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  Privacy
  Privacy Act of 1974 (EEOC Order)

                      
                        

          
          
                        Privacy Act of 1974 (EEOC Order)
              


          
  ***DIRECTIVES TRANSMITTAL*** **Number*****EEOC*** 150.003**Date**11/21/91**SUBJECT:** PRIVACY ACT OF 1974, as amended.**PURPOSE:** This transmittal issues a revised EEOC Order 150.003 (formerly EEOC Order 156) implementing the Commission's procedures for compliance with the Privacy Act of 1974, as amended, 5 U.S.C. 552a. The Order has been revised to reflect amendments to the Commission's Privacy Act regulations and Notice of Systems of Records.**EFFECTIVE DATE:** November 21, 1991**DISTRIBUTION:** W**OBSOLETE DATA:** Remove and destroy EEOC Order 156, dated October 21, 1983. Replace with the attached Order 150.003 dated November 21, 1991.    __________/s/__________ Thomasina v. Rogers Legal Counsel    GENERAL MANAGEMENT Privacy Act of 1974, as amended  SUBJECT. Privacy Act of 1974, as amended, 5 U.S.C. § 552a  PURPOSE. This order sets forth the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. § 552a, and establishes the responsibilities of Commission officials for carrying out that law. The order also contains the Commission's regulatory procedures for responding to Privacy Act requests for disclosure or amendment of a record (Appendix A) and the Commission's Notice of its Privacy Act Systems of Records that identifies the Commission records covered by the Act (Appendix B).  EFFECTIVE DATE. November 21, 1991.  ORIGINATOR. Legal Services, Office of Legal Counsel.  COVERAGE AND REMEDIES PROVIDED BY THE PRIVACY ACT. The Privacy Act of 1974, as amended, 5 U.S.C. § 552a, is intended to ensure that personal information about individuals collected by Federal agencies is limited to that which is legally authorized and necessary and is maintained in a manner that precludes unwarranted invasion of individual privacy. The Act, therefore, prohibits the disclosure of any record contained in a system of records 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, or under certain limited conditions as indicated in paragraph 8 of this Order. 5 U.S.C. § 552a(b). Coverage is limited, however, to systems of records (groupings of personal data about identifiable individuals) from which information is retrieved by reference to the individual's name, or some other personal identifier (i.e., fingerprint, employee code, social security number). Agencies that maintain such systems of records on individuals are required to identify their systems, and to comply with the requirements of the Act as to those systems of records only. 5 U.S.C. § 552a(e).   Procedures. The Commission has promulgated regulations, 29 C.F.R. Part 1611 (contained in Appendix A to this Order), in accordance with the Act [5 U.S.C. § 552a(c), (d) and (f)] that permit individuals to:   (1) ascertain whether a system of records contains information on them;  request access to this information;  be informed who, if anyone, has been provided with information on them from a system of records;  challenge the accuracy of the maintained information;  request that inaccurate information be amended;  appeal denials of requests for access to or amendment of maintained information;  submit, for inclusion in the record, a statement as to their version of the alleged inaccurate information if the appeal for amendment of a record is denied; and  require that any statement of their version of the alleged accurate information be transmitted to any person who has received the information in its inaccurate, or allegedly inaccurate, form.  Systems of Records. The Commission's notice of its Systems of Records to which the Privacy Act applies has been published in the Federal Register and forms Appendix B to this Order.  Civil Action. An individual may bring a civil action against an agency, and the district courts of the United States have jurisdiction, whenever an agency:   (1) makes a determination not to amend an individual's record in accordance with his request, or fails to make such review in conformity with this subsection;  refuses to comply with an individual request for access;  fails to maintain any record concerning any individual with such accuracy, relevance, timeliness, and completeness as is necessary to assure fairness in any determination relating to qualifications, character, rights, or opportunities of, or benefits to the individual that may be made on the basis of such record, and consequently a determination is made that is adverse to the tndividual; or  fails to comply with any other provision of the Privacy Act or any rule promulgated thereunder, in such a way as to have an adverse effect on an individual. 5 U.S.C. § 552a(g)(l)  Criminal Liability. Section i of the Act provides:   Any officer or employee of an agency, who by virtue of his employment or official position, has possession of or access to agency records that contain individually identifiable information the disclosure of which is prohibited by the Privacy Act or by rules or regulations established thereunder, and who, knowing that disclosure of the specific material is so prohibited, willfully discloses the material in any manner to any person or agency not entitled to receive it, shall be guilty of a misdemeanor and fined not more than $5,000.  Any officer or employee of any agency who willfully maintains a system of records without publishing a notice of the existence and character of that system of records as required by the Act shall be guilty of a misdemeanor and fined not more than $5,000.  Any person who knowingly and willfully requests or obtains any record concerning an individual from an agency under false pretenses shall be guilty of a misdemeanor and fined not more than $5,000. 5 U.S.C. § 552a(i).  DEFINITIONS.   Accounting. A record of disclosures made from Privacy Act systems of records. The record is to contain the date, nature, and purpose of each disclosure, and the name and address of the person or entity to whom disclosure was made.  Determination. Any decision affecting the individual that is in whole or in part based on information contained in a Privacy Act record and is made by any person or any agency.  Individual. A citizen of the United States or an alien lawfully admitted for permanent residence.  Maintain. To keep in existence or to retain, to collect, use or disseminate.  Privacy Act Statement. A statement that must be given to an individual from whom information is solicited for inclusion in a Privacy Act system of records. The statement need only be given when the solicited information is to be maintained in a system of records. The statement must include (1) the authority for solicitation of the information and whether providing the information is mandatory or voluntary; (2) the principal purpose(s) for which the information is intended to be used; (3) the routine uses that may be made of the information; and (4) the effects on the individual, if any, of not providing all or any part of the requested information.  Privacy Act System Notice. A statement, published in the Federal Register, notifying the public of, among other things, the existence of a Privacy Act system of records. The notice must contain the information indicated in paragraph 13 of this Order.  Record. Any item, collection or grouping of information about an individual that is maintained by an agency including, but not limited to, his or her education, financial transactions, medical, criminal and employment histories and that contains his or her name or some other personal identifier (e.g., social security number, employee code, finger or voice print or a photograph).  Routine Use. A purpose for maintaining a record that permits certain disclosures of the record, as indicated in the Privacy Act System Notice (Appendix B), without the consent of the subject of the record.  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 individual.  System Manager. An agency official who, by virtue of his or her duties, has custody and control of one or more Privacy Act system(s) of records. Commission officials become Privacy Act systems managers only by their designation as such in the Privacy Act System Notice published in the Federal Register. The System Manager is directly responsible for compliance with the provisions of the Privacy Act, the Commission's Privacy Act Regulations (29 C.F.R. Part 1611) and this Order with respect to the system(s) for which he or she is the manager. For example, District Directors are the managers for the Commission's discrimination case files systems, but they are only managers of the case file systems located in their office. See Appendix B.  System of Records. A group of records (as defined above) under the control of an agency from which information is retrieved by the name of the individual or some other personal identifier (e.g., social security number, employee code). See Appendix B for the Commission's Systems of Records.  RESPONSIBILITIES   The Commission shall ensure proper administration of the Act within the EEOC.  The Legal Counsel shall:   recommend to the Commission agency procedures and policies for proper administration of the Act; assist System Managers in determining whether any grouping of information on individuals constitutes a "system of records";  review and determine within 30 working days appeals brought under the Act;  prepare for publication in the Federal Register all required Privacy Act regulations, notices and other information;  specify the data required for and prepare all the Commission's Privacy Act reports required to be submitted to the Office of Management and Budget, the President, the Congress or any other entity with oversight responsibility for implementation of the Act; and  provide assistance and advice to Commission off ices and officials regarding compliance with the requirements of the Act.  System Managers are directly responsible for the day-to- day administration of the Privacy Act with respect to the systems of which they are designated as the manager. They shall:   ensure that only such information about an individual as is relevant and necessary to accomplish an authorized objective of the Commission is maintained in nonexempt systems of records;  ensure that, to the greatest extent practicable, information that may result in adverse determinations about an individual's rights, benefits and privileges under federal programs is collected from the subject individual;  ensure that Privacy Act statements are provided, as required, to each individual who is asked to provide information on himself or herself, when that information is to be maintained in a system of records;  ensure that all records used by the Commission in making any determination about any individual are maintained with such accuracy, relevance, timeliness, and completeness as is reasonably necessary to assure fairness to the individual in the determination;  determine whether the records sought are exempted from the provisions of the Act when an individual requests access to records in a system;  ensure that, prior to disseminating any record about an individual to any person other than another Federal Agency (unless the dissemination is made pursuant to the Freedom of Information Act), reasonable efforts are made to ensure that such records are accμrate, complete, timely and relevant for Commission purposes;  ensure that no records are maintained that describe how any individual exercises rights guaranteed by the First Amendment, unless expressly authorized by the individual, or statute or unless pertinent to and within the scope of an authorized law enforcement activity;  make reasonable efforts to serve notice on an individual when any record on such individual is made available to any person under compulsory legal process when such legal process becomes a matter of public record;  establish appropriate administrative, technical, and physical safeguards to ensure the security and confidentiality of records and to protect against any anticipated threats or hazards to their security or integrity that could result in substantial harm, embarrassment, inconvenience, or unfairness to any individual on whom information is maintained;  process requests for notification as to whether the Commission maintains a record about the requester and requests for access to such record; ensure that an accounting of disclosures from nonexempt systems of records is maintained for five years or the life of the record, whichever is longer, except that an accounting need not be made of intra-agency disclosures and disclosures made pursuant to the Freedom of Information Act;  (12) make available an accounting of disclosures made of a record about the requester from a nonexempt system of records upon request;  (13) process requests for amendment or correction of a record in a nonexempt system of records;  (14) notify the Legal Counsel regarding a proposal to change a system of records;  (15) consult with the Office of Legal Counsel (Legal Services) regarding the implementation of the Act;  (16) ensure that disclosures from systems of records are made only in a manner consistent with this Order;  (17) ensure compliance with the Commission's Privacy Act regulations, 29 C.F.R. Part 1611, for the system(s) of records of which he or she is the manager; and  (18) ensure that disclosures of information from Privacy Act systems of records are made only under the conditions specified for disclosure, including ascertaining proper identification of the requester, prior to release, in accordance with 29 C.F.R. § 1611.4 (see paragraph 8 below).  Office Heads (Hdqs.) and District Directors shall:(l) notify in writing and consult with the Office of Legal Counsel (Legal Services) regarding any Privacy Act requirements at least 90 days prior to the date on which they propose to establish a Privacy Act System of Records. Said notification shall include the information that is required to be published in a Privacy Act System Notice (see Appendix B); and  (2) ensure that their employees are informed of the provisions of this order.  CONDITIONS PERMITTING DISCLOSURE. Disclosure from Privacy Act Systems of Records wiil be made only when it is:   pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains;  to those officers and employees of the Commission who have a need for the record in the performance of their duties;  required by the Freedom of Information Act;  for a routine use for the system of records involved as published in the Federal Register (see Appendix B);  to the Bureau of the Census for purposes of planning or survey or related activity pursuant to the provisions of Title 13 of the United States Code;  to a recipient who has provided the agency 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;  to the National Archives and Records Administration as a record that has sufficient historical or other value to warrant its continued preservation by the United States Government, ot for evaluation by the Archivist of the United States or designee to determine whether the record has such value;  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 Commission specifying the particular portion desired and the law enforcement activity for which the record is sought;  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;  to either House of Congress, or to the extent the matter is within its jurisdiction, any committee or subcommittee thereof, any joint committee of Congress or subcommittee of any such joint committee;  o the Comptroller General, or any of his authorized representatives, in the course of the performance of the duties of the General Accounting Office;  pursuant to the order of a court of competent jurisdiction; or  to a consumer reporting agency in accordance with section 3(d) of the Federal Claims Collection Act of 1966, 31 U.S.C. § 37ll(f).  PROCEDURES FOR PRIVACY ACT REQUESTS AND APPEALS. Requests from individuals regarding whether the Commission maintains a record about such individuals, access to such records, and correction or amendment of such records and appeals of such requests, when denied, shall be processed in accordance with the Commission's Privacy Act Regulations, 29 C.F.R. Part 1611 (Appendix A) and Notice of Privacy Act Systems of Records (Appendix B). The regulations and notice explicitly describe the manner in which System Managers shall process Privacy Act requests; they describe the role of the Legal Counsel in responding to appeals of denied requests. Therefore, the regulations contained in Appendix A and notice in Appendix B to this Order should be consulted for the procedures on Privacy Act requests and appeals.   Combined Privacy Act and Freedom of Information Act Requests. If an individual seeks access to records under both the Privacy Act and Freedom of Information Act, the System Manager should consult with the Regional Attorney or Office of Legal Counsel, Legal Services, before granting or denying such a request.  Charging Fees. No fee shall be charged for searches necessary to locate records. Fees shall be charged for copies made by photocopy device or otherwise as prescribed in the Commission's Privacy Act regulations, 29 C.F.R. Part 1611 (see Appendix A).  ESTABLISHING A NEW SYSTEM OF RECORDS.   The Chairman, Commissioners, Office Heads (at Hdqs.), or District Directors may propose the establishment of a new system of records.  The proposing official shall assess the need for and relevance of the information to be contained in the proposed new system and shall consult with the Office of Legal Counsel in order to determine the legality of the proposed system. At least 90 days prior to the date on which the proposing official plans to collect information for inclusion in the new system, the proposing official shall provide the Office of Legal Counsel with the proposing official's assessments noted above and a draft new system notice containing the information set forth at paragraph 13. The Office of Legal Counsel will prepare the final system notice. No new system may be utilized or information collected thereunder before the preconditions set forth below in lOc, d, e, and f are met.  Upon approval of the system by the Commission, advance notice of a new system of records shall be issued by the Chairman to the Committee on Government Operations of the House of Representatives, the Committee on Governmental Affairs of the Senate, and the Office of Management and Budget at least 60 days before: (1) the issuance of data collection forms and/or instructions; (2) any public issuance of a Request for Proposal or an Invitation to Bid for computer or communications systems or services intended to support the system of records; or (3) entering any personal information into the new or altered system. The report shall contain:   a transmittal letter including the name and address of the EEOC official to whom inquiries and comments may be addressed;  an advanced copy of the new or revised system notice that the agency proposes to publish for the new or altered system(s);  an advance copy of any new rules or changes to published rules that the agency proposes for the new or altered system; and  an advance copy of any proposed rules setting forth the reasons why the system is to be exempted from any specific provision if the agency head plans to invoke any exemptions for the new or altered systems.  The Office of Legal Counsel shall prepare the system notice for Commission approval and publication in the Federal Register for notice and comment in accordance with 5 U.S.C. § 552a(e)(ll).  After the period of notice and comment, the Office of Legal Counsel shall cause the final system notice to be published in the Federal Register 30 days before the system becomes operational in accordance with 5 U.S.C. § 553.  A Privacy Act Statement must be prepared by the System Manager and approved by the Office of Legal Counsel.  CHANGING A SYSTEM OF RECORDS. The Legal Counsel should be contacted ninety (90) days in advance of a proposed change in an existing system of records for guidance in preparing a new system notice. See paragraph 10 above. The following changes to an existing system of records require advance notice of the revision as set forth in paragraph lOc.   To increase or change the number or types of individuals on whom information is maintained;  To expand the types or categories of information maintained;  To alter the manner in which the records are organized or the manner in which records are indexed or retrieved so as to change the nature or scope of those records;  To alter the purposes for which the information is used;  To change the equipment configuration (i.e., hardware and/or software) on which the system is operated so as to create the potential for either greater or easier access; or  To add routine uses.  CANCELLING A SYSTEM OF RECORDS   A System Manager shall consult with the Office of Legal Counsel to determine whether cancellation is appropriate.  The Office of Legal Counsel shall prepare a notice of cancellation of a system of records for publication in the Federal Register.  Such Notice shall contain:   an explanation of the background of the system; and  the reasons for cancellation  Upon approval by the Commission, the cancellation notice shall be published in the Federal Register.  PREPARING PRIVACY ACT NOTICES.   The Legal Counsel shall prepare a notice of the existence and character of systems of records and publish it in the Federal Register upon establishment or revision of a system. The notice shall contain:   the name of the system;  the location of the system;  the categories of individuals on whom records are maintained in the system;  the categories of records maintained in the system;  the routine uses of the records contained in the system, including the categories of users and the purpose of each use;  the agency's policies and practices regarding storage, retrievability, access controls, retention and disposal of the records;  the title and business address of the system manager;  the procedure for determining if the system of records contains a record pertaining to an individual;  the procedure for gaining access to a record in the system and contesting a record's contents;  (10) the categories of record sources.  PREPARING THE BIENNIAL REPORT   System managers shall periodically review their systems of records so as to:   determine the relevancy of, and necessity for, the general categories of information maintained;  ensure that records are accurate, relevant, timely and complete;  consider the manner in which information has been used and what specific authorities permit such uses;  determine whether some of the information collected can be eliminated; and  consider whether all the information must be individually identifiable.  Biennial Report Data. During February of each even numbered year, System Managers shall submit to the Off ice of Legal Counsel information on the following covering the previous two calendar years:   the total number of requests from individuals seeking access to and seeking to amend their records pursuant to the Act; the number granted in full or in part, and the number denied with the bases for denial; and the title of the system to which access or amendment was sought;  the number of requests for access and amendment that had to be returned because they contained insufficient information to identify the system; and  information as to problems and proposed revisions in their systems of records as well as EEOC's Privacy Act procedures indicated from that Manager's periodic review of his or system of records.  The Privacy Act Biennial Report. The Legal Counsel shall prepare the report to be submitted to the Office of Management and Budget. The report will consist of:   a summary of compliance actions, problems experienced, and recommendations for changes in legislation, policies, or procedures;  a summary of accomplishments or improvements including revised rules, systems of records, etc.;  a summary of plans for the upcoming two years as to such matters as reviews of routine uses, application of exemption provisions, revised systems of records, etc.;  a list of exempt and nonexempt systems; and  a summary of changes in agency procedures and current statistics including statistics on the number of individuals requesting access, the number who were refused, the number of appeals, and the number who sought judicial review.  LIST OF APPENDICES Appendix Title A. EEOC's Privacy Act Regulations 29 C.F.R. 1611 B. EEOC's Notice of Privacy Act Systems of Records  OBSOLETE DATA. This Order supersedes EEOC Order No. 156, Privacy Act of 1964, dated October 21, 1983.Return to top

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