[Privacy Act Issuances (1999)]
[From the U.S. Government Publishing Office, www.gpo.gov]
OCCUPATIONAL SAFETY AND HEALTH REVIEW COMMISSION
TABLE OF CONTENTS
OSHRC-1 Travel Records.
OSHRC-2 Mailing Lists for News Releases, Speeches, Reports.
OSHRC-3 Cases Pending with the Commissioner.
OSHRC-4 Judge Report on Pending Cases.
OSHRC-5 Judge Summary Report.
OSHRC-6 Applications for Employment.
OSHRC-8 Payroll Records-Occupational Safety and Health Review
Commission.
OSHRC-9 Cases Pending in the Decisional Process After Oral Decision.
OSHRC-10 Cases Acted on by Judge.
OSHRC-11 Cases Ending in General Counsel's Office.
NEW BLANKET ROUTINE USES
(1) Blanket Routine Use for Disclosure to the Department of
Justice for Use in Litigation:
It shall be a routine use of the records in the Commission's
systems of records to disclose them to the Department of Justice
when--
(a) The Commission, or any component thereof, or
(b) Any employee of the Commission in his or her official
capacity, or
(c) Any employee of the Commission in his or her individual
capacity where the Commission has agreed to represent the employee,
or
(d) The United States, where the Commission determines that
litigation is likely to affect the Commission 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 is deemed by
the Commission to be relevant and necessary to the litigation,
provided, however, that in each case, the Commission determines that
disclosure of the records to the Department of Justice is a use of
the information contained in the records that is compatible with the
purpose for which the records were collected.
(2) Blanket Routine Use for Commission Disclosure in
Litigation:
It shall be a routine use of the records contained in the systems
of records maintained by the Commission to disclose them in a
proceeding before a court or adjudicative body before which the
Commission is authorized to appear, when--
(a) The Commission, or any component thereof, or
(b) Any employee of the Commission in his or her official
capacity, or
(c) Any employee of the Commission in his or her individual
capacity where the has agreed to represent the employee, or
(d) The United States, where the Commission determines that
litigation is likely to affect the Commission or any of its
components,
is a party to litigation or has an interest in such litigation,
and the Commission determines that use of such records is relevant
and necessary to the litigation, provided, however, that in each
case, the Commission determines that disclosure of the records to a
court or adjudicative body is a use of the information contained in
the records that is compatible with the purpose for which the records
were collected.
OSHRC-1
System name: Travel Records-OSHRC.
System location: Office of Financial Management, OSHRC, 1825 K
Street NW, Washington, DC 20006.
Categories of individuals covered by the system: Names of persons
who use OSHRC funds for travel.
Categories of records in the system: This system of records shows
all places to which travel was accomplished and the costs of such
travel including subsistence costs.
Authority for maintenance of the system: 29 U.S.C. 651 et seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: This system of
records is used for budgetary purposes within the agency and for
reporting to Members of Congress and other agencies when appropriate.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained in folders.
Retrievability: These records are indexed by the names of the
individuals on whom they are maintained.
Safeguards: Access to and use of such records are limited to those
persons whose official duties require such access.
Retention and disposal: The records are maintained indefinitely.
System manager(s) and address: Director, Office of Financial
Management, OSHRC, 1825 K Street NW, Washington, DC 20006.
Notification procedure: Individuals interested in inquiring about
their records should notify: Executive Director, OSHRC, 1825 K Street
NW, Washington, DC 20006.
Record access procedures: Individuals who wish to gain access to
their records should notify in writing, including their name, the
Executive Director.
Contesting record procedures: individuals who wish to contest their
records should notify in writing, including their name, the Executive
Director.
Record source categories: Information in this system of records
comes from the individual to whom it applies.
OSHRC-2
System name: Mailing Lists for News Releases, Speeches, Reports-
OSHRC.
System location: Office of Information and Publication, 1825 K
Street NW, Washington, DC 20006.
Categories of individuals covered by the system: This system
contains the names of all persons who routinely are sent information
on OSHRC.
Categories of records in the system: This system contains
information relating to the individual's address, business
affiliation, and the information he desires to receive.
Authority for maintenance of the system: 29 U.S.C. 651 et seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records are
used to mail information relating to case dispositions, speeches, and
statistical reports.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are stored on mag tape and on labels.
Retrievability: These records are indexed by the names of the
individual on whom they are maintained.
Safeguards: Access to and use of these records are limited to those
persons whose official duties requires such access.
Retention and disposal: These records are maintained indefinitely
unless the individuals requests that his/her reference be deleted and
then that reference is disposed immediately.
System manager(s) and address: Director of Information, OSHRC, 1825
K Street NW, Washington, DC 20006.
Notification procedure: Individuals interested in inquiring about
their records should notify: Executive Director, OSHRC, 1825 K Street
NW, Washington, DC 20006.
Record access procedures: Individuals who wish to gain access to
their records should notify in writing, including their name, the
Executive Director.
Contesting record procedures: Individuals who wish to contest their
records should notify in writing, including their name, the Executive
Director.
Record source categories: Information in this system either comes
from the individual to whom it applies or was derived from private
source directories.
OSHRC-3
System name: Cases Pending With the Commissioners.
System location: Office of the Executive Secretary, 1825 K Street
NW, Washington, DC 20006.
Categories of individuals covered by the system: Commission members
formerly or currently employed by OSHRC who call cases for review and
issue decisions.
Categories of records in the system: This system identifies the
Commissioner who has directed a case for review. It lists: (1) The
case name and docket number; (2) the petitioner and date of petition;
(3) the date of a direction for review; (4) the dates parties file
briefs; and (5) the months from both the notice of contest and
direction for review.
Authority for maintenance of the system: 29 U.S.C. 651 et seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records may
be used:
a. By Commission personnel working with cases under review.
b. To respond to a member of the public concerning the status of
a case under review.
c. As a date source to make management decisions as to case
processing activities.
d. For statistical and budgetary purposes.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained on magnetic disk and in binders.
Retrievability: Records are indexed by docket number.
Retention and disposal: These records are retained permanently on
magnetic disk. Information in binders is retained one year.
System manager(s) and address: Executive Secretary, OSHRC, 1825 K
Street NW, Washington, DC 20006.
Notification procedure: Individuals interested in inquiring about
their records should notify: Executive Director, OSHRC, 1825 K Street
NW, Washington, DC 20006.
Record access procedures: Individuals who wish to gain access to
their records should notify in writing, including their name, the
Executive Director.
Contesting record procedures: Individuals who wish to contest their
records should notify in writing, including their name, the Executive
Director.
Record source categories: Information in this system either comes
from the individual to whom it applies, or is derived from
information he supplied or by the parties who appear before the
Commission.
OSHRC-4
System name: Judge Report on Pending Cases.
System location: Office of the Executive Secretary, OSHRC, 1825 K
Street NW, Washington, DC 20006.
Categories of individuals covered by the system: This system
summarizes the status of all cases currently pending before the
Commission's Administrative Law Judges.
Categories of records in the system: This system shows the Judge's
name and pertinent information about each case assigned to him
including the scheduled dates for a hearing; the number of times the
hearing was rescheduled and the time span between dates; the opening
and closing dates of hearing and the number of hearing days; the
receipt date of transcripts and the number of transcript pages; dates
of settlement; dates briefs are filed; number of days since
assignment; and notations for cases assigned for more than 180 days.
Authority for maintenance of the system: 29 U.S.C. 651 et seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: This system is
used by Administrative Law Judges and other Commission employees for
administrative purposes.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained on magnetic disk and in binders.
Retrievability: Records are indexed by docket number.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access.
Retention and disposal: These records are retained permanently on
magnetic disk. The written records pertaining to each Judge are given
to the Judge and disposed of by the Judge. Information in binders is
retained one year.
System manager(s) and address: Executive Secretary, OSHRC, 1825 K
Street NW, Washington, DC 20006.
Notification procedure: Individuals interested in inquiring about
their records should notify: Executive Director, OSHRC, 1825 K Street
NW, Washington, DC 20006.
Record access procedures: Individuals who wish to gain access to
their records should notify in writing, including their name, the
Executive Director.
Contesting record procedures: Individuals who wish to contest their
records should notify in writing, including their name, the Executive
Director.
Record source categories: Information in the system either comes
from the individual to whom it applies, or is derived from
information he or the Chief Administrative Law Judge supplied or by
the parties who appear before the Commission.
OSHRC-5
System name: Judge Summary Report.
System location: Office of the Executive Secretary, OSHRC, 1825 K
Street NW, Washington, DC 20006.
Categories of individuals covered by the system: OSHRC
Administrative Law Judges currently employed who are assigned to hear
and decide case.
Categories of records in the system: This system contains the name
of each OSHRC judge, the number of cases greater than 180 days on the
judge's docket, the number of cases pending for each judge, the
number of cases pending for all judges, the number of settlements,
and the region for each judge.
Authority for maintenance of the system: 29 U.S.C. 651 et seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records are
used by the Chairman and the Chief Administrative Law Judge for
administrative purposes.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained on magnetic disk and in binders.
Retrievability: Records are indexed by judge number.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access.
Retention and disposal: These records are retained permanently on
magnetic disk. Information in binders is retained one year.
System manager(s) and address: Executive Secretary, OSHRC, 1825 K
Street NW, Washington, DC 20006.
Notification procedure: Individuals interested in inquiring about
their records should notify: Executive Director, OSHRC, 1825 K Street
NW, Washington, DC 20006.
Record access procedures: Individuals who wish to gain access to
their records should notify in writing, including their name, the
Executive Director.
Contesting record procedures: Individuals who wish to contest their
records should notify in writing, including their name, the Executive
Director.
Record source categories: Information in this system either comes
from the individual or is derived from information he or the Chief
Administrative Law Judge supplied or by the parties who appear before
the Commission.
OSHRC-6
System name: Applications for Employment-OSHRC.
System location: Personnel Office, 1825 K Street NW, Washington, DC
20006.
Categories of individuals covered by the system: All those desiring
employment with OSHRC who have submitted a Form 171 or resume.
Categories of records in the system: This system contains
information relating to birth date, veteran preference, tenure, past
and present salaries, grades and position titles, awards and other
information relating to the status of the individual, as well as
education and test scores.
Authority for maintenance of the system: 5 U.S.C. 3301; 1302.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
information in the records may be used to refer applications to those
sections within the agency having position vacancies.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained in folders.
Retrievability: These records are indexed by the names of the
applicants.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access.
Retention and disposal: The records are maintained up to one year
and then are destroyed.
System manager(s) and address: Personnel Director, OSHRC, 1825 K
Street NW, Washington, DC 20006.
Notification procedure: Individuals interested in inquiring about
their records should notify: Executive Director, OSHRC, 1825 K Street
NW, Washington, DC 20006.
Record access procedures: Individuals who wish to gain access to
their records should notify in writing, including their name, the
Executive Director.
Contesting record procedures: Individuals who wish to contest their
records should notify in writing, including their name, the Executive
Director.
Record source categories: Information in this system comes from the
individual to whom it applies.
OSHRC-8
System name: Payroll Records-OSHRC.
System location: General Services Administration, Region 3 Office;
copies held by the Commission. (GSA holds records for the Commission
under contract.)
Categories of records in the system: Varied payroll records,
including, among other documents, time and attendance cards; payment
vouchers; comprehensive listing of employees; health benefits
records, requests for deductions; tax forms, W-2 forms, overtime
requests; leave data; retirement records. Records are used by
Commission and GSA employees to maintain adequate payroll information
for Commission employees, and otherwise by Commission and GSA
employees who have a need for the record in the performance of their
duties.
Authority for maintenance of the system: 31 U.S.C., generally.
Also, 29 U.S.C. 651, et seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See appendix.
Records also are disclosed to GAO for audits; to the Internal Revenue
Service for investigation; and to private attorneys, pursuant to a
power of attorney.
A copy of an employee's Department of the Treasury Form W-2, Wage
and Tax Statement, also is disclosed to the State, city, or other
local jurisdiction which is authorized to tax the employee's
compensation. The record will be provided in accordance with a
withholding agreement between the State, city, or other local
jurisdiction and the Department of the Treasury pursuant to 5 U.S.C.
5516, 5517, or 5520, or, in the absence thereof, in response to a
written request from an appropriate official of the taxing
jurisdiction to the OSHRC Director of Personnel. The request must
include a copy of the applicable statute or ordinance authorizing the
taxation of compensation and should indicate whether the authority of
the jurisdiction to the tax the employee is based on place of
residence, place of employment, or both.
Pursuant to a withholding agreement between a city and the
Department of the Treasury (5 U.S.C. 5220), copies of executed city
tax withholding certificates shall be furnished the city in response
to written request from an appropriate city official to the Director
of Personnel.
In the absence of a withholding agreement, the Social Security
number will be furnished only to a taxing jurisdiction which has
furnished this agency with evidence of its independent authority to
compel disclosure of the Social Security Number, in accordance with
section 7 of the Privacy Act, Pub. L. 93-579.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper and microfilm.
Retrievability: Social Security Number.
Safeguards: Stored in guarded building; OSHRC copies stored in
secure room and locked file drawers; released only to authorized
personnel.
Retention and disposal: Disposition of records shall be in
accordance with the HB GSA Records Maintenance and Disposition System
(OAD P 1820.2).
System manager(s) and address: Director of Personnel, Occupational
Safety and Health Review Commission, 1825 K Street NW, Washington, DC
20006.
Notification procedure: Individuals interested in inquiring about
their records should notify: Executive Director, OSHRC, 1825 K Street
NW, Washington, DC 20006.
Record access procedures: Individuals who wish to gain access to
their records should notify in writing, including their name, the
Executive Director.
Contesting record procedures: Individuals who wish to contest their
records should notify in writing, including their name, the Executive
Director.
Record source categories: Information in this system of records
either comes from the individual to whom it applies or is derived
from information compiled by Commission employees performing
administrative duties.
OSHRC-9
System name: Cases Pending in the Decisional Process after Oral
Decision.
System location: Office of the Executive Secretary, 1825 K Street,
NW, Washington, DC 20006.
Categories of individuals covered by the system: Commission members
formerly or currently employed by OSHRC who call cases for review and
issue decisions.
Categories of records in the system: This system identifies cases
pending after a Commission meeting. It identifies the Commissioner
who directed the case for review together with the opinions or
comments filed by the Commissioners as well as the dates of filing.
Authority for maintenance of the system: 29 U.S.C. 651 et seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records are
used by Commission members and their staffs in processing cases under
review. The records are used to determine the status of a case after
a vote has been taken at a Commission meeting.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained on magnetic disk and in
binders.
Retrievability: Records are indexed by docket number.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access.
Retention and disposal: These records are retained permanently on
magnetic disk. Information in binders is retained one year.
System manager(s) and address: Executive Secretary, OSHRC, 1825 K
Street, NW, Washington, DC 20006.
Notification procedure: Individuals interested in inquiring about
their records should notify: Executive Director, OSHRC, 1825 K Street
NW, Washington, DC 20006.
Record access procedures: Individuals who wish to gain access to
their records should notify in writing, including their name, the
Executive Director.
Contesting record procedures: Individuals who wish to contest their
records should notify in writing, including their name, the Executive
Director.
Record source categories: Information in this system is derived
from the individual to whom it applies or is derived from the
official minutes of Commission meetings and other records submitted
to the Office of the Executive Secretary.
OSHRC-10
System name: Cases Acted on by Judge.
System location: Office of the Executive Secretary, OSHRC, 1825 K
Street, NW, Washington, DC 20006.
Categories of individuals covered by the system: Administrative Law
Judges currently employed by the Commission.
Categories of records in the system: This system contains names of
the OSHRC Administrative Law Judges and gives a comparison of each
with the averages of all judges of a one-month period. Comparisons
are made for the number of cases assigned, the number of trials held,
the average days per trial, the number of heard and unheard cases,
the average elapsed days for heard and unheard cases that are
completed, and the number of cases pending at the end of a time
period together with the average days pending.
Authority for maintenance of the system: 29 U.S.C. 651 et seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records are
used by the Chairman and the Chief Administrative Law Judge for
administrative purposes.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained on magnetic disk and in binders.
Retrievability: Records are indexed by the Judge's name.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access.
Retention and disposal: The information used to generate these
records is retained permanently. Information in binders is retained
one year.
System manager(s) and address: Executive Secretary, OSHRC, 1825 K
Street, NW, Washington, DC 20006.
Notification procedure: Individuals interested in inquiring about
their records should notify: Executive Director, OSHRC, 1825 K Street
NW, Washington, DC 20006.
Record access procedures: Individuals who wish to gain access to
their records should notify in writing, including their name, the
Executive Director.
Contesting record procedures: Individuals who wish to contest their
records should notify in writing, including their name, the Executive
Director.
Record source categories: Information in this system either comes
from the individual to whom it applies or is derived from information
the individual judge, other judges, or the Chief Administrative Law
Judge have supplied or by the parties who appear before the
Commission.
OSHRC-11
System name: Cases pending in General Counsel's Office.
System location:
Office of the Executive Secretary, OSHRC, Room 401, 1825 K
Street, NW, Washington, DC 20006
Categories of individuals covered by the system:
OSHRC attorneys (including supervisory attorneys) who have been
assigned cases by OGC.
Categories of records in the system:
This system contains records of cases before the Commission which
have been assigned to OGC for processing. It identifies the case by
name and docket number, identifies attorneys (including supervising
attorneys) who most recently have been assigned to work on the case,
and contains the most recent dates of the various stages in the
progress of the case, starting with assignment to OCG and ending with
issuance of a decision.
Authority for maintenance of the system:
29 U.S.C. 661(d)
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records are used by the General Counsel and his staff to
make management decisions with respect to case processing activities.
These records are not disseminated outside of the Commission.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained on magnetic disk for reproduction in
report form.
Retrievability:
A record is retrievable by case name, docket number, date of case
activity, name of attorney or supervising attorney, or division of
OGC.
Safeguards:
Reports generated from this system are stored in file cabinets.
Magnetic disks require a key for access. Access to and use of the
records are limited to those whose official duties require such
access.
Retention and disposal:
Information on magnetic disks are retained permanently. Reports
generated from the system are kept for as long as they are needed for
case management purposes.
System manager(s) and address:
Executive Secretary, OSHRC, Room 401, 1825 K Street, NW,
Washington, DC 20006.
Notification procedure:
Individuals interested in inquiring about records should notify:
Executive Director, OSHRC, Room 409, 1825 K Street, NW, Washington,
DC 20006.
Record access procedures:
Individuals who wish to gain access to their records should
notify in writing, including their name, the Executive Director.
Contesting record procedures:
Same as above.
Record source categories:
Information in this system is derived from the individual to whom
it applies or is derived from case processing records maintained by
the Office of the Executive Secretary and OGC.
Systems exempted from certain provisions of the act:
None.
Appendix--Occupational Safety and Health Review Commission
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.
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.
A record from this system or records may be disclosed to a
federal agency, in response to its request, in connection with the
hiring or retention of an employee, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant or other
benefit by the requesting agency, to the extent that the information
is relevant and necessary to the requesting agency's decision in the
matter.
A record from this system of records may be disclosed to an
authorized appeal grievance examiner, formal complaints examiner,
equal employment opportunity investigator, arbitrator or other duly
authorized official engaged in investigation or settlement of a
grievance, complaint, or appeal filed by an employee. A record from
this system of records may be disclosed to the United States Office
of Personnel Management in accordance with the agency's
responsibility for evaluation and oversight of federal personnel
management.
A record from this system of records may be disclosed to officers
and employees of a federal agency for purposes of audit.
The information contained in this system of records will be
disclosed to the Office of Management and Budget in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19 at any stage of the legislative coordination and clearance
process as set forth in that circular.
A record of 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 a request from the individual about whom the record is
maintained.
A record from this system of records may be disclosed to officers
and employees of the General Services Administration in connection
with administrative services provided to this Agency under agreement
with GSA.
OCCUPATIONAL SAFETY AND HEALTH REVIEW COMMISSION
Title 29--Labor
CHAPTER XX--OCCUPATIONAL SAFETY AND HEALTH REVIEW COMMISSION
PART 2400--REGULATIONS IMPLEMENTING THE PRIVACY ACT
Sec.
2400.1 Purpose and scope.
2400.2 Description of agency.
2400.3 Delegation of authority.
2400.4 Collection and disclosure of personal information.
2400.5 Notification.
2400.6 Procedures for requesting records.
2400.7 Procedures for requesting amendment.
2400.8 Schedule of fees.
2400.9 Exemptions.
Authority: Sec. 3(f), Privacy Act of 1974 (5 U.S.C. 552a(f), 88 Stat.
1896, 1900), and 5 U.S.C. 553.
Source: 44 FR 3968, Jan. 19, 1979, unless otherwise noted.
Sec. 2400.1 Purpose and scope.
The purpose of the provisions of this part is to provide procedures to
implement the Privacy Act of 1974 (5 U.S.C. 552a). The following
provisions are applicable only to such items of information as relate to
the agency or are within its custody. The Commission's custody
encompasses all information which is kept by an agent by contract with
the agency. They are not applicable to the rights of parties appearing
in adversary proceedings before the Commission to obtain discovery from
an adverse party. Such matters are governed by the Commission's rules of
procedure which are published at 29 CFR 2200.1 et seq. This part is
intended to protect individual privacy, and affects all personal
information collection and usage activity of the agency.
Sec. 2400.2 Description of agency.
The Occupational Safety and Health Review Commission (OSHRC)
adjudicates contested enforcement actions under the Occupational Safety
and Health Act of 1970 (29 U.S.C. 651-677). Decisions of the Commission
on such actions are issued only after the parties to the case are
afforded an opportunity for a hearing in accordance with section 554 of
Title 5, United States Code. All such hearings are conducted by an OSHRC
Administrative Law Judge at a place convenient to the parties and are
open to the public. Each Commission member has the authority to direct
that a decision of a Judge be reviewed by the full Commission before
becoming a final order.
Sec. 2400.3 Delegation of authority.
(a) The Executive Director shall insure agency-wide compliance with
this policy.
(b) Custodians are responsible for adherence to this part within their
respective units and in particular for their collection, use and
disclosure of personal information, and for affording individuals the
right to inspect, obtain copies of and correct records concerning them.
They are responsible for reporting the existence of personal records
systems, changes to the contents of those systems and changes of routine
use to the Executive Director, and also for establishing the relevancy
of information within those systems.
Sec. 2400.4 Collection and disclosure of personal information.
(a) The following rules govern the collection of personal information
throughout OSHRC operations:
(1) The OSHRC shall:
(i) Solicit, collect and maintain only such personal information as is
relevant and necessary to accomplish a purpose required by statute or
Executive Order.
(ii) Collect information, to the greatest extent practicable, directly
from the subject individual when such information may result in adverse
determinations about an individual's rights, benefits or privileges.
(iii) Inform any individual requested to disclose personal information
whether that disclosure is mandatory or voluntary, by what authority it
is solicited, the principal purposes for which it is intended to be
used, the routine uses which may be made of it, and any penalties or
consequences known to the OSHRC which shall result to the individual
from such non-disclosure.
(2) OSHRC shall not discriminate against any individual who fails to
provide personal information unless that information is required or
necessary for the conduct of the system or program in which the
individual desires to participate. See Sec. 2400.4(a)(1)(i).
(3) No information shall be collected or maintained which describes
how individuals exercise rights guaranteed by the First Amendment unless
the Commission specifically determines that such information is relevant
and necessary to carry out a statutory purpose of the OSHRC, and the
collection is expressly authorized by statute or by the individual about
whom the record is maintained.
(4) OSHRC shall not require disclosure of any individual's Social
Security account number or deny a right, privilege or benefit because of
the individual's refusal to disclose the number unless disclosure is
required by Federal law.
(b) Disclosures. (1) Limitations. OSHRC shall not disseminate personal
information unless reasonable efforts have been made to assure that the
information is accurate, complete, timely and relevant and
(i) The individual to whom the record pertains has requested in
writing that the information be disseminated, or
(ii) It has obtained the prior written consent of the individual to
whom the record pertains, or
(iii) The dissemination is in accordance with paragraph (b)(2) of this
section.
(2) Dissemination of personal information may be made:
(i) To a person pursuant to a requirement of the Freedom of
Information Act (5 U.S.C. 552);
(ii) To those officers and employees of OSHRC who have a need for such
information in the performance of their duties;
(iii) For a routine use as contained in the system notices published
in the Federal Register;
(iv) To a recipient who has provided adequate advance written
assurance that the information shall be used solely as a statistical
reporting or research record, and to whom the information is transferred
in a form that is not individually identifiable;
(v) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
Title 13, U.S. Code;
(vi) 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
Administrator of General Services or his designee to determine whether
the record has such value;
(vii) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual, if upon such disclosure
notification is transmitted to the last known address of such
individual;
(viii) To a federal agency or an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity, if such activity is
authorized by law and if the head of the agency or instrumentality has
made a written request to the OSHRC specifying the particular portion of
the record desired and the law enforcement activity for which the record
is sought;
(ix) To either House of Congress or its committees or subcommittees to
the extent of matter within their jurisdiction;
(x) To the Comptroller General or any of his authorized
representatives in the course of the performance of the duties of the
General Accounting Office;
(xi) Pursuant to the order of a court of competent jurisdiction;
(xii) To a congressional office from the record of an individual in
response to an inquiry from the congressional office made at the written
request of that individual. The consent implied from such a written
request applies only to congressional inquiries.
(3) Employee credit references. The Personnel Office shall verify the
following information provided by an employee to a credit bureau or
commercial firm from which an employee is seeking credit: Length of
service, job title, grade, salary, tenure of employment, and Civil
service status.
(4) Employee job references. Prospective employers of an OSHRC
employee or a former OSHRC employee may be furnished with the
information in Sec. 2400.4(b)(3) above, in addition to the date and
reason for separation if applicable, upon the request of the employee or
former employee.
(c) Correction disclosure. Any person or other agency to which a
personal record has been or is to be disclosed shall be informed of any
corrections or be provided copies of statements of dispute, and
notifications specifying the portions of the record relating thereto
affecting the accuracy, timeliness or relevance of that personal record.
(d) Record of disclosure. (1) An accurate accounting of each
disclosure shall be kept in all instances except those in which
disclosure is made to OSHRC employees in the performance of their duties
or is required by the Freedom of Information Act (5 U.S.C. 552), in
conformance with section 552a(c) of the Privacy Act.
(2) The accounting shall be maintained for at least five (5) years or
the life of the record, whichever is longer.
(3) The accounting shall be made available to the individual named in
the record upon inquiry, except for disclosures made pursuant to
paragraph (b)(2)(viii) of this section relating to law enforcement
activities.
Sec. 2400.5 Notification.
(a) Notification of systems.The following procedures permit
individuals to determine the types of personal records systems
maintained by OSHRC.
(1) Upon written request, OSHRC shall notify any individual whether a
specific system named by him contains a record pertaining to him. See
Sec. 2400.6 for suggested form of request.
(2) OSHRC shall publish annually in the Federal Register a notice of
existence and character of all personal systems of records. This notice
shall contain the following information:
(i) Name and location of the system,
(ii) Nature and purposes of the system,
(iii) Categories of individuals on whom records are maintained and
categories of records generally maintained in the system,
(iv) Confidentiality requirements and the extent to which access
controls apply to such information,
(v) OSHRC policies and standards regarding the safeguarding and
disclosure of information, retrievability of information, information
storage, duration of retention of information, and disposal of such
information from the system,
(vi) Each routine use made by OSHRC of the personal information
contained in the system, including the categories of users and the
purpose of the use,
(vii) Title and official address of the custodian,
(viii) Procedures by which an individual can be informed if a system
contains personal information pertaining to himself, gain access to such
information, and contest the content, accuracy, completeness,
timeliness, relevance and necessity for retention of the information,
(ix) Categories of sources of such personal information,
(x) System status--either developmental or operational.
(b) Notification of disclosure. OSHRC shall make reasonable efforts
to serve notice on an individual before any personal information is made
available to any person under compulsory legal process when such process
becomes a matter of public record.
(Also see Sec. 2400.4(b) (1)(ii) and (2)(vii).)
(c) Notification of amendment. (See Sec. 2400.7 relating to amendment
of records upon request.)
(d) Notification of new use. Any new or revised use of personal
information maintained by OSHRC shall be published in the Federal
Register thirty (30) days before such use becomes operational. Public
views may then be submitted to the Executive Director.
(e) Notification of exemptions. OSHRC shall publish in the Federal
Register its intent to exempt any system of records and shall specify
the nature and purpose of that system.
Sec. 2400.6 Procedures for requesting records.
The purpose of this section is to provide procedures by which an
individual may have access to personal information within a
comprehensive format.
(a) Submission of requests for access--(1) Manner. An individual
seeking information regarding the contents of records systems or access
to records about himself in a system of records should present a written
request to that effect either in person or by mail to the Executive
Director, OSHRC, One Lan fayette Centre, 1120-20th Street NW, 9th Floor,
Washington, DC 20036-3419. Access to OSHRC records maintained in
National Archives and Records Administration Centers may be obtained in
accordance with the regulations issued by the General Services
Administration.
(2) Specification of records sought. Requests for access to records
shall describe the nature of the record sought, the approximate dates
covered by the record, and the system in which the record is thought to
be included as described in the ``Notification'' for that system as
published in the Federal Register. The requester should also indicate
whether he wishes to review the record in person or obtain a copy by
mail. If the information supplied is insufficient to locate or identify
the record, the requester shall be notified promptly and, if necessary,
informed of additional information required. Upon request, OSHRC also
shall disclose to the individual an accounting of any disclosures made
from the individual's record.
(3) Period for response. Upon receipt of an inquiry the Executive
Director shall respond promptly to the request and no later than 10 days
from receipt of such inquiry.
(b) Verification of identity. The following standards are applicable
to any individual who requests records concerning himself.
(1) An individual seeking access to records about himself in person
may establish his identity by the presentation of a single document
bearing a photograph (such as a passport, employee identification card,
or valid driver's license) or by the presentation of two items of
identification which do not bear a photograph but do bear both a name
and address (such as a valid driver's license, or credit card).
(2) An individual seeking access to records about himself by mail
shall establish his identity by a signature, address, date of birth,
place of birth, employee identification number, if any, and one other
identifier such as a photocopy of an identifying document.
(3) An individual seeking access to records about himself by mail or
in person who cannot provide the necessary documentation of
identification may provide a notarized statement swearing or affirming
to his identity and to the fact that he understands the penalties for
false statements pursuant to 18 U.S.C. 1001. Forms for such notarized
statements may be obtained on request from the Executive Director.
(c) Verification of guardianship. The parent or guardian of a minor or
a person judicially determined to be incompetent and seeking to act on
behalf of such minor or incompetent shall, in addition to establishing
his own identity, establish the identity of the minor or other person he
represents as required in paragraph (b) of this section and establish
his own parentage or guardianship of the subject of the record by
furnishing either a copy of a birth certificate showing parentage or a
court order establishing the guardianship.
(d) Accompanying persons. An individual seeking to review records
about himself may be accompanied by another individual of his own
choosing. Both the individual seeking access and the individual
accompanying him shall be required to sign the required form indicating
that OSHRC is authorized to discuss the contents of the subject record
in the presence of both individuals.
(e) Special rules for medical records. Medical records shall be
disclosed to the requester to whom they pertain unless the Executive
Director, in consultation with a medical doctor named by the requesting
individual, determines that access to such record could have an adverse
effect upon such individual. In such a case, the Executive Director
shall transmit such information to the named medical doctor.
(f) When compliance is possible. (1) The Executive Director shall
inform the requester of the determination to grant the request and shall
make the record available to the individual in the manner requested,
that is, either by forwarding a copy of the information to him or by
making it available for review, unless:
(i) It is impracticable to provide the requester with a copy of a
record, in which case the requester shall be so notified, and, in
addition, be informed of the procedures set forth in paragraph (b)(2) of
this section, or
(ii) the responsible official has reason to believe that the cost of a
copy of a record is considerably more expensive than anticipated by the
requester, in which case he shall notify the requester of the estimated
cost, and ascertain whether the requester still wishes to be provided
with a copy of the information.
(2) Where a record is to be reviewed by the requester in person, the
disclosure officer shall inform the requester in writing of:
(i) The date on which the record shall become available for review,
the location at which it may be reviewed, and the hours for inspection;
(ii) the type of identification that shall be required in order for
him to review the record;
(iii) such person's right to have a person of his own choosing
accompany him to review the record; and
(iv) such person's right to have a person other than himself review
the record.
(3) If the requester seeks to inspect the record without receiving a
copy, he shall not leave OSHRC premises with the record and shall sign a
statement indicating he has reviewed a specific record or category of
record.
(g) Response when compliance is not possible. A reply denying a
written request to review a record shall be in writing signed by the
Executive Director or other appropriate official and shall be made only
if such a record does not exist or does not contain personal information
relating to the requester, or is exempt. This reply shall include a
statement regarding the determining factors of denial, and the right to
obtain judicial review in a district court of the United States.
[44 FR 3698, Jan. 19, 1979, as amended at 58 FR 26066, Apr. 30, 1993]
Sec. 2400.7 Procedures for requesting amendment.
(a) Submission of requests for amendment. Upon review of an
individual's personal record, that individual may submit a request to
amend such record. This request shall be submitted in writing to the
Executive Director and shall include a statement of the amendment
requested and the reasons therefor, e.g., relevance, accuracy,
timeliness or completeness of the record.
(b) Action to be taken by the Executive Director. Upon receiving an
amendment request, he or she shall promptly:
(1) Acknowledge in writing within ten (10) working days the receipt of
the request.
(2) Make such inquiry as is necessary to determine whether the
amendment is appropriate, and
(3) Correct or eliminate any information that is found to be
incomplete, inaccurate, not relevant to a statutory purpose of OSHRC, or
not timely and notify the requester when this action is complete, or
(4) Notify the requester of a determination not to amend and of the
individual's right to appeal not later than thirty (30) working days
after receipt of a request to amend.
(c) Appeal procedure. (1) If a request to inspect, copy or amend a
record is denied, in whole or in part, or if no determination is made
within the period prescribed by this part, the requester may appeal to
the Chairman, OSHRC, One Lafayette Centre, 1120-20th Street NW, 9th
Floor, Washington, DC 20036-3419.
(2) The requester shall submit his appeal in writing within thirty
(30) days of the date of denial, or within ninety (90) days of such
request if the appeal is from a failure of the Executive Director to
make a determination. The letter of appeal should include, as
applicable:
(i) Reasonable identification of the record to which access was sought
or the amendment of which was requested.
(ii) A statement of the OSHRC action or failure to act being appealed
and the relief sought.
(iii) A copy of the request, the notification of denial and of any
other related correspondence.
(3) The Chairman shall make his final determination not later than
thirty (30) days from the date of the request, unless he extends the
time for good cause to be shown by him but not to exceed ninety (90)
days from the date of the request. Any record found on appeal to be not
complete, accurate, relevant, or timely, shall within thirty (30)
working days of the date of such findings be appropriately amended.
(4) The decision of the Chairman constitutes the final decision of
OSHRC on the right of the requester to inspect, copy, change or update a
record. The decision on the appeal shall be in writing and, in the event
of a denial, shall set forth the reasons for such denial and state the
individual's right to obtain judicial review in a district court. An
indexed file of the agency decisions on appeal shall be maintained by
the Executive Director.
(d) Submission of statement of disagreement. If the final decision
does not satisfy the requester, any statement of reasonable length,
provided by that individual, setting forth a position regarding the
disputed information, shall be accepted and included in the relevant
personal record.
(e) Availability of assistance in exercising rights. The Executive
Director is available to provide an individual with assistance in
exercising rights pursuant this part.
[44 FR 3698, Jan. 19, 1979, as amended at 58 FR 26066, Apr. 30, 1993]
Sec. 2400.8 Schedule of fees.
(a) Policy. The purpose of this section is to establish fair and
equitable fees to permit reproduction of records for concerned
individuals.
(b) Reproduction. (1) For reproducing any paper or micrographic record
or publication, the fee is 0.10 cents per page. No charge shall be made
if the total fee authorized by this part in compliance with a request or
series of related requests is less than 3.00 dollars.
(2) OSHRC shall not normally furnish more than one copy of any record.
(c) Limitations. No fee shall be charged to any individual for the
process of retrieving, or amending records.
Sec. 2400.9 Exemptions.
(a) Subsections 552a (j) and (k) of Title 5, United States Code,
empower the Chairman to exempt systems of records meeting certain
criteria from various other subsections of section 552a. With respect to
systems of records so exempted, nothing in this part shall require
compliance with any provisions hereof implementing any subsections of
section 552a from which those systems may properly be and have been
exempted.
(b) [Reserved for specific exemptions.]