[Federal Register Volume 68, Number 186 (Thursday, September 25, 2003)]
[Proposed Rules]
[Pages 55337-55354]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-24058]


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DEPARTMENT OF DEFENSE

Department of the Air Force

32 CFR Part 806b

[Air Force Instruction 33-332]


Privacy Act; Implementation

AGENCY: Department of the Air Force, DoD.

ACTION: Proposed rule.

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SUMMARY: The Department of the Air Force proposes to revise the Privacy 
Act Program Instruction. The revision moves responsibility for the Air 
Force Privacy Program from AFCIC to AF-CIO; prescribes AFVA 33-276, 
Privacy Act Label as optional; adds the E-Gov Act of 2002 requirement 
for a Privacy Impact Assessment for all information systems that are 
new or have major changes; changes appeal processing from AFCIC to Air 
Force Legal Services Agency (AFLSA/JACL); adds Privacy Act warning 
language to use on information systems subject to the Privacy Act, 
includes guidance on sending personal information via e-mail; adds 
procedures on complaints; and provides guidance on recall rosters; 
social rosters; consent statements, systems of records operated by a 
contractor, and placing information on shared drives.

DATES: Submit comments on or before October 27, 2003.

ADDRESSES: Address all comments concerning this proposed rule to Mrs. 
Anne Rollins, Office of the Air Force Chief Information Officer, AF-
CIO/P, 1155 Air Force Pentagon, Washington, DC 20330-1155.

FOR FURTHER INFORMATION CONTACT: Mrs. Anne Rollins, 703-601-4043.

SUPPLEMENTARY INFORMATION:

List of Subjects in 32 CFR Part 806b

    Privacy.

    For the reasons set forth in the preamble, the Department of the 
Air Force is revising 32 CFR part 806b as follows:

PART 806b--PRIVACY ACT PROGRAM

Subpart A--Overview of the Privacy Act Program
Sec.
806b.1. Summary of Revisions.
806b.2. Basic Guidelines.
806b.3. Violation Penalties.
806b.4. Privacy Act Complaints.
806b.5. Personal Notes.
806b.6. Systems of Records Operated by a Contractor.
806b.7. Responsibilities.
Subpart B--Obtaining Law Enforcement Records and Confidentiality 
Promises
806b.8. Obtaining Law Enforcement Records.
806b.9. Confidentiality Promises.
Subpart C--Collecting Personal Information
806b.10. How to Collect Personal Information.
806b.11. When to Give Privacy Act Statements (PAS).
806b.12. Requesting the Social Security Number (SSN).
Subpart D--Giving Access to Privacy Act Records
806b.13. Making a Request for Access.
806b.14. Processing a Request for Access.
806b.15. Fees.
806b.16. Denying or Limiting Access.
806b.17. Special Provision for Certain Medical Records.
806b.18. Third Party Information in a Privacy Act System of Records.
806b.19. Information Compiled in Anticipation of Civil Action.
806b.20. Denial Authorities.
Subpart E--Amending the Record
806b.21. Amendment Reasons.
806b.22. Responding to Amendment Requests.
806b.23. Approving or Denying a Record Amendment.
806b.24. Seeking Review of Unfavorable Agency Determinations.
806b.25. Contents of PA Case Files.
Subpart F--Appeals
806b.26. Appeal Procedures.
Subpart G--Privacy Act Notifications
806b.27. When to Include a Privacy Act Warning Statement in 
Publications.
806b.28. Warning Banners.
806b.29. Sending Personal Information Over Electronic Mail.
Subpart H--Privacy Impact Assessments
806b.30. Evaluating Information Systems for Privacy Act Compliance.
Subpart I--Preparing and Publishing System Notices for the Federal 
Register
806b.31. Publishing System Notices.
806b.32. Submitting Notices for Publication in the Federal Register.
806b.33. Reviewing Notices.
Subpart J--Protecting and Disposing of Records
806b.34. Protecting Records.
806b.35. Balancing Protection.
806b.36. Disposing of Records.
Subpart K--Privacy Act Exemptions
806b.37. Exemption Types.
806b.38. Authorizing Exemptions.
806b.39. Requesting an Exemption.
806b.40. Approved Exemptions.
Subpart L--Disclosing Records to Third Parties
806b.41. Disclosure Considerations.
806b.42. Social Rosters.
806b.43. Placing Personal Information on Shared Drives.
806b.44. Personal Information that Requires Protection.
806b.45. Releasable Information.
806b.46. Disclosing Other Information.
806b.47. Rules for Releasing Privacy Act Information Without the 
Consent of the Subject.
806b.48. Disclosing the Medical Records of Minors.
806b.49. Disclosure Accountings.
806b.50. Computer Matching.
806b.51. Privacy and the Web.
Subpart M--Training
806b.52. Who Needs Training.
806b.53. Training Tools.
806b.54. Information Collections, Records, and Forms or Information 
Management Tools (IMT).
Appendix A to Part 806b--References
Appendix B to Part 806b--Abbreviations and Acronyms
Appendix C to Part 806b--Terms
Appendix D to Part 806b--Preparing a System Notice
Appendix E to Part 806b--General and Specific Exemptions
Appendix F to Part 806b--Privacy Impact Assessment

    Authority: 5 U.S.C. 552a.

Subpart A--Overview of the Privacy Act Program


Sec.  806b.1  Summary of Revisions.

    This part moves responsibility for the Air Force Privacy Program 
from AFCIC to AF-CIO; prescribes AFVA 33-276, Privacy Act Label as 
optional; adds the E-Gov Act of 2002 requirement for a Privacy Impact 
Assessment for all information systems that are new or have major 
changes; changes appeal processing from AFCIC to Air Force Legal 
Services Agency (AFLSA/JACL); adds Privacy Act warning language to use 
on information systems subject to the Privacy Act, includes guidance on 
sending personal information via e-mail; adds procedures on complaints; 
and provides guidance on recall rosters; social rosters; consent 
statements, systems of records operated by a contractor, and placing 
information on shared drives.


Sec.  806b.2  Basic Guidelines.

    This part implements the Privacy Act of 1974 and applies to records 
on living U.S. citizens and permanent resident aliens that are 
retrieved by name or personal identifier. This part also provides 
guidance on collecting and disseminating personal information in 
general.

[[Page 55338]]

    (a) Records that are retrieved by name or personal identifier are 
subject to Privacy Act (PA) requirements and are referred to as PA 
systems of records. The Air Force must publish notices in the Federal 
Register, describing the collection of information for new, changed or 
deleted systems to inform the public and give them an opportunity to 
comment before implementing or changing the system. (see Appendix D to 
this part).
    (b) An official system of records is:
    (1) Authorized by law or Executive Order.
    (2) Needed to carry out an Air Force mission or function.
    (3) Published in the Federal Register.
    (c) The Air Force will not:
    (1) Keep records on how a person exercises First Amendment rights. 
EXCEPTIONS are when: The Air Force has the permission of that 
individual or is authorized by Federal statute; or the information 
pertains to an authorized law enforcement activity.
    (2) Penalize or harass an individual for exercising rights 
guaranteed under the PA. We must reasonably help individuals exercise 
their rights under the PA.
    (d) Air Force members will:
    (1) Keep paper and electronic records that are retrieved by name or 
personal identifier only in approved PA systems published in the 
Federal Register.
    (2) Collect, maintain, and use information in such systems, for 
purposes described in the published notice, to support programs 
authorized by law or Executive Order.
    (3) Safeguard the records in the system and keep them the minimum 
time required.
    (4) Ensure records are timely, accurate, complete, and relevant.
    (5) Amend and correct records on request.
    (6) Allow individuals to review and receive copies of their own 
records unless the Secretary of the Air Force approved an exemption for 
the system; or the Air Force created the records in anticipation of a 
civil action or proceeding.
    (7) Provide a review of decisions that deny individuals access to 
or amendment of their records through appellate procedures.


Sec.  806b.3  Violation Penalties.

    An individual may file a civil law suit against the Air Force for 
failing to comply with the PA. The courts may find an individual 
offender guilty of a misdemeanor and fine that individual offender not 
more than $5,000 for:
    (a) Willfully maintaining a system of records that doesn't meet the 
public notice requirements.
    (b) Disclosing information from a system of records to someone not 
entitled to the information.
    (c) Obtaining someone else's records under false pretenses.


Sec.  806b.4  Privacy Act Complaints.

    Process PA complaints or allegations of PA violations through the 
appropriate base or MAJCOM PA office, to the local systems manager. The 
base or MAJCOM PA officer directs the process and provides guidance to 
the system manager. The local systems manager will investigate 
complaints, or allegations of PA violations; will establish and review 
the facts when possible; interview individuals as needed; determine 
validity of the complaint; take appropriate corrective action; and 
ensure a response is sent to the complainant through the PA Officer. In 
cases where no system manager can be identified, the local PA officer 
will assume these duties. Issues that cannot be resolved at the local 
level will be elevated to the MAJCOM Privacy Office. When appropriate, 
local system managers will also: refer cases for more formal 
investigation, refer cases for command disciplinary action, and consult 
the servicing SJA. In unified combatant commands, process component 
unique system complaints through the respective component chain of 
command.


Sec.  806b.5  Personal Notes.

    The Privacy Act does not apply to personal notes on individuals 
used as memory aids. Personal notes may become Privacy Act records if 
they are retrieved by name or other personal identifier and at least 
one of the following three conditions apply:
    (a) Keeping or destroying the records is not at the sole discretion 
of the author;
    (b) The notes are required by oral or written directive, 
regulation, or command policy; or
    (c) They are shown to other agency personnel.


Sec.  806b.6  Systems of Records Operated by a Contractor.

    Contractors who are required to operate or maintain a PA system of 
records by contract must follow this part for collecting, safeguarding, 
maintaining, using, accessing, amending and disseminating personal 
information. The record system affected is considered to be maintained 
by the Air Force and is subject to this part. Systems managers for 
offices who have contractors operating or maintaining such record 
systems must ensure the contract contains the proper PA clauses, and 
identify the record system number, as required by the Defense 
Acquisition Regulation and this part.
    (a) Contracts for systems of records operated or maintained by a 
contractor will be reviewed annually by the appropriate MAJCOM Privacy 
Officer to ensure compliance with this part.
    (b) Disclosure of personal records to a contractor for use in the 
performance of an Air Force contract is considered a disclosure within 
the agency under exception (b)(1) of the Privacy Act (see Sec.  
806b.47(a)).


Sec.  806b.7  Responsibilities.

    (a) The Air Force Chief Information Officer (AF-CIO) is the senior 
Air Force Privacy Official with overall responsibility for the Air 
Force Privacy Act Program.
    (b) The Office of the General Counsel to the Secretary of the Air 
Force (SAF/GCA) makes final decisions on appeals.
    (c) The General Litigation Division, AFLSA/JACL, receives PA 
appeals and provides recommendations to the appellate authority. 
Service unique appeals, from unified combatant commands, should go 
through the respective chain of command.
    (d) The Plans and Policy Directorate, Office of the Chief 
Information Officer (AF-CIO/P) manages the program through the Air 
Force PA Officer who:
    (1) Administers procedures outlined in this part.
    (2) Reviews publications and forms for compliance with this part.
    (3) Reviews and approves proposed new, altered, and amended systems 
of records; and submits system notices and required reports to the 
Defense Privacy Office.
    (4) Serves as the Air Force member on the Defense Privacy Board and 
the Defense Data Integrity Board.
    (5) Provides guidance and assistance to MAJCOMs, FOAs, DRUs and 
combatant commands for which AF is executive agent in their 
implementation and execution of the Air Force Privacy Program. Insures 
availability of training and training tools for a variety of audiences.
    (6) Provides advice and support to those commands to ensure that 
information requirements developed to collect or maintain personal data 
conform to PA standards; and that appropriate procedures and safeguards 
are developed, implemented, and maintained to protect the information.
    (e) MAJCOM commanders, and Deputy Chiefs of Staff (DCS) and 
comparable officials at Secretary of the Air Force and Headquarters 
United States Air Force (HQ USAF) offices implement this part.

[[Page 55339]]

    (f) 11th Communications Squadron (11 CS/SCS), will provide PA 
training and submit PA reports for HQ USAF and SAF offices.
    (g) MAJCOM Commanders: Appoint a command PA officer, and send the 
name, office symbol, phone number, and e-mail address to AF-CIO/P.
    (h) MAJCOM and HAF Functional CIOs:
    (1) Review and provide final approval on Privacy Impact Assessments 
(PIA) (see Appendix F).
    (2) Send a copy of approved PIAs to AF-CIO/P for forwarding to DoD 
and Office of Management and Budget (OMB).
    (i) MAJCOM PA Officers:
    (1) Train base PA officers. May authorize appointment of unit PA 
monitors to assist with implementation of the program.
    (2) Promote PA awareness throughout the organization.
    (3) Review publications and forms for compliance with this part (do 
forms require a Privacy Act Statement (PAS); is PAS correct?)
    (4) Submit reports as required.
    (5) Review system notices to validate currency.
    (6) Evaluate the health of the program at regular intervals using 
this part as guidance.
    (7) Review and provide recommendations on completed Privacy Impact 
Assessments (PIA) for information systems.
    (8) Resolve complaints or allegations of PA violations.
    (9) Review and process denial recommendations.
    (10) Provide guidance as needed to functionals on implementing the 
Privacy Act.
    (j) Base PA Officers:
    (1) Provide guidance and training to base personnel.
    (2) Submit reports as required.
    (3) Review publications and forms for compliance with this part.
    (4) Review system notices to validate currency.
    (5) Direct investigations of complaints/violations.
    (6) Evaluate the health of the program at regular intervals using 
this part as guidance.
    (k) System Managers:
    (1) Manage and safeguard the system.
    (2) Train users on PA requirements.
    (3) Protect records from unauthorized disclosure, alteration, or 
destruction.
    (4) Prepare system notices and reports.
    (5) Answer PA requests.
    (6) Records of disclosures.
    (7) Validate system notices annually.
    (8) Investigate PA complaints.
    (l) System owners and developers:
    (1) Decide the need for, and content of systems.
    (2) Evaluate PA requirements of information systems in early stages 
of development.
    (3) Complete a PIA and submit to the PA Officer:

Subpart B--Obtaining Law Enforcement Records and Confidentiality 
Promises


Sec.  806b.8  Obtaining Law Enforcement Records.

    The Commander, Air Force Office of Special Investigation (AFOSI); 
the Commander, Air Force Security Forces Center (HQ AFSFC); MAJCOM, 
FOA, and base chiefs of security forces; AFOSI detachment commanders; 
and designees of those offices may ask another agency for records for 
law enforcement under 5 U.S.C. 552a(b)(7). The requesting office must 
indicate in writing the specific part of the record desired and 
identify the law enforcement activity asking for the record.


Sec.  806b.9  Confidentiality Promises.

    Promises of confidentiality must be prominently annotated in the 
record to protect from disclosure any ``confidential'' information 
under 5 United States Code 552a (k)(2), (k)(5), or (k)(7) of the 
Privacy Act.

Subpart C--Collecting Personal Information


Sec.  806b.10  How To Collect Personal Information.

    Collect personal information directly from the subject of the 
record whenever possible. Only ask third parties when:
    (a) You must verify information.
    (b) You want opinions or evaluations.
    (c) You can't contact the subject.
    (d) You are doing so at the request of the subject individual.


Sec.  806b.11  When To Give Privacy Act Statements (PAS).

    Give a PAS orally or in writing to the subject of the record when 
you are collecting information from them that will go in a system of 
records.


    Note: Do this regardless of how you collect or record the 
answers. You may display a sign in areas where people routinely 
furnish this kind of information. Give a copy of the PAS if asked. 
Do not ask the person to sign the PAS.

    (a) A PAS must include four items:
    (1) Authority: The legal authority, that is, the U.S.C. or 
Executive Order authorizing the program the system supports.
    (2) Purpose: The reason you are collecting the information and what 
you intend to do with it.
    (3) Routine Uses: A list of where and why the information will be 
disclosed outside DoD.
    (4) Disclosure: Voluntary or Mandatory. (Use Mandatory only when 
disclosure is required by law and the individual will be penalized for 
not providing information.) Include any consequences of nondisclosure 
in nonthreatening language.
    (b) [Reserved].


Sec.  806b.12  Requesting the Social Security Number (SSN).

    When asking an individual for his or her SSN, always give a Privacy 
Act Statement that tells the person: The legal authority for requesting 
it; the uses that will be made of the SSN; and whether providing the 
SSN is voluntary or mandatory. Do not deny anyone a legal right, 
benefit, or privilege for refusing to give their SSN unless the law 
requires disclosure, or a law or regulation adopted before January 1, 
1975 required the SSN and the Air Force uses it to verify a person's 
identity in a system of records established before that date.
    (a) The Air Force requests an individual's SSN and provides the 
individual information required by law when anyone enters military 
service or becomes an Air Force civilian employee. The Air Force uses 
the SSN as a service or employment number to reference the individual's 
official records. When you ask someone for an SSN as identification to 
retrieve an existing record, you do not have to restate this 
information.
    (b) Executive Order 9397, Numbering System for Federal Accounts 
Relating to Individual Persons, authorizes using the SSN as a personal 
identifier. This order is not adequate authority to collect an SSN to 
create a record. When law does not require disclosing the SSN or when 
the system of records was created after January 1, 1975, you may ask 
for the SSN, but the individual does not have to disclose it. If the 
individual refuses to respond, use alternative means of identifying 
records.
    (c) SSNs are personal and unique to each individual. Protect them 
as FOR OFFICIAL USE ONLY (FOUO). Within DoD, do not disclose them to 
anyone without an official need to know. Outside DoD, they are not 
releasable without the person's consent, or unless authorized under one 
of the 12 exceptions to the Privacy Act (see Sec.  806b.47).

[[Page 55340]]

Subpart D--Giving Access to Privacy Act Records


Sec.  806b.13  Making a Request for Access.

    Persons or their designated representatives may ask for a copy of 
their records in a system of records. Requesters need not state why 
they want access to their records. Verify the identity of the requester 
to avoid unauthorized disclosures. How you verify identity will depend 
on the sensitivity of the requested records. Persons may use a notary 
or an unsworn declaration in the following format: ``I declare under 
penalty of perjury (if outside the United States, add ``under the laws 
of the United States of America'') that the foregoing is true and 
correct. Executed on (date). (Signature).''


Sec.  806b.14  Processing a Request for Access.

    Consider a request from an individual for his or her own records in 
a system of records under both the Freedom of Information Act (FOIA) 
and the PA regardless of the Act cited. The requester does not need to 
cite either Act if the records they want are contained in a system of 
records. Process the request under whichever Act gives the most 
information. When necessary, tell the requester which Act you used and 
why.
    (a) Requesters should describe the records they want. They do not 
have to name a system of records number, but they should at least name 
a type of record or functional area. For requests that ask for ``all 
records about me,'' ask for more information and tell the person how to 
review the Air Force systems of records published in the Federal 
Register or at http://www.defenselink.mil/privacy/notices/usaf.
    (b) Requesters should not use government equipment, supplies, 
stationery, postage, telephones, or official mail channels for making 
PA requests. System managers will process such requests and tell 
requesters that using government resources to make PA requests is not 
authorized.
    (c) Tell the requester if a record exists and how to review the 
record. If possible, respond to requests within 10 workdays of receipt. 
If you cannot answer the request in 10 workdays, send a letter 
explaining why and give an approximate completion date no more than 20 
workdays after the first office received the request.
    (d) Show or give a copy of the record to the requester within 30 
workdays of receiving the request unless the system is exempt and the 
Air Force lists the exemption in Appendix E to this part; or it is 
published in this Section; or published as a final rule in the Federal 
Register. Give information in a form the requester can understand. If 
the system is exempt under the PA, provide any parts releasable under 
FOIA, with appeal rights (see Subpart F of this part), citing 
appropriate exemptions from the Privacy Act and FOIA, if applicable.
    (e) If the requester wants another person present during the record 
review, the system manager may ask for written consent to authorize 
discussing the record with another person present.


Sec.  806b.15  Fees.

    Give the first 100 pages free, and charge only reproduction costs 
for the remainder. Copies cost $.15 per page; microfiche costs $.25 per 
fiche. Charge fees for all pages for subsequent requests for the same 
records. Do not charge fees:
    (a) When the requester can get the record without charge under 
another publication (for example, medical records).
    (b) For search.
    (c) For reproducing a document for the convenience of the Air 
Force.
    (d) For reproducing a record so the requester can review it.


Sec.  806b.16  Denying or Limiting Access.

    System managers process access denials within 5 workdays after you 
receive a request for access. When you may not release a record, send a 
copy of the request, the record, and why you recommend denying access 
(include the applicable exemption) to the denial authority through the 
legal office and the PA office. Judge Advocate (JA) offices will 
include a written legal opinion. The PA officer reviews the file, and 
makes a recommendation to the denial authority. The denial authority 
sends the requester a letter with the decision. If the denial authority 
grants access, release the record. If the denial authority refuses 
access, tell the requester why and explain pertinent appeal rights (see 
Subpart F of this part). Before you deny a request for access to a 
record, make sure that:
    (a) The system has an exemption approved by AF-CIO/P (as listed in 
Appendix E to this part, or published in this Section, or published as 
a final rule in the Federal Register).
    (b) The exemption covers each document. (All parts of a system are 
not automatically exempt.)
    (c) Nonexempt parts are segregated.


Sec.  806b.17  Special Provision for Certain Medical Records.

    If a physician believes that disclosing requested medical records 
could harm the person's mental or physical health, you should:
    (a) Ask the requester to get a letter from a physician to whom you 
can send the records. Include a letter explaining to the physician that 
giving the records directly to the individual could be harmful.
    (b) Offer the services of a military physician other than one who 
provided treatment if naming the physician poses a hardship on the 
individual. The Privacy Act requires that we ultimately insure that the 
subject receives the records.


Sec.  806b.18  Third Party Information in a Privacy Act System of 
Record.

    Ordinarily a person is entitled to their entire record under the 
Privacy Act. However, the law is not uniform regarding whether a 
subject is entitled to information that is not ``about'' him or her 
(for example, the home address of a third party contained in the 
subject's records). Consult your servicing SJA before disclosing third 
party information. Generally, if the requester will be denied a right, 
privilege or benefit, the requester must be given access to relevant 
portions of the file.


Sec.  806b.19  Information Compiled in Anticipation of Civil Action.

    Withhold records compiled in connection with a civil action or 
other proceeding including any action where the Air Force expects 
judicial or administrative adjudicatory proceedings. This exemption 
does not cover criminal actions. Do not release attorney work products 
prepared before, during, or after the action or proceeding.


Sec.  806b.20  Denial Authorities.

    These officials or a designee may deny access or amendment of 
records as authorized by the Privacy Act. Send a letter to AF-CIO/P 
with the position titles of designees. Authorities are:
    (a) DCSs and chiefs of comparable offices or higher level at SAF or 
HQ USAF or designees.
    (b) MAJCOM, FOA, or DRU commanders or designees.
    (c) HQ USAF/DPF, 1040 Air Force Pentagon, Washington DC 20330-1040 
(for civilian personnel records).
    (d) Commander, Air Force Office of Special Investigations (AFOSI), 
Washington DC 20332-6001 (for AFOSI records).
    (e) Unified Commanders or designees.

Subpart E--Amending the Record


Sec.  806b.21  Amendment Reasons.

    Individuals may ask to have their records amended to make them

[[Page 55341]]

accurate, timely, relevant, or complete. System managers will routinely 
correct a record if the requester can show that it is factually wrong 
(e.g., date of birth is wrong).


Sec.  806b.22  Responding to Amendment Requests.

    (a) Anyone may request minor corrections orally. Requests for more 
serious modifications should be in writing.
    (b) After verifying the identity of the requester, make the change, 
notify all known recipients of the record, and inform the individual.
    (c) Acknowledge requests within 10 workdays of receipt. Give an 
expected completion date unless you complete the change within that 
time. Final decisions must take no longer than 30 workdays.


Sec.  806b.23  Approving or Denying a Record Amendment.

    The Air Force does not usually amend a record when the change is 
based on opinion, interpretation, or subjective official judgment. 
Determinations not to amend such records constitutes a denial, and 
requesters may appeal (see Subpart F of this part).
    (a) If the system manager decides not to amend the record, send a 
copy of the request, the record, and the recommended denial reasons to 
the denial authority through the legal office and the PA office. Legal 
offices will include a written legal opinion. The PA officer reviews 
the proposed denial and legal opinion and makes a recommendation to the 
denial authority.
    (b) The denial authority sends the requester a letter with the 
decision. If the denial authority approves the request, amend the 
record and notify all previous recipients that it has been changed. If 
the authority denies the request, give the requester the statutory 
authority, reason, and pertinent appeal rights (see Subpart F of this 
part).


Sec.  806b.24  Seeking Review of Unfavorable Agency Determinations.

    Requesters should pursue record corrections of subjective matters 
and opinions through proper channels to the Civilian Personnel Office 
using grievance procedures or the Air Force Board for Correction of 
Military Records (AFBCMR). Record correction requests denied by the 
AFBCMR are not subject to further consideration under this part. 
Military personnel, other than USAF personnel, should pursue service-
unique record corrections through their component chain of command.


Sec.  806b.25  Contents of PA Case Files.

    Do not keep copies of disputed records in this file. File disputed 
records in their appropriate series. Use the file solely for statistics 
and to process requests. Do not use the case files to make any kind of 
determination about an individual. Document reasons for untimely 
responses. These files include:
    (a) Requests from and replies to individuals on whether a system 
has records about them.
    (b) Requests for access or amendment.
    (c) Approvals, denials, appeals, and final review actions.
    (d) Coordination actions and related papers.

Subpart F--Appeals


Sec.  806b.26  Appeal Procedures.

    Individuals who receive a denial to their access or amendment 
request may request a denial review by writing to the Secretary of the 
Air Force, through the denial authority, within 60 calendar days after 
receiving a denial letter. The denial authority promptly sends a 
complete appeal package to AFLSA/JACL. The package must include: The 
original appeal letter; the initial request; the initial denial; a copy 
of the record; any internal records or coordination actions relating to 
the denial; the denial authority's comments on the appellant's 
arguments; and the legal reviews.
    (a) If the denial authority reverses an earlier denial and grants 
access or amendment, notify the requester immediately.
    (b) AFLSA/JACL reviews the denial and provides a final 
recommendation to SAF/GCA. SAF/GCA tells the requester the final Air 
Force decision and explains judicial review rights.
    (c) The requester may file a concise statement of disagreement with 
the system manager if SAF/GCA denies the request to amend the record. 
SAF/GCA explains the requester's rights when they issue the final 
appeal decision.
    (d) The records should clearly show that a statement of 
disagreement is filed with the record or separately.
    (e) The disputed part of the record must show that the requester 
filed a statement of disagreement.
    (f) Give copies of the statement of disagreement to the record's 
previous recipients. Inform subsequent record users about the dispute 
and give them a copy of the statement with the record.
    (g) The system manager may include a brief summary of the reasons 
for not amending the record. Limit the summary to the reasons SAF/GCA 
gave to the individual. The summary is part of the individual's record, 
but it is not subject to amendment procedures.

Subpart G--Privacy Act Notifications


Sec.  806b.27  When To Include a Privacy Act Warning Statement in 
Publications.

    Include a PA Warning Statement in each Air Force publication that 
requires collecting or keeping information in a system of records. Also 
include the Warning Statement when publications direct collection of 
the SSN, or any part of the SSN, from the individual. The warning 
statement will cite legal authority and when part of a record system, 
the PA system of records number and title. You can use the following 
warning statement: ``This instruction requires collecting and 
maintaining information protected by the Privacy Act of 1974 authorized 
by (U.S.C. citation and or Executive Order number). System of records 
notice (number and title) applies.''


Sec.  806b.28  Warning Banners.

    Information systems that contain information on individuals that is 
retrieved by name or personal identifier are subject to the Privacy 
Act. The Privacy Act requires these systems to have a PA system notice 
published in the Federal Register that covers the information 
collection before collection begins. In addition, all information 
systems subject to the Privacy Act will have warning banners displayed 
on the first screen (at a minimum) to assist in safeguarding the 
information. Use the following language for the banner: ``PRIVACY ACT 
INFORMATION--The information accessed through this system is FOR 
OFFICIAL USE ONLY and must be protected in accordance with the Privacy 
Act and AFI 33-332.''


Sec.  806b.29  Sending Personal Information Over Electronic Mail.

    (a) Exercise caution before transmitting personal information over 
e-mail to ensure it is adequately safeguarded. Some information may be 
so sensitive and personal that e-mail may not be the proper way to 
transmit it. When sending personal information over e-mail within DoD, 
ensure: There is an official need; all addressee(s) (including ``cc'' 
addressees) are authorized to receive it under the Privacy Act; and it 
is protected from unauthorized disclosure, loss, or alteration. 
Protection methods may include encryption or password protecting the 
information in a separate Word document. When transmitting personal 
information over e-mail, add ``FOUO'' to the beginning of the subject 
line, followed by the subject, and apply the following statement at the 
beginning of the e-mail:


[[Page 55342]]


    This e-mail contains FOR OFFICIAL USE ONLY (FOUO) information 
which must be protected under the Privacy Act and AFI 33-332.

    (b) Do not indiscriminately apply this statement to e-mails. Use it 
only in situations when you are actually transmitting personal 
information. DoD Regulation 5400.7/AF Supp, Chapter 4, provides 
additional guidance regarding FOUO information.
    (c) Do not disclose personal information to anyone outside DoD 
unless specifically authorized by the Privacy Act (see Sec.  806b.47).
    (d) Do not send PA information to distribution lists or group e-
mail addresses unless each member has an official need to know the 
personal information. When in doubt, send only to individual accounts.
    (e) Before forwarding e-mails you have received that contain 
personal information, verify that your intended recipients are 
authorized to receive the information under the Privacy Act (see Sec.  
806b.47).

Subpart H--Privacy Impact Assessments


Sec.  806b.30  Evaluating Information Systems for Privacy Act 
Compliance.

    Information system owners and developers must address PA 
requirements in the development stage of the system and integrate 
privacy protections into the development life cycle of the information 
system. This is accomplished with a Privacy Impact Assessment (PIA).
    (a) The PIA addresses what information is to be collected; why the 
information is being collected; the intended use of the information; 
with whom the information will be shared; what notice or opportunities 
for consent will be provided individuals regarding the information 
collected, and how that information is shared; secured; and whether a 
system of records is being created, or an existing system is being 
amended. The E-Government Act of 2002 requires PIAs to be conducted 
before:
    (1) Developing or procuring information technology (IT) that 
collects, maintains, or disseminates information in identifiable form 
from or about members of the public.
    (2) Initiating a new collection of information, using IT, that 
collects, maintains, or disseminates information in identifiable form 
for 10 or more persons excluding agencies, instrumentalities, or 
employees of the Federal Government.
    (b) The system owner will conduct a PIA as outlined in Appendix F 
and send it to their MAJCOM Privacy Act office for review and final 
approval by the MAJCOM or HAF Functional CIO. The MAJCOM or HAF 
Functional CIO will send a copy of approved PIAs to AF-CIO/P, 1155 Air 
Force Pentagon, Washington DC 20330-1155; or e-mail 
[email protected].
    (c) Whenever practicable, approved PIAs will be posted to the FOIA/
Privacy Act Web site for public access at http://www.foia.af.mil (this 
requirement will be waived for security reasons, or to protect 
classified, sensitive, or private information contained in an 
assessment).
    (d) OMB requires agencies to submit copies of the PIA for each 
system for which funding is requested. AF-CIO/P will furnish OMB 
applicable PIAs through the Defense Privacy Office.

Subpart I--Preparing and Publishing System Notices for the Federal 
Register


Sec.  806b.31  Publishing System Notices.

    The Air Force must publish notices in the Federal Register of new, 
changed, and deleted systems to inform the public of what records the 
Air Force keeps and give them an opportunity to comment before the 
system is implemented or changed. The PA also requires submission of 
new or significantly changed systems to the OMB and both houses of 
Congress before publication in the Federal Register. This includes:
    (a) Starting a new system.
    (b) Instituting significant changes to an existing system.
    (c) Sending out data collection forms or instructions.
    (d) Issuing a request for proposal or invitation for bid to support 
a new system.


Sec.  806b.32  Submitting Notices for Publication in the Federal 
Register.

    At least 120 days before implementing a new system, or a major 
change to an existing system, subject to this part, system managers 
must send a proposed notice, through the MAJCOM Privacy Office, to AF-
CIO/P. Send notices electronically to [email protected] using 
Microsoft Word, using the Track Changes tool in Word to indicate 
additions/changes to existing notices. Follow the format outlined in 
Appendix D to this part. For new systems, system managers must include 
a statement that a risk assessment was accomplished and is available 
should the OMB request it.


Sec.  806b.33  Reviewing Notices.

    System managers will review and validate their PA system notices 
annually and submit changes to AF-CIO/P through the MAJCOM Privacy 
Office.

Subpart J--Protecting and Disposing of Records


Sec.  806b.34  Protecting Records.

    Maintaining information privacy is the responsibility of every 
federal employee, military member, and contractor who comes into 
contact with information in identifiable form. Protect information 
according to its sensitivity level. Consider the personal sensitivity 
of the information and the risk of disclosure, loss or alteration. Most 
information in systems of records is FOUO. Refer to DoD 5400.7-R/AF 
Supp, DoD Freedom of Information Act Program, for protection methods.


Sec.  806b.35  Balancing Protection.

    Balance additional protection against sensitivity, risk and cost. 
In some situations, a password may be enough protection for an 
automated system with a log-on protocol. Others may require more 
sophisticated security protection based on the sensitivity of the 
information. Classified computer systems or those with established 
audit and password systems are obviously less vulnerable than 
unprotected files. Follow AFI 33-202, Computer Security, for procedures 
on safeguarding personal information in automated records.
    (a) AF Form 3227, Privacy Act Cover Sheet, is optional and 
available for use with Privacy Act material. Use it to cover and 
protect personal information that you are using in office environments 
that are widely unprotected and accessible to many individuals. After 
use, such information should be protected as outlined in DoD 5400.7-R/
AF Supp.
    (b) Privacy Act Labels. Use of AFVA 33-276, Privacy Act Label, is 
optional to assist in protecting Privacy Act information on compact 
disks, diskettes, and tapes.


Sec.  806b.36  Disposing of Records.

    You may use the following methods to dispose of records protected 
by the Privacy Act and authorized for destruction according to records 
retention schedules:
    (a) Destroy by any method that prevents compromise, such as 
tearing, burning, or shredding, so long as the personal data is not 
recognizable and beyond reconstruction.
    (b) Degauss or overwrite magnetic tapes or other magnetic medium.
    (c) Dispose of paper products through the Defense Reutilization and 
Marketing Office or through activities that manage a base-wide 
recycling program. The

[[Page 55343]]

recycling sales contract must contain a clause requiring the contractor 
to safeguard privacy material until its destruction and to pulp, 
macerate, shred, or otherwise completely destroy the records. 
Originators must safeguard PA material until it is transferred to the 
recycling contractor. A Federal employee or, if authorized, a 
contractor employee must witness the destruction. This transfer does 
not require a disclosure accounting.

Subpart K--Privacy Act Exemptions


Sec.  806b.37  Exemption Types.

    There are two types of exemptions permitted by 5 U.S.C. 552a:
    (a) A General exemption authorizes the exemption of a system of 
records from most parts of the PA.
    (b) A Specific exemption authorizes the exemption of a system of 
records from only a few parts.


Sec.  806b.38  Authorizing Exemptions.

    Only AF-CIO/P can approve exempt systems of records from any part 
of the Privacy Act. Denial authorities can withhold records using these 
exemptions only if AF-CIO/P previously approved and published an 
exemption for the system in the Federal Register. Appendix E to this 
part lists the systems of records that have approved exemptions with 
rationale.


Sec.  806b.39  Requesting an Exemption.

    A system manager who believes that a system needs an exemption from 
some or all of the requirements of the PA will send a request to AF-
CIO/P through the MAJCOM or FOA PA Officer. The request will detail the 
reasons for the exemption, the section of the Act that allows the 
exemption, and the specific subsections of the PA from which the system 
is to be exempted, with justification for each subsection.


Sec.  806b.40  Approved Exemptions.

    Approved exemptions exist under 5 U.S.C. 552a for:
    (a) Certain systems of records used by activities whose principal 
function is criminal law enforcement (subsection (j)(2)).
    (b) Classified information in any system of records (subsection 
(k)(1)).
    (c) Law enforcement records (other than those covered by subsection 
(j)(2)). However, the Air Force must allow an individual access to any 
record that is used to deny rights, privileges or benefits to which he 
or she would otherwise be entitled by Federal law or for which he or 
she would otherwise be eligible as a result of the maintenance of the 
information (unless doing so would reveal a confidential source) 
(subsection (k)(2)).
    (d) Statistical records required by law. Data is for statistical 
use only and may not be used to decide individuals' rights, benefits, 
or entitlements (subsection(k)(4)).
    (e) Data to determine suitability, eligibility, or qualifications 
for Federal service or contracts, or access to classified information 
if access would reveal a confidential source (subsection (k)(5)).
    (f) Qualification tests for appointment or promotion in the Federal 
service if access to this information would compromise the objectivity 
of the tests (subsection (k)(6)).
    (g) Information that the Armed Forces uses to evaluate potential 
for promotion if access to this information would reveal a confidential 
source (subsection (k)(7)).

Subpart L--Disclosing Records to Third Parties


Sec.  806b.41  Disclosure Considerations.

    The Privacy Act requires the written consent of the subject before 
releasing personal information to third parties, unless one of the 12 
exceptions of the Act apply (see Sec.  806b.47). Use this checklist 
before releasing personal information to third parties: Make sure it is 
authorized under the Privacy Act; consider the consequences; and check 
the accuracy of the information. You can release personal information 
to third parties when the subject agrees in writing. Air Force members 
consent to releasing their home telephone number and address when they 
sign and check the ``Do Consent'' block on the AF Form 624, Base/Unit 
Locator and PSC Directory (see AFI 33-329, Base and Unit Personnel 
Locators).


Sec.  806b.42  Social Rosters.

    Before including personal information such as spouses names, home 
addresses, home phones, and similar information on social rosters or 
directories that are shared with groups of individuals, ask for signed 
consent statements. Otherwise, do not include the information. Consent 
statements must give the individual a choice to consent or not consent, 
and clearly tell the individual what information is being solicited, 
the purpose, to whom you plan to disclose the information, and that 
consent is voluntary. Maintain the signed statements until no longer 
needed.


Sec.  806b.43  Placing Personal Information on Shared Drives.

    Personal information should never be placed on shared drives for 
access by groups of individuals unless each person has an official need 
to know the information to perform their job. Add appropriate access 
controls to ensure access by only authorized individuals. Recall 
rosters are FOUO because they contain personal information and should 
be shared with small groups at the lowest levels for official purposes 
to reduce the number of people with access to such personal 
information. Commanders and supervisors should give consideration to 
those individuals with unlisted phone numbers, who do not want their 
number included on the office recall roster. In those instances, 
disclosure to the Commander or immediate supervisor, or deputy, should 
normally be sufficient.


Sec.  806b.44  Personal Information That Requires Protection.

    Following are some examples of information that is not releasable 
without the written consent of the subject. This list is not all 
inclusive.
    (a) Marital status (single, divorced, widowed, separated).
    (b) Number, name, and sex of dependents.
    (c) Civilian educational degrees and major areas of study (unless 
the request for the information relates to the professional 
qualifications for Federal employment).
    (d) School and year of graduation.
    (e) Home of record.
    (f) Home address and phone.
    (g) Age and date of birth (year).
    (h) Present or future assignments for overseas or for routinely 
deployable or sensitive units.
    (i) Office and unit address and duty phone for overseas or for 
routinely deployable or sensitive units.
    (j) Race/ethnic origin
    (k) Educational level (unless the request for the information 
relates to the professional qualifications for Federal employment).
    (l) Social Security Number.


Sec.  806b.45  Releasable Information.

    Following are examples of information normally releasable to the 
public without the written consent of the subject. This list is not all 
inclusive.
    (a) Name.
    (b) Rank.
    (c) Grade.
    (d) Air Force specialty code.
    (e) Pay (including base pay, special pay, all allowances except 
Basic Allowance for Quarters and Variable Housing Allowance).
    (f) Gross salary for civilians.
    (g) Past duty assignments, unless sensitive or classified.
    (h) Present and future approved and announced stateside 
assignments.

[[Page 55344]]

    (i) Position title.
    (j) Office, unit address, and duty phone number (CONUS only).
    (k) Date of rank.
    (l) Entered on active duty date.
    (m) Pay date.
    (n) Source of commission.
    (o) Professional military education.
    (p) Promotion sequence number.
    (q) Military awards and decorations.
    (r) Duty status of active, retired, or reserve.
    (s) Active duty official attendance at technical, scientific, or 
professional meetings.
    (t) Biographies and photos of key personnel.
    (u) Date of retirement, separation.


Sec.  806b.46  Disclosing Other Information.

    Use these guidelines to decide whether to release information:
    (a) Would the subject have a reasonable expectation of privacy in 
the information requested?
    (b) Would disclosing the information benefit the general public? 
The Air Force considers information as meeting the public interest 
standard if it reveals anything regarding the operations or activities 
of the agency, or performance of its statutory duties.
    (c) Balance the public interest against the individual's probable 
loss of privacy. Do not consider the requester's purpose, 
circumstances, or proposed use.


Sec.  806b.47  Rules for Releasing Privacy Act Information Without 
Consent of the Subject.

    The Privacy Act prohibits disclosing personal information to anyone 
other than the subject of the record without their written consent. 
There are twelve exceptions to the ``no disclosure without consent'' 
rule. Those exceptions permit release of personal information without 
the individual's consent only in the following instances:
    (a) Exception 1. DoD employees who have a need to know the 
information in the performance of their duties.
    (b) Exception 2. In response to a FOIA request for information 
contained in a system of records about an individual and the FOIA 
requires release of the information.
    (c) Exception 3. Agencies outside DoD only for a Routine Use 
published in the Federal Register. The purpose of the disclosure must 
be compatible with the purpose in the Routine Use. When initially 
collecting the information from the subject, the Routine Uses block in 
the Privacy Act Statement must name the agencies and reason.
    (d) Exception 4. The Bureau of the Census to plan or carry out a 
census or survey under Title 13, U.S.C. Section 8.
    (e) Exception 5. A recipient for statistical research or reporting. 
The recipient must give advanced written assurance that the information 
is for statistical purposes only.


    Note: No one may use any part of the record to decide on 
individuals' rights, benefits, or entitlements. You must release 
records in a format that makes it impossible to identify the real 
subjects.


    (f) Exception 6. The Archivist of the United States and the 
National Archives and Records Administration to evaluate records for 
permanent retention. Records stored in Federal Records Centers remain 
under Air Force control.
    (g) Exception 7. A Federal, State, or local agency (other than DoD) 
for civil or criminal law enforcement. The head of the agency or a 
designee must send a written request to the system manager specifying 
the record or part needed and the law enforcement purpose. The system 
manager may also disclose a record to a law enforcement agency if the 
agency suspects a criminal violation. This disclosure is a Routine Use 
for all Air Force systems of records and is published in the Federal 
Register.
    (h) Exception 8. An individual or agency that needs the information 
for compelling health or safety reasons. The affected individual need 
not be the record subject.
    (i) Exception 9. Either House of Congress, a congressional 
committee, or a subcommittee, for matters within their jurisdictions. 
The request must come from the committee chairman or ranking minority 
member (see AFI 90-401).
    (j) Requests from a Congressional member acting on behalf of the 
record subject are evaluated under the routine use of the applicable 
system notice. If the material for release is sensitive, get a release 
statement.
    (k) Requests from a Congressional member not on behalf of a 
committee or the record subject are properly analyzed under the FOIA, 
and not under the PA.
    (l) Exception 10. The Comptroller General or an authorized 
representative of the General Accounting Office (GAO) to conduct 
official GAO business.
    (m) Exception 11. A court of competent jurisdiction, with a court 
order signed by a judge.
    (n) Exception 12. A consumer credit agency according to the Debt 
Collections Act when a published system notice lists this disclosure as 
a Routine Use.


Sec.  806b.48  Disclosing the Medical Records of Minors.

    Air Force personnel may disclose the medical records of minors to 
their parents or legal guardians in conjunction with applicable Federal 
laws and guidelines. The laws of each state define the age of majority.
    (a) The Air Force must obey state laws protecting medical records 
of drug or alcohol abuse treatment, abortion, and birth control. If you 
manage medical records, learn the local laws and coordinate proposed 
local policies with the servicing SJA.
    (b) Outside the United States (overseas), the age of majority is 
18. Unless parents or guardians have a court order granting access or 
the minor's written consent, they will not have access to minor's 
medical records overseas when the minor sought or consented to 
treatment between the ages of 15 and 17 in a program where regulation 
or statute provides confidentiality of records and he or she asked for 
confidentiality.


Sec.  806b.49  Disclosure Accountings.

    System managers must keep an accurate record of all disclosures 
made from any system of records except disclosures to DoD personnel for 
official use or disclosures under the FOIA. System managers may use AF 
Form 771, Accounting of Disclosures. Retain disclosure accountings for 
5 years after the disclosure, or for the life of the record, whichever 
is longer.
    (a) System managers may file the accounting record any way they 
want as long as they give it to the subject on request, send corrected 
or disputed information to previous record recipients, explain any 
disclosures, and provide an audit trail for reviews. Include in each 
accounting:
    (1) Release date.
    (2) Description of information.
    (3) Reason for release.
    (4) Name and address of recipient.
    (5) Some exempt systems let you withhold the accounting record from 
the subject.
    (b) You may withhold information about disclosure accountings for 
law enforcement purposes at the law enforcement agency's request.


Sec.  806b.50  Computer Matching.

    Computer matching programs electronically compare records from two 
or more automated systems that may include DoD, another Federal agency, 
or a state or other local government. A system manager proposing a 
match that could result in an adverse action against a Federal employee 
must meet these requirements of the PA: Prepare a written agreement 
between participants; secure approval of the Defense Data Integrity 
Board; publish a matching notice in the Federal Register before 
matching begins; ensure full investigation and due process; and act on 
the information, as necessary.
    (a) The PA applies to matching programs that use records from: 
Federal

[[Page 55345]]

personnel or payroll systems and Federal benefit programs where 
matching:
    (1) Determines Federal benefit eligibility;
    (2) Checks on compliance with benefit program requirements;
    (3) Recovers improper payments or delinquent debts from current or 
former beneficiaries.
    (b) Matches used for statistics, pilot programs, law enforcement, 
tax administration, routine administration, background checks and 
foreign counterintelligence, and internal matching that won't cause any 
adverse action are exempt from PA matching requirements.
    (c) Any activity that expects to participate in a matching program 
must contact AF-CIO/P immediately. System managers must prepare a 
notice for publication in the Federal Register with a Routine Use that 
allows disclosing the information for use in a matching program. Send 
the proposed system notice to AF-CIO/P. Allow 180 days for processing 
requests for a new matching program.
    (d) Record subjects must receive prior notice of a match. The best 
way to do this is to include notice in the Privacy Act Statement on 
forms used in applying for benefits. Coordinate computer matching 
statements on forms with AF-CIO/P through the MAJCOM PA Officer.


Sec.  806b.51  Privacy and the Web.

    Do not post personal information on publicly accessible DoD Web 
sites unless clearly authorized by law and implementing regulation and 
policy. Additionally, do not post personal information on .mil private 
Web sites unless authorized by the local commander, for official 
purposes, and an appropriate risk assessment is performed. See AFI 33-
129, Transmission of Information Via the Internet.
    (a) Ensure public Web sites comply with privacy policies regarding 
restrictions on persistent and third party cookies, and add appropriate 
privacy and security notices at major Web site entry points and Privacy 
Act statements or Privacy Advisories when collecting personal 
information. Notices must clearly explain where the collection or 
sharing of certain information may be optional, and notify users of how 
to provide consent.
    (b) Include a Privacy Act Statement on the Web page if it collects 
information directly from an individual that we maintain and retrieve 
by his or her name or personal identifier (i.e., SSN). We may only 
maintain such information in approved PA systems of records that are 
published in the Federal Register. Inform the visitor when the 
information is maintained and retrieved by name or personal identifier 
in a system of records; that the Privacy Act gives them certain rights 
with respect to the government's maintenance and use of information 
collected about them, and provide a link to the Air Force Privacy Act 
policy and system notices at http://www.foia.af.mil.
    (c) Anytime a Web site solicits personally-identifying information, 
even when not maintained in a PA system of records, it requires a 
Privacy Advisory. The Privacy Advisory informs the individual why the 
information is solicited and how it will be used. Post the Privacy 
Advisory to the Web page where the information is being solicited, or 
through a well-marked hyperlink ``Privacy Advisory--Please refer to the 
Privacy and Security Notice that describes why this information is 
collected and how it will be used.''

Subpart M--Training


Sec.  806b.52  Who Needs Training.

    The Privacy Act requires training for all persons involved in the 
design, development, operation and maintenance of any system of 
records. More specialized training is needed for personnel who may be 
expected to deal with the news media or the public, personnel 
specialists, finance officers, information managers, supervisors, and 
individuals working with medical and security records. Commanders will 
ensure that above personnel are trained annually in the principles and 
requirements of the Privacy Act.


Sec.  806b.53  Training Tools.

    Helpful resources include:
    (a) The Air Force FOIA Web page which includes a Privacy Overview, 
PA training slides, the Air Force systems of records notices, and links 
to the Defense Privacy Board Advisory Opinions, the DoD and Department 
of Justice Privacy Web pages. Go to http://www.foia.af.mil. Click on 
``Resources.''
    (b) ``The Privacy Act of 1974,'' a 32-minute film developed by the 
Defense Privacy Office. Contact the Joint Visual Information Activity 
at DSN 795-6543/7283 or commercial (717) 895-6543/7283, and ask for 
504432 ``The Privacy Act of 1974.''
    (c) A Manager's Overview, What You Need to Know About the Privacy 
Act. This overview gives you Privacy Act 101 and is available on-line 
at http://www.foia.af.mil.
    (d) Training slides for use by the MAJCOM and base PA officers, 
available from the FOIA Web page at http://www.foia.af.mil, under 
``Resources.''


    Note: Formal school training groups that develop or modify 
blocks of instruction must send the material to AF-CIO/P for 
coordination.

Sec.  806b.54  Information Collections, Records, and Forms or 
Information Management Tools (IMT).

    (a) Information Collections. No information collections are 
required by this publication.
    (b) Records. Retain and dispose of PA records according to AFMAN 
37-139, Records Disposition Schedule.
    (c) Forms or IMTs (Adopted and Prescribed).
    (1) Adopted Forms or IMTs. AF Form 624, Base/Unit Locator and PSC 
Directory, and AF Form 847, Recommendation for Change of Publication.
    (2) Prescribed Forms or IMTs. AF Form 3227, Privacy Act Cover 
Sheet, AF Form 771, Accounting of Disclosures, and AF Visual Aid 33-
276.

Appendix A to Part 806b--References

Title 5, U.S.C., Section 552a, as amended, The Privacy Act of 1974
Title 5, U.S.C., Section 552, The Freedom of Information Act
Title 10, U.S.C., Section 8013 Secretary of the Air Force
E.O. 9397, Numbering System for Federal Accounts Relating to 
Individual Persons
Pub. L. 100-235, The Computer Security Act of 1987
Pub. L. 100-503, The Computer Matching and Privacy Act of 1988
Pub. L. 104-13, Paperwork Reduction Act of 1995
Pub. L. 107-347, Section 208, E-Gov Act of 2002,
32 CFR part 806b, Air Force Privacy Act Program
Federal Register
DoD 6025.18R, DoD Health Information Privacy Regulation, 24 January 
2003
DoDD 5400.11, DoD Privacy Program, December 13, 1999
DoD 5400.7-R/AF Supp, DoD Freedom of Information Act Program
DoD 5400.11-R, Department of Defense Privacy Program, August 1983
Defense Acquisition Regulation
OMB Circular A-130, Management of Federal Information Resources
AFPD 37-1, Air Force Information Management
AFI 33-129, Transmission of Information Via the Internet
AFI 33-202, Computer Security
AFI 33-329, Base and Unit Personnel Locators
AFI 33-360, Volume 2, Forms Management Program
AFI 90-401, Air Force Relations With Congress

[[Page 55346]]

AFMAN 37-139, Records Disposition Schedule
AFVA 33-276, Privacy Act Label

Appendix B to Part 806b--Abbreviations and Acronyms

AETC Air Education and Training Command
AF-CIO Air Force Chief Information Officer
AFBCMR Air Force Board for Correction of Military Records
AFLSA Air Force Legal Services Agency
AFMAN Air Force Manual
AFOSI Air Force Office of Special Investigations
AFPC Air Force Personnel Center
AFPD Air Force Policy Directive
CFR Code of Federal Regulations
DCS Deputy Chief of Staff
DoDD Department of Defense Directive
DRU Direct Reporting Unit
FOA Field Operating Agency
FOIA Freedom of Information Act
FOUO For Official Use Only
HAF Headquarters Air Force
HQ AFCA Headquarters Air Force Communications Agency
HQ AFSFC Headquarters Air Force Security Forces Center
HQ USAF Headquarters United States Air Force
IG Inspector General
IT Information Technology
MAJCOM Major Command
OMB Office of Management and Budget
OPR Office of Primary Responsibility
PA Privacy Act
PAS Privacy Act Statement
PIA Privacy Impact Assessment
Pub. L. Public Law
SAF Secretary of the Air Force
SFMIS Security Forces Management Information System
SG Surgeon General
SJA Staff Judge Advocate
SSN Social Security Number
US United States
USAFA Air Force Academy
U.S.C. United States Code

Appendix C to Part 806b--Terms

    Access. Allowing individuals to review or receive copies of 
their records.
    Amendment. The process of adding, deleting, or changing 
information in a system of records to make the data accurate, 
relevant, timely, or complete.
    Computer Matching. A computerized comparison of two or more 
automated systems of records or a system of records with non-Federal 
records to establish or verify eligibility for payments under 
Federal benefit programs or to recover delinquent debts for these 
programs.
    Confidential Source. A person or organization giving information 
under an express or implied promise of confidentiality made before 
September 27, 1975.
    Confidentiality. An expressed and recorded promise to withhold 
the identity of a source or the information provided by a source. 
The Air Force promises confidentiality only when the information 
goes into a system with an approved exemption for protecting the 
identity of confidential sources.
    Cookie. Data created by a Web server that is stored on a user's 
computer either temporarily for that session only or permanently on 
the hard disk (persistent cookie). It provides a way for the Web 
site to identify users and keep track of their preferences. It is 
commonly used to ``maintain the state'' of the session. A third-
party cookie either originates on or is sent to a Web site different 
from the one you are currently viewing.
    Defense Data Integrity Board. Composed of representatives from 
DoD components and the services who oversee, coordinate, and approve 
all DoD computer matching programs covered by the Act.
    Denial Authority. The individuals with authority to deny 
requests for access or amendment of records under the Privacy Act.
    Disclosure. Giving information from a system, by any means, to 
anyone other than the record subject.
    Federal Benefit Program. A Federally funded or administered 
program for individuals that provides cash or in-kind assistance 
(payments, grants, loans, or loan guarantees).
    Individual. A living U.S. citizen or a permanent resident alien.
    Minor. Anyone under the age of majority according to local state 
law. If there is no applicable state law, a minor is anyone under 
age 18. Military members and married persons are not minors, no 
matter what their chronological age.
    Personal Identifier. A name, number, or symbol that is unique to 
an individual, usually the person's name or SSN.
    Personal Information. Information about an individual other than 
items of public record.
    Privacy Act Request. An oral or written request by an individual 
about his or her records in a system of records.
    Privacy Advisory. A statement required when soliciting 
personally-identifying information by an Air Force Web site and the 
information is not maintained in a system of records. The Privacy 
Advisory informs the individual why the information is being 
solicited and how it will be used.
    Privacy Impact Assessment. A written assessment of an 
information system that addresses the information to be collected, 
the purpose and intended use; with whom the information will be 
shared; notice or opportunities for consent to individuals; how the 
information will be secured; and whether a new system of records is 
being created under the Privacy Act.
    Record. Any information about an individual.
    Routine Use. A disclosure of records to individuals or agencies 
outside DoD for a use that is compatible with the purpose for which 
the Air Force created the records.
    System Manager. The official who is responsible for managing a 
system of records, including policies and procedures to operate and 
safeguard it. Local system managers operate record systems or are 
responsible for part of a decentralized system.
    System of Records. A group of records retrieved by the 
individual's name, personal identifier; or individual identifier 
through a cross-reference system.
    System Notice. The official public notice published in the 
Federal Register of the existence and content of the system of 
records.

Appendix D to Part 806b--Preparing A System Notice

    The following elements comprise a system of records notice for 
publication in the Federal Register:
    System Identification Number. AF-CIO/P assigns the notice 
number, for example, F033 AF PC A, where ``F'' indicates ``Air 
Force,'' the next number represents the publication series number 
related to the subject matter, and the final letter group shows the 
system manager's command or DCS. The last character ``A'' indicates 
that this is the first notice for this series and system manager.
    System Name. Use a short, specific, plain-language title that 
identifies the system's general purpose (limited to 55 characters).
    System Location. Specify the address of the primary system and 
any decentralized elements, including automated data systems with a 
central computer facility and input or output terminals at separate 
locations. Use street address, 2-letter state abbreviations and 9-
digit ZIP Codes. Spell out office names. Do not use office symbols.
    Categories of Individuals Covered by the System. Use 
nontechnical, specific categories of individuals about whom the Air 
Force keeps records. Do not use categories like ``all Air Force 
personnel'' unless they are actually true.
    Categories of Records in the System. Describe in clear, plain 
language, all categories of records in the system. List only 
documents actually kept in the system. Do not show source documents 
that are used to collect data and then destroyed. Do not list form 
numbers.
    Authority for Maintenance of the System. Cite the specific law 
or Executive Order that authorizes the program the records support. 
Cite the DoD directive/instruction or Air Force instruction(s) that 
authorizes the system of records. Always include titles with the 
citations.

    Note: Executive Order 9397 authorizes using the SSN as a 
personal identifier. Include this authority whenever the SSN is used 
to retrieve records.

    Purpose. Describe briefly and specifically what the Air Force 
does with the information collected.
    Routine Uses of Records Maintained in the System Including 
Categories of Users and the Purpose of Such Uses. The Blanket 
Routine Uses published in the Air Force Directory of System Notices 
apply to all system notices unless you indicate otherwise. Also list 
each specific agency or activity outside DoD to whom the records may 
be released and the purpose for such release.
    Polices and Practices for Storing, Retrieving, Accessing, 
Retaining, and Disposing of Records in the System:
    Storage. State the medium in which the Air Force keeps the 
records; for example, in file folders, card files, microfiche, 
computer, or a combination of those methods. Storage does not refer 
to the storage container.

[[Page 55347]]

    Retrievability. State how the Air Force retrieves the records; 
for example, by name, SSN, or personal characteristics (such as 
fingerprints or voiceprints).
    Safeguards. List the kinds of officials who have immediate 
access to the system. List those responsible for safeguarding the 
records. Identify the system safeguards; for example, storage in 
safes, vaults, locked cabinets or rooms, use of guards, visitor 
controls, personnel screening, computer systems software, and so on. 
Describe safeguards fully without compromising system security.
    Retention and Disposal. State how long AFMAN 37-139 requires the 
activity to maintain the record. Indicate when or if the records may 
be transferred to a Federal Records Center and how long the record 
stays there. Specify when the Records Center sends the record to the 
National Archives or destroys it. Indicate how the records may be 
destroyed.
    System Manager(s) and Address. List the position title and duty 
address of the system manager. For decentralized systems, show the 
locations and the position or duty title of each category of 
officials responsible for any segment of the system.
    Notification Procedure. List the title and duty address of the 
official authorized to tell requesters if their records are in the 
system. Specify the information a requester must submit; for 
example, full name, military status, SSN, date of birth, or proof of 
identity, and so on.
    Record Access Procedures. Explain how individuals may arrange to 
access their records. Include the titles or categories of officials 
who may assist; for example, the system manager.
    Contesting Records Procedures. AF-CIO/P provides this standard 
caption.
    Record Source Categories. Show categories of individuals or 
other information sources for the system. Do not list confidential 
sources protected by 5 U.S.C., Section 552a (k)(2), (k)(5), or 
(k)(7).
    Exemptions Claimed for the System. When a system has no approved 
exemption, write ``none'' under this heading. Specifically list any 
approved exemption including the subsection in the Act.

Appendix E to Part 806b--General And Specific Exemptions

    (a) General Exemption. The following systems of records are 
exempt under 5 U.S.C., Section 552a(j)(2):
    (1) System identifier and name: F071 AF OSI A, Counter 
Intelligence Operations and Collection Records.
    (2) System identifier and name: F071 AF OSI C, Criminal Records.
    (3) System identifier and name: F031 AF SP E, Security Forces 
Management Information System (SFMIS).
    (i) Exemption: Parts of this system may be exempt pursuant to 5 
U.S.C. 552a(j)(2) if information is compiled and maintained by a 
component of the agency which performs as its principle function any 
activity pertaining to the enforcement of criminal laws. Portions of 
this system of records may be exempt pursuant to 5 U.S.C. 552a(j)(2) 
from following subsections of 5 U.S.C. 552a(c)(c)(4), (d), (e)(1), 
(e)(2), (e)(3), (e)(4)(G), and (I), (e)(5), (e)(8), (f), and (g).
    (ii) Authority: 5 U.S.C. 552a(j)(2).
    (iii) Reasons: (A) To protect ongoing investigations and to 
protect from access criminal investigation information contained in 
this record system, so as not to jeopardize any subsequent judicial 
or administrative process taken as a result of information contained 
in the file.
    (B) From subsection (c)(3) because the release of the disclosure 
accounting, for disclosures pursuant to the routine uses published 
for this system, would permit the subject criminal investigation or 
matter under investigation to obtain valuable information concerning 
the nature of that investigation which will present a serious 
impediment to law enforcement.
    (C) From subsection (c)(4) because an exemption is being claimed 
for subsection this subsection will not be applicable.
    (D) From subsection (d) because access the records contained in 
this system would inform the subject of an investigation of 
existence of that investigation, provide subject of the 
investigation with information that might enable him to avoid 
detection, and would present a serious impediment to law 
enforcement.
    (E) From subsection (e)(4)(H) because system of records is 
exempt from individual access pursuant to subsection (j) of the 
Privacy Act of 1974.
    (F) From subsection (f) because this system of records has been 
exempted from access provisions of subsection (d).
    (G) Consistent with the legislative purpose the Privacy Act of 
1974, the Department of the Air Force will grant access to non-
exempt material in the records being maintained. Disclosure will be 
governed by the Department of the Air Force's Privacy Instruction, 
but will be limited to the extent that identity of confidential 
sources will not be compromised; subjects of an investigation of an 
actual or potential violation will not be alerted to the 
investigation; the physical safety of witnesses, informants and law 
enforcement personnel will not be endangered, the privacy of third 
parties will not be violated; and that the disclosure would not 
otherwise impede effective law enforcement. Whenever possible, 
information of the above nature will be deleted from the requested 
documents and the balance made available. The controlling principle 
behind this limited access is to allow disclosures except those 
indicated above. The decisions to release information from these 
systems will be made on a case-by-case basis.
    (4) System identifier and name: F071 AF OSI D, Investigative 
Support Records.
    (5) System identifier and name: F031 AF SP A, Correction and 
Rehabilitation Records.
    Exemption--Portions of this system that fall within 5 U.S.C. 
552a(j)(2) are exempt from the following provisions of 5 U.S.C. 
552a, Sections (c)(3) and (c)(4); (d)(1) through (d)(5); (e)(2) and 
(e)(3); (e)(4)(G) and (e)(4)(H), (e)(5); (f)(1) through (f)(5); 
(g)(1) through (g)(5); and (h) of the Act.
    Authority--5 U.S.C. 552a(j)(2).
    Reason--The general exemption will protect on going 
investigations and protect from access criminal investigation 
information contained in this record system so as not to jeopardize 
any subsequent judicial or administrative process taken as a result 
of information contained in the files.
    (6) System identifier and name: F090 AF IG B, Inspector General 
Records.
    (i) Exemption: (A) Parts of this system of records may be exempt 
pursuant to 5 U.S.C. 552a(j)(2) if the information is compiled and 
maintained by a component of the agency which performs as its 
principle function any activity pertaining to the enforcement of 
criminal laws. (B) Any portion of this system of records which falls 
within the provisions of 5 U.S.C. 552a(j)(2) may be exempt from the 
following subsections of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(1), 
(e)(2), (e)(3), (e)(4)(G), (H), and (I), (e)(5), (e)(8), (f), and 
(g).
    (ii) Authority: 5 U.S.C. 552a(j)(2).
    (iii) Reasons: (A) From subsection (c)(3) because the release of 
accounting of disclosure would inform a subject that he or she is 
under investigation. This information would provide considerable 
advantage to the subject in providing him or her with knowledge 
concerning the nature of the investigation and the coordinated 
investigative efforts and techniques employed by the cooperating 
agencies. This would greatly impede the Air Force IG's criminal law 
enforcement.
    (B) From subsection (c)(4) and (d), because notification would 
alert a subject to the fact that an open investigation on that 
individual is taking place, and might weaken the on going 
investigation, reveal investigative techniques, and place 
confidential informants in jeopardy.
    (C) From subsection (e)(1) because the nature of the criminal 
and/or civil investigative function creates unique problems in 
prescribing a specific parameter in a particular case with respect 
to what information is relevant or necessary. Also, information may 
be received which may relate to a case under the investigative 
jurisdiction of another agency. The maintenance of this information 
may be necessary to provide leads for appropriate law enforcement 
purposes and to establish patterns of activity that may relate to 
the jurisdiction of other cooperating agencies.
    (D) From subsection (e)(2) because collecting information to the 
fullest extent possible directly from the subject individual may or 
may not be practical in a criminal and/or civil investigation.
    (E) From subsection (e)(3) because supplying an individual with 
a form containing a Privacy Act Statement would tend to inhibit 
cooperation by many individuals involved in a criminal and/or civil 
investigation. The effect would be somewhat adverse to established 
investigative methods and techniques.
    (F) From subsections (e)(4)(G), (H), and (I) because this system 
of records is exempt from the access provisions of subsection (d).
    (G) From subsection (e)(5) because the requirement that records 
be maintained with attention to accuracy, relevance, timeliness, and 
completeness would unfairly hamper the investigative process. It is 
the nature of law enforcement for investigations to uncover the 
commission of illegal acts at diverse stages. It is frequently 
impossible to determine

[[Page 55348]]

initially what information is accurate, relevant, timely, and least 
of all complete. With the passage of time, seemingly irrelevant or 
untimely information may acquire new significance as further 
investigation brings new details to light.
    (H) From subsection (e)(8) because the notice requirements of 
this provision could present a serious impediment to law enforcement 
by revealing investigative techniques, procedures, and existence of 
confidential investigations.
    (I) From subsection (f) because the agency's rules are 
inapplicable to those portions of the system that are exempt and 
would place the burden on the agency of either confirming or denying 
the existence of a record pertaining to a requesting individual 
might in itself provide an answer to that individual relating to an 
on going investigation. The conduct of a successful investigation 
leading to the indictment of a criminal offender precludes the 
applicability of established agency rules relating to verification 
of record, disclosure of the record to that individual, and record 
amendment procedures for this record system.
    (J) From subsection (g) because this system of records should be 
exempt to the extent that the civil remedies relate to provisions of 
5 U.S.C. 552a from which this rule exempts the system.
    (iv) Authority: (A) Investigative material compiled for law 
enforcement purposes, other than material within the scope of 
subsection 5 U.S.C. 552a(j)(2), may be exempt pursuant to 5 U.S.C. 
552a(k)(2). However, if an individual is denied any right, 
privilege, or benefit for which he would otherwise be entitled by 
Federal law or for which he would otherwise be eligible, as a result 
of the maintenance of the information, the individual will be 
provided access to the information exempt to the extent that 
disclosure would reveal the identity of a confidential source.


    Note: When claimed, this exemption allows limited protection of 
investigative reports maintained in a system of records used in 
personnel or administrative actions.


    (B) Therefore, portions of this system of records may be exempt 
pursuant to 5 U.S.C. 552a(k)(2) from the following subsections of 5 
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f).
    (v) Reasons: (A) From subsection (c)(3) because to grant access 
to the accounting for each disclosure as required by the Privacy 
Act, including the date, nature, and purpose of each disclosure and 
the identity of the recipient, could alert the subject to the 
existence of the investigation. This could seriously compromise case 
preparation by prematurely revealing its existence and nature; 
compromise or interfere with witnesses or make witnesses reluctant 
to cooperate; and lead to suppression, alteration, or destruction of 
evidence.
    (B) From subsections (d) and (f) because providing access to 
investigative records and the right to contest the contents of those 
records and force changes to be made to the information contained 
therein would seriously interfere with and thwart the orderly and 
unbiased conduct of the investigation and impede case preparation. 
Providing access rights normally afforded under the Privacy Act 
would provide the subject with valuable information that would allow 
interference with or compromise of witnesses or render witnesses 
reluctant to cooperate; lead to suppression, alteration, or 
destruction of evidence; enable individuals to conceal their 
wrongdoing or mislead the course of the investigation; and result in 
the secreting of or other disposition of assets that would make them 
difficult or impossible to reach in order to satisfy any Government 
claim growing out of the investigation or proceeding.
    (C) From subsection (e)(1) because it is not always possible to 
detect the relevance or necessity of each piece of information in 
the early stages of an investigation. In some cases, it is only 
after the information is evaluated in light of other evidence that 
its relevance and necessity will be clear.
    (D) From subsections (e)(4)(G) and (H) because this system of 
records is compiled for investigative purposes and is exempt from 
the access provisions of subsections (d) and (f).
    (E) From subsection (e)(4)(I) because to the extent that this 
provision is construed to require more detailed disclosure than the 
broad, generic information currently published in the system notice, 
an exemption from this provision is necessary to protect the 
confidentiality of sources of information and to protect privacy and 
physical safety of witnesses, and informants.
    (F) Consistent with the legislative purpose of the Privacy Act 
of 1974, the AF will grant access to nonexempt material in the 
records being maintained. Disclosure will be governed by AF's 
Privacy Instruction, but will be limited to the extent that the 
identity of confidential sources will not be compromised; subjects 
of an investigation of an actual or potential criminal or civil 
violation will not be alerted to the investigation; the physical 
safety of witnesses, informants and law enforcement personnel will 
not be endangered, the privacy of third parties will not be 
violated; and that the disclosure would not otherwise impede 
effective law enforcement. Whenever possible, information of the 
above nature will be deleted from the requested documents and the 
balance made available. The controlling principle behind this 
limited access is to allow disclosures except those indicated above. 
The decisions to release information from these systems will be made 
on a case-by-case basis.
    (b) Specific Exemptions. The following systems of records are 
subject to the specific exemptions shown:
    (1) Classified records.
    (i) All records in any systems of records that are properly 
classified according to current Executive Order are exempt from 5 
U.S.C. 552a(c)(3); (d); (e)(4)(G), (H), (I); and (f), regardless of 
whether the entire system is otherwise exempt or not.
    (ii) Authority. 5 U.S.C. 552a(k)(1).
    (2) System identifier and name: F036 USAFA K, Admissions 
Records.
    (i) Exemption. Parts of this system of records (Liaison Officer 
Evaluation and Selection Panel Candidate Evaluation) are exempt from 
5 U.S.C. 552a(d), (e)(4)(H), and (f), but only to the extent that 
disclosure would reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(7).
    (iii) Reasons. To ensure the frankness of information used to 
determine whether cadets are qualified for graduation and 
commissioning as officers in the Air Force.
    (3) System identifier and name: F036 AFPC N, Air Force Personnel 
Test 851, Test Answer Sheets.
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); 
(d); (e)(4) (G), (H), and (I); and (f).
    (ii) Authority. 5 U.S.C. 552a(k)(6).
    (iii) Reasons. To protect the objectivity of the promotion 
testing system by keeping the test questions and answers in 
confidence.
    (4) System identifier and name: F036 USAFA A, Cadet Personnel 
Management System.
    (i) Exemption. Parts of this system are exempt from 5 U.S.C. 
552a(d), (e)(4)(H), and (f), but only insofar as disclosure would 
reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(7).
    (iii) Reasons. To maintain the candor and integrity of comments 
needed to evaluate an Air Force Academy cadet for commissioning in 
the Air Force.
    (5) System identifier and name: F036 AETC I, Cadet Records.
    (i) Exemption. Portions of this system (Detachment Professional 
Officer Course Selection Rating Sheets; Air Force Reserve Officer 
Training Corps (AFROTC) Form 0-24-Disenrollment Review; Memoranda 
for Record and Staff Papers with Staff Advice, Opinions, or 
Suggestions) are exempt from 5 U.S.C. 552a(c)(3); (d); (e)(4)(G) and 
(H), and (f), but only to the extent that disclosure would reveal 
the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(5).
    (iii) Reasons. To protect the identity of a confidential source 
who furnishes information necessary to make determinations about the 
qualifications, eligibility, and suitability of cadets for 
graduation and commissioning in the Air Force.
    (6) System identifier and name: F044 AF SG Q, Family Advocacy 
Program Records.
    (i) Exemption:
    (A) Investigative material compiled for law enforcement 
purposes, other than material within the scope of subsection 5 
U.S.C. 552a(j)(2), may be exempt pursuant to 5 U.S.C. 552a(k)(2). 
However, if an individual is denied any right, privilege, or benefit 
for which he would otherwise be entitled by Federal law or for which 
he would otherwise be eligible, as a result of the maintenance of 
the information, the individual will be provided access to the 
information exempt to the extent that disclosure would reveal the 
identify of a confidential source.


    Note: When claimed, this exemption allows limited protection of 
investigative reports maintained in a system of records used in 
personnel or administrative actions.


    (B) Investigative material compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for federal 
civilian employment, military service, federal contracts, or access 
to classified information

[[Page 55349]]

may be exempt pursuant to 5 U.S.C. 552a(k)(5), but only to the 
extent that such material would reveal the identity of a 
confidential source.
    (C) Therefore, portions of the system of records may be exempt 
pursuant to 5 U.S.C. 552a(c)(3) and (d), but only to the extent that 
disclosure would reveal the identity of a confidential source.
    (ii) Authority: 5 U.S.C. 552a(k)(2) and (k)(5).
    (iii) Reasons: From subsections (c)(3) and (d) because the 
exemption is needed to encourage those who know of exceptional 
medical or educational conditions or family maltreatments to come 
forward by protecting their identities and to protect such sources 
from embarrassment or recriminations, as well as to protect their 
right to privacy. It is essential that the identities of all 
individuals who furnish information under an express promise of 
confidentiality be protected. Granting individuals access to 
information relating to criminal and civil law enforcement, as well 
as the release of certain disclosure accounting, could interfere 
with ongoing investigations and the orderly administration of 
justice, in that it could result in the concealment, alteration, 
destruction, or fabrication of information; could hamper the 
identification of offenders or alleged offenders and the disposition 
of charges; and could jeopardize the safety and well being of 
parents and their children. Exempted portions of this system also 
contain information considered relevant and necessary to make a 
determination as to qualifications, eligibility, or suitability for 
Federal employment and Federal contracts, and that was obtained by 
providing an express or implied promise to the source that his or 
her identity would not be revealed to the subject of the record.
    (7) System identifier and name: F036 AF PC A, Effectiveness/
Performance Reporting System.
    (i) Exemptions--Brigadier General Selectee Effectiveness Reports 
and Colonel and Lieutenant Colonel Promotion Recommendations with 
close out dates on or before January 31,1991, may be exempt from 
subsections of 5 U.S.C. 552a(c)(3); (d); (e)(4)(H); and (f).
    (ii) Authority--5 U.S.C. 552a(k)(7).
    (iii) Reasons--Subsection (c)(3) because making the disclosure 
accounting available to the individual may compromise express 
promises of confidentiality by revealing details about the report 
and identify other record sources, which may result in circumvention 
of the access exemption. Subsection (d) because individual 
disclosure compromises express promises of confidentiality conferred 
to protect the integrity of the promotion rating system. Subsection 
(e)(4)(H) because of and to the extent that portions of this record 
system are exempt from the individual access provisions of 
subsection (d). Subsection (f) because of and to the extent that 
portions of this record system are exempt from the individual access 
provisions of subsection (d).
    (8) [Reserved.]
    (9) System identifier and name: F036 AFDP A, Files on General 
Officers and Colonels Assigned to General Officer Positions.
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); 
(d); (e)(4)(G), (H), and (I); and (f), but only to the extent that 
disclosure would reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(7).
    (iii) Reasons. To protect the integrity of information used in 
the Reserve Initial Brigadier General Screening Board, the release 
of which would compromise the selection process.
    (10) System identification and name: F036 AF PC O, General 
Officer Personnel Data System.
    (i) Exemption--Air Force General Officer Promotion and 
Effectiveness Reports with close out dates on or before January 31, 
1991, may be exempt from subsections of 5 U.S.C. 552a(c)(3); (d); 
(e)(4)(H); and (f).
    (ii) Authority--5 U.S.C. 552a(k)(7).
    (iii) Reason--Subsection (c)(3) because making the disclosure 
accounting available to the individual may compromise express 
promises of confidentiality by revealing details about the report 
and identify other record sources, which may result in circumvention 
of the access exemption. Subsection (d) because individual 
disclosure compromises express promises of confidentiality conferred 
to protect the integrity of the promotion rating system. Subsection 
(e)(4)(H) because of and to the extent that portions of this record 
system are exempt from the individual access provisions of 
subsection (d). Subsection (f) because of and to the extent that 
portions of this record system are exempt from the individual access 
provisions of subsection (d).
    (11) System identifier and name: F036 AFPC K, Historical Airman 
Promotion Master Test File.
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); 
(d); (e)(4) (G), (H), and (I); and (f).
    (ii) Authority. 5 U.S.C. 552a(k)(6).
    (iii) Reasons. To protect the integrity, objectivity, and equity 
of the promotion testing system by keeping test questions and 
answers in confidence.
    (12) [Reserved].
    (13) System identifier and name: F071 AF OSI F, Investigative 
Applicant Processing Records.
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); 
(d); (e)(4) (G), (H), and (I); and (f), but only to the extent that 
disclosure would reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(5).
    (iii) Reasons. To protect those who gave information in 
confidence during Air Force Office of Special Investigations (AFOSI) 
applicant inquiries. Fear of harassment could cause sources not to 
make frank and open responses about applicant qualifications. This 
could compromise the integrity of the AFOSI personnel program that 
relies on selecting only qualified people.
    (14) System identifier and name: F036 USAFA B, Master Cadet 
Personnel Record (Active/Historical).
    (i) Exemptions. Parts of these systems are exempt from 5 U.S.C. 
552a(d), (e)(4)(H), and (f), but only to the extent that they would 
reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(7).
    (iii) Reasons. To maintain the candor and integrity of comments 
needed to evaluate a cadet for commissioning in the Air Force.
    (15) System identifier and name: F031 497IG A, Sensitive 
Compartmented Information Personnel Records.
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(a)(3); 
(d); (e)(4) (G), (H), and (I); and (f), but only to the extent that 
disclosure would reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(2) and (k)(5).
    (iii) Reasons. To protect the identity of sources to whom proper 
promises of confidentiality have been made during investigations. 
Without these promises, sources will often be unwilling to provide 
information essential in adjudicating access in a fair and impartial 
manner.
    (16) System identifier and name: F071 AF OSI B, Security and 
Related Investigative Records.
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); 
(d); (e)(4) (G), (H), and (I); and (f), but only to the extent that 
disclosure would reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(5).
    (iii) Reasons. To protect the identity of those who give 
information in confidence for personnel security and related 
investigations. Fear of harassment could cause sources to refuse to 
give this information in the frank and open way needed to pinpoint 
those areas in an investigation that should be expanded to resolve 
charges of questionable conduct.
    (17) System identifier and name: F031 497IG B, Special Security 
Case Files.
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); 
(d), (e)(4) (G), (H), and (I); and (f), but only to the extent that 
disclosure would reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(5).
    (iii) Reasons. To protect the identity of those who give 
information in confidence for personnel security and related 
investigations. Fear of harassment could cause sources to refuse to 
give this information in the frank and open way needed to pinpoint 
those areas in an investigation that should be expanded to resolve 
charges of questionable conduct.
    (18) System identifier and name: F031 AF SP N, Special Security 
Files.
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); 
(d); (e)(4) (G), (H), and (I); and (f), but only to the extent that 
disclosure would reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(5).
    (iii) Reasons. To protect the identity of those who give 
information in confidence for personnel security and related 
investigations. Fear of harassment could cause them to refuse to 
give this information in the frank and open way needed to pinpoint 
areas in an investigation that should be expanded to resolve charges 
of questionable conduct.
    (19) System identifier and name: F036 AF PC P, Applications for 
Appointment and Extended Active Duty Files.
    (i) Exemption. Parts of this system of records are exempt from 5 
U.S.C. 552a(d), but only to the extent that disclosure would reveal 
the identity of a confidential source.

[[Page 55350]]

    (ii) Authority. 5 U.S.C. 552a(k)(5).
    (iii) Reasons. To protect the identity of confidential sources 
who furnish information necessary to make determinations about the 
qualifications, eligibility, and suitability of health care 
professionals who apply for Reserve of the Air Force appointment or 
interservice transfer to the Air Force.
    (20) System identifier and name: F051 AF JA F, Courts-Martial 
and Article 15 Records.
    (i) Exemption. Portions of this system of records may be exempt 
pursuant to 5 U.S.C. 552a(j)(2) from the following subsection of 5 
U.S.C. 552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), 
(H) and (I), (e)(5), (e)(8), (f), and (g).
    (ii) Exemption. Portions of this system of records may be exempt 
pursuant to 5 U.S.C. 552a(k)(2) from the following subsection of 5 
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f).
    (iii) Authority: 5 U.S.C. 552a(j)(2) and (k)(2).
    (iv) Reason:
    (1) From subsection (c)(3) because the release of the disclosure 
accounting, for disclosures pursuant to the routine uses published 
for this system, would permit the subject of a criminal 
investigation or matter under investigation to obtain valuable 
information concerning the nature of that investigation which will 
present a serious impediment to law enforcement.
    (2) From subsection (c)(4) because an exemption is being claimed 
for subsection (d), this subsection will not be applicable.
    (3) From subsection (d) because access to the records contained 
in this system would inform the subject of a criminal investigation 
of the existence of that investigation, provide the subject of the 
investigation with information that might enable him to avoid 
detection or apprehension, and would present a serious impediment to 
law enforcement.
    (4) From subsection (e)(1) because in the course of criminal 
investigations information is often obtained concerning the 
violation of laws or civil obligations of others not relating to an 
active case or matter. In the interests of effective law 
enforcement, it is necessary that this information be retained since 
it can aid in establishing patterns of activity and provide valuable 
leads for other agencies and future cases that may be brought.
    (5) From subsection (e)(2) because in a criminal investigation 
the requirement that information be collected to the greatest extent 
possible from the subject individual would present a serious 
impediment to law enforcement in that the subject of the 
investigation would be placed on notice of the existence of the 
investigation and would therefore be able to avoid detection.
    (6) From subsection (e)(3) because the requirement that 
individuals supplying information be provided with a form stating 
the requirements of subsection (e)(3) would constitute a serious 
impediment to law enforcement in that it could compromise the 
existence of a confidential investigation, reveal the identity of 
confidential sources of information and endanger the life and 
physical safety of confidential informants.
    (7) From subsections (e)(4)(G) and (H) because this system of 
records is exempt from individual access pursuant to subsections (j) 
and (k) of the Privacy Act of 1974.
    (8) From subsection (e)(4)(I) because the identity of specific 
sources must be withheld in order to protect the confidentiality of 
the sources of criminal and other law enforcement information. This 
exemption is further necessary to protect the privacy and physical 
safety of witnesses and informants.
    (9) From subsection (e)(5) because in the collection of 
information for law enforcement purposes it is impossible to 
determine in advance what information is accurate, relevant timely, 
and complete. With the passage of time, seemingly irrelevant or 
untimely information may acquire new significance as further 
investigation brings new details to light and the accuracy of such 
information can only be determined in a court of law. The 
restrictions of subsection (e)(5) would restrict the ability of 
trained investigators and intelligence analysts to exercise their 
judgment in reporting on investigations and impede the development 
of intelligence necessary for effective law enforcement.
    (10) From subsection (e)(8) because the individual notice 
requirements of subsection(e)(8) could present a serious impediment 
to law enforcement as this could interfere with the ability to issue 
search authorizations and could reveal investigative techniques and 
procedures.
    (11) From subsection (f) because this system of records has been 
exempted from the access provisions of subsection (d).
    (12) From subsection (g) because this system of records is 
compiled for law enforcement purposes and has been exempted from the 
access provisions of subsections (d) and(f).
    (13) Consistent with the legislative purpose of the Privacy Act 
of 1974, the Department of the Air Force will grant access to 
nonexempt material in the records being maintained. Disclosure will 
be governed by the Department of the Air Force's Privacy 
Instruction, but will be limited to the extent that the identity of 
confidential sources will not be compromised; subjects of an 
investigation of an actual or potential criminal violation will not 
be alerted to the investigation; the physical safety of witnesses, 
informants and law enforcement personnel will not be endangered, the 
privacy of third parties will not be violated; and that the 
disclosure would not otherwise impede effective law enforcement. 
Whenever possible, information of the above nature will be deleted 
from the requested documents and the balance made available. The 
controlling principle behind this limited access is to allow 
disclosures except those indicated above. The decisions to release 
information from these systems will be made on a case-by-case basis.
    (21) System identifier and name: F036 AF DPG, Military Equal 
Opportunity and Treatment.
    (i) Exemption: Investigatory material compiled for law 
enforcement purposes may be exempt pursuant to 5 U.S.C. 552a(k)(2). 
However, if an individual is denied any right, privilege, or benefit 
for which he would otherwise be entitled by Federal law or for which 
he would otherwise be eligible, as a result of the maintenance of 
the information, the individual will be provided access to the 
information except to the extent that disclosure would reveal the 
identity of a confidential source. Portions of this system of 
records may be exempt pursuant to 5 U.S.C.552a(d), (e)(4)(H), and 
(f).
    (ii) Authority: 5 U.S.C. 552a(k)(2).
    (iii) Reasons:
    (1) From subsection (d) because access to the records contained 
in this system would inform the subject of an investigation of the 
existence of that investigation, provide the subject of the 
investigation with information that might enable him to avoid 
detection, and would present a serious impediment to law 
enforcement. In addition, granting individuals access to information 
collected while an Equal Opportunity and Treatment clarification/
investigation is in progress conflicts with the just, thorough, and 
timely completion of the complaint, and could possibly enable 
individuals to interfere, obstruct, or mislead those clarifying/
investigating the complaint.
    (2) From subsection (e)(4)(H) because this system of records is 
exempt from individual access pursuant to subsection (k) of the 
Privacy Act of 1974.
    (3) From subsection (f) because this system of records has been 
exempted from the access provisions of subsection (d).
    (4) Consistent with the legislative purpose of the Privacy Act 
of 1974, the Department of the Air Force will grant access to 
nonexempt material in the records being maintained. Disclosure will 
be governed by the Department of the Air Force's Privacy 
Instruction, but will be limited to the extent that the identity of 
confidential sources will not be compromised; subjects of an 
investigation of an actual or potential violation will not be 
alerted to the investigation; the physical safety of witnesses, 
informants and law enforcement personnel will not be endangered, the 
privacy of third parties will not be violated; and that the 
disclosure would not otherwise impede effective law enforcement. 
Whenever possible, information of the above nature will be deleted 
from the requested documents and the balance made available. The 
controlling principle behind this limited access is to allow 
disclosures except those indicated above. The decisions to release 
information from this system will be made on a case-by-case basis.
    (22) System identifier and name: F051 AF JA I, Commander 
Directed Inquiries.
    (i) Exemption:
    (1) Investigatory material compiled for law enforcement 
purposes, other than material within the scope of subsection 5 
U.S.C. 552a(j)(2), may be exempt pursuant to 5 U.S.C. 552a(k)(2). 
However, if an individual is denied any right, privilege, or benefit 
for which he would otherwise be entitled by Federal law or for which 
he would otherwise be eligible, as a result of the maintenance of 
the information, the individual will be provided access to the 
information except to the extent that disclosure would reveal the 
identity of a confidential source.


    Note: When claimed, this exemption allows limited protection of 
investigative

[[Page 55351]]

reports maintained in a system of records used in personnel or 
administrative actions.


    (2) Any portion of this system of records which falls within the 
provisions of 5 U.S.C. 552a(k)(2) may be exempt from the following 
subsections of 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and 
(I), and (f).
    (ii) Authority: 5 U.S.C. 552a(k)(2).
    (iii) Reasons: (A) From subsection (c)(3) because to grant 
access to the accounting for each disclosure as required by the 
Privacy Act, including the date, nature, and purpose of each 
disclosure and the identity of the recipient, could alert the 
subject to the existence of the investigation. This could seriously 
compromise case preparation by prematurely revealing its existence 
and nature; compromise or interfere with witnesses or make witnesses 
reluctant to cooperate; and lead to suppression, alteration, or 
destruction of evidence.
    (B) From subsections (d) and (f) because providing access to 
investigative records and the right to contest the contents of those 
records and force changes to be made to the information contained 
therein would seriously interfere with and thwart the orderly and 
unbiased conduct of the investigation and impede case preparation. 
Providing access rights normally afforded under the Privacy Act 
would provide the subject with valuable information that would allow 
interference with or compromise of witnesses or render witnesses 
reluctant to cooperate; lead to suppression, alteration, or 
destruction of evidence; enable individuals to conceal their 
wrongdoing or mislead the course of the investigation; and result in 
the secreting of or other disposition of assets that would make them 
difficult or impossible to reach in order to satisfy any Government 
claim growing out of the investigation or proceeding.
    (C) From subsection (e)(1) because it is not always possible to 
detect the relevance or necessity of each piece of information in 
the early stages of an investigation. In some cases, it is only 
after the information is evaluated in light of other evidence that 
its relevance and necessity will be clear.
    (D) From subsections (e)(4)(G) and (H) because this system of 
records is compiled for investigative purposes and is exempt from 
the access provisions of subsections (d) and (f).
    (E) From subsection (e)(4)(I) because to the extent that this 
provision is construed to require more detailed disclosure than the 
broad, generic information currently published in the system notice, 
an exemption from this provision is necessary to protect the 
confidentiality of sources of information and to protect privacy and 
physical safety of witnesses and informants.
    (F) Consistent with the legislative purpose of the Privacy Act 
of 1974, the Air Force will grant access to nonexempt material in 
the records being maintained. Disclosure will be governed by Air 
Force's Privacy Regulation, but will be limited to the extent that 
the identity of confidential sources will not be compromised; 
subjects of an investigation of an actual or potential criminal or 
civil violation will not be alerted to the investigation; the 
physical safety of witnesses, informants and law enforcement 
personnel will not be endangered, the privacy of third parties will 
not be violated; and that the disclosure would not otherwise impede 
effective law enforcement. Whenever possible, information of the 
above nature will be deleted from the requested documents and the 
balance made available. The controlling principle behind this 
limited access is to allow disclosures except those indicated above. 
The decisions to release information from these systems will be made 
on a case-by-case basis.
    (23) System identifier and name: F031 DoD A, Joint Personnel 
Adjudication System.
    (i) Exemption:
    (1) Investigatory material compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for federal 
civilian employment, military service, federal contracts, or access 
to classified information may be exempt pursuant to 5 U.S.C. 
552a(k)(5), but only to the extent that such material would reveal 
the identity of a confidential source.
    (2) Therefore, portions of this system may be exempt pursuant to 
5 U.S.C. 552a(k)(5) from the following subsections of 5 U.S.C. 
552a(c)(3), (d), and (e)(1).
    (ii) Authority: 5 U.S.C. 552a(k)(5).
    (iii) Reasons:
    (A) From subsection (c)(3) and (d) when access to accounting 
disclosures and access to or amendment of records would cause the 
identity of a confidential source to be revealed. Disclosure of the 
source's identity not only will result in the Department breaching 
the promise of confidentiality made to the source but it will impair 
the Department's future ability to compile investigatory material 
for the purpose of determining suitability, eligibility, or 
qualifications for Federal civilian employment, Federal contracts, 
or access to classified information. Unless sources can be assured 
that a promise of confidentiality will be honored, they will be less 
likely to provide information considered essential to the Department 
in making the required determinations.
    (B) From (e)(1) because in the collection of information for 
investigatory purposes, it is not always possible to determine the 
relevance and necessity of particular information in the early 
stages of the investigation. In some cases, it is only after the 
information is evaluated in light of other information that its 
relevance and necessity becomes clear. Such information permits more 
informed decision-making by the Department when making required 
suitability, eligibility, and qualification determinations.
    (24) System identifier and name: F033 AF A, Information 
Requests-Freedom of Information Act.
    (i) Exemption: During the processing of a Freedom of Information 
Act request, exempt materials from `other' systems of records may in 
turn become part of the case record in this system. To the extent 
that copies of exempt records from those other systems of records 
are entered into this system, the Department of the Air Force hereby 
claims the same exemptions for the records from those `other' 
systems that are entered into this system, as claimed for the 
original primary system of which they are a part.
    (ii) Authority: 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), (k)(3), 
(k)(4), (k)(5), (k)(6), and (k)(7).
    (iii) Reasons: Records are only exempt from pertinent provisions 
of 5 U.S.C. 552a to the extent such provisions have been identified 
and an exemption claimed for the original record, and the purposes 
underlying the exemption for the original record still pertain to 
the record which is now contained in this system of records. In 
general, the exemptions were claimed in order to protect properly 
classified information relating to national defense and foreign 
policy, to avoid interference during the conduct of criminal, civil, 
or administrative actions or investigations, to ensure protective 
services provided the President and others are not compromised, to 
protect the identity of confidential sources incident to Federal 
employment, military service, contract, and security clearance 
determinations, and to preserve the confidentiality and integrity of 
Federal evaluation materials. The exemption rule for the original 
records will identify the specific reasons why the records are 
exempt from specific provisions of 5 U.S.C. 552a.
    (25) System identifier and name: F033 AF B, Privacy Act Request 
Files.
    (i) Exemption: During the processing of a Privacy Act request, 
exempt materials from other systems of records may in turn become 
part of the case record in this system. To the extent that copies of 
exempt records from those `other' systems of records are entered 
into this system, the Department of the Air Force hereby claims the 
same exemptions for the records from those `other' systems that are 
entered into this system, as claimed for the original primary system 
of which they are a part.
    (ii) Authority: 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), (k)(3), 
(k)(4), (k)(5), (k)(6), and (k)(7).
    (iii) Reason: Records are only exempt from pertinent provisions 
of 5 U.S.C. 552a to the extent such provisions have been identified 
and an exemption claimed for the original record, and the purposes 
underlying the exemption for the original record still pertain to 
the record which is now contained in this system of records. In 
general, the exemptions were claimed in order to protect properly 
classified information relating to national defense and foreign 
policy, to avoid interference during the conduct of criminal, civil, 
or administrative actions or investigations, to ensure protective 
services provided the President and others are not compromised, to 
protect the identity of confidential sources incident to Federal 
employment, military service, contract, and security clearance 
determinations, and to preserve the confidentiality and integrity of 
Federal evaluation materials. The exemption rule for the original 
records will identify the specific reasons why the records are 
exempt from specific provisions of 5 U.S.C. 552a.

Appendix F to Part 8066--Privacy Impact Assessment

Section A--Introduction and Overview

    The Privacy Act Assessment. The Air Force recognizes the 
importance of protecting the privacy of individuals, to ensure 
sufficient protections for the privacy of personal information as we 
implement citizen-centered e-Government. Privacy issues must

[[Page 55352]]

be addressed when systems are being developed, and privacy 
protections must be integrated into the development life cycle of 
these automated systems. The vehicle for addressing privacy issues 
in a system under development is the Privacy Impact Assessment 
(PIA). The PIA process also provides a means to assure compliance 
with applicable laws and regulations governing individual privacy.
    (a) Purpose. The purpose of this document is to:
    (1) Establish the requirements for addressing privacy during the 
systems development process.
    (2) Describe the steps required to complete a PIA.
    (3) Define the privacy issues you will address in the PIA.
    (b) Background. The Air Force is responsible for ensuring the 
privacy, confidentiality, integrity, and availability of personal 
information. The Air Force recognizes that privacy protection is 
both a personal and fundamental right. Among the most basic of 
individuals' rights is an expectation that the Air Force will 
protect the confidentiality of personal, financial, and employment 
information. Individuals also have the right to expect that the Air 
Force will collect, maintain, use, and disseminate identifiable 
personal information and data only as authorized by law and as 
necessary to carry out agency responsibilities. Personal information 
is protected by the following:
    (1) Title 5, U.S.C. 552a, The Privacy Act of 1974, as amended, 
which affords individuals the right to privacy in records maintained 
and used by Federal agencies.

    Note:
    5 U.S.C. 552a includes Public Law (Pub. L.) 100-503, The 
Computer Matching and Privacy Act of 1988.

    (2) Pub. L. 100-235, The Computer Security Act of 1987, which 
establishes minimum security practices for Federal computer systems.
    (3) OMB Circular A-130, Management of Federal Information 
Resources, which provides instructions to Federal agencies on how to 
comply with the fair information practices and security requirements 
for operating automated information systems.
    (4) Pub. L. 107-347, Section 208, E-Gov Act of 2002, which aims 
to ensure privacy in the conduct of federal information activities.
    (5) Title 5, U.S.C. 552, The Freedom of Information Act, as 
amended, which provides for the disclosure of information maintained 
by Federal agencies to the public while allowing limited protections 
for privacy.
    (6) DoDD 5400.11, Department of Defense Privacy Program, 
December 13, 1999.
    (7) DoD 5400.11-R, Department of Defense Privacy Program, August 
1983.
    (8) AFI 33-332, Air Force Privacy Act Program.
    (c) The Air Force Privacy Office is in the Office of the Air 
Force Chief Information Officer (AF-CIO), Directorate of Plans and 
Policy, and is responsible for overseeing Air Force implementation 
of the Privacy Act.

Section B--Privacy and Systems Development

    System Privacy. Rapid advancements in computer technology make 
it possible to store and retrieve vast amounts of data of all kinds 
quickly and efficiently. These advancements have raised concerns 
about the impact of large computerized information systems on the 
privacy of data subjects. Public concerns about highly integrated 
information systems operated by the government make it imperative to 
commit to a positive and aggressive approach to protecting 
individual privacy. AF-CIO is requiring the use of this PIA in order 
to ensure that the systems the Air Force develops protect 
individuals' privacy. The PIA incorporates privacy into the 
development life cycle so that all system development initiatives 
can appropriately consider privacy issues from the earliest stages 
of design.
    (a) What is a Privacy Impact Assessment? The PIA is a process 
used to evaluate privacy in information systems. The process is 
designed to guide system owners and developers in assessing privacy 
through the early stages of development. The process consists of 
privacy training, gathering data from a project on privacy issues, 
and identifying and resolving the privacy risks. The PIA process is 
described in detail in Section C, Completing a Privacy Impact 
Assessment.
    (b) When is a PIA Done? The PIA is initiated in the early stages 
of the development of a system and completed as part of the required 
system life cycle reviews. Privacy must be considered when 
requirements are being analyzed and decisions are being made about 
data usage and system design. This applies to all of the development 
methodologies and system life cycles used in the Air Force.
    (c) Who completes the PIA? Both the system owner and system 
developers must work together to complete the PIA. System owners 
must address what data is to be used, how the data is to be used, 
and who will use the data. The system developers must address 
whether the implementation of the owner's requirements presents any 
threats to privacy.
    (d) What systems have to complete a PIA? Accomplish PIAs when:
    (1) Developing or procuring information technology (IT) that 
collects, maintains, or disseminates information. in identifiable 
form from or about members of the public
    (2) Initiating a new collection of information, using IT, that 
collects, maintains, or disseminates information in identifiable 
form for 10 or more persons excluding agencies, instrumentalities, 
or employees of the Federal Government.
    (3) Systems as described above that are undergoing major 
modifications.
    (e) The Air Force or MAJCOM Privacy Act Officer reserves the 
right to request that a PIA be completed on any system that may have 
privacy risks.

Section C--Completing a Privacy Impact Assessment

    The PIA. This section describes the steps required to complete a 
PIA. These steps are summarized in Table A4.1, Outline of Steps for 
Completing a PIA.
    Training. Training on the PIA will be available, on request, 
from the MAJCOM Privacy Act Officer. The training consists of 
describing the PIA process and provides detail about the privacy 
issues and privacy questions to be answered to complete the PIA. 
MAJCOM Privacy Act Officers may use Appendix F, Sections A, B, D, 
and E for this purpose. The intended audience is the personnel 
responsible for writing the PIA document.
    The PIA Document. Preparing the PIA document requires the system 
owner and developer to answer the privacy questions in Section E. A 
brief explanation should be written for each question. Issues that 
do not apply to a system should be noted as ``Not Applicable.'' 
During the development of the PIA document, the MAJCOM Privacy Act 
Officer will be available to answer questions related to the PIA 
process and other concerns that may arise with respect to privacy.
    Review of the PIA Document. Submit the completed PIA document to 
the MAJCOM Privacy Act Office for review. The purpose of the review 
is to identify privacy risks in the system.
    Approval of the PIA. The system life cycle review process 
(Command, Control, Communications, Computers, and Intelligence 
Support Plan) will be used to validate the incorporation of the 
design requirements to resolve the privacy risks. MAJCOM and HAF 
Functional CIOs will issue final approval of the PIA.

           Table A4.1.--Outline of Steps for Completing a PIA
------------------------------------------------------------------------
              Step                        Who              Procedure
------------------------------------------------------------------------
1...............................  System Owner, and   Request and
                                   Developer.          complete Privacy
                                                       Impact Assessment
                                                       (PIA) Training.
2...............................  System Owner, and   Answer the
                                   Developer.          questions in
                                                       Section E,
                                                       Privacy
                                                       Questions. For
                                                       assistance
                                                       contact your
                                                       MAJCOM Privacy
                                                       Act Officer.
3...............................  System Owner, and   Submit the PIA
                                   Developer.          document to the
                                                       MAJCOM Privacy
                                                       Act Officer.

[[Page 55353]]

 
4...............................  MAJCOM Privacy Act  Review the PIA
                                   Officer.            document to
                                                       identify privacy
                                                       risks from the
                                                       information
                                                       provided. The
                                                       MAJCOM Privacy
                                                       Act Officer will
                                                       get clarification
                                                       from the owner
                                                       and developer as
                                                       needed.
5...............................  System Owner and    The System Owner,
                                   Developer, MAJCOM   Developer and the
                                   Privacy Act         MAJCOM Privacy
                                   Officer.            Act Officer
                                                       should reach
                                                       agreement on
                                                       design
                                                       requirements to
                                                       resolve all
                                                       identified risks.
6...............................  System Owner,       Participate in the
                                   Developer, and      required system
                                   MAJCOM Privacy      life cycle
                                   Act Officer.        reviews to ensure
                                                       satisfactory
                                                       resolution of
                                                       identified
                                                       privacy risks to
                                                       obtain formal
                                                       approval from the
                                                       MAJCOM or HAF
                                                       Functional CIO.
7...............................  MAJCOM or HAF       Issue final
                                   Functional CIO.     approval of PIA,
                                                       and send a copy
                                                       to AF-CIO/P for
                                                       forwarding to DoD
                                                       and OMB.
8...............................  AF-CIO/P..........  When feasible,
                                                       publish PIA on
                                                       FOIA Web page
                                                       (http://www.foia.af.mil)
------------------------------------------------------------------------

Section D--Privacy Issues in Information Systems

Privacy Act of 1974, 5 U.S.C. 552a as Amended

    Title 5, U.S.C., 552a, The Privacy Act of 1974, as amended, 
requires Federal Agencies to protect personally identifiable 
information. It states specifically: Each agency that maintains a 
system of records shall:
    Maintain in its records only such information about an 
individual as is relevant and necessary to accomplish a purpose of 
the agency required to be accomplished by statute or by executive 
order of the President;
    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;
    Maintain all records used by the agency 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;
    Establish appropriate administrative, technical and physical 
safeguards 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.

Definitions

    Accuracy--within sufficient tolerance for error to assure the 
quality of the record in terms of its use in making a determination.
    Completeness--all elements necessary for making a determination 
are present before such determination is made.
    Determination--any decision affecting an individual which, in 
whole or in part, is based on information contained in the record 
and which is made by any person or agency.
    Necessary--a threshold of need for an element of information 
greater than mere relevance and utility.
    Record--any item, collection or grouping of information about an 
individual and identifiable to that individual that is maintained by 
an agency.
    Relevance--limitation to only those elements of information that 
clearly bear on the determination(s) for which the records are 
intended.
    Routine Use--with respect to the disclosure of a record, the use 
of such record outside DoD for a purpose that is compatible with the 
purpose for which it was collected.
    System of Records--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.
    Timeliness--sufficiently current to ensure that any 
determination based on the record will be accurate and fair.

Information and Privacy

    To fulfill the commitment of the Air Force to protect personal 
information, several issues must be addressed with respect to 
privacy.
    The use of information must be controlled.
    Information may be used only for a necessary and lawful purpose.
    Individuals must be informed in writing of the principal purpose 
and routine uses of the information being collected from them.
    Information collected for a particular purpose should not be 
used for another purpose without the data subject's consent unless 
such other uses are specifically authorized or mandated by law.
    Any information used must be sufficiently accurate, relevant, 
timely and complete to assure fair treatment of the individual.
    Given the availability of vast amounts of stored information and 
the expanded capabilities of information systems to process the 
information, it is foreseeable that there will be increased requests 
to share that information. With the potential expanded uses of data 
in automated systems it is important to remember that information 
can only be used for the purpose for which it was collected unless 
other uses are specifically authorized or mandated by law. If the 
data is to be used for other purposes, then the public must be 
provided notice of those other uses.
    These procedures do not in themselves create any legal rights, 
but are intended to express the full and sincere commitment of the 
Air Force to protect individual privacy rights and which provide 
redress for violations of those rights.

Data in the System

    The sources of the information in the system are an important 
privacy consideration if the data is gathered from other than Air 
Force records. Information collected from non-Air Force sources 
should be verified, to the extent practicable, for accuracy, that 
the information is current, and complete. This is especially 
important if the information will be used to make determinations 
about individuals.

Access to the Data

    Who has access to the data in a system must be defined and 
documented. Users of the data can be individuals, other systems, and 
other agencies. Individuals who have access to the data can be 
system users, system administrators, system owners, managers, and 
developers. When individuals are granted access to a system, their 
access should be limited, where possible, to only that data needed 
to perform their assigned duties. If individuals are granted access 
to all of the data in a system, procedures need to be in place to 
deter and detect browsing and unauthorized access. Other systems are 
any programs or projects that interface with the system and have 
access to the data. Other agencies can be International, Federal, 
state, or local entities that have access to Air Force data.

Attributes of the Data

    When requirements for the data to be used in the system are 
being determined, those requirements must include the privacy 
attributes of the data. The privacy attributes are derived from the 
legal requirements imposed by The Privacy Act of 1974. First, the 
data must be relevant and necessary to accomplish the purpose of the 
system. Second, the data must be complete, accurate, and timely. It 
is important to ensure the data has these privacy attributes in 
order to assure fairness to the individual in making decisions based 
on the data.

[[Page 55354]]

Maintenance of Administrative Controls

    Automation of systems can lead to the consolidation of 
processes, data, and the controls in place to protect the data. When 
administrative controls are consolidated, they should be evaluated 
so that all necessary controls remain in place to the degree 
necessary to continue to control access to and use of the data.
    Document record retention procedures and coordinate them with 
the MAJCOM Command Records Manager.

Section E--Privacy Questions

Data in the System

    1. Generally describe the information to be used in the system.
    2. What are the sources of the information in the system?
    a. What Air Force files and databases are used?
    b. What Federal Agencies are providing data for use in the 
system?
    c. What State and local agencies are providing data for use in 
the system?
    d. What other third party sources will data be collected from?
    e. What information will be collected from the employee?
    3. Is data accurate and complete?
    a. How will data collected from sources other than Air Force 
records and the subject be verified for accuracy?
    b. How will data be checked for completeness?
    c. Is the data current? How do you know?
    4. Are the data elements described in detail and documented? If 
yes, what is the name of the document?

Access to the Data

    1. Who will have access to the data in the system (Users, 
Managers, System Administrators, Developers, Other)?
    2. How is access to the data by a user determined? Are criteria, 
procedures, controls, and responsibilities regarding access 
documented?
    3. Will users have access to all data on the system or will the 
user's access be restricted? Explain.
    4. What controls are in place to prevent the misuse (e.g., 
browsing) of data by those having access?
    5. Does the system share data with another system?
    a. Do other systems share data or have access to data in this 
system? If yes, explain.
    b. Who will be responsible for protecting the privacy rights of 
the employees affected by the interface?
    6. Will other agencies have access to the data in the system?
    a. Will other agencies share data or have access to data in this 
system (International, Federal, State, Local, Other)?
    b. How will the data be used by the agency?
    c. Who is responsible for assuring proper use of the data?
    d. How will the system ensure that agencies only get the 
information they are entitled to under applicable laws?

Attributes of the Data

    1. Is the use of the data both relevant and necessary to the 
purpose for which the system is being designed?
    2. Will the system create new data about an individual?
    a. Will the system derive new data or create previously 
unavailable data about an individual through aggregation from the 
information collected?
    b. Will the new data be placed in the individual's record?
    c. Can the system make determinations about the record subject 
that would not be possible without the new data?
    d. How will the new data be verified for relevance and accuracy?
    3. Is data being consolidated?
    a. If data is being consolidated, what controls are in place to 
protect the data from unauthorized access or use?
    b. If processes are being consolidated, are the proper controls 
remaining in place to protect the data and prevent unauthorized 
access? Explain.
    4. How will the data be retrieved? Is it retrieved by personal 
identifier? If yes, explain.

Maintenance of Administrative Controls

    (1) a. Explain how the system and its use will ensure equitable 
treatment of record subjects.
    b. If the system is operated at more than one location, how will 
consistent use of the system and data be maintained?
    c. Explain any possibility of disparate treatment of individuals 
or groups.
    (2) a. Coordinate proposed maintenance and disposition of the 
records with the MAJCOM Command Records Manager.
    b. While the data is retained in the system, what are the 
requirements for determining if the data is still sufficiently 
accurate, relevant, timely, and complete to ensure fairness in 
making determinations?
    (3) a. Is the system using technologies in ways that the Air 
Force has not previously employed?
    b. How does the use of this technology affect personal privacy?
    (4) a. Will this system provide the capability to identify, 
locate, and monitor individuals? If yes, explain.
    b. Will this system provide the capability to identify, locate, 
and monitor groups of people? If yes, explain.
    c. What controls will be used to prevent unauthorized 
monitoring?
    (5) a. Under which Systems of Record notice does the system 
operate? Provide number and name.
    b. If the system is being modified, will the system of record 
require amendment or revision? Explain.

Pamela D. Fitzgerald,
Air Force Federal Register Liaison Officer.

[FR Doc. 03-24058 Filed 9-24-03; 8:45 am]
BILLING CODE 5001-5-P