[Privacy Act Issuances (2001)]
[From the U.S. Government Publishing Office, www.gpo.gov]
EXECUTIVE OFFICE OF THE PRESIDENT, ADMINISTRATION OFFICE
Table of Contents
OA/EOP/01 Payroll Records.
OA/EOP/02 Travel Records.
OA/EOP/03 Library Circulation Records.
OA/EOP/04 Security Records.
OA/EOP/05 Confidential Statements of Employment and Financial
Interests.
OA/EOP/06 Ethics in Government Financial Disclosure Records.
Preface
The Office of Administration (OA), Executive Office of the
President (EOP), provides joint services to the entities making up
the EOP. This Notice contains systems of records maintained by OA for
all of these entities as well as systems of records maintained solely
for the Office of Administration's use. Payroll (AA/EOP/01), Travel
(OA/EOP/02), and Library Circulation (OA/EOP/03) records are
maintained by OA on behalf of the entire EOP. Security Records (OA/
EOP/05) are maintained by OA for all EOP entities except the White
House Office, the Office of the Vice President, the National Security
Council, and the Office of Policy Development. Records of the White
House Office and the Council of Economic Advisers are not, however,
subject to the Privacy Act. Records for these two entities (when
maintained by OA) are maintained in the same manner as those of other
EOP constituent groups, but are segregated by category and location.
Confidential Statement of Employment and Financial Interest (OA/
EOP/05) and Ethics in Government Financial Disclosure Records (OA/
EOP/06) are maintained by OA solely on behalf of the Office of
Administration.
In addition to the records set forth below, OA maintains
personnel records under the authority described in, and in the manner
described by, the Office of Personnel Management in its System of
Records OPM/GOVT-1. Inquiry concerning these records, which cover all
current employees of the EOP, should be directed to the Personnel
Division, Office of Administration, Room 4013, New Executive Office
Building, 726 Jackson Place NW, Washington, DC 20503.
OA/EOP/01
System name: Payroll Records.
System location:
Office of Administration, New Executive Office Building, 726
Jackson Place NW, Washington, DC 20503, and at the Department of the
Treasury, 12th and Constitution Avenue NW, Washington, DC 21220.
Categories of individuals covered by the system:
All EOP employees payrolled using the Department of the Treasury,
Uniform Management System (TUMS), effective March 1, 1983.
Categories of records in the system:
Individual name, social security number, age, sex, minority group
designation, type of appointment, tenure, employment status, grade,
step, salary, time worked and on leave, tax withholdings, other
deductions, allotments to financial institutions, and other payroll-
related items.
Authority for maintenance of the system:
5 U.S.C. 301, 31 U.S.C. 66a, 44 U.S.C. 3109, 3309.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. To generate the payroll for EOP agencies and provide necessary
payroll information for agency financial management and accounting.
2. To furnish required payroll information to Federal, State, and
local government taxing authorities.
3. To provide input to management information systems, budget and
accounting systems, and for required statistical and financial
reports to the Office of Personnel Management, the General Accounting
Office, Department of the Treasury, and Congress.
4. To provide reports and/or to respond to requests for
statistical information necessary for the fulfillment of programs
authorized by statute or executive order (the system manager shall
delete personal identifying information prior to releasing the
records to ensure the individual's anonymity).
5. Disclosures may be made from this system to ``consumer
reporting agencies'' as defined in the Fair Credit Reporting Act (15
U.S.C. 1681a(f) or the Federal Claims Collection Act of 1966, as
amended by the Debt Collection Act of 1982, 96 Stat. 1749 (31 U.S.C.
952).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The Master File is maintained on disk and magnetic tape at the
Department of the Treasury, Washington, DC. Paper records and other
magnetic tape records are stored in files in the Office of
Administration payroll office and information services offices. Other
records are stored in the Federal Records Center.
Retrievability:
Records are retrieved by name and social security number by EOP
employing agencies.
Safeguards:
Records are maintained in locked file cabinets or limited access
areas under personal surveillance during working hours and in locked
rooms at other times and electronically monitored by Secret Service,
Uniform Division, 24 hours a day. Master records on disk and computer
tape are under the program control of officials at the Department of
the Treasury computer facility.
Retention and disposal:
Records are maintained in the Office of Administration payroll
office and the computer facility as long as the individual is
employed at the EOP. When the employee separates from the EOP, the
records are transferred to the National Personnel Records Center in
St. Louis, Missouri, where they are retained for 56 years and then
destroyed in accordance with FPMR 101-11.4. Payroll records subject
to General Accounting Office audit are retained until completion of
the audit. Other records are destroyed when three (3) years old. FPMR
101-11.4.
System manager(s) and address:
Director for Financial Management, Office of Administration, New
Executive Office Building, 726 Jackson Place NW, Room 4005,
Washington, DC 20503.
Notification procedure:
Contact Director, Financial Management Division, Office of
Administration, 726 Jackson Place NW, Room 4005, Washington, DC
20503.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individuals on whom records are maintained. Additional
information is added from payroll transactions.
Systems exempted from certain provisions of the act:
None.
OA/EOP/02
System name: Travel Records.
System location:
Office of Administration, New Executive Office Building, 726
Jackson Place NW, Washington, DC 20503.
Categories of individuals covered by the system:
Employees of EOP and other authorized individuals who travel at
government expense on official business for EOP agencies.
Categories of records in the system:
Approved travel authorizations, requests for travel advances,
vouchers submitted by individuals, memoranda of approval for special
conveyances or actual expenses in lieu of per diem, and receipts
required by Federal Travel Regulations (FPMR 101-7).
Authority for maintenance of the system:
31 U.S.C. 66a, 44 U.S.C. 3101, 3102, 3309, and the General
Accounting Office and General Services Administration policy and
procedures.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. To document authorization and reimbursement for official
travel of individuals.
2. To furnish financial and statistical information to officers
and employees of EOP agencies for performance of their official
duties.
3. Disclosures may be made from this system to ``consumer
reporting agencies'' as defined in the Fair Credit Reporting Act (15
U.S.C. 1681a(f) or the Federal Claims Collection Act of 1966, as
amended by the Debt Collection Act of 1982, 96 Stat. 1749, (31 U.S.C.
952).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records for the current and preceding two fiscal years are filed
in cabinets in the accounting office. Other records are stored in the
Federal Records Center.
Retrievability:
Records are retrieved by individual name within each EOP agency
and by fiscal year.
Safeguards:
Records are maintained in file cabinets under staff surveillance
during working hours and in a locked room at other times.
Retention and disposal:
Records are maintained in conformity with the audit schedule of
the General Accounting Office and the requirements of the General
Services Administration. Non-current records are destroyed after
three (3) years.
System manager(s) and address:
Director for Financial Management, Office of Administration, New
Executive Office Building, 726 Jackson Place NW, Room 4005,
Washington, DC 20503.
Notification procedure:
Contact Director, Financial Management Division, Office of
Administration, 726 Jackson Place, NW, Room 4005, Washington DC
20503.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Contents of the record is obtained from the individual to whom
the information pertains. Additional information may be added by the
travel office as a result of processing and auditing the claim for
reimbursement.
Systems exempted from certain provisions of the act:
None.
OA/EOP/03
System name: Library Circulation Records.
System location:
Office of Administration, New Executive Office Building, 726
Jackson Place NW, Washington, DC 20503.
Categories of individuals covered by the system:
Employees of EOP and other authorized individuals and libraries
who have borrowed materials from the Library.
Categories of records in the system:
Titles and other identifying data on materials borrowed from the
Library; room number, agency and suborganization; telephone number of
the borrower, the scheduled return date for each item borrowed, and
termination date for detailees interns.
Authority for maintenance of the system:
Federal Property and Administrative Services Act, Title II, sec.
202(b)(1), 40 U.S.C. 483(b)(1).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
To locate Library materials in circulation, and to control and
inventory Library materials loaned. Disclosure is limited to Library
staff and officers and other employees of EOP agencies in connection
with the performance of official duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained on magnetic tape/disk and
periodically in hard copy for instant reference at the Library
circulation desk.
Retrievability:
Records are arranged alphabetically by the last name of the
borrower, by title of item borrowed, by library site, and by call
number.
Safeguards:
Hard copy records are under personal surveillance by Library
staff during working hours and in a locked area at other times. The
master records on magnetic/disk are under the program control of
Office of Administration data processing officials.
Retention and disposal:
Records are maintained on individual Library loans only until the
material is returned, and then destroyed.
System manager(s) and address:
Director, Library and Information Services, Division, EOP
Library, Office of Administration, New Executive Office Building, 726
Jackson Place NW, Washington, DC 20503.
Notification procedure:
Contact Director, Library and Information Services Division, EOP
Library, Office of Administration, 726 Jackson Place, NW, Washington,
DC 20503.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Information is obtained from the individual who borrows materials
and from physical examination of materials borrowed.
Systems exempted from certain provisions of the act:
None.
OA/EOP/04
System name: Security Records.
System location:
Office of Administration, Old Executive Office Building, 17th &
Pennsylvania Avenue NW, Washington, DC 20500.
Categories of individuals covered by the system:
Applicants for employment and employees (including contract
employees and those on detail from other Federal agencies) of EOP
entities other than the White House Office, the Office of the Vice
President, the National Security Council and the Office of Policy
Development.
Categories of records in the system:
Contains forms completed by the individual, investigative reports
and other documents relating to suitability and security clearances,
and building pass issuances.
Authority for maintenance of the system:
Executive Order 10450 and 12356, Information Security Oversight
Office Implementing Directive, and Chapters 732 and 736 of the
Federal Personnel Manual.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
To verify an individual's level of clearance and the date it was
granted; to identify individuals whose security investigations
require updating; and to control the issuance and renewal of building
passes. Disclosure is limited to the Security Officer, the Security
Alternate, legal counsel, and security investigative personnel of
other Federal agencies who require access to the information for the
performance of their official duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are maintained in hard copy in approved combination
safes within a room that is electronically alarmed for night
protection.
Retrievability:
Records are retrieved by name, agency, employee status and type,
level of clearance, pass type, type and date of investigation.
Safeguards:
Hard copy records are kept under the personal surveillance of
Office of Administration staff during working hours and in a locked
area at other times. Access to the facility is controlled by a
security system.
Retention and disposal:
Hard copy records are destroyed when no longer needed for
administrative purposes. Records are purged from the master file two
years after the separation of the employee.
System manager(s) and address:
Security Officer, Office of Administration, Old Executive Office
Building, Room 405, 17th & Pennsylvania Avenue NW, Washington, DC
20500.
Notification procedure:
Contact Security Officer, Office of Administration, Old Executive
Office Building, Room 405, 17th & Pennsylvania Avenue NW, Washington,
DC 20500.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Information is provided by the subject individual, the Security
Officer, and Federal investigative agencies.
Systems exempted from certain provisions of the act:
None; however, investigative reports are the property of the
Federal agency providing such materials and are available only from
those agencies.
OA/EOP/05
System name: Confidential Statement of Employment and Financial
Interests.
System location:
Agency Ethics Office, Office of Administration, Old Executive
Office Building, Room 490, 17th & Pennsylvania Avenue NW, Washington,
DC 20500.
Categories of individuals covered by the system:
This system contains the financial disclosure reports of Office
of Administration employees required to file by the Director, OA, or
the General Counsel, OA.
Categories of records in the system:
These records contain statements of personal and family holdings
and other interests in business enterprises and real property,
listings of creditors and outside employment, and other information
related to conflict-of-interest determinations including past
employment.
Authority for maintenance of the system:
Executive Order 11222 (May 8, 1965), 3 CFR 100.735-24 & 25.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used as
follows, but only where the Director of the Office of Government
Ethics, the Director, OA, or the General Counsel, OA, determines that
good cause has been shown for such use and disclosure.
a. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order.
b. To provide information to a Congressional office from the
record of an individual in response to an inquiry from that
Congressional office made at the request of that individual.
c. To disclose information to a Federal agency, in response to
its request, in connection with the hiring or retention of an
employee, the issuance of a security clearance, the conducting of a
security or suitability investigation of an individual, the
classifying of a job, the letting of a contract, or the issuance of a
license, grant, or other benefit by the requesting agency, to the
extent that the information is relevant and necessary to the
requesting agency's decision on the matter.
d. By the Office of Administration in the production of summary
descriptive statistics and analytical studies in support of the
function for which the records are collected and maintained, or for
related work force studies. While published statistics and studies do
not contain individual identifiers, in some instances the selection
of elements of data included in the study may be structured in such a
way as to make the data individually identifiable by inference.
e. To disclose information to any source when necessary to obtain
information relevant to a conflict-of-interest investigation or
determination.
f. By the National Archives and Records Administration (General
Services Administration) in records management inspections conducted
under authority of 44 U.S.C. 2904 & 2906.
g. To disclose information to the OMB during any stage in the
legislative coordination and clearance process in connection with
private relief legislation as set forth in OMB Circular No. A-19.
h. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
i. To disclose information to officials in the Merit Systems
Protection Board, including the Office of the Special Counsel; the
Federal Labor Relations Authority and its General Counsel, or the
Equal Employment Opportunity Commission when requested in performance
of their authorized duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are maintained in file folders.
Retrievability:
These records are retrieved by the names of the individuals on
whom they are maintained.
Safeguards:
These records are located in combination steel file cabinets to
which only the Agency Ethics Officer, General Counsel and staff
authorized by the Agency Ethics Officer or General Counsel have
access.
Retention and disposal:
Records on current employees are updated yearly and are retained
so long as the individual occupies a covered position. Records on
former employees are disposed of six (6) years after the date they
leave a covered position in accordance with law regulating disposal
of federal records.
System manager(s) and address:
Agency Ethics Officer, Office of Administration, Old Executive
Office Building, Room 490, 17th & Pennsylvania Avenue NW, Washington,
DC 20500.
Notification procedure:
Individuals wishing to inquire whether this system contains
information about them should contact the Agency Ethics Officer or
designee, as appropriate. Individuals must furnish the following
information for their records to be located and identified.
a. Full name.
b. Full title of position(s) held with the agency.
Record access procedures:
Individuals wishing to inquire whether this system contains
information about them should contact the Agency Ethics Officer or
General Counsel. Individuals must furnish the following information
for their records to be located and identified.
a. Full name.
b. Full title of position(s) held with the agency.
An individual requesting access must also follow the Office's
Privacy Act procedures regarding access to records and proof of
identity.
Contesting record procedures:
Individuals wishing to inquire whether this system contains
information about them should contact the Agency Ethics Officer or
General Counsel. Individuals must furnish the following information
for their records to be located and identified.
a. Full name.
b. Full title of position(s) held with the agency.
Individuals requesting access must also comply with the Office's
procedures regarding access and amendment of records and verification
of identity.
Record source categories:
Information in this system of records is provided by:
a. The subject individual or by a designated person such as a
trustee, attorney, accountant, or relative.
b. Agency Ethics Officer or designated Federal official who
reviewed the statements to make conflict-of-interest determinations.
Systems exempted from certain provisions of the act:
None.
OA/EOP/06
System name: Ethics in Government Act Financial Disclosure
Reports.
System location:
Agency Ethics Office, Office of Administration, Old Executive
Office Building, Room 490, 17th & Pennsylvania Avenue NW, Washington,
DC 20500.
Categories of individuals covered by the system:
a. Office of Administration Agency Ethics Officer.
b. Each office or employee in the Office of Administration,
Executive Office of the President, including a Special Government
Employee as defined in section 202 of Title 18, United States Code,
whose position is classified at GS-16, or above of the General
Schedule prescribed by section 5332 of Title 5, United States Code,
or the rate of basic pay for which is fixed (other than under the
General Schedule) at a rate equal to or greater than the minimum rate
of basic pay fixed for GS-16, and each officer or employee in any
other position to be determined by the Director of the Office of
Government Ethics to be of equal classification.
Categories of records in the system:
These records contain statements of personal and family holdings
and other interests in business enterprises and real property,
listings of creditors and outside employment, and other information
related to conflict-of-interest determinations including past
employment.
Authority for maintenance of the system:
Ethics in Government Act of 1978, Pub. L. 95-521 as amended by
Pub. L. 96-19 & 96-28.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records, and information contained in these records, may be
used for the same purposes and in the same manner as OA/EOP/05.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are maintained in file folders.
Retrievability:
These records are retrieved by the names of the individuals on
whom they are maintained.
Safeguards:
These records are located in combination lock steel file cabinets
to which only the Agency Ethics Officer and staff authorized by that
individual have access.
Retention and disposal:
Records on current employees are updated yearly and are retained
so long as the individual occupies a covered position. Records on
former employees are disposed of six (6) years after the date they
leave a covered position in accordance with law regulating disposal
of federal records.
System manager(s) and address:
Agency Ethics Officer, Office of Administration, Old Executive
Office Building, Room 490, 17th & Pennsylvania Avenue NW, Washington,
DC 20500.
Notification procedure:
Individuals wishing to inquire whether this system contains
information about them should contact the Agency Ethics Officer or
designee, as appropriate. Individuals must furnish the following
information for their records to be located and identified.
a. Full name.
b. Position title(s) held in agency to which inquiry is made.
Record access procedures:
Individual wishing to inquire whether this system contains
information about them should contact the Agency Ethics Officer or
designee, as appropriate. Individuals must furnish the following
information for their records to be located and identified:
a. Full name.
b. Position title(s) held in agency to which inquiry is made.
An individual requesting access must also follow the Officer's
Privacy Act procedures regarding access to records and proof of
identity.
Contesting record procedures:
Individual wishing to inquire whether this system contains
information about them should contact the Agency Ethics Officer or
designee, as appropriate. Individuals must furnish the following
information for their records to be located and identified:
a. Full name.
b. Position title(s) held in agency to which inquiry is made.
Individuals requesting access and amendment must also comply with
the Office's procedures regarding access to and amendment of records
and verification of identity.
Record source categories:
Information in this system of records is provided by:
a. The subject individual or by a designated person such as a
trustee, attorney, accountant, or relative.
b. Federal officials who review the statements to make conflict-
of-interest determinations.
Systems exempted from certain provisions of the act:
None.
EXECUTIVE OFFICE OF THE PRESIDENT, OFFICE OF ADMINISTRATION
Title 5-Administrative Personnel
Chapter XV-Office of Administration, Executive Office of the President
PART 2504--PRIVACY ACT REGULATIONS
Sec.
2504.1 Purpose and scope.
2504.2 Definitions.
2504.3 Annual notice of systems of records maintained.
2504.4 Determining if an individual is the subject of a record.
2504.5 Granting access to a record.
2504.6 Special procedures for medical records.
2504.7 Granting access when accompanied by another individual.
2504.8 Action on request.
2504.9 Identification requirements.
2504.10 Access of others to records about an individual.
2504.11 Access to the accounting of disclosures from records.
2504.12 Denials of access.
2504.13 Requirements for requests to amend records.
2504.14 Action on request to amend a record.
2504.15 Procedures for appeal of determination to deny access to or to
amendment of records.
2504.16 Appeals process.
2504.17 Fees.
2504.18 Penalties.
Authority: 5 U.S.C. 552a.
Source: 45 FR 41121, June 18, 1980, unless otherwise noted.
Sec. 2504.1 Purpose and scope.
These regulations implement the Privacy Act of 1974, 5 U.S.C. 552a.
The regulations apply to all records maintained by the Office of
Administration that are contained in a system of records, and that
contain information about an individual. The regulations also establish
procedures that :
(a) Authorize an individual's access to records maintained about him;
(b) Limit the access of other persons to those records, and
(c) Permit an individual to request the amendment or correction of
records about him.
Sec. 2504.2 Definitions.
For the purposes of this part--
(a) ``Office'' means the Office of Administration, Executive Office of
the President;
(b) ``Individual'' means a citizen of the United States or an alien
lawfully admitted for permanent residence.
(c) ``Maintain'' means collect, use or distribute;
(d) ``Record'' means any item collection or grouping of information
about an individual that is maintained by the Office, including but not
limited to education, financial transactions, medical history, and
criminal or employment history and that contain's the individual's name,
identifying number, symbol, or other identifiers assigned to the
individual, such as a finger or voice print or photograph;
(e) ``System of records'' means a group of any records controlled by
the Office and from which information is retrieved by the name of the
individual;
(f) ``System manager'' means the employee of the Office who is
responsible for the maintenance, collection, use or distribution of
information contained in a system of records;
(g) ``Routine use'' means, with respect to the disclosure of a record,
the use of that record for a purpose consistent with the purpose for
which it was collected;
(h) ``Subject individual'' means the individual by whose name or other
personal identifier a record is maintained or retrieved;
(i) ``Statistical record'' means record in a system of records
maintained for statistical research or reporting purposes only and not
used in whole or in part in making any determination about an
identifiable individual, except as provided by section 8 of Title 13
U.S.C.;
(j) ``Agency'' means agency as defined in 5 U.S.C. 552(e);
(k) ``Work days'' as used in calculating the date when response is due
does not include Saturdays, Sundays and legal public holidays.
Sec. 2504.3 Annual notice of systems of records maintained.
The Office will publish in the Federal Register upon establishment or
revision a notice of the existence and character of the systems of
records the Office maintains. The notice shall include:
(a) The system name,
(b) The system location,
(c) The categories of individuals covered by the system,
(d) The categories of records in the system,
(e) The Office's authority to maintain the system,
(f) The routine uses of the system,
(g) The Office's policies and practice for maintenance of the system,
(h) The system manager,
(i) The procedures for notification, access to and correction of
records in the system, and
(j) The sources of information for the system.
[45 FR 41121, June 18, 1980, as amended at 49 FR 28236, July 11, 1984]
Sec. 2504.4 Determining if an individual is the subject of a record.
(a) Individuals desiring to know if a specific system of records
maintained by the Office contains a record pertaining to them should
address inquiries to the Privacy Act Officer, Office of Administration,
Washington, DC 20503.
(b) Inquiries must be in writing and the words ``PRIVACY ACT REQUEST''
should be printed on both the letter and the envelope. The request
letter should contain the complete name and identifying number of the
pertinent system as published in the annual Federal Register notice
describing the Office's Systems of Records; the full name and address of
the subject individual; a brief description of the nature, time, place
and circumstances of the individual's prior association with the Office;
and any other information the individual believes would help the Privacy
Act Officer determine whether the information about the individual is
included in the system of records. In instances when the information is
insufficient to ensure disclosure to the subject individual to whom the
record pertains, the Office reserves the right to ask the requestor for
additional identifying information.
(c) To the extent possible, the Privacy Act Officer will answer or
acknowledge the inquiry within 10 work days of its receipt by the
Office. When the response cannot be made within 10 work days, the
Privacy Act Officer will provide the requestor with the date when a
response may be expected and, whenever possible, the specific reasons
for the delay.
[45 FR 41121, June 18, 1980, as amended at 49 FR 28235, July 11, 1984]
Sec. 2504.5 Granting access to a record.
(a) An individual requesting access to a record about himself in a
system of records maintained by the Office should submit the request in
writing to the Privacy Act Officer. Due to security measures at the Old
and New Executive Office Buildings, requests made in person can only be
accepted from current Office employees, who should make access requests
to the Privacy Act Officer on regularly scheduled work days between 9
a.m. and 5:30 p.m.
(b) The request for access should contain the same information set
forth in Sec. 2504.4(b). However, if the request for access follows a
request made under Sec. 2504.4(a) and (b) of this part, the same
identifying information need not be included: Provided, That a copy of
the prior request or a copy of the Office's response to that request is
attached. The request should state if a copy of the record is desired.
[45 FR 41121, June 18, 1980, as amended by 49 FR 28235, July 11, 1984]
Sec. 2504.6 Special procedures for medical records.
(a) When the Privacy Officer receives a request from an individual for
access to those official medical records which belong to the Office of
Personnel Management and are described in Chapter 339, Federal Personnel
Manual (medical records about entrance qualification or fitness for
duty, or medical records which are otherwise filed in the Official
Personnel Folder), the pertinent records shall be referred to a Federal
Medical Officer for review and determination in accordance with this
section. If no Federal Medical Officer is available to make the
determination required by this section, the Privacy Act Officer shall
refer the request and the medical reports concerned to the Office of
Personnel Management for determination.
(b) If, in the opinion of a Federal Medical Officer, medical records
requested by the subject individual indicate a condition about which a
prudent physician would hesitate to inform a person suffering from such
a condition of its exact nature and probable outcome, the Privacy
Officer shall not release the medical information to the subject
individual nor to any person other than a physician designated in
writing by the subject individual, his guardian, or conservator.
(c) If, in the opinion of a Federal Medical Officer, the medical
information does not indicate the presence of any condition which would
cause a prudent physician to hesitate to inform a person suffering from
such a condition of its exact nature and probably outcome, the Privacy
Act Officer shall release it to the subject individual or to any person,
firm, or organization which the individual authorizes in writing to
receive it.
[45 FR 41121, June 18, 1980, as amended at 49 FR 28235, July 11, 1984]
Sec. 2504.7 Granting access when accompanied by another individual.
An individual who wishes to have a person of his choosing review,
accompany him (or her) in reviewing, or obtain a copy of a record must,
prior to the disclosure, sign a statement authorizing the disclosure of
his record. The statement shall be maintained with the record.
Sec. 2504.8 Action on request.
(a) The Privacy Act Officer shall acknowledge requests for access
within 10 work days of its receipt by the Office. At a minimum, the
acknowledgement shall include:
(1) When and where the records will be available;
(2) The name, title and telephone number of the official who will make
the records available;
(3) Whether access will be granted only through providing a copy of
the record through the mail, or only by examination of the record in
person if the Privacy Act Officer after consulting with the appropriate
system manager has determined the requestor's access would not be unduly
impeded;
(4) Fee, if any, charged for copies. (See Sec. 2504.17); and
(5) Identification documentation required to verify the identify of
the requestor (see Sec. 2504.9).
[45 FR 41121, June 18, 1980, as amended at 49 FR 28236, July 11, 1984]
Sec. 2504.9 Identification requirements.
(a) A requestor should be prepared to identify himself (or herself) by
signature, i.e., to note by signature the date of access and/or to
produce two other legal forms of identification (driver's license,
employee identification, annuitant card, passport, etc.).
(b) If an individual is unable to produce adequate identification, the
individual shall sign a statement asserting identity and acknowledging
that knowingly or willfully seeking or obtaining access to records about
another person under false pretenses may result in a fine of up to
$5,000 (see Sec. 2504.18). In addition, depending upon the sensitivity
of the records, the Privacy Act Officer after consulting with the
appropriate system manager may require further reasonable assurances,
such as statements of other individuals who can attest to the identity
of the requestor.
(c) If access is granted by mail, the identity of the requestor shall
be verified by comparing signatures. If, in the opinion of the Privacy
Act Officer after consulting with the appropriate system manager, the
granting of access through the mail may result in harm or embarrassment
if disclosed to a person other than the subject individual, a notarized
statement of identify or some other similar assurance of identity will
be required.
[45 FR 41121, June 18, 1980, as amended at 49 FR 28236, July 11, 1984]
Sec. 2504.10 Access of others to records about an individual.
(a) No official or employee of the Office shall disclose any record to
any person or to another agency without the express written consent of
the subject individual, unless the disclosure is:
(1) To officers or employees of the Office who need the information to
perform their official duties;
(2) Under the requirements of the Freedom of Information Act;
(3) For a routine use that has been published in a notice in the
Federal Register;
(4) To the Bureau of the Census for uses under Title 13 of the United
States Code;
(5) To a person or agency who has given the Office advance written
notice of the purpose of the request and certification that the record
will be used only for statistical purposes. (In addition to deleting
personal identifying information from records released for statistical
purposes, the Privacy Act Officer shall ensure that the identity of the
individual cannot reasonably be deduced by combining various statistical
records);
(6) To the National Archives of the United States if a record has
sufficient historical or other value to be preserved by the United
States Government, or to the Privacy Act Officer (or a designee) to
determine whether the record has that value;
(7) In response to written request, that identifies the record and the
purpose of the request, made by another agency or instrumentality of any
Government jurisdiction within or under the control of the United States
for civil or criminal law enforcement activity, if that activity is
authorized by law;
(8) To a person who, showing compelling circumstances, needs the
information to prevent harm to the health or safety of an individual,
but not necessarily the individual to whom the record pertains (upon
such disclosure, a notification shall be sent to the last know address
of the subject individual);
(9) To either House of Congress, or to a Congressional committee or
subcommittee if the subject matter is within its jurisdiction;
(10) To the Comptroller General, or an authorized representative, to
carry out the duties of the General Accounting Office;
(11) Pursuant to a court order;
(12) To a consumer reporting agency in accordance with section 3711(f)
of Title 31.
[45 FR 41121, Jun. 18, 1980, as amended at 49 FR 28236, July 11, 1984]
Sec. 2504.11 Access to the accounting of disclosures from records.
Rules governing access to the accounting of disclosures are the same
as those granting access to the records.
Sec. 2504.12 Denials of access.
(a) The Privacy Act Officer may deny an individual access to his (or
her) record if: (1) In the opinion of the Privacy Act Officer, the
individual seeking access has not provided sufficient identification
documentation to permit access; or
(2) The Office has published rules in the Federal Register exempting
the pertinent system of records from the access requirement.
(b) If access is denied, the requestor shall be informed of the
reasons for denial and the procedures to obtain a review of the denial
(see Sec. 2504.15).
[45 FR 41121, June 18,1980, as amended at 49 FR 28236, July 11, 1984]
Sec. 2504.13 Requirements for requests to amend records.
(a) Individuals who desire to correct or amend a record pertaining to
them should submit a written request to the Privacy Act Officer, Office
of Administration, Washington, DC 20503. The words ``PRIVACY ACT--
REQUEST TO AMEND RECORD'' should be written on the letter and the
envelope.
(b) The request for amendment or correction of the record must state
the exact name of the system of records as published in the Federal
Register; a precise description of the record proposed for amendment; a
brief statement describing the information the requestor believes to be
inaccurate or incomplete, and why; and, the amendment or correction
desired. If the request to amend the record is the result of the
individual's having accessed the record in accordance with Secs. 2504.5,
2504.6, 2504.7, 2504.8 of this part, copies of previous correspondence
between the requestor and the Office should be attached, if possible.
(c) Individuals needing assistance in preparing a request to amend a
record may contact the Privacy Act Officer at the address cited in
Sec. 2504.13(a) of this part.
(d) If the individual's identity has not been previously verified, the
Office may require identification documentation as described in
Sec. 2504.9.
[45 FR 41121, June 18, 1980, as amended at 49 FR 28236, July 11, 1984]
Sec. 2504.14 Action on request to amend a record.
(a) A request for amendment of a record will be acknowledged within 10
work days of its receipt by the Office. If a decision cannot be made
within this time, the requestor will be informed by mail of the reasons
for the delay and the date when a reply can be expected, normally within
30 work days from receipt of the request.
(b) The final response will include the Office's determination of
whether to grant or deny the request. If the request is denied, the
response will include:
(1) The reasons for the decision;
(2) The name and address of the official to whom an appeal should be
directed;
(3) The name and address of the official designated to assist the
individual in preparing the appeal;
(4) A description of the appeal process within the Office; and
(5) A description of any other procedures which may be required of the
individual in order to process the appeal.
Sec. 2504.15 Procedures for appeal of determination deny access to
or amendment of records.
(a) Individuals who disagree with the refusal of the Office to grant
them access to or to amend a record about them should submit a written
request for review to the Privacy Act Officer, Office of Administration,
Washington, DC 20503. The words ``PRIVACY ACT--APPEAL'' should be
written on the letter and the envelope. Individuals desiring assistance
preparing their appeal should contact the Privacy Act Officer.
(b) The appeal letter must be received by the Office within 30
calendar days from the date the requestor received the notice of denial.
At a minimum, the appeal letter should identify:
(1) The records involved;
(2) The date of the initial request for access to or amendment of the
record;
(3) The date of the Office denial of that request; and
(4) The reasons supporting the request for reversal of the Office's
decision.
Copies of previous correspondence from the Office denying the request to
access or amend the record should also be attached, if possible.
(c) The Office reserves the right to dispose of correspondence
concerning the request to access or amend a record if no request for
review of the Office's decision is received within 180 days of the
decision date. Therefore, a request for review received after 180 days
may, at the discretion of the Privacy Act Officer, be treated as an
initial request to access or amend a record.
[45 FR 41121, June 18, 1980, as amended at 49 FR 28236, July 11,1984]
Sec. 2504.16 Appeals process.
(a) Within 20 work days of receiving the request for review, a review
group composed of the Privacy Act Officer, the General Counsel and the
Official having operational control over the record, will propose a
determination on the appeal for the Director's final decision. If a
final determination cannot be made in 20 days, the requestor will be
informed of the reasons for the delay and the date on which a final
decision can be expected. Such extensions are unusal, and should not
exceed an additional 30 work days.
(b) If the original request was for access and the initial
determination is reversed, the procedures in Sec. 2504.8 will be
followed. If the initial determination is upheld, the requestor will be
so informed and advised of the right to judicial review pursuant to 5
U.S.C. 552a(g).
(c) If the initial denial of a request to amend a record is reversed,
the Office will correct the record as requested and advise the
individual of the correction. If the original decision is upheld, the
requestor will be so advised and informed in writing of the right to
judicial review pursuant to 5 U.S.C. 552a(g). In addition, the requestor
will be advised of his (or her) right to file a concise statement of
disagreement with the Director. The statement of disagreement should
include an explanation of why the requestor believes the record is
inaccurate, irrelevant, untimely or incomplete. The Director shall
maintain the statement of disagreement with the disputed record, and
shall include a copy of the statement of disagreement in any disclosure
of the record. Additionally, the Privacy Act Officer shall provide a
copy of the statement of disagreement to any person or agency to whom
the record has been disclosed, if the disclosure was made pursuant to
Sec. 2504.10 (5 U.S.C. 552(a)(c)).
[45 FR 41121,June 18, 1980, as amended at 49 FR 28236, July 11, 1984]
Sec. 2504.17 Fees.
(a) Individuals will not be charged for:
(1) The search and review of the record;
(2) Any copies produced to make the record available for access;
(3) Copies of the requested record if access can only be accomplished
by providing a copy through the mail; and
(4) Copies of three (3) or less pages of a requested record.
(b) Records will be photocopied for 10 cents per page for four pages
or more (except for paragraphs (a)(1), (2), (3), (4) of this section).
If the record is larger than 8\1/2\ x 14 inches, the fee will be the
cost of reproducing the record through Government or commerical sources.
(c) Fees shall be paid in full prior to issuance of requested copies.
Payment shall be by personal check or money order payable to the
Treasurer of the United States, and mailed or delivered to the Privacy
Act Officer, Office of Administration, Washington, DC 20503.
(d) The Privacy Act Officer may waive the fee if:
(1) The cost of collecting the fee exceeds the amount collected; or
(2) The production of the copies at no charge is in the best interest
of the government.
(e) A receipt will be furnished on request.
[45 FR 41121, June 18, 1980, as amended at 49 FR 28236, July 11, 1984]
Sec. 2504.18 Penalties.
(a) Title 18, U.S.C. section 1001, Crimes and Criminal Procedures,
makes it a criminal offense, subject to a maximum fine of $10,000 or
imprisonment for not more than five years, or both, to knowingly and
willfully make or cause to be made any false or fraudulent statements or
representation in any matter within the jurisdiction of any agency of
the United States. Section (i) (3) of the Privacy Act (5 U.S.C. 552a)
makes it a misdemeanor, subject to a maximum fine of $5,000 to knowingly
and willfully request or obtain any record concerning an individual
under false pretenses. Sections (i) (1) and (2) or 5 U.S.C. 552a provide
penalties for violations by agency employees of the Privacy Act or
regulations established thereunder.