PART 707—ACCESS TO AND SAFEGUARDING OF PERSONAL INFORMATION Authority: 5 U.S.C. 552a; Pub. L. 115-254, sections 1401-1470. Source: 79 FR 8614, Feb. 13, 2014, unless otherwise noted. Editorial Note: Nomenclature changes to part 707 appear at 84 FR 37752, Aug. 2, 2019. Subpart A—General § 707.11 Scope and purpose. This part applies to all records in systems of records maintained by DFC that are retrievable by an individual's name or personal identifier. The rules in this part describe the procedures by which individuals may request access to records about themselves, request amendment or correction of those records, or request an accounting of disclosures of records by DFC. These rules should be read in conjunction with the Privacy Act of 1974, 5 U.S.C. 552a, which provides additional information about records maintained on individuals. § 707.12 Definitions. As used in this part: (a) Individual (b) Maintain (c) Record (d) System of records (e) Statistical record (f) Routine use § 707.13 Preservation of records. DFC preserves all correspondence pertaining to the requests that it receives under this part, as well as copies of all requested records, until disposition or destruction is authorized pursuant to title 44 of the United States Code or the General Records Schedule 14 of the National Archives and Records Administration. Records that are identified as responsive to a request will not be disposed of or destroyed while they are the subject of a pending request, appeal, or lawsuit under the Privacy Act. Subpart B—Requests for Access to Records; Amendment of Records, Accounting of Disclosures; Notice of Court Ordered Disclosures § 707.21 Requests for access to or copies of records. (a) How to submit. [email protected]. (b ) Information to include. (1) Be in writing and be signed by the requester. Unless the requester is a current officer or employee of DFC, the letter must also be duly acknowledged before a notary public or other authorized public official or signed under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization; (2) Provide information sufficient to verify the identity of the requester, including the requester's full name, current address, date of birth, place of birth, or the system of record identification name or number. Also include a clearly legible copy of a valid form of identification. If the request is being made by a parent or guardian on behalf of another, also include the same information for the individual who is the subject of the request along with a court order, birth certificate, or similar document proving the guardianship. DFC will review the sufficiency of identity evidence under paragraph (c) of this section; (3) Provide information sufficient to accurately identify the records or information so that DFC staff can locate the records with a reasonable amount of effort. At minimum this should include the full name, the system of record identification name, or the system identification number for the individual who is the subject of the records. Provision of a social security number is optional. If possible, also include a description of the records as well as providing a record creation time range and the name of the systems that should be searched. A description of DFC's system of records can be located in the “Privacy Act Compilation” published by the National Archives and Records Administration's Office of the Federal Register. Each system of records is also published in the Federal Register (4) Specify whether the individual wishes access to or copies of the information pertaining to him. If access is requested, provide at least one preferred date and hour for which an appointment is requested during regular business hours as provided in paragraph (a) of this section. DFC encourages appointments to be made at least one week in advance and for a requester to provide at least three preferred appointment times; and (5) Include an agreement to pay fees or an agreement to pay fees up to a specified amount under § 707.27. A request that does not include an agreement to pay fees will be considered an agreement to pay fees up to $25.00. (c) Verification of identity. (d) Release of records. (e) Denial of request. [79 FR 8614, Feb. 13, 2014, as amended at 84 FR 37752, Aug. 2, 2019] § 707.22 Requests to permit access of records to an individual other than the individual to whom the record pertains. (a) Access by an authorized individual. (b) Release to an authorized individual. (c) Access or release to parent or guardian. § 707.23 Requests for amendment of records. (a) How to submit. (b) Information to include. (1) Be in writing and be signed by the requester. Unless the requester is a current officer or employee of DFC, the letter must also be duly acknowledged before a notary public or other authorized public official or signed under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization; (2) Provide information sufficient to verify the identity of the requester, including the requester's full name, current address, date of birth, place of birth, or the system of record identification name or number. Also include a clearly legible copy of a valid form of identification. If the request is being made by a parent or guardian on behalf of another, also include the same information for the individual who is the subject of the request along with a court order, birth certificate, or similar document proving the guardianship. DFC will review the sufficiency of identity evidence under paragraph (c) of this section; (3) Provide information sufficient to accurately identify each record so that DFC staff can locate the record and information with a reasonable amount of effort. At minimum this should include the full name, the system of record identification name, or the system record identification number for the individual who is the subject of the records and the name for each system that you believe the record is located in. Provision of a social security number is optional. If possible, you should also include a description of the records and provide a record creation time range. A description of DFC's systems of records can be located in the “Privacy Act Compilation” published by the National Archives and Records Administration's Office of the Federal Register. Each system of records is also published in the Federal Register (4) Specify the correction requested; and (5) Detail the basis for the requester's belief that the records and information are not accurate, relevant, timely, or complete. This includes providing substantial and reliable evidence sufficient to permit DFC to determine whether an amendment is in order. (c) Verification of identity. (d) Acknowledgment of request. (e) Determination. (1) Amendment. (2) Denial. (f) Notification of amendment. (g) Records not subject to amendment. (1) Transcripts of testimony given under oath or written statements made under oath; (2) Transcripts of grand jury proceedings, judicial proceedings, or quasi-judicial proceedings, which are the official record of those proceedings; (3) Presentence records that originated with the courts; and (4) Records in systems of records that have been exempted from amendment and correction under the Privacy Act, 5 U.S.C. 552a(j) or (k) or by notice published in the Federal Register. (h) No amendment permitted. (1) The alteration of evidence presented in the course of judicial, quasi-judicial, or quasi-legislative proceedings; (2) Collateral attack upon any matter which has been the subject of judicial or quasi-judicial action; or (3) An amendment or correction which would be in violation of an existing statute, executive order, or regulation. § 707.24 Requests for an accounting of record disclosures. (a) How to submit. (b) Information to include. (1) Be in writing and be signed by the requester. Unless the requester is a current officer or employee of DFC, the letter must also be duly acknowledged before a notary public or other authorized public official or signed under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization; (2) Provide information sufficient to verify the identity of the requester, including the requester's full name, current address, date of birth, place of birth, or the system of record identification name or number. Also include a clearly legible copy of a valid form of identification. If the request is being made by a parent or guardian on behalf of another, also include the same information for the individual who is the subject of the request along with a court order, birth certificate, or similar document proving the guardianship. DFC will review the sufficiency of identity evidence under paragraph (c) of this section; (3) Provide information sufficient to accurately identify the records or information so that DFC staff can locate the records with a reasonable amount of effort. At minimum this should include the full name, the system of record identification name, or the system record identification number for the individual who is the subject of the records and the name for each system that you believe the record is located in. Provision of a social security number is optional. If possible, you should also include a description of the records and provide a time range. A description of DFC's system of records can be located in the “Privacy Act Compilation” published by the National Archives and Records Administration's Office of the Federal Register. Each system of records is also published in the Federal Register (4) Include an agreement to pay fees or an agreement to pay fees up to a specified amount under § 707.27. A request that does not include an agreement to pay fees will be considered an agreement to pay fees up to $25.00. (c) Verification of identity. establish (d) Determination. (1) Provision of accounting of disclosures. (2) Denial. (e) Disclosures where an accounting of disclosures is not required. (1) The disclosures are of the type for which accountings are not kept. For example, disclosures made to employees within the agency; or (2) The disclosure was made in response to a written request from a law enforcement agency for authorized law enforcement purposes. § 707.25 Appeals. An individual may appeal a denial made under §§ 707.21 through 707.23 within thirty (30) days of the notification of such denial. (a) How to submit. (b) Information to include. (1) Be in writing and be signed by the requester; (2) Be clearly labeled “PRIVACY ACT APPEAL” on both the letter and the envelope; (3) Clearly reference the determination being appealed; and (4) Provide support for your information, including documentation provided in the initial determination and any additional information. (b) Appeal determination. (1) Overturn initial determination. (2) Uphold initial determination. (c) Statement of disagreement. § 707.26 Notification of court-ordered disclosures. (a) Except in cases under paragraph (c) of this section, when a record pertaining to an individual is required to be disclosed by court order, DFC will make reasonable efforts to provide notice of this to the individual. If DFC cannot locate the individual, notice will be deemed sufficient for this part if it is mailed to the individual's last known address. The notice will contain a copy of the order and a description of the information disclosed. (b) Notice will be given within a reasonable time after DFC's receipt of the order, unless the order is not a matter of public record. In those cases, the notice will be given only after the order becomes public. (c) Notice is not required if disclosure is made from an exempt system of records. § 707.27 Fees. (a) The fees to be charged for making copies of any records provided to an individual under this part are ten (10) cents per page. No fees will be charged for search or review. (b) At its discretion, DFC may grant a request for special services such as mailing copies by means other than first class mail or providing document certification. All special services provided to the requester will be provided at cost. (c) DFC considers any request under the Privacy Act to be an authorization to incur up to $25.00 in fees unless a request states otherwise. (d) DFC may condition access to records or copies of records upon full payment of any fees due. (e) All payments under this part must be in the form of a check or bank draft denominated in U.S. currency. Checks should be made payable to the order of the United States Treasury and mailed or hand delivered to DFC at 1100 New York Avenue NW., Washington, DC 20527. Subpart C—Exceptions § 707.31 Specific exemptions. The provisions of 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I) and (f) shall not apply to any system of records maintained by DFC that is— (a) Subject to the provisions of 5 U.S.C. 552(b)(1); (b) Composed of Investigatory material compiled for law enforcement purposes other than those specified in 5 U.S.C. 552a(j)(2); (c) Required by statute to be maintained and used solely as statistical records; (d) Composed of investigatory material compiled solely for the purpose of determining suitability, eligibility or qualifications for Federal civilian employment, military service, Federal contracts or access to classified information, but only to the extent that DFC may determine, in its sole discretion, that the disclosure of such material would reveal the identity of the source who, subsequent to September 27, 1975, furnished information to the Government under an express promise that the identity of the source would be held in confidence or, prior to such date, under an implied promise to such effect; and (e) Composed of testing or examination materials used solely to determine individual qualifications for appointment or promotion in the Federal service and DFC determines, in its sole discretion, that disclosure of such materials would compromise the fairness of the testing or examination process. § 707.32 Special exemption. Nothing in this part shall allow an individual access to any information compiled in reasonable anticipation of a civil action or proceeding. § 707.33 Other rights and services. Nothing in this part shall be construed to entitle any person, as of right, to any service or to the disclosure of any record to which such person is not entitled under the Privacy Act.