[Federal Register Volume 66, Number 108 (Tuesday, June 5, 2001)]
[Proposed Rules]
[Pages 30134-30141]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-14077]


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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Part 1202

RIN 3095-AA99


Privacy Act; Implementation

AGENCY: National Archives and Records Administration (NARA).

ACTION: Proposed rule.

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SUMMARY: NARA is rewriting our Privacy Act regulations to update the 
procedures for making a Privacy Act request, and to reflect the 
President's memorandum of June 1, 1998, Plain Language in Government 
Writing. This proposed rule will affect individuals and entities 
seeking access or disclosure of information contained in NARA Privacy 
Act systems of records and subject individuals covered by a NARA 
Privacy Act system.

DATES: Comments must be received by August 6, 2001.

ADDRESSES: Comments must be sent to Regulation Comments Desk (NPOL), 
Room 4100, Policy and Communications Staff, National Archives and 
Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001. 
They may be faxed to 301-713-7270. You may also comment via the 
Internet to <a href="/cdn-cgi/l/email-protection#81e2eeecece4eff5f2c1cfc0d3c0afc6ced7"><span class="__cf_email__" data-cfemail="0f6c6062626a617b7c4f414e5d4e21484059">[email protected]</span></a>.
    Please submit Internet comments as an ASCII file avoiding the use 
of special characters and any form of encryption. Please also include 
``Attn: 3095-AA99'' and your name and return mailing address in your 
Internet message. If you do not receive a confirmation from NARA that 
we have received your Internet message, contact the Regulation Comment 
Desk at 301-713-7360, ext. 226.

FOR FURTHER INFORMATION CONTACT: Nancy Allard at telephone number 301-
713-7360, ext. 226, or fax number 301-713-7270.

SUPPLEMENTARY INFORMATION: As noted in the SUMMARY, NARA is rewriting 
its regulations on implementing the Privacy Act of 1974, in accordance 
with the Presidential Memorandum of June 1, 1998. The proposed rule is 
written in plain language. Each section is written in the question and 
answer format. This format not only simplifies the regulations and its 
application, but it personalizes the regulation to the customer. The 
proposed rule specifies how NARA collects, maintains and uses personal 
information collected and maintained by NARA and defunct agencies under 
the Privacy Act. The proposed rule explains the authority under which 
NARA collects and disseminates this information, how a person can 
obtain access to such information, and how to amend or correct such 
information.
    NARA last amended its Privacy Act regulations in 1998 (63 FR 
70342). In preparing to rewrite the regulations in plain language, we 
reviewed our policies and procedures. We have also reviewed all of our 
Privacy Act systems of records. As a result of these actions, we are 
making several substantive changes to the regulations. First, NARA does 
not forward requests for other agencies' records stored in a NARA 
record center to the appropriate agency; therefore, in the proposed 
rule we tell the requester that he/she must request

[[Page 30135]]

those records from that agency directly. Second, to strengthen our 
controls to prevent improper access to information protected by the 
Privacy Act, we are adding a requirement for subject individuals to 
submit a certification statement or have their signature notarized when 
requesting records about themselves. Finally, we are exempting an 
additional NARA Privacy Act system, NARA 18, General Legal Files, from 
access/amendment provisions of the Act on the basis of the law 
enforcement exemption.
    This proposed rule is not a significant regulatory action for the 
purposes of Executive Order 12866 and has not been reviewed by the 
Office of Management and Budget. As required by the Regulatory 
Flexibility Act, I certify that this proposed rule will not have a 
significant impact on a substantial number of small entities because it 
only affects individuals and entities seeking access or disclosure of 
information contained in NARA Privacy Act systems of records. This 
proposed rule does not have any federalism implications.

List of Subjects in 36 CFR Part 1202

    Privacy.

    For the reason set forth in the preamble, NARA proposes to revise 
part 1202 of title 36, Code of Federal Regulations, to read as follows:

PART 1202--REGULATIONS IMPLEMENTING THE PRIVACY ACT OF 1974

Subpart A--General Information About the Privacy Act
Sec.
1202.1   What does this part cover?
1202.2   What this part does not cover.
1202.4   Definitions.
1202.6   Whom should I contact for Privacy Act matters at NARA?
1202.8   How does NARA handle records that are in Government-wide 
Privacy Act systems?
1202.10   Does NARA handle access to and disclosure of records of 
defunct agencies in the custody of NARA?
Subpart B--Collecting Information
1202.18  How does NARA collect information about individuals?
1202.20   What advisory information does NARA provide before 
collecting information from me?
1202.22   Will NARA need my Social Security Number?
1202.24   Will NARA ever request information about me from someone 
else?
1202.26   Who will make sure that my record is accurate?
1202.28   What rules do NARA employees follow in managing personal 
information?
1202.30   How does NARA safeguard its systems of records?
Subpart C--Individual Access to Records
1202.40   How can I gain access to NARA records about myself?
1202.42   How are requests for access to medical records handled?
1202.44   How long will it take for NARA to process my request?
1202.46   In what ways will NARA provide access?
1202.48   Will I have to pay for copies of records?
1202.50   Does NARA require prepayment of fees?
1202.52   How do I pay?
1202.54   On what grounds can NARA deny my Privacy Act request?
1202.56   How do I appeal a denial of my Privacy Act request?
1202.58   How are appeals processed?
Subpart D--Disclosure of Records
1202.60   When does NARA disclose a record in a Privacy Act system 
of records?
1202.62   What are the procedures for disclosure of records to a 
third party?
1202.64   How do I appeal a denial of disclosure?
1202.66   How does NARA keep account of disclosures?
Subpart E--Request To Amend Records
1202.70   Whom should I contact at NARA to amend records about 
myself?
1202.72   How does NARA handle requests to amend records?
1202.74   How will I know if NARA approved my amendment request?
1202.76   Can NARA deny my request for amendment?
1202.78   How do I accept an alternative amendment?
1202.80   How do I appeal the denial of a request to amend a record?
1202.82   How do I file a Statement of Disagreement?
1202.84   Can I seek judicial review?
Subpart F--Exemptions
1202.90   What NARA systems of records are exempt from release under 
the National Security Exemption of the Privacy Act?
1202.92   What NARA systems of records are exempt from release under 
the Law Enforcement Exemption of the Privacy Act?
1202.94   What NARA systems of records are exempt from release under 
the Investigatory Information Material Exemption of the Privacy Act?

    Authority: 5 U.S.C. 552a; 44 U.S.C. 2104(a).

Subpart A--General Information About the Privacy Act


Sec. 1202.1  What does this part cover?

    (a) This part covers requests under the Privacy Act (5 U.S.C. 552a) 
for NARA operational records and records of defunct agencies stored in 
NARA record centers.
    (b) This part explains how NARA collects, uses and maintains 
records about you that are filed by your name or other personal 
identifiers and which are contained in a ``system of records'' as 
defined by 5 U.S.C. 552a(a)(5).
    (c) This part describes the procedures to gain access to and 
contest the contents of your records, and the conditions under which 
NARA discloses such records to others.


Sec. 1202.2  What this part does not cover.

    This part does not cover:
    (a) Records that have been transferred into the National Archives 
of the United States for permanent preservation. Archival records that 
are contained in systems of records that become part of the National 
Archives of the United States are exempt from most provisions of the 
Privacy Act (see 5 U.S.C. 552a(l)(2) and (l)(3)). See subchapter C of 
this chapter for rules governing access to these type records.
    (b) Records of other agencies that are stored in NARA record 
centers on behalf of that agency are governed by the Privacy Act rules 
of the transferring agency. Send your request for those records 
directly to those agencies.
    (c) Personnel and medical records held by the National Personnel 
Records Center (NPRC) on behalf of the Department of Defense and the 
Office of Personnel Management. Privacy Act requests for these records 
should come to the NPRC.


Sec. 1202.4  Definitions.

    For the purposes of this part, the term:
    (a) Access means a transfer of a record, a copy of a record, or the 
information in a record to the subject individual, or the review of a 
record by the subject individual.
    (b) Agency means any executive department, military department, 
Government corporation, Government controlled corporation, or other 
establishment in the executive branch of the Government (including the 
Executive Office of the President), or any independent regulatory 
agency.
    (c) Defunct agency means an agency that has ceased to exist, and 
has no successor in function.
    (d) Defunct agency records means the records in a Privacy Act 
system of a defunct agency that are stored in a NARA records center.
    (e) Disclosure means a transfer by any means of a record, a copy of 
a record, or the information contained in a record to a recipient other 
than the subject individual, or the review of a record by someone other 
than the subject individual.

[[Page 30136]]

    (f) Individual means a citizen of the United States or an alien 
lawfully admitted for permanent residence.
    (g) Maintain includes maintain, collect, use, or disseminate.
    (h) NARA Privacy Act Appeal Official means the Deputy Archivist of 
the United States for appeals of denials of access to or amendment of 
records maintained in a system of records, except where the system 
manager is the Inspector General; then the term means the Archivist of 
the United States.
    (i) Record means any item, collection, or grouping of information 
about an individual that is maintained by an agency, including, but not 
limited to, his or her education, financial transactions, medical 
history and criminal or employment history, and that contains his or 
her name or an identifying number, symbol, or other identifying 
particular assigned to the individual, such as a fingerprint, 
voiceprint, or photograph. For purposes of this part, ``record'' does 
not mean archival records that have been transferred to the National 
Archives of the United States.
    (j) Routine use means, with respect to the disclosure of a record, 
the use of that record for a purpose which is compatible with the 
purpose for which it was collected.
    (k) Solicitation means a request by a NARA employee or contractor 
that an individual provide information about himself or herself.
    (l) Statistical record means a record in a system of records 
maintained for statistical research or reporting purposes only and not 
used in whole or in part in making any determination about an 
identifiable individual, except as provided by 13 U.S.C. 8.
    (m) Subject individual means the individual named or discussed in a 
record or the individual to whom a record otherwise pertains.
    (n) System manager means the NARA employee who is responsible for 
the maintenance of a system of records and for the collection, use, and 
dissemination of information in that system of records.
    (o) System of records means a group of records from which 
information is retrieved by the name of the individual or by some 
identifying number, symbol, or other identifier assigned to that 
individual.


Sec. 1202.6  Whom should I contact for Privacy Act matters at NARA?

    Contact the NARA Privacy Act Officer, National Archives and Records 
Administration (NGC), Room 3110, 8601 Adelphi Road, College Park, MD 
20740-6001, for guidance in making a Privacy Act request, or if you 
need assistance with an existing request. The Privacy Act Officer will 
refer you to the responsible system manager. Details about what to 
include in your Privacy Act request are discussed in Subpart C of this 
part.


Sec. 1202.8  How does NARA handle records that are in Government-wide 
Privacy Act systems?

    Records in the custody of NARA in a Government-wide Privacy Act 
system are the primary responsibility of another agency, e.g., the 
Office of Personnel Management (OPM) or the Office of Government Ethics 
(OGE). These records are governed by the regulations established by 
that agency pursuant to the Privacy Act. NARA provides access using 
that agency's regulations.


Sec. 1202.10  Does NARA handle access to and disclosure of records of 
defunct agencies in the custody of NARA?

    Yes, records of defunct agencies in the custody of NARA at a NARA 
record center are covered by the provisions of this part.

Subpart B--Collecting Information


Sec. 1202.18  How does NARA collect information about individuals?

    Any information that is used in making a determination about your 
rights, benefits, or privileges under NARA programs is collected 
directly from you--the subject individual-- to the greatest extent 
possible.


Sec. 1202.20  What advisory information does NARA provide before 
collecting information from me?

    (a) Before collecting information from you, NARA will advise you 
of:
    (1) The authority for collecting the information and whether 
providing the information is mandatory or voluntary;
    (2) The purpose for which the information will be used;
    (3) The routine uses of the information; and
    (4) The effect on you, if any, of not providing the information.
    (b) NARA ensures that forms used to record the information that you 
provide are in compliance with the Privacy Act and this part.


Sec. 1202.22  Will NARA need my Social Security Number?

    (a) Before a NARA employee or NARA contractor asks you to provide 
your social security number (SSN), he or she will ensure that the 
disclosure is required by Federal law or under a Federal law or 
regulation adopted before January 1, 1975.
    (b) If you are asked to provide your SSN, the NARA employee or 
contractor must first inform you:
    (1) Whether the disclosure is mandatory or voluntary;
    (2) The statute or authority under which your SSN is solicited; and
    (3) How your SSN will be used.


Sec. 1202.24  Will NARA ever request information about me from someone 
else?

    NARA will make every effort to gather information from you 
directly. When NARA solicits information about you from someone else, 
NARA will explain to that person the purpose for which the information 
will be used.


Sec. 1202.26  Who will make sure that my record is accurate?

    The system manager ensures that all records used by NARA to make a 
determination about any individual are maintained with such accuracy, 
relevancy, timeliness, and completeness as is reasonably possible to 
ensure fairness to you.


Sec. 1202.28  What rules do NARA employees follow in managing personal 
information?

    All NARA employees and contractors involved in the design, 
development, operation or maintenance of any system of records must 
review the provisions of the Privacy Act and the regulations in this 
part. NARA employees and contractors must conduct themselves in 
accordance with the rules of conduct concerning the protection of 
nonpublic information in the Standards of Ethical Conduct for Employees 
of the Executive Branch, 5 CFR 2635.703.


Sec. 1202.30  How does NARA safeguard its systems of records?

    (a) The system manager ensures that appropriate administrative, 
technical, and physical safeguards are established to ensure the 
security and confidentiality of records. In order to protect against 
any threats or hazards to their security or loss of integrity, paper 
records are maintained in areas accessible only to authorized NARA 
personnel. Electronic records are protected in accordance with the 
Computer Security Act, OMB Circular A-11 requiring privacy analysis in 
reporting to OMB, and are accessed via passwords from terminals located 
in attended offices. After hours, buildings have security guards and/or 
doors are secured and all entrances are monitored by electronic 
surveillance equipment.
    (b) The system manager, at his/her discretion, may designate 
additional safeguards similar to or greater than those described in 
paragraph (a) of this section for unusually sensitive records.

[[Page 30137]]

    (c) The system manager only permits access to and use of automated 
or manual personnel records to persons whose official duties require 
such access, or to you or to a representative designated by you.

Subpart C--Individual Access to Records


Sec. 1202.40  How can I gain access to NARA records about myself?

    (a) If you wish to request access to information about yourself 
contained in a NARA Privacy Act system of records, you must notify the 
NARA Privacy Act Officer, National Archives and Records Administration, 
Rm. 3110, 8601 Adelphi Rd., College Park, MD 20740-6001. If you wish to 
allow another person to review or obtain a copy of your record, you 
must provide authorization for that person to obtain access as part of 
your request.
    (b) Your request must be in writing and the letter and the envelope 
must be marked ``Privacy Act Request.'' Your request letter must 
contain:
    (1) The complete name and identifying number of the NARA system as 
published in the Federal Register;
    (2) A brief description of the nature, time, place, and 
circumstances of your association with NARA;
    (3) Any other information, which you believe, would help NARA to 
determine whether the information about you is included in the system 
of records;
    (4) If you are authorizing another individual to have access to 
your records, the name of that person; and
    (5) A Privacy Act certification of identity. When you make a 
request for access to records about yourself, you must verify your 
identity. You must sign your request and your signature must either be 
notarized or submitted by you under 28 U.S.C. 1746, a law that permits 
statements to be made under penalty of perjury as a substitute for 
notarization. While no specific form is required, you may obtain a 
Certification of Identity form for this purpose from the NARA Privacy 
Act Officer. The following information is required:
    (i) Your full name;
    (ii) An acknowledgment that you understand the criminal penalty in 
the Privacy Act for requesting or obtaining access to records under 
false pretenses (5 U.S.C. 552a(i)(3)); and
    (iii) A declaration that your statement is true and correct under 
penalty of perjury (18 U.S.C. 1001).
    (c) The procedure for accessing an accounting of disclosure is 
identical to the procedure for access to a record as set forth in this 
section.


Sec. 1202.42  How are requests for access to medical records handled?

    When NARA receives a request for access to medical records, if NARA 
believes that disclosure of medical and/or psychological information 
directly to you could have an adverse effect on you, you may be asked 
to designate in writing a physician or mental health professional to 
whom you would like the records to be disclosed, and disclosure that 
otherwise would be made to you will instead be made to the designated 
physician or mental health professional.


Sec. 1202.44  How long will it take for NARA to process my request?

    (a) NARA will acknowledge your request within 10 workdays of its 
receipt by NARA and if possible, will make the records available to you 
at that time. If NARA cannot make the records immediately available, 
the acknowledgment will indicate when the system manager will make the 
records available.
    (b) If NARA anticipates more than a 10 workday delay in making a 
record you requested available, NARA also will explain in the 
acknowledgment specific reasons for the delay.
    (c) If your request for access does not contain sufficient 
information to permit the system manager to locate the records, NARA 
will request additional information from you. NARA will have 10 
workdays following receipt of the additional information in which to 
make the records available or to acknowledge receipt of the request and 
to indicate when the records will be available.


Sec. 1202.46  In what ways will NARA provide access?

    (a) At your request, NARA will provide you, or a person authorized 
by you, a copy of the records by mail or by making the records 
available in person during normal business hours at the NARA facility 
where the records are located. If you are seeking access in person, the 
system manager will permit you to examine the original record, will 
provide you with a copy of the records, or both.
    (b) When obtaining access to the records in person at a NARA 
facility, you must provide proof of identification either by producing 
at least one piece of identification bearing a name or signature and 
either a photograph or physical description (e.g., a driver's license 
or employee identification card) or by signing the Certification of 
Identity form described in Sec. 1204.40 (b)(5). NARA reserves the right 
to ask you to produce additional pieces of identification to assure 
NARA of your identity. You will also be asked to sign an 
acknowledgement that you have been given access.


Sec. 1202.48  Will I have to pay for copies of records?

    Yes. However NARA will waive fees for the first 100 pages copied or 
when the cost to collect the fee will exceed the amount collected. When 
a fee is charged, the charge per copy is $0.20 per page if NARA makes 
the copy or $0.15 per page if you make the copy on a NARA self-service 
copier. Fees for other reproduction processes are computed upon 
request.


Sec. 1202.50  Does NARA require prepayment of fees?

    If the system manager determines that the estimated total fee is 
likely to exceed $250, NARA will notify you that the estimated fee must 
be prepaid before you can have copies of the records. If the final fee 
is less than the amount you prepaid, NARA will refund the difference.


Sec. 1202.52  How do I pay?

    You must pay by check or money order. Make your check or money 
order payable to the National Archives and Records Administration and 
send it to the NARA Privacy Act Officer, Room 3110, 8601 Adelphi Road, 
College Park, MD 20740-6001.


Sec. 1202.54  On what grounds can NARA deny my Privacy Act request?

    (a) NARA can deny your Privacy Act request for records if the 
records are maintained in an exempt systems of records are described in 
subpart F of this part.
    (b) A system manager may deny your request for access to your 
records only if:
    (1) NARA has published rules in the Federal Register exempting the 
pertinent system of records from the access requirement; and
    (2) The record is exempt from disclosure under the Freedom of 
Information Act (FOIA).
    (c) Upon receipt of a request for access to a record which is 
contained within an exempt system of records, NARA will:
    (1) Review the record to determine whether all or part of the 
record must be released to the you in accordance with Sec. 1202.40, 
notwithstanding the inclusion of the record within an exempt system of 
records; and
    (2) Provide access to the record (or part of the record, if it is 
not fully releasable) in accordance with Sec. 1202.46 or notify you 
that the request has been denied in whole or in part.

[[Page 30138]]

    (c) If your request is denied in whole or in part, NARA's notice 
will include a statement specifying the applicable Privacy Act and FOIA 
exemptions and advising you of the right to appeal the decision as 
explained in Sec. 1202.56.


Sec. 1202.56  How do I appeal a denial of my Privacy Act request?

    (a) If you are denied access in whole or in part to records 
pertaining to yourself, you may file with NARA an appeal of that 
denial. Your appeal letter must be post marked no later than 35 
calendar days after the date of the denial letter from NARA.
    (1) Address appeals involving denial of access to Office of 
Inspector General records to NARA Privacy Act Appeal Official (N), 
National Archives and Records Administration, Room 4200, 8601 Adelphi 
Road, College Park, MD 20740-6001.
    (2) Address all other appeals to the NARA Privacy Act Appeal 
Official (ND), National Archives and Records Administration, Room 4200, 
8601 Adelphi Road, College Park, MD 20740-6001.
    (b) All appeals of denial of access to the NARA Privacy Act Appeal 
Official must be in writing. Mark both the envelope and the appeal 
``Privacy Act--Access Appeal.''


Sec. 1202.58  How are appeals processed?

    (a) Upon receipt of your appeal, the NARA Privacy Act Appeal 
Official will consult with the system manager, legal counsel, and such 
other officials as may be appropriate. If the NARA Privacy Act Appeal 
Official determines that the records you requested are not exempt from 
release, NARA grants you access and so notifies you.
    (b) If the NARA Privacy Act Appeal Official determines that your 
appeal must be rejected, NARA will immediately notify you in writing of 
that determination. This decision is final and cannot be appealed 
further within NARA. NARA's notification to you will include:
    (1) The reason for the rejection of the appeal; and
    (2) Notice of your right to seek judicial review of NARA's final 
determination, as described in 36 CFR 1202.84.
    (c) NARA will make its final determination no later than 30 
workdays from the date on which NARA receives your appeal. NARA may 
extend this time limit by notifying you in writing before the 
expiration of the 30 workdays. This notification will include an 
explanation of the reasons for the time extension.

Subpart D--Disclosure of Records


Sec. 1202.60  When does NARA disclose a record in a Privacy Act system 
of records?

    NARA will not disclose any records in a Privacy Act system of 
records to any person or to another agency without the express written 
consent of the subject individual unless the disclosure is:
    (a) To NARA employees who have a need for the information in the 
official performance of their duties;
    (b) Required by the provisions of the Freedom of Information Act, 
as amended;
    (c) For a routine use that has been published in a notice in the 
Federal Register;
    (d) To the Bureau of Census for purposes of planning or carrying 
out a census or survey or related activity pursuant to title 13 U.S.C.;
    (e) To a person who has provided NARA with advance adequate written 
assurance as specified in Sec. 1202.62(a) that the record will be used 
solely as a statistical research or reporting record. (Personal 
identifying information is deleted from the record released for 
statistical purposes. The system manager ensures that the identity of 
the individual cannot reasonably be deduced by combining various 
statistical records.)
    (f) To the National Archives of the United States as a record which 
has sufficient historical or other value to warrant its continued 
preservation by the United States Government or for evaluation by the 
Archivist or the designee of the Archivist to determine whether the 
record has such value;
    (g) To another agency or any governmental jurisdiction within or 
under the control of the United States for a civil or criminal law 
enforcement activity if the activity is authorized by law, and if the 
head of the agency or his or her other designated representative has 
made a written request to NARA specifying the particular portion 
desired and the law enforcement activity for which the record is 
sought;
    (h) To a person showing compelling circumstances affecting the 
health or safety of an individual, and not necessarily the individual 
to whom the record pertains. A disclosure of this nature is followed by 
a notification to the last known address of the subject individual;
    (i) To either House of Congress or to a committee or subcommittee 
(joint or of either House), in the course of the performance of 
official legislative activities;
    (j) To the Comptroller General or any of his authorized 
representatives in the course of the performance of the duties of the 
General Accounting Office;
    (k) Pursuant to the order of a court of competent jurisdiction; or
    (l) To a consumer reporting agency in accordance with 31 U.S.C. 
3711(e).


Sec. 1202.62  What are the procedures for disclosure of records to a 
third party?

    (a) To obtain access to records about a person other than yourself, 
address the request to the NARA Privacy Act Officer, National Archives 
and Records Administration, Room 3110, 8601 Adelphi Rd., College Park, 
MD 20740-6001. If you are requesting access for statistical research as 
described in Sec. 1202.60(e), you must submit a written statement that 
includes as a minimum:
    (1) A statement of the purpose for requesting the records; and
    (2) Certification that the records will be used only for 
statistical purposes.
    (b) NARA will acknowledge your request within 10 workdays and will 
make a decision within 30 workdays, unless NARA notifies you that the 
time limit must be extended for good cause.
    (c) Upon receipt of your request, NARA will verify your right to 
obtain access to documents pursuant to Sec. 1202.60. Upon verification, 
the system manager will make the requested records available to you.
    (d) If NARA determines that the disclosure is not permitted under 
Sec. 1202.60, the system manager will deny your request in writing. 
NARA will inform you of the right to submit a request for review of the 
denial and a final determination to the appropriate NARA Privacy Act 
Appeal Officer.


Sec. 1202.64  How do I appeal a denial of disclosure?

    (a) Your request for a review of the denial of disclosure to 
records maintained by the Office of the Inspector General must be 
addressed to the NARA Privacy Act Appeal Officer (N), National Archives 
and Records Administration, Room 4200, 8601 Adelphi Rd., College Park, 
MD 20740-6001.
    (b) Requests for a review of a denial of disclosure to all other 
NARA records must be addressed to the NARA Privacy Act Appeal Officer 
(ND), National Archives and Records Administration, Room 4200, 8601 
Adelphi Rd., College Park, MD 20740-6001.


Sec. 1202.66  How does NARA keep account of disclosures?

    (a) Except for disclosures made to NARA employees in the course of 
the performance of their duties or when required by the Freedom of 
Information Act (see Sec. 1202.60(a) and (b)), NARA keeps an accurate 
accounting of each

[[Page 30139]]

disclosure and retains it for 5 years after the disclosure or for the 
life of the record, whichever is longer. The accounting includes the:
    (1) Date of disclosure;
    (2) Nature, and purpose of each disclosure; and
    (3) Name and address of the person or agency to which the 
disclosure is made.
    (b) The system manager also maintains with the accounting of 
disclosures:
    (1) A full statement of the justification for the disclosures;
    (2) All documentation surrounding disclosure of a record for 
statistical or law enforcement purposes; and
    (3) Evidence of written consent by the subject individual to a 
disclosure, if applicable.
    (c) Except for the accounting of disclosures made for a law 
enforcement activity (see Sec. 1202.60(g)) or of disclosures made from 
exempt systems (see subpart F of this part), the accounting of 
disclosures will be made available to the subject individual upon 
request. Procedures for requesting access to the accounting of 
disclosures are in subpart C.

Subpart E--Request To Amend Records


Sec. 1202.70  Whom should I contact at NARA to amend records about 
myself?

    If you believe that a record that NARA maintains about you is not 
accurate, timely, relevant or complete, you may request that the record 
be amended. Write to the NARA Privacy Act Officer, Room 3110, 8601 
Adelphi Rd, College Park, MD 20470-6001. Employees of NARA who desire 
to amend their personnel records should write to the Director, Human 
Resources Services Division. You should include as much information, 
documentation, or other evidence as needed to support your request to 
amend the pertinent record. Mark both the envelop and the letter with 
the phrase ``Privacy Act--Request To Amend Record.''


Sec. 1202.72  How does NARA handle requests to amend records?

    (a) NARA will acknowledge receipt of a request to amend a record 
within 10 workdays. If possible, the acknowledgment will include the 
system manager's determination either to amend the record or to deny 
your request to amend as provided in Sec. 1202.76.
    (b) When reviewing a record in response to your request to amend, 
the system manager will assess the accuracy, relevance, timeliness, and 
completeness of the existing record in light of your proposed amendment 
to determine if your request to amend is justified. If you request the 
deletion of information, the system manager also will review your 
request and the existing record to determine whether the information is 
relevant and necessary to accomplish NARA's purpose, as required by law 
or Executive order.


Sec. 1202.74  How will I know if NARA approved my amendment request?

    If NARA approves your amendment request, the system manager will 
promptly make the necessary amendment to the record and will send a 
copy of the amended record to you. NARA will also advise all previous 
recipients of the record, using the accounting of disclosures, that an 
amendment has been made and give the substance of the amendment. Where 
practicable, NARA will also send a copy of the amended record to 
previous recipients.


Sec. 1202.76  Can NARA deny my request for amendment?

    If the system manager denies your request to amend or determines 
that the record should be amended in a manner other than that requested 
by you, NARA will advise you in writing of the decision. The denial 
letter will state:
    (a) The reasons for the denial of your amendment request;
    (b) Proposed alternative amendments, if appropriate;
    (c) Your right to appeal the denial; and
    (d) The procedures for appealing the denial.


Sec. 1202.78  How do I accept an alternative amendment?

    If your request to amend a record is denied and NARA suggested 
alternative amendments, and you agree to those alternative amendments, 
you must notify the Privacy Act Officer who will then make the 
necessary amendments in accordance with Sec. 1202.74.


Sec. 1202.80  How do I appeal the denial of a request to amend a 
record?

    (a) If you disagree with a denial of your request to amend a 
record, you can file an appeal of that denial.
    (1) Address your appeal of the denial to amend records signed by a 
system manager other than the Inspector General, to the NARA Privacy 
Act Appeal Official (ND), Room 3110, 8601 Adelphi Road, College Park, 
MD, 20740-6001.
    (2) Address the appeal of the denial to amend records signed by the 
Inspector General to the NARA Privacy Act Appeal Official (N), Room 
3110, 8601 Adelphi Road, College Park, MD, 20740-6001.
    (3) For current NARA employees if the denial to amend concerns a 
record maintained in the employee's Official Personnel Folder or in 
another Government-wide system maintained by NARA on behalf of another 
agency, NARA will provide the employee with name and address of the 
appropriate appeal official in that agency.
    (b) Appeals to NARA must be in writing and must be postmarked no 
later than 35 calendar days from the date of the NARA denial of a 
request to amend. Your appeal letter and envelope must be marked 
``Privacy Act--Appeal''.
    (c) Upon receipt of an appeal, the NARA Privacy Act Appeal Official 
will consult with the system manager, legal counsel, and such other 
officials as may be appropriate. If the appeal official determines that 
the record should be amended, he or she will instruct the system 
manager to amend the record in accordance with Sec. 1202.74 and will 
notify you of that action.
    (d) If, after consulting with officials specified in paragraph (c) 
of this section, the NARA Privacy Act Appeal Official determines that 
your appeal should be rejected, the NARA Privacy Act Appeal Official 
will notify you in writing of that determination. This notice serves as 
NARA's final determination on your request to amend a record. The 
letter to you will include:
    (1) The reason for the rejection of your appeal;
    (2) Proposed alternative amendments, if appropriate, which you may 
accept (see 36 CFR 1202.78 for the procedure);
    (3) Notice of your right to file a Statement of Disagreement for 
distribution in accordance with 36 CFR 1202.82; and
    (4) Notice of your right to seek judicial review of the NARA final 
determination, as provided in 36 CFR 1202.84.
    (e) The NARA final determination will be made no later than 30 
workdays from the date on which the appeal is received by the NARA 
Privacy Act Appeal Official. In extraordinary circumstances, the NARA 
Privacy Act Appeal Official may extend this time limit by notifying you 
in writing before the expiration of the 30 workdays. The notification 
will include a justification for the extension of time.


Sec. 1202.82  How do I file a Statement of Disagreement?

    If you receive a NARA final determination denying your request to 
amend a record, you may file a Statement of Disagreement with the 
appropriate system manager. The

[[Page 30140]]

Statement of Disagreement must include an explanation of why you 
believe the record to be inaccurate, irrelevant, untimely, or 
incomplete. The system manager will maintain your Statement of 
Disagreement in conjunction with the pertinent record. The System 
Manager will send a copy of the Statement of Disagreement to any person 
or agency to whom the record has been disclosed, only if the disclosure 
was subject to the accounting requirements of Sec. 1202.60.


Sec. 1202.84  Can I seek judicial review?

    Yes, within 2 years of receipt of a NARA final determination as 
provided in Sec. 1202.54 or Sec. 1202.80, you may seek judicial review 
of that determination. You may file a civil action in the Federal 
District Court:
    (a) In which you reside or have a principal place of business;
    (b) In which the NARA records are located; or
    (c) In the District of Columbia.

Subpart F--Exemptions


Sec. 1202.90  What NARA systems of records are exempt from release 
under the National Security Exemption of the Privacy Act?

    (a) The Investigative Case Files of the Inspector General (NARA-23) 
and the Personnel Security Case Files (NARA-24) systems of records are 
eligible for exemption under 5 U.S.C. 552a(k)(1) because the records in 
these systems:
    (1) Contain information specifically authorized under criteria 
established by an Executive Order to be kept secret in the interest of 
national defense or foreign policy and
    (2) Are in fact properly classified pursuant to such Executive 
Order.
    (b) The systems described in paragraph (a) are exempt from 
subsections (c)(3), (d), (e)(1), and (e)(4)(G) and (H) of 5 U.S.C. 
552a. Exemptions from the particular subsections are justified for the 
following reasons:
    (1) From subsection (c)(3) because accounting for each disclosure 
could result in the release of properly classified information which 
would compromise the national defense or disrupt foreign policy.
    (2) From the access and amendment provisions of subsection (d) 
because access to the records in these systems of records could result 
in the release of properly classified information which would 
compromise the national defense or disrupt foreign policy. Amendment of 
either of these series of records would interfere with ongoing 
investigations and law enforcement or national security activities and 
impose an impossible administrative burden by requiring investigations 
to be continuously reinvestigated.
    (3) From subsection (e)(1) because verification of the accuracy of 
all information to the records could result in the release of properly 
classified information which would compromise the national defense or 
disrupt foreign policy.
    (4) From subsection (e)(4)(G) and (H) because these systems are 
exempt from the access and amendment provisions of subsection (d), 
pursuant to subsection (k)(1) of the Privacy Act.


Sec. 1202.92  What NARA systems of records are exempt from release 
under the Law Enforcement Exemption of the Privacy Act?

    (a) The General Law Files in the Office of the General Counsell 
(NARA-18) and the Investigative Files of the Inspector General (NARA-
23) systems of records are eligible for exemption under 5 U.S.C. 
552a(k)(2) because these record systems contains investigatory material 
of actual, potential or alleged criminal, civil or administrative 
violations, compiled for law enforcement purposes other than within the 
scope of subsection (j)(2) of 5 U.S.C. 552a. If you are denied any 
right, privilege or benefit that you would otherwise be entitled by 
Federal law, or for which you would otherwise be eligible, as a result 
of the record, NARA will make the record available to you, except for 
any information in the record that would disclose the identity of a 
confidential source as described in 5 U.S.C. 552a(k)(2).
    (b) The systems described in paragraph (a) of this section are 
exempt from subsections (c)(3), (d), (e)(1) and (e)(4) (G) and (H), and 
(f) of 5 U.S.C. 552a. Exemptions from the particular subsections are 
justified for the following reasons:
    (1) From subsection (c)(3) because release of disclosure accounting 
could alert the subject of an investigation about the alleged 
violations, to the existence of the investigation and to the fact that 
they are being investigated by the Office of Inspector General (OIG) or 
another agency. Release of such information could provide significant 
information concerning the nature of the investigation, resulting in 
the tampering or destruction of evidence, influencing of witnesses, 
danger to individuals involved, and other activities that could impede 
or compromise the investigation.
    (2) From the access and amendment provisions of subsection (d) 
because access to the records contained in these systems of records 
could inform the subject of an investigation of an actual or potential 
criminal, civil, or administrative violation, of the existence of that 
investigation; of the nature and scope of the information and evidence 
obtained as to his/her activities; of the identity of confidential 
sources, witnesses, and law enforcement personnel; and of information 
that may enable the subject to avoid detection or apprehension. These 
factors would present a serious impediment to effective law enforcement 
where they prevent the successful completion of the investigation, 
endanger the physical safety of confidential sources, witnesses, and 
law enforcement personnel, and/or lead to the improper influencing of 
witnesses, the destruction of evidence, or the fabrication of 
testimony. In addition, granting access to such information could 
disclose security-sensitive or confidential business information or 
information that would constitute an unwarranted invasion of the 
personal privacy of third parties. The amendment of these records could 
allow the subject to avoid detection or apprehension and interfere with 
ongoing investigations and law enforcement activities.
    (3) From subsection (e)(1) because the application of this 
provision could impair investigations and interfere with the law 
enforcement responsibilities of the OIG or another agency for the 
following reasons:
    (i) It is not possible to detect relevance or need for specific 
information in the early stages of an investigation, case or matter. 
After the information is evaluated, relevance and necessity may be 
established.
    (ii) During an investigation, the OIG may obtain information about 
other actual or potential criminal, civil or administrative violations, 
including those outside the scope of its jurisdiction. The OIG should 
retain this information, as it may aid in establishing patterns of 
inappropriate activity, and can provide valuable leads for Federal and 
other law enforcement agencies.
    (iii) In interviewing individuals or obtaining other forms of 
evidence during an investigation, information may be supplied to an 
investigator, which relates to matters incidental to the primary 
purpose of the investigation but which may relate also to matters under 
the investigative jurisdiction of another agency. Such information 
cannot readily be segregated.
    (iv) From subsection (e)(4)(G) and (H) because these systems are 
exempt from the access and amendment provisions of subsection (d), 
pursuant to subsection (k)(2) of the Privacy Act.
    (v) From subsection (f) because these systems are exempt from the 
access and

[[Page 30141]]

amendment provisions of subsection (d), pursuant to subsection (k)(2) 
of the Privacy Act.


Sec. 1202.94  What NARA systems of records are exempt from release 
under the Investigatory Information Material exemption of the Privacy 
Act?

    (a) The General Law Files (NARA-18) and the Personnel Security Case 
Files (NARA-24) systems of records are eligible for exemption under 5 
U.S.C. 552a(k)(5) because these contain investigatory material compiled 
solely for the purpose of determining suitability, eligibility, or 
qualifications for federal employment or access to classified 
information. The only information exempt under this provision is that 
which would disclose the identity of a confidential source described in 
5 U.S.C. 552a(k)(2).
    (b) The systems of records described in paragraph (a) of this 
section are exempt from 5 U.S.C. 552a(d)(1). Exemption from the 
particular subsection is justified as access to records in the system 
would reveal the identity(ies) of the source(s) of information 
collected in the course of a background investigation.

    Dated: May 29, 2001.
John W. Carlin,
Archivist of the United States.
[FR Doc. 01-14077 Filed 6-4-01; 8:45 am]
BILLING CODE 7515-01-P


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