HUD 24 CFR PART 16-2011 IMPLEMENTATION OF THE PRIVACY ACT OF 1974《1974年隐私法的实施》.pdf

1、196 24 CFR Subtitle A (4111 Edition) Pt. 15, App. A APPENDIX A TO PART 15LOCATION IN-FORMATION FOR HUD FOIA READING ROOMS AND CONTACT INFORMATION FOR REGIONAL COUNSEL The Department maintains a reading room in Headquarters and in each of the Sec-retarys Representatives Offices. In addi-tion, each of

2、 the Secretarys Representa-tives Offices has a Regional Counsel. The lo-cation and contact information for HUDs FOIA Reading Rooms and for the Regional Counsel can be found in HUDs Local Office Directory, on HUDs Internet site at http:/ www.hud.gov. 73 FR 72207, Nov. 26, 2008 PART 16IMPLEMENTATION O

3、F THE PRIVACY ACT OF 1974 Sec. 16.1 Purpose and statement of policy. 16.2 Definitions. 16.3 Procedures for inquiries. 16.4 Requests for access; requirements. 16.5 Disclosure of requested information to individuals. 16.6 Initial denial of access. 16.7 Administrative review of initial denial of access

4、. 16.8 Request for correction or amendment to record. 16.9 Agency procedures upon request for correction or amendment of record. 16.10 Appeal of initial adverse agency deter-mination on correction or amendment. 16.11 Disclosure of record to person other than the individual to whom it pertains. 16.12

5、 Fees. 16.13 Penalties. 16.14 General exemptions. 16.15 Specific exemptions. AUTHORITY: 5 U.S.C. 552(a); 42 U.S.C. 3535(d). SOURCE: 40 FR 39729, Aug. 28, 1975, unless otherwise noted. 16.1 Purpose and statement of policy. (a) The purpose of this part is to es-tablish policies and procedures for im-p

6、lementing the Privacy Act of 1974 (Pub. L. 93579), 5 U.S.C. 552(a). The main objectives are to facilitate full exercise of rights conferred on individ-uals under the Act and to insure the protection of privacy as to individuals about whom the Department maintains records in systems of records under

7、the Act. The Department accepts the re-sponsibility to act promptly and in ac-cordance with the Act upon receipt of any inquiry, request or appeal from a citizen of the United States or an alien lawfully admitted for permanent resi-dence into the United States, regard-less of the age of the individu

8、al. (b) Further, the Department accepts the obligations to maintain only such information on individuals as is rel-evant and necessary to the perform-ance of its lawful functions, to main-tain that information with such accu-racy, relevancy, timeliness and com-pleteness as is reasonably necessary to

9、 assure fairness in determinations made by the Department about the indi-vidual, to obtain information from the individual to the extent practicable, and to take every reasonable step to protect that information from unwar-ranted disclosure. The Department will maintain no record describing how an i

10、ndividual exercises rights guaranteed by the First Amendment unless ex-pressly authorized by statute or by the individual about whom the record is maintained or unless pertinent to and within the scope of an authorized law enforcement activity. (c) This part applies to all organiza-tional components

11、 in the Department in order to assure the maximum amount of uniformity and consistency within the Department in its imple-mentation of the Act. (d) The Assistant Secretary for Ad-ministration shall be responsible for carrying out the requirements of this part, for issuing such orders and direc-tives

12、 internal to the Department as are necessary for full compliance with the Act, and for effecting publication of all required notices concerning systems of records. (e) Requests involving information pertaining to an individual which is in a record or file but not within the scope of a System of Reco

13、rds Notice published in the FEDERAL REGISTER are outside the scope of this part. Requests for departmental records will be con-sidered to determine whether proc-essing under this part, part 15, or both is most appropriate, notwithstanding the requesters characterization of the request, as follows: (

14、1) A Privacy Act request from an indi-vidual for records about that individual and not contained in a Privacy Act Records System shall be considered a Freedom of Information Act request VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00206 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones

15、 on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-197 Office of the Secretary, HUD 16.2 and processed under HUD Freedom of Information Act regulations (24 CFR part 15) to the extent that the re-quester has provided the Depart

16、ment a reasonable description of the docu-ments requested. When a request for records is so considered as a Freedom of Information Act request, the Pri-vacy Act Officer shall promptly refer it to the head of the appropriate organi-zational unit in accordance with HUD FOIA Regulations and shall advis

17、e the requester that time of receipt for proc-essing purposes will be the time when it is received by the appropriate offi-cial. (2) A Freedom of Information Act re-quest from an individual for records about that individual contained in a Privacy Act Records System shall be processed as follows: (i)

18、 If the request in whole or in part contains a reasonable description of any HUD document, processing shall be carried out pursuant to HUD FOIA Regulations. (ii) If the request in whole or in part does not contain a reasonable descrip-tion of any HUD document, but does provide sufficient information

19、 under HUD Privacy Act Regulations to un-dertake a Privacy Act Records System search, the Department will provide full access under HUD Privacy Act Regulations. In this situation, the De-partment will comply with the dead-lines for response set forth in the Pri-vacy Act and HUD implementing regu-lat

20、ions. In that event, an explanation will be provided to the requester advis-ing that the request did not contain a reasonable description of a particular document as required under the FOIA and offering to process the request under FOIA procedures upon receipt of additional information sufficient to

21、 constitute a reasonable description. (3) A Freedom of Information Act re-quest from an individual for records about another individual contained in a Privacy Act Records System shall be processed as follows: When an exemption under sub-section (b) of FOIA is available, the Privacy Act governs the p

22、ublic interest determination under HUD FOIA Regu-lations (24 CFR 15.21) and compels the withholding of such documents unless: (i) The subject of those records con-sents to their release or (ii) disclosure comes within one of the subsections of 5 U.S.C. 552a(b). (4) A Privacy Act request from an indi

23、-vidual for records about another indi-vidual shall be processed as follows: Ex-cept as expressly permitted in this part, requests by persons who are not the subject of a record contained in a Privacy Act Records System shall be outside the scope of this part. If the re-quest satisfies the Freedom o

24、f Informa-tion Act requirement that requested records be reasonably described, the Privacy Act Officer shall consider the requests as a Freedom of Information Act request and shall proceed as in 16.1(e)(1) of this section. 40 FR 39729, Aug. 28, 1975, as amended at 41 FR 13917, Apr. 1, 1976 16.2 Defi

25、nitions. (a) The definitions of 5 U.S.C. 552a apply in this part. (b) As used in this part: (1) Act means the Privacy Act of 1974, Pub. L. 93579. (2) Privacy Act Officer means those of-ficials, identified in Appendix A to this part, or their designees, who are au-thorized to receive and act upon inq

26、uir-ies, requests for access, and requests for correction or amendment. (3) Privacy Appeals Officer means the General Counsel. (4) Inquiry means a request by an in-dividual that the Department deter-mine whether it has any record in a system of records which pertains to that individual. (5) Request

27、for access means a request by an individual or guardian to inspect and/or copy and/or obtain a copy of a record which is in a particular system of records and which pertains to that individual. (6) Request for correction or amendment means the request by an individual or guardian that the Department

28、 change (either by correction, addition or dele-tion) a particular record in a system of records which pertains to that indi-vidual. (7) Appeal means the request by an individual that an initial denial of a re-quest for access or correction or amendment by that individual be re-viewed and reversed.

29、40 FR 39729, Aug. 28, 1975, as amended at 41 FR 13917, Apr. 1, 1976; 61 FR 5204, Feb. 9, 1996 VerDate Mar2010 08:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00207 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permit

30、ted without license from IHS-,-,-198 24 CFR Subtitle A (4111 Edition) 16.3 16.3 Procedures for inquiries. (a) Any individual, regardless of age, may submit an inquiry to the Depart-ment. The inquiry should be made ei-ther in person at the office of, or by mail addressed to, the appropriate Pri-vacy

31、Act Officer. Although oral re-quests may be honored, a requester may be asked to submit his request in writing. The envelope containing the request and the letter itself should both clearly indicate that the subject is a PRIVACY ACT INQUIRY. If an individual believes the Department maintains a recor

32、d pertaining to that individual but does not know which system of records might contain such a record and/or which organizational component of the Department main-tains the system of records, assistance in person or by mail will be provided at the first address listed in Appendix A to this part. (b)

33、(1) An inquiry should contain the following information: (i) Name, address and telephone num-ber of the individual making the re-quest; (ii) Name, address and telephone number of the individual to whom the record pertains, if the requesting indi-vidual is either the parent of a minor or the legal gu

34、ardian of the individual to whom the record pertains; (iii) A certified or authenticated copy of documents establishing parentage or guardianship; (iv) Whether the individual to whom the record pertains is a citizen of the United States or an alien lawfully ad-mitted for permanent residence in to th

35、e United States; (v) Name of the system of records, as published in the FEDERAL REGISTER; (vi) Location of the system of records, as published in the FEDERAL REGISTER; (vii) Such additional information as the individual knows will or believes might assist the Department in re-sponding to the inquiry

36、 (for example, the individuals past or present rela-tionship with the Department, e.g. mortgagor, contractor, employee, in-cluding relevant dates) and in verifying the individuals identity (for example, date of birth, place of birth, names of parents, place of work, dates of em-ployment, position ti

37、tle, etc.); (viii) Date of inquiry; and, (ix) Individuals signature. The Department reserves the right to require compliance with the identifica-tion procedures appearing at 16.4(d) where circumstances warrant. (2) In compliance with 5 U.S.C. 552a (e)(3) each individual supplying the in-formation in

38、 accordance with para-graph (b)(1) of this section hereby is in-formed that: (i) The authority authorizing solici-tation of the information is 5 U.S.C. 552a, disclosure is voluntary, and no penalty is attached for failure to re-spond; (ii) The principal purpose for which the information is intended

39、to be used is processing the inquiry under the Act; (iii) The routine uses which may be made of the information are the rou-tine uses appearing as a prefatory statement to the Departments notice of systems of records published in the FEDERAL REGISTER; and, (iv) The effects of not providing all or an

40、y part of the information may delay, or in some cases make impossible, the Departments processing of the action on the request under the Act. (3) If, having been made aware of the contents of paragraph (b)(2) of this sec-tion, an individual submits the infor-mation listed in paragraph (b)(1) of this

41、 section, he or she will be deemed to have made the submission on a purely voluntary and consensual basis. (c) When an inquiry is misdirected by the requester, or not addressed as spec-ified in paragraph (a) of this section, the Department official receiving same shall make reasonable effort to iden

42、-tify, and promptly refer it to, the ap-propriate Privacy Act Officer and the time of receipt for processing purposes will be the time when it is received by the Privacy Act Officer. (d) When an inquiry fails to provide necessary information as set forth in paragraph (b) of this section, the re-ques

43、ter shall be advised that the time of receipt for processing purposes will be the time when the additional nec-essary information is received by the Privacy Act Officer. (e) Each inquiry received shall be acted upon promptly by the responsible Privacy Act Officer. Every effort will VerDate Mar2010 0

44、8:31 Apr 29, 2011 Jkt 223077 PO 00000 Frm 00208 Fmt 8010 Sfmt 8010 Y:SGML223077.XXX 223077jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-199 Office of the Secretary, HUD 16.4 be made to respond within ten days (excl

45、uding Saturdays, Sundays and holidays) of the date of receipt. If a re-sponse cannot be made within ten days, the Privacy Act Officer shall send an acknowledgement during that period providing information on the status of the inquiry. The Privacy Act Officer may indicate that additional informa-tion

46、 would facilitate processing or that further information is necessary to process the inquiry. 16.4 Requests for access; require-ments. (a) Any individual, regardless of age, may submit to the Department a re-quest for access to records of the De-partment. The request should be made either in person

47、at the Office of, or by mail addressed to, the responsible Pri-vacy Act Officer identified in Appendix A to this part. Although oral requests may be honored, a requester may be asked to submit his request in writing. The envelope containing the request and the letter itself should both clearly indic

48、ate that the subject is a PRIVACY ACT REQUEST FOR ACCESS TO RECORDS. (b) When a request for access to records is misdirected by the requester, or not addressed as specified in para-graph (a) of this section, the Depart-ment official receiving same shall promptly refer it to the appropriate Privacy A

49、ct Officer and the time of re-ceipt for processing purposes will be the time when it is received by that of-ficial. (c) When a request for access to records fails to provide necessary infor-mation as set forth in paragraph (b) of this section the requester shall be ad-vised that the time of receipt for proc-essing purposes will be the time when the additional necessary information is received by the appropriate official. (d) The requirements for identifi