[Privacy Act Issuances (1997)]
[From the U.S. Government Publishing Office, www.gpo.gov]
NATIONAL CAPITAL PLANNING COMMISSION
Alphabetical Listing of Systems Names
Mailing Lists--NCPC - 1.
Personnel/Payroll --NCPC - 2.
Grievance Records--NCPC -3.
NCPC--1
System name: Mailing Lists--NCPC.
System location: National Capital Planning Commission, 801
Pennsylvania Avenue, NW, Washington, DC 20576.
Categories of individuals covered by the system: Federal, State,
and local government officials, neighborhood groups, and private
citizens in the National Capital Region.
Categories of records in the system: Names and addresses of
individuals and, where applicable, the organization, group,
institution represented by the individual.
Authority for maintenance of the system: The National Capital
Planning Act of 1952, as amended (40 U.S.C. 71a(c)).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See appendix; also
to provide information on Commission policy, procedures and meeting
agendas to interested parties and persons.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper.
Retrievability: Name.
Safeguards: Stored in guarded building in locked files; released
only to authorized personnel such as clerical staff preparing
mailings to those on the list.
Retention and disposal: At direction of those on list.
System manager(s) and address:
Secretariat, National Capital Planning Commission, 801
Pennsylvania Avenue, NW, Washington, DC 20576.
Notification procedure: Same as above.
Record access procedures: Generally by submitting written request
to the System Manager. A copy of the Commission's Privacy Act
procedures will be sent upon request.
Contesting record procedures: Generally by submitting written
request to the System Manager. A copy of the Commission's Privacy Act
procedures will be sent upon request.
Record source categories: Individuals on whom records are
maintained.
NCPC-2
System name: Personnel/Payroll-NCPC.
System location:
General Services Administration, Region 3, 7th and D Streets, SW,
Washington, DC 20407; copies held by Commission (GSA holds records
for the Commission under Memorandum of Agreement).
Categories of individuals covered by the system:
Commission Employees and Commission Members and Alternates.
Categories of records in the system:
Payroll records including time and attendance cards, payment
vouchers, comprehensive listings of employees, health benefits and
Government life insurance records, requests for deductions, tax
forms, W-2 forms, leave data, retirement records, notification of
personnel actions.
Authority for maintenance of the system:
Title 31, U.S.C. generally, and National Capital Planning Act of
1952 as amended (40 U.S.C. 71a(c)).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Preparation of salary checks and maintenance of leave records;
records are also released to GAO for audits, to the IRS for
investigations, to Office of Personnel Management (OPM) concerning
pay, benefits, retirement deductions and other information necessary
for the OPM to carry out its Government wide personnel management
functions. Disclosure may be made to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of that individual. Routine
uses of records maintained in this system shall include providing a
copy of an employee's Department of the Treasury Form W-2, Wage and
Tax Statement, to the State, city, or other local jurisdiction which
is authorized to tax the employee's compensation. The record will be
provided in accordance with a withholding agreement between the
state, city or other local jurisdiction and the Department of the
Treasury pursuant to 5 U.S.C. 5515, 5517, or 5520, on in the absence
thereof, in response to a written request from an appropriate
official of the taxing jurisdiction of the Executive Officer,
Administration, National Capital Planning Commission, 801
Pennsylvania Avenue, NW, Washington, DC 20576. The request must
include a copy of the applicable statute or ordinance authorizing the
taxation of compensation and should indicate whether the authority of
the jurisdiction to tax the employee is based on place of residence,
place of employment, or both.
Pursuant to a withholding agreement between a city and the
Department of the Treasury (5 U.S.C. 5520), copies of executed city
tax withholding certificates shall be furnished the city in response
to a written request from an appropriate city official to the
Executive Officer (Administration).
In the absence of a withholding agreement, the social security
number will be furnished only to a taxing jurisdiction which has
furnished this agency with evidence of its independent authority to
compel disclosure of the social security number, in accordance with
section 7 of the Privacy Act, Pub. L. 93-579.
Also see appendix.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
NCPC files consist of paper records maintained in folders, and on
automated data storage devices.
Retrievability:
Name and/or Social Security Number.
Safeguards:
Stored in secured building in locked files, code control
computers; released only to authorized personnel in Administrative
Office responsible for maintaining these files.
Retention and disposal:
In accordance with the GSA General Records Schedule 2 and the GAO
Manual for Guidance of Federal Agencies.
System manager(s) and address:
Executive Officer, Administration, National Capital Planning
Commission, 801 Pennsylvania Avenue, NW, Washington, DC 20576.
Notification procedure:
Same as above.
Record access procedure:
Generally by submitting written request to the System Manager. A
copy of the Commission's Privacy Act procedures will be sent upon
request.
Contesting record procedures:
Generally by submitting written request to the System Manager. A
copy of the Commission's Privacy Act procedures will be sent upon
request.
Record source categories:
Individuals on whom records are maintained.
Exemptions claimed from the system:
None.
NCPC-3
System name: Grievance Records.
System location: These records are located in the Administrative
Office of the National Capital Planning Commission.
Categories of individuals covered by the system: Current or former
employees of the National Capital Planning Commission who have
submitted grievances in accordance with part 771 of the regulations
of the U.S. Office of Personnel Management (5 CFR part 771).
Categories of records in the system: The system contains records
relating to grievances filed by agency employees under part 771 of
regulations issued by the U.S. Office of Personnel Management (OPM).
These case files contain all documents related to the grievance,
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.
Authority for maintenance of the system: 5 U.S.C. 1302, 3301, 3302,
E.O. 10577, 3 CFR 1954-1958 Comp., p. 218, E.O. 10987, 3 CFR 1959-
1963 Comp., p. 519, agency employees, for personal relief in a matter
of concern or dissatisfaction which is subject to the control of
agency management.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
information in these records may be used:
(a) To disclose pertinent information to the appropriate Federal,
state or local agency responsible for investigating, prosecuting,
enforcing or implementing a statute, rule, regulation, or order,
where the disclosing agency becomes aware of an indication of a
violation or potential violation of civil or criminal law or
regulation.
(b) To disclose information to any source from which additional
information is requested in the course of processing a grievance, to
the extent necessary to identify the individual, inform the source of
the purpose(s) of the request, and identify the type of information
requested.
(c) To disclose information to a Federal agency, in response to
its request, in connection with the hiring or retention of an
employee, the issuance of a security clearance, the conducting of a
security or suitability investigation of an individual, the
classifying of jobs, 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 requesting
the agency's decision on the matter.
(d) To provide information to a congressional office from the
record of an individual in response to an inquiry from that
congressional office made at the request of that individual.
(e) To disclose information to another Federal agency or to a
court when the Government is party to a judicial proceeding before
the court.
(f) By the National Archives and Records Administration (General
Services Administration) in records management inspections conducted
under authority of 44 U.S.C. 2904 and 2906.
(g) By the Commission or by the U.S. Office of Personnel
Management (OPM) in the production of summary descriptive statistics
and analytical studies in support of the function for which the
records are collected and maintained, or for related work force
studies. While published statistics and studies do not contain
individual indentifiers, in some instances the selection of elements
of data included in the study may be structured in such a way as to
make the data individually identifiable by inference.
(h) To disclose information to officials of the Merit Systems
Protection Board, including the Office of the Special Counsel; the
Federal Labor Relations Authority and its General Counsel, or the
Equal Employment Opportunity Commission when requested in performance
of their authorized duties.
(i) To disclose in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
(j) To provide information to officials of labor organizations
reorganized under the Civil Service Reform Act when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting work conditions.
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: Executive Officer, National Capital
Planning Commission, 801 Pennsylvania Avenue, NW, Washington, DC
20576.
Notification procedure: It is required that individuals submitting
grievances be provided a copy of the record under the grievance
process. They may, however, also contact the agency administrative
office regarding the existence of such records on them. They must
furnish the following information for their records to be located and
identified:
(a) Name
(b) Date of birth
(c) Approximate date of closing of the case and kind of action
taken
(d) Organizational 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 agency administrative office.
Individuals must provide the following information for their
records to be located and identified.
(a) Name
(b) Date of birth
(c) Approximate date of closing of the case and kind of action
taken
(d) Organizational component involved.
Individuals requesting access must also follow the Privacy Act
regulations of the U.S. Office of Personnel Management regarding
access to records and verification of identity (5 CFR 297.203 or
297.201).
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 determining
if the record accurately documents the action of the agency ruling on
the case, and will not include a review of the merits of the action,
determination, or finding.
Individuals wishing to request amendment to their records to
correct factual errors should contact the agency administrative
office. Individuals must furnish the following information for their
records to be located and identified;
(a) Name
(b) Date of birth
(c) Approximate date of closing of the case and kind of action
taken
(d) Organizational component involved.
Individuals requesting amendment must also follow the Privacy Act
regulations of the U.S. Office of Personnel Management regarding
amendment to records and verification of identity (5 CFR 297.208 and
297.201).
Record source categories: Information in this system of records is
provided:
(a) By the individual on whom the record is provided:
(b) By testimony of witnesss
(c) By agency officials
(d) From related correspondence from organizations or persons.
Appendix: NCPC
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, rules 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 violations or charged with enforcing or
implemening the statute, or rule, regulation or order issued pursuant
thereto.
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 any employee, the issuance of a security
clearance, the letting of a contract or the issuance of a license,
grant or other benefit.
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, 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 in the
matter.
A record from this system or records may be disclosed to an
authorized appeal 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 Civil
Service Commission in accordance with the agency's responsibility for
evaluation and oversight of Federal personnel management.
A record from this system of records may be disclosed to officers
and employees of a Federal agency for purposes of audit.
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.
A record from this system of records may be disclosed to officers
and employees of the General Services Administration in connection
with administrative services provided to this agency under agreement
with GSA.
NATIONAL CAPITAL PLANNING COMMISSION
Title I-General Provisions
Chapter IV-Miscellaneous Agencies
PART 455--NATIONAL CAPITAL PLANNING COMMISSION
Sec.
455.1 Purpose and scope.
455.2 Definitions.
455.3 Procedures for requests pertaining to individual records in a
record system.
455.4 Times, places, and requirements for identification of individuals
making requests.
455.5 Disclosure of requested information to individuals.
455.6 Request for correction or amendment to the record.
455.7 Agency review of request for correction or amendment of the
record.
455.8 Appeal of an initial adverse agency determination on correction
or amendment of the record.
455.9 Disclosure of record to a person other than the individual to
whom the record pertains.
455.10 Fees.
455.11 Penalties.
455.12 Exemptions.
Authority: 5 U.S.C. 552a.
Source: 42 FR 7921, Feb. 8, 1977, unless otherwise noted.
Sec. 455.1 Purpose and scope.
These procedures provide the means by which individuals may safeguard
their privacy by obtaining access to, and requesting amendments or
corrections in, information, if any, about these individuals which is
under the control of the National Capital Planning Commission
(hereafter, the ``Commission'').
Sec. 455.2 Definitions.
For the purpose of these procedures:
(a) The term individual means a citizen of the United States or an
alien lawfully admitted for permanent residence;
(b) The term maintain includes maintain, collect, use, or disseminate;
(c) The term record means any item, collection or grouping of
information about an individual that is maintained by the Commission,
including, but not limited to, his or her payroll information and
mailing address and that contains his or her name, or the identifying
number, symbol, or other identifying particular assigned to the
individual, such as social security number;
(d) The term system of records means a group of any records under the
control of the Commission from which information is retrieved by the
name of the individual or by some identifying number, symbol, or other
identifying particular assigned to the individual; and
(e) The term routine use means, with respect to the disclosure of a
record, the use of such record for a purpose which is compatible with
the purpose for which it was collected.
Sec. 455.3 Procedures for requests pertaining to individual records
in a record system.
(a) An individual who wishes to know whether a system of records
maintained by the Commission contains a record pertaining to him or her
shall submit a written request to that effect to the appropriate System
Manager at the Commission. The System Manager shall, within 10 days of
the receipt of such submission, inform the individual whether a system
of records maintained by the Commission contains such a record.
(b) An individual who desires access to any identified record shall
file a request therefor, addressed to the System Manager indicating
whether such individual intends to appear in person at the Commission's
offices or whether he or she desires to receive a copy of any identified
record through the mail.
Sec. 455.4 Times, places, and requirements for identification of
individuals making requests.
(a) An individual who, in accord with Sec. 455.3(b) of this part
indicated that he or she would appear personally shall do so at the
Commission's offices, 1325 G Street NW, Washington, DC, between the
hours of 8:30 a.m. and 5 p.m., Monday through Friday (legal holidays
excluded) and present a form of identification, such as a valid driver's
license or employee identification card, which will permit the System
Manager to verify that the individual is the same individual as
contained in the record requested.
(b) An individual who, in accord with Sec. 455.3(b) of this part
indicated that he or she desired mail delivery of a copy of the record
shall include in the request the date and location of birth of the
individual as suitable proof of identity.
(c) Where the above mentioned forms of identification are not feasible
or appropriate, the Commission shall request a signed statement from the
individual asserting his or her identity and stipulating that the
individual understands that knowingly or willfully seeking or obtaining
access to records about another individual under false pretenses is
punishable by a fine of up to $5,000.
Sec. 455.5 Disclosure of requested information to individuals.
Upon verification of identity, the System Manager shall disclose to
the individual:
(a) The information contained in the record which pertains to that
individual; and
(b) The accounting of disclosures of the record, if any, required by 5
U.S.C. 552a(c).
Sec. 455.6 Request for correction or amendment to the record.
An individual may request that a record pertaining to him or her be
amended or corrected. The individual shall submit any such request in
accord with Sec. 455.3 of this part and shall state therein the item
sought to be amended and specific reasons therefor.
Sec. 455.7 Agency review of request for correction or amendment of
the record.
Within ten days of the receipt of the request to correct or to amend
the record, the System Manager will acknowledge in writing such receipt
and promptly either: (a) Make any correction or amendment of any portion
thereof which the individual believes is not accurate, relevant, timely,
or complete and inform the individual of same; or (b) inform the
individual of his or her refusal to correct or to amend the record in
accordance with the request, the reason for the refusal, and the
procedures established by the Commission for the individual to request a
review of that refusal.
Sec. 455.8 Appeal of an initial adverse agency determination on
correction or amendment of the record.
An individual who disagrees with the refusal of the System Manager to
correct or to amend his or her record may submit a request for a review
of such refusal to the Chairman of the Commission, 1325 G Street NW,
Washington, DC 20576. The Chairman will, not later than thirty days from
the date on which the individual requests such review, complete such
review and make a final determination unless, for good cause shown, the
Chairman extends such thirty day period. If, after his or her review,
the Chairman also refuses to correct or to amend the record in
accordance with the request, the individual may file with the Commission
a concise statement setting forth the reasons for his or her
disagreement with the refusal of the Commission and may seek judicial
review of the Chairman's determination under 5 U.S.C. 552a(g)(1)(A).
Sec. 455.9 Disclosure of record to a person other than the
individual to whom the record pertains.
An individual to whom a record is to be disclosed in person may have a
person of his or her own choosing accompany the individual when the
record is disclosed.
Sec. 455.10 Fees.
(a) The Commission will not charge an individual for the costs of
making a search for a record or the costs of reviewing the record. When
the Commission makes a copy of a record as a necessary part of the
process of disclosing the record to an individual, the Commission will
not charge the individual for the cost of making that copy.
(b) If an individual requests the Commission to furnish him or her
with a copy of the record (when a copy has not otherwise been made as a
necessary part of the process of disclosing the record to the
individual), the Commission will charge a fee of $0.25 per page (maximum
per page dimension of 8\1/2\ x 13 inches) to the extent that the request
exceeds $5.00 in cost to the Commission. Requests not exceeding $5.00 in
cost to the Commission will be met without cost to the requester.
Sec. 455.11 Penalties.
Title 18 U.S.C., sec. 1001, Crimes and Criminal Procedures, makes it a
criminal offense, subject to a maximum fine of $10,000 or imprisonment
for not more than five years or both, to knowingly and willfully make or
cause to be made any false or fraudulent statements or representations
in any matter within the jurisdiction of any agency of the United
States. Section 552a(i)(3) of the Privacy Act (5 U.S.C. 552a(i)(3)),
makes it a misdemeanor, subject to a maximum fine of $5,000, to
knowingly and willfully request or obtain any record concerning an
individual under false pretenses. Section 552a(i)(1) and (2) of the
Privacy Act (5 U.S.C. 552a(i)(1) and (2)) provide penalties for
violations by agency employees of the Privacy Act or regulations
established thereunder.
Sec. 455.12 Exemptions.
No Commission records system is exempted from the provisions of 5
U.S.C. 552a as permitted under certain conditions by 5 U.S.C. 552a(j)
and (k).