1.26—Procedures for notification and access to records pertaining to individuals—format and fees for request for access.
(a) Procedures for notification and access.
Each component shall
establish, in accordance with the requirements of 5 U.S.C. 553, and set forth in the
appendix to this subpart applicable to such component procedures whereby an
individual can be notified, in response to a request, if any system of records named
by the individual contains a record pertaining to that individual. In addition, such
procedures shall set forth the requirements for access to such records. As a minimum
such procedures shall specify the times during, and the places at which access will
be accorded, together with such identification as may be required of the individual
before access. (See 5 U.S.C. 552a(f) (1), (2) and (3))
(b) Access.
Each component in accordance with the procedures
prescribed under paragraph (a) of this section, shall allow an individual to gain
access to records or to any information pertaining to such individual which is
contained in the system of records upon request. The individual shall be permitted
to review the record and have a copy made of all or any portion of the record in a form that is comprehensible. The individual will also be
permitted to be accompanied by any person of the individual's choosing to review the
record, except that the agency may require the individual to furnish a written
statement authorizing discussion of that individual's record in the accompanying
person's presence. (See 5 U.S.C. 552a(d)(1) )
(c) Exceptions.
Neither the procedures prescribed under paragraph (a)
of this section nor the requirements for access under paragraph (b) of this section
shall be applicable to—(1) systems of records exempted pursuant to 5 U.S.C. 552a (j)
and (k) and § 1.23(c); (2) information compiled in reasonable anticipation of a
civil action or proceeding (See 5 U.S.C. 552(d)(5) ); or (3) information pertaining
to an individual which is contained in, and inseparable from, another individual's
record.
(i)
Be made in writing and signed by the person making the request, who must be the
individual about whom the record is maintained, or such individual's duly authorized
representative (See § 1.34 );
(ii)
State that it is made pursuant to the Privacy Act, 5 U.S.C. 552a or these
regulations, have marked “Privacy Act Request” on the request and on the
envelope;
(iii)
Give the name of the system or subsystem or categories of records to which
access is sought, as specified in “Privacy Act Issuances” published by the Office of
the Federal Register and referenced in the appendices to this subpart;
(iv)
Describe the nature of the record(s) sought in sufficient detail to enable
Department personnel to locate the system of records containing the record with a
reasonable amount of effort. Whenever possible, a request for access should describe
the nature of the record sought, the date of the record or the period in which the
record was compiled.
(v)
Provide such identification of the requester as may be specified in the
appropriate appendix to this subpart; and
(vi)
Be addressed or delivered in person to the office or officer of the component
indicated for the particular system or subsystem or categories of records the
individual wishes access to, as specified in “Privacy Act Issuances” published by
the Office of the Federal Register and referenced in the appendices to this subpart.
Assistance in ascertaining the appropriate component or in preparing a request for
notification may be obtained by a written request to this effect addressed as
specified in Appendix A of this part, as the address for the Departmental Offices
for “Request for notification and access to records and accountings of
disclosures”.
(2)
(a)
est for access to records shall, in addition to complying with paragraph
(a)(1)(i) through (vi) of this section:
(i)
State whether the requester wishes to inspect the records or desires to have a
copy made and furnished without first inspecting them;
(ii)
If the requester desires to have a copy made, state the firm agreement of the
requester to pay the fees for duplication ultimately determined in accordance with
( 31 CFR 1.6) Subpart A of this title, unless such fees are waived pursuant to that
section by the system manager or other appropriate official as indicated in the
appropriate appendix to these regulations; and
(iii)
Comply with any other requirement set forth in the applicable appendix to
this subpart or the “Notice of Records Systems” applicable to the system in
question. Requesters are hereby advised that any request for access which does not
comply with the foregoing requirements and those set forth elsewhere in this Subpart
C, will not be deemed subject to the time constraints of this section, unless and
until amended so as to comply. However, components shall advise the requester in
what respect the request is deficient so that it may be processed. This section
applies only to records which are contained in a system of records and which are in
the possession or control of the component. (See 5 U.S.C. 552a (d) and (f))
(e) Requests for records not in control of component.
(1)
Treasury
employees shall make reasonable efforts to assist an oral requester to ascertain to
which office or officer a written request should be sent. When the
request is for a record which is not in the possession or control of any component
of the Department of the Treasury, the requester shall be so advised.
(2)
Where the record requested was created by a Department or agency other than the
Department of the Treasury or a component of the Department and has been classified
(e.g. National Defense or Intelligence Information) or otherwise restrictively
endorsed (e.g. Office of Personnel Management records of FBI reports) by such other
Department or agency, and a copy is in the possession of a component of the
Department of the Treasury, that portion of the request shall be referred to the
originating agency for determination as to all issues in accordance with the Privacy
Act. In the case of a referral to another agency under this paragraph, the requester
shall be notified that such portion of the request has been so referred and that the
requester may expect to hear from that agency.
(3)
When information sought from a system manager or other appropriate official in
the Department of the Treasury includes information furnished by other Federal
agencies not classified or otherwise restrictively endorsed, the system manager or
other appropriate official receiving the request shall consult with the appropriate
agency prior to making a decision to disclose or not to disclose the record. The
decision as to whether the record shall be disclosed shall be made, in the first
instance by the system manager or other appropriate official maintaining the record.
(See 5 U.S.C. 552a (d) and (f))
(f) Date of receipt of request.
A request for notification or access
to records shall be considered to have been received for purposes of this subpart on
the date on which the requirements of paragraph (d) of this section have been
satisfied. Requests for notification or access to records and any separate agreement
to pay shall be stamped or endorsed with the date of receipt by the receiving
office. The latest of such stamped dates will be deemed to be the date of receipt of
the request for the purposes of this subpart. (See 5 U.S.C. 552a (d) and (f))
(g) Notification of determination—
(1) In general.
Notification of determinations as to notification of whether a record exists or as
to whether to grant access to records requested will be made by the officers
designated in the appendices to this subpart. The notification of the determination
shall be mailed within 30 days (excluding Saturdays, Sundays and legal public
holidays) after the date of receipt of the request, as determined in accordance with
paragraph (f) of this section. If it is not possible to respond within 30 days, the
designated officer shall inform the requester, stating the reason for the delay
(e.g. volume of records requested, scattered location of the records, need to
consult other agencies, or the difficulty of the legal issues involved) and when a
response will be dispatched. (See 5 U.S.C. 552a (d) and (f))
(2) Granting of access.
When it has been determined that the request
for access will be granted—(i) and a copy requested; such copy in a form
comprehensible to the requester shall be furnished promptly, together with a
statement of the applicable fees for duplication; and (ii) and the right to inspect
has been requested, the requester shall be promptly notified in writing of the
determination, and when and where the requested records may be inspected. An
individual seeking to inspect such records may be accompanied by another person of
such individual's choosing. The individual seeking access shall be required to sign
the required form indicating that the Department of the Treasury is authorized to
discuss the contents of the subject record in the accompanying person's presence.
If, after making the inspection, the individual making the request desires a copy of
all or a portion of the requested records, such copy in a form comprehensible to the
individual shall be furnished upon payment of the applicable fees for duplication.
Fees to be charged are as prescribed by 31 CFR part 1, Subpart A, § 1.6 Fees shall
not be charged where they would amount, in the aggregate, to less than $3.00. (See 5
U.S.C. 552a (d) and (f))
(3) Requirements for access to medical records.
When access is
requested to medical records, including psychological records, the responsible
official may determine that such release could have an adverse
effect on the individual and that release will be made only to a physician
authorized in writing to have access to such records by the individual making the
request. Upon receipt of the authorization the physician will be permitted to review
the records or to receive copies of the records by mail, upon proper verification of
identity. (See 5 U.S.C. 552a (f) (3))
(4) Denial of request.
When it is determined that the request for
notification of whether a record exists or access to records will be denied (whether
in whole or part or subject to conditions or exceptions), the person making the
request shall be so notified by mail in accordance with paragraph (g)(1) of this
section. The letter of notification shall specify the city or other location where
the requested records are situated (if known), contain a statement of the reasons
for not granting the request as made, set forth the name and title or position of
the responsible official and advise the individual making the request of the right
to file suit in accordance with 5 U.S.C. 552a (g)(1)(B).
(5) Prohibition against the use of
(c)
ions from disclosure under 5 U.S.C. 552 (b) ( 31 CFR part 1, Subpart A, § 1.2
(c) ), may not be invoked for the purpose of withholding from an individual any
record which is otherwise accessible to such individual under the Privacy Act, 5
U.S.C. 552a and this subpart. (See 5 U.S.C. 552a (q))
(6) Records exempt in whole or in part.
(i)
When an individual
requests notification as to whether a record exists or access to records concerning
the individual which have been exempted from individual access pursuant to 5 U.S.C.
552a (j) or which have been compiled in reasonable anticipation of a civil action or
proceeding in either a court or before an administrative tribunal and the assertion
of the exemption is deemed necessary, the Department of the Treasury will neither
confirm nor deny the existence of the record but shall advise the individual only
that no record available to the individual pursuant to the Privacy Act of 1974 has
been identified.
(ii)
Requests from individuals for access to records which have been exempted from
access pursuant to 5 U.S.C. 552a (k) shall be processed as follows:
(A)
Requests for information classified pursuant to Executive Orders 12958, 13526,
or successor or prior Executive Orders require the responsible component of the
Department to review the information to determine whether it continues to warrant
classification pursuant to an Executive Order. Information which no longer warrants
classification under these criteria shall be declassified and made available to the
individual. If the information continues to warrant classification, the individual
shall be advised that the information sought is classified, that it has been
reviewed and continues to warrant classification, and that it has been exempted from
access pursuant to 5 U.S.C. 552 (b)(1) and 5 U.S.C. 552a (k)(1). Information which
has been exempted pursuant to 5 U.S.C. 552a (j) and which is also classified shall
be reviewed as required by this paragraph but the response to the individual shall
be in the form prescribed by paragraph (g)(6)(i) of this section.
(B)
(g)
ts for information which has been exempted from disclosure pursuant to 5
U.S.C. 552a (k)(2) shall be responded to in the manner provided in paragraph
(g)(6)(i) of this section unless the requester shows that the information has been
used or is being used to deny the individual any right, privilege or benefit for
which he is eligible or to which he would otherwise be entitled under federal law.
In that event, the individual shall be advised of the existence of the information
but such information as would identify a confidential source shall be extracted or
summarized in a manner which protects the source to the maximum degree possible and
the summary extract shall be provided to the requesting individual.
(C)
Information compiled as part of an employee background investigation which has
been exempted pursuant to 5 U.S.C. 552a (k)(5) shall be made available to an
individual upon request except to the extent that it identifies the confidential
source. Material identifying the confidential sources shall be extracted or summarized in a manner which protects the source to the maximum
degree possible and the summary or extract shall be provided to the requesting
individual.
(D)
(d)
g or examination material which has been exempted pursuant to 5 U.S.C.
552a (k)(6) shall not be made available to an individual if disclosure would
compromise the objectivity or fairness of the testing or examination process; but
may be made available if no such compromise possibility exists. (See 5 U.S.C. 552a
(d)(5), (j) and (k)).