or an Assistant to the General Manager.

(iii) For the purposes of this paragraph, unusual circumstances means, to the extent reasonably necessary to the proper processing of the particular request or appeal:

(A) Time necessary to search and collect requested records from segments of the agency separate from the office processing the request;

(B) Time necessary to search for, collect, and appropriately examine the voluminous number of records demanded in a single request; or

(C) Time necessary for consultation with another agency having a substantial interest in the determination of the request, or among two or more components of the agency which have an interest in the subject matter of the request.

(d) Manner of making records available. When TVA determines to comply with a request for records, the records are made available promptly for inspection and copying at the place it considers most feasible. TVA will notify the person requesting the records of the place at which the records will be made available and the amount of the applicable fee pursuant to § 301.2, and will request the person to set up a mutually convenient time for inspection. Applicable fees are payable prior to actual inspection of the records or prior to receipt of requested copies after inspection, respectively. If TVA deems it more convenient to do so, it may furnish copies of available requested records in lieu of permitting physical inspection thereof. In such case payment of applicable fees is due within 30 days after receipt of the copies.

(e) Publications. TVA publishes and sells to the public at nominal cost various materials concerning its activities and other matters within its statutory responsibilities, and also provides for the sale of other materials, such as maps prepared by other agencies, at prices prescribed by such agencies. Such services are not performed under the Freedom of Information Act, and requests for the purchase of such materials are not covered by the provision of subsections (a) through (d) of

this section. A price list and order form for some of the most frequently asked for TVA publications and reports is contained in TVA Form 3077, which may be obtained by writing the Director of Information, Tennessee Valley Authority, Knoxville, Tennessee 37902. Information about other informational material available for sale or distribution by TVA may be obtained at the same address.

[40 FR 7326, Feb. 19, 1975; 40 FR 10668, Mar. 7, 1975]

§ 301.2 Schedule of fees.

(a) Basis. Except as otherwise provided in subsection (c) of this section, TVA records which are available for public inspection under § 301.1 are made available upon payment of uniform fees which will approximately cover the direct costs to TVA of searching for, compiling, transporting, and copying the records.

(b) Fees. The following fees are applicable:

(1) Time charges. For time spent searching files, compiling requested material from files, and making any requested copies the charge is $4.15 per hour.

(2) Duplication charges. For reproduction of requested material which consists of sheets no larger than 81⁄2 by 14 inches, the charge is ten cents per page. For reproduction of other materials, the charge is the direct cost of photostat or other means necessarily used for duplication.

(3) Other charges. Where a response to a request requires services or materials (including personnel) other than the common ones described in paragraphs (b)(1) and (2) of this section, the charge is the direct cost of such services and materials to TVA, but only if the requester has been notified of such cost before it is incurred, or if the request contains a statement that all costs are acceptable.

(c) Waiver or reduction of fees. (1) No time charge is made with respect to any request for records requiring less than four (4) hours' time for searching and reproducing documents.

(2) If it is determined by TVA that all material requested is exempt from disclosure under § 301.1 of this part,

and TVA accordingly declines to furnish all such material, no fees shall be charged. TVA may waive or reduce fees otherwise chargeable under this section upon its determination that waiver or reduction is in the public interest because furnishing the information can be considered as primarily benefiting the general public.

[40 FR 14749, Apr. 2, 1975]

§ 301.4 Financial interests of employees. In accordance with the provisions of 18 U.S.C. 208, TVA has exempted the following financial interests of its employees from the requirements of 18 U.S.C. 208 upon the ground that such interests are too remote or too inconsequential to affect the integrity of such employees' services: A financial interest, as that term is used in 18 U.S.C. 208, shall be disclosed to TVA by the employee concerned in all cases, except that if a financial interest is solely in the form of investment in a business enterprise, disclosure is not required if:

(a) The investment is in the form of ownership of bonds, notes, or other evidences of indebtedness which do not give the holder any share in the ownership or direction of the enterprise, and which are not convertible into shares of preferred or common stock and have no warrants attached entitling the holder to purchase such shares; or

(b) The investment is in the form of shares in the ownership of the enterprises, including preferred and common stocks whether voting or nonvoting, or warrants to purchase such shares, or evidences of indebtedness convertible into such shares, but the estimated market value of the shares and/or warrants and/or convertible evidences of indebtedness held:

(1) Does not exceed $5,000, and

(2) Does not exceed one percent of the estimated market value of all the outstanding shares of the enterprise. (18 U.S.C. 208(b))

[28 FR 9288, Aug. 23, 1963]

Subpart B-Privacy Act

AUTHORITY: Sec. 3, Pub. L. 93-579, 88 Stat. 1897 (5 U.S.C. 552a).

SOURCE: 40 FR 45313, Oct. 1, 1975, unless otherwise noted.

§ 301.11 Purpose and scope.

(a) The regulations in §§ 301.11 to 301.24 implement section 3 of the Privacy Act of 1974, 5 U.S.C. § 552a, with respect to systems of records maintained by TVA. They provide procedures by which an individual may exercise the rights granted by the Act to determine whether a TVA system contains a record pertaining to him; to gain access to such records; to have a copy made of all or any portion thereof; and to request administrative correction or amendment of such records. They prescribe fees to be charged for copying records; establish identification requirements; list penalties provided by statute for certain violations of the Act; and establish exemptions from certain requirements of the Act for certain TVA systems or components thereof.

(b) Nothing in §§ 301.11 to 301.24 entitles an individual to any access to any information or record compiled in reasonable anticipation of a civil action or proceeding.

(c) Certain records of which TVA may have physical possession are the official records of another government agency which exercises dominion and control over the records, their content, and access thereto. In such cases, TVA's maintenance of the records is subject to the direction of the other government agency. Except for a request for a determination of the existence of the record, when TVA receives requests related to these records, TVA will immediately refer the request to the controlling agency for all decisions regarding the request, and will notify the individual making the request of the referral.

§ 301.12 Definitions.

For purposes of § 301.11 to § 301.24: (a) The "Act" means section 3 of the Privacy Act of 1974, 5 U.S.C. § 552a;

(b) The terms "individual," "maintain," "record," "system of records,"

"statistical record," and "routine use" have the meaning provided for by the Act;

(c) The term "TVA system" means a system of records maintained by TVA;

(d) The term "TVA system notice" means a notice of a TVA system published in the FEDERAL REGISTER pursuant to the Act. TVA has published TVA system notices about the following TVA systems:

Apprentice Training Record System-TVA. Consultant and Personal Service Contractor Records-TVA.

Cooperative Training Program for Construction Craftsmen-TVA.

Demonstration Farm Records-TVA. Discrimination Complaint File-TVA. Employee Accident Information SystemTVA.

Employee Accounts Receivable-TVA.
Employee Alleged Misconduct Investigatory
Files-TVA.

Medical Record System-TVA.
Employee Statements of Employment and
Financial Interests-TVA.

Employee Supplementary Vacancy Announcement Records-TVA.

Employee Travel Advance Records-TVA.
Employment Applicant File-TVA.
Grievance Records-TVA.

Land Between The Lakes Register of
Hunter Applications-TVA.

Land Between The Lakes Register of Law
Violations-TVA.

Management Appraisal Records-TVA.
Payroll Records-TVA.

Personnel Files-TVA.

Prospective Condemnation Witness FileTVA.

OEDC Quality Assurance Personnel Rec

ords-TVA.

Questionnaire-Farms in Vicinity of Proposed Nuclear Power Plant-TVA. Radiation Dosimetry Personnel Monitoring

Records-TVA.

Reforestation, Erosion Control, and Plantation Case History Record-TVA. Rehabilitation and Career Counseling Records-TVA.

Retirement System Records-TVA.
Test Demonstration Farm Records-TVA.
Wildland Owner Survey Records-TVA.

(e) The term "appellant" means an individual who has filed an appeal pursuant to § 301.19(a) from an initial determination refusing to amend a record on request of the individual;

(f) The term "reviewing official" means TVA's General Manager, or another TVA official designated by him

in writing to decide an appeal pursuant to § 301.19;

(g) The term "day," when used in computing a time period, excludes Saturdays, Sundays, and legal public holidays.

§ 301.13 Procedures for requests pertaining to individual records in a record system.

(a) An individual may, in accordance with this section (1) request a TVA determination whether a record retrieved by the individual's name or other personal identifier is maintained in a TVA system, and (2) request access to such a record. A request for determination may be combined with a request for access.

(b) Requests under this section shall: (1) Be in writing and signed by the individual seeking the determination or access;

(2) Include the individual's mailing address;

(3) Name the TVA system as listed in the TVA system notice;

(4) Include any additional identifying information specified in the paragraph headed "Notification procedure" in the applicable TVA system notice;

(5) Specify whether the request is for determination only or for both determination and access; and

(6) Include such proof of identity as may be required by § 301.14 and the applicable system notice.

Requests may be presented in person or by mail. In-person requests shall be presented during normal TVA business hours, as set out in § 301.14(g).

(c) Requests for determination only shall be presented to the official designated in the paragraph headed "Notification procedure" in the TVA system notice for the TVA system concerned. Requests for both determination and access shall be presented to the official designated in the paragraph headed "Access procedure" in the TVA system notice for the TVA system concerned. Certain TVA system notices designate officials at field locations of TVA systems. With respect to such TVA systems, an individual who believes his record is located at the field location may present a

request to the designated official at the field location. If the record is not available at that field location, the request will be forwarded to the appropriate TVA office.

(d) If a request is for determination only, the determination will normally be made within 10 days after receipt of the request. If the determination cannot be made within 10 days after receipt of a request, the designated official will acknowledge the request in writing and state when the determination will be made. Upon making a determination, the designated official will notify the individual making the request whether the record exists. The notice will include any additional information necessary to enable the individual to request access to the record.

(e) A request which includes a request for access will be acknowledged within 10 days after receipt. If access can be granted as requested, the acknowledgment will provide a time and place for disclosure of the requested record. Disclosure will normally be made within 30 days of the date of the acknowledgement, but the designated official may extend the 30-day period for reasons found by him to be good cause. In case of an extension, TVA will notify the individual, in writing, that disclosure will be delayed, the reasons for delay, and the anticipated date on which the individual may expect the record to be disclosed. TVA will attempt to accommodate reasonable requests for disclosure at specified times and dates, as set forth in a request for access, so far as compatible with the conduct of TVA business.

§ 301.14 Times, places, and requirements for identification of individuals making requests.

(a) TVA will require proof of identity, in accordance with this section, before it will disclose a record under § 301.15 of this part to an individual requesting access to the record, and before it will disclose the existence of a record to a requester under § 301.13 of this part, if TVA determines that disclosure of the existence of such record would constitute an unwarranted invasion of personal privacy.

(b) Identification normally required would be an identification card such as a valid state driver's license or TVA or other employee identification card. A comparison of the signature of the requester with either the signature on the card or a signature in the record may be used to confirm identity.

(c) Because of the sensitivity of the subject matter in a TVA system, a TVA system notice may prescribe special identification requirements for the disclosure of the existence of or access to records in that TVA system. In such case, the special identification requirements prescribed in the TVA system notice shall apply in lieu of those prescribed by paragraph (b) of this section.

(d) If TVA deems it warranted by the nature of identification presented, the subject matter of the material to be disclosed, or other reasons found by TVA to be sufficient, TVA may require the individual requesting access to sign a statement asserting identity and stating that the individual understands that knowingly or willfully seeking or obtaining access to records about another person under false pretenses is punishable by a fine of up to $5,000.

(e) Where TVA is requested to provide access to records by mailing copies of records to the requester, the request shall contain or be accompanied by adequate identifying information to make it likely the requester is the person he purports to be and a notarized statement asserting identity and stating that the individual understands that knowingly or willfully seeking or obtaining access to records about another person under false pretenses is punishable by a fine of up to $5,000.

(f) Where sensitivity of record information may warrant (i.e., unauthorized access could cause harm or embarrassment to the individual) or disclosure by mail to third persons is requested, TVA may require in-person confirmation of identity. If in-person confirmation of identity is required, the individual may arrange with the designated TVA official to provide such identification at any of these TVA locations convenient to the indi

vidual: Knoxville, Nashville, and Chattanooga, Tennessee; Muscle Shoals, Alabama; Washington, D.C., or another location agreed upon by the individual and the designated TVA official. Upon request the TVA official will provide an address and an appropriate time for such identification to be presented.

(g) In general, TVA offices located in the eastern time zone are open 8 a.m. to 4:45 p.m., and those in the central time zone 7:30 a.m. to 4:15 p.m. Construction project offices and Land Between The Lakes are generally open 7 a.m. to 3:30 p.m. Offices are closed on Saturdays, Sundays, and the following holidays: New Year's Day, Washington's Birthday, Memorial Day, Fourth of July, Labor Day, Columbus Day, Veterans Day, Thanksgiving, Christmas Day.

and

§301.15 Disclosure of requested information to individuals.

(a) All disclosure and examination of records shall normally be made in the presence of a TVA representative. If an individual wishes to be accompanied by a third person of the individual's choosing when the record is disclosed, TVA may require the individual to furnish TVA, in advance of disclosure of the record, a statement signed by the individual authorizing discussion and disclosure of the record in the presence of the accompanying person. If desired by the individual, TVA shall provide copies of any documents reviewed in the record which are requested at the time of review. Fees shall be charged for such copies in accordance with the fee schedule in § 301.21, and shall be payable prior to delivery of the copies to the individual.

(b) Where permitted by § 301.14, copies of an individual's record will be made available by mail. A charge for copies will be made in accordance with § 301.21 of this part. All fees due shall be paid prior to mailing of the materials. However, if TVA is unable to allow in-person review of the record, the first copy will be made available without charge.

(a) An individual may request amendment of records pertaining to him in a TVA system to the extent permitted by the Act in accordance with this section. A request for amendment shall:

(1) Be in writing and signed by the individual seeking the amendment;

(2) Name the TVA system in which the record is maintained;

(3) Describe the item or items of information to be amended;

(4) Describe the nature of the amendment requested; and

(5) Give the reasons for the requested change.

(b) Requests shall be made to the official designated in the paragraph headed "Contesting record procedures" in the TVA system notice for the TVA system concerned. Before considering a request, TVA may require proof of identity of the requester similar to that required under § 301.14 to gain access to the record.

(c) The individual requesting amendment has the responsibility of providing TVA with evidence of why his record should be amended, and must provide adequate evidence to TVA to justify his request.

(d) TVA's Director of Information, Knoxville, Tennessee 37902, will provide advice and assistance to individuals relating to amendment of TVA records, including information on preparing requests to amend records, and appeals from initial adverse determinations on amendment requests. He can also provide information on the Act's provisions for judicial review.

(e) The provisions of §§ 301.11 to 301.24 of this Part do not permit the