50 CFR § 501.1-501.9 - Implementation of the Privacy Act of 1974

435 PART 500 [RESERVED] PART 501—IMPLEMENTATION OF THE PRIVACY ACT OF 1974 Sec. 501.1 Purpose and scope. 501.2 Definitions. 501.3 Procedure for responding to requests regarding the existence of records per taining to an individual. 501.4 Requests for access—times, places and requirements for identification of indi viduals. 501.5 Disclosure of requested information. 501.6 Requests for correction or amendment of a record. 501.7 Agency review of requests for amend ment or correction of a record. 501.8 Appeal of initial denial of a request for amendment or correction. 501.9 Fees. AUTHORITY: Sec. 3, Privacy Act of 1974 (5 U.S.C. 552a(f)). SOURCE: 40 FR 49276, Oct. 21, 1975, unless otherwise noted. § 501.1 Purpose and scope. (a) Purpose. The purpose of these rules is to fulfill the responsibilities of the Marine Mammal Commission (the ‘‘Commission’’) under section 3 of the Privacy Act of 1974, 5 U.S.C. 552a(f) (the ‘‘Act’’) by establishing procedures whereby an individual will be notified if any system of records maintained by the Commission contains a record per taining to him or her; by defining the times and places at which records will be made available and the identifica tion requirements which must be met by any individual requesting access to them; by establishing procedures for disclosure to an individual, on request, of any record pertaining to him or her; and by establishing procedures for processing, reviewing, and making a final determination on requests of indi viduals to correct or amend a record pertaining to him or her, including a provision for administrative appeal of initial adverse determinations on such requests. These rules are promulgated with particular attention to the pur poses and goals of the Act, and in ac cordance therewith provide for relative ease of access to records pertaining to an individual, and for maintenance by the Commission of only those records which are current, accurate, necessary, relevant and complete with respect to the purposes for which they were col lected. (b) Scope. These rules apply only to ‘‘record’’ contained in ‘‘systems of records,’’ defined by the Act as follows: The term ‘‘record’’ means any item, collec tion, or grouping of information about an in dividual that is maintained by an agency, in cluding, but not limited to, his education, fi nancial transactions, medical history, and criminal or employment history and that contains his name, or the identifying num ber, symbol, or other identifying particular assigned to the individual, such as a finger or voice print or a photograph; The term ‘‘system of records’’ means of group of any record under the control of any agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identi fying particular assigned to the individual. Notices with respect to the systems maintained by the Commission have been published in the FEDERAL REG ISTER, as required by the Act. These rules pertain only to the systems of records disclosed in such notices, and to any systems that may become the subject of a notice at any time in the future. (c) Nothing in these rules shall be construed as pertaining to requests made under the Freedom of Informa tion Act, 5 U.S.C. 552. § 501.2 Definitions. (a) As used in this part: (1) The term Act means the Privacy Act of 1974, 5 U.S.C. 552a. (2) The term Commission means the Marine Mammal Commission. (3) The term Director means the Exec utive Director of the Marine Mammal Commission. (4) The term Privacy Officer means an individual designated by the Director to receive all requests regarding the existence of records, requests for access and requests for correction or amend ment; to review and make initial deter minations regarding all such requests; and to provide assistance to any indi vidual wishing to exercise his or her rights under the Act. (b) Other terms shall be used in this part in accordance with the definitions contained in section 3 of the Privacy Act of 1974, 5 U.S.C. 552a(a). 436 50 CFR Ch. V (10–1–23 Edition) § 501.3 § 501.3 Procedure for responding to re quests regarding the existence of records pertaining to an individual. Any individual may submit a request to be notified whether a system of records, with respect to which the Commission has published a notice in the FEDERAL REGISTER, contains a record pertaining to him or her. Re quests may be made in writing to the Privacy Officer or by appearing in per son at the Commission offices located at 1625 I Street, NW., Room 307, Wash ington, DC 20006 between the hours of 9:00 a.m. and 5:00 p.m. on any working day. Systems of records that are the subject of a request should be identi fied by reference to the system name designated in the Notice of Systems of Records published in the FEDERAL REG ISTER. In the event a system name is not known to the individual, a general request will suffice if it indicates rea sons for the belief that a record per taining to the named individual is maintained by the Commission. Re ceipt of inquiries submitted by mail will be acknowledged within 10 days of receipt (excluding Saturdays, Sundays, and legal public holidays) unless a re sponse can also be prepared and for warded to the individual within that time. § 501.4 Requests for access—times, places and requirements for identi fication of individuals. Requests for access to a system of records pertaining to any individual may be made by that individual by mail addressed to the Privacy Officer, or by submitting a written request in person at the Commission offices lo cated at 1625 I Street, NW., Room 307, Washington, DC 20006, between the hours of 9 a.m. and 5 p.m. on any work ing day. Assistance in gaining access under this section, securing an amend ment or correction under § 501.6, or pre paring an appeal under §§ 501.5(d) and 501.8 shall be provided by the Privacy Officer on request directed to the Com mission office. An individual appearing in person at the Commission offices will be granted immediate access to any records to which that individual is entitled under the Act upon satisfac tory proof of identity by means of a document bearing the individual’s pho tograph or signature. For requests made by mail, identification of the in dividual shall be adequate if estab lished by means of submitting a certifi cate of a notary public, or equivalent officer empowered to administer oaths, substantially in accord with the fol lowing: City of County of : ss (Name of individual) who affixed (his) (her) signa ture below in my presence, came before me, a (Title), in the aforesaid County and State, this day of , 19 , and established (his)(her) identity to my satisfaction. My Commission expires . The certificate shall not be required, however, for written requests per taining to non-sensitive information or to information which would be required to be made available under the Free dom of Information Act. The Privacy Officer shall determine the adequacy of any proof of identity offered by an indi vidual. [41 FR 5, Jan. 2, 1976] § 501.5 Disclosure of requested infor mation. (a) Upon request and satisfactory proof of identity, an individual appear ing at the Commission offices shall be given immediate access to and permis sion to review any record, contained in a system of records, pertaining to him or her, shall be allowed to have a per son of his/her choosing accompany him/ her, and shall be given a copy of all or any portion of the record. The indi vidual to which access is granted shall be required to sign a written statement authorizing the presence of the person who accompanies him or her, and au thorizing discussion of his or her record in the presence of the accom panying person. (b) Requests made by mail to the Pri vacy Officer at the Commission offices will be acknowledged within 10 days from date of receipt (excluding Satur days, Sundays, and legal public holi days). This acknowledgement shall ad vise the individual whether access to the record will be granted and, if access is granted, copies of such records shall be enclosed. (c) If the Privacy Officer initially de termines to deny access to all or any portion of a record, notice of denial 437 Marine Mammal Commission ยง 501.7 shall be given to the individual in writ ing, within 30 days (excluding Satur days, Sundays and holidays) after ac knowledgement is given, and shall in clude the following: (1) The precise record to which access is being denied; (2) The reason for denial, including a citation to the appropriate provisions of the Act and of these Rules; (3) A statement that the denial may be appealed to the Director; (4) A statement of what steps must be taken to perfect an appeal to the Di rector; and, (5) A statement that the individual has a right to judicial review under 5 U.S.C. 552a(g)(1) of any final denial issued by the Director. (d) Administrative appeal of an ini tial denial, in whole or in part, of any request for access to a record, shall be available. An individual may appeal by submitting to the Director a written request for reconsideration stating therein specific reasons for reversal which address directly the reasons for denial stated in the initial notice of de nial. If access is denied on appeal, a final notice of denial shall be sent to the individual within 30 days (exclud ing Saturdays, Sundays and holidays), and shall state with particularity the grounds for rejecting all reasons for re versal submitted by the individual. The denial shall then be deemed final for purposes of obtaining judicial review. [40 FR 49276, Oct. 21, 1975, as amended at 41 FR 5, Jan. 2, 1976] ยง 501.6 Requests for correction or amendment of a record. (a) Any individual may request the correction or amendment of a record pertaining to him or her in writing ad dressed to the Privacy Officer at the Commission offices. Verification of identity required for such requests shall be the same as that specified in ยง 501.4 of this part with respect to re quests for access. Records sought to be amended must be identified with as much specificity as is practicable under the circumstances of the request, and at a minimum, should refer to the system name designated in the Notice of System Records published in the FEDERAL REGISTER, the type of record in which the information thought to be improperly maintained or incorrect is contained, and the precise information that is the subject of the request (for example, system name, description of record, paragraph, sentence, line, words). Assistance in identifying a record, and in otherwise preparing a re quest, may be obtained by contacting the Privacy Officer at the Commission offices. (b) A request should, in addition to identifying the individual and the record sought to be amended or cor rected, include: (1) The specific wording or other in formation to be deleted, if any; (2) The specific wording or other in formation to be inserted, if any, and the exact place in the record at which it is to be inserted, and, (3) A statement of the basis for the requested amendment or correction (e.g. that the record is inaccurate, un necessary, irrelevant, untimely, or in complete), together with supporting documents, if any, which substantiate the statement. ยง 501.7 Agency review of requests for amendment or correction of a record. (a) Where possible, each request for amendment or correction shall be re viewed, and a determination on the re quest made, by the Privacy Officer within 10 days of receipt (excluding Saturdays, Sundays and holidays). Re quests shall be acknowledged within that period where insufficient informa tion has been provided to enable action to be taken. An acknowledgement shall inform the individual making the re quest of the estimated time within which a disposition of the request is ex pected to be made, and shall prescribe such further information as may be necessary to process the request. The request shall be granted, or an initial decision to deny shall be made, within ten days of receipt of all information specified in the acknowledgement (ex cluding Saturdays, Sundays and holi days). (b) Within 30 days (excluding Satur days, Sundays and holidays) after ar riving at a decision on a request, the Privacy Officer shall either: 438 50 CFR Ch. V (10–1–23 Edition) § 501.8 (1) Make the requested amendment or correction, in whole or in part, and ad vise the individual in writing of such action; or, (2) Advise the individual in writing that the request has been initially de nied, in whole or in part, stating, with respect to those portions denied; (i) The date of the denial; (ii) The reasons for the denial, in cluding a citation to an appropriate section of the Act and these Rules; and, (iii) The right of the individual to prosecute an appeal and to obtain judi cial review should a final denial result from the appeal. (c) In reviewing a request for amend ment or correction of a record, the Pri vacy Officer shall consider the fol lowing criteria: (1) The sufficiency of the evidence submitted by the individual; (2) The factual accuracy of the infor mation sought to be amended or cor rected; (3) The relevance and necessity of the information sought to be amended or corrected in terms of the purposes for which it was collected; (4) The timeliness and currency of the information sought to be amended or corrected in terms of the purposes for which it was collected; (5) The completeness of the informa tion sought to be amended or corrected in terms of the purposes for which it was collected; (6) The degree of possibility that de nial of the request could unfairly result in determinations adverse to the indi vidual; (7) The character of the record sought to be corrected or amended; and, (8) The propriety and feasibility of complying with the specific means of correction or amendment requested by the individual. If an amendment or cor rection is otherwise permissible under the Act and other relevant statutes, a request shall be denied only if the indi vidual has failed to establish, by a pre ponderance of the evidence, the pro priety of the amendment or correction in light of these criteria. [40 FR 49276, Oct. 21, 1975, as amended at 41 FR 5, Jan. 2, 1976] § 501.8 Appeal of initial denial of a re quest for amendment or correction. (a) The initial denial of a request for amendment or correction may be ap pealed by submitting to the Director the following appeal papers: (1) A copy of the original request for amendment or correction; (2) A copy of the initial denial; and (3) A precise statement of the reasons for the individual’s belief that the de nial is in error, referring specifically to the criteria contained in § 501.7(c)(1) through (8). The appeal must be signed by the indi vidual. While these papers normally will constitute the entire Record on Appeal, the Director may add addi tional information, from sources other than the individual, where necessary to facilitate a final determination. Any such additional information added to the record shall promptly be disclosed to the individual to the greatest extent possible, and an opportunity for com ment thereon shall be afforded prior to the final determination. Appeals should be submitted to the Director within 90 days after the date of the ini tial denial. (b) The Director shall issue a final determination on appeal within thirty days (excluding Saturdays, Sundays, and legal public holidays) from the date on which a completed Record on Appeal (including any additional infor mation deemed necessary) is received. Review, and final determination by the Director, shall be based upon the cri teria specified in § 501.7(c)(1) through (8). (c) If the appeal is resolved favorably to the individual, the final determina tion shall specify the amendments or corrections to be made. Copies of the final determination shall be trans mitted promptly to the individual and to the Privacy Officer. The Privacy Of ficer shall make the requested amend ment or correction and advise the indi vidual in writing of such action. (d) If the appeal is denied, the final determination shall state, with par ticularity, the reasons for denial, in cluding a citation to an appropriate section of the Act and of these Rules. The final determination shall be for warded promptly to the individual, to gether with a notice which shall inform 439 Marine Mammal Commission § 510.4 the individual of his or her right to submit to the Privacy Officer, for in clusion in the record, a concise state ment of grounds for disagreement with the final determination. Receipt of any such statement shall be acknowledged by the Privacy Officer, and all subse quent and prior users of the record shall be provided copies of the state ment. The notice shall also inform the individual of his or her right, under 5 U.S.C. 552a(g)(1), to obtain judicial re view of the final determination. [40 FR 49276, Oct. 21, 1975, as amended at 41 FR 5, Jan. 2, 1976] § 501.9 Fees. A fee of $0.10 shall be charged for each copy of each page of a record made, by photocopy or similar process, at the request of an individual. No fee shall be charged for copies made at the initiative of the Commission incident to granting access to a record. A total copying fee of $2.00 or less may be waived by the Privacy Officer, but fees for all requests made contempora neously by an individual shall be ag gregated to determine the total fee. [41 FR 5, Jan. 2, 1976] PART 510—IMPLEMENTATION OF THE FEDERAL ADVISORY COM MITTEE ACT Sec. 510.1 Purpose. 510.2 Scope. 510.3 Definitions. 510.4 Calling of meetings. 510.5 Notice of meetings. 510.6 Public participation. 510.7 Closed meetings. 510.8 Minutes. 510.9 Uniform pay guidelines. AUTHORITY: Sec. 8(a), Federal Advisory Committee Act, 5 U.S.C. App. I. SOURCE: 41 FR 3306, Jan. 22, 1976, unless otherwise noted. § 510.1 Purpose. The regulations prescribed in this part set forth the administrative guide lines and management controls for ad visory committees reporting to the Ma rine Mammal Commission. These regu lations are authorized by section 8(a) of the Federal Advisory Committee Act, 5 U.S.C. appendix I. Guidelines and con trols are prescribed for calling of meet ings, notice of meetings, public partici pation, closing of meetings, keeping of minutes, and compensation of com mittee members, their staff and con sultants. § 510.2 Scope. These regulations shall apply to the operation of advisory committees re porting to the agency. § 510.3 Definitions. For the purposes of this part, (a) The term Act means the Federal Advisory Committee Act, 5 U.S.C. ap pendix I; (b) The term Chairperson means each person selected to chair an advisory committee established by the Commis sion; (c) The term Commission means the Marine Mammal Commission, estab lished by 16 U.S.C. 1401(a); (d) The term committee means any ad visory committee reporting to the Commission; and (e) The term Designee means the agency official designated by the Chairman of the Commission (1) to per form those functions specified by sec tions 10(e) and (f) of the Act, and (2) to perform such other responsibilities as are required by the Act and applicable regulations to be performed by the ‘‘agency head.’’ § 510.4 Calling of meetings. (a) No committee shall hold any meeting except with the advance ap proval of the Designee. Requests for ap proval may be made, and approval to hold meetings may be given orally or in writing, but if approval is given orally, the fact that approval has been given shall be stated in the public no tice published pursuant to § 510.5 of these regulations. (b) An agenda shall be submitted to, and must be approved by, the Designee in advance of each committee meeting, and that meeting shall be conducted in accordance with the approved agenda. The agenda shall list all matters to be considered at the meeting, and shall in dicate when any part of the meeting will be closed to the public on the au thority of exemptions contained in the