[Federal Register Volume 62, Number 221 (Monday, November 17, 1997)]
[Proposed Rules]
[Pages 61252-61259]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-29865]
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INTERNATIONAL TRADE COMMISSION
19 CFR Part 201
Revision of Public Notice, Freedom of Information Act, and
Privacy Act Regulations, and Implementation of Electronic Freedom of
Information Act Amendments of 1996
AGENCY: International Trade Commission.
ACTION: Notice of proposed rulemaking and request for comments.
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SUMMARY: The United States International Trade Commission (Commission)
proposes to amend its rules of practice and procedure to make certain
changes to rules relating to public notices, availability of
information under the Freedom of Information Act (FOIA), and
safeguarding of individual privacy under the Privacy Act of 1974
(Privacy Act). The intended effect of the changes is to implement the
Electronic Freedom of Information Act Amendments of 1996 and otherwise
to bring the rules into conformity with current Commission practices
and procedures, and with current costs of providing services.
DATES: Comments must be submitted on or before Decemnber 17, 1997.
ADDRESSES: Written comments (original and 14 copies) concerning these
proposed rule amendments may be submitted to the Secretary, U.S.
International Trade Commission, 500 E. Street, SW, Washington, DC
20436.
FOR FURTHER INFORMATION: For further information contact the following
persons in the Commission's Office of General Counsel: For the proposed
Privacy Act and public notice rules amendments, Paul R. Bardos,
telephone 202-205-3102; and for the proposed FOIA rules amendments,
William W. Gearhart, telephone 202-205-3091. Hearing impaired
individuals are advised that information on this matter can be obtained
by contacting the Commission's TDD terminal at (202) 205-1810.
SUPPLEMENTARY INFORMATION: Section 335 of the Tariff Act of 1930 (19
U.S.C. 1335) authorizes the Commission to adopt such reasonable
procedures and rules and regulations as it deems necessary to carry out
its functions and duties.
Public Notices
Commission rule Sec. 201.10, which relates to public notices,
currently provides that the Commission, inter alia, will publish a
notice for every properly filed document that it receives, and that the
Commission will furnish an announcement regarding notices to the
Treasury Department for publication in Treasury Decisions and to the
Department of Commerce for publication in International Commerce. The
Commission seeks to bring the rule into conformity with current agency
practice and eliminate both requirements. Because the Commission
believes that it would be wasteful and unnecessary to provide public
notice for every document filed, agency practice has been to not issue
such notices. Nevertheless, the Commission will retain the discretion
to provide public notification of properly filed documents as
appropriate. The Commission no longer furnishes announcements of all
public notices to Treasury and Commerce for further publication by
those agencies and the agencies have not objected.
Freedom of Information Act
The Commission's Freedom of Information Act rules are set forth in
subpart C of part 201 (currently 19 CFR 201.17 through 201.21). The
Commission proposes to amend Secs. 201.17, 201.18, and 201.20 to
provide for expedited treatment of certain FOIA requests (as required
by the Electronic Freedom of Information Act Amendments of 1996 (Pub.L.
104-231)), adjust its charges for search, review, and computer time to
reflect current agency staff salary levels, and make certain other
changes to clarify and update the rules.
More specifically, the Commission proposes to reorganize and amend
Sec. 201.17 of its rules to provide, in new paragraph (b), for
expedited processing of FOIA requests under certain circumstances. The
Commission also proposes to amend paragraph (a) of Sec. 201.17 to state
that FOIA requests will be processed in the order in which they
[[Page 61253]]
are filed, except when expedited processing has been requested and
granted; and to advise the public that requests for agency publications
can be made to the Publications Office within the Commission's Office
of the Secretary and do not need to be submitted under FOIA. Finally,
in new paragraph (c) the Commission would advise the public that it
maintains a public reading room in the Office of the Secretary, through
which the public can obtain access to agency records that the FOIA
requires be made regularly available for public inspection and copying,
including access in electronic form to agency records created on or
after November 1, 1996. The purpose of these changes is to implement
the requirements of section 8 of the Electronic Freedom of Information
Act Amendments of 1996 and provide additional information on how the
public can access records and how it can obtain certain agency records,
such as agency publications, most expeditiously. These changes parallel
rules on expedited processing recently promulgated by the U.S.
Department of Justice. See proposed DOJ rules Secs. 16.2 and 16.5, 62
FR 45185 (Aug. 26, 1997). Although these rules amendments are not yet
in effect, the Commission is prepared currently to entertain requests
for expedited treatment according to the procedures set out in the
proposed amendments.
The Commission proposes to amend paragraph (b) of Sec. 201.18 to
provide that appeals to the Commission of denials of requests by the
Secretary must be filed within 60 days of the date of the letter
denying the request. This will give finality to the request process.
The Commission would also delete the reference in the current rule to
the right to file an appeal if a response to a FOIA request is not
forthcoming within 10 days of the filing of the request. The Electronic
FOIA Amendments have changed the 10-day response requirement to 20
days. A requester would still have the right to file an appeal if no
response were forthcoming after 20 days.
The Commission proposes to amend paragraph (c) of Sec. 201.18 for
conformity to state that persons filing an appeal of a denial of a FOIA
request may request expedited processing of that appeal, and that the
request for expedited processing should conform with the process set
out in Sec. 201.17(b) of the rules.
Finally, the Commission proposes to amend Sec. 201.20 to adjust the
fees for search and review and computer time to reflect current agency
personnel costs. The fees for searches will continue to reflect the
distinction between lower grade clerical/professional and higher grade
professional/managerial staff costs. They are based on January 1997
salary levels for GS-8, step 1, and GS 12, step 1, respectively, plus
agency-paid benefits, as calculated by the Commission's Office of
Finance and Budget. The Commission estimates that these are the average
staff grades in each of these two categories of personnel likely to be
doing such searches. The fees for computer searches and review are also
based on salary level GS-12, step 1, plus agency-paid benefits, which
the Commission estimates is the average staff grade of personnel likely
to be doing such computer searches or review. Other Commission fees
will remain the same: the Commission's copying charge will remain at 10
cents per page, and no fee will be charged unless the fee exceeds
$25.00.
Privacy Act
The Commission's Privacy Act rules are set forth in subpart D of
section 201 (currently 19 CFR 201.22 through 201.32). The proposed
amendments to the Commission's Privacy Act rules are in response to a
comprehensive review of the Commission's Privacy Act compliance
conducted by the Commission's Office of Inspector General and Office of
General Counsel. In general, the Commission proposes to update and
clarify its Privacy Act rules and conform them to the Commission's new
and revised systems of records. See 62 FR 23485 (April 30, 1997). Where
appropriate, the Commission has also based several of the proposed
amendments on the recently published proposed revisions to the
Department of Justice's Privacy Act regulations. See 62 FR 45184 (Aug.
26, 1997).
For clarity, this notice sets forth the Commission's Privacy Act
rules in their entirety although revisions are not proposed for every
provision of the rules. Throughout the proposed rules, the Commission
has changed all references from the ``Director of Personnel'' to
``Privacy Act Officer'' since the Director of Personnel is no longer
the designated Privacy Act Officer. Where necessary, the Commission has
made revisions to cross-references because new sections have been added
and certain paragraphs have been deleted, and has made other minor
changes of a typographical or stylistic nature.
The Commission proposes to amend Sec. 201.22, governing the purpose
and scope of the regulations, by deleting the current text of the rule
and replacing it with language that would clarify that the Privacy Act
rules apply only to those records of individuals found in systems of
records governed by the Privacy Act maintained by the Commission that
are retrieved by an individual's name or other personal identifier. The
Commission also proposes to add a sentence to Sec. 201.22 describing
the scope of the rules, i.e., that the rules set forth procedures
governing access to individual records, requests for amendment or
correction of records, and requests for accounting of disclosures of
records. These proposed changes were modeled on the Department of
Justice's proposed changes to its Privacy Act regulations. See DOJ
proposed rule Sec. 16.40(a), 62 FR 45192 (Aug. 26, 1997).
The only change the Commission proposes for Sec. 201.23, covering
the definitions of the subpart, is to indicate that the Commission's
Privacy Act Officer is now the Director of Administration, rather than
the Director of Personnel.
Section 201.24 governs the procedures an individual must follow to
request his or her records in a system of records. Paragraph (b) of
that section currently requires an individual requesting records to
furnish the name of the system(s) of records containing the requested
records or reasonably describe the requested records. The Commission
proposes to amend paragraph (b) to require that an individual
``whenever possible'' furnish the name of the system of records,
reasonably describe the requested records, and also identify the time
period in which the records were compiled. These revisions will enable
the Commission to locate the requested records in the most efficient
and quickest manner possible and are also in conformity with the
Department of Justice's requirements for access to records. See DOJ
proposed rule Sec. 16.41(b), 62 FR 45192 (Aug. 26, 1997). The
Commission proposes to clarify in paragraph (c) of section 201.24 that
any denials of requests for access to records will be made in writing,
which also is in accordance with the Department of Justice's proposed
rules amendments. See DOJ proposed rule Sec. 16.43(b), 62 FR 45193
(Aug. 26, 1997).
Section 201.25 governs the times, places, and requirements for
identification of individuals making Privacy Act requests. As currently
drafted, Sec. 201.25(d) states that the Commission ``may'' provide for
copies of an individual's records to be sent by mail under certain
circumstances. The Commission proposes to revise that paragraph to
entitle an individual to obtain access to his or her records by
certified mail without first having to establish that the individual is
unable to appear in person, as the rule currently
[[Page 61254]]
requires. That amendment would appear in paragraph (c) rather than (d).
Proposed paragraph (d) contains the requirements for verification of
identity, currently set forth in paragraph (c), and adds identification
requirements for individuals requesting records by certified mail. Such
requirements are consistent with the Department of Justice's proposed
identification rules. See proposed DOJ rule Sec. 16.41(d), 62 FR 45192
(Aug. 26, 1997).
With respect to Sec. 201.26, governing disclosure of requested
information to individuals, the Commission proposes to amend paragraph
(a). The Commission proposes to revise the first sentence by explicitly
requiring that the Privacy Act Officer inform an individual in writing
that his or her request for access to the individual's records has been
granted once the Privacy Act Officer has determined to grant a request
for records. This change conforms more closely to the Department of
Justice's proposed Privacy Act revisions. See proposed DOJ rule
Sec. 16.43(b), 62 FR 45193 (Aug. 26, 1997). The Commission proposes to
amend the second sentence by deleting a cross-reference to paragraph
(c) of Sec. 201.32, since the Commission is proposing to delete that
paragraph, and instead cross-reference to Sec. 201.32 generally
(governing exemptions to disclosure requirements).
The only change the Commission proposes to make in Sec. 201.27,
governing procedures for access to an individual's medical records, is
to change all references from the Director of Personnel to the Privacy
Act Officer.
In Sec. 201.28(a), governing requests for correction or amendment
of records, the Commission proposes to add certain requirements which
have been modeled on the Department of Justice's proposed Privacy Act
rules amendments. See DOJ proposed rule Sec. 16.46(a), 62 FR 45194
(Aug. 26, 1997). If an individual requests an amendment to his or her
records, the Commission proposes to require that the request identify
each particular record in question and the system(s) of records wherein
the records are located, specify the amendment requested, and specify
the reasons why the records are not correct, relevant timely or
complete. The Commission also proposes to have individuals submit any
documentation that would be helpful in determining whether the
requested amendment should be granted.
The Commission proposes to move current Sec. 201.29, governing
review by the Commission of requests for correction or amendment of
records, and renumber it as Sec. 201.30. The Commission proposes that
current Sec. 201.30, which governs disclosure of records to persons
other than the individual to whom it pertains, would become
Sec. 201.29. The Commission proposes this reordering because it
proposes to expand the section governing review by the Commission of
requests for amendment (currently Sec. 201.29) to add provision for
Commission review of requests for access to records and requests for
accounting of disclosure of records. It is thus more logical to have
the section setting forth requests for an accounting of disclosure,
which will be covered in proposed Sec. 201.29, to precede the section
on review by the Commission.
In addition to renumbering the section governing disclosure of
records as Sec. 201.29, the Commission proposes to make other
amendments to that section. First, the Commission proposes to change
the statutory reference in paragraph (a) of proposed Sec. 201.29 from
``5 U.S.C. 552a(b)(1)-(b)(11)'' to ``5 U.S.C. 552a(b).'' In 1982, the
Privacy Act was amended to add subsection (b)(12) (authorizing agencies
to disclose bad-debt information to credit bureaus), which is not
reflected in the current Commission rule. The Commission also proposes
to include in Sec. 201.29 a new paragraph setting forth procedures to
be followed if an individual requests an accounting of disclosures made
of his or her records. The procedures would be in conformity with those
for other Commission Privacy Act requests such as requests for access
to records and amendment of records. The Commission proposes to insert
the provisions governing request procedures at paragraph (e) and
redesignate current paragraph (e) as paragraph (f). Finally, the
Commission proposes to rename the section ``Commission disclosure of
individual records, accounting of record disclosures, and requests for
accounting of record disclosures'' to reflect the expanded scope of the
rule.
Under the proposed revisions, current Sec. 201.29--entitled
``Commission review of request for correction or amendment to
record''--would become Sec. 201.30. The Commission proposes to expand
the scope of that rule to include Commission review of denial of
requests for access to records and denial of requests for an accounting
of disclosure of records. Currently, the Commission rules contain no
procedures for an individual to appeal to the Commission a denial by
the Privacy Act Officer or Inspector General of a request for access or
accountings of disclosure of records. The same appeal process would
apply to all types of denials of requests under the Privacy Act rule.
In addition, the Commission proposes to require an individual to make
such an appeal within 60 days of receipt of the denial of a request by
the Privacy Act Officer or Inspector General. These changes are
consistent with the proposed Privacy Act rules amendments of the
Department of Justice. See DOJ proposed rules Secs. 16.45(a), 16.46(c),
and 16.47(c), 62 FR 45194-45195 (Aug. 26, 1997). To reflect the
expanded scope of section 201.30, the Commission proposes to change the
name of the section from ``Commission review of request for correction
or amendment to record'' to ``Commission review of requests for access
to records, for correction or amendment of records, or for an
accounting of record disclosures.''
In the rule governing fees for Privacy Act requests, Sec. 201.31,
the Commission will maintain its charge of $0.10 per page for copying
an individual's Privacy Act records, but change the provision to
require such fees only if the total cost of copying exceeds $25 rather
than $0.50 as the rule currently provides. This would harmonize the
Privacy Act's fees with the fees charged under FOIA procedures.
In addition, pursuant to 5 U.S.C. 552a(k), the Commission proposes
to amend Sec. 201.32, governing exemptions to certain Privacy Act
requirements, by adding one exemption and deleting three exemptions
currently set forth in the rules. The Commission proposes to delete
three unnecessary general exemptions covering classified records,
statistical records, and investigatory material compiled for
determining suitability for employment, federal contracts, and other
purposes. These exemptions are currently set forth at paragraphs (a),
(b), and (c), respectively. Because these three exemptions are not
applied to specific systems of records, as required by the Privacy Act,
the Commission is proposing to delete them. The remaining two current
exemptions covering Inspector General Investigative Files (General) and
Inspector General Investigative Files (Criminal) will be retained and
become paragraphs (a) and (b) of Sec. 201.32, respectively. The
Commission proposes to add an exemption for the system of records
entitled ``Personnel Security Investigative Files Records'' from
subsections (c)(3), (d), (e)(1), (e)(1)(G), (H) and (I), and (f) of the
Privacy Act. For a complete description of the Personnel Security
Investigative Files Records system, see 62 FR 23485-23496 (April 30,
1997). The Commission proposes to set forth this new exemption at
paragraph (c), to protect from disclosure classified and other
sensitive information.
[[Page 61255]]
Finally, the Commission proposes to add new Sec. 201.33 entitled
``Employee conduct.'' This proposed rule would implement the
requirement of the Privacy Act, set forth at 5 U.S.C. 552a(e)(9), that
agencies establish rules of conduct for persons involved in the design,
development, operation, or maintenance of any system of records, or in
maintaining any record, and instruct each such person with respect to
such rules and the requirements of the Privacy Act.
Regulatory Flexibility Act
In accordance with the Regulatory Flexibility Act (5 U.S.C.
606(b)), the Commission hereby certifies pursuant to 5 U.S.C. 605(b)
that the proposed rules amendments set forth in this notice will not
significantly affect any business or other entities, and thus are not
likely to have a significant economic impact on a substantial number of
small entities.
Executive Order 12866
The Commission has determined that the proposed rules amendments do
not meet the criteria described in section 3(f) of Executive Order
12866 (58 FR 51735, Oct. 4, 1993) (EO) and thus do not constitute a
significant regulatory action for purposes of the EO, since the
revisions will not result in (1) an annual effect on the economy of
$100 million or more, (2) a major increase in costs or prices for
consumers, individual industries, Federal, State, or local government
agencies, or geographic regions, or (3) significant adverse effects on
competition, employment, investment, productivity, innovation, or on
the ability of United States-based enterprises to compete with foreign-
based enterprises in domestic or foreign markets. Accordingly, no
regulatory impact assessment is required.
Unfunded Mandates Reform Act of 1995
The proposed rules amendments will not result in the expenditure by
State, local, and tribal governments, in the aggregate, or by the
private sector, of $100,000,000 or more in any one year, and will not
significantly or uniquely affect small governments. Therefore, no
actions are deemed necessary under the provisions of the Unfunded
Mandates Reform Act of 1995 (Public Law 104-4).
Small Business Regulatory Enforcement Fairness Act of 1996
The proposed rules amendments are not major rules as defined by
section 804 of the Small Business Regulatory Enforcement Fairness Act
of 1996 (Pub. L. 104-121). The proposed amendments will not result in
an annual effect on the economy of $100,000,000 or more; a major
increase in costs or prices; or significant adverse effects on
competition, employment, investment, productivity, innovation, or on
the ability of United States-based companies to compete with foreign-
based companies in domestic and export markets.
Contract With America Advancement Act of 1996
The proposed rules amendments are exempt from the reporting
requirements of the Contract With America Advancement Act of 1996 (Pub.
L. 104-121) because they concern rules ``of agency organization,
procedure, or practice'' that do not substantially affect the rights or
obligations of non-agency parties. See Contract With America
Advancement Act, section 804(3)(c).
Paperwork Reduction Act
The proposed rules amendments are not subject to section 3504(h) of
the Paperwork Reduction Act (44 U.S.C. 3501), since they do not contain
any new information collection requirements.
List of Subjects in 19 CFR Part 201
Administrative practice and procedure, Freedom of information,
Privacy.
For the reasons set out in the preamble, the Commission proposes to
amend 19 CFR part 201, subparts B, C, and D as follows:
PART 201--RULES OF GENERAL APPLICATION
1. It is proposed that the authority citation for part 201 continue
to read as follows:
Authority: Sec. 335 of The Tariff Act of 1930 (19 U.S.C. 1335),
and sec. 603 of the Trade Act of 1974 (19 U.S.C. 2482), unless
otherwise noted.
2. It is proposed that Sec. 201.10 be revised to read as follows:
Sec. 201.10 Public notices.
As required or appropriate, formal notice of the receipt of
documents properly filed, of the institution of investigations, of
public hearings, and of other formal actions of the Commission will be
given by publication in the Federal Register. In addition to such
publication of notice, a copy of each published notice will be posted
at the Office of the Secretary of the Commission in Washington, DC,
and, as appropriate, copies will be sent to press associations, to
trade and similar organizations of producers and importers, and to
others known to the Commission to have an interest in the subject
matter.
3. It is proposed that Sec. 201.17 be revised to read as follows:
Sec. 201.17 Procedures for requesting access to records.
(a) Requests for records. (1) A request for any information or
record shall be addressed to the Secretary, United States International
Trade Commission, 500 E Street SW., Washington, DC 20436 and shall
indicate clearly both on the envelope and in the letter that it is a
``Freedom of Information Act Request.''
(2) Any request shall reasonably describe the requested record to
facilitate location of the record. If the request pertains to a record
that is part of the Commission's file in an investigation, the request
should identify the investigation by number and name. A clear
description of the requested record(s) should reduce the time required
by the Commission to locate and disclose releasable responsive
record(s) and minimize any applicable search and copying charges.
(3) Except as provided in paragraph (b) of this section, requests
will be processed in the order in which they are filed.
(4) Requests for transcripts of hearings should be addressed to the
official hearing reporter, the name and address of which can be
obtained from the Secretary. A copy of such request shall at the same
time be forwarded to the Secretary.
(5) Copies of public Commission reports and other publications can
be requested by calling or writing the Publications Office in the
Office of the Secretary. Generally, such publications can be obtained
more quickly from this office. Certain Commission publications are sold
by the Superintendent of Documents, U.S. Government Printing Office,
and are available from that agency at the price set by that agency.
(6) A day-to-day, composite record will be kept by the Secretary of
each request with the disposition thereof.
(b) Expedited processing. (1) Requests for records under paragraph
(a)(1) of this section will be taken out of order and given expedited
treatment whenever it is determined that they involve:
(i) Circumstances in which the lack of expedited treatment could
reasonably be expected to pose an imminent threat to the life or
physical safety of an individual;
(ii) An urgency to inform the public about an actual or alleged
federal government activity, if made by a person primarily engaged in
disseminating information;
[[Page 61256]]
(iii) The loss of substantial due process rights; or
(iv) A matter of widespread and exceptional media interest in which
there exist possible questions about the government's integrity which
affect public confidence.
(2) A request for expedited processing may be made at the time of
the initial request for records or at any later time.
(3) A requester who seeks expedited processing must submit a
statement, certified to be true and correct to the best of that
person's knowledge and belief, explaining in detail the basis for
requesting expedited processing. For example, a requester within
paragraph (b)(1)(ii) of this section, if not a full-time member of the
news media, must establish that he or she is a person whose main
professional activity or occupation is information dissemination,
though it need not be his or her sole occupation. A requester within
paragraph (b)(1)(ii) of this section also must establish a particular
urgency to inform the public about the government activity involved in
the request, beyond the public's right to know about government
activity generally. The formality of certification may be waived as a
matter of administrative discretion.
(4) Within ten calendar days of receipt of a request for expedited
processing, the Secretary will decide whether to grant it and will
notify the requester of the decision. If a request for expedited
treatment is granted, the request will be given priority and will be
processed as soon as practicable. If a request for expedited processing
is denied, any appeal of that decision will be acted on expeditiously.
(c) Public reading room. The Commission maintains a public reading
room in the Office of the Secretary for access to the records that the
FOIA requires to be made regularly available for public inspection and
copying. Reading room records created by the Commission on or after
November 1, 1996, are available electronically. This includes a current
subject-matter index of reading room records, which will indicate which
records are available electronically.
4. It is proposed that paragraphs (b) and (c) of Sec. 201.18 be
revised to read as follows:
Sec. 201.18 Denial of requests, appeals from denial.
* * * * *
(b) An appeal from a denial of a request must be received within
sixty days of the date of the letter of denial and shall be made to the
Commission and addressed to the Chairman, United States International
Trade Commission, 500 E Street SW., Washington, DC 20436. Any such
appeal shall be in writing, and shall clearly indicate both on the
envelope and in the letter that it is a ``Freedom of Information Act
Appeal.''
(c) Except when expedited treatment is requested and granted,
appeals will be decided in the order in which they are filed, but in
any case within twenty days (excepting Saturdays, Sundays, and legal
holidays) unless an extension, noticed in writing with the reasons
therefor, has been provided to the person making the request. Notice of
the decision on appeal and the reasons therefor will be made promptly
after a decision. Requests for expedited treatment should conform with
the requirements in Sec. 201.17(c) of this part.
5. It is proposed that paragraphs (b)(1)(ii) and (iii) and
(b)(3)(i) of Sec. 201.20 be revised to read as follows:
Sec. 201.20 Fees.
* * * * *
(b) Charges. * * *
(1) Search. * * *
(ii) For each quarter hour spent by agency personnel in salary
grades GS-2 through GS-10 in searching for and retrieving a requested
record, the fee shall be $4.00. When the time of agency personnel in
salary grades GS-11 and above is required, the fee shall be $6.50 for
each quarter hour of search and retrieval time spent by such personnel.
(iii) For computer searches of records, which may be undertaken
through the use of existing programming, requester shall be charged the
actual direct costs of conducting the search, although certain
requesters (as defined in paragraph (c)(2) of this section) shall be
entitled to the cost equivalent of two hours of manual search time
without charge. These direct costs shall include the cost of operating
a central processing unit for that portion of operating time that is
directly attributable to searching for records responsive to a request,
as well as the costs of operator/programmer salary apportionable to the
search (at no more than $6.50 per quarter hour of time so spent).
* * * * *
(3) Review. (i) Review fees shall be assessed with respect to only
those requesters who seek records for a commercial use, as defined in
paragraph (j)(5) of this section. For each quarter hour spent by agency
personnel in reviewing a requested record for possible disclosure, the
fee shall be $6.50.
* * * * *
6. It is proposed that the authority citation for subpart D of part
201 read as follows:
Authority: 5 U.S.C. 552a.
7. It is proposed that subpart D of part 201 be revised to read as
follows:
Subpart D--Safeguarding Individual Privacy Pursuant to 5 U.S.C. 552a
Sec.
201.22 Purpose and scope.
201.23 Definitions.
201.24 Procedures for requests pertaining to individual records in
a records system.
201.25 Times, places, and requirements for identification of
individuals making requests.
201.26 Disclosure of requested information to individuals.
201.27 Special procedures: Medical records.
201.28 Requests for correction or amendment of records.
201.29 Commission disclosure of individual records, accounting of
record disclosures, and requests for accounting of record
disclosures.
201.30 Commission review of requests for access to records, for
correction or amendment to records, and for accounting of record
disclosures.
201.31 Fees.
201.32 Specific exemptions.
201.33 Employee conduct.
Subpart D--Safeguarding Individual Privacy Pursuant to 5 U.S.C.
552a
Sec. 201.22 Purpose and scope.
This subpart contains the rules that the Commission follows under
the Privacy Act of 1974, 5 U.S.C. 552a. The rules in this subpart apply
to all records in systems of records maintained by the Commission that
are retrieved by an individual's name or other personal identifier.
They describe the procedures by which individuals may request access to
records about themselves, request amendment or correction of those
records, and request an accounting of disclosures of those records by
the Commission.
Sec. 201.23 Definitions.
For the purpose of these regulations,
(a) The term individual means a citizen of the United States or an
alien lawfully admitted for permanent residence;
(b) The term maintain includes maintain, collect, use, or
disseminate;
(c) The term record means any item, collection, or grouping of
information about an individual that is maintained by the Commission,
including, but not limited to, his or her education, financial
transactions, medical history, and criminal or employment history and
that contains his or her name, or the identifying number, symbol, or
other
[[Page 61257]]
identifying particular assigned to the individual;
(d) The term system of records means a group of any records under
the control of the Commission from which information is retrieved by
the name of the individual or by some identifying particular assigned
to the individual;
(e) The term Privacy Act Officer refers to the Director, Office of
Administration, United States International Trade Commission, 500 E
Street SW., Washington, DC 20436, or his or her designee.
Sec. 201.24 Procedures for requests pertaining to individual records
in a records system.
(a) A request by an individual to gain access to his or her
record(s) or to any information pertaining to him or her which is
contained in a system of records maintained by the Commission shall be
addressed to the Privacy Act Officer, United States International Trade
Commission, 500 E Street SW., Washington, DC 20436, and shall indicate
clearly both on the envelope and in the letter that it is a Privacy Act
request.
(b) In order to facilitate location of requested records, whenever
possible, the request of the individual shall name the system(s) of
records maintained by the Commission which he or she believes contain
records pertaining to him or her, shall reasonably describe the
requested records, and identify the time period in which the records
were compiled.
(c) The Privacy Act Officer shall acknowledge receipt of a request
within ten days (excluding Saturdays, Sundays, and legal public
holidays), and wherever practicable, indicate whether or not access can
be granted. If access is not to be granted, the requestor shall be
notified of the reason in writing.
(d) The Privacy Act Officer, or, the Inspector General, if such
records are maintained by the Inspector General, shall ascertain
whether the systems of records maintained by the Commission contain
records pertaining to the individual, and whether access will be
granted. Thereupon the Privacy Act Officer shall:
(1) Notify the individual whether or not the requested record is
contained in any system of records maintained by the Commission; and
(2) Notify the individual of the procedures as prescribed in
Secs. 201.25 and 201.26 of this part by which the individual may gain
access to those records maintained by the Commission which pertain to
him or her. Access to the records will be provided within 30 days
(excluding Saturdays, Sundays, and legal public holidays).
Sec. 201.25 Times, places, and requirements for identification of
individuals making requests.
(a) If an individual wishes to examine his or her records in
person, it shall be the responsibility of the individual requester to
arrange an appointment with the Privacy Act Officer for the purpose of
inspecting individual records. The time of inspection shall be during
the regular office hours of the Commission, 8:45 a.m. to 5:15 p.m.,
Monday through Friday. The time arranged should be mutually convenient
to the requester and to the Commission.
(b) The place where an individual may gain access to records
maintained by the Commission which pertain to him or her shall be at
the United States International Trade Commission Building, 500 E Street
SW., Washington, DC 20436. The Privacy Act Officer shall inform the
individual requester of the specific room wherein inspection will take
place.
(c) An individual may also request the Privacy Act Officer to
provide the individual with a copy of his or her records by certified
mail.
(d) An individual who requests to gain access to those records
maintained by the Commission which pertain to him or her shall not be
granted access to those records without first presenting adequate
identification to the Privacy Act Officer. Adequate identification may
include, but is not limited to, a government identification card, a
driver's license, Medicare card, a birth certificate, or a passport. If
requesting records by mail, an individual must provide full name,
current address, and date and place of birth. The request must be
signed and either notarized or submitted under 28 U.S.C. 1746, which
permits statements to be made under penalty of perjury as a substitute
for notarization. In order to help the identification and location of
requested records, a requestor may also, at his or her option, include
the individual's social security number.
Sec. 201.26 Disclosure of requested information to individuals.
(a) Once the Privacy Act Officer has made a determination to grant
a request for access to individual records, in whole or in part, the
Privacy Act Officer shall inform the requesting individual in writing
and permit the individual to review the pertinent records and to have a
copy made of all or any portion of them. Where redactions due to
exemptions pursuant to Sec. 201.32 would render such records or
portions thereof incomprehensible, the Privacy Act Officer shall
furnish an abstract in addition to an actual copy.
(b) An individual has the right to have a person of his or her own
choosing accompany him or her to review his or her records. The Privacy
Act Officer shall permit a person of the individual requester's
choosing to accompany the individual during inspection.
(c) When the individual requests the Privacy Act Officer to permit
a person of the individual's choosing to accompany him or her during
the inspection of his or her records, the Privacy Act Officer shall
require the individual requester to furnish a written statement
authorizing discussion of the records in the accompanying person's
presence.
(d) The Privacy Act Officer shall take all necessary steps to
insure that individual privacy is protected while the individual
requester is inspecting his or her records or while those records are
being discussed. Only the Privacy Act Officer shall accompany the
individual as representative of the Commission during the inspection of
the individual's records. The Privacy Act Officer shall be authorized
to discuss the pertinent records with the individual.
Sec. 201.27 Special procedures: Medical records.
(a) While an individual has an unqualified right of access to the
records in systems of records maintained by the Commission which
pertain to him or her, medical and psychological records merit special
treatment because of the possibility that disclosure will have an
adverse physical or psychological effect upon the requesting
individual. Accordingly, in those instances where an individual is
requesting the medical and/or psychological records which pertain to
him or her, he or she shall, in his or her Privacy Act request to the
Privacy Act Officer as called for in Sec. 201.24(a) of this part,
specify a physician to whom the medical and/or psychological records
may be released.
(b) It shall be the responsibility of the individual requesting
medical or psychological records to specify a physician to whom the
requested records may be released. If an individual refuses to name a
physician and insists on inspecting his or her medical or psychological
records in the absence of a doctor's discussion and advice, the
individual shall so state in his or her Privacy Act request to the
Privacy Act Officer as called for in Sec. 201.24(a) of this part and
the Privacy Act Officer shall provide access to or
[[Page 61258]]
transmit such records directly to the individual.
Sec. 201.28 Requests for correction or amendment of records.
(a) If, upon viewing his or her records, an individual disagrees
with a portion thereof or feels sections thereof to be erroneous, the
individual may request amendment[s] of the records pertaining to him or
her. The individual should request such an amendment in writing and
should identify each particular record in question, the system[s] of
records wherein the records are located, specify the amendment
requested, and specify the reasons why the records are not correct,
relevant timely or complete. The individual may submit any
documentation that would be helpful. The request for amendment of
records shall be addressed to the Privacy Act Officer, United States
International Trade Commission, 500 E Street SW., Washington, DC 20436,
and shall clearly indicate both on the envelope and in the letter that
it is a Privacy Act request for amendment of records.
(b) Not later than 10 days (excluding Saturdays, Sundays and legal
public holidays) after the date of receipt of a Privacy Act request for
amendment of records, the Privacy Act Officer shall acknowledge such
receipt in writing. Such a request for amendment will be granted or
denied by the Privacy Act Officer or, for records maintained by the
Inspector General. If the request is granted, the Privacy Act Officer,
or the Inspector General for records maintained by the Inspector
General, shall promptly make any correction of any portion of the
record which the individual believes is not accurate, relevant, timely,
or complete. If, however, the request is denied, the Privacy Act
Officer shall inform the individual of the refusal to amend the record
in accordance with the individual's request and give the reason(s) for
the refusal. In cases where the Privacy Act Officer or the Inspector
General has refused to amend in accordance with an individual's
request, he or she also shall advise the individual of the procedures
under Sec. 201.30 of this part for the individual to request a review
of that refusal by the full Commission or by an officer designated by
the Commission.
Sec. 201.29 Commission disclosure of individual records, accounting of
record disclosures, and requests for accounting of record disclosures.
(a) It is the policy of the Commission not to disclose, except as
permitted under 5 U.S.C. 552a(b), any record which is contained in any
system of records maintained by the Commission to any person, or to
another agency, except pursuant to a written request by, or with the
prior written consent of, the individual to whom the record pertains.
(b) Except for disclosures either to officers and employees of the
Commission, or to contractor employees who, in the Inspector General's
or the Privacy Act Officer's judgment, as appropriate, are acting as
federal employees, who have a need for the record in the performance of
their duties, and any disclosure required by 5 U.S.C. 552, the Privacy
Act Officer shall keep an accurate accounting of:
(1) The date, nature, and purpose of each disclosure of a record to
any person or to another agency under paragraph (a) of this section;
and
(2) The name or address of the person or agency to whom the
disclosure is made.
(c) The Privacy Act Officer shall retain the accounting required by
paragraph (b) of this section for at least five years or the life of
the record, whichever is longer, after such disclosure.
(d) Except for disclosures made to other agencies for civil or
criminal law enforcement purposes pursuant to 5 U.S.C. 552a(b)(7), the
Privacy Act Officer shall make any accounting made under paragraph (b)
of this section available to the individual named in the record at the
individual's request.
(e) An individual requesting an accounting of disclosure of his or
her records should make the request in writing to the Privacy Act
Officer, United States International Trade Commission, 500 E Street
SW., Washington, DC 20436. The request should identify each particular
record in question and, whenever possible, the system[s] of records
wherein the requested records are located, and clearly indicate both on
the envelope and in the letter that it is a Privacy Act request for an
accounting of disclosure of records.
(f) Where the Commission has provided any person or other agency
with an individual record and such accounting as required by paragraph
(b) of this section has been made, the Privacy Act Officer shall inform
all such persons or other agencies of any correction, amendment, or
notation of dispute concerning said record.
Sec. 201.30 Commission review of requests for access to records, for
correction or amendment to records, and for accounting of record
disclosures.
(a) The individual who disagrees with the refusal of the Privacy
Act Officer or the Inspector General for access to a record, to amend a
record, or to obtain an accounting of any record disclosure, may
request a review of such refusal by the Commission within 60 days of
receipt of the denial of his or her request. A request for review of
such a refusal should be addressed to the Chairman, United States
International Trade Commission, 500 E Street, SW., Washington, DC
20436, and shall clearly indicate both on the envelope and in the
letter that it is a Privacy Act review request.
(b) Not later than 30 days (excluding Saturdays, Sundays, and legal
public holidays) from the date on which the Commission receives a
request for review of the Privacy Act Officer's or the Inspector
General's refusal to grant access to a record, to amend a record, or to
provide an accounting of a record disclosure, the Commission shall
complete such a review and make a final determination thereof unless,
for good cause shown, the Commission extends the 30-day period.
(c) After the individual's request has been reviewed by the
Commission, if the Commission agrees with the Privacy Act Officer's or
the Inspector General's refusal to grant access to a record, to amend a
record, or to provide an accounting of a record disclosure, in
accordance with the individual's request, the Commission shall:
(1) Notify the individual in writing of the Commission's decision;
(2) For requests to amend or correct records, advise the individual
that he or she has the right to file a concise statement of
disagreement with the Commission which sets forth his or her reasons
for disagreement with the refusal of the Commission to grant the
individual's request; and
(3) Notify the individual of his or her legal right, if any, to
judicial review of the Commission's final determination.
(d) In any disclosure, containing information about which the
individual has filed a statement of disagreement regarding an amendment
of an individual's record, the Privacy Act Officer, or, for records
maintained by the Inspector General, the Inspector General, shall
clearly note any portion of the record which is disputed and shall
provide copies of the statement and, if the Commission deems it
appropriate, copies of a concise statement of the reasons of the
Commission for not making the amendments requested, to persons or other
agencies to whom the disputed record has been disclosed.
[[Page 61259]]
Sec. 201.31 Fees.
(a) The Commission shall not charge any fee for the cost of
searching for and reviewing an individual's records.
(b) Reproduction, duplication or copying of records by the
Commission shall be at the rate of $0.10 per page. There shall be no
charge, however, when the total amount does not exceed $25.00.
Sec. 201.32 Specific exemptions.
(a) Pursuant to 5 U.S.C. 552a(k)(2), and in order to protect the
effectiveness of Inspector General investigations by preventing
individuals who may be the subject of an investigation from obtaining
access to the records and thus obtaining the opportunity to conceal or
destroy evidence or to intimidate witnesses, records contained in the
system titled Office of Inspector General Investigative Files
(General), insofar as they include investigatory material compiled for
law enforcement purposes, shall be exempt from this subpart and from
subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) of the
Privacy Act. However, if any individual is denied any right, privilege,
or benefit to which he is otherwise entitled to under Federal law due
to the maintenance of this material, such material shall be provided to
such individual except to the extent that the disclosure of such
material would reveal the identity of a source who furnished
information to government investigators under an express promise that
the identity of the source would be held in confidence.
(b) Pursuant to 5 U.S.C. 552a(j)(2), and in order to protect the
confidentiality and integrity of Inspector General investigations by
preventing individuals who may be the subject of an investigation from
obtaining access to the records and thus obtaining the opportunity to
conceal or destroy evidence or to intimidate witnesses, records
maintained in the Office of Inspector General Investigative Files
(Criminal), insofar as they contain information pertaining to the
enforcement of criminal laws, shall be exempt from this subpart and
from the Privacy Act, except that subsections (b), (c)(1) and (2),
(e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11) and (i) shall
still apply to these records.
(c) Pursuant to 5 U.S.C. 552a(k)(1), (5) and (6), records contained
in the system entitled ``Personnel Security Investigative Files'' have
been exempted from subsections (c)(3), (d), (e)(1), (e)(1)(G)-(I) and
(f) of the Privacy Act. Pursuant to section 552a(k)(1) of the Privacy
Act, the Commission exempts records that contain properly classified
information that pertains to national defense or foreign policy and is
obtained from other systems of records or another Federal agency.
Application of exemption (k)(1) may be necessary to preclude the data
subject's access to and amendment of such classified information under
5 U.S.C. 552a(d). All information about individuals in these records
that meets the criteria stated in 5 U.S.C. 552a(k)(5) is also exempted
because this system contains investigatory material compiled solely for
determining suitability, eligibility, and qualifications for Federal
civilian employment, Federal contracts or access to classified
information. To the extent that the disclosure of such material would
reveal the identity of a source who furnished information to the
Government under an express promise that the identity of the source
would be held in confidence, or, prior to September 27, 1975, under an
implied promise that the identity of the source would be held in
confidence, the application of exemption (k)(5) will be required to
honor such a promise should an individual request access to the
accounting of disclosure, or access to or amendment of the record, that
would reveal the identity of a confidential source. All information in
these records that meets the criteria stated in 5 U.S.C. 552a(k)(6) is
also exempt because portions of a case file record may relate to
testing and examining material used solely to determine individual
qualifications for appointment or promotion in the Federal service.
Access to or amendment of this information by the data subject would
compromise the objectivity and fairness of the testing or examining
process.
Sec. 201.33 Employee conduct.
The Privacy Act Officer shall establish rules of conduct for
persons involved in the design, development, operation, or maintenance
of any system of records, or in maintaining any record, and
periodically instruct each such person with respect to such rules and
the requirements of the Privacy Act including the penalties for
noncompliance.
Issued: November 7, 1997.
By order of the Commission.
Donna R. Koehnke,
Secretary.
[FR Doc. 97-29865 Filed 11-14-97; 8:45 am]
BILLING CODE 7020-02-P
