§ 200.308 - Administrative appeals.

§ 200.308 Appeal of initial adverse agency determination as to access or as to amendment or correctionAdministrative appeals.

(a) Administrative review. Any person A requester who has been notified pursuant to § 200.304(c) that his request for access to records pertaining to him has been denied, or pursuant to Section 307(e) of this subpart that his request for amendment or correction , § 200.306(d), or § 200.307(d) that his or her inquiry or request has been denied in whole or in part, or who has received no response to a request for access or to amend within 30 days (excluding Saturdays, Sundays, and legal Federal holidays) after his or her request was received by the Office of Information and Privacy Act Operations (or within such extended period as may be permitted in accordance with §§ 200.304(d) and 200.307(c) of this subpart)the FOIA Services, may appeal the adverse determination or failure to respond to the Office of the General Counsel the adverse determination.

(1) The appeal shall be in writing and shall describe the record in issue and set forth the proposed amendment or correction and the reasons therefor Appeals must be received within 90 calendar days of the date of the written denial of an inquiry or request and must be received no later than 11:59 p.m., eastern time, on the 90th day.

(2) The appeal shall be delivered or sent by mail to the Office of Information and Privacy Act Operations, SEC, Operations Center, 6432 General Green Way, Alexandria, VA 22312–2413, or by facsimile (703–914–1149).

(3) The applicant, if he wishes,

should be in writing and should provide the assigned request number, a copy of the original request, and the adverse determination. The appeal should also explain why the requester contends any adverse determination was in error. The requester may state such facts and cite such legal or other authorities as

he

the requester may consider appropriate in support of

his application. (4) The General Counsel will

the appeal. If only a portion of the adverse determination is appealed, the requester should specify which part is being appealed.

(3) The appeal may be submitted by email ([e-mail]) or online at the Commission's website at https://www.sec.gov/forms/request_public_docs. A requester may alternatively submit an appeal by mail to the Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549 or other mailing address or facsimile number published on the Commission's website at https://www.sec.gov/oso/help/foia-contact.html.

(4) The Office of the General Counsel will endeavor to make a determination with respect to any an appeal within 30 days after the receipt of such appeal (excluding Saturdays, Sundays, and legal Federal holidays) unless, unless for good cause shown, the Office of the General Counsel shall extend extends that period. If such an extension is made, the individual who is appealing shall will be advised in writing of the extension, the reasons therefor, and the anticipated date when the appeal will be decided.

(5) In considering an appeal from a denial of a request to amend or correct a record, the General Counsel shall apply the same standards as set forth in § 200.307(b).

(6) If the General Counsel shall conclude that access should be granted, he or she shall issue an order granting access and instructing the Privacy Act Officer

If the Office of the General Counsel concludes that an inquiry or request for access, amendment or correction, or an accounting should be granted, it will issue a decision granting the inquiry or request and instructing the Office of FOIA Services to comply with § 200.304(b), § 200.306(

7) If the General Counsel shall conclude that the request to amend or correct the record should be granted in whole or in part, he or she shall issue an order granting the requested amendment or correction in whole or in part and instructing the Privacy Act Officer to comply with the requirements of

c), or § 200.307(

d

c)

of this subpart, to the extent

, as applicable.

(

8

6) If the Office of the General Counsel affirms the initial decision denying an inquiry or request for access

, he or she shall issue an order denying access

or an accounting, it will issue a decision denying the inquiry or request and advising the

individual seeking access

requester of:

(i) The

order; (ii) the

reasons for

denying access

the denial; and

(

iii

ii)

the individual

The requester's right to obtain judicial review of the decision pursuant to 5 U.S.C. 552a(g)(1)(B) or (g)(1)(D), as applicable.

(

9

7) If the Office of the General Counsel determines that the decision of the

Privacy Act Officer

Office of FOIA Services denying a request

to amend or correct a record

for amendment or correction should be upheld,

he or she shall issue an order

it will issue a decision denying the request and the individual

shall

will be advised of:

(i) The

order

decision refusing to amend or correct the record and the reasons therefor;

(ii)

His or her

The requester's right to file a concise statement setting forth his or her disagreement with the

General Counsel's

decision not to amend or correct the record;

(iii) The procedures for filing such a statement of disagreement

with the General Counsel

;

(iv) The fact that any such statement of disagreement will be made available to anyone to whom the record is disclosed, together with, if the Office of the General Counsel deems it appropriate, a brief statement setting forth the Office of the General Counsel's reasons for refusing to amend or correct;

(v) The fact that prior recipients of the record in issue will be provided with the statement of disagreement and the Office of the General Counsel's statement, if any, to the extent that an accounting of such disclosures has been maintained pursuant to 5 U.S.C. 552a(c); and

(vi) The

individual

requester's right to seek judicial review of the Office of the General Counsel's refusal to amend or correct, pursuant to 5 U.S.C. 552a(g)(1)(A).

(

10

8) In appropriate cases the Office of the General Counsel may, in

his or her

its sole

and unfettered

discretion, refer matters requiring administrative review of initial decisions to the Commission for determination and the issuance, where indicated, of

orders

decisions.

(b) Statement Statements of disagreement. As noted in paragraph (a)(96)(ii) of this section, an individual a requester may file with the General Counsel a statement setting forth his or her disagreement with the Office of the General Counsel's denial of his the request to amend or correct a recordfor amendment or correction.

(1) Such statement of disagreement shall be delivered or sent by mail to the Office of Freedom of Information and Privacy Act Operations, SEC, Operations Center, 6432 General Green Way, Alexandria, VA 22312–2413, or by facsimile (703–914–1149), may be submitted by email ([e-mail]) or online at the Commission's website at https://www.sec.gov/forms/request_public_docs. A requester who is not able to submit a statement of disagreement by email or online may submit a request by mail to the Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549 or other mailing address or facsimile number published on the Commission's website at https://www.sec.gov/oso/help/foia-contact.html. A requester must submit a statement of disagreement within 30 days after receipt by of the individual Office of the General Counsel's order decision denying the request for amendment or correction. For good cause shown this period can be extended for a reasonable time.

(2) Such statement of disagreement shall concisely Statements of disagreement should be concise and must clearly identify each part of any record that is disputed and state the basis for the individual's agreement. Generally a statement should be no more than two pages in length, except an individual may submit a slightly longer statement if it is necessary to set forth his disagreement effectively. Unduly requester's disagreement. The Office of the General Counsel will return unduly lengthy or irrelevant materials will be returned to the individual by the General Counsel for appropriate revisions before they become a permanent part of the individualrequester's record.

(3) The record about which

Statements of disagreement will be placed in the system of records in which the disputed record is maintained. The disputed record will be marked to indicate that a statement of disagreement has been filed

will clearly note which part of the record is disputed and the General Counsel will provide copies of the statement of disagreement and, if the General Counsel deems it appropriate, provide a concise statement of his or her reasons for refusing to amend or correct the record, to persons or other agencies to whom the record has been or will be disclosed

and where in the system of records it may be found.

(3) If a requester has filed a statement of disagreement, the Office of FOIA Services will append a copy of it to the disputed record whenever the record is disclosed and may also append a concise statement of its reason(s) for denying the request for amendment or correction.

(4) In appropriate cases, the Office of the General Counsel may, in his or her its sole and unfettered discretion, refer matters concerning statements of disagreement to the Commission for disposition.

[40 FR 44068, Sept. 24, 1975, as amended at 42 FR 40190, Aug. 9, 1977; 47 FR 26819, June 22, 1982; 49 FR 13866, Apr. 9, 1984; 65 FR 55186, Sept. 13, 2000; 76 FR 71874, Nov. 21, 2011]