
[Code of Federal Regulations]
[Title 18, Volume 1]
[Revised as of April 1, 2001]
From the U.S. Government Printing Office via GPO Access
[CITE: 18CFR3]

[Page 55-56]
 
           TITLE 18--CONSERVATION OF POWER AND WATER RESOURCES
 
  CHAPTER I--FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY
 
PART 3b--COLLECTION, MAINTENANCE, USE, AND DISSEMINATION OF RECORDS OF IDENTIFI
ABLE PERSONAL INFORMATION--Table of Contents
 
Subpart A--General

Sec. 3b.1  Purpose.

    Part 3b describes the Federal Power Commission's program to 
implement the provisions of the Privacy Act of 1974 (Pub. L. No. 93-579, 
88 Stat. 1896) to allow individuals to have a say in the collection and 
use of information which may be used in determinations affecting them. 
The program is structured to permit an individual to determine what 
records pertaining to him and filed under his individual name, or some 
other identifying particular, are collected, maintained, used or 
disseminated by the Commission, to permit him access to such records, 
and to correct or amend them, and to provide that the Commission 
collect, use, maintain and disseminate such information in a lawful 
manner for a necessary purpose.

Sec. 3b.2  Definitions.

    In this part:
    (a) Agency, as defined in 5 U.S.C. 551(1) as ``* * * each authority 
of the Government of the United States, whether or not it is within or 
subject to review by another agency, * * *'', includes any executive 
department, military department, Government corporation, Government 
controlled corporation, or other establishment in the executive branch 
of the Government (including the Executive Office of the President), or 
any independent regulatory agency [5 U.S.C. 552(e)];
    (b) Individual means a citizen of the United States or an alien 
lawfully admitted for permanent residence;
    (c) Maintain includes, maintain, collect, use, or disseminate;
    (d) Record means any item, collection or grouping of information 
about an individual that is maintained by an agency, including, but not 
limited to, his education, financial transactions, medical history, and 
criminal or employment history and that contains his name, or the 
identifying number, symbol, or other identifying particular assigned to 
the individual, such as a finger or voice print or a photograph;
    (e) System of records means a group of any records under the control 
of any agency from which information is retrieved by the name of the 
individual or by some identifying number, symbol, or other identifying 
particular assigned to the individual;
    (f) Statistical record means a record in a system of records 
maintained for statistical research or reporting purposes only and not 
used in whole or in part in making any determination about an 
identifiable individual, except as provided by section 8 of title 13 of 
the United States Code;
    (g) Routine use means, with respect to the disclosure of a record, 
the use of

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such record for a purpose which is compatible with the purpose for which 
it was collected; and
    (h) Disclosure means either the transmittal of a copy of a record or 
the granting of access to a record, by oral, written, electronic or 
mechanical communication.

Sec. 3b.3  Notice requirements.

    (a) The Commission will publish at least annually in the Federal 
Register a notice identifying the systems of records currently 
maintained by the Commission. For each system of records, the notice 
will include the following information:
    (1) The name and location of the system;
    (2) The categories of individuals on whom records are maintained in 
the system;
    (3) The categories of records maintained in the system;
    (4) The specific statutory provision or executive order, or rule or 
regulation issued pursuant thereto, authorizing the maintenance of the 
information contained in the system;
    (5) Each routine use of the records contained in the system, 
including the categories of users and the purposes of such use;
    (6) The policies and practices regarding the storage, 
retrievability, access controls, and retention and disposal of the 
records;
    (7) The title and business address of the Commission official who is 
responsible for the system of records;
    (8) The procedures whereby an individual can be notified at his 
request if the system of records contains a record pertaining to him;
    (9) The procedures whereby an individual can be notified at his 
request how he can gain access to any record pertaining to him contained 
in the system of records, and how he can contest its contents; and
    (10) The categories of sources of records in the system.
    (b) At least thirty days prior to its operation, the Commission will 
publish in the Federal Register a notice of its intention to establish a 
new system of records reciting the information required pursuant to 
paragraphs (a) (1) through (10) of this section and notice of any major 
change to an existing system.
    (c) The Commission will publish in the Federal Register a notice of 
its intention to establish any new or intended routine use of the 
information in an existing system of records at least thirty days prior 
to the disclosure of the record for that routine use. A new routine use 
is one which involves disclosure of records for a new purpose compatible 
with the purpose for which the record is maintained or which involves 
disclosure to a new recipient or category of recipients. At a minimum, 
the notice will contain the following information:
    (1) The name of the system of records for which the routine use is 
to be established;
    (2) The authority authorizing the maintenance of the information 
contained in the system;
    (3) The categories of records maintained in the system;
    (4) The proposed routine use(s);
    (5) The categories of recipients for each proposed routine use; and
    (6) Reference to the public notice in the Federal Register under 
which the existing system had already been published.

Sec. 3b.4  Government contractors.

    Systems of records operated by a contractor, pursuant to a contract, 
on behalf of the Commission, which are designed to accomplish a 
Commission function, are considered, for the purposes of this part, to 
be maintained by the Commission. A contract covers any contract, written 
or oral, subject to the Federal Procurement Regulations. The contractual 
instrument will specify, to the extent consistent with the Commission's 
authority to require it, that the systems of records be maintained in 
accordance with the requirements of this part.

Sec. 3b.5  Legal guardians.

    For the purposes of this part, the parent of any minor, or the legal 
guardian of any individual who has been declared to be incompetent due 
to physical or mental incapacity or age by a court of competent 
jurisdiction, may act on behalf of the individual.

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