§ 200.304 - Responses to inquiries and requests for access.

§ 200.304 Disclosure of requested recordsResponses to inquiries and requests for access.

(a) Initial review. Requests by individuals Inquiries and requests for access to records pertaining to them will be referred to the Commission's Privacy Act Officer who initially will determine whether access will be granted, Provided, however, That a Director of a staff Division of the Commission or Office head, other than the General Counsel, whose zone of responsibility relates to the record requested (see 17 CFR 200.13 et seq.), may make a determination that access is not lawfully required to be granted and should not be granted, in which case he, and not the Privacy Act Officer, shall make the required notification to the individual making the requestof FOIA Services which will make the initial determination as to whether the inquiry or request for access will be granted.

(b) Grant of inquiry or request for access.

(1)

If it is determined that

a

an inquiry or request for access

to records pertaining to an individual

will be granted, the

individual

requester will be advised

by mail that access will be given at the designated Office of the Commission or a

in writing. When a request for access is granted, in full or in part, a requester may elect to receive a copy of the requested record

will be provided by mail if the individual shall so indicate. Where the individual requests that copies of the record be mailed to him or requests copies of a record upon reviewing it at a Commission Office, the individual shall pay the cost of making the requested copies, as set forth in § 200.310 of this subpart. (2) In granting access to an individual to a record pertaining to him, such steps shall be taken by the Commission's staff as are necessary to prevent the unauthorized disclosure at the same time of information pertaining to individuals other than the person making the request or of other information that does not pertain to the individual

electronically, by mail, or in person, and the Office of FOIA Services will comply with that election to the extent practicable.

(c) Denial of an inquiry or request for access. If it is determined that no response will be given to an inquiry or that a request for access will not be granted, the individual making the request requester will be notified of that fact in writing and given the reasons why access is being deniedfor the denial. The individual requester also will be advised

(1)

of his or her right to seek review by the Office of the General Counsel of the

intital

initial decision

to deny access,

in accordance with the procedures set forth in § 200.308

of this subpart; and

(2) of his right ultimately to obtain judicial review pursuant to 5 U.S.C. 552a(g)(1)(A) of a final denial of access by the General Counsel.

(d) Time for acting on requests for access. Access to a record pertaining to an individual normally will be granted or denied

.

(d) Time for acting on inquiries and requests for access —

(1) Responses to inquiries. The Office of FOIA Services will endeavor to inform a requester making an inquiry as to whether the named system of records contains a record pertaining to him or her within 10 days (excluding Saturdays, Sundays, and Federal holidays) of receipt of such a request. Whenever a response to an inquiry cannot be made within the 10 days, the Office of FOIA Services will inform the requester of the reasons for the delay and the date by which a response may be anticipated.

(2) Acknowledgement of and responses to requests for access.

(i) Except where the requester appears in person, the Office of FOIA Services will endeavor to acknowledge, in writing, receipt of a request for access within 10 days (excluding Saturdays, Sundays, and Federal holidays) of receipt of such a request.

(ii) The Office of FOIA Services will endeavor to respond to a request for access to a record pertaining to a requester within 30 days (excluding Saturdays, Sundays, and

legal

Federal holidays) after the receipt of the request

for access unless the individual making the request is notified in writing within the 30 day period that

. If, for good cause shown, a longer period of time is required

. In such cases

, the

individual making the request shall be informed

Office of FOIA Services will inform the requester in writing of the

difficulties encountered and an indication shall be given as to when it is anticipated that access may

reasons for the delay, and indicate when access is expected to be granted or denied.

(

e) Authorization to allow designated person to review and discuss records pertaining to another individual. An individual who is granted access to records pertaining to him, and who appears at a Commission Office to review the records, may be accompanied by another person of his choosing. Where the records as to which access has been granted are not required to be disclosed under provisions of the Freedom of Information Act 5 U.S.C. 552, as amended, the individual requesting the records, before being granted access, shall execute a written statement, signed by him and the person accompanying him, which specifically authorizes the latter individual to review and discuss the records. If such authorization has not been given as described, the person who has accompanied the individual making the request will be excluded from any review or discussion of the records. (f

3) Appearance in person. When a requester appears in person at the Commission to make a request for access and the requester provides the required information and verification of identity, the Office of FOIA Services' staff, if practicable, will indicate whether it is likely that the requester will be given access to the records and, if so, when and under what circumstances such access will be given.

(e) Exclusion for certain records. Nothing contained in these rules

shall allow an individual

allows a requester to obtain access to any records or information compiled in reasonable anticipation of a civil action or proceeding.

[40 FR 44068, Sept. 24, 1975, as amended at 49 FR 13866, Apr. 9, 1984; 76 FR 71874, Nov. 21, 2011]