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nial recommendation must be concurred in by the appropriate General Counsel.
(1) Where the request is for correction or amendment of records, after reviewing the material the System Manager or Managers shall transmit a recommended decision to the Privacy Act Officer. Any recommendation that the request be granted or wholly or partially denied shall cite the exemption relied on and set forth the policy considerations supporting a denial. Any recommendation of denial must be concurred in by General Counsel.
date of receipt by the System Manager or designee. If a response cannot be made within ten working days, the ap propriate Privacy Act Officer shall send an interim response providing information on the status of the request, including an estimate of the time with in which action is expected to be taken on the request and asking for any further information as may be necessary to respond to the request. Action will be completed as soon as possible, but not later than 20 working days after receipt of the original specific inquiry. In unusual circumstances and for good cause, the appropriate Privacy Act Officer may decide that action cannot be completed within the initial 20 working days. In such case, the appropriate Privacy Act Officer will advise the individual of the reason for the delay and the date (not to exceed an additional 20 working days) by which action can be expected to be completed.
(c) The term unusual circumstances as used in this section includes situations where a search for requested records from inactive storage is necessary; cases where a voluminous amount of data is involved; instances where information on other individuals must be
arated or expunged from the particular record; and cases where consultation with other agencies which have substantial interest in the response to the request is necessary.
(d) Upon receiving a request, the Privacy Act Officer shall ascertain which System Manager or Managers of the DOE have primary responsibility for, custody of, or concern with the system or systems of records subject to the request and shall forward the request to such System Manager or Managers The System Manager or Managers shall promptly identify and, in consultation with the General Counsel, review the records encompassed by the request.
(e) Where the request is for access to or information about records, after reviewing the material the System Manager or Managers concerned shall transmit to the Privacy Act Officer the requested material. The transmission to the Privacy Act Officer shall include any recommendation that the request be granted or wholly or partially denied and shall set forth any exemption categories supporting denials. Any de
8 1008.8 Action in response to a re
quest for access: disclosure of requested information to subject individuals. (a) Consistent with the recommendation of the System Manager and the concurrence of the appropriate General Counsel, the Privacy Act Officer shall provide to the requesting individual the information about or access to a record or information pertaining to the individual contained in a system of records, unless the request is being denied in accordance with $ 1008.9 of this part. The Privacy Act Officer shall notify the individual of such determination and provide the following information:
(1) Whether there is information or a record pertaining to him that is contained in a system of records;
(2) The methods of access as set forth in paragraph (b) of this section;
(3) The place at which the record or information may be inspected;
(4) The earliest date on which the record or information may be inspected and the period of time that the record or information will remain available for inspection. In no event shall the earliest date be later than thirty calendar days from the date of notification.
(5) An indication that copies of the records are enclosed, or the estimated date by which a copy of the record could be mailed and the estimate of fees that would be charged to provide other than the first copy of the record, pursuant to $1008.13.
(6) The fact that the individual, if he wishes, may be accompanied by another person during the in-person re
view of the record or information, pro- the individual. If the individual refuses vided that the individual shall first fur- to designate a physician or mental nish to the Privacy Act Officer a writ- health professional, or to submit a ten statement authorizing disclosure of signed statement from his physician or that individual's record in the accom- mental health professional as provided panying person's presence; and
in paragraphs (c) (1) and (2) of this sec(7) Any additional requirements that tion, the request will be considered demust be satisfied in order to provide in nied, and the appeal rights provided in formation about or to grant access to $1008.11 will be available to the individthe requested record or information.
ual. (b) The following methods of access (d) The Privacy Act Officer shall supto records or information pertaining to
ply such other information and assistan individual and contained in a sys- ance at the time of an individual's retem of records may be available to that view of his record as is necessary to individual depending on the cir
make the record intelligible to the incumstances of a particular request:
dividual. (1) A copy of the record may be en (e) The DOE will, as required by subclosed with the initial response in ac
section (d)(1), assure an individual's cordance with paragraph (a) of this sec
right “to review his or her record and tion;
have a copy made of all or any portion (2) Inspection in person may be ar
thereof in a form comprehensible to ranged during the regular business
him.” However, original records will be hours of the DOE in the office specified
made available to individuals only by the Privacy Act Officer;
under the supervision of the Privacy (3) Transfer of records to a Federal
Act Officer or his designee. Individuals facility more convenient to the indi
will be provided at their request with a vidual may be arranged, but only if the
copy, but not the original, of records Privacy Act Officer determines that a suitable facility is available, that the
pertaining to them. individual's access can be properly su
8 1008.9 Action in response to a repervised at that facility, and that
quest for access: initial denial of actransmittal of the records or informa
cess. tion to that facility will not unduly
(a) A request by an individual for ininterfere with operations of the DOE or
formation about or access to a record involve unreasonable costs, in terms of
or information pertaining to that indimoney or manpower; and (4) The requested number of copies in
vidual that is contained in a system of addition to the initial copy may be
records may be denied only upon a demailed at the request of the individual,
termination by the appropriate System subject to payment of the fees pre
Manager, with the concurrence of the scribed in $1008.13.
appropriate General Counsel, that: (c) If the Privacy Act Officer be- (1) The record is subject to an exemplieves, based upon a recommendation tion under $ 1008.12; of the System Manager and the agen
(2) The record is information comcy's medical officer, that disclosure of piled in reasonable anticipation of a medical and/or psychological informa- civil action or proceeding; or tion directly to an individual could (3) The individual has unreasonably have an adverse effect upon that indie failed to comply with the procedural vidual, the individual may be asked: requirements of this part.
(1) To designate in writing a physi- (b) The Privacy Act Officer shall give cian or mental health professional to written notice of the denial of a rewhom he would like the records to be quest of information about or access to disclosed; or
records or information pertaining to (2) To submit a signed statement by the individual and contained in a syshis physician or a mental health pro tem of records. Such written notice fessional indicating that, in his view, shall be sent by certified or registered disclosure of the requested records or mail, return receipt requested and information directly to the individual shall include the following informawill not have an adverse effect upon tion:
(1) The System Manager's name and ceipt requested, and shall provide the title;
following information: (2) The reasons for the denial, includ- (i) The System Manager's name and ing citation to the appropriate sections title; of the Privacy Act and this part; and
(ii) The reasons for the denial; in(3) Notification of the individual's cluding citation to the appropriate secright to appeal the denial pursuant to tions of the Act and this part; and 81008.11 and to administrative and judi (iii) Notification of the individual's cial review under 5 U.S.C. 552a(g)(1)(B), right to appeal the denial pursuant to as limited by 552a(g)(5).
$1008.11 and to administrative and judi(c) Nothing in this section shall: cial review under 5 U.S.C. 552a(g)(1)(B),
(1) Require the furnishing of informa- as limited by 5 U.S.C. 552a(g)(5). tion or records that are not retrieved (iv) Notification of the right of the by the name or by some other identify- individual to submit a statement of ing number, symbol or identifying par disagreement consistent with ticular of the individual making the re- $1008.11(g). quest;
(d) Whenever an individual's record is (2) Prevent a System Manager from amended pursuant to a request by that waiving any exemption authorizing the individual, the Privacy Act Officer or denial of records, in accordance with the System Manager, as appropriate, 81008.12.
shall notify all persons and agencies to
which the amended portion of the 8 1008.10 Action in response to a re- record had been disclosed prior to its quest for correction or amendment
amendment, if an accounting of such of records.
disclosure was required by the Act. The (a) The Privacy Act Officer must re- notification shall request a recipient spond in writing to the requester for agency maintaining the record to acamendment of a record within 10 work- knowledge receipt of the notification, ing days of receipt. This response shall to correct or amend the record and to inform the requester of the decision apprise an agency or person to which it whenever possible.
had disclosed the record of the sub(b) If the decision cannot be reached stance of the amendment. within 10 working days, the requester (e) The following criteria will be shall be informed of the reason for taken into account by the DOE in redelay and the date (within 20 working viewing a request for amendment: days) it is expected that the decision (1) The sufficiency of the evidence will be made.
submitted by the individual; (c) The Privacy Act Officer, consist (2) The factual accuracy of the inforent with the recommendation of the mation; System Manager or Managers, as con- (3) The relevance and necessity of the curred in by the appropriate General information in relation to the purpose Counsel, if appropriate, shall do one of for which it was collected; the following:
(4) If such information is used in (1) Instruct the System Manager to making any determination about the make the requested correction or individual, whether the information is amendment; and advise the individual as accurate, relevant, timely, and comin writing of such action, providing ei- plete as is reasonably necessary to asther a copy of the corrected or amend- sure fairness to the individual in such ed record, or a statement as to the determination; means whereby the correction or (5) The degree of possibility that deamendment was accomplished in cases nial of the request could unfairly result where a copy cannot be provided (for in a determination adverse to the indiexample, erasure of information from a vidual; record maintained only in an elec- (6) The nature of the record sought to tronic data bank); or
be corrected or amended; and (2) Inform the individual in writing (7) The propriety and feasibility of that his request is denied in whole or complying with the specific means of in part. Such denial shall be sent by amendment requested by the individcertified or registered mail, return re- ual.
(1) The DOE will not undertake to gather evidence for the individual, but does reserve the right to verify the evidence that the individual submits.
(g) Amendment of a record requested by an individual may be denied upon a determination that:
(1) The individual has failed to establish, by a preponderance of the evidence, the propriety of the amendment in relation to the criteria stated in paragraph (c) of this section;
(2) The record sought to be amended was compiled in a terminated judicial, quasi-judicial or quasi-legislative proceeding to which the individual was a party or participant;
(3) The record sought to be amended is the subject of a pending judicial, quasi-judicial or quasi-legislative proceeding to which the individual is a party or participant;
(4) The amendment would violate a duly enacted statute or promulgated regulation;
(5) The individual has unreasonably failed to comply with the procedural requirements of this part; or
(6) The record has been properly exempted from the provisions of subsection (d) of the Act.
(h) Nothing in this section shall restrict the DOE from granting in part or denying in part a request for amendment of records. [45 FR 61577, Sept. 16, 1980; 46 FR 31637, June 17, 1981)
(OPM), 1900 E Street, NW., Washington, DC 20415. All other appeals relating to DOE records shall be directed to the Director, Office of Hearings and Appeals (OHA), Department of Energy, Headquarters, Washington, DC.
(b) An appeal not addressed and marked as specified in paragraph (a) of this section shall be forwarded immediately to the Assistant Director for Agency Compliance and Evaluation, OPM, or the Director, OHA, as appropriate. An appeal that is not properly addressed by an individual shall not be deemed to have been received for purposes of time periods in this section until actual receipt of the appeal by the Assistant Director, OPM, or the Director, OHA. In each instance when an appeal so forwarded is received, the individual filing the appeal shall be notified that the appeal was improperly addressed and the date when the appeal was received by the Assistant Director, OPM, or the Director, OHA.
(c) The appeal shall include the following:
(1) A copy of the original request for access or for amendment;
(2) A copy of the initial denial; and
(3) A statement of the reasons why the initial denial is believed to be in error.
(d) The records or record to which the individual was denied access, or which was requested to be corrected or amended, will be supplied to the appropriate appeal authority by the Privacy Act Officer who issued the initial denial. While such records normally will comprise the entire record on appeal, the appeal authority may seek such additional information as is necessary to assure that the final determination is fair and equitable.
(e) No personal appearance or hearing on appeal will be allowed.
(f) The appropriate appeal authority for DOE records shall act upon the appeal and issue a final determination in writing no later than 20 working days from the date on which the appeal is received. However, the appeal authority may extend the ten-day period upon a determination that a fair and equitable review cannot be made within that period. In such cases the individual shall be advised in writing of the reason for the extension and of the es
$1008.11 Appeals of denials of re
quests pursuant to g 1008.6. (a) Any individual may appeal the denial of a request made by him for information about or for access to or correction or amendment of records. An ap peal shall be filed within 30 calendar days after receipt of the denial. When an appeal is filed by mail, the postmark is conclusive as to timeliness. The appeal shall be in writing and must be signed by the individual. The words "PRIVACY ACT APPEAL” should appear in capital letters on the envelope and the letter. Appeals of denials relating to records maintained in government-wide systems of records reported by the OPM, shall be filed, as appropriate, with the Assistant Director for Agency Compliance and Evaluation, Office of Personnel Management
timated date by which a final deter- puted record and that a copy of the mination will be issued. The final de statement will be provided by the Pritermination shall be issued not later vacy Act Officer or the System Manthan the 30th working day after receipt ager, as appropriate, to persons and of the appeal unless unusual cir- agencies to which the record is discumstances, as defined in $1008.7, are closed subsequent to the date of receipt present, whereupon an additional 30 of such statement; days may be extended.
(iii) An indication that the DOE shall (g) If an appeal of a denial of access append to any disagreement statement is granted, a copy of the determination filed by the individual a copy of the shall be transmitted promptly to the final determination or a summary individual, the Privacy Act Officer and thereof, which determination or sumthe appropriate System Manager. Upon mary also will be provided to persons receipt of the determination, the Pri and agencies to which the disagreevacy Act Officer promptly shall take
ment statement is disclosed; and, action consistent with $1008.8.
(iv) A statement of the right of the (h) If an appeal of a denial of correc
individual to administrative and judition or amendment is granted, the final
cial review under 5 U.S.C. 552a(g)(1)(B), determination shall identify the spe
as limited by 5 U.S.C. 552a(g)(5). cific corrections or amendments to be
(2) Although a copy of the final determade. A copy of the determination
mination or a summary thereof will be shall be transmitted promptly to the
treated as part of the individual's individual, the Privacy Act Officer and
record for purposes of disclosure in inthe appropriate System Manager. Upon
stances where the individual has filed a receipt of the determination, the Pri
disagreement statement, it will not be vacy Act Officer promptly shall take
subject to correction or amendment by steps to insure that the actions set
the individual. forth in $1008.10 (a) and (b) are taken.
(3) Where an individual files a state(1) If the appeal of a denial of access is denied, the final determination shall
ment of disagreement consistent with state the reasons for the denial and
paragraph (j)(1) of this section, the Pri
vacy Act Officer shall take steps to inshall be transmitted promptly to the
sure that the actions provided in paraindividual, the Privacy Act Officer and
graphs (j)(1) (1), (ii) and (iii) of this secthe appropriate System Manager. The determination shall also include a
tion are taken. statement identifying the right of the
$ 1008.12 Exemptions. individual to administrative and judicial review pursuant to 5 U.S.C. (a) General exemptions—(1) Generally. 5 552a(g)(1)(B) as limited by 5 U.S.C. U.S.C. 552a(i)(2) allows the exemption 552a(g)(5).
of any system of records within the (j) If the appeal of a denial of correc
DOE from any part of section 552a extion or amendment is denied, the final cept subsections (b), (c)(1) and (2). determination shall state the reasons (e)(4)(A) through (F) (e)(6), (7), (9), (10), for the denial and shall be transmitted and (11), and (i) of the Act if the system promptly to the individual, the Privacy of records is maintained by a DOE comAct Officer and the appropriate System
ponent which performs as its principal Manager.
function any activity pertaining to the (1) The determination also shall in enforcement of criminal laws, includclude the following:
ing police efforts to prevent, control, (1) Notice of the right of the individ or reduce crime or to apprehend crimiual to file with the Privacy Act Officer nals, and which consists of: a concise, signed statement of reasons (i) Information compiled for the purfor disagreeing with the final deter- pose of identifying individual criminal mination, receipt of which statement offenders and alleged offenders; will be acknowledged by the Privacy (ii) Information compiled for the purAct Officer.
pose of a criminal investigation, in(ii) An indication that any disagree- cluding reports of informants and inment statement filed by the individual vestigators, and associated with an will be noted and appended to the dis- identifiable individual; or