[Privacy Act Issuances (2005)]
[From the U.S. Government Publishing Office, www.gpo.gov]
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
Privacy Act Notice of Systems
NARA 1. Researcher Application Files.
NARA 2. Reference Request Files.
NARA 3. Donors of Historical Materials Files.
NARA 4. Committees and Foundation Member Files.
NARA 5. Conference, Workshop, and Training Files.
NARA 6. Mailing List Files.
NARA 7. Freedom of Information Act (FOIA) Request Files and
Mandatory Review of Classified Documents Request Files.
NARA 8. Restricted and Classified Records Access Authorization
Files.
NARA 9. Authors Files.
NARA 10. [Reserved]
NARA 11. Credentials and Passes.
NARA 12. Emergency Notification Files.
NARA 13. Defunct Agency Records.
NARA 14. Payroll and Time and Attendance Reporting System
Records.
NARA 15. Freelance Editor/Indexes Files.
NARA 16. Library Circulation Files.
NARA 17. Grievance Records.
NARA 18. General Law Files.
NARA 19. Workers Compensation Case Files.
NARA 20. Reviewer/Consultant File.
NARA 21. Fellowship and Editing Institute Application Files.
NARA 22. Employee Related Files.
NARA 23. Investigation Case Files.
NARA 24. Personnel Security Files.
NARA 25. Order Fulfillment and Accounting System Records (OFAS).
NARA 26. Volunteer Files.
NARA 27. Contracting Office and Contracting Officer's Technical
Representative (COTR) Designation Files.
28. Tort and Employee claims Files.
29. State Historical Records Advisory Board Member Files.
30. Garnishment Files.
31. Ride Share Locator Database.
32. Alternate Dispute Resolution Files.
33. Development and Donor Files.
34. Agency Ethics Program Files.
35. Case Management and Reporting System (CMRS).
37. Order Online!(NARA Online Ordering System).
38. Public Transportation Benefit Program Files.
NARA 1
System name:
Researcher Application Files.
System location:
Researcher application files are maintained in the following
locations in the Washington, DC, area and other geographical regions.
The addresses for these locations are listed in Appendix B following
the NARA Notices:
(1) Customer Services Division (Washington, DC, area);
(2) Presidential libraries and projects; and
(3) Regional records services facilities.
Categories of individuals covered by the system:
Individuals covered by this system include persons who apply to
use original records for research in NARA facilities in the
Washington, DC, area, the Presidential libraries, and the regional
records services facilities.
Categories of records in the system:
Researcher application files may include: researcher
applications; related correspondence; and electronic records. These
files may contain the following information about an individual:
Name, address, telephone number, proposed research topic(s),
occupation, name and address of employer/institutional affiliation,
educational level and major field, expected result(s) of research,
photo, researcher card number, type of records used, and other
information furnished by the individual. Electronic systems may also
contain additional information related to the application process.
Authority for maintenance of the system:
44 U.S.C. 2108, 2111 note, and 2203(f)(1).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains researcher application files on individuals to:
Register persons who apply to use original records for research at a
NARA facility; record initial research interests of researchers;
determine which records researchers may want to use; contact
researchers if additional information of research interest is found
or if problems with the requested records are discovered; and prepare
mailing lists for sending notices of events and programs of interest
to researchers, including the fundraising and related activities of
the National Archives Foundation (unless individuals elect that their
application information not be used for this purpose). The electronic
databases serve as finding aids to the applications. Information in
the system is also used by NARA staff to compile statistical and
other aggregate reports regarding researcher use of records. The
routine use statements A, C, E, F, and G, described in Appendix A
following the NARA Notices, also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in the records may be retrieved by the name of the
individual or by researcher card number.
Safeguards:
During normal hours of operation, paper records are maintained in
areas accessible only to authorized personnel of NARA. Electronic
records are accessible via passwords from terminals located in
attended offices. After hours, buildings have security guards and/or
doors are secured and all entrances are monitored by electronic
surveillance equipment.
Retention and disposal:
Researcher application files are temporary records and are
destroyed in accordance with the disposition instructions in the NARA
records schedule contained in FILES 203, the NARA Files Maintenance
and Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
For researchers who apply to use records and Nixon Presidential
materials in the Washington, DC, area, the system manager for
researcher application files is the Assistant Archivist for Records
Services--Washington, DC (NW). For researchers who apply to use
accessioned records, Presidential records, and donated historical
materials in the Presidential libraries and the regional records
services facilities, the system managers of researcher application
files are the directors of the individual libraries and regional
records services facilities. The addresses for these locations are
listed in Appendix B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer, whose address is listed in
Appendix B after the NARA Notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in researcher application files is obtained from
researchers and from NARA employees who maintain the files.
NARA 2
System name:
Reference Request Files.
System location:
Reference request files are maintained in the following locations
in the Washington, DC, area and other geographical regions. The
addresses for these locations are listed in Appendix B following the
NARA Notices:
(1) Office of Records Services--Washington, DC;
(2) National Historical Publications and Records Commission;
(3) Presidential libraries, projects, and staffs; and
(4) Regional records services facilities.
Categories of individuals covered by the system:
Individuals covered by this system include persons who request
information from or access to accessioned, inactive, congressional,
Presidential records, Presidential materials, and/or donated
historical materials in the custody of organizational units located
in the Washington, DC, area; Presidential libraries, projects, and
staffs; and regional records services facilities.
Categories of records in the system:
Reference request files may include: Reference service slips;
reference service databases; correspondence control registers and
databases; and correspondence, including administrative forms used
for routine inquiries and replies, between NARA staff and
researchers. These files may contain some or all of the following
information about an individual: Name, address, telephone number,
position title, name of employer/institutional affiliation,
educational background, research topic(s), field(s) of interest,
identification of requested records, credit card or purchase order
information, and other information furnished by the researcher.
Authority for maintenance of the system:
44 U.S.C. 2108, 2111 note, 2203(f)(2), and 2907.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains reference request files on individuals to:
Maintain control of records being used in a research room; establish
researcher accountability for records; prepare replies to
researchers' reference questions; record the status of researchers'
requests and NARA replies to those requests; enable future contact
with researchers, if necessary; and facilitate the preparation of
statistical and other aggregate reports on researcher use of records.
The routine use statements A, C, E, F, and G, described in Appendix A
following the NARA Notices, also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in reference request files may be retrieved by: The
name of the individual; the Record Group number; or the name, social
security number, or military service number of the former civilian
employee/veteran whose record was the subject of the request at the
National Personnel Records Center.
Safeguards:
During business hours, paper records are maintained in areas
accessible only to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
After business hours, buildings have security guards and/or secured
doors, and all entrances are monitored by electronic surveillance
equipment.
Retention and disposal:
Reference request files are temporary records and are destroyed
in accordance with the disposition instructions in the NARA records
schedule contained in FILES 203, the NARA Files Maintenance and
Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
For reference request files located in organizational units in
the Office of Records Services--Washington, DC, the system manager is
the Assistant Archivist for Records Services--Washington, DC. For
reference request files located in the National Historical
Publications and Records Commission (NHPRC), the system manager is
the Executive Director, NHPRC. For reference request files located in
the following locations, the system manager is the director of the
individual Presidential libraries, projects, and staffs; and regional
records services facilities. The addresses for these locations are
listed in Appendix B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address given in Appendix
B.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in reference request files is obtained from
researchers and from NARA employees who maintain the files.
NARA 3
System name:
Donors of Historical Materials Files
System location:
Donors of historical materials files are maintained in the
following locations in the Washington, DC, area and other
geographical regions. The addresses for these locations are listed in
Appendix B following the NARA Notices:
(1) Office of Records Services--Washington, DC, organizational
units;
(2) Office of Presidential Libraries;
(3) Presidential libraries, projects, and staffs; and
(4) Regional records services facilities.
Categories of individuals covered by the system:
Individuals covered by this system include donors and potential
donors of historical materials and oral history interviews to the
Office of Records Services--Washington, DC; Presidential libraries,
projects, and staffs; and regional records services facilities.
Categories of records in the system:
Categories of records in this system may include correspondence,
deeds of gift, deposit agreements, accession files, accession cards,
accession logs, inventories of museum objects, and oral history use
agreements, all of which are related to the solicitation and
preservation of donations and oral history interviews. These files
may contain the following information about an individual: Name,
address, telephone number, occupation, and other biographical data as
it relates to the solicitation and donation of historical materials
and oral history interviews.
Authority for maintenance of the system:
44 U.S.C. 2111 and 2112.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains donors of historical materials files on
individuals to: Record deeds of gift and oral history use agreements;
administer the solicitation of, accessioning of, and access to
historical materials; maintain control over the accessions program;
and facilitate future solicitations of gifts.
NARA may disclose these records to other Federal agencies and
former presidents and their agents as NARA administers the access
provisions of a deed of gift. The routine use statements A, F, and G,
described in Appendix A following the NARA Notices, also apply to
this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in donors of historical materials files may be
retrieved by the name of the individual or by the accession number
assigned to the donation.
Safeguards:
During business hours, paper records are maintained in areas
accessible only to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
After business hours, buildings have security guards and/or secured
doors, and all entrances are monitored by electronic surveillance
equipment.
Retention and disposal:
Donors of historical materials files are permanent records and
are transferred to the National Archives of the United States in
accordance with the disposition instructions in the NARA records
schedule contained in Files 203, the NARA Files Maintenance and
Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
For donors of historical materials files located in
organizational units in the Office of Records Services--Washington,
DC, the system manager is the Assistant Archivist for Records
Services--Washington, DC (NW). For donors of historical materials
files located in the Office of Presidential Libraries, the system
manager is the Assistant Archivist for Presidential Libraries (NL).
For donors of historical materials files located in Presidential
libraries, projects, and staffs, and the regional records services
facilities, the system manager is the director of the individual
Presidential library, project, or staff, or regional records services
facility. The addresses for these locations are listed in Appendix B
following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given above.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in donors of historical materials files may be
obtained from: Donors; potential donors; NARA employees who maintain
the files and handle solicitations and donations of historical
materials and oral history interviews; associates and family members
of donors; associates of former presidents; and published sources.
NARA 4
System name:
Committee and Foundation Member Files
System location:
Committee member files may be maintained in NARA organizational
units that provide administrative support to or oversight of internal
and inter-agency committees and external standards-setting and
professional organizations. Committee member files may also be
located in organizational units that provide administrative support
to NARA's Federal advisory committees. Foundation member files for
the National Archives Foundation are maintained in the Development
Office in the Washington, DC, area. Foundation member files for the
private foundations that support the Presidential libraries may be
located at individual Presidential libraries and projects. The
addresses are listed in Appendix B following the NARA Notices.
Categories of individuals covered by the system:
Individuals covered by this system include NARA employees who
serve on committees and current and prospective members of NARA's
Federal advisory committees, the National Archives Foundation, and
foundations associated with the Presidential libraries.
Categories of records in the system:
Committee and foundation member files may include correspondence,
resumes, biographical statements, mailing lists, and travel
documents. These files may contain the following information about an
individual: Name, address, telephone number, NARA correspondence
symbol, educational background, employment history, list of
professional accomplishments and awards, titles of publications, and
other information furnished by the individual.
Authority for maintenance of the system:
44 U.S.C. 2104.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains committee member files to: Review professional
qualifications of prospective committee members; document committee
members' travel activities related to committee business; record the
participation of committee members in committee activities; and
contact members about future meetings and events. NARA maintains
foundation member files in order to contact members about meetings,
conferences, and special events.
The routine use statements A, F, and G, described in Appendix A
following the NARA Notices, also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in committee and foundation member files may be
retrieved by the name of the individual or by the name of the
committee or foundation.
Safeguards:
During business hours, paper records are maintained in areas
accessible only to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
After business hours, buildings have security guards and/or secured
doors, and all entrances are monitored by electronic surveillance
equipment.
Retention and disposal:
Committee and foundation member files are temporary records and
are destroyed in accordance with the disposition instructions in the
NARA records schedule contained in FILES 203, the NARA Files
Maintenance and Records Disposition Manual. Individuals may request a
copy of the disposition instructions from the NARA Privacy Act
Officer.
System manager(s) and address:
For committee member files the system manager is the Director of
the Policy and Communications Staff. For working group member files,
the system manager is the Assistant Archivist for Records Services--
Washington, DC (NW). For the Foundation of the National Archives
member files, the system manager is the Director of the Development
Staff. For foundation member files located in the Presidential
libraries and projects, the system manager is the director of the
individual Presidential library or project. The addresses for these
locations are listed in Appendix B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer, whose address is listed in
Appendix B following the NARA Notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in committee, working group, and foundation member
files is obtained from NARA employees, current and prospective
members of Federal advisory committees, working groups, foundations,
and references furnished by such persons.
NARA 5
System name:
Conference, Workshop, and Training Course Files
System location:
Conference, workshop, and training course files may be maintained
in the following locations in the Washington, DC, area and other
geographical regions. The addresses for these locations are listed in
Appendix B following the NARA Notices: (1) Office of Records
Services--Washington, DC; (2) Office of Human Resources and
Information Services; (3) Presidential libraries and projects; and
(4) Regional records services facilities.
Categories of individuals covered by the system:
Individuals covered by this system include attendees and speakers
at NARA-sponsored conferences, workshops, and training courses.
Categories of records in the system:
Conference, workshop, and training course files maintained on
attendees may include: Standard Forms 182, Request, Authorization,
Agreement, and Certification of Training; application/registration
forms; evaluations; other administrative forms; and copies of payment
records. Files maintained on speakers may include correspondence,
biographical statements, and resumes. These files may contain some or
all of the following information about an individual: name, home
address, business address, home telephone number, business telephone
number, social security number, birthdate, position title, name of
employer/organization, employment history, professional awards, areas
of expertise, research interests, reason(s) for attendance, titles of
publications, and other information furnished by the attendee or
speaker.
Authority for maintenance of the system:
44 U.S.C. 2104, 2109, and 2904.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains files on attendees and speakers to: Register
attendees for conferences, workshops, training courses, and other
events; contact attendees for follow-up discussions; plan, publicize,
and document interest in current and future NARA-sponsored
conferences, workshops, training courses, and special events; and
prepare mailing lists in order to disseminate information on future
events and publications of related interest. Information in the
records is also used to prepare statistical and other reports on
conferences, workshops, training courses, and other events sponsored
by NARA.
NARA may disclose information on individuals in the files to
outside organizations that co-sponsor conferences, workshops,
training courses, and other events for purposes of administering the
course or event. NARA may disclose information on an individual to
the organization or agency that funded the individual's attendance.
The routine use statement F, described in Appendix A following the
NARA Notices, also applies to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in paper records may be retrieved by either the title
or the date of the conference, workshop, training course, or event
and thereunder by the name of the individual. Information in
electronic records may be retrieved by the name of the individual.
Safeguards:
During business hours, paper records are maintained in areas
accessible only to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
After business hours, buildings have security guards and/or secured
doors, and all entrances are monitored by electronic surveillance
equipment.
Retention and disposal:
Conference, workshop, and training course files are temporary
records and are destroyed in accordance with the disposition
instructions in the NARA records schedule contained in FILES 203, the
NARA Files Maintenance and Records Disposition Manual. Individuals
may request a copy of the disposition instructions from the NARA
Privacy Act Officer.
System manager(s) and address:
For conference, workshop, and training course files located in
the Office of Records Services--Washington, DC, the system manager is
the Assistant Archivist for Records Services--Washington, DC (NW).
For files located in the Office of Human Resources and Information
Services, the system manager is the Assistant Archivist for Human
Resources and Information Services (NH). For files in the following
locations, the system manager is the director of the individual:
Presidential library and project; Federal Records Centers; and
regional archives. The addresses are listed in Appendix B following
the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer, whose address is listed in
Appendix B following the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in the files may be obtained from speakers,
attendees, and potential speakers and attendees at NARA-sponsored
conferences, workshops, and training courses, and from references
provided by those individuals.
NARA 6
System name:
Mailing List Files.
System location:
Mailing lists may be maintained in the following NARA locations.
The addresses for these locations are listed in Appendix B following
the NARA Notices:
(1) Congressional and Public Affairs Staff (NCON);
(2) National Historical Publications and Records Commission
(NHPRC);
(3) Office of Records Services `` Washington, DC;
(4) Staff Development Services Branch;
(5) Acquisitions Services Division;
(6) Presidential libraries and projects;
(7) Regional records services facilities;
(8) NARA Development Staff (NDEV); and
(9) Policy and Communications Staff (NPOL).
Categories of individuals covered by the system:
Individuals covered by this system may include: Members of the
media; members of Congress; members of the National Historical
Publications and Records Commission; members of the Foundation for
the National Archives; local, political, and other dignitaries;
researchers and records managers; historians, archivists, librarians,
documentary editors, and other professionals in related fields;
educators; authors; subscribers to free and fee publications and
newsletters; buyers of NARA products; vendors; and other persons with
an interest in National Archives programs, exhibits, conferences,
training courses, and other events.
Categories of records in the system:
In addition to names and addresses, mailing lists may include any
of the following information about an individual: Home/business
telephone number; position title; name of employer, organization,
and/or institutional affiliation; and subscription expiration date.
Authority for maintenance of the system:
44 U.S.C. 2104, 2307 and 2904(c).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains mailing lists to generate address labels to:
Disseminate mailings of NARA publications, newsletters, press
releases, and announcements of meetings, conferences, workshops,
training courses, public and educational programs, special events,
and procurements; send invitations for exhibit openings, lectures,
and other special events; and send customers updated information
about NARA holdings and about methods of requesting copies of
accessioned and non-current records.
The routine use statement F, described in Appendix A following
the NARA Notices, also applies to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic records from which paper records may be printed.
Retrievability:
Information about individuals maintained in mailing lists may be
retrieved by: The name of the individual; the name of an employer or
institutional/organizational affiliation; the category of
individuals/organizations on mailing lists; the city or zip code.
Safeguards:
During business hours, paper records are maintained in areas
accessible only to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
After business hours, buildings have security guards and/or secured
doors, and all entrances are monitored by electronic surveillance
equipment.
Retention and disposal:
Mailing lists are periodically updated and purged of outdated
information. NARA organizational units retain mailing lists for as
long as the lists are needed for the purposes previously cited.
System manager(s) and address:
For mailing lists maintained in the previously cited locations
(1) through (9), the system managers are:
(1) Director, NCON;
(2) Executive Director, NHPRC;
(3) Assistant Archivist for Records Services--Washington, DC;
(4) Assistant Archivist for Human Resources and Information
Services;
(5) Assistant Archivist for Administrative Services;
(6) Directors of the individual Presidential libraries;
(7) Directors of the individual regional records services
facilities;
(8) Director, NDEV; and
(9) Director, NPOL.
The addresses are listed in Appendix B following the NARA
Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify NARA Privacy Act Officer, whose address is listed in Appendix
B following the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in mailing lists is obtained from individuals whose
names are recorded on mailing lists for the purposes previously cited
or from NARA employees who maintain the lists.
NARA 7
System name:
Freedom of Information Act (FOIA) Request Files and Mandatory
Review of Classified Documents Request Files.
System location:
FOIA and mandatory review request files are maintained in the
following locations. The addresses for these locations are listed in
Appendix B following the NARA Notices.
(1) Office of the Federal Register;
(2) Office of the Inspector General;
(3) Office of General Counsel;
(4) Office of Records Services--Washington, DC;
(5) Regional records services facilities; and
(6) Presidential libraries, projects, and staffs.
Categories of individuals covered by the system:
Individuals covered by this system include persons who cite FOIA
to request access to records and persons who request the mandatory
review of security-classified materials under Executive Order 12958
or predecessor orders.
Categories of records in the system:
Files for requests made under FOIA and the mandatory review
provisions of Executive Order 12958 (or predecessor orders) may
include: Correspondence control registers, logs, and databases;
requests for access or mandatory review, appeal letters from
requestors, NARA replies to original requests and appeals, and
supporting documents; Certificate of Citizenship; and other
administrative forms used in the process. These files may also
contain information or determinations furnished by and correspondence
with other Federal agencies. FOIA and mandatory review request files
may contain some or all of the following information about an
individual: Name, address, telephone number, position title, name of
employer/institutional affiliation, marital status, birthplace,
birthdate, citizenship, research interests, other information
provided by the requestor, and copies of documents furnished to the
requestor.
Authority for maintenance of the system:
Executive Order 12958, April 17, 1995, its predecessor orders
governing access to classified information, and 5 U.S.C. 552, as
amended.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains FOIA and mandatory review request files on
individuals to record: Requests for records under FOIA, requests for
access to security-classified materials under the mandatory review
provisions of Executive Order 12958 and predecessor orders, and
appeals of denials of access; actions taken on requests and appeals;
and the status of requests and appeals in logs and databases. The
records are also used to facilitate the preparation of statistical
and other reports regarding use of FOIA and the mandatory review
provisions of Executive Order 12958.
NARA may disclose information in request files to agencies that
have an equity in the requested records in order for those agencies
to review records for possible declassification and release. The
routine use statements A, E, F, and G, described in Appendix A
following the NARA Notices, also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in FOIA and mandatory review request files may be
retrieved by one or more of the following data elements: The name of
the individual; an alphanumeric case file number; a project number
assigned to the request; the Record Group number; the type of request
(FOIA or mandatory review); or the name, social security number, or
military service number of the former civilian employee/veteran whose
record was the subject of the request at the National Personnel
Records Center.
Safeguards:
During business hours, paper records are maintained in areas
accessible only to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
After business hours, buildings have security guards and/or secured
doors, and all entrances are monitored by electronic surveillance
equipment.
Retention and disposal:
Files for requests made under FOIA and the mandatory review
provisions of Executive Order 12958 and predecessor orders are
temporary records and are destroyed in accordance with the
disposition instructions in the NARA records schedule contained in
FILES 203, the NARA Files Maintenance and Records Disposition Manual.
Individuals may request a copy of the disposition instructions from
the NARA Privacy Act Officer.
System manager(s) and address:
For FOIA request files and mandatory review request files, the
system managers are below.
(1) For FOIA requests related to the Office of Federal Register,
the system manager is the Director of the Federal Register.
(2) For FOIA request files related to records held by the Office
of the Inspector General, the system manager is the Inspector
General, Office of the Inspector General.
(3) For FOIA requests for NARA's operational records, the system
manager is the General Counsel, Office of General Counsel.
(4) For FOIA and mandatory review request files located in
organization units within the Office of Records Services--Washington,
DC, the system manager is the Assistant Archivist for the Office of
Records Services--Washington, DC.
(5) For FOIA request files and mandatory review request files
maintained in regional record services facilities, the system manager
is the director for the individual regional facility.
(6) For FOIA request files for Nixon Presidential Materials the
system manager is the Assistant Archivist for Presidential Libraries.
For all other Presidential libraries, projects, and staffs, the
director of the library, project, or staff is the system manager. The
addresses for these locations are listed in Appendix B following the
NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify NARA Privacy Act Officer, whose address is listed in Appendix
B following the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in FOIA and mandatory review request files is
obtained from persons who cite FOIA to request access to records,
researchers who request mandatory review of security-classified
records, NARA employees who maintain the files and handle FOIA and
mandatory review requests and appeals, and other agencies that have
reviewed the requested records.
NARA 8
System name:
Restricted and Classified Records Access Authorization Files.
System location:
Restricted and classified records access authorization files are
maintained in the following locations. The addresses are listed in
Appendix B following the NARA Notices.
(1) Space and Security Management Division;
(2) Office of Records Services--Washington, DC;
(3) Regional records services facilities; and
(4) Presidential libraries, projects, and staffs.
Categories of individuals covered by this system:
Individuals covered by the system include persons who request to
use agency-restricted, donor-restricted, and security-classified
records or materials in the custody of organizational units located
in the Washington, DC, area; regional records services facilities;
and Presidential libraries, projects, and staffs.
Categories of records in the system:
Access authorization files include applications for access to
restricted and classified records, letters of authorization from
sponsoring agencies, other documentation related to security
clearance levels, and information in an electronic database. These
files may include some or all of the following information about an
individual: Name, address, telephone number, birthdate, birthplace,
citizenship, social security number, occupation, name of employer/
institutional affiliation, security clearance level, basis of
clearance, name of sponsoring agency, field(s) of interest, intention
to publish, type of publication, subject(s) of restricted or
classified records to be reviewed, the expiration date for
authorization to review the records, and other information furnished
by the requestor.
Authority for maintenance of the system:
44 U.S.C. 2108 and 2204.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains restricted and classified records access
authorization files on individuals to: Maintain a record of requests
for access to restricted and classified records; authorize and
control access to restricted and classified records and materials;
and facilitate preparation of statistical and other reports.
NARA may disclose information in these access authorization files
to other agencies that have an equity in the restricted or classified
records in order for agency officials to review access authorization
requests. The routine use statements A, F, and G, described in
Appendix A following the NARA Notices, also apply to this system of
records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in restricted and classified records access
authorization files may be retrieved by some or all of the following:
The name of the individual, the name of the sponsoring agency, Record
Group number, or collection title.
Safeguards:
During business hours, paper records are maintained in areas
accessible only to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
After business hours, buildings have security guards and/or doors are
secured and all entrances are monitored by electronic surveillance
equipment.
Retention and disposal:
Restricted and classified records access authorization files are
temporary records and are destroyed in accordance with the
disposition instructions in the NARA records schedule contained in
FILES 203, the NARA Files Maintenance and Records Disposition Manual.
Individuals may request a copy of the disposition instructions from
the NARA Privacy Act Officer.
System manager(s) and address:
For access authorization files maintained by Space and Security
Management Division, the system manager is the Assistant Archivist
for Administrative Services (NA). For access authorization files
located in organizational units in the Office of Records Services--
Washington, DC, the system manager is the Assistant Archivist for
Records Services--Washington, DC. For access authorization files
located in the Office of Presidential Libraries and the Nixon
Presidential Materials Staff, the system manager is the Assistant
Archivist for Presidential Libraries. For access authorization files
located in the following locations, the system manager is the
director of the individual regional records services facilities, and
Presidential libraries and projects. The addresses for these
locations are listed in Appendix B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in these files is obtained from persons who request
to use restricted and classified records, NARA employees who maintain
the files, employers of requestors, and sponsoring agency officials.
NARA 9
System name:
Authors Files.
System location:
Authors files are maintained in the Policy and Communications
Staff, in the Washington, DC, area.
Categories of individuals covered by the system:
Individuals covered by this system include authors who have
submitted manuscripts for publication in Prologue: Quarterly of the
National Archives and Records Administration or in other NARA
publications.
Categories of records in the system:
Files on authors may include correspondence, resumes,
biographical statements, and manuscript copies of articles. These
records may contain some or all of the following information about an
individual: Name, address, telephone number, educational background,
professional experience and awards, research interests, and titles of
previous publications.
Authority for maintenance of the system:
44 U.S.C. 2307.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains files on individual authors in order to: Select
authors' manuscripts for publishing in Prologue: Quarterly of the
National Archives and Records Administration or in other NARA
publications; maintain a record of authors' manuscripts; and contact
authors concerning re-publication of manuscripts and other related
issues. The routine use statement F, described in Appendix A
following the NARA Notices, also applies to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in authors files may be retrieved by the issue date
of the publication and thereunder by the name of the individual.
Safeguards:
During normal hours of operation, records are maintained in areas
accessible only to authorized personnel of NARA. After hours,
buildings have security guards and/or doors are secured, and all
entrances are monitored by electronic surveillance equipment.
Retention and disposal:
Authors files are temporary records and are destroyed in
accordance with the disposition instructions in the NARA records
schedule contained in FILES 203, the NARA Files Maintenance and
Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
The system manager is the Director of the Policy and
Communications Staff . The address for this location is listed in
Appendix B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in authors files is obtained from authors or their
agents.
NARA 10 [Reserved]
NARA 11
System name:
Credentials and Passes.
System location:
Records related to credentials and passes are maintained at the
following locations in the Washington, DC, area and other
geographical regions. The addresses are listed in Appendix B
following the NARA Notices.
(1) Space and Security Management Division;
(2) Facilities and Materiel Management Services Division;
(3) Office of the Federal Register (NF);
(4) Regional records services facilities;
(5) Presidential libraries and projects; and
(6) Washington National Records Center (NWMW).
Categories of individuals covered by the system:
Individuals covered by this system may include NARA employees,
volunteers, contractors at all NARA facilities, and employees or
contractors of other Federal agencies temporarily stationed at NARA.
Categories of records in the system:
Credentials and passes may include: Copies of official passport
records; copies of identification badges; and administrative forms
and information in electronic databases used to generate NARA
identification badges and access cards and to issue room and stack
area keys and parking space permits. Credentials and passes may
contain some or all of the following information about an individual:
(1) Official passport records: Copies of passport application
records which include: Name; photograph; name of agency (NARA);
address; telephone number; social security number; position title;
grade; birthdate; height; weight; color of hair and eyes; passport
number; passport issue and expiration dates;
(2) Copies of identification badges and administrative forms and
information in electronic databases used to generate NARA
identification badges and access cards: Name; photograph; NARA
correspondence symbol; office telephone number; social security
number; position title; grade; name of agency or firm (contractors
only); birthdate; height; weight; color of hair and eyes;
identification/access card number; card issue and expiration dates;
building locations, time zones, and reasons for required access;
signatures of the individual and authorized officials; and dates of
signatures;
(3) Administrative forms and information in electronic databases
used to issue room and stack area keys: Name; NARA correspondence
symbol; office telephone number; building room number/stack area;
type of key issued (single door or stack master); key tag number;
signatures of the individual and authorized official; and dates of
signatures; and
(4) Administrative forms used to assign parking spaces: Name;
address; office telephone number; name of agency; make, year, and
license number of vehicle; signatures of carpool members; and dates
of signatures.
Authority for maintenance of the system:
44 U.S.C. 2104.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains records on individuals in order to facilitate the
issuance and control of Government passports, NARA identification
badges, access cards, room and stack area keys, and parking space
permits. At the National Archives at College Park, information in an
electronic database is used to generate single badges that identify
individuals and electronically allow individuals to enter and exit
secured and non-secured areas of the building. Routine use statements
A, B, C, D, E, F, and G, described in Appendix A following the NARA
Notices, also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in credentials and passes may be retrieved by the
name of the individual, identification card number, and/or social
security number.
Safeguards:
During business hours, paper records are maintained in areas
accessible only to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
After business hours, buildings have security guards and/or secured
doors, and all entrances are monitored by electronic surveillance
equipment.
Retention and disposal:
Credentials and passes are temporary records and are destroyed in
accordance with the disposition instructions in the NARA records
schedule contained in FILES 203, the NARA Files Maintenance and
Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
The system managers for the following types of credentials and
passes are as follows:
(1) Official passport records: Assistant Archivist for
Administrative Services (NA);
(2) Records used for NARA identification badges and access cards
for employees and volunteers in the Washington, DC, area, for badges
and access cards for contractors at the National Archives Building
and the National Archives at College Park, and for key issuance and
parking control at the National Archives Building and the National
Archives at College Park: Assistant Archivist for Administrative
Services (NA).
(3) Records used for NARA identification badges and access cards
for contractors and for key issuance and parking control at the
Washington National Records Center: Director, NWMW.
(4) Records used for key issuance and parking control at the
Office of the Federal Register: Director, NF.
(5) Records used for NARA identification badges and access cards
and for key issuance and parking control at the National Personnel
Records Center, Presidential libraries and projects, and regional
records services facilities: Directors of the National Personnel
Records Center, Presidential libraries and projects, and regional
records services facilities.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address given in Appendix
B.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in credentials and passes is obtained from
individuals being issued credentials and passes from authorized
issuing officials.
NARA 12
System name:
Emergency Notification Files.
System location:
Emergency notification lists are maintained in the Space and
Security Management Services Division at the National Archives at
College Park. Local emergency notification files are maintained in
all NARA facilities nationwide. The addresses for these locations are
listed in Appendix B following the NARA Notices.
Categories of individuals covered by the system:
Individuals covered by this system include NARA employees who
have been designated as primary and alternate emergency contact
personnel.
Categories of records in the system:
Emergency notification files include lists of names of NARA
officials, cover memoranda, and administrative forms. These files may
contain some or all of the following information about an individual:
name, correspondence symbol, home address, business and home
telephone numbers, position title, and emergency assignments.
Authority for maintenance of the system:
44 U.S.C. 2104.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains current directory information on designated NARA
employees to contact outside of business hours in case of emergencies
involving NARA facilities, including records storage areas, and to
notify these employees of weather and energy emergencies that would
result in the closing of Government offices. The routine use
statement A, D, and F, described in Appendix A following the NARA
Notices, also applies to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in emergency notification files may be retrieved by
the name of the individual or the facility.
Safeguards:
During business hours, records are maintained in areas accessible
only to authorized NARA personnel and contractors. Electronic records
are accessible via passwords from terminals located in attended
offices. After business hours, buildings have security guards and/or
secured doors, and all entrances are monitored by electronic
surveillance equipment. Authorized individuals may maintain copies in
additional locations.
Retention and disposal:
Emergency notification files are temporary records that are
periodically updated and purged of outdated information. NARA
organizational units retain emergency notification files for as long
as the information is needed for the purposes previously cited.
System manager(s) and address:
The system manager for the NARA-wide and Washington, DC, area
notification lists is: Assistant Archivist for Administrative
Services. The system managers for local emergency notification files
are the directors of the individual Federal Records Centers,
Presidential libraries and projects, and regional archives. The
addresses for these locations are listed in Appendix B following the
NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address given in Appendix
B.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in emergency notification files is obtained from the
NARA employees whose names appear on emergency notification lists and
forms.
NARA 13
System name:
Defunct Agency Records.
System location:
Defunct agency records may be located in the Washington National
Records Center (WNRC) and in the regional records services facilities
at the locations listed in Appendix B following the NARA Notices.
Categories of individuals covered by the system:
Individuals covered by this system include employees of a defunct
agency and those persons who may have had dealings with the agency
prior to termination.
Categories of records in the system:
This system includes those records of an agency whose existence
has been terminated with no successor in function. This system
contains those records that were maintained by a defunct agency in
internal Privacy Act systems of records. Categories of personal
information maintained on individuals in these records are described
in the Privacy Act system notices previously published by the
originating agency.
Authority for maintenance of the system:
44 U.S.C. 2107, 2907, and 3104.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
If records of a defunct agency are unscheduled, NARA may review
the records during the appraisal process in order to determine the
disposition of the records.
NARA may disclose the records, while providing reference service
on the records, in accordance with the routine uses in the Privacy
Act notices previously published by the defunct agency. The routine
use statements A, F, and G, described in Appendix A following the
NARA notices, also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper, electronic, and microfilm records.
Retrievability:
Information in records of a defunct agency may be retrieved by
the name of the individual or by other identifier established by the
defunct agency when the records were maintained by that agency.
Safeguards:
During business hours, records are maintained in areas accessible
only to authorized NARA personnel. After business hours, buildings
have security guards and/or secured doors, and all entrances are
monitored by electronic surveillance equipment.
Retention and disposal:
Records of a defunct agency that are appraised as temporary are
destroyed in accordance with the records disposition instructions
approved by the Archivist of the United States. Records of a defunct
agency that are appraised as permanent are transferred to the
National Archives of the United States.
System manager(s) and address:
The system managers for records of defunct agencies are the
directors of the regional records services facilities and the
Assistant Archivist for Records Services--Washington, DC (NW). The
addresses for these locations are listed in Appendix B following the
NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address given in Appendix
B.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Upon termination of an agency with no successor in function, the
agency transfers its records to the custody of NARA. Prior to
termination, the agency has described record source categories in its
Privacy Act system notices for agency records.
NARA 14
System name:
Payroll and Time and Attendance Reporting System Records.
System location:
Payroll and time and attendance reporting system records are
located in NARA organizational units nationwide that employ
timekeepers. The addresses for Washington, DC, area offices and
staffs and regional facilities are listed in Appendix B following the
NARA Notices. An electronic record-keeping system, the Electronic
Time and Attendance Management System (ETAMS), is maintained for NARA
by the General Services Administration (GSA) under a reimbursable
agreement.
Categories of individuals covered by the system:
Individuals covered by this system include former NARA employees
and current full-time, part-time, and intermittent NARA employees.
Categories of records in the system:
Payroll and time and attendance files may include: Standard Forms
(SF) 71, Application for Leave; GSA Forms 873, Annual Attendance
Record; NA Forms 3004, Intermittent Employees Attendance Record; GSA
Forms T-934, Time and Attendance Record; flextime sign-in sheets; and
the electronic system, the Payroll Accounting and Reporting System
(PAR). These paper and electronic records may contain some or all of
the following information about an individual: Name; address;
correspondence symbol; telephone number; social security number;
birthdate; position title; grade; hours of duty; and salary, payroll
and related information (e.g., withholding status, voluntary
deductions, financial institution), and attendance information.
Authority for maintenance of the system:
5 U.S.C., 2101 through 8901 is the authority for the overall
system. Specific authority for use of social security numbers is
contained in Executive Order 9397, 26 CFR 31.6011(b)2, and 26 CFR
31.6109-1.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA and GSA maintain payroll, time and attendance reporting
system records on individual NARA employees to carry out pay
administration functions and attendance-related personnel management
actions.
To the extent necessary, NARA and GSA may disclose information in
these records to outside entities for the monitoring and documenting
of grievance proceedings, EEO complaints, and adverse actions, and
for conducting counseling sessions. NARA, GSA, and other NARA agents
may disclose information in the files to state offices of
unemployment compensation in connection with claims filed by NARA
employees for unemployment compensation. NARA and GSA may disclose
information in this system of records to the Office of Management and
Budget in connection with the review of private relief legislation.
NARA and GSA may disclose information in these records to the Office
of Personnel Management for its production of summary descriptive
statistics or for related work studies; while published statistics
and studies do not contain individual identifiers, the selection of
elements of data included in studies may be structured in a way that
makes individuals identifiable by inference. The routine use
statements A, B, C, D, E, F, and G, described in Appendix A following
the NARA Notices, also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper, microfiche, and electronic records.
Retrievability:
Information in payroll, time and attendance reporting system
records may be retrieved by the name of the individual or by social
security number.
Safeguards:
During business hours, paper records are maintained in areas
accessible only to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
After business hours, buildings have security guards and/or secured
doors, and all entrances are monitored by electronic surveillance
equipment.
Retention and disposal:
Payroll and time and attendance paper records are temporary
records and are destroyed in accordance with the disposition
instructions in the NARA records schedule contained in FILES 203, the
NARA Files Maintenance and Records Disposition Manual. Electronic
records in PAR are temporary records whose disposition is governed by
the General Records Schedules. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
The system manager for the electronic system and paper records
sent to the National Payroll Center as input to that system is:
Chief, National Payroll Center (6BCY-N), General Services
Administration, Room 1118, 1500 East Bannister Rd., Kansas City, MO
64414.
System managers for paper records maintained in NARA offices such
as SF's 71 and sign-in sheets are the office heads and staff
directors of individuals offices and staffs in the Washington, DC,
area and the directors of the individual Presidential libraries and
projects, and regional records services facilities. The system
manager for unemployment compensation records is the Assistant
Archivist for Administrative Services. The addresses for these
locations are listed in Appendix B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address given in Appendix
B.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in payroll and time and attendance reporting system
records is obtained from: current and former NARA employees
themselves, timekeepers, supervisors of employees, GSA payroll
specialists, and other Federal agencies for which the individual
worked.
NARA 15
System name:
Freelance Editor/Indexer Files.
System location:
Freelance editor/indexer files are located in the Product
Development and Distribution Branch in the Washington, DC, area.
Categories of individuals covered by the system:
Individuals covered by this system include freelance editors and
indexers with whom NARA has contracted for editing and indexing
services or who have expressed an interest in performing such
services for NARA.
Categories of records in the system:
Freelance editor/indexer files may include correspondence,
resumes, biographical statements, evaluations, examples of previous
work, invoices, and certifications for payment. These records may
contain some or all of the following information about an individual:
Name, address, telephone number, educational background, professional
experience and awards, research interests, titles of publications,
and other information furnished by the individual.
Authority for maintenance of the system:
44 U.S.C. 2104, 2109, and 2307.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains freelance editor/indexer files on individuals to:
review professional qualifications of editors and indexers; make
assignments and indicate assignment completion dates; evaluate the
quality of work performed during assignments; and document editing
and indexing expenditures for budgetary purposes.
The routine use statements A, F, and G, described in Appendix A
following the NARA Notices, also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
Information in freelance editor/indexer files may be retrieved by
the name of the individual.
Safeguards:
During business hours, records are maintained in areas accessible
only to authorized NARA personnel. After business hours, buildings
have security guards and/or secured doors, and all entrances are
monitored by electronic surveillance equipment.
Retention and disposal:
Freelance editor/indexer files are temporary records and are
destroyed in accordance with the disposition instructions in the NARA
records schedule contained in FILES 203, the NARA Files Maintenance
and Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
The system manager is Assistant Archivist for Office of Records
Services--Washington, DC (NW). The address is listed in Appendix B
following the NARA notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address given in Appendix
B.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in freelance editor/indexer files may be obtained
from: Freelance editors and indexers with whom NARA has contracted to
perform editing and indexing services; freelance editors and indexers
who have expressed an interest in performing services for NARA; NARA
employees who maintain the files; and references furnished by
freelance editors and indexers.
NARA 16
System name:
Library Circulation Files.
System location:
Library circulation files are located at the National Archives
Library in the Washington, DC, area and at Presidential libraries.
The addresses are listed in Appendix B following the NARA notices.
Categories of individuals covered by the system:
Individuals covered by this system include all NARA employees and
researchers who have borrowed books and other materials from the
library collections of the National Archives Library and/or the
Presidential libraries.
Categories of records in the system:
Library circulation files contain the following information about
an individual: Name, correspondence symbol or address, telephone
number, titles and call numbers of items borrowed, and dates that the
items were borrowed.
Authority for maintenance of the system:
44 U.S.C. 2104.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains library circulation files on individuals in order
to control the circulation of library books, periodicals, and other
materials in NARA's library collections. The routine use statements
A, F, and G, described in Appendix A following the NARA Notices,
apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in library circulation files may be retrieved by the
name of an individual, by the title of the item charged out, or by
the call number for the item.
Safeguards:
During business hours, paper records are maintained in areas
accessible only to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
After business hours, buildings have security guards and/or secured
doors, and all entrances are monitored by electronic surveillance
equipment.
Retention and disposal:
Library circulation files are temporary records and are destroyed
in accordance with the disposition instructions in the NARA records
schedule contained in FILES 203, the NARA Files Maintenance and
Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
The system manager for library circulation files in the
Washington, DC, area is the Assistant Archivist, Office of Records
Services--Washington, DC (NW). The system managers for library
circulation files in the Presidential libraries are the directors of
the individual libraries. The addresses for the locations are listed
in Appendix B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address given in Appendix
B.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in library circulation files is obtained from NARA
employees and researchers who borrow books and other materials from
the library collections of the National Archives Library and/or the
Presidential Libraries.
NARA 17
System name:
Grievance Records.
System location:
Grievance records are maintained in Employee Relations and
Benefits Branch locations at the National Archives at College Park,
MD and in St. Louis, MO.
Categories of individuals covered by the system:
Individuals covered by this system include current and former
NARA employees who have submitted grievances to NARA in accordance
with Office of Personnel Management (OPM) regulations (5 CFR part
771) or in accordance with internal negotiated grievance procedures.
Categories of records in the system:
Grievance records may include statements of witnesses, reports of
interviews and hearings, findings and recommendations of examiners,
copies of the original and final decisions, and related
correspondence and exhibits. These files may contain some or all of
the following information about an individual: Name, address, social
security number, correspondence symbol, telephone number, occupation,
grade, salary information, educational background, employment
history, medical information, and names of supervisors and witnesses.
Authority for maintenance of the system:
5 U.S.C. 1302, 3301, 3302, and 7121; Executive Order 10577 (3 CFR
1954 through 1958); Executive Order 10987 (3 CFR 1959 through 1963).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains grievance records on individuals in order to
process grievances submitted by or on behalf of NARA employees in
accordance with OPM regulations or internal negotiated grievance
procedures. NARA may disclose only enough information in grievance
records to any source from which additional information is requested
in the course of processing a grievance in order to: Identify the
source to the extent necessary, inform the source of the purpose(s)
of the request, and identify the type of information requested from
the source. NARA may also disclose information in grievance files to
officials of labor organizations recognized under the Civil Service
Reform Act when the information is relevant to the officials' duties
of exclusive representation concerning personnel policies, practices,
and matters affecting work conditions. The routine use statements A,
D, E, F, and G, described in Appendix A following the NARA Notices,
also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in grievance records may be retrieved by the name of
the individual.
Safeguards:
During business hours, records are maintained in areas accessible
only to authorized NARA personnel. After business hours, buildings
have security guards and/ or secured doors, and all entrances are
monitored by electronic surveillance equipment.
Retention and disposal:
Grievance files are temporary records and are destroyed in
accordance with the disposition instructions in the NARA records
schedule contained in FILES 203, the NARA Files Maintenance and
Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
The system manager is Assistant Archivist for Office of Human
Resources and Information Services (NH). The address for this
location is listed in Appendix B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address given in Appendix
B.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Contesting record procedures:
Review of requests from individuals seeking amendment of their
records, which have been the subject of a judicial or quasi-judicial
action, will be limited in scope. Review of amendment requests of
these records will be restricted to determine if the record
accurately documents the action of the NARA ruling on the case and
will not include a review of the merits of the action, determination,
or finding. NARA rules for contesting the contents and appealing
initial determinations are found in 36 CFR part 1202.
Record source categories:
Information in grievance records may be obtained from:
Individuals on whom records are maintained, witnesses, NARA
officials, and NARA and the General Services Administration payroll
and personnel specialists.
NARA 18
System name:
General Law Files.
System location:
Records are located in the Office of the General Counsel in the
Washington, DC, area.
Categories of individuals covered by the system:
Individuals covered by this system include: Current and former
NARA employees, other Federal agency employees, individual members of
the public, witnesses in litigation, persons who have requested
records under the Freedom of Information Act (FOIA) and/or the
Privacy Act, persons about whom requests under FOIA and/or the
Privacy Act have been made, and persons involved in litigation to
which NARA is a party.
Categories of records in the system:
Records in the system may contain some or all of the following
information about an individual: Name, social security number,
position description, grade, salary, work history, complaint, credit
ratings, medical diagnoses and prognoses, and doctor's bills. The
system may also contain other records such as: case history files,
copies of applicable law(s), working papers of attorneys, testimony
of witnesses, background investigation materials, correspondence,
damage reports, contracts, accident reports, pleadings, affidavits,
estimates of repair costs, invoices, litigation reports, financial
data, and other data.
Authority for maintenance of the system:
5 U.S.C. 552; 5 U.S.C. 552a; 5 U.S.C., Part II; 5 U.S.C., Chapter
33; 5 U.S.C. 5108, 5314-5316 and 42 U.S.C. 20003, et seq.; 5 U.S.C.
7151-7154; 5 U.S.C. 7301; 5 U.S.C. 7501, note (adverse actions); 5
U.S.C., Chapter 77; 5 U.S.C. App.; 28 U.S.C. 1291, 1346(b)(c),
1402(b), 1504, 2110; 31 U.S.C. 3701, 3711, 3713, 3717, 3718, 3721.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records are used to: Give general legal advice, as requested,
throughout NARA; prepare attorneys for hearings and trials; reference
past actions; and maintain internal statistics.
Information may be disclosed to the Department of Justice in
review, settlement, defense, and prosecution of claims, complaints,
and lawsuits involving contracts, torts, debts, bankruptcy, personnel
adverse action, equal employment opportunity, unit determination,
unfair labor practices, and FOIA and Privacy Act requests.
Information may be disclosed to the Office of Government Ethics (OGE)
to obtain OGE advice on an ethics issue, to refer possible ethics
violations to OGE, or during an OGE evaluation of NARA's Ethics
Program. The routine use statements A, B, C, D, E, F, and G,
described in Appendix A following the NARA notices, also apply to
this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
Information may be obtained by the name of the individual or by a
case number assigned by the court or agency hearing the complaint or
appeal.
Safeguards:
During business hours, records are maintained in areas accessible
only to authorized NARA personnel. After business hours, buildings
have security guards and/or secured doors, and all entrances are
monitored by electronic surveillance equipment.
Retention and disposal:
Most files are temporary records and are destroyed in accordance
with disposition instructions in the NARA records schedule contained
in FILES 203, the NARA Files Maintenance and Records Disposition
Manual. Significant litigation files are permanent records that are
eventually transferred to the National Archives of the United States.
Individuals may request a copy of the disposition instructions from
the NARA Privacy Act Officer.
System manager(s) and address:
The system manager is the NARA General Counsel. The address for
this location is listed in Appendix B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address given in Appendix
B.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in this system of records comes from one or more of
the following sources: Federal employees and private parties involved
in torts and employee claims, contracts, personnel actions, unfair
labor practices, and debts concerning the Federal Government;
witnesses; and doctors and other health professionals.
NARA 19
System name:
Workers Compensation Case Files.
System location:
Workers compensation case files are located in the Employee
Relations and Benefits Branch at the National Archives at College
Park, and in the administrative offices of field units. The addresses
are listed in Appendix B following the NARA notices.
Categories of individuals covered by the system:
Individuals covered by this system include NARA employees and
former employees who have reported on CA-1 or CA-2 work-related
injuries or other occupational health problems.
Categories of records in the system:
Workers compensation case files may include: accident reports,
including CA-1 & 2, Federal Employees Notice of Injury or
Occupational Disease; CA-4, Claims For Compensation for Injury or
Occupation Disease; CA-8, Claims for Continuance of Compensation on
Account of Disability; time and attendance reports, and medical
reports from physicians and other health care professionals. These
files may contain some or all of the following information about an
individual: Name, address, correspondence symbol, telephone number,
occupation, birthdate, names of supervisors and witnesses, and
medical information related to work-related accidents or other
occupational health problems.
Authority for maintenance of the system:
5 U.S.C. 7902 and Chapter 81.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains workers compensation case files on individuals in
order to identify and record information about those NARA employees
who have sustained injuries or reported other occupational health
problems, and to facilitate the preparation of statistical and other
reports regarding work-related injuries or other occupational health
problems. NARA may disclose information in the files to a Federal,
State, or local public health service agency, concerning individuals
who have contracted certain communicable diseases or conditions. NARA
may disclose information in the files to the Department of Labor for
purposes of administering the workers compensation program. NARA may
disclose information in the files to the Occupational Safety and
Health Administration for the purposes of monitoring workplace health
and safety issues. The routine use statements A, B, C, D, E, F, and
G, described in Appendix A following the NARA Notices, also apply to
this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in workers compensation case files may be retrieved
by the name of the individual.
Safeguards:
During business hours, records are maintained in areas accessible
only to authorized NARA personnel. After business hours, buildings
have security guards and/or secured doors, and all entrances are
monitored by electronic surveillance equipment.
Retention and disposal:
Workers compensation case files are temporary records and are
destroyed in accordance with the disposition instructions in the NARA
records schedule contained in FILES 203, the NARA Files Maintenance
and Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
The system manager is the Assistant Archivist for Human Resources
and Information Services. The address for this location is listed in
Appendix B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address given in Appendix
B.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in workers compensation case files may be obtained
from: individuals to whom the records pertain, NARA supervisors, NARA
personnel specialists, physicians, others providing health care
services, and the Department of Labor.
NARA 20
System name:
Reviewer/Consultant Files.
System location:
Reviewer/consultant files are located at the National Historical
Publications and Records Commission (NHPRC) in Washington, DC.
Categories of individuals covered by the system:
Individuals covered by the system include persons who have
expressed an interest in or have served as reviewers or consultants
for the NHPRC records or publications grant programs.
Categories of records in the system:
Reviewer/consultant files may include resumes, biographical
statements, correspondence, and lists containing some or all of the
following information about an individual: Name, address, telephone
number, educational background, professional experience and awards,
and titles of publications.
Authority for maintenance of the system:
44 U.S.C. 2501 through 2506.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NHPRC maintains reviewer/consultant files on individuals in order
to select reviewers who will evaluate proposals received for the
records and publications grant programs, and to recommend archival
consultants for those state and non-state organizations that have
received grants for records and publications projects. NARA may
disclose to grant recipients the lists of names of potential
consultants, in order for the recipients to contact individuals who
have expressed an interest in serving as consultants on grant
projects. The routine use statement F, described in Appendix A
following the NARA Notices, also applies to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in reviewer/consultant files may be retrieved by the
name of the individual or the proposal evaluated by the reviewer.
Safeguards:
During business hours, records are maintained in areas accessible
only to authorized NARA personnel. Electronic records are accessible
via passwords from terminals located in attended offices. After
hours, the building has security guards and/or doors are secured and
all entrances are monitored by electronic surveillance equipment.
Retention and disposal:
Reviewer/consultant files are temporary records and are destroyed
in accordance with the disposition instructions in the NARA records
schedule contained in FILES 203, the NARA Files Maintenance and
Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
The system manager for reviewer/consultant files is the Executive
Director, NHPRC. The address for this location is listed in Appendix
B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in reviewer/consultant files may be obtained from
reviewers and consultants and from references furnished by them.
NARA 21
System name:
Fellowship and Editing Institute Application Files.
System location:
Fellowship and Editing Institute application files are located in
the National Historical Publications and Records Commission (NHPRC)
in the Washington, DC, area.
Categories of individuals covered by the system:
Individuals covered by this system include applicants for NHPRC
fellowships in archival administration and advanced historical
editing and for the annual Institute for the Editing of Historical
Documents.
Categories of records in the system:
Fellowship and Editing Institute application files may include
application forms, correspondence, resumes, college transcripts, and
evaluations. These records may contain some or all of the following
information about an individual: Name; address; telephone number;
educational background; professional experience and awards; archival
and historical records experience; titles of publications; and other
information provided in letters of reference furnished by applicants
and in evaluations completed by fellowship institutions and
documentary editing projects.
Authority for maintenance of the system:
44 U.S.C. 2504 and 2506.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NHPRC maintains fellowship and Editing Institute application
files on individuals in order to: Evaluate the preliminary
eligibility of applicants for fellowships; jointly select, with the
Director of the Editing Institute, applicants to attend the Institute
for the Editing of Historical Documents; and oversee grant-making and
grant administration programs. NHPRC discloses copies of individuals'
fellowship application files to officials of fellowship institutions
and documentary editing projects for the purposes of selecting
fellows and administering fellowships in archival administration and
advanced historical editing. NHPRC discloses copies of individuals'
Editing Institute applications to the director of the Editing
Institute to select applicants to attend the annual Institute and to
determine the most useful areas of instruction for successful
applicants. The routine use statements A and F, described in Appendix
A following the NARA Notices, also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in fellowship and Editing Institute application files
may be retrieved by the name of the individual.
Safeguards:
During business hours, records are maintained in areas accessible
only to authorized NARA personnel. Electronic records are accessible
via passwords from terminals located in attended offices. After
business hours, buildings have security guards and/or secured doors,
and all entrances are monitored by electronic surveillance equipment.
Retention and disposal:
Nearly all fellowship application files and all Editing Institute
application files are temporary records and are destroyed in
accordance with the disposition instructions in the NARA records
schedule contained in FILES 203, the NARA Files Maintenance and
Records Disposition Manual. However, on occasion, files for accepted
fellowship applications may be selected by the Executive Director for
inclusion in grant case files which have met established criteria for
permanent retention in the National Archives of the United States.
Individuals may request a copy of the disposition instructions from
the NARA Privacy Act Officer.
System manager(s) and address:
The system manager is the Executive Director, NHPRC, Washington,
DC. The address for this location is listed in Appendix B following
the NARA notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B following the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in fellowship and Editing Institute application files
may be obtained from: Applicants for fellowships in archival
administration or advanced historical editing under the NHPRC grant
program; applicants for the Institute for the Editing of Historical
Documents; references furnished by applicants; and officials of
fellowship institutions, documentary editing projects, and the
Institute for the Editing of Historical Documents.
NARA 22
System name:
Employee Related Files.
System location:
Employee related files may be maintained at supervisory or
administrative offices at all NARA facilities.
Categories of individuals covered by the system:
Individuals covered by this system include former and current
NARA employees and relatives of employees of the National Personnel
Records Center.
Categories of records in the system:
Employee related files consist of a variety of employee related
records maintained for the purpose of administering personnel
matters. These files may contain some or all of the following
information about an individual: Name; home and emergency addresses
and telephone numbers; social security number; birthdate;
professional qualifications, training, awards, and other recognition;
employment history; and information about congressional employee
relief bills, conduct, and work assignments. Employee related records
may also include military service data on employees of the National
Personnel Records Center and their relatives accumulated by operating
officials in administering the records security program at the
Center. Employee related files do not include official personnel
files, which are covered by Office of Personnel Management systems of
records OPM/GOVT-1 through 10.
Authority for maintenance of the system:
5 U.S.C. and 31 U.S.C.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains employee-related files on individuals in order to
document travel and outside employment activities of NARA employees,
and to carry out personnel management responsibilities in general.
The routine use statements A, B, C, D, F, and G, described in
Appendix A following the NARA Notices, also apply to this system of
records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in employee related files may be retrieved primarily
by the name of the individual.
Safeguards:
During business hours, paper records are maintained in areas
accessible only to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
After business hours, buildings have security guards and/or secured
doors, and all entrances are monitored by electronic surveillance
equipment.
Retention and disposal:
Employee related files are temporary records and are destroyed in
accordance with the disposition instructions in the NARA records
schedule contained in FILES 203, the NARA Files Maintenance and
Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
System managers for employee files are the office heads and staff
directors of individual offices and staffs in the Washington, DC,
area and the directors of the individual Presidential libraries and
projects, and regional records services facilities. The addresses for
these locations are listed in Appendix B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B following the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in employee related files may be obtained from NARA
employees and supervisors, and other personnel and administrative
records.
NARA 23
System name:
Investigative Case Files.
Security classification:
Some of the material contained in this system of records has been
classified in the interests of the national security pursuant to
Executive Orders 12958 and 13142.
System location:
Investigative case files are located in the Office of Inspector
General at the National Archives at College Park.
Categories of individuals in the system:
Individuals covered by this system of records may include:
persons who have been the source of a complaint or an allegation that
a crime has occurred, witnesses having information or evidence
concerning an investigation, and suspects in criminal,
administrative, or civil actions. Current and former NARA employees,
NARA contract employees, members of NARA's Federal advisory
committees, and members of the public are covered under this system
of records when they become subjects of or witnesses to authorized
investigations.
Categories of records in the system:
Investigative case files may include: Statements of alleged
administrative, ethical or criminal wrongdoing; reports; related
correspondence; exhibits; copies of forms and decisions; summaries of
hearings and meetings; notes; attachments; and other working papers.
These records may contain some or all of the following information
about an individual: name; address; correspondence symbol; telephone
number; birthdate; birthplace; citizenship; educational background;
employment history; medical history; identifying numbers such as
social security and driver's license numbers; and insurance
information.
Authority for maintenance of the system:
5 U.S.C. App. Section 3 et seq.; Executive Order 10450; Executive
Order 11478; Executive Order 11246; and 44 U.S.C. 2104(h).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains investigative case files on individuals to:
examine allegations and/or complaints of fraud, waste, abuse, and
irregularities and violations of laws and regulations; make
determinations resulting from these authorized investigations; and
facilitate the preparation of statistical and other reports by the
Office of Inspector General. The routine use statements A, B, C, and
G, described in Appendix A following the NARA Notices, apply to this
system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
Information in investigative case files may be retrieved by the
name of the individual.
Safeguards:
During business hours, records are maintained in areas accessible
only to authorized NARA personnel. After business hours, buildings
have security guards and/or secured doors, and all entrances are
monitored by electronic surveillance equipment.
Retention and disposal:
Nearly all investigative case files are temporary records and are
destroyed in accordance with the disposition instructions in the NARA
records schedule contained in FILES 203, the NARA Files Maintenance
and Records Disposition Manual. However, the retention and disposal
of significant investigative case files, such as those that result in
national media attention, congressional investigation, and/or
substantive changes in agency policy or procedure, are determined on
a case-by-case basis. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
The system manager is the Inspector General, Office of Inspector
General. The address is listed in Appendix B following the NARA
Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B following the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in investigative case files may be obtained from
current and former NARA employees, NARA contract employees, members
of NARA's Federal advisory committees, researchers, law enforcement
agencies, other Government agencies, informants, and educational
institutions, and from individuals' employers, references, co-
workers, and neighbors.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5), this
system of records is exempt from subsections (c)(3); (d); (e)(1);
(e)(4)(G), (H), and (I); and (f) of the Privacy Act of 1974. The
system is exempt:
(1) To the extent that the system consists of investigatory
material compiled for law enforcement purposes; however, if any
individual is denied any right, privilege, or benefit to which the
individual would otherwise be entitled by Federal law or otherwise
eligible as a result of the maintenance of such material, such
material shall be provided to such individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or, prior to the effective date of the Act, under an implied promise
that the identity of the source would be held in confidence; and
(2) To the extent the system of investigatory material compiled
solely for the purpose of determining suitability, eligibility, or
qualifications for Federal civilian employment, military service,
Federal contracts, or access to classified material, but only to the
extent that the disclosure of such material would reveal the identity
of a source who furnished information to the Government under an
express promise that the identity of the source would be held in
confidence, or, prior to the effective date of the Act, under an
implied promise that the identity of the source would be held in
confidence.
NARA 24
System name:
Personnel Security Files.
Security classification:
Some of the material contained in this system of records has been
classified in the interests of national security under Executive
Orders 12958 and 13142.
System location:
Personnel security records are located in the Space and Security
Management Division at the National Archives at College Park, MD.
Categories of individuals covered by the system:
Individuals covered by the system include: Current and former
NARA employees; applicants for employment with NARA; contract
employees performing services under NARA jurisdiction; and private
and Federal agency researchers, experts, and consultants who request
access to security-classified records.
Categories of records in the system:
Personnel security files may include questionnaires,
correspondence, summaries of reports, and electronic logs of
individuals' security clearance status. These records may contain the
following information about an individual: Name, current address,
telephone number, birthdate, birthplace, social security number,
educational background, employment and residential history,
background investigative material, and security clearance data.
Authority for maintenance of the system:
Executive Order 10450; Executive Order 12958; Executive Order
12968; Executive Order 13142; and 5 U.S.C. 301.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains personnel security records on individuals as a
basis for determining suitability for Federal or contractual
employment and for issuing and recertifying security clearances.
Routine use statement C, described in Appendix A following the NARA
Notices, applies to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper, microfiche, and electronic records.
Retrievability:
Information in the records may be retrieved by the name of the
individual or by social security number.
Safeguards:
During business hours, paper and microfiche records are
maintained in locked rooms and/or in three-way combination dial safes
with access limited to authorized employees. Electronic records are
accessible via passwords from terminals located in secured offices.
Information is released only to officials on a need-to-know basis.
After hours, buildings have security guards and/or doors are secured,
and all entrances are monitored by electronic surveillance equipment.
Retention and disposal:
Personnel security files are temporary records and are destroyed
in accordance with the disposition instructions in the NARA records
schedule contained in FILES 203, the NARA Files Maintenance and
Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
The system manager is the Assistant Archivist for Administrative
Services. The address for this location is listed in Appendix B
following the NARA notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B following the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in personnel security files may be obtained from:
NARA employees; applicants for employment; contractor employees;
private and Federal agency researchers, experts, and consultants; law
enforcement agencies; other government agencies; intelligence
sources; informants; educational institutions; and individuals'
employers, references, co-workers, and neighbors.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5), the
personnel security case files in this system of records are exempt
from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and
(f) of the Privacy Act of 1974, as amended. The system is exempt:
(1) To the extent that the system consists of investigatory
material compiled for law enforcement purposes; however, if any
individual is denied any right, privilege, or benefit to which the
individual would otherwise be eligible as a result of the maintenance
of such material, such material shall be provided to such individual,
except to the extent that the disclosure of such material would
reveal the identity of a person who furnished information to the
Government under an express promise that the identity of the person
would be held in confidence, or, prior to the effective date of the
Act, under an implied promise that the identity of the person would
be held in confidence; and
(2) To the extent that the system consists of investigatory
material compiled solely for the purpose of determining suitability,
eligibility, or qualifications for Federal civilian employment,
military service, Federal contracts, or access to classified
material, but only to the extent that the disclosure of such material
would reveal the identity of a person who furnished information to
the Government under an express promise that the identity of the
person would be held in confidence, or, prior to the effective date
of the Act, under an implied promise that the identity of the person
would be held in confidence. This system has been exempted to
maintain the efficacy and integrity of lawful investigations
conducted pursuant to the responsibilities of the National Archives
and Records Administration in the areas of Federal employment,
Government contracts, and access to security-classified information.
NARA 25
System name:
Order Fulfillment and Accounting System Records (OFAS).
System location:
OFAS records are maintained in organizational units in the
following Washington, DC, area locations:
[sbull] Office of Records Services--Washington, DC;
[sbull] Office of Presidential Libraries;
[sbull] Office of the Federal Register;
[sbull] Office of Regional Records Services; and
[sbull] National Archives Trust Fund Division.
Categories of individuals covered by the system:
Individuals covered by this system include: researchers who order
reproductions at Washington, DC, area and regional records services
facilities or online at www.archives.gov; and customers who order
NARA inventory items, such as microform and printed publications,
mementos, and other specialty products from catalogues and other
marketing publications.
Categories of records in the system:
OFAS records may include: Catalogue order forms; other ordering
forms; correspondence; copies of checks, money orders, credit card
citations, and other remittances; invoices; and order and accounting
information in the electronic system. These records may contain some
or all of the following information about an individual: Name,
address, telephone number, record(s) or item(s) ordered, and credit
card or purchase order information. OFAS records also include user
profile data, reproduction order form data, transaction data, and
credit card payment data transmitted from Order Online! (NARA Online
Ordering System--NARA 37) via an automated XML (extensible markup
language) interface that operates within NARA's secure internal
network.
Authority for maintenance of the system:
44 U.S.C. 2116(c) and 2307.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains OFAS records on individuals to: receive, maintain
control of, and process orders for reproductions of archival records
and other fee items; bill customers for orders; maintain payment
records for orders; process refunds; and provide individuals
information on other NARA products.
Customer order information may be initially disclosed to a NARA
agent, a bank that collects and deposits payments in a lockbox
specifically used for crediting order payments to the National
Archives Trust Fund. NARA may disclose certain order information to
contractors acting as NARA agents that make reproductions of archival
records. NARA also may disclose information in OFAS records for the
processing of customer refunds to the General Services Administration
(GSA), which provides NARA's financial and accounting system under a
cross-servicing agreement.
The routine use statements A, E, and F, described in Appendix A
apply to this system of records. Appendix A was published in the
Federal Register on April 2, 2002 (67 FR 15592).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in OFAS records may be retrieved by the name of the
individual and/or the OFAS transaction number. The invoice number or
zip code may also retrieve information in electronic records.
Safeguards:
During business hours, paper records are maintained in areas
accessible only to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
Credit card information is compartmentalized so that it is available
only to those NARA employees responsible for posting and billing
credit card transactions. After hours, buildings have security guards
and/or doors are secured and all entrances are monitored by
electronic surveillance equipment.
Retention and disposal:
OFAS records are temporary records and are destroyed in
accordance with the disposition instructions in the NARA records
schedule contained in FILES 203, the NARA Files Maintenance and
Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
The system manager for OFAS records is: Assistant Archivist for
Administrative Services (NA). The address for this location is listed
in Appendix B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records are to
notify the NARA Privacy Act Officer at the address listed in Appendix
B following the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records are to
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in OFAS records is obtained from customers, NARA
employees or agents who are involved in the order process, and GSA
employees who process refunds.
NARA 26
System name:
Volunteer Files.
System location:
Volunteer files may be maintained at supervisory or
administrative offices at all NARA facilities that use volunteer
workers.
Categories of individuals covered by the system:
Individuals covered by this system include persons who have
applied to be NARA volunteers.
Categories of individuals covered by the system:
Volunteer files consist of a variety of records maintained by
operating officials to administer personnel matters affecting
volunteers. Records may include: Applications for volunteer service
and for building passes, registration forms, other administrative
forms, correspondence, resumes, letters of recommendation, college
transcripts and forms, performance assessments, and copies of
timesheets. Volunteer files may include some or all of the following
information about an individual: Name; home and emergency addresses
and telephone numbers; social security number; birthdate;
professional qualifications, training, awards, and other recognition;
employment history; and information about injuries, conduct,
attendance, years of service, and work assignments. This system of
records does not include official personnel files, which are covered
by Office of Personnel Management systems of records OPM/GOVT-1
through 10.
Authority for maintenance of the system:
44 U.S.C. 2105(d) and generally 5 and 31 U.S.C.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains volunteer files on individuals to: Evaluate
individuals who apply to serve as volunteers, docents, interns, and
work study students at NARA facilities; assign work and monitor
performance; and carry out personnel management responsibilities in
general affecting those volunteers. NARA may disclose attendance and
performance information on interns and work study students to
colleges and universities that oversee those individuals in student
internships and work-study programs. The routine use statements A, B,
C, D, F, and G, described in Appendix A following the NARA Notices,
also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in volunteer files may be retrieved primarily by the
name of the individual.
Safeguards:
During business hours, paper records are maintained in areas
accessible only to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
After business hours, buildings have security guards and/or secured
doors, and all entrances are monitored by electronic surveillance
equipment.
Retention and disposal:
Volunteer files are temporary records and are destroyed in
accordance with the disposition instructions in the NARA records
schedule contained in FILES 203, the NARA Files Maintenance and
Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
For volunteer files located in Staff Development Services Branch,
the system manager is the Assistant Archivist for Human Resources and
Information Services. For volunteer files located in organizational
units in the Office of Records Services--Washington, DC the system
manager is the Assistant Archivist for Records Services--Washington,
DC. For volunteer files located in individual Presidential libraries,
projects, and staffs, and regional records services facilities, the
system manager is the director of the Presidential library, project,
or staff or regional records services facilities. The addresses for
these locations are listed in Appendix B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B following the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in volunteer files is obtained from the volunteers
themselves, NARA supervisors, persons listed as references in
applications submitted by volunteers, and educational institutions.
NARA 27
System name:
Contracting Officer and Contracting Officer's Technical
Representative (COTR) Designation Files.
System location:
Contracting officer and contracting officer's technical
representative (COTR) designation files are maintained in the
Acquisitions Services Division and the Financial Services Division in
the Washington, DC, area.
Categories of individuals covered by the system:
Individuals covered by this system include current and former
NARA employees who have been appointed as NARA contracting officers,
Government credit cardholders, and COTRs in accordance with Federal
Acquisition Regulations (FAR) and internal procurement procedures.
Categories of records in the system:
Contracting officer and COTR designation files may include:
Standard Forms 1402, Certificate of Appointment; correspondence,
copies of training course certificates; copies of training forms; and
lists. These files may contain some or all of the following
information about an individual: name, address, NARA correspondence
symbol, telephone number, social security number, birthdate, position
title, grade, procurement authorities, and information about
procurement training and Government credit cards issued.
Authority for maintenance of the system:
44 U.S.C. 2104 and 48 CFR 1.603 generally.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains contracting officer and COTR designation files in
order to administer procurement certification and training programs
for NARA contracting officers, credit cardholders, and COTRs in
accordance with the FAR and internal procurement procedures.
The routine use statements A and F, described in Appendix A
following the NARA Notices, also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in contracting officer and COTR designation files may
be retrieved by the name of the individual or by NARA correspondence
symbol.
Safeguards:
During business hours, records are maintained in areas accessible
only to authorized NARA personnel. Electronic records are accessible
via passwords from terminals located in attended offices. After
business hours, buildings have security guards and/or secured doors,
and all entrances are monitored by electronic surveillance equipment.
Retention and disposal:
Contracting officer and COTR designation files are temporary
records and are destroyed in accordance with the disposition
instructions in the NARA records schedule contained in FILES 203, the
NARA Files Maintenance and Records Disposition Manual. Electronic
files are periodically updated and purged of outdated information.
Individuals may request a copy of the disposition instructions from
the NARA Privacy Act Officer.
System manager(s) and address:
The system manager for contracting officer and COTR designation
files is the Assistant Archivist for Administrative Services. The
address for this location is listed in Appendix B following the NARA
Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B following the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in contracting officer and COTR designation files may
be obtained from the individuals on whom records are maintained, NARA
supervisors, and organizations that provide procurement training or
issue Government credit cards.
NARA 28
System name:
Tort and employee claim files.
System location:
Records are located in the Office of General Counsel (NGC).
Categories of individuals covered by the system:
Individuals covered by this system include: Current and former
NARA employees, other Federal agency employees, and individual
members of the public who have filed a tort claim or an employee
claim against NARA.
Categories of records in the system:
Records in the system may contain some or all of the following
information about an individual: Name, social security number,
position description, grade, salary, work history, complaint, credit
ratings, medical diagnoses and prognoses, and doctor's bills. The
system may also contain other records such as: Case history files,
copies of applicable law(s), working papers of attorneys, testimony
of witnesses, background investigation materials, correspondence,
damage reports, contracts, accident reports, pleadings, affidavits,
estimates of repair costs, invoices, financial data, and other data.
Authority for maintenance of the system:
5 U.S.C. 552; 5 U.S.C. 552a; 5 U.S.C., Part II; 28 U.S.C. 1291,
1346(b)(c), 1402(b), 1504, 2110, 2401(b), 2402, 2411(b), 2412(c),
2671-2680.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records are used to make determinations on tort and employee
claims and for internal statistical reports. Information may be
disclosed to: The General Services Administration to process payments
for approved claims; and the Department of Justice in review,
settlement, defense, and prosecution of claims, and law suits arising
from those claims. The routine use statements A, B, C, E, F, and G,
described in Appendix A following the NARA notices, also supply to
this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
Information may be retrieved by the name of the individual.
Safeguards:
During business hours, records are maintained in areas accessible
only to authorized NARA personnel. After business hours, buildings
have security guards and/or secured doors, and all entrances are
monitored by electronic surveillance equipment.
Retention and disposal:
Tort and employee claim files are temporary records and are
destroyed in accordance with disposition instructions in the NARA
records schedule contained in FILES 203, the NARA Files Maintenance
and Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
The system manager is the General Counsel, Office of General
Counsel. The address for this location is listed in Appendix B
following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B following the NARA Notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in this system of records comes from one or more of
the following sources: Federal employees and private parties involved
in torts and employee claims, witnesses, and doctors and other health
professionals.
NARA 29
System name:
State Historical Records Advisory Board Member Files.
System location:
State historical records advisory board member files are located
at the National Historical Publications and Records Commission
(NHPRC) in Washington, DC.
Categories of individuals covered by the system:
Individuals covered by the system include persons who have been
appointed by states, territories, and the District of Columbia to
serve as members of state historical records advisory boards.
Categories of records in the system:
Board member files may include correspondence, resumes,
biographical statements, and lists containing some or all of the
following information about an individual: Name, address, telephone
number, appointment expiration date, educational background,
professional experience and awards, archival and historical records
experience, and titles of publications.
Authority for maintenance of the system:
44 U.S.C. 2504.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The NHPRC maintains files on members of state historical records
advisory boards to: Document membership on state boards that
participate in NHPRC records grant programs; oversee NHPRC grant-
making and grant administration responsibilities; and contact board
members about future meetings and events. The routine use statement
F, described in Appendix A following the NARA Notices, also applies
to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in state historical records advisory board member
files may be retrieved by the name of the individual or by state.
Safeguards:
During business hours, records are maintained in areas accessible
only to authorized NARA personnel. Electronic records are accessible
via passwords from terminals located in attended offices. After
hours, the building has security guards and/or doors are secured and
all entrances are monitored by electronic surveillance equipment.
Retention and disposal:
State historical records advisory board member files are
temporary records and are destroyed in accordance with the
disposition instructions in the NARA records schedule contained in
FILES 203, the NARA Files Maintenance and Records Disposition Manual.
Individuals may request a copy of the disposition instructions from
the NARA Privacy Act Officer.
System manager(s) and address:
The system manager for state historical records advisory board
member files is the Executive Director, NHPRC. The address is listed
in Appendix B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B after the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in the NARA notices.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in state historical records advisory board member
files may be obtained from board members themselves, state officials,
and references furnished by board members.
NARA 30
System name:
Garnishment files.
System location:
Records are located in the Office of General Counsel (NGC).
Categories of individuals covered by the system:
Individuals covered by this system include current and former
NARA employees against whom a garnishment order has been filed.
Categories of records in the system:
Records in the system may contain some or all of the following
information about an individual: Name, social security number,
address, position title and NARA unit, salary, debts, and creditors.
Authority for maintenance of the system:
5 U.S.C. Part II; 42 U.S.C. 659; 11 U.S.C. 1325; 5 U.S.C. 15512
to 5514, 5517, 5520.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records are used to process garnishment orders. Information is
disclosed to the General Services Administration, acting as NARA's
payroll agent, to process withholdings for garnishments. The routine
use statements E, and F, described in Appendix A following the NARA
notices, also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
Information may be retrieved by the name of the individual.
Safeguards:
During business hours, records are maintained in areas accessible
only to authorized NARA personnel. After business hours, buildings
have security guards and/or secured doors, and all entrances are
monitored by electronic surveillance equipment.
Retention and disposal:
Garnishment files are temporary records and are destroyed in
accordance with disposition instructions in the NARA records schedule
contained in FILES 203, the NARA Files Maintenance and Records
Disposition Manual. Individuals may request a copy of the disposition
instructions from the NARA Privacy Act Officer.
System manager(s) and address:
The system manager is the General Counsel, Office of the General
Counsel. The address for this location is listed in Appendix B
following the NARA notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B following the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in this system of records comes from courts that have
issued a garnishment order and NARA personnel records.
NARA 31
System name:
Ride Share Locator Database.
System location:
The ride share locator database is maintained at the Facilities
and Materiel Management Services Division (NAF).
Categories of individuals covered by the system:
Individuals covered by this system include NARA employees whose
duty station is or may become College Park, MD, and who have
expressed an interest in the NARA Ride Share Program.
Categories of records in the system:
The ride share locator database contains the following
information about an individual: name; city, county and state and zip
code of residence; NARA unit; and NARA work phone number.
Authority for maintenance of the system:
44 U.S.C. 2104.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains the ride share locator database to provide
employees with the names of and residential information of other
employees who have expressed an interest in sharing rides for daily
commuting to the National Archives at College Park, MD. The routine
use statement F, described in Appendix A following the NARA Notices,
also applies to this system.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic records from which paper records may be printed.
Retrievability:
Information in the ride share locator database may be retrieved
by the name of the individual, city, state, and/or zip code.
Safeguards:
During business hours, paper records are maintained in areas
accessible to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
After business hours, buildings have security guards and/or secured
doors, and all entrances are monitored by electronic surveillance
equipment.
Retention and disposal:
Records in the ride share locator database are temporary records
and are destroyed in accordance with the disposition instructions in
the NARA records schedule contained in FILES 203, the NARA Files
Maintenance and Records Disposition Manual. Individuals may request a
copy of the disposition instructions from the NARA Privacy Act
Officer.
System manager(s) and address:
The system manager for the ride share locator database is the
Assistant Archivist for Administrative Services. The address for this
location is listed in Appendix B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B following the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in the ride share locator database is obtained from
individuals who have furnished information to the NARA Ride Share
Program.
NARA 32
System name:
Alternate Dispute Resolution Files.
System location:
The agency's Alternate Dispute Resolution (ADR) files are
maintained by the Office of General Counsel (NGC).
Categories of individuals covered by the system:
Individuals covered by this system include NARA staff and former
staff, who participate in the ADR process, the agency's Dispute
Resolution Specialist and Deputy Dispute Resolution Specialist, and
contractor personnel used as mediators in the ADR process.
Categories of records in the system:
ADR files may include: Written and electronic communication
between the employee or former employee, participant
representative(s), Dispute Resolution Specialist and Deputy Dispute
Resolution Specialist, and the contractor mediator; procurement data;
invoices for services; and ADR case files. The system may contain the
following information about an individual: Name, home and office
addresses, telephone number, dollar value of services rendered by the
contractor, previous employment disputes, and education and
employment experience of the contractor.
Authority for maintenance of the system:
Public Laws 101-552 and 104-320, as amended.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains ADR files in order to facilitate the ADR program
at the agency. These records may be used by members of the Dispute
Resolution staff facilitating dispute resolution and payment of
contractors, and by the contractor mediators performing services and
invoicing for an ADR case. The Routine Use statements A and F,
described in Appendix A following the NARA notices, also apply to
this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in the records may be retrieved by: The name of the
individual; the location of the work site; a numeric case file
number; and/or the type of request.
Safeguards:
During normal hours of operation, paper records are maintained in
areas only accessible to authorized personnel of NARA. Electronic
records are accessible via passwords from terminals located in
attended offices. After hours, buildings have security guards and/or
doors are secured and all entrances are monitored by electronic
surveillance equipment.
Retention and disposal:
Agency ADR files are temporary records and are destroyed in
accordance with the disposition instructions in the NARA records
schedule contained in FILES 203, the NARA Files Maintenance and
Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
The system manager for ADR program files is the General Counsel,
NGC. The address for this organization is listed in Appendix B
following the NARA notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B following the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in the agency ADR program files is obtained from NARA
staff and former staff, participant representative(s), the Dispute
Resolution Staff, and the contractor mediators.
NARA 33
System name:
Development and Donor Files.
System location:
The agency's Development and Donor files are maintained by NARA's
Development Staff in the Office of the Archivist (NDEV), the National
Archives Trust Fund Division (NAT), and individual Presidential
libraries.
Categories of individuals covered by the system:
Individuals covered by this system include persons who donate
money or other gifts to NARA or directly to a Presidential library or
to the Foundation for the National Archives; prospective donors; and
other persons contacted by NDEV, the Archivist of the United States,
and other NARA officials.
Categories of records in the system:
Development and Donor files may include biographical and
demographic information for individuals and organizations; background
information, interests, affiliations, and giving history for donors,
including their relationship and participation with the organization
and its stakeholders; prospect management data such as interests,
affiliations, cultivation and solicitation of gifts, strategy
reports, and talking points; information on gifts and pledges made
and miscellaneous information about each gift; records of
acknowledgment packages and solicitation letters, including
membership cards, receipts, reminders, renewal notices, program
announcements, invitations, and attendance records for special
events.
Authority for maintenance of the system:
44 U.S.C. 2112(g)(1); 2305.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains Development and Donor files in order to facilitate
the statutory gift solicitation and receipt authority of the
Archivist of the United States. The information in these files may be
used by NARA staff to solicit, receive, expend, or otherwise use the
monetary donations and gifts on behalf of NARA. Development and Donor
files relating to the Foundation for the National Archives may be
used by NARA staff and the Board of Directors, staff and contractors
of the Foundation for the National Archives--a non-governmental
501(c)(3) organization that supports the programs and activities of
the National Archives--for these same purposes.
The Routine Use statements A, E, F, and G, described in Appendix
A following the NARA notices, also apply to this system of records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in the records may be retrieved by the name of the
individual or the organization, interest, project, or gift level with
which the individual is associated.
Safeguards:
During normal hours of operation, paper records are maintained in
areas accessible only to authorized personnel of NARA. Electronic
records are accessible via passwords from terminals located in
attended offices. After hours, buildings have security guards and/or
doors are secured and all entrances are monitored by electronic
surveillance equipment.
Retention and disposal:
Development and Donor files are temporary records and are
destroyed in accordance with the disposition instructions in the NARA
records schedule contained in FILES 203, the NARA Files Maintenance
and Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
For Development and Donor files relating to the activities of the
Foundation for the National Archives, the system manager is the
Director, NDEV. For Development and Donor files relating to the
activities of NAT, the system manager is the Director, NAT. For
Development and Donor files relating to the activities of the
individual Presidential libraries, the system manager is the director
of the individual Presidential library. The addresses for these
offices are listed in Appendix B following the NARA notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B following the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in the Development and Donor files is obtained from
the Foundation for the National Archives, communications with
members, cultivation and solicitation of prospective donors, and
publicly available sources.
NARA 34
System name:
Agency Ethics Program Files
System location:
The agency's ethics program files are maintained by the Office of
General Counsel (NGC). The address for this organization is listed in
Appendix B following the NARA Notices.
Categories of individuals covered by the system:
Individuals covered by this system include NARA employees and
former employees who request ethics guidance from the agency's ethics
staff.
Categories of records in the system:
Ethics program files may include employee memoranda and
correspondence, notes taken by the ethics staff, memoranda
summarizing advice given orally, and electronic records. These files
may contain the following information about an individual: Name,
address, and telephone number.
Authority for maintenance of the system:
Executive Orders 12674 and 12731, 5 CFR Parts 2638 and 7601.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains ethics program files on employees to document
advice and opinions given in ethics matters and to maintain a
historical record of ethics opinions that may be used in future
ethics cases. Routine use statements A, E, and G, described in
Appendix A following the NARA Notices, also apply to this system of
records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Information in credentials and passes may be retrieved by the
name of the individual or date.
Safeguards:
During business hours, paper records are maintained in areas
accessible only to authorized NARA personnel. Electronic records are
accessible via passwords from terminals located in attended offices.
After business hours, buildings have security guards and/or secured
doors, and all entrances are monitored by electronic surveillance
equipment.
Retention and disposal:
Agency ethics program files are temporary records and are
destroyed in accordance with the disposition instructions in the NARA
records schedule contained in FILES 203, the NARA Files Maintenance
and Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
The system manager for ethics program files is NGC. The address
for this organization is listed in Appendix B following the NARA
notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address given in Appendix
B.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in ethics program files is obtained from NARA
employees, former employees and the agency's ethics staff.
NARA 35
System name:
Case Management and Reporting System (CMRS).
System location:
This automated system is located at the National Personnel
Records Center (Military Personnel Records) in St. Louis, MO, and the
National Archives and Records Administration in College Park, MD. The
addresses for these locations are listed in Appendix B following the
NARA Notices.
Categories of individuals covered by the system:
Individuals covered by this system include persons who request
information from or access to inactive military personnel, medical,
and organizational records in the physical custody of the National
Personnel Records Center (Military Personnel Records). Also covered
are the subjects of these inactive records.
Categories of records in the system:
CMRS files may include: Correspondence, including administrative
forms used for routine inquiries and replies, between NARA staff and
requesters; stored copies of frequently requested documents from
individual Official Military Personnel Files (OMPF's); production and
response time data used for internal reporting purposes; and
databases used to respond to requests. These files may contain some
or all of the following information about an individual: Name,
address, telephone number, position title, name of employer/
institutional affiliation, identification of requested records,
social security number/service number, previous military assignments,
and other information furnished by the requester.
Authority for maintenance of the system:
44 U.S.C. 2108, 2110, and 2907.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains CMRS files to: Maintain control of records being
requested for either internal or external use, establish employee and
requester accountability for records, prepare replies to requester's
reference questions, record the status of requesters' requests and
NARA replies to those requests, and to facilitate the preparation of
statistical and other aggregate reports on employee performance and
requester satisfaction.
The routine use statements A, C, D, E, F, and G, described in
Appendix A following the NARA notices, also apply to this system of
records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic records.
Retrievability:
Information in CMRS files may be retrieved by the name, social
security or military service number of the veteran whose record was
the subject of the request. By use of a querying capability,
information may also be retrieved by use of a system-assigned request
number, by name and date of birth of the veteran, and by requester-
supplied information, such as name and address, phone number, or
email address.
Safeguards:
During business hours, electronic records are accessible to
authorized NARA personnel via passwords from terminals located in
attended offices. After business hours, buildings have security
guards and/or secured doors, and all entrances are monitored by
electronic surveillance equipment.
Retention and disposal:
The disposition of the records in the CMRS system is under
consideration. Accordingly, the records generated by the system
cannot be destroyed until a records schedule is approved by the
Archivist. Once the disposition is determined, retention and disposal
of the records will be governed in accordance with the applicable
disposition instructions in the NARA records schedule contained in
FILES 203, the NARA Files Maintenance and Records Disposition Manual.
Individuals may request a copy of the disposition instructions from
the NARA Privacy Act Officer.
System manager(s) and address:
The system manager, CMRS, is the Director, National Personnel
Records Center. The address for this location is listed in Appendix B
following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address given in Appendix
B.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address given in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in the CMRS file is obtained from requesters and from
NARA employees who maintain the file.
NARA 36
System name:
Public Transportation Benefit Program Files.
System location:
The transportation benefit program files are maintained in the
following locations in the Washington, DC, area and other
geographical regions. The addresses for these locations are listed in
Appendix B following the NARA Notices:
(1) The Facilities and Materiel Management Services Division
(NAF);
(2) Presidential libraries, projects, and staffs; and
(3) Regional records services facilities.
Categories of individuals covered by the system:
All NARA employees who have enrolled in the Public Transit
Subsidy Program (PTSP) are covered by this system, including: full-
time employees; part-time employees; intermittent employees; and
temporary employees and students.
Categories of records in the system:
The public transportation benefit program files contain
information on NARA employees that is used to document the
distribution of transportation subsidies. These files contain
information submitted on NA Form 6041, Application'Public Transit
Subsidy Program, by both current and non-current participants and
include: name; home address; social security number; NARA unit; and
NARA work phone number. In addition, files may contain vouchers and
other forms used to document the disbursement of subsidies.
Authority for maintenance of the system:
44 U.S.C. 2104 and Executive Order 13150.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains transportation benefit program files on
individuals in order to: provide the Department of Transportation
with the names, social security numbers, and addresses of NARA
employees who have enrolled in the Public Transit Subsidy Program or
are members of qualified vanpools; and to verify employee compliance
with the rules of the program. The routine use statements A and F,
described in Appendix B following the NARA notices, also applies to
this system.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper forms (NA 6041, Application--Public Transit Subsidy
Program; NA Form 6042--Authorization for Third Party Pickup--Public
Transit Subsidy Program) and electronic records.
Retrievability:
Information in the public transportation benefit program files
may be retrieved by the name of the individual.
Safeguards:
During business hours, paper records are maintained in areas
accessible to authorized NARA personnel. Electronic records are
accessible to authorized personnel via passwords from terminals
located in attended offices. After business hours, buildings have
security guards and/or secured doors, and all entrances are monitored
by electronic surveillance equipment.
Retention and disposal:
Records in the public transportation benefit program files are
temporary records and are destroyed in accordance with the
disposition instructions in the NARA records schedule contained in
FILES 203, NARA Files Maintenance and Records Disposition Manual.
Individuals may request a copy of the disposition instructions from
the NARA Privacy Act Officer.
System manager(s) and address:
The system manager for the transportation benefit program files
in the Washington, DC, area is the PTSP Manager in NAF. Local PTSP
managers are designated for the Presidential libraries and regional
records services facilities. The address for this location is listed
in Appendix B following the NARA Notices.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B following the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in the public transportation benefit program files is
obtained from individuals who have furnished information to the NARA
PTSP.
NARA 37
System name:
Order Online! (NARA Online Ordering System).
System location:
Order Online! is located in the data center at the National
Archives and Records Administration in College Park, MD.
Categories of individuals covered by the system:
Individuals covered by this system include researchers who order
reproductions of NARA archival materials at http://www.archives.gov.
Categories of records in the system:
Order Online records may include: user login data (i.e., user ID
and password; User Profile Data (e.g., name, address, phone number);
credit card payment data (e.g., card type, card number, expiration
date); reproduction order form data (e.g., detailed information
describing the requested archival record); and transaction data
(e.g., system-generated order identification information such as
order number, order date, order type).
Authority for maintenance of the system:
44 U.S.C. 2116(c), 2307 and 3504.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records maintained in the system are used only for order entry,
order validation, order processing, payment processing, and order
fulfillment. The public may use the Order Online! system to complete
and submit a reproduction order to NARA. Each night, Order Online!
submissions are sent to NARA's Order Fulfillment and Accounting
System (OFAS-NARA 25) via an automated XML (extensible markup
language) interface that operates within NARA's secure internal
network.
Order Online! maintains profile data (e.g., name, address, phone
number) for researchers who initiate orders of reproductions. The
profile data is used to automatically complete the payment and/or
shipping address sections of the order form so that customers do not
have to manually re-enter the information. Neither NARA nor its
agents use Order Online! customer profile data for other purposes.
The routine use statements A, E, and F, described in Appendix A
apply to this system of records. Appendix A was published in the
Federal Register on April 2, 2002 (67 FR 15592).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic records.
Retrievability:
Information in the Order Online! records may be retrieved by the
NARA customer using his or her user ID and password. Also, summary
order data (order number, master number [OFAS order number]), status
(e.g., received, processing, shipped, cancelled) and submission date
may be retrieved by the customer or the NARA customer service agent
using the order number.
Safeguards:
Access to the data center that houses the Order Online! system is
restricted to approved systems administrators and, with the exception
of a limited number of operations staff, is limited to normal
business hours. Electronic records are accessible only on a ``need to
know basis'' using controlled logins and passwords from terminals
located in attended offices. Credit card information is
compartmentalized so that it is available only to those NARA
employees responsible for posting and billing credit card
transactions. The National Archives at College Park has 24-hour
security guards, controlled entrances, and electronic surveillance.
Retention and disposal:
Order Online! records are temporary records and are destroyed in
accordance with the disposition instructions in the NARA records
schedule contained in FILES 203, the NARA Files Maintenance and
Records Disposition Manual. Individuals may request a copy of the
disposition instructions from the NARA Privacy Act Officer.
System manager(s) and address:
The system manager for Order Online! records is: Assistant
Archivist for Records Services--Washington, DC (NW). The address for
this location is listed in Appendix B following the NARA notices.
Notification procedure:
Individuals interested in inquiring about their records are to
notify the NARA Privacy Act Officer at the address listed in Appendix
B following the NARA notices.
Record access procedures:
Individuals who wish to gain access to their records are to
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information in Order Online! records is obtained from NARA
customers, employees or agents who are involved in the order process,
and General Services Administration (GSA) employees who process
refunds.
NARA 38
System name:
Project Management Records.
System location:
This system is located at the National Archives and Records
Administration (NARA) in College Park, MD.
Categories of individuals covered by the system:
Individuals covered by this system include NARA employees and
NARA contractors who work on NARA projects.
Categories of records in the system:
Individual files may contain some or all of the following
information about NARA employees and NARA contractors: name, job
title, work organization, supervisor, project assignments, work
experience, and work availability.
Project files consist of a list of NARA approved projects and
related information about these projects. These files will contain
some or all of the following information: work tasks, planned and
actual start and finish dates, resource requirements, dependencies
and deliverables.
Work files consist of information reported by an individual that
shows, by task: resource expenditures in hours and dollars, remaining
effort to complete the task, date of completion, risk assessments,
issues and documentation that shows work progress.
Authority for maintenance of the system:
44 U.S.C. 2104, 31 U.S.C. 1115, and 40 U.S.C. 1423.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
NARA maintains this information to effectively manage NARA's
project portfolio. This includes defining projects and, within them,
activities, tasks, milestones, and deliverables and assigning
individuals to projects, measuring performance of on-going projects
against established baselines, assessing the availability of
resources to begin new projects and determining the capital costs of
completed projects. Records will be disclosed for these uses both to
authorized NARA staff and to contractors assisting NARA in these
activities. These records may also be used to evaluate the
performance of individuals, both NARA staff and contractors, against
goals established by project managers and/or contract managers.
Records from this system of records may be disclosed as a routine
use to an agency or official of the U.S. Government exercising
oversight over an activity covered by the system, or over the methods
or manner in which NARA manages these activities, the resources
committed to them, and their results. Such disclosures are limited to
the extent necessary for them to exercise their oversight authority.
Oversight agencies include, but are not limited to, the NARA
Inspector General, GAO or other entities evaluating, auditing, or
reviewing NARA's project management, capital investments, and earned
value management. They may include officials of other agencies who
are partners of NARA in one or more of the projects covered by the
system.
The routine use statements A, C, D, E, F, and G described in
Appendix A published at 67 FR 15592, also apply to this system of
records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic and paper.
Retrievability:
Information in employee related files will be retrieved by the
name of the individual.
Safeguards:
Electronic records are accessible to authorized personnel via
password from terminals owned by NARA and maintained in NARA attended
offices. After business hours, buildings have security guards and/or
secured doors, and all entrances are monitored by electronic
surveillance equipment.
Retention and disposal:
The disposition of the project management records is under
consideration. Accordingly, the records generated cannot be destroyed
until a records schedule is approved by the Archivist. Once the
disposition is determined, retention and disposal of the records will
be governed in accordance with the applicable disposition
instructions in the NARA records schedule contained in FILES 203, the
NARA Files Maintenance and Records Disposition Manual. Individuals
may request a copy of the disposition instructions from the NARA
Privacy Act Officer.
System manager(s) and address:
The system manager for project management records is the
Assistant Archivist for Human Resources and Information Technology.
The address for this location is published at 67 FR 15592.
Notification procedure:
Individuals interested in inquiring about their records should
notify the NARA Privacy Act Officer at the address listed in Appendix
B published at 67 FR 15592.
Record access procedures:
Individuals who wish to gain access to their records should
submit their request in writing to the NARA Privacy Act Officer at
the address listed in Appendix B published at 67 FR 15592.
Contesting record procedures:
NARA rules for contesting the contents and appealing initial
determinations are found in 36 CFR part 1202.
Record source categories:
Information about individuals in the records is obtained
primarily from NARA employees and NARA contractors who work on NARA
projects. Addition information may be obtained from NARA supervisors,
other personnel, NARA operational records and information provided by
contractors who provide staff to work on NARA projects.
Appendix A: Routine Uses
The following routine use statements apply to National Archives
and Records Administration Privacy Act Notices where indicated:
A. Routine Use-Law Enforcement
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 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.
B. Routine Use-Disclosure When Requesting Information
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.
C. Routine Use-Disclosure of Requested Information
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, conducting a security or suitability investigation,
classifying a job, 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 on the matter.
D. Routine Use-Grievance, Complaint, Appeal
A record from this system of records may be disclosed to an
authorized appeal or 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 Office
of Personnel Management (OPM), the Merit Systems Protection Board,
Federal Labor Relations Authority, or the Equal Employment
Opportunity Commission when requested in the performance of their
authorized duties. To the extent that official personnel records in
the custody of NARA are covered within the system of records
published by OPM as Governmentwide records, those records will be
considered as a part of that Governmentwide system. Other records
covered by notices published by NARA and considered to be separate
systems of records may be transferred to OPM in accordance with
official personnel programs and activities as a routine use.
E. Routine Use-Congressional Inquiries
A record from this system of records may be disclosed as a
routine use to a Member of Congress or to a congressional staff
member in response to an inquiry of the congressional office made at
the request of the individual about whom the record is maintained.
F. Routine Use-NARA Agents
A record from this system of records may be disclosed as a
routine use to an expert, consultant, agent, or a contractor of NARA
to the extent necessary for them to assist NARA in the performance of
its duties. Agents include, but are not limited to, GSA or other
entities supporting NARA's payroll, finance, and personnel
responsibilities.
G. Routine Use-Department of Justice/Courts
A record from this system of records may be disclosed to the
Department of Justice or in a proceeding before a court or
adjudicative body before which NARA is authorized to appear, when:
(a) NARA, or any component thereof; or, (b) any employee of NARA in
his or her official capacity; or, (c) any employee of NARA in his or
her individual capacity where the Department of Justice or NARA has
agreed to represent the employee; or (d) the United States, where
NARA determines that litigation is likely to affect the agency or any
of its components, is a party to litigation or has an interest in
such litigation, and the use of such records by the Department of
Justice or by NARA before a court or adjudicative body is deemed by
NARA to be relevant and necessary to the litigation, provided,
however, that in each case, NARA determines that disclosure of the
records is a use of the information contained in the records that is
compatible with the purpose for which the records were collected.
Appendix B
To inquire about your records or to gain access to your records,
you should submit your request in writing to:
NARA Privacy Act Officer
Office of General Counsel (NGC)
National Archives at College Park
8601 Adelphi Road, Room
College Park, MD 20740-6001
If the system manager is the Assistant Archivist for Record
Services--Washington, DC (NW), the records are located at the
following address:
Office of Record Services--Washington, DC (NW)
National Archives at College Park
8601 Adelphi Road, Room 3400
College Park, MD 20740-6001
If the system manager is the director of a Presidential library,
the records are located at the appropriate Presidential library,
staff or project:
GEORGE BUSH LIBRARY
1000 George Bush Drive West
College Station, TX 77845
JIMMY CARTER LIBRARY
441 Freedom Parkway
Atlanta, GA 30307-1498
WILLIAM J. CLINTON PRESIDENTIAL MATERIALS PROJECT
1000 LaHarpe Boulevard
Little Rock, AR 72201
DWIGHT D. EISENHOWER LIBRARY
200 SE 4th Street
Abilene, KS 67410-2900
GERALD R. FORD LIBRARY
1000 Beal Avenue
Ann Arbor, MI 48109-2114
HERBERT HOOVER LIBRARY
210 Parkside Drive
P.O. Box 488
West Branch, IA 52358-0488
LYNDON B. JOHNSON LIBRARY
2313 Red River Street
Austin, TX 78705-5702
JOHN F. KENNEDY LIBRARY
Columbia Point
Boston, MA 02125-3398
NIXON PRESIDENTIAL MATERIALS STAFF
National Archives at College Park
8601 Adelphi Road
College Park, MD 20740-6001
RONALD REAGAN LIBRARY
40 Presidential Drive
Simi Valley, CA 93065-0600
FRANKLIN D. ROOSEVELT LIBRARY
4079 Albany Post Road
Hyde Park, NY 12538-1999
HARRY S. TRUMAN LIBRARY
500 West U.S. Highway 24
Independence, MO 64050-1798
OFFICE OF PRESIDENTIAL LIBRARIES
National Archives at College Park
8601 Adelphi Road
College Park, MD 20740-6001
If the system manager is the director of a regional records
services facility, the records are located at the appropriate
regional records services facility:
NARA's Pacific Alaska Region (Anchorage)
654 West Third Avenue
Anchorage, Alaska 99501-2145
NARA's Southeast Region (Atlanta)
1557 St. Joseph Avenue
East Point, Georgia 30344-2593
NARA's Northeast Region (Boston)
Frederick C. Murphy Federal Center
380 Trapelo Road
Waltham, Massachusetts 02452-6399
NARA's Great Lakes Region (Chicago)
7358 South Pulaski Road
Chicago, Illinois 60629-5898
NARA's Great Lakes Region (Dayton)
3150 Springboro Road
Dayton, Ohio 45439-1883
NARA's Rocky Mountain Region (Denver)
Bldg. 48, Denver Federal Center
West 6th Avenue and Kipling Street
Denver, Colorado 80225-0307
NARA's Southwest Region (Fort Worth)
501 West Felix Street, Building 1
Fort Worth, Texas 76115-3405
NARA's Central Plains Region (Kansas City)
2312 East Bannister Road
Kansas City, Missouri 64131-3
NARA's Pacific Region (Laguna Niguel, CA)
24000 Avila Road, 1st Floor, East Entrance
Laguna Niguel, California 92677-3497
NARA's Central Plains Region (Lee's Summit, MO)
200 Space Center Drive
Lee's Summit, Missouri 64064-1182
NARA's Northeast Region (New York City)
201 Varick Street
New York, New York 10014-4811
NARA's Mid Atlantic Region (Center City Philadelphia)
900 Market Street
Philadelphia, Pennsylvania 19107-4292
NARA's Mid Atlantic Region (Northeast Philadelphia)
14700 Townsend Road
Philadelphia, Pennsylvania 19154-1096
NARA's Northeast Region (Pittsfield, MA)
10 Conte Drive
Pittsfield, Massachusetts 01201-8230
NARA's Pacific Region (San Francisco)
1000 Commodore Drive
San Bruno, California 94066-2350
NARA's Pacific Alaska Region (Seattle)
6125 Sand Point Way NE
Seattle, Washington 98115-7999
National Personnel Records Center
Civilian Personnel Records
111 Winnebago Street
St. Louis, Missouri 63118-4126
National Personnel Records Center
Military Personnel Records
9700 Page Avenue
St. Louis, MO 63132-5100
Washington National Records Center (WNRC)
4205 Suitland Road,
Suitland, MD 20746-8001
If the system manager is the Director of the National Historical
Publications and Records Commission (NHPRC), the records are located
at the following address:
National Historical Publications and Records Commission
(NHPRC)
National Archives and Records Administration
700 Pennsylvania Avenue, NW, Room 111
Washington, DC 20408-0001
If the system manager is the Director of the Policy and
Communications Staff, the records are located at the following
address:
Policy and Communications Staff (NPOL)
National Archives and Records Administration
8601 Adelphi Road, Room 4100
College Park, MD 20740-6001
If the system manager is the Assistant Archivist for Human
Resources and Information Services, the records are located at the
following address:
Office of Human Resources and Information Services (NH)
National Archives and Records Administration
8601 Adelphi Road, Room 4400
College Park, MD 20740
If the system manager is the Assistant Archivist for
Administrative Services, the records are located at the following
address:
Office of Administrative Services (NA)
National Archives and Records Administration
8601 Adelphi Road, Room 4200
College Park, MD 20740
If the system manager is the Director of the Federal Register,
the records are located at the following address:
Office of the Federal Register (NF)
National Archives and Records Administration
700 Pennsylvania Avenue, NW
Washington, DC 20408-0001
If the system manager is the Inspector General, the records are
located at the following address:
Office of the Inspector General (OIG)
National Archives and Records Administration
8601 Adelphi Road, Room 1300
College Park, MD 20740
If the system manager is the General Counsel, the records are
located at the following address:
Office of the General Counsel (NGC)
National Archives and Records Administration
8601 Adelphi Road, Room 3110
College Park, MD 20740
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
36 TITLE PART 1202--REGULATIONS IMPLEMENTING THE PRIVACY ACT OF 1974
Subpart A--General Information About the Privacy Act
Sec.
1202.1 What does this part cover?
1202.2 What this part does not cover.
1202.4 Definitions.
1202.6 Whom should I contact for Privacy Act matters at NARA?
1202.8 How does NARA handle records that are in Government-wide Privacy
Act systems?
1202.10 Does NARA handle access to and disclosure of records of defunct
agencies in the custody of NARA?
Subpart B--Collecting Information
1202.18 How does NARA collect information about individuals?
1202.20 What advisory information does NARA provide before collecting
information from me?
1202.22 Will NARA need my Social Security Number?
1202.24 Will NARA ever request information about me from someone else?
1202.26 Who will make sure that my record is accurate?
1202.28 What rules do NARA employees follow in managing personal
information?
1202.30 How does NARA safeguard its systems of records?
Subpart C--Individual Access to Records
1202.40 How can I gain access to NARA records about myself?
1202.42 How are requests for access to medical records handled?
1202.44 How long will it take for NARA to process my request?
1202.46 In what ways will NARA provide access?
1202.48 Will I have to pay for copies of records?
1202.50 Does NARA require prepayment of fees?
1202.52 How do I pay?
1202.54 On what grounds can NARA deny my Privacy Act request?
1202.56 How do I appeal a denial of my Privacy Act request?
1202.58 How are appeals processed?
Subpart D--Disclosure of Records
1202.60 When does NARA disclose a record in a Privacy Act system of
records?
1202.62 What are the procedures for disclosure of records to a third
party?
1202.64 How do I appeal a denial of disclosure?
1202.66 How does NARA keep account of disclosures?
Subpart E--Request to Amend Records
1202.70 Whom should I contact at NARA to amend records about myself?
1202.72 How does NARA handle requests to amend records?
1202.74 How will I know if NARA approved my amendment request?
1202.76 Can NARA deny my request for amendment?
1202.78 How do I accept an alternative amendment?
1202.80 How do I appeal the denial of a request to amend a record?
1202.82 How do I file a Statement of Disagreement?
1202.84 Can I seek judicial review?
Subpart F--Exemptions
1202.90 What NARA systems of records are exempt from release under the
National Security Exemption of the Privacy Act?
1202.92 What NARA systems of records are exempt from release under the
Law Enforcement Exemption of the Privacy Act?
1202.94 What NARA systems of records are exempt from release under the
Investigatory Information Material Exemption of the Privacy Act?
Authority: 5 U.S.C. 552a; 44 U.S.C. 2104(a).
Source 66 FR 65652, Dec. 20, 2001.
Subpart A--General Information About the Privacy Act
Sec. 1202.1 What does this part cover?
(a) This part covers requests under the Privacy Act (5 U.S.C. 552a)
for NARA operational records and records of defunct agencies stored in
NARA record centers.
(b) This part explains how NARA collects, uses and maintains records
about you that are filed by your name or other personal identifiers and
which are contained in a ``system of records'' as defined by 5 U.S.C.
552a(a)(5).
(c) This part describes the procedures to gain access to and contest
the contents of your records, and the conditions under which NARA
discloses such records to others.
Sec. 1202.2 What this part does not cover.
This part does not cover:
(a) Records that have been transferred into the National Archives of
the United States for permanent preservation. Archival records that are
contained in systems of records that become part of the National
Archives of the United States are exempt from most provisions of the
Privacy Act (see 5 U.S.C. 552a(l)(2) and (l)(3)). See subchapter C of
this chapter for rules governing access to these type records.
(b) Records of other agencies that are stored in NARA record centers
on behalf of that agency are governed by the Privacy Act rules of the
transferring agency. Send your request for those records directly to
those agencies.
(c) Personnel and medical records held by the National Personnel
Records Center (NPRC) on behalf of the Department of Defense and the
Office of Personnel Management. Privacy Act requests for these records
should come to the NPRC.
Sec. 1202.4 Definitions.
For the purposes of this part, the term:
(a) Access means a transfer of a record, a copy of a record, or the
information in a record to the subject individual, or the review of a
record by the subject individual.
(b) Agency means any executive department, military department,
Government corporation, Government-controlled corporation, or other
establishment in the executive branch of the Government (including the
Executive Office of the President), or any independent regulatory
agency.
(c) Defunct agency means an agency that has ceased to exist, and has
no successor in function.
(d) Defunct agency records means the records in a Privacy Act system
of a defunct agency that are stored in a NARA records center.
(e) Disclosure means a transfer by any means of a record, a copy of a
record, or the information contained in a record to a recipient other
than the subject individual, or the review of a record by someone other
than the subject individual.
(f) Individual means a citizen of the United States or an alien
lawfully admitted for permanent residence.
(g) Maintain includes maintain, collect, use, or disseminate.
(h) NARA Privacy Act Appeal Official means the Deputy Archivist of the
United States for appeals of denials of access to or amendment of
records maintained in a system of records, except where the system
manager is the Inspector General; then the term means the Archivist of
the United States.
(i) Record means any item, collection, or grouping of information
about an individual that is maintained by an agency, including, but not
limited to, his or her education, financial transactions, medical
history and criminal or employment history, and that contains his or her
name or an identifying number, symbol, or other identifying particular
assigned to the individual, such as a fingerprint, voiceprint, or
photograph. For purposes of this part, ``record'' does not mean archival
records that have been transferred to the National Archives of the
United States.
(j) Routine use means, with respect to the disclosure of a record, the
use of that record for a purpose which is compatible with the purpose
for which it was collected.
(k) Solicitation means a request by a NARA employee or contractor that
an individual provide information about himself or herself.
(l) Statistical record means a record in a system of records
maintained for statistical research or reporting purposes only and not
used in whole or in part in making any determination about an
identifiable individual, except as provided by 13 U.S.C. 8.
(m) Subject individual means the individual named or discussed in a
record or the individual to whom a record otherwise pertains.
(n) System manager means the NARA employee who is responsible for the
maintenance of a system of records and for the collection, use, and
dissemination of information in that system of records.
(o) System of records means a group of records from which information
is retrieved by the name of the individual or by some identifying
number, symbol, or other identifier assigned to that individual.
Sec. 1202.6 Whom should I contact for Privacy Act matters at NARA?
Contact the NARA Privacy Act Officer, National Archives and Records
Administration (NGC), Room 3110, 8601 Adelphi Road, College Park, MD
20740-6001, for guidance in making a Privacy Act request, or if you need
assistance with an existing request. The Privacy Act Officer will refer
you to the responsible system manager. Details about what to include in
your Privacy Act request are discussed in Subpart C of this part.
Sec. 1202.8 How does NARA handle records that are in Government-wide
Privacy Act systems?
Records in the custody of NARA in a Government-wide Privacy Act system
are the primary responsibility of another agency, e.g., the Office of
Personnel Management (OPM) or the Office of Government Ethics (OGE).
These records are governed by the regulations established by that agency
pursuant to the Privacy Act. NARA provides access using that agency's
regulations.
Sec. 1202.10 Does NARA handle access to and disclosure of records of
defunct agencies in the custody of NARA?
Yes, records of defunct agencies in the custody of NARA at a NARA
record center are covered by the provisions of this part.
Subpart B--Collecting Information
Sec. 1202.18 How does NARA collect information about individuals?
Any information that is used in making a determination about your
rights, benefits, or privileges under NARA programs is collected
directly from you--the subject individual-- to the greatest extent
possible.
Sec. 1202.20 What advisory information does NARA provide before
collecting information from me?
(a) Before collecting information from you, NARA will advise you of:
(1) The authority for collecting the information and whether providing
the information is mandatory or voluntary;
(2) The purpose for which the information will be used;
(3) The routine uses of the information; and
(4) The effect on you, if any, of not providing the information.
(b) NARA ensures that forms used to record the information that you
provide are in compliance with the Privacy Act and this part.
Sec. 1202.22 Will NARA need my Social Security Number?
(a) Before a NARA employee or NARA contractor asks you to provide your
social security number (SSN), he or she will ensure that the disclosure
is required by Federal law or under a Federal law or regulation adopted
before January 1, 1975.
(b) If you are asked to provide your SSN, the NARA employee or
contractor must first inform you:
(1) Whether the disclosure is mandatory or voluntary;
(2) The statute or authority under which your SSN is solicited; and
(3) How your SSN will be used.
Sec. 1202.24 Will NARA ever request information about me from
someone else?
NARA will make every effort to gather information from you directly.
When NARA solicits information about you from someone else, NARA will
explain to that person the purpose for which the information will be
used.
Sec. 1202.26 Who will make sure that my record is accurate?
The system manager ensures that all records used by NARA to make a
determination about any individual are maintained with such accuracy,
relevancy, timeliness, and completeness as is reasonably possible to
ensure fairness to you.
Sec. 1202.28 What rules do NARA employees follow in managing
personal information?
All NARA employees and contractors involved in the design,
development, operation or maintenance of any system of records must
review the provisions of the Privacy Act and the regulations in this
part. NARA employees and contractors must conduct themselves in
accordance with the rules of conduct concerning the protection of
nonpublic information in the Standards of Ethical Conduct for Employees
of the Executive Branch, 5 CFR 2635.703.
Sec. 1202.30 How does NARA safeguard its systems of records?
(a) The system manager ensures that appropriate administrative,
technical, and physical safeguards are established to ensure the
security and confidentiality of records. In order to protect against any
threats or hazards to their security or loss of integrity, paper records
are maintained in areas accessible only to authorized NARA personnel.
Electronic records are protected in accordance with the Computer
Security Act, OMB Circular A-11 requiring privacy analysis in reporting
to OMB, and are accessed via passwords from terminals located in
attended offices. After hours, buildings have security guards and/or
doors are secured and all entrances are monitored by electronic
surveillance equipment.
(b) The system manager, at his/her discretion, may designate
additional safeguards similar to or greater than those described in
paragraph (a) of this section for unusually sensitive records.
(c) The system manager only permits access to and use of automated or
manual personnel records to persons whose official duties require such
access, or to you or to a representative designated by you.
Subpart C--Individual Access to Records
Sec. 1202.40 How can I gain access to NARA records about myself?
(a) If you wish to request access to information about yourself
contained in a NARA Privacy Act system of records, you must notify the
NARA Privacy Act Officer, National Archives and Records Administration,
Rm. 3110, 8601 Adelphi Rd., College Park, MD 20740-6001. If you wish to
allow another person to review or obtain a copy of your record, you must
provide authorization for that person to obtain access as part of your
request.
(b) Your request must be in writing and the letter and the envelope
must be marked ``Privacy Act Request.'' Your request letter must
contain:
(1) The complete name and identifying number of the NARA system as
published in the Federal Register;
(2) A brief description of the nature, time, place, and circumstances
of your association with NARA;
(3) Any other information, which you believe, would help NARA to
determine whether the information about you is included in the system of
records;
(4) If you are authorizing another individual to have access to your
records, the name of that person; and
(5) A Privacy Act certification of identity. When you make a request
for access to records about yourself, you must verify your identity. You
must sign your request and your signature must either be notarized or
submitted by you under 28 U.S.C. 1746, a law that permits statements to
be made under penalty of perjury as a substitute for notarization. While
no specific form is required, you may obtain a Certification of Identity
form for this purpose from the NARA Privacy Act Officer. The following
information is required:
(i) Your full name;
(ii) An acknowledgment that you understand the criminal penalty in the
Privacy Act for requesting or obtaining access to records under false
pretenses (5 U.S.C. 552a(i)(3)); and
(iii) A declaration that your statement is true and correct under
penalty of perjury (18 U.S.C. 1001).
(c) The procedure for accessing an accounting of disclosure is
identical to the procedure for access to a record as set forth in this
section.
Sec. 1202.42 How are requests for access to medical records handled?
When NARA receives a request for access to medical records, if NARA
believes that disclosure of medical and/or psychological information
directly to you could have an adverse effect on you, you may be asked to
designate in writing a physician or mental health professional to whom
you would like the records to be disclosed, and disclosure that
otherwise would be made to you will instead be made to the designated
physician or mental health professional.
Sec. 1202.44 How long will it take for NARA to process my request?
(a) NARA will acknowledge your request within 10 workdays of its
receipt by NARA and if possible, will make the records available to you
at that time. If NARA cannot make the records immediately available, the
acknowledgment will indicate when the system manager will make the
records available.
(b) If NARA anticipates more than a 10 workday delay in making a
record you requested available, NARA also will explain in the
acknowledgment specific reasons for the delay.
(c) If your request for access does not contain sufficient information
to permit the system manager to locate the records, NARA will request
additional information from you. NARA will have 10 workdays following
receipt of the additional information in which to make the records
available or to acknowledge receipt of the request and to indicate when
the records will be available.
Sec. 1202.46 In what ways will NARA provide access?
(a) At your request, NARA will provide you, or a person authorized by
you, a copy of the records by mail or by making the records available in
person during normal business hours at the NARA facility where the
records are located. If you are seeking access in person, the system
manager will permit you to examine the original record, will provide you
with a copy of the records, or both.
(b) When obtaining access to the records in person at a NARA facility,
you must provide proof of identification either by producing at least
one piece of identification bearing a name or signature and either a
photograph or physical description (e.g., a driver's license or employee
identification card) or by signing the Certification of Identity form
described in Sec. 1204.40 (b)(5). NARA reserves the right to ask you to
produce additional pieces of identification to assure NARA of your
identity. You will also be asked to sign an acknowledgement that you
have been given access.
Sec. 1202.48 Will I have to pay for copies of records?
Yes. However NARA will waive fees for the first 100 pages copied or
when the cost to collect the fee will exceed the amount collected. When
a fee is charged, the charge per copy is $0.20 per page if NARA makes
the copy or $0.15 per page if you make the copy on a NARA self-service
copier. Fees for other reproduction processes are computed upon request.
Sec. 1202.50 Does NARA require prepayment of fees?
If the system manager determines that the estimated total fee is
likely to exceed $250, NARA will notify you that the estimated fee must
be prepaid before you can have copies of the records. If the final fee
is less than the amount you prepaid, NARA will refund the difference.
Sec. 1202.52 How do I pay?
You must pay by check or money order. Make your check or money order
payable to the National Archives and Records Administration and send it
to the NARA Privacy Act Officer, Room 3110, 8601 Adelphi Road, College
Park, MD 20740-6001.
Sec. 1202.54 On what grounds can NARA deny my Privacy Act request?
(a) NARA can deny your Privacy Act request for records if the records
are maintained in an exempt systems of records are described in subpart
F of this part.
(b) A system manager may deny your request for access to your records
only if:
(1) NARA has published rules in the Federal Register exempting the
pertinent system of records from the access requirement; and
(2) The record is exempt from disclosure under the Freedom of
Information Act (FOIA).
(c) Upon receipt of a request for access to a record which is
contained within an exempt system of records, NARA will:
(1) Review the record to determine whether all or part of the record
must be released to you in accordance with Sec. 1202.40, notwithstanding
the inclusion of the record within an exempt system of records; and
(2) Provide access to the record (or part of the record, if it is not
fully releasable) in accordance with Sec. 1202.46 or notify you that the
request has been denied in whole or in part.
(d) If your request is denied in whole or in part, NARA's notice will
include a statement specifying the applicable Privacy Act and FOIA
exemptions and advising you of the right to appeal the decision as
explained in Sec. 1202.56.
Sec. 1202.56 How do I appeal a denial of my Privacy Act request?
(a) If you are denied access in whole or in part to records pertaining
to yourself, you may file with NARA an appeal of that denial. Your
appeal letter must be post marked no later than 35 calendar days after
the date of the denial letter from NARA.
(1) Address appeals involving denial of access to Office of Inspector
General records to NARA Privacy Act Appeal Official (N), National
Archives and Records Administration, Room 4200, 8601 Adelphi Road,
College Park, MD 20740-6001.
(2) Address all other appeals to the NARA Privacy Act Appeal Official
(ND), National Archives and Records Administration, Room 4200, 8601
Adelphi Road, College Park, MD 20740-6001.
(b) All appeals of denial of access to the NARA Privacy Act Appeal
Official must be in writing. Mark both the envelope and the appeal
``Privacy Act `` Access Appeal.''
Sec. 1202.58 How are appeals processed?
(a) Upon receipt of your appeal, the NARA Privacy Act Appeal Official
will consult with the system manager, legal counsel, and such other
officials as may be appropriate. If the NARA Privacy Act Appeal Official
determines that the records you requested are not exempt from release,
NARA grants you access and so notifies you.
(b) If the NARA Privacy Act Appeal Official determines that your
appeal must be rejected, NARA will immediately notify you in writing of
that determination. This decision is final and cannot be appealed
further within NARA. NARA's notification to you will include:
(1) The reason for the rejection of the appeal; and
(2) Notice of your right to seek judicial review of NARA's final
determination, as described in 36 CFR 1202.84.
(c) NARA will make its final determination no later than 30 workdays
from the date on which NARA receives your appeal. NARA may extend this
time limit by notifying you in writing before the expiration of the 30
workdays. This notification will include an explanation of the reasons
for the time extension.
Subpart D--Disclosure of Records
Sec. 1202.60 When does NARA disclose a record in a Privacy Act
system of records?
NARA will not disclose any records in a Privacy Act system of records
to any person or to another agency without the express written consent
of the subject individual unless the disclosure is:
(a) To NARA employees who have a need for the information in the
official performance of their duties;
(b) Required by the provisions of the Freedom of Information Act, as
amended;
(c) For a routine use that has been published in a notice in the
Federal Register;
(d) To the Bureau of Census for purposes of planning or carrying out a
census or survey or related activity pursuant to title 13 U.S.C.;
(e) To a person who has provided NARA with advance adequate written
assurance as specified in Sec. 1202.62(a) that the record will be used
solely as a statistical research or reporting record. (Personal
identifying information is deleted from the record released for
statistical purposes. The system manager ensures that the identity of
the individual cannot reasonably be deduced by combining various
statistical records.)
(f) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the United States Government or for evaluation by the
Archivist or the designee of the Archivist to determine whether the
record has such value;
(g) To another agency or any governmental jurisdiction within or under
the control of the United States for a civil or criminal law enforcement
activity if the activity is authorized by law, and if the head of the
agency or his or her other designated representative has made a written
request to NARA specifying the particular portion desired and the law
enforcement activity for which the record is sought;
(h) To a person showing compelling circumstances affecting the health
or safety of an individual, and not necessarily the individual to whom
the record pertains. A disclosure of this nature is followed by a
notification to the last known address of the subject individual;
(i) To either House of Congress or to a committee or subcommittee
(joint or of either House), in the course of the performance of official
legislative activities;
(j) To the Comptroller General or any of his authorized
representatives in the course of the performance of the duties of the
General Accounting Office;
(k) Pursuant to the order of a court of competent jurisdiction; or
(l) To a consumer reporting agency in accordance with 31 U.S.C.
3711(e).
Sec. 1202.62 What are the procedures for disclosure of records to a
third party?
(a) To obtain access to records about a person other than yourself,
address the request to the NARA Privacy Act Officer, National Archives
and Records Administration, Room 3110, 8601 Adelphi Rd., College Park,
MD 20740-6001. If you are requesting access for statistical research as
described in Sec. 1202.60(e), you must submit a written statement that
includes as a minimum:
(1) A statement of the purpose for requesting the records; and
(2) Certification that the records will be used only for statistical
purposes.
(b) NARA will acknowledge your request within 10 workdays and will
make a decision within 30 workdays, unless NARA notifies you that the
time limit must be extended for good cause.
(c) Upon receipt of your request, NARA will verify your right to
obtain access to documents pursuant to Sec. 1202.60. Upon verification,
the system manager will make the requested records available to you.
(d) If NARA determines that the disclosure is not permitted under
Sec. 1202.60, the system manager will deny your request in writing. NARA
will inform you of the right to submit a request for review of the
denial and a final determination to the appropriate NARA Privacy Act
Appeal Officer.
Sec. 1202.64 How do I appeal a denial of disclosure?
(a) Your request for a review of the denial of disclosure to records
maintained by the Office of the Inspector General must be addressed to
the NARA Privacy Act Appeal Officer (N), National Archives and Records
Administration, Room 4200, 8601 Adelphi Rd., College Park, MD 20740-
6001.
(b) Requests for a review of a denial of disclosure to all other NARA
records must be addressed to the NARA Privacy Act Appeal Officer (ND),
National Archives and Records Administration, Room 4200, 8601 Adelphi
Rd., College Park, MD 20740-6001.
Sec. 1202.66 How does NARA keep account of disclosures?
(a) Except for disclosures made to NARA employees in the course of the
performance of their duties or when required by the Freedom of
Information Act (see Sec. 1202.60(a) and (b)), NARA keeps an accurate
accounting of each disclosure and retains it for 5 years after the
disclosure or for the life of the record, whichever is longer. The
accounting includes the:
(1) Date of disclosure;
(2) Nature, and purpose of each disclosure; and
(3) Name and address of the person or agency to which the disclosure
is made.
(b) The system manager also maintains with the accounting of
disclosures:
(1) A full statement of the justification for the disclosures;
(2) All documentation surrounding disclosure of a record for
statistical or law enforcement purposes; and
(3) Evidence of written consent by the subject individual to a
disclosure, if applicable.
(c) Except for the accounting of disclosures made for a law
enforcement activity (see Sec. 1202.60(g)) or of disclosures made from
exempt systems (see subpart F of this part), the accounting of
disclosures will be made available to the subject individual upon
request. Procedures for requesting access to the accounting of
disclosures are in subpart C.
Subpart E--Request To Amend Records
Sec. 1202.70 Whom should I contact at NARA to amend records about
myself?
If you believe that a record that NARA maintains about you is not
accurate, timely, relevant or complete, you may request that the record
be amended. Write to the NARA Privacy Act Officer, Room 3110, 8601
Adelphi Rd, College Park, MD 20470-6001. Employees of NARA who desire to
amend their personnel records should write to the Director, Human
Resources Services Division. You should include as much information,
documentation, or other evidence as needed to support your request to
amend the pertinent record. Mark both the envelop and the letter with
the phrase ``Privacy Act--Request To Amend Record.''
Sec. 1202.72 How does NARA handle requests to amend records?
(a) NARA will acknowledge receipt of a request to amend a record
within 10 workdays. If possible, the acknowledgment will include the
system manager's determination either to amend the record or to deny
your request to amend as provided in Sec. 1202.76.
(b) When reviewing a record in response to your request to amend, the
system manager will assess the accuracy, relevance, timeliness, and
completeness of the existing record in light of your proposed amendment
to determine if your request to amend is justified. If you request the
deletion of information, the system manager also will review your
request and the existing record to determine whether the information is
relevant and necessary to accomplish NARA's purpose, as required by law
or Executive order.
Sec. 1202.74 How will I know if NARA approved my amendment request?
If NARA approves your amendment request, the system manager will
promptly make the necessary amendment to the record and will send a copy
of the amended record to you. NARA will also advise all previous
recipients of the record, using the accounting of disclosures, that an
amendment has been made and give the substance of the amendment. Where
practicable, NARA will also send a copy of the amended record to
previous recipients.
Sec. 1202.76 Can NARA deny my request for amendment?
If the system manager denies your request to amend or determines that
the record should be amended in a manner other than that requested by
you, NARA will advise you in writing of the decision. The denial letter
will state:
(a) The reasons for the denial of your amendment request;
(b) Proposed alternative amendments, if appropriate;
(c) Your right to appeal the denial; and
(d) The procedures for appealing the denial.
Sec. 1202.78 How do I accept an alternative amendment?
If your request to amend a record is denied and NARA suggested
alternative amendments, and you agree to those alternative amendments,
you must notify the Privacy Act Officer who will then make the necessary
amendments in accordance with Sec. 1202.74.
Sec. 1202.80 How do I appeal the denial of a request to amend a
record?
(a) If you disagree with a denial of your request to amend a record,
you can file an appeal of that denial.
(1) Address your appeal of the denial to amend records signed by a
system manager other than the Inspector General, to the NARA Privacy Act
Appeal Official (ND), Room 3110, 8601 Adelphi Road, College Park, MD,
20740-6001.
(2) Address the appeal of the denial to amend records signed by the
Inspector General to the NARA Privacy Act Appeal Official (N), Room
3110, 8601 Adelphi Road, College Park, MD, 20740-6001.
(3) For current NARA employees if the denial to amend concerns a
record maintained in the employee's Official Personnel Folder or in
another Government-wide system maintained by NARA on behalf of another
agency, NARA will provide the employee with name and address of the
appropriate appeal official in that agency.
(b) Appeals to NARA must be in writing and must be postmarked no later
than 35 calendar days from the date of the NARA denial of a request to
amend. Your appeal letter and envelope must be marked ``Privacy Act--
Appeal''.
(c) Upon receipt of an appeal, the NARA Privacy Act Appeal Official
will consult with the system manager, legal counsel, and such other
officials as may be appropriate. If the appeal official determines that
the record should be amended, he or she will instruct the system manager
to amend the record in accordance with Sec. 1202.74 and will notify you
of that action.
(d) If, after consulting with officials specified in paragraph (c) of
this section, the NARA Privacy Act Appeal Official determines that your
appeal should be rejected, the NARA Privacy Act Appeal Official will
notify you in writing of that determination. This notice serves as
NARA's final determination on your request to amend a record. The letter
to you will include:
(1) The reason for the rejection of your appeal;
(2) Proposed alternative amendments, if appropriate, which you may
accept (see 36 CFR 1202.78 for the procedure);
(3) Notice of your right to file a Statement of Disagreement for
distribution in accordance with Sec. 1202.82; and
(4) Notice of your right to seek judicial review of the NARA final
determination, as provided in Sec. 1202.84.
(e) The NARA final determination will be made no later than 30
workdays from the date on which the appeal is received by the NARA
Privacy Act Appeal Official. In extraordinary circumstances, the NARA
Privacy Act Appeal Official may extend this time limit by notifying you
in writing before the expiration of the 30 workdays. The notification
will include a justification for the extension of time.
Sec. 1202.82 How do I file a Statement of Disagreement?
If you receive a NARA final determination denying your request to
amend a record, you may file a Statement of Disagreement with the
appropriate system manager. The Statement of Disagreement must include
an explanation of why you believe the record to be inaccurate,
irrelevant, untimely, or incomplete. The system manager will maintain
your Statement of Disagreement in conjunction with the pertinent record.
The System Manager will send a copy of the Statement of Disagreement to
any person or agency to whom the record has been disclosed, only if the
disclosure was subject to the accounting requirements of Sec. 1202.60.
Sec. 1202.84 Can I seek judicial review?
Yes, within 2 years of receipt of a NARA final determination as
provided in Sec. 1202.54 or Sec. 1202.80, you may seek judicial review
of that determination. You may file a civil action in the Federal
District Court:
(a) In which you reside or have a principal place of business;
(b) In which the NARA records are located; or
(c) In the District of Columbia.
Subpart F--Exemptions
Sec. 1202.90 What NARA systems of records are exempt from release
under the National Security Exemption of the Privacy Act?
(a) The Investigative Case Files of the Inspector General (NARA-23)
and the Personnel Security Case Files (NARA-24) systems of records are
eligible for exemption under 5 U.S.C. 552a(k)(1) because the records in
these systems:
(1) Contain information specifically authorized under criteria
established by an Executive Order to be kept secret in the interest of
national defense or foreign policy and
(2) Are in fact properly classified pursuant to such Executive Order.
(b) The systems described in paragraph (a) are exempt from 5 U.S.C.
552a (c)(3), (d), (e)(1), and (e)(4)(G) and (H). Exemptions from the
particular subsections are justified for the following reasons:
(1) From subsection (c)(3) because accounting for each disclosure
could result in the release of properly classified information which
would compromise the national defense or disrupt foreign policy.
(2) From the access and amendment provisions of subsection (d) because
access to the records in these systems of records could result in the
release of properly classified information which would compromise the
national defense or disrupt foreign policy. Amendment of either of these
series of records would interfere with ongoing investigations and law
enforcement or national security activities and impose an impossible
administrative burden by requiring investigations to be continuously
reinvestigated.
(3) From subsection (e)(1) because verification of the accuracy of all
information to the records could result in the release of properly
classified information which would compromise the national defense or
disrupt foreign policy.
(4) From subsection (e)(4)(G) and (H) because these systems are exempt
from the access and amendment provisions of subsection (d), pursuant to
subsection (k)(1) of the Privacy Act.
Sec. 1202.92 What NARA systems of records are exempt from release
under the Law Enforcement Exemption of the Privacy Act?
(a) The Investigative Files of the Inspector General (NARA-23) system
of records is eligible for exemption under 5 U.S.C. 552a(k)(2) because
this record system contains investigatory material of actual, potential
or alleged criminal, civil or administrative violations, compiled for
law enforcement purposes other than within the scope of subsection
(j)(2) of 5 USC 552a. If you are denied any right, privilege or benefit
that you would otherwise be entitled by Federal law, or for which you
would otherwise be eligible, as a result of the record, NARA will make
the record available to you, except for any information in the record
that would disclose the identity of a confidential source as described
in 5 U.S.C. 552a(k)(2).
(b) The system described in paragraph (a) of this section is exempt
from 5 U.S.C. 552a (c)(3), (d), (e)(1) and (e)(4) (G) and (H), and (f).
Exemptions from the particular subsections are justified for the
following reasons:
(1) From subsection (c)(3) because release of disclosure accounting
could alert the subject of an investigation about the alleged
violations, to the existence of the investigation and to the fact that
they are being investigated by the Office of Inspector General (OIG) or
another agency. Release of such information could provide significant
information concerning the nature of the investigation, resulting in the
tampering or destruction of evidence, influencing of witnesses, danger
to individuals involved, and other activities that could impede or
compromise the investigation.
(2) From the access and amendment provisions of subsection (d) because
access to the records contained in this system of records could inform
the subject of an investigation of an actual or potential criminal,
civil, or administrative violation, of the existence of that
investigation; of the nature and scope of the information and evidence
obtained as to his/her activities; of the identity of confidential
sources, witnesses, and law enforcement personnel; and of information
that may enable the subject to avoid detection or apprehension. These
factors would present a serious impediment to effective law enforcement
where they prevent the successful completion of the investigation,
endanger the physical safety of confidential sources, witnesses, and law
enforcement personnel, and/or lead to the improper influencing of
witnesses, the destruction of evidence, or the fabrication of testimony.
In addition, granting access to such information could disclose
security-sensitive or confidential business information or information
that would constitute an unwarranted invasion of the personal privacy of
third parties. The amendment of these records could allow the subject to
avoid detection or apprehension and interfere with ongoing
investigations and law enforcement activities.
(3) From subsection (e)(1) because the application of this provision
could impair investigations and interfere with the law enforcement
responsibilities of the OIG or another agency for the following reasons:
(i) It is not possible to detect relevance or need for specific
information in the early stages of an investigation, case or matter.
After the information is evaluated, relevance and necessity may be
established.
(ii) During an investigation, the OIG may obtain information about
other actual or potential criminal, civil or administrative violations,
including those outside the scope of its jurisdiction. The OIG should
retain this information, as it may aid in establishing patterns of
inappropriate activity, and can provide valuable leads for Federal and
other law enforcement agencies.
(iii) In interviewing individuals or obtaining other forms of evidence
during an investigation, information may be supplied to an investigator,
which relates to matters incidental to the primary purpose of the
investigation but which may relate also to matters under the
investigative jurisdiction of another agency. Such information cannot
readily be segregated.
(iv) From subsection (e)(4)(G) and (H) because this system is exempt
from the access and amendment provisions of subsection (d), pursuant to
subsection (k)(2) of the Privacy Act.
(v) From subsection (f) because this system is exempt from the access
and amendment provisions of subsection (d), pursuant to subsection
(k)(2) of the Privacy Act.
Sec. 1202.94 What NARA systems of records are exempt from release
under the Investigatory Information Material exemption of the Privacy
Act?
(a) The Personnel Security Case Files (NARA-24) system of records is
eligible for exemption under 5 U.S.C. 552a(k)(5) because it contains
investigatory material compiled solely for the purpose of determining
suitability, eligibility, or qualifications for federal employment or
access to classified information. The only information exempt under this
provision is that which would disclose the identity of a confidential
source described in 5 U.S.C. 552a(k)(2).
(b) The system of records described in paragraph (a) of this section
is exempt from 5 U.S.C. 552a(d)(1). Exemption from the particular
subsection is justified as access to records in the system would reveal
the identity(ies) of the source(s) of information collected in the
course of a background investigation.