[Privacy Act Issuances (1999)]
[From the U.S. Government Publishing Office, www.gpo.gov]
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
National Archives and Records Administration (NARA) 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:
This system of records is located in the National Archives
Building, the Regional Archives, and except for the electronic
database, the Presidential Libraries. The addresses are listed in the
appendix following the NARA Notices.
Categories of individuals covered by the system:
Any member of the general public who applies to use original
records in the National Archives, the Regional Archives, and the
Presidential Libraries.
Categories of records in the system:
Applications to use records including the individual's name,
address, telephone number, occupation, research topic, educational
level, and field of interest. At the National Archives Building and
the Regional Archives, the system includes an electronic database
containing the information from applications.
Authority for maintenance of the system:
44 U.S.C. 2108, 2203(f)(1), 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 NARA employees in the Office of the
National Archives (including the Regional Archives) and the
Presidential Libraries to register individuals who apply to use
original records for research at a NARA facility; to record initial
research interests of researchers; to determine which records the
individual should use; to provide a means of contacting the
individual if additional information of research interest to him or
her is found, or if problems with the records are discovered; and to
mail notices of events and programs of interest to users of the
records. Information in the electronic database will be used by staff
of the Office of National Archives (and the Regional Archives) as a
finding aid, to compile statistical reports regarding researcher use
of records, and to facilitate the preparation of mailing lists. 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 and floppy disks.
Retrievability:
Filed alphabetically at each location by name of individual,
except that at the National Archives Building and the Regional
Archives records may be filed numerically by researcher card number
and accessed through the electronic database.
Safeguards:
During normal hours of operation, paper records are maintained in
areas accessible only to authorized personnel of NARA. The electronic
database maintained by the Office of the National Archives operates
on a non-networked computer accessible only to NARA employees via
passwords on 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:
Paper records, including (if necessary) a printout indexed by
researcher name, are cut off annually, held one year, and retired.
They are destroyed when 25 years old. Electronically stored records
are cut off when two years old, then maintained on a backup disk and
deleted one year later. These procedures are 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 at the National Archives Building, the directors of
the Presidential libraries, and the directors of the Regional
Archives. The system manager for the electronic database is the
Assistant Archivist for the National Archives. The addresses for
these locations are listed in the appendix following the NARA
Notices.
Notification procedure:
Information may be obtained from the officials cited above at the
appropriate repository where individuals have used records.
Record access procedures:
Requests for these records should be addressed to the Assistant
Archivist for the National Archives, the directors of the
Presidential Libraries, or the directors of the Regional Archives,
depending on where individuals have used records. In-person requests
may be made during business hours listed for each location in the
appendix following the NARA Notices. For written requests, the
individual should provide full name, address, and telephone number,
the approximate dates records were used. 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.
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 and Related Activities Files.
System location:
This system of records is located in the National Archives
Building; the Office of Records Administration at 601 D Street, NW,
Washington, DC; Presidential Libraries; Washington National Records
Center; Federal Records Centers; 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:
Participants or potential participants in symposia, conferences,
lectures, and training courses offered or sponsored by NARA.
Categories of records in the system:
Biographical information about individuals involved in these
activities including name, address, telephone number, area of
expertise, research interest, occupation, education, and
publications. Also, copies of training requests (SF-182 or
equivalent).
Authority for maintenance of the system:
44 U.S.C. 2104, 2109, 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 in the various archival
programs indicated above; to provide a record of previous activities;
to promote the use of archival materials; to provide mailing lists;
to facilitate publication of the activity's proceedings; and to
register persons attending the activity. 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 card files and file folders.
Retrievability:
Filed alphabetically at each location by name of individual.
Safeguards:
During normal hours of operations, 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 are cut off after the event, held for one year, and
destroyed. These procedures are 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 Public Programs at
the National Archives Building, the Assistant Archivist for Records
Administration at 601 D Street, NW, Washington, DC; the directors of
the Presidential Libraries; the director of the Washington National
Records Center; the directors of the Federal Records Centers; the
director of the National Personnel Records Center; and the directors
of the Regional Archives at the addresses listed in the appendix
following the NARA Notices.
Notification procedure:
Information may be obtained from the officials listed above at
the appropriate location which sponsored the activity which the
individual attended or in which he or she participated. 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 Assistant Archivist for Records Administration;
the directors of the Presidential Libraries; the director of the
Washington National Records Center; the directors of the Federal
Records Centers; the director of the National Personnel Records
Center; or the directors of the Regional Archives. In-person requests
may be made during normal working hours listed for each location in
the appendix following the NARA Notices. For written requests,
provide full name, address, telephone number, and the dates of
activity. For personal visits, 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:
Participants, attendees, and employees of the National Archives.
NARA 6
System name: Mailing List Files.
System location:
This system of records is located in the National Archives
Building, Presidential Libraries, National Audiovisual Center, and
the Regional Archives. The addresses are listed in the appendix
following the NARA Notices.
Categories of individuals covered by the system:
Researchers; buyers of NARA products and those making inquiries
or receiving price quotations on possible orders; tourists;
government officials; professional colleagues; professionals in
related fields, such as librarians and teachers; and others with an
interest in National Archives activities.
Categories of records in the system:
Mailing lists include primarily the individual's name and
address. Some lists also include telephone number, title, occupation,
and institutional affiliation. Some mailing lists include type and
subject of materials purchased, date purchased, and dollar value.
Authority for maintenance of the system:
44 U.S.C. 2109, 2112, 2307, 2902, and 2904.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The mailing lists are used by employees of NARA who have a need
for the records in the performance of their duties, to address
newsletters, announcements, programs, and material about special
events; to bill researchers for reproduction orders; and to mail
press releases and other information. On occasion the mailing lists
are donated to or exchanged with private and public organizations to
further scholarship and NARA programs. 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 card files, index cards, address plates,
magnetic cards, punch cards, cassettes, and magnetic tape.
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 mailing lists are reviewed annually and updated. Outdated
information is purged. These procedures are in accordance with the
NARA Records Maintenance and Disposition Manual.
System manager(s) and address:
Officials responsible for this geographically dispersed system of
records are the Assistant Archivist for Management and
Administration, the Assistant Archivist for the National Archives,
the Assistant Archivist for the Presidential Libraries, and the
Assistant Archivist for Public Programs at the National Archives
Building, and the Assistant Archivist for Records Administration at
601 D Street, NW, Washington, DC. Other officials are directors of
the Presidential Libraries, and the directors of the Regional
Archives. The addresses for these locations are listed in the
appendix following the NARA Notices.
Notification procedure:
Information may be obtained from the officials cited above at the
appropriate location in which the individual has expressed an
interest or in which he or she has a potential interest. The
addresses are listed in the appendix following the NARA Notices.
Record access procedures:
Requests from individuals to access records should be addressed
to the Assistant Archivist for Management and Administration, the
Assistant Archivist for the National Archives, the Assistant
Archivist for Presidential Libraries, the Assistant Archivist for
Public Programs, the Assistant Archivist for Records Administration,
the directors of the Presidential Libraries, or the directors of the
Regional Archives, depending on which NARA activity maintains the
specific 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, and
telephone number, and the approximate date of communications with the
repository. 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 expressing an interest in Archives activities and
NARA employees.
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
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--Addresses of Locations
Washington, DC Metropolitan Area Facilities
National Archives Building. 7th and Pennsylvania Avenue, NW,
Washington, DC. Mailing Address: National Archives and Records
Administration, Washington, DC 20408.
National Audiovisual Center. 8700 Edgeworth Drive, Capitol
Heights, MD 20743-3701.
Office of the Federal Register. 1100 L Street, NW, Washington,
DC. Mailing Address: National Archives and Records Administration
(NF), Washington, DC 20408.
Office of Federal Records Centers. 1730 K Street, NW, Washington,
DC. Mailing Address: National Archives and Records Administration
(NC), Washington, DC 20408.
Office of Records Administration. 601 D Street, NW, Washington,
DC. Mailing Address: National Archives and Records Administration
(NI), Washington, DC 20408.
Personnel Services Division. 601 D Street, NW, Washington, DC.
Mailing Address: National Archives and Records Administration (NAP),
Washington, DC 20408.
Pickett Street Annex. 841-885 South Pickett Street, Alexandria,
VA. Mailing Address: National Archives and Records Administration,
Washington, DC 20408.
Washington National Records Center. 4205 Suitland Road, Suitland,
MD. Mailing Address: Washington National Records Center, Washington,
DC 20409.
Presidential Libraries
Herbert Hoover Library, Parkside Drive, West Branch, IA 52358.
Franklin D. Roosevelt Library, 259 Albany Road, Hyde Park, NY
12538.
Harry S. Truman Library, 1200 North McCoy, Independence, MO
64050.
Dwight D. Eisenhower Library, Southeast Fourth Street, Abilene,
KS 67410.
John F. Kennedy Library, Columbia Point, Boston, MA 02125.
Lyndon Baines Johnson Library, 2313 Red River Street, Austin, TX
78705.
Gerald R. Ford Library, 1000 Beal Avenue, Ann Arbor, MI 48109-
2114.
Gerald R. Ford Museum, 303 Pearl Street, NW, Grand Rapids, MI
49504.
Jimmy Carter Library, One Copenhill Avenue, Atlanta, GA 30307.
Nixon Presidential Materials Project Staff, 845 South Pickett
Street, Alexandria, VA. Mailing Address: National Archives and
Records Administration (NLNP), Washington, DC 20408.
Reagan Presidential Materials Staff, 9055 Exposition Drive, Los
Angeles, CA 90034.
Federal Records Centers and Regional Archives at the Same
Location
380 Trapelo Road, Waltham, MA 02154.
Building 22, Military Ocean Terminal, Bayonne, NJ 07002-5388.
1557 St. Joseph Avenue, East Point, GA 30344.
7358 South Pulaski Road, Chicago, IL 60629.
2312 East Bannister Road, Kansas City, MO 64131.
501 West Felix Street, (Mailing address: PO Box 6216), Fort
Worth, TX 76115.
Denver Federal Center, Building 48 (Mailing address: PO Box
25307), Denver, CO 80225.
1000 Commodore Drive, San Bruno, CA 94066.
24000 Avila Road, (Mailing address: PO Box 6719), Laguna Niguel,
CA 92677-6719.
6125 Sand Point Way, NE, Seattle, WA 98115.
Regional Archives Not Located with Federal Records Center
9th and Market Streets, Room 1350, Philadelphia, PA 19107.
Federal Records Centers Not Located with Regional Archives
5000 Wissahickon Avenue, Philadelphia, PA 19144.
3150 Springboro Road, Dayton, OH 45439.
National Personnel Records Center, Civilian Personnel Records,
111 Winnebago Street, St. Louis, MO 63118.
National Personnel Records Center, Military Personnel Records,
9700 Page Boulevard, St. Louis, MO 63132.
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
PART 1202--REGULATIONS IMPLEMENTING THE PRIVACY ACT OF 1974
Subpart A--General Provisions
Sec.
1202.1 Scope of part.
1202.4 Definitions.
1202.6 Contact point for Privacy Act assistance and referrals.
1202.10 Collection and use.
1202.12 Standards of accuracy.
1202.14 Rules of conduct.
1202.16 Safeguarding systems of records.
1202.18 Inconsistent issuances of NARA superseded.
1202.20 Records of other agencies.
1202.22 Subpoena and other legal demands.
Subpart B--Disclosure of Records
1202.30 Conditions of disclosure.
1202.32 Procedures for disclosure.
1202.34 Accounting of disclosures.
Subpart C--Individual Access to Records
1202.40 Forms of request.
1202.42 Special requirements for medical records.
1202.44 Granting access.
1202.46 Denials of access.
1202.48 Appeal of denial of access within NARA.
1202.50 Records available at a fee.
1202.52 Prepayment of fees over $250.
1202.54 Form of payment.
Subpart D--Requests to Amend Records
1202.60 Submission of requests to amend records.
1202.62 Review of requests to amend records.
1202.64 Approval of requests to amend.
1202.66 Denial of requests to amend.
1202.68 Agreement to alternative amendments.
1202.70 Appeal of denial of request to amend a record.
1202.72 Statements of disagreement.
1202.74 Judicial review.
Subpart E--Exemptions
1202.90 Specific exemptions.
Authority: 5 U.S.C. 552a; 44 U.S.C. 2104(a).
Source: 63 FR 70342, Dec. 21, 1998.
Subpart A--General Provisions
Sec. 1202.1 Scope of part.
(a) This part governs requests for NARA organizational records and
certain records of defunct agencies under the Privacy Act, 5 U.S.C. 552a
(hereinafter referred to as the Act). This part applies to all NARA
records, as defined in Sec. 1202.4, which contain personal information
about an individual and some means of identifying the individual, and
which are contained in a system of records as defined in 5 U.S.C.
552a(a)(5) from which information is retrieved by use of an identifying
particular assigned to the individual. The part prescribes procedures
for notifying an individual of NARA systems of records which may contain
a record pertaining to him or her; procedures for gaining access and
contesting the contents of such records, and other procedures for
carrying out the provisions of the Act.
(b) Policies and procedures governing the disclosure and availability
of NARA operational records in general are in part 1250 of this chapter.
Sec. 1202.4 Definitions.
For the purposes of this part:
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.
Agency means agency as defined in 5 U.S.C. 552(f).
Defunct agency records means the records in a Privacy Act system of an
agency that has ceased to exist without a successor in function that
have not yet been transferred to the National Archives of the United
States.
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.
Individual means a citizen of the United States or an alien lawfully
admitted for permanent residence.
Maintain includes maintain, collect, use, or disseminate.
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. The term means the Archivist of the
United States for appeals of denial of access to or amendment of records
in systems of records maintained by the Inspector General.
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 include archival records that
have been transferred to the National Archives of the United States.
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.
Solicitation means a request by a NARA officer or employee that an
individual provide information about himself or herself.
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.
Subject individual means the individual named or discussed in a record
or the individual to whom a record otherwise pertains.
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 therein.
System of records means a group of any records under the control of
NARA 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 Contact point for Privacy Act assistance and referrals.
Requests for assistance and referral to the responsible system manager
or other NARA employee charged with implementing these regulations
should be made to the NARA Privacy Act Officer, National Archives and
Records Administration, Room 4400, 8601 Adelphi Rd., College Park, MD
20740-6001.
Sec. 1202.10 Collection and use.
(a) General. Any information used in whole or in part in making a
determination about an individual's rights, benefits, or privileges
under NARA programs will be collected directly from the subject
individual to the greatest extent practicable. The system manager also
will ensure that information collected is used only in conformance with
the provisions of the Act and this part.
(b) Solicitation of information. System managers will ensure that at
the time information is solicited the subject individual is informed of
the authority for collecting that information, whether providing the
information is mandatory or voluntary, the purposes for which the
information will be used, the routine uses of the information, and the
effects on the individual, if any, of not providing the information. The
director of the NARA forms management program will ensure that forms
used to solicit information are in compliance with the Act and this
part.
(c) Solicitation of social security number. (1) Before a NARA employee
or NARA contractor requires an individual to disclose his or her social
security number, NARA will ensure that either:
(i) The disclosure is required by Federal law; or
(ii) The disclosure was required under a Federal law or regulation
adopted before January 1, 1975, to verify the identity of an individual,
and the social security number will become a part of a system of records
in existence and operating before January 1, 1975.
(2) If solicitation of the social security number is authorized under
paragraph (c)(1) (i) or (ii) of this section, the NARA employee or NARA
contractor who requests an individual to disclose his or her social
security number must first inform that individual whether that
disclosure is mandatory or voluntary, by what statutory or other
authority the number is solicited, and the uses that will be made of it.
(d) Soliciting information from third parties. A NARA employee or NARA
contractor will inform third parties who are requested to provide
information about another individual of the purposes for which the
information will be used.
Sec. 1202.12 Standards of accuracy.
The system manager will ensure that all records which are used by NARA
to make a determination about any individual are maintained with such
accuracy, relevance, timeliness, and completeness as is reasonably
necessary to ensure fairness to the individual.
Sec. 1202.14 Rules of conduct.
All NARA employees and/or NARA contractors involved in the design,
development, operation, or maintenance of any system of records, or in
maintaining any record, must review the provisions of 5 U.S.C. 552a and
the regulations in this part, and 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. 1202.16 Safeguarding systems of records.
The system manager will ensure that appropriate administrative,
technical, and physical safeguards are established to ensure the
security and confidentiality of records and to protect against any
anticipated threats or hazards to their security or integrity which
could result in substantial harm, embarrassment, inconvenience, or
unfairness to any individual on whom information is maintained.
Personnel information contained in both manual and automated systems of
records will be protected by implementing the following safeguards:
(a) Official personnel folders, authorized personnel operating or work
folders, and other records of personnel actions effected during a NARA
employee's Federal service or affecting the employee's status and
service, including information on experience, education, training,
special qualifications and skills, performance appraisals, and conduct,
will be stored in a lockable metal filing cabinet when not in use by an
authorized person. A system manager may employ an alternative storage
system providing that it furnishes an equivalent degree of physical
security as storage in a lockable metal filing cabinet.
(b) System managers, at their discretion, may designate additional
records of unusual sensitivity which require safeguards similar to or
greater than those described in paragraph (a) of this section.
(c) System managers will permit access to and use of automated or
manual personnel records only to persons whose official duties require
such access, or to subject individuals or their representatives as
provided by this part.
Sec. 1202.18 Inconsistent issuances of NARA superseded.
Any policies and procedures in any NARA issuance which are
inconsistent with the policies and procedures in this part are
superseded to the extent of that inconsistency.
Sec. 1202.20 Records of other agencies.
(a) Records accessioned into the National Archives of the United
States. Archival records which were contained in systems of records of
agencies and which have been transferred to 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)). Rules governing access to such records
are contained in subchapter C of this chapter.
(b) Current records of other agencies. If NARA receives a request for
access to records which are the primary responsibility of another
agency, but which are maintained by or in the temporary possession of
NARA on behalf of that agency in a regional records service facility,
NARA will refer the request to the agency concerned for appropriate
action. NARA will advise the requester that the request has been
forwarded to the responsible agency. (See 5 U.S.C. 552a(l)(1)).
(c) Records in Government-wide Privacy Act systems. Records in the
custody of NARA which are the primary responsibility of another agency,
e.g., the Office of Personnel Management (OPM) or the Office of
Government Ethics (OGE), are governed by the regulations promulgated by
that agency pursuant to the Act.
(d) Records of defunct agencies in the custody of NARA. Records of
defunct agencies in the custody of NARA at a NARA records center but not
yet accessioned into the National Archives of the United States are
governed by the regulations in this part.
Sec. 1202.22 Subpoenas and other legal demands.
Access to NARA systems of records by subpoena or other legal process
will be made in accordance with the provisions of part 1250 of this
chapter for NARA operational records and records of defunct agencies not
yet accessioned into the National Archives of the United States and part
1254 of this chapter for archival records, records center holdings, and
donated historical materials.
Subpart B--Disclosure of Records
Sec. 1202.30 Conditions of disclosure.
No NARA employee may disclose any record in a 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 as published in a notice in the Federal
Register;
(d) To the Bureau of the 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 recipient who has provided NARA with advance adequate written
assurance that the record will be used solely as a statistical research
or reporting record. (The record will be transferred in a form that is
not individually identifiable. In addition to deleting personal
identifying information from records released for statistical purposes,
the system manager will ensure that the identity of the individual
cannot reasonably be deduced by combining various statistical records.)
The written statement must include 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;
(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 instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity, if the activity is
authorized by law, and if the head of the agency or instrumentality 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, not necessarily the individual to whom the
record pertains. Upon such disclosure, a notification must be sent 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, to the extent that the matter falls within
its jurisdiction);
(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. 1202.32 Procedures for disclosure.
(a) Address all requests for disclosure of records pertaining to a
third party to the NARA Privacy Act Officer, National Archives and
Records Administration, Room 4400, 8601 Adelphi Rd., College Park, MD
20740-6001. Upon receipt of such request, NARA will verify the right of
the requester to obtain disclosure pursuant to Sec. 1202.30. Upon
verification, the system manager will make the requested records
available. NARA will acknowledge requests within 10 workdays and will
make a decision within 30 workdays, unless NARA notifies the requester
that the time limit must be extended for good cause.
(b) If NARA determines that the disclosure is not permitted under
Sec. 1202.30, the system manager will deny the request in writing. The
requester will be informed of the right to submit a request for review
and final determination to the appropriate NARA Privacy Act Appeal
Officer.
(1) The Archivist of the United States is the NARA Privacy Act Appeal
Officer for records maintained by the Office of the Inspector General.
Requests for review involving records for which the Inspector General is
the system manager must be addressed to the NARA Privacy Act Appeal
Officer (N), National Archives and Records Administration, 8601 Adelphi
Rd., College Park, MD 20470-6001.
(2) The Deputy Archivist of the United States is the appeal officer
for all other NARA records. Requests for review involving all other
records must be addressed to the NARA Privacy Act Appeal Officer (ND),
National Archives and Records Administration, 8601 Adelphi Rd., College
Park, MD 20470-6001.
Sec. 1202.34 Accounting of disclosures.
(a) Except for disclosures made pursuant to Sec. 1202.30(a) and (b),
an accurate accounting of each disclosure will be made and retained for
5 years after the disclosure or for the life of the record, whichever is
longer. The accounting will include the date, nature, and purpose of
each disclosure, and the name and address of the person or agency to
whom the disclosure is made.
(b) The system manager also will maintain in conjunction 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 under
Sec. 1202.30(g) or of disclosures made from exempt systems (see subpart
E of this part), the accounting of disclosures will be made available to
the subject individual upon request. Procedures for requesting access to
the accounting are in subpart C of this part.
Subpart C--Individual Access to Records
Sec. 1202.40 Forms of requests.
(a) Individuals seeking access to their records or to any information
pertaining to themselves which is contained in a system of records
should notify the NARA Privacy Act Officer, National Archives and
Records Administration, Rm. 4400, 8601 Adelphi Rd., College Park, MD
20740-6001.
(b) The request must be in writing and must bear the legend ``Privacy
Act Request'' both on the request letter and on the envelope. The
request letter must contain:
(1) The complete name and identifying number of the NARA system as
published in the Federal Register;
(2) The full name and address of the subject individual;
(3) A brief description of the nature, time, place, and circumstances
of the subject individual's association with NARA; and
(4) Any other information which the subject individual believes would
help NARA to determine whether the information about the individual is
included in the system of records.
(c) NARA will answer or acknowledge the request within 10 workdays of
its receipt by NARA.
(d) NARA at its discretion, may accept oral requests for access to a
NARA system of records, subject to verification of identity.
Sec. 1202.42 Special requirements for medical records.
When NARA receives a request for access to medical records, if NARA
believes, in good faith, that disclosure of medical and/or psychological
information directly to the subject individual could have an adverse
effect on that individual, the subject individual may be asked to
designate in writing a physician or mental health professional to whom
he or she would like the records to be disclosed, and disclosure that
otherwise would be made to the subject individual will instead be made
to the designated physician or mental health professional.
Sec. 1202.44 Granting access.
(a) Upon receipt of a request for access to non-exempt records, NARA
will make such records available to the subject individual or shall
acknowledge the request within 10 workdays of its receipt by NARA. The
acknowledgment will indicate when the system manager will make the
records available.
(b) If NARA anticipates more than a 10-day delay in making a record
available, NARA also will include in the acknowledgment specific reasons
for the delay.
(c) If a subject individual's request for access does not contain
sufficient information to permit the system manager to locate the
records, NARA will request additional information from the individual
and 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.
(d) Records will be made available for authorized access during normal
business hours at the NARA offices where the records are located.
(1) Requesters must be prepared to identify themselves 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. NARA reserves the right to ask the
requester to produce additional pieces of identification to assure NARA
of the requester's identity. If the individual is unable to produce
suitable identification, he or she must sign a statement asserting that
he or she is the subject individual and stipulating that he or she
understands the criminal penalty for perjury and the penalty in the
Privacy Act for requesting or obtaining access to records under false
pretenses (5 U.S.C. 552a(i)(3)). NARA will provide a form for this
purpose.
(2) Requesters must sign a form indicating that they have been given
access.
(e) At the written request of a subject individual, NARA may provide
access by mailing a copy of the requested records to that individual or
to another person designated by the subject individual. In the request,
the subject individual must provide a copy of proof of identity, such as
an electrostatic copy of a driver's license, or a statement asserting he
or she is the subject individual and stipulating that he or she
understands the criminal penalty for perjury and the penalty in the
Privacy Act for requesting or obtaining access to records under false
pretenses (5 U.S.C. 552a(i)(3)).
(f) Upon request, a system manager will permit a subject individual to
examine the original of a non-exempt record, will provide the individual
with a copy of the record, or both.
(g) Subject individuals may either pick up a record in person or
receive it by mail. A system manager may not make a record available to
a third party for delivery to the subject individual, except for medical
records as outlined in Sec. 1202.42, or at the explicit written
direction of the subject individual in accordance with paragraph (h) of
this section.
(h) Subject individuals who wish to have a person of their choosing
review, accompany them in reviewing, or obtain a copy of a record must,
prior to the disclosure of their record, sign a statement authorizing
the disclosure. The system manager will maintain this statement with the
record.
(i) The procedure for access to an accounting of disclosures is
identical to the procedure for access to a record as set forth in this
section.
Sec. 1202.46 Denials of access.
(a) A system manager may deny a subject individual access to his or
her record only on the grounds that NARA has published rules in the
Federal Register exempting the pertinent system of records from the
access requirement and the record is exempt from disclosure under the
Freedom of Information Act, as amended (FOIA). Exempt systems of records
are described in subpart E of this part.
(b) 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 the requester in accordance with Sec. 1202.44,
notwithstanding the inclusion of the record within an exempt system of
records, and
(2) Disclose the record in accordance with Sec. 1202.44 or notify the
requester that the request has been denied in whole or in part.
(c) If the request is denied in whole or in part, the notice will
include a statement specifying the applicable Privacy Act and FOIA
exemptions and advising the requester of the right to appeal the
decision as provided in Sec. 1202.74.
Sec. 1202.48 Appeal of denial of access within NARA.
(a) Requesters denied access in whole or part to records pertaining to
them may file with NARA an appeal of that denial. The appeal must be
postmarked no later than 35 calendar days after the date of the denial
letter from NARA.
(1) The Archivist of the United States is the NARA Privacy Act Appeal
Official for records maintained by the Office of the Inspector General.
Appeals involving records for which the Inspector General is the system
manager must be addressed to NARA Privacy Act Appeal Official (N),
National Archives and Records Administration, Washington, DC 20408.
(2) The Deputy Archivist of the United States is the NARA Privacy Act
Appeal Official for all other NARA records. All other appeals must be
addressed to NARA Privacy Act Appeal Official (ND), National Archives
and Records Administration, Washington, DC 20408.
(b) Each appeal to the NARA Privacy Act Appeal Official must be in
writing. The appeal must bear the legend ``Privacy Act--Access Appeal,''
on both the face of the letter and the envelope.
(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 NARA Privacy Act Appeal
Official, in consultation with these officials, determines that the
request for access should be granted because the subject records are not
exempt, the NARA Privacy Act Appeal Official will immediately either
instruct the system manager in writing to grant access to the record in
accordance with Sec. 1202.44 or shall grant access and will notify the
requester of that action.
(d) If the NARA Privacy Act Appeal Official, in consultation with the
officials specified in paragraph (c) of this section, determines that
the appeal should be rejected, the NARA Privacy Act Appeal Official
immediately will notify the requester in writing of that determination.
This action will constitute NARA's final determination on the request
for access to the record and will include:
(1) The reason for the rejection of the appeal; and
(2) Notice of the requester's right to seek judicial review of NARA's
final determination, as provided in Sec. 1202.74.
(e) The final NARA 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. The NARA Privacy Act Appeal Official may
extend this time limit by notifying the requester in writing before the
expiration of the 30 workdays. The NARA Privacy Act Appeal Official's
notification will include an explanation of the reasons for the
extension of time.
Sec. 1202.50 Records available at a fee.
NARA will waive fees for copies of records 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 $0.30 per page
if NARA makes the copy or $0.10 per page if the requester makes the copy
on a NARA self-service copier. Fees for other reproduction processes are
computed upon request.
Sec. 1202.52 Prepayment of fees over $250.
If the system manager determines that the estimated total fee is
likely to exceed $250, NARA will notify the individual that the
estimated fee must be prepaid prior to NARA's making the records
available. NARA will remit any excess amount paid by the individual or
bill the individual for an additional amount if there is a variation
between the final fee charged and the amount prepaid.
Sec. 1202.54 Form of payment.
Payment shall be by check or money order payable to the National
Archives and Records Administration and shall be addressed to the NARA
Privacy Act Officer.
Subpart D--Requests To Amend Records
Sec. 1202.60 Submission of requests to amend records.
Subject individuals who desire to amend any record containing personal
information about themselves should write to the NARA Privacy Act
Officer, except that a current NARA employee who desires to amend
personnel records should write to the Director, Human Resources Services
Division. Each request must include evidence of and justification for
the need to amend the pertinent record. Each request must bear the
legend ``Privacy Act--Request To Amend Record'' prominently marked on
both the face of the request letter and the envelope.
Sec. 1202.62 Review of 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 the
request to amend as provided in Sec. 1202.66.
(b) When reviewing a record in response to a request to amend, the
system manager will assess the accuracy, relevance, timeliness, and
completeness of the existing record in light of the proposed amendment.
The system manager will determine whether the amendment is justified.
With respect to a request to delete information, the system manager also
will review the request and existing record to determine whether the
information is relevant and necessary to accomplish an agency purpose
required to be accomplished by law or Executive order.
Sec. 1202.64 Approval of requests to amend.
If the system manager determines that amendment of a record is proper
in accordance with the request to amend, he or she promptly will make
the necessary amendment to the record and will send a copy of the
amended record to the subject individual. NARA will advise all previous
recipients of the record, using the accounting of disclosures, of the
fact that an amendment has been made and give the substance of the
amendment. Where practicable, NARA will send a copy of the amended
record to previous recipients.
Sec. 1202.66 Denial of requests to amend.
If the system manager determines that an amendment of a record is
improper or that the record should be amended in a manner other than
that requested by an individual, NARA will advise the requester in
writing of the decision. The denial letter will state the reasons for
the denial of the request to amend; include proposed alternative
amendments, if appropriate; state the requester's right to appeal the
denial of the request to amend; and state the procedure for appealing.
Sec. 1202.68 Agreement to alternative amendments.
If the denial of a request to amend a record includes proposed
alternative amendments and if the requester agrees to accept them, the
requester must notify the system manager who will make the necessary
amendments in accordance with Sec. 1202.64.
Sec. 1202.70 Appeal of denial of request to amend a record.
(a) A requester who disagrees with a denial of a request to amend a
record may file an appeal of that denial.
(1) If the denial was signed by a NARA system manager other than the
Inspector General, the requester must address the appeal to the NARA
Privacy Act Appeal Official (ND), Washington, DC 20408.
(2) If the denial was signed by the Inspector General, the requester
must address the appeal to the NARA Privacy Act Appeal Official (N),
Washington, DC 20408.
(3) If the requester is an employee of NARA and the denial to amend
involves 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 requester the name and
address of the appropriate appeal official in that agency.
(b) Each appeal to the NARA Privacy Act appeal official must be in
writing and must be postmarked no later than 35 calendar days from the
date of NARA denial of a request to amend a record. The appeal must bear
the legend ``Privacy Act--Appeal,'' both on the face of the letter and
the envelope.
(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 NARA Privacy Act appeal
official, in consultation with these officials, determines that the
record should be amended as requested, he or she immediately will
instruct the system manager to amend the record in accordance with
Sec. 1202.64 and will notify the requester of that action.
(d) If the NARA Privacy Act appeal official, in consultation with the
officials specified in paragraph (c) of this section, determines that
the appeal should be rejected, the NARA Privacy Act appeal official
immediately will notify the requester in writing of that determination.
This action will constitute the NARA final determination on the request
to amend the record and will include:
(1) The reasons for the rejection of the appeal;
(2) Proposed alternative amendments, if appropriate, which the
requester subsequently may accept in accordance with Sec. 1202.68;
(3) Notice of the requester's right to file a Statement of
Disagreement for distribution in accordance with Sec. 1202.72; and
(4) Notice of the requester's right to seek judicial review of the
NARA final determination, as provided in Sec. 1202.74.
(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 the
requester in writing before the expiration of the 30 workdays. The NARA
Privacy Act appeal official's notification must include a justification
for the extension of time.
Sec. 1202.72 Statements of disagreement.
Upon receipt of a NARA final determination denying a request to amend
a record, the requester may file a Statement of Disagreement with the
appropriate system manager. The Statement of Disagreement must include
an explanation of why the requester believes the record to be
inaccurate, irrelevant, untimely, or incomplete. The system manager will
maintain the Statement of Disagreement in conjunction with the pertinent
record and will include a copy of the Statement of Disagreement in any
disclosure of the pertinent record. The system manager will provide 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. 1202.34.
Sec. 1202.74 Judicial review.
Within 2 years of receipt of a NARA final determination as provided in
Sec. 1202.48 or Sec. 1202.70, a requester may seek judicial review of
that determination. A civil action must be filed in the Federal District
Court in which the requester resides or has his or her principal place
of business or in which the NARA records are situated, or in the
District of Columbia.
Subpart E--Exemptions
Sec. 1202.90 Specific exemptions.
(a)(1) The following systems of records are eligible for exemption
under 5 U.S.C. 552a(k)(1) because they 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 are in
fact properly classified pursuant to such Executive Order. Accordingly,
these systems of records are exempt from the following sections of 5
U.S.C. 552a: (c)(3), (d), (e)(1), and (e)(4)(G)and (H):
Investigative Case Files of the Inspector General--NARA 23
Personnel Security Case Files--NARA 24
(2) Exemptions from the particular subsections are justified for the
following reasons:
(i) 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.
(ii) 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.
(iii) 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.
(iv) 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.
(b)(1) The following system of records is eligible for exemption under
5 U.S.C. 552a(k)(2) because it contains investigatory material compiled
for law enforcement purposes other than material within the scope of
subsection (j)(2) of 5 U.S.C. 552a. However, if any individual is denied
any right, privilege or benefit that he would otherwise be entitled by
Federal law, or for which he would otherwise be eligible, as a result of
the maintenance of such material, such material will be provided to such
individual, except to the extent that the disclosure of such material
would reveal the identity of a source who furnished information to the
Government under an express promise that the identity of the source
would be held in confidence, or prior to January 1, 1975, under an
implied promise that the identity of the source would be held in
confidence. Accordingly, the following system of records is exempt from
subsections (c)(3), (d), (e)(1) and (e)(4) (G) and (H), and (f) of 5
U.S.C. 552a:
Investigative Files of the Inspector General, NARA-23
(2) Exemptions from the particular subsections are justified for the
following reasons:
(i) From subsection (c)(3) because release of disclosure accounting
could alert the subject of an investigation of an actual or potential
criminal, civil, or regulatory violation to the existence of the
investigation and the fact that they are subjects of the investigation,
and reveal investigative interest by not only the Inspector General
(OIG), but also by the recipient agency. Since release of such
information to the subjects of an investigation would provide them with
significant information concerning the nature of the investigation,
release could result in the destruction of documentary evidence,
improper influencing of witnesses, endangerment of the physical safety
of confidential sources, witnesses, and law enforcement personnel, the
fabrication of testimony, flight of the subject from the area, and other
activities that could impede or compromise the investigation. In
addition, accounting for each disclosure could result in the release of
properly classified information which would compromise the national
defense or disrupt foreign policy.
(ii) 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 regulatory violation, of the existence of that
investigation; of the nature and scope of the information and evidence
obtained as to his 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. Amendment of the records would interfere with ongoing
investigations and law enforcement activities and impose an impossible
administrative burden by requiring investigations to be continuously
reinvestigated.
(iii) From subsection (e)(1) because the application of this
provision could impair investigations and interfere with the law
enforcement responsibilities of the OIG for the following reasons:
(A) It is not possible to detect relevance or necessity of specific
information in the early stages of a civil, criminal or other law
enforcement investigation, case, or matter. Relevance and necessity are
questions of judgment and timing, and it is only after the information
is evaluated that the relevance and necessity of such information can be
established.
(B) During the course of any investigation, the OIG may obtain
information concerning actual or potential violations of laws other than
those within the scope of its jurisdiction. In the interest of effective
law enforcement, 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.
(C) 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)(1) and (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)(1) and (k)(2) of the Privacy Act.
(c)(1) The following 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 civilian employment, military service,
Federal contracts, or access to classified information, but only to the
extent that the disclosure of such material would reveal the identity of
a source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence, or,
prior to January 1, 1975, under an implied promise that the identity of
the source would be held in confidence. Accordingly, this system of
records is exempt from 5 U.S.C. 552a(d)(1).
Personnel Security Case Files, NARA-24
(2) Exemptions 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.
Such knowledge might be harmful to the source who provided the
information as well as violate the explicit or implicit promise of
confidentiality made to the source during the investigation. Disclosure
might violate the privacy of third parties.