[Federal Register Volume 65, Number 249 (Wednesday, December 27, 2000)]
[Proposed Rules]
[Pages 81810-81812]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-32948]
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CHEMICAL SAFETY AND HAZARD INVESTIGATION BOARD
40 CFR Part 1602
Privacy Act of 1974; Implementation
AGENCY: Chemical Safety and Hazard Investigation Board.
ACTION: Proposed rule.
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SUMMARY: The Chemical Safety and Hazard Investigation Board proposes to
adopt regulations for handling requests made under the Privacy Act. The
Privacy Act requires Federal agencies to create regulations
establishing procedures for its implementation. These regulations will
ensure the proper handling and preservation of agency records subject
to the Privacy Act.
DATES: Submit comments on or before January 26, 2001.
ADDRESSES: Address all comments concerning this proposed rule to
Christopher Kirkpatrick, Chemical Safety and Hazard Investigation
Board, 2175 K Street, NW., Suite 400, Washington, DC 20037-1809.
FOR FURTHER INFORMATION CONTACT: Christopher Kirkpatrick, 202-261-7619.
SUPPLEMENTARY INFORMATION: These proposed regulations implement the
Privacy Act of 1974, 5 U.S.C. 552a. The Board proposes the following
set of regulations to discharge its responsibilities under the Privacy
Act. The Privacy Act establishes: basic procedures for individuals'
access to all records in systems of records maintained by the Chemical
Safety and Hazard Investigation Board (``CSB'' or ``Board'') that are
retrieved by an individual's name or personal identifier. These
proposed rules describe the procedures by which individuals may request
access to records about themselves, request amendment or correction of
those records, and request an accounting of disclosures of those
records by the CSB. The Board invites comments from interested groups
and members of the public on these proposed regulations.
Regulatory Flexibility Act
The Board, in accordance with the Regulatory Flexibility Act, 5
U.S.C. 605(b), has reviewed this proposed regulation and by approving
it certifies that this regulation will not have a significant economic
impact on a substantial number of small entities.
Unfunded Mandates Reform Act of 1995
This rule will not result in the expenditure by State, local, and
tribal governments, in the aggregate, or by the private sector, of
$100,000,000 or more in any one year, and it will not significantly or
uniquely affect small governments. Therefore, the Board did not deem
any action necessary under the provisions of the Unfunded Mandates
Reform Act of 1995, Pub. L. 104-4, 109 Stat. 48.
List of Subjects in 40 CFR Part 1602
Administrative practice and procedure, Privacy.
For the reasons set forth in the preamble, the Chemical Safety and
Hazard Investigation Board proposes to add a new 40 CFR Part 1602 to
read as follows:
PART 1602--PROTECTION OF PRIVACY AND ACCESS TO INDIVIDUAL RECORDS
UNDER THE PRIVACY ACT OF 1974
Sec.
1602.1 General provisions.
1602.2 Requests for access to records.
1602.3 Responsibility for responding to requests for access to
records.
1602.4 Responses to requests for access to records.
1602.5 Appeals from denials of requests for access to records.
1602.6 Requests for amendment or correction of records.
1602.7 Requests for accountings of record disclosures.
1602.8 Preservation of records.
1602.9 Fees.
1602.10 Notice of court-ordered and emergency disclosures.
Authority: 5 U.S.C. 552a, 553; 42 U.S.C. 7412 et seq.
Sec. 1602.1 General provisions.
(a) Purpose and scope. This part contains the rules that the
Chemical Safety and Hazard Investigation Board (``CSB'' or ``Board'')
follows under the Privacy Act of 1974, 5 U.S.C. 552a. These rules
should be read together with the Privacy Act, which provides additional
information about records maintained on individuals. The rules in this
part apply to all records in systems of records maintained by the CSB
that are retrieved by an individual's name or personal identifier. They
describe the procedures by which individuals may request access to
records about themselves, request amendment or correction of those
records, and request an accounting of disclosures of those records by
the CSB. In addition, the CSB processes all Privacy Act requests for
access to records under the Freedom of Information Act (FOIA), 5 U.S.C.
552, following the rules contained in part 1601 of this chapter, which
gives requests the benefit of both statutes.
(b) Definitions. As used in this part:
Requester means an individual who makes a request for access, a
request for amendment or correction, or a request for an accounting
under the Privacy Act.
Request for access to a record means a request made as described in
subsection (d)(1) of the Privacy Act, 5 U.S.C. 552a.
Request for amendment or correction of a record means a request
made as described in subsection (d)(2) of the Privacy Act, 5 U.S.C.
552a.
Request for an accounting means a request made as described in
subsection (c)(3) of the Privacy Act, 5 U.S.C. 552a.
Sec. 1602.2 Requests for access to records.
(a) How made and addressed. You may make a request for access to a
CSB record about yourself by appearing in person or by writing to the
CSB. Your request should be sent or delivered to the CSB's General
Counsel, at 2175 K Street, NW, 4th Floor, Washington, DC 20037. For the
quickest possible handling, you should mark both your request letter
and the envelope ``Privacy Act Request.''
[[Page 81811]]
(b) Description of records sought. You must describe the records
that you want in enough detail to enable CSB personnel to locate the
system of records containing them with a reasonable amount of effort.
Whenever possible, your request should describe the records sought, the
time periods in which you believe they were compiled, and the name or
identifying number of each system of records in which you believe they
are kept. The CSB publishes notices in the Federal Register that
describe its systems of records. A description of the CSB's systems of
records also may be found as part of the ``Privacy Act Compilation''
published by the National Archives and Records Administration's Office
of the Federal Register. This compilation is available in most large
reference and university libraries. This compilation also can be
accessed electronically at the Government Printing Office's World Wide
Web site (which can be found at http://www.access.gpo.gov/su__docs).
(c) Agreement to pay fees. If you make a Privacy Act request for
access to records, it shall be considered an agreement by you to pay
all applicable fees charged under Sec. 1602.9 up to $25.00. The CSB
ordinarily will confirm this agreement in an acknowledgment letter.
When making a request, you may specify a willingness to pay a greater
or lesser amount.
(d) Verification of identity. When you make a request for access to
records about yourself, you must verify your identity. You must state
your full name, current address, and date and place of birth. 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. In
order to help the identification and location of requested records, you
may also, at your option, include your social security number.
(e) Verification of guardianship. When making a request as the
parent or guardian of a minor or as the guardian of someone determined
by a court to be incompetent, for access to records about that
individual, you must establish:
(1) The identity of the individual who is the subject of the
record, by stating the name, current address, date and place of birth,
and, at your option, the social security number of the individual;
(2) Your own identity, as required in paragraph (d) of this
section;
(3) That you are the parent or guardian of that individual, which
you may prove by providing a copy of the individual's birth certificate
showing your parentage or by providing a court order establishing your
guardianship; and
(4) That you are acting on behalf of that individual in making the
request.
Sec. 1602.3 Responsibility for responding to requests for access to
records.
(a) In general. In determining which records are responsive to a
request, the CSB ordinarily will include only those records in its
possession as of the date the CSB begins its search for them. If any
other date is used, the CSB will inform the requester of that date.
(b) Authority to grant or deny requests. The CSB's General Counsel,
or his/her designee, is authorized to grant or deny any request for
access to a record of the CSB.
(c) Consultations and referrals. When the CSB receives a request
for access to a record in its possession, it will determine whether
another agency of the Federal Government is better able to determine
whether the record is exempt from access under the Privacy Act. If the
CSB determines that it is best able to process the record in response
to the request, then it will do so. If the CSB determines that it is
not best able to process the record, then it will either:
(1) Respond to the request regarding that record, after consulting
with the agency best able to determine whether the record is exempt
from access and with any other agency that has a substantial interest
in it; or
(2) Refer the responsibility for responding to the request
regarding that record to another agency that originated the record (but
only if that agency is subject to the Privacy Act). Ordinarily, the
agency that originated a record will be presumed to be best able to
determine whether it is exempt from access.
(d) Notice of referral. Whenever the CSB refers all or any part of
the responsibility for responding to your request to another agency, it
ordinarily will notify you of the referral and inform you of the name
of each agency to which the request has been referred and of the part
of the request that has been referred.
(e) Timing of responses to consultations and referrals. All
consultations and referrals shall be handled according to the date the
Privacy Act access request was initially received by the CSB, not any
later date.
Sec. 1602.4 Responses to requests for access to records.
(a) Acknowledgments of requests. On receipt of your request, the
CSB ordinarily will send an acknowledgment letter, which shall confirm
your agreement to pay fees under Sec. 1602.2(c) and may provide an
assigned request number for further reference.
(b) Grants of requests for access. Once the CSB makes a
determination to grant your request for access in whole or in part, it
will notify you in writing. The CSB will inform you in the notice of
any fee charged under Sec. 1602.9 and will disclose records to you
promptly on payment of any applicable fee. If your request is made in
person, the CSB may disclose records to you directly, in a manner not
unreasonably disruptive of its operations, on payment of any applicable
fee and with a written record made of the grant of the request. If you
are accompanied by another person when you make a request in person,
you shall be required to authorize in writing any discussion of the
records in the presence of the other person.
(c) Adverse determinations of requests for access. If the CSB makes
an adverse determination denying your request for access in any
respect, it will notify you of that determination in writing. Adverse
determinations, or denials of requests, consist of: a determination to
withhold any requested record in whole or in part; a determination that
a requested record does not exist or cannot be located; a determination
that what has been requested is not a record subject to the Privacy
Act; a determination on any disputed fee matter; and a denial of a
request for expedited treatment. The notification letter shall be
signed by the General Counsel, or his/her designee, and shall include:
(1) The name and title or position of the person responsible for
the denial;
(2) A brief statement of the reason(s) for the denial, including
any Privacy Act exemption(s) applied by the CSB in denying the request;
and
(3) A statement that the denial may be appealed under
Sec. 1602.5(a) and a description of the requirements of Sec. 1602.5(a).
Sec. 1602.5 Appeals from denials of requests for access to records.
(a) Appeals. If you are dissatisfied with the CSB's response to
your request for access to records, you may appeal an adverse
determination denying your request in any respect to the Privacy Act
Appeals Officer of the CSB, 2175 K Street, NW., Suite 400, Washington,
DC 20037. You must make your appeal in writing, and it must be received
within 60 days of the date of the letter denying your request. Your
appeal letter may include as much or as little related information as
you wish, as long as it clearly identifies the determination (including
the assigned request number,
[[Page 81812]]
if any) that you are appealing. For the quickest possible handling, you
should mark both your appeal letter and the envelope ``Privacy Act
Appeal.''
(b) Responses to appeals. The decision on your appeal will be made
in writing. A decision affirming an adverse determination in whole or
in part will include a brief statement of the reason(s) for the
affirmance, including any Privacy Act exemption applied, and will
inform you of the Privacy Act provisions for court review of the
decision. If the adverse determination is reversed or modified on
appeal in whole or in part, you will be notified in a written decision
and your request will be reprocessed in accordance with that appeal
decision.
(c) When appeal is required. If you wish to seek review by a court
of any adverse determination or denial of a request, you must first
appeal it under this section.
Sec. 1602.6 Requests for amendment or correction of records.
(a) How made and addressed. You may make a request for amendment or
correction of a CSB record about yourself by following the procedures
in Sec. 1602.2. Your request should identify each particular record in
question, state the amendment or correction that you want, and state
why you believe that the record is not accurate, relevant, timely, or
complete. You may submit any documentation that you think would be
helpful.
(b) CSB responses. Within ten working days of receiving your
request for amendment or correction of records, the CSB will send you a
written acknowledgment of its receipt of your request, and it will
promptly notify you whether your request is granted or denied. If the
CSB grants your request in whole or in part, it will describe the
amendment or correction made and advise you of your right to obtain a
copy of the corrected or amended record. If the CSB denies your request
in whole or in part, it will send you a letter stating:
(1) The reason(s) for the denial; and
(2) The procedure for appeal of the denial under paragraph (c) of
this section, including the name and business address of the official
who will act on your appeal.
(c) Appeals. You may appeal a denial of a request for amendment or
correction in the same manner as a denial of a request for access to
records (see Sec. 1602.5), and the same procedures will be followed. If
your appeal is denied, you will be advised of your right to file a
Statement of Disagreement as described in paragraph (d) of this section
and of your right under the Privacy Act for court review of the
decision.
(d) Statements of Disagreement. If your appeal under this section
is denied in whole or in part, you have the right to file a Statement
of Disagreement that states your reason(s) for disagreeing with the
CSB's denial of your request for amendment or correction. Statements of
Disagreement must be concise, must clearly identify each part of any
record that is disputed, and should be no longer than one typed page
for each fact disputed. Your Statement of Disagreement must be sent to
the CSB, which will place it in the system of records in which the
disputed record is maintained and will mark the disputed record to
indicate that a Statement of Disagreement has been filed and where in
the system of records it may be found.
(e) Notification of amendment/correction or disagreement. Within 30
working days of the amendment or correction of a record, the CSB shall
notify all persons, organizations, or agencies to which it previously
disclosed the record, if an accounting of that disclosure was made,
that the record has been amended or corrected. If an individual has
filed a Statement of Disagreement, the CSB will attach a copy of it to
the disputed record whenever the record is disclosed and may also
attach a concise statement of its reason(s) for denying the request to
amend or correct the record.
Sec. 1602.7 Requests for an accounting of record disclosures.
(a) How made and addressed. Except where accountings of disclosures
are not required to be kept (as stated in paragraph (b) of this
section), you may make a request for an accounting of any disclosure
that has been made by the CSB to another person, organization, or
agency of any record about you. This accounting contains the date,
nature, and purpose of each disclosure, as well as the name and address
of the person, organization, or agency to which the disclosure was
made. Your request for an accounting should identify each particular
record in question and should be made by writing to the CSB, following
the procedures in Sec. 1602.2.
(b) Where accountings are not required. The CSB is not required to
provide accountings to you where they relate to disclosures for which
accountings are not required to be kept--in other words, disclosures
that are made to employees within the agency and disclosures that are
made under the FOIA.
(c) Appeals. You may appeal a denial of a request for an accounting
to the CSB Appeals Officer in the same manner as a denial of a request
for access to records (see Sec. 1602.5) and the same procedures will be
followed.
Sec. 1602.8 Preservation of records.
The CSB will preserve all correspondence pertaining to the requests
that it receives under this part, as well as copies of all requested
records, until disposition or destruction is authorized by Title 44 of
the United States Code or the National Archives and Records
Administration's General Records Schedule 14. Records will not be
disposed of while they are the subject of a pending request, appeal, or
lawsuit under the Privacy Act.
Sec. 1602.9 Fees.
The CSB will charge fees for duplication of records under the
Privacy Act in the same way in which it charges duplication fees under
the FOIA (see part 1601, subpart D of this chapter). No search or
review fee will be charged for any record.
Sec. 1602.10 Notice of court-ordered and emergency disclosures.
(a) Court-ordered disclosures. When a record pertaining to an
individual is required to be disclosed by a court order, the CSB will
make reasonable efforts to provide notice of this to the individual.
Notice will be given within a reasonable time after the CSB's receipt
of the order--except that in a case in which the order is not a matter
of public record, the notice will be given only after the order becomes
public. This notice will be mailed to the individual's last known
address and will contain a copy of the order and a description of the
information disclosed.
(b) Emergency disclosures. Upon disclosing a record pertaining to
an individual made under compelling circumstances affecting health or
safety, the CSB will notify that individual of the disclosure. This
notice will be mailed to the individual's last known address and will
state the nature of the information disclosed; the person,
organization, or agency to which it was disclosed; the date of
disclosure; and the compelling circumstances justifying the disclosure.
Dated: December 19, 2000.
Christopher W. Warner,
General Counsel.
[FR Doc. 00-32948 Filed 12-26-00; 8:45 am]
BILLING CODE 6350-01-U