[Federal Register Volume 59, Number 114 (Wednesday, June 15, 1994)]
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From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-14516]


  Federal Register / Vol. 59, No. 114 / Wednesday, June 15, 1994 /
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[[Page Unknown]]

[Federal Register: June 15, 1994]


                                                   VOL. 59, NO. 114

                                           Wednesday, June 15, 1994

ARMED FORCES RETIREMENT HOME

5 CFR Part 2100

 

Armed Forces Retirement Home Privacy Program

AGENCY: Armed Forces Retirement Home (AFRH).

ACTION: Final rule; request for comments.

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SUMMARY: The Armed Forces Retirement Home, which includes the U.S. 
Soldiers' and Airmen's Home (USSAH) and the U.S. Naval Home (USNH) is 
publishing its Privacy Program procedural rules in accordance with the 
Privacy Act of 1974, 5 U.S.C. 552a, as amended.

DATES: Effective: This rule is effective July 15, 1994. Written 
comments regarding this rule must be received on or before July 15, 
1994, to be considered by the agency.

ADDRESSES: Written comments may be sent to Mrs. Doris Montgomery, 
Administrative Officer, Resource Management Directorate, U.S. Soldiers' 
and Airmen's Home, 3700 N. Capitol Street, NW., Washington, DC 20317-
0002, (202) 722-3230.

SUPPLEMENTARY INFORMATION: The enactment of the Armed Forces Retirement 
Home Act of 1991, 24 U.S.C. 401-441 (Pub. L. 101-510), effective 
November 5, 1991, incorporated the U.S. Soldiers' and Airmen's Home and 
the U.S. Naval Home into an independent establishment in the Executive 
Branch of the Federal Government to be known as the Armed Forces 
Retirement Home. Systems of records formerly under the cognizance of 
the individual facilities (USSAH and USNH) are now to be incorporated 
into the procedural rules of the AFRH.

List of Subjects in 5 CFR Part 2100

    Privacy.

    For the reasons set forth above, 5 CFR Ch. XI is amended by adding 
part 2100 to read as follows:

Ch. IX--Armed Forces Retirement Home

PART 2100--ARMED FORCES RETIREMENT HOME PRIVACY ACT PROCEDURES

Sec.
2100.1  Purpose.
2100.2  Definitions.
2100.3  Procedure for requesting information.
2100.4  Requirements for identification.
2100.5  Access by subject individuals.
2100.6  Schedule of fees.
2100.7  Request for correction or amendment.
2100.8  Review of request for amendment.
2100.9  Appeal of denial to grant access or to amend records.
2100.10  Conditions of disclosure and accounting of certain 
disclosures.
2100.11  Penalties.
2100.12  Accounting of disclosure.
2100.13  Specific exemptions.

    Authority: Public Law 93-579, 88 Stat. 1896, 5 U.S.C. 552a(f).


Sec. 2100.1  Purpose.

    Pursuant to the requirements of the Privacy Act of 1974, 5 U.S.C. 
552a, as amended, the following rules of procedures are established 
with respect to access and amendment of records maintained on the 
individual subjects of these records by the Armed Forces Retirement 
Home, which includes the continuing care retirement communities of the 
U.S. Soldiers' and Airmen's Home and the U.S. Naval Home. These rules 
do not apply to civilian employees' records maintained by the 
individual facilities which are covered by the Office of Personnel 
Management systems of records.


Sec. 2100.2  Definitions.

    (a) All terms used in this part which are defined in 5 U.S.C. 552a, 
as amended, shall have the same meaning herein.
    (b) Agency, as used in this part, means the Armed Forces Retirement 
Home (AFRH).
    (c) Facility or facilities refers to the continuing care retirement 
communities of the U.S. Soldiers' and Airmen's Home (USSAH) and the 
U.S. Naval Home (USNH), which are incorporated within the Armed Forces 
Retirement Home (AFRH).
    (d) Access means providing a copy of a record to, or allowing 
review of the original record by, the individual or the individual's 
authorized representative, legal guardian or conservator.


Sec. 2100.3  Procedure for requesting information.

    Individuals shall submit written inquiries regarding all AFRH 
records to the appropriate facility at the following addresses: 
Associate Director, Resource Management, U.S. Soldiers' and Airmen's 
Home, 3700 N. Capitol Street, NW., Washington, DC 20317-0002; or, 
Administrative Services, U.S. Naval Home, 1800 Beach Drive, Gulfport, 
Mississippi 39507-1597. All personal (walk-in) requests will require 
some form of common identification.


Sec. 2100.4  Requirements for identification.

    Only upon proper identification will any individual be granted 
access to records which pertain to him/her. Identification is required 
both for accurate record identification and to avoid disclosing records 
to unauthorized individuals. Individuals must provide their full name 
and as much information as possible in order that a proper search for 
records can be accomplished. Requests made by mail shall be signed by 
the individual requesting his/her records. Inclusion of a telephone 
number for the requester is recommended to expedite certain matters. 
Requesters applying in person must provide an identification with 
photograph, such as a driver's license, military or annuitant 
identification card, or any official document as acceptable 
identification validation. Personal requests can only be accepted on 
regularly scheduled workdays (Monday through Friday, excluding Federal 
holidays) between the hours of 7:30 a.m. and 3:30 p.m.


Sec. 2100.5  Access by individuals.

    (a) No individual will be allowed access to any information 
compiled or maintained in reasonable anticipation of civil actions or 
proceedings, or otherwise exempt under Sec. 2100.12. Requests for 
pending investigations will be denied and the requester instructed to 
forward another request giving adequate time for the investigation to 
be completed. Requesters shall be provided the telephone number so they 
can call and check on the status in order to know when to resubmit the 
request.
    (b) Any individual may authorize the facility to provide a copy of 
his/her records to a third party. This authorization must be in writing 
and shall be provided to the facility with the initial request.
    (c) Access to records may be authorized to the legal guardian or 
conservator acting on behalf of an individual who has been declared to 
be incompetent due to physical or mental incapacity or age by a court 
of competent jurisdiction.
    (d) When an individual requesting access to his/her record wishes 
to be accompanied by another individual during the course of the 
examination of the record, the individual making the request shall 
submit to the official having operational control of the record, a 
signed statement authorizing that person access to the record.
    (e) If medical records are requested and a USSAH or USNH 
practitioner believes that access to the records by the subject could 
harm that person's mental or physical health, the requester will be 
asked to name a practitioner to receive the records. If this 
requirement poses a hardship on the individual, he/she will be offered 
the service of an USSAH or USNH practitioner other than the one who 
provided treatment. If the individual refuses to name a recipient, the 
record will not be released.


Sec. 2100.6  Schedule of fees.

    (a) Individuals will not be charged for:
    (1) The search and review of the record.
    (2) Copies of the record produced as a necessary part of the 
process of making the record available for access; or,
    (3) Copies of the requested record when it has been determined that 
access can only be accomplished by providing a copy of the record 
through the mail.
    (b) Waiver. The official having operational control at the 
appropriate facility may at no charge, provide copies of a record if it 
is determined the production of the copies is in the interest of the 
Government.
    (c) Fee Schedule and method of payment. With the exception of 
paragraphs (a) and (b) of this section, fees will be charged as 
indicated below:
    (1) Records will be duplicated at a rate of $.10 per page for all 
copying of 5 pages or more. There is no charge for duplication of 4 or 
fewer pages.
    (2) Where it is anticipated that the fees chargeable under this 
section will amount to more than $30.00, the requester shall be 
promptly notified of the amount of the anticipated fee or such portion 
thereof as can readily be estimated. In instances where the estimated 
fees will exceed $30.00, an advance deposit may be required. The notice 
or request for advance deposit shall extend an offer to the requester 
in order to reformulate the request in a manner which will reduce the 
fees, yet still meet the needs of the requester.
    (3) Fees should be paid in full prior to issuance of requested 
copies. In the event the requester is in arrears for previous requested 
copies, no subsequent request will be processed until the arrears have 
been paid in full.
    (4) Remittances shall be in the form either of a personal check, 
bank draft drawn on a bank in the United States, or a postal money 
order. Remittances shall be made payable to the facility to which the 
request is being made, and mailed or delivered to the appropriate 
facility (see Sec. 2100.3 of this part).
    (5) A receipt for fees paid will be given upon request.


Sec. 2100.7  Request for correction or amendment.

    (a) Requests to correct or amend a file shall be addressed to the 
system manager in which the file is located. The request must 
reasonably describe the record to be amended, the items to be changed 
as specifically as possible, the type of amendment (e.g., deletion, 
correction, amendment), and the reason for the amendment. The request 
should also include the reasons why the requester believes the record 
is not accurate, relevant, timely, or complete. The burden of proof 
will be upon the individual to furnish sufficient facts to persuade the 
change of the record of the inaccuracy, irrelevancy, timeliness, or 
incompleteness of the record. Normally all documents submitted, to 
include court orders, shall be certified. Amendments under this part 
are limited to correcting factual matters and not matters of official 
judgement or opinions.
    (b) Requirements of identification as outlined in Sec. 2100.4 apply 
to requests to correct or amend a file.
    (c) Incomplete requests shall not be honored, but the requester 
shall be contacted for the additional information needed to process the 
request.
    (d) The amendment process is not intended to permit the alteration 
of evidence presented in the course of judicial or quasi-judicial 
proceedings. Any amendments or changes to these records normally are 
made through the specific procedures established for the amendment of 
such records.
    (e) When records sought to be amended are actually covered by 
another issuance, the administrative procedures under that issuance 
must be exhausted before using the procedures under the Privacy Act.


Sec. 2100.8  Review of request for amendment.

    (a) A written acknowledgement of the receipt of a request for 
amendment of a record will be provided to the requester within 10 
working days, unless final action regarding approval or denial will 
constitute acknowledgment.
    (b) Where there is a determination to grant all or a portion of a 
request to amend a record, the record shall be promptly amended and the 
requesting individual notified. Individuals, agencies or components 
shown by disclosure accounting records to have received copies of the 
record, or to whom disclosure has been made, will be notified of the 
amendment by the system manager in which the file is located.
    (c) Where there is a determination to deny all or a portion of a 
request to amend a record, a designated official will promptly advise 
the requesting individual of the specifics of the refusal and the 
reasons; and inform the individual that he/she may request a review of 
the denial(s).


Sec. 2100.9  Appeal of denial to grant access or to amend records.

    (a) All appeals of denial to grant access or to amend records 
should be addressed to the appropriate facility at the following 
addresses: Associate Director, Resource Management, U.S. Soldiers' and 
Airmen's Home, 3700 N. Capitol Street, NW., Washington, DC 20317-0002; 
or, Administrative Services, U.S. Naval Home, 1800 Beach Drive, 
Gulfport, Mississippi 39507-1597. The appeal should be concise and 
should specify the reasons the requester believes that the initial 
action was not satisfactory. If an appeal is denied, the designated 
official will notify the requester of the reason for denial and of the 
right to judicial review pursuant to 5 U.S.C. 552a(g). If an initial 
denial of a request to amend records is upheld, the requestor will also 
be advised of his or her right to file a statement of dispute 
disagreeing with the denial and such statement will be provided to all 
future users of the file.
    (b) If the designated official decides to amend the record, the 
requester and all previous recipients of the disputed information will 
be notified of the amendment. If the appeal is denied, the designated 
official will notify the requester of the reason of the denial, of the 
requester's right to file a statement of dispute disagreeing with the 
denial, that such statement of dispute will be retained in the file, 
that the statement will be provided to all future users of the file, 
and that the requester may file suit in a Federal district court to 
contest the decision not to amend the record.
    (c) The designated official will respond to all appeals within 30 
working days or will notify the requester of an estimated date of 
completion if the 30 day limit cannot be met.


Sec. 2100.10  Conditions of disclosure and accounting of certain 
disclosures.

    No record containing personally identifiable information within an 
AFRH system of records shall be disclosed by any means to any person or 
agency outside the AFRH, except by written request or prior written 
consent of the individual subject of the record, or as provided for in 
the Privacy Act of 1974, as amended, unless when such disclosure is:
    (a) To those officers and employees of the agency which maintains 
the record and who have a need for the record in the performance of 
their duties;
    (b) Required under 5 U.S.C. 552;
    (c) For a routine use of the record compatible with the purpose for 
which it was collected;
    (d) To the Bureau of the Census for purposes of planning or 
carrying out a census or survey or related activity pursuant to 13 
U.S.C.;
    (e) To a recipient who has provided the AFRH with advance adequate 
written assurance that the record will be used solely as a statistical 
research or reporting record, and the record is to be transferred in a 
form that is not individually identifiable;
    (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 U.S. Government or for evaluation by the Archivist 
of the United States, or his/her designee, to determine whether the 
record has such value;
    (g) To another agency or to an instrumentality of any governmental 
jurisdiction 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;
    (h) 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;
    (i) 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;
    (j) To the Comptroller General, or any authorized representatives, 
in the course of the performance of the duties of the General 
Accounting Office;
    (k) Pursuant to the order of a court of competent jurisdiction; or
    (l) To a consumer reporting agency in accordance with 31 U.S.C. 
3711(f).


Sec. 2100.11  Penalties.

    (a) An individual may bring a civil action against the AFRH to 
correct or amend the record, or where there is a refusal to comply with 
an individual request or failure to maintain any record with accuracy, 
relevance, timeliness and completeness, so as to guarantee fairness, or 
failure to comply with any other provision of the Privacy Act. The 
court may order correction or amendment of records. The court may 
enjoin the AFRH from withholding the records and order the production 
of the record.
    (b) Where it is determined that the action was willful or 
intentional with respect to 5 U.S.C. 552a(g)(1)(C) or (D), the United 
States may be liable for the actual damages sustained.
    (c) Criminal penalties may be imposed against an officer or 
employee of the USSAH or USNH who discloses material, which he/she 
knows is prohibited from disclosure, or who willfully maintains a 
system of records without compliance with the notice requirements.
    (d) Criminal penalties may be imposed against any person who 
knowingly and willfully requests or obtains any record concerning 
another individual from an agency under false pretenses.
    (e) All of these offenses are misdemeanors with a fine not to 
exceed $5,000.


Sec. 2100.12  Accounting of disclosure.

    (a) The AFRH or agency will maintain a record of disclosures in 
cases where records about the individual are disclosed from a system of 
records except--
    (1) When the disclosure is made pursuant to the Freedom of 
Information Act, 5 U.S.C. 552, as amended; or
    (2) When the disclosure is made to those officers and employees of 
the AFRH who have a need for the record in the performance of their 
duties.
    (b) This accounting of the disclosures will be retained for a least 
5 years or for the life of the record, whichever is longer, and will 
contain the following information:
    (1) A brief description of the record disclosed;
    (2) The date, nature, and purpose for the disclosure; and,
    (3) The name and address of the person, agency, or other entity to 
whom the disclosure is made.
    (c) Except for the accounting of disclosure made to agencies, 
individuals, or entities in law enforcement activities or disclosures 
made from the AFRH exempt systems of records, the accounting of 
disclosures will be made available to the data subject upon request in 
accordance with the access procedures of this part.


Sec. 2100.13  Specific exemptions.

    Subsection (k) of 5 U.S.C. 552a authorizes the AFRH to adopt rules 
designating eligible system of records as exempt from certain 
requirements of 5 U.S.C. 552a. To be eligible for a specific exemption 
under the authority of 5 U.S.C. 552a(k), the pertinent records within a 
designated system must contain one or more of the following:
    (a) Investigative records compiled for law enforcement purposes. If 
this information has been used to deny someone a right however, the 
AFRH must release it unless doing so would reveal the identify of a 
confidential source ((k)(2) exemption).
    (b) Records used only for statistical, research, or other 
evaluation purposes, and which are not used to make decisions on the 
rights, benefits, or privileges of individuals, except as permitted by 
13 U.S.C. 8 (Use of census data) ((k)(4) exemption).
    (c) Data compiled to determine suitability, eligibility, or 
qualifications for Federal service, Federal contracts, or access to 
classified information. This information may be withheld only if 
disclosure would reveal the identity of a confidential source ((k)(5) 
exemption).
    (d) Test or examination material used solely to determine 
individual qualifications for appointment or promotion in the Federal 
service, the disclosure of which would compromise the objectivity or 
fairness of the testing or examination process ((k)(6) exemption).
Dennis W. Jahnigen,
Chair, Armed Forces Retirement Home Board, Chief Executive Officer, 
Armed Forces Retirement Home.
[FR Doc. 94-14516 Filed 6-14-94; 8:45 am]
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