[Privacy Act Issuances (2005)]
[From the U.S. Government Publishing Office, www.gpo.gov]
MARINE MAMMAL COMMISSION
CONTENTS
MMC--1 Applications for Permits to Take or Import Marine Mammals
or to Import Marine Mammal Products for Purposes of Scientific
Research or Public Display--MMC
MMC--2 Personnel Files on Current, Past, and Prospective
Employees and Members of the Marine Mammal Commission and its
Committee of Scientific Advisors--MMC
MMC--3 Research Proposals and Contracts--MMC
MMC--4 General Financial Records--MMC
MMC--5Payroll records--MMC
Appendix MMC
MMC--1
System name: Applications for Permits to Take or Import Marine
Mammals or to Import Marine Mammal Products for Purposes of
Scientific Research or Public Display--MMC.
System location: Commission Offices, 1625 I Street, NW, Room 307,
Washington, DC 20006; Commission Members' Offices, presently:
Dr.William E. Evans, Chairman,
Hubbs-Sea World Research Institute,
1700 South Shores Road,
Mission Bay,
San Diego, California 92109
Dr. Donald K.MacCallum,
Department of Anatomy,
4812 Medical Science II Building,
University of Michigan,
Ann Arbor, Michigan 48109
Dr. Robert B. Weeden,
Division of Life Sciences,
University of Alaska,
Bunnell Building, Room 203,
Fairbanks, Alaska 99701
Committee of Scientific Advisors Members' offices, presently:
Dr. David G. Ainley,
Point Reyes Bird Observatory,
4990 Shoreline Highway,
Stinson Beach, California 94970
Dr. Douglas G. Chapman, Chairman,
Center for Quantitative Science in Forestry,
Fisheries and Wildlife,
University of Washington, HR-20,
Seattle, Washington 98195
Dr. Paul K. Dayton (A-001),
Scripps Institution of Oceanography,
La Jolla, California 92093
Dr. Douglas P. DeMaster,
National Marine Fisheries Service,
Southwest Fisheries Center,
PO Box 271,
La Jolla, California 92038
Dr. Daryl P. Domning,
Department of Anatomy,
College of Howard University,
Washington, DC 20059
Dr. William W. Fox, Jr.,
Biology and Living Resources and Cooperative Institute of
Marine and Atmospheric Studies,
University of Miami,
4600 Rickenbacker Causeway,
Miami, Florida 33149
Dr. Bruce R. Mate,
Marine Science Center,
Oregon State University,
Marine Science Drive,
Newport, Oregon 97365
Dr. James G. Mead,
Curator of Mammals,
National Museum of Natural History,
Washington, DC 20560
Dr., William Medway,
School of Veterinary Medicine,
University of Pennsylvania,
3800 Spruce Street, Room 4035,
Philadelphia, Pennsylvania 19104
Categories of individuals covered by the system: Individuals who
have submitted applications, as required by the Marine Mammal
Protection Act of 1972 and regulations of the Departments of Interior
and Commerce, for permits to take or import marine mammals or to
import marine mammal products.
Categories of records in the system: Name, mailing address,
telephone number, date of birth, height, weight, color of hair, color
of eyes, sex, business or institutional affiliation, education and/or
experience of the applicant which qualifies him/her to conduct the
proposed activities.
Authority for maintenance of the system: Title II, Section 206(5)
of the Marine Mammal Protection Act of 1972, 16 U.S.C. 1406(5).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See appendix.
Information contained in permit applications is used by the
Commission, its Committee of Scientific Advisors, the Executive
Director and his staff for the purpose of reviewing such applications
and making recommendations thereon, regarding proper disposition of
the application, to the Secretaries of Commerce and Interior in order
to carry out the duties assigned to the Commission by the Marine
Mammal Protection Act of 1972. Subsequent to final disposition of the
application, records are maintained for use in connection with the
review of future applications submitted by the same individuals. The
records contained in the system also are available for inspection by
members of the public.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Maintained in 8 1/2 by 11 inch folders in vertical file.
Retrievability: Manual--indexed by name of applicant.
Safeguards: Records are maintained in an office which is assessible
only to authorized persons.
Retention and disposal: Records will be retained in the Commission
offices during the life of the Commission. Copies forwarded to the
offices of individual Commissioners and Committee members are
disposed of after disposition of the permit application, or at such
other times as are deemed appropriate by the Commissioners and
Committee members.
Method of disposal: No particular method of disposal is followed.
System manager(s) and address: Executive Director, Marine Mammal
Commission, 1625 I Street, NW, Room 307, Washington, DC 20006.
Notification procedure: An individual may obtain notification of
whether the system of records contains a record pertaining to him/her
by forwarding an inquiry to the System Manager, or by appearing in
person, at the above address. See Commission regulations in 50 CFR
501.3.
Record access procedures: See Commission access regulations in 50
CFR 501.4, 501.5.
Contesting record procedures: The Commission's rules for contesting
contents of records, and for appealing adverse determinations with
respect thereto, are contained in 50 CFR 502.6 through 501.8.
Assistance in obtaining access to or contesting the contents of
records can be obtained from the System Manager at the above address.
Record source categories: Subject applicants.
MMC--2
System name: Personnel Files on Current, Past and Prospective
Employees and Members of the Marine Mammal Commission and its
Committee of Scientific Advisors--MMC.
System location: Commission offices, 1625 I Street, NW, Room 307,
Washington, DC 20006; General Services Administration, Region 3,
Office of Personnel, 7th & D Streets, SW, Room 1007, Washington, DC
20407.
Categories of individuals covered by the system: Present and past
employees, individuals who have submitted solicited or unsolicited
applications for employment, members of the Commission and Committee
of Scientific Advisors, and individuals who have been invited to
submit personal information for consideration as a potential member
of the Committee.
Categories of records in the system: Name, address, telephone
number, educational background, employment history, special
employment qualifications, honors and awards, research and other
activities relating to position, publications, letters of
recommendation, and memoranda regarding conversations between
Commission staff members and previous employers concerning quality of
job performance.
Authority for maintenance of the system: Title II, Section 206(5)
of the Marine Mammal Protection Act of 1972, 16 U.S.C. 1406(5).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See Appendix.
Information contained in the system is used, in conjunction with data
supplied on Standard Civil Service Commission forms, for the purpose
of assessing the qualification of subject individuals for appointment
to the various positions described above. The Chairman of the
Commission, the Executive Director, and the Administrative Officer
are authorized users of the System.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Maintained in 8 and one half by 11 inch folders in a
locked vertical file.
Retrievability: Manual--indexed by name.
Safeguards: The system is maintained in a locked, metal safe, the
access combination to which is known only by the Executive Director,
his Administrative Officer, and one member of his support staff.
Other members of the staff have been instructed that they are under
no circumstances to make any use of the system except in accordance
with procedures promulgated by the agency pursuant to Subsection
552a(f)(3) of the Privacy Act.
Retention and disposal: Records in the system will be retained
during the life of the Commission.
Method of disposal: No particular method of disposal is followed.
System manager(s) and address: Executive Director, Marine Mammal
Commission, 1625 I Street, NW, Room 307, Washington, DC 20006.
Notification procedure: An individual may obtain notification of
whether the system of records contains a record pertaining to him/her
by forwarding an inquiry to the System Manager, or by appearing in
person, at the above address. See Commission regulations in 50 CFR
501.3.
Record access procedures: See Commission access regulations in 50
CFR 501.4, 501.5.
Contesting record procedures: The Commission's rules for contesting
contents of records, and for appealing adverse determinations with
respect thereto, are contained in 50 CFR 501.6 through 501.8.
Assistance in obtaining access to or contesting the contents of
records can be obtained from the System Manager at the above address.
Record source categories: Subject individuals; former and/or
present employers of subject individuals; and others familiar with
the individual and whom the individual has suggested as a reference.
MMC--3
System name: Research Proposals and Contracts-MMC.
System location: Commission offices, 1625 I Street, NW, Room 307,
Washington, DC 20006; Commission Members' Offices, presently: Same as
MMC-1.Committee of Scientific Advisors Members' Offices, presently:
Same as MMC-1.
Categories of individuals covered by the system: Individuals who
have submitted proposals to conduct scientific research, including
those to whom research contracts have been awarded.
Categories of records in the system: Name, address, telephone
number, educational background, employment history, honors and
awards, part research activities, publications, records of payments
made to individuals pursuant to research contracts that have been
awarded.
Authority for maintenance of the system: Title II, Section 206(5)
of the Marine Mammal Protection Act of 1972, 16 USC 1406(5).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: See appendix.
Research proposals, containing personal qualifications information,
are utilized by the Scientific Program Director and other members of
the Commission staff, outside consultants, and Members of the
Commission and the Committee for the purpose of determining the merit
of such proposals. Records of contract payments are utilized by the
Scientific Program Director, the Executive Director and his staff,
and members of the Commissions and Committee for purposes of
budgeting, contract review, and evaluation.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Maintained in 8 and one half by 11 inch folders in a
vertical file.
Retrievability: Manual--indexed by name.
Safeguards: Records are maintained in an office which is accessible
only to authorized persons.
Retention and disposal: Records in the system will be retained
during the life of the Commission.
Method of disposal: None.
System manager(s) and address: Executive Director, Marine Mammal
Commission, 1625 I Street, NW, Room 307, Washington, DC 20006.
Notification procedure: An individual may obtain notification of
whether the system of records contains a record pertaining to him/her
by forwarding an inquiry to the System Manager, or by appearing in
person, at the above address. See Commission regulations in 50 CFR
501.3.
Record access procedures: See Commission access regulations in 50
CFR 501.4, 501.5.
Contesting record procedures: The Commission's rules for contesting
contents of records, and for appealing adverse determinations with
respect thereto, are contained in 50 CFR 501.6 through 501.8.
Assistance in obtaining access to or contesting and contents of
records can be obtained from the System Manager at the above address.
Record source categories: Subject individuals, Research Program
Director, and othe Commission personnel administering contract
payments.
MMC--4
System name: General Financial Records--MMC.
System location: General Services Administration, Central Office;
copies held by the Commission. (GSA holds records for Commission
under contract.)
Categories of individuals covered by the system: Commission
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 officers and employees of
GSA and the Commission who have a need for the record in the
performance of their duties.
Authority for maintenance of the system: 31 U.S.C., generally;
Section 206(5) of the Marine Mammal Protection Act of 1972, 16 U.S.C.
1406(5).
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: Executive Director, Marine Mammal
Commission, 1625 I Street, NW, Washington, DC 2006, Room 307.
Notification procedure: See Commission access regulations in 50 CFR
501.3.
Record access procedures: See Commission access regulations in 50
CFR 501.4, 501.5.
Contesting record procedures: See Commission regulations in 50 CFR
501.6 through 501.8.
Record source categories: The subject individual; the Commission.
MMC--5
System name: Payroll Records--MMC.
System location: Commission Offices, 1625 I Street, NW, Room 307,
Washington, DC 20006; General Services Administration, Region 3, 1500
East Bannister Road, Kansas City, Missouri 64131.
Categories of individuals covered by the system: Past and present
Commission 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
Commission and GSA employees to maintain adequate payroll information
for Commission employees and otherwise by Commission 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.
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 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 Executive Director, Marine Mammal Commission,
1625 I Street, NW, Room 307, Washington, DC 20006. 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 jurisidiction to tax the employee is based 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
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 Executive Director of the Marine Mammal Commission.
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.
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 shall be in
accordance with HB GSA Records Maintenance and Disposition System
(OAD P 1820.2)
System manager(s) and address:
Executive Director, Marine Mammal Commission, 1625 I Street, NW,
Washington, DC 20006.
Notification procedure: See Commission access regulations in 50 CFR
501.3.
Record access procedures: See Commission access regulations in 50
CFR 501.4, 501.5.
Contesting record procedures: See Commission regulations in 50 CFR
501.6 through 501.8.
Record source categories: The subject individual; the Commission.
APPENDIX MMC
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 particular program statute,
or by regulation, rule or order 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.
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 the agency under agreement
with GSA.
Disclosure may be made, as a routine use, to a Congressional
office from the record of an individual contained in any of the
Commission's systems in response to an inquiry from the Congressional
office made at the request of that individual.
MARINE MAMMAL COMMISSION
Title 50-Wildlife and Fisheries
Chapter V-Marine Mammal Commission
PART 501-IMPLEMENTATION OF THE PRIVACY ACT OF 1974
Sec.
501.1 Purpose and scope.
501.2 Definitions.
501.3 Procedure for responding to requests regarding the existence of
records pertaining to an individual.
501.4 Requests for access--times, places and requirements for
identification of individuals.
501.5 Disclosure of requested information.
501.6 Requests for correction or amendment of a record.
501.7 Agency review of requests for amendment or correction of a
record.
501.8 Appeal of initial denial of a request for amendment or
correction.
501.9 Fees.
Authority: Sec. 3, Privacy Act of 1974 (5 U.S.C. 552a(f).)
Source: 40 FR 49276, Oct. 21, 1975, unless otherwise noted.
Sec. 501.1 Purpose and scope.
(a) Purpose. The purpose of these rules is to fulfill the
responsibilities of the Marine Mammal Commission (the ``Commission'')
under Section 3 of the Privacy Act of 1974, 5 U.S.C. 552a(f) (the
``Act'') by establishing procedures whereby an individual will be
notified if any system of records maintained by the Commission contains
a record pertaining to him or her; by defining the times and places at
which records will be made available and the identification requirements
which must be met by any individual requesting access to them; by
establishing procedures for disclosure to an individual, on request, of
any record pertaining to him or her; and by establishing procedures for
processing, reviewing, and making a final determination on requests of
individuals to correct or amend a record pertaining to him or her,
including a provision for administrative appeal of initial adverse
determinations on such requests. These rules are promulgated with
particular attention to the purposes and goals of the Act, and in
accordance therewith provide for relative ease of access to records
pertaining to an individual, and for maintenance by the Commission of
only those records which are current, accurate, necessary, relevant and
complete with respect to the purposes for which they were collected.
(b) Scope. These rules apply only to ``record'' contained in ``systems
of records,'' defined by the Act as follows:
The term ``record'' means any item, collection, or grouping of
information about an individual that is maintained by an agency,
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;
The term ``system of records'' means of group of any record under the
control of any agency from which information is retrieved by the name of
the individual or by some identifying number, symbol, or other
identifying particular assigned to the individual.
Notices with respect to the systems maintained by the Commission have
been published in the Federal Register, as required by the Act. These
rules pertain only to the systems of records disclosed in such notices,
and to any systems that may become the subject of a notice at any time
in the future.
(c) Nothing in these rules shall be construed as pertaining to
requests made under the Freedom of Information Act, 5 U.S.C. 552.
Sec. 501.2 Definitions.
(a) As used in this part:
(1) The term ``Act'' means the Privacy Act of 1974, 5 U.S.C. 552a.
(2) The term ``Commission'' means the Marine Mammal Commission.
(3) The term ``Director'' means the Executive Director of the Marine
Mammal Commission.
(4) The term ``Privacy Officer'' means an individual designated by the
Director to receive all requests regarding the existence of records,
requests for access and requests for correction or amendment; to review
and make initial determinations regarding all such requests; and to
provide assistance to any individual wishing to exercise his or her
rights under the Act.
(b) Other terms shall be used in this part in accordance with the
definitions contained in section 3 of the Privacy Act of 1974, 5 U.S.C.
552a(a).
Sec. 501.3 Procedure for responding to requests regarding the
existence of records pertaining to an individual.
Any individual may submit a request to be notified whether a system of
records, with respect to which the Commission has published a notice in
the Federal Register, contains a record pertaining to him or her.
Requests may be made in writing to the Privacy Officer or by appearing
in person at the Commission offices located at 1625 I Street, NW, Room
307, Washington, DC 20006 between the hours of 9 a.m. and 5 p.m. on any
working day. Systems of records that are the subject of a request should
be identified by reference to the system name designated in the Notice
of Systems of Records published in the Federal Register. In the event a
system name is not known to the individual, a general request will
suffice if it indicates reasons for the belief that a record pertaining
to the named individual is maintained by the Commission. Receipt of
inquiries submitted by mail will be acknowledged within 10 days of
receipt (excluding Saturdays, Sundays, and legal public holidays) unless
a response can also be prepared and forwarded to the individual within
that time.
Sec. 501.4 Requests for access--times, places and requirements for
identification of individuals.
Requests for access to a system of records pertaining to any
individual may be made by that individual by mail addressed to the
Privacy Officer, or by submitting a written request in person at the
Commission offices located at 1625 I Street, NW, Room 307, Washington,
DC 20006, between the hours of 9 a.m. and 5 p.m. on any working day.
Assistance in gaining access under this section, securing an amendment
or correction under Sec. 501.6, or preparing an appeal under
Secs. 501.5(d) and 501.8 shall be provided by the Privacy Officer on
request directed to the Commission office. An individual appearing in
person at the Commission offices will be granted immediate access to any
records to which that individual is entitled under the Act upon
satisfactory proof of identity by means of a document bearing the
individual's photograph or signature. For requests made by mail,
identification of the individual shall be adequate if established by
means of submitting a certificate of a notary public, or equivalent
officer empowered to administer oaths, substantially in accord with the
following:
City of ------------ County of --------------: ss (Name of individual)
who affixed (his) (her) signature below in my presence, came before me,
a (Title), in the aforesaid County and State, this ------ day of ------,
19--, and established (his)(her) identity to my satisfaction.
My Commission expires --------------.
The certificate shall not be required, however, for written requests
pertaining to non-sensitive information or to information which would be
required to be made available under the Freedom of Information Act. The
Privacy Officer shall determine the adequacy of any proof of identity
offered by an individual.
[41 FR 5, Jan. 2, 1976]
Sec. 501.5 Disclosure of requested information.
(a) Upon request and satisfactory proof of identity, an individual
appearing at the Commission offices shall be given immediate access to
and permission to review any record, contained in a system of records,
pertaining to him or her, shall be allowed to have a person of his/her
choosing accompany him/her, and shall be given a copy of all or any
portion of the record. The individual to which access is granted shall
be required to sign a written statement authorizing the presence of the
person who accompanies him or her, and authorizing discussion of his or
her record in the presence of the accompanying person.
(b) Requests made by mail to the Privacy Officer at the Commission
offices will be acknowledged within 10 days from date of receipt
(excluding Saturdays, Sundays, and legal public holidays). This
acknowledgement shall advise the individual whether access to the record
will be granted and, if access is granted, copies of such records shall
be enclosed.
(c) If the Privacy Officer initially determines to deny access to all
or any portion of a record, notice of denial shall be given to the
individual in writing, within 30 days (excluding Saturdays, Sundays and
holidays) after acknowledgement is given, and shall include the
following:
(1) The precise record to which access is being denied;
(2) The reason for denial, including a citation to the appropriate
provisions of the Act and of these rules;
(3) A statement that the denial may be appealed to the Director;
(4) A statement of what steps must be taken to perfect an appeal to
the Director; and,
(5) A statement that the individual has a right to judicial review
under 5 U.S.C. 552a(g)(1) of any final denial issued by the Director.
(d) Administrative appeal of an initial denial, in whole or in part,
of any request for access to a record, shall be available. An individual
may appeal by submitting to the Director a written request for
reconsideration stating therein specific reasons for reversal which
address directly the reasons for denial stated in the initial notice of
denial. If access is denied on appeal, a final notice of denial shall be
sent to the individual within 30 days (excluding Saturdays, Sundays and
holidays), and shall state with particularity the grounds for rejecting
all reasons for reversal submitted by the individual. The denial shall
then be deemed final for purposes of obtaining judicial review.
[40 FR 49276, Oct. 21, 1975, as amended at 41 FR 5, Jan. 2, 1976]
Sec. 501.6 Requests for correction or amendment of a record.
(a) Any individual may request the correction or amendment of a record
pertaining to him or her in writing addressed to the Privacy Officer at
the Commission offices. Verification of identity required for such
requests shall be the same as that specified in Sec. 501.4 above with
respect to requests for access. Records sought to be amended must be
identified with as much specificity as is practicable under the
circumstances of the request, and at a minimum, should refer to the
system name designated in the Notice of System Records published in the
Federal Register, the type of record in which the information thought to
be improperly maintained or incorrect is contained, and the precise
information that is the subject of the request (for example, system
name, description of record, paragraph, sentence, line, words).
Assistance in identifying a record, and in otherwise preparing a
request, may be obtained by contacting the Privacy Officer at the
Commission offices.
(b) A request should, in addition to identifying the individual and
the record sought to be amended or corrected, include:
(1) The specific wording or other information to be deleted, if any;
(2) The specific wording or other information to be inserted, if any,
and the exact place in the record at which it is to be inserted, and,
(3) A statement of the basis for the requested amendment or correction
(e.g. that the record is inaccurate, unnecessary, irrelevant, untimely,
or incomplete), together with supporting documents, if any, which
substantiate the statement.
Sec. 501.7 Agency review of requests for amendment or correction of
a record.
(a) Where possible, each request for amendment or correction shall be
reviewed, and a determination on the request made, by the Privacy
Officer within 10 days of receipt (excluding Saturdays, Sundays and
holidays). Requests shall be acknowledged within that period where
insufficient information has been provided to enable action to be taken.
An acknowledgement shall inform the individual making the request of the
estimated time within which a disposition of the request is expected to
be made, and shall prescribe such further information as may be
necessary to process the request. The request shall be granted, or an
initial decision to deny shall be made, within ten days of receipt of
all information specified in the acknowledgement (excluding Saturdays,
Sundays and holidays).
(b) Within 30 days (excluding Saturdays, Sundays and holidays) after
arriving at a decision on a request, the Privacy Officer shall either:
(1) Make the requested amendment or correction, in whole or in part,
and advise the individual in writing of such action; or,
(2) Advise the individual in writing that the request has been
initially denied, in whole or in part, stating, with respect to those
portions denied;
(i) The date of the denial;
(ii) The reasons for the denial, including a citation to an
appropriate section of the Act and these rules; and,
(iii) The right of the individual to prosecute an appeal and to obtain
judicial review should a final denial result from the appeal.
(c) In reviewing a request for amendment or correction of a record,
the Privacy Officer shall consider the following criteria:
(1) The sufficiency of the evidence submitted by the individual;
(2) The factual accuracy of the information sought to be amended or
corrected;
(3) The relevance and necessity of the information sought to be
amended or corrected in terms of the purposes for which it was
collected;
(4) The timeliness and currency of the information sought to be
amended or corrected in terms of the purposes for which it was
collected;
(5) The completeness of the information sought to be amended or
corrected in terms of the purposes for which it was collected;
(6) The degree of possibility that denial of the request could
unfairly result in determinations adverse to the individual;
(7) The character of the record sought to be corrected or amended;
and,
(8) The propriety and feasibility of complying with the specific means
of correction or amendment requested by the individual. If an amendment
or correction is otherwise permissible under the Act and other relevant
statutes, a request shall be denied only if the individual has failed to
establish, by a preponderance of the evidence, the propriety of the
amendment or correction in light of these criteria.
[40 FR 49276, Oct. 21, 1975, as amended at 41 FR 5, Jan. 2, 1976]
Sec. 501.8 Appeal of initial denial of a request for amendment or
correction.
(a) The initial denial of a request for amendment or correction may be
appealed by submitting to the Director the following appeal papers:
(1) A copy of the original request for amendment or correction;
(2) A copy of the initial denial; and
(3) A precise statement of the reasons for the individual's belief
that the denial is in error, referring specifically to the criteria
contained in Sec. 501.7(c)(1-8).
The appeal must be signed by the individual. While these papers normally
will constitute the entire Record on Appeal, the Director may add
additional information, from sources other than the individual, where
necessary to facilitate a final determination. Any such additional
information added to the record shall promptly be disclosed to the
individual to the greatest extent possible, and an opportunity for
comment thereon shall be afforded prior to the final determination.
Appeals should be submitted to the Director within 90 days after the
date of the initial denial.
(b) The Director shall issue a final determination on appeal within
thirty days (excluding Saturdays, Sundays, and legal public holidays)
from the date on which a completed Record on Appeal (including any
additional information deemed necessary) is received. Review, and final
determination by the Director, shall be based upon the criteria
specified in Sec. 501.7(c)(1-8).
(c) If the appeal is resolved favorably to the individual, the final
determination shall specify the amendments or corrections to be made.
Copies of the final determination shall be transmitted promptly to the
individual and to the Privacy Officer. The Privacy Officer shall make
the requested amendment or correction and advise the individual in
writing of such action.
(d) If the appeal is denied, the final determination shall state, with
particularity, the reasons for denial, including a citation to an
appropriate section of the Act and of these Rules. The final
determination shall be forwarded promptly to the individual, together
with a notice which shall inform the individual of his or her right to
submit to the Privacy Officer, for inclusion in the record, a concise
statement of grounds for disagreement with the final determination.
Receipt of any such statement shall be acknowledged by the Privacy
Officer, and all subsequent and prior users of the record shall be
provided copies of the statement. The notice shall also inform the
individual of his or her right, under 5 U.S.C. 552a(g)(1), to obtain
judicial review of the final determination.
[40 FR 49276, Oct. 21, 1975, as amended at 41 FR 5, Jan. 2, 1976]
Sec. 501.9 Fees.
A fee of $0.10 shall be charged for each copy of each page of a record
made, by photocopy or similar process, at the request of an individual.
No fee shall be charged for copies made at the initiative of the
Commission incident to granting access to a record. A total copying fee
of $2.00 or less may be waived by the Privacy Officer, but fees for all
requests made contemporaneously by an individual shall be aggregated to
determine the total fee.
[41 FR 5, Jan. 2, 1976]