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record(s) on the ground that it is prohibited by this section and state that the demand has been referred for the prompt consideration of the General Counsel (or, where appropriate, the Inspector General).

(e) Where the release of documents in response to a subpoena duces tecum is authorized by the General Counsel (or, as to documents maintained by the Office of Inspector General, the Inspector General), the official having custody of the requested records will furnish, upon the request of the party seeking disclosure, authenticated copies of the documents. No official or employee of FEMA shall respond in strict compliance with the terms of a subpoena duces tecum unless specifically authorized by the General Counsel (or Inspector General).

8 5.85 Authentication and attestation

of copies. The Director, Deputy Director, Associate Directors, Administrators, the General Counsel, the Docket Clerk, Inspector General, Regional Directors, and their designees, and other heads of offices having possession of records are authorized in the name of the Director to authenticate and attest for copies or reproductions of records. Appropriate fees will be charged for such copies or reproductions based on the fee schedule set forth in section 5.46 of this part.

(b) Whenever a demand is made upon a FEMA employee, other than an employee of the Office of Inspector General, for the disclosure of information described in paragraph (a) of this section, that employee shall immediately notify the Office of General Counsel. Employees of the Office of Inspector General shall notify the Inspector General of such demands. The General Counsel (or Inspector General through designated legal counsel), upon receipt of such notice and absent waiver of the general prohibition against employee testimony at his or her discretion, shall arrange with the appropriate United States Attorney the taking of such steps as are necessary to quash the subpoena or seek a protective order.

(c) In the event that an immediate demand for testimony or disclosure is made in circumstances which would preclude prior notice to and consultation with the General Counsel (or Inspector General), the employee shall respectfully request from the demanding authority a stay in the proceedings to allow sufficient time to obtain advice of counsel.

(d) If the court or other authority declines to stay the effect of the demand in response to a request made in accordance with paragraph (c) of this section pending consultation with counsel, or if the court or other authority rules that the demand must be complied with irrespective of instructions not to testify or disclose the information sought, the employee upon whom the demand has been made shall respectfully decline to comply with the demand, citing these regulations and United States ex rel. Touhy v. Ragen, 340 U.S. 462 (1951).

85.86 Production of documents in liti.

gation or other adjudicatory proceeding in which the United States is a party. Subpoenas duces tecum issued pursuant to litigation or any other adjudicatory proceeding in which the United States is a party shall be handled as provided at $5.8.

$5.87 Testimony of FEMA employees

in private litigation. (a) No FEMA employee shall testify in response to a subpoena or other demand in private litigation as to any information relating to material contained in the files of the Agency, or any information acquired as part of the performance of that person's official duties or because of that person's official status, including the meaning of Agency documents.

$5.88 Testimony in litigation in which

the United States is a party. (a) Whenever, in any legal proceeding in which the United States is a party, the attorney in charge of presenting the case for the United States requests it, the General Counsel shall arrange for an employee of the Agency to testify as a witness for the United States.

(b) The attendance and testimony of named employees of the Agency may not be required in any legal proceeding by the judge or other presiding officer, by subpoena or otherwise. However, the judge or other presiding officer may, upon a showing of exceptional circumstances (such as a case in which a particular named FEMA employee has direct personal knowledge of a material fact not known to the witness made available by the Agency) require the attendance and testimony of named FEMA personnel.

Subpart C-Individual Access to Records 6.30 Form of requests. 6.31 Special requirements for medical rec

ords. 6.32 Granting access 6.33 Denials of access. 6.34 Appeal of denial of access within


Subpart D-Requests To Amend Records 6.50 Submission of requests to amend rec

ords. 6.51 Review of requests to amend records. 6.52 Approval of requests to amend records. 6.53 Denial of requests to amend records. 6.54 Agreement to alternative amendments. 6.55 Appeal of denial of request to amend a

record. 6.56 Statement of disagreement. 6.57 Judicial review.

85.89 Waiver.

The General Counsel (or, as to employees of the Office of Inspector General, the Inspector General) may grant, in writing, a waiver of any policy or procedure prescribed by this subpart, where waiver is considered necessary to promote a significant interest of the Agency or for other good cause. In granting such waiver, the General Counsel (or Inspector General) shall attach to the waiver such reasonable conditions and limitations as are deemed appropriate in order that a response in strict compliance with the terms of a subpoena duces tecum or the providing of testimony will not interfere with the duties of the employee and will otherwise conform to the policies of this part. The Director may, in his or her discretion, review any decision to authorize a waiver of any policy or procedure prescribed by this subpart.

Subpart E-Report on New Systems and

Alterations of Existing Systems 6.70 Reporting requirement. 6.71 Federal Register notice of establish

ment of new system or alteration of ex

isting system. 6.72 Effective date of new system of records

or alteration of an existing system of records.

Subpart F-Foes

6.80 Records available at fee. 6.81 Additional copies. 6.82 Waiver of fee. 6.83 Prepayment of fees. 6.84 Form of payment. 6.85 Reproduction fees.



Subpart A-General

Subpart G-Exempt Systems of Records 6.86 General exemptions. 6.87 Specific exemptions.

AUTHORITY: 5 U.S.C. 552a; Reorganization Plan No. 3 of 1978; and E.O. 12127.

SOURCE: 44 FR 50293, Aug. 27, 1979, unless otherwise noted.

Subpart A-General

Sec. 6.1 Purpose and scope of part. 6.2 Definitions. 6.3 Collection and use of information (Pri

vacy Act statements). 6.4 Standards of accuracy. 6.5 Rules of conduct. 6.6 Safeguarding systems of records. 6.7 Records of other agencies. 6.8 Subpoena and other legal demands. 6.9 Inconsistent issuances of FEMA and/or

its predecessor agencies superseded. 6.10 Assistance and referrals.

86.1 Purpose and scope of part.

This part sets forth policies and procedures concerning the collection, use and dissemination of records maintained by the Federal Emergency Management Agency (FEMA) which are subject to the provision of 5 U.S.C. 552a, popularly known as the “Privacy Act of 1974" (hereinafter referred to as the Act). These policies and procedures govern only those records as defined in

Subpart B-Disclosure of Records

6.20 Conditions of disclosure. 6.21 Procedures for disclosure. 6.22 Accounting of disclosures.

$6.2. Policies and procedures governing (h) System manager means the emthe disclosure and availability of ployee of FEMA who is responsible for records in general are in part 5 of this the maintenance of a system of records chapter. This part also covers: (a) Pro- and for the collection, use, and discedures for notification to individuals semination of information therein. of a FEMA system of records pertain- (i) Subject individual means the indiing to them; (b) guidance to individuals vidual named or discussed in a record in obtaining information, including in- of the individual to whom a record othspections of, and disagreement with, erwise pertains. the content of records; (c) accounting

(j) Disclosure means a transfer of a of disclosure; (d) special requirements record, a copy of a record, or any or all for medical records; and (e) fees.

of the information contained in a

record to a recipient other than the $ 6.2 Definitions.

subject individual, or the review of a For the purpose of this part:

record by someone other than the sub(a) Agency includes any executive de- ject individual. partment, military department, Gov- (k) Access means a transfer of a ernment corporation, Government con- record, a copy of a record, or the infortrolled corporation, or other establish

mation in a record to the subject indiment in the executive branch of the vidual, or the review of a record by the Government (including the Executive subject individual. Office of the President), or any inde- (1) Solicitation means a request by an pendent regulatory agency (see 5 U.S.C.

officer or employee of FEMA that an 552(e)).

individual provide information about (b) Individual means a citizen of the

himself or herself. United States or an alien lawfully ad

(m) Director means the Director, mitted for permanent residence.

FEMA. (c) Maintain includes maintain, col

(n) Deputy Director means the Deputy lect, use, and disseminate.

Director, FEMA, or, in the case of the (d) Record means any item, collec

absence of the Deputy Director, or a tion, or grouping of information about

vacancy in that office, a person desan individual that is maintained by an

ignated by the Director to perform the agency, including, but not limited to

functions under this regulation of the those concerning education, financial

Deputy Director. transactions, medical history, and

(0) Privacy Appeals Officer means the criminal or employment history, and

FOIA/Privacy Act Specialist or his/her that contains the name or other identi

designee. fying particular assigned to the individual, such

a fingerprint, (44 FR 50293, Aug. 27, 1979, as amended at 45 voiceprint, or photograph.

FR 17152, Mar. 18, 1980; 51 FR 34604, Sept. 30, (e) System of records means a group of

1986) any records under the control of an agency from which information is re

86.3_Collection and use of information trieved by the name of the individual

(Privacy Act statements). or by some identifying number, sym- (a) General. Any information used in bol, or other identification assigned to whole or in part in making a deterthat individual.

mination about an individual's rights, (f) Statistical record means a record in benefits, or privileges under FEMA pro& system of records maintained for sta- grams will be collected directly from tistical research or reporting purposes the subject individual to the extent only and not used in whole or in part in practicable. The system manager also making any determination about an shall ensure that information collected identifiable individual, except as pro- is used only in conformance with the vided by 13 U.S.C. 8.

provisions of the Act and these regula(g) Routine use means, with respect to tions. the disclosure of a record, the use of (b) Solicitation of information. System that record for a purpose which is com- managers shall ensure that at the time patible with the purpose for which it information is solicited the solicited was collected.

individual is informed of the authority


essary to ensure fairness to the individual.

$ 6.5 Rules of conduct.

Employees of FEMA involved in the design, development, operation, or maintenance of any system of records or in maintaining any record, shall conduct themselves in accordance with the rules of conduct concerning the protection of personal information in 83.25 of this chapter.

for collecting that information, whether providing the information is mandatory or voluntary, the purpose for which the information will be used, the routine uses to be made of the information, and the effects on the individual, if any, of not providing the information. The Director, Office of Administrative Support and Regional Directors shall ensure that forms used to solicit information are in compliance with the Act and these regulations.

(c) Solicitation of Social Security numbers. Before an employee of FEMA can deny to any individual a right, benefit, or privilege provided by law because such individual refuses to disclose his/ her social security account number, the employee of FEMA shall ensure that either:

(1) The disclosure is required by Federal statute; or

(2) The disclosure of a social security number was required under a statute or regulation adopted before January 1, 1975, to verify the identity of an individual, and the social security number will become a part of a system of records in existence and operating before January 1, 1975. If solicitation of the social security number is authorized under paragraph (c) (1) or (2) of this section, the FEMA employee who requests an individual to disclose the social security account number shall first inform that individual whether that disclosure is mandatory or voluntary, by what statutory or other authority the number is solicited, and the use that will be made of

86.6 Safeguarding systems of records.

(a) Systems managers shall ensure that appropriate administrative, technical, and physical safeguards are established to ensure the security and confidentiality of records and to protect against any anticipated threats or hazards to their security or integrity which could result in substantial harm, embarrassment, inconvenience, or unfairness to any individual on whom information is maintained.

(b) Personnel information contained in both manual and automated systems of records shall be protected by implementing the following safeguards:

(1) Official personnel folders, authorized personnel operating or work folders and other records of personnel actions effected during an employee's Federal service or affecting the employee's status and service, including information on experience, education, training, special qualification, and skills, performance appraisals, and conduct, shall be stored in a lockable metal filing cabinet when not use by an authorized person. A system manager may employ an alternative storage system providing that it furnished an equivalent degree of physical security as storage in a lockable metal filing cabinet.

(2) System managers, at their discretion, may designate additional records of unusual sensitivity which require safeguards similar to those described in paragraph (a) of this section.

(3) A system manager shall permit access to and use of automated or manual personnel records only to persons whose official duties require such access, or to a subject individual or his or her representative as provided by this part.


(d) Soliciting information from third parties. An employee of FEMA shall inform third parties who are requested to provide information about another individual of the purposes for which the information will be used.

[44 FR 50293, Aug. 27, 1979, as amended at 47 FR 13149, Mar. 29, 1982; 48 FR 12091, Mar. 23, 1983; 50 FR 40006, Oct. 1, 1985)

86.4 Standards of accuracy.

The system manager shall ensure that all records which are used by FEMA to make determinations about any individual are maintained with such accuracy, relevance, timeliness, and completeness as is reasonably nec

86.7 Records of other agencies.

If FEMA receives a request for access to records which are the primary responsibility of another agency, but which are maintained by or in the temporary possession of FEMA on behalf of that agency, FEMA will advise the requestor that the request has been forwarded to the responsible agency. Records in the custody of FEMA which are the primary responsibility of the Office of Personnel Management are governed by the rules promulgated by it pursuant to the Privacy Act. 8 6.8 Subpoena and other legal de

mands. Access to records in systems of records by subpoena or other legal process shall be in accordance with the provisions of part 5 of this chapter.

8 6.9 Inconsistent issuances of FEMA

and/or its predecessor agencies su

perseded. Any policies and procedures in any issuances of FEMA or any of its predecessor agencies which are inconsistent with the policies and procedures in this part are superseded to the extent of that inconsistency.

(d) To the Bureau of the Census for use pursuant to title 13, United States Code;

(e) To a recipient who has provided FEMA with advance adequate written assurance that the record will be used solely as a statistical research or reporting record subject to the following: The record shall be transferred in a form that is not individually identifiable. The written statement should include as a minimum (1) a statement of the purpose for requesting the records; and (2) certification that the records will be used only for statistical purposes. These written statements should be maintained as accounting records. In addition to deleting personal identifying information from records released for statistical purposes, the system manager shall ensure that the identity of the individual cannot reasonably be deduced by combining various statistical records;

(f) 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 The National Archives and Records Administration or his designee to determine whether the record has such value;

(g) To another agency or instrumentality of any governmental jurisdiction within or under the control of the United States for civil or criminal law enforcement activity, if the activity is authorized by law, and if the head of the agency or instrumentality or his designated representative has made a written request to the Director specifying the particular portion desired and the law enforcement activity for which the record is sought;

(h) To a person showing compelling circumstances affecting the health and safety of an individual to whom the record pertains. (Upon such disclosure, a notification must be sent to the last known address of the subject individual.)

(i) To either House of Congress or to a subcommittee or committee (joint or of either House, to the extent that the subject matter falls within their jurisdiction;

(j) To the Comptroller General or any duly authorized representatives of the

86.10 Assistance and referrals.

Requests for assistance and referral to the responsible system manager or other FEMA employee charged with implementing these regulations should be made to the Privacy Appeals Officer, Federal Emergency Management Agency, Washington, DC 20472. [45 FR 17152, Mar. 18, 1980)

Subpart B-Disclosure of Records

8 6.20 Conditions of disclosure.

No employee of FEMA shall disclose any record to any person or to another agency without the express written consent of the subject individual unless the disclosure is:

(a) To officers or employees of FEMA who have a need for the information in the official performance of their duties;

(b) Required by the provisions of the Freedom of Information Act, 5 U.S.C. 552.

(c) For a routine use as published in the notices in the FEDERAL REGISTER;

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