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[2001 Privacy Act]
[From the U.S. Government Printing Office via GPO Access]


[Page 17810-75159]



   #.JUSTICE DEPARTMENT


Title 28-Judicial Administration

Chapter I-Department of Justice

PART 16--PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION

Subpart D--Protection of Privacy and Access to Individual Records Under 
the Privacy Act of 1974

Sec.
16.40  General provisions.
16.41  Requests for access to records.
16.42  Responsibility for responding to requests for access to records.
16.43  Responses to requests for access to records.
16.44  Classified information.
16.45  Appeals from denials of requests for access to records.
16.46  Requests for amendment or correction of records.
16.47  Requests for an accounting or record disclosures.
16.48  Preservation of records.
16.49  Fees.
16.50  Notice of court-ordered and emergency disclosures.
16.51  Security of systems or records.
16.52  Contracts for the operation of record systems.
16.53  Use and collection of social security numbers.
16.54  Employee standards of conduct.
16.55  Other rights and services.

Subpart E-Exemption of Records Systems Under the Privacy Act

16.70  Exemption of the Office of the Attorney General System--limited 
    access.
16.71  Exemption of the Office of the Deputy General System-limited 
    accrss.
16.72  Exemption of Office of the Associate Attorney General System-
    limited access.
16.73  Exemption of Office of Legal Policy System-limited access.
16.74  Exemption of Office of Intelligence Policy and Review systems-
    limited access.
16.75  Exemption of the Office of the Inspector General systems-limited 
    access.
16.76  Exemption of Justice Management Division.
16.77  Exemption of U.S. Trustee Program system-limited access.
16.78  Exemption of the Special Counsel for Immigration-Related, Unfair 
    employment Practices Systems.
16.79  Exemption of Pardon Attorney Systems.
16.80  Exemption of Office of Professional Responsibility system-limited 
    access.
16.81  Exemption of United States Attorneys systems-limited access.
16.82  Exemption of the National Drug Intelligence Center Data Base-
    limited access.
16.83  Exemption of the Executive Office for Immigration Review System-
    limited access.
16.84  Exemption of Immigration Appeals System.
16.85 Exemption of U.S. Parole Commission-limited access.
16.88  Exemption of Antitrust Division systems-limited access.
16.89  Exemption of Civil Division Systems-limited access.
16.90  Exemption of Civil rights Division Systems.
16.91  Exemption of Criminal Division Systems--limited access, as 
    indicated.
16.92  Exemption of Environment and Naturadl Resources Division Systems-
    -limited access.
16.93  Exemption of Tax Division Systems--limited access.
16.96  Exemption of Federal Bureau of Investigation systems-limited 
    access.
16.97  Exemption of Bureau of Prisons systems-limited access.
16.98  Exemption of the Drug Enforcement Administration (DEA)-limited 
    access.
16.99  Exemption of Immigration and Naturalization Service System-
    limited access.
16.100  Exemption of Office of Justice Programs-limited access.
16.101  Exemption of U.S. Marshals Service Systems-limited access, as 
    indicated.
16.102  Exemption of Drug Enforcement Administration and Immigration and 
    Naturalization Service Joint System of Records.
16.103  Exemption of the INTERPOL-United States national Central bureau 
    (INTERPOL-USNCB) System.
16.104  Exemption of Office of Special Counsel-Waco System.
16.130  Exemption of Department of Justice Systems; Correspondence 
    Management; Systems for the Department of Justice (DOJ-003); Freedom 
    of Information Act, Privacy Act and mandatory Declassification 
    Review Requests and Administrative Appeals for the Department of 
    Justice (DOJ-004).
16.131  Exemption of Department of Justice (DOJ)/Nationwide Joint 
    Automated Booking System (JABS), DOJ-005.

Subpart D--Protection of Privacy and Access to Individual Records 
Under the Privacy Act of 1974

  Source: Order No. 2156-99, 63 FR 29591, Jun. 1, 1998, unless otherwise 
noted.


   Sec. 16.40  General provisions.

  (a) Purpose and scope. This subpart contains the rules that the 
Department of Justice 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 subpart apply to all records in systems of records 
maintained by the Department that are retrieved by an individual's name 
or personal identifier. They describe the procedures by which 
individuals may request access to records themselves, request amendment 
or correction of those records, and request an accounting of disclosures 
of those by the Department. In addition, the Department 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 
subpart A of this part, which gives requests the benefit of both 
statutes.
  (b) Definitions. As used in this subpart:
  (1) Component. means each separate bureau, office, board, division, 
commission, service, or administration of the Department of Justice.
  (2) Request for access. to a record means a request made under Privacy 
Act subsection (d)(1).
  (3) Request for amendment or correction of a record means a request 
made under Privacy Act subsection (d)(2).
  (4) Request for an accounting means a request made under Privacy Act 
subsection (c)(3).
  (5) 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.
  (c) Authority to request records for a law enforcement purpose. The 
head of a component or a United States Attorney, or either's designee, 
is authorized to make written requests under subsection (b)(7) of the 
Privacy Act for records maintained by other agencies that are necessary 
to carry out an authorized law enforcement activity.


   Sec. 16.41  Requests for access to records.

  (a) How made and addressed. You may make a request for access to a 
Department of Justice record about yourself by appearing in person or by 
writing directly to the Department component that maintains the record. 
Your request should be sent or delivered to the component's Privacy Act 
office at the address listed in appendix I to this part. In most cases, 
a component's central Privacy Act office is the place to send a Privacy 
Act request. For records held by a field office of the Federal Bureau of 
Investigation (FBI) or the Immigration and Naturalization Service (INS), 
however, you must write directly to that FBI or INS field office 
address, which can be found in most telephone books or by calling the 
component's central Privacy Act office. (The functions of each component 
are summarized in Part 0 of this title and in the description of the 
Department and its components in the ``United States Government 
Manual,'' which is issued annually and is available in most libraries, 
as well as for sale from the Government Printing Office's Superintendent 
of Documents. This manual 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). If you cannot determine where within 
the Department to send your request, you may send it to the FOIA/PA Mail 
Referral Unit, Justice Management Division, U.S. Department of Justice, 
950 Pennsylvania Avenue, NW., Washington, DC 20530-0001, and that office 
will forward it to the component(s) it believes most likely to have the 
records that you seek. For the quickest possible handling, you should 
make 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 Department 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 Department publishes notices in the Federal Register that 
describe its components' systems of records. A description of the 
Department'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. 16.49, up to $25.00. The component 
responsible for responding to your request ordinarily shall confirm this 
agreement in an acknowledgement letter. When making a request, you may 
specify a willingness to pay a greater or lesser amount.
  (d) Verification of identify. 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. While 
no specific form is required, you may obtain forms for this purpose from 
the FOIA/PA Mail Referral Unit, Justice Management Division. U.S. 
Department of Justice, 950 Pennsylvania Avenue, NW., Washington, DC 
20530-0001. 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. 16.42  Responsibility for responding to requests for access to 
   records.

  (a) In general. Except as stated in paragraphs (c), (d), and (e) of 
this section, the component that first receives a request for access to 
a record, and has possession of that record, is the component 
responsible for responding to the request. In determining which records 
are responsive to a request, a component ordinarily shall include only 
those records in its possession as of the date the component begins its 
search for them. If any other date is used, the component shall inform 
the requester of that date.
  (b) Authority to grant or deny requests. The head of a component, or 
the component head's designee, is authorized to grant or deny and 
request for access to a record of that component.
  (c) Consultation and referrals. When a component receives a request 
for access to a record in its possession, it shall determine whether 
another component, or another agency of the Federal Government, is 
better able to determine whether the record is exempt from access under 
the Privacy Act. If the receiving component determines that it is best 
able to process the record in response to the request, then it shall do 
so. If the receiving component determines that it is not best able to 
process the record, then it shall either:
  (1) Respond to the request regarding that record, after consulting 
with the component or agency best able to determine whether the record 
is exempt from access and with any other component or agency that has a 
substantial interest in it; or
  (2) Refer the responsibility for responding to the request regarding 
that record to the component best able to determine whether it is exempt 
from access, or to another agency that originated the record (but only 
if that agency is subject to the Privacy Act). Ordinarily, the component 
or agency that originated a record will be presumed to be best able to 
determine whether it is exempt from access.
  (d) Law enforcement information. Whenever a request is made for access 
to a record containing information that relates to an investigation of a 
possible violation of law and that was originated by another component 
or agency, the receiving component shall either refer the responsibility 
for responding to the request regarding that information to that other 
component or agency or shall consult with that other component or 
agency.
  (e) Classified information. Whenever a request is made for access to a 
record containing information that has been classified by or may be 
appropriate for classification by another component or agency under 
Executive Order 12958 or any other executive order concerning the 
classification of records, the receiving component shall refer the 
responsibility for responding to the request regarding that information 
to the component or agency that classified the information, should 
consider the information for classification, or has the primary interest 
in it, as appropriate. Whenever a record contains information that has 
been derivatively classified by a component because it contains 
information classified by another component or agency, the component 
shall refer the responsibility for responding to the request regrading 
that information to the component or agency that classified the 
underlying information.
  (f) Notice of referral. Whenever a component refers all or any part of 
the responsibility for responding to a request to another component or 
agency, it ordinarily shall notify the requester of the referral and 
inform the requester of the name of each component or agency to which 
the request has been referred and of the part of the request that has 
been referred.
  (g) 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 first component 
or agency, not any later date.
  (h) Agreements regarding consultations and referrals. Components may 
make agreements with other components or agencies to eliminate the need 
for consultations or referrals for particular types of records.


   Sec. 16.43  Responses to requests for access to records.

  (a) Acknowledgements of requests. On receipt of a request, a component 
ordinarily shall send an acknowledgement letter to the requester which 
shall confirm the requester's agreement to pay fees under Sec. 16.41(c) 
and provide an assigned request number for further reference.
  (b) Grants of requests for access. Once a component makes a 
determination to grant a request for access in whole or in part, it 
shall notify the requester in writing. The component shall inform the 
requester in the notice of any fee charged under Sec. 16.49 and shall 
disclose records to the requester promptly on payment of any applicable 
fee. If a request is made in person, the component may disclose records 
to the requester 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 a requester is accompanied 
by another person, the requester shall be required to authorize in 
writing any discussion of the records in the presence of the other 
person.

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