[Privacy Act Issuances (2003)]
[From the U.S. Government Publishing Office, www.gpo.gov]
WATER RESOURCES COUNCIL
TABLE OF CONTENTS
WRC--2 General Financial Records
WRC--4 Payroll Records
Appendix
WRC--2
System name: General Financial Records--U.S. Water Resources
Council (WRC).
System location: General Services Administration, Central Office;
copies held by the Council at 2120 L Street, NW, Washington, DC
20037. (GSA holds records for the Council under contract.)
Categories of individuals covered by the system: Council employees.
Categories of records in the system: SF 1038, application and
account for advance of funds; vendor register and vendor payment
tape. Information is used by accounting technicians to maintain
adequate financial information and by other offices and employees of
GSA and the Council who have a need for the record in the performance
of their duties.
Authority for maintenance of the system: 31 U.S.C., generally; 42
U.S.C. 1962a et seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See Appendix.
Records also are released to GAO for audits; to the IRS for
investigation; and to private attorneys, pursuant to a power of
attorney.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper and tape.
Retrievability: Manual and automated by name.
Safeguards: Stored in guarded building, released only to authorized
personnel.
Retention and disposal: Disposition of records shall be in
accordance with the HB GSA Records Maintenance and Disposition System
(OAD P 1820.2).
System manager(s) and address:
Administrative Officer
U.S. Water Resources Council
2120 L Street, NW,
Washington, DC 20037
Notification procedure: Contact system manager listed above.
Record access procedures: See Council access regulations in 18 CFR
701.305.
Contesting record procedures: See Council access regulations in 18
CFR 701.307.
Record source categories: The subject individual; the Council.
WRC--4
System name: Payroll Records--U.S. Water Resources Council
(WRC).
System location: General Services Administration Region 3 Office;
copies held by the Council, 2120 L Street, NW, Washington, DC 20037.
(GSA holds records for the Council under contract.)
Categories of individuals covered by the system: Past and present
Council employees.
Categories of records in the system: Varied payroll records,
including, among other documents, time and attendance cards; payment
vouchers; comprehensive listing of employees; health benefits
records; requests for deductions; tax forms; W-2 forms; overtime
requests; leave data; retirement records. Records are used by Council
and GSA employees to maintain adequate payroll information for
Council employees, and otherwise by Council and GSA employees who
have a need for the record in the performance of their duties.
Authority for maintenance of the system: 31 U.S.C., generally; 42
U.S.C. 1962a et seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See Appendix.
Records also are disclosed to GAO for audits; to the Internal Revenue
Service for investigation; and to private attorneys, pursuant to a
power of attorney.
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
5520, or, in the absence thereof, in response to a written request
from an appropriate official of the taxing jurisdiction to the
Administrative Officer, U.S. Water Resources Council, 2120 L Street,
NW, Washington, DC 20037. 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 base on place of residence, place
of employment, or both.
Pursuant to a withholding agreement between a city and the
Department of the Treasury (5 U.S.C. 5520), copies of executed city
tax withholding certificates shall be furnished the city in response
to written request from an appropriate city official to the
Administrative Officer, U.S. Water Resources Council, 2120 L Street,
NW, Washington, DC 20037.
In the absence of a withholding agreement, the Social Security
Number will be furnished only to a taxing jurisdiction which has
compel disclosure of the Social Security Number, in accordance with
section 7 of the Privacy Act, Pub. L. 93-579.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Paper and microfilm.
Retrievability: Social Security Number.
Safeguards: Stored in guarded building; released only to authorized
personnel.
Retention and disposal: Disposition of records will be in
accordance with the HB GSA Records Maintainance and Disposition
System (OAD P 1820.2).
System manager(s) and address: General Services Administration
Region 6 Office; copies held by the Council, 2120 L Street, NW,
Washington, DC 20037. (GSA holds records for the Council under
contract.)
Notification procedure: Contact system manager listed above.
Record access procedures: See Council access regulations in 18 CFR
701.305.
Contesting record procedures: See Council access regulations in 18
CFR 701.307.
Record source categories: The subject individual; the Council.
APPENDIX--WRC
In the event that a system of records maintained by this agency
to carry out its functions indicates a violation or potential of law,
whether civil, criminal, or regulatory in nature, and whether arising
by general statute or particular program statute, or by regulation,
rule or order issued pursuant thereto, the relevant records in the
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, or
rule, regulation, or order issued pursuant thereto.
A record from this system of records may be disclosed as a
``routine use'' to a Federal, State, or local agency maintaining
civil, criminal, or other relevant enforcement information or other
pertinent 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.
A record from this system of records may be disclosed 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 an 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.
A record from this system of records may be disclosed to an
authorized appeal grievance examiner, formal complaints examiner,
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. A record from
this system of records may be disclosed to the United States Civil
Service Commission in accordance with the agency's responsibility for
evaluation and oversight of Federal personnel management.
A record from this system of records may be disclosed to officers
and employees of a Federal agency for purposes of audit.
Information contained in this 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.
A record from this system of records may be disclosed as a
routine use to a Member of Congress or to a congressional office made
at the request of the individual about whom the record is maintained.
A record from this 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.
WATER RESOURCES COUNCIL
Title 18-Conservation of Power and Water Resources
Chapter VI-Water Resources Council
PART 701--COUNCIL ORGANIZATION
Sec.
Subpart E--Protection of Privacy
701.300 Purpose and scope.
701.301 Definitions.
701.302 Procedures for notification of existence of records pertaining
to individuals.
701.303 Conditions of disclosure.
701.304 Procedures for identification of individuals making requests.
701.305 Procedures for requests for access to or disclosure of records
pertaining to individuals.
701.306 Special procedure: Medical records.
701.307 Requests for correction or amendment to record.
701.308 Council review of request for correction or amendment of
record.
701.309 Appeal of initial adverse determination.
701.310 Disclosure of record to person other than the individual to
whom it pertains.
701.311 Accounting for disclosures.
701.312 Fees.
701.313 Penalties.
701.314 Exemptions.
Subpart E--Protection of Privacy
Authority: Sec. 402, Water Resources Planning Act of 1965 (Sec. 402,
Pub. L. 89-80; 79 Stat. 254, as amended (42 U.S.C. 1962d-1)) and the
Privacy Act of 1974 (Pub. L. 93-579; 88 Stat. 1896 (5 U.S.C. 552a)),
unless otherwise noted.
Source: 40 FR 45676, Oct. 2, 1975, unless otherwise noted.
Sec. 701.300 Purpose and scope.
(a) The purpose of this subpart is to set forth rules to inform the
public about information maintained by the U.S. Water Resources Council
relating to identifiable individuals and to inform those individuals how
they may gain access to and correct or amend information about
themselves.
(b) The regulations in this subpart implement the requirements of the
Privacy Act of 1974 (Pub. L. 93-579; 88 Stat. 1896 (5 U.S.C. 552a)).
(c) The regulations in this subpart apply only to records disclosed or
requested under the Privacy Act of 1974, and not requests for
information made pursuant to the Freedom of Information Act, as amended
(5 U.S.C. 552, as amended by Pub. L. 93-502).
Sec. 701.301 Definitions.
For the purposes of this subpart, unless otherwise required by the
context:
(a) Council means the U.S. Water Resources Council;
(b) Individual means a citizen of the United States or an alien
lawfully admitted for permanent resident;
(c) Maintain means maintain, collect, use or disseminate;
(d) Record means any item, collection, or grouping of information
about an individual that is maintained by the Council, including, but
not limited to, his education, financial transactions, medical history
and criminal or employment history, and that contains his name, or the
identifying number, symbol, or other identifying particular assigned to
the individual, such as a finger or voice print or a photograph;
(e) Adverse determination means a decision by the proper Council
official to deny, in whole or in part, a request from an individual for
a correction or amendment of a record concerning the individual and
maintained by the Council; and,
(f) Record system means ``system of records'' as defined in the Act,
i.e., a group of any records under the control of the Council from which
information is retrieved by the name of the individual or by some
identifying particular assigned to the individual.
Sec. 701.302 Procedures for notification of existence of records
pertaining to individuals.
(a) The systems of records, as defined in the Privacy Act of 1974,
maintained by the Council are listed annually in the Federal Register as
required by that Act. Any individual may request the Council to inform
him or her whether a particular record system named by the individual
contains a record pertaining to him or her. The request may be made in
person during business hours or in writing at the location and to the
person specified in the notice describing that record system.
(b) An individual who believes that the Council maintains records
pertaining to him or her but who cannot determine which records system
contains those records, may request assistance by mail or in person at
the Division of Program Coordination and Management, 2120 L Street, NW,
Washington, DC 20037, during business hours (8 am through 4:30 pm,
Monday through Friday, excluding legal holidays).
(c) The Council will attempt to respond to a request as to whether a
record exists within 10 working days from the time it receives the
request or to inform the requestor of the need for additional time or
additional information within 10 working days. If a request is complied
with within 10 working days, no separate acknowledgment will be made.
[40 FR 45676, Oct. 2, 1975, as amended at 41 FR 8343, Feb. 26, 1976]
Sec. 701.303 Conditions of disclosure.
(a) Subject to the conditions of paragraphs (b) and (c) of this
section, the Council will not disclose any record which is contained in
a system of records, by any means of communication to any person who is
not an individual to whom the record pertains.
(b) Upon written request or with prior written consent of the
individual to whom the record pertains, the Council may disclose any
such record to any person or other agency.
(c) In the absence of a written consent from the individual to whom
the record pertains, the Council may disclose any such record provided
such disclosure is:
(1) To those officers and employees of the Council who have a need for
the record in the performance of their duties;
(2) Required under the Freedom of Information Act (5 U.S.C. 552);
(3) For a routine use compatible with the purpose for which it was
collected;
(4) To the Bureau of Census for purposes of planning or carrying out a
census or survey or related activity under the provisions of Title 13 of
the United States Code;
(5) To a recipient who has provided the Council with adequate advance
written assurance that the record will be used solely as a statistical
research or reporting record, and the record is to be transferred in a
form that is not individually identifiable;
(6) 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;
(7) 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 authorized by law: Provided,
The head of the agency or instrumentality has made a prior written
request to the Assistant Director Program Coordination and Management
specifying the particular record and the law enforcement activity for
which it is sought;
(8) To a person pursuant to a showing of compelling circumstance
affecting the health or safety of an individual: Provided, That upon
such disclosure notification is transmitted to the last known address of
such individual (and see Sec. 701.306);
(9) To either House of Congress, and to the extent of a matter within
its jurisdiction, any committee or subcommittee, or joint committee of
Congress;
(10) To the Comptroller General, or any of his authorized
representatives in the course of the performance of the duties of the
GAO; or
(11) Under an order of a court of competent jurisdiction.
Sec. 701.304 Procedures for identification of individuals making
requests.
(a) Each individual requesting the disclosure of a record or copy of a
record will furnish the following information with his or her request:
(1) The name of the record system containing the record; (2) proof as
described in paragraph (b) of this section that he or she is the
individual to whom the requested record relates; and (3) any other
information required by the notice describing the record system.
(b) Proof of identity as required by paragraph (a)(2) of this section
will be provided as described in paragraph (b)(1) and (2) of this
section. Requests made by an agent, parent, or guardian will include the
authorization described in Sec. 701.310(a) and (b).
(1) Requests made in writing will include a statement, signed by the
individual and properly notarized, that he or she appeared before a
notary public and submitted proof of identification in the form of a
drivers license, birth certificate, passport or other identification
acceptable to the notary public. In any case in which, because of the
extreme sensitivity of the record sought to be seen or copied, the
agency determines that the identification is not adequate, it may
request the individual to submit additional proof of identification.
(2) If the request is made in person, the requester will submit proof
of identification similar to that described in paragraph (b)(1) of this
section, acceptable to the Council.
[41 FR 8343, Feb. 26, 1976]
Sec. 701.305 Procedures for requests for access to or disclosure of
records pertaining to individuals.
(a) After being informed by the Council that a system of records
contains a record pertaining to him or her, an individual may request
the Council for access to or disclosure of that record to him or her in
the manner described in this section. Each such request of a record or a
copy of it will be made at the place specified in the notice describing
that system of records, either in writing or in person. Requests may be
made by agents, parents, or guardians of individuals as described in
Sec. 701.310(a) and (b).
(b) The request for access to or disclosure of a record should
specifically identify the systems of records involved.
(c) The Council will attempt to affirm or deny a request within 10
working days from the time it receives the request or to inform the
requester of the need for additional time, additional information,
identification, or the tendering of fees (as specified in Sec. 701.312),
within 10 working days; except that if the request for access was not
preceded by a notification request as provided in Sec. 701.302, then the
10-day period will not begin until after such time as it has been
determined that the record exists. If a request is complied with within
10 working days, no separate acknowledgement will be made.
[41 FR 8343, Feb. 26, 1976]
Sec. 701.306 Special procedure: Medical records.
(a) An individual requesting disclosure of a record which contains
medical or psychological information may name a medical doctor or other
person to act as his agent as described in Sec. 701.310(a). Records
containing medical or psychological information may be disclosed to that
agent rather than to the individual at the individual's request.
(b) If the individual has not named a medical doctor as agent, the
Council may determine, after consultation with a medical doctor, that
disclosure of the information would have an adverse effect on the
requester. The Council may then disclose that information to a medical
doctor specified by the individual, rather than to that individual,
either in person or by mail.
[40 FR 45676, Oct. 2, 1975, as amended at 41 FR 8343, Feb. 26, 1976]
Sec. 701.307 Request for correction or amendment to record.
(a) Any individual who has reviewed a record pertaining to him that
was furnished to him under this subpart, may request the agency to
correct or amend all or any part of that record.
(b) Each individual requesting a correction or amendment will send the
request to the agency official who furnished the record to him.
(c) Each request for a correction or amendment of a record will
contain the following information:
(1) The name of the individual requesting the correction or amendment;
(2) The name of the system of records in which the record sought to be
corrected or amended is maintained;
(3) The location of that record in the system of records;
(4) A copy of the record sought to be corrected or amended or a
description of that record;
(5) A statement of the material in the record requested to be
corrected or amended;
(6) A statement of the specific wording of the correction or amendment
sought; and
(7) A statement of the basis for the requested correction or
amendment, including any material that the individual can furnish to
substantiate the reasons for the correction or amendment sought.
Sec. 701.308 Council review of request for correction or amendment
of record.
(a) Not later than 10 days (excluding Saturdays, Sundays, and legal
holidays) after the receipt of the request for the correction or
amendment of a record under Sec. 701.307, the Council will acknowledge
receipt of the request and inform the individual whether further
information is required before the correction or amendment can be
considered.
(b) The Council will promptly review the request and either make the
requested correction or amendment or notify the individual of the
initial adverse determination, including in the notification the reasons
for the adverse determination and the appeal procedure provided by
Sec. 701.309.
(c) The Assistant Director, Program Coordination and Management, or
his designee, will, after consulting with the General Counsel, or his
designee, have the primary authority to make an initial adverse
determination.
(d) The Council will make each requested correction or amendment to a
record if that correction or amendment will correct anything that is not
accurate, relevant, timely, or complete, within the record.
(e) If the requested correction or amendment to a record is agreed to
by the Council, the Council will, within 30 working days: (1) Advise the
individual; (2) correct the record accordingly; and (3) where an
accounting of disclosures had been made (as provided in Sec. 701.311),
advise all previous recipients (including the individual) of the record
of the fact that the correction was made and the substance of the
correction.
[40 FR 45676, Oct. 2, 1975, as amended at 41 FR 8343, Feb. 26, 1976]
Sec. 701.309 Appeal of initial adverse determination.
(a) Any individual whose request for a correction or amendment,
requested by him, to a record has been denied, in whole or in part, may
appeal that decision to the Director of the Council.
(b) The appeal will be in writing and will:
(1) Name the individual making the appeal;
(2) Identify the record sought to be amended;
(3) Name the record system in which that record is contained;
(4) Contain a short statement describing the amendment sought; and
(5) State the name and location of the Council official who made the
initial adverse determination.
(c) Not later than 30 days (excluding Saturdays, Sundays, and legal
holidays) after the date on which the Council received the appeal, the
Director will complete his review of the appeal and make a final
decision thereon. However, for good cause shown, the Director may extend
that 30 day period by not more than an additional 30 working days. If
the Director so extends the period, he will promptly notify the
individual requesting the review that the extension has been made and
the reasons therefor.
(d) After review of an appeal request, the agency will send a written
notice to the requester containing the following information:
(1) The decision and, if the denial is upheld, the reasons for the
decision; and
(2) The specific civil remedies available to the requester as per
section 2(g) of Pub. L. 93-579, as well as notice that additional
remedies may be appropriate and available to enable the full exercise of
the requester's rights at law.
(3) The right to file with the Council a concise statement setting
forth the requester's reasons for disagreement with the Council's
refusal to correct or amend the record.
[40 FR 45676, Oct. 2, 1975, as amended at 41 FR 8344, Feb. 26, 1976]
Sec. 701.310 Disclosure of record to person other than the
individual to whom it pertains.
(a) Any individual who desires to have a record covered by this
subpart disclosed to or mailed to a person other than that individual
may authorize that person to act as his agent for that specific purpose.
The authorization will be in writing, signed by the individual, and will
be notarized. The agent will submit with the authorization proof of the
individual's identity as required by Sec. 701.304(b).
(b) The parent of any minor individual or the legal guardian of any
individual who has been declared by a court of competent jurisdiction to
be incompetent due to physical or mental incapacity or age, may act on
behalf of that individual in any matter covered by this subpart. A
parent or guardian who desires to act on behalf of such an individual
will present suitable evidence of parentage or guardianship, by birth
certificate, certified copy of a court order, or similar documents, and
proof of the individual's identity in a form that complies with
Sec. 701.304(b).
(c) An individual to whom a record is to be disclosed in person
pursuant to this subpart, may have a person of his own choosing
accompany the individual when the record is disclosed.
Sec. 701.311 Accounting for disclosures.
(a) Maintenance of an accounting. (1) Where a record is disclosed to
any person, or to another agency, under any of the provisions of
Sec. 701.303 except Sec. Sec. 701.303(c)(1) and (2), an accounting will
be made.
(2) The accounting will record:
(i) The date, nature, and purpose of each disclosure of a record to
any person or to another agency and
(ii) The name and address of the person or agency to whom the
disclosure was made.
(3) Accountings prepared under this section will be maintained for at
least five years or the life of the record, whichever is longer, after
the disclosure for which the accounting is made.
(b) Access to accounting. (1) Except for accounting of disclosures
made under Sec. Sec. 701.303(c)(1) and (2), accountings of all
disclosures of a record will be made available to the individual to whom
the record relates at his or her request.
(2) An individual desiring access to accountings of disclosures of a
record pertaining to him or her will submit his request by following the
procedures of Sec. 701.305.
(c) Notification of disclosure. When a record is disclosed pursuant to
Sec. 701.303(c)(11) as the result of the order of a court of competent
jurisdiction, reasonable efforts will be made to notify the individual
to whom the record pertains as soon as the order becomes a matter of
public record.
[41 FR 8344, Feb. 26, 1976]
Sec. 701.312 Fees.
(a) The Council will not charge an individual for the costs of making
a search for a record or the costs of reviewing the record. When the
Council makes a copy of a record as a necessary part of the process of
disclosing the record to an individual, the Council will not charge the
individual for the cost of making that copy.
(b) If an individual requests the Council to furnish him with a copy
of the record (when a copy has not otherwise been made as a necessary
part of the process of disclosing the record to the individual), the
Council will charge a maximum fee of $0.25 per page (maximum per page
dimension of 8 x 14 inches) to the extent that the request exceeds
$5.00 in cost to the Council. Requests not exceeding $5.00 in cost to
the Council will be met without cost to the requester.
[40 FR 45676, Oct. 2, 1975. Redesignated at 41 FR 8344, Feb. 26, 1976]
Sec. 701.313 Penalties.
Title 18 U.S.C. Sec. 1001, Crimes and Criminal Procedures, makes it a
criminal offense, subject to a maximum fine of $10,000 or imprisonment
for not more than 5 years or both, to knowingly and willfully make or
cause to be made any false or fraudulent statements or representations
in any matter within the jurisdiction of any agency of the United
States. Section 552a(i)(3) of the Privacy Act (5 U.S.C. 552a(i)(3))
makes it a misdemeanor, subject to a maximum fine of $5,000, to
knowingly and willfully request or obtain any record concerning an
individual under false pretenses. Section 552a(i)(1) and (2) of the
Privacy Act (5 U.S.C. 552a(i)(1) and (2) provide penalties for
violations by agency employees of the Privacy Act or regulations
established thereunder.
[40 FR 45676, Oct. 2, 1975. Redesignated at 41 FR 8344, Feb. 26, 1976]
Sec. 701.314 Exemptions.
No Council records system or systems 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).
[40 FR 45676, Oct. 2, 1975. Redesignated at 41 FR 8344, Feb. 26, 1976]