[Privacy Act Issuances (2003)]
[From the U.S. Government Publishing Office, www.gpo.gov]
OCCUPATIONAL SAFETY AND HEALTH REVIEW COMMISSION
TABLE OF CONTENTS
Table of Contents
Blanket Routine Uses
OSHRC-1 Travel Records
OSHRC-2 Mailing Lists for News Releases, Speeches, Booklets, Reports
OSHRC-3 Applications for Employment
OSHRC-4 Payroll and Related Records
OSHRC-5 Cases Pending in General Counsel's Office
OSHRC-6 Case Management/Tracking System
Blanket Routine Uses
In addition to the disclosures generally permitted under 5 U.S.C.
552a(b), including the specific routine uses set forth for each
system of records, the Review Commission may disclose a record or
information in a Privacy Act system of records under 5 U.S.C. 552 as
provided below.
(1) It shall be a blanket routine use of the records in the
Review Commission's systems of records to disclose them to the
Department of Justice when--
(a) The Review Commission, or any of its components, or
(b) Any employee of the Review Commission in his or her official
capacity, or
(c) Any employee of the Review Commission in his or her
individual capacity where the Review Commission has agreed to
represent the employee, or
(d) The United States, where the Review Commission determines
that litigation is likely to affect the Review Commission or any of
its components, is a party to litigation or has an interest in such
litigation, and the use of such records by the Department of Justice
is deemed by the Review Commission to be relevant and necessary to
the litigation. In each case of disclosing records to the Department
of Justice, the Review Commission must determine that the department
is using the information contained in the records for a purpose that
is compatible with the purpose for which the records were collected.
(2) It shall be a blanket routine use of the records contained in
the systems of records maintained by the Review Commission to
disclose them in a proceeding before a court or adjudicative body
before which the Review Commission is authorized to appear, when--
(a) The Review Commission, or any component thereof, or
(b) Any employee of the Review Commission in his or her official
capacity, or
(c) Any employee of the Review Commission in his or her
individual capacity where the Review Commission has agreed to
represent the employee, or
(d) The United States, where the Review Commission determines
that litigation is likely to affect the Review Commission or any of
its components, is a party to litigation or has an interest in such
litigation, and the use of such records by the Department of Justice
is deemed by the Review Commission to be relevant and necessary to
the litigation. In each case of disclosing records to the Department
of Justice, the Review Commission must determines that the department
is using the information contained in the records for a purpose that
is compatible with the purpose for which the records were collected.
(3) In the event that a system of records maintained by this
agency to carry out its functions indicates a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or order issued pursuant
thereto, the relevant records in the system of records may be
referred, as a blanket routine use to the appropriate agency, whether
federal, state, local, or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
(4) A record from a Review Commission system of records may be
disclosed as a blanket routine use to a federal, state or local
agency maintaining civil, criminal or other relevant enforcement
information, such as current licenses, if necessary to obtain
information relevant to an agency decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
letting of a contract, or the issuance of a license, grant or other
benefit.
(5) A record from the Review Commission system of records may be
disclosed as a blanket routine use to a federal agency, in response
to its request, in connection with the hiring or retention of an
employee, the issuance of a security clearance, the reporting of an
investigation of any employee, the letting of a contract, or the
issuance of a license, grant or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision in the matter.
(6) A record from a Review Commission system of records may be
disclosed as a blanket routine use to an authorized appeal grievance
examiner, formal complaints manager, equal employment opportunity
investigator, arbitrator or other duly authorized official engaged in
investigation or settlement of a grievance, complaint, or appeal
filed by an employee.
(7) A record from a Review Commission system of records may be
disclosed as a blanket routine use to the United States Office of
Personnel Management in accordance with the agency's responsibility
for evaluation and oversight of federal personnel management.
(8) A record from a Review Commission system of records may be
disclosed as a blanket routine use to officers and employees of a
federal agency for purposes of audit.
(9) The information contained in a Review Commission system of
records will be disclosed to the Office of Management and Budget in
connection with the review of private relief legislation as set forth
in OMB Circular No. A-19 at any stage of the legislative coordination
and clearance process as set forth in that circular.
(10) A record in a Review Commission system of records may be
disclosed as a routine use to a Member of Congress or to a
Congressional staff member in response to a request from the
individual about whom the record is maintained.
(12) A record in a Review Commission system of records may be
disclosed to officers and employees of the General Services
Administration in connection with administrative services provided to
this Agency under agreement with GSA.
OSHRC-1
System name:
Travel Records.
System location:
Office of Financial and Administrative Services, OSHRC, 1120 20th
St., NW, Washington, DC 20036-3457.
Categories of individuals covered by the system:
Names of persons who use Review Commission funds for travel.
Categories of records in the system:
This system of records shows all places to which travel was
accomplished and the costs of such travel including subsistence
costs.
Authority for maintenance of the system:
29 U.S.C. 651 et seq.
Purpose(s):
For budgetary purposes within the agency and for reporting to
Members of Congress.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosures may be made under this system:
1. To agency employees for budget preparation purposes.
2. To Members of Congress in their oversight capacity.
3. To other agencies, as appropriate
4. See Blanket Routine uses.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Stored on paper in file cabinets.
Retrievability:
Retrievable manually by name.
Retention and disposal:
Maintained for 10 years.
Safeguards:
Records are maintained in file cabinets. During duty hours, file
cabinets are under surveillance of personnel charged with custody of
the records and after duty hours, are behind locked doors. Access to
the cabinets is limited to personnel having a need for access to
perform their official functions.
System manager(s) and address:
Director, Office of Financial and Administrative Services, 1120
20th St., NW, Washington, DC 20036-3457.
Notification procedure:
Individuals interested in inquiring about their records should
notify: Executive Director, OSHRC; 1120 20th St., NW., Washington, DC
20036-3457.
Record access procedures:
Individuals who wish to gain access to their records should
notify: Executive Director, OSHRC; 1120 20th St., NW., Washington, DC
20036-3457.
Contesting record procedures:
Individuals who wish to contest their records should notify:
Executive Director, OSHRC; 1120 20th St., NW., Washington, DC 20036-
3457.
Record source categories:
Information in this system of records comes from the individual
to whom it applies.
Exemptions claimed for the system:
None.
OSHRC-2
System name:
Mailing Lists for News Releases, Speeches, Booklets, Reports.
System location:
Public Information Office, OSHRC, 1120 20th St., NW., Washington,
DC 20036-3457.
Categories of individuals covered by the system:
Names of all persons who are sent information about OSHRC.
Categories of records in the system:
This system of records contains individuals' addresses, business
affiliations, and the information they desire to receive.
Authority for maintenance of the system:
29 U.S.C. 651 et seq.
Purpose(s):
To mail information to requesters relating to hiring of
personnel, case dispositions, procedures, speeches, and statistical
reports.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosures may be made under this system:
1. To agency employees for information dissemination purposes.
2. To other agencies, as appropriate.
3. See Blanket Routine uses.
Disclosures to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Stored on paper in file cabinets and on personal computer.
Retrievability:
Retrievable manually and electronically by name.
Retention and disposal:
Maintained indefinitely unless the individuals requests that his/
her reference be deleted and then that reference is disposed of
immediately.
Safeguards:
Paper records are maintained in file cabinets, which, during duty
hours, are under surveillance of personnel charged with custody of
the records and after duty hours, are behind locked doors. Access to
the cabinets is limited to personnel having a need for access to
perform their official functions. Electronic records are on personal
computers maintained in offices under surveillance of personnel
charged with custody of the records, and after duty hours, personal
computers are behind locked doors. Access to personal computers is
limited to personnel having a need for access to perform their
official functions and is additionally restricted through password
identification procedures.
System manager(s) and address:
Public Information Officer, 1120 20th St., NW., Washington, DC
20036-3457.
Record access procedures:
Individuals who wish to gain access to their records should
notify: Executive Director, OSHRC; 1120 20th St., NW., Washington, DC
20036-3457.
Notification procedure:
Individuals interested in inquiring about their records should
notify: Executive Director, OSHRC; 1120 20th St., NW., Washington, DC
20036-3457.
Contesting record procedures:
Individuals who wish to contest their records should notify:
Executive Director, OSHRC; 1120 20th St., NW., Washington, DC 20036-
3457.
Record source categories:
Information in this system either comes from the individual to
whom it applies or was derived from private source directories.
Exemptions claimed for the system:
None.
OSHRC-3
System name:
Applications for Employment.
System location:
Personnel Office, 1120 20th Street NW., Washington, DC 20036-
3457.
Categories of individuals covered by the system:
All those desiring employment with OSHRC who have submitted a
Form 171, resume, or other application.
Categories of records in the system:
This system of records contains information relating to (1)
applicants' name, (2) birth date, (3) veterans preference, (4)
tenure, (5) past and present salaries, (6) grades (7) position title,
(8) awards and (9) other information relating to the status of an
individual, as well as (10) education and (11) test scores.
Authority for maintenance of the system:
5 U.S.C. 3301; 1302.
Purpose(s):
To refer applications to those offices within the agency having
position vacancies.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosures may be made under this system:
1. To agency personnel with personnel vacancies.
2. See Blanket Routine uses.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are maintained in folders.
Retrievability:
Retrievable manually by applicant's name.
Retention and disposal:
Maintained up to one year and then are destroyed.
Safeguards:
Records are maintained in file cabinets. During duty hours, file
cabinets are under surveillance of personnel charged with custody of
the records and after duty hours, are behind locked doors. Access to
the cabinets is limited to personnel having a need for access to
perform their official functions.
System manager(s) and address:
Personnel Management Specialist, 1120 20th St., NW., Washington,
DC 20036-3457.
Record access procedures:
Individuals who wish to gain access to their records should
notify: Executive Director, OSHRC; 1120 20th St., NW., Washington, DC
20036-3457.
Notification procedure:
Individuals interested in inquiring about their records should
notify: Executive Director, OSHRC; 1120 20th St., NW., Washington, DC
20036-3457.
Contesting record procedures:
Individuals who wish to contest their records should notify:
Executive Director, OSHRC; 1120 20th St., NW., Washington, DC 20036-
3457.
Record source categories:
Information in this system comes from the individual to whom it
applies.
Exemptions claimed for the system:
None.
OSHRC-4
System name:
Payroll and Related Records.
System location:
(1) Office of Financial and Administrative Services, 1120 20th
St., NW., Washington, DC 20036-3457; and (2) United States Department
of Agriculture's National Finance Center, PO Box 60000, New Orleans,
LA 70160. NFC maintains records for OSHRC under interagency
agreement.
Categories of individuals covered by the system:
Current and former employees of OSHRC, including Commission
members.
Categories of records in the system:
Various payroll records, including, among other documents: time
and attendance cards; payment vouchers; comprehensive listings of
employees; health benefits records; transit benefit records; requests
for deductions; tax forms; W-2 forms; overtime requests; leave data;
and retirement records.
Authority for maintenance of the system:
31 U.S.C., generally. Also 29 U.S.C. 651, et seq.
Purpose(s):
Records are used by OSHRC and NFC employees to maintain adequate
payroll information for OSHRC employees and members, and otherwise by
OSHRC and NFC employees who have a need for the record in the
performance of their duties.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosures may be made under this system:
1. See Blanket Routine uses.
2. Records are also disclosed to GAO for audits; to the Internal
Revenue Service for investigation; and to private attorneys, pursuant
to a power of attorney.
3. A copy of an employee's Department of the Treasury Form W-2,
Wage and Tax Statement, also is disclosed to the state, city, or
other local jurisdiction which is authorized to tax the employee's
compensation. The record will be provided in accordance with a
withholding agreement between the state, city, or other local
jurisdiction and the Department of the Treasury pursuant to 5 U.S.C.
5516, 5517, or in the absence thereof, in response to a written
request from an appropriate official of the taxing jurisdiction to
the OSHRC Director of the Office of Financial and Administrative
Services. The request must include a copy of the applicable statute
or ordinance authorizing the taxation of compensation and should
indicate whether the authority of the jurisdiction to tax the
employee is based on place of residence, place of employment, or
both.
4. Pursuant to a withholding agreement between a city and the
Department of the Treasury (5 U.S.C. 5220), copies of executed city
tax withholding certifications shall be furnished the city in
response to written requests from an appropriate city official to the
Director of the Office of Financial and Administrative Services.
5. In the absence of a withholding agreement, the Social Security
number will be furnished only to a taxing jurisdiction which has
furnished this agency with evidence of its independent authority to
compel disclosure of the Social Security Number, in accordance with
Section 7 of the Privacy Act, Pub. L. 93-579.
Disclosure to consumer reporting agencies:
Disclosures may be made from this system to ``consumer reporting
agencies'' as defined in the Fair Credit Reporting Act (15 U.S.C.
1781a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)) in accordance with 31 U.S.C. 3711(f).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Duplicate records are stored on paper and on microfiche at OSHRC
offices, 1120 20th St., NW., Washington, DC 20036-3457, and at the
offices of the NFC, where records are also stored on computer file
server.
Retrievability:
Retrievable manually and electronically by Social Security Number
and name.
Retention and disposal:
Retained and disposed of in accordance with the National Archives
and Records Administration's General Records Schedule requirements
for payroll-related records.
Safeguards:
Paper and microfiche records are maintained in file cabinets,
which, during duty hours, are under surveillance of personnel charged
with custody of the records and after duty hours, are behind locked
doors. Access to the cabinets is limited to personnel having a need
for access to perform their official functions. Electronic records
are on computer file server maintained in an office under
surveillance of personnel charged with custody of the records. In
addition, the server is located in a locked room which requires a
coded password for access. Server access requires network
authentication at the server and application levels.
System manager(s) and address:
Personnel Management Specialist, 1120 20th St., NW., Washington,
DC 20036-3457.
Notification procedure:
Individuals interested in inquiring about their records should
notify: Executive Director, OSHRC; 1120 20th St., NW., Washington, DC
20036-3457.
Record access procedures:
Individuals who wish to gain access to their records should
notify: Executive Director, OSHRC; 1120 20th St., NW., Washington, DC
20036-3457.
Contesting record procedures:
Individuals who wish to contest their records should notify:
Executive Director, OSHRC; 1120 20th St., NW., Washington, DC 20036-
3457.
Record source categories:
Information in this system either comes from the individual to
whom it applies or is derived from information compiled by Commission
employees performing administrative duties.
Exemptions claimed for the system:
None.
OSHRC-5
System name:
Cases Pending in General Counsel's Office.
System location:
Office of the General Counsel, 1120 20th Street NW., Washington,
DC 20036-3457.
Categories of individuals covered by the system:
OSHRC attorneys (including supervisory attorneys) who have been
assigned cases by OGC.
Categories of records in the system:
This system of records contains cases before the Review
Commission which have been assigned to OGC for processing. It
identifies (1) the case name; (2) the case docket number; (3) the
attorneys (including supervising attorneys) who most recently have
been assigned to work on the case; and (4) the most recent dates of
the various stages in the progress of the case, starting with
assignment to OGC and ending with issuance of a decision.
Authority for maintenance of the system:
29 U.S.C. 661(d).
Purpose(s):
To make management decisions with respect to case processing
activities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosures may be made under this system:
1. To the Chairman.
2. To the Executive Director.
3. To the General Counsel.
For use in making management decisions with respect to case
processing and agency administration.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained on personal computers and on paper in report form in
file cabinets.
Retrievability:
Retrievable manually and electronically by case name, docket
number, date of case activity, name of attorney or supervising
attorney.
Retention and disposal:
Maintained indefinitely on personal computer and paper reports
generated from the system are kept for as long as needed for case
management purposes.
Safeguards:
Paper records are maintained in file cabinets, which, during duty
hours, are under surveillance of personnel charged with custody of
the records and after duty hours, are behind locked doors. Access to
the cabinets is limited to personnel having a need for access to
perform their official functions. Electronic records are on personal
computers maintained in offices under surveillance of personnel
charged with custody of the records, and after duty hours, personal
computers are behind locked doors. Access to personal computers is
limited to personnel having a need for access to perform their
official functions and is additionally restricted through password
identification procedures.
System manager(s) and address:
General Counsel, 1120 20th St., NW., Washington, DC 20036-3457.
Notification procedure:
Individuals interested in inquiring about their records should
notify: Executive Director, OSHRC; 1120 20th St., NW., Washington, DC
20036-3457.
Record access procedures:
Individuals who wish to gain access to their records should
notify: Executive Director, OSHRC; 1120 20th St., NW., Washington, DC
20036-3457.
Contesting record procedures:
Individuals who wish to contest their records should notify:
Executive Director, OSHRC; 1120 20th St., NW., Washington, DC 20036-
3457.
Record source categories:
Information in this system is derived from the individual to whom
it applies or is derived from case processing records maintained by
the Office of the Executive Secretary and the Office of the General
Counsel.
Exemptions claimed for the system:
None.
OSHRC-6
System name:
Case Management/Tracking System.
System location:
Information Technology Office, 1120 20th Street NW., Washington,
DC 20036-3457.
Categories of individuals covered by the system:
This system lists the events in cases before Review Commission
Administrative Law Judges and Commission members. It lists: (1) The
names of Administrative Law Judges (ALJ); (2) the names of attorneys;
(3) the names of Commission members; (4) events occurring in cases
and the dates on which they occurred; (5) documents filed in cases
and the dates on which they were filed; (7) the names of persons who
entered each case record, the dates of entries as well as when it was
last modified.
Categories of records in the system:
It lists: (1) The names of Administrative Law Judges (ALJ); (2)
the names of attorneys; (3) the names of Commission members; (4)
events occurring in cases and the dates on which they occurred; (5)
documents filed in cases and the dates on which they were filed; (7)
the names of persons who entered each case record, the dates of
entries and; (8) when a record was last modified.
Authority for maintenance of the system:
29 U.S.C. 661(d).
Purpose(s):
For administrative purposes.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosures may be made under this system:
1. To agency management officials for use in making management
decisions with respect to case processing and agency administration.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic records stored on computer file server; paper in
report form stored in binders.
Retrievability:
Retrievable electronically and manually by individual name, case
docket number, case name or computer assigned reference code.
Retention and disposal:
Maintained indefinitely on computer file server, and paper
reports generated from the system are kept for as long as needed for
administrative purposes.
Safeguards:
Computer file server located in locked room which requires a
coded password for access. Access to the server is limited to
personnel having a need for access to perform their official
functions. In addition, server access requires network authentication
at the server and application levels. Paper records are maintained in
file cabinets, which, during duty hours, are under surveillance of
personnel charged with custody of the records and after duty hours,
are behind locked doors. Access to the cabinets is limited to
personnel having a need for access to perform their official
functions.
System manager(s) and address:
Computer Specialist, 1120 20th St., NW., Washington, DC 20036-
3457.
Notification procedure:
Individuals interested in inquiring about their records should
notify: Executive Director, OSHRC; 1120 20th St., NW., Washington, DC
20036-3457.
Record access procedures:
Individuals who wish to gain access to their records should
notify: Executive Director, OSHRC; 1120 20th St., NW., Washington, DC
20036-3457.
Contesting record procedures:
Individuals who wish to contest their records should notify:
Executive Director, OSHRC; 1120 20th St., NW., Washington, DC 20036-
3457.
Record source categories:
Information in this system is derived from the individual to whom
it applies or is derived from case processing records maintained by
the Office of the Executive Secretary and the Office of the General
Counsel or from information provided by the parties who appear before
the Review Commission.
Exemptions claimed for the system:
None.
OCCUPATIONAL SAFETY AND HEALTH REVIEW COMMISSION
Title 29--Labor
CHAPTER XX--OCCUPATIONAL SAFETY AND HEALTH REVIEW COMMISSION
PART 2400--REGULATIONS IMPLEMENTING THE PRIVACY ACT
Sec.
2400.1 Purpose and scope.
2400.2 Description of agency.
2400.3 Delegation of authority.
2400.4 Collection and disclosure of personal information.
2400.5 Notification.
2400.6 Procedures for requesting records.
2400.7 Procedures for requesting amendment.
2400.8 Schedule of fees.
2400.9 Exemptions.
Authority: Sec. 3(f), Privacy Act of 1974 (5 U.S.C. 552a(f), 88 Stat.
1896, 1900), and 5 U.S.C. 553.
Source: 44 FR 3968, Jan. 19, 1979, unless otherwise noted.
Sec. 2400.1 Purpose and scope.
The purpose of the provisions of this part is to provide procedures to
implement the Privacy Act of 1974 (5 U.S.C. 552a). The following
provisions are applicable only to such items of information as relate to
the agency or are within its custody. The Commission's custody
encompasses all information which is kept by an agent by contract with
the agency. They are not applicable to the rights of parties appearing
in adversary proceedings before the Commission to obtain discovery from
an adverse party. Such matters are governed by the Commission's rules of
procedure which are published at 29 CFR 2200.1 et seq. This part is
intended to protect individual privacy, and affects all personal
information collection and usage activity of the agency.
Sec. 2400.2 Description of agency.
The Occupational Safety and Health Review Commission (OSHRC)
adjudicates contested enforcement actions under the Occupational Safety
and Health Act of 1970 (29 U.S.C. 651-677). Decisions of the Commission
on such actions are issued only after the parties to the case are
afforded an opportunity for a hearing in accordance with section 554 of
Title 5, United States Code. All such hearings are conducted by an OSHRC
Administrative Law Judge at a place convenient to the parties and are
open to the public. Each Commission member has the authority to direct
that a decision of a Judge be reviewed by the full Commission before
becoming a final order.
Sec. 2400.3 Delegation of authority.
(a) The Executive Director shall insure agency-wide compliance with
this policy.
(b) Custodians are responsible for adherence to this part within their
respective units and in particular for their collection, use and
disclosure of personal information, and for affording individuals the
right to inspect, obtain copies of and correct records concerning them.
They are responsible for reporting the existence of personal records
systems, changes to the contents of those systems and changes of routine
use to the Executive Director, and also for establishing the relevancy
of information within those systems.
Sec. 2400.4 Collection and disclosure of personal information.
(a) The following rules govern the collection of personal information
throughout OSHRC operations:
(1) The OSHRC shall:
(i) Solicit, collect and maintain only such personal information as is
relevant and necessary to accomplish a purpose required by statute or
Executive Order.
(ii) Collect information, to the greatest extent practicable, directly
from the subject individual when such information may result in adverse
determinations about an individual's rights, benefits or privileges.
(iii) Inform any individual requested to disclose personal information
whether that disclosure is mandatory or voluntary, by what authority it
is solicited, the principal purposes for which it is intended to be
used, the routine uses which may be made of it, and any penalties or
consequences known to the OSHRC which shall result to the individual
from such non-disclosure.
(2) OSHRC shall not discriminate against any individual who fails to
provide personal information unless that information is required or
necessary for the conduct of the system or program in which the
individual desires to participate. See Sec. 2400.4(a)(1)(i).
(3) No information shall be collected or maintained which describes
how individuals exercise rights guaranteed by the First Amendment unless
the Commission specifically determines that such information is relevant
and necessary to carry out a statutory purpose of the OSHRC, and the
collection is expressly authorized by statute or by the individual about
whom the record is maintained.
(4) OSHRC shall not require disclosure of any individual's Social
Security account number or deny a right, privilege or benefit because of
the individual's refusal to disclose the number unless disclosure is
required by Federal law.
(b) Disclosures. (1) Limitations. OSHRC shall not disseminate personal
information unless reasonable efforts have been made to assure that the
information is accurate, complete, timely and relevant and
(i) The individual to whom the record pertains has requested in
writing that the information be disseminated, or
(ii) It has obtained the prior written consent of the individual to
whom the record pertains, or
(iii) The dissemination is in accordance with paragraph (b)(2) of this
section.
(2) Dissemination of personal information may be made:
(i) To a person pursuant to a requirement of the Freedom of
Information Act (5 U.S.C. 552);
(ii) To those officers and employees of OSHRC who have a need for such
information in the performance of their duties;
(iii) For a routine use as contained in the system notices published
in the Federal Register;
(iv) To a recipient who has provided adequate advance written
assurance that the information shall be used solely as a statistical
reporting or research record, and to whom the information is transferred
in a form that is not individually identifiable;
(v) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
Title 13, U.S. Code;
(vi) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the United States Government, or for evaluation by the
Administrator of General Services or his designee to determine whether
the record has such value;
(vii) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual, if upon such disclosure
notification is transmitted to the last known address of such
individual;
(viii) To a federal agency or an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity, if such activity is
authorized by law and if the head of the agency or instrumentality has
made a written request to the OSHRC specifying the particular portion of
the record desired and the law enforcement activity for which the record
is sought;
(ix) To either House of Congress or its committees or subcommittees to
the extent of matter within their jurisdiction;
(x) To the Comptroller General or any of his authorized
representatives in the course of the performance of the duties of the
General Accounting Office;
(xi) Pursuant to the order of a court of competent jurisdiction;
(xii) To a congressional office from the record of an individual in
response to an inquiry from the congressional office made at the written
request of that individual. The consent implied from such a written
request applies only to congressional inquiries.
(3) Employee credit references. The Personnel Office shall verify the
following information provided by an employee to a credit bureau or
commercial firm from which an employee is seeking credit: Length of
service, job title, grade, salary, tenure of employment, and Civil
service status.
(4) Employee job references. Prospective employers of an OSHRC
employee or a former OSHRC employee may be furnished with the
information in Sec. 2400.4(b)(3) above, in addition to the date and
reason for separation if applicable, upon the request of the employee or
former employee.
(c) Correction disclosure. Any person or other agency to which a
personal record has been or is to be disclosed shall be informed of any
corrections or be provided copies of statements of dispute, and
notifications specifying the portions of the record relating thereto
affecting the accuracy, timeliness or relevance of that personal record.
(d) Record of disclosure. (1) An accurate accounting of each
disclosure shall be kept in all instances except those in which
disclosure is made to OSHRC employees in the performance of their duties
or is required by the Freedom of Information Act (5 U.S.C. 552), in
conformance with section 552a(c) of the Privacy Act.
(2) The accounting shall be maintained for at least five (5) years or
the life of the record, whichever is longer.
(3) The accounting shall be made available to the individual named in
the record upon inquiry, except for disclosures made pursuant to
paragraph (b)(2)(viii) of this section relating to law enforcement
activities.
Sec. 2400.5 Notification.
(a) Notification of systems.The following procedures permit
individuals to determine the types of personal records systems
maintained by OSHRC.
(1) Upon written request, OSHRC shall notify any individual whether a
specific system named by him contains a record pertaining to him. See
Sec. 2400.6 for suggested form of request.
(2) OSHRC shall publish annually in the Federal Register a notice of
existence and character of all personal systems of records. This notice
shall contain the following information:
(i) Name and location of the system,
(ii) Nature and purposes of the system,
(iii) Categories of individuals on whom records are maintained and
categories of records generally maintained in the system,
(iv) Confidentiality requirements and the extent to which access
controls apply to such information,
(v) OSHRC policies and standards regarding the safeguarding and
disclosure of information, retrievability of information, information
storage, duration of retention of information, and disposal of such
information from the system,
(vi) Each routine use made by OSHRC of the personal information
contained in the system, including the categories of users and the
purpose of the use,
(vii) Title and official address of the custodian,
(viii) Procedures by which an individual can be informed if a system
contains personal information pertaining to himself, gain access to such
information, and contest the content, accuracy, completeness,
timeliness, relevance and necessity for retention of the information,
(ix) Categories of sources of such personal information,
(x) System status--either developmental or operational.
(b) Notification of disclosure. OSHRC shall make reasonable efforts
to serve notice on an individual before any personal information is made
available to any person under compulsory legal process when such process
becomes a matter of public record.
(Also see Sec. 2400.4(b) (1)(ii) and (2)(vii).)
(c) Notification of amendment. (See Sec. 2400.7 relating to amendment
of records upon request.)
(d) Notification of new use. Any new or revised use of personal
information maintained by OSHRC shall be published in the Federal
Register thirty (30) days before such use becomes operational. Public
views may then be submitted to the Executive Director.
(e) Notification of exemptions. OSHRC shall publish in the Federal
Register its intent to exempt any system of records and shall specify
the nature and purpose of that system.
Sec. 2400.6 Procedures for requesting records.
The purpose of this section is to provide procedures by which an
individual may have access to personal information within a
comprehensive format.
(a) Submission of requests for access--(1) Manner. An individual
seeking information regarding the contents of records systems or access
to records about himself in a system of records should present a written
request to that effect either in person or by mail to the Executive
Director, OSHRC, One Lan fayette Centre, 1120-20th Street NW, 9th Floor,
Washington, DC 20036-3419. Access to OSHRC records maintained in
National Archives and Records Administration Centers may be obtained in
accordance with the regulations issued by the General Services
Administration.
(2) Specification of records sought. Requests for access to records
shall describe the nature of the record sought, the approximate dates
covered by the record, and the system in which the record is thought to
be included as described in the ``Notification'' for that system as
published in the Federal Register. The requester should also indicate
whether he wishes to review the record in person or obtain a copy by
mail. If the information supplied is insufficient to locate or identify
the record, the requester shall be notified promptly and, if necessary,
informed of additional information required. Upon request, OSHRC also
shall disclose to the individual an accounting of any disclosures made
from the individual's record.
(3) Period for response. Upon receipt of an inquiry the Executive
Director shall respond promptly to the request and no later than 10 days
from receipt of such inquiry.
(b) Verification of identity. The following standards are applicable
to any individual who requests records concerning himself.
(1) An individual seeking access to records about himself in person
may establish his identity by the presentation of a single document
bearing a photograph (such as a passport, employee identification card,
or valid driver's license) or by the presentation of two items of
identification which do not bear a photograph but do bear both a name
and address (such as a valid driver's license, or credit card).
(2) An individual seeking access to records about himself by mail
shall establish his identity by a signature, address, date of birth,
place of birth, employee identification number, if any, and one other
identifier such as a photocopy of an identifying document.
(3) An individual seeking access to records about himself by mail or
in person who cannot provide the necessary documentation of
identification may provide a notarized statement swearing or affirming
to his identity and to the fact that he understands the penalties for
false statements pursuant to 18 U.S.C. 1001. Forms for such notarized
statements may be obtained on request from the Executive Director.
(c) Verification of guardianship. The parent or guardian of a minor or
a person judicially determined to be incompetent and seeking to act on
behalf of such minor or incompetent shall, in addition to establishing
his own identity, establish the identity of the minor or other person he
represents as required in paragraph (b) of this section and establish
his own parentage or guardianship of the subject of the record by
furnishing either a copy of a birth certificate showing parentage or a
court order establishing the guardianship.
(d) Accompanying persons. An individual seeking to review records
about himself may be accompanied by another individual of his own
choosing. Both the individual seeking access and the individual
accompanying him shall be required to sign the required form indicating
that OSHRC is authorized to discuss the contents of the subject record
in the presence of both individuals.
(e) Special rules for medical records. Medical records shall be
disclosed to the requester to whom they pertain unless the Executive
Director, in consultation with a medical doctor named by the requesting
individual, determines that access to such record could have an adverse
effect upon such individual. In such a case, the Executive Director
shall transmit such information to the named medical doctor.
(f) When compliance is possible. (1) The Executive Director shall
inform the requester of the determination to grant the request and shall
make the record available to the individual in the manner requested,
that is, either by forwarding a copy of the information to him or by
making it available for review, unless:
(i) It is impracticable to provide the requester with a copy of a
record, in which case the requester shall be so notified, and, in
addition, be informed of the procedures set forth in paragraph (b)(2) of
this section, or
(ii) the responsible official has reason to believe that the cost of a
copy of a record is considerably more expensive than anticipated by the
requester, in which case he shall notify the requester of the estimated
cost, and ascertain whether the requester still wishes to be provided
with a copy of the information.
(2) Where a record is to be reviewed by the requester in person, the
disclosure officer shall inform the requester in writing of:
(i) The date on which the record shall become available for review,
the location at which it may be reviewed, and the hours for inspection;
(ii) the type of identification that shall be required in order for
him to review the record;
(iii) such person's right to have a person of his own choosing
accompany him to review the record; and
(iv) such person's right to have a person other than himself review
the record.
(3) If the requester seeks to inspect the record without receiving a
copy, he shall not leave OSHRC premises with the record and shall sign a
statement indicating he has reviewed a specific record or category of
record.
(g) Response when compliance is not possible. A reply denying a
written request to review a record shall be in writing signed by the
Executive Director or other appropriate official and shall be made only
if such a record does not exist or does not contain personal information
relating to the requester, or is exempt. This reply shall include a
statement regarding the determining factors of denial, and the right to
obtain judicial review in a district court of the United States.
[44 FR 3698, Jan. 19, 1979, as amended at 58 FR 26066, Apr. 30, 1993]
Sec. 2400.7 Procedures for requesting amendment.
(a) Submission of requests for amendment. Upon review of an
individual's personal record, that individual may submit a request to
amend such record. This request shall be submitted in writing to the
Executive Director and shall include a statement of the amendment
requested and the reasons therefor, e.g., relevance, accuracy,
timeliness or completeness of the record.
(b) Action to be taken by the Executive Director. Upon receiving an
amendment request, he or she shall promptly:
(1) Acknowledge in writing within ten (10) working days the receipt of
the request.
(2) Make such inquiry as is necessary to determine whether the
amendment is appropriate, and
(3) Correct or eliminate any information that is found to be
incomplete, inaccurate, not relevant to a statutory purpose of OSHRC, or
not timely and notify the requester when this action is complete, or
(4) Notify the requester of a determination not to amend and of the
individual's right to appeal not later than thirty (30) working days
after receipt of a request to amend.
(c) Appeal procedure. (1) If a request to inspect, copy or amend a
record is denied, in whole or in part, or if no determination is made
within the period prescribed by this part, the requester may appeal to
the Chairman, OSHRC, One Lafayette Centre, 1120-20th Street NW, 9th
Floor, Washington, DC 20036-3419.
(2) The requester shall submit his appeal in writing within thirty
(30) days of the date of denial, or within ninety (90) days of such
request if the appeal is from a failure of the Executive Director to
make a determination. The letter of appeal should include, as
applicable:
(i) Reasonable identification of the record to which access was sought
or the amendment of which was requested.
(ii) A statement of the OSHRC action or failure to act being appealed
and the relief sought.
(iii) A copy of the request, the notification of denial and of any
other related correspondence.
(3) The Chairman shall make his final determination not later than
thirty (30) days from the date of the request, unless he extends the
time for good cause to be shown by him but not to exceed ninety (90)
days from the date of the request. Any record found on appeal to be not
complete, accurate, relevant, or timely, shall within thirty (30)
working days of the date of such findings be appropriately amended.
(4) The decision of the Chairman constitutes the final decision of
OSHRC on the right of the requester to inspect, copy, change or update a
record. The decision on the appeal shall be in writing and, in the event
of a denial, shall set forth the reasons for such denial and state the
individual's right to obtain judicial review in a district court. An
indexed file of the agency decisions on appeal shall be maintained by
the Executive Director.
(d) Submission of statement of disagreement. If the final decision
does not satisfy the requester, any statement of reasonable length,
provided by that individual, setting forth a position regarding the
disputed information, shall be accepted and included in the relevant
personal record.
(e) Availability of assistance in exercising rights. The Executive
Director is available to provide an individual with assistance in
exercising rights pursuant this part.
[44 FR 3698, Jan. 19, 1979, as amended at 58 FR 26066, Apr. 30, 1993]
Sec. 2400.8 Schedule of fees.
(a) Policy. The purpose of this section is to establish fair and
equitable fees to permit reproduction of records for concerned
individuals.
(b) Reproduction. (1) For reproducing any paper or micrographic record
or publication, the fee is 0.10 cents per page. No charge shall be made
if the total fee authorized by this part in compliance with a request or
series of related requests is less than 3.00 dollars.
(2) OSHRC shall not normally furnish more than one copy of any record.
(c) Limitations. No fee shall be charged to any individual for the
process of retrieving, or amending records.
Sec. 2400.9 Exemptions.
(a) Subsections 552a (j) and (k) of Title 5, United States Code,
empower the Chairman to exempt systems of records meeting certain
criteria from various other subsections of section 552a. With respect to
systems of records so exempted, nothing in this part shall require
compliance with any provisions hereof implementing any subsections of
section 552a from which those systems may properly be and have been
exempted.
(b) [Reserved for specific exemptions.]