
[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 57-59]
 
           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 B--Standards for Maintenance and Collection of Records

Sec. 3b.201  Content of records.

    (a) All records which are maintained by the Commission in a system 
of records will contain only such information about an individual that 
is relevant and necessary to accomplish a purpose of the Commission as 
required to be accomplished by statute or by executive order of the 
President. Pursuant to Sec. 3b.3(a)(4) of this part, the Commission will 
identify in the Federal Register the specific provisions in law which 
authorize it to maintain information in a system of records. In 
determining the relevance and necessity of records, the following 
considerations will govern:
    (1) Whether each item of information relates to the purposes, in 
law, for which the system is maintained;
    (2) The adverse consequences, if any, of not collecting the 
information;
    (3) Whether the need for the information could be met through the 
maintenance of the information in a non-individually identifiable form;
    (4) Whether the information in the record is required to be 
collected on every individual who is the subject of a record in the 
system or whether a sampling procedure would suffice;
    (5) The length of time it is necessary to retain the information;
    (6) The financial cost of maintaining the record as compared to the 
adverse consequences of not maintaining it; and
    (7) Whether the information, while generally relevant and necessary 
to accomplish a statutory purpose, is specifically relevant and 
necessary only in certain cases.
    (b) All records which the Commission maintains in a system of 
records and which are used to make a determination about an individual 
will be maintained with such accuracy, relevance, timeliness, and 
completeness as is reasonably necessary to assure fairness to the 
individual in the determination. Where practicable, in questionable 
instances, reverification of pertinent information with the individual 
to whom the record pertains may be appropriate. In pursuit of 
completeness in the collection of information, the Commission will limit 
its records to those elements of information which clearly bear on the 
determination for which the records are intended to be used, assuring 
that all elements necessary to the determination are present before the 
determination is made.
    (c) Prior to disseminating any records in a system of records, the 
Commission will make reasonable efforts to assure that such records are 
as accurate, relevant, timely, and complete as appropriate for the 
purposes for which they are collected and/or maintained, except when 
they are disclosed to a member of the public under the Freedom of 
Information Act, 5 U.S.C. 552, as amended, or to another agency.
    (d) No records of the Commission in a system of records shall 
describe how any individual exercises his First Amendment rights unless 
expressly authorized by statute or by the individual about whom the 
record is maintained or unless pertinent to and within the scope of an 
authorized law enforcement activity. The exercise of these rights 
includes, but is not limited to, religious and political beliefs, 
freedom of speech and of the press, and freedom of assembly and 
petition. In determining whether or not a particular activity 
constitutes the exercise of a right guaranteed by the First Amendment, 
the Commission will apply the broadest reasonable interpretation.

Sec. 3b.202  Collection of information from individuals concerned.

    (a) Any information collected by the Commission for inclusion in a 
system of records which may result in adverse determinations about an 
individual's rights, benefits, and privileges under Federal programs, 
will, to the greatest extent practicable, be collected directly from the 
subject individual (see paragraph (d) of this section).
    (b) The Commission will inform each individual whom it asks to 
supply information about himself, on the form which it uses to collect 
the information, or on a separate sheet that can be easily retained by 
the individual, in language which is explicit, informative, and easily 
understood, and not

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so lengthy as to deter an individual from reading it, of:
    (1) The specific provision of the statute or executive order of the 
President, including the brief title or subject of that statute or order 
which authorizes the solicitation of the information; whether disclosure 
of such information is mandatory or voluntary; and whether the 
Commission is authorized or required to impose penalties for failing to 
respond;
    (2) The principal purpose or purposes for which the information is 
intended to be used;
    (3) The routine uses which may be made of the information, as 
described in the Federal Register in the notice of the system of records 
in which the information is maintained, and which are relatable and 
necessary to a purpose described pursuant to paragraph (b)(2) of this 
section; and
    (4) The effects (beneficial and adverse) on the individual if any, 
of not providing all or any part of the requested information.
    (c) Social security numbers will not be required from individuals 
whom the Commission asks to supply information unless the disclosure of 
the number is required by Federal statute or unless disclosure is to the 
Commission maintaining a system of records in existence and operating 
before January 1, 1975, if such disclosure was required pursuant to a 
statute or regulation adopted prior to such date to verify the identity 
of an individual. When an individual is requested to disclose his social 
security number to the Commission, he will be informed under what 
statutory or other authority such number is solicited, what uses will be 
made of it, whether disclosure is mandatory or voluntary, and if it is 
mandatory, under what provisions of law or regulation.
    (d) The use of third-party sources to collect information about an 
individual may be appropriate in certain circumstances. In determining 
when the use of third-party sources would be appropriate, the following 
considerations will govern:
    (1) When the information needed can only be obtained from a third 
party;
    (2) When the cost of collecting the information directly from the 
individual concerned far exceeds the cost of collecting it from a third 
party;
    (3) When there is little risk that the information proposed to be 
collected from the third party, if inaccurate, could result in an 
adverse determination about the individual concerned.
    (4) When there is a need to insure the accuracy of information 
supplied by an individual by verifying it with a third party, or there 
is a need to obtain a qualitative assessment of the individual's 
capabilities or character; or
    (5) When there are provisions for verifying any third-party 
information with the individual concerned before making a determination 
based on that information.

Third party sources, where feasible, will be informed of the purposes 
for which information which they are asked to provide will be used. In 
appropriate circumstances, pursuant to 5 U.S.C. 552a(k) (2), (5), and 
(7), the Commission may assure a third party that his identity will not 
be revealed to the subject of the collected information.

Sec. 3b.203  Rules of conduct.

    (a) The Executive Director of the Commission has the overall 
administrative responsibility for implementing the provisions of the 
Privacy Act of 1974 and overseeing the conduct of all Commission 
employees with respect to the act.
    (b) It is the responsibility of the Comptroller of the Commission, 
under the guidance of the Executive Director, to prepare the appropriate 
internal administrative procedures to assure that all persons involved 
in the design, development, or operation of any system of records, or in 
collecting, using, or disseminating any individual record, and who have 
access to any system of records, are informed of all rules and 
requirements of the Commission to protect the privacy of the individuals 
who are the subjects of the records, including the applicable provisions 
of the FPC Standards of Conduct for Employees, Special Government 
Employees and Commissioners, specifically 18 CFR 3.207(e) and 3.228(d).
    (c) The Director, Office of Personnel Programs, is responsible for 
establishing and conducting an adequate training program for such 
persons

[[Page 59]]

whose official duties require access to and collection, maintenance, 
use, and dissemination of such records.
    (d) The General Counsel of the Commission is responsible for 
providing legal interpretation of the Privacy Act of 1974, and for 
preparing all agency rules and notices for official publication in 
compliance with the act.
    (e) Commission employees will be informed of all the implications of 
their actions in this area, including especially:
    (1) That there are criminal penalties for knowing and willful 
unauthorized disclosure of material within a system of records; for 
willful failure to publish a public notice of the existence of a system 
of records; and for knowingly and willfully requesting or obtaining 
records under false pretenses;
    (2) That the Commission may be subject to civil suit due to failure 
to amend an individual's record in accordance with his request or 
failure to review his request in conformity with Sec. 3b.224; refusal to 
comply with an individual's request of access to a record under 
Sec. 3b.221; willful or intentional failure to maintain a record 
accurately pursuant to Sec. 3b.201(b) and consequently a determination 
is made which is adverse to the individual; or willful or intentional 
failure to comply with any other provision of the Privacy Act of 1974, 
or any rule promulgated thereunder, in such a way as to have an adverse 
effect upon an individual.

Sec. 3b.204  Safeguarding information in manual and computer-based 
          record systems.

    (a) The administrative and physical controls to protect the 
information in the manual and computer-based record systems from 
unauthorized access or disclosure will be specified for each system in 
the Federal Register. The system managers, who are responsible for 
providing protection and accountability of such records at all times and 
for insuring that the records are secured in proper containers whenever 
they are not in use or under direct control of authorized persons, will 
be identified for each system of records in the Federal Register.
    (b) Whenever records in the manual or computer-based record systems, 
including input and output documents, punched cards, and magnetic tapes 
or disks, are not under the personal control of an authorized person, 
they will be stored in lockable containers and/or in a secured room, or 
in alternative storage systems which furnish an equivalent or greater 
degree of physical security. In this regard, the Commission may refer to 
security guidelines prepared by the General Services Administration, the 
Department of Commerce (National Bureau of Standards), or other agencies 
with appropriate knowledge and expertise.
    (c) Access to and use of records will only be permitted to persons 
pursuant to Secs. 3b.221, 3b.224, and 3b.225. Access to areas where 
records are stored will be limited to those persons whose official 
duties require work in such areas. Proper control of data, in any form, 
associated with the manual and computer-based record systems will be 
maintained at all times, including maintenance of an accounting of 
removal of the records from the storage area.
