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pursuant to 5 U.S.C. 552a(k)(2), the Of- sign a form stating that the Office of fice must review the requested record Independent Counsel is authorized to to determine whether information in disclose the record in the presence of the record has been used or is being both individuals. used to deny the individual any right, privilege, or benefit for which he would $700.17 Fees for access to records. otherwise be eligible or to which he (a) When charged. The Office shall would otherwise be entitled under fed- charge fees pursuant to 5 U.S.C. eral law. If so, the Office shall notify 552a(f)(5) for the copying of records to the requester of the existence of the afford access to individuals unless the record and disclose such information to Office, in its discretion, waives or rethe requester, except to the extent that

duces the fees for good cause shown. the information would identify a con- The Office shall charge fees only at the fidential source. In cases when disclo

rate of $0.10 per page. For materials sure of information in a law-enforce- other than paper copies, the Office may ment record could reasonably be ex

charge the direct costs of reproduction, pected to identify confidential

but only if the requester has been notisource, the record shall not be dis

fied of such costs before they are inclosed to the requester unless the Of

curred. Fees shall not be charged when fice is able to delete from such infor

they would amount, in the aggregate, mation all material that would iden

for one request or for a series of related tify the confidential source.

requests, to less than $3.00. However, (b) Employee background investiga

the Office may, in its discretion, intions. When a requester requests access crease the amount of this minimum to a record pertaining to a background fee. investigation and the record has been

(b) Notice of estimated fees in ercess of exempted from access pursuant to 5 $25. When the Office determines or estiU.S.C. 552a(k)(5), the record shall not

mates that the fees to be charged under be disclosed to the requester unless the

this section may amount to more than Office is able to delete from such

$25, the Office shall notify the rerecord all information that would iden

quester as soon as practicable of the tify a confidential source.

actual or estimated amount of the fee.

unless the requester has indicated in 8700.16 Access to records.

advance his willingness to pay a fee as (a) Manner of access. The Office, once high as that anticipated. (If only a porit has made a determination to grant a tion of the fee can be estimated readrequest for access, shall grant the re- ily, the Office shall advise the requester access to the requested record

quester that the estimated fee may be by

only a portion of the total fee.) When (1) Providing the requester with a the estimated fee exceeds $25 and the copy of the record or

Office has so notified the requester, the (2) Making the record available for

Office will be deemed not to have reinspection by the requester at a rea

ceived the request for access to records sonable time and place.

until the requester has agreed to pay The Office shall in either case charge the anticipated fee. A notice to a rethe requester applicable fees in accord- quester pursuant to this paragraph ance with the provisions of $ 700.17. If shall offer him the opportunity to conthe Office provides access to a record fer with Office personnel with the obby making the record available for in- ject of reformulating his request to spection by the requester, the manner meet his needs at a lower cost. of such inspection shall not unreason- (c) Form of payment. Requesters must ably disrupt the operations of the Of- pay fees by check or money order made fice.

payable to the Treasury of the United (b) Accompanying person. A requester States. appearing in person to review his (d) Advance deposits. (1) When the esrecords may be accompanied by an- timated fee chargeable under this secother individual of his own choosing. tion exceeds $25, the Office may require Both the requester and the accom- a requester to make an advance deposit panying person shall be required to of 25 percent of the estimated fee or an

1

cess.

advance payment of $25, whichever is $700.19 Preservation of records. greater.

The Office shall preserve all cor(2) When a requester has previously respondence relating to the requests it failed to pay a fee charged under this

receives under this subpart, and all part, the requester must pay the Office records processed pursuant to such rethe full amount owed and make an ad- quests, until such time as the destrucvance deposit of the full amount of any tion of such correspondence and estimated fee before the Office shall be records is authorized pursuant to title required to process a new or pending 44 of the U.S. Code. Under no cirrequest for access from that requester. cumstances shall records be destroyed

while they are the subject of a pending $ 700.18 Appeals from denials of ac- request for access, appeal, or lawsuit

under the Act. (a) Appeals to Independent Counsel.

$700.20 Requests for

correction of When the Office denies in whole or part records. a request for access to records, the re

(a) How made. Unless a record is exquester may appeal the denial to Inde

empted from correction and amendpendent Counsel within 30 days of his

ment, an individual may submit a rereceipt of the notice denying his re

quest for correction of a record perquest. An appeal to Independent Coun

taining to him. A request for correcsel shall be made in writing, addressed

tion must be made in writing. The reto the Office of Independent Counsel, quest must identify the particular suite 701 West, 555 Thirteenth Street, record in question, state the correction NW., Washington, DC 20004. Both the sought, and set forth the justification envelope and the letter of appeal itself for the correction. Both the envelope must be clearly marked: “Privacy Act and the request for correction itself Appeal."

must be clearly marked: “Privacy Act (b) Action on appeals. Unless Inde- Correction Request.” pendent Counsel otherwise directs, he

(b) Initial determination. Within 10 or his designee shall act on all appeals

working days of receiving a request for under this section, except that: A de

correction, the Office shall notify the nial of a request for access by Inde

requester whether his request will be

granted or denied, in whole or in part. pendent Counsel, or his designee, shall

If the Office grants the request for corconstitute the final action of the Office

rection in whole or in part, it shall adon that request.

vise the requester of his right to obtain (c) Form of action on appeal. The dis

a copy of the corrected record, in reposition of an appeal shall be in writ

leasable form, upon request. If the Ofing. A decision affirming in whole or in fice denies the request for correction in part the denial of a request for access whole or in part, it shall notify the reshall include a brief statement of the

quester in writing of the denial. The reason or reasons for the affirmance, notice of denial shall state the reason including each Privacy Act exemption or reasons for the denial and advise the relied upon and its relation to each requester of his right to appeal. record withheld, and a statement that (c) Appeals. When a request for corjudicial review of the denial is avail- rection is denied in whole or in part, able in the United States District the requester may appeal the denial to Court for the judicial district in which Independent Counsel within 30 days of the requester resides or has hi prin

his receipt of the notice denying his recipal place of business, the judicial dis

quest. An appeal to Independent Countrict in which the requested records are

sel shall be made in writing, shall set located, or the District of Columbia. If

forth the specific item of information the denial of a request for access is re

sought to be corrected, and shall in

clude any documentation said to jusversed on appeal, the requester shall be

tify the correction. An appeal shall be so notified and the request shall be

addressed to the Office of Independent processed promptly in accordance with

Counsel, suite 701 West, 555 Thirteenth the decision on appeal.

Street, NW., Washington, DC 20004.

tion of a record, the Office shall advise all agencies to which it previously disclosed the record that the record has been corrected. Whenever an individual has filed a statement of disagreement, the Office shall append a copy of the statement to the disputed record whenever the record is disclosed. The Office may also append to the disputed record any written statement it has made giving the Office's reasons for denying the request to correct the record.

or

Both the envelope and the letter of appeal itself must be clearly marked: "Privacy Act Correction Appeal.”

(d) Determination on appeal. Independent Counsel, or his designee, shall decide all appeals from denials or requests to correct records. All such appeals shall be decided within 30 working days of receipt of the appeal, unless there is good cause to extend this period. If the denial of a request is affirmed on appeal, the requester shall be so notified in writing and advised of

(1) The reason or reasons the denial has been affirmed,

(2) The requester's right to file a Statement of Disagreement, as provided in paragraph (e) of this section, and

(3) The requester's right to obtain judicial review of the denial in the United States District Court for the judicial district in which the requester resides or has his principal place of business, the judicial district in which the record is located, or the District of Columbia. If the denial is reversed on appeal, the requester shall be so notified and the request for correction shall be remanded to the Office for processing in accordance with the decision on appeal.

(e) Statements of disagreement. A requester whose appeal under this section is denied shall have the right to file a Statement of Disagreement with the Office of Independent Counsel, Suite 701 West, 555 Thirteenth Street, NW., Washington, DC 20004, within 30 days of receiving notice of denial of his appeal. Statements of disagreement may not exceed one typed page per fact disputed. Statements exceeding this limit shall be returned to the requester for condensation. Upon receipt of a statement of disagreement under this section, Independent Counsel, or his designee, shall have the statement included in the system of records in which the disputed record is maintained and shall have the disputed record marked so as to indicate

(1) That a statement of disagreement has been filed, and

(2) Where in the system of records the statement of disagreement may be found.

(f) Notices of correction or disagreement. Within 30 working days of the correc

8700.21 Records not subject to correc

tion. The following records are not subject to correction or amendment as provided in $ 700.20:

(a) Transcripts of testimony given under oath or written statements made under oath;

(b) Transcripts of grand jury proceedings, judicial proceedings, quasi-judicial proceedings that constitute the official record of such proceedings;

(c) Presentence records that are the property of the courts, but may be maintained by the Office in a system of records; and

(d) Records duly exempted from correction pursuant to 5 U.S.C. 552a(j) or 552a(k) by notice published in the FEDERAL REGISTER.

$ 700.22 Request for accounting of

record disclosures. (a) An individual may request the Office to provide him with an accounting of those other agencies to which the Office has disclosed the record, and the date, nature, and purpose of each disclosure. A request for an accounting must be made in writing and must identify the particular record for which the accounting is requested. The request also must be addressed to the Office and both the envelope and the request itself must clearly be marked: "Privacy Act Accounting Request."

(b) The Office shall not be required to provide an accounting to an individual to the extent that the accounting relates to

(1) Records for which no accounting must be kept pursuant to 5 U.S.C. 552a(c)(1),

or agency to whom it was disclosed, the date of disclosure, and the compelling circumstances justifying the disclosure. The officer who made or authorized the disclosure shall be responsible for providing such notification.

(2) Disclosures of records to law-enforcement agencies for lawful law-enforcement activities, pursuant to written requests from such law-enforcement agencies specifying records sought and the law-enforcement activities for which the records are sought, under 5 U.S.C. 552a (c)(3) and (b)(7), or

(3) Records for which an accounting need not be disclosed pursuant to 5 U.S.C. 552a (j) or (k).

(C) A denial of a request for an accounting may be appealed to Independent Counsel in the same manner as a denial of a request for access, with both the envelope and the letter of appeal itself clearly marked: “Privacy Act Accounting Appeal." $700.23 Notice of subpoenas and emer

gency disclosures. (a) Subpoenas. When records pertaining to an individual are subpoenaed by a grand jury, court, or quasi-judicial authority, the official served with the subpoena shall be responsible for ensuring that written notice of its service is forwarded to the individual. Notice shall be provided within 10 working days of the service of the subpoena or, in the case of a grand jury subpoena, within 10 working days of its becoming a matter of public record. Notice shall be mailed to the last known address of the individual and shall contain the following information: The date the subpoena is returnable, the court or quasi-judicial authority to which it is returnable, the name and number of the case of proceeding, and the nature of the records sought. Notice of the service of a subpoena is not required if the system of records has been exempted from the notice requirement of 5 U.S.C. 552a(e)(8), pursuant to 5 U.S.C. 552a(3), by a Notice of Exemption published in the FEDERAL REGISTER.

(b) Emergency disclosures. If the record of an individual has been disclosed to any person under compelling circumstances affecting the health safety of any person, as described in 5 U.S.C. 552a(b)(8), the individual to whom the record pertains shall be notified of the disclosure at his last known address within 10 working days. The notice of such disclosure shall be in writing and shall state the nature of the information disclosed, the person

$ 700.24 Security of systems of records.

(a) The Office Administrator or Security Officer shall be responsible for issuing regulations governing the security of systems of records. To the extent that such regulations govern the security of automated systems of records, the regulations shall be consistent with the guidelines developed by the National Bureau of Standards.

(b) The Office shall establish administrative and physical controls to prevent unauthorized access to its systems of records, to prevent the unauthorized disclosure of records, and to prevent the unauthorized disclosure of records, and to prevent the physical damage or destruction of records. The stringency of such controls shall reflect the sensitivity of the records the controls protect. At a minimum, however, the Office's administrative and physical controls shall ensure that,

(1) Records are protected from public view,

(2) The area in which records are kept is supervised during business hours to prevent unauthorized persons from having access to the records, and

(3) Records are inaccessible to unauthorized persons outside of business hours.

(c) The Office shall establish rules restricting access to records to only those individuals within the Office who must have access to such records in order to perform their duties. The Office also shall adopt procedures to prevent the

accidental disclosure of records or the accidental granting of access to records.

or

$700.25 Use and collection of social se

curity numbers. (a) Each system manager of a system of records that utilizes Social Security numbers as a method of identification without statutory authorization, or authorization by regulation adopted prior to January 1, 1975, shall take steps to revise the system to avoid future collection and use of the Social Security numbers.

(b) The Office shall take such measures as are necessary to ensure that employees authorized to collect information from individuals are advised that individuals may not be required to furnish Social Security numbers without statutory or regulatory authorization and that individuals who are requested to provide Social Security numbers voluntarily must be advised that furnishing the number is not required and that no penalty or denial of benefits will flow from the refusal to provide it.

or

of

(ii) The principal purposes for which the Office intends to use the information,

(iii) The routine uses the Office may make of the information, and

(iv) The effects upon the individual of not furnishing the information;

(5) Maintain all records that are used by the agency in making any determination about any individual with such accuracy, relevance, timeliness, and completeness as to assure fairness to the individual in the determination;

(6) Except as to disclosures to an agency pursuant to 5 U.S.C. 552a(b)(2), make reasonable efforts, prior to disseminating any record about an individual, to assure that such records are accurate, relevant, timely, and complete;

(7) Maintain no record concerning an individual's religious or political beliefs or activities, or his membership in associations or organizations, unless

(i) The individual has volunteered such information for his own benefit,

(ii) A statute expressly authorizes the Office to collect, maintain, use or disseminate the information, or

(iii) The individual's beliefs, activities, or membership are pertinent to and within the scope of an authorized law-enforcement or correctional activity;

(8) Notify the head of the Office of the existence or development of any system of records that has not been disclosed to the public;

(9) When required by the Act, maintain an accounting in the prescribed form of all disclosures of records by the Office to agencies or individuals whether verbally or in writing;

(10) Disclose no record to anyone, except within the Office, for any use, unless authorized by the Act;

(11) Maintain and use records with care to prevent the inadvertent disclosure of a record to anyone; and

(12) Notify the head of the Office of any record that contains information that the Act or the foregoing provisions of this paragraph do not permit the Office to maintain.

(c) Not less than once a year, the head of each Office shall review the systems of records maintained by that Office to ensure that the Office is in

$ 700.26 Employee standards of con

duct. (a) The Office shall inform its employees of the provisions of the Privacy Act, including the Act's civil liability and criminal penalty provisions. The Office also shall notify its employees that they have a duty to

(1) Protect the security of records,

(2) Assure the accuracy, relevance, timeliness, and completeness records,

(3) Avoid the unauthorized disclosure, either verbal written, of records, and

(4) Ensure that the Office maintains no system of records without public notice.

(b) Except to the extent that the Privacy Act permits such activities, an employee of the Office of Independent Counsel shall:

(1) Not collect information of a personal nature from individuals unless the employee is authorized to collect such information to perform a function or discharge a responsibility of the Office;

(2) Collect from individuals only that information that is necessary to the performance of the functions or to the discharge of the responsibilities of the Office;

(3) Collect information about an individual directly from that individual, whenever practicable;

(4) Inform each individual from whom information is collected of

(i) The legal authority that authorizes the Office to collect such information,

or

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