§ 1.26 - Procedures for notification and access to records pertaining to individuals - format and fees for request for access.

§ 1.26 Procedures for notification and access to records pertaining to individuals - format Format and fees for request for access.

(a) Procedures for notification and access. Each component shall establishmust, in accordance with the requirements of 5 U.S.C. 553, and 552a(d)(1), set forth in the appendix to this subpart applicable to such component procedures whereby an individual can be notified, in response to a request, if any system of records named by the individual contains a record pertaining to that individual. In addition, such procedures shall must set forth the requirements for access to such records. As At a minimum, such procedures shall must specify the times during, and the places at which access will be accordedafforded, together with such identification as may be required of the individual before access. (See 5 U.S.C. 552a(f)(1), (2) and (3).)

(b) Access. Each component, in accordance with the procedures prescribed under paragraph (a) of this section, shall must allow an individual, upon request, to gain access to records or to any information pertaining to such individual which is contained in the a system of records upon request. The Permit the individual shall be permitted to review the record and have a copy made of all or any portion of the record in a comprehensible form that is comprehensible. The individual will also be permitted . Also permit the individual to be accompanied by any person of the individual's choosing to review the record, except that the agency may require the individual to furnish a written statement authorizing discussion of that individual's record in the accompanying person's presence. (See 5 U.S.C. 552a(d)(1).)

(c) Exceptions. Neither the procedures prescribed under paragraph (a) of this section nor the requirements for access under paragraph (b) of this section shall be applicable apply to - :

(1) systems Systems of records exempted pursuant to 5 U.S.C. 552a(j) and (k) and § 1.23(c);

(2) information Information compiled in reasonable anticipation of a civil action or proceeding (See see 5 U.S.C. 552(d)(5)); or

(3) information Information pertaining to an individual which is contained in, and inseparable from, another individual's record.

(d) Format of request.

(1) A record request for notification of whether a record exists shallmust:

(i) Be made in writing and signed by the person making the request, who must be the individual about whom the record is maintained , or such individual's duly authorized representative (See see § 1.34);

(ii) State that it is made pursuant to the Privacy Act , 5 U.S.C. 552a or these regulations, have marked or the regulations in this subpart, or have “Privacy Act Request” written on both the request and on the envelope, if not submitted via a component-provided electronic method;

(iii) Give the name of the system or subsystem or categories of records to which access is sought, as specified in “Privacy Act Issuances” published by the Office of the Federal Register and referenced in the appendices to this subpart;

(iv) Describe the nature of the record (s) sought in sought, the date of the record or the period in which the record was compiled or otherwise describe the record in sufficient detail to enable Department personnel to locate the system of records containing the record with a reasonable amount of effort. Whenever possible, a request for access should describe the nature of the record sought, the date of the record or the period in which the record was compiled. ;

(v) Provide such identification of the requester as may be specified in the appropriate appendix to this subpart; and

(vi) Be addressed or delivered in person or by a component-provided electronic method to the office or officer of the component indicated for the particular system or subsystem or categories of records to which the individual wishes seeks access to, as specified in “Privacy Act Issuances” published by the Office of the Federal Register and referenced in the appendices to this subpart. Assistance in ascertaining the As explained in appendix A to this subpart, requesters may send a written request to the Departmental Offices seeking assistance in identifying the appropriate component or in preparing a request for notification may be obtained by . Requesters seeking such assistance should submit a written request to this effect addressed as addressed to the Departmental Offices at the address specified in appendix A of to this part, as the address for the Departmental Offices for “Request for notification and access to records and accountings of disclosures”.

(2) A request for access to records shallmust, in addition to complying with paragraph paragraphs (ad)(1)(i) through (vi) of this section:

(i) State whether the requester wishes to inspect the records or desires to have a copy made and furnished without first inspecting them;

(ii) If the a requester desires to have wants a copy made, state the firm agreement of the requester of their records, they must clearly state in the request that they agree to pay the fees for duplication as ultimately determined in accordance with (31 CFR subpart A to this subpart (§ 1.67) Subpart A of this title, unless such fees are waived pursuant to under that section by the system manager or other appropriate official as indicated in the appropriate appendix to these regulationsthis subpart; and

(iii) Comply with any other requirement set forth in the applicable appendix to this subpart or the “Notice “System of Records Systems” Notice” applicable to the system in question. Requesters are hereby advised that any Any request for access which does not comply with the foregoing requirements in the preceding sentence and those set forth elsewhere in this Subpart Csubpart, will not be deemed subject to the time constraints of this section, unless and until amended so as to comply . However, components shall with all requirements in this subpart. Components must advise the requester in what respect the request is deficient so that it may of any specific deficiencies so the requester can amend the request so it can be processed. This section applies only to records which are contained maintained in a system of records and which that are also in the possession or control of the component. (See 5 U.S.C. 552a(d) and (f).)

(e) Requests for records not in control of component.

(1) Treasury employees shall must make reasonable efforts to assist an oral requester to ascertain learn to which office or officer a written request should be sent. When the request is for a record which is not in the possession or control of any Treasury component of the Department of the Treasury, the requester shall must be so advised of this fact.

(2) Where the record requested was created by a Department or originated with a Federal agency other than the Department of the Treasury or a component of the Department and has been its components and was classified (e.g., National Defense or Intelligence Information) or otherwise restrictively endorsed (e.g., Office of Personnel Management records of FBI Federal Bureau of Investigation reports) by such other Department or the originating agency, and a copy is in the possession of a Treasury component of the Department of the Treasury, , the component will refer that portion of the request shall be referred to the originating agency for determination as to all issues in accordance with the of all Privacy Act issues. In the case of a referral to another agency under this paragraph (e)(2), the requester shall be notified component will notify the requester that such portion of the request has been so referred and that the requester may expect to hear from that agency.

(3) When information sought from a system manager or other appropriate Treasury official in the Department of the Treasury includes information furnished by originating with other Federal agencies that is not classified or otherwise restrictively endorsed, the system manager or other appropriate Treasury official receiving the request shall must consult with the appropriate originating agency prior to making a decision to disclose or not to disclose withhold the record. The decision as to whether the record shall be disclosed shall be made, in the first instance by the system manager or other appropriate Treasury official maintaining the record must decide if disclosure is required. (See 5 U.S.C. 552a(d) and (f).)

(f) Date of receipt of request. A For purposes of this subpart, the date of receipt of a request for notification or access to records shall be considered to have been received for purposes of this subpart on the date on which the requester satisfied all the requirements of paragraph (d) of this section have been satisfied. Requests for notification or access to records and any separate agreement to pay shall for copies must be stamped or endorsed with the date of receipt by the receiving office/component received all information needed to satisfy the requirements in this section. The latest of such stamped dates will be deemed to be date of receipt of the last required document will be the date of receipt of the request for the purposes of this subpart. (See 5 U.S.C. 552a(d) and (f).)

(g) Notification of determination -

(1) In general. Notification of determinations as to notification of whether a record exists or as to whether to grant access to records requested will be made by the The component officers designated in the appendices to this subpart must send the requester any required notifications, including notices stating the component has responsive records and whether it will provide access to the records requested. The component will mail notification of the determination shall be mailed within 30 days (excluding Saturdays, Sundays, and legal public holidays) after the date of receipt of the request, as determined in accordance with paragraph (f) of this section. If it is not possible to respond within 30 days, the designated relevant component officer shall must inform the requester (prior to the expiration of the 30-day timeframe), stating the reason for the delay (e.g., volume of records requested, scattered location of the records, need to consult other agencies, or the difficulty of the legal issues involved) and when a response will be dispatched. (See 5 U.S.C. 552a(d) and (f).)

(2) Granting of access. When it has been determined the component determines that the request for access will be granted -

(i) and a copy requested;

and the requester seeks a copy of the responsive records, the component must furnish such copy in a form comprehensible to the requester

shall be furnished promptly

, together with a statement of the applicable

fees for duplication; and (ii) and the right to inspect has been requested, the requester shall be promptly notified

duplication fees. If the requester indicates they want to exercise their right to inspect the responsive records, the component officer designated in the relevant appendix to this subpart must promptly notify the requester in writing of the determination,

and

including when and where the requested records may be inspected.

An individual

A requester seeking to inspect such records may be accompanied by another person of

such individual's

their choosing. The

individual

requester seeking access

shall be required to sign the required

must sign a form indicating that

the Department of the

Treasury is authorized to discuss the contents of the subject record in the accompanying person's presence. If, after making the inspection, the

individual making the request desires

requester requests a copy of all or a portion of the requested records

, such copy

and pays the applicable fees for duplication, the component must provide a copy of the records in a form comprehensible to the

individual shall be furnished upon payment of the applicable fees for duplication

requester. Fees to be charged are as prescribed by

31 CFR part 1,

subpart A

, § 1.6 Fees shall not be charged where they would amount, in the aggregate, to less than $3.00.

to this subpart (§ 1.7). Components may charge for processing requests under the Freedom of Information Act, under the provisions of this section, or may issue their own fee schedules, which must be consistent with the OMB Guidelines. (See 5 U.S.C. 552a(d) and (f).)

(3) Requirements for access to medical records. When access is requested to medical records, including psychological records, the responsible official may determine that such release could have an adverse effect on the individual and that release will be made only to a physician health professional authorized in writing to have access to such records by the individual making the request. Upon receipt of the authorization, the physician health professional will be permitted to review the records or to receive copies of the records by mail, upon proper verification of identity. (See 5 U.S.C. 552a(f) (3).)

(4) Denial of request. When it is determined that the a component makes a determination to deny a request for notification of whether a record exists or deny access to existing responsive records will be denied (whether in whole or part or subject to conditions or exceptions), the person making the request shall be so notified component must notify the requester of the denial by mail in accordance with paragraph (g)(1) of this section. The letter of notification shall must specify the city or other location where the requested records are situated (if known), contain a statement of the reasons for not granting the request as made, set forth the name and title or position of the responsible official and advise the individual making the request requester of the right to file suit in accordance with 5 U.S.C. 552a (g)(1)(B).

(5) Prohibition against the use of 5 U.S.C. 552(b) exemptions. Exemptions A component may not invoke exemptions from disclosure under 5 U.S.C. 552(b) (31 CFR part 1, subpart A , to this part (§ 1.2 (c))), may not be invoked for the purpose of withholding from an individual a requester any record which is would otherwise be accessible to such individual the requester under the Privacy Act , 5 U.S.C. 552a and this subpart. (See 5 U.S.C. 552a(qt).)

(6) Records exempt in whole or in part.

(i) When an individual requests notification as to whether a record exists If Treasury deems it necessary to assert an exemption in response to a request for notification of the existence of or access to records concerning the individual which have been , it will neither confirm nor deny the existence of the records if the records were exempted from individual access pursuant to 5 U.S.C. 552a(j) or which have been were compiled in reasonable anticipation of a civil action or proceeding in either a court or before an administrative tribunal and the assertion of the exemption is deemed necessary, the Department of the Treasury will neither confirm nor deny the existence of the record but shall advise the individual only that no record available to the individual . If Treasury asserts such an exemption, it must advise the requester only that it has identified no records available pursuant to the Privacy Act of 1974 has been identified.

(ii) Requests Process requests from individuals for access to records which have been Treasury exempted from access pursuant to 5 U.S.C. 552a(k) shall be processed as follows:

(A) Requests for information classified pursuant to Executive Orders Order 12958, 13526, or successor or prior Executive Orders orders require the responsible Treasury component of the Department to review the information to determine whether it continues to warrant classification pursuant to an Executive Orderorder. Information which no longer warrants classification under these criteria shall must be declassified and made available to the individual. If the information continues to warrant classification, the individual shall be advised component must notify the requester that the information sought is classified, that it has been reviewed and continues to warrant classification, and that Treasury exempted it has been exempted from access pursuant to 5 U.S.C. 552(b)(1) and 5 U.S.C. 552a(k)(1). Information which has been Classified information maintained in records Treasury exempted pursuant to 5 U.S.C. 552a(j) and which is also classified shall must be reviewed as required by this paragraph (g)(6)(ii)(A), but the response to the individual shall must be in the form prescribed by paragraph (g)(6)(i) of this section.

(B) Requests Components must respond to requests for information which has been maintained in records that Treasury exempted from disclosure pursuant to 5 U.S.C. 552a(k)(2) shall be responded to in the manner provided in paragraph (g)(6)(i) of this section unless the requester shows that the information component has been used or is being used using the information to deny the individual them any right, privilege, or benefit for which he is they are eligible or to which he they would otherwise be entitled under federal Federal law. In that event, the individual shall be advised If the requester makes such a showing, the component must advise the requester of the existence of the information but such information as records, extract any information from the records that would identify a confidential source shall be extracted or summarized , or provide a summary extract of the records to the requester in a manner which protects the source to the maximum degree possible and the summary extract shall be provided to the requesting individual.

(C) Information a component compiled in its records as part of an employee background investigation which has been exempted that Treasury exempted from disclosure pursuant to 5 U.S.C. 552a(k)(5) shall must be made available to an individual upon request except to the extent that it identifies the confidential source. Material identifying the confidential sources shall a requester unless the record identifies a confidential source(s). Information in the record that identifies confidential source(s) must be extracted or summarized in a manner which protects the source(s) to the maximum degree possible and the summary or extract shall must be provided to the requesting individualrequester.

(D) Testing or examination material which has been that Treasury exempted pursuant to 5 U.S.C. 552a(k)(6) shall must not be made available to an individual a requester if disclosure would compromise the objectivity or fairness of the testing or examination process ; but may be made available if no such compromise possibility exists. (See 5 U.S.C. 552a(d)(5), (j), and (k)).

[52 FR 26305, July 14, 1987, as amended at 76 FR 4817, Jan. 27, 2011]

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