General Routine Uses Applicable to More Than One System of Records

International Trade Commission ITC

-1 Pay and Leave Records.

Office of Finance, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436; National Business Center, U.S. Department of the Interior, Mail Stop D-2600, 7201 West Mansfield Avenue, Lakewood, CO 80235-2230; General Services Administration, 1500 East Bannister Road, Kansas City, MO 64131; and in all Commission offices located at the same address as the Office of Finance.

For Retired Personnel Files: National Archives and Records Administration National Personnel Records Center (Civilian Personnel Records Center), 111 Winnebago Street, St. Louis, MO 63118.

All current and former Commission employees.

This system contains various records relating to pay and leave. This includes information such as: name; title; date of birth; home address; Social Security number; telephone number; W-2 address; grade; employing organization; timekeeper number; salary; pay plan; number of hours worked; leave accrual rate, usage, and balances; compensatory time; credit hours; activity accounting reports; Civil Service Retirement and Federal Retirement System contributions; FICA withholdings; Federal, State, and local tax withholdings; Federal Employee's Group Life Insurance withholdings; Federal Employee's Health Benefits withholdings; charitable deductions; allotments to financial organizations; levy, garnishment, and salary and administrative offset documents; savings bonds allotments; union and management association dues withholding allotments; Combined Federal Campaign and other allotment authorizations; direct deposit information; information on the leave transfer program; tax fringe benefits; health and fitness program designation and cost; fitness program reimbursement amounts; student loan lenders' names and addresses; student loan account numbers; and student loan account balances.

Authority for maintenance of the system includes the following with any revisions or amendments: 5 U.S.C. Chapters 53, 55, 61, and 63; and Executive Order 9397.

These records are used for the purposes of administering pay and leave, activity accounting, and budget preparation.

General Routine Uses A-K apply to this system.

The pay and leave records are transmitted electronically by the Commission directly to the National Business Center, U.S. Department of the Interior, which provides payroll services. The U.S. Department of the Interior transmits relevant portions of those records as necessary to the following: (a) to the Treasury Department for issuance of pay checks; (b) to the Treasury Department for issuance of savings bonds; (c) to the U.S. Office of Personnel Management ("OPM") for retirement, health, and life insurance purposes, and to carry out OPM's Government-wide personnel management functions; (d) to the National Finance Center, U.S. Department of Agriculture for the Thrift Savings Plan; (e) to the Social Security Administration for reporting wage data in compliance with the Federal Insurance Compensation Act; (f) to the Internal Revenue Service and to State and local tax authorities for tax purposes, including reporting of withholding, audits, inspections, investigations, and similar tax activities; (g) to the Combined Federal Campaign for charitable contribution purposes; (h) to officials of labor organizations recognized under 5 U.S.C. Chapter 71 for the purpose of identifying Commission employees contributing union dues each pay period and the amount of dues withheld; and (i) to designated student loan lenders for repayment of federally insured student loans.

Relevant information in this system may be disclosed as necessary to other Federal agencies or Federal contractors with statutory authority to assist in the collection of Commission debts.

Disclosure to consumer reporting agencies:

Disclosures may be made from this system pursuant to 5 U.S.C. 552a(b)(12) and 31 U.S.C. 3711(e) to "consumer reporting agencies" as defined in 31 U.S.C. 3701(a)(3).

Storage:

These records are maintained on computer media, on paper in file folders, and on microfiche. The computer records are shared electronically with the Department of the Interior.

These records are retrieved by the name and Social Security number of the individuals on whom they are maintained.

These records are maintained in a building with restricted public access. The records in this system are kept in limited access areas within the building. The paper files are maintained in secure file cabinets or rooms, and access is limited to persons whose official duties require access. The computer files can be accessed only by authorized individuals through the use of passwords.

Payroll and salary and administrative offset records will be updated as required in accordance with the National Archives and Records Administration's ("NARA's") General Records Schedule 2. Individual pay records will be transferred to the National Personnel Records Center or destroyed after 56 years in accordance with NARA's General Records Schedule 2. Time and attendance records generally will be destroyed after a Government Accountability Office ("GAO") audit or when six years old, whichever is sooner, in accordance with NARA's General Records Schedule 2. Tax withholding records will be destroyed when four years old in accordance with NARA's General Records Schedule 2. U.S. Savings Bond authorization (SF 1192 or equivalent) will be destroyed when superceded or after separation of employee in accordance with NARA's General Records Schedule 2. Bond registration files, receipt and transmittal files will be destroyed four months after date of issuance of bond in accordance with NARA's General Records Schedule 2. Combined Federal Campaign and other allotments will be destroyed after a GAO audit or when three years old, whichever is sooner. Thrift Savings Plan Election forms will be destroyed when superceded or after separation of employee in accordance with NARA's General Records Schedule 2. Direct Deposit sign-up forms will be destroyed when superceded or after separation of employee in accordance with NARA's General Records Schedule 2. Levy and garnishment records will be destroyed three years after garnishment is terminated. Records will be disposed of in a secure manner.

For Health and Fitness Program Reimbursement Claims, Director, Office of Administration, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436. For Student Loan Reimbursement Program Claims, Office of Human Resources, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436. For all other payroll and leave records, Director, Office of Finance, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals wishing to inquire whether this system of records contains information about them should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Social Security Number;

4. Dates of employment; and

5. Signature.

Individuals wishing to request access to their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Social Security number;

4. Dates of employment; and

5. Signature.

Individuals requesting access must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Individuals wishing to request amendment of their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436. Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Social Security number;

4. Dates of employment; and

5. Signature.

Individuals requesting amendment must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Information in this system is obtained from official personnel documents, the individual to whom the record pertains, and Commission officials responsible for pay, leave, and activity reporting requirements.

-2 Grievance Records.

Offices of Human Resources, Administration, Operations, General Counsel, and the office where grievance originated, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

All current and former Commission employees who have submitted grievances in accordance with part 771 of the regulations of the Office of Personnel Management (5 CFR part 771), under 5 U.S.C. 7121, or through a negotiated grievance procedure.

This system contains records of grievances filed by agency employees under part 771 of regulations issued by the United States Office of Personnel Management, under 5 U.S.C. 7121 or under negotiated grievance procedures. These case files contain all documents related to the grievance, including statements of witnesses, reports of interviews and hearings, examiner's findings and recommendations, a copy of the original and final decisions, and related correspondence and exhibits. The system includes files and records of internal grievance and arbitration systems established through negotiations with recognized labor organizations.

Authority for maintenance of the system includes the following with any revisions or amendments: 5 U.S.C. 7121; 5 CFR part 771.

These records are used to process grievances submitted by Commission employees for relief in a matter of concern or dissatisfaction which is subject to the control of agency management, and to provide individuals who submit grievances with a copy of their records in accordance with the grievance process.

General Routine Uses A-C and E-L apply to this system.

Information in this system may be disclosed as necessary to other Federal agencies or Federal contractors with statutory authority to assist in the collection of Commission debts.

STORAGE:

These records are maintained on computer media on an internal Commission system and on paper in file folders.

These records are retrieved by the names of the individuals on whom they are maintained.

These records are maintained in a building with restricted public access. The records in this system are kept in limited access areas within the building. The paper files are maintained in secure file cabinets, and access is limited to persons whose official duties require access. The computer files can only be accessed by authorized individuals.

These records will be retained for a minimum of four years, but not longer than seven years, after closing of the case in accordance with the NARA's General Records Schedule 1. Records will be disposed of in a secure manner.

Director, Office of Administration, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment; and

4. Signature.

Individuals wishing to request access to their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment;

4. Approximate date of closing of the case (if applicable); and

5. Signature.

Individuals requesting access must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment;

4. Approximate date of closing of the case (if applicable); and

5. Signature.

Individuals requesting amendment must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Information in this system of records is obtained from:

a. The individual filing the grievance;

b. The testimony of witnesses;

c. Agency officials; and

d. Related correspondence from organizations or persons.

-3 Office of Inspector General ("OIG") Investigative Files (General).

Office of Inspector General, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

This system contains records on individuals and contractors, who are or have been the focus of an OIG investigation relating to the programs and operations of the Commission.

This system contains investigatory materials collected by the OIG's investigative unit for law enforcement purposes.

This system contains documentation of any and all complaints and allegations initiating investigations; all relevant correspondence and interviews; witness statements; affidavits; copies of all subpoenas issued; transcripts of any testimony taken in the investigation and accompanying exhibits; documents and other records or copies obtained during the investigation; internal staff memoranda, staff working papers and other documents and records relating to the investigation; and all reports on the investigation.

Authority for maintenance of the system is the Inspector General Act of 1978, Pub. L. No. 95-452, 92 Stat. 1101, 1101-1110 (1978) (codified at 5 U.S.C. 3 app. 1-12), with any revisions or amendments.

These records are used to investigate and/or take other actions to address allegations of fraud, waste and abuse of a non-criminal nature by Commission employees or contractors.

General Routine Uses A-K apply to this system.

Information from this system of records may be disclosed to any person charged with the responsibility to conduct qualitative assessment reviews of internal safeguards and management procedures employed in Office of Inspector General investigative operations. This disclosure category includes members of the President's Council on Integrity and Efficiency and the Executive Council on Integrity and Efficiency, and their staff, as well as authorized persons at the Department of Justice and the Federal Bureau of Investigation.

Information from this system of records may be disclosed to members of the President's Council on Integrity and Efficiency and the Executive Council on Integrity and Efficiency and their staff for the preparation of reports to the President and Congress on the activities of the Inspectors General.

Information from this system of records may be disclosed to any person who has been engaged to assist the Office of Inspector General in the performance of an investigation for the Commission, of a violation or potential violation of law--criminal, civil, or regulatory in nature--and who needs to have access to the records to perform the investigation. This disclosure category includes members of the President's Council on Integrity and Efficiency and the Executive Council on Integrity and Efficiency, and their staff.

STORAGE:

These records are maintained on paper in binders or folders, and on computer media on an internal Commission system.

These records are retrieved by a unique control number assigned to each investigation.

These records are maintained in a building with restricted public access. The records in this system are kept in a limited access area within the building. The paper files are maintained in secure file cabinets, and access is limited to persons whose official duties require access. The computer files can only be accessed by authorized individuals.

These records will be maintained permanently until disposition authority is granted by the NARA. Records will be disposed of in a secure manner.

Inspector General, Office of Inspector General, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment or dates of contractual relationship; and

4. Signature.

Individuals wishing to request access to their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment or dates of contractual relationship; and

4. Signature.

Individuals requesting access must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment or dates of contractual relationship; and

4. Signature.

Individuals requesting amendment must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

These files contain information supplied by the following: Individuals, including those to whom the information relates where practicable; witnesses; contractors, corporations, and other entities; records of individuals and of the Commission; Federal, foreign, state or local bodies and law enforcement agencies; documents; correspondence; interview memoranda; transcripts of testimony; and other miscellaneous sources.

Pursuant to 5 U.S.C. 552a(k)(2), this system of records is exempt from (c)(3), (d), (e)(1), (e)(4)(G)-(I), and (f) of the Privacy Act. These exemptions are established in the Commission's rules at 19 CFR 201.32.

-4 Office of Inspector General ("OIG") Investigative Files (Criminal).

Office of Inspector General, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

This system contains records on individuals and contractors, who are or have been the focus of an OIG criminal investigation relating to the programs and operations of the Commission.

This system contains records maintained by the OIG's criminal investigations subunit, and consists of information compiled for the purpose of conducting criminal investigations.

Authority for maintenance of the system is the Inspector General Act of 1978, Pub. L. No. 95-452, 92 Stat. 1101, 1101-1110 (1978) (codified at 5 U.S.C. 3 app. 1-12), with any revisions or amendments.

These records are used to investigate allegations of criminal violations by Commission employees or contractors.

General Routine Uses A-K apply to this system.

STORAGE:

These records are maintained on paper in binders or folders, and on computer media on an internal Commission system.

These records are retrieved by a unique control number assigned to each investigation.

These records will be maintained permanently until disposition authority is granted by the NARA. Records will be disposed of in a secure manner.

Inspector General, Office of Inspector General, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment or dates of contractual relationship; and

4. Signature.

Individuals wishing to request access to their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment or dates of contractual relationship; and

4. Signature.

Individuals requesting access must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment or dates of contractual relationship; and

4. Signature.

Individuals requesting amendment must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

These files contain information supplied by the following: individuals, including those to whom the information relates where practicable; witnesses; contractors, corporations, and other entities; records of individuals and of the Commission; Federal, foreign, state or local bodies and law enforcement agencies; documents; correspondence; interview memoranda; transcripts of testimony; and other miscellaneous sources.

Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempted from all provisions of the Privacy Act except (b), (c)(1)-(2), (e)(4)(A)-(F), (e)(6)-(7), (9)-(11), and (i). These exemptions are established in the Commission's rules at 19 CFR 201.32.

-5 Telephone Call Detail Records.

Offices of Information Technology Services, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436; General Services Administration, 13221 Woodland Park Rd., Herndon, VA 22071; U.S. Sprint, 8330 Ward Pkwy, Kansas City, MO 64114-2028.

All Commission employees and all contractors, sub-contractors, consultants and other individuals who are assigned telephone numbers by the Commission and who make long-distance telephone calls or long-distance facsimile transmissions from or charged to the Commission telephone system.

This system contains records relating to use of Commission telephones to place long-distance telephone calls or long-distance facsimile transmissions; records indicating assignment of telephone numbers to room numbers and employees; and records relating to location of telephones.

Authority for maintenance of the system includes the following with any revisions or amendments: 19 U.S.C. 1331(a)(1)(A)(iii).

Records in this system are used to verify telephone usage and resolve billing discrepancies so that telephone bills can be paid. They may also be used to identify and seek reimbursement for unofficial calls, and as a basis for taking action when agency employees or other persons misuse or abuse Commission telephone services.

General Routine Uses A-C, E-I, K, and L apply to this system.

Relevant information in this system may be disclosed as necessary to other Federal agencies or Federal contractors with statutory authority to assist in the collection of Commission debts.

Disclosure to consumer reporting agencies:

Disclosures may be made from this system pursuant to 5 U.S.C. 552a(b)(12) and 31 U.S.C. 3711(e) to "consumer reporting agencies" as defined in 31 U.S.C. 3701(a)(3).

STORAGE:

These records are maintained on computer media on an internal Commission system, on paper in file folders, and on computer tape in file cabinets.

These records are retrieved by the telephone number assigned to an individual, by office, date, number called, and city called.

These records are maintained in a building with restricted public access. The records in this system are kept in limited access areas within the building. The paper files and computer tapes are maintained in secure file cabinets, and access is limited to persons whose official duties require access. The computer files can only be accessed by authorized individuals through the use of passcodes.

These records are disposed of as provided in the NARA's General Records Schedule 12. Records will be disposed of in a secure manner.

Director, Office of Information Technology Services, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable);

4. Assigned phone number; and

5. Signature.

Individuals wishing to request access to their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable); and

4. Assigned phone number; and

5. Signature.

Individuals requesting access must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable); and

4. Assigned phone number; and

5. Signature.

Individuals requesting amendment must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Information from this system is obtained from telephone assignment records; call detail listings and electronic files from the telephone service provider; supervisors' confirmation of employees' responsibility for calls; and certification of telephone bills.

-6 Security Access Records.

Office of Facilities Management, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436; Federal Protective Services Division, General Services Administration, Southeast Federal Center, Bldg. 202, Washington, DC 20407; and Kastle Systems, 1501 Wilson Blvd., Arlington, VA 22209.

All Commission employees and all contractors, sub-contractors, consultants and other individuals who are assigned electronic security keys, and all visitors that sign in at the guard station upon entering the Commission premises.

This system contains records relating to the use of electronic security keys, including records on which keys were used to gain or seek access to controlled areas, and the time at which access was gained or sought; and records relating to entry of Commission premises, including the times at which entry and exit were made and location accessed within the Commission.

Authority for maintenance of the system includes the following with any revisions or amendments: 19 U.S.C. 1331(a)(1)(A)(iii).

These records are used to permit tracking of individual movements in circumstances such as when there has been a security breach or theft, to monitor access to restricted areas, to keep track of all visitors to the Commission or those individuals who do not have Commission identification cards, and to verify time and attendance records of Commission employees to the extent permitted by applicable law and except as prohibited by Commission policy.

General Routine Uses A-C, E-I, K, and L apply to this system.

STORAGE:

The visitor log records are maintained on paper in file folders; the security key records are maintained on electronic tape and magnetic disk.

The visitor log records are retrieved by month and year; the security key records are retrieved by area accessed, date and time of entry, key number, and name of individual.

The visitor log records are maintained by the Federal Protective Service in a secure facility with access limited to persons whose official duties require access. The security key records are maintained by the contractor in a secure facility with access limited to persons whose official duties require access.

The visitor log will be retained for two years in accordance with the NARA's General Records Schedule 18. The security key records are maintained for 90 days. Records will be disposed of in a secure manner.

Director, Office of Facilities Management, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable);

4. Date of visit(s) (for visitor log records); and

5. Signature.

Individuals wishing to request access to their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable);

4. Date of visit(s) (for visitor log records); and

5. Signature.

Individuals requesting access must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable);

4. Date of visit(s) (for visitor log records); and

5. Signature.

Individuals requesting amendment must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Information in this system is obtained from the visitor logs and, in the case of security key records, from the Commission security contractor.

-7 Personnel Security Investigative Files.

Office of Human Resources, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

All current and former employees; all applicants for employment; and contractors, subcontractors, and consultants.

This system contains records relating to name, date of birth, place of birth, Social Security Number, citizenship, fingerprints, credit references, credit records, education, arrest records, dates and purposes of visits to foreign countries, passport number(s), names of spouse(s), names of relatives, names of references, date(s) of appointment, position title(s), grade, duty station(s), Office of Human Resources file folder location, type of clearance granted, clearance date, clearance termination date, suitability date, investigation basis, investigation completion date, background investigation update and upgrade information, Commission termination date, security briefing data, and security investigator's notes on information gathered during the investigation.

Authority for maintenance of the system includes the following with any revisions or amendments: Executive Order 10450; 19 U.S.C. 1331(a)(1)(A)(iii).

Records in this system are used to: determine whether to issue security clearances; provide a current record of Commission employees with security clearance(s); and provide access cards and keys to Commission buildings and offices.

General Routine Uses A-C and E-K apply to this system.

Relevant information in this system may be disclosed as necessary to other Federal agencies or Federal contractors with statutory authority to assist in the collection of Commission debts.

Disclosure to consumer reporting agencies:

Disclosures may be made from this system pursuant to 5 U.S.C. 552a(b)(12) and 31 U.S.C. 3711(f) to "consumer reporting agencies" as defined in 31 U.S.C. 3701(a)(3).

Storage:

These records are maintained on paper in file folders.

These records are retrieved by name.

These records are maintained in a building with restricted public access. The records in this system are kept in locked file cabinets in a limited access area within the building. Access is limited to persons whose official duties require access.

These records will be retained not later than five years after separation or transfer of employee in accordance with the NARA's General Records Schedule 18. Records will be disposed of in a secure manner.

Director, Office of Administration, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable); and

4. Signature.

Individuals wishing to request access to their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable); and

4. Signature.

Individuals requesting access must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable); and

4. Signature.

Individuals requesting amendment must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Information is obtained from the individual on whom record is maintained; Office of Personnel Management; and any contractor who has been retained by the Commission to conduct background investigations.

Pursuant to 5 U.S.C. 552a(k)(1), (k)(5) and (k)(6), this system of records is exempted from (c)(3), (d), (e)(1), (e)(4)(G)-(I) and (f) of the Privacy Act. These exemptions are established in the Commission rules at 19 CFR 201.32.

-8 Library Circulation Records.

Knowledge Resources ("Main Library"), U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

All Commission employees who have borrowed materials from the Library.

This system contains records relating to titles and other identifying data on materials borrowed from the Library, and agency, office, office telephone number, and office room number of borrower, and the scheduled return date for each item borrowed.

Authority for maintenance of the system includes the following with any revisions or amendments: 40 U.S.C. 524(a); 19 U.S.C. 1331(a)(1)(A)(iii).

Records in this system are used to locate Library materials in circulation and to control and inventory Library materials loaned.

General Routine Uses E, H, I, and L apply to this system.

Relevant information in this system may be disclosed as necessary to other Federal agencies or Federal contractors with statutory authority to assist in the collection of Commission debts.

Disclosure to consumer reporting agencies:

Disclosures may be made from this system pursuant to 5 U.S.C. 552a(b)(12) and 31 U.S.C. 3711(e) to "consumer reporting agencies" as defined in 31 U.S.C. 3701(a)(3).

Storage:

These records are maintained on computer media on an internal Commission system and on paper in an index system.

These records are retrieved by name, by title of item borrowed, and by call number.

These records are maintained in a building with restricted public access. The records in this system are in a limited access area within the building. The paper records are kept within the control of Library staff during working hours and in a locked area at other times. The computer files can only be accessed by authorized individuals.

These records are maintained until the borrowed material is returned or until an employee is no longer employed at the Commission. Records will be disposed of in a secure manner.

Chief, Library Services, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment; and

4. Signature.

Individuals wishing to request access to their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment; and

4. Signature.

Individuals requesting access must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment; and

4. Signature.

Individuals requesting amendment must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Information is obtained from the individual who borrows materials, from library records on materials borrowed, and from the Commission telephone directory.

-9 Parking and Mass Transit Subsidy Records.

Office of Facilities Management, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

All current and former Commission employees and other authorized individuals who participate in the Commission mass transit and car pool subsidy programs.

This system contains records relating to name, office room number, office phone number, agency, home address, automobile type and license number, length of government service, Social Security number, and type of transportation used for commuting.

Authority for maintenance of the system includes the following with any revisions or amendments: 19 U.S.C. 1331(a)(1)(A)(iii); 41 CFR 102-74; 5 U.S.C. 7905.

Records in this system are used to allocate and control agency-subsidized parking spaces and mass transit subsidies, assist in creating car pools, and insure that employees qualify for subsidized parking spaces or mass transit subsidies.

General Routine Uses A-C, E-I, K, and L apply to this system.

Relevant information in this system may be disclosed as necessary to other Federal agencies or Federal contractors with statutory authority to assist in the collection of Commission debts.

Disclosure to consumer reporting agencies:

Disclosures may be made from this system pursuant to 5 U.S.C. 552a(b)(12) and 31 U.S.C. 3711(e) to "consumer reporting agencies" as defined in 31 U.S.C. 3701(a)(3).

STORAGE:

These records are maintained on paper in file folders and on computer media.

These records are retrieved by applicant name or, in the case of parking records, space assignment.

These records are maintained in a building with restricted public access. The records in this system are in a limited access area within the building. Access is limited to persons whose official duties require access.

Parking and Mass Transit Subsidy Records normally will be maintained for two years. Records will be disposed of in a secure manner.

Director, Office of Facilities Management, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable);

4. Signature.

Individuals wishing to request access to their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable);

4. Signature.

Individuals requesting access must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable);

4. Signature.

Individuals requesting amendment must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Information is obtained from the individual to whom the records pertain.

-10 Mailing List Records

Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals requesting placement on a Commission mailing list.

This systems contains records of requests by individuals, including their name, organization, business or home address, telephone numbers, facsimile numbers and electronic mail address.

Authority for maintenance of the system includes the following with any revisions or amendments: 19 U.S.C. 1331(a)(1)(A)(iii).

Records in this system are used to address various agency publications.

Address labels from these records are affixed to the Commission's mailings.

STORAGE:

These records are maintained on computer media on an internal Commission system.

These records are retrieved by name and company name.

These records are maintained in a building with restricted public access. The records in this system are kept in a limited access area within the building. Access to the files is limited to individuals whose official duties require access.

Records are maintained until individuals to whom the records pertain request deletion or fail to respond to a validation request, or have mail returned by the post office without a forwarding address. Records will be disposed of in a secure manner.

Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable); and

4. Signature.

Individuals wishing to request access to their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable); and

4. Signature.

Individuals requesting access must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable); and

4. Signature.

Individuals requesting amendment must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Information is obtained from the individual to whom the records pertain.

-2 Congressional Correspondence Records

Office of External Relations, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436, and other offices in the Commission with information pertaining to the correspondence located at the same address as the Office of External Relations.

Members of Congress.

This system contains records relating to the name, address and title of, and referrals of constituents' inquiries, from Members of Congress and responses thereto, and any other personal information in correspondence.

Authority for maintenance of the system includes the following with any revisions or amendments: 44 U.S.C. 3101; 19 U.S.C. 1331(a)(1)(A)(iii).

Records in this system are used to respond to Congressional inquiries and inform Congress about Commission activities.

General routine uses A, D, E, F, K, and L apply to this system.

Referral may be made to other Federal, State, or local government agencies for appropriate action when the matter complained of or inquired about comes within the jurisdiction of such agency.

STORAGE:

These records are maintained on paper in file folders and on computer media on an internal Commission system.

These records are retrieved by name of Member of Congress.

These records are maintained in a building with restricted public access. The records in this system are kept in limited access areas within the building. The paper files are stored in secure file cabinets and access is limited to persons whose official duties require access. The computer files can only be accessed by authorized individuals.

Records are maintained at least two years subsequent to the end of a Member of Congress' term in office. Records will be disposed of in a secure manner.

Director, Office of External Relations, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable); and

4. Signature.

Individuals wishing to request access to their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable); and

4. Signature.

Individuals requesting access must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25)

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable); and

4. Signature.

Individuals requesting amendment must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Information from this system comes from Members of Congress, their staffs, and individuals on whose behalf there have been Congressional inquiries.

-12 Computer Access Records.

Office of Information Technology Services, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

All current and former Commission employees and all contractors, sub-contractors, consultants, and other individuals who use Commission computers or visit the Commission's World Wide Web sites.

This system contains information pertaining to a computer user's access to Commission computers, including such information as the identification of the computer assigned to a particular user, Internet sites visited, dates, and time. It also includes records relating to name, address, telephone number, fax number, electronic mail address, employer type, agency or firm name, the computer's Internet protocol addresses, and account number gathered while accessing the Commission's World Wide Web sites.

Authority for maintenance of the system includes the following with any revisions or amendments: 19 U.S.C. 1331(a)(1)(A)(iii).

These records are used to permit tracking of individual computer access to prevent improper use of agency equipment. These records also are used as a tool for investigation in the event of an unauthorized intrusion into the Commission's computer systems. Additionally, these records are used for statistical analysis of computer usage.

General Routine Uses A-C and E-L apply to this system.

STORAGE:

The Computer Access Records are maintained on electronic tape and magnetic disk or other data storage media.

The Internet access records are retrieved by computer address, which is associated with the name of the person to whom the computer is assigned. The Internet protocol address records are retrieved by searching for the address on the electronic tape or magnetic disk or other data storage media.

The records are maintained in a secure location with access limited to persons whose official duties require access.

The Computer Access Records generally will be retained for up to three months for tracking and investigation purposes and for up to five years for analysis purposes. Records will be disposed of in a secure manner.

Director, Office of the Information Technology Services, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable);

4. Signature.

Individuals wishing to request access to their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable);

4. Signature.

Individuals requesting access must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable);

4. Signature.

Individuals requesting amendment must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Information in this system comes from the Commission's computer systems and firewall gateway server software.

-13 Administrative Protective Order Breach and Related Records.

Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436, and other Commission offices.

Persons subject to investigations of alleged breaches of administrative protective orders and/or investigations of whether there is good cause to sanction persons under section 201.15 of the Commission's Rules of Practice and Procedure (19 CFR 201.15).

This system contains records relating to a person's name, firm, address, the basis for the investigation, the Commission's determinations with respect to the facts of the investigation, and any sanctions or other actions taken in response to the agency's determinations.

Authority for maintenance of the system includes the following with any revisions or amendments: 19 U.S.C. 1337, 1677f, 2252, 2451, and 2451a.

Records in this system are used to determine whether a person has breached an administrative protective order and/or should be sanctioned.

General Routine Uses A-C and E-K apply to this system.

Relevant information in this system may be disclosed to the public as necessary where the Commission determines that a public sanction is warranted or where the Commission determines that such disclosure is necessary to facilitate the recovery of business proprietary information or confidential business information which has been disclosed to unauthorized persons.

Information from this system of records concerning one person may be disclosed to other persons subject to the same Administrative Protective Order ("APO") breach investigation and to other parties participating in the underlying trade remedy proceeding.

Storage:

These records are maintained on magnetic disk or other electronic data storage media.

These records are retrieved by name.

These records are maintained in a building with restricted public access. The records in this system are kept in computers equipped with access controls in limited access areas within the building. Access is limited to persons whose official duties require access.

These records will be retained no later than ten years after an investigation is closed in accordance with the Commission's Records Disposition Schedule. Records will be disposed of in a secure manner.

Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish their full name and signature for their records to be located and identified.

Individuals wishing to request access to their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish their full name and signature for their records to be located and identified.

Individuals requesting access must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Individuals must furnish their full name and signature for their records to be located and identified.

Individuals requesting amendment must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Information in this system comes from the individual on whom the record is maintained and investigative records compiled by Commission staff.

-14 Import and Export Records

Office of Operations, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals importing to and/or exporting from the United States, and individuals producing articles for import and/or export.

The system contains records relating to an importer's, exporter's, or producer's name, organization, title or position, business role, address, telephone number, electronic mail address, Web site address, and Social Security number or Dun's number, as well as quantity and value information on imports and exports.

Authority for maintenance of the system includes the following with any revisions or amendments: 19 U.S.C. 1330-1335, 1337, 1671 et seq., 2151, 2163, 2213, 2251-54, 2436, 2451-51a, 2482, 2704, 3204, 3353, 3372, 3381, 3804; 7 U.S.C. 624.

Records in this system are used to conduct statutorily mandated investigations and studies, such as antidumping, countervailing duty, global safeguard, and intellectual property-related investigations and industry and economic analysis.

General Routine Uses A-C, E-I, and K apply to this system.

Records in this system may be disclosed as necessary to the Office of the United States Trade Representative and other agencies in safeguard and intellectual-property related investigations.

Records in this system may be disclosed as necessary to U.S. Customs and Border Protection in intellectual-property and import injury investigations in accordance with statutory authority to facilitate that agency's fraud investigations and administration of entry exclusions.

Records in this system may be disclosed as necessary to representatives of parties to investigations under administrative protective order.

Records in this system may be publicly disclosed as necessary in aggregated form that is not individually identifiable.

Storage:

These records are maintained on computer media on an internal Commission system and in hard copies in internal Commission offices and in similar storage at NAFTA panels and other tribunals, and firms subject to administrative and judicial protective order

These records are retrieved by name.

Records normally are maintained for no more than twenty years in accordance with the Commission's Records Disposal Schedule. Records will be disposed of in a secure manner.

Director, Office of Operations, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable); and

4. Signature.

Individuals wishing to request access to their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable); and

4. Signature.

Individuals requesting access must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable); and

4. Signature.

Individuals requesting amendment must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Information is obtained from U.S. Customs and Border Protection and other agencies that collect the information.

-15 Telecommuting Program Records.

Office of Facilities Management, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

All current and former Commission employees and other authorized individuals who participate in the Commission telecommuting program.

This system contains records relating to a person's name, title, office, supervisor, electronic mail address, telephone number, and alternate duty station address.

Authority for maintenance of the system includes the following with any revisions or amendments: 19 U.S.C. 1331(a)(1)(A)(iii); Pub. L. No. 106-346, § 359, 114 Stat. 1356, 1356A-36 (2000).

Records in this system are used to administer the agency's telecommuting program. They may also be used to monitor employee compliance with the agency's telecommuting procedures.

General Routine Uses A-C and E-L apply to this system.

Relevant information in this system may be disclosed as necessary to the United States Congress in a form that does not identify covered individuals.

STORAGE:

These records are maintained on paper in file folders and on computer media.

These records are retrieved by name.

Telecommuting Program Records normally will be maintained for two years. Records will be disposed of in a secure manner.

Director, Office of Facilities Management, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable);

4. Signature.

Individuals wishing to request access to their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable);

4. Signature.

Individuals requesting access must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable);

4. Signature.

Individuals requesting amendment must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Information is obtained from the individual to whom the records pertain.

-16 Emergency Notification Records.

The various offices within the U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

All current Commission employees.

This system contains records relating to a person's name, title, office, Commission and non-Commission electronic mail addresses, and telephone number, as well as the name, address, non-Commission electronic mail address, and telephone number of the employee's designated emergency contact.

Authority for maintenance of the system includes the following with any revisions or amendments: 19 U.S.C. 1331(a)(1)(A)(iii); 44 U.S.C. 3101; and Presidential Decision Directive 67, Ensuring Constitutional Government and Continuity of Government Operations.

Records are maintained in this system for the purpose of notifying and identifying employees or their designees under emergency conditions.

General Routine Uses A-C and E-L apply to this system.

Storage:

These records are maintained on paper in file folders in internal Commission offices and on computer media on an internal Commission system.

These records are retrieved by name.

Emergency Notification Records will be maintained for the duration of an individual's employment with the Commission. Records will be disposed of in a secure manner.

Director, Office of Human Resources, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable);

4. Signature.

Individuals wishing to request access to their records should contact the Privacy Act Officer, Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436.

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable);

4. Signature.

Individuals requesting access must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Individuals must furnish the following information for their records to be located and identified:

1. Full name(s);

2. Date of birth;

3. Dates of employment (if applicable);

4. Signature.

Individuals requesting amendment must comply with the Commission's Privacy Act regulations on verification of identity (19 CFR 201.25).

Information is obtained from the individual to whom the records pertain.

General Routine Uses Applicable to More Than One System of Records

A. Disclosure for Law Enforcement Purposes

When information 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, disclosure may be made to the appropriate agency, whether Federal, foreign, State, local, or tribal, or other public authority responsible for enforcing, investigating or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto, if the information disclosed is relevant to any enforcement, regulatory, investigative or prosecutive responsibility of the receiving entity.

B. Disclosure Incident to Requesting Information

Information may be disclosed to any source from which additional information is requested (to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and to identify the type of information requested), when necessary to obtain information relevant to an agency decision concerning retention of an employee or other personnel action (other than hiring), retention of a security clearance, the letting of a contract, or the issuance or retention of a grant, or other benefit.

C. Disclosure to Requesting Agency

Disclosure may be made to a Federal, State, local, foreign, or tribal or other public authority of the fact that this system of records contains information relevant to the retention of an employee, the retention of a security clearance, the letting of a contract, or the issuance or retention of a license, grant, or other benefit. The other agency or licensing organization may then make a request supported by the written consent of the individual for the entire record if it so chooses. No disclosure will be made unless the information has been determined to be sufficiently reliable to support a referral to another office within the agency or to another Federal agency for criminal, civil, administrative, personnel, or regulatory action.

D. Disclosure to Office of Management and Budget

Information may be disclosed to the Office of Management and Budget at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A-19.

E. Disclosure to Congressional Offices

Information may be disclosed to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the written request of the individual about whom the record is maintained. Disclosure will not be made until the congressional office has furnished appropriate documentation of the individual's request, such as a copy of the individual's written request.

F. Disclosure to Department of Justice

Information may be disclosed to the Department of Justice, or in a proceeding before a court, adjudicative body, or other administrative body before which the Commission is authorized to appear, when:

1. The Commission, or any component thereof; or

2. Any employee of the Commission in his or her official capacity; or

3. Any employee of the Commission in his or her individual capacity where the Department of Justice or the Commission has agreed to represent the employee; or

4. The United States is a party to litigation or has an interest in such litigation, and the Commission determines that the records are both relevant and necessary to the litigation and the use of such records is deemed by the Commission to be for a purpose that is compatible with the purpose for which the records were collected.

G. Disclosure to the National Archives and General Services Administration

Information may be disclosed to the National Archives and Records Administration or General Services Administration for records management inspections conducted under 44 U.S.C. 2904 and 2906.

H. Disclosure to Contractors, Grantees, Etc.

Information may be disclosed to agency contractors, grantees, consultants, or volunteers who have been engaged to assist the agency in the performance of a contract, service, grant, cooperative agreement, job, or other activity for the Commission related to this system of records and who need to have access to the records in order to perform the activity for the Commission. This includes Federal agencies providing payroll, management, or administrative services to the Commission. When appropriate, recipients shall be required to comply with the requirements of the Privacy Act of 1974 as provided in 5 U.S.C. 552a(m).

I. Disclosures for Administrative Claims, Complaints and Appeals

Information from this system of records may be disclosed to an authorized appeal grievance examiner, formal complaints examiner, equal employment opportunity investigator, arbitrator or other person properly engaged in investigation or settlement of an administrative grievance, complaint, claim, or appeal filed by an employee or former employee, but only to the extent that the information is relevant and necessary to the proceeding. Agencies that may obtain information under this routine use include, but are not limited to, the Office of Personnel Management, Office of Special Counsel, Merit Systems Protection Board, Federal Labor Relations Authority, Equal Employment Opportunity Commission, and Office of Government Ethics.

J. Disclosure to the Office of Personnel Management

Information from this system of records may be disclosed to the Office of Personnel Management pursuant to that agency's responsibility for evaluation and oversight of Federal personnel management.

K. Disclosure in Connection with Litigation

Information from this system of records may be disclosed in connection with litigation or settlement discussions regarding claims by or against the Commission, including public filing with a court, to the extent that disclosure of the information is relevant and necessary to the litigation or discussions and except where court orders are otherwise required under section (b)(11) of the Privacy Act of 1974, 5 U.S.C. 552a(b)(11).

L. Disclosure to Labor Unions

Information from this system of records may be disclosed to provide information to officials of labor organizations when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting work conditions.

Government-Wide Systems Notices Applicable to the Commission

The Commission maintains some records covered by Government-wide systems of records notices published by other agencies. There may not be actual Commission files in all Government-wide systems. This list is based on Privacy Act Issuances, 2003 Compilation, available at http://www.gpoaccess.gov/privacyact/2003.html. Any later established Government-wide systems notices may also be applicable.

1. DOL/GOVT-1 Federal Employees' Compensation Act File.

2. DOL/GOVT-2 Jobs Corps Student Records.

3. EEOC/GOVT-1 Equal Employment Opportunity in the Federal Government Complaint and Appeal Records.

4. FEMA/GOVT-1 National Defense Executive Reserve System.

5. GSA/GOVT-2 Employment Under Commercial Activities Contracts.

6. GSA/GOVT-3 Travel Charge Card Program.

7. GSA/GOVT-4 Contracted Travel Service Program.

8. GSA/GOVT-5 Access Certificates for Electronic Services.

9. MSPB/GOVT-1 Appeals and Case Records.

10. OGE/GOVT-1 Executive Branch Personnel Public Financial Disclosure Reports and Other Name-Retrieved Ethics Program Records.

11. OGE/GOVT-2 Executive Branch Confidential Financial Disclosure Reports.

12. OPM/Central-1 Civil Service Retirement and Insurance Records.

13. OPM/Central-2 Complaints and Inquiries Records.

14. OPM/Central-5 Intergovernmental Personnel Act Assignment Records.

15. OPM/Central-6 Administrative Law Judge Application Records.

16. OPM/Central-7 Litigation and Claims Records.

17. OPM/Central-9 Personnel Investigations Records.

18. OPM/Central-10 Federal Executive Institute Program Participant Records.

19. OPM/Central-11 Presidential Management Intern (PMI) Program Records.

20. OPM/Central-13 Executive Personnel Records.

21. OPM/GOVT-1 General Personnel Records.

22. OPM/GOVT-2 Employee Performance File System Records.

23. OPM/GOVT-3 Records of Adverse Actions, Performance Based Reduction in Grade and Removal Actions, and Termination of Probationers.

24. OPM/GOVT-5 Recruiting, Examining, and Placement Records.

25. OPM/GOVT-6 Personnel Research and Test Validation Records.

26. OPM/GOVT-7 Applicant Race, Sex, National Origin, and Disability Status Records.

27. OPM/GOVT-9 File on Position Classification Appeals, Job Grading Appeals, and Retained Grade or Pay Appeals, and Fair Labor Standard Act (FLSA) Claims and Complaints.

28. OPM/GOVT-10 Employee Medical File System Records.

Customs Duties International Trade Commission RULES OF GENERAL APPLICATION

Sec.

Subpart D--Safeguarding Individual Privacy Pursuant to 5 U.S.C. 552a

201.22 Purpose and scope.

201.23 Definitions.

201.24 Procedures for requests pertaining to individual records in a records system.

201.25 Times, places, and requirements for identification of individuals making requests.

201.26 Disclosure of requested information to individuals.

201.27 Special procedures: Medical records.

201.28 Requests for correction or amendment of records.

201.29 Commission disclosure of individual records, accounting of record disclosures, and requests for accounting of record disclosures.

201.30 Commission review of requests for access to records, for correction or amendment to records, and for accounting of record disclosures.

201.31 Fees and employee conduct.

201.32 Specific exemptions.

Authority: Sec. 335 of the Tariff Act of 1930 (19 U.S.C. 1335), and sec. 603 of the Trade Act of 1974 (19 U.S.C. 2482), unless otherwise noted.

Source: 27 FR 12118, Dec. 7, 1962, unless otherwise noted.

Subpart C--Availability of Information to the Public Pursuant to 5 U.S.C. 552

Authority: 19 U.S.C. 1335, 5 U.S.C. 552.

Source: 40 FR 8328, Feb. 27, 1975, unless otherwise noted.

§ 201.17 Procedures for requesting access to records.

(a) Requests for records. (1) A request for any information or record shall be addressed to the Secretary, United States International Trade Commission, 500 E Street SW., Washington, DC 20436 and shall indicate clearly in the request, and if the request is in paper form on the envelope, that it is a "Freedom of Information Act Request." A written request may be made either (1) in paper form, or (2) electronically by contacting the Commission at http://www.usitc.gov/foia.htm.

(2) Any request shall reasonably describe the requested record to facilitate location of the record. If the request pertains to a record that is part of the Commission's file in an investigation, the request should identify the investigation by number and name. A clear description of the requested record(s) should reduce the time required by the Commission to locate and disclose releasable responsive record(s) and minimize any applicable search and copying charges.

(3) Except as provided in paragraph (b) of this section, requests will be processed in the order in which they are filed.

(4) Requests for transcripts of hearings should be addressed to the official hearing reporter, the name and address of which can be obtained from the Secretary. A copy of such request shall at the same time be forwarded to the Secretary.

(5) Copies of public Commission reports and other publications can be requested by calling or writing the Publications Office in the Office of the Secretary. Generally, such publications can be obtained more quickly from this office. Certain Commission publications are sold by the Superintendent of Documents, U.S. Government Printing Office, and are available from that agency at the price set by that agency.

(6) A day-to-day, composite record will be kept by the Secretary of each request with the disposition thereof.

(b) Expedited processing. (1) Requests for records under paragraph (a)(1) of this section will be taken out of order and given expedited treatment whenever it is determined that they involve:

(i) Circumstances in which the lack of expedited treatment could reasonably be expected to pose an imminent threat to the life or physical safety of an individual;

(ii) An urgency to inform the public about an actual or alleged federal government activity, if made by a person primarily engaged in disseminating information;

(iii) The loss of substantial due process rights; or

(iv) A matter of widespread and exceptional media interest in which there exist possible questions about the government's integrity which affect public confidence.

(2) A request for expedited processing may be made at the time of the initial request for records or at any later time.

(3) A requester who seeks expedited processing must submit a statement, certified to be true and correct to the best of that person's knowledge and belief, explaining in detail the basis for requesting expedited processing. For example, a requester within paragraph (b)(1)(ii) of this section, if not a full-time member of the news media, must establish that he or she is a person whose main professional activity or occupation is information dissemination, though it need not be his or her sole occupation. A requester within paragraph (b)(1)(ii) of this section also must establish a particular urgency to inform the public about the government activity involved in the request, beyond the public's right to know about government activity generally. The formality of certification may be waived as a matter of administrative discretion.

(4) Within ten calendar days of receipt of a request for expedited processing, the Secretary will decide whether to grant it and will notify the requester of the decision. If a request for expedited treatment is granted, the request will be given priority and will be processed as soon as practicable. If a request for expedited processing is denied, any appeal of that decision will be acted on expeditiously.

(c) Public reading room. The Commission maintains a public reading room in the Office of the Secretary for access to the records that the FOIA requires to be made regularly available for public inspection and copying. Reading room records created by the Commission on or after November 1, 1996, are available electronically. This includes a current subject-matter index of reading room records, which will indicate which records are available electronically.

[63 FR 29347, May 29, 1998, as amended at 68 FR 32975, June 3, 2003]

§ 201.18 Denial of requests, appeals from denial.

(a) Written requests for inspection or copying of records shall be denied only by the Secretary or Acting Secretary, or, for records maintained by the Office of Inspector General, the Inspector General. Denials of written requests shall be in writing, shall specify the reason therefor, and shall advise the person requesting of the right to appeal to the Commission. Oral requests may be dealt with orally, but if the requester is dissatisfied he shall be asked to put the request in writing.

(b) An appeal from a denial of a request must be received within sixty days of the date of the letter of denial and shall be made to the Commission and addressed to the Chairman, United States International Trade Commission, 500 E Street SW., Washington, DC 20436. Any such appeal shall be in writing, and shall indicate clearly in the appeal, and if the appeal is in paper form on the envelope, that it is a "Freedom of Information Act Appeal." An appeal may be made either in paper form, or electronically by contacting the Commission at http://www.usitc.gov/foia.htm.

(c) Except when expedited treatment is requested and granted, appeals will be decided in the order in which they are filed, but in any case within twenty days (excepting Saturdays, Sundays, and legal holidays) unless an extension, noticed in writing with the reasons therefor, has been provided to the person making the request. Notice of the decision on appeal and the reasons therefor will be made promptly after a decision. Requests for expedited treatment should conform with the requirements in § 201.17(c) of this part.

(d) The extensions of time mentioned in paragraph (c) of this section shall be made only for one or more of the following reasons:

(1) The need to search for and collect the requested records from field facilities or other establishments that are separate from the office processing the request;

(2) The need to search for, collect, and appropriately examine a voluminous amount of separate and distinct records which are requested in a single communication; or

(3) The need for consultation, which shall be conducted with all practicable speed, with another agency having a substantial interest in the determination of the request or among two or more components of the agency having a substantial subject-matter interest therein.

(e) The extensions of time mentioned in paragraph (c) of this section shall not exceed ten working days in the aggregate.

[40 FR 8328, Feb. 27, 1975, as amended at 54 FR 13678, Apr. 5, 1989; 60 FR 37336, July 20, 1995; 63 FR 29348, May 29, 1998; 68 FR 32975, June 3, 2003]

§ 201.19 Notification regarding requests for confidential business information.

(a) In general. Business information provided to the Commission by a business submitter which the Commission has designated as "confidential business information" will not be disclosed pursuant to a Freedom of Information Act (FOIA) request except in accordance with this section.

(b) Definitions. The following definitions are to be used in reference to this section:

Confidential business information means commercial or financial information that has been designated as confidential business information by the Commission under § 201.6 of this part.

Submitter means any person or entity who provides confidential business information, directly or indirectly, to the Commission. The term includes, but is not limited to, corporations, producers, importers, and state and federal governments, as well as others who have an administrative relationship with the Commission such as contractors, bidders and vendors.

(c) Notice to submitters. Except as provided for in paragraph (e) of this section, the Commission will, to the extent permitted by law, provide a submitter with prompt written notice of a FOIA request or administrative appeal encompassing its confidential business information whenever required under paragraph (d) of this section, in order to afford the submitter an opportunity to object to disclosure pursuant to paragraph (f) of this section. Such written notice will describe the nature of the confidential business information requested. The requester will also be notified that notice and opportunity to object to are being provided to a submitter.

(d) When notice is required. Notice will be given to a submitter in writing at submitter's last known address whenever:

(1) The information the subject of the FOIA request or appeal has been designated by the Commission as confidential business information; and

(2) The Commission has reason to believe that the information may not be protected from disclosure under FOIA Exemptions 3 or 4.

(e) Exceptions to notice requirment. The notice requirements of paragraph (c) of this section will not apply if:

(1) The Commission determines that the information should not be disclosed;

(2) The information lawfully has been published or has been officially made available to the public; or

(3) Disclosure of the information is required by law (other than 5 U.S.C. 552).

(f) Opportunity to object to disclosure. In general, the Commision has 10 working days in which to respond to a FOIA request. Through the notice described in paragraph (c) of this section, the Commission will afford a submitter an opportunity, within the period afforded to the Commission to make its decision in response to the FOIA request, to provide the Commission with a detailed written statement of any objection to disclosure. Such statement shall be filed at least one working day before the Commission is required to respond to the FOIA request, and it shall specify all grounds for withholding any of the information under any exemption of FOIA. In the case of FOIA Exemptions 3 or 4, it shall demonstrate why the information should continue to be considered confidential business information within the meaning of § 201.6 of this part and should not be disclosed. The submitter's claim of continued confidentiality should be supported by a certification by an officer or authorized representative of the submitter. Information provided by a submitter pursuant to this paragraph may itself be subject to disclosure under FOIA.

(g) Notice of intent to disclose. The Commission will consider carefully a submitter's objections and specific grounds for nondisclosure prior to determining whether to disclose the information. Whenever the Commission decides to disclose such information over the objection of a submitter, the Commission will forward to the submitter a written notice which will include:

(1) A statement of the reasons for which the submitter's disclosure objections were not sustained;

(2) A description of the information to be disclosed; and

(3) A specified disclosure date.

Such notice of intent to disclose will be forwarded to the submitter a reasonable number of days prior to the specified disclosure date and the requester will be notified likewise.

(h) Notice of FOIA lawsuit. Whenever a requester brings suit seeking to compel disclosure of information that the Commission has designated as confidential business information, the Commission will promptly notify the submitter at its last known address. For the purpose of this paragraph, the Secretary may assume such address to be that given on the submission.

[54 FR 13678, Apr. 5, 1989, as amended at 68 FR 32975, June 3, 2003]

§ 201.20 Fees.

(a) In general. Fees pursuant to 5 U.S.C. 552 shall be assessed according to the schedule contained in paragraph (b) of this section for services rendered by agency personnel in responding to and processing requests for records under this subpart. All fees so assessed shall be charged to the requester, except where the charging of fees is limited under paragraph (c) of this section or where a waiver or reduction of fees is granted under paragraph (d) of this section. The Secretary will collect all applicable fees. Requesters shall pay fees by check or money order made payable to the Treasury of the United States.

(b) Charges. In responding to requests under this subpart, the following fees shall be assessed, unless a waiver or reduction of fees has been granted pursuant to paragraph (d) of this section:

(1) Search. (i) No search fee shall be assessed with respect to requests by educational institutions, noncommercial scientific institutions, and representatives of the news media as defined in paragraphs (j) (6), (7), and (8) of this section, respectively. Search fees shall be assessed with respect to all other requests, subject to the limitations of paragraph (c) of this section. The secretary may assess fees for time spent searching even if agency personnel fail to locate any respective record or where records located are subsequently determined to be entirely exempt from disclosure.

(ii) For each quarter hour spent by agency personnel in salary grades GS-2 through GS-10 in searching for and retrieving a requested record, the fee shall be $4.00. When the time of agency personnel in salary grades GS-11 and above is required, the fee shall be $6.50 for each quarter hour of search and retrieval time spent by such personnel.

(iii) For computer searches of records, which may be undertaken through the use of existing programming, requester shall be charged the actual direct costs of conducting the search, although certain requesters (as defined in paragraph (c)(2) of this section) shall be entitled to the cost equivalent of two hours of manual search time without charge. These direct costs shall include the cost of operating a central processing unit for that portion of operating time that is directly attributable to searching for records responsive to a request, as well as the costs of operator/programmer salary apportionable to the search (at no more than $6.50 per quarter hour of time so spent).

(2) Duplication. Duplication fees shall be assessed with respect to all requesters, subject to the limitations of paragraph (c) of this section. For a paper photocopy of a record (no more than one copy of which need be supplied), the fee shall be $0.10 per page. For copies produced by computer, such as tapes or printouts, the Secretary shall charge the actual direct costs, including operator time, of producing the copy. For other methods of duplication, the Secretary shall charge the actual direct costs of duplicating a record.

(3) Review. (i) Review fees shall be assessed with respect to only those requesters who seek records for a commercial use, as defined in paragraph (j)(5) of this section. For each quarter hour spent by agency personnel in reviewing a requested record for possible disclosure, the fee shall be $6.50.

(ii) Review fees shall be assessed only for the initial record review, i.e., all of the review undertaken when a component analyzes the applicability of a particular exemption to a particular record or record portion at the initial request level. No charge shall be assessed for review at the administrative appeal level of an exemption already applied. However, records or record portions withheld pursuant to an exemption that is subsequently determined not to apply may be reviewed again to determine the applicability of other exemptions not previously considered. The costs of such a subsequent review are properly assessable, particularly where that review is made necessary by a change of circumstances.

(c) Limitations on charging fees. (1) No search or review fee shall be charged for a quarter-hour period unless more than half of that period is required for search or review.

(2) Except for requesters seeking records for a commercial use (as defined in paragraph (j)(5) of this section), the Secretary shall provide without charge--

(i) The first 100 pages of duplication (or its cost equivalent), and

(ii) The first two hours of search (or its cost equivalent).

(3) Whenever a total fee calculated under paragraph (b) of this section is $25.00 or less, no fee shall be charged.

(4) The provisions of paragraphs (c)(2) and (3) of this section work together. For requesters other than those seeking records for a commercial use, no fee shall be charged unless the cost of search is in excess of two hours plus the cost of duplication in excess of 100 pages exceeds $25.00.

(d) Waiver or reduction of fees. (1) Records responsive to a request under 5 U.S.C. 552 shall be furnished without charge or at a charge reduced below that established under paragraph (b) of this section where the Secretary determines, based upon information provided by a requester in support of a fee waiver request or otherwise made known to the Secretary that disclosure of the requested information is in the public interest, because it is likely to contribute significantly to public understanding of the operations or activities of the Government and is not primarily in the commercial interest of the requester. Requests for a waiver or reduction of fees shall be considered on a case-by-case basis.

(2) In order to determine whether the first fee waiver requirement is met--i.e., that disclosure of the requested information is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of the government--the Secretary shall consider the following four factors in sequence:

(i) The subject of the request: Whether the subject of the requested records concerns "the operations or activities of the government." The subject matter of the requested records, in the context of the request, must specifically concern identifiable operations or activities of the federal government--with a connection that is direct and clear, not remote or attenuated. Furthermore, the records must be sought for their informative value with respect to those government operations or activities; a request for access to records for their intrinsic informational content alone will not satisfy this threshold consideration.

(ii) The informative value of the information to be disclosed: Whether the disclosure is "likely to contribute" to an understanding of government operations or activities. The disclosable portions of the requested records must be meaningfully informative on specific government operations or activities in order to hold potential for contributing to increased public understanding of those operations and activities. The disclosure of information that already is in the public domain, in either a duplicative or a substantially identical form, would not be likely to contribute to such understanding, as nothing new would be added to the public record.

(iii) The contribution of an understanding of the subject by the public likely to result from disclosure: Whether disclosure of the requested information will contribute to "public understanding." The disclosure must contribute to the understanding of the public at large, as opposed to the individual understanding of the requester or a narrow segment of interested persons. A requester's identity and qualifications--e.g., expertise in the subject area and ability and intention to effectively convey information to the general public--shall be considered. It will be presumed that a representative of the news media (as defined in paragraph (j)(8) of this section) who has access to the means of public dissemination readily will be able to satisfy this consideration. Requests from libraries or other record repositories (or requesters who intend merely to disseminate information to such institutions) shall be analyzed, like those of other requesters, to identify a particular person who represents that he actually will use the requested information in scholarly or other analytic work and then disseminate it to the general public.

(iv) The significance of the contribution to public understanding: Whether the disclosure is likely to contribute "significantly" to public understanding of government operations or activities. The public's understanding of the subject matter in question, as compared to the level of public understanding existing prior to the disclosure, must be likely to be enhanced by the disclosure to a significant extent. The Secretary shall not make separate judgments as to whether information, even though it in fact would contribute significantly to public understanding of the operations or activities of the government, is "important" enough to be made public.

(3) In order to determine whether the second fee waiver requirement is met--i.e., that disclosure of the requested information is not primarily in the commercial interest of the requester--the Secretary shall consider the following two factors in sequence:

(i) The existence and magnitude of a commercial interest: Whether the requester has a commercial interest that would be furthered by the requested disclosure. The Secretary shall consider all commercial interests of the requester (with reference to the definition of commercial use in paragraph (j)(5) of this section), or any person on whose behalf the requester may be acting, but shall consider only those interests which would be furthered by the requested disclosure. In assessing the magnitude of identified commercial interests, consideration shall be given to the role that such FOIA-disclosed information plays with respect to those commercial interests, as well as to the extent to which FOIA disclosures serve those interests overall. Requesters shall be given a reasonable opportunity in the administrative process to provide information bearing upon this consideration.

(ii) The primary interest in disclosure: Whether the magnitude of the identified commercial interest of the requester is sufficiently large, in comparison with the public interest in disclosure, that disclosure is "primarily in the commercial interest of the requester." A fee waiver or reduction is warranted only where, once the "public interest" standard set out in paragraph (d)(2) of this section is satisfied, that public interest can fairly be regarded as greater in magnitude than that of the requester's commercial interest in disclosure. The Secretary shall ordinarily presume that, where a news media requester has satisfied the "public interest" standard, that will be the interest primarily served by disclosure to that requester. Disclosure to data brokers or others who compile and market government information for direct economic return shall not be presumed to primarily serve the "public interest."

(4) Where only a portion of the requested records satisfies both of the requirements for a waiver or reduction of fees under this paragraph, a waiver or reduction shall be granted only as to that portion.

(5) Requests for the waiver or reduction of fees shall address each of the factors listed in paragraphs (d) (2) and (3) of this section, as they apply to each record request.

(e) Notice of anticipated fees in excess of $25.00. Where the Secretary determines or estimates that the fees to be assessed under this section may amount to more than $25.00, he shall notify the requester as soon as practicable of the actual or estimated amount of the fees, unless the requester has indicated in advance his willingness to pay fees as high as those anticipated. (If only a portion of the fee can be estimated readily, the Secretary shall advise the requester that the estimated fee may be only a portion of the total fee.) In cases where a requester has been notified that actual or estimated fees may amount to more than $25.00, the request will be deemed not to have been received until the requester has agreed to pay the anticipated total fee. A notice of the requester pursuant to this paragraph shall offer him the opportunity to confer with agency personnel in order to reformulate his request to meet his needs at a lower cost.

(f) Aggregating requests. Where the Secretary reasonably believes that a requester or a group of requesters acting in concert is attempting to divide a request into a series of requests for the purpose of evading the assessment of fees, the Secretary may aggregate any such requests and charge accordingly. The Secretary may presume that multiple requests of such type made within a 30-day period have been made in order to evade fees. Where requests are separated by a longer period, the Secretary shall aggregate them only where there exists a reasonable basis for determining that said aggregation is warranted, e.g., where the requests involve clearly related matters. Multiple requests involving unrelated matters shall not be aggregated

(g) Advance payments. (1) Where the Secretary estimates that a total fee to be assessed under this section is likely to exceed $250.00, the Secretary may require the requester to make an advance payment of an amount up to the entire estimated fee before beginning to process the request, except where the Secretary receives a satisfactory assurance of full payment from a requester with a history of prompt payment.

(2) Where a requester has previously failed to pay a records access fee within 30 days of the date of billing, the Secretary may require the requester to pay the full amount owed, plus any applicable interest (as provided for in paragraph (h) of this section), and to make an advance payment of the full amount of any estimated fee before he begins to process a new request or continues to process a pending request from that requester.

(3) For requests other than those described in paragraphs (g) (1) and (2) of this section, the Secretary shall not require the requester to make an advance payment, i.e., a payment made before work is commenced or continued on a request. Payment owed on work already completed is not an advance payment.

(4) Where the Secretary acts under paragraph (g) (1) or (2) of this section, the administrative time limits described in subsection (a)(6) of the FOIA for the processing of an initial request or an appeal, plus permissible extensions of these time limits, shall be deemed not to begin to run until the Secretary has received payment of the assessed fee.

(h) Charging interest. The Secretary may assess interest charges on an unpaid bill starting on the 31st day following the day on which the bill was sent to the requester. Once a fee payment has been received by the Secretary, even if not processed, the accrual of interest shall be stayed. Interest charges shall be assessed at the rate prescribed in section 3717 of title 31 U.S.C. and shall accrue from the date of the billing. The Secretary shall follow the provisions of the Debt Collection Act of 1982, Pub. L. 97-265 (Oct. 25, 1982), and its implementing procedures, including the use of consumer reporting agencies, collection agencies, and offset.

(i) Other statutes specifically providing for fees. (1) The fee schedule of this section does not apply with respect to the charging of fees under a statute specifically providing for setting the level of fees for particular types of records--i.e., any statute that specifically requires a government entity such as the Government Printing Office or the National Technical Information Service, to set and collect fees for particular types of records--in order to:

(i) Serve both the general public and private sector organizations by conveniently making available government information;

(ii) Ensure that groups and individuals pay the cost of publications and other services that are for their special use so that these costs are not borne by the general taxpaying public;

(iii) Operate an information-dissemination activity on a self-sustaining basis to the maximum extent possible; or

(iv) Return revenue to the Treasury for defraying, wholly or in part, appropriate funds used to pay the costs of disseminating government information.

(2) Where records responsive to requests are maintained for distribution by agencies operating statutorily based fee schedule programs, the Secretary shall inform requesters of the steps necessary to obtain records from those sources.

(j) Definitions. For the purpose of this section:

(1) The term direct costs means those expenditures which the agency actually incurs in searching for and duplicating (and, in the case of commercial use requesters, reviewing) records to respond to a FOIA request. Direct costs include, for example the salary of the employee performing the work (the basic rate of pay for the employee plus 16 percent of that rate to cover benefits) and the cost of operating duplicating machinery. Not included in direct costs are overhead expenses such as costs of space and heating or lighting of the facility in which the records are stored.

(2) The term search includes all time spent looking for material that is responsive to a request, including page-by-page or line-by-line identification of material within documents. The Secretary shall ensure, however, that searches are undertaken in the most efficient and least expensive manner reasonably possible; thus, for example, the Secretary shall not engage in line-by-line search where merely duplicating an entire document would be quicker and less expensive.

(3) The term duplication refers to the process of making a copy of a record necessary to respond to a FOIA request. Such copies can take the form of paper copy, microform, audio-visual materials, or machine-readable documentation (e.g., magnetic tape or disk), among others. The copy provided shall be in a form that is reasonably usable by requesters.

(4) The term review refers to the process of examining a record located in response to a request in order to determine whether any portion of it is permitted to be withheld. It also includes processing any record for disclosure, e.g., doing all that is necessary to excise it and otherwise prepare it for release, although review costs shall be recoverable even where there ultimately is no disclosure of a record. Review time does not include time spent resolving general legal or policy issues regarding the application of exemptions.

(5) The term commercial use in the context of a request refers to a request from or on behalf of one who seeks information for a use or purpose that furthers the commercial, trade, or profit interests of the requester or the person on whose behalf the request is made, which can include furthering those interests through litigation. The Secretary shall determine, as well as reasonably possible, the use to which a requester will put the records requested. Where the circumstances of a request suggest that the requester will put the records sought to a commercial use, either because of the nature of the request itself or because the Secretary otherwise has reasonable cause to doubt a requester's stated use, the Secretary shall provide the requester a reasonable opportunity to submit further clarification.

(6) The term educational institution refers to a preschool, a public or private elementary or secondary school, an institution of undergraduate higher education, an institution of graduate higher education, an institution of professional education, and an institution of vocational education, which operates a program or programs of scholarly research. To be eligible for inclusion in this category, a requester must show that the request is being made as authorized by and under the auspices of a qualifying institution and that the records are not sought for a commercial use but are sought in furtherance of scholarly research.

(7) The term noncommercial scientific institution refers to an institution that is not operated on a "commercial" basis as that term is referenced in paragraph (j)(5) of this section, and which is operated solely for the purpose of conducting scientific research the results of which are not intended to promote any particular product or industry. To be eligible for inclusion in this category, a requester must show that the request is being made as authorized by and under the auspices of a qualifying institution and that the records are not sought for a commercial use but are sought in furtherance of scientific research.

(8) The term representative of the news media refers to any person actively gathering news for an entity that is organized and operated to publish or broadcast news to the public. The term news means information that is about current events or that would be of current interest to the public. Examples of news media entities include television or radio stations broadcasting to the public at large and publishers of periodicals (but only in those instances where they can qualify as disseminators of "news") who make their products available for purchase or subscription by the general public. For "freelance" journalists to be regarded as working for a news organization, they must demonstrate a clear basis for expecting publication through that organization; a publication contract would be the clearest proof, but the Secretary shall also look to the past publication record of a requester in making this determination. To be eligible for inclusion in this category, a requester also must not be seeking the requested records for a commercial use. In this regard, a request for records supporting the news dissemination function of the requester shall not be considered to be for a commercial use.

(k) Charges for other services and materials. Apart from the other provisions of this section, where the Secretary elects, as a matter of administrative discretion, to comply with a request for a special service or materials, such as certifying that records are true copies or sending them other than by ordinary mail, the actual direct costs of providing the service or materials shall be charged.

[54 FR 13673, Apr. 5, 1989, as amended at 63 FR 29348, May 29, 1998]

§ 201.21 Availability of specific records.

(a) Records available. The following information, on request to the Secretary of the Commission, is available for public inspection and copying: (1) final opinions, including concurring and dissenting opinions, as well as orders, made in the adjudication of cases; (2) those statements of policy and interpretations which have been adopted by the agency; and (3) administrative staff manuals and instructions to staff that affect a member of the public. Available information includes, but is not limited to: (i) Applications, petitions, and other formal documents filed with the Commission, (ii) notices to the public concerning Commission matters, (iii) transcripts of testimony taken and exhibits submitted at hearings, (iv) reports to the President, to either or both Houses of Congress, or to Committees of Congress, release of which has been authorized by the President or the legislative body concerned, (v) reports and other documents issued for general distribution. Much of the information described above also is available on the Commission's World Wide Web site. The Commission's home page is at http://www.usitc.gov. The Web site also includes information subject to repeated Freedom of Information Act requests. Persons accessing the Web site can find instructions on how to locate Commission information by following the "Freedom of Information Act" link on the home page.

(b) Records not available. Information specifically exempted from disclosure by 5 U.S.C. 552(b), including reports to the President, to either or both Houses of Congress, or to Committees of Congress, the release of which has not been authorized by the President or the legislative body concerned, and confidential business data as defined in 18 U.S.C. 1905 and 19 CFR 201.06 are not available to the public.

(c) Information requested in cases or matters to which the Commission is not a party. (1) The procedure specified in this section will apply to all demands directed to Commission employees for the production of documents or for testimony that relates in any way to the employees' official duties. These procedures will also apply to demands directed to former employees if the demands seek nonpublic materials or information acquired during Commission employment. The provisions of paragraph (c)(2) of this section will also apply to demands directed to the agency. For purposes of this section, the term demand means any request, order or subpoena for testimony or production of documents; the term subpoena means any compulsory process in a case or matter to which the Commission is not a party; the term nonpublic includes any material or information which, under § 201.21(b), is exempt from availability for public inspection and copying; the term employee means any current or former officer or employee of the Commission; the term documents means all records, papers or official files, including without limitation, official letters, telegrams, memoranda, reports, studies, calendar and diary entries, graphs, notes, charts, tabulations, data analysis, statistical or information accumulations, records of meetings and conversations, film impressions, magnetic tapes, and sound or mechanical reproductions; the term case or matter means any civil proceeding before a court of law, administrative board, hearing officer, or other body conducting a legal or administrative proceeding in which the Commission is not a named party.

(2) Prior to or simultaneously with a demand to a Commission employee for the production of documents or for testimony concerning matters relating to official duties, the party seeking such production or testimony must serve upon the General Counsel of the Commission an affidavit, or if that is not feasible, then a statement which sets forth the title of the case, the forum, the party's interest in the case, the reasons for the request, and a showing that the desired testimony or documents are not reasonably available from any other source. Where testimony is sought, the party must also provide a summary of the testimony desired, the intended use of the testimony, and show that Commission records could not be provided and used instead of the requested testimony. A subpoena for testimony from a Commission employee concerning official matters or for the production of documents shall be served in accordance with Rule 45 of the Federal Rules of Civil Procedure and a copy of the subpoena shall be sent to the General Counsel.

(3) Any employee or former employee who is served with a subpoena or other demand shall promptly advise the General Counsel of the service of the subpoena or other demand, the nature of the documents or information sought, and all relevant facts and circumstances.

(4) Absent written authorization from the Chairman of the Commission ("Chairman"), the employee shall respectfully decline to produce the requested documents, to testify, or to otherwise disclose requested information. If a court rules that the demand must be complied with despite the absence of such written authorization, the employee upon whom the demand is made shall respectfully refuse to comply based upon these regulations and Touhy v. Ragan, 340 U.S. 462 (1951).

(5) The Chairman will consider and act upon subpoenas under this section with due regard for statutory restrictions, the Commission's rules and the public interest, taking into account such factors as the need to conserve employees' time for conducting official business, the need to prevent the expenditure of the United States government's time and money for private purposes, the need to maintain impartiality between private litigants in cases where no substantial governmental interest is involved, and the relevant legal standards for determining whether justification exists for the disclosure of nonpublic information and documents. If the Chairman determines that the subpoenaed documents or information are protected by a privilege or that the Commission has a duty in law or equity to protect such documents or information from disclosure, the General Counsel shall move the court to quash the subpoena or for other appropriate action.

(6) The General Counsel may consult or negotiate with counsel or the party seeking testimony or documents to refine and limit the demand so that compliance is less burdensome, or obtain information necessary to make the determination described in paragraph (c)(5) of this section. Failure of the counsel or party seeking the testimony or documents to cooperate in good faith to enable the General Counsel to make an informed recommendation to the Chairman under paragraph (c)(5) of this section may serve as the basis for a determination not to comply with the demand.

(7) Permission to testify will, in all cases, be limited to the information set forth in the affidavit as described in paragraph (c)(2) of this section, or to such portions thereof as the Chairman deems proper.

(8) If the Chairman authorizes the testimony of an employee, then the General Counsel shall arrange for the taking of the testimony by methods that are least disruptive of the official duties of the employee. Testimony may, for example, be provided by affidavits, answers to interrogatories, written depositions, or depositions transcribed, recorded, or preserved by any other means allowable by law. Costs of providing testimony, including transcripts, will be borne by the party requesting the testimony. Such costs shall also include reimbursing the Commission for the usual and ordinary expenses attendant upon the employee's absence from his or her official duties in connection with the case or matter, including the employee's salary and applicable overhead charges and any necessary travel expenses.

(9) The Secretary in consultation with the General Counsel is further authorized to charge reasonable fees to parties demanding documents or information. Such fees, calculated to reimburse the government for the expense of responding to such demand, may include the costs of time expended by Commission employees to process and respond to the demand, attorney time for reviewing the demand and for related legal work in connection with the demand, and expenses generated by equipment used to search for, produce and copy the responsive information. In general, such fees will be assessed at the rates and in the manner specified in § 201.20 of this part.

(10) This section does not affect the rights and procedures governing the public access to official documents pursuant to the Freedom of Information Act or the Privacy Act.

(11) This section is intended to provide instructions to Commission employees and does not create any right or benefit, substantive or procedural, enforceable by any party against the Commission.

[40 FR 8328, Feb. 27, 1975, as amended at 54 FR 13676, Apr. 5, 1989; 68 FR 32975, June 3, 2003]

Subpart D--Safeguarding Individual Privacy Pursuant to 5 U.S.C. 552a

Source: 63 FR 29348, May 29, 1998, unless otherwise noted.

§ 201.22 Purpose and scope.

This subpart contains the rules that the Commission follows under the Privacy Act of 1974, 5 U.S.C. 552a. The rules in this subpart apply to all records in systems of records maintained by the Commission that are retrieved by an individual's name or other personal identifier. They describe the procedures by which individuals may request access to records about themselves, request amendment or correction of those records, and request an accounting of disclosures of those records by the Commission.

§ 201.23 Definitions.

For the purpose of these regulations:

(a) The term individual means a citizen of the United States or an alien lawfully admitted for permanent residence;

(b) The term maintain includes maintain, collect, use, or disseminate;

(c) The term record means any item, collection, or grouping of information about an individual that is maintained by the Commission, 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 the identifying number, symbol, or other identifying particular assigned to the individual;

(d) The term system of records means a group of any records under the control of the Commission from which information is retrieved by the name of the individual or by some identifying particular assigned to the individual;

(e) The term Privacy Act Officer refers to the Director, Office of Administration, United States International Trade Commission, 500 E Street SW., Washington, DC 20436, or his or her designee.

§ 201.24 Procedures for requests pertaining to individual records in a records system.

(a) A request by an individual to gain access to his or her record(s) or to any information pertaining to him or her which is contained in a system of records maintained by the Commission shall be addressed to the Privacy Act Officer, United States International Trade Commission, 500 E Street SW., Washington, DC 20436, and shall indicate clearly both on the envelope and in the letter that it is a Privacy Act request.

(b) In order to facilitate location of requested records, whenever possible, the request of the individual shall name the system(s) of records maintained by the Commission which he or she believes contain records pertaining to him or her, shall reasonably describe the requested records, and identify the time period in which the records were compiled.

(c) The Privacy Act Officer shall acknowledge receipt of a request within ten days (excluding Saturdays, Sundays, and legal public holidays), and wherever practicable, indicate whether or not access can be granted. If access is not to be granted, the requestor shall be notified of the reason in writing.

(d) The Privacy Act Officer, or, the Inspector General, if such records are maintained by the Inspector General, shall ascertain whether the systems of records maintained by the Commission contain records pertaining to the individual, and whether access will be granted. Thereupon the Privacy Act Officer shall:

(1) Notify the individual whether or not the requested record is contained in any system of records maintained by the Commission; and

(2) Notify the individual of the procedures as prescribed in Secs. 201.25 and 201.26 of this part by which the individual may gain access to those records maintained by the Commission which pertain to him or her. Access to the records will be provided within 30 days (excluding Saturdays, Sundays, and legal public holidays).

§ 201.25 Times, places, and requirements for identification of individuals making requests.

(a) If an individual wishes to examine his or her records in person, it shall be the responsibility of the individual requester to arrange an appointment with the Privacy Act Officer for the purpose of inspecting individual records. The time of inspection shall be during the regular office hours of the Commission, 8:45 a.m. to 5:15 p.m., Monday through Friday. The time arranged should be mutually convenient to the requester and to the Commission.

(b) The place where an individual may gain access to records maintained by the Commission which pertain to him or her shall be at the United States International Trade Commission Building, 500 E Street SW., Washington, DC 20436. The Privacy Act Officer shall inform the individual requester of the specific room wherein inspection will take place.

(c) An individual may also request the Privacy Act Officer to provide the individual with a copy of his or her records by certified mail.

(d) An individual who requests to gain access to those records maintained by the Commission which pertain to him or her shall not be granted access to those records without first presenting adequate identification to the Privacy Act Officer. Adequate identification may include, but is not limited to, a government identification card, a driver's license, Medicare card, a birth certificate, or a passport. If requesting records by mail, an individual must provide full name, current address, and date and place of birth. The request must be signed and either notarized or submitted under 28 U.S.C. 1746, which permits statements to be made under penalty of perjury as a substitute for notarization. In order to help the identification and location of requested records, a requestor may also, at his or her option, include the individual's social security number.

§ 201.26 Disclosure of requested information to individuals.

(a) Once the Privacy Act Officer has made a determination to grant a request for access to individual records, in whole or in part, the Privacy Act Officer shall inform the requesting individual in writing and permit the individual to review the pertinent records and to have a copy made of all or any portion of them. Where redactions due to exemptions pursuant to § 201.32 would render such records or portions thereof incomprehensible, the Privacy Act Officer shall furnish an abstract in addition to an actual copy.

(b) An individual has the right to have a person of his or her own choosing accompany him or her to review his or her records. The Privacy Act Officer shall permit a person of the individual requester's choosing to accompany the individual during inspection.

(c) When the individual requests the Privacy Act Officer to permit a person of the individual's choosing to accompany him or her during the inspection of his or her records, the Privacy Act Officer shall require the individual requester to furnish a written statement authorizing discussion of the records in the accompanying person's presence.

(d) The Privacy Act Officer shall take all necessary steps to insure that individual privacy is protected while the individual requester is inspecting his or her records or while those records are being discussed. Only the Privacy Act Officer shall accompany the individual as representative of the Commission during the inspection of the individual's records. The Privacy Act Officer shall be authorized to discuss the pertinent records with the individual.

§ 201.27 Special procedures: Medical records.

(a) While an individual has an unqualified right of access to the records in systems of records maintained by the Commission which pertain to him or her, medical and psychological records merit special treatment because of the possibility that disclosure will have an adverse physical or psychological effect upon the requesting individual. Accordingly, in those instances where an individual is requesting the medical and/or psychological records which pertain to him or her, he or she shall, in his or her Privacy Act request to the Privacy Act Officer as called for in § 201.24(a) of this part, specify a physician to whom the medical and/or psychological records may be released.

(b) It shall be the responsibility of the individual requesting medical or psychological records to specify a physician to whom the requested records may be released. If an individual refuses to name a physician and insists on inspecting his or her medical or psychological records in the absence of a doctor's discussion and advice, the individual shall so state in his or her Privacy Act request to the Privacy Act Officer as called for in § 201.24(a) of this part and the Privacy Act Officer shall provide access to or transmit such records directly to the individual.

§ 201.28 Requests for correction or amendment of records.

(a) If, upon viewing his or her records, an individual disagrees with a portion thereof or feels sections thereof to be erroneous, the individual may request amendment[s] of the records pertaining to him or her. The individual should request such an amendment in writing and should identify each particular record in question, the system[s] of records wherein the records are located, specify the amendment requested, and specify the reasons why the records are not correct, relevant timely or complete. The individual may submit any documentation that would be helpful. The request for amendment of records shall be addressed to the Privacy Act Officer, United States International Trade Commission, 500 E Street SW., Washington, DC 20436, and shall clearly indicate both on the envelope and in the letter that it is a Privacy Act request for amendment of records.

(b) Not later than 10 days (excluding Saturdays, Sundays and legal public holidays) after the date of receipt of a Privacy Act request for amendment of records, the Privacy Act Officer shall acknowledge such receipt in writing. Such a request for amendment will be granted or denied by the Privacy Act Officer or, for records maintained by the Inspector General. If the request is granted, the Privacy Act Officer, or the Inspector General for records maintained by the Inspector General, shall promptly make any correction of any portion of the record which the individual believes is not accurate, relevant, timely, or complete. If, however, the request is denied, the Privacy Act Officer shall inform the individual of the refusal to amend the record in accordance with the individual's request and give the reason(s) for the refusal. In cases where the Privacy Act Officer or the Inspector General has refused to amend in accordance with an individual's request, he or she also shall advise the individual of the procedures under § 201.30 of this part for the individual to request a review of that refusal by the full Commission or by an officer designated by the Commission.

§ 201.29 Commission disclosure of individual records, accounting of record disclosures, and requests for accounting of record disclosures.

(a) It is the policy of the Commission not to disclose, except as permitted under 5 U.S.C. 552a(b), any record which is contained in any system of records maintained by the Commission to any person, or to another agency, except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains.

(b) Except for disclosures either to officers and employees of the Commission, or to contractor employees who, in the Inspector General's or the Privacy Act Officer's judgment, as appropriate, are acting as federal employees, who have a need for the record in the performance of their duties, and any disclosure required by 5 U.S.C. 552, the Privacy Act Officer shall keep an accurate accounting of:

(1) The date, nature, and purpose of each disclosure of a record to any person or to another agency under paragraph (a) of this section; and

(2) The name or address of the person or agency to whom the disclosure is made.

(c) The Privacy Act Officer shall retain the accounting required by paragraph (b) of this section for at least five years or the life of the record, whichever is longer, after such disclosure.

(d) Except for disclosures made to other agencies for civil or criminal law enforcement purposes pursuant to 5 U.S.C. 552a(b)(7), the Privacy Act Officer shall make any accounting made under paragraph (b) of this section available to the individual named in the record at the individual's request.

(e) An individual requesting an accounting of disclosure of his or her records should make the request in writing to the Privacy Act Officer, United States International Trade Commission, 500 E Street SW., Washington, DC 20436. The request should identify each particular record in question and, whenever possible, the system[s] of records wherein the requested records are located, and clearly indicate both on the envelope and in the letter that it is a Privacy Act request for an accounting of disclosure of records.

(f) Where the Commission has provided any person or other agency with an individual record and such accounting as required by paragraph (b) of this section has been made, the Privacy Act Officer shall inform all such persons or other agencies of any correction, amendment, or notation of dispute concerning said record.

§ 201.30 Commission review of requests for access to records, for correction or amendment to records, and for accounting of record disclosures.

(a) The individual who disagrees with the refusal of the Privacy Act Officer or the Inspector General for access to a record, to amend a record, or to obtain an accounting of any record disclosure, may request a review of such refusal by the Commission within 60 days of receipt of the denial of his or her request. A request for review of such a refusal should be addressed to the Chairman, United States International Trade Commission, 500 E Street, SW., Washington, DC 20436, and shall clearly indicate both on the envelope and in the letter that it is a Privacy Act review request.

(b) Not later than 30 days (excluding Saturdays, Sundays, and legal public holidays) from the date on which the Commission receives a request for review of the Privacy Act Officer's or the Inspector General's refusal to grant access to a record, to amend a record, or to provide an accounting of a record disclosure, the Commission shall complete such a review and make a final determination thereof unless, for good cause shown, the Commission extends the 30-day period.

(c) After the individual's request has been reviewed by the Commission, if the Commission agrees with the Privacy Act Officer's or the Inspector General's refusal to grant access to a record, to amend a record, or to provide an accounting of a record disclosure, in accordance with the individual's request, the Commission shall:

(1) Notify the individual in writing of the Commission's decision;

(2) For requests to amend or correct records, advise the individual that he or she has the right to file a concise statement of disagreement with the Commission which sets forth his or her reasons for disagreement with the refusal of the Commission to grant the individual's request; and

(3) Notify the individual of his or her legal right, if any, to judicial review of the Commission's final determination.

(d) In any disclosure, containing information about which the individual has filed a statement of disagreement regarding an amendment of an individual's record, the Privacy Act Officer, or, for records maintained by the Inspector General, the Inspector General, shall clearly note any portion of the record which is disputed and shall provide copies of the statement and, if the Commission deems it appropriate, copies of a concise statement of the reasons of the Commission for not making the amendments requested, to persons or other agencies to whom the disputed record has been disclosed.

§ 201.31 Fees and employee conduct.

(a) The Commission shall not charge any fee for the cost of searching for and reviewing an individual's records.

(b) Reproduction, duplication or copying of records by the Commission shall be at the rate of $0.10 per page. There shall be no charge, however, when the total amount does not exceed $25.00.

(c) The Privacy Act Officer shall establish rules of conduct for persons involved in the design, development, operation, or maintenance of any system of records, or in maintaining any record, and periodically instruct each such person with respect to such rules and the requirements of the Privacy Act including the penalties for noncompliance.

[63 FR 29348, May 29, 1998, as amended at 68 FR 32975, June 3, 2003]

§ 201.32 Specific exemptions.

(a) Pursuant to 5 U.S.C. 552a(k)(2), and in order to protect the effectiveness of Inspector General investigations by preventing individuals who may be the subject of an investigation from obtaining access to the records and thus obtaining the opportunity to conceal or destroy evidence or to intimidate witnesses, records contained in the system titled Office of Inspector General Investigative Files (General), insofar as they include investigatory material compiled for law enforcement purposes, shall be exempt from this subpart and from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) of the Privacy Act. However, if any individual is denied any right, privilege, or benefit to which he is otherwise entitled to under Federal law due to the maintenance of this 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 government investigators under an express promise that the identity of the source would be held in confidence.

(b) Pursuant to 5 U.S.C. 552a(j)(2), and in order to protect the confidentiality and integrity of Inspector General investigations by preventing individuals who may be the subject of an investigation from obtaining access to the records and thus obtaining the opportunity to conceal or destroy evidence or to intimidate witnesses, records maintained in the Office of Inspector General Investigative Files (Criminal), insofar as they contain information pertaining to the enforcement of criminal laws, shall be exempt from this subpart and from the Privacy Act, except that subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11) and (i) shall still apply to these records.

(c) Pursuant to 5 U.S.C. 552a(k)(1), (5) and (6), records contained in the system entitled "Personnel Security Investigative Files" have been exempted from subsections (c)(3), (d), (e)(1), (e)(1)(G) through (I) and (f) of the Privacy Act. Pursuant to section 552a(k)(1) of the Privacy Act, the Commission exempts records that contain properly classified information that pertains to national defense or foreign policy and is obtained from other systems of records or another Federal agency. Application of exemption (k)(1) may be necessary to preclude the data subject's access to and amendment of such classified information under 5 U.S.C. 552a(d). All information about individuals in these records that meets the criteria stated in 5 U.S.C. 552a(k)(5) is also exempted because this system contains investigatory material compiled solely for determining suitability, eligibility, and qualifications for Federal civilian employment, Federal contracts or access to classified information. 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 September 27, 1975, under an implied promise that the identity of the source would be held in confidence, the application of exemption (k)(5) will be required to honor such a promise should an individual request access to the accounting of disclosure, or access to or amendment of the record, that would reveal the identity of a confidential source. All information in these records that meets the criteria stated in 5 U.S.C. 552a(k)(6) is also exempt because portions of a case file record may relate to testing and examining material used solely to determine individual qualifications for appointment or promotion in the Federal service. Access to or amendment of this information by the data subject would compromise the objectivity and fairness of the testing or examining process.