29 C.F.R. PART 2400—REGULATIONS IMPLEMENTING THE PRIVACY ACT
Title 29 - Labor
Authority: Sec. 3(f), Privacy Act of 1974 (5 U.S.C. 552a(f), 88 Stat. 1896, 1900), and 5 U.S.C. 553.
Source: 44 FR 3968, Jan. 19, 1979, unless otherwise noted.
The purpose of the provisions of this part is to provide procedures to implement the Privacy Act of 1974 (5 U.S.C. 552a). The following provisions are applicable only to such items of information as relate to the agency or are within its custody. The Commission's custody encompasses all information which is kept by an agent by contract with the agency. They are not applicable to the rights of parties appearing in adversary proceedings before the Commission to obtain discovery from an adverse party. Such matters are governed by the Commission's Rules of Procedure which are published at 29 CFR 2200.1 et seq. This part is intended to protect individual privacy, and affects all personal information collection and usage activity of the agency. The Occupational Safety and Health Review Commission (OSHRC) adjudicates contested enforcement actions under the Occupational Safety and Health Act of 1970 (29 U.S.C. 651–677). Decisions of the Commission on such actions are issued only after the parties to the case are afforded an opportunity for a hearing in accordance with section 554 of title 5, United States Code. All such hearings are conducted by an OSHRC Administrative Law Judge at a place convenient to the parties and are open to the public. Each Commission member has the authority to direct that a decision of a Judge be reviewed by the full Commission before becoming a final order. (a) The Executive Director shall insure agency-wide compliance with this policy. (b) Custodians are responsible for adherence to this part within their respective units and in particular for their collection, use and disclosure of personal information, and for affording individuals the right to inspect, obtain copies of and correct records concerning them. They are responsible for reporting the existence of personal records systems, changes to the contents of those systems and changes of routine use to the Executive Director, and also for establishing the relevancy of information within those systems. (a) The following rules govern the collection of personal information throughout OSHRC operations: (1) The OSHRC shall: (i) Solicit, collect and maintain only such personal information as is relevant and necessary to accomplish a purpose required by statute or executive order. (ii) Collect information, to the greatest extent practicable, directly from the subject individual when such information may result in adverse determinations about an individual's rights, benefits or privileges. (iii) Inform any individual requested to disclose personal information whether that disclosure is mandatory or voluntary, by what authority it is solicited, the principal purposes for which it is intended to be used, the routine uses which may be made of it, and any penalties or consequences known to the OSHRC which shall result to the individual from such non-disclosure. (2) OSHRC shall not discriminate against any individual who fails to provide personal information unless that information is required or necessary for the conduct of the system or program in which the individual desires to participate. See §2400.4(a)(1)(i). (3) No information shall be collected or maintained which describes how individuals exercise rights guaranteed by the First Amendment unless the Commission specifically determines that such information is relevant and necessary to carry out a statutory purpose of the OSHRC, and the collection is expressly authorized by statute or by the individual about whom the record is maintained. (4) OSHRC shall not require disclosure of any individual's Social Security account number or deny a right, privilege or benefit because of the individual's refusal to disclose the number unless disclosure is required by Federal law. (b) Disclosures—(1) Limitations. OSHRC shall not disseminate personal information unless reasonable efforts have been made to assure that the information is accurate, complete, timely and relevant and (i) The individual to whom the record pertains has requested in writing that the information be disseminated, or (ii) It has obtained the prior written consent of the individual to whom the record pertains, or (iii) The dissemination is in accordance with paragraph (b)(2) of this section. (2) Dissemination of personal information may be made: (i) To a person pursuant to a requirement of the Freedom of Information Act (5 U.S.C. 552); (ii) To those officers and employees of OSHRC who have a need for such information in the performance of their duties; (iii) For a routine use as contained in the system notices published in the (iv) To a recipient who has provided adequate advance written assurance that the information shall be used solely as a statistical reporting or research record, and to whom the information is transferred in a form that is not individually identifiable; (v) To the Bureau of the Census for purposes of planning or carrying out a census or survey or related activity pursuant to the provisions of title 13, U.S. Code; (vi) To the National Archives of the United States as a record which has sufficient historical or other value to warrant its continued preservation by the United States Government, or for evaluation by the Administrator of General Services or his designee to determine whether the record has such value; (vii) To a person pursuant to a showing of compelling circumstances affecting the health or safety of an individual, if upon such disclosure notification is transmitted to the last known address of such individual; (viii) To a Federal agency or an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity, if such activity is authorized by law and if the head of the agency or instrumentality has made a written request to the OSHRC specifying the particular portion of the record desired and the law enforcement activity for which the record is sought; (ix) To either House of Congress or its committees or subcommittees to the extent of matter within their jurisdiction; (x) To the Comptroller General or any of his authorized representatives in the course of the performance of the duties of the General Accounting Office; (xi) Pursuant to the order of a court of competent jurisdiction; (xii) To a congressional office from the record of an individual in response to an inquiry from the congressional office made at the written request of that individual. The consent implied from such a written request applies only to congressional inquiries. (3) Employee credit references. The Personnel Office shall verify the following information provided by an employee to a credit bureau or commercial firm from which an employee is seeking credit: length of service, job title, grade, salary, tenure of employment, and Civil service status. (4) Employee job references. Prospective employers of an OSHRC employee or a former OSHRC employee may be furnished with the information in §2400.4(b)(3) above, in addition to the date and reason for separation if applicable, upon the request of the employee or former employee. (c) Correction disclosure. Any person or other agency to which a personal record has been or is to be disclosed shall be informed of any corrections or be provided copies of statements of dispute, and notifications specifying the portions of the record relating thereto affecting the accuracy, timeliness or relevance of that personal record. (d) Record of disclosure. (1) An accurate accounting of each disclosure shall be kept in all instances except those in which disclosure is made to OSHRC employees in the performance of their duties or is required by the Freedom of Information Act (5 U.S.C. 552), in conformance with section 552a(c) of the Privacy Act. (2) The accounting shall be maintained for at least five (5) years or the life of the record, whichever is longer. (3) The accounting shall be made available to the individual named in the record upon inquiry, except for disclosures made pursuant to provision paragraph (b)(2)(viii) of this section relating to law enforcement activities. (a) Notification of systems. The following procedures permit individuals to determine the types of personal records systems maintained by OSHRC. (1) Upon written request, OSHRC shall notify any individual whether a specific system named by him contains a record pertaining to him. See §2400.6 for suggested form of request. (2) OSHRC shall publish annually in the (i) Name and location of the system, (ii) Nature and purposes of the system, (iii) Categories of individuals on whom records are maintained and categories of records generally maintained in the system, (iv) Confidentiality requirements and the extent to which access controls apply to such information, (v) OSHRC policies and standards regarding the safeguarding and disclosure of information, retrievability of information, information storage, duration of retention of information, and disposal of such information from the system, (vi) Each routine use made by OSHRC of the personal information contained in the system, including the categories of users and the purpose of the use, (vii) Title and official address of the custodian, (viii) Procedures by which an individual can be informed if a system contains personal information pertaining to himself, gain access to such information, and contest the content, accuracy, completeness, timeliness, relevance and necessity for retention of the information, (ix) Categories of sources of such personal information, (x) System status—either developmental or operational. (b) Notification of disclosure. OSHRC shall make reasonable efforts to serve notice on an indivudial before any personal information is made available to any person under compulsory legal process when such process becomes a matter of public record. (Also see §2400.4(b)(1)(ii) and (2)(vii).) (c) Notification of amendment. (See §2400.7 relating to amendment of records upon request.) (d) Notification of new use. Any new or revised use of personal information maintained by OSHRC shall be published in the (e) Notification of exemptions. OSHRC shall publish in the The purpose of this section is to provide procedures by which an individual may have access to personal information within a comprehensive format. (a) Submission of requests for access—(1) Manner. An individual seeking information regarding the contents of records systems or access to records about himself in a system of records should present a written request to that effect either in person or by mail to the Executive Director, OSHRC, One Lafayette Centre, 1120–20th Street NW., 9th Floor, Washington, DC 20036–3419. Access to OSHRC records maintained in National Archives and Records Service Centers may be obtained in accordance with the regulations issued by the General Services Administration. (2) Specification of records sought. Requests for access to records shall describe the nature of the record sought, the approximate dates covered by the record, and the system in which the record is thought to be included as described in the “Notification” for that system as published in the (3) Period for response. Upon receipt of an inquiry the Executive Director shall respond promptly to the request and no later than 10 days from receipt of such inquiry. (b) Verification of identity. The following standards are applicable to any individual who requests records concerning himself. (1) An individual seeking access to records about himself in person may establish his identity by the presentation of a single document bearing a photograph (such as a passport, employee identification card, or valid driver's license) or by the presentation of two items of identification which do not bear a photograph but do bear both a name and address (such as a valid driver's license, or credit card). (2) An individual seeking access to records about himself by mail shall establish his identity by a signature, address, date of birth, place of birth, employee identification number, if any, and one other identifier such as a photocopy of an identifying document. (3) An individual seeking access to records about himself by mail or in person who cannot provide the necessary documentation of identification may provide a notarized statement swearing or affirming to his identity and to the fact that he understands the penalties for false statements pursuant to 18 U.S.C. 1001. Forms for such notarized statements may be obtained on request from the Executive Director. (c) Verification of guardianship. The parent or guardian of a minor or a person judicially determined to be incompetent and seeking to act on behalf of such minor or incompetent shall, in addition to establishing his own identity, establish the identity of the minor or other person he represents as required in paragraph (b) of this section and establish his own parentage or guardianship of the subject of the record by furnishing either a copy of a birth certificate showing parentage or a court order establishing the guardianship. (d) Accompanying persons. An individual seeking to review records about himself may be accompanied by another individual of his own choosing. Both the individual seeking access and the individual accompanying him shall be required to sign the required form indicating that OSHRC is authorized to discuss the contents of the subject record in the presence of both individuals. (e) Special rules for medical records. Medical records shall be disclosed to the requester to whom they pertain unless the Executive Director, in consultation with a medical doctor named by the requesting individual, determines that access to such record could have an adverse effect upon such individual. In such a case, the Executive Director shall transmit such information to the named medical doctor. (f) When compliance is possible. (1) The Executive Director shall inform the requester of the determination to grant the request and shall make the record available to the individual in the manner requested, that is, either by forwarding a copy of the information to him or by making it available for review, unless: (i) It is impracticable to provide the requester with a copy of a record, in which case the requester shall be so notified, and, in addition, be informed of the procedures set forth in paragraph (b)(2) of this section, or (ii) The responsible official has reason to believe that the cost of a copy of a record is considerably more expensive than anticipated by the requester, in which case he shall notify the requester of the estimated cost, and ascertain whether the requester still wishes to be provided with a copy of the information. (2) Where a record is to be reviewed by the requester in person, the disclosure officer shall inform the requester in writing of: (i) The date on which the record shall become available for review, the location at which it may be reviewed, and the hours for inspection; (ii) The type of identification that shall be required in order for him to review the record; (iii) Such person's right to have a person of his own choosing accompany him to review the record; and (iv) Such person's right to have a person other than himself review the record. (3) If the requester seeks to inspect the record without receiving a copy, he shall not leave OSHRC premises with the record and shall sign a statement indicating he has reviewed a specific record or category of record. (g) Response when compliance is not possible. A reply denying a written request to review a record shall be in writing signed by the Executive Director or other appropriate official and shall be made only if such a record does not exist or does not contain personal information relating to the requester, or is exempt. This reply shall include a statement regarding the determining factors of denial, and the right to obtain judicial review in a district court of the United States. [44 FR 3968, Jan. 19, 1979, as amended at 58 FR 26066, Apr. 30, 1993] (a) Submission of requests for amendment. Upon review of an individual's personal record, that individual may submit a request to amend such record. This request shall be submitted in writing to the Executive Director and shall include a statement of the amendment requested and the reasons therefor, e.g., relevance, accuracy, timeliness or completeness of the record. (b) Action to be taken by the Executive Director. Upon receiving an amendment request, he or she shall promptly: (1) Acknowledge in writing within ten (10) working days the receipt of the request. (2) Make such inquiry as is necessary to determine whether the amendment is appropriate, and (3) Correct or eliminate any information that is found to be incomplete, inaccurate, not relevant to a statutory purpose of OSHRC, or not timely and notify the requester when this action is complete, or (4) Notify the requester of a determination not to amend and of the individual's right to appeal not later than thirty (30) working days after receipt of a request to amend. (c) Appeal procedure. (1) If a request to inspect, copy or amend a record is denied, in whole or in part, or if no determination is made within the period prescribed by this part, the requester may appeal to the Chairman, OSHRC, One Lafayette Centre, 1120–20th Street NW., 9th Floor, Washington, DC 20036–3419. (2) The requester shall submit his appeal in writing within thirty (30) days of the date of denial, or within ninety (90) days of such request if the appeal is from a failure of the Executive Director to make a determination. The letter of appeal should include, as applicable: (i) Reasonable identification of the record to which access was sought or the amendment of which was requested. (ii) A statement of the OSHRC action or failure to act being appealed and the relief sought. (iii) A copy of the request, the notification of denial and of any other related correspondence. (3) The Chairman shall make his final determination not later than thirty (30) days from the date of the request, unless he extends the time for good cause to be shown by him but not to exceed ninety (90) days from the date of the request. Any record found on appeal to be not complete, accurate, relevant, or timely, shall within thirty (30) working days of the date of such findings be appropriately amended. (4) The decision of the Chairman constitutes the final decision of OSHRC on the right of the requester to inspect, copy, change or update a record. The decision on the appeal shall be in writing and, in the event of a denial, shall set forth the reasons for such denial and state the individual's right to obtain judicial review in a district court. An indexed file of the agency decisions on appeal shall be maintained by the Executive Director. (d) Submission of statement of disagreement. If the final decision does not satisfy the requester, any statement of reasonable length, provided by that individual, setting forth a position regarding the disputed information, shall be accepted and included in the relevant personal record. (e) Availability of assistance in exercising rights. The Executive Director is available to provide an individual with assistance in exercising rights pursuant to this part. [44 FR 3968, Jan. 19, 1979, as amended at 58 FR 26066, Apr. 30, 1993] (a) Policy. The purpose of this section is to establish fair and equitable fees to permit reproduction of records for concerned individuals. (b) Reproduction. (1) For reproducing any paper or micrographic record or publication, the fee is $.10 per page. No charge shall be made if the total fee authorized by this part in compliance with a request or series of related requests is less than $3.00. (2) OSHRC shall not normally furnish more than one copy of any record. (c) Limitations. No fee shall be charged to any individual for the process of retrieving, or amending records. (a) Subsections 552a (j) and (k) of title 5, United States Code, empower the Chairman to exempt systems of records meeting certain criteria from various other subsections of section 552a. With respect to systems of records so exempted, nothing in this part shall require compliance with any provisions hereof implementing any subsections of section 552a from which those systems may properly be and have been exempted.
Title 29: Labor
PART 2400—REGULATIONS IMPLEMENTING THE PRIVACY ACT
Section Contents
§ 2400.1 Purpose and scope.
§ 2400.2 Description of agency.
§ 2400.3 Delegation of authority.
§ 2400.4 Collection and disclosure of personal information.
§ 2400.5 Notification.
§ 2400.6 Procedures for requesting records.
§ 2400.7 Procedures for requesting amendment.
§ 2400.8 Schedule of fees.
§ 2400.9 Exemptions.
§ 2400.1 Purpose and scope.
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§ 2400.2 Description of agency.
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§ 2400.3 Delegation of authority.
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§ 2400.4 Collection and disclosure of personal information.
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§ 2400.5 Notification.
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§ 2400.6 Procedures for requesting records.
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§ 2400.7 Procedures for requesting amendment.
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§ 2400.8 Schedule of fees.
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§ 2400.9 Exemptions.
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