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the time period set forth in 5 U.S.C. 552(a) (6) until forwarding to the appropriate office has been effected, or until such forwarding would have been effected with the exercise of due diligence by Service personnel. On receipt of a request forwarded as set forth in paragraph (a) of this section to the appropriate office, such office shall notify the requester of the date on which the time period commenced to

run.

(2) Treatment of delay as a denial. If no substantive reply is forthcoming at the end of the 10-day period, or the last extension thereof under 28 CFR 16.5(c), the requester may deem his request denied, and exercise a right of appeal in accordance with 28 CFR 16.7. When no substantive reply can be made within the applicable time limit, the responsible Service office shall nevertheless continue to process the request; it shall inform the requester upon expiration of the time limit of the reason for the delay, of the date on which a determination may be expected to be dispatched, and of his right to treat the delay as a denial and appeal to the Attorney General in accordance with 28 CFR 16.7; and it may ask the requester to forego appeal until a determination is made.

(d) Disposition of requests-(1) Form of grant. When a requested record is available, the responsible office shall notify the requester when and where the record is available or copies will be available. The notification shall also advise the requester of any applicable fees under 28 CFR 16.9.

(2) Form of denial. A reply denying a written request for a record in whole or in part shall be in writing, signed by the Associate Commissioner, Management, by a regional commissioner, or by a district director, and it shall include a reference to the specific exemption under the Freedom of Information Act authorizing withholding of the record. To the extent consistent with the purpose of the exemption, the notice of denial shall contain a brief explanation of how the exemption applies to the record withheld, and if the deciding official considers it appropriate, a statement of why the exempt record is being withheld. The notice of denial shall include a state

ment of the right of appeal to the Attorney General in accordance with 28 CFR 16.7 (see paragraph (d)(3) of this section), and that judicial review will thereafter be available in the district in which the requester resides or has his principal place of business or the district in which the agency records are situated or the District of Columbia.

(3) Right of appeal. When a request for records has been denied in whole or in part the requester may, within 30 days of its receipt, appeal the denial to the Attorney General (Attention: Freedom of Information Appeals Unit), Department of Justice, Washington, D.C. 20530, and both the envelope and the letter shall be clearly marked: "FREEDOM OF INFORMATION APPEAL" or "INFORMATION APPEAL."

(e) Copies of responses to Deputy Attorney General. A copy of each notification to a requester of a delay, notice of extension, denial or of inability to locate a requested record shall be furnished to the Deputy Attorney General.

(f) Verification of information from Service records. When a requester desires, not a copy of a record, but a formal statement by the Service verifying particular information based on Service records, his request is not being made pursuant to the Freedom of Information Act and shall be submitted on Form G-641 to the Service office having jurisdiction over his place of residence.

[40 FR 7237, Feb. 19, 1975, as amended at 40 FR 17743, Apr. 22, 1975; 41 FR 34938, Aug. 18, 1976; 42 FR 15408, March 22, 1977] § 103.20 Purpose and scope.

(a) Sections 103.20 through 103.36 comprise the regulations of the Service implementing the Privacy Act of 1974, Pub. L. 93-597. The regulations apply to all records contained in systems of records maintained by the Service which are identifiable by individual name or identifier and which are retrieved by individual name or identifier, except those personnel records governed by Civil Service Commission regulations. The regulations set forth the procedures by which individuals may seek access to records pertaining

DOM OF INFORMATION REQUEST" or "INFORMATION REQUEST". Any request for information not marked and addressed as specified in this paragraph will be so marked by Service personnel as soon as it is properly identified, and forwarded immediately to the appropriate office. A request will not be deemed to have been received for purposes of the time period set forth in 5 U.S.C. 552(a) (6) until forwarding to the appropriate office has been effected, or until such forwarding would have been effected with the exercise of due diligence by Service personnel. On receipt of a request forwarded as set forth above to the appropriate office, such office shall notify the requester of the date on which the time period commenced to run. The use of Form G-639 is recommended for rapid identification as a Freedom of Information matter and to insure expeditious handling. Each request made under this section pertaining to the availability of a record shall describe the record with sufficient specificity with respect to names, dates, subject matter and location to permit it to be identified and located. A request for all records falling within a reasonable specific category shall be regarded as conforming to the requirement that records be reasonably described if it enables the records requested to be identified by any process that is not unreasonably burdensome or disruptive of Service operations. If it is determined that a request does not reasonably describe the records sought, as specified above, the response rejecting the request on that ground shall specify the reasons why the request failed to meet requirements and shall extend to the requester an opportunity to confer with Service personnel in order to attempt to reformulate the request in a manner which will meet the needs of the requester and the requirements of this subsection.

(b) Authority to grant and deny requests-(1) Grants. The Associate Commissioner, Management, may grant any type of request. The head of any office specified in paragraph (a) (1) of this section may grant the following types of requests:

(i) Requests for information and records which officers and employees of the Service prior to the enactment of 5 U.S.C. 552 customarily furnished to the public in the regular performance of their duties;

(ii) Requests for records of proceedings in deportation hearings, unless members of the public have been excluded from the hearings by direction of the special inquiry officer pursuant to § 242.16(a) of this chapter;

(iii) Requests for records of proceedings in naturalization examinations and hearings;

(iv) Requests for records of proceedings in any other proceedings before the Service which were open to the public;

(v) Requests for records of proceedings in administrative fine cases; and

(vi) Requests for any other records of the Service, including portions of records, which clearly are not within the exemptions from disclosure enumerated in 5 U.S.C. 552(b).

(2) Denials. The Associate Commissioner, Management, regional commissioners, and district directors have authority to deny a request. They shall also have authority, in the exercise of discretion, to waive the exemption of a record from disclosure under 5 U.S.C. 552(b) (3) in that it is within the purview of section 264(b) of the Act, 8 U.S.C. 1304(b).

(3) Authority to state that a record cannot be located or does not exist. The head of any office specified in paragraph (a) (1) of this section has authority to notify a requester that a record cannot be located from the information supplied, or is known to have been destroyed or otherwise disposed of.

(c) Prompt response-(1) Response within 10 days. Within 10 days (excluding Saturdays, Sundays and legal public holidays) of the receipt of a request by the Service (or in the case of an improperly addressed request, of its receipt by the appropriate office as specified in paragraph (a) of this section), the authorized Service official shall either comply with or deny such request unless an extension is made under 28 CFR 16.5(c). A request improperly addressed will not be deemed to have been received for purposes of

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the time period set forth in 5 U.S.C. 552(a) (6) until forwarding to the appropriate office has been effected, or until such forwarding would have been effected with the exercise of due diligence by Service personnel. On receipt of a request forwarded as set forth in paragraph (a) of this section to the appropriate office, such office shall notify the requester of the date on which the time period commenced to run.

(2) Treatment of delay as a denial. If no substantive reply is forthcoming at the end of the 10-day period, or the last extension thereof under 28 CFR 16.5(c), the requester may deem his request denied, and exercise a right of appeal in accordance with 28 CFR 16.7. When no substantive reply can be made within the applicable time limit, the responsible Service office shall nevertheless continue to process the request; it shall inform the requester upon expiration of the time limit of the reason for the delay, of the date on which a determination may be expected to be dispatched, and of his right to treat the delay as a denial and appeal to the Attorney General in accordance with 28 CFR 16.7; and it may ask the requester to forego appeal until a determination is made.

(d) Disposition of requests—(1) Form of grant. When a requested record is available, the responsible office shall notify the requester when and where the record is available or copies will be available. The notification shall also advise the requester of any applicable fees under 28 CFR 16.9.

(2) Form of denial. A reply denying a written request for a record in whole or in part shall be in writing, signed by the Associate Commissioner, Management, by a regional commissioner, or by a district director, and it shall include a reference to the specific exemption under the Freedom of Information Act authorizing withholding of the record. To the extent consistent with the purpose of the exemption, the notice of denial shall contain a brief explanation of how the exemption applies to the record withheld, and if the deciding official considers it appropriate, a statement of why the exempt record is being withheld. The notice of denial shall include a state

ment of the right of appeal to the Attorney General in accordance with 28 CFR 16.7 (see paragraph (d)(3) of this section), and that judicial review will thereafter be available in the district in which the requester resides or has his principal place of business or the district in which the agency records are situated or the District of Columbia.

(3) Right of appeal. When a request for records has been denied in whole or in part the requester may, within 30 days of its receipt, appeal the denial to the Attorney General (Attention: Freedom of Information Appeals Unit), Department of Justice, Washington, D.C. 20530, and both the envelope and the letter shall be clearly marked: "FREEDOM OF INFORMATION APPEAL" or "INFORMATION APPEAL."

(e) Copies of responses to Deputy Attorney General. A copy of each notification to a requester of a delay, notice of extension, denial or of inability to locate a requested record shall be furnished to the Deputy Attorney General.

(f) Verification of information from Service records. When a requester desires, not a copy of a record, but a formal statement by the Service verifying particular information based on Service records, his request is not being made pursuant to the Freedom of Information Act and shall be submitted on Form G-641 to the Service office having jurisdiction over his place of residence.

[40 FR 7237, Feb. 19, 1975, as amended at 40 FR 17743, Apr. 22, 1975; 41 FR 34938, Aug. 18, 1976; 42 FR 15408, March 22, 1977] § 103.20 Purpose and scope.

(a) Sections 103.20 through 103.36 comprise the regulations of the Service implementing the Privacy Act of 1974, Pub. L. 93-597. The regulations apply to all records contained in systems of records maintained by the Service which are identifiable by individual name or identifier and which are retrieved by individual name or identifier, except those personnel records governed by Civil Service Commission regulations. The regulations set forth the procedures by which individuals may seek access to records pertaining

to themselves and request correction of those records. The regulations also set forth the requirements applicable to Service employees maintaining, collecting, using or disseminating such records.

(b) The Associate Commissioner, Management, shall provide that the provisions of §§ 103.20 through 103.36 of this chapter and 28 CFR 16.40 through 16.56, and any revisions thereof, shall be brought to the attention of and made available to:

(1) Each employee at the time of issuance of the aforesaid regulations and any amendment thereto; and

(2) Each new employee at the time of employment.

(c) The Associate Commissioner, Management, shall be responsible for insuring that employees of the Service are trained in the obligations imposed by the Privacy Act of 1974 and by these regulations.

§ 103.21 Access by individuals to records maintained about them.

(a) Access to available records. An individual seeking access to records about himself in a system of records, which have not been exempted from access pursuant to the Privacy Act of 1974, shall present his request in person or in writing to the manager of the particular system of records to which he seeks access. Systems managers are identified in the "Notice of Systems of Records" published by the National Archives and Records Service, General Services Administration. Access to records in multiple systems of records shall be addressed to the Office of the Associate Commissioner, Management, which shall assist the requester in identifying his request more precisely and shall be responsible for forwarding the request to the appropriate system managers. The use of Form G-657, Privacy Act Information Request, is recommended for rapid identification and to insure expeditious handling.

(b) Verification of identity. The following standards are applicable to any individual who requests records concerning himself, unless other provisions for identity verification are specified in the published notice per

taining to the particular system of records.

(1) An individual seeking access to records about himself in person shall establish his identity by the presentation of a single document bearing a photograph (such as a passport, alien registration receipt card or identification badge) 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 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, alien or 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. Form G-652, affidavit of Identity, may be obtained on request from the office of the system manager of a system of records at a system location listed in the "Notice of Systems of Records" published in the FEDERAL REGISTER.

(c) Verification of guardianship. The parent or guardian of a child or of a person judicially determined to be incompetent and seeking to act on behalf of such child or incompetent, shall, in addition to establishing his own identity, establish the identity of the child 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 pertaining to 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 the Ser

vice is authorized to discuss the contents of the subject record in the presence of both individuals.

(e) Specification of records sought. Requests for access to records, either in person or by mail, shall describe the nature of the records sought, the approximate dates covered by the record, the system in which it is thought to be included as described in the "Notice of Systems of Records" published in the FEDERAL REGISTER, and the identity of the individual or office of the Service having custody of the system of records. In addition, the published "Notice of Systems of Records" for individual systems may include further requirements of specification, where necessary, to retrieve the individual record from the system.

[40 FR 44481, Sept. 26, 1975; 40 FR 46092, Oct. 6, 1975, as amended at 42 FR 33025, June 29, 1977]

§ 103.22 Records exempt in whole or in part.

(a) When an individual requests records about himself which have been exempted from individual access pursuant to 5 U.S.C. 552a(j) or (k)(3) or (k)(4) or which have been compiled in reasonable anticipation of a civil action or proceeding either in a court or before an administrative tribunal, the Service will neither confirm nor deny the existence of the record but shall advise the individual only that there is no record which is available to him pursuant to the Privacy Act of 1974.

(b) Individual requests for access to records which have been exempted from access pursuant to 5 U.S.C. 552a(k) shall be processed as follows:

(1) Requests for information classified by the Service pursuant to Executive Order 11652 require the Service to review the information to determine whether it continues to warrant classification under the criteria of sections 1 and 5 (B), (C), (D), and (E) of the Executive Order. Information which no longer warrants classification under these criteria shall be declassified and made available to the individual, if not otherwise exempt. If the information continues to warrant classification, the individual shall be advised that the information sought is classified; that it

has been reviewed and continues to warrant classification; and that it has been exempted from access pursuant to 5 U.S.C. 552a(k)(1). Information which has been exempted pursuant to 5 U.S.C. 552a(j) and which is also classified shall be reviewed as required by this paragraph but the response to the individual shall be in the form prescribed by paragraph (a) of this section.

(2) Requests for information which has been exempted from disclosure pursuant to 5 U.S.C. 552a(k)(2) shall be responded to in the manner provided in paragraph (a) of this section unless a review of the information indicates that the information has been used or is being used to deny the individual any right, privilege or benefit for which he is eligible or to which he would otherwise be entitled under Federal law. In that event, the individual shall be advised of the existence of the record and shall be provided the information except to the extent it would identify a confidential source. If and only if information identifying a confidential source can be deleted or the pertinent parts of the record summarized in a manner which protects the identity of the confidential source, the document with deletions made or the summary shall be furnished to the requester.

(3) Information compiled as part of an employee background investigation which has been exempted pursuant to 5 U.S.C. 552a(k)(5) shall be made available to an individual upon request except to the extent that it identifies a confidential source. If and only if information identifying a confidential source can be deleted or the pertinent parts of the record summarized in a manner which protects the identity of the confidential source, the document with deletions made or the summary shall be furnished to the requester.

(4) Testing or examination material which has been exempted pursuant to 5 U.S.C. 552a(k)(6) shall not be made available to an individual if disclosure would compromise the objectivity or fairness of the testing or examination process but shall be made available if no such compromise possibility exists. (5) The Service records which are exempted and the reasons for the ex

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