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Subpart 1212.1-Basic Policy

Sec. 1212.402 Access to disclosure accounting. 1212.403 Review of records for accuracy. 1212.404 Notification of disclosure under

compulsory legal process. 1212.405 Notification to prior recipients of

corrected or disputed records.

Subpart 1212.5—Access to Records

1212.500 Requests for access or general in

formation. 1212.501 Right of access. 1212.502 Identification procedures. 1212.503 Fee schedule. 1212.504 Procedures for responding to re

quests for access. 1212.505 Medical records. 1212.506 Test materials. 1212.507 Release of records of deceased in


8 1212.100 Scope of part.

This Part 1212 implements the Privacy Act of 1974, as amended (5 U.S.C. 552a; referred to as the Privacy Act), and establishes the policies, responsibilities, and procedures for the collection, maintenance, use and dissemination by the National Aeronautics and Space Administration (NASA) of personal information contained in a NASA system of records. This part also establishes procedures for a subject individual to have access to and request correction of information in a record. This part applies to systems of records located at or under the cognizance of NASA Headquarters, NASA Field Installations, and NASA Component Installations, as defined in Part 1201.

Subpart 1212.6-Corrections and Amendments

to Records and Appeals

1212.600 Requests for correction or amend

ment of a record. 1212.601 Procedures and time limits for

making initial determinations on re

quests to correct or amend. 1212.602 Procedures and time limits for ap

peals. 1212.603 Action on appeals. 1212.604 Procedures for appeal of adverse

determinations involving records of

other agencies. 1212.605 Time extensions for good cause

shown. 1212.606 Correction or amendment of

record. 1212.607 Statements of dispute. 1212.608 Disclosure of disputed informa


Subpart 1212.7—Exemptions 1212.700 Exemptions. 1212.701 Systems of records for which ex

emptions apply.

8 1212.101 Definitions.

For the purposes of this part, the following definitions shall apply in addition to definitions contained in the Privacy Act:

(a) The term record means any item, collection, or grouping of information about an individual including, but not limited to, education, financial transactions, medical history, and criminal or employment history, and that contains a name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print or a photograph. With the exception of photographs, identifiers alone do not constitute a record.

(b) The term system of records means a group of any records from which information is retrieved by the name of the indivudual or by some identifying number, symbol or other identifying particular assigned to the individual.

(c) The term system manager means the NASA official who is responsible for a system of records as designated in the system notice of that system of records published in the FEDERAL REGISTER. When a system of records includes portions located at more than one NASA installation, the term system manager includes any subsystem manager designated in the system

Subpart 1212.8—Failure to comply with

Requirements of this part 1212.800 Civil remedies. 1212.801 Criminal penalties.

AUTHORITY: The National Aeronautics and Space Act of 1958, as amended, 72 Stat. 429, 42 U.S.C. 2473; The Privacy Act of 1974, 88 Stat. 1896, 5 U.S.C. 552a.

SOURCE: 44 FR 54994, Sept. 24, 1979, unless otherwise noted.

notice as being responsible for that Subpart 1212.2–Requirements for portion of the system of records locat

Maintaining Systems of Records ed at the respective installation.

(d) The term routine use means, 81212.200 Publication of annual system with respect to the disclosure of a notices. record, the use of the record for a pur

(a) A system notice for each NASA pose which is compatible with the pur

system of records shall be published pose for which it was collected. Disclo

annually in the FEDERAL REGISTER in sure of a record to those officers and

the format prescribed by the Office of employees of NASA who have a need

Management and Budget and the for the record in the performance of

General Services Administration. their duties shall not be regarded as a

(b) In accordance with reporting reroutine use.

quirements issued by the Office of (e) The term NASA employee or

Management and Budget, NASA shall NASA official, particularly for the pur

provide to Congress and the Office of pose of $ 1212.400(b)(1) relating to the

Management and Budget advance disclosure of a record to those who

notice of any proposal to establish or have a need for the record in the per

significantly alter any NASA system formance of their duties, includes em

of records. ployees of a NASA contractor which operates or maintains a NASA system 8 1212.201 System of records of other of records for or on behalf of NASA.

agencies under NASA's control. (f) The term NASA information

(a) The procedures concerning maincenter refers to information centers es

tenance of and access to records of tablished to facilitate public access to

other agencies under NASA's control NASA records under Part 1206. See

shall normally be governed by the reg$ 1206.401 for the address of each

ulations of the agency publishing the NASA information center.

system notice for the particular 81212.102 General policy.

system of records.

(b) Any system of records mainIn compliance with the Privacy Act tained by NASA which is in addition and in accordance with the require to or substantially different from ments and procedures of this part, those of a government-wide nature deNASA has an obligation to:

scribed in the notice published by an(a) Permit an individual to deter- other agency shall be regarded as a mine whether there are records per NASA system of records subject to the taining to the individual in a system of requirements of this part, and the records maintained by NASA;

NASA system notice shall include a (b) Permit an individual to prevent reference to the system notice of the records pertaining to the indivudual other agency. obtained by NASA and placed in a system of records for a particular pur- 8 1212.202 Requirements for maintaining pose from being used or made avail

systems of records. able for another purpose without the In maintaining systems of records, individual's consent;

the following requirements shall be (c) Permit an individual to gain met: access to information about the indi (a) Maintain only information about vidual in a NASA system of records, to an individual relevant and necessary have a copy made, and, if appropriate to accomplish a purpose or to carry under Subpart 1212.6, to correct or out a function of NASA authorized by amend the records; and

law or by Executive Order of the (d) Maintain any record in a system President. of records only for a necessary and (b) Maintain records used by NASA lawful purpose, assure that the infor- officials in making any determination mation is current and accurate, and about any individual with such accuraprovide adequate safeguards to pre- cy, relevance, timeliness, and comvent misuse of the information.

pleteness reasonably necessary to

assure fairness to the individual in cluding, if appropriate, home addressmaking the determination.

es and telephone numbers. These lists (c) Maintain no record describing are not NASA systems of records for how an individual exercises rights the purposes of this part. guaranteed by the First Amendment

(b) NASA will not sell, rent or otherto the U.S. Constitution unless ex

wise disclose mailing lists to anyone pressly authorized by statute or by the

except for official purposes of NASA, individual, or unless required by an au

unless otherwise required by law. thorized law enforcement activity. 8 1212.203 Requirements for collecting in

$ 1212.205 Social security account numformation.

bers. In collecting information for systems

(a) It is unlawful for NASA to deny of records, the following requirements

an individual any right, benefit, or shall be met:

privilege provided by law because of (a) Information shall be collected to the individual's refusal to disclose the the greatest extent practicable direct individual's social security account ly from the individual, particularly number, except where: when the information may result in (1) The disclosure is required by law; adverse determinations about the indi. or vidual's rights, benefits, and privileges (2) The disclosure is from a system under Federal programs. Exceptions of records in existence and operating to this policy may be made under cer- before January 1, 1975, and was retain circumstances, such as one of the

quired under statute or regulation following:

adopted before that date to verify the (1) There is need to verify the accu

identity of the individual. racy of information supplied by an in

(b) Any time an individual is redividual.

quested to disclose the social security (2) The information can only be obtained from a third party.

account number, the official request(3) There is no risk that information

ing the disclosure shall indicate collected from third parties, if inaccu

whether that disclosure is mandatory rate, could result in an adverse deter

or voluntary, by what authority the mination to the individual concerned.

number is requested, and what uses (4) Provisions are made to verify will be made of it. with the individual information collected from a third party.

8 1212.206 Safeguarding information in (b) Each individual who is asked to systems of records. supply information shall be informed (a) Safeguards appropriate for a of the following:

NASA system of records shall be de(1) The authority (whether granted

veloped by the system manager in a by statute, or by Executive Order of

written plan approved by the installathe President) for requesting the in

tion Security Officer. formation; (2) Whether disclosure is mandatory

(b) When records or copies of

records are distributed to persons or voluntary;

other than those having custody of (3) The intended official use of the information;

the systems of records, they shall be (4) The routine uses which may be

prominently identified as records promade of the information, as published

tected under the Privacy Act and shall in the system notices;

be subject to the same safeguard, re(5) The effects on the individual, if tention and disposition requirements any, of not providing all or any part of applicable to the system of records. the requested information.

(c) Records that are otherwise re

quired by law to be released to the 8 1212.204 Mailing lists.

public need not be safeguarded or (a) NASA may maintain for official identified as Privacy Act records. The purposes lists of individuals, their ad system notice shall indicate that the dresses and telephone numbers, in records are publicly available.

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81212.207 Duplicate copies of records or 81212.301 Associate Deputy Administraportions of records.

tor. (a) NASA officials may maintain for The Associate Deputy Administrator official purposes duplicate copies of is responsible for: records or portions of records from a (a) Making final agency determinasystem of records for use within their tions on appeals (8 1212.603); organizational unit. This practice (b) Authorizing exemptions should occur only where there are jus- & 1212.700); and tifiable organizational needs for it,

(c) Authorizing an extension of up to e.g., where geographic distances make 30 work days for making a final deteruse of the system of records time con- mination on an appeal (8 1212.605). suming or inconvenient. These duplicate copies shall not be considered a 8 1212.302 Associate Administrator for separate NASA system of records. For

Management. example, an office head or designee

(a) The Associate Administrator for may keep duplicate copies of person

Management is responsible for the folnel, training, or similar records on employees within the organization for ad.

lowing: ministrative convenience purposes.

(1) Providing overall supervision and (b) No disclosure shall be made from

coordination of NASA's policies and duplicate copies outside of the organic

procedures under this part; zational unit. Any outside request for

(2) Approving system notices for disclosure shall be referred to the ap

publication in the FEDERAL REGISTER; propriate system manager for re

(3) Assuring that NASA employees sponse.

and officials are informed of their re(c) Duplicate copies are subject to

sponsibilities and that they receive apthe same safeguard requirements ap

propriate training for the implementaplicable to the system of records.

tion of these requirements; and

(4) Preparing and submitting the Subpart 1212.3—Authority and

annual and special reports required

under this part, including establishing Responsibilities

appropriate reporting procedures. 8 1212.300 NASA employees.

(b) The Associate Administrator for

Management may establish a position (a) Each NASA employee is reponsi

of "NASA Privacy Officer” or desigble for adhering to the requirements

nate someone to function as such an of the Privacy Act and this part.

officer, reporting directly to the Asso(b) An employee shall not seek or

ciate Administrator for Management, obtain access to a record in a NASA

and delegate to that officer any of the system of records or to copies of any

functions described in paragraph (a) portion of such records under false

of this section. pretenses. Only those employees with an official “need to know” may seek [44 FR 54994, Sept. 24, 1979, as amended at and obtain access to records pertaining 47 FR 50467, Nov. 8, 1982) to others. (c) Employees shall refrain from dis

8 1212.303 Headquarters and field or comcussing or disclosing personal informa

ponent installations. tion about others which they have ob- (a) Officials-in-Charge of Headquartained because of their official need to ters Offices, Directors of NASA Field know such information in the per Installations and Officials-in-Charge formance of official duties.

of Component Installations are re(d) To the extent included in an in- sponsible for the following with redividual contract which provides for spect to those systems of records the maintenance by or on behalf of maintained in the organization: NASA of a system of records to accom (1) Avoiding the establishment of plish a function of NASA, the require new systems of records or new routine ments of this section shall apply to uses of a system of records without contractor employees who work under first complying with the requirements the contract.

of this part;

(2) Ensuring that the requirements (6) Prior to disclosure of any record of this part and the Privacy Act are about an individual, assuring that the followed by all employees;

record is first reviewed for accuracy, (3) Ensuring that there is appropri. completeness, timeliness and relate coordination within NASA before evance; a determination is made to disclose in (7) Authorizing disclosures of a formation without the individual's record without the individual's conconsent under authority of sent under $ 1212.400(b)(1) through $ 1212.400(b); and

(11); (4) Providing appropriate oversight (8) Responding within the requirefor responsibilities and authorities ex- ments of $ 1212.500 to an individual's ercised by system managers under request for information as to whether their jurisdiction (1212.304).

the system contains a record pertain(b) Directors of NASA Field Installa ing to the individual; tions and Officials-in-Charge of Com (9) In accordance with the requireponent Installations may establish the ments of Subpart 1212.5, responding position of Installation Privacy Officer to an individual's request for access or designate someone to function as and copying of a record; such to assist in carrying out the re (10) Correcting a record under sponsibilities listed in paragraph (a) of $ 1212.606, or filing in an individual's this section.

record a statement of dispute and the

NASA addendum submitted in accord(44 FR 54994, Sept. 24, 1979, as amended at

ance with $ 1212.607; 47 FR 50467, Nov. 8, 1982)

(11) Preparing an addendum to an

individual's statement of 8 1212.304 System manager.


($ 1212.607); (a) Each system manager is responsi (12) Maintaining disclosure accountble for the following with regard to ings in accordance with the requirethe system of records over which the

ments of g 1212.401; system manager has congnizance:

(13) Notifying persons to whom a (1) Overall compliance with the Pri- record has been disclosed and for vacy Act and these regulations,

which an accounting was made as to (2) Ensuring that each person in disputes and corrections involving the volved in the design, development, op- record; and eration or maintenance of the system (14) Developing appropriate

safeof records is instructed with respect to guards for the system of records. the requirements of this part and the (b) Where a system of records has possible penalties for noncompliance; subsystems described in the system

(3) Submitting a request to the Asso- notice, the subsystem manager will ciate Deputy Administrator for an ex have the responsibilities outlined in emption of the system under Subpart paragraph (a) of this section. Al1212.7, setting forth in proposed rule though the system manager has no making form the reasons for the ex line authority over subsystem managemption and citing the specific provi ers, the system manager does have sion of the Privacy Act which is be overall functional responsibility for lieved to authorize the exemption; the total system, and may issue guid

(4) After consultation with the ance to subsystem managers on imple. Office of the General Counsel or the mentation of this part. When furnishChief Counsel, making reasonable ef- ing information for required reports, forts to serve notice on an individual the system manager will be responsiwhen any record on such individual is ble for reporting on the entire system made available to any person under of records, including any subsystems. compulsory legal process when such (c) Exercise of the responsibilities process becomes a matter of public and authorities in paragraph (a) of record;

this section by any system or subsys(5) In accordance with the require tem managers at a NASA installation ments of § 1212.601, making an initial shall be subject to any conditions or determination on an individual's re- limitations imposed in accordance quest to correct or amend a record; with $ 1212.303 (a)(4) and (b).

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