[Privacy Act Issuances (2003)]
[From the U.S. Government Publishing Office, www.gpo.gov]
AFRICAN DEVELOPMENT FOUNDATION
Notice of Systems of Records, Preliminary Statement
Official Personnel Files
Official personnel files of Federal employees in the General
Schedule in the custody of ADF are considered the property of OPM.
Access to such files shall be in accordance with such notices as are
published by OPM. Access to such files in the custody of ADF will be
granted to individuals to whom such files pertain upon request to the
Personnel Officer, ADF, Suite 600, 1626 Massachusetts Avenue, NW.,
Washington, DC 20036.
Various ADF offices maintain files which contain miscellaneous
copies of personnel material affecting ADF employees. This includes
copies of standard personnel forms, evaluation forms, etc. These
files are kept only for immediate office reference use and are
considered by the Foundation to be part of the personnel file system.
ADF's internal regulations provide that such information is part of
the general personnel files and can only be disclosed through the
Director of Personnel in order to ensure that any material disclosed
is relevant, material, current, and fair to the individual employee.
It is also ADF policy to limit the use of such files and to encourage
the destruction of as many as possible.
Security Classification
None of the files maintained by ADF contain classified
information.
Statement of General Routine Uses
The following general routine uses are incorporated by this
reference into each system of records set forth herein, unless such
incorporation is specifically limited in the system description.
1. In the event that a record in a system of records maintained
by ADF indicates any violation or potential violation of the law,
whether civil, criminal or regulatory in nature, and whether arising
by statute, or by regulation, rule or order issued pursuant thereto,
the relevant record in this system of records may be referred as a
routine use to the appropriate agency, whether Federal, state, local,
or foreign, charged with the responsibility of investigating or
prosecuting such violation, or charged with enforcing or implementing
the statute, rule, regulation, or order issued pursuant thereto. Such
referral shall also include and be deemed to authorize any and all
appropriate and necessary uses of such records in a court of law or
before an administrative board or hearing.
2. A record may be disclosed as a routine use to designated
officers and employees of other agencies and departments of the
Federal Government having an interest in the individual for
employment purposes, including the hiring or retention of any
employee, the issuance of a security clearance, the letting of a
contract, or the issuance of 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 involved.
3. Routine Use for Disclosure to the Department of Justice for
Use in Litigation:
It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice when
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where the agency determines that
litigation is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation,
and the use of such records by the Department of Justice is deemed by
the agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for
which the records were collected.
Routine Use for Agency Disclosure in Litigation
It shall be a routine use of records maintained by this agency to
disclose them in a proceeding before a court or adjudicative body
before which the agency is authorized to appear, when
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where the agency determines that
litigation is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation,
and the agency determines that use of such records is relevant and
necessary to the litigation, provided, however, that in each case,
the agency determines that disclosure of the records to the
Department of Justice is a use of the information contained in the
records that is compatible with the purpose for which the records
were collected.
4. Information from records systems may be disclosed to any
source from which information is requested in the course of an
investigation, to the extent necessary to identify the individual,
inform the source of the nature and purpose of the investigation, and
to identify the type of information requested.
5. Information in any system of records may be disclosed to a
Congressional office, in response to an inquiry from the office, made
at the request of the individual to whom the record pertains.
6. Any record from any system of records may be disclosed as a
routine use to the National Archives and Records Administration,
General Services Administration in records management inspections
conducted under authority of 44 U.S.C. 2904 and 2906.
7. Information from records systems may be released to auditors
in the conduct of an audit of ADF operations or accounts, but only to
the extent it is relevant and necessary to the conduct of the audit.
Location of Files
All files are located in the office indicated under ``System
Location'' at ADF headquarters in Suite 600, 1625 Massachusetts Ave.
NW., Washington, DC 20036.
Notification
Individuals may inquire whether any system contains information
pertaining to them by addressing the Director of Administration and
Finance in person or in writing. If in writing, such request should
include the individual's name and address, social security number,
and any relevant data concerning the information sought which will
assist in identifying the record. ADF may require that the individual
furnish the Foundation with additional information to assure that he
or she is properly identified.
Access and Contest
In response to a request by an individual, the Director of
Administration and Finance shall arrange for access to the requested
record, or advise the requester if no such record exists. If an
individual wishes to contest the content of any record, he/she may do
so by addressing a written request to the Director of Administration
and Finance, Suite 600, 1625 Massachusetts Ave., NW., Washington, DC
20036. The Director will provide all necessary information regarding
such contest and appeal.
ADF 1
System name: Employee Pay and Leave Records.
System location:
Office of Administration and Finance.
Categories of individuals covered by the system:
Current and former employees of ADF.
Categories of records in the system:
Records of current personnel status, amounts of pay, hours
worked, leave accrued, allotments authorized, and benefits paid by
the Government.
Authority for maintenance of the system:
GAO Policy and Procedures Manual; 31 U.S.C. 3512; and the Budget
and Accounting Procedures Act of 1950.
Purpose(s):
This system was established to record moneys paid, allotments
authorized, leave earned and used, and retirement benefits accrued.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in these records are routinely provided as follows:
1. To the Federal Agency designated through inter-agency
agreement to perform payrolling services for ADF. The Department of
Energy is currently performing this function.
2. Through the Department of Energy, to the Treasury for payroll
and savings bonds and other deduction purposes; to the Internal
Revenue Service with regard to tax matters; and to participating
insurance companies holding policies with respect to ADF employees.
3. General routine uses listed in the Preliminary Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Pay and leave records are maintained in looseleaf binders in
metal file cabinets with key locks. Individual Time and Attendance
records are maintained by the Personnel Officer in a separate metal
file cabinet with a key lock. Microfiche pay and leave records are
maintained in a Microfiche index which is kept in a metal file
cabinet with a key lock.
Retrievability:
Records are indexed in alphabetical order by pay period.
Safeguards:
Access to data in this system is restricted to ADF and Department
of Energy staff, including employees, interns, consultants and
contractors, with a need to know in connection with the performance
of their official duties.
Retention and disposal:
Records in this system are maintained for three years after the
end of the fiscal year in which an employee terminates employment
with ADF, and then retired to the Federal Records Center. The Time
and Attendance sheets are maintained for three years and then
destroyed.
System manager(s) and address:
Director of Administration and Finance, Suite 600, 1625
Massachusetts Ave. NW., Washington, DC 20036.
Notification procedure:
See the Notification paragraph in the Preliminary Statement in
this notice.
Record access procedures:
See the Access and Contest paragraph in the Preliminary
statement.
Contesting record procedures:
Same as Record Access Procedures.
Record source categories:
ADF employees and the individual to whom the record pertains.
ADF 2
System name: Locater Files.
System location:
Office of the President and at agencywide desk top word
processors.
Categories of individuals covered by the system:
Members of the ADF Board of Directors and Advisory Council,
American Ambassadors and AID Mission Directors in Africa, ADF staff
and personal services contractors, and press contacts.
Categories of records in the system:
These files contain names and current addresses and phone
numbers.
Authority for maintenance of the system:
The African Development Foundation Act, 22 U.S.C. 290h et seq.
Purpose(s):
The purpose of this system is to enable ADF to contact
individuals whose names are on file either in writing or by phone.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The contents of these file are used by ADF staff, consultants and
contractors to contact individuals whose names are in the file in
connection with official ADF business. Information in the file is
also available for routine uses 2 through 6 listed in the above
Preliminary Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in disk packs with floppy diskette backup.
These are filed and maintained in metal cabinets with key locks.
Retrievability:
Records in these files are maintained in alphabetical order.
Safeguards:
Access to the data in the files is through the use of a password.
Only those with a need for the information in the files in connection
with their regular duties have the password.
Retention and disposal:
Information in this file is kept current. Names and addresses of
officials who no longer hold positions noted under ``Categories of
Individuals'' above are purged from the system.
System manager(s) and address:
Executive Assistant to the President, Suite 600, 1625
Massachusetts Ave. NW., Washington, DC 20036.
Notification procedure:
See the Notification paragraph in the Preliminary Statement
above.
Record access procedures:
See the Access and Contest paragraph in the Preliminary
Statement.
Contesting record procedures:
Same as Record Access Procedures.
Record source categories:
Information contained in the system is obtained from the
individuals listed in the system.
ADF 3
System name: Mailing List.
System location:
Office of the President, ADF, Suite 600, 1625 Massachusetts Ave.
NW., Washington, DC 20036.
Categories of individuals covered by the system:
Academicians; Federal, state, and local government employees;
officials in private voluntary and religious organizations involved
in overseas development; officers of corporations and financial
institutions doing business in Africa, librarians, media people, and
other individuals having an interest in, and/or a need to know
information about grassroots development in Africa.
Categories of records in the system:
Names and current addresses.
Authority for maintenance of the system:
The African Development Foundation Act, 22 U.S.C. 290h et seq.
Purpose(s):
This system is maintained as an up to date mailing list for ADF
publications.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The names and addresses maintained in this system allow the
Foundation to carry out its purpose of disseminating information
about grassroots development in Africa through the mailing of
publications to persons and institutions involved in development and/
or African affairs, both at the academic and practical level.
Employees, interns, consultants and contractors having a need for the
information in the course of updating the list or mailing the
publications have access to it. Since mailing services are provided
routinely through an outside contractor, that contractor and its
employees will have periodic access to the system in order to prepare
mailing labels. Information in the system is also subject to routine
uses 2 through 6 as listed above in the Preliminary Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The information is stored on magnetic tape with a backup. The
tapes are stored on the premises of the firm which has the mailing
contract with ADF in a room designated as a tape library. Two hard
copy printouts of the tapes are retained by ADF in metal cabinets
with key locks.
Retrievability:
The records are maintained in alphabetical order.
Safeguards:
Records are being maintained by the contractor so as to permit
access only to employees who have a need to know in connection with
the provision of services under the contract. Similarly, access to
the hard copies maintained by the Foundation is limited to ADF
employees, interns, consultants with a need to know in connection
with their duties.
Retention and disposal:
The records are updated semi-annually and obsolete names and/or
addresses are deleted.
System manager(s) and address:
Executive Assistant to the President, ADF, Suite 600, 1625
Massachusetts Ave. NW., Washington, DC 20036
Notification procedure:
See the Notification paragraph in the above Preliminary
Statement.
Record access procedures:
See the Access and Contest paragraph in the Preliminary
Statement.
Contesting record procedures:
Same as Record Access Procedures.
Record source categories:
Some of the names and addresses of firms and individuals involved
in grassroots development were furnished by the Agency for
International Development. Others came from ADF employees, and the
remainder were furnished by the individuals listed in the system.
ADF 4
System name: Paid Voucher Files.
System location:
Office of Administration and Finance.
Categories of individuals covered by the system:
Employees, contractors, vendors, suppliers, consultants and
grantees who have received payment from ADF.
Categories of records in the system:
These records include paid vouchers, purchase orders, contracts,
travel orders, and other obligating documents.
Authority for maintenance of the system:
The African Development Foundation Act, 22 U.S.C. 290h et seq.;
The Budget and Accounting Act of 1921; Accounting and Auditing Act of
1950; and the Federal Claims Collection Act of 1966.
Purpose(s):
The purpose of this system is to maintain a record of all
payments made by ADF pursuant to purchase orders, contracts, grants
and other obligating documents.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records are used by ADF staff and contractors to determine
amounts to be paid, verify administrative authorizations and
eligibility for payment, ensure that payments are made promptly and
accurately, confirm costs, and ensure accuracy of accounting
information. Other routine uses would be those listed in the above
Preliminary Statement. The information is used by ADF employees,
consultants, and contractors who have a need for the information in
connection with the performance of their official duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in metal filing cabinets with key locks.
Retrievability:
Records are filed by fiscal year, alphabetically by the last name
of the payee.
Safeguards:
Records are available only to appropriate Administration and
Finance personnel and other appropriate ADF officials with the need
for such records in the performance of their duties.
Retention and disposal:
Records are held for three years and retired to the Federal
Records Center.
System manager(s) and address:
Director, Administration and Finance, African Development
Foundation, Suite 600, 1625 Massachusetts Ave. NW., Washington, DC
20036.
Notification procedure:
See the Notification paragraph in the Preliminary Statement above
in this notice.
Record access procedures:
See the Access and Contest paragraph in the Preliminary
Statement.
Contesting record procedures:
Same as Record Access Procedures.
Record source categories:
Data is obtained from documents provided by the individual or the
vendor.
ADF 5
System name: Procurement/Contracting.
System location:
Office of Administration & Finance.
Categories of individuals covered by the system:
All vendors, both companies and individuals, with whom ADF does
or has done business, as well as organizations and individuals with
whom the Foundation may wish to do business in the future. Included
are the records pertaining to vendors, contractors, and consultants.
Categories of records in the system:
The system consists of purchase orders and contracts, as well as
resumes and SF 171's, and invoices from contractors, vendors and
consultants.
Authority for maintenance of the system:
48 CFR Ch. 1, subpart 4.8 (the Federal Acquisition Regulations),
the African Development Foundation Act, 22 U.S.C. 290h et seq.
Purpose(s):
Information in the system is used to: (1) Provide a complete
background as a basis for informed decisions at each step in the
acquisition process; (2) support actions taken; (3) provide
information for reviews and investigations; (4) provide information
on which to base future procurement decisions.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosures may be made to ADF employees, contractors,
consultants, and interns, performing services for ADF at ADF
headquarters, with a need to know in order to make informed
recommendations or decisions, or take actions, with regard to the
procurement of goods or services.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Files are maintained in folders in metal file cabinets with key
locks.
Retrievability:
Records are indexed alphabetically by fiscal year.
Safeguards:
Information from records is only available to ADF staff who have
a need to know in the performance of their official duties, and is
usually provided through the Contracting Officer or, in his/her
absence, the Director of Administration and Finance.
Retention and disposal:
Records are retained for three years and then reviewed, and
either destroyed or forwarded to the Federal Record Center.
System manager(s) and address:
Contract Officer, Office of Administration and Finance, ADF,
Suite 600, 1625 Massachusetts Avenue NW., Washington, DC 20036.
Notification procedure:
See the Notification paragraph in the Preliminary Statement in
this notice.
Record access procedures:
See the Access and Contest paragraph in the Preliminary
Statement.
Contesting record procedures:
Same as Record Access Procedures.
Record source categories:
Data is obtained from documents provided by the individual or
vendor and, on occasion, by other organizations within or without the
Government who may have done business with the individual or
organization.
ADF 6
System name: Security Files.
System location:
Office of Administration & Finance.
Categories of individuals covered by the system:
Past and present ADF employees and applicants for employment from
1988 onwards.
Categories of records in the system:
These records contain investigative information regarding an
individual's character, conduct, behavior in the community; arrests
and convictions for any violations of the law; reports of interviews
with former supervisors, co-workers, associates, educators, etc.;
reports about the qualifications of an individual for a specific
position; reports of inquiries to law enforcement agencies, former
employers, educational institutions attended; and other similar
information developed from the above.
Authority for maintenance of the system:
Executive Order 10450, and Federal Personnel Manual, Chapters
731, 732, and 736. In addition, there are various acts of Congress
relating to personnel investigations authorizing the same by the
Office of Personnel Management, which responsibility can, under Civil
Service regulations and law, be delegated in whole or in part to
agencies.
Purpose(s):
This system was established to keep on record information used to
determine eligibility or suitability for employment.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The contents of these records may be disclosed and used as
follows: 1. To the Office of Personnel Management as part of the
central OPM personnel investigation records system; 2. to the
Foundation's Security Officer and the President of the Foundation for
the purposes of making employment suitability and eligibility
determinations; and 3. subject to the general routine uses listed in
the above Preliminary Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Investigative folders are maintained in a fireproof, combination
lock safe in a room accessible only to authorized personnel.
Retrievability:
Records are indexed in alphabetical order.
Safeguards:
Access to the records in this system is restricted to the
Foundation Security Officer (the Personnel Officer) and the
President, and to the General Counsel of ADF on a need to know basis.
Retention and disposal:
System manager(s) and address:
Personnel Security Officer (Personnel Officer), Office of
Administration & Finance, African Development Foundation, Suite 600,
1625 Massachusetts Avenue NW., Washington, DC 20036
Notification procedure:
See the Notification paragraph in the Preliminary Statement in
this notice.
Record access procedures:
See the Access and Contest paragraph in the Preliminary Statement
in this notice.
Contesting record procedures:
Same as Record Access Procedure.
Record source categories:
Information contained in this system is obtained from the
following categories of sources: 1. Applications and other forms and
information furnished by the individual. 2. By personal investigation
or written inquiry from such sources as employers, schools,
references, neighbors, associates, police departments, courts, credit
bureaus, medical records, probation officials, prison officials and
other sources as may be developed.
ADF 7
System name: Travel Advance Records.
System location:
Office of Administration and Finance.
Categories of individuals covered by the system:
Any ADF employees, experts, consultants, contractors or others
who have engaged in authorized official travel for ADF.
Categories of records in the system:
Manual and automated records of travel advances made to
employees, consultants and others, and records of repayment or
liquidation of such advances.
Authority for maintenance of the system:
The African Development Foundation Act, 22 U.S.C. 290h et seq.;
the Budget and Accounting Act of 1921; the Accounting and Auditing
Act of 1950; the Federal Claim Collection Act of 1966.
Purpose(s):
This system is maintained to provide a record to account for and
issue payments due as the result of authorized official ADF travel;
and for audit purposes to account for the expenditure of Federal
funds.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. To ADF employees, interns, consultants, and contractors in the
office of Administration and Finance, and senior management personnel
who require access in the performance of their official duties.
2. To the Federal Agency which is performing accounting services
for ADF pursuant to inter-agency agreement, in this case the National
Transportation Safety Board, in the event of a problem with the
accounting system which requires the examination of individual
transactions.
3. Subject to the routine uses listed in the above Preliminary
Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual records are kept in key locked metal filing cabinets.
Automated records are on hard disks in the computer accessible only
by password available to employees of the Office of Administration
and Finance and NSTB employees responsible for systems maintenance.
Retrievability:
Manual records are maintained alphabetically by name. The
automated records are maintained by social security number.
Safeguards:
Records are available to only those with a need to know in
connection with the performance of their duties. The records are
accessible through the use of a password kept by the Director of
Administration and Finance. It is changed every six months by the
Director of Administration and Finance.
Retention and disposal:
Records in the system are maintained for one year after the
individual leaves the Foundation.
System manager(s) and address:
Director of Administration and Finance, Suite 600, 1625
Massachusetts Ave. NW., Washington, DC 20036.
Notification procedure:
See the Notification paragraph in the above Preliminary
Statement.
Record access procedures:
See the Access and Contest paragraph in the Preliminary
Statement.
Contesting record procedures:
Same as Record Access Procedures.
Record source categories:
Information is furnished by the individual traveler, supervisors,
or other ADF staff.
AFRICAN DEVELOPMENT FOUNDATION
AFRICAN DEVELOPMENT FOUNDATION
22 CFR PART 1507--RULES SAFEGUARDING PERSONAL INFORMATION
Sec.
1507.1 Purpose.
1507.2 General policies.
1507.3 Definitions.
1507.4 Conditions of disclosure.
1507.5 Accounting for disclosure of records.
1507.6 Access to records.
1507.7 Contents of record systems.
1507.8 Fees.
1507.9 Judicial review.
1507.10 Exemptions.
1507.11 Mailing list.
1507.12 Criminal penalties.
1507.13 Reports.
Authority: 5 U.S.C. 552a.
Source: 53 FR 40411, Oct. 17, 1988.
Sec. 1507.1 Purpose.
The purpose of this part is to set forth the basic policies of the
African Development Foundation (``the Foundation'' or ``ADF'') governing
the maintenance of systems of records containing personal information as
defined in the Privacy Act of 1974 (5 U.S.C. 552a).
Sec. 1507.2 General policies.
It is the policy of the Foundation to safeguard the right of privacy
of any individual as to whom the Foundation maintains personal
information in any records system, and to provide such individuals with
appropriate and complete access to such records, including adequate
opportunity to correct any errors in said records. It is further the
policy of the Foundation to maintain its records in such a fashion that
the information contained therein is, and remains, material and relevant
to the purposes for which it is collected. Information in such records
will be collected, maintained, used or disseminated in a manner that
assures that such action is for a necessary and lawful purpose, and that
adequate safeguards are provided to prevent misuse of such information.
Exemptions from records requirements provided in 5 U.S.C. 552a will be
permitted only where an important public policy need for such exemptions
has been determined pursuant to specific statutory authority.
Sec. 1507.3 Definitions.
(a) ``Record'' means any document, collection, or grouping of
information about an individual maintained by the Foundation, including
but not limited to information regarding education, financial
transactions, medical history, criminal or employment history, or any
other personal information which contains the name or personal
identification number, symbol, photograph, or other identifying
particular assigned to such individual, such as a finger or voiceprint.
(b) ``System of Records'' means a group of any records under the
control of the Foundation from which information is retrieved by use of
the name of an individual or by some identifying particular assigned to
the individual.
(c) ``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.
(d) The term ``Foundation'' means the African Development Foundation
or any component thereof.
(e) The term ``individual'' means any citizen of the United States or
an alien lawfully admitted to permanent residence.
(f) The term ``maintain'' includes the maintenance, collection, use or
dissemination of any record.
(g) The term ``Act'' means the Privacy Act of 1974 (5 U.S.C. 552a) as
amended from time to time.
Sec. 1507.4 Conditions of disclosure.
The Foundation will not disclose any record contained in a system of
records by any means of communication to any person or any other agency
except by written request or prior written consent of the individual to
whom the record pertains or his or her agent or attorney, unless such
disclosure is:
(a) To those officers and employees of the Foundation who have a need
for the records in the official performance of their duties;
(b) Required under the Freedom of Information Act (5 U.S.C. 552);
(c) For a routine use of the record compatible with the purpose for
which it was collected;
(d) To the Bureau of the Census for purpose of planning or carrying
out a census or survey or related activity pursuant to Title 13, United
States Code;
(e) To a recipient who has provided the Foundation with advance
adequate written assurance that the record will be used solely as a
statistical research or reporting record, and the record is to be
transferred to a form that is not individually identifiable;
(f) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the U.S. Government, or for evaluation by the
Administrator of General Services, or designee, to determine whether the
record has such value;
(g) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law, and if the head of the agency or instrumentality has made a
written request to the Foundation specifying the particular portion
desired and the law enforcement activity for which the record is sought;
(h) To a person, pursuant to a showing of compelling circumstances
affecting the health or safety of an individual, if, promptly following
such disclosure, notification is transmitted to the last known address
of the individual to whom the record pertains;
(i) To either House of Congress, or, to the extent of matters within
its jurisdiction, any committee or subcommittee thereof, any joint
committee of Congress or subcommittee of any such joint committee;
(j) To the Comptroller General, or any authorized representative, in
the course of the performance of the duties of the General Accounting
Office; or
(k) Pursuant to the order of a court of competent jurisdiction. If any
record disclosed under compulsory legal process is subsequently made
public by the court which issued it, the Foundation must make a
reasonable effort to notify the individual to whom the record pertains
of such disclosure.
(l) To consumer reporting agencies as defined in 31 U.S.C. 370(a)(3)
in accordance with 31 U.S.C. 3711, and under contracts for collection
services as authorized in 31 U.S.C. 3718.
Sec. 1507.5 Accounting for disclosure of records.
(a) With respect to each system of records under ADF control, the
Foundation will keep an accurate accounting of routine disclosures,
except those made to employees of the Foundation in the normal course of
duties or pursuant to the provisions of the Freedom of Information Act.
Such accounting shall contain the following:
(1) The date, nature and purpose of each disclosure, and the name and
address of the person or agency to whom the disclosure is made:
(2) Sufficient information to permit the construction of a listing of
all disclosures at appropriate periodic intervals; and
(3) The justification or basis upon which any release was made
including any written documentation required.
(b) The Foundation will retain the accounting made under this section
for at least 5 years or the life of the record, whichever is longer,
after the disclosure for which the accounting is made.
(c) Except for disclosure made under paragraph (g) of Sec. 1503.3, the
Foundation will make the accounting under paragraph (a) of this section
available to the individual named in the record at his or her request.
(d) The Foundation will inform any person or other agency about any
correction or notation of dispute made by the agency of any record that
has been disclosed to the person or agency if an accounting of the
disclosure was made.
Sec. 1507.6 Access to records.
(a) Except as otherwise provided by law or regulation, any individual,
upon request made either in writing or in person during regular business
hours, shall be provided access to his or her record or to any
information pertaining to him or her which is contained in a system of
records maintained by the Foundation. The individual will be permitted
to review the record and have a copy made of all or any portion thereof
in a form comprehensible to him or her. Nothing in 5 U.S.C. 552a,
however, allows an individual access to any information compiled in
reasonable anticipation of a civil action or proceeding.
(b) An individual will be notified, upon request, if any Foundation
system of records contains a record pertaining to him or her. Such
request may be made in person during regular business hours, or in
writing over the signature of the person making the request. Individuals
requesting the information will be required to identify themselves by
providing their names, addresses, and a signature. If they are
requesting disclosure in person, they are also required to show an
identification card, such as a drivers license, containing a photo and a
sample signature. If the request is received through the mail, the
Foundation may request such information as may be necessary to assure
that the requesting individual is properly identified. This may include
a requirement that the request be notarized with a notation that the
notary received an acknowledgement of identity from the requester.
(c) A record may be disclosed to a representative of the person to
whom a record relates when the representative is authorized in writing
by such person to have access.
(d) Requests for access to or copies of records should contain, at a
minimum, identifying information needed to locate any given record, and
a brief description of the item or items of information required. If the
individual wishes access to specific documents, the request should
identify or describe, as nearly as possible, such documents. The request
should be made to the Director, Administration and Finance, African
Development Foundation, 1625 Massachusetts Avenue NW, Suite 600,
Washington, DC 20036. Personal contacts should normally be made during
the regular duty hours of the officer concerned, which are 8:30 a.m. to
5 p.m. Monday through Friday.
(e) A request made in person will be promptly complied with if the
records sought are in the immediate custody of the Foundation. Mail or
personal requests for documents which are not in the immediate custody
of ADF or which are otherwise not immediately available, will be
acknowledged within ten working days of receipt, and the records will be
provided as promptly thereafter as possible.
(f) Special procedures may be established by the President of the
Foundation governing the disclosure to an individual of his or her
medical records, including psychological records.
(g) Any individual may request the Director, Administration and
Finance, to amend any Foundation record pertaining to him or her. Not
later than 10 working days after the date of receipt of such request,
the Director, Administration and Finance, or his/her designee, will
acknowledge such receipt in writing. Promptly after acknowledging
receipt of a request, the Director, Administration and Finance or his/
her designee will:
(1) Correct any portion of the record which the individual believes is
not accurate, relevant, timely, or complete; or
(2) Inform the individual of the Foundation's refusal to amend the
record in accordance with the request, the reason for the refusal, the
procedures by which the individual may request a review of that refusal
by the President of the Foundation, or his/her designee, and the name
and address of such official; or
(3) Refer the request to the agency that has control of and maintains
the record when the record requested is not the property of the
Foundation, but of the controlling agency.
(h) Any individual who disagrees with the refusal of the Director,
Administration and Finance to amend his or her record may request a
review of that refusal. Such request for review must be made within 30
days after receipt by the requester of the initial refusal to amend. The
President of the Foundation, or designee, will complete such review not
later than 30 working days from the date on which the individual
requests such review, and make a final determination, unless for good
cause shown, the President or designee extends such 30-day period and
notifies the requester in writing that additional time is required to
complete the review. If, after review, the President or designee refuses
to amend the record in accordance with the request, the individual will
be advised of the right to file with the Foundation a concise statement
setting forth the reasons for his or her disagreement with the refusal,
and also advised of the provisions in the Act for judicial review of the
President's determination.
(i) In any disclosure containing information about which the
individual has filed a statement under paragraph (g) of this section,
the Foundation will clearly note any part of the record which is
disputed and provide copies of the statement and, if the Foundation
deems it appropriate, copies of a concise statement of the Foundation's
reasons for not making the amendment requested, to persons or other
agencies to whom the disputed record has been disclosed.
Sec. 1507.7 Contents of records systems.
(a) The Foundation will maintain in its records only such information
about an individual as is accurate, relevant, and necessary to
accomplish the purpose for which it was acquired as authorized by
statute or Executive Order.
(b) The Foundation will collect information, to the greatest extent
practicable, directly from the individual to whom the record pertains
when the information may result in adverse determinations about the
individual's rights, benefits and privileges under Federal programs.
(c) The Foundation will inform each individual whom it asks to supply
information on any form which it uses to collect the information, or on
a separate form that can be retained by the individual, of:
(1) The authority which authorizes the solicitation of the information
and whether provision of such information is mandatory or voluntary;
(2) The purpose or purposes for which the information is intended to
be used;
(3) The routine uses which may be made of the information, as
published pursuant to paragraph (d) of this section; and
(4) The effects on the individual, if any, of not providing all or any
part of the requested information.
(d) Subject to the provisions of paragraph (k) of this section, the
Foundation will publish in the Federal Register, at least a notice of
the existence and character of its sytem(s) of records upon
establishment or revision. This notice will include:
(1) The name and location of the system or systems;
(2) The categories of individuals on whom records are maintained in
the system or systems;
(3) The categories of records maintained in the system or systems;
(4) Each routine use of the records contained in the system or
systems, including the categories of users, and the purpose of such use;
(5) The policies and practices of the Foundation regarding storage,
retrievability, access controls, retention, and disposal of the record;
(6) The title and business address of the Foundation official or
officials responsible for the system or systems of records;
(7) The Foundation's procedures whereby an individual can be notified
at his or her request if the system or systems of records contains a
record pertaining to him or her;
(8) The Foundation's procedures whereby an individual can be notified
at him or her request how he or she can gain access to any record
pertaining to him or her contained in the system or systems of records,
and how he or she can contest its content; and
(9) The categories of sources of records in the system or systems.
(e) All records used by the Foundation in making any determination
about any individual will be maintained with such accuracy, relevance,
timeliness, and completeness as is reasonably necessary to assure
fairness to the individual in the determination.
(f) Before disseminating any record about an individual to any person
other than an agency or pursuant to 5 U.S.C. 552, the Foundation will
make reasonable efforts to assure that such records are accurate,
complete, timely, and relevant for Foundation purposes.
(g) The Foundation will maintain no record describing how any
individual exercises rights guaranteed by the First Amendment of the
Constitution of the United States unless expressly authorized by statute
or by the individual about whom the record is maintained, or unless
pertinent to, and within the scope of, an authorized law enforcement
activity.
(h) The Foundation will establish rules of conduct for persons
involved in the design, development, operation, or maintenance of any
system of records, or in maintaining any record. Each such person will
be instructed regarding such rules and the requirements of 5 U.S.C.
552a. The instruction will include any other rules and procedures
adopted pursuant to 5 U.S.C. 552a, and the penalties provided for
noncompliance.
(i) The Foundation will establish appropriate administrative,
technical, and physical safeguards to insure the security and
confidentiality of records and to protect against any anticipated
threats or hazards to their security or integrity which could result in
substantial harm, embarrassment, inconvenience, or unfairness to any
individual on whom information is maintained.
(j) At least 30 days prior to the publication of the notice in the
Federal Register regarding the routine use of the records contained in
the Foundation's system or systems of records, including the categories
of users and the purpose of such use pursuant to paragraph (d) of this
section, the Foundation will also:
(1) Publish a notice in the Federal Register of any new or revised use
of the information in the system or systems maintained by the
Foundation; and
(2) Provide an opportunity for interested persons to submit written
data, views, or arguments to the Foundation.
Sec. 1507.8 Fees.
Fees to be charged, if any, to any individual for making copies of his
or her record will be as follows:
(a) Photocopy reproductions from all types of copying processes, each
reproduction image, $0.10 per page.
(b) Where the Foundation undertakes to perform for an individual
making a request, or for any other person, services which are very
clearly not required to be performed under section 552a, Title 5, United
States Code, either voluntarily or because such services are required by
some other law (e.g., the formal certification of records as true
copies, attestation under the seal of the Foundation, etc.), the
question of charging fees for such services will be determined by the
Director of Administration and Finance, in light of the Federal user
charge statute (31 U.S.C. 483a), and any other applicable law.
(c) No fees shall be charged for search time expended by the
Foundation to produce a record.
Sec. 1507.9 Judicial review.
Any person may file a complaint against the Foundation in the
appropriate U.S. district court, as provided in 5 U.S.C. 552a(g),
whenever the Foundation:
(a) Makes a determination not to amend an individual's record in
accordance with his or her request, or fails to make such review in
conformity with that section; or
(b) Refuses to comply with an individual's request; or
(c) Fails to maintain any record concerning an individual with such
accuracy, relevance, timeliness, and completeness as is necessary to
assure fairness in any determination relating to the qualifications,
character, rights or opportunities of, or benefits to the individual
that may be made on the basis of such record, and consequently a
determination is made which is adverse to the individual; or
(d) Fails to comply with any other provision of 5 U.S.C. 552a, or any
Foundation regulation promulgated thereunder, in any such a way as to
have an adverse effect on an individual.
Sec. 1507.10 Exemptions.
No Foundation system or systems of records, as such, are exempted from
the provisions of 5 U.S.C. 552a, as permitted under certain conditions
by 5 U.S.C. 552a(j) and (k).
Sec. 1507.11 Mailing list.
An individual's name and address may not be sold or rented by the
Foundation unless such action is specifically authorized by law. This
section does not require the withholding of names and addresses
otherwise permitted to be made public.
Sec. 1507.12 Criminal penalties.
Section 552a(e), Title 5, United States Code, provides that:
(a) Any officer or employee of the Foundation, who, by virtue of his
or her employment or official position, has possession of, or access to,
Foundation records which contain individually identifiable information,
the disclosure of which is prohibited by 5 U.S.C. 552a, and who knowing
that disclosure of the specific material is so prohibited, willfully
discloses the material in any manner to any person or agency not
entitled to receive it, shall be guilty of a misdemeanor and fined not
more than $5,000.
(b) Any officer or employee of the Foundation who willfully maintains
a system of records without meeting the notice requirements of 5 U.S.C.
552a(e)(4) shall be guilty of a misdemeanor and fined not more than
$5,000.
(c) Any person who knowingly and willfully requests or obtains any
record concerning an individual from the Foundation under false
pretenses shall be guilty of a misdemeanor and fined not more than
$5,000.
Sec. 1507.13 Reports.
(a) The Foundation shall provide to Congress and the Office of
Management and Budget advance notice of any proposal to establish or
alter any system or records as defined herein. This report will be
submitted in accordance with guidelines provided by the Office of
Management and Budget.
(b) If at any time Foundation system or systems of records is
determined to be exempt from the application of 5 U.S.C. 552a in
accordance with the provisions of 5 U.S.C. 552a(j) and (k), the records
contained in such system or systems will be separately listed and
reported to the Office of Management and Budget in accordance with the
then prevailing guidelines and instructions of that office.