[Title 40 CFR 1602]
[Code of Federal Regulations (annual edition) - July 1, 2002 Edition]
[Title 40 - PROTECTION OF ENVIRONMENT]
[Chapter Vi - CHEMICAL SAFETY AND HAZARD INVESTIGATION BOARD]
[Part 1602 - PROTECTION OF PRIVACY AND ACCESS TO INDIVIDUAL RECORDS UNDER THE PRIVACY ACT OF 1974]
[From the U.S. Government Printing Office]
40PROTECTION OF ENVIRONMENT282002-07-012002-07-01falsePROTECTION OF PRIVACY AND ACCESS TO INDIVIDUAL RECORDS UNDER THE PRIVACY ACT OF 19741602PART 1602PROTECTION OF ENVIRONMENTCHEMICAL SAFETY AND HAZARD INVESTIGATION BOARD
PART 1602--PROTECTION OF PRIVACY AND ACCESS TO INDIVIDUAL RECORDS UNDER THE PRIVACY ACT OF 1974--Table of Contents
Sec.
1602.1 General provisions.
1602.2 Requests for access to records.
1602.3 Responsibility for responding to requests for access to records.
1602.4 Responses to requests for access to records.
1602.5 Appeals from denials of requests for access to records.
1602.6 Requests for amendment or correction of records.
1602.7 Requests for accountings of record disclosures.
1602.8 Preservation of records.
1602.9 Fees.
1602.10 Notice of court-ordered and emergency disclosures.
Authority: 5 U.S.C. 552a, 553; 42 U.S.C. 7412 et seq.
Source: 66 FR 17080, Mar. 29, 2001, unless otherwise noted.
Sec. 1602.1 General provisions.
(a) Purpose and scope. This part contains the rules that the
Chemical Safety and Hazard Investigation Board (``CSB'' or ``Board'')
follows under the Privacy Act of 1974, 5 U.S.C. 552a. These rules should
be read together with the Privacy Act, which provides additional
information about records maintained on individuals. The rules in this
part apply to all records in systems of records maintained by the CSB
that are retrieved by an individual's name or 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 CSB. In addition, the CSB processes all Privacy Act requests for
access to records under the Freedom of Information Act (FOIA), 5 U.S.C.
552, following the rules contained in part 1601 of this chapter, which
gives requests the benefit of both statutes.
(b) Definitions. As used in this part:
Requester means an individual who makes a request for access, a
request for amendment or correction, or a request for an accounting
under the Privacy Act.
Request for access to a record means a request made as described in
subsection (d)(1) of the Privacy Act, 5 U.S.C. 552a.
Request for amendment or correction of a record means a request made
as described in subsection (d)(2) of the Privacy Act, 5 U.S.C. 552a.
Request for an accounting means a request made as described in
subsection (c)(3) of the Privacy Act, 5 U.S.C. 552a.
Sec. 1602.2 Requests for access to records.
(a) How made and addressed. You may make a request for access to a
CSB record about yourself by appearing in person or by writing to the
CSB. Your request should be sent or delivered to the CSB's General
Counsel, at 2175 K Street, NW., 4th Floor, Washington, DC 20037. For the
quickest possible handling, you should mark both your request letter and
the envelope ``Privacy Act Request.''
(b) Description of records sought. You must describe the records
that you want in enough detail to enable CSB personnel to locate the
system of records containing them with a reasonable amount of effort.
Whenever possible, your request should describe the records sought, the
time periods in which you believe they were compiled, and the name or
identifying number of each system of records in which you believe they
are kept. The CSB publishes notices in the Federal Register that
describe its systems of records. A description of the CSB's systems of
records also may be found as part of the ``Privacy Act Compilation''
published by the National Archives and Records Administration's Office
of the Federal Register. This compilation is available in most large
reference and university libraries. This compilation also can be
accessed electronically at the Government Printing Office's World Wide
Web site (which can be found at http://www.access.gpo.gov/su--docs).
(c) Agreement to pay fees. If you make a Privacy Act request for
access to records, it shall be considered an agreement by you to pay all
applicable fees charged under Sec. 1602.9 up to $25.00. The CSB
ordinarily will confirm this agreement in an acknowledgment letter. When
making a request, you may
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specify a willingness to pay a greater or lesser amount.
(d) Verification of identity. When you make a request for access to
records about yourself, you must verify your identity. You must state
your full name, current address, and date and place of birth. You must
sign your request and your signature must either be notarized or
submitted by you under 28 U.S.C. 1746, a law that 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, you
may also, at your option, include your social security number.
(e) Verification of guardianship. When making a request as the
parent or guardian of a minor or as the guardian of someone determined
by a court to be incompetent, for access to records about that
individual, you must establish:
(1) The identity of the individual who is the subject of the record,
by stating the name, current address, date and place of birth, and, at
your option, the social security number of the individual;
(2) Your own identity, as required in paragraph (d) of this section;
(3) That you are the parent or guardian of that individual, which
you may prove by providing a copy of the individual's birth certificate
showing your parentage or by providing a court order establishing your
guardianship; and
(4) That you are acting on behalf of that individual in making the
request.
Sec. 1602.3 Responsibility for responding to requests for access to records.
(a) In general. In determining which records are responsive to a
request, the CSB ordinarily will include only those records in its
possession as of the date the CSB begins its search for them. If any
other date is used, the CSB will inform the requester of that date.
(b) Authority to grant or deny requests. The CSB's General Counsel,
or his/her designee, is authorized to grant or deny any request for
access to a record of the CSB.
(c) Consultations and referrals. When the CSB receives a request for
access to a record in its possession, it will determine whether another
agency of the Federal Government is better able to determine whether the
record is exempt from access under the Privacy Act. If the CSB
determines that it is best able to process the record in response to the
request, then it will do so. If the CSB determines that it is not best
able to process the record, then it will either:
(1) Respond to the request regarding that record, after consulting
with the agency best able to determine whether the record is exempt from
access and with any other agency that has a substantial interest in it;
or
(2) Refer the responsibility for responding to the request regarding
that record to another agency that originated the record (but only if
that agency is subject to the Privacy Act). Ordinarily, the agency that
originated a record will be presumed to be best able to determine
whether it is exempt from access.
(d) Notice of referral. Whenever the CSB refers all or any part of
the responsibility for responding to your request to another agency, it
ordinarily will notify you of the referral and inform you of the name of
each agency to which the request has been referred and of the part of
the request that has been referred.
(e) Timing of responses to consultations and referrals. All
consultations and referrals shall be handled according to the date the
Privacy Act access request was initially received by the CSB, not any
later date.
Sec. 1602.4 Responses to requests for access to records.
(a) Acknowledgments of requests. On receipt of your request, the CSB
ordinarily will send an acknowledgment letter, which shall confirm your
agreement to pay fees under Sec. 1602.2(c) and may provide an assigned
request number for further reference.
(b) Grants of requests for access. Once the CSB makes a
determination to grant your request for access in whole or in part, it
will notify you in writing. The CSB will inform you in the notice of any
fee charged under Sec. 1602.9 and will disclose records to you promptly
on payment of any applicable fee. If your request is made in person, the
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CSB may disclose records to you directly, in a manner not unreasonably
disruptive of its operations, on payment of any applicable fee and with
a written record made of the grant of the request. If you are
accompanied by another person when you make a request in person, you
shall be required to authorize in writing any discussion of the records
in the presence of the other person.
(c) Adverse determinations of requests for access. If the CSB makes
an adverse determination denying your request for access in any respect,
it will notify you of that determination in writing. Adverse
determinations, or denials of requests, consist of: a determination to
withhold any requested record in whole or in part; a determination that
a requested record does not exist or cannot be located; a determination
that what has been requested is not a record subject to the Privacy Act;
a determination on any disputed fee matter; and a denial of a request
for expedited treatment. The notification letter shall be signed by the
General Counsel, or his/her designee, and shall include:
(1) The name and title or position of the person responsible for the
denial;
(2) A brief statement of the reason(s) for the denial, including any
Privacy Act exemption(s) applied by the CSB in denying the request; and
(3) A statement that the denial may be appealed under Sec. 1602.5(a)
and a description of the requirements of Sec. 1602.5(a).
Sec. 1602.5 Appeals from denials of requests for access to records.
(a) Appeals. If you are dissatisfied with the CSB's response to your
request for access to records, you may appeal an adverse determination
denying your request in any respect to the Privacy Act Appeals Officer
of the CSB, 2175 K Street, NW., Suite 400, Washington, DC 20037. You
must make your appeal in writing, and it must be received within 60 days
of the date of the letter denying your request. Your appeal letter may
include as much or as little related information as you wish, as long as
it clearly identifies the determination (including the assigned request
number, if any) that you are appealing. For the quickest possible
handling, you should mark both your appeal letter and the envelope
``Privacy Act Appeal.''
(b) Responses to appeals. The decision on your appeal will be made
in writing. A decision affirming an adverse determination in whole or in
part will include a brief statement of the reason(s) for the affirmance,
including any Privacy Act exemption applied, and will inform you of the
Privacy Act provisions for court review of the decision. If the adverse
determination is reversed or modified on appeal in whole or in part, you
will be notified in a written decision and your request will be
reprocessed in accordance with that appeal decision.
(c) When appeal is required. If you wish to seek review by a court
of any adverse determination or denial of a request, you must first
appeal it under this section.
Sec. 1602.6 Requests for amendment or correction of records.
(a) How made and addressed. You may make a request for amendment or
correction of a CSB record about yourself by following the procedures in
Sec. 1602.2. Your request should identify each particular record in
question, state the amendment or correction that you want, and state why
you believe that the record is not accurate, relevant, timely, or
complete. You may submit any documentation that you think would be
helpful.
(b) CSB responses. Within ten working days of receiving your request
for amendment or correction of records, the CSB will send you a written
acknowledgment of its receipt of your request, and it will promptly
notify you whether your request is granted or denied. If the CSB grants
your request in whole or in part, it will describe the amendment or
correction made and advise you of your right to obtain a copy of the
corrected or amended record. If the CSB denies your request in whole or
in part, it will send you a letter stating:
(1) The reason(s) for the denial; and
(2) The procedure for appeal of the denial under paragraph (c) of
this section, including the name and business address of the official
who will act on your appeal.
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(c) Appeals. You may appeal a denial of a request for amendment or
correction in the same manner as a denial of a request for access to
records (see Sec. 1602.5), and the same procedures will be followed. If
your appeal is denied, you will be advised of your right to file a
Statement of Disagreement as described in paragraph (d) of this section
and of your right under the Privacy Act for court review of the
decision.
(d) Statements of Disagreement. If your appeal under this section is
denied in whole or in part, you have the right to file a Statement of
Disagreement that states your reason(s) for disagreeing with the CSB's
denial of your request for amendment or correction. Statements of
Disagreement must be concise, must clearly identify each part of any
record that is disputed, and should be no longer than one typed page for
each fact disputed. Your Statement of Disagreement must be sent to the
CSB, which will place it in the system of records in which the disputed
record is maintained and will mark the disputed record to indicate that
a Statement of Disagreement has been filed and where in the system of
records it may be found.
(e) Notification of amendment/correction or disagreement. Within 30
working days of the amendment or correction of a record, the CSB shall
notify all persons, organizations, or agencies to which it previously
disclosed the record, if an accounting of that disclosure was made, that
the record has been amended or corrected. If an individual has filed a
Statement of Disagreement, the CSB will attach a copy of it to the
disputed record whenever the record is disclosed and may also attach a
concise statement of its reason(s) for denying the request to amend or
correct the record.
Sec. 1602.7 Requests for an accounting of record disclosures.
(a) How made and addressed. Except where accountings of disclosures
are not required to be kept (as stated in paragraph (b) of this
section), you may make a request for an accounting of any disclosure
that has been made by the CSB to another person, organization, or agency
of any record about you. This accounting contains the date, nature, and
purpose of each disclosure, as well as the name and address of the
person, organization, or agency to which the disclosure was made. Your
request for an accounting should identify each particular record in
question and should be made by writing to the CSB, following the
procedures in Sec. 1602.2.
(b) Where accountings are not required. The CSB is not required to
provide accountings to you where they relate to disclosures for which
accountings are not required to be kept---in other words, disclosures
that are made to employees within the agency and disclosures that are
made under the FOIA.
(c) Appeals. You may appeal a denial of a request for an accounting
to the CSB Appeals Officer in the same manner as a denial of a request
for access to records (see Sec. 1602.5) and the same procedures will be
followed.
Sec. 1602.8 Preservation of records.
The CSB will preserve all correspondence pertaining to the requests
that it receives under this part, as well as copies of all requested
records, until disposition or destruction is authorized by Title 44 of
the United States Code or the National Archives and Records
Administration's General Records Schedule 14. Records will not be
disposed of while they are the subject of a pending request, appeal, or
lawsuit under the Privacy Act.
Sec. 1602.9 Fees.
The CSB will charge fees for duplication of records under the
Privacy Act in the same way in which it charges duplication fees under
the FOIA (see part 1601, subpart D of this chapter). No search or review
fee will be charged for any record.
Sec. 1602.10 Notice of court-ordered and emergency disclosures.
(a) Court-ordered disclosures. When a record pertaining to an
individual is required to be disclosed by a court order, the CSB will
make reasonable efforts to provide notice of this to the individual.
Notice will be given within a reasonable time after the CSB's receipt of
the order--except that in a case in which the order is not a matter of
public record, the notice will be given only
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after the order becomes public. This notice will be mailed to the
individual's last known address and will contain a copy of the order and
a description of the information disclosed.
(b) Emergency disclosures. Upon disclosing a record pertaining to an
individual made under compelling circumstances affecting health or
safety, the CSB will notify that individual of the disclosure. This
notice will be mailed to the individual's last known address and will
state the nature of the information disclosed; the person, organization,
or agency to which it was disclosed; the date of disclosure; and the
compelling circumstances justifying the disclosure.