[Privacy Act Issuances (2001)]
[From the U.S. Government Publishing Office, www.gpo.gov]
CIVIL RIGHTS COMMISSION
Table Of Contents
(1) Appeals, Grievances and Complaints
(2) Applications for Employment
(3) Complaints
(4) Commission Projects
(5) Information on Commissioners, Staff and State Advisory
Committee members
(6) Other Employee Programs: EEO, Troubled Employee, and Upward
Mobility
(7) Personnel
(8) Resource and Consultant
(9) State Advisory Committees Projects
(10) Travel, Payroll, Time and Attendance of Commissioners,
Staff, Consultants and State Advisory Committee Members
CRC--001
System name: Appeals, Grievances and Complaints
System location:
Office of Management
Personnel Office
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW, Room 507
Washington, DC 20425
Categories of individuals covered by the system: Applicants for
Federal employment, current and former employees, agencies and
annuitants who appeal a determination made by the Commission.
Categories of records in the system: This system of records
contains information or documents relating to a decision and
determination made by the Commission affecting an individual. The
records consist of the initial grievance, complaint, or appeal,
letters of notices to the individual, records of hearings when
conducted, materials placed into the record to support the decision
or determination, affidavits or statements, testimony of witnesses,
investigative reports, notice of decision and related correspondence,
opinions and recommendations.
Authority for maintenance of the system:
42 U.S.C. 1975d(a)
Federal Personnel Regulation (FPM) 293
Federal Personnel Regulation (FPM) 771
Federal Personnel Regulation (FMP) 752
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The records and
information in the records may be used to respond to a request from a
member of Congress regarding the status of an appeal, complaint or
grievance; to provide information to the public on the decision of an
appeal, complaint or grievance required by the Freedom of Information
Act; to respond to a court subpena and/or refer to a district court
in connection with a civil suit; to adjudicate an appeal, complaint,
or grievance; as a data source for management information for
production of summary descriptive statistics and analytical studies
in support of the function for which the records are collected and
maintained, or for related personnel management functions or
personnel resources studies; may also be utilized to respond to
general requests for statistical information (without personal
identification of individuals) under the Freedom of Information Act
or to locate a specific individual for personnel research or other
personnel management functions; and to provide information or
disclose to a Federal agency, in response to another agency's
request, in connection with the hiring or retention of an employee.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained in secured file folders, and
index card.
Retrievability: These records are indexed by the names of the
individuals on whom they are maintained.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access. Personnel
screening is employed to prevent unauthorized disclosure.
Retention and disposal: The records are maintained up to two years
and are transferred to the National Personnel Records Center, St.
Louis, Missouri. They are destroyed by the Federal Records Center
when the records are seven (7) years old.
System manager(s) and address:
Office of Management
Personnel Officer
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Notification procedure: Individuals who have filed appeals or
grievances are aware of that fact and have been provided a copy of
the record. They may, however, contact the:
Office of General Counsel
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW, Room 600
Washington, DC 20425
Record access procedures: Same as above with appeal to the Staff
Director.
Record source categories: Individuals to whom the record pertains;
agency and/or Commission officials; affidavits or statements from
employees; testimony of witnesses; official documents relating to the
appeal, grievance, or complaints; and correspondence from specific
organizations or persons.
Exemptions: The reasons for possibly asserting the exemptions are
to prevent subjects of investigation from frustrating the
investigatory process, to prevent disclosure of investigative
techniques, to maintain the ability to obtain necessary information,
to fulfill commitments made to sources to protect their identities
and the confidentiality of information and to avoid endangering these
sources.
CRC--002
System name: Applications for Employment.
System location:
U.S. Commission on Civil Rights
Office of Management
Personnel Division
1121 Vermont Avenue, NW, Room 507
Washington, DC 20425. Occasionally located on a temporary basis
in divisional or regional offices.
Categories of individuals covered by the system: Applicants seeking
employment with the U.S. Commission on Civil Rights.
Categories of records in the system: The system comprises S.F.
171's, personal resumes, and in many instances Civil Service
Commission examination scores of individuals seeking employment with
the Commission on Civil Rights.
Authority for maintenance of the system: 5 U.S.C. 1302, 3109, 3301,
3302, 3304, 3306, 3307, 3309, 3313, 3317, 3318, 3319, 3326, 3349,
4103, 5532, 5533, 5723, and Executive Orders 1057 and 11103. 42
U.S.C. 1975d.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Information in
these records may be used to refer applicants to the various offices
of the Commission for purposes of consideration for placement in
positions for which the applicants have applied and are qualified.
The records are available to personnel specialists who review the
applicants' qualifications and consider them for appropriate agency
vacancies.
Records including Standard Forms 85, 86, 87 and 171 are also
transmitted to the Civil Service Commission for investigative
purposes and assistance to the Agency in selecting employees.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: The records are maintained in file folders.
Retrievability: In some regional and divisional offices, the
records are retrieved by name. In the Personnel Office, the records
are recorded by name and grade in a log book. They can also be
retrieved, however, by grade classification.
Safeguards: Access to these records are restricted to those with
appropriate function within the agency.
Retention and disposal: In divisional or regional offices, the
records are retained for an indefinite period of time. They are then
forwarded to the Personnel Office or discarded. In the Personnel
Office, every year the applications are returned to the applicants
for update and resubmission if applicants are still interested in
employment with the Commission.
System manager(s) and address:
Personnel Officer
Office of Management, Room 507
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Notification procedure:
General Counsel
Office of General Counsel, Room 600
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Record access procedures: Address inquiries same as Notification,
with appeals to the Staff Director.
Record source categories: Information submitted by applicants
seeking employment with the Commission.
CRC--003
System name: Complaints.
System location:
U.S. Commission on Civil Rights
Office of Federal Civil Rights Enforcement, Complaints
Division, Office of General Counsel, and Regional Office Liaison
Office.
1121 Vermont Avenue, NW
Washington, DC 20425
Regional Offices:
Central States Regional Office, U.S.C.C.R.
911 Walnut Street
Kansas City, Missouri 64106
Mid-Atlantic Regional Office, U.S.C.C.R.
2120 L Street, NW (Room 510)
Washington, DC 20037
Midwestern Regional Office, U.S.C.C.R.
230 South Dearborn Street, 32nd Floor
Chicago, Illinois 60604
Rocky Mountain Regional Office, U.S.C.C.R.
Executive Tower Inn
1405 Curtis Street, Suite 1700
Denver, Colorado 80202
Northeastern Regional Office, U.S.C.C.R.
26 Federal Plaza (Room 1639)
New York, New York 10007
Southern Regional Office, U.S.C.C.R.
Citizens Trust Bank Building (Room 362)
75 Piedmont Avenue, NE
Atlanta, Georgia 30303
Southwestern Regional Office, U.S.C.C.R.
New Moore Building (Room 249)
106 Broadway
San Antonio, Texas 78205
Western Regional Office, U.S.C.C.R.
312 North Spring Street (Room 1015)
Los Angeles, California 90012
Categories of individuals covered by the system: Records are
maintained by the name of the person filing the complaint and by the
name of the person or organization the complaint is filed against.
Categories of records in the system: The record contains the
complaint alleging a denial of equal protection based on race, color,
religion, national origin, or sex or in the Administration of Justice
and the action taken by the Commission on that complaint.
Authority for maintenance of the system: 42 U.S.C. 1975c(a)(1) and
(5)
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The record is used
to assist in resolving complaints alleging denials of rights based on
race, color, religion, national origin, or sex or in the
Administration of Justice. Users of the record are the person or
persons, groups, corporations or governmental agencies against whom
the complaint is made and the Commissioners and Commission staff
dealing with the complaint, as well as Federal or State agencies to
which complaints may be referred. (Subject to the requirements of 42
U.S.C. 1975a(e).)
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained on paper.
Retrievability: Records are indexed by subject matter, name of the
complaining person or persons and the name of the persons, groups,
corporations or governmental agencies against whom the complaint is
brought.
Retention and disposal: Records are maintained in file cabinets
during the course of the complaint investigation and for a reasonable
period of time afterwards until they are retired to the National
Archives.
System manager(s) and address:
Director
Office of Management
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Notification procedure:
General Counsel
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Record access procedures: General Counsel
Contesting record procedures:
Staff Director
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Record source categories: Complaints are received from the public;
responses are received from those the complaint is filed against;
further information is developed by Commission staff during the
course of dealing with complaints.
System exempted from certain provisions of the Act: The reasons for
possibly asserting the exemptions are to prevent subjects of
investigation from frustrating the investigatory process, to prevent
disclosure of investigative techniques, to maintain the ability to
obtain necessary information, to fulfill commitments made to sources
to protect their identities and the confidentiality of information
and to avoid endangering these sources.
CRC--004
System name: Commission Projects.
System location:
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Categories of individuals covered by the system: Members of the
public from whom the Commission has sought information; individuals
active or interested in civil rights issues who have information on
project subject areas; public and private individuals with civil
rights responsibilities; and Congress persons.
Categories of records in the system: Reports from staff field
investigations; interview reports; hearing files; transcripts;
letters to and from individuals regarding civil rights; reports and
publications prepared by governmental agencies and private groups and
individuals concerning civil rights; reports from Commissioners
regarding civil rights; communications between the Commission and
other governmental agencies and between the Commission and private
groups and individuals generated in the course of project
investigations; Commission reports and publications.
Project files have been compiled by the following offices: Office
of Staff Director; Office of General Counsel; Office of Research,
Office of National Civil Rights Issues; Women's Rights Program Unit;
Office of Program and Policy Review; Office of Federal Civil Rights
Evaluation; Regional Office Liaison Unit.
Authority for maintenance of the system: 42 U.S.C. 1975c
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Records are used
to determine what projects the Commission should initiate; records
are used as background and supporting material for the conduct of
Commission projects; records are used during Commission hearings;
records are used as background and supporting material in the
preparation of Commission reports and publications. Primary users of
these records are Commissioners and staff of the U.S. Commission on
Civil Rights in the conduct of projects. The 51 State Advisory
Committees to the Commission make use of project records in carrying
out their advisory functions. Records are also available, in part, to
use by the public upon request under the Freedom of Information Act.
(Subject to 42 U.S.C. 1975a(e).)
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Material is maintained in the form of typed paper copy.
Retrievability: System is indexed by project title, subject matter,
and by name of person or organization.
Retention and disposal: Records are kept in file cabinets during
the project and for a reasonable time thereafter, and are retired to
the National Archives when the records no longer serve a continuing
use.
System manager(s) and address:
Director
Office of Management
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Notification procedure:
General Counsel
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Record access procedures: Same as above with appeal to the Staff
Director.
Record source categories: Members of the public, Commissioners,
State Advisory Committee members, and Commission staff.
Systems exempted from certain provisions of the act: The reasons
for possibly asserting the exemptions are to prevent subjects of
investigation from frustrating the investigatory process, to prevent
disclosure of investigative techniques, to maintain the ability to
obtain necessary information, to fulfill commitments made to sources
to protect their identities and the confidentiality of information
and to avoid endangering these sources.
CRC--005
System name: Information on Commissioners, Staff and State
Advisory Committee Members, Past and Present.
System location:
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Office of the Staff Director
Public Affairs Office
Regional Office Liaison Unit
All Regional Offices
Categories of individuals covered by the system: Commissioners who
are appointed by the President and confirmed by members of the
Senate; State Advisory Committee members appointed by the
Commissioners, and information on past Commissioners and advisory
committee members. Limited information is kept on former employees in
this system; also limited information is included on potential State
Advisory Committee members.
Categories of records in the system: Contains rosters of
Commissioners, State Advisory Committee members and staff;
biographical information, and correspondence between the individual
Commissioners, Advisory Committee members and staff. Staff lists
reflect position and grade level.
Authority for maintenance of the system: 42 U.S.C. 1975; and sec.
1975d(a) and (c)
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Information
(names, rosters) is maintained for distribution to the public, and
for mailing Commission materials and publications. Rosters containing
names of employees, position and grade level are used to review
staffing patterns, personnel practices, hirings and separations.
Biographical data on advisory committee members is reviewed by the
Commissioners and staff in selecting, reappointing or rechartering
State Advisory Committees. Biographical data on the Commissioners is
also made available to the public.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information is stored in file folders.
Retrievability:
Information is retrieved by subject matter, i.e., Commissioners,
a named State Advisory Committee, or staff; and then by individual
name.
Safeguards:
Information is contained in unlocked file drawers with access
limited to staff who manage or assist in activities relating to the
categories of individuals covered.
Retention and disposal:
Information is kept in files during current tenure of
Commissioners, Advisory Committee members, and staff. Upon
resignation or change of membership files are retained for 2-3 years
and then retired to the National Archives.
System manager(s) and address:
Director
Office of Management
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW, Room 502A
Washington, DC 20425
For State Advisory Committee files:
Director, Regional Office Liaison Unit
U.S. Commission on Civil Rights
Regional Office Liaison Unit
1121 Vermont Avenue, NW, Room 500
Washington, DC 20425
Director
Public Affairs Unit
1121 Vermont Ave., NW
Washington, DC 20425
Notification procedure:
General Counsel
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Record access procedures: Same as above for notification with
appeals to the Staff Director.
Record source categories: Individual to whom the record pertains;
personnel office and some members of the general public.
CRC--006
System name: Other Employee Programs: Equal Employment
Opportunity, Troubled Employee and Upward Mobility.
System location:
Office of Staff Director
Director of Equal Employment Opportunity
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Categories of individuals covered by the system: Equal Employment
Opportunity: All employees of the Commission. Troubled Employee
Program: Employees with personal problems which detract from job
effectiveness (alcoholism, drug abuse, mental stress, etc.). Upward
Mobility: Clerical employees who are eligible for entry into the
program or who are participating in the program.
Categories of records in the system: Equal Employment Opportunity:
Open and restricted investigative files pertaining to equal
employment opportunity complaints and problems. Troubled Employee
Program: Records are confidential and contain data regarding
employees enrolled in the program, what assistance or counselling is
received, and related information. Upward Mobility: Records of
enrollment in training or educational programs, class progress and
grades, as well as promotions or advancements within the Commission.
Authority for maintenance of the system: Executive Order 11478; 42
U.S.C. 1975d(a) and Federal Personnel Regulations, Chapter 293, 42
U.S.C. 2000e
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Equal Employment
Opportunity: Used by Equal Employment Opportunity director,
counsellors, investigators and other agency officials where
appropriate to resolve discrimination complaints. After disposition
is made of the case, files are reviewed by the Office of General
Counsel and where appeals are taken, files are reviewed by hearing
officers and Civil Service Board of Appeals and Review. Where court
actions are filed, records are reviewed by the courts and attorneys
for the parties.
Equal Employment Opportunity records are used to meet Civil
Service Commission and Federal employment reporting requirements.
Troubled Employee Program files are used by the Equal Employment
Opportunity director and supervisory or management personnel in
determining the prognosis, need for counselling, or other action in
individual cases.
Upward Mobility files are used to counsel employees and
supervisors; to monitor the effectiveness of the program, the
training received, on-the-job experience and overall progress of the
participants. Records in the Equal Employment Opportunity and Upward
Mobility Programs are used to assist the agency in developing its
Affirmative Action program.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system: Records are
maintained in the Office of the Director, Equal Employment
Opportunity with access limited to the staff of that office.
Investigative files (Equal Employment Opportunity) are retained in
secured file cabinets.
Troubled employee files are maintained in locked file cabinets
and are unavailable to agency staff (except the Equal Employment
Opportunity Director) in their entirety, however extractions are made
as necessary for management decisions.
Upward Mobility files are maintained in the same office. The
Equal Employment Opportunity director and the Federal Women's Program
Coordinator are the primary users of these records with extracts made
available to Personnel, supervisors or others within management. Upon
completion of the program some of this data may be placed in the
Official Personnel Folder.
System manager(s) and address:
Director of Equal Employment Opportunity
Office of Staff Director
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Notification procedure:
General Counsel
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Record access procedures: Same as above with appeals to the Staff
Director.
Record source categories: The employee in the program, supervisors,
management and co-workers, educational institutions, trainers,
medical officials and other third parties dealing with covered
employees.
Systems exempted from certain provisions of the act: The reasons
for asserting the exemptions are to maintain the ability to obtain
candid and necessary information, to fulfill commitments made to
sources to protect the confidentiality of information, to avoid
endangering these sources and, primarily, to facilitate proper
selection or continuance of the best applicants or persons for a
given position.
CRC--007
System name: Personnel Records.
System location:
U.S. Commission on Civil Rights
Office of Management
Personnel Division
1121 Vermont Avenue, NW, Room 507
Washington, DC 20425
Office of the Staff Director
Office of Management
Office of Information and Publications
Office of General Counsel
Office of Program and Policy Review
Regional Office Liaison Unit
Office of Research
Office of Federal Civil Rights Evaluation
Office of National Civil Rights Issues
All Regional Offices
Categories of individuals covered by the system: Current Commission
employees and those formerly employed by the Commission.
Categories of records in the system: This system consists of a
variety of records relating to personnel actions and determinations
made about an individual while employed at the Commission. These
records contain information about an individual relating to his birth
date; Social Security Number; veterans preference; tenure; handicap;
past and present salaries, grades, and position titles; letters of
commendation, reprimand, charges, and decisions on charges; notice of
reduction-in-force; locator files; personnel actions, including but
not limited to, appointment, reassignment, demotion, detail,
promotion, transfer, and separation; training; minority group
designator; records relating to life insurance, health benefits, and
designation of beneficiary; training; performance ratings, data
documenting the reasons for personnel actions or decisions made about
an individual; awards; and other information relating to the status
of the individual.
Authority for maintenance of the system: 42 U.S.C. 1975d(a); and
Federal Personnel Regulations, Chapter 293
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Information in
these records is used or a record may be used by agency officials for
purposes of review in connection with appointments, transfers,
promotions, reassignments, adverse actions, disciplinary actions, and
determination of qualifications of an individual. Records are used to
provide information to a prospective employer of a Commission
employee or former employee.
These records are used in accordance with Civil Service
Commission notices of Systems of Personnel Records including as a
data source for management information for production of summary
descriptive statistics and analytical studies in support of the
function for which the records are collected and maintained, or for
related personnel management functions or manpower studies; may also
be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
(1) To the Office of Child Support Enforcement, Administration
for Children and Families, Department of Health and Human Services
Federal Parent Locator System (FPLS) and Federal Tax Offset System
for use in locating individuals and identifying their income sources
to establish paternity, establish and modify orders of support and
for enforcement action.
(2) To the Office of Child Support Enforcement for release to the
Social Security Administration for verifying social security numbers
in connection with the operation of the FPLS by the Office of Child
Support Enforcement.
(3) To Office of Child Support Enforcement for release to the
Department of the Treasury for purposes of administering the Earned
Income Tax Credit Program (Section 32, Internal Revenue Code of 1986)
and verifying a claim with respect to employment on a tax return.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in file folders, in file cabinets with
access limited to those persons whose official duties require access.
Personnel screening is employed to prevent unauthorized disclosure.
Retention and disposal:
The Official Personnel Folder (OPF) is retained indefinitely. The
OPF is sent to the National Personnel Records Center within 30 days
of the date of the employee's separation from the Federal service.
Some records such as letters of reprimand, indebtedness, and vouchers
are maintained for two years or destroyed when an individual resigns,
transfers, or is separated from the Federal service.
System manager(s) and address:
Office of Management
Personnel Officer
1121 Vermont Avenue, NW, Room 507
Washington, DC 20425
Notification procedure:
General Counsel
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Record access procedures: Same as above with appeals to the Staff
Director. Former Federal employees who wish to contest their records
should direct such a request in writing to:
Director
Bureau of Manpower Information Systems
U.S. Civil Service Commission
1900 E Street, NW
Washington, DC 20415
Record source categories: Information in this system of records
either comes from the individual to whom it applies or is derived
from information he/she supplied, except information provided by
agency officials.
CRC--008
System name: Resource and Consultant.
System location:
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Office of Staff Director, Room 800
Women's Rights Program Unit, Room 503
Office of General Counsel, Room 600
Public Affairs Unit, Room 700 All Regional Offices:
Central States Regional Office, U.S.C.C.R.
911 Walnut Street
Kansas City, Missouri 64106
Mid-Atlantic Regional Office, U.S.C.C.R.
2120 L Street, NW, Room 510
Washington, DC 20037
Midwestern Regional Office, U.S.C.C.R.
230 South Dearborn Street, 32nd Floor
Chicago, Illinois 60604
Mountain Rocky Regional Office, U.S.C.C.R.
Executive Tower Inn
1405 Curtis Street, Suite 1700
Denver, Colorado 80202
Northeastern Regional Office, U.S.C.C.R.
26 Federal Plaza, Room 1639
New York, New York 10007
Southern Regional Office, U.S.C.C.R.
Citizens Trust Bank Building, Room 362
75 Piedmont Avenue, NE
Atlanta, Georgia 30303
Southwestern Regional Office, U.S.C.C.R.
New Moore Building, Room 249
106 Broadway
San Antonio, Texas 78205
Western Regional Office, U.S.C.C.R.
312 North Spring Street, Room 1015
Los Angeles, California 90012
Northwestern Regional Office
Federal Building
915 Second Avenue, Room 2852
Seattle, Washington 98174
Categories of individuals covered by the system: Individuals with
expertise and experience in civil rights matters; consultants,
conference participants, appointees to Federal employment, boards of
directors, state advisory committees, contractors, and other
organizations.
Categories of records in the system: This system contains resumes,
biographical sketches, mailing lists, rosters, some employment data
and interview reports, newspaper clippings, magazine articles, and
miscellaneous information about individuals.
Authority for maintenance of the system: 42 U.S.C. sec. 1975d(a)
and (c), and sec. 1975c(a)(4)
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Information is
referred to other Commission offices upon request for use in
recruitment of employees, for use in obtaining information on persons
interested in serving on advisory committees, or providing potential
resource or consultant assistance to the agency. Data is shared with
non-agency requesters where individuals have consented or data is of
a public nature. Mailing lists and rosters are used for
correspondence between the Commissioners, staff, advisory committees
and members of the public; also for dissemination of information
where appropriate.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system: Records are on
paper in file folders. Most data are stored strictly by project and
subject title. Project directors and division heads are primary
personnel using the system. Women's Rights Program Unit: Resumes are
filed by name in the Unit's locked file cabinets; access is available
to Unit staff and, on occasion, to other Commission supervisory staff
and hiring officials. Office of General Counsel and Public Affairs
Unit: Data is stored in file cabinets with limited access. These
records are kept for an indefinite period of time within the agency
and subsequently retired to the National Archives when the project
file is inactive.
System manager(s) and address:
Director
Office of Management
U.S. Commission on Civil Rights, Room 502A
1121 Vermont Avenue, NW
Washington, DC 20425
Notification procedure:
Office of General Counsel, Room 600
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Record access procedures: Same as above with appeal to the Staff
Director.
Record source categories: Biographical information and background
information is obtained from the individual; resumes and S.F. 171's
are also obtained from the individual. Other information is obtained
from newspapers, magazines, and public sources.
CRC--009
System name: State Advisory Committee Project Files.
System location:
Regional Office Liaison Unit
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425 Regional Offices:
Central States Regional Office, U.S.C.C.R.
911 Walnut Street
Kansas City, Missouri 64106
Mid-Atlantic Regional Office, U.S.C.C.R.
2120 L Street, NW, Room 510
Washington, DC 20037
Midwestern Regional Office, U.S.C.C.R.
230 South Dearborn Street, 32nd Floor
Chicago, Illinois 60604
Mountain Rocky Regional Office, U.S.C.C.R.
Executive Tower Inn
1405 Curtis Street, Suite 1700
Denver, Colorado 80202
Northeastern Regional Office, U.S.C.C.R.
26 Federal Plaza, Room 1639
New York, New York 10007
Southern Regional Office, U.S.C.C.R.
Citizens Trust Bank Building, Room 362
75 Piedmont Avenue, NE
Atlanta, Georgia 30303
Southwestern Regional Office, U.S.C.C.R.
New Moore Building, Room 249
106 Broadway
San Antonio, Texas 78205
Western Regional Office, U.S.C.C.R.
312 North Spring Street, Room 1015
Los Angeles, California 90012
Northwestern Regional Office
Federal Building
915 Second Avenue, Room 2852
Seattle, Washington 98174
Categories of individuals covered by the system: Members of the
public from whom staff or advisory committee members seek information
in connection with a project or their advisory function; individuals
active or interested in civil rights issues in their States and local
communities; public and private individuals with civil rights
responsibilities.
Categories of records in the system: Reports from staff field
investigations; interview reports; informal hearings or open meetings
files; transcripts; letters to and from individuals regarding civil
rights, reports and publications prepared by governmental agencies
and private groups and individuals concerning civil rights; reports
from State Advisory Committee members concerning civil rights;
communications between the State Advisory Committees and State, local
and Federal governmental agencies and between the State Advisory
Committees and private individuals and groups generated during the
course of State Advisory Committee project investigations; Commission
reports and investigations. (Subject to the requirements of 42 U.S.C.
1975a(e).)
Project files by the 5l State Advisory Committees have been
compiled by the Regional Office Liaison Unit in Washington, DC and in
the following regional offices:
Central States Regional Office: Iowa; Kansas; Missouri; Nebraska.
Mid-Atlantic Regional Office: Delaware; District of Columbia;
Maryland; Pennsylvania; Virginia; West Virginia.
Midwestern Regional Office: Illinois; Indiana; Michigan;
Minnesota; Ohio: Wisconsin.
Rocky Mountain Regional Office: Colorado; Montana; North Dakota;
South Dakota; Utah; Wyoming.
Northeastern Regional Office: Connecticut; Maine; Massachusetts;
New Hampshire; New Jersey; New York; Rhode Island; Vermont.
Southern Regional Office: Alabama; Florida; Georgia; Kentucky;
Mississippi; North Carolina; South Carolina; Tennessee.
Southwestern Regional Office: Arkansas; Louisiana; Oklahoma;
Texas; New Mexico.
Western Regional Office: Arizona; California; Hawaii; Nevada.
Northwestern Regional Office: Alaska, Idaho; Oregon; Washington.
Authority for maintenance of the system: 42 U.S.C. 1975d(c)
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Records are used
to determine what projects State Advisory Committees should initiate
and as background and supporting material for the conduct of State
Advisory Committee projects; records are used by State Advisory
Committees as background and supporting material for the preparation
of State Advisory Committee reports and recommendations to the U.S.
Commission on Civil Rights. Primary users of these records are State
Advisory Committee members and Commission staff assisting State
Advisory Committees in the conduct of projects. State Advisory
Committee records are available, in part, to the public upon request
under the Freedom of Information Act. (Subject to 42 U.S.C.
1975a(e).)
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored on paper.
Retrievability:
Records are indexed by project title, subject matter and within
these categories by name of individuals and organization.
Retention and disposal:
Records are maintained by the Regional Office Liaison Unit in the
headquarters office in Washington, DC. and in the regional offices.
System manager(s) and address:
Director
Regional Office Liaison Unit
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Notification procedure:
General Counsel
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Record access procedures: Same as above with appeal to the Staff
Director.
Record source categories: Members of the public, State Advisory
Committee members, Commissioners and Commission staff.
Systems exempted from certain provisions of the act:
The reasons for possibly asserting the exemptions are to prevent
subjects of investigation from frustrating the investigatory process,
to prevent disclosure of investigative techniques, to maintain the
ability of obtain necessary information, to fulfill commitments made
to sources to protect their identities and the confidentiality of
information and to avoid endangering these sources.
CRC--010
System name: Travel, Payroll, Time and Attendance of
Commissioners, Staff, Consultants, and State Advisory Committee
Members.
System location:
Office of Management
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW, Room 502
Washington, DC 20425, All divisional offices, All regional
offices.
Categories of individuals covered by the system: Commissioners,
staff, consultants, and State Advisory Committee members.
Categories of records in the system: Records consist of manual
files containing payroll related information for staff and
consultants. Payroll and time and attendance records and information
includes many records or information also maintained in the Official
Personnel Folder and related files maintained in accordance with
Civil Service Commission regulations and of which notice has been
given by the Civil Service Commission in its notice of government-
wide systems of personnel records. Payroll and related information
consists of various forms which discloses on a biweekly, year-to-
date, and in some cases, an annual basis, payroll and leave data for
staff and consultants relating to rate and amount of pay, leave, and
hours worked, and leave balances; tax and retirement deductions; life
insurance and health insurance deductions; savings allotments,
savings bond and charity deductions.
For all categories of individuals covered, records include
mailing addresses and home addresses, travel requests and travel
vouchers where appropriate, statements of per diem and expense
allowances.
Official travel records for the Commission are maintained by the
General Services Administration.
Authority for maintenance of the system: 42 U.S.C. 1975d(a),
Federal Personnel Manual and Treasury Fiscal Requirements Manual.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Relevant records
in this system are referred to the General Services Administration
for preparation of payroll; to meet government payroll recordkeeping
and reporting requirements; and for retrieving and supplying payroll
and leave information as required for agency needs. Travel records or
vouchers may be used for purposes of providing reimbursements to
covered individuals for travel expenses and/or record of official
travel. Relevant records in this system may be referred as a routine
use, to the Department of Justice or other appropriate Federal agency
for investigating or prosecuting any violation of any Federal law or
requirement thereunder.
Disclosure may be made to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of that individual.
Routine uses of records maintained in this system shall include
providing a copy of an employee's Department of the Treasury Form W-
2, Wage and Tax Statement, to the State, city, or other local
jurisdiction which is authorized to tax the employee's compensation.
The record will be provided in accordance with a withholding
agreement between the State, city, or other local jurisdiction and
the Department of the Treasury pursuant to 5 U.S.C. 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
Director, Office of Management, U.S. Commission on Civil Rights, who
will forward the request to the General Services Administration for
appropriate action. The request must include a copy of the applicable
statute or ordinance aurhorizing the taxation of compensation and
should indicate whether the authority of the jurisdiction to tax the
employee is based on place of residence, place of employment, or
both.
Pursuant to a withholding agreement between a city and the
Department of the Treasury (5 U.S.C. 5520), copies of executed city
tax withholding certificates shall be furnished the city in response
to a written request from an appropriate city official to the
Director, Office of Management, U.S. Commission on Civil Rights, who
will forward the request to the General Services Administration for
appropriate action.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained in individual folders for each category of individuals
covered.
Retrievability:
Files are maintained in alphabetical order by category and by
name.
Safeguards:
Maintained in areas to which access is controlled by or
restricted to Commission management personnel.
Retention and disposal:
In accordance with General Services Administration requirements
for financial/ payroll/travel related records.
System manager(s) and address:
Budget and Finance Officer
Office of Management
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Notification procedure:
Office of General Counsel
U.S. Commission on Civil Rights
1121 Vermont Avenue, NW
Washington, DC 20425
Record access procedures: Same as above with appeal to the Staff
Director.
Record source categories: Provided by Civil Rights Commission
employees and all categories of individuals covered.
CIVIL RIGHTS COMMISSION
Title 45-Public Welfare
Chapter VIII-Commission on Civil Rights
PART 705--MATERIALS AVAILABLE PURSUANT TO 5 U.S.C. 552a
Sec.
705.1 Purpose and scope.
705.2 Definitions.
705.3 Procedures for requests pertaining to individual records in a
system of records.
705.4 Times, places, and requirements for identification of individuals
making requests and identification of records requested.
705.5 Disclosure of requested information to individuals.
705.6 Request for correction or amendment to record.
705.7 Agency review of request for correction or amendment of the
record.
705.8 Appeal of an initial adverse agency determination.
705.9 Disclosure of records to a person other than the individual to
whom the record pertains.
705.10 Fees.
705.11 Penalties.
705.12 Special procedures: Information furnished by other agencies.
705.13 Exemptions.
705.95 Accounting of the disclosures of records.
Authority: Secs. 101-106, 71 Stat. 634-636 as amended (42 U.S.C. 1975-
1975c) 5 U.S.C. 552a.
Source: 40 FR 45727, Oct. 2, 1975, unless otherwise noted.
Redesignated at 44 FR 75152, Dec. 19, 1979.
Editorial note: Nomenclature changes affecting this part appear at 44
FR 75152, Dec. 19, 1979.
Sec. 705.1 Purpose and scope.
(a) The purpose of this part is to set forth rules to inform the
public regarding information maintained by the Commission on Civil
Rights about identifiable individuals and to inform those individuals
how they may gain access to and correct or amend information about
themselves.
(b) The rules in this part carry out the requirements of the Privacy
Act of 1974 (Pub. L. 93-579) and in particular 5 U.S.C. 552a as added by
that Act.
(c) The rules in this part apply only to records disclosed or
requested under the Privacy Act of 1974, and not to requests for
information made pursuant to the Freedom of Information Act, 5 U.S.C.
552.
Sec. 705.2 Definitions.
For the purpose of this regulation:
(a) The terms ``Commission'' and ``agency'' mean the U.S. Commission
on Civil Rights;
(b) The term ``individual'' means a citizen of the United States or an
alien lawfully admitted for permanent residence;
(c) The term ``maintain'' includes maintain, collect, use, or
disseminate;
(d) The term ``record'' means any item, collection, or grouping of
information about an individual that is maintained by the Commission,
including, but not limited to, his or her education, financial
transactions, medical history, and criminal or employment history and
that contains his or her name, or the identifying number, symbol, or
other identifying particular assigned to the individual;
(e) The term ``system record'' means a group of any records under the
control of the Commission from which information may be retrieved by the
name of the individual or by some identifying number, symbol, or other
identifying particular assigned to that individual;
(f) The term ``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 in section 8 of title 13;
and
(g) The term ``routine use'' means, with respect to the disclosure of
a record, the use of such record for a purpose which is compatible with
the purpose for which it was collected.
(h) For purposes of these Rules, a ``confidential source'' means a
source who furnished information to the Government under an express
promise that the identity of the source would remain confidential, or,
prior to September 27, 1975, under an implied promise that the identity
of the source would be held in confidence.
Sec. 705.3 Procedures for requests pertaining to individual records
in a system of records.
(a) An individual seeking notification of whether a system of records
contains a record pertaining to him or her or an individual seeking
access to information or records pertaining to him or her which is
available under the Privacy Act of 1974, shall present his or her
request in person or in writing to the Solicitor of the Commission.
(b) In addition to meeting the requirements set forth in Sec. 705.4(c)
or (d), any person who requests information under these regulations
shall provide a reasonably specific description of the information
sought so that it may be located without undue search or inquiry. If
possible, that description should include the nature of the records
sought, the approximate dates covered by the record, and, if known by
the requester, the system in which the record is thought to be included.
Requested information that is not identified by a reasonably specific
description is not an identifiable record, and the request for that
information cannot be treated as a formal request.
(c) If the description is insufficient, the agency will notify the
requester and, to the extent possible, indicate the additional
information required. Every reasonable effort shall be made to assist a
requester in the identification and location of the record or records
sought.
[40 FR 45727, Oct. 2, 1975, as amended by 42 FR 12046, Mar 2, 1977.
Redesignated at 44 FR 75152, Dec. 19, 1979]
Sec. 705.4 Times, places, and requirements for identification of
individuals making requests and identification of records requested.
(a) The Solicitor is the designated Privacy Act Officer for the
Commission.
(b) An individual making a request to the Solicitor in person may do
so at the Commission's headquarters office, 1121 Vermont Avenue, NW,
Washington, DC 20425, on any business day during business hours. Persons
may also appear for purposes of identification only, at any of the
regional offices of the Commission on any business day during business
hours. Regional offices are located as follows:
Region I: U.S. Commission on Civil Rights, 55 Summer Street, 8th Floor,
Boston, Massachusetts 02110, (617) 223-4671 (8:45 a.m.-5:30 p.m.)
Region II: U.S. Commission on Civil Rights, 28 Federal Plaza, Room 1639,
New York, N.Y. 10007, (212) 264-0543 (9 a.m.-5:30 p.m.)
Region III: U.S. Commission on Civil Rights, 2120 L Street, NW, Room
510, Washington, DC 20037, (202) 254-6670 (8:45 a.m.-5:30 p.m.)
Region IV: U.S. Commission on Civil Rights, Citizens Trust Bank
Building, 75 Piedmont Avenue, NE, Atlanta, Georgia 30303, (404) 221-
4344 (9 a.m.-5:30 p.m.)
Region V: U.S. Commission on Civil Rights, 230 South Dearborn Street,
32nd floor, Chicago, Illinois 60604, (312) 353-7371 (8:45 a.m.-5:30
p.m.)
Region VI: U.S. Commission on Civil Rights, Heritage Plaza, 418 South
Main, First Floor, San Antonio, Texas 78204, (512) 225-4810 (8:45
a.m.-5:30 p.m.)
Region VII: U.S. Commission on Civil Rights, 911 Walnut Street, Kansas
City, Missouri 64106 (816) 374-5253 (8 a.m.-5:30 p.m.)
Region IX: U.S. Commission on Civil Rights, 312 Notrh Spring Street,
Room 1015, Los Angeles, California 90012, (213) 688-5705 (8:45 a.m.-
5 p.m.)
Region X: U.S. Commission on Civil Rights, Federal Building, 915 Second
Avenue, Room 2852, Seattle, Washington 98174, (206) 442-1246 (8
a.m.-5 p.m.)
(c) An individual seeking access to records in person may establish
his or her identity by the presentation of one document bearing a
photograph (such as a driver's license, passport, or identification card
or badge) 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
credit card). When identification is made without photographic
identification the Commission will request a signature comparison to the
signature appearing on the items offered for identification, whenever
possible and practical.
(d) An individual seeking access to records by mail shall establish
his or her identity by a signature, address, date of birth, and one
other identification, such as a copy of a driver's license, passport,
identification card or badge, credit card or other document. The words
``Privacy Act Request'' should be placed in capital letters on the face
of the envelope in order to facilitate requests by mail.
(e) An individual seeking access in person or by mail who cannot
provide the required documentation of identification may provide a
notarized statement, swearing or affirming to his or her identity and to
the fact that he or she understands that there are criminal penalties
for the making of false statements.
(f) The parent or guardian of a minor or a person judicially
determined to be incompetent, in addition to establishing the identity
of the minor or incompetent person he or she represents as required by
paragraphs (a) through (c) of this section, shall establish his or her
own parentage or guardianship by furnishing a copy of a birth
certificate showing parentage or court order establishing guardianship.
(g) An individual seeking to review information about himself or
herself may be accompanied by another person of his or her own choosing.
In all such cases, the individual seeking access shall be required to
furnish a written statement authorizing the discussion of his or her
record in the presence of the accompanying person.
[40 FR 45727, Oct. 2, 1975, as amended at 42 FR 12046, Mar 2, 1977.
Redesignated at 44 FR 75152, Dec. 19, 1979]
Sec. 705.5 Disclosure of requested information to individuals.
The Solicitor, or one or more assistants designated by him or her,
upon receiving a request for notification of the existence of a record,
or for access to a record shall:
(a) Determine whether such record exists;
(b) Determine whether access is available under the Privacy Act;
(c) Notify the requesting person of those determinations within 10
(ten) working days (excluding Saturdays, Sundays, and legal public
holidays); and
(d) Provide access to information pertaining to that person which has
been determined to be available.
Sec. 705.6 Request for correction or amendment to record.
(a) Any individual who has reviewed a record pertaining to him or her
that was furnished to him or her under this part may request the agency
to correct or amend all or part of that record.
(b) Each individual requesting a correction or amendment shall send
the request to the Solicitor.
(c) Each request for a correction or amendment of a record shall
contain the following information:
(1) The name of the individual requesting the correction or amendment.
(2) The name of the system of records in which the record sought to be
amended is maintained.
(3) The location of the record system from which the record was
obtained.
(4) A copy of the record sought to be amended or a description of that
record.
(5) A statement of the material in the record that should be corrected
or amended.
(6) A statement of the specific wording of the correction or amendment
sought.
(7) A statement of the basis for the requested correction or amendment
including any material that the individual can furnish to substantiate
the reasons for the amendment sought.
Sec. 705.7 Agency review of request for correction or amendment of
the record.
Within ten (10) working days (excluding Saturdays, Sundays and legal
public holidays) of the receipt of the request for the correction or
amendment of a record, the Solicitor shall acknowledge receipt of the
request and inform the individual that his or her request has been
received and inform the individual whether further information is
required before the correction or amendment can be considered. Further,
the Solicitor shall promptly, and, under normal circumstances, not later
than thirty (30) working days after receipt of the request, make the
requested correction or amendment or notify the individual of his or her
refusal to do so, including in the notification the reasons for the
refusal, and the procedures established by the Commission by which the
individual may initiate a review of that refusal. In the event of
correction r amendment, an individual shall be provided with one copy of
each record or portion thereof corrected or amended pursuant to his or
her request without charge as evidence of the correction or amendment.
The Commission shall also provide to all prior recipients of such a
record, the corrected or amended information to the extent that it is
relevant to the information previously furnished to a recipient pursuant
to the Privacy Act.
[40 FR 45727, Oct. 2, 1975, as amended at 42 FR 12046, Mar. 2, 1977.
Redesignated at 44 FR 75152, Dec. 19, 1979]
Sec. 705.8 Appeal of an initial adverse agency determination.
(a) Any individual whose request for access or for a correction or
amendment which has been denied, in whole or in part, by the Solicitor
may appeal that decision to the Staff Director of the Commission, 1121
Vermont Avenue, NW, Room 800, Washington, DC 20425, or to a designee of
the Staff Director.
(b) The appeal shall be in writing and shall:
(1) Name the individual making the appeal;
(2) Identify the record sought to be amended or corrected;
(3) Name the record system in which that record is contained;
(4) Contain a short statement describing the amendment or correction
sought; and
(5) State the name of the person who initially denied the correction
or amendment.
(c) Not later than thirty (30) working days (excluding Saturdays,
Sundays, and legal public holidays) after the date on which the agency
received the appeal, the Staff Director shall complete his or her review
of the appeal and make a final decision thereon, unless, for good cause
shown, the Staff Director extends the appeal period beyond the initial
thirty (30) day appeal period. In the event of such an extension the
Staff Director shall promptly notify the individual making the appeal
that the period for a final decision has been extended.
(d) After review of an appeal request, the Staff Director will send a
written notice to the requester containing the following information:
(1) The decision, and if the denial is upheld, the reasons for the
decision;
(2) The right of the requester to institute a civil action in a
Federal District Court for judicial review of the decision, if the
appeal is denied; and
(3) The right of the requester to file with the Commission a concise
statement setting forth the reasons for his or her disagreement with the
Commission's decision denying the request. The Commission shall make
this statement available to any person to whom the record is later
disclosed, together with a brief statement, if the Commission considers
it appropriate, of the agency's reasons for denying the requested
correction or amendment. These statements shall also be provided to all
prior recipients of the record to the extent that it is relevant to the
information previously furnished to a recipient pursuant to the Privacy
Act.
[40 FR 45727, Oct. 2, 1975, as amended at 42 FR 12047, Mar. 2, 1977.
Redesignated at 44 FR 75152, Dec. 19, 1979]
Sec. 705.9 Disclosure of records to a person other than the
individual to whom the record pertains.
(a) Any individual who desires to have his or her record disclosed to
or mailed to a third person may authorize that person to act as his or
her agent for that specific purpose. The authorization shall be in
writing, signed by the individual, and notarized. The agent shall also
submit proof of his or her own identity as provided in Sec. 705.4.
(b) The parent of any minor individual or the legal guardian of any
individual who has been declared by a court to be incompetent, due to
physical or mental incapacity, may act on behalf of that individual in
any matter covered by this part. A parent or guardian who desires to act
on behalf of such an individual shall present suitable evidence of
parentage or guardianship, by birth certificate, copy of a court order
or similar documents, and proof of the individual's identity as provided
in Sec. 705.4.
(c) An individual to whom a record is to be disclosed, in person,
pursuant to this part may have a person of his or her own choosing
accompany the individual when the record is disclosed.
Sec. 705.10 Fees.
If an individual requests copies of his or her records the charge
shall be three (3) cents per page, provided, however, that the
Commission shall not charge for copies furnished to an individual as a
necessary part of the process of disclosing the record to an individual.
Fees may be waived or reduced in accordance with Sec. 704.1(e) of the
Commission's regulations (45 CFR part 704) because of indigency, where
the cost is nominal, when it is in the public interest not to charge, or
when waiver would not constitute an unreasonable expense to the
Commission.
Sec. 705.11 Penalties.
Any person who makes a false statement in connection with any request
for a record, or in any request for an amendment to a record under this
part, is subject to the penalties prescribed in 18 U.S.C. 494 and 495.
Sec. 705.12 Special procedures: Information furnished by other
agencies.
When records or information sought from the Commission include
information furnished by other Federal agencies, the Solicitor shall
consult with the appropriate agency prior to making a decision to
disclose or to refuse to disclose the record, but the decision whether
or not to disclose the record shall be made by the Solicitor.
Sec. 705.13 Exemptions.
(a) Under the provision of 5 U.S.C. 552a(k), it has been determined by
the agency that the following exemptions are necessary and proper and
may be asserted by the agency:
(1) Exemption (k)(2) of the Act. Investigatory material compiled for
law enforcement purposes, other than material within the scope of
subsection (j)(2) of the Privacy Act: Provided, however, That if any
individual is denied any right, privilege, or benefit that he or she
would otherwise be eligible for, 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
identify 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 the effective date of this section, under an
implied promise that the identity of the source would be held in
confidence.
(2) Exemption (k)(4) of the Act. Statistical personnel records that
are used only to generate aggregate data or for other evaluative or
analytical purposes and which are not used to make decisions on the
rights, benefits, or entitlements of individuals.
(3) Exemption (k)(5) of the Act. Investigatory material maintained
solely for the purposes of determining an individual's qualifications,
eligibility, or suitability for employment in the Federal civilian
service, Federal contracts, or access to classified information, but
only to the extent that disclosure of such material would reveal the
identity of the 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 September 27, 1975, under an implied promise
that the identity of the source would be held in confidence.
(4) Testing or examination material used solely to determine
individual qualifications for promotion or appointment in the Federal
service the disclosure of which would compromise the objectivity or
fairness of the testing or examination process.
(b) Following are Commission systems of records which are partially
exempt under 5 U.S.C. 552a(k)(2), (4), (5), and (6) and the reasons for
such exemptions:
(1) Appeals, Grievances and Complaints (staff)--Commission Project,
CRC-001. Exempt partially under 5 U.S.C. 552a(k)(2)--The reasons for
possibly asserting the exemptions are to prevent subjects of
investigation from frustrating the investigatory process, to prevent
disclosure of investigative techniques, to maintain the ability to
obtain necessary information, to fulfill commitments made to sources to
protect their identities and the confidentiality of information and to
avoid endangering these sources.
(2) Complaints, CRC-003--Exempt partially under 5 U.S.C. 552a(k)(2).
The reasons for possibly asserting the exemptions are to prevent
subjects of investigation from frustrating the investigatory process, to
prevent disclosure of investigative techniques, to maintain the ability
to obtain necessary information, to fulfill commitments made to sources
to protect their identities and the confidentiality of information and
to avoid endangering these sources.
(3) Commission projects, CRC-004--Partially exempt under 5 U.S.C.
552a(k)(a). The reasons for asserting the exemptions are to prevent
subjects of investigation from frustrating the investigatory process, to
prevent disclosure of investigative techniques, to maintain the ability
to obtain necessary information, to fulfill commitments made to sources
to protect their identities and the confidentiality of information and
to avoid endangering these sources.
(4) Other Employee Programs: EEO, Troubled Employee, and Upward
Mobility, CRC-006--Partially exempt under 5 U.S.C. 552a(k)(4), (5), and
(6). The reasons for asserting the exemptions are to maintain the
ability to obtain candid and necessary information, to fulfill
commitments made to sources to protect the confidentiality of
information, to avoid endangering these sources and, primarily, to
facilitate proper selection or continuance of the best applicants or
persons for a given position.
(5) State Advisory Committees Projects, CRC-009--Partially exempt
under 5 U.S.C. 552a(k)(2). The reasons for possibly asserting the
exemptions are to prevent subjects of investigation from frustrating the
investigatory process, to prevent disclosure of investigative
techniques, to maintain the ability to obtain necessary information, to
fulfill commitments made to sources to protect their identities and the
confidentiality of information and to avoid endangering these sources.
Sec. 705.95 Accounting of the disclosures of records.
(a) All disclosures of records covered by this Part 705, except for
the exemptions listed in Sec. 705.95(b), shall be accounted for by
keeping a written record of the particular record disclosed, the name
and address of the person or agency to whom or to which disclosed, and
the date, nature and purpose of the disclosure.
(b) No accounting is required for disclosures of records to those
officials and employees of the Commission who have a need for the record
in the performance of their duties, or if disclosure would be required
under the Freedom of Information Act, 5 U.S.C. 552.
(c) The accounting shall be maintained for 5 years or until the record
is destroyed or transferred to the National Archives and Record
Administration for storage, in which event, the accounting pertaining to
those records, unless maintained separately, shall be transferred with
the records themselves.
(d) The accounting of disclosures may be recorded in any system the
Commission determines is sufficient for this purpose, however, the
Commission must be able to construct from its system a listing of all
disclosures. The system of accounting of disclosures is not a system of
records under the definition in Sec. 705.2(e) and no accounting need be
maintained for disclosure of the accounting of disclosures.
(e) Upon request of an individual to whom a record pertains, the
accounting of the disclosures of that record shall be made available to
the requester, provided that he/she has complied with Sec. 705.3(a) and
with Sec. 705.4(c) or (d).
[42 FR 12047, Mar. 2, 1977]