[Code of Federal Regulations]
[Title 43, Volume 1, Parts 1 to 999]
[Revised as of October 1, 1996]
From the U.S. Government Printing Office via GPO Access
[CITE: 43CFR2]
[Page 21-33]
TITLE 43--PUBLIC LANDS: INTERIOR
PART 2--RECORDS AND TESTIMONY; FREEDOM OF INFORMATION ACT--Table of
Contents
Subpart D--Privacy Act
Source: 40 FR 44505, Sept. 26, 1975, unless otherwise noted.
Sec. 2.45 Purpose and scope.
This subpart contains the regulations of the Department of the
Interior implementing section 3 of the Privacy Act. Sections 2.47
through 2.57 describe the procedures and policies of the Department
concerning maintenance of records which are subject to the Act.
Sections 2.60 through 2.66 describe the procedure under which individuals may
determine whether systems of records subject to the Act contain
records relating to them and the procedure under which they may seek access to
existing records. Sections 2.70 through 2.77 describe the procedure
under which individuals may petition for amendment of records subject
to the Act relating to them. Section 2.79 lists records systems that have
been exempted from certain requirements of the Act.
[48 FR 56583, Dec. 22, 1983]
Sec. 2.46 Definitions.
(a) Act. As used in this subpart, ``Act'' means section 3 of the
Privacy Act, 5 U.S.C. 552a.
(b) Bureau. For purposes of this subpart, a ``bureau'' is any
constituent bureau or office of the Department, including the Office
of the Secretary and any other Departmental office.
(c) Individual. As used in this subpart, ``individual'' means a
citizen of the United States or an alien lawfully admitted for
permanent residence.
(d) Maintain. As used in this subpart, the term ``maintain''
includes maintain, collect, use or disseminate.
(e) Record. As used in this subpart, ``record'' means any item,
collection, or grouping of information about an individual that is
maintained by the Department or a bureau thereof, including, but not
limited to, education, financial transactions, medical history, and
criminal or employment history and that contains the individual's
name, or the identifying number, symbol, or other identifying particular
assigned to the individual, such as a finger or voice print, or a
photograph.
(f) System of records. As used in this subpart, ``System of
records'' means a group of any records under the control of the
Department or a bureau thereof from which information is retrieved by
the name of the individual or by some identifying number, symbol, or
other identifying particular assigned to the individual.
(g) Medical records. As used in this subpart, ``medical records''
means records which relate to the identification, prevention, cure or
alleviation of any disease, illness or injury including psychological
disorders, alcoholism and drug addiction.
(h) Office of Personnel Management personnel records. As used in
the subpart, ``Office of Personnel Management personnel records'' means
records maintained for the Office of Personnel Management by the
Department and used for personnel management programs or processes
such as staffing, employee development, retirement, and grievances and
appeals.
(i) Statistical records. As used in this subpart, ``statistical
records'' means records in a system of records maintained for
statistical research or reporting purposes only and not used in whole
or in part in making any determination about an identifiable individual.
[[Page 22]]
(j) Routine use. As used in this subpart, ``routine use'' means a
use of a record for a purpose which is compatible with the purpose for
which it was collected.
(k) System notice. As used in this subpart, ``system notice''
means the notice describing a system of records required by 5 U.S.C.
552a(e)(4) to be published in the Federal Register upon establishment
or revision of the system of records.
(l) System manager. As used in this subpart, ``system manager''
means the official designated in a system notice as having
administrative responsibility for a system of records.
(m) Departmental Privacy Act Officer. As used in this subpart,
``Departmental Privacy Act Officer'' means the official in the Office
of the Assistant Secretary--Policy, Budget and Administration charged
with responsibility for assisting the Assistant Secretary--Policy, Budget
and Administration in carrying out the functions assigned in this subpart
and for coordinating the activities of the bureaus of the Department
in carrying out the functions which they are assigned in this subpart.
(n) Bureau Privacy Act Officer. As used in this subpart, ``Bureau
Privacy Act Officer'' means the official within each bureau assigned
responsibility for bureau implementation of the Act and the
regulations of this subpart.
(o) Working day. As used in this subpart, ``working day'' means a
regular Federal work day. It does not include Saturdays, Sundays or
public legal holidays.
[40 FR 44505, Sept. 26, 1975, as amended at 47 FR 38327, Aug. 31,
1982;
48 FR 56583, Dec. 22, 1983; 53 FR 3749, Feb. 9, 1988]
Sec. 2.47 Records subject to Privacy Act.
The Privacy Act applies to all ``records,'' as that term is
defined in Sec. 2.46(e), which the Department maintains in a ``system of
records,'' as that term is defined in Sec. 2.46(f).
Sec. 2.48 Standards for maintenance of records subject to the Act.
(a) Content of records. Records subject to the Act shall contain
only such information about an individual as is relevant and necessary
to accomplish a purpose of the agency required to be accomplished by
statute or Executive Order of the President.
(b) Standards of accuracy. Records subject to the Act which are
used in making any determination about any individual shall be maintained
with such accuracy, relevance, timeliness, and completeness as is
reasonably necessary to assure fairness to the individual in making
the determination.
(c) Collection of information. (1) Information which may be used
in making determinations about an individual's rights, benefits, and
privileges under Federal programs shall, to the greatest extent
practicable, be collected directly from that individual.
(2) In deciding whether collection of information from an
individual, as opposed to a third party source, is practicable, the
following factors, among others, may be considered:
(i) Whether the nature of the information sought is such that it
can only be obtained from a third party;
(ii) Whether the cost of collecting the information from the
individual is unreasonable when compared with the cost of collecting
it from a third party;
(iii) Whether there is a risk that information collected from
third parties, if inaccurate, could result in an adverse determination to
the individual concerned;
(iv) Whether the information, if supplied by the individual, would
have to be verified by a third party; or
(v) Whether provisions can be made for verification, by the
individual, of information collected from third parties.
(d) Advice to individuals concerning uses of information. (1) Each
individual who is asked to supply information about him or herself
which will be added to a system of records shall be informed of the basis
for requesting the information, how it may be used, and what the
consequences, if any, are of not supplying the information.
(2) At a minimum, the notice to the individual must state:
(i) The authority (whether granted by statute or Executive Order
of the President) which authorizes the solicitation of the information
and whether disclosure of such information is mandatory or voluntary;
[[Page 23]]
(ii) The principal purpose or purposes for which the information
is intended to be used;
(iii) The routine uses which may be made of the information; and
(iv) The effects on the individual, if any, of not providing all
or any part of the requested information.
(3)(i) When information is collected on a standard form, the
notice to the individual shall be provided on the form, on a tear-off sheet
attached to the form, or on a separate sheet, whichever is most
practical.
(ii) When information is collected by an interviewer, the
interviewer shall privide the individual with a written notice which
the however, the interviewer may summarize the notice for the individual
and need not provide a copy to the individual unless the individual
requests a copy.
(iii) An individual may be asked to acknowledge, in writing, that
the notice required by this section has been provided.
(e) Records concerning activity protected by the First Amendment.
No record may be maintained describing how any individual exercises
rights guaranteed by the First Amendment to the Constitution unless the
maintenance of the record is (1) expressly authorized by statute or by
about whom the record is maintained or (2) pertinent to
and within the scope of an authorized law enforcement activity.
[40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56583, Dec. 22,
1983]
Sec. 2.49 [Reserved]
Sec. 2.50 Federal Register notices describing systems of records.
(a) The Privacy Act requires publication of a notice in the
Federal Register describing each system of records subject to the Act. Such
notice will be published prior to the establishment or a revision of
the system of records. 5 U.S.C. 552a(e)(4).
(b) Each bureau shall notify the Departmental Privacy Act Officer
promptly of any modifications or amendments which are required in the
then-current notice describing a system of records for which it is
responsible.
(c) A bureau desiring to establish a new system of records or a
new use for an existing system of records shall notify the Departmental
Privacy Act Officer, no fewer than ninety (90) calendar days in
advance.
[48 FR 56583, Dec. 22, 1983]
Sec. 2.51 Assuring integrity of records.
(a) Statutory requirement. The Privacy Act requires that records
subject to the Act be maintained with appropriate administrative,
technical and physical safeguards to insure the security and
confidentiality of records and to protect against any anticipated
threats or hazards to their security or integrity which could result
in
substantial harm, embarassment, inconvenience, or unfairness to any
individual on whom information is maintained, 5 U.S.C. 552a(e)(10).
(b) Records maintained in manual form. When maintained in manual
form, records subject to the Privacy Act shall be maintained in a
manner commensurate with the sensitivity of the information contained in the
system of records. The following minimum safeguards, or safeguards
affording comparable protection, are applicable to Privacy Act systems
of records containing sensitive information:
(1) Areas in which the records are maintained or regularly used
shall be posted with an appropriate warning stating that access to the
records is limited to authorized persons. The warning also shall
summarize the requirements of Sec. 2.52 and state that the Privacy Act
contains a criminal penalty for the unauthorized disclosure of records
to which it applies.
(2) During working hours, (i) the area in which the records are
maintained or regularly used shall be occupied by authorized personnel
or (ii) access to the records shall be restricted by their storage in
locked metal file cabinets or a locked room.
(3) During non-working hours, access to the records shall be
restricted by their storage in locked metal file cabinets or a locked
room.
(4) Where a locked room is the method of security provided for a
system, the bureau responsible for the system
[[Page 24]]
shall supplement that security by (i) providing lockable file cabinets
or containers for the records or (ii) changing the lock or locks for
the room so that they may not be opened with a master key. For the
purposes of this paragraph, a master key is a key which may be used to open
rooms other than the room containing records subject to the Privacy Act,
unless those rooms are utilized by officials or employees authorized
to have access to the records subject to the Privacy Act.
(c) Records maintained in computerized form. When maintained in
computerized form, records subject to the Privacy Act shall be
maintained, at a minimum, subject to safeguards based on those
recommended in the National Bureau of Standard's booklet ``Computer
Security Guidelines for Implementing the Privacy Act of 1974'' (May
30, 1975), and any supplements thereto, which are adequate and appropriate
to assuring the integrity of records in the system.
(d) Office of Personnel Management personnel records. A system of
records made up of Office of Personnel Management personnel records
shall be maintained under the security requirements set out in 5 CFR
293.106 and 293.107.
(e) Bureau responsibility. (1) The bureau responsible for a system
of records shall be responsible for assuring that specific procedures
are developed to assure that the records in the system are maintained
with security meeting the requirements of the Act and this section.
(2) These procedures shall be in writing and shall be posted or
otherwise periodically brought to the attention of employees working
with the records contained in the system.
[40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56583, Dec. 22,
1983]
Sec. 2.52 Conduct of employees.
(a) Handling of records subject to the Act. Employees whose duties
require handling of records subject to the Privacy Act shall, at all
times, take care to protect the integrity, security and
confidentiality
(b) Disclosure of records. No employee of the Department may
disclose records subject to the Privacy Act unless disclosure is
permitted under Sec. 2.56 or is to the individual to whom the record
pertains.
(c) Alteration of records. No employee of the Department may alter
alteration or destruction is properly undertaken in the course of the
employee's regular duties or (2) such alteration or destruction is
required by a decision under Secs. 2.70 through 2.75 or the decision
of a court of competent jurisdiction.
(d) Bureau responsibility. The bureau responsible for a system of
records shall be responsible for assuring that employees with access
to the system are made aware of the requirements of this section and of 5
U.S.C. 552a(i)(1), which imposes criminal penalties for knowingly and
willfully disclosing a record about an individual without the written
request or consent of that individual unless disclosure is permitted
under one of the exceptions listed in Sec. 2.56 (b) and (c).
Sec. 2.53 Government contracts.
(a) Required contract provisions. When a contract provides for the
operation by or on behalf of the Department of a system of records to
accomplish a Department function, the contract shall, consistent with
the Department's authority, cause the requirements of 5 U.S.C. 552a
and the regulations contained in this subpart to be applied to such
system.
(b) System manager. The head of the bureau responsible for the
contract shall designate a regular employee of the bureau to be the
manager for a system of records operated by a contractor.
Secs. 2.54--2.55 [Reserved]
Sec. 2.56 Disclosure of records.
(a) Prohibition of disclosure. No record contained in a system of
records may be disclosed by any means of communication 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) General exceptions. The prohibition contained in paragraph (a)
does not apply where disclosure of the record would be:
[[Page 25]]
(1) To those officers or employees of the Department who have a
need for the record in the performance of their duties; or
(2) Required by the Freedom of Information Act, 5 U.S.C. 552.
(c) Specific exceptions. The prohibition contained in paragraph
(a) of this section does not apply where disclosure of the record would
be:
(1) For a routine use as defined in Sec. 2.46(j) which has been
described in a system notice published in the Federal Register;
(2) To the Bureau of the Census for purposes of planning or
carrying out a census or survey or related activity pursuant to the provisions
of Title 13, U.S. Code.
(3) To a recipient who has provided the system manager responsible
for the system in which the record is maintained with advance adequate
written assurance that the record will be used solely as a statistical
research or reporting record, and the record is to be transferred in a
form that is not individually identifiable;
(4) To the National Archives and Records Administration as a
record which has sufficient historical or other value to warrant its
continued preservation by the U.S. Government, or for evaluation by the
Archivist of the United States or the designee of the Archivist to determine
whether the record has such value;
(5) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is
authorized by law, and if the head of the agency or instrumentality has made a
written request to the Department specifying the particular portion
desired and the law enforcement activity for which the record is
sought;
(6) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual if upon such
disclosure notification is transmitted to the last known address of such
individual;
(7) To either House of Congress, or, to the extent of matter
within its jurisdiction, any committee or subcommittee thereof, any joint
committee of Congress or subcommittee of any such joint committee;
(8) To the Comptroller General, or any of his authorized
representatives, in the course of the performance of the duties of the
General Accounting Office;
(9) Pursuant to the order of a court of competent jurisdiction; or
(10) To a consumer reporting agency in accordance with section
3(d)of the Federal Claims Collection Act of 1966, as amended (31 U.S.C.
3711(f)).
(d) Reviewing records prior to disclosure. (1) Prior to any
disclosure of a record about an individual, unless disclosure is
required by the Freedom of Information Act, reasonable efforts shall
be made to assure that the records are accurate, complete, timely and
relevant for agency purposes.
(2) When a record is disclosed in connection with a Freedom of
Information request made under subpart B of this part and it is
appropriate and administratively feasible to do so, the requester
shall be informed of any information known to the Department indicating that
the record may not be fully accurate, complete, or timely.
[40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56584, Dec. 22,
1983;
50 FR 45114, Oct. 30, 1985]
Sec. 2.57 Accounting for disclosures.
(a) Maintenance of an accounting. (1) Where a record is disclosed
to any person, or to another agency, under any of the specific exceptions
provided by Sec. 2.56 (c), an accounting shall be made.
(2) The accounting shall record (i) the date, nature, and purpose
of each disclosure of a record to any person or to another agency and
(ii) the name and address of the person or agency to whom the disclosure
was made.
(3) Accountings prepared under this section shall be maintained
for at least five years or the life of the record, whichever is longer,
after the disclosure for which the accounting is made.
(b) Access to accountings. (1) Except for accountings of
disclosures made under Sec. 2.56(c)(5), accountings of all disclosures of a record
shall be made available to the individual to whom the record relates
at the individual's request.
[[Page 26]]
(2) An individual desiring access to an accounting of disclosures
of a record pertaining to the individual shall submit a request by
following the procedures of Sec. 2.63.
(c) Notification of disclosure. When a record is disclosed
pursuant to Sec. 2.56(c)(9) as the result of the order of a court of competent
jurisdiction, reasonable efforts shall be made to notify the
individual to whom the record pertains as soon as the order becomes a matter of
public record.
[40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56584, Dec. 22,
1983]
Secs. 2.58--2.59 [Reserved]
Sec. 2.60 Request for notification of existence of records:
Submission.
(a) Submission of requests. (1)(i) Individuals desiring to
determine under the Privacy Act whether a system of records contains records
pertaining to them shall address inquiries to the system manager
having responsibility for the system unless the system notice describing the
system prescribes or permits submission to some other official or
officials.
(ii) If a system notice describing a system requires individuals
to contact more than two officials concerning the existence of records in
the system, individuals desiring to determine whether the system
contains records pertaining to them may contact the system manager for
assistance in determining which official is most likely to be in
possession of records pertaining to those individuals.
(2) Individuals desiring to determine whether records pertaining
to them are maintained in two or more systems shall make a separate
inquiry concerning each system.
(b) Form of request. (1) An inquiry to determine whether a system
of records contains records pertaining to an individual shall be in
writing.
(2) To insure expeditious handling, the request shall be
prominently marked, both on the envelope and on the face of the request, with the
legend ``PRIVACY ACT INQUIRY.''
(3) The request shall state that the individual is seeking
information concerning records pertaining to him or herself and shall
supply such additional identifying information, if any, as is called
for in the system notice describing the system.
(4) Individuals who have reason to believe that information
pertaining to them may be filed under a name other than the name they
are currently using (e.g., maiden name), shall include such
information in the request.
[40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56584, Dec. 22,
1983]
Sec. 2.61 Requests for notification of existence of records: Action
on.
(a) Decisions on request. (1) Individuals inquiring to determine
whether a system of records contains records pertaining to them shall
be promptly advised whether the system contains records pertaining to
them unless (i) the records were compiled in reasonable anticipation of a
civil action or proceeding or (ii) the system of records is one which
has been excepted from the notification provisions of the Privacy Act
by rulemaking (Sec. 2.79).
(2) If the records were compiled in reasonable anticipation of a
civil action or proceeding or the system of records is one which has
been excepted from the notification provisions of the Privacy Act by
rulemaking, the individuals will be promptly notified that they are
not entitled to notification of whether the system contains records
pertaining to them.
(b) Authority to deny requests. A decision to deny a request for
notification of the existence of records shall be made by the system
manager responsible for the system of records concerning which inquiry
has been made and shall be concurred in by the bureau Privacy Act
officer for the bureau which maintains the system, provided, however
that the head of a bureau may, in writing, require (1) that the
decision be made by the bureau Privacy Act officer and/or (2) that the bureau
head's own concurrence in the decision be obtained.
(c) Form of decision. (1) No particular form is required for a
decision informing individuals whether a system of records contains
records pertaining to them.
(2) A decision declining to inform an individual whether or not a
system of records contains records pertaining to
[[Page 27]]
him or her shall be in writing and shall:
(i) State the basis for denial of the request.
(ii) Advise the individual that an appeal of the declination may
be made to the Assistant Secretary--Policy, Budget and Administration
pursuant to Sec. 2.65 by writing to the Privacy Act Officer, Office of
the Assistant Secretary--Policy, Budget and Administration, U.S.
Department of the Interior, Washington, DC 20240.
(iii) State that the appeal must be received by the foregoing
official within twenty (20) working days of the date of the decision.
(3) If the decision declining a request for notification of the
existence of records involves Department employee records which fall
under the jurisdiction of the Office of Personnel Management, the
individual shall be informed in a written response which shall:
(i) State the reasons for the denial.
(ii) Include the name, position title, and address of the official
responsible for the denial.
(iii) Advise the individual that an appeal of the declination may
be made only to the Assistant Director for Workforce Information,
Personnel Systems Oversight Group, Office of Personnel Management, 1900 E Street
NW., Washington, DC 20415.
(4) Copies of decisions declining a request for notification of
the existence of records made pursuant to paragraphs (c)(2) and (c)(3) of
this section shall be provided to the Departmental and Bureau Privacy
Act Officers.
[48 FR 56584, Dec. 22, 1983, as amended at 53 FR 3749, Feb. 9, 1988]
Sec. 2.62 Requests for access to records.
The Privacy Act permits individuals, upon request, to gain access
to their records or to any information pertaining to them which is
contained in a system and to review the records and have a copy made
of all or any portion thereof in a form comprehensive to them. 5 U.S.C.
552a(d)(1). A request for access shall be submitted in accordance with
the procedures in this subpart.
[48 FR 56584, Dec. 22, 1983]
Sec. 2.63 Requests for access to records: Submission.
(a) Submission of requests. (1)(i) Requests for access to records
shall be submitted to the system manager having responsibility for the
system in which the records are maintained unless the system notice
describing the system prescribes or permits submission to some other
official or officials.
(ii) If a system notice describing a system requires individuals
to contact more than two officials concerning access to records in the
system, individuals desiring to request access to records pertaining
to them may contact the system manager for assistance in determining
which official is most likely to be in custody of records pertaining to that
individual.
(2) Individuals desiring access to records maintained in two or
more separate systems shall submit a separate request for access to the
records in each system.
(b) Form of request. (1) A request for access to records subject
to the Privacy Act shall be in writing.
(2) To insure expeditious handling, the request shall be
prominently marked, both on the envelope and on the face of the request, with the
legend ``PRIVACY ACT REQUEST FOR ACCESS.''
(3) Requesters shall specify whether they seek all of the records
contained in the system which relate to them or only some portion
thereof. If only a portion of the records which relate to the
individual are sought, the request shall reasonably describe the specific record
or records sought.
(4) If the requester seeks to have copies of the requested records
made, the request shall state the maximum amount of copying fees which
the requester is willing to pay. A request which does not state the
amount of fees the requester is willing to pay will be treated as a
request to inspect the requested records. Requesters are further
notified that under Sec. 2.64(d) the failure to state willingness to
pay fees as high as are anticipated by the Department will delay
processing of a request.
(5) The request shall supply such identifying information, if any,
as is
[[Page 28]]
called for in the system notice describing the system.
(6) Requests failing to meet the requirements of this paragraph
shall be returned to the requester with a written notice advising the
requester of the deficiency in the request.
[40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56585, Dec. 22,
1983]
Sec. 2.64 Requests for access to records: Initial decision.
(a) Decisions on requests. A request made under this subpart for
access to a record shall be granted promptly unless (1) the record was
compiled in reasonable anticipation of a civil action or proceeding or
(2) the record is contained in a system of records which has been
excepted from the access provisions of the Privacy Act by rulemaking
(Sec. 2.79).
(b) Authority to deny requests. A decision to deny a request for
access under this subpart shall be made by the system manager
responsible for the system of records in which the requested record is
located and shall be concurred in by the bureau Privacy Act officer
for the bureau which maintains the system, provided, however, that the
head of a bureau may, in writing, require (1) that the decision be made by
the bureau Privacy Act officer and/or (2) that the bureau head's own
concurrence in the decision be obtained.
(c) Form of decision. (1) No particular form is required for a
decision granting access to a record. The decision shall, however,
advise the individual requesting the record as to where and when the
record is available for inspection or, as the case may be, where and
when copies will be available. If fees are due under Sec. 2.64(d), the
individual requesting the record shall also be notified of the amount
of fees due or, if the exact amount has not been determined, the
approximate amount of fees due.
(2) A decision denying a request for access, in whole or part,
shall be in writing and shall:
(i) State the basis for denial of the request.
(ii) Contain a statement that the denial may be appealed to the
Assistant Secretary--Policy, Budget and Administration pursuant to
Sec. 2.65 by writing to the Privacy Act Officer, Office of the
Assistant Secretary--Policy, Budget and Administration, U.S. Department of the
Interior, Washington, DC 20240.
(iii) State that the appeal must be received by the foregoing
official within twenty (20) working days of the date of the decision.
(3) If the decision denying a request for access involves
Department employee records which fall under the jurisdiction of the Office of
Personnel Management, the individual shall be informed in a written
response which shall:
(i) State the reasons for the denial.
(ii) Include the name, position title, and address of the official
responsible for the denial.
(iii) Advise the individual that an appeal of the denial may be
made only to the Assistant Director for Workforce Information, Personnel
Systems and Oversight Group, Office of Personnel Management, 1900 E
Street NW., Washington, DC 20415.
(4) Copies of decisions denying requests for access made pursuant
to paragraphs (c)(2) and (c)(3) of this section will be provided to the
Departmental and Bureau Privacy Act Officers.
(d) Fees. (1) No fees may be charged for the cost of searching for
or reviewing a record in response to a request made under Sec. 2.63.
(2) Fees for copying a record in response to a request made under
Sec. 2.63 shall be charged in accordance with the schedule of charges
contained in Appendix A to this part, unless the official responsible
for processing the request determines that reduction or waiver of fees
is appropriate.
(3) Where it is anticipated that fees chargeable in connection
with a request will exceed the amount the person submitting the request has
indicated a willingness to pay, the official processing the request
shall notify the requester and shall not complete processing of the
request until the requester has agreed, in writing, to pay fees as
high as are anticipated.
[40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56585, Dec. 22,
1983; 53 FR 3749, Feb. 9, 1988]
[[Page 29]]
Sec. 2.65 Requests for notification of existence of records and for
access to records: Appeals.
(a) Right of appeal. Except for appeals pertaining to Office of
Personnel Management records, individuals who have been notified that
they are not entitled to notification of whether a system of records
contains records pertaining to them or have been denied access, in
whole or part, to a requested record may appeal to the Assistant Secretary--
Policy, Budget and Administration.
(b) Time for appeal. (1) An appeal must be received by the Privacy
Act Officer no later than twenty (20) working days after the date of
the initial decision on a request.
(2) The Assistant Secretary--Policy, Budget and Administration
may, for good cause shown, extend the time for submission of an appeal if a
written request for additional time is received within twenty (20)
working days of the date of the initial decision on the request.
(c) Form of appeal. (1) An appeal shall be in writing and shall
attach copies of the initial request and the decision on the request.
(2) The appeal shall contain a brief statement of the reasons why
the appellant believes the decision on the initial request to have
been in error.
(3) The appeal shall be addressed to Privacy Act Officer, Office
of the Assistant Secretary--Policy, Budget and Administration, U.S.
Department of the Interior, Washington, DC 20240.
(d) Action on appeals. (1) Appeals from decisions on initial
requests made pursuant to Secs. 2.61 and 2.63 shall be decided for the
Department by the Assistant Secretary--Policy, Budget and
Administration or an official designated by the Assistant Secretary after
consultation with the Solicitor.
(2) The decision on an appeal shall be in writing and shall state
the basis for the decision.
[40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56585, Dec. 22,
1983;
53 FR 3749, Feb. 9, 1988]
Sec. 2.66 Requests for access to records: Special situations.
(a) Medical records. (1) Medical records shall be disclosed to the
individual to whom they pertain unless it is determined, in
consultation with a medical doctor, that disclosure should be made to a medical
doctor of the individual's choosing.
(2) If it is determined that disclosure of medical records
directly to the individual to whom they pertain could have an adverse effect on
that individual, the individual may designate a medical doctor to
receive the records and the records will be disclosed to that doctor.
(b) Inspection in presence of third party. (1) Individuals wishing
to inspect records pertaining to them which have been opened for their
inspection may, during the inspection, be accompanied by a person of
their own choosing.
(2) When such a procedure is deemed appropriate, individuals to
whom the records pertain may be required to furnish a written statement
authorizing discussion of their records in the accompanying person's
presence.
[40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56585, Dec. 22,
1983]
Secs. 2.67--2.69 [Reserved]
Sec. 2.70 Amendment of records.
The Privacy Act permits individuals to request amendment of
records pertaining to them if they believe the records are not accurate,
relevant, timely or complete. 5 U.S.C. 552a(d)(2). A request for
amendment of a record shall be submitted in accordance with the
procedures in this subpart.
[48 FR 56585, Dec. 22, 1983]
Sec. 2.71 Petitions for amendment: Submission and form.
(a) Submission of petitions for amendment. (1) A request for
amendment of a record shall be submitted to the system manager for the
system of records containing the record unless the system notice
describing the system prescribes or permits submission to a different
official or officials. If an individual wishes to request amendment of
records located in more than one system, a separate petition must be
submitted to each system manager.
(2) A petition for amendment of a record may be submitted only if
the individual submitting the petition has previously requested and
been granted
[[Page 30]]
access to the record and has inspected or been given a copy of the
record.
(b) Form of petition. (1) A petition for amendment shall be in
writing and shall specifically identify the record for which amendment
is sought.
(2) The petition shall state, in detail, the reasons why the
petitioner believes the record, or the objectionable portion thereof,
is not accurate, relevant, timely or complete. Copies of documents or
evidence relied upon in support of these reasons shall be submitted
with the petition.
(3) The petition shall state, specifically and in detail, the
changes sought in the record. If the changes involve rewriting the
record or portions thereof or involve adding new language to the
record, the petition shall propose specific language to implement the changes.
[48 FR 56585, Dec. 22, 1983]
Sec. 2.72 Petitions for amendment: Processing and initial decision.
(a) Decisions on petitions. In reviewing a record in response to a
petition for amendment, the accuracy, relevance, timeliness and
completeness of the record shall be assessed against the criteria set
out in Sec. 2.48. In addition, personnel records shall be assessed
against the criteria for determining record quality published in the
Federal Personnel Manual and the Departmental Manual addition thereto.
(b) Authority to decide. An initial decision on a petition for
amendment may be made only by the system manager responsible for the
system of records containing the challenged record. If the system
manager declines to amend the record as requested, the bureau Privacy
Act officer for the bureau which maintains the system must concur in
the decision, provided, however, that the head of a bureau may, in
writing, require (1) that the decision be made by the bureau Privacy Act
officer and/or (2) that the bureau head's own concurrence in the decision be
obtained.
(c) Acknowledgement of receipt. Unless processing of a petition is
completed within ten (10) working days, the receipt of the petition
for amendment shall be acknowledged in writing by the system manager to
whom it is directed.
(d) Inadequate petitions. (1) If a petition does not meet the
requirements of Sec. 2.71, the petitioner shall be so advised and
shall be told what additional information must be submitted to meet the
requirements of Sec. 2.71.
(2) If the petitioner fails to submit the additional information
within a reasonable time, the petition may be rejected. The rejection
shall be in writing and shall meet the requirements of paragraph (e)
of this section.
(e) Form of decision. (1) A decision on a petition for amendment
shall be in writing and shall state concisely the basis for the
decision.
(2) If the petition for amendment is rejected, in whole or part,
the petitioner shall be informed in a written response which shall:
(i) State concisely the basis for the decision.
(ii) Advise the petitioner that the rejection may be appealed to
the Assistant Secretary--Policy, Budget and Administration by writing to
the Privacy Act Officer, Office of the Assistant Secretary--Policy, Budget
and Administration, U.S. Department of the Interior, Washington, DC
20240.
(iii) State that the appeal must be received by the foregoing
official within twenty (20) working days of the decision.
(3) If the petition for amendment involves Department employee
records which fall under the jurisdiction of the Office of Personnel
Management and is rejected, in whole or part, the petitioner shall be
informed in a written response which shall:
(i) State concisely the basis for the decision.
(ii) Advise the petitioner that an appeal of the rejection may be
made pursuant to 5 CFR 297.306 only to the Assistant Director for
Workforce Information, Personnel Systems and Oversight Group, Office
of Personnel Management, 1900 E Street NW., Washington, DC 20415.
(4) Copies of rejections of petitions for amendment made pursuant
to paragraphs (e)(2) and (e)(3) of this section will be provided to the
Departmental and Bureau Privacy Act Officers.
(f) Implementation of initial decision. If a petition for
amendment is accepted,
[[Page 31]]
in whole or part, the bureau maintaining the record shall:
(1) Correct the record accordingly and,
(2) Where an accounting of disclosures has been made pursuant to
Sec. 2.57, advise all previous recipients of the record that the
correction was made and the substance of the correction.
[40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56585, Dec. 22,
1983;
53 FR 3750, Feb. 9, 1988]]
Sec. 2.73 Petitions for amendments: Time limits for processing.
(a) Acknowledgement of receipt. The acknowledgement of receipt of
a petition required by Sec. 2.72(c) shall be dispatched not later than
ten
(10) working days after receipt of the petition by the system manager
responsible for the system containing the challenged record, unless a
decision on the petition has been previously dispatched.
(b) Decision on petition. A petition for amendment shall be
processed promptly. A determination whether to accept or reject the
petition for amendment shall be made within thirty (30) working days
after receipt of the petition by the system manager responsible for
the system containing the challenged record.
(c) Suspension of time limit. The thirty (30) day time limit for a
decision on a petition shall be suspended if it is necessary to notify
the petitioner, pursuant to Sec. 2.72(d), that additional information
in support of the petition is required. Running of the thirty (30) day
time limit shall resume on receipt of the additional information by the
system manager responsible for the system containing the challenged
record.
(d) Extensions of time. (1) The thirty (30) day time limit for a
decision on a petition may be extended if the official responsible for
making a decision on the petition determines that an extension is
necessary for one of the following reasons:
(i) A decision on the petition requires analysis of voluminous
record or records;
(ii) Some or all of the challenged records must be collected from
facilities other than the facility at which the official responsible
for making the decision is located.
(iii) Some or all of the challenged records are of concern to
another bureau of the Department or another agency of the Federal
Government whose assistance and views are being sought in processing
the request.
(2) If the official responsible for making a decision on the
petition determines that an extension is necessary, the official shall
promptly inform the petitioner of the extension and the date on which
a decision is expected to be dispatched.
[40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56586, Dec. 22,
1983;
53 FR 3750, Feb. 9, 1988]
Sec. 2.74 Petitions for amendment: Appeals.
(a) Right of appeal. Except for appeals pertaining to Office of
Personnel Management records, where a petition for amendment has been
rejected in whole or in part, the individual submitting the petition
may appeal the denial to the Assistant Secretary--Policy, Budget and
Administration.
(b) Time for appeal. (1) An appeal must be received no later than
twenty (20) working days after the date of the decision on a petition.
(2) The Assistant Secretary--Policy, Budget and Administration
may, for good cause shown, extend the time for submission of an appeal if a
written request for additional time is received within twenty (20)
working days of the date of the decision on a petition.
(c) Form of appeal. (1) An appeal shall be in writing and shall
attach copies of the initial petition and the decision on that
petition.
(2) The appeal shall contain a brief statement of the reasons why
the appellant believes the decision on the petition to have been in
error.
(3) The appeal shall be addressed to Privacy Act Officer, Office
of the Assistant Secretary--Policy, Budget and Administration, U.S.
Department of the Interior, Washington, DC 20240.
[40 FR 44505, Sept. 26, 1975, as amended at 47 FR 38328, Aug. 31,
1982;
53 FR 3750, Feb. 9, 1988]
Sec. 2.75 Petitions for amendment: Action on appeals.
(a) Authority. Appeals from decisions on initial petitions for
amendment
[[Page 32]]
shall be decided for the Department by the Assistant
Secretary--Policy,
Budget and Administration or an official designated by the Assistant
Secretary, after consultation with the Solicitor.
(b) Time limit. (1) A final determination on any appeal shall be
made within thirty (30) working days after receipt of the appeal.
(2) The thirty (30) day period for decision on an appeal may be
extended, for good cause shown, by the Secretary of the Interior. If
the thirty (30) day period is extended, the individual submitting the
appeal shall be notified of the extension and of the date on which a
determination on the appeal is expected to be dispatched.
(c) Form of decision. (1) The final determination on an appeal
shall be in writing and shall state the basis for the determination.
(2) If the determination upholds, in whole or part, the initial
decision rejecting the petition for amendment, the determination shall
also advise the individual submitting the appeal:
(i) Of his or her right to file a concise statement of the reasons
for disagreeing with the decision of the agency;
(ii) Of the procedure established by Sec. 2.77 for the filing of
the statement of disagreement;
(iii) That the statement which is filed will be made available to
anyone to whom the record is subsequently disclosed together with, at
the discretion of the Department, a brief statement by the Department
summarizing its reasons for refusing to amend the record;
(iv) That prior recipients of the challenged record will be
provided a copy of any statement of dispute to the extent that an accounting of
disclosure was maintained; and
(v) Of his or her right to seek judicial review of the
Department's refusal to amend the record.
(3) If the determination reverses, in whole or in part, the
initial decision rejecting the petition for amendment, the system manager
responsible for the system containing the challenged record shall be
directed to:
(i) Amend the challenged record accordingly; and
(ii) If an accounting of disclosures has been made, advise all
previous recipients of the record of the amendment and its substance.
[40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56586, Dec. 22,
1983;
53 FR 3750, Feb. 9, 1988]
Sec. 2.76 [Reserved]
Sec. 2.77 Statements of disagreement.
(a) Filing of statement. If the determination of the Assistant
Secretary--Policy, Budget and Administration under Sec. 2.75 rejects
in whole or part, a petition for amendment, the individual submitting the
petition may file with the system manager for the system containing
the challenged record a concise written statement setting forth the
reasons for disagreement with the determination of the Department.
(b) Disclosure of statements. In any disclosure of a record
containing information about which an individual has filed a statement
of disagreement under this section which occurs after the filing of
the statement, the disputed portion of the record will be clearly noted
and the recipient shall be provided copies of the statement of
disagreement. If appropriate, a concise statement of the reasons of the Department
for not making the requested amendments may also be provided to the
recipient.
(c) Maintenance of statements. System managers shall develop
procedures to assure that statements of disagreement filed with them
shall be maintained in such a way as to assure dissemination of the
statements to recipients of the records to which the statements
pertain.
[48 FR 56586, Dec. 22, 1983]
Sec. 2.78 [Reserved]
Sec. 2.79 Exemptions.
(a) Criminal law enforcement records exempt under 5 U.S.C.
552a(j)(2). Pursuant to 5 U.S.C 552a(j)(2) the following systems of
records have been exempted from all of the provisions of 5 U.S.C. 552a
and the regulations in the subpart except paragraphs (b), (c) (1) and
(2), (e)(4) (A) through (F), (e) (6), (7), (9), (10), and (11), and
(i) of 5 U.S.C. 552a and the portions of the regulations in this subpart
implementing these paragraphs:
[[Page 33]]
(1) Investigative Case File System, Interior/FWS-20.
(2) Law Enforcement Services System, Interior/BIA-18.
(3) Law Enforcement Statistical Reporting System, Interior/NPS-19.
(4) Investigative Records, Interior/Office of Inspector
General--2.
(b) Law enforcement records exempt under 5 U.S.C. 552a(k)(2).
Pursuant to 5 U.S.C. 552a(k)(2), the following systems of records have
been exempted from paragraphs (c)(3), (d), (e)(1), (e)(4) (G), (H),
and
(I), and (f) of 5 U.S.C. 552a and the provisions of the regulations in
this subpart implementing these paragraphs:
(1) Investigative Records, Interior/Office of Inspector
General--2.
(2) Permits System, Interior/FWS-21.
(3) Criminal Case Investigation System, Interior/BLM-18.
(4) Civil Trespass Case Investigations, Interior/BLM-19.
(5) Employee Conduct Investigations, Interior/BLM-20.
(6)-(7) [Reserved]
(8) Employee Financial Irregularities, Interior/NPS-17.
(9) Trespass Cases, Interior/Reclamation-37.
(10) Litigation, Appeal and Case Files System, Interior/Office of
the Solicitor-1 to the extent that it consists of investigatory
material
compiled for law enforcement purposes.
(11) Endangered Species Licenses System, Interior/FWS-19.
(12) Investigative Case File, Interior/ FWS-20.
(13) Timber Cutting and Trespass Claims Files, Interior/BIA-24.
(c) Investigatory records exempt under 5 U.S.C. 552a(k)(5), the
following systems of records have been exempted from subsections
(c)(3),
(d), (e)(1), (e)(4) (G), (H), and (I) and (f) of 5 U.S.C. 552a and the
provisions of the regulations in this subpart implementing these
subsections:
(1) [Reserved]
(2) National Research Council Grants Program, Interior/GS-9
(3) Committee Management Files, Interior/Office of the Secretary--
68.
(5 U.S.C. 301, 552a and 5 U.S.C. app. sections 9(a)(1)(D) and 9(b); 5
U.S.C. 301, 552, and 552a; 31 U.S.C. 483a; and 43 U.S.C. 1460)
[40 FR 44505, Sept. 26, 1975, as amended at 40 FR 54790, Nov. 26,
1975;
47 FR 38328, Aug. 31, 1982; 48 FR 37412, Aug. 18, 1983; 48 FR 56586,
Dec. 22, 1983; 49 FR 6907, Feb. 24, 1984]