maintenance of any system of records must
review the provisions of the Privacy Act and the regulations in this
part. NARA employees and contractors must conduct themselves in
accordance with the rules of conduct concerning the protection of
nonpublic information in the Standards of Ethical Conduct for Employees
of the Executive Branch, 5 CFR 2635.703.
Sec. 1202.30 How does NARA safeguard its systems of records?
(a) The system manager ensures that appropriate administrative,
technical, and physical safeguards are established to ensure the
security and confidentiality of records. In order to protect against any
threats or hazards to their security or loss of integrity, paper records
are maintained in areas accessible only to authorized NARA personnel.
Electronic records are protected in accordance with the Computer
Security Act, OMB Circular A-11 requiring privacy analysis in reporting
to OMB, and are accessed via passwords from terminals located in
attended offices. After hours, buildings have security guards and/or
doors are secured and all entrances are monitored by electronic
surveillance equipment.
(b) The system manager, at his/her discretion, may designate
additional safeguards similar to or greater than those described in
paragraph (a) of this section for unusually sensitive records.
(c) The system manager only permits access to and use of automated or
manual personnel records to persons whose official duties require such
access, or to you or to a representative designated by you.
Subpart C--Individual Access to Records
Sec. 1202.40 How can I gain access to NARA records about myself?
(a) If you wish to request access to information about yourself
contained in a NARA Privacy Act system of records, you must notify the
NARA Privacy Act Officer, National Archives and Records Administration,
Rm. 3110, 8601 Adelphi Rd., College Park, MD 20740-6001. If you wish to
allow another person to review or obtain a copy of your record, you must
provide authorization for that person to obtain access as part of your
request.
(b) Your request must be in writing and the letter and the envelope
must be marked ``Privacy Act Request.'' Your request letter must
contain:
(1) The complete name and identifying number of the NARA system as
published in the Federal Register;
(2) A brief description of the nature, time, place, and circumstances
of your association with NARA;
(3) Any other information, which you believe, would help NARA to
determine whether the information about you is included in the system of
records;
(4) If you are authorizing another individual to have access to your
records, the name of that person; and
(5) A Privacy Act certification of identity. When you make a request
for access to records about yourself, you must verify your identity. You
must sign your request and your signature must either be notarized or
submitted by you under 28 U.S.C. 1746, a law that permits statements to
be made under penalty of perjury as a substitute for notarization. While
no specific form is required, you may obtain a Certification of Identity
form for this purpose from the NARA Privacy Act Officer. The following
information is required:
(i) Your full name;
(ii) An acknowledgment that you understand the criminal penalty in the
Privacy Act for requesting or obtaining access to records under false
pretenses (5 U.S.C. 552a(i)(3)); and
(iii) A declaration that your statement is true and correct under
penalty of perjury (18 U.S.C. 1001).
(c) The procedure for accessing an accounting of disclosure is
identical to the procedure for access to a record as set forth in this
section.
Sec. 1202.42 How are requests for access to medical records handled?
When NARA receives a request for access to medical records, if NARA
believes that disclosure of medical and/or psychological information
directly to you could have an adverse effect on you, you may be asked to
designate in writing a physician or mental health professional to whom
you would like the records to be disclosed, and disclosure that
otherwise would be made to you will instead be made to the designated
physician or mental health professional.
Sec. 1202.44 How long will it take for NARA to process my request?
(a) NARA will acknowledge your request within 10 workdays of its
receipt by NARA and if possible, will make the records available to you
at that time. If NARA cannot make the records immediately available, the
acknowledgment will indicate when the system manager will make the
records available.
(b) If NARA anticipates more than a 10 workday delay in making a
record you requested available, NARA also will explain in the
acknowledgment specific reasons for the delay.
(c) If your request for access does not contain sufficient information
to permit the system manager to locate the records, NARA will request
additional information from you. NARA will have 10 workdays following
receipt of the additional information in which to make the records
available or to acknowledge receipt of the request and to indicate when
the records will be available.
Sec. 1202.46 In what ways will NARA provide access?
(a) At your request, NARA will provide you, or a person authorized by
you, a copy of the records by mail or by making the records available in
person during normal business hours at the NARA facility where the
records are located. If you are seeking access in person, the system
manager will permit you to examine the original record, will provide you
with a copy of the records, or both.
(b) When obtaining access to the records in person at a NARA facility,
you must provide proof of identification either by producing at least
one piece of identification bearing a name or signature and either a
photograph or physical description (e.g., a driver's license or employee
identification card) or by signing the Certification of Identity form
described in Sec. 1204.40 (b)(5). NARA reserves the right to ask you to
produce additional pieces of identification to assure NARA of your
identity. You will also be asked to sign an acknowledgement that you
have been given access.
Sec. 1202.48 Will I have to pay for copies of records?
Yes. However NARA will waive fees for the first 100 pages copied or
when the cost to collect the fee will exceed the amount collected. When
a fee is charged, the charge per copy is $0.20 per page if NARA makes
the copy or $0.15 per page if you make the copy on a NARA self-service
copier. Fees for other reproduction processes are computed upon request.
Sec. 1202.50 Does NARA require prepayment of fees?
If the system manager determines that the estimated total fee is
likely to exceed $250, NARA will notify you that the estimated fee must
be prepaid before you can have copies of the records. If the final fee
is less than the amount you prepaid, NARA will refund the difference.
Sec. 1202.52 How do I pay?
You must pay by check or money order. Make your check or money order
payable to the National Archives and Records Administration and send it
to the NARA Privacy Act Officer, Room 3110, 8601 Adelphi Road, College
Park, MD 20740-6001.
Sec. 1202.54 On what grounds can NARA deny my Privacy Act request?
(a) NARA can deny your Privacy Act request for records if the records
are maintained in an exempt systems of records are described in subpart
F of this part.
(b) A system manager may deny your request for access to your records
only if:
(1) NARA has published rules in the Federal Register exempting the
pertinent system of records from the access requirement; and
(2) The record is exempt from disclosure under the Freedom of
Information Act (FOIA).
(c) Upon receipt of a request for access to a record which is
contained within an exempt system of records, NARA will:
(1) Review the record to determine whether all or part of the record
must be released to you in accordance with Sec. 1202.40, notwithstanding
the inclusion of the record within an exempt system of records; and
(2) Provide access to the record (or part of the record, if it is not
fully releasable) in accordance with Sec. 1202.46 or notify you that the
request has been denied in whole or in part.
(d) If your request is denied in whole or in part, NARA's notice will
include a statement specifying the applicable Privacy Act and FOIA
exemptions and advising you of the right to appeal the decision as
explained in Sec. 1202.56.
Sec. 1202.56 How do I appeal a denial of my Privacy Act request?
(a) If you are denied access in whole or in part to records pertaining
to yourself, you may file with NARA an appeal of that denial. Your
appeal letter must be post marked no later than 35 calendar days after
the date of the denial letter from NARA.
(1) Address appeals involving denial of access to Office of Inspector
General records to NARA Privacy Act Appeal Official (N), National
Archives and Records Administration, Room 4200, 8601 Adelphi Road,
College Park, MD 20740-6001.
(2) Address all other appeals to the NARA Privacy Act Appeal Official
(ND), National Archives and Records Administration, Room 4200, 8601
Adelphi Road, College Park, MD 20740-6001.
(b) All appeals of denial of access to the NARA Privacy Act Appeal
Official must be in writing. Mark both the envelope and the appeal
``Privacy Act `` Access Appeal.''
Sec. 1202.58 How are appeals processed?
(a) Upon receipt of your appeal, the NARA Privacy Act Appeal Official
will consult with the system manager, legal counsel, and such other
officials as may be appropriate. If the NARA Privacy Act Appeal Official
determines that the records you requested are not exempt from release,
NARA grants you access and so notifies you.
(b) If the NARA Privacy Act Appeal Official determines that your
appeal must be rejected, NARA will immediately notify you in writing of
that determination. This decision is final and cannot be appealed
further within NARA. NARA's notification to you will include:
(1) The reason for the rejection of the appeal; and
(2) Notice of your right to seek judicial review of NARA's final
determination, as described in 36 CFR 1202.84.
(c) NARA will make its final determination no later than 30 workdays
from the date on which NARA receives your appeal. NARA may extend this
time limit by notifying you in writing before the expiration of the 30
workdays. This notification will include an explanation of the reasons
for the time extension.
Subpart D--Disclosure of Records
Sec. 1202.60 When does NARA disclose a record in a Privacy Act
system of records?
NARA will not disclose any records in a Privacy Act system of records
to any person or to another agency without the express written consent
of the subject individual unless the disclosure is:
(a) To NARA employees who have a need for the information in the
official performance of their duties;
(b) Required by the provisions of the Freedom of Information Act, as
amended;
(c) For a routine use that has been published in a notice in the
Federal Register;
(d) To the Bureau of Census for purposes of planning or carrying out a
census or survey or related activity pursuant to title 13 U.S.C.;
(e) To a person who has provided NARA with advance adequate written
assurance as specified in Sec. 1202.62(a) that the record will be used
solely as a statistical research or reporting record. (Personal
identifying information is deleted from the record released for
statistical purposes. The system manager ensures that the identity of
the individual cannot reasonably be deduced by combining various
statistical records.)
(f) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the United States Government or for evaluation by the
Archivist or the designee of the Archivist to determine whether the
record has such value;
(g) To another agency or any governmental jurisdiction within or under
the control of the United States for a civil or criminal law enforcement
activity if the activity is authorized by law, and if the head of the
agency or his or her other designated representative has made a written
request to NARA specifying the particular portion desired and the law
enforcement activity for which the record is sought;
(h) To a person showing compelling circumstances affecting the health
or safety of an individual, and not necessarily the individual to whom
the record pertains. A disclosure of this nature is followed by a
notification to the last known address of the subject individual;
(i) To either House of Congress or to a committee or subcommittee
(joint or of either House), in the course of the performance of official
legislative activities;
(j) To the Comptroller General or any of his authorized
representatives in the course of the performance of the duties of the
General Accounting Office;
(k) Pursuant to the order of a court of competent jurisdiction; or
(l) To a consumer reporting agency in accordance with 31 U.S.C.
3711(e).
Sec. 1202.62 What are the procedures for disclosure of records to a
third party?
(a) To obtain access to records about a person other than yourself,
address the request to the NARA Privacy Act Officer, National Archives
and Records Administration, Room 3110, 8601 Adelphi Rd., College Park,
MD 20740-6001. If you are requesting access for statistical research as
described in Sec. 1202.60(e), you must submit a written statement that
includes as a minimum:
(1) A statement of the purpose for requesting the records; and
(2) Certification that the records will be used only for statistical
purposes.
(b) NARA will acknowledge your request within 10 workdays and will
make a decision within 30 workdays, unless NARA notifies you that the
time limit must be extended for good cause.
(c) Upon receipt of your request, NARA will verify your right to
obtain access to documents pursuant to Sec. 1202.60. Upon verification,
the system manager will make the requested records available to you.
(d) If NARA determines that the disclosure is not permitted under
Sec. 1202.60, the system manager will deny your request in writing. NARA
will inform you of the right to submit a request for review of the
denial and a final determination to the appropriate NARA Privacy Act
Appeal Officer.
Sec. 1202.64 How do I appeal a denial of disclosure?
(a) Your request for a review of the denial of disclosure to records
maintained by the Office of the Inspector General must be addressed to
the NARA Privacy Act Appeal Officer (N), National Archives and Records
Administration, Room 4200, 8601 Adelphi Rd., College Park, MD 20740-
6001.
(b) Requests for a review of a denial of disclosure to all other NARA
records must be addressed to the NARA Privacy Act Appeal Officer (ND),
National Archives and Records Administration, Room 4200, 8601 Adelphi
Rd., College Park, MD 20740-6001.
Sec. 1202.66 How does NARA keep account of disclosures?
(a) Except for disclosures made to NARA employees in the course of the
performance of their duties or when required by the Freedom of
Information Act (see Sec. 1202.60(a) and (b)), NARA keeps an accurate
accounting of each disclosure and retains it for 5 years after the
disclosure or for the life of the record, whichever is longer. The
accounting includes the:
(1) Date of disclosure;
(2) Nature, and purpose of each disclosure; and
(3) Name and address of the person or agency to which the disclosure
is made.
(b) The system manager also maintains with the accounting of
disclosures:
(1) A full statement of the justification for the disclosures;
(2) All documentation surrounding disclosure of a record for
statistical or law enforcement purposes; and
(3) Evidence of written consent by the subject individual to a
disclosure, if applicable.
(c) Except for the accounting of disclosures made for a law
enforcement activity (see Sec. 1202.60(g)) or of disclosures made from
exempt systems (see subpart F of this part), the accounting of
disclosures will be made available to the subject individual upon
request. Procedures for requesting access to the accounting of
disclosures are in subpart C.
Subpart E--Request To Amend Records
Sec. 1202.70 Whom should I contact at NARA to amend records about
myself?
If you believe that a record that NARA maintains about you is not
accurate, timely, relevant or complete, you may request that the record
be amended. Write to the NARA Privacy Act Officer, Room 3110, 8601
Adelphi Rd, College Park, MD 20470-6001. Employees of NARA who desire to
amend their personnel records should write to the Director, Human
Resources Services Division. You should include as much information,
documentation, or other evidence as needed to support your request to
amend the pertinent record. Mark both the envelop and the letter with
the phrase ``Privacy Act--Request To Amend Record.''
Sec. 1202.72 How does NARA handle requests to amend records?
(a) NARA will acknowledge receipt of a request to amend a record
within 10 workdays. If possible, the acknowledgment will include the
system manager's determination either to amend the record or to deny
your request to amend as provided in Sec. 1202.76.
(b) When reviewing a record in response to your request to amend, the
system manager will assess the accuracy, relevance, timeliness, and
completeness of the existing record in light of your proposed amendment
to determine if your request to amend is justified. If you request the
deletion of information, the system manager also will review your
request and the existing record to determine whether the information is
relevant and necessary to accomplish NARA's purpose, as required by law
or Executive order.
Sec. 1202.74 How will I know if NARA approved my amendment request?
If NARA approves your amendment request, the system manager will
promptly make the necessary amendment to the record and will send a copy
of the amended record to you. NARA will also advise all previous
recipients of the record, using the accounting of disclosures, that an
amendment has been made and give the substance of the amendment. Where
practicable, NARA will also send a copy of the amended record to
previous recipients.
Sec. 1202.76 Can NARA deny my request for amendment?
If the system manager denies your request to amend or determines that
the record should be amended in a manner other than that requested by
you, NARA will advise you in writing of the decision. The denial letter
will state:
(a) The reasons for the denial of your amendment request;
(b) Proposed alternative amendments, if appropriate;
(c) Your right to appeal the denial; and
(d) The procedures for appealing the denial.
Sec. 1202.78 How do I accept an alternative amendment?
If your request to amend a record is denied and NARA suggested
alternative amendments, and you agree to those alternative amendments,
you must notify the Privacy Act Officer who will then make the necessary
amendments in accordance with Sec. 1202.74.
Sec. 1202.80 How do I appeal the denial of a request to amend a
record?
(a) If you disagree with a denial of your request to amend a record,
you can file an appeal of that denial.
(1) Address your appeal of the denial to amend records signed by a
system manager other than the Inspector General, to the NARA Privacy Act
Appeal Official (ND), Room 3110, 8601 Adelphi Road, College Park, MD,
20740-6001.
(2) Address the appeal of the denial to amend records signed by the
Inspector General to the NARA Privacy Act Appeal Official (N), Room
3110, 8601 Adelphi Road, College Park, MD, 20740-6001.
(3) For current NARA employees if the denial to amend concerns a
record maintained in the employee's Official Personnel Folder or in
another Government-wide system maintained by NARA on behalf of another
agency, NARA will provide the employee with name and address of the
appropriate appeal official in that agency.
(b) Appeals to NARA must be in writing and must be postmarked no later
than 35 calendar days from the date of the NARA denial of a request to
amend. Your appeal letter and envelope must be marked ``Privacy Act--
Appeal''.
(c) Upon receipt of an appeal, the NARA Privacy Act Appeal Official
will consult with the system manager, legal counsel, and such other
officials as may be appropriate. If the appeal official determines that
the record should be amended, he or she will instruct the system manager
to amend the record in accordance with Sec. 1202.74 and will notify you
of that action.
(d) If, after consulting with officials specified in paragraph (c) of
this section, the NARA Privacy Act Appeal Official determines that your
appeal should be rejected, the NARA Privacy Act Appeal Official will
notify you in writing of that determination. This notice serves as
NARA's final determination on your request to amend a record. The letter
to you will include:
(1) The reason for the rejection of your appeal;
(2) Proposed alternative amendments, if appropriate, which you may
accept (see 36 CFR 1202.78 for the procedure);
(3) Notice of your right to file a Statement of Disagreement for
distribution in accordance with Sec. 1202.82; and
(4) Notice of your right to seek judicial review of the NARA final
determination, as provided in Sec. 1202.84.
(e) The NARA final determination will be made no later than 30
workdays from the date on which the appeal is received by the NARA
Privacy Act Appeal Official. In extraordinary circumstances, the NARA
Privacy Act Appeal Official may extend this time limit by notifying you
in writing before the expiration of the 30 workdays. The notification
will include a justification for the extension of time.
Sec. 1202.82 How do I file a Statement of Disagreement?
If you receive a NARA final determination denying your request to
amend a record, you may file a Statement of Disagreement with the
appropriate system manager. The Statement of Disagreement must include
an explanation of why you believe the record to be inaccurate,
irrelevant, untimely, or incomplete. The system manager will maintain
your Statement of Disagreement in conjunction with the pertinent record.
The System Manager will send a copy of the Statement of Disagreement to
any person or agency to whom the record has been disclosed, only if the
disclosure was subject to the accounting requirements of Sec. 1202.60.
Sec. 1202.84 Can I seek judicial review?
Yes, within 2 years of receipt of a NARA final determination as
provided in Sec. 1202.54 or Sec. 1202.80, you may seek judicial review
of that determination. You may file a civil action in the Federal
District Court:
(a) In which you reside or have a principal place of business;
(b) In which the NARA records are located; or
(c) In the District of Columbia.
Subpart F--Exemptions
Sec. 1202.90 What NARA systems of records are exempt from release
under the National Security Exemption of the Privacy Act?
(a) The Investigative Case Files of the Inspector General (NARA-23)
and the Personnel Security Case Files (NARA-24) systems of records are
eligible for exemption under 5 U.S.C. 552a(k)(1) because the records in
these systems:
(1) Contain information specifically authorized under criteria
established by an Executive Order to be kept secret in the interest of
national defense or foreign policy and
(2) Are in fact properly classified pursuant to such Executive Order.
(b) The systems described in paragraph (a) are exempt from 5 U.S.C.
552a (c)(3), (d), (e)(1), and (e)(4)(G) and (H). Exemptions from the
particular subsections are justified for the following reasons:
(1) From subsection (c)(3) because accounting for each disclosure
could result in the release of properly classified information which
would compromise the national defense or disrupt foreign policy.
(2) From the access and amendment provisions of subsection (d) because
access to the records in these systems of records could result in the
release of properly classified information which would compromise the
national defense or disrupt foreign policy. Amendment of either of these
series of records would interfere with ongoing investigations and law
enforcement or national security activities and impose an impossible
administrative burden by requiring investigations to be continuously
reinvestigated.
(3) From subsection (e)(1) because verification of the accuracy of all
information to the records could result in the release of properly
classified information which would compromise the national defense or
disrupt foreign policy.
(4) From subsection (e)(4)(G) and (H) because these systems are exempt
from the access and amendment provisions of subsection (d), pursuant to
subsection (k)(1) of the Privacy Act.
Sec. 1202.92 What NARA systems of records are exempt from release
under the Law Enforcement Exemption of the Privacy Act?
(a) The Investigative Files of the Inspector General (NARA-23) system
of records is eligible for exemption under 5 U.S.C. 552a(k)(2) because
this record system contains investigatory material of actual, potential
or alleged criminal, civil or administrative violations, compiled for
law enforcement purposes other than within the scope of subsection
(j)(2) of 5 USC 552a. If you are denied any right, privilege or benefit
that you would otherwise be entitled by Federal law, or for which you
would otherwise be eligible, as a result of the record, NARA will make
the record available to you, except for any information in the record
that would disclose the identity of a confidential source as described
in 5 U.S.C. 552a(k)(2).
(b) The system described in paragraph (a) of this section is exempt
from 5 U.S.C. 552a (c)(3), (d), (e)(1) and (e)(4) (G) and (H), and (f).
Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because release of disclosure accounting
could alert the subject of an investigation about the alleged
violations, to the existence of the investigation and to the fact that
they are being investigated by the Office of Inspector General (OIG) or
another agency. Release of such information could provide significant
information concerning the nature of the investigation, resulting in the
tampering or destruction of evidence, influencing of witnesses, danger
to individuals involved, and other activities that could impede or
compromise the investigation.
(2) From the access and amendment provisions of subsection (d) because
access to the records contained in this system of records could inform
the subject of an investigation of an actual or potential criminal,
civil, or administrative violation, of the existence of that
investigation; of the nature and scope of the information and evidence
obtained as to his/her activities; of the identity of confidential
sources, witnesses, and law enforcement personnel; and of information
that may enable the subject to avoid detection or apprehension. These
factors would present a serious impediment to effective law enforcement
where they prevent the successful completion of the investigation,
endanger the physical safety of confidential sources, witnesses, and law
enforcement personnel, and/or lead to the improper influencing of
witnesses, the destruction of evidence, or the fabrication of testimony.
In addition, granting access to such information could disclose
security-sensitive or confidential business information or information
that would constitute an unwarranted invasion of the personal privacy of
third parties. The amendment of these records could allow the subject to
avoid detection or apprehension and interfere with ongoing
investigations and law enforcement activities.
(3) From subsection (e)(1) because the application of this provision
could impair investigations and interfere with the law enforcement
responsibilities of the OIG or another agency for the following reasons:
(i) It is not possible to detect relevance or need for specific
information in the early stages of an investigation, case or matter.
After the information is evaluated, relevance and necessity may be
established.
(ii) During an investigation, the OIG may obtain information about
other actual or potential criminal, civil or administrative violations,
including those outside the scope of its jurisdiction. The OIG should
retain this information, as it may aid in establishing patterns of
inappropriate activity, and can provide valuable leads for Federal and
other law enforcement agencies.
(iii) In interviewing individuals or obtaining other forms of evidence
during an investigation, information may be supplied to an investigator,
which relates to matters incidental to the primary purpose of the
investigation but which may relate also to matters under the
investigative jurisdiction of another agency. Such information cannot
readily be segregated.
(iv) From subsection (e)(4)(G) and (H) because this system is exempt
from the access and amendment provisions of subsection (d), pursuant to
subsection (k)(2) of the Privacy Act.
(v) From subsection (f) because this system is exempt from the access
and amendment provisions of subsection (d), pursuant to subsection
(k)(2) of the Privacy Act.
Sec. 1202.94 What NARA systems of records are exempt from release
under the Investigatory Information Material exemption of the Privacy
Act?
(a) The Personnel Security Case Files (NARA-24) system of records is
eligible for exemption under 5 U.S.C. 552a(k)(5) because it contains
investigatory material compiled solely for the purpose of determining
suitability, eligibility, or qualifications for federal employment or
access to classified information. The only information exempt under this
provision is that which would disclose the identity of a confidential
source described in 5 U.S.C. 552a(k)(2).
(b) The system of records described in paragraph (a) of this section
is exempt from 5 U.S.C. 552a(d)(1). Exemption from the particular
subsection is justified as access to records in the system would reveal
the identity(ies) of the source(s) of information collected in the
course of a background investigation.