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Privacy Act: [NIGC-1] Indian Gaming Individuals Record System....


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[2001 Privacy Act]
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   #.NATIONAL INDIAN GAMING COMMISSION


   #..NIGC-1

   #....System name: Indian Gaming Individuals Record System.

     System location: 
       National Indian Gaming Commission, Suite 250, 1850 M St., NW, 
   Washington, DC 20036-5803.
     Categories of individuals covered by the system: 
       Key employees and primary management officials as defined under 
   25 CFR part 502.
     Categories of records in the system: 
       Copies of applications for employment in gaming operations on 
   Indian lands; information collected by the staff and members of the 
   Commission; copies of reports of background investigations. Such 
   information includes: (1) Full name, other names used, social 
   security number(s) and birth date; (2) business and employment 
   positions held, business and residence addresses, driver's license 
   numbers; (3) the names and current addresses of personal references; 
   (4) current business and residence telephone numbers; (5) a 
   description of any previous business relationships with Indian 
   tribes; (6) a description of any previous business relationships with 
   the gaming industry generally; (7) the name and address of any 
   licensing or regulatory agency with which the person has filed an 
   application for a license or permit relating to gaming; (8) for any 
   felony for which there is an ongoing prosecution or a conviction, the 
   charge, the name and address of the court involved, and the date and 
   disposition; (9) for any misdemeanor conviction or ongoing 
   misdemeanor prosecution, the name and address of the court involved 
   and the date and disposition; and (10) whatever other information a 
   tribe deems relevant.
     Authority for maintenance of the system: 
       25 U.S.C. 2710.
   Purpose(s): 
       Used by Commission members and staff to verify suitability of key 
   employees and primary management officials in Indian gaming 
   operations.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       1. To disclose relevant information to Federal, State, tribal, or 
   local law enforcement of regulatory agencies to verify information 
   supplied by applicant key employees and primary management officials 
   in connection with determining suitability for employment in an 
   Indian gaming operation.
       2. To disclose relevant information to tribes that employ or may 
   wish to employ individuals in Indian gaming operations.
       3. In the event that records in this system indicate a violation 
   or potential violation of law, criminal, civil, or regulatory in 
   nature, the relevant records may be referred to the agency charged 
   with responsibility for investigating or prosecuting such violation.
       4. To disclose relevant information to a congressional office 
   from the record of an individual in response to an inquiry from the 
   congressional office made at the request of that individual.
       5. To disclose relevant information to a Federal, State, local, 
   or tribal agency (or their agents) that is involved in a civil 
   regulatory or enforcement action to protect the integrity of Indian 
   gaming.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records by the system:
     Storage: 
       Paper files, machine-processable storage media, and other 
   computer storage devices.
     Retrievability: 
       Employee name, gaming operation where employed, social security 
   number, and birth date.
     Safeguards: 
       Folders are maintained in locked cabinets to which only 
   authorized personnel have access; automated records are protected by 
   computer passwords and tape or disc library physical security.
     Retention and disposal: 
       Records are retained and disposed of in accordance with National 
   Archives and Records Administration requirements. A records retention 
   and disposal plan is under development. At present, the Commission 
   contemplates disposal of the records after 10 years.
     System manager(s) and address: 
       Records Manager, NIGC, Suite 250, 1850 M Street, NW, Washington, 
   DC 20036-5803.
     Notification procedure: 
       Persons wishing to inquire whether the System contains 
   information concerning themselves may submit inquiries to the Records 
   Manager, NIGC, at the address above. Such persons must provide proof 
   of their identity by including a statement, signed by the individual 
   and either notarized or witnessed by two persons (include addresses 
   of witnesses). The statement must be that the person is who he or she 
   claims to be. If an individual makes an inquiry in person, such 
   person must present the Commission with a statement signed by the 
   individual and either notarized or witnessed by two persons (include 
   addresses of witnesses).
     Record access procedure:
       Persons wishing access to their records should contact the 
   Records Manager, NIGC, at the address above. Such persons must 
   provide proof of their identity by including a statement, signed by 
   the individual and either notarized or witnessed by two persons 
   (include addresses of witnesses). The statement must be that the 
   person is who he or she claims to be. If an individual makes an 
   inquiry in person, such person must present the Commission with a 
   statement signed by the individual and either notarized or witnessed 
   by two persons (include addresses of witnesses). Such persons must 
   comply with the Privacy Act regulations.
     Contesting record procedures: 
       Any individual who has reviewed a record pertaining to him or her 
   may request that the Commission amend all or any part of that record 
   by sending a request to the Records Manager. A request must contain 
   the name of the individual requesting the amendment, the name of the 
   system of records where the record is maintained, a copy of the 
   record sought to be amended or a description of that record, a 
   statement of the material requested to be amended, and the basis for 
   amendment, including material that substantiates the reason for the 
   amendment.
     Record source categories: 
       Individual applications for employment in Indian gaming 
   operations; background investigation reports compiled by tribes or by 
   contractors; persons interviewed as part of a background 
   investigation; Federal, state, foreign, tribal, and local law 
   enforcement and regulatory agencies; Commission staff and members; 
   credit bureaus.
     Systems exempted from certain provisions of the Act:
       Under 5 U.S.C. 552a(k)(2) the Commission is claiming exemptions 
   from certain provisions of the Act for portions of its records. The 
   exemptions and the reasons for them are described in the regulations.


   #.NATIONAL INDIAN GAMING COMMISSION


NATIONAL INDIAN GAMING COMMISSION

PART 515--PRIVACY ACT PROCEDURES

 Sec.

515.1  Purpose and scope.
515.2  Definitions.
515.3  Identification of individuals making requests.
515.4  Procedures for requests and disclosures.
515.5  Request for amendment to record.
515.6  Review of request for amendment of record by the Records Manager.
515.7  Appeal to the Commission of initial adverse agency determination 
    on access or amendment to records.
515.8  Disclosure of record to a person other than the individual to 
    whom it pertains.
515.9  Fees.
515.10  Penalties.
515.11  General exemptions. [Reserved]
515.12  Specific exemptions.

  Authority: 5 U.S.C. 552a.

  Source: 58 FR 5814, Jan. 22, 1993.

   Sec. 515.1  Purpose and scope.

  (a) The purpose of this part is to inform the public of records 
maintained by the Commission about identifiable individuals and to 
inform those individuals how they may gain access to and amend records 
concerning themselves.
  (b) This part carries out the requirements of the Privacy Act of 1974 
(Pub. L. 93-579) codified at 5 U.S.C. 552a.
  (c) The regulation applies only to records disclosed or requested 
under the Privacy Act of 1974, and not to requests for information made 
pursuant to 5 U.S.C. 552, the Freedom of Information Act.


   Sec. 515.2  Definitions.

  As defined in the Privacy Act of 1974 and for the purposes of this 
part, unless otherwise required by the context, the following terms 
shall have these meanings:
  (a) Individual means a citizen of the United States or an alien 
lawfully admitted for permanent residence.
  (b) Maintain means maintain, collect, use, or disseminate.
  (c) Record means any item, collection, or grouping of information 
about an individual that is maintained by the Commission, including 
education, financial transactions, medical history, and criminal or 
employment history, and that contains the individual's name, or the 
identifying number, symbol, or other identifier assigned to the 
individual, such as social security number, finger or voice print, or a 
photograph.
  (d)  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 number, symbol, or other identifier 
assigned to the individual.
  (e) Routine use means, with respect to the disclosure of a record, the 
use of such record for a purpose that is compatible with the purpose for 
which it was collected.


   Sec. 515.3  Identification of individuals making requests.

  (a) Any individual may request that the Commission inform him or her 
whether a particular record system named by the individual contains a 
record pertaining to him or her and the contents of such record. Such 
requests shall conform to the requirements of Sec. 515.4 of this part. 
The request may be made in person or in writing at the NIGC, suite 250, 
1850 M Street, NW, Washington, DC 20036-5803 during the hours of 9 a.m. 
to 12 noon and 2 p.m. to 5 p.m. Monday through Friday.
  (b)(1) Requests made in writing shall include a statement, signed by 
the individual and either notarized or witnessed by two persons 
(including witnesses' addresses). If the individual appears before a 
notary, the individual shall submit adequate proof of identity in the 
form of a driver's license, birth certificate, passport, or other 
identification acceptable to the notary. If the statement is witnessed, 
it shall include a statement above the witnesses' signatures that they 
personally know the individual or that the individual has submitted 
proof of his or her identity to their satisfaction. In any case in 
which, because of the extreme sensitivity of the record sought to be 
seen or copied, the Commission determines that the identification is not 
adequate, it may request the individual to submit additional proof of 
identity.
  (2) If the request is made in person, the requester shall submit proof 
of identity similar to that described in paragraph (b)(1) of this 
section, and that is acceptable to the Commission. The individual may 
have a person of his or her own choosing accompany him or her when the 
record is disclosed.
  (c) Requests made by an agent, parent, or guardian shall be in 
accordance with the procedures described in paragraph (b) of this 
section.


   Sec. 515.4  Procedures for requests and disclosures.

  (a) Requests for a determination under Sec. 515.3(a) of this part 
shall be acknowledged by the Commission within ten (10) days (excluding 
Saturdays, Sundays and Federal holidays) after the date on which the 
Commission receives the request. If the Commission is unable to locate 
the information requested, it shall so notify the individual within ten 
(10) days (excluding Saturdays, Sundays and Federal holidays) after 
receipt of the request, Such acknowledgement may request additional 
information to assist the Commission in locating the record, or it may 
advise the individual that no record exists about that individual.
  (b)(1) Upon submission of proof of identity as required by 
Sec. 515.3(b)(1) or (2) of this part, the Commission shall respond 
within ten (10) days (excluding Saturdays, Sundays and Federal 
holidays). The Commission shall decide whether to make a record 
available to the record subject and shall immediately convey its 
determination to the requester. If the individual asks to see the 
record, the Commission may make the record available at the location 
where the record is maintained.
  (2) The Commission shall furnish each record requested by an 
individual under this section in a form intelligible to that individual.
  (3) If the Commission denies access to a record to an individual, that 
person shall be advised of the reason for the denial and of the appeal 
procedures provided in Sec. 515.7 of this part.
  (4) Upon request, an individual shall be provided access to the 
accounting of disclosures from his or her record under the same 
procedures as provided above and in Sec. 515.3 of this part.


   Sec. 515.5  Request for amendment to record.

  (a) Any individual who has reviewed a record pertaining to him or her 
that was furnished under this part, may request that the Commission 
amend all or any part of that record.
  (b) Each individual requesting an amendment shall send the request to 
the Records Manager.
  (c) Each request for an amendment of a record shall contain the 
following information:
  (1) The name of the individual requesting the amendment;
  (2) The name of the system of records in which the record sought to be 
amended is maintained;
  (3) The location of the system of records from which the individual 
record was obtained;
  (4) A copy of the record sought to be amended or a sufficiently 
detailed description of that record:
  (5) A statement of the material in the record that the individual 
desires to amend;
  (6) A statement of the basis for the requested amendment, including 
any material that the individual can furnish to substantiate the reasons 
for the amendment sought.


   Sec. 515.6  Review of request for amendment of record by the Records 
   Manager.

  (a) The Records Manager shall, not later than ten (10) days (excluding 
Saturdays, Sundays and Federal holidays) after the receipt of a request 
for an amendment of a record under Sec. 515.5 of this part, acknowledge 
receipt of the request and inform the individual whether more 
information is required before the amendment can be considered.
  (b) If more information is not required, within ten (10) days after 
receipt of the request (excluding Saturdays, Sundays and Federal 
holidays), the Records Manager shall either make the requested amendment 
or notify the individual of the Commission's refusal to do so, including 
in the notification the reasons for the refusal, and the appeal 
procedures provided in Sec. 515.7 of this part.
  (c) The Records Manager shall make each requested amendment to a 
record if such amendment will tend to negate inaccurate, irrelevant, 
untimely, or incomplete material in the record.
  (d) The Records Manager shall inform prior recipients of any amendment 
or notation of dispute of such individual's record. The individual may 

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