[Code of Federal Regulations]

[Title 20, Volume 1]

[Revised as of April 1, 2005]

From the U.S. Government Printing Office via GPO Access

[CITE: 20CFR200.5]



[Page 165-174]

 

                      TITLE 20--EMPLOYEES' BENEFITS

 

                  CHAPTER II--RAILROAD RETIREMENT BOARD

 

PART 200_GENERAL ADMINISTRATION--Table of Contents

 

Sec.  200.5  Protection of privacy of records maintained on individuals.



    (a) Purpose and scope. The purpose of this section is to establish 

specific procedures necessary for compliance with the Privacy Act of 

1974 (Pub. L. 93-579). These regulations apply to all record systems 

containing information of a personal or private nature maintained by the 

Railroad Retirement Board that are indexed and retrieved by personal 

identifier.

    (b) Definitions--(1) Individual. The term ``individual'' pertains to 

a natural person who is a citizen of the United States or an alien 

lawfully admitted for permanent residence and not to a company or 

corporation.

    (2) System of records. For the purposes of this section, the term 

``system of records'' pertains to only those records



[[Page 166]]



that can be retrieved by an individual identifier.

    (3) Railroad Retirement Board. For purposes of this section, the 

term ``Railroad Retirement Board'' refers to the United States Railroad 

Retirement Board, an independent agency in the executive branch of the 

United States Government.

    (4) Board. For purposes of this section the term ``Board'' refers to 

the three member governing body of the United States Railroad Retirement 

Board.

    (c) Procedure for requesting the existence of personally 

identifiable records in a record system. An individual can determine if 

a particular record system maintained by the Railroad Retirement Board 

contains any record pertaining to him by submitting a written request 

for such information to the system manager of that record system as 

described in the annual notice published in the Federal Register. A 

current copy of the system notices, published in accordance with 

paragraph (i) of this section, is available for inspection at all 

regional and district offices of the Board. If necessary, Board 

personnel will aid requesters in determining what system(s) of records 

they wish to review and will forward any requests for information to the 

appropriate system manager. Also, requests for personal information may 

be submitted either by mail or in person to the system manager at the 

headquarters of the Railroad Retirement Board, 844 Rush Street, Chicago, 

Illinois 60611. Prior to responding to a request for information under 

this subsection, the system manager shall require the individual 

requesting such information to provide identifying data, such as his 

full name, date of birth, and social security number. The system manager 

shall respond to a request under this subsection within a reasonable 

time by stating that a record on the individual either is or is not 

contained in the system.

    (d) Disclosure of requested information to individuals. (1) Upon 

request, an individual shall be granted access to records pertaining to 

himself, other than medical records and records compiled in anticipation 

of a civil or criminal action or proceeding against him, which are 

indexed by individual identifier in a particular system of records. 

Requests for access must be in writing and should be addressed to the 

system manager of that record system as described in the annual notice 

published in the Federal Register. Requests under this subsection may be 

submitted either by mail or in person at the headquarters offices of the 

Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611.

    (2) The system manager shall, within ten working days following the 

date on which the request is received in his office, render a decision 

either granting or denying access and shall promptly notify the 

individual of his decision. If the request is denied, the notification 

shall inform the individual of his right to appeal the denial to the 

Board. An individual whose request for access under this subsection has 

been denied by the system manager may appeal that determination to the 

Board by filing a written appeal with the Secretary of the Board, 

Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611 

within twenty working days following receipt of the notice of denial. 

The Board shall render a decision on an appeal within thirty working 

days following the date on which the appeal is received in the office of 

the Secretary of the Board. The individual shall promptly be notified of 

the Board's decision.

    (3) In cases where an individual has been granted access to his 

records, the system manager shall, prior to releasing such records, 

require the individual to produce identifying data such as his name, 

date of birth, and social security number.

    (4) Disclosure to an individual of his record may be made by 

providing him, upon written request therefor, a copy of the record or 

portion thereof which he reasonably describes in his request.

    (5) An individual, and if such individual so desires, one other 

person of his choosing, may review and have a copy made of his record 

(in a form comprehensible to him) during regular business hours at the 

location described as the repository of the record system containing 

such records in the annual notice published in the Federal Register or 

at such other location convenient to the individual as



[[Page 167]]



specified by the system manager. If an individual is accompanied by 

another person, the system manager may require written authorizations 

for disclosure in the presence of the other person from the individual 

before any record or portion thereof is released.

    (e) Special procedures--medical records. (1) An individual 

concerning whom the Railroad Retirement Board maintains medical records 

in a system of records shall, upon written request, be permitted to 

review such medical records or be furnished copies of such records if 

the system manager of the system containing the requested records 

determines that disclosure of the records or any portion thereof would 

not be harmful to the individual's mental or physical health.

    (2) If, upon review of the medical records requested, the system 

manager determines that disclosure of such records or any portion 

thereof might be harmful to the individual's mental or physical health, 

he shall inform the individual that copies of the records may be 

furnished to a physician of the individual's own choosing. If the 

individual should select a physician to conduct such a review and direct 

the Board to permit the physician to review the records, the system 

manger shall promptly forward copies of the records in question to that 

physician. The system manger shall inform the physician that the records 

are being provided to him or her for the purpose of making an 

independent determination as to whether release or the records directly 

to the individual who has requested them might be harmful to that 

individual. The physician shall be informed that if, in his or her 

opinion, direct disclosure of the records would not be harmful to the 

individual's mental or physical health, he or she may then provide the 

copies to the individual. The physician shall further be informed that 

should he or she determine that disclosure of the records in question 

might be harmful to the individual, such records shall not be disclosed 

and should be returned to the Board, but the physician may summarize and 

discuss the contents of the records with the individual.

    (3) The special procedure established by paragraph (e) of this 

section to permit an individual access to medical records pertaining to 

himself or herself shall not be construed as authorizing the individual 

to direct the Board to disclose such medical records to any third 

parties, other than to a physician in accordance with paragraph (e)(2) 

of this section. Medical records shall not be disclosed by the Board to 

any entities or persons other than the individual to whom the record 

pertains or his or her authorized physician regardless of consent, 

except as permissible under paragraphs (j)(1)(i), (iii), and (viii) of 

this section and as provided under paragraph (e)(4) of this section.

    (4) Notwithstanding the provisions of paragraphs (e)(1), (2) and (3) 

of this section and of paragraph (d) of this section, if a determination 

made with respect to an individual's claim for benefits under the 

Railroad Retirement Act of the Railroad Unemployment Insurance Act is 

based in whole or in part on medical records, disclosure of or access to 

such medical records shall be granted to such individual or to such 

individual's representative when such records are requested for the 

purpose of contesting such determination either administratively of 

judicially.

    (5) The procedures for access to medical records set forth in 

paragraph (e) of this section shall not apply with respect to requests 

for access to an individual's disability decision sheet or similar 

adjudicatory documents, access to which is governed solely by paragraph 

(d) of this section.

    (f) General exemptions--(1) Systems of records subject to 

investigatory material exemption under 5 U.S.C. 552a(j)(2). RRB-43, 

Investigation Files, a system containing information concerning alleged 

violations of law, regulation, or rule pertinent to the administration 

of programs by the RRB or alleging misconduct or conflict of interest on 

the part of RRB employees in the discharge of their official duties.

    (2) Scope of exemption. (i) The system of records identified in this 

paragraph is maintained by the Office of Investigations (OI) of the 

Office of Inspector General (OIG), a component of the Board which 

performs as its principal function activities pertaining to the 

enforcement of criminal laws. Authority for the criminal law enforcement



[[Page 168]]



activities of the OIG's OI is the Inspector General Act of 1978, 5 

U.S.C. App.

    (ii) Applicable information in the system of records described in 

this paragraph is exempt from subsections (c)(3) and (4) (Accounting of 

Certain Disclosures), (d) (Access to Records), (e)(1), (2), (3), (4)(G), 

(H), and (I), (5), and (8), (Agency Requirements), (f) (Agency Rules) 

and (g) (Civil Remedies) of 5 U.S.C. 552a.

    (iii) To the extent that information in this system of records does 

not fall within the scope of this general exemption under 5 U.S.C. 

552(j)(2) for any reason, the specific exemption under 5 U.S.C. 

552(k)(2) is claimed for such information. (See paragraph (g) of this 

section.)

    (3) Reasons for exemptions. The system of records described in this 

section is exempt for one or more of the following reasons:

    (i) 5 U.S.C. 552a(c)(3) requires an agency to make available to the 

individual named in the records, at his or her request, an accounting of 

each disclosure of records. This accounting must state the date, nature, 

and purpose of each disclosure of a record and the name and address of 

the recipient. Accounting of each disclosure would alert the subjects of 

an investigation to the existence of the investigation and the fact that 

they are subjects of an investigation. The release of such information 

to the subjects of an investigation would provide them with significant 

information concerning the nature of the investigation, and could 

seriously impede or compromise the investigation and lead to the 

improper influencing of witnesses, the destruction of evidence, or the 

fabrication of testimony.

    (ii) 5 U.S.C. 552a(c)(4) requires an agency to inform any person or 

other agency about any correction or notation of dispute made by the 

agency in accordance with subsection (d) of the Act. Since the RRB is 

claiming that this system of records is exempt from subsection (d) of 

the Act, concerning access to records, this section is inapplicable and 

is exempted to the extent that this system of records is exempted from 

subsection (d) of the Act.

    (iii) 5 U.S.C. 552a(d) requires an agency to permit an individual to 

gain access to records pertaining to him or her, to request amendment of 

such records, to request a review of an agency decision not to amend 

such records, and to contest the information contained in such records. 

Granting access to records in this system of records could inform the 

subject of the investigation of an actual or potential criminal 

violation of the existence of that investigation, of the nature and 

scope of the information and evidence obtained as to his or her 

activities, of the identity of confidential sources, witnesses, and law 

enforcement personnel, and could provide information to enable the 

subject to avoid detection or apprehension. Granting access to such 

information could seriously impede or compromise an investigation, lead 

to the improper influencing of witnesses, the destruction of evidence, 

or the fabrication of testimony, and disclose investigative techniques 

and procedures.

    (iv) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its 

records only such information about an individual as is relevant and 

necessary to accomplish a purpose required by statute or executive order 

of the President. The application of this provision could impair 

investigations and law enforcement, because it is not always possible to 

detect the relevance or necessity of specific information in the early 

stages of an investigation. Relevance and necessity are often questions 

of judgment and timing, and it is only after the information is 

evaluated that the relevance and necessity of such information can be 

established.

    (v) 5 U.S.C. 552a(e)(2) requires an agency to collect information to 

the greatest extent practicable directly from the subject individual 

when the information may result in adverse determinations about an 

individual's rights, benefits, and privileges under Federal programs. 

The application of this provision could impair investigations and law 

enforcement by alerting the subject of an investigation of the existence 

of the investigation, enabling the subject to avoid detection or 

apprehension, to influence witnesses improperly, to destroy evidence, or 

to fabricate testimony. Moreover, in certain



[[Page 169]]



circumstances the subject of an investigation cannot be required to 

provide information to investigators, and information must be collected 

from other sources. Furthermore, it is often necessary to collect 

information from sources other than the subject of the investigation to 

verify the accuracy of the evidence collected.

    (vi) 5 U.S.C. 552a(e)(3) requires an agency to inform each person 

whom it asks to supply information, on a form that can be retained by 

the person, of the authority under which the information is sought and 

whether disclosure is mandatory or voluntary; of the principal purposes 

for which the information is intended to be used; of the routine uses 

which may be made of the information; and of the effects on the person, 

if any, of not providing all or any part of the requested information. 

The application of this provision could provide the subject of an 

investigation with substantial information about the nature of that 

investigation.

    (vii) 5 U.S.C. 552a(e)(4)(G) and (H) require an agency to publish a 

Federal Register notice concerning its procedures for notifying an 

individual at his request if the system of records contains a record 

pertaining to him or her, how he or she can gain access to such a 

record, and how he or she can contest its contents. Since the RRB is 

claiming that the system of records is exempt from subsection (f) of the 

Act, concerning agency rules, and subsection (d) of the Act, concerning 

access to records, these requirements are inapplicable and are exempted 

to the extent that these systems of records are exempted from 

subsections (f) and (d) of the Act. Although the RRB is claiming 

exemption from these requirements, RRB has published such a notice 

concerning its notification, access, and contest procedures because, 

under certain circumstances, RRB might decide it is appropriate for an 

individual to have access to all or a portion of his or her records in 

this system of records.

    (viii) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish in the 

Federal Register notice concerning the categories of sources or records 

in the system of records. Exemption from this provision is necessary to 

protect the confidentiality of the sources of information, to protect 

the privacy of confidential sources and witnesses, and to avoid the 

disclosure of investigative techniques and procedures. Although RRB is 

claiming exemption from this requirement, RRB has published such a 

notice in broad generic terms in the belief that this is all subsection 

(e)(4)(I) of the Act requires.

    (ix) 5 U.S.C. 552a(e)(5) requires an agency to maintain its records 

with such accuracy, relevance, timeliness, and completeness as is 

reasonably necessary to assure fairness to the individual in making any 

determination about the individual. Since the Act defines ``maintain'' 

to include the collection of information, complying with this provision 

would prevent the collection of any data not shown to be accurate, 

relevant, timely, and complete at the moment it is collected. In 

collecting information for criminal law enforcement purposes, it is not 

possible to determine in advance what information is accurate, relevant, 

timely, and complete. Facts are first gathered and then placed into a 

logical order to prove or disprove objectively the criminal behavior of 

an individual. Material which may seem unrelated, irrelevant, or 

incomplete when collected may take on added meaning or significance as 

the investigation progresses. The restrictions of this provision could 

interfere with the preparation of a complete investigative report, 

thereby impending effective law enforcement.

    (x) 5 U.S.C. 552a(e)(8) requires an agency to make reasonable 

efforts to serve notice on an individual when any record on such 

individual is made available to any person under compulsory legal 

process when such process becomes a matter of public record. Complying 

with this provision could prematurely reveal an ongoing criminal 

investigation to the subject of the investigation.

    (xi) 5 U.S.C. 552a(f)(1) requires an agency to promulgate rules 

which shall establish procedures whereby an individual can be notified 

in response to his or her request if any system of records named by the 

individual contains a record pertaining to him or her. The application 

of this provision could impede or compromise an investigation



[[Page 170]]



or prosecution if the subject of an investigation was able to use such 

rules to learn of the existence of an investigation before it could be 

completed. In addition, mere notice of the fact of an investigation 

could inform the subject or others that their activities are under or 

may become the subject of an investigation and could enable the subjects 

to avoid detection or apprehension, to influence witnesses improperly, 

to destroy evidence, or to fabricate testimony. Since the RRB is 

claiming that these systems of records are exempt from subsection (d) of 

the Act, concerning access to records, the requirements of subsections 

(f)(2) through (5) of the Act, concerning agency rules for obtaining 

access to such records, are inapplicable and are exempted to the extent 

that this system of records is exempted from subsection (d) of the Act. 

Although RRB is claiming exemption from the requirements of subsection 

(f) of the Act, RRB has promulgated rules which establish Agency 

procedures because, under certain circumstances, it might be appropriate 

for an individual to have access to all or a portion of his or her 

records in this system of records. These procedures are described 

elsewhere in this part.

    (xii) 5 U.S.C. 552a(g) provides for civil remedies if an agency 

fails to comply with the requirements concerning access to records under 

subsections (d)(1) and (3) of the Act; maintenance of records under 

subsection (e)(5) of the Act; and any rule promulgated thereunder, in 

such a way as to have an adverse effect on an individual. Since the RRB 

is claiming that this system of records is exempt from subsections 

(c)(3) and (4), (d), (e)(1), (2), (3), (4)(G), (H), and (I), (5), and 

(8), and (f) of the Act, the provisions of subsection (g) of the Act are 

inapplicable and are exempted to the extent that this system or records 

is exempted from those subsections of the Act.

    (g) Specific exemptions--(1) Systems of records subject to 

investigatory material exemption under 5 U.S.C. 552a(k)(2). RRB-43, 

Investigation Files, a system containing information concerning alleged 

violations of law, regulation, or rule pertinent to the administration 

of programs by the RRB or alleging misconduct or conflict of interest on 

the part of RRB employees in the discharge of their official duties.

    (2) Privacy Act provisions from which exempt. The system of records 

described in this paragraph is exempt from subsections (c)(3) 

(Accounting of Certain Disclosures), (d) (Access to Records), (e)(1), 

4G, H, and I (Agency Requirements), and (f) (Agency Rules) of 5 U.S.C. 

552a.

    (3) Reasons for exemptions. The system of records described in this 

section is exempt for one or more of the following reasons:

    (i) To prevent the subject of the investigations from frustrating 

the investigatory process.

    (ii) To protect investigatory material compiled for law enforcement 

purposes.

    (iii) To fulfill commitments made to protect the confidentiality of 

sources and to maintain access to necessary sources of information.

    (iv) To prevent interference with law enforcement proceedings.

    (h) Request for amendment of a record. (1) An individual may request 

that a record pertaining to himself be amended by submitting a written 

request for such amendment to the system manager as described in the 

annual notice published in the Federal Register. Requests under this 

subsection may be made either by mail or in person at the headquarters 

offices of the Railroad Retirement Board, 844 Rush Street, Chicago, 

Illinois 60611. Such a request should include a statement of the 

information in the record which the individual believes is incorrect, a 

statement of any information not in the record which the individual 

believes would correct the record, if included, and a statement of any 

evidence which substantiates the individual's belief concerning the 

inaccuracy of the information presently contained in the record.

    (2) Prior to rendering a determination in response to a request 

under this subsection, the system manager shall require that the 

individual provide identifying data such as his name, date of birth, and 

social security number.

    (3) The system manager responsible for the system of records which 

contains the challenged record shall acknowledge receipt of the request 

in



[[Page 171]]



writing within ten working days following the date on which the request 

for amendment was received in his office and shall promptly render a 

decision either granting or denying the request.

    (i) If the system manager grants the individual's request to amend 

his record, the system manager shall amend the record accordingly, 

advise the individual in writing that the requested amendment has been 

made and where an accounting of disclosures has been made, advise all 

previous recipients of the record to whom disclosure of such record was 

made and accounted for of the fact that the amendment was made and the 

substance of the amendment.

    (ii) If the system manager denies the individual's request to amend 

his record, the system manager shall inform the individual that the 

request has been denied in whole or in part, the reason for the denial 

and the procedure regarding the individual's right to appeal the denial 

to the Board.

    (i) Appeal of initial adverse determination on amendment. (1) An 

individual, whose request for amendment of a record pertaining to him is 

denied, may appeal that determination to the Board by filing a written 

appeal with the Secretary of the Board, Railroad Retirement Board, 844 

Rush Street, Chicago, Illinois 60611. The written notice of appeal 

should include a statement of the information in the record which the 

individual believes is correct, a statement of any information not in 

the record which the individual believes would correct the record, if 

included, and a statement of any evidence which substantiates the 

individual's belief concerning the inaccuracy of the information 

presently contained in the record.

    (2) The Board shall consider the appeal and render a final decision 

thereon within thirty working days following the date on which the 

appeal is received in the office of the Secretary of the Board. An 

extension of the thirty day response period is permitted for a good 

cause upon notification of such to the requester.

    (3) If, upon consideration of the appeal, the Board upholds the 

denial, the appellant shall be so informed in writing. The appellant 

shall be advised that he may file a concise statement with the Board 

setting forth his reasons for disagreeing with the Board's decision and 

the procedures to be followed in filing such a statement of 

disagreement. The individual shall also be informed of his right to 

judicial review as provided under section 552a(g)(1)(A) of title 5 of 

the United States Code. If disclosure has or will be made of a record 

containing information about which an individual has filed a statement 

of disagreement, that contested information will be annotated and a copy 

of the statement of disagreement will be provided to past and future 

recipients of the information along with which the Board may include a 

statement of its reasons for not amending the record in question.

    (4) If, upon consideration of the appeal, the Board reverses the 

denial, the Board shall amend the record, advise the appellant in 

writing that such amendment has been made, and where an accounting of 

disclosures has been made, advise all previous recipients of the record 

to whom disclosure of such was made and accounted for, of the fact that 

the amendment was made and the substance of the amendment.

    (j) Disclosure of record to person other than the individual to whom 

it pertains. (1) Records collected and maintained by the Railroad 

Retirement Board in the administration of the Railroad Retirement Act 

and the Railroad Unemployment Insurance Act which contain information of 

a personal or private nature shall not be disclosed to any person or to 

another agency without the express written consent of the individual to 

whom the record pertains. Such written consent shall not be required if 

the disclosure is not otherwise prohibited by law or regulation and is:

    (i) To officers or employees of the Railroad Retirement Board who, 

in the performance of their official duties, have a need for the record;

    (ii) Required under section 552 of title 5 of the U.S. Code;

    (iii) For a routine use of such record as published in the annual 

notice in the Federal Register;

    (iv) To the Bureau of the Census for uses pursuant to the provisions 

of title 13 of the United States Code;



[[Page 172]]



    (v) To a recipient who has provided the Board with advance written 

assurance that the record will be used solely as a statistical or 

research record, and the record is to be transferred in a form that is 

not individually identifiable;

    (vi) 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 U.S. Government or for evaluation by the 

administrator of General Services or his designee to determine whether 

the record has such value;

    (vii) To another agency or to an instrumentality of any governmental 

jurisidiction within or under the control of the United States for a 

civil or criminal law enforcement activity if the activity is authorized 

by law, and if the head of the agency or instrumentality has made a 

written request to the agency which maintains the record specifying the 

particular portion desired and the law enforcement activity for which 

the record is sought;

    (viii) To a person pursuant to a showing of compelling circumstances 

affecting the health or safety of an individual if, upon such 

disclosure, notification is transmitted to the last known address of 

such individual;

    (ix) To either House of Congress, or, to the extent of matter within 

its jurisdiction, any committee or subcommittee thereof, any joint 

committee of Congress or subcommittee of any such joint committee;

    (x) To the Comptroller General, or any of his authorized 

representatives, in the course of the performance of the duties of the 

General Accounting Office; or

    (xi) Pursuant to the order of a court of competent jurisdiction.

    (2) The Railroad Retirement Board shall maintain an accounting of 

all disclosures of records made under paragraph (h)(1) of this section, 

except those made under paragraphs (h)(1)(i) and (ii) of this section. 

This accounting will include:

    (i) Date of disclosure;

    (ii) Specific subject matter of disclosure;

    (iii) Purpose of disclosure; and

    (iv) Name and address of the person or agency to whom the 

information has been released.



The Railroad Retirement Board shall maintain the accounting for five 

years or the life of the system of records, whichever is longer, and 

make such accounting, with the exception of disclosures made under 

paragraph (h)(1)(vii) of this section, available to the individual to 

whom the record pertains upon his request. If, subsequent to disclosure 

of a record for which disclosure an accounting has been made pursuant to 

this subsection, an amendment is made to that record or an individual 

has filed a statement of disagreement concerning that record, the person 

or agency to whom such disclosure was made shall be notified of the 

amendment or statement of disagreement.

    (k) Annual notice of systems of records. The Railroad Retirement 

Board shall publish in the Federal Register on an annual basis a listing 

of the various systems of records which it maintains by individual 

identifier. That notice shall provide the following for each system:

    (1) The name and location of the system;

    (2) The categories of individuals on whom records are maintained in 

the system;

    (3) The routine uses of the system;

    (4) The methods of storage, disposal, retention, access controls and 

retrievability of the system;

    (5) The title and business address of the individual who is 

responsible for the system;

    (6) The procedure whereby an individual can be notified at his 

request whether or not the system contains a record pertaining to him;

    (7) The procedure whereby the individual can be notified at his 

request how he can gain access to any record pertaining to him which is 

contained in the system;

    (8) How the individual can contest the contents of such a record; 

and

    (9) The categories of sources of records in the system.

    (l) Collection of information and maintenance of records. With 

respect to each system of records indexed by individual identifer which 

is maintained by the



[[Page 173]]



Railroad Retirement Board, the Railroad Retirement Board shall:

    (1) Maintain in each system only such information about an 

individual as is relevant and necessary in accomplishing the purposes 

for which the system is kept;

    (2) To the greatest extent practicable, collect information directly 

from the individual when that information may result in an adverse 

determination about such individual's rights, benefits or privileges 

under programs administered by the Railroad Retirement Board;

    (3) Inform each individual who is asked to supply information:

    (i) The authority under which the solicitation of such information 

is carried out;

    (ii) Whether disclosure of the requested information is mandatory or 

voluntary and any penalties for failure to furnish such information;

    (iii) The principal purposes for which the information will be used;

    (iv) The routine uses and transfers of such information; and

    (v) The possible effects on such individual if he fails to provide 

the requested information.

    (4) Maintain all records which are used by the Railroad Retirement 

Board in making any determination about any individual with such 

accuracy, relevance, timeliness and completeness as is reasonably 

necessary to assure fairness to the individual in the determination;

    (5) Prior to disseminating any record about an individual to any 

person other than an agency, unless the dissemination is made pursuant 

to paragraph (h)(1)(ii) of this section, make reasonable efforts to 

assure that such records are accurate, complete, timely and relevant for 

purposes of the administration of the Railroad Retirement Act and the 

Railroad Unemployment Insurance Act;

    (6) Maintain no record describing how any individual exercises 

rights guaranteed by the First Amendment unless expressly authorized by 

statute or by the individual to whom the record pertains or unless 

pertinent to and within the scope of an authorized law enforcement 

activity;

    (7) Make reasonable efforts to serve notice on an individual when 

any record on such individual is made available to any person under 

compulsory legal process when such process becomes a matter of public 

record; and

    (8) At least thirty days prior to publication of information under 

paragraph (i) of this section, publish in the Federal Register notice of 

any new use or intended use of the information in the system and provide 

an opportunity for interested persons to submit written data, views or 

arguments to the Railroad Retirement Board.

    (m) Fees. The Railroad Retirement Board may assess a fee for copies 

of any records furnished to an individual under paragraph (d) of this 

section. The fees for copies shall be $.10 per copy per page, not to 

exceed the actual cost of reproduction, and should be paid to the 

Director of Budget and Fiscal Operations for deposit to the Railroad 

Retirement Account. If payment is made by check, the check should be 

payable to the order of the Railroad Retirement Board. Any fee of less 

than $10 may be waived by the system manager if he determines that it is 

in the public interest to do so.

    (n) Government contractors. When the Railroad Retirement Board 

provides by a contract or by a subcontract subject to its approval for 

the operation by or on behalf of the Railroad Retirement Board of a 

system of records to accomplish an agency function, the Railroad 

Retirement Board shall, consistent with its authority, cause the 

requirements of section 552a of title 5 of the United States Code to be 

applied to such system. In each such contract or subcontract for the 

operation of a system of records, entered into on or after September 27, 

1975, the Railroad Retirement Board shall cause to be included a 

provision stating that the contractors or subcontractors and their 

employees shall be considered employees of the Railroad Retirement Board 

for purposes of the civil and criminal penalties provided in sections 

(g) and (i) of the Privacy Act of 1974 (5 U.S.C. 552a (g) and (i)).

    (o) Mailing lists. The Railroad Retirement Board shall neither sell 

nor rent



[[Page 174]]



information containing any individual's name or address, unless 

authorized by statute.

    (p) Disclosure of social security account numbers. Whenever an 

individual is requested by the Railroad Retirement Board to disclose his 

social security account number he shall be informed as to whether such 

disclosure is mandatory or voluntary. If disclosure of the individual's 

social security account number is mandatory, he shall be informed of the 

statutory authority requiring such disclosure.



[41 FR 20580, May 19, 1976, as amended at 43 FR 17468, Apr. 25, 1978; 50 

FR 27222, July 2, 1985. Redesignated at 52 FR 11010, Apr. 6, 1987, as 

amended at 53 FR 3198, Feb. 4, 1988; 54 FR 43055, Oct. 20, 1989]