10630 Federal Register / Vol. 62, No. 45 / Friday, March 7, 1997 / Rules and Regulations

UNITED STATES INFORMATION

AGENCY

22 CFR Part 505

Privacy Act Policy and Procedures

AGENCY: United States Information

Agency.

ACTION: Interim final rule.

SUMMARY: This document will update

and replace the Agency’s prior

regulation implementing the Privacy

Act of 1974, as amended. This update

and replacement was made necessary by

changes during USIA’s reorganization

and realignment of functions and

responsibilities when the Agency

changed names and again when the

Agency began to reinvent itself in

response to government downsizing.

The Agency’s regulation has not been

updated since 1975 and changes in

nomenclature and differences in

processing Privacy Act requests have

necessitated these changes. The changes

primarily update the definitions; the

processes for receiving and handling

requests; and, to whom to send requests

for Privacy Act records. It also better

explains the exemptions that the United

States Information Agency is allowed to

use and its routine uses.

DATES: Effective: April 16, 1997. Persons

wishing to comment on the newly

published Privacy Act Regulation may

do so by April 7, 1997.

ADDRESSES: Send comments to Les Jin,

General Counsel, USIA, 301 4th Street,

SW, Washington, DC 20547.

FOR FURTHER INFORMATION CONTACT:

Lola L. Secora, Chief, FOIA/Privacy Act

Unit, Office of the General Counsel,

USIA, 301 4th Street, SW, Washington,

DC 20547.

SUPPLEMENTARY INFORMATION: The

Privacy Act of 1974 (5 U.S.C. 552a) is

a Federal law only. It requires Federal

agencies to limit the manner in which

they collect, use and disclose

information about individuals, but only

if they are American citizens or resident

aliens. The key provision of the Privacy

Act requires that no Federal agency may

disclose any record about an individual

to any person or agency without the

written permission of that individual.

The Privacy Act also provides that,

upon request, an individual has the

right to access any record maintained on

herself/himself in an agency’s files, and

has the right to request correction of an

amendment to that record.

List of Subjects in 22 CFR Part 505

Privacy.

For the reasons set forth above, Title

22, Part 505 is revised to read as

follows:

PART 505—PRIVACY ACT POLICIES

AND PROCEDURES

Sec.

505.1 Purpose and scope.

505.2 Definitions.

505.3 Procedures and requests.

505.4 Requirements and identification for

making requests.

505.5 Disclosure of information.

505.6 Medical records.

505.7 Correction or amendment of record.

505.8 Agency review of requests for

changes.

505.9 Review of adverse Agency

determination.

505.10 Disclosure to third parties.

505.11 Fees.

505.12 Civil remedies and criminal

penalties.

505.13 General exemptions (Subsection (j)).

505.14 Specific exemptions (Subsection

(k)).

505.15 Exempt systems of records used.

Authority: Pub. L. 93–579, 88 Stat. 1897;

5 U.S.C. 552a; 55 FR 31940, Aug. 6, 1990, as

amended.

§ 505.1 Purpose and scope.

The United States Information Agency

will protect individuals’ privacy from

misuse of their records, and grant

individuals access to records concerning

them which are maintained by the

Agency’s domestic and overseas offices,

consistent with the provisions of Public

Law 93–579, 88 Stat. 1897; 5 U.S.C.

552a, the Privacy Act of 1974, as

amended. The Agency has also

established procedures to permit

individuals to amend incorrect records,

to limit the disclosure of personal

information to third parties, and to limit

the number of sources of personal

information. The Agency has also

established internal rules restricting

requirements of individuals to provide

social security account numbers.

§ 505.2 Definitions.

(a) Access Appeal Committee (AAC)—

the body established by and responsible

to the Director of USIA for reviewing

appeals made by individuals to amend

records held by the Agency.

(b) Agency or USIA or USIA—The

United States Information Agency, its

offices, divisions, branches and its

Foreign Service establishments.

(c) Amend—To make a correction to

or expunge any portion of a record

about an individual which that

individual believes is not accurate,

relevant, timely or complete.

(d) Individual—A citizen of the

United States or an alien lawfully

admitted for permanent residence.

(e) Maintain—Collect, use, store,

disseminate or any combination of these

record-keeping functions; exercise of

control over and hence responsibility

and accountability for systems of

records.

(f) Record—Any information

maintained by the Agency about an

individual that can be reproduced,

including finger or voice prints and

photographs, and which is retrieved by

that particular individual’s name or

personal identifier, such as a social

security number.

(g) Routine use—With respect to the

disclosure of a record, the use of such

record for a purpose which is

compatible with the purpose for which

it was collected. The common and

ordinary purposes for which records are

used and all of the proper and necessary

uses, even if any such uses occur

infrequently.

(h) Statistical record—A record in a

system of records maintained for

statistical research or reporting purposes

only and not used in whole or in part

in making any determination about an

identifiable individual, except as

provided in 13 U.S.C. 8.

(i) System of records—A group of

records under the maintenance and

control of the Agency from which

information is retrieved by the name or

personal identifier of the individual.

(j) Personnel record—Any information

about an individual that is maintained

in a system of records by the Agency

that is needed for personnel

management or processes such as

staffing, employee development,

retirement, grievances and appeals.

(k) Post—Any of the foreign service

branches of the Agency.

§ 505.3 Procedures for requests.

(a) The agency will consider all

written requests received from an

individual for records pertaining to

herself/himself as a request made under

the Privacy Act of 1974, as amended (5

U.S.C. 552a) whether or not the

individual specifically cites the Privacy

Act when making the request.

(b) All requests under the Privacy Act

should be directed to the USIA, Office

of the General Counsel, FOIA/Privacy

Act Unit (GC/FOI), 301 4th Street, SW,

Washington, DC 20547, which will

coordinate the search of all systems of

records specified in the request.

Requests should state name, date of

birth, and social security number.

(c) Requests directed to the Agency’s

overseas posts which involve routine

unclassified, administrative and

personnel records available only at

those posts may be released to the

individual by the post if the post
Federal Register / Vol. 62, No. 45 / Friday, March 7, 1997 / Rules and Regulations 10631

determines that such release is

authorized by the Privacy Act. All other

requests shall be submitted by the post

to the Office of the General Counsel,

FOIA/Privacy Act Unit (GC/FOI), 301

4th Street, SW, Washington, DC 20547,

and the individual shall be so notified

of this section in writing, when

possible.

(d) In those instances where an

individual requests records pertaining

to herself/himself, as well as records

pertaining to another individual, group,

or some other category of the Agency’s

records, only that portion of the request

which pertains to records concerning

the individual will be treated as a

Privacy Act request. The remaining

portions of such a request will be

processed as a Freedom of Information

Act request by the office noted in

paragraph (b) of this section.

§ 505.4 Requirements and identification

for making requests.

(a) Individuals seeking access to

Agency records may present their

written request or may mail their

request to the USIA, Office of General

Counsel, FOI/Privacy Act (GC/FOI)

Unit, 301 4th Street, SW, Washington,

DC 20547. The GC/FOI Unit may be

visited between the hours of 9 a.m. and

4 p.m., Monday through Friday, except

for legal holidays.

(b) Individuals, seeking access to

Agency records, will be requested to

present some form of identification.

Individuals should state their full name,

date of birth and a social security

number. An individual must also

include her/his present mailing address

and zip code, and if possible a

telephone number.

(c) When signing a statement

confirming one’s identity, individuals

should understand that knowingly and

willfully seeking or obtaining access to

records about another individual under

false pretenses is punishable by a fine

of up to $5,000.

§ 505.5 Disclosure of information.

(a) In order to locate the system of

records that an individual believes may

contain information about herself/

himself, an individual should first

obtain a copy of the Agency’s Notice of

Systems of Records. By identifying a

particular record system and by

furnishing all the identifying

information requested by that record

system, it will enable the Agency to

more easily locate those records which

pertain to the individual. At a

minimum, any request should include

the information specified in § 505.4(b)

above.

(b) In certain circumstances, it may be

necessary for the Agency to request

additional information from the

individual to ensure that the retrieved

record does, in fact, pertain to the

individual.

(c) All requests for information on

whether or not the Agency’s system(s) of

records contain information about the

individual will be acknowledged within

ten working days of receipt of the

request. The requested records will be

provided as soon as possible thereafter.

(d) If the Agency determines that the

substance of the requested record is

exceptionally sensitive, the Agency will

require the individual to furnish a

signed, notarized statement that she/he

is in fact the person named in the file

before granting access to the records.

(e) Original records will not be

released from the custody of the records

system manager. Copies will be

furnished subject to and in accordance

with fees established in § 505.11.

(f) Denial of access to records:

(1) The requirements of this section

do not entitle an individual access to

any information compiled in reasonable

anticipation of a civil action or

proceeding.

(2) Under the Privacy Act, the Agency

is not required to permit access to

records if the information is not

retrievable by the individual’s name or

other personal identifier; those requests

will be processed as Freedom of

Information Act requests.

(3) The Agency may deny an

individual access to a record, or portion

thereof, if following a review it is

determined that the record or portion

falls within a system of records that is

exempt from disclosure pursuant to 5

U.S.C. 552a(j) and 552a(k). See

§§ 505.13 and 505.14 for a listing of

general and specific exemptions.

(4) The decision to deny access to a

record or a portion of the record is made

by the Agency’s Privacy Act Officer,

Office of the General Counsel. The

denial letter will advise the individual

of her/his rights to appeal the denial

(See § 505.9 on Access Appeal

Committee’s review).

§ 505.6 Medical records.

If, in the judgment of the Agency, the

release of medical information directly

to the requester could have an adverse

effect on the requester, the Agency will

arrange an acceptable alternative to

granting access of such records to the

requester. This normally involves the

release of the information to a doctor

named by the requester. However, this

special procedure provision does not in

any way limit the absolute right of the

individual to receive a complete copy of

her or his medical record.

§ 505.7 Correction or amendment of

record.

(a) An individual has the right to

request that the Agency amend a record

pertaining to her/him which the

individual believes is not accurate,

relevant, timely, or complete. At the

time the Agency grants access to a

record, it will furnish guidelines for

requesting amendments to the record.

(b) Requests for amendments to

records must be in writing and mailed

or delivered to the USIA Privacy Act

Officer, Office of the General Counsel,

301 4th Street, SW, Washington, DC

20547, who will coordinate the review

of the request to amend a record with

the appropriate office(s). Such requests

must contain, at a minimum, identifying

information needed to locate the record,

a brief description of the item or items

of information to be amended, and the

reason for the requested change. The

requester should submit as much

documentation, arguments or other data

as seems warranted to support the

request for amendment.

(c) The Agency will review all

requests for amendments to records

within 10 working days of receipt of the

request and either make the changes or

inform the requester of its refusal to do

so and the reasons therefore.

§ 505.8 Agency review of requests for

changes.

(a) In reviewing a record in response

to a request to amend or correct a file,

the Agency shall incorporate the criteria

of accuracy, relevance, timeliness, and

completeness of the record in the

review.

(b) If the Agency agrees with an

individual’s request to amend a record,

it shall:

(1) Advise the individual in writing;

(2) Correct the record accordingly;

(3) And, to the extent that an

accounting of disclosure was

maintained, advise all previous

recipients of the record of the

corrections.

(c) If the Agency disagrees with all or

any portion of an individual’s request to

amend a record, it shall:

(1) Advise the individual of the

reasons for the determination;

(2) Inform the individual of her/his

right to further review (see § 505.9).

§ 505.9 Review of adverse agency

determination.

(a) When the Agency determines to

deny a request to amend a record, or

portion of the record, the individual

may request further review by the

Agency’s Access Appeal Committee.
10632 Federal Register / Vol. 62, No. 45 / Friday, March 7, 1997 / Rules and Regulations

The written request for review should

be mailed to the Chairperson, Access

Appeal Committee, USIA, Office of

Public Liaison, 301 4th Street, SW,

Washington, DC 20547. The letter

should include any documentation,

information or statement which

substantiates the request for review.

(b) The Agency’s Access Appeal

Committee will review the Agency’s

initial denial to amend the record and

the individual’s documentation

supporting amendment, within 30

working days. If additional time is

required, the individual will be notified

in writing of the reasons for the delay

and the approximate date when the

review is expected to be completed.

Upon completion of the review, the

Chairperson will notify the individual

of the results.

(c) If the Committee upholds the

Agency’s denial to amend the record,

the Chairperson will advise the

individual of:

(1) The reasons for the Agency’s

refusal to amend the record;

(2) Her/his right and the procedure to

add to the file a concise statement

supporting the individual’s

disagreement with the decision of the

Agency;

(3) Her/his right to seek judicial

review of the Agency’s refusal to amend

the file.

(d) When an individual files a

statement disagreeing with the Agency’s

refusal to amend a record, the Agency

will clearly annotate the record so that

the fact that the record is disputed is

apparent to anyone who may

subsequently have access to, use of, or

reason to disclose the file. If information

is disclosed regarding the area of

dispute, the Agency will provide a copy

of the individual’s statement in the

disclosure. Any statement which may be

included by the Agency regarding the

dispute will be limited to the reasons

given to the individual for not amending

the record. Copies of the Agency’s

statement shall be treated as part of the

individual’s record, but will not be

subject to amendment by the individual

under these regulations.

§ 505.10 Disclosure to third parties.

The Agency will not disclose any

information about an individual to any

person or another agency without the

prior consent of the individual about

whom the information is maintained,

except as provided for in the following

paragraphs.

(a) Medical records. May be disclosed

to a doctor or other medical practitioner,

named by the individual, as prescribed

in § 505.6 above.

(b) Accompanying individual. When a

requester is accompanied by any other

person, the agency will require that the

requester sign a statement granting

consent to the disclosure of the contents

of the record to that person.

(c) Designees. If a person requests

another person’s file, she or he must

present a signed statement from that

person of record which authorizes and

consents to the release of the file to the

designated individual.

(d) Guardians. Parent(s) or legal

guardian(s) of dependent minors or of

an individual who has been declared by

a court to be incompetent due to

physical, mental or age incapacity, may

act for and on behalf of the individual

on whom the Agency maintains records.

(e) Other disclosures. A record may be

disclosed without a request by or

written consent of the individual to

whom the record pertains if such

disclosure conditions are authorized

under the provisions of 5 U.S.C. 552a(b).

These conditions are:

(1) Disclosure within the Agency. This

condition is based upon a ‘‘need-toknow’’ concept which recognizes that

Agency personnel may require access to

discharge their duties.

(2) Disclosure to the public. No

consent by an individual is necessary if

the record is required to be released

under the Freedom of Information Act

(FOIA), 5 U.S.C. 552. The record may be

exempt, however, under one of the nine

exemptions of the FOIA.

(3) Disclosure for a routine use. No.

consent by an individual is necessary if

the condition is necessary for a ‘‘routine

use’’ as defined in S505.2(g).

Information may also be released to

other government agencies which have

statutory or other lawful authority to

maintain such information. (See

Appendix I—Prefatory Statement of

General Routine Uses).

(4) Disclosure to the Bureau of the

Census. For purposes of planning or

carrying out a census or survey or

related activity. Title 13 U.S.C. Section

8 limits the uses which may made of

these records and also makes them

immune from compulsory disclosure.

(5) Disclosure for statistical research

and reporting. The Agency will provide

the statistical information requested

only after all names and personal

identifiers have been deleted from the

records.

(6) Disclosure to the National

Archives. For the preservation of

records of historical value, pursuant to

44 U.S.C. 2103.

(7) Disclosure for law enforcement

purposes. Upon receipt of a written

request by another Federal agency or a

state or local government describing the

law enforcement purpose for which a

record is required, and specifying the

particular record. Blanket requests for

all records pertaining to an individual

are not permitted under the Privacy Act.

(8) Disclosure under emergency

circumstances. For the safety or health

of an individual (e.g., medical records

on a patient undergoing emergency

treatment).

(9) Disclosure to the Congress. For

matters within the jurisdiction of any

House or Senate committee or

subcommittee, and/or joint committee

or subcommittee, pursuant to a written

request from the Chairman of the

committee or subcommittee.

(10) Disclosure to the General

Accounting Office (GAO). For matters

within the jurisdiction of the duties of

the GAO’s Comptroller General.

(11) Disclosure pursuant to court

order. Pursuant to the order of a court

of competent jurisdiction. This does not

include a subpoena for records

requested by counsel and issued by a

clerk of court.

§ 505.11 Fees.

(a) The first copy of any Agency

record about an individual will be

provided free of charge. A fee of $0.15

per page will be charged for any

additional copies requested by the

individual.

(b) Checks or money orders should be

made payable to the United States

Treasurer and mailed to the Freedom of

Information Act/Privacy Act Unit,

Office of the General Counsel, 301 4th

Street, SW, Washington, DC 20547. The

Agency will not accept cash.

§ 505.12 Civil remedies and criminal

penalties.

(a) Grounds for court action. An

individual will have a remedy in the

Federal District Courts under the

following circumstances:

(1) Denial of access. Individuals may

challenge an Agency decision to deny

them access to records to which they

consider themselves entitled.

(2) Refusal to amend a record. Under

conditions prescribed in 5 U.S.C.

552a(g), an individual may seek judicial

review of the Agency’s refusal to amend

a record.

(3) Failure to maintain a record

accurately. An individual may bring

suit against the Agency for any alleged

intentional and willful failure to

maintain a record accurately, if it can be

shown that the individual was subjected

to an adverse action resulting in the

denial of a right, benefit, entitlement or

employment the individual could

reasonably have expected to be granted

if the record had not been deficient.
Federal Register / Vol. 62, No. 45 / Friday, March 7, 1997 / Rules and Regulations 10633

(4) Other failures to comply with the

Act. An individual may bring an action

for any alleged failure by the Agency to

comply with the requirements of the Act

or failure to comply with any rule

published by the Agency to implement

the Act provided it can be shown that:

(i) The action was intentional or

willful;

(ii) The Agency’s action adversely

affected the individual; and

(iii) The adverse action was caused by

the Agency’s actions.

(b) Jurisdiction and time limits. (1)

Action may be brought in the district

court for the jurisdiction in which the

individual resides or has a place of

residence or business, or in which the

Agency records are situated, or in the

District of Columbia.

(2) The statute of limitations is two

years from the date upon which the

cause of action arises, except for cases

in which the Agency has materially and

willfully misrepresented any

information requested to be disclosed

and when such misrepresentation is

material to the liability of Agency. In

such cases the statute of limitations is

two years from the date of discovery by

the individual of the misrepresentation.

(3) A suit may not be brought on the

basis of injury which may have occurred

as a result of the Agency’s disclosure of

a record prior to September 27, 1975.

(c) Criminal penalties.—(1)

Unauthorized disclosure. It is a criminal

violation of the provisions of the Act for

any officer or employee of the Agency

knowingly and willfully to disclose a

record in any manner to any person or

agency not entitled to receive it, for

failure to meet the conditions of

disclosure enumerated in 5 U.S.C.

552a(b), or without the written consent

or at the request of the individual to

whom the record pertains. Any officer

or employee of the Agency found guilty

of such misconduct shall be fined not

more than $5,000.

(2) Failure to publish a public notice.

It is a criminal violation of the Act to

willfully maintain a system of records

and not to publish the prescribed public

notice. Any officer or employee of the

Agency found guilty of such misconduct

shall be fined not more than $5,000.

(3) Obtaining records under false

pretenses. The Act makes it a criminal

offense to knowingly and willfully

request or gain access to a record about

an individual under false pretenses.

Any person found guilty of such an

offense may be fined not more than

$5,000.

§ 505.13 General exemptions (Subsection

(j)).

(a) General exemptions are available

for systems of records which are

maintained by the Central Intelligence

Agency (Subsection (j)(1)), or

maintained by an agency which

performs as its principal function any

activity pertaining to the enforcement of

the criminal laws (Subsection (j)(2)).

(b) The Act does not permit general

exemption of records complied

primarily for a noncriminal purpose,

even though there are some quasicriminal aspects to the investigation and

even though the records are in a system

of records to which the general

exemption applies.

§ 505.14 Specific exemptions (Subsection

(k)).

The specific exemptions focus more

on the nature of the records in the

systems of records than on the agency.

The following categories of records may

be exempt from disclosure:

(a) Subsection (k)(1). Records which

are specifically authorized under

criteria established under an Executive

Order to be kept secret in the interest of

national defense or foreign policy, and

which are in fact properly classified

pursuant to such Executive Order;

(b) Subsection (k)(2). Investigatory

records compiled for law enforcement

purposes (other than material within the

scope of subsection (j)(2) as discussed in

§ 505.13(a)). If any individual is denied

any right, privilege, or benefit for which

she/he would otherwise be eligible, as a

result of the maintenance of such

material, the material shall be provided

to the individual, unless disclosure of

the material would reveal the identify of

a source who has been pledged

confidentiality;

(c) Subsection (k)(3). Records

maintained in connection with

protection of the President and other

VIPs accorded special protection by

statute;

(d) Subsection (k)(4). Records

required by statute to be maintained and

used solely as statistical records;

(e) Subsection (k)(5). Records

complied solely for the purpose of

determining suitability, eligibility, or

qualifications for Federal civilian

employment, military service, Federal

contracts, or access to classified

information, but only if disclosure of the

material would reveal the identify of a

confidential source that furnished

information to the Government;

(f) Subsection (k)(6). Testing or

examination records used solely to

determine individual qualifications for

appointment or promotion in the

Federal service when the disclosure of

such would compromise the objectivity

or fairness of the testing or examination

process;

(g) Subsection (k)(7). Evaluation

records used to determine potential for

promotion in the armed services, but

only if disclosure would reveal the

identify of a confidential source.

§ 505.15 Exempt systems of records used.

USIA is authorized to use exemptions

(k)(1), (k)(2), (k)(4), (k)(5), and (k)(6).

The following Agency components

currently maintain exempt systems of

records under one or more of these

specific exemptions: Executive

Secretariat; Education and Cultural

Exchange Program; Legal Files; Privacy

Act and Freedom of Information Act

Files; Employee Grievance Files;

Recruitment Records; Employee Master

Personnel Records; Foreign Service

Selection Board Files; Employee

Training Files; Personnel Security and

Integrity Records; International

Broadcasting Bureau Director’s

Executive Secretariat Files; and

International Broadcasting Bureau

Employee Personnel Files.

Dated: February 26, 1997.

Les Jin,

General Counsel.

[FR Doc. 97–5285 Filed 3–6–97; 8:45 am]

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