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Privacy Act: [NIGC-1] Indian Gaming Individuals Record System....
<DOC> [2001 Privacy Act] [From the U.S. Government Printing Office via GPO Access] #.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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