Transportation Test Center Employee Service Record File-Director, TTC (System Manager)

3. Access to Records.

a. Each individual desiring to determine whether a record pertaining to him is contained in a system or records or to obtain a copy of such a record, shall make his request in writing to the appropriate official listed in Section 2.3 of this Appendix. Each request shall specify the name of the requesting individual and the system of records in which the subject record is located or thought to be located.

b. The Administration will allow individuals to request amendment of their personal records to the extent that such amendment does not violate existing statutes, regulations, or administrative procedures. Requests to amend personal records of active employees should be addressed to the responsible system managers specified in 2.3A-D.

c. The system managers will provide a written acknowledgement of the receipt of a request to amend a record to the individual within ten days. However, if the request can be reviewed, processed and the individual notified of compliance or denial within the ten-day working period, no acknowledgement is required.

d. If the Administration agrees with an individual's request to amend the person's record, the following steps will be taken: 1. Advise the individual in writing; 2. Correct the record accordingly; and 3. If a prior disclosure has been made, advise all previous recipients of the record of the correction and its substance.

e. If the Administration, after an initial review by the system manager of a request to amend a personal record, disagrees with all or any portion of it; the Administration will:

1. Advise the individual of refusal and the reasons for it;

2. Inform the individual of procedures to request a further review;

f. If an individual disagrees with the initial determination, the individual may file a request for a further review of that determination. The request for a review should be addressed to:

Attn: Privacy Act of 1974, Office of the Chief Counsel, Federal Railroad Administration, Washington, D.C. 20590.

g. If after this review the Administration refuses to amend the record as the individual requested, the Administration will advise the individual:

1. of refusal and the reasons for it;

2. of the individual's right to file a concise statement of the reasons for disagreeing with the decision of the Administration;

3. the procedures for filing the statement of disagreement;

4. that the statement which is filed will be made available to anyone to whom the record is subsequently disclosed;

5. of the individual's right to seek judicial review of the Administration's refusal to amend a record.

h. The final Administration determination on the individual's request must be concluded within thirty (30) working days unless the FRA Administrator determines that a fair and equitable review cannot be completed in that time-frame. If additional time is required, the individual will be informed in writing of reasons for the delay and of the Administration's estimated date on which the review is expected to be completed.

i. For personnel related records final Civil Service Commission determination may apply within 30 working days following the procedures explained above.

4. Procedures for Establishing Identity of Individual Making a Request:

a. Disclosure of personnel records requires that the individual produce an identification card; employee identification, annuitant identification, Medicare cards, or driver's license are examples. For records disclosed by mail, the Administration will require identifying information to locate the record, i.e., employee identification number, name, date of birth or social security number. A comparison of the signature of the requestor and those in the record will be used to determine identity.

b. If an individual can provide no suitable documents for identification, the Administration requires a signed statement asserting identity and stipulating that the individual understands that knowingly or willfully seeking or obtaining access to records about another person under false pretenses is punishable by a fine of up to $5,000 under 5 U.S.C. 552a(i) (3).

[Amdt. 10-3, 41 FR 24827, June 18, 1976]

APPENDIX G

NATIONAL HIGHWAY TRAFFIC SAFETY

ADMINISTRATION

1. Introduction. This Appendix, with respect to the National Highway Traffic Safety Administration:

a. Describes the places and time at which records will be available for inspection and copying;

b. Indicates the systems of records maintained in the National Highway Traffic Safety Administration;

c. Identifies the officials having authority to deny requests for access to records;

d. Describes the procedures to be followed in requesting correction of a record; and

e. Describes identification requirements which may be in addition to those delineated in paragraph 10.35 of these regulations.

2. Availability for Inspection and Copying. Records of the National Highway Traffic Safety Administration, hereafter referred to as NHTSA, are located at NHTSA headquarters, Washington, D.C., and at regional office locations, both described below. Records created, collected, maintained and used in various demonstration and research projects as contract requirements of NHTSA are located at various points in the several States and the Commonwealth of Puerto Rico.

a. All NHTSA headquarters offices are open from 7:45 A.M. to 4:15 P.M., each day except Saturdays, Sundays, and Federal legal holidays. The main headquarters office is located at 400 Seventh Street SW., Washington, D.C. 20590. The Office of Standards Enforcement, Motor Vehicle Programs; the Vehicle Ratings Division, Office of Crashworthiness, Motor Vehicle Programs; the Office of State Vehicle Programs and the National Driver Register, Traffic Safety Programs, are located at the Trans Point Building, 2100 2nd Street SW., Washington, D.C. 20590.

b. NHTSA Regional offices are located at the following addresses and are open during the indicated hours each day, except for Saturdays, Sundays, and Federal legal holidays:

(1) Region I (Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont), 55 Broadway, Cambridge, Massachusetts 02142 (7:45 A.M.-4:15 P.M.).

(2) Region II (New Jersey, New York, Puerto Rico, Virgin Islands), 200 Mamaroneck Avenue (Room 200), White Plains, New York 10601 (7:45 A.M.-4:15 P.M.).

(3) Region III (Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, West Virginia), Airport Plaza Building, 6701 Elkridge Landing Road, Linthicum, Maryland 21090 (8 A.M.-4:30 P.M.).

(4) Region IV (Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina, Tennessee), Suite 501, 1720 Peachtree Road, N.W., Atlanta, Georgia 30309 (7:45 A.M.-4:15 P.M.).

(5) Region V (Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin), Suite 214, Executive Plaza, 1010 Dixie Highway, Chicago Heights, Illinois 60411 (8 A.M.-4:30 P.M.).

(6) Region VI (Arkansas, Louisiana, New Mexico, Oklahoma, Texas), 819 Taylor Street, Room 11A26, Forth Worth, Texas 76102 (8 A.M.-4:30 P.M.).

(7) Region VII (Iowa, Kansas, Missouri, Nebraska), 6301 Rockhill Road, Kansas City, Missouri 64111 (7:45 A.M.-4:15 P.M.). (8) Region VIII (Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming), 330 South Garrison Street, Lakewood, Colorado 80226 (7:45 A.M.-4:15 P.M.). (9) Region IX (American Samoa, Arizona, California, Guam, Hawaii, Nevada), Suite

610, Two Embarcadero Center, San Francisco, California 94111 (7:45 A.M.-4:15 P.M.).

(10) Region X (Alaska, Idaho, Oregon, Washington), 3140 Federal Building, 915 Second Avenue, Seattle, Washington 98174 (7:45 A.M.-4:15 P.M.)

C. NHTSA demonstration and research project records may be created, collected, maintained, and used for the purposes of NHTSA contract requirements. These records are maintained at various points in the several States and the Commonwealth of Puerto Rico. Since these project contractors only act as agents for NHTSA, and to prevent unauthorized disclosure of information that may be subject to the provisions of the Privacy Act of 1974, management of the systems has been retained by appropriate officials of NHTSA. Access to the published systems may be obtained by corresponding with the systems manager indicated for the system of records found in the citations in paragraph 3 of this Appendix. Appropriate personal identification must be furnished in accordance with paragraph 4. These officials should be notified of any inaccuracy of the record and, also, are responsible for considering requests for correction or alteration of the record.

3. Systems of Records. A list of NHTSA systems of records pertaining to the Privacy Act indicating the geographic locations and the responsible systems managers has been published in the FEDERAL REGISTER and appears as follows:

a. Federal Register Document 75-22441, Vol. 40, No. 167, dated August 27, 1975, beginning on page 38852;

b. Federal Register Document 75-24710, Vol. 40, No. 186, Part V, dated September 24, 1975, beginning on page 44101; and

c. Federal Register Document 75-30613, Vol. 40, No. 220, dated November 19, 1975, beginning on page 53978.

4. Access to Records.

a. Individuals desiring to determine whether records pertaining to them are contained in systems of records covered by this Appendix or desiring access to records covered by this Appendix, or to obtain copies of such records, shall make written requests providing appropriate identification of the system and proof of their identity in the same manner as former employees described in 4.c. below. When an individual is not capable of personally providing the required information, a second party request may be honored that a duly attested authorization, power of attorney, or appropriate court order is submitted with the request.

b. Decision to release or deny requested records will be made by the systems manager, identified in the citations of paragraph 3 of this Appendix, within ten working days of the receipt of the request. A person seeking reconsideration of a denial of the disclosure of a record may appeal to

the NHTSA Associate Administrator for Administration, 400 Seventh Street SW., Washington, D.C. 20590, under the DOT Freedom of Information Act Procedures, 49 CFR Part 7. Decision on the request for reconsideration will be made in writing within 30 working days from the receipt of the request for reconsideration of disclosure.

c. Employees and former employees of NHTSA may obtain access to and consideration of the amendment of their records by providing a current Department of Transportation (DOT) identification card (Form D-1600.1.9), a DOT retired employee identification card (Form D-1680.2), Medicare card, attested signed request, or such other identification that may prove the validity of their claims.

d. Since nearly all NHTSA systems of records are maintained on electronic data processing equipment, it may require up to 48 hours to obtain individual records due to computer scheduling requirements. It is in the interest of the individual, therefore, to request information in writing rather than in person.

5. Requests to Correct or Alter Records.

a. Individuals may request correction or alteration of records pertaining to them by addressing such requests to the systems managers or the NHTSA Privacy Act Coordinator, the addresses of whom are contained in the citation of paragraph 3 of this Appendix.

b. Since the records of the National Driver Register merely contain partial records of the States' motor vehicle records, they are susceptible to correction or alteration only to the extent that such records are at variance with the State records. Persons seeking to correct their State motor vehicle records should address requests to their respective States' motor vehicle licensing authorities.

c. The system manager, in accordance with 49 CFR 10.41, will provide written acknowledgement of the receipt of a request to amend a record to the individual within ten working days. If the request can be reviewed, processed, and the individual notified of compliance or denial of the request within the ten working day period, no acknowledgement is required.

d. When decision is made by the systems manager to comply with an individual's request to amend the person's record, the following steps will be taken within 30 working days from the date of acknowledgement of the request:

(1) Advise the individual of the decision in writing;

(2) Correct the record accordingly; and (3) Advise all previous recipients of the record, if an accounting of disclosure has been made, of the correction.

e. When decision is made, after initial review by the systems manager of a request to amend a personal record, to disagree with

all or any portion of the requested amendment, the following steps will be taken within 30 working days from the date of acknowledgement of the request:

(1) Advise the individual of refusal and the reasons therefore; and

(2) Inform the individual of the procedures for appeal to the NHTSA Administrator for further review.

f. If the individual disagrees with the initial determination of the system manager, the individual may file a request for further review of that determination. This request for review should be addressed to the Chief Counsel, National Highway Traffic Safety Administration, 400 Seventh Street SW., Washington, D.C. 20590.

g. If after review the Administrator agrees to the amendment of the record, the procedures of subparagraph 5.d. of this Appendix will be followed. If amendment of the record is refused as requested by the individual, the individual will be advised:

(1) of the refusal and reasons therefore, and the names and titles of positions of each person responsible for the determination;

(2) Of the individual's right to file, together with the appropriate procedures, a concise statement of the reasons for disagreeing with the decision of the Administrator;

(3) Of the fact that the statement which is filed by the requester will be made available to prior recipients and anyone to whom the record is subsequently disclosed; and

(4) Of the individual's right to seek judicial review of the Administrator's refusal to amend a record.

h. The final determination to refuse an individual's request for amendment of a record must be concluded within 30 working days after the receipt of the appeal to the Administrator. If a fair and equitable review cannot be completed by the stipulated time, the Administrator will inform the individual in writing of the reasons for delay and provide an estimated date on which completion of the review is expected.

6. Personal Identification Requirements. The NHTSA does not demand any personal identification beyond that specified by § 10.35 of this part.

[Amdt. 10-3, 41 FR 24828, June 18, 1976]

APPENDIX H

URBAN MASS TRANSPORTATION ADMINISTRATION 1. Introduction. This Appendix, with respect to the Urban Mass Transportation Administration:

a. Describes the places and times at which records will be available for inspection and copying;

b. Indicates the systems of records maintained in the Urban Mass Transportation Administration;

c. Identifies the officials having authority to deny requests for access for records;

d. Describes the procedures to be followed in requesting correction of a record; and

e. Describes identification requirements which may be in addition to those delineated in paragraph 1035 of these regulations.

2. Availability for Inspection and Copying. In accordance with Title 49, Part 10, Subpart A, § 10.1, dealing with the maintenance of and access to records pertaining to individuals under the Privacy Act of 1974 (Pub. L. 93-579), the following places and times at which individual's records will be available for inspection and copying, and the titles of the officials who are responsible systems managers are submitted.

a. Regional Offices as follows:

(1) Region I, Urban Mass Transportation Administration, Cambridge, MA 02142;

(2) Region II, Urban Mass Transportation Administration, New York, NY 10007; (3) Region III, Urban Mass Transportation Administration, Philadelphia, 19106;

PA

(4) Region IV, Urban Mass Transportation Administration, Atlanta, GA 30309;

(5) Region V, Urban Mass Transportation Administration, Chicago, IL 60606;

(6) Region VI, Urban Mass Transportation Administration, Ft. Worth, TX 76102;

(7) Region VII, Urban Mass Transportation Administration, Kansas City, MO 64131;

(8) Region VIII, Urban Mass Transportation Administration, Denver, CO 80202;

(9) Region IX, Urban Mass Transportation Administration, San Francisco, CA 94111; and

(10) Region X, Urban Mass Transportation Administration, Seattle, WA 98174.

b. Hours: 8:30 A.M. to 5 P.M., local time. c. System of Records: Regional Personnel Convenience Files at each location.

d. Systems Manager: Regional Directors or Chiefs are Systems Managers

e. Headquarters: Urban Mass Transportation Administration, Washington Headquarters, Washington, D.C. 20590; Hours: 8:30 A.M. to 5 P.M.

3. Systems of Records.

a. Confidential Statement of Employment and Financial Interest-DOT/UMTA, Chief Counsel, Office of the Chief Counsel;

b. Occupational Safety and Health Reporting System, Director of Personnel Division;

c. Litigation and Claims File-Chief Counsel, Office of Chief Counsel;

d. Grant Applicants List, Director, Grant Management Division;

e. Contract Information System, Director, Procurement Division;

f. Unsolicited Research and Development Grants, Director, Grant Management Division;

g. Complaints of Discrimination, Director, Office of Civil Rights;

h. Employee Travel Vouchers, Chief, Accounting Branch;

i. Accounts Receivable Chief, Accounting Branch;

j. Equal Employment Opportunity, Minority/Female Statistical Reporting System, Director, Office of Civil Rights;

k. Minority Recruitment File, Director, Office of Civil Rights;

1. UMTA Sponsored Reports-Authors File, Director, Office of Transit Management;

m. Blood Donors File, Director, Administrative Services Division;

n. Approved Grants, Director, Administrative Services Division;

o. Closed-Out Grants, Director, Administrative Services Division; and

p. Docket DOT/UMTA, Chief Counsel, Office of Chief Counsel.

4. Access to Records. Each individual desiring to determine whether a record pertaining to him is contained in a system of records or to obtain a copy of such a record, shall make his request in writing to the official specified in paragraph 1 of this Appendix. Each request shall specify the name of the requesting individual and the system of records in which the subject record is located or thought to be located.

5. Requests to Correct or Alter Records.

a. The Administration will allow individuals to request amendment of their personal records to the extent that such amendment does not violate existing statutes, regulations, or administrative procedures. Requests to amend personal records of active employees should be addressed to the responsible system manager specified in paragraph 1.

b. The system managers will provide a written acknowledgement of the receipt of a request to amend a record to the individual within ten days. However, if the request can be reviewed, processed and the individual notified of compliance or denial within the ten-day working period, no separate acknowledgement is required.

c. If the Administration agrees with an individual's request to amend the person's record, the following steps will be taken: (1) advise the individual in writing; (2) correct the record accordingly; and (3) advise all previous receipients of the record which was corrected of the correction and its substance.

d. If the Administration, after an initial review by the system manager of a request to amend a personal record, disagrees with all or any portion of it, the Administration will:

(1) advise the individual of refusal and the reasons for it; and

(2) inform the individual of procedures to request a further review.

e. If an individual disagrees with the initial determination, the individual may file a request for a further review of that determination. This request for a review should be addressed to: Privacy Act Officer, UAD-60, 400 Seventh Street SW., Washington, D.C. 20590.

f. If after this review the Administration refuses to amend the record as the individual requested, the Administration will advise the individual:

(1) of refusal and the reasons for it;

(2) of the individual's right to file a concise statement of the reasons for disagreeing with the decision of the Administration;

(3) the procedures for filing the statement of disagreement;

(4) that the statement which is filed will be made available to anyone to whom the record is subsequently disclosed; and

(5) of the individual's right to seek judicial review of the Administration's refusal to amend a record.

g. The final Administration determination on the individual's request must be concluded within 30 working days unless the UMTA Administrator determines that a fair and equitable review cannot be completed in that period. If additional time is required, the individual will be informed in writing of reasons for the delay and of the Administration's estimated date on which the review is expected to be completed.

h. For personnel related records final Civil Service Commission determination may apply within 30 working days following the procedures explained above.

6. Personal Identification Requirements. a. Disclosure of personal records requires that the individual produce an identification card; employee identification, annuitant identification, Medicare card, or driver's license are examples. For records disclosed by mail, the Administration will require identifying information to locate the record, i.e., employee identification number, name, date of birth, or social security number. A comparison of the signature of the requester and those in the record will be used to determine identity.

b. If an individual can provide no suitable documents for identification, the Administration requires a signed statement asserting identity and stipulating that the individual understands that knowingly or willfully seeking or obtaining access to records about another person under false pretenses is punishable by a fine of up to $5,000 under citation 3(i) 3 of the Privacy Act.

[Amdt. 10-3, 41 FR 24829, June 18, 1976]

APPENDIX I

SAINT LAWRENCE SEAWAY DEVELOPMENT
CORPORATION

1. Introduction. This Appendix, with respect to the Saint Lawrence Seaway Development Corporation:

a. Describes the places and times at which records will be available for inspection and copying;

b. Indicates the systems of records maintained;

c. Identifies the officials having authority to deny requests for access to records;

d. Describes the procedures to be followed in requesting correction of a record; and

e. Describes identification requirements which may be in addition to those delineated in § 10.35 of these regulations.

2. Availability for Inspection and Copying.

a. Place and time for records inspection and copying: Saint Lawrence Seaway Development Corporation, Administration Building, Andrews Street, Massena, New York 13662, Massena Office: 9:00 a.m.-4:00 p.m.

b. Systems of records located at each facility: Administration Building: Biographical Files, Claimants under Federal Tort Claims Act, Data Automation Program Records, Employees Compensation Records, Personnel Convenience Files. Operations Convenience Building: Personnel Files. Maintenance Building: Personnel Convenience Files. Office of Administrator: Personnel Convenience Files.

c. Official having authority to deny requests for disclosure of records under this part:

Resident Manager, Saint Lawrence Seaway Development Corporation, Administration Building, Andrews Street, Massena, New York 13662.

3. Systems of Records: A complete listing of the systems of records maintained by the Saint Lawrence Seaway Development Corporation has been published in the FEDERAL REGISTER, as follows:

a. August 27, 1975, pages 38887-38888 b. November 19, 1975, pages 53989-53990 4. Access to Records: Each individual desiring to determine whether a record pertaining to him is contained in a system of records or to obtain a copy of such record, shall make his request in writing to the address provided in Section 2 of this Appendix. Each request should specify the name of the requesting individual and the system of records in which the subject record is located or thought to be located.

5. Requests to correct or alter a record:

a. Any person who desires to have their own record corrected, shall submit a written request.