[Privacy Act Issuances (2001)]
[From the U.S. Government Publishing Office, www.gpo.gov]
NATIONAL INDIAN GAMING COMMISSION
NIGC-1
System name: Indian Gaming Individuals Record System.
System location:
National Indian Gaming Commission, Suite 250, 1850 M St., NW,
Washington, DC 20036-5803.
Categories of individuals covered by the system:
Key employees and primary management officials as defined under
25 CFR part 502.
Categories of records in the system:
Copies of applications for employment in gaming operations on
Indian lands; information collected by the staff and members of the
Commission; copies of reports of background investigations. Such
information includes: (1) Full name, other names used, social
security number(s) and birth date; (2) business and employment
positions held, business and residence addresses, driver's license
numbers; (3) the names and current addresses of personal references;
(4) current business and residence telephone numbers; (5) a
description of any previous business relationships with Indian
tribes; (6) a description of any previous business relationships with
the gaming industry generally; (7) the name and address of any
licensing or regulatory agency with which the person has filed an
application for a license or permit relating to gaming; (8) for any
felony for which there is an ongoing prosecution or a conviction, the
charge, the name and address of the court involved, and the date and
disposition; (9) for any misdemeanor conviction or ongoing
misdemeanor prosecution, the name and address of the court involved
and the date and disposition; and (10) whatever other information a
tribe deems relevant.
Authority for maintenance of the system:
25 U.S.C. 2710.
Purpose(s):
Used by Commission members and staff to verify suitability of key
employees and primary management officials in Indian gaming
operations.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. To disclose relevant information to Federal, State, tribal, or
local law enforcement of regulatory agencies to verify information
supplied by applicant key employees and primary management officials
in connection with determining suitability for employment in an
Indian gaming operation.
2. To disclose relevant information to tribes that employ or may
wish to employ individuals in Indian gaming operations.
3. In the event that records in this system indicate a violation
or potential violation of law, criminal, civil, or regulatory in
nature, the relevant records may be referred to the agency charged
with responsibility for investigating or prosecuting such violation.
4. To disclose relevant information 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.
5. To disclose relevant information to a Federal, State, local,
or tribal agency (or their agents) that is involved in a civil
regulatory or enforcement action to protect the integrity of Indian
gaming.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records by the system:
Storage:
Paper files, machine-processable storage media, and other
computer storage devices.
Retrievability:
Employee name, gaming operation where employed, social security
number, and birth date.
Safeguards:
Folders are maintained in locked cabinets to which only
authorized personnel have access; automated records are protected by
computer passwords and tape or disc library physical security.
Retention and disposal:
Records are retained and disposed of in accordance with National
Archives and Records Administration requirements. A records retention
and disposal plan is under development. At present, the Commission
contemplates disposal of the records after 10 years.
System manager(s) and address:
Records Manager, NIGC, Suite 250, 1850 M Street, NW, Washington,
DC 20036-5803.
Notification procedure:
Persons wishing to inquire whether the System contains
information concerning themselves may submit inquiries to the Records
Manager, NIGC, at the address above. Such persons must provide proof
of their identity by including a statement, signed by the individual
and either notarized or witnessed by two persons (include addresses
of witnesses). The statement must be that the person is who he or she
claims to be. If an individual makes an inquiry in person, such
person must present the Commission with a statement signed by the
individual and either notarized or witnessed by two persons (include
addresses of witnesses).
Record access procedure:
Persons wishing access to their records should contact the
Records Manager, NIGC, at the address above. Such persons must
provide proof of their identity by including a statement, signed by
the individual and either notarized or witnessed by two persons
(include addresses of witnesses). The statement must be that the
person is who he or she claims to be. If an individual makes an
inquiry in person, such person must present the Commission with a
statement signed by the individual and either notarized or witnessed
by two persons (include addresses of witnesses). Such persons must
comply with the Privacy Act regulations.
Contesting record procedures:
Any individual who has reviewed a record pertaining to him or her
may request that the Commission amend all or any part of that record
by sending a request to the Records Manager. A request must contain
the name of the individual requesting the amendment, the name of the
system of records where the record is maintained, a copy of the
record sought to be amended or a description of that record, a
statement of the material requested to be amended, and the basis for
amendment, including material that substantiates the reason for the
amendment.
Record source categories:
Individual applications for employment in Indian gaming
operations; background investigation reports compiled by tribes or by
contractors; persons interviewed as part of a background
investigation; Federal, state, foreign, tribal, and local law
enforcement and regulatory agencies; Commission staff and members;
credit bureaus.
Systems exempted from certain provisions of the Act:
Under 5 U.S.C. 552a(k)(2) the Commission is claiming exemptions
from certain provisions of the Act for portions of its records. The
exemptions and the reasons for them are described in the regulations.
NATIONAL INDIAN GAMING COMMISSION
NATIONAL INDIAN GAMING COMMISSION
PART 515--PRIVACY ACT PROCEDURES
Sec.
515.1 Purpose and scope.
515.2 Definitions.
515.3 Identification of individuals making requests.
515.4 Procedures for requests and disclosures.
515.5 Request for amendment to record.
515.6 Review of request for amendment of record by the Records Manager.
515.7 Appeal to the Commission of initial adverse agency determination
on access or amendment to records.
515.8 Disclosure of record to a person other than the individual to
whom it pertains.
515.9 Fees.
515.10 Penalties.
515.11 General exemptions. [Reserved]
515.12 Specific exemptions.
Authority: 5 U.S.C. 552a.
Source: 58 FR 5814, Jan. 22, 1993.
Sec. 515.1 Purpose and scope.
(a) The purpose of this part is to inform the public of records
maintained by the Commission about identifiable individuals and to
inform those individuals how they may gain access to and amend records
concerning themselves.
(b) This part carries out the requirements of the Privacy Act of 1974
(Pub. L. 93-579) codified at 5 U.S.C. 552a.
(c) The regulation applies only to records disclosed or requested
under the Privacy Act of 1974, and not to requests for information made
pursuant to 5 U.S.C. 552, the Freedom of Information Act.
Sec. 515.2 Definitions.
As defined in the Privacy Act of 1974 and for the purposes of this
part, unless otherwise required by the context, the following terms
shall have these meanings:
(a) Individual means a citizen of the United States or an alien
lawfully admitted for permanent residence.
(b) Maintain means maintain, collect, use, or disseminate.
(c) Record means any item, collection, or grouping of information
about an individual that is maintained by the Commission, including
education, financial transactions, medical history, and criminal or
employment history, and that contains the individual's name, or the
identifying number, symbol, or other identifier assigned to the
individual, such as social security number, finger or voice print, or a
photograph.
(d) System of records means a group of any records under the control
of the Commission from which information is retrieved by the name of the
individual or by some identifying number, symbol, or other identifier
assigned to the individual.
(e) Routine use means, with respect to the disclosure of a record, the
use of such record for a purpose that is compatible with the purpose for
which it was collected.
Sec. 515.3 Identification of individuals making requests.
(a) Any individual may request that the Commission inform him or her
whether a particular record system named by the individual contains a
record pertaining to him or her and the contents of such record. Such
requests shall conform to the requirements of Sec. 515.4 of this part.
The request may be made in person or in writing at the NIGC, suite 250,
1850 M Street, NW, Washington, DC 20036-5803 during the hours of 9 a.m.
to 12 noon and 2 p.m. to 5 p.m. Monday through Friday.
(b)(1) Requests made in writing shall include a statement, signed by
the individual and either notarized or witnessed by two persons
(including witnesses' addresses). If the individual appears before a
notary, the individual shall submit adequate proof of identity in the
form of a driver's license, birth certificate, passport, or other
identification acceptable to the notary. If the statement is witnessed,
it shall include a statement above the witnesses' signatures that they
personally know the individual or that the individual has submitted
proof of his or her identity to their satisfaction. In any case in
which, because of the extreme sensitivity of the record sought to be
seen or copied, the Commission determines that the identification is not
adequate, it may request the individual to submit additional proof of
identity.
(2) If the request is made in person, the requester shall submit proof
of identity similar to that described in paragraph (b)(1) of this
section, and that is acceptable to the Commission. The individual may
have a person of his or her own choosing accompany him or her when the
record is disclosed.
(c) Requests made by an agent, parent, or guardian shall be in
accordance with the procedures described in paragraph (b) of this
section.
Sec. 515.4 Procedures for requests and disclosures.
(a) Requests for a determination under Sec. 515.3(a) of this part
shall be acknowledged by the Commission within ten (10) days (excluding
Saturdays, Sundays and Federal holidays) after the date on which the
Commission receives the request. If the Commission is unable to locate
the information requested, it shall so notify the individual within ten
(10) days (excluding Saturdays, Sundays and Federal holidays) after
receipt of the request, Such acknowledgement may request additional
information to assist the Commission in locating the record, or it may
advise the individual that no record exists about that individual.
(b)(1) Upon submission of proof of identity as required by
Sec. 515.3(b)(1) or (2) of this part, the Commission shall respond
within ten (10) days (excluding Saturdays, Sundays and Federal
holidays). The Commission shall decide whether to make a record
available to the record subject and shall immediately convey its
determination to the requester. If the individual asks to see the
record, the Commission may make the record available at the location
where the record is maintained.
(2) The Commission shall furnish each record requested by an
individual under this section in a form intelligible to that individual.
(3) If the Commission denies access to a record to an individual, that
person shall be advised of the reason for the denial and of the appeal
procedures provided in Sec. 515.7 of this part.
(4) Upon request, an individual shall be provided access to the
accounting of disclosures from his or her record under the same
procedures as provided above and in Sec. 515.3 of this part.
Sec. 515.5 Request for amendment to record.
(a) Any individual who has reviewed a record pertaining to him or her
that was furnished under this part, may request that the Commission
amend all or any part of that record.
(b) Each individual requesting an amendment shall send the request to
the Records Manager.
(c) Each request for an amendment of a record shall contain the
following information:
(1) The name of the individual requesting the amendment;
(2) The name of the system of records in which the record sought to be
amended is maintained;
(3) The location of the system of records from which the individual
record was obtained;
(4) A copy of the record sought to be amended or a sufficiently
detailed description of that record:
(5) A statement of the material in the record that the individual
desires to amend;
(6) A statement of the basis for the requested amendment, including
any material that the individual can furnish to substantiate the reasons
for the amendment sought.
Sec. 515.6 Review of request for amendment of record by the Records
Manager.
(a) The Records Manager shall, not later than ten (10) days (excluding
Saturdays, Sundays and Federal holidays) after the receipt of a request
for an amendment of a record under Sec. 515.5 of this part, acknowledge
receipt of the request and inform the individual whether more
information is required before the amendment can be considered.
(b) If more information is not required, within ten (10) days after
receipt of the request (excluding Saturdays, Sundays and Federal
holidays), the Records Manager shall either make the requested amendment
or notify the individual of the Commission's refusal to do so, including
in the notification the reasons for the refusal, and the appeal
procedures provided in Sec. 515.7 of this part.
(c) The Records Manager shall make each requested amendment to a
record if such amendment will tend to negate inaccurate, irrelevant,
untimely, or incomplete material in the record.
(d) The Records Manager shall inform prior recipients of any amendment
or notation of dispute of such individual's record. The individual may
request a list of prior recipients if there exists an accounting of the
disclosures.
Sec. 515.7 Appeal to the Commission of initial adverse agency
determination on access or amendment to records.
(a) Any individual whose request for access or an amendment has been
denied in whole or in part, may appeal the decision to the Commission no
later than one hundred eighty (180) days after the adverse decision is
rendered.
(b) The appeal shall be in writing and shall contain all of the
following information:
(1) The name of the individual making the appeal;
(2) Identification of the record sought to be amended;
(3) The record system in which such record is contained;
(4) A short statement describing the amendment sought; and
(5) The name and location of the agency official who initially denied
the amendment.
(c) Not later than thirty (30) days (excluding Saturdays, Sundays and
Federal holidays) after the date on which the Commission receives the
appeal, the Commission shall complete its review of the appeal and make
a final decision thereon. For good cause shown, however, the Commission
may extend such thirty (30) day period. If the Commission extends the
period, the individual requesting the review shall be promptly notified
of the extension and the anticipated date of a decision.
(d) After review of an appeal, the Commission shall 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 file with the Commission a concise
statement setting forth the reasons for his or her disagreement with the
Commission's denial of access or amendment. The Commission shall make
this statement available to any person to whom the record is later
disclosed, together with a brief statement, if appropriate, of the
Commission's reasons for denying requested access or amendment. The
Commission shall also send a copy of the statement to prior recipients
of the individual's record; and
(3) The right of the requester to institute a civil action in a
Federal district court for judicial review of the decision.
Sec. 515.8 Disclosure of record to a person other than the
individual to whom it pertains.
(a) Any individual who desires to have a record covered by this part
disclosed to or mailed to another person may designate such person and
authorize such person to act as his or her agent for that specific
purpose. The authorization shall be in writing, signed by the
individual, and notarized or witnessed as provided in Sec. 515.3 of this
part.
(b) The parent of any minor individual or the legal guardian of any
individual who has been declared by a court of competent jurisdiction to
be incompetent, due to physical or mental incapacity or age, may act on
behalf of that individual in any matter covered by this section. 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, certified copy of court order, or similar documents, and
proof of the individual's identity in a form that complies with
Sec. 515.3(b) of this part.
(c) An individual to whom a record is to be disclosed in person,
pursuant to this section, may have a person of his or her own choosing
accompany him or her when the record is disclosed.
Sec. 515.9 Fees.
The Commission shall not charge an individual for the costs of making
a search for a record or the costs of reviewing the record. When the
Commission makes a copy of a record as a necessary part of reviewing the
record, the Commission shall not charge the individual for the cost of
making that copy. Otherwise, the Commission may charge a fee sufficient
to cover the cost of duplication.
Sec. 515.10 Penalties.
Any person who makes a false statement in connection with any request
for a record, or an amendment thereto, under this part, is subject to
the penalties prescribed in 18 U.S.C. 494 and 495.
Sec. 515.11 General exemptions. [Reserved]
Sec. 515.12 Specific exemptions.
(a) The following system of records is exempt from 5 U.S.C.
552a(c)(3), (d), (e)(1) and (f):
Indian Gaming Individuals Records System
(b) The exemptions under paragraph (a) of this section apply only to
the extent that information in this system is subject to exemption under
5 U.S.C. 552a(k)(2). When compliance would not appear to interfere with
or adversely affect the overall responsibilities of the Commission with
respect to licensing of key employees and primary management officials
for employment in an Indian gaming operation, the applicable exemption
may be waived by the Commission.
(c) Exemptions from the particular sections are justified for the
following reasons:
(1) From 5 U.S.C. 552a(c)(3), because making available the accounting
of disclosures to an individual who is the subject of a record could
reveal investigative interest. This would permit the individual to take
measures to destroy evidence, intimidate potential witnesses, or flee
the area to avoid the investigation.
(2) From 5 U.S.C. 552a(d), (e)(1), and (f) concerning individual
access to records, when such access could compromise classified
information related to national security, interfere with a pending
investigation or internal inquiry, constitute an unwarranted invasion of
privacy, reveal a sensitive investigative technique, or pose a potential
threat to the Commission or its employees or to law enforcement
personnel. Additionally, access could reveal the identity of a source
who provided information under an express promise of confidentiality.
(3) From 5 U.S.C. 552a(d)(2), because to require the Commission to
amend information thought to be incorrect, irrelevant, or untimely,
because of the nature of the information collected and the length of
time it is maintained, would create an impossible administrative and
investigative burden by continually forcing the Commission to resolve
questions of accuracy, relevance, timeliness, and completeness.
(4) From 5 U.S.C. 552a(e)(1) because:
(i) It is not always possible to determine relevance or necessity of
specific information in the early stages of an investigation.
(ii) Relevance and necessity are matters of judgment and timing in
that what appears relevant and necessary when collected may be deemed
unnecessary later. Only after information is assessed can its relevance
and necessity be established.
(iii) In any investigation the Commission may receive information
concerning violations of law under the jurisdiction of another agency.
In the interest of effective law enforcement and under 25 U.S.C.
2716(b), the information could be relevant to an investigation by the
Commission.
(iv) In the interviewing of individuals or obtaining evidence in other
ways during an investigation, the Commission could obtain information
that may or may not appear relevant at any given time; however, the
information could be relevant to another investigation by the
Commission.