[Federal Register Volume 71, Number 135 (Friday, July 14, 2006)]
[Proposed Rules]
[Pages 40282-40314]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 06-6011]



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Part IV





Department of Defense





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Office of the Secretary



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32 CFR Part 310



Department of Defense Privacy Program; Proposed Rule

  Federal Register / Vol. 71, No. 135 / Friday, July 14, 2006 / 
Proposed Rules  

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DEPARTMENT OF DEFENSE

Office of the Secretary

32 CFR Part 310

[DoD-OS-2006-129]
RIN 0790-AH98


Department of Defense Privacy Program

AGENCY: Department of Defense.

ACTION: Proposed rule.

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SUMMARY: The Department of Defense is updating policies and 
responsibilities for the Defense Privacy Program which implements the 
Privacy Act of 1974.

DATES: Comments must be received on or before September 12, 2006 to be 
considered by this agency.

ADDRESSES: You may submit comments, identified by docket number and or 
RIN number and title, by any of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Mail: Federal Docket Management System Office, 1160 
Defense Pentagon, Washington, DC 20301-1160.
    Instructions: All submissions received must include the agency name 
and docket number or Regulatory Information Number (RIN) for this 
Federal Register document. The general policy for comments and other 
submissions from members of the public is to make these submissions 
available for public viewing on the Internet at http://regulations.gov 
as they are received without change, including any personal identifiers 
or contact information.

FOR FURTHER INFORMATION CONTACT: Mr. Vahan Moushegian, Jr., at (703) 
607-2943.

SUPPLEMENTARY INFORMATION: 

Executive Order (E.O.) 12866, ``Regulatory Planning and Review''

    It has been determined that 32 CFR part 310 is not a significant 
regulatory action. The rule does not (1) Have an annual effect on the 
economy of $100 million or more or adversely affect in a material way 
the economy; a sector of the economy; productivity; competition; jobs; 
the environment; public health or safety; or State, local, or tribal 
governments or communities; (2) Create a serious inconsistency or 
otherwise interfere with an action taken or planned by another Agency; 
(3) Materially alter the budgetary impact of entitlements, grants, user 
fees, or loan programs, or the rights and obligations of recipients 
thereof; or (4) Raise novel legal or policy issues arising out of legal 
mandates, the President's priorities, or the principles set forth in 
this Executive order.

Public Law 96-354, ``Regulatory Flexibility Act'' (5 U.S.C. Chapter 6)

    It has been determined that this rule is not subject to the 
Regulatory Flexibility Act because it would not, if promulgated, have a 
significant economic impact on a substantial number of small entities 
because it is only concerned with the administration of Privacy Program 
within the Department of Defense.

Public Law 96-511, ``Paperwork Reduction Act'' (44 U.S.C. Chapter 35)

    It has been determined that this rule does not impose information 
requirements beyond the Department of Defense and that the information 
collected within the Department of Defense is necessary and consistent 
with 5 U.S.C. 552a, known as the Privacy Act of 1974. However, one 
favorable comment was forwarded to the Office of Management and Budget 
during the 30-day review period (71 FR 29319).

Section 202, Public Law 104-4, ``Unfunded Mandates Reform Act''

    It has been determined that the rule does not involve a Federal 
mandate that may result in the expenditure by State, local and tribal 
governments, in the aggregate, or by the private sector, of $100 
million or more in any one year.

Executive Order 13132, ``Federalism''

    It has been determined that this rule does not have federalism 
implications. The rule does not have substantial direct effects on the 
States, the relationship between the National Government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government.

List of Subjects in 32 CFR Part 310

    DoD privacy program.
    Accordingly, 32 CFR part 310 is proposed to be revised as follows.

PART 310--DOD PRIVACY PROGRAM

Subpart A--DoD Policy
Sec.
310.1 Reissuance.
310.2 Purpose.
310.3 Applicability and scope.
310.4 Definitions.
310.5 Policy.
310.6 Responsibilities.
310.7 Information requirements.
310.8 Rules of conduct.
310.9 Privacy boards and Office, composition and responsibilities.
Subpart B--Systems of Records
310.10 General.
310.11 Standards of accuracy.
310.12 Government contractors.
310.13 Safeguarding personal information.
310.14 Notification when information is lost, stolen, or 
compromised.
Subpart C--Collecting Personal Information
310.15 General considerations.
310.16 Forms.
Subpart D--Access by Individuals
310.17 Individual access to personal information.
310.18 Denial of individual access.
310.19 Amendment of records.
310.20 Reproduction fees.
Subpart E--Disclosure of Personal Information to Other Agencies and 
Third Parties
310.21 Conditions of disclosure.
310.22 Non-consensual conditions of disclosure.
310.23 Disclosures to commercial enterprises.
310.24 Disclosures to the public from medical records.
310.25 Disclosure accounting.
Subpart F--Exemptions
310.26 Use and establishment of exemptions.
310.27 Access exemption.
310.28 General exemption.
310.29 Specific exemptions.
Subpart G--Publication Requirements
310.30 Federal Register publication.
310.31 Exemption rules.
310.32 System notices.
310.33 New and altered record systems.
310.34 Amendment and deletion of system notices.
Subpart H--Training Requirements
310.35 Statutory training requirements.
310.36 OMB training guidelines.
310.37 DoD training programs.
310.38 Training methodology and procedures.
310.39 Funding for training.
Subpart I--Reports
310.40 Requirement for reports.
310.41 Suspense for submission of reports.
310.42 Reports control symbol.
Subpart J--Inspections
310.43 Privacy Act inspections.
310.44 Inspection reporting.
Subpart K--Privacy Act Violations
310.45 Administrative remedies.
310.46 Civil actions.
310.47 Civil remedies.
310.48 Criminal penalties.
310.49 Litigation status sheet.
310.50 Lost, Stolen, or compromised information.
Subpart L--Computer Matching Program Procedures
310.51 General.

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310.52 Computer matching publication and review requirements.
310.53 Computer matching agreements (CMA).
Appendix A to Part 310--Special Considerations for Safeguarding 
Personal Information Technology (IT) Systems
Appendix B to Part 310--Sample Notification Letter
Appendix C to Part 310--DoD Blanket Routine Uses
Appendix D to Part 310--Provisions of the Privacy Act from Which a 
General or Specific Exemption May Be Claimed
Appendix E to Part 310--Sample of New or Altered System of Records 
Notice in Federal Register Format
Appendix F to Part 310--Format for New or Altered System Report
Appendix G to Part 310--Sample Amendments or Deletions to System 
Notices in Federal Register Format
Appendix H to Part 310--Litigation Status Sheet

    Authority: Pub. L. 93-579, 88 Stat. 1896 (5 U.S.C. 552a)

Subpart A--DoD Policy


Sec.  310.1  Reissuance.

    This part is revised to consolidate into a single document (32 CFR 
part 310) Department of Defense (DoD) policies and procedures for 
implementing the Privacy Act of 1974, as amended (5 U.S.C. 552a) by 
authorizing the development, publication and maintenance of the DoD 
Privacy Program set forth by DoD Directive 5400.11 \1\ and 5400.11-
R,\2\ both entitled: ``DoD Privacy Program.''
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    \1\ Copies may be obtained at http://www.dtic.mil/whs/directives.
    \2\ See footnote 1 to Sec.  310.1.
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Sec.  310.2  Purpose.

    This part:
    (a) Updates policies and responsibilities of the DoD Privacy 
Program under 5 U.S.C. 552a and OMB Circular A-130.
    (b) Authorizes the Defense Privacy Board, the Defense Privacy Board 
Legal Committee, and the Defense Data Integrity Board.
    (c) Continues to authorize the publication of DoD 5400.11-R.
    (d) Continues to delegate authorities and responsibilities for the 
effective administration of the DoD Privacy Program.


Sec.  310.3  Applicability and Scope.

    This part:
    (a) Applies to the Office of the Secretary of Defense (OSD), the 
Military Departments, the Chairman of the Joint Chiefs of Staff, the 
Combatant Commands, the Office of the Inspector General of the 
Department of Defense (IG, DoD), the Defense Agencies, the DoD Field 
Activities, and all other organizational entities in the Department of 
Defense (hereinafter referred to collectively as ``the DoD 
Components'').
    (b) Shall be made applicable to DoD contractors who are operating a 
system of records on behalf of a DoD Component, to include any of the 
activities, such as collecting and disseminating records, associated 
with maintaining a system of records.
    (c) This part does not apply to:
    (1) Requests for information made under the Freedom of Information 
Act. They are processed in accordance with DoD 5400.7-R.\3\
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    \3\ See footnote 1 to Sec.  310.3 (c)(1).
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    (2) Requests for information from systems of records controlled by 
the Office of Personnel Management (OPM), although maintained by a DoD 
Component. These are processed in accordance with policies established 
by OPM ``Privacy Procedures for Personnel Records'' (5 CFR 297).
    (3) Requests for personal information from the General Accounting 
Office. These are processed in accordance with DoD Directive 7650.1.\4\
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    \4\ See footnote 1 to Sec.  310.3 (c)(1).
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    (4) Requests for personal information from Congress. These are 
processed in accordance with DoD Directive 5400.4 except those specific 
provisions in Subpart E-Disclosure of Personal Information to Other 
Agencies and Third Parties.


Sec.  310.4.  Definitions.

    (a) Access. The review of a record or a copy of a record or parts 
thereof in a system of records by any individual.
    (b) Agency. For the purposes of disclosing records subject to the 
Privacy Act among the DoD Components, the Department of Defense is a 
considered a single agency. For all other purposes to include requests 
for access and amendment, denial of access or amendment, appeals from 
denials, and record keeping as relating to release of records to non-
DoD Agencies, each DoD Component is considered an agency within the 
meaning of the Privacy Act.
    (c) Computer Matching Program. The computerized comparison of two 
or more automated systems of records or a system of records with non-
Federal records. Manual comparison of systems of records or a system of 
records with non-Federal records are not covered.
    (d) Confidential source. A person or organization who has furnished 
information to the Federal Government under an express promise, if made 
on or after September 27, 1975, that the person's or the organization's 
identity shall be held in confidence or under an implied promise of 
such confidentiality if this implied promise was made on or before 
September 26, 1975.
    (e) Disclosure. The transfer of any personal information from a 
system of records by any means of communication (such as oral, written, 
electronic, mechanical, or actual review) to any person, private 
entity, or Government Agency, other than the subject of the record, the 
subject's designated agent or the subject's legal guardian.
    (f) Federal benefit program. A program administered or funded by 
the Federal Government, or by any agent or State on behalf of the 
Federal Government, providing cash or in-kind assistance in the form of 
payments, grants, loans, or loan guarantees to individuals.
    (g) Federal personnel. Officers and employees of the Government of 
the United States, members of the uniformed services (including members 
of the Reserve Components), individuals entitled to receive immediate 
or deferred retirement benefits under any retirement program of the 
United States (including survivor benefits).
    (h) Individual. A living person who is a citizen of the United 
States or an alien lawfully admitted for permanent residence. The 
parent of a minor or the legal guardian of any individual also may act 
on behalf of an individual. Members of the United States Armed Forces 
are ``individuals.'' Corporations, partnerships, sole proprietorships, 
professional groups, businesses, whether incorporated or 
unincorporated, and other commercial entities are not ``individuals'' 
when acting in an entrepreneurial capacity with the Department of 
Defense but are ``individuals'' otherwise (e.g., security clearances, 
entitlement to DoD privileges or benefits, etc.).
    (i) Individual access. Access to information pertaining to the 
individual by the individual or his or her designated agent or legal 
guardian.
    (j) Lost, stolen, or compromised information. Actual or possible 
disclosure of personal information either to known or unknown persons 
whether or not a potential exists that the information may be used for 
unlawful purposes to the detriment of the individual.
    (k) Maintain. To maintain, collect, use, or disseminate records 
contained in a system of records.
    (l) Non-Federal agency. Any state or local government, or agency 
thereof, which receives records contained in a system of records from a 
source agency for use in a computer matching program.

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    (m) Official use. Within the context of this part, this term is 
used when officials and employees of a DoD Component have a 
demonstrated a need for the record or the information contained therein 
in the performance of their official duties, subject to DoD 5200.1-
R.\5\
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    \5\ 5 See footnote 1 to Sec.  310.1.
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    (n) Personal information. Information about an individual that 
identifies, relates, or unique to, or describes him or her, e.g., a 
social security number; age; military rank; civilian grade; marital 
status; race; salary; home/office phone numbers; other demographic, 
personnel, medical, and financial information; etc.
    (o) Privacy Act request. A request from an individual for 
notification as to the existence of, access to, or amendment of records 
pertaining to that individual. These records must be maintained in a 
system of records.
    (p) Member of the public. Any individual or party acting in a 
private capacity to include Federal employees or military personnel.
    (q) Recipient agency. Any agency, or contractor thereof, receiving 
records contained in a system of records from a source agency for use 
in a computer matching program.
    (r) Record. Any item, collection, or grouping of information, 
whatever the storage media (e.g., paper, electronic, etc.), about an 
individual that is maintained by a DoD Component, including, but not 
limited to, his or her education, financial transactions, medical 
history, criminal or employment history, and that contains his or her 
name, or the identifying number, symbol, or other identifying 
particular assigned to the individual, such as a finger or voice print 
or a photograph.
    (s) Risk assessment. An analysis considering information 
sensitivity, vulnerabilities, and cost in safeguarding personal 
information processed or stored in the facility or activity.
    (t) Routine use. The disclosure of a record outside the Department 
of Defense for a use that is compatible with the purpose for which the 
information was collected and maintained by the Department of Defense. 
The routine use must be included in the published system notice for the 
system of records involved.
    (u) Source agency. Any agency which discloses records contained in 
a system of records to be used in a computer matching program, or any 
state or local government, or agency thereof, which discloses records 
to be used in a computer matching program.
    (v) Statistical record. A record maintained only for statistical 
research or reporting purposes and not used in whole or in part in 
making determinations about specific individuals.
    (w) System of records. A group of records under the control of a 
DoD Component from which personal information about an individual is 
retrieved by the name of the individual or by some other identifying 
number, symbol, or other identifying particular assigned, that is 
unique to the individual.


Sec.  310.5  Policy.

    It is DoD policy that:
    (a) The privacy of an individual is a personal and fundamental 
right that shall be respected and protected.
    (1) The Department's need to collect, maintain, use, or disseminate 
personal information about individuals for purposes of discharging its 
statutory responsibilities shall be balanced against the right of the 
individual to be protected against unwarranted invasions of their 
privacy.
    (2) The legal rights of individuals, as guaranteed by Federal law, 
regulation, and policy, shall be protected when collecting, 
maintaining, using, or disseminating personal information about 
individuals.
    (3) DoD personnel, including contractors, have an affirmative 
responsibility to protect an individual's privacy when collecting, 
maintaining, using, or disseminating personal information about an 
individual.
    (4) Departmental legislative, regulatory, or other policy proposals 
shall be evaluated to ensure that privacy implications, including those 
relating to the collection, maintenance, use, or dissemination of 
personal information, are assessed, to include, when required and 
consistent with the Privacy Provision of the E-Government Act of 2002 
(44 U.S.C. 3501, Note), the preparation of a Privacy Impact Assessment.
    (b) Personal information shall be collected, maintained, used, or 
disclosed to ensure that:
    (1) It shall be relevant and necessary to accomplish a lawful DoD 
purpose required to be accomplished by statute or Executive order.
    (2) It shall be collected to the greatest extent practicable 
directly from the individual.
    (3) The individual shall be informed as to why the information is 
being collected, the authority for collection, what uses will be made 
of it, whether disclosure is mandatory or voluntary, and the 
consequences of not providing that information.
    (4) It shall be relevant, timely, complete, and accurate for its 
intended use; and
    (5) Appropriate administrative, technical, and physical safeguards 
shall be established, based on the media (e.g., paper, electronic, 
etc.) involved, to ensure the security of the records and to prevent 
compromise or misuse during storage or transfer.
    (c) No record shall be maintained on how an individual exercises 
rights guaranteed by the First Amendment to the Constitution, except as 
follows:
    (1) Specifically authorized by statute.
    (2) Expressly authorized by the individual on whom the record is 
maintained; or
    (3) When the record is pertinent to and within the scope of an 
authorized law enforcement activity.
    (d) Notices shall be published in the Federal Register and reports 
shall be submitted to Congress and the Office of Management and Budget, 
in accordance with, and as required by, 5 U.S.C. 552a, OMB Circular A-
130, and DoD 5400.11-R, as to the existence and character of any system 
of records being established or revised by the DoD Components. 
Information shall not be collected, maintained, used, or disseminated 
until the required publication and review requirements, as set forth in 
5 U.S.C. 552a, OMB Circular A-130, and DoD 5400.11-R, are satisfied.
    (e) Individuals shall be permitted, to the extent authorized by 5 
U.S.C. 552a and DoD 5400.11-R, to:
    (1) Determine what records pertaining to them are contained in a 
system of records.
    (2) Gain access to such records and obtain a copy of those records 
or a part thereof.
    (3) Correct or amend such records once it has been determined that 
the records are not accurate, relevant, timely, or complete.
    (4) Appeal a denial of access or a request for amendment.
    (f) Disclosure of records pertaining to an individual from a system 
of records shall be prohibited except with the consent of the 
individual or as otherwise authorized by 5 U.S.C. 552a, DoD 5400.11-R, 
and DoD 5400.7-R. When disclosures are made, the individual shall be 
permitted, to the extent authorized by references 5 U.S.C. 552a and/or 
DoD 5400.11-R, to seek an accounting of such disclosures from the DoD 
Component making the release.
    (g) Disclosure of records pertaining to personnel of the National 
Security Agency, the Defense Intelligence Agency, the National 
Reconnaissance

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Office, and the National Geospatial-Intelligence Agency shall be 
prohibited to the extent authorized by Public Law 86-36 (1959) and 10 
U.S.C. 424. Disclosure of records pertaining to personnel of overseas, 
sensitive, or routinely deployable units shall be prohibited to the 
extent authorized by 10 U.S.C. 130b. Disclosure of medical records is 
prohibited except as authorized by DoD 6025.18-R. \6\
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    \6\ See footnote 1 to Sec.  310.1.
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    (h) Computer matching programs between the DoD Components and the 
Federal, State, or local governmental agencies shall be conducted in 
accordance with the requirements of 5 U.S.C. 552a, OMB Circular A-130, 
and DoD 5400.11-R.
    (i) DoD personnel and system managers shall conduct themselves 
consistent with established rules of conduct 310.8 so that personal 
information to be stored in a system of records only shall be 
collected, maintained, used, and disseminated as is authorized by this 
part, 5 U.S.C. 552a and DoD 5400.11-R.
    (j) DoD personnel, including but not limited to family members, 
retirees, contractor employees, and volunteers, shall be notified, 
consistent with the requirements of DoD 5400.11-R, if their personal 
information, whether or not included in a system of records, is lost, 
stolen, or compromised.
    (k) DoD Field Activities shall receive Privacy Program support from 
the Director, Washington Headquarters Services.


Sec.  310.6  Responsibilities.

    (a) The Director of Administration and Management, Office of the 
Secretary of Defense, shall:
    (1) Serve as the Senior Privacy Official for the Department of 
Defense.
    (2) Provide policy guidance for, and coordinate and oversee 
administration of, the DoD Privacy Program to ensure compliance with 
policies and procedures in 5 U.S.C. 552a and OMB Circular A-130.
    (3) Publish DoD 5400.11-R and other guidance, including Defense 
Privacy Board Advisory Opinions, to ensure timely and uniform 
implementation of the DoD Privacy Program.
    (4) Serve as the Chair to the Defense Privacy Board and the Defense 
Data Integrity Board (see Sec.  310.9).
    (5) Supervise and oversee the activities of the Defense Privacy 
Office (see Sec.  310.9).
    (b) The Director, WHS, under the DA&M, shall provide Privacy 
Program support for DoD Field Activities.
    (c) The General Counsel of the Department of Defense shall:
    (1) Provide advice and assistance on all legal matters arising out 
of, or incident to, the administration of the DoD Privacy Program.
    (2) Review and be the final approval authority on all advisory 
opinions issued by the Defense Privacy Board or the Defense Privacy 
Board Legal Committee.
    (3) Serve as a member of the Defense Privacy Board, the Defense 
Data Integrity Board, and the Defense Privacy Board Legal Committee 
(310.9).
    (d) The Secretaries of the Military Departments and the Heads of 
the Other DoD Components, except as noted in Sec.  310.5(k), shall:
    (1) Provide adequate funding and personnel to establish and support 
an effective DoD Privacy Program, to include the appointment of a 
senior official to serve as the principal point of contact (POC) for 
DoD Privacy Program matters.
    (2) Establish procedures, as well as rules of conduct, necessary to 
implement this part and DoD 5400.11-R to ensure compliance with the 
requirements of 5 U.S.C. 552a and OMB Circular A-130.
    (3) Conduct training, consistent with the requirements of DoD 
5400.11-R, on the provisions of this part, 5 U.S.C. 552a, OMB Circular 
A-130, and DoD 5400.11-R, for assigned, employed and detailed, to 
include contractor, personnel and for those individuals having primary 
responsibility for implementing the DoD Privacy Program.
    (4) Ensure all Component legislative proposals, policies, or 
programs having privacy implications, such as the DoD Privacy Impact 
Assessment Program, are evaluated for consistency with the information 
privacy principles of this part and DoD 5400.11-R.
    (5) Assess the impact of technology on the privacy of personal 
information and, when feasible, adopt privacy enhancing technology both 
to preserve and protect personal information contained in Component 
systems of records and to permit auditing of compliance with the 
requirements of this part and DoD 5400.11-R.
    (6) Ensure the DoD Privacy Program periodically shall be reviewed 
by the Inspectors General or other officials, who shall have 
specialized knowledge of the DoD Privacy Program.
    (7) Submit reports, consistent with the requirements of DoD 
5400.11-R, as mandated by 5 U.S.C. 552a and OMB Circular A-130 and as 
otherwise directed by the DPO.
    (e) The Secretaries of the Military Departments shall provide 
support to the Combatant Commands, as identified in DoD Directive 
5100.3, \7\ in the administration of the DoD Privacy Program.
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    \7\ See footnote 1 to Sec.  310.1.
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Sec.  310.7  Information requirements.

    The reporting requirements in Sec.  310.6(d)(7) are assigned Report 
Control Symbol DD-DA&M(A)1379.


Sec.  310.8  Rules of conduct.

    (a) DoD personnel shall:
    (1) Take such actions, as considered appropriate, to ensure 
personal information contained in a system of records, to which they 
have access to or are using incident to the conduct of official 
business, shall be protected so that the security and confidentiality 
of the information shall be preserved.
    (2) Not disclose any personal information contained in any system 
of records except as authorized by DoD 5400.11-R or other applicable 
law or regulation. Personnel willfully making such a disclosure when 
knowing that disclosure is prohibited are subject to possible criminal 
penalties and/or administrative sanctions.
    (3) Report any unauthorized disclosures of personal information 
from a system of records or the maintenance of any system of records 
that are not authorized by this part to the applicable Privacy POC for 
his or her DoD Component.
    (b) DoD System Managers for each system of records shall:
    (1) Ensure that all personnel who either shall have access to the 
system of records or who shall develop or supervise procedures for 
handling records in the system of records shall be aware of their 
responsibilities for protecting personal information being collected 
and maintained under the DoD Privacy Program.
    (2) Prepare promptly any required new, amended, or altered system 
notices for the system of records and submit them through their DoD 
Component Privacy POC to the DPO for publication in the Federal 
Register.
    (3) Not maintain any official files on individuals, which are 
retrieved by name or other personal identifier without first ensuring 
that a notice for the system of records shall have been published in 
the Federal Register. Any official who willfully maintains a system of 
records without meeting the publication requirements, as prescribed by 
5 U.S.C. 552a, OMB Circular A-130, and DoD 5400.11-R, is subject to 
possible criminal penalties and/or administrative sanctions.

[[Page 40286]]

Sec.  310.9  Privacy boards and office, composition and 
responsibilities.

    (a) The Defense Privacy Board--(1) Membership. The Board shall 
consist of the DA&M, OSD, who shall serve as the Chair; the Director of 
the DPO, DA&M, who shall serve as the Executive Secretary and as a 
member; the representatives designated by the Secretaries of the 
Military Departments; and the following officials or their designees: 
the Deputy Under Secretary of Defense for Program Integration 
(DUSD(PI)); the Assistant Secretary of Defense for Health Affairs; the 
Assistant Secretary of Defense for Networks and Information Integration 
(ASD(NII)/Chief Information Officer (CIO); the Director, Executive 
Services and Communications Directorate, WHS; the GC, DoD; and the 
Director for Information Technology Management Directorate (ITMD), WHS. 
The designees also may be the principal POC for the DoD Component for 
privacy matters.
    (2) Responsibilities. (i) The Board shall have oversight 
responsibility for implementation of the DoD Privacy Program. It shall 
ensure the policies, practices, and procedures of that Program are 
premised on the requirements of 5 U.S.C. 552a and OMB Circular A-130, 
as well as other pertinent authority, and the Privacy Programs of the 
DoD Component are consistent with, and in furtherance of, the DoD 
Privacy Program.
    (ii) The Board shall serve as the primary DoD policy forum for 
matters involving the DoD Privacy Program, meeting as necessary, to 
address issues of common concern so as to ensure uniform and consistent 
policy shall be adopted and followed by the DoD Components. The Board 
shall issue advisory opinions as necessary on the DoD Privacy Program 
so as to promote uniform and consistent application of 5 U.S.C. 552a, 
OMB Circular A-130, and DoD 5400.11-R.
    (iii) Perform such other duties as determined by the Chair or the 
Board.
    (b) The Defense Data Integrity Board--(1) Membership. The Board 
shall consist of the DA&M, OSD, who shall serve as the Chair; the 
Director of the DPO, DA&M, who shall serve as the Executive Secretary; 
and the following officials or their designees: the representatives 
designated by the Secretaries of the Military Departments; the 
DUSD(PI); the ASD(NII)/CIO; the GC, DoD; the Inspector General, DoD; 
the ITMD, WHS; and the Director, Defense Manpower Data Center. The 
designees also may be the principal points of contact for the DoD 
Component for privacy matters.
    (2) Responsibilities. (i) The Board shall oversee and coordinate, 
consistent with the requirements of 5 U.S.C. 552a, OMB Circular A-130, 
and DoD 5400.11-R, all computer matching programs involving personal 
records contained in system of records maintained by the DoD 
Components.
    (ii) The Board shall review and approve all computer matching 
agreements between the Department of Defense and the other Federal, 
State or local governmental agencies, as well as memoranda of 
understanding when the match is internal to the Department of Defense, 
to ensure, under 5 U.S.C. 552a, OMB Circular A-130, and DoD 5400.11-R, 
appropriate procedural and due process requirements shall have been 
established before engaging in computer matching activities.
    (c) The Defense Privacy Board Legal Committee--(1) Membership. The 
Committee shall consist of the Director, DPO, DA&M, who shall serve as 
the Chair and the Executive Secretary; the GC, DoD, or designee; and 
civilian and/or military counsel from each of the DoD Components. The 
General Counsels (GCs) and The Judge Advocates General of the Military 
Departments shall determine who shall provide representation for their 
respective Department to the Committee. This does not preclude 
representation from each office. The GCs of the other DoD Components 
shall provide legal representation to the Committee. Other DoD civilian 
or military counsel may be appointed by the Executive Secretary, after 
coordination with the DoD Component concerned, to serve on the 
Committee on those occasions when specialized knowledge or expertise 
shall be required.
    (2) Responsibilities. (i) Committee shall serve as the primary 
legal forum for addressing and resolving all legal issues arising out 
of or incident to the operation of the DoD Privacy Program.
    (ii) Committee shall consider legal questions regarding the 
applicability of 5 U.S.C. 552a, OMB Circular A-130, and DoD 5400.11-R 
and questions arising out of or as a result of other statutory and 
regulatory authority, to include the impact of judicial decisions, on 
the DoD Privacy Program. The Committee shall provide advisory opinions 
to the Defense Privacy Board and, on request, to the DoD Components.
    (d) The DPO--(1) Membership. It shall consist of a Director and a 
staff. The Director also shall serve as the Executive Secretary and a 
member of the Defense Privacy Board; as the Executive Secretary to the 
Defense Data Integrity Board; and as the Chair and the Executive 
Secretary to the Defense Privacy Board Legal Committee.
    (2) Responsibilities. (i) Manage activities in support of the 
Privacy Program oversight responsibilities of the DA&M.
    (ii) Provide operational and administrative support to the Defense 
Privacy Board, the Defense Data Integrity Board, and the Defense 
Privacy Board Legal Committee.
    (iii) Direct the day-to-day activities of the DoD Privacy Program.
    (iv) Provide guidance and assistance to the DoD Components in their 
implementation and execution of the DoD Privacy Program.
    (v) Review DoD legislative, regulatory, and other policy proposals 
which implicate information privacy issues relating to the Department's 
collection, maintenance, use, or dissemination of personal information, 
to include any testimony and comments having such implications under 
DoD Directive 5500.1.
    (vi) Review proposed new, altered, and amended systems of records, 
to include submission of required notices for publication in the 
Federal Register and, when required, providing advance notification to 
the OMB and the Congress, consistent with 5 U.S.C. 552a, OMB Circular 
A-130, and DoD 5400.11-R.
    (vii) Review proposed DoD Component privacy rulemaking, to include 
submission of the rule to the Office of the Federal Register for 
publication and providing to the OMB and the Congress reports, 
consistent with 5 U.S.C. 552a, OMB Circular A-130, and DoD 5400.11-R.
    (viii) Develop, coordinate, and maintain all DoD computer matching 
agreements, to include submission of required match notices for 
publication in the Federal Register and advance notification to the OMB 
and the Congress of the proposed matches, consistent with 5 U.S.C. 
552a, OMB Circular A-130, and DoD 5400.11-R.
    (ix) Provide advice and support to the DoD Components to ensure:
    (A) All information requirements developed to collect or maintain 
personal data conform to DoD Privacy Program standards;
    (B) Appropriate procedures and safeguards shall be developed, 
implemented, and maintained to protect personal information when it is 
stored in either a manual and/or automated system of records or 
transferred by electronic or non-electronic means; and
    (C) Specific procedures and safeguards shall be developed and 
implemented when personal data is

[[Page 40287]]

collected and maintained for research purposes.
    (x) Serve as the principal POC for coordination of privacy and 
related matters with the OMB and other Federal, State, and local 
governmental agencies.
    (xi) Compile and submit the ``Biennial Matching Activity Report'' 
to the OMB as required by references OMB Circular A-130 and DoD 
5400.11-R, and such other reports as may be required.
    (xii) Update and maintain this part and DoD 5400.11-R.

Subpart B--Systems of Records


Sec.  310.10  General.

    (a) System of Records. To be subject to the provisions of this 
part, a ``system of records'' must:
    (1) Consist of ``records'' that are retrieved by the name of an 
individual or some other personal identifier; and
    (2) Be under the control of a DoD Component.
    (b) Retrieval practices. (1) Records in a group of records that may 
be retrieved by a name or personal identifier are not covered by this 
part even if the records contain personal data and are under control of 
a DoD Component. The records must be retrieved by name or other 
personal identifier to become a system of records for the purpose of 
this part.
    (i) When records are contained in an automated (Information 
Technology) system capable of being manipulated to retrieve information 
about an individual, this does not automatically transform the system 
into a system of records as defined in this part.
    (ii) In determining whether an automated system is a system of 
records that is subject to this part, retrieval policies and practices 
shall be evaluated. If DoD Component policy is to retrieve personal 
information by the name or other unique personal identifier, it is a 
system of records. If DoD Component policy prohibits retrieval by name 
or other identifier, but the actual practice of the Component is to 
retrieve information by name or identifier, even if done infrequently, 
it is a system of records.
    (2) If records are retrieved by name or personal identifier, a 
system notice must be submitted in accordance with Sec.  310.33.
    (3) If records are not retrieved by name or personal identifier are 
rearranged in such manner that they are retrieved by name or personal 
identifier, a new systems notice must be submitted in accordance with 
Sec.  310.33.
    (4) If records in a system of records are rearranged so that 
retrieval is no longer by name or other personal identifier, the 
records are no longer subject to this part and the system notice for 
the records shall be deleted in accordance with Sec.  310.34.
    (c) Relevance and necessity. Information or records about an 
individual shall only be maintained in a system of records that is 
relevant and necessary to accomplish a DoD Component purpose required 
by a Federal statute or an Executive Order.
    (d) Authority to establish systems of records. Identify the 
specific statute or the Executive Order that authorizes maintaining 
personal information in each system of records. The existence of a 
statute or Executive Order mandating the maintenance of a system of 
records does not abrogate the responsibility to ensure the information 
in the system of records is relevant and necessary. If a statute or 
Executive Order does not expressly direct the creation of a system of 
records, but the establishment of a system of records is necessary in 
order to discharge the requirements of the statute or Executive Order, 
the statute or Executive Order shall be cited as authority.
    (e) Exercise of First Amendment rights. (1) Do not maintain any 
records describing how an individual exercises his or her rights 
guaranteed by the First Amendment of the U.S. Constitution except when:
    (i) Expressly authorized by Federal statute;
    (ii) Expressly authorized by the individual; or
    (iii) Maintenance of the information is pertinent to and within the 
scope of an authorized law enforcement activity.
    (2) First Amendment rights include, but are not limited to, freedom 
of religion, freedom of political beliefs, freedom of speech, freedom 
of the press, the right to assemble, and the right to petition.
    (f) System Manager's evaluation. (1) Evaluate the information to be 
included in each new system before establishing the system and evaluate 
periodically the information contained in each existing system of 
records for relevancy and necessity. Such a review shall also occur 
when a system notice alteration or amendment is prepared (see Sec.  
310.33 and Sec.  310.34).
    (2) Consider the following:
    (i) The relationship of each item of information retained and 
collected to the purpose for which the system is maintained;
    (ii) The specific impact on the purpose or mission of not 
collecting each category of information contained in the system;
    (iii) The possibility of meeting the informational requirements 
through use of information not individually identifiable or through 
other techniques, such as sampling;
    (iv) The length of time each item of personal information must be 
retained;
    (v) The cost of maintaining the information; and
    (vi) The necessity and relevancy of the information to the purpose 
for which it was collected.
    (g) Discontinued information requirements. (1) Stop collecting 
immediately any category or item of personal information for which 
retention is no longer justified. Also delete this information from 
existing records, when feasible.
    (2) Do not destroy any records that must be retained in accordance 
with disposal authorizations established under 44 U.S.C. 3303a, 
Examination by Archivist of Lists and Schedules of Records Lacking 
Preservation Value; Disposal of Records.''


Sec.  310.11  Standards of accuracy.

    (a) Accuracy of information maintained. Maintain all personal 
information used or may be used to make any determination about an 
individual with such accuracy, relevance, timeliness, and completeness 
as is reasonably necessary to ensure fairness to the individual in 
making any such determination.
    (b) Accuracy determinations before dissemination. Before 
disseminating any personal information from a system of records to any 
person outside the Department of Defense, other than a Federal Agency, 
make reasonable efforts to ensure the information to be disclosed is 
accurate, relevant, timely, and complete for the purpose it is being 
maintained (see Sec.  310.21(d)).


Sec.  310.12  Government contractors.

    (a) Applicability to government contractors. (1) When a DoD 
Component contract requires the operation or maintenance of a system of 
records or a portion of a system of records or requires the performance 
of any activities associated with maintaining a system of records, 
including the collection, use, and dissemination of records, the record 
system or the portion of the record system affected are considered to 
be maintained by the DoD Component and are subject to this part. The 
Component is responsible for applying the requirements of this part to 
the contractor. The contractor and its employees are to be considered 
employees of the DoD Component for purposes of the criminal provisions 
of 5 U.S.C 552a(i) during the performance of

[[Page 40288]]

the contract. Consistent with the Federal Acquisition Regulation (FAR), 
Part 24.1, contracts requiring the maintenance or operation of a system 
of records or the portion of a system of records shall include in the 
solicitation and resulting contract such terms as are prescribed by the 
FAR.
    (2) If the contractor must use, have access to, or disseminate 
individually identifiable information subject to this part for 
performing any part of a contract, and the information would have been 
collected, maintained, used, or disseminated by the DoD Component but 
for the award of the contract, these contractor activities are subject 
to this part.
    (3) The restriction in paragraphs (a)(1) and (2) of this section do 
not apply to records:
    (i) Established and maintained to assist in making internal 
contractor management decisions, such as records maintained by the 
contractor for use in managing the contract;
    (ii) Maintained as internal contractor employee records even when 
used in conjunction with providing goods and services to the Department 
of Defense; or
    (iii) Maintained as training records by an educational organization 
contracted by a DoD Component to provide training when the records of 
the contract students are similar to and commingled with training 
records of other students (for example, admission forms, transcripts, 
academic counseling and similar records).
    (iv) Maintained by a consumer reporting agency to which records 
have been disclosed under contract in accordance with the Federal 
Claims Collection Act of 1966, 31 U.S.C. 3711(e).
    (v) Maintained by the contractor incident to normal business 
practices and operations.
    (4) The DoD Components shall publish instructions that:
    (i) Furnish DoD Privacy Program guidance to their personnel who 
solicit, award, or administer Government contracts;
    (ii) Inform prospective contractors of their responsibilities, and 
provide training as appropriate, regarding the DoD Privacy Program; and
    (iii) Establish an internal system of contractor performance review 
to ensure compliance with the DoD Privacy Program.
    (b) Contracting procedures. The Defense Acquisition Regulations 
Council shall develop the specific policies and procedures to be 
followed when soliciting bids, awarding contracts or administering 
contracts that are subject to this part.
    (c) Contractor compliance. Through the various contract 
surveillance programs, ensure contractors comply with the procedures 
established in accordance with Sec.  310.12(b).
    (d) Disclosure of records to contractors. Disclosure of records 
contained in a system of records by a DoD Component to a contractor for 
use in the performance of a DoD contract is considered a disclosure 
within the Department of Defense (see Sec.  310.21(b)). The contractor 
is considered the agent of the contracting DoD Component and to be 
maintaining and receiving the records for that Component.


Sec.  310.13  Safeguarding personal information.

    (a) General responsibilities. Establish appropriate administrative, 
technical and physical safeguards to ensure the records in each system 
of records are protected from unauthorized access, alteration, or 
disclosure and their confidentiality is preserved and protected. 
Records shall be protected against reasonably anticipated threats or 
hazards that could result in substantial harm, embarrassment, 
inconvenience, or unfairness to any individual about whom information 
is kept.
    (b) Minimum standards. (1) Tailor system safeguards to conform to 
the type of records in the system, the sensitivity of the personal 
information stored, the storage medium used and, to a degree, the 
number of records maintained.
    (2) Treat all unclassified records that contain personal 
information that normally would be withheld from the public under 
Freedom of Information Exemption Numbers 6 and 7 of 286.12, subpart C 
of 32 CFR part 286 (``DoD Freedom of Information Act Program'') as 
``For Official Use Only,'' and safeguard them in accordance with 
reference DoD 5200.1-R even if they are not actually marked ``For 
Official Use Only.''
    (3) Personal information that does not meet the criteria discussed 
in paragraph (b)(2) of this section shall be accorded protection 
commensurate with the nature and type of information involved.
    (4) Special administrative, physical, and technical procedures are 
required to protect data that is stored or processed in an information 
technology system to protect against threats unique to an automated 
environment (see Appendix A).
    (5) Tailor safeguards specifically to the vulnerabilities of the 
system.
    (c) Records disposal. (1) Dispose of records containing personal 
data so as to prevent inadvertent compromise. Disposal methods such as 
tearing, burning, melting, chemical decomposition, pulping, 
pulverizing, shredding, or mutilation are considered adequate if the 
personal data is rendered unrecognizable or beyond reconstruction.
    (2) The transfer of large quantities of records containing personal 
data in bulk to a disposal activity, such as the Defense Property 
Disposal Office, is not a release of personal information under this 
part. The sheer volume of such transfers make it difficult or 
impossible to identify readily specific individual records (see 
paragraph (c)(3) of this section).
    (3) When disposing of or destroying large quantities of records 
containing personal information, care must be exercised to ensure the 
bulk of the records are maintained so as to prevent specific records 
from being readily identified. If bulk is maintained, no special 
procedures are required. If bulk cannot be maintained or if the form of 
the records makes individually identifiable information easily 
available, dispose of the record in accordance with paragraph (c)(1) of 
this section.


Sec.  310.14  Notification when information is lost, stolen, or 
compromised.

    (a) If records containing personal information are lost, stolen, or 
compromised, the potential exists that the records may be used for 
unlawful purposes, such as identity theft, fraud, stalking, etc. The 
personal impact on the affected individual will be severe if the 
records are misused. To assist the individual, the Component shall 
notify the individual of any loss, theft, or compromise.
    (1) The notification shall be made whenever information pertaining 
to a service member, civilian employee (appropriated or non-
appropriated fund), military retiree, family member, DoD contractor, or 
any other person that is affiliated with the Component (e.g., 
volunteer) is involved (See Sec.  310.50).
    (2) The notification shall be made as soon as possible, but not 
later than 10 working days after the loss, theft, or compromise is 
discovered and the identities of the individuals ascertained.
    (i) The 10-day period begins to run after the Component is able to 
determine the identities of the individuals whose records were lost.
    (ii) If the Component is only able to identify some but not all of 
the affected individuals, notification shall be given to those that can 
be identified with

[[Page 40289]]

follow-up notifications made to those subsequently identified.
    (iii) If the Component cannot readily identify the affected 
individuals or will not be able to identify the individuals, the 
Component shall provide a generalized notice to the potentially 
impacted population by whatever means the Component believes is most 
likely to reach the affected individuals.
    (3) When personal information is maintained by a DoD contractor on 
behalf of the Component, the contractor shall notify the Component 
immediately upon discovery that a loss, theft or compromise has 
occurred.
    (i) The Component shall determine whether the Component or the 
contractor shall make the required notification.
    (ii) If the contractor is to notify the impacted population, it 
shall submit the notification letters to the Component for review and 
approval. The Component shall coordinate with the Contractor to ensure 
the letters meet the requirements of Sec.  310.14.
    (4) Subject to paragraph (a)(2) of this section, the Component 
shall inform the Deputy Secretary of Defense of the reasons why notice 
was not provided to the individuals or the affected population within 
the 10-day period.
    (i) If for good cause (e.g., law enforcement authorities request 
delayed notification as immediate notification will jeopardize 
investigative efforts), notice can be delayed, but the delay shall only 
be for a reasonable period of time. In determining what constitutes a 
reasonable period of delay, the potential harm to the individual must 
be weighed against the necessity for delayed notification.
    (ii) Notification to the Deputy Secretary shall be forwarded to the 
Component Privacy Official, who shall forward it to the DPO. The DPO, 
in coordination with the Office of the Under Secretary of Defense for 
Personnel and Readiness, shall forward the notice to the Deputy 
Secretary.
    (5) The notice to the individual, at a minimum, shall include the 
following:
    (i) The individuals shall be advised of what specific data was 
involved. It is insufficient to simply state that personal information 
has been lost. Where names, social security numbers, and dates of birth 
are involved, it is critical that the individual be advised that these 
data elements potentially have been compromised.
    (ii) The individual shall be informed of the facts and 
circumstances surrounding the loss, theft, or compromise. The 
description of the loss should be sufficiently detailed so that the 
individual clearly understands how the compromise occurred.
    (iii) The individual shall be informed of what protective actions 
the Component is taking or the individual can take to mitigate against 
potential future harm. The Component should refer the individual to the 
Federal Trade Commission's public Web site on identity theft at http://www.consumer.gov/idtheft/con_steps.htm. The site provides valuable 
information as to what steps individuals can take to protect themselves 
if their identities potentially have been or are stolen.
    (iv) A sample notification letter is at Appendix B.
    (b) The notification shall be made whether or not the personal 
information is contained in a system of records (See Sec.  310.10(a)).

Subpart C--Collecting Personal Information


Sec.  310.15  General considerations.

    (a) Collect directly from the individual. Collect to the greatest 
extent practicable personal information directly from the individual to 
whom it pertains if the information may result in adverse determination 
about an individual's rights, privileges, or benefits under any Federal 
program.
    (b) Collecting social security numbers (SSNs). (1) It is unlawful 
for any Federal, State, or local governmental agency to deny an 
individual any right, benefit, or privilege provided by law because the 
individual refuses to provide his or her SSN. However, if a Federal 
statute requires the SSN be furnished or if the SSN is furnished to a 
DoD Component maintaining a system of records in existence that was 
established and in operation before January 1, 1975, and the SSN was 
required under a statute or regulation adopted prior to this date for 
purposes of verifying the identity of an individual, this restriction 
does not apply.
    (2) When an individual is requested to provide his or her SSN, he 
or she must be told:
    (i) What uses will be made of the SSN;
    (ii) The statute, regulation, or rule authorizing the solicitation 
of the SSN; and
    (iii) Whether providing the SSN is voluntary or mandatory.
    (3) Include in any systems notice for any system of records that 
contains SSNs a statement indicating the authority for maintaining the 
SSN.
    (4) E.O. 9397, ``Numbering System for Federal Accounts Relating to 
Individual Persons'', November 30, 1943, authorizes solicitation and 
use of SSNs as a numerical identifier for Federal personnel that are 
identified in most Federal record systems. However, it does not 
constitute authority for mandatory disclosure of the SSN.
    (5) Upon entrance into military service or civilian employment with 
the Department of Defense, individuals are asked to provide their SSNs. 
The SSN becomes the service or employment number for the individual and 
is used to establish personnel, financial, medical, and other official 
records. The notification in paragraph (b)(2) of this section shall be 
provided the individual when originally soliciting his or her SSN. The 
notification is not required if an individual is requested to furnish 
his SSN for identification purposes and the SSN is solely used to 
verify the SSN that is contained in the records. However, if the SSN is 
solicited and retained for any purposes other than verifying the 
existing SSN in the records, the requesting official shall provide the 
individual the notification required by paragraph (b)(2) of this 
section.
    (c) Collecting personal information from third parties. When 
information being solicited is of an objective nature and is not 
subject to being altered, the information should first be collected 
from the individual. But it may not be practicable to collect personal 
information first from the individual in all cases. Some examples of 
this are:
    (1) Verification of information through third-party sources for 
security or employment suitability determinations;
    (2) Seeking third-party opinions such as supervisor comments as to 
job knowledge, duty performance, or other opinion-type evaluations;
    (3) When obtaining information first from the individual may impede 
rather than advance an investigative inquiry into the actions of the 
individual.
    (4) Contacting a third party at the request of the individual to 
furnish certain information such as exact periods of employment, 
termination dates, copies of records, or similar information.
    (d) Privacy Act Statements. (1) When an individual is requested to 
furnish personal information about himself or herself for inclusion in 
a system of records, a Privacy Act Statement is required regardless of 
the medium used to collect the information (forms, personal interviews, 
telephonic interviews, or other methods). The Privacy Act Statement 
consists of the elements set forth in paragraph (d)(2)of this section. 
The statement enables the individual to make an informed decision 
whether to provide the

[[Page 40290]]

information requested. If the personal information solicited is not to 
be incorporated into a system of records, the statement need not be 
given. However, personal information obtained without a Privacy Act 
Statement shall not be incorporated into any system of records. When 
soliciting SSNs for any purpose, see paragraph (b)(2) of this section.
    (2) The Privacy Act Statement shall include:
    (i) The Federal statute or Executive Order that authorizes 
collection of the requested information (See Sec.  310.10(d)).
    (ii) The principal purpose or purposes for which the information is 
to be used;
    (iii) The routine uses that will be made of the information (See 
Sec.  310.22(d));
    (iv) Whether providing the information is voluntary or mandatory 
(See paragraph (e) of this section); and
    (v) The effects on the individual if he or she chooses not to 
provide the requested information.
    (3) The Privacy Act Statement shall be concise, current, and easily 
understood.
    (4) The Privacy Act statement may appear as a public notice (sign 
or poster), conspicuously displayed in the area where the information 
is collected, such as at check-cashing facilities or identification 
photograph facilities (but see Sec.  310.16(a)).
    (5) The individual normally is not required to sign the Privacy Act 
Statement.
    (6) The individual shall be provided a written copy of the Privacy 
Act Statement upon request. This must be done regardless of the method 
chosen to furnish the initial advisement.
    (e) Mandatory as opposed to voluntary disclosures. Include in the 
Privacy Act Statement specifically whether furnishing the requested 
personal data is mandatory or voluntary. A requirement to furnish 
personal data is mandatory only when the DoD Component is authorized to 
impose a penalty on the individual for failure to provide the requested 
information. If a penalty cannot be imposed, disclosing the information 
is always voluntary.


Sec.  310.16  Forms.

    (a) DoD Forms. (1) DoD Instruction 7750.7 \8\ provides guidance for 
preparing Privacy Act Statements for use with forms (see also paragraph 
(b) of this section).
---------------------------------------------------------------------------

    \8\ See footnote 1 to Sec.  310.1.
---------------------------------------------------------------------------

    (2) When forms are used to collect personal information, the 
Privacy Act Statement shall appear as follows (listed in the order of 
preference):
    (i) In the body of the form, preferably just below the title so 
that the reader will be advised of the contents of the statement before 
he or she begins to complete the form;
    (ii) On the reverse side of the form with an appropriate annotation 
under the title giving its location;
    (iii) On a tear-off sheet attached to the form; or
    (iv) As a separate supplement to the form.
    (b) Forms issued by non-DoD activities. (1) Forms subject to the 
Privacy Act issued by other Federal Agencies must have a Privacy Act 
Statement. Always ensure the statement prepared by the originating 
Agency is adequate for the purpose for which the form shall be used by 
the DoD activity. If the Privacy Act Statement provided is inadequate, 
the DoD Component concerned shall prepare a new statement or a 
supplement to the existing statement before using the form.
    (2) Forms issued by agencies not subject to the Privacy Act (State, 
municipal, and other local agencies) do not contain Privacy Act 
Statements. Before using a form prepared by such agencies to collect 
personal data subject to this part, an appropriate Privacy Act 
Statement must be added.

Subpart D--Access by individuals


Sec.  310.17  Individual access to personal information.

    (a) Individual access. (1) The access provisions of this part are 
intended for use by individuals who seek access to records about 
themselves that are maintained in a system of records. Release of 
personal information to individuals under this part is not considered 
public release of the information.
    (2) Make available to the individual to whom the record pertains 
all of the personal information contained in the system of records 
except where access may be denied pursuant to an exemption claimed for 
the system (see subpart F to this part). However, when the access 
provisions of this subpart are not available to the individual due to a 
claimed exemption, the request shall be processed to provide 
information that is disclosable pursuant to the DoD Freedom of 
Information Act program (see 32 CFR, part 286).
    (b) Individual requests for access. Individuals shall address 
requests for access to personal information in a system of records to 
the system manager or to the office designated in the DoD Component 
procedural rules or the system notice.
    (c) Verification of identity. (1) Before granting access to 
personal data, an individual may be required to provide reasonable 
proof his or her identity.
    (2) Identity verification procedures shall not:
    (i) Be so complicated as to discourage unnecessarily individuals 
from seeking access to information about themselves; or
    (ii) Be required of an individual seeking access to records that 
normally would be available under the DoD Freedom of Information Act 
Program (see 32 CFR, part 286).
    (iii) When an individual seeks personal access to records 
pertaining to themselves in person, proof of identity is normally 
provided by documents that an individual ordinarily possesses, such as 
employee and military identification cards, driver's license, other 
licenses, permits or passes used for routine identification purposes.
    (iv) When access is requested by mail, identity verification may 
consist of the individual providing certain minimum identifying data, 
such as full name, date and place of birth, or such other personal 
information necessary to locate the record sought and information that 
is ordinarily only known to the individual. If the information sought 
is of a sensitive nature, additional identifying data may be required. 
An unsworn declaration under penalty of perjury (28 U.S.C. 1746, 
``Unsworn Declaration under Penalty of Perjury'') or notarized 
signatures are acceptable as a means of proving the identity of the 
individual.
    (A) If an unsworn declaration is executed within the United States, 
its territories, possessions, or commonwealths, it shall read ``I 
declare (or certify, verify, or state) under penalty of perjury that 
the foregoing is true and correct. Executed on (date). (Signature).''
    (B) If an unsworn declaration is executed outside the United 
States, it shall read ``I declare (or certify, verify, or state) under 
penalty of perjury under the laws of the United States of America that 
the foregoing is true and correct. Executed on (date). (Signature).''
    (v) If an individual wishes to be accompanied by a third party when 
seeking access to his or her records or to have the records released 
directly to a third party, the individual may be required to furnish a 
signed access authorization granting the third-party access.
    (vi) An individual shall not be refused access to his or her record 
solely because he or she refuses to divulge his or her SSN unless the 
SSN is the only method by which retrieval can be made. (See Sec.  
310.15(b)).
    (vii) The individual is not required to explain or justify his or 
her need for access to any record under this part.

[[Page 40291]]

    (viii) Only a denial authority may deny access and the denial must 
be in writing and contain the information required by 310.18.
    (d) Granting individual access to records. (1) Grant the individual 
access to the original record or an exact copy of the original record 
without any changes or deletions, except when deletions have been made 
in accordance with paragraph (e) of this Section. For the purpose of 
granting access, a record that has been amended under Sec.  310.19(b)is 
considered to be the original. See paragraph (e) of this Section for 
the policy regarding the use of summaries and extracts.
    (2) Provide exact copies of the record when furnishing the 
individual copies of records under this part.
    (3) Explain in terms understood by the requestor any record or 
portion of a record that is not clear.
    (e) Illegible, incomplete, or partially exempt records. (1) Do not 
deny an individual access to a record or a copy of a record solely 
because the physical condition or format of the record does not make it 
readily available (for example, deteriorated state or on magnetic 
tape). Either prepare an extract or recopy the document exactly.
    (2) If a portion of the record contains information is exempt from 
access, an extract or summary containing all of the information in the 
record that is releasable shall be prepared.
    (3) When the physical condition of the record or its state makes it 
necessary to prepare an extract for release, ensure the extract can be 
understood by the requester.
    (4) Explain to the requester all deletions or changes to the 
records.
    (f) Access to medical records. (1) Access to medical records is not 
only governed by the access provisions of this part but also by the 
access provisions of DoD 6025.18-R. The Privacy Act, as implemented by 
this part, however, provides greater access to an individual's medical 
record that that authorized by DoD 6025.18-R.
    (2) Medical records in a system of records shall be disclosed to 
the individual to whom they pertain, even if a minor, unless it is 
believed that access to such records could have an adverse effect on 
the mental or physical health of the individual or may result in harm 
to a third party. This determination shall be made in consultation with 
a medical doctor.
    (3) If it is determined that the release of the medical information 
may be harmful to the mental or physical health of the individual or to 
a third party:
    (i) Send the record to a physician named by the individual; and
    (ii) In the transmittal letter to the physician explain why access 
by the individual without proper professional supervision could be 
harmful (unless it is obvious from the record).
    (4) Do not require the physician to request the records for the 
individual.
    (5) If the individual refuses or fails to designate a physician, 
the record shall not be provided. Such refusal of access is not 
considered a denial under the Privacy Act (see paragraph (a) of Sec.  
310.18).
    (6) If records are provided the designated physician, but the 
physician declines or refuses to provide the records to the individual, 
the DoD Component is under an affirmative duty to take action to 
deliver the records to the individual by whatever means deemed 
appropriate. Such action should be taken expeditiously especially if 
there has been a significant delay between the time the records were 
furnished the physician and the decision by the physician not to 
release the records.
    (7) Access to a minor's medical records may be granted to his or 
her parents or legal guardians. However, access may be subject to one 
or more of the below restrictions:
    (i) In the United States, the laws of the particular State in which 
the records are located may afford special protection to certain types 
of medical records (for example, records dealing with treatment for 
drug or alcohol abuse and certain psychiatric records). Even if the 
records are maintained by a military medical facilities these statutes 
may apply.
    (ii) For the purposes of parental access to the medical records and 
medical determinations regarding minors at overseas installation the 
age of majority is 18 years except when:
    (A) A minor at the time he or she sought or consented to the 
treatment was between 15 and 17 years of age;
    (B) The treatment was sought in a program that was authorized by 
regulation or statute to offer confidentiality of treatment records as 
a part of the program;
    (C) The minor specifically requested or indicated that he or she 
wished the treatment record to be handled with confidence and not 
released to a parent or guardian; and
    (D) The parent or guardian seeking access does not have the written 
authorization of the minor or a valid court order granting access.
    (iii) If all four of the above conditions are met, the parent or 
guardian shall be denied access to the medical records of the minor. Do 
not use these procedures to deny the minor access to his or her own 
records under this part or any other statutes.
    (8) All members of the Military Services and all married persons 
are not considered minors regardless of age, and the parents of these 
individuals do not have access to their medical records without written 
consent of the individual.
    (g) Access to information compiled in anticipation of civil action 
(see Sec.  310.27).
    (h) Non-Agency Records. (1) Certain documents under the physical 
control of DoD personnel and used to assist them in performing official 
functions, are not considered ``Agency records'' within the meaning of 
this part. Uncirculated personal notes and records that are not 
disseminated or circulated to any person or organization (for example, 
personal telephone lists or memory aids) that are retained or discarded 
at the author's discretion and over which the Component exercises no 
direct control are not considered Agency records. However, if personnel 
are officially directed or encouraged, either in writing or orally, to 
maintain such records, they may become ``Agency records,'' and may be 
subject to this part.
    (2) The personal uncirculated handwritten notes of unit leaders, 
office supervisors, or military supervisory personnel concerning 
subordinates are not systems of records within the meaning of this 
part. Such notes are an extension of the individual's memory. These 
notes, however, must be maintained and discarded at the discretion of 
the individual supervisor and not circulated to others. Any established 
requirement to maintain such notes (such as, written or oral 
directives, regulations, or command policy) may transform these notes 
into ``Agency records'' and they then must be made a part of a system 
of records. If the notes are circulated, they must be made a part of a 
system of records. Any action that gives personal notes the appearance 
of official Agency records is prohibited, unless the notes have been 
incorporated into a system of records.
    (i) Relationship between the Privacy Act (5 U.S.C. 552a) and the 
FOIA (5 U.S.C. 552). Not all requesters are knowledgeable of the 
appropriate statutory authority to cite when requesting records. In 
some instances, they may cite neither Act, but will imply one or both 
Acts. The below guidelines are provided to ensure requesters are given 
the maximum amount of information as authorized under both statutes.
    (1) Process requests for individual access as follows:

[[Page 40292]]

    (i) If the records are required to be released under the Privacy 
Act, the FOIA (32 CFR part 286) does not bar release even if a FOIA 
exemption could be invoked if the request had been processed solely 
under FOIA. Conversely, if the records are required to be released 
under the FOIA, the Privacy Act does not bar disclosure.
    (ii) Requesters who seek records about themselves contained in a 
Privacy Act system of records, and who cite or imply only the Privacy 
Act, will have their records processed under the provisions of this 
part and the FOIA (32 CFR part 286). If the system of records is exempt 
from the access provisions of this part, and if the records, or any 
portion thereof, are exempt under the FOIA, the requester shall be 
advised and informed of the appropriate Privacy and FOIA exemption. 
Only if the records can be denied under both statutes may the 
Department withhold the records from the individual. Appeals shall be 
processed under both Acts.
    (iii) Requesters who seek records about themselves that are not 
contained in a Privacy Act system of records, and who cite or imply 
only the Privacy Act, will have their requests processed under the 
provisions of the FOIA (32 CFR part 286), because the access provisions 
of this part do not apply. Appeals shall be processed under the FOIA.
    (iv) Requesters who seek records about themselves that are 
contained in a Privacy Act system of records, and who cite or imply the 
FOIA or both Acts, will have their requests processed under the 
provisions of this part and the FOIA (32 CFR part 286). If the system 
of records is exempt from the access provisions of this part, and if 
the records, or any portion thereof, are exempt under the FOIA, the 
requester shall be advised and informed of the appropriate Privacy and 
FOIA exemption. Appeals shall be processed under both Acts.
    (v) Requesters who seek records about themselves that are not 
contained in a Privacy Act system of records, and who cite or imply the 
Privacy Act and FOIA, will have their requests processed under the FOIA 
(32 CFR part 286), because the access provisions of this part do not 
apply. Appeals shall be processed under the FOIA.
    (2) Do not deny individuals' access to personal information 
concerning themselves that would otherwise be releasable to them under 
either Act solely because they fail to cite or imply either Act or cite 
the wrong Act or part.
    (3) Explain to the requester which Act(s) was(were) used when 
granting or denying access under either Act.
    (j) Time limits. DoD Components normally shall acknowledge requests 
for access within 10 working days after receipt and provide access 
within 30 working days.
    (k) Privacy case file. Establish a Privacy Act case file when 
required. (see paragraph (p) of Sec.  310.19).


Sec.  310.18  Denial of individual access.

    (a) Denying individual access. (1) An individual may be denied 
access to a record pertaining to him or her only if the record:
    (i) Was compiled in reasonable anticipation of a civil action or 
proceeding (see Sec.  310.27).
    (ii) Is in a system of records that has been exempted from the 
access provisions of this part under one of the permitted exemptions. 
(see Sec.  310.28 and Sec.  310.29).
    (iii) Contains classified information that has been exempted from 
the access provision of this part under the blanket exemption for such 
material claimed for all DoD records systems. (see 310.26(c)).
    (iv) Is contained in a system of records for which access may be 
denied under some other Federal statute that excludes the record from 
coverage of the Privacy Act (5 U.S.C 552a).
    (2) Where a basis for denial exists, do not deny the record, or 
portions of the record, if denial does not serve a legitimate 
governmental purpose.
    (b) Other reasons to refuse access: (1) An individual may be 
refused access if:
    (i) The record is not described well enough to enable it to be 
located with a reasonable amount of effort on the part of an employee 
familiar with the file; or
    (ii) Access is sought by an individual who fails or refuses to 
comply with the established procedural requirements, including refusing 
to name a physician to receive medical records when required (see 
paragraph (f) of Sec.  310.17) or to pay fees (see Sec.  310.20).
    (2) Always explain to the individual the specific reason access has 
been refused and how he or she may obtain access.
    (c) Notifying the individual. Formal denials of access must be in 
writing and include as a minimum:
    (1) The name, title or position, and signature of a designated 
Component denial authority.
    (2) The date of the denial.
    (3) The specific reason for the denial, including specific citation 
to the appropriate sections of the Privacy Act (5 U.S.C. 552a) or other 
statutes, this part, DoD Component instructions, or CFR authorizing the 
denial;
    (4) Notice to the individual of his or her right to appeal the 
denial through the Component appeal procedure within 60 calendar days; 
and
    (5) The title or position and address of the Privacy Act appeals 
official for the Component.
    (d) DoD Component appeal procedures. Establish internal appeal 
procedures that, as a minimum, provide for:
    (1) Review by the Head of the Component or his or her designee of 
any appeal by an individual from a denial of access to Component 
records.
    (2) Formal written notification to the individual by the appeal 
authority that shall:
    (i) If the denial is sustained totally or in part, include as a 
minimum:
    (A) The exact reason for denying the appeal to include specific 
citation to the provisions of the Act or other statute, this part, 
Component instructions or the CFR upon which the determination is 
based;
    (B) The date of the appeal determination;
    (C) The name, title, and signature of the appeal authority; and
    (D) A statement informing the applicant of his or her right to seek 
judicial relief.
    (ii) If the appeal is granted, notify the individual and provide 
access to the material to which access has been granted.
    (3) The written appeal notification granting or denying access is 
the final Component action as regards access.
    (4) The individual shall file any appeal from denial of access 
within no less than 60 calendar days of receipt of the denial 
notification.
    (5) Process all appeals within 30 days of receipt unless the appeal 
authority determines that a fair and equitable review cannot be made 
within that period. Notify the applicant in writing if additional time 
is required for the appellate review. The notification must include the 
reasons for the delay and state when the individual may expect an 
answer to the appeal.
    (e) Denial of appeals by failure to act. A requester may consider 
his or her appeal formally denied if the appeal authority fails:
    (1) To act on the appeal within 30 days;
    (2) To provide the requester with a notice of extension within 30 
days; or
    (3) To act within the time limits established in the Component's 
notice of extension (see paragraph (d)(5) of this section).
    (f) Denying access to OPM records held by the DoD Components. (1) 
The records in all systems of records maintained in accordance with the 
OPM Government-wide system notices are technically only in the 
temporary custody of the Department of Defense.

[[Page 40293]]

    (2) All requests for access to these records must be processed in 
accordance with 5 CFR part 297 as well as applicable Component 
procedures.
    (3) When a DoD Component refuses to grant access to a record in an 
OPM system, the Component shall advise the individual that his or her 
appeal must be directed to the Assistant Director for Workforce 
Information, Personnel Systems and Oversight Group, U.S. Office of 
Personnel Management, 1900 E Street, NW., Washington, DC in accordance 
with the procedures of 5 CFR part 297.


Sec.  310.19  Amendment of records.

    (a) Individual review and correction. Individuals are encouraged to 
review the personal information being maintained about them by the DoD 
Components periodically and to avail themselves of the procedures 
established by this part and other Regulations to update their records.
    (b) Amending records. (1) An individual may request the amendment 
of any record contained in a system of records pertaining to him or her 
unless the system of record has been exempted specifically from the 
amendment procedures of this Regulation under paragraph (b) of Sec.  
310.26. Normally, amendments under this part are limited to correcting 
factual matters and not matters of official judgment, such as 
performance ratings, promotion potential, and job performance 
appraisals.
    (2) While a Component may require that the request for amendment be 
in writing, this requirement shall not be used to discourage 
individuals from requesting valid amendments or to burden needlessly 
the amendment process.
    (3) A request for amendment must include:
    (i) A description of the item or items to be amended;
    (ii) The specific reason for the amendment;
    (iii) The type of amendment action sought (deletion, correction, or 
addition); and
    (iv) Copies of available documentary evidence supporting the 
request.
    (c) Burden of proof. The applicant must support adequately his or 
her claim.
    (d) Identification of requesters. (1) Individuals may be required 
to provide identification to ensure that they are indeed seeking to 
amend a record pertaining to themselves and not, inadvertently or 
intentionally, the record of others.
    (2) The identification procedures shall not be used to discourage 
legitimate requests or to burden needlessly or delay the amendment 
process. (see paragraph (c) of Sec.  310.17)
    (e) Limits on attacking evidence previously submitted. (1) The 
amendment process is not intended to permit the alteration of records 
presented in the course of judicial or quasi-judicial proceedings. Any 
amendments or changes to these records normally are made through the 
specific procedures established for the amendment of such records.
    (2) Nothing in the amendment process is intended or designed to 
permit a collateral attack upon what has already been the subject of a 
judicial or quasi-judicial determination. However, while the individual 
may not attack the accuracy of the judicial or quasi-judicial 
determination under this part, he or she may challenge the accuracy of 
the recording of that action.
    (f) Sufficiency of a request to amend. Consider the following 
factors when evaluating the sufficiency of a request to amend:
    (1) The accuracy of the information; and
    (2) The relevancy, timeliness, completeness, and necessity of the 
recorded information.
    (g) Time limits. (1) Provide written acknowledgement of a request 
to amend within 10 working days of its receipt by the appropriate 
systems manager. There is no need to acknowledge a request if the 
action is completed within 10 working days and the individual is so 
informed.
    (2) The letter of acknowledgement shall clearly identify the 
request and advise the individual when he or she may expect to be 
notified of the completed action.
    (3) Only under the most exceptional circumstances shall more than 
30 days be required to reach a decision on a request to amend. Document 
fully and explain in the Privacy Act case file (see paragraph (p) of 
this section) any such decision that takes more than 30 days to 
resolve.
    (h) Agreement to amend. If the decision is made to grant all or 
part of the request for amendment, amend the record accordingly and 
notify the requester.
    (i) Notification of previous recipients. (1) Notify all previous 
recipients of the record, as reflected in the disclosure accounting 
records, that an amendment has been made and the substance of the 
amendment. Recipients who are known to be no longer retaining the 
information need not be advised of the amendment. All DoD Components 
and Federal agencies known to be retaining the record or information, 
even if not reflected in a disclosure record, shall be notified of the 
amendment. Advise the requester of these notifications.
    (2) Honor all requests by the requester to notify specific Federal 
agencies of the amendment action.
    (j) Denying amendment. If the request for amendment is denied in 
whole or in part, promptly advise the individual in writing of the 
decision, to include:
    (1) The specific reason and authority for not amending;
    (2) Notification that he or she may seek further independent review 
of the decision by the Head of the DoD Component or his or her 
designee;
    (3) The procedures for appealing the decision, citing the position 
and address of the official to whom the appeal shall be addressed; and
    (4) Where he or she can receive assistance in filing the appeal.
    (k) DoD Component appeal procedures. Establish procedures to ensure 
the prompt, complete, and independent review of each amendment denial 
upon appeal by the individual. These procedures must ensure that:
    (1) The appeal, with all supporting material, both that furnished 
by the individual and that contained in Component records, is provided 
to the reviewing official; and
    (2) If the appeal is denied completely or in part, the individual 
is notified in writing by the reviewing official that:
    (i) The appeal has been denied and the specific reason and 
authority for the denial;
    (ii) The individual may file a statement of disagreement with the 
appropriate authority, and the procedures for filing this statement;
    (iii) If filed properly, the statement of disagreement shall be 
included in the records, furnished to all future recipients of the 
records, and provided to all prior recipients of the disputed records 
who are known to hold the record; and
    (iv) The individual may seek a judicial review of the decision not 
to amend.
    (3) If the record is amended, ensure that:
    (i) The requester is notified promptly of the decision;
    (ii) All prior known recipients of the records who are known to be 
retaining the record are notified of the decision and the specific 
nature of the amendment (see (l) of this Section); and
    (iii) The requester is notified which DoD Components and Federal 
agencies have been told of the amendment.
    (4) Process all appeals within 30 days unless the appeal authority 
determines that a fair review cannot be made within this time limit. If 
additional time is

[[Page 40294]]

required for the appeal, notify the requester, in writing, of the 
delay, the reason for the delay, and when he or she may expect a final 
decision on the appeal. Document fully all requirements for additional 
time in the Privacy Case File. (See paragraph (p) of this section)
    (l) Denying amendment of OPM records held by the DoD Components. 
(1) The records in all systems of records controlled by the OPM 
Government-wide system notices are technically only temporarily in the 
custody of the Department of Defense.
    (2) All requests for amendment of these records must be processed 
in accordance with 5 CFR part 297. The Component denial authority may 
deny a request. However, when an amendment request is denied, the DoD 
Component shall advise the individual that his or her appeal must be 
directed to the Assistant Director for Workforce Information, Personnel 
Systems and Oversight Group, U.S. Office of Personnel Management, 1900 
E Street, Washington, DC 20415 in accordance with the procedures of 5 
CFR part 297.
    (m) Statements of disagreement submitted by individuals. (1) If the 
appellate authority refuses to amend the record as requested, the 
individual may submit a concise statement of disagreement setting forth 
his or her reasons for disagreeing with the decision not to amend.
    (2) If an individual chooses to file a statement of disagreement, 
annotate the record to indicate that the statement has been filed (see 
paragraph (n) of this section).
    (3) Furnish copies of the statement of disagreement to all DoD 
Components and Federal agencies that have been provided copies of the 
disputed information and who may be maintaining the information.
    (n) Maintaining statements of disagreement. (1) When possible, 
incorporate the statement of disagreement into the record.
    (2) If the statement cannot be made a part of the record, establish 
procedures to ensure that it is apparent from the records a statement 
of disagreement has been filed and maintain the statement so that it 
can be obtained readily when the disputed information is used or 
disclosed.
    (3) Automated record systems that are not programmed to accept 
statements of disagreement shall be annotated or coded so they clearly 
indicate that a statement of disagreement is on file, and clearly 
identify the statement with the disputed information in the system.
    (4) Provide a copy of the statement of disagreement whenever the 
disputed information is disclosed for any purpose.
    (o) The DoD Component statement of reasons for refusing to amend. 
(1) A statement of reasons for refusing to amend may be included with 
any record for which a statement of disagreement is filed.
    (2) Include in this statement only the reasons furnished to the 
individual for not amending the record. Do not comment on or respond to 
comments contained in the statement of disagreement. Normally, both 
statements are filed together.
    (3) When disclosing information for which a statement of reasons 
has been filed, a copy of the statement may be released whenever the 
record and the statement of disagreement are disclosed.
    (p) Privacy case files. (1) Establish a separate Privacy case file 
to retain the documentation received and generated during the amendment 
or access process.
    (2) The Privacy case file shall contain as a minimum:
    (i) The request for amendment and access.
    (ii) Copies of the DoD Component's reply granting or denying the 
request;
    (iii) Any appeals from the individual;
    (iv) Copies of the action regarding the appeal with supporting 
documentation that is not in the basic file; and
    (v) Any other correspondence generated in processing the appeal, to 
include coordination documentation.
    (3) Only the items listed in paragraphs (p)(4) and (p)(5) of this 
section may be included in the system of records challenged for 
amendment or for which access is sought. Do not retain copies of the 
original record in the basic record system if the request for amendment 
is granted and the record has been amended.
    (4) The following items relating to an amendment request may be 
included in the disputed record system:
    (i) Copies of the amended record.
    (ii) Copies of the individual's statement of disagreement (see 
paragraph (m) of this section).
    (iii) Copies of the Component's statement of reasons for refusing 
to amend (see paragraph (o) of this section).
    (iv) Supporting documentation submitted by the individual.
    (5) The following items relating to an access request may be 
included in the basic records system:
    (i) Copies of the request;
    (ii) Copies of the Component's action granting total or partial 
access. (Note: A separate Privacy case file need not be created in such 
cases.)
    (iii) Copies of the Component's action denying access.
    (iv) Copies of any appeals filed.
    (v) Copies of the reply to the appeal.
    (6) Privacy case files shall not be furnished or disclosed to 
anyone for use in making any determination about the individual other 
than determinations made under this part.


Sec.  310.20  Reproduction fees.

    (a) Assessing fees. (1) Charge the individual only the direct cost 
of reproduction.
    (2) Do not charge reproduction fees if copying is:
    (i) The only means to make the record available to the individual 
(for example, a copy of the record must be made to delete classified 
information); or
    (ii) For the convenience of the DoD Component (for example, the 
Component has no reading room where an individual may review the 
record, or reproduction is done to keep the original in the Component's 
file).
    (iii) No fees shall be charged when the record may be obtained 
without charge under any other Regulation, Directive, or statute.
    (iv) Do not use fees to discourage requests.
    (b) No minimum fees authorized. Use fees only to recoup direct 
reproduction costs associated with granting access. Minimum fees for 
duplication are not authorized and there is no automatic charge for 
processing a request.
    (c) Prohibited fees. Do not charge or collect fees for:
    (1) Search and retrieval of records;
    (2) Review of records to determine releasability;
    (3) Copying records for the DoD Component convenience or when the 
individual has not specifically requested a copy;
    (4) Transportation of records and personnel; or
    (5) Normal postage.
    (d) Waiver of fees. (1) Normally, fees are waived automatically if 
the direct costs of a given request are less than $30. This fee waiver 
provision does not apply when a waiver has been granted to the 
individual before, and later requests appear to be an extension or 
duplication of that original request. A DoD Component may, however, set 
aside this automatic fee waiver provision when, on the basis of good 
evidence, it determines the waiver of fees is not in the public 
interest.
    (2) Decisions to waiver or reduce fees that exceed the automatic 
waiver threshold shall be made on a case-by-case basis.
    (e) Fees for Members of Congress. Do not charge members of Congress 
for copying records furnished even when the records are requested under 
the

[[Page 40295]]

Privacy Act on behalf of a constituent (See Sec.  310.22(i)). When 
replying to a constituent inquiry and the fees involved are 
substantial, consider suggesting to the Congressman that the 
constituent can obtain the information directly by writing to the 
appropriate offices and paying the costs. When practical, suggest to 
the Congressman that the record can be examined at no cost if the 
constituent wishes to visit the custodian of the record.
    (f) Reproduction fees computation. Compute fees using the 
appropriate portions of the fee schedule in 32 CFR part 286.

Subpart E--Disclosure of personal information to other agencies and 
third parties


Sec.  310.21  Conditions of disclosure.

    (a) Disclosures to third parties. (1) The Privacy Act only compels 
disclosure of records from a system of records to the individuals to 
whom they pertain unless the records are contained in a system for 
which an exemption to the access provisions of this part has been 
claimed.
    (2) Requests by other individuals (third parties) for the records 
of individuals that are contained in a system of records shall be 
processed under 32 CFR part 286 except for requests by the parents of a 
minor or the legal guardian of an individual for access to the records 
pertaining to the minor or individual.
    (b) Disclosures among the DoD Components. For the purposes of 
disclosure and disclosure accounting, the Department of Defense is 
considered a single agency (see Sec.  310.22(a)).
    (c) Disclosures outside the Department of Defense. Do not disclose 
personal information from a system of records outside the Department of 
Defense unless:
    (1) The record has been requested by the individual to whom it 
pertains.
    (2) The written consent of the individual to whom the record 
pertains has been obtained for release of the record to the requesting 
Agency, activity, or individual; or
    (3) The release is authorized pursuant to one of the specific non-
consensual conditions of disclosure as set forth in Sec.  310.22.
    (d) Validation before disclosure. Except for releases made in 
accordance with 32 CFR part 286, the following steps shall be taken 
before disclosing any records to any recipient outside the Department 
of Defense, other than a Federal agency or the individual to whom it 
pertains:
    (1) Ensure the records are accurate, timely, complete, and relevant 
for agency purposes;
    (2) Contact the individual, if reasonably available, to verify the 
accuracy, timeliness, completeness, and relevancy of the information, 
if this cannot be determined from the record; or
    (3) If the information is not current and the individual is not 
reasonably available, advise the recipient that the information is 
believed accurate as of a specific date and any other known factors 
bearing on its accuracy and relevancy.


Sec.  310.22  Non-consensual conditions of disclosure.

    (a) Disclosures within the Department of Defense. (1) Records 
pertaining to an individual may be disclosed to a DoD official or 
employee provided:
    (i) The requester has a need for the record in the performance of 
his or her assigned duties. The requester shall articulate in 
sufficient detail why the records are required so the custodian of the 
records may make an informed decision regarding their release;
    (ii) The intended use of the record generally relates to the 
purpose for which the record is maintained; and
    (iii) Only those records as are minimally required to accomplish 
the intended use are disclosed. The entire record is not released if 
only a part of the record will be responsive to the request.
    (2) Rank, position, or title alone does not authorize access to 
personal information about others.
    (b) Disclosures required by the FOIA. (1) All records must be 
disclosed if their release is required by FOIA (5 U.S.C. 552), as 
implemented by 32 CFR part 286. The FOIA requires records be made 
available to the public unless withholding is authorized pursuant to 
one of nine exemptions or one of three law enforcement exclusions under 
the Act.
    (i) The DoD Component must be in receipt of a FOIA request and a 
determination made that the records are not withholdable pursuant to a 
FOIA exemption or exclusion before the records may be disclosed.
    (ii) Records that have traditionally been released to the public by 
the Components may be disclosed whether or not a FOIA request has been 
received.
    (2) The standard for exempting most personal records, such as 
personnel, medical, and similar records, is FOIA Exemption 6 (32 CFR 
286.12(e)). Under that exemption, records can be withheld when 
disclosure, if other than to the individual about whom the information 
pertains, would result in a clearly unwarranted invasion of the 
individual's personal privacy.
    (3) The standard for exempting personal records compiled for law 
enforcement purposes, including personnel security investigation 
records, is FOIA Exemption 7(C) (32 CFR 286.12(g)). Under that 
exemption, records can be withheld when disclosure, if other than to 
the individual about whom the information pertains, would result in an 
unwarranted invasion of the individual's personal privacy.
    (4) If records or information are exempt from disclosure pursuant 
to the standards set forth in paragraphs (b)(2) and/or (b)(3) of this 
section, and the records are contained in a system of records (See 
Sec.  310.10(a) of subpart B, the Privacy Act (5 U.S.C. 552a) prohibits 
release.
    (5) Personal information that is normally releasable--(i) DoD 
civilian employees. (A) Some examples of personal information regarding 
DoD civilian employees that normally may be released without a clearly 
unwarranted invasion of personal privacy include:
    (1) Name.
    (2) Present and past position titles.
    (3) Present and past grades.
    (4) Present and past annual salary rates.
    (5) Present and past duty stations.
    (6) Position descriptions.
    (B) All disclosures of personal information regarding Federal 
civilian employees shall be made in accordance with OPM release 
policies (see 5 CFR 293.311).
    (ii) Military members. (A) While it is not possible to identify 
categorically information that must be released or withheld from 
military personnel records in every instance, the following items of 
personal information regarding military members normally may be 
disclosed without a clearly unwarranted invasion of their personal 
privacy:
    (1) Full name.
    (2) Rank.
    (3) Date of rank.
    (4) Gross salary.
    (5) Past duty assignments.
    (6) Present duty assignment.
    (7) Future assignments that are officially established.
    (8) Office or duty telephone numbers.
    (9) Source of commission.
    (10) Promotion sequence number.
    (11) Awards and decorations.
    (12) Attendance at professional military schools.
    (13) Duty status at any given time.
    (14) Home of record (identification of the state only).

[[Page 40296]]

    (15) Length of military service.
    (16) Basic Pay Entry Date.
    (17) Official Photo.
    (B) All disclosures of personal information regarding military 
members shall be made in accordance with 32 CFR part 286.
    (iii) Civilian employees not under the authority of OPM. (A) While 
it is not possible to identify categorically those items of personal 
information that must be released regarding civilian employees not 
subject to 5 CFR parts 293, 294, and 297, such as nonappropriated fund 
employees, normally the following items may be released without a 
clearly unwarranted invasion of personal privacy:
    (1) Full name.
    (2) Grade or position.
    (3) Date of grade.
    (4) Gross salary.
    (5) Present and past assignments.
    (6) Future assignments, if officially established.
    (7) Office or duty telephone numbers.
    (B) All releases of personal information regarding civilian 
personnel in this category shall be made in accordance with 32 CFR part 
286.
    (6) When military or civilian personnel are assigned, detailed, or 
employed by the National Security Agency, the Defense Intelligence 
Agency, the National Reconnaissance Office, or the National Geospatial-
Intelligence Agency, information about such personnel may only be 
disclosed as authorized by Public Law 86-36 (``National Security 
Agency--Officers and Employees'') and 10 U.S.C 424 (Disclosure of 
Organizational and Personnel Information: Exemption for Specified 
Intelligence Agencies''). When military and civilian personnel are 
assigned, detailed or employed by an overseas unit, a sensitive unit, 
or to a routinely deployable unit, information about such personnel may 
only be disclosed as authorized by 10 U.S.C. 130b (``Personnel in 
Overseas, Sensitive, or Routinely Deployed Units: Nondisclosure of 
Personally Identifying Information'').
    (7) Information about military or civilian personnel that otherwise 
may be disclosable consistent with Sec.  310.22(b)(5) may not be 
releasable if a requester seeks listings of personnel currently or 
recently assigned/detailed/employed within a particular component, 
unit, organization or office with the Department of Defense if the 
disclosure of such a list would pose a privacy or security threat.
    (c) Disclosures for established routine uses. (1) Records may be 
disclosed outside the Department of Defense pursuant to a routine use 
that has been established for the system of records that contains the 
records.
    (2) A routine use shall:
    (i) Be compatible with the purpose for which the record was 
collected;
    (ii) Identify the persons or organizations to whom the record may 
be released;
    (iii) Identify specifically the intended uses of the information by 
the persons or organization; and
    (iv) Have been published in the Federal Register (see Sec.  
310.32(i)).
    (3) If a Federal statute or an E.O. of the President directs 
records contained in a system of records be disclosed outside the 
Department of Defense, the statute or E.O. serves as authority for the 
establishment of a routine use.
    (4) New or altered routine uses must be published in the Federal 
Register at least 30 days before any records may be disclosed pursuant 
to the terms of the routine use (see subpart G of this part).
    (5) In addition to the routine uses established for each of the 
individual system notices, blanket routine uses have been established 
(see Appendix C) are applicable to all DoD system of records. These 
blanket routine uses are published only at the beginning of the listing 
of system notices for each Component in the Federal Register. Each 
system notice shall expressly state whether or not the blanket routine 
uses apply to the system of records.
    (d) Disclosures to the Bureau of the Census. Records in DoD systems 
of records may be disclosed without the consent of the individuals to 
whom they pertain to the Bureau of the Census for purposes of planning 
or carrying out a census survey or related activities pursuant to the 
provisions of 13 U.S.C. 6 (``Information from other Federal Departments 
and Agencies'').
    (e) Disclosures for statistical research or reporting. (1) Records 
may be disclosed for statistical research or reporting but only after 
the intended recipient provides, in writing, the purpose for which the 
records are sought and assurances that the records will be used only 
for statistical research or reporting purposes.
    (2) The records shall be transferred to the requester in a form 
that is not individually identifiable. DoD Components disclosing 
records under this provision are required to assure information being 
disclosed cannot reasonably be used in any way to make determinations 
about individuals.
    (3) The records will not be used, in whole or in part, to make any 
determination about the rights, benefits, or entitlements of specific 
individuals.
    (4) The written statement by the requester shall be made part of 
the Component's accounting of disclosures (See paragraph (a) of 
310.25).
    (f) Disclosures to the National Archives and Record Administration 
(NARA), General Services Administration (GSA).
    (1) Records may be disclosed to the NARA if they:
    (i) Have historical or other value to warrant continued 
preservation; or
    (ii) For evaluation by the Archivist of the United States, or his 
or her designee, to determine if a record has such historical or other 
value.
    (2) Records transferred to a Federal Records Center (FRC) for 
safekeeping and storage do not fall within this category. These records 
are owned by the Component and remain under the control of the 
transferring Component. FRC personnel are considered agents of the 
Component that retains control over the records. No disclosure 
accounting is required for the transfer of records to the FRCs.
    (g) Disclosures for law enforcement purposes. (1) Records may be 
disclosed to another Agency or an instrumentality of any Governmental 
jurisdiction within or under the control of the United States for a 
civil or criminal law enforcement activity, provided:
    (i) The civil or criminal law enforcement activity is authorized by 
law;
    (ii) The head of the law enforcement activity or a designee has 
made a written request specifying the particular records desired and 
the law enforcement purpose (such as criminal investigations, 
enforcement of a civil law, or a similar purpose) for which the record 
is sought; and
    (iii) There is no Federal statute that prohibits the disclosure of 
the records.
    (2) Blanket requests for any and all records pertaining to an 
individual shall not be honored absent justification.
    (3) When a record is released to a law enforcement activity under 
this subparagraph, the disclosure accounting (see Sec.  310.25) for the 
release shall not be made available to the individual to whom the 
record pertains if the law enforcement activity requests that the 
disclosure not be disclosed.
    (4) The blanket routine use for law enforcement (Appendix C, 
Section A) applies to all DoD Component systems notices (see paragraph 
(b)(6) of this section). This permits Components, on their own 
initiative, to report indications of violations of law found in a 
system of records to a law enforcement activity.
    (5) Disclosures may be made to Federal, State, or local, but not 
foreign law enforcement agencies. Disclosures to foreign law 
enforcement agencies

[[Page 40297]]

may be made if a routine use has been established for the system of 
records from which the records are to be released.
    (h) Emergency disclosures. (1) Records may be disclosed if 
disclosure is made under compelling circumstances affecting the health 
or safety of any individual. The affected individual need not be the 
subject of the record disclosed.
    (2) When such a disclosure is made, the Component shall notify the 
individual who is the subject of the record. Notification sent to the 
last known address of the individual as known to the Component is 
sufficient.
    (3) The specific data to be disclosed is at the discretion of the 
Component.
    (4) Emergency medical information may be released by telephone.
    (i) Disclosures to Congress and the GAO. (1) Records may be 
disclosed to either House of the Congress or to any committee, joint 
committee or subcommittee of Congress if the release pertains to a 
matter within the jurisdiction of the committee. Records may also be 
disclosed to the GAO in the course of the activities of GAO.
    (2) The blanket routine use for ``Congressional Inquiries'' (see 
Appendix C, Section D) applies to all systems; therefore, there is no 
need to verify that the individual has authorized the release of his or 
her record to a congressional member when responding to a congressional 
constituent inquiry.
    (3) If necessary, accept constituent letters requesting a member of 
Congress to investigate a matter pertaining to the individual as 
written authorization to provide access to the records to the 
congressional member or his or her staff.
    (4) The verbal statement by a Congressional staff member is 
acceptable to establish that a request has been received from the 
person to whom the records pertain.
    (5) If the constituent inquiry is being made on behalf of someone 
other than the individual to whom the record pertains, provide the 
Congressional member only information releasable under 32 CFR part 286. 
Advise the Congressional member that the written consent of the 
individual to whom the record pertains is required before any 
additional information may be released. Do not contact individuals to 
obtain their consents for release to Congressional members unless a 
Congressional office specifically requests that this be done.
    (6) Nothing in paragraph (i)(2) of this section prohibits a 
Component, when appropriate, from providing the record directly to the 
individual and notifying the Congressional office that this has been 
done without providing the record to the Congressional member.
    (7) See paragraph (e) of Sec.  310.20 for the policy on assessing 
fees for Members of Congress.
    (8) Make a disclosure accounting each time a record is disclosed to 
either House of Congress, to any committee, joint committee, or 
subcommittee of Congress, to any congressional member, or the GAO.
    (j) Disclosures under court orders. (1) Records may be disclosed 
without the consent of the person to whom they pertain under a court 
order signed by a judge of a court of competent jurisdiction.
    (2) When a record is disclosed under this provision, make 
reasonable efforts to notify the individual to whom the record 
pertains, if the legal process is a matter of public record.
    (3) If the process is not a matter of public record at the time it 
is issued, seek information as to when the process is to be made public 
and make reasonable efforts to notify the individual at that time.
    (4) Notification sent to the last known address of the individual 
as reflected in the records is considered a reasonable effort to 
notify.
    (5) Make a disclosure accounting each time a record is disclosed 
under a court order or compulsory legal process.
    (k) Disclosures to Consumer Reporting Agencies. (1) Certain 
personal information may be disclosed to consumer reporting agencies as 
provided in the Federal Claims Collection Act (31 U.S.C. 3711(e)).
    (2) Under the provisions of paragraph (k)(1) of this section, the 
following information may be disclosed to a consumer reporting agency:
    (i) Name, address, taxpayer identification number (SSN), and other 
information necessary to establish the identity of the individual.
    (ii) The amount, status, and history of the claim.
    (iii) The Agency or program under which the claim arose.
    (3) The Federal Claims Collection Act (31 U.S.C. 3711(e)) requires 
the system notice for the system of records from which the information 
will be disclosed, indicates that the information may be disclosed to a 
consumer reporting agency.


Sec.  310.23  Disclosures to commercial enterprises.

    (a) General policy. (1) Make releases of personal information to 
commercial enterprises under the criteria established by 32 CFR part 
286.
    (2) The relationship of commercial enterprises to their clients or 
customers and to the Department of Defense are not changed by this 
part.
    (3) The DoD policy on personal indebtedness for military personnel 
is contained 32 CFR part 112, ``Indebtedness of Military Personnel,'' 
and for civilian employees in 5 CFR part 735.
    (b) Release of personal information. (1) Any information that must 
be released under 32 CFR part 286, the ``DoD Freedom of Information Act 
Program,'' may be released to a commercial enterprise without the 
individual's consent (see paragraph (b) of Sec.  310.22).
    (2) Commercial enterprises may present a signed consent statement 
setting forth specific conditions for release of personal information. 
Statements such as the following, if signed by the individual, are 
considered valid:

    ``I hereby authorize the Department of Defense to verify my 
Social Security Number or other identifying information and to 
disclose my home address and telephone number to authorized 
representatives of (name of commercial enterprise) so that they may 
use this information in connection with my commercial dealings with 
that enterprise. All information furnished shall be used in 
connection with my financial relationship with (name of commercial 
enterprise).''

    (3) When a statement of consent as outlined in paragraph (b)(2) of 
this section is presented, provide the requested information if its 
release is not prohibited by some other regulation or statute.
    (4) Blanket statements of consent that do not identify the 
Department of Defense or any of its Components, or that do not specify 
exactly the type of information to be released, may be honored if it is 
clear the individual in signing the consent statement intended to 
obtain a personal benefit (for example, a loan to buy a house) and was 
aware of the type information that would be sought. Care should be 
exercised in these situations to release only the minimum amount of 
personal information essential to obtain the benefit sought.
    (5) Do not honor requests from commercial enterprises for official 
evaluation of personal characteristics, such as evaluation of personal 
financial habits.


Sec.  310.24  Disclosures to the public from medical records.

    (a) Disclosures from medical records are not only governed by the 
requirement of this part but also by the disclosure provisions of DoD 
6025.18-R.
    (b) Any medical records that are subject to both this part and DoD

[[Page 40298]]

6025.18-R may only be disclosed if disclosure is authorized under both. 
If disclosure is permitted under this part (e.g., pursuant to a routine 
use), but the disclosure is not authorized under DoD 6025.18-R, 
disclosure is not authorized. If a disclosure is authorized under DoD 
6025.18-R (e.g., releases outside the Department of Defense), but the 
disclosure is not authorized under this part, disclosure is not 
authorized.


Sec.  310.25  Disclosure accounting.

    (a) Disclosure accountings. (1) Keep an accurate record of all 
disclosures made from any system of records except disclosures:
    (i) To DoD personnel for use in the performance of their official 
duties; or
    (ii) Under 5 U.S.C. 552, the FOIA.
    (2) In all other cases a disclosure accounting is required even if 
the individual has consented to the disclosure of the information.
    (3) Disclosure accountings:
    (i) Permit individuals to determine to whom information has been 
disclosed;
    (ii) Enable the activity to notify past recipients of disputed or 
corrected information (Sec.  310.19(i)); and
    (iii) Provide a method of determining compliance with paragraph (c) 
of Sec.  310.21.
    (b) Contents of disclosure accountings. As a minimum, disclosure 
accounting shall contain:
    (1) The date of the disclosure.
    (2) A description of the information released.
    (3) The purpose of the disclosure.
    (4) The name and address of the person or Agency to whom the 
disclosure was made.
    (c) Methods of disclosure accounting. Use any system of disclosure 
accounting that shall provide readily the necessary disclosure 
information (see paragraph (a)(3) of this section).
    (d) Accounting for mass disclosures. When numerous similar records 
are released, identify the category of records disclosed and include 
the data required by paragraph (b) of this section in a form that can 
be used to construct an accounting disclosure record for individual 
records if required (see paragraph (a)(3) of this section).
    (e) Disposition of disclosure accounting records. Retain disclosure 
accounting records for 5 years after the disclosure or the life of the 
record, whichever is longer.
    (f) Furnishing disclosure accountings to the individual. (1) Make 
available to the individual to whom the record pertains all disclosure 
accountings except when:
    (i) The disclosure has been made to a law enforcement activity 
under paragraph (g) of Sec.  310.22 and the law enforcement activity 
has requested that disclosure not be made; or
    (ii) The system of records has been exempted from the requirement 
to furnish the disclosure accounting under the provisions of Sec.  
310.26(b).
    (2) If disclosure accountings are not maintained with the record 
and the individual requests access to the accounting, prepare a listing 
of all disclosures (see paragraph (b) of this section) and provide this 
to the individual upon request.

Subpart F--Exemptions


Sec.  310.26  Use and establishment of exemptions.

    (a) Types of exemptions. (1) There are three types of exemptions 
permitted by the Privacy Act (5 U.S.C. 552a).
    (i) An access exemption that exempts records compiled in reasonable 
anticipation of a civil action or proceeding from the access provisions 
of the Act.
    (ii) General exemptions that authorize the exemption of a system of 
records from all but certain specifically identified provisions of the 
Act (see Appendix D).
    (iii) Specific exemptions that allow a system of records to be 
exempted only from certain designated provisions of the Act (see 
Appendix D).
    (2) Nothing in the Act permits exemption of any system of records 
from all provisions of the Act.
    (b) Establishing exemptions. (1) The access exemption is self-
executing. It does not require an implementing rule to be effective.
    (2) Neither general nor specific exemptions are established 
automatically for any system of records. The Heads of the DoD 
Components maintaining the system of records must make a determination 
whether the system is one for which an exemption properly may be 
claimed and then propose and establish an exemption rule for the 
system. No system of records within the Department of Defense shall be 
considered exempted until the Head of the Component has approved the 
exemption and an exemption rule has been published as a final rule in 
the Federal Register (See Sec.  310.30(e)).
    (3) Only the Head of the DoD Component or an authorized designee 
may claim an exemption for a system of records.
    (4) A system of records is considered exempt only from those 
provisions of the Privacy Act (5 U.S.C. 552a) that are identified 
specifically in the Component exemption rule for the system and that 
are authorized by the Privacy Act.
    (5) To establish an exemption rule, see Sec.  310.31.
    (c) Blanket exemption for classified material. (1) Component rules 
shall include a blanket exemption under 5 U.S.C. 552a(k)(1) of the 
Privacy Act from the access provisions (5 U.S.C. 552a(d)) and the 
notification of access procedures (5 U.S.C. 522a(e)(4)(H)) of the Act 
for all classified material in any systems of records maintained.
    (2) Do not claim specifically an exemption under section 552a(k)(1) 
of the Privacy Act for any system of records. The blanket exemption 
affords protection to all classified material in all system of records 
maintained.
    (d) Provisions from which exemptions may be claimed. (1) The Head 
of a DoD Component may claim an exemption from any provision of the Act 
from which an exemption is allowed (see Appendix D).
    (2) DoD Components shall consult with the DPO before initiating 
action to claim either a general or specific exemption for any system 
of records.
    (e) Use of exemptions. (1) Use exemptions only for the specific 
purposes set forth in the exemption rules (see paragraph (b) of Sec.  
310.31).
    (2) Use exemptions only when they are in the best interest of the 
Government and limit them to the specific portions of the records 
requiring protection.
    (3) Do not use an exemption to deny an individual access to any 
record to which he or she would have access under 32 CFR part 286.
    (f) Exempt records in non-exempt systems. (1) Exempt records 
temporarily in the custody of another Component are considered the 
property of the originating Component. Access to these records is 
controlled by the system notices and rules of the originating 
Component.
    (2) Exempt records that have been incorporated into a nonexempt 
system of records are still exempt but only to the extent to which the 
provisions of the Act for which an exemption has been claimed are 
identified and an exemption claimed for the system of records from 
which the record is obtained and only when the purposes underlying the 
exemption for the record are still valid and necessary to protect the 
contents of the record.
    (3) If a record is accidentally misfiled into a system of records, 
the system notice and rules for the system in which it should actually 
be filed shall govern.


Sec.  310.27  Access exemption.

    (a) The term ``civil action or proceeding'' is intended to include

[[Page 40299]]

court proceedings or quasi-judicial administrative hearings or 
proceedings.
    (b) Any information prepared in conjunction with judicial or quasi-
judicial, either before or incident to the, proceedings, to include 
information prepared to advise the DoD Component officials of the 
possible legal or other consequences of a given course of action, are 
protected.
    (c) The exemption is similar to the attorney work-product privilege 
except it applies even when the information is prepared by 
nonattorneys.
    (d) The exemption does not apply to information compiled in 
anticipation of criminal actions.


Sec.  310.28  General exemption.

    (a) A DoD Component is not authorized to claim the exemption for 
records maintained by the Central Intelligence Agency established by 5 
U.S.C. 552a(j)(1) of the Privacy Act.
    (b) The general exemption established by 5 U.S.C. 552a(j)(2) of the 
Privacy Act may be claimed to protect investigative records created and 
maintained by law-enforcement activities of a DoD Component.
    (c) To qualify for the (j)(2) exemption, the system of records must 
be maintained by a DoD Component, or element thereof, that performs as 
its principal function any activity pertaining to the enforcement of 
criminal laws, such as the U.S. Army Criminal Investigation Command, 
the Naval Investigative Service, the Air Force Office of Special 
Investigations, and military police activities. However, where DoD 
offices perform multiple functions, but have an investigative 
component, such as the DoD Inspector General Defense Criminal 
Investigative Service or Criminal Law Divisions of Staff Judge 
Advocates Offices, the exemption may be claimed. Law enforcement 
include police efforts to detect, prevent, control, or reduce crime, to 
apprehend or identify criminals; and the activities of military trial 
counsel, correction, probation, pardon, or parole authorities.
    (d) Information that may be protected under the (j)(2) exemption 
includes:
    (1) Records compiled for the purpose of identifying criminal 
offenders and alleged offenders consisting only of identifying data and 
notations of arrests, the nature and disposition of criminal charges, 
sentencing, confinement, release, parole, and probation status (so-
called criminal history records);
    (2) Reports and other records compiled during criminal 
investigations, including supporting documentation.
    (3) Other records compiled at any stage of the criminal law 
enforcement process from arrest or indictment through the final release 
from parole supervision, such as pre-sentence and parole reports.
    (e) The (j)(2) exemption does not apply to:
    (1) Investigative records prepared or maintained by activities 
without primary law-enforcement missions. It may not be claimed by any 
activity that does not have law enforcement as its principal function 
except as indicated in paragraph (c) of this section.
    (2) Investigative records compiled by any activity concerning 
employee suitability, eligibility, qualification, or for individual 
access to classified material regardless of the principal mission of 
the compiling DoD Component.


Sec.  310.29  Specific exemptions.

    (a) The specific exemption established by 5 U.S.C. 552a(k) of the 
Privacy Act may be claimed to protect records that meet the following 
criteria (parenthetical references are to the appropriate subsection of 
the Act:
    (1) (k)(1). Information subject to 5 U.S.C. 552(b)(1), (DoD 5200.1-
R) (see also paragraph (c) of this section).
    (2) (k)(2). Investigatory information compiled for law-enforcement 
purposes, other than information that is covered by the general 
exemption (see Sec.  310.28). If an individual is denied any right, 
privilege or benefit he or she is otherwise entitled by Federal law or 
for which he or she would otherwise be eligible as a result of the 
maintenance of the information, the individual shall be provided access 
to the information except to the extent that disclosure would reveal 
the identity of a confidential source. This exemption provides limited 
protection of investigative reports maintained in a system of records 
used in personnel or administrative actions.
    (i) The information must be compiled for some investigative law 
enforcement purpose, such as a criminal investigation by a DoD office, 
whose principal function is not law enforcement, or a civil 
investigation.
    (ii) The exemption does not apply to investigations conducted 
solely for the purpose of a routine background investigation (see 
paragraph (a)(5) of this section), but will apply if the investigation 
is for the purpose of investigating DoD personnel who are suspected of 
violating statutory or regulatory authority.
    (iii) The exemption can continue to be claimed even after the 
investigation has concluded and there is no future likelihood of 
further enforcement proceedings.
    (3) (k)(3). Records maintained in connection with providing 
protective services to the President and other individuals under 18 
U.S.C. 3056, ``Powers, Authorities, and Duties of United States Secret 
Service.''
    (4) (k)(4). Records maintained solely for statistical research or 
program evaluation purposes and that are not used to make decisions on 
the rights, benefits, or entitlement of an individual except for census 
records that may be disclosed under 13 U.S.C. 6, ``Information for 
other Federal Departments and Agencies.''
    (5) (k)(5). 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, but only to the extent such material would 
reveal the identity of a confidential source.
    (i) This exemption permits protection of confidential sources used 
in background investigations, employment inquiries, and similar 
inquiries that are for personnel screening to determine suitability, 
eligibility, or qualifications.
    (ii) This exemption is applicable not only to investigations 
conducted prior to the hiring of an employee, but it also applies to 
investigations conducted to determine continued employment suitability 
or eligibility.
    (6) (k)(6). Testing or examination material used solely to 
determine individual qualifications for appointment or promotion in the 
Federal or military service, if the disclosure would compromise the 
objectivity or fairness of the test or examination process.
    (7) (k)(7). Evaluation material used to determine potential for 
promotion in the Military Services, but only to the extent that the 
disclosure of such material would reveal the identity of a confidential 
source.
    (b) Promises of confidentiality. (1) Only the identity of sources 
that have been given an express promise of confidentiality may be 
protected from disclosure under paragraphs (a)(1), (5), and (7) of this 
section. However, the identity of sources who were given implied 
promises of confidentiality in inquiries conducted before September 27, 
1975, also may be protected from disclosure.
    (2) Ensure promises of confidentiality are not automatically given 
but are used sparingly. Establish appropriate procedures and identify 
fully categories of individuals who may make such promises. Promises of 
confidentiality

[[Page 40300]]

shall be made only when they are essential to obtain the information 
sought (see 5 CFR part 736).
    (c) Access to records for which specific exemptions are claimed. 
Deny the individual access only to those portions of the records for 
which the claimed exemption applies.

Subpart G--Publication Requirements


Sec.  310.30  Register publication.

    (a) What must be published in the Federal Register. (1) Four types 
of documents relating to the Privacy Program must be published in the 
Federal Register:
    (i) DoD Component Privacy Procedural rules;
    (ii) DoD Component exemption rules; and
    (iii) System notices.
    (iv) Match notices (See subpart L to this part).
    (2) See DoD 5025.1-M \9\, ``Directive Systems Procedures'' and 
Administrative Instruction (AI) No. 102 \10\, ``Office of the Secretary 
of Defense Federal Register System'' for information pertaining to the 
preparation of documents for publication in the Federal Register.
---------------------------------------------------------------------------

    \9\ See footnote 1 to Sec.  310.1.
    \10\ See footnote 1 to Sec.  310.1.
---------------------------------------------------------------------------

    (b) The effect of publication in the Federal Register. Publication 
of a document in the Federal Register constitutes official public 
notice of the existence and content of the document.
    (c) DoD Component rules. (1) Component Privacy Program procedures 
and Component exemption rules are subject to the rulemaking procedures 
prescribed in AI 102.
    (2) System notices are not subject to formal rulemaking and are 
published in the Federal Register as ``Notices,'' not rules.
    (3) Privacy procedural and exemption rules are incorporated 
automatically into the CFR. System notices are not published in the 
CFR.
    (d) Submission of rules for publication. (1) Submit to the DPO, 
ODA&M, all proposed rules implementing this part in proper format (see 
DoD 5025.1-M and AI 102) for publication in the Federal Register.
    (2) This part has been published as a final rule in the Federal 
Register. Therefore, incorporate it into your Component rules by 
reference rather than by republication (see AI 102).
    (3) DoD Component procedural rules that simply implement this 
Regulation need only be published as final rules in the Federal 
Register (see DoD 5025.1-M and AI 102). If the Component procedural 
rule supplements this part in any manner, they must be published as a 
proposed rule before being published as a final rule.
    (4) Amendments to Component rules are submitted like the basic 
rules.
    (5) The DPO submits the rules and amendments thereto to the Federal 
Register for publication.
    (e) Submission of exemption rules for publication. (1) No system of 
records within the Department of Defense shall be considered exempt 
from any provision of this part until the exemption and the exemption 
rule for the system has been published as a final rule in the Federal 
Register.
    (2) Submit exemption rules in proper format to the DPO. All 
exemption rules are coordinated with the Office of General Counsel, 
DoD. After coordination, the DPO shall submit the rules to the Federal 
Register for publication.
    (3) Exemption rules require publication both as proposed rules and 
final rules (see AI 102).
    (4) Section 310.31(b) discusses the content of an exemption rule.
    (5) Submit amendments to exemption rules in the same manner used 
for establishing these rules.
    (f) Submission of system notices for publication. (1) System 
notices are not subject to formal rulemaking procedures. However, the 
Privacy Act (5 U.S.C. 552a) requires a system notice be published in 
the Federal Register of the existence and character of a new or altered 
system of records. Until publication of the notice, DoD Components 
shall not begin to operate the system of records (i.e., collect and use 
the information). The notice procedures require:
    (i) The system notice describes what kinds of records are in the 
system, on whom they are maintained, what uses are made of the records, 
and how an individual may access, or contest, the records contained in 
the system.
    (ii) The public be given 30 days to comment on any proposed routine 
uses before any disclosures are made pursuant to the routine use; and
    (iii) The notice contain the date on which the system shall become 
effective.
    (2) Submit system notices to the DPO in the Federal Register format 
(see AI 102 and Appendix E to this part). The DPO transmits the notices 
to the Federal Register for publication.
    (3) Section 310.32 discusses the specific elements required in a 
system notice.


Sec.  310.31  Exemption rules.

    (a) General procedures. Subpart F of this part provides the general 
guidance for establishing exemptions for systems of records.
    (b) Contents of exemption rules. (1) Each exemption rule submitted 
for publication must contain the following:
    (i) The record system identifier and title of the system for which 
the exemption is claimed. (See Sec.  310.32(b) and (c));
    (ii) The specific sections of the Privacy Act under which the 
exemption for the system is claimed (for example, 5 U.S.C. 552a(j)(2), 
5 U.S.C. 552a(k)(3); or 5 U.S.C. 552a(k)(7);
    (iii) The specific sections of the Privacy Act from which the 
system is to be exempted (for example, 5 U.S.C. 552a(c)(3), or 5 U.S.C. 
552a(d)(l)-(5)) (see Appendix D)); and
    (iv) The specific reasons why an exemption is being claimed from 
each section of the Act identified.
    (2) Do not claim an exemption for classified material for 
individual systems of records. The blanket exemption applies. (see 
paragraph (c) of Sec.  310.26).


Sec.  310.32  System notices.

    (a) Contents of the system notices. (1) The following data captions 
are included in each system notice:
    (i) Systems identifier. (see paragraph (b) of this section).
    (ii) System name. (see paragraph (c) of this section).
    (iii) System location. (see paragraph (d) of this section).
    (iv) Categories of individuals covered by the system. (see 
paragraph (e) of this section).
    (v) Categories of records in the system. (see paragraph (f) of this 
section).
    (vi) Authority for maintenance of the system. (see paragraph (g) of 
this section).
    (vii) Purpose(s). (see paragraph (h) of this section).
    (viii) Routine uses of records maintained in the system, including 
categories of users and the purposes of such uses. (see paragraph (i) 
of this section).
    (ix) Policies and practices for storing, retrieving, accessing, 
retaining, and disposing of records in the system. (see paragraph (j) 
of this section).
    (x) Systems manager(s) and address. (see paragraph (k) of this 
section).
    (xi) Notification procedure. (see paragraph (l) of this section).
    (xii) Record access procedures. (see paragraph (m) of this 
section).
    (xiii) Contesting records procedures. (see paragraph (n) of this 
section).
    (xiv) Record source categories. (see paragraph (o) of this 
section).

[[Page 40301]]

    (xv) Exemptions claimed for the system. (see paragraph (p) of this 
section).
    (2) The captions listed in paragraph (a)(1) of this Section have 
been mandated by the Office of Federal Register and must be used 
exactly as presented.
    (3) A sample system notice is shown in Appendix E of this part.
    (b) System Identifier. The system identifier must appear on all 
system notices and is limited to 21 positions, unless an exception is 
granted by the DPO, including Component code, file number and symbols, 
punctuation, and spacing.
    (c) System Name. (1) The name of the system reasonably identifies 
the general purpose of the system and, if possible, the general 
categories of individuals involved.
    (2) Use acronyms only parenthetically following the title or any 
portion thereof, such as, ``Joint Uniform Military Pay System 
(JUMPS).'' Do not use acronyms not commonly known unless they are 
preceded by an explanation.
    (3) The system name may not exceed 55 character positions, unless 
an exception is granted by the DPO, including punctuation and spacing.
    (4) The system name should not be the name of the database or the 
IT system if the name does not meet the criteria in paragraph (c)(1) of 
this section.
    (d) System Location. (1) For systems maintained in a single 
location provide the exact office name, organizational identity, and 
address.
    (2) For geographically or organizationally decentralized systems, 
specify each level of organization or element that maintains a segment 
of the system, to include their mailing address, or indicate the 
official mailing addresses are published as an Appendix to the 
Component's compilation of system of records notices, or provide an 
address where a complete listing of locations can be obtained.
    (3) Use the standard U.S. Postal Service two-letter State 
abbreviation symbols and 9-digit Zip Codes for all domestic addresses.
    (e) Categories of individuals covered by the system. (1) Set forth 
the specific categories of individuals to whom records in the system 
pertain in clear, easily understood, non-technical terms.
    (2) Avoid the use of broad over-general descriptions, such as ``all 
Army personnel'' or ``all military personnel'' unless this actually 
reflects the category of individuals involved.
    (f) Categories of records in the system. (1) Describe in clear, 
non-technical terms the types of records maintained in the system.
    (2) Only documents actually maintained in the system of records 
shall be described, not source documents that are used only to collect 
data and then destroyed.
    (g) Authority for maintenance of system. (1) Cite the specific 
provision of the Federal statute or E.O. that authorizes the 
maintenance of the system.
    (2) Include with citations for statutes the popular names, when 
appropriate (for example, Section 2103 of title 51, United States Code, 
``Tea-Tasters Licensing Act''), and for E.O.s, the official title (for 
example, E.O. No. 9397, ``Numbering System for Federal Accounts 
Relating to Individual Persons'').
    (3) If direct statutory authority or an Executive Order does not 
exist, indirect statutory authority may be cited if the authority 
requires the operation or administration of a program, the execution of 
which will require the collection and maintenance of a system of 
records.
    (4) If direct or indirect authority does not exist, the Department 
of Defense, as well as the Army, Navy, and Air Force general 
``housekeeping'' statutes (i.e., 5 U.S.C. 301 (``Departmental 
Regulations''), 10 U.S.C. 3013 (``Secretary of the Army''), 5013 
(``Secretary of the Navy''), and 8013 (``Secretary of the Air Force'') 
may be cited if the Secretary, or those offices to which responsibility 
has been delegated, are required to collect and maintain systems of 
records in order to discharge assigned responsibilities. If the 
housekeeping statute is cited, the regulatory authority implementing 
the statute within the Department or Component also shall be 
identified.
    (5) If the social security number is being collected and 
maintained, E.O. 9397 (``Numbering Systems for Federal Accounts 
Relating to Indivdiual Persons'') shall be cited.
    (h) Purpose or Purposes. (1) List the specific purposes for 
maintaining the system of records by the Component.
    (2) All internal uses of the information within the Department or 
Component shall be identified. Such uses are the so-called ``internal 
routine uses.''
    (i) Routine Uses. (1) Except as otherwise authorized by subpart E 
of this part, disclosure of information from a system of records to any 
person or entity outside the Department of Defense (see Sec.  
310.21(b)) may only be made pursuant to a routine use that has been 
established for the specific system of records. Such uses are the so-
called ``external routine uses.''
    (2) Each routine use shall include to whom the information is being 
disclosed and what use and purpose the information will be used. 
Routine uses shall be written as follows:
    (i) ``To * * *. [person or entity outside of DoD that will receive 
the information] to * * *. [what will be done with the information] for 
the purpose(s) of * * * [what objective is sought to be achieved].''
    (ii) To the extent practicable, general statements, such as ``to 
other Federal agencies as required'' or ``to any other appropriate 
Federal agency'' shall be avoided.
    (3) Blanket routine uses (Appendix to this part) have been adopted 
that apply to all Component system notices. The blanket routine uses 
appear at the beginning of each Component's compilation of its system 
notices.
    (i) Each system notice shall contain a statement whether or not the 
blanket routine uses apply to the system.
    (ii) Each notice may state that none of the blanket routine uses 
apply or that one or more do not apply.
    (j) Policies and Practices for Storing, Retiring, Accessing, 
Retaining, and Disposing of Records. This caption is subdivided into 
four parts:
    (1) Storage. Indicate the medium in which the records are 
maintained. (For example, a system may be ``automated, maintained on 
compact disks, diskettes,'' ``manual, maintained in paper files,'' or 
``hybrid, maintained in a combination of paper and automated form.'') 
Storage does not refer to the container or facility in which the 
records are kept.
    (2) Retrievability. Specify how the records are retrieved (for 
example, name, SSN, or some other unique personal identifier assigned 
the individual).
    (3) Safeguards. Identify the system safeguards (such as storage in 
safes, vaults, locked cabinets or rooms, use of guards, visitor 
registers, personnel screening, or password protected IT systems). Also 
identify personnel who have access to the systems. Do not describe 
safeguards in such detail as to compromise system security.
    (4) Retention and Disposal. Indicate how long the record is 
retained. When appropriate, also state the length of time the records 
are maintained by the Component, when they are transferred to a FRC, 
time of retention at the Records Center and when they are transferred 
to the National Archivist or are destroyed. A reference to a Component 
regulation without further detailed information is insufficient. If

[[Page 40302]]

records are eventually destroyed as opposed to being retired, identify 
the method of destruction (e.g., shredding, burning, pulping, etc).
    (k) System manager or managers and address. (1) List the title and 
address of the official responsible for the management of the system.
    (2) If the title of the specific official is unknown, such as for a 
local system, specify the local commander or office head as the systems 
manager.
    (3) For geographically separated or organizationally decentralized 
activities for which individuals may deal directly with officials at 
each location in exercising their rights, list the position or duty 
title of each category of officials responsible for the system or a 
segment thereof.
    (4) Do not include business or duty addresses if they are listed in 
the Component address directory.
    (l) Notification Procedures. (1) Describe how an individual may 
determine if there are records pertaining to him or her in the system. 
The procedural rules may be cited, but include a brief procedural 
description of the needed data. Provide sufficient information in the 
notice to allow an individual to exercise his or her rights without 
referral to the formal rules.
    (2) As a minimum, the caption shall include:
    (i) The official title (normally the system manager) and official 
address to which the request is to be directed.
    (ii) The specific information required to determine if there is a 
record of the individual in the system.
    (iii) Identification of the offices through which the individual 
may obtain notification; and
    (iv) A description of any proof of identity required. (see Sec.  
310.17(c)).
    (3) When appropriate, the individual may be referred to a Component 
official who shall provide this information to him or her.
    (m) Record Access Procedures. (1) Describe how an individual can 
gain access to the records pertaining to him or her in the system. The 
procedural rules may be cited, but include a brief procedural 
description of the needed data. Provide sufficient information in the 
notice to allow an individual to exercise his or her rights without 
referral to the formal rules.
    (2) As a minimum, the caption shall include:
    (i) The official title (normally the system manager) and official 
address to which the request is to be directed.
    (ii) A description of any proof of identity required. (see Sec.  
310.17(c)).
    (iii) When appropriate, the individual may be referred to a 
Component official who shall provide the records to him or her.
    (n) Contesting Record Procedures. (1) Describe how an individual 
may contest the content of a record pertaining to him or her in the 
system.
    (2) The detailed procedures for contesting a record need not be 
identified if the Component procedural rules are readily available to 
the public. (For example, ``The Office of the Secretary of Defense'' 
rules for contesting contents are contained in 32 CFR 311). All 
Component procedural rules are set forth at a Departmental public Web 
site (http://www.defenselink.mil/privacy/cfr-rules.html).
    (3) The individual may also be referred to the system manager to 
determine these procedures.
    (o) Record Source Categories. (1) Describe where the information 
contained in the system was obtained, e.g., the individual, other 
Component documentation, other Federal agencies, etc).
    (2) Specific individuals or institutions need not be identified by 
name, particularly if these sources have been granted confidentiality. 
(see Sec.  310.29(b)).
    (p) System Exempted From Certain Provisions of the Act. (1) If no 
exemption has been claimed for the system, indicate ``None.''
    (2) If there is an exemption claimed indicate specifically under 
which section of the Privacy Act it is claimed.
    (3) Cite the CFR section containing the exemption rule for the 
system. For example, ``An exemption rule for this system has been 
promulgated and published in 32 CFR 311'').
    (q) Maintaining the Master DoD System Notice Registry. (1) The DPO 
maintains a master registry of all DoD record systems notices.
    (2) Coordinate with the DPO to ensure that all new systems are 
added to the master registry and all amendments and alterations are 
incorporated into the master registry.
    (3) The DPO also posts all DoD system notices to a public Web site 
(see http://www.defenselink.mil/privacy/notices).


Sec.  310.33  New and altered record systems.

    (a) Criteria for a new record system. (1) If a Component is 
maintaining a system of records as contemplated by Sec.  310.10(a), and 
a system notice has not been published for it in the Federal Register, 
the Component shall establish a system notice consistent with the 
requirements of this subpart.
    (2) If a notice for a system of records has been canceled or 
deleted but a determination is subsequently made that the system will 
be reinstated or reused, the system may not be operated (i.e., 
information collected or used) until a new notice is published in the 
Federal Register.
    (b) Criteria for an altered record system. A system is considered 
altered whenever one of the following actions occurs or is proposed:
    (1) A significant increase or change in the number or type of 
individuals about whom records are maintained.
    (i) Only changes that alter significantly the character and purpose 
of the record system are considered alterations.
    (ii) Increases in numbers of individuals due to normal growth are 
not considered alterations unless they truly alter the character and 
purpose of the system.
    (iii) Increases that change significantly the scope of population 
covered (for example, expansion of a system of records covering a 
single command's enlisted personnel to include all of the Component's 
enlisted personnel would be considered an alteration).
    (iv) A reduction in the number of individuals covered is not an 
alteration, but only an amendment. (see Sec.  310.34(a)).
    (v) All changes that add new categories of individuals to system 
coverage require a change to the ``Categories of individuals covered by 
the system'' caption of the notice (see Sec.  310.32(e)) and may 
require changes to the ``Purpose(s)'' caption (see Sec.  310.32(h)).
    (2) An expansion in the types or categories of information 
maintained.
    (i) The addition of any new category of records not described under 
the ``Categories of Records in the System'' caption is considered an 
alteration.
    (ii) Adding a new data element that is clearly within the scope of 
the categories of records described in the existing notice is an 
amendment. (see Sec.  310.34(a)). An amended notice may not be required 
if the data element is clearly covered by the record category 
identified in the existing system notice.
    (iii) All changes under this criterion require a change to the 
``Categories of Records in the System'' caption of the notice. (see 
Sec.  310.32(f)).
    (3) An alteration of how the records are organized or the manner in 
which the records are indexed and retrieved.
    (i) The change must alter the nature of use or scope of the records 
involved (for example, combining records systems in a reorganization).
    (ii) Any change under this criteria requires a change in the 
``Retrievability''

[[Page 40303]]

caption of the system notice. (see Sec.  310.32(j)(2)).
    (iii) If the records are no longer retrieved by name or personal 
identifier cancel the system notice. (see Sec.  310.10(b)).
    (4) A change in the purpose for which the information in the system 
is used.
    (i) The new purpose must not be compatible with the existing 
purposes for which the system is maintained.
    (ii) If the use is compatible and reasonably expected, there is no 
change in purpose and no alteration occurs.
    (iii) Any change under this criterion requires a change in the 
``Purpose(s)'' caption (see Sec.  310.32(h)) and may require a change 
in the ``Authority for maintenance of the system'' caption (see Sec.  
310.32).
    (5) Changes that alter the computer environment (such as changes to 
equipment configuration, software, or procedures) so as to create the 
potential for greater or easier access.
    (i) Increasing the number of offices with direct access is an 
alteration.
    (ii) Software applications, such as operating systems and system 
utilities, that provide for easier access are considered alterations.
    (iii) The addition of an on-line capability to a previously batch-
oriented system is an alteration.
    (iv) The addition of peripheral devices such as tape devices, disk 
devices, card readers, printers, and similar devices to an existing IT 
system constitute an amendment if system security is preserved. (see 
Sec.  310.34).
    (v) Changes to existing equipment configuration with on-line 
capability need not be considered alterations to the system if:
    (A) The change does not alter the present security posture; or
    (B) The addition of terminals does not extend the capacity of the 
current operating system and existing security is preserved.
    (vi) The connecting of two or more formerly independent automated 
systems or networks together creating a potential for greater access is 
an alteration.
    (vii) Any change under this caption requires a change to the 
``Storage'' caption element of the systems notice. (see Sec.  
310.32(j)(i)).
    (c) Reports of new and altered systems. (1) Components shall submit 
a report for all new or altered systems to the DPO consistent with the 
requirements of this subpart and in the format prescribed at Appendix F 
of this part.
    (i) Components shall include the following when submitting an 
alteration for a system notice for publication in the Federal Register:
    (A) The system identifier and name. (see Sec.  310.32(b) and (c)).
    (B) A description of the nature and specific changes proposed.
    (ii) The full text of the system notice need not be submitted if 
the master registry contains a current system notice for the system. 
(see Sec.  310.32(q)).
    (2) The DPO coordinates all reports of new and altered systems with 
the Office of the Assistant Secretary of Defense (Legislative Affairs), 
Department of Defense.
    (3) The DPO prepares and sends a transmittal letter that forwards 
the report, as well as the new or altered system notice, to OMB and 
Congress.
    (4) The DPO shall publish in the Federal Register a system notice 
for new or altered systems.
    (d) Time restrictions on the operation of a new or altered system. 
(1) The reports, and the new or altered system notice, must be provided 
OMB and Congress at least 40 days prior to the operation of the new or 
altered system. The 40 day review period begins on the date the 
transmittal letters are signed and dated.
    (2) The system notice must be published in the Federal Register 
before a Component begins to operate the system (i.e., collect and use 
the information). If the new system has routine uses or the altered 
system adds a new routine use, no records may be disclosed pursuant to 
the routine use until the public has had 30 days to comment on the 
proposed use.
    (3) The time periods run concurrently.
    (e) Exemptions for new systems. See Sec.  310.30(e) for the 
procedures to follow in submitting exemption rules for a new system of 
records or for submitting an exemption rule for an existing system of 
records.


Sec.  310.34  Amendment and deletion of system notices.

    (a) Criteria for an amended system notice. (1) Certain minor 
changes to published systems notices are considered amendments and not 
alterations. (see Sec.  310.33(b)).
    (2) Amendments do not require a report of an altered system (see 
Sec.  310.33(c)), but must be published in the Federal Register.
    (b) System notices for amended systems. Components shall include 
the following when submitting an amendment for a system notice for 
publication in the Federal Register:
    (1) The system identifier and name. (see Sec.  310.32 (b) and (c)).
    (2) A description of the nature and specific changes proposed.
    (3) The full text of the system notice need not be submitted if the 
master registry contains a current system notice for the system. (see 
Sec.  310.32(q)).
    (c) Deletion of system notices. (1) Whenever a system is 
discontinued, combined into another system, or determined no longer to 
be subject to this part, a deletion notice is required.
    (2) The notice of deletion shall include:
    (i) The system identification and name.
    (ii) The reason for the deletion.
    (3) When the system is eliminated through combination or merger, 
identify the successor system or systems in the deletion notice.
    (d) Submission of amendments and deletions for publication. (1) 
Submit amendments and deletions to the DPO for transmittal to the 
Federal Register for publication.
    (2) Multiple deletions and amendments may be combined into a single 
submission.

Subpart H--Training Requirements


Sec.  310.35  Statutory training requirements.

    The Privacy Act (5 U.S.C. 552a) requires each Agency to establish 
rules of conduct for all persons involved in the design, development, 
operation, and maintenance of any system of record and to train these 
persons with respect to these rules.


Sec.  310.36  OMB training guidelines.

    The OMB guidelines (OMB Privacy Guidelines, 40 FR 28948 (July 9, 
1975) require all agencies additionally to:
    (a) Instruct their personnel in their rules of conduct and other 
rules and procedures adopted in implementing the Act, and inform their 
personnel of the penalties for non-compliance.
    (b) Incorporate training on the special requirements of the Act 
into both formal and informal (on-the-job) training programs.


Sec.  310.37  DoD training programs.

    (a) The training shall include information regarding information 
privacy laws, regulations, policies and procedures governing the 
Department's collection, maintenance, use, or dissemination of personal 
information. The objective is to establish a culture of sensitivity to, 
and knowledge about, privacy issues involving individuals throughout 
the Department.
    (b) To meet these training requirements, Components may establish 
three general levels of training for those persons, to include 
contractor personnel, who are involved in any way with the design, 
development, operation, or maintenance of privacy protected systems of 
records. These are:

[[Page 40304]]

    (1) Orientation. Training that provides basic understanding of this 
part as it applies to the individual's job performance. This training 
shall be provided to personnel, as appropriate, and should be a 
prerequisite to all other levels of training.
    (2) Specialized training. Training that provides information as to 
the application of specific provisions of this part to specialized 
areas of job performance. Personnel of particular concern include, but 
are not limited to medical, personnel, and intelligence specialists, 
finance officers, DoD personnel who may expected to deal with the news 
media or the public, special investigators, paperwork managers, and 
other specialists (reports, forms, records, and related functions), 
computer systems development personnel, computer systems operations 
personnel, statisticians dealing with personal data and program 
evaluations, contractors that will either operate systems of records on 
behalf of the Component or will have access to such systems incident to 
performing the contract, and anyone responsible for implementing or 
carrying out functions under this part.
    (3) Management. Training designed to identify for responsible 
managers (such as, senior system managers, denial authorities, and 
decision-makers considerations that they shall take into account when 
making management decisions regarding operational programs and 
activities having privacy implications.
    (c) Include Privacy Act training in other courses of training when 
appropriate. Stress individual responsibilities and advise individuals 
of their rights and responsibilities under this part.


Sec.  310.38  Training methodology and procedures.

    (a) Each DoD Component is responsible for the development of 
training procedures and methodology.
    (b) The DPO shall assist the Components in developing these 
training programs and may develop privacy training programs for use by 
all DoD Components.
    (c) Components shall conduct training as frequently as believed 
necessary so that personnel who are responsible for or are in receipt 
of information protected by the Privacy Act (5 U.S.C. 552a) are 
sensitive to the requirements of this part, especially the access, use, 
and dissemination restrictions. Though not required, Components shall 
give consideration to whether annual certification should be mandated 
for certain personnel whose duties and responsibilities require daily 
interaction with privacy protected information.
    (d) Components shall conduct training that reaches the widest 
possible audience. The use of Web-based training or video conferencing 
training are means by which such training can be conducted that has 
proven effective.


Sec.  310.39  Funding for training.

    Each DoD Component shall fund its own privacy training program.

Subpart I--Reports


Sec.  310.40  Requirement for reports.

    The DPO shall establish requirements for DoD Privacy Reports and 
the DoD Components may be required to provide data.


Sec.  310.41  Suspense for submission of reports.

    The suspenses for submission of all reports shall be established by 
the DPO.


Sec.  310.42  Reports control symbol.

    Any report established by this subpart in support of the Privacy 
Program shall be assigned Report Control Symbol DD-COMP(A)1379.

Subpart J--Inspections


Sec.  310.43  Privacy Act inspections.

    During internal inspections, Component inspectors shall be alert 
for compliance with this part and for managerial, administrative, and 
operational problems associated with the implementation of the Defense 
Privacy Program. Programs shall be reviewed as frequently as considered 
necessary by Components or the Component Inspector General.


Sec.  310.44  Inspection reporting.

    (a) Document the findings of the inspectors in official reports 
that are furnished the responsible Component officials. These reports, 
when appropriate, shall reflect overall assets of the Component Privacy 
Program inspected, or portion thereof, identify deficiencies, 
irregularities, and significant problems. Also document remedial 
actions taken to correct problems identified.
    (b) Retain inspections reports and later follow-up reports in 
accordance with established records disposition standards. These 
reports shall be made available to the Privacy Program officials 
concerned upon request.

Subpart K--Privacy Act Violations


Sec.  310.45  Administrative remedies.

    Any individual who believes he or she has a legitimate complaint or 
grievance against the Department of Defense or any DoD employee 
concerning any right granted by this part shall be permitted to seek 
relief through appropriate administrative channels.


Sec.  310.46  Civil actions.

    An individual may file a civil suit against a DoD Component if the 
individual believes his or her rights under the Act have been violated. 
(see 5 U.S.C. 552a(g)).


Sec.  310.47  Civil remedies.

    In addition to specific remedial actions, the Privacy Act provides 
for the payment of damages, court cost, and attorney fees in some 
cases.


Sec.  310.48  Criminal penalties.

    (a) The Act also provides for criminal penalties. (see 5 U.S.C. 
552a(i)). Any official or employee may be found guilty of a misdemeanor 
and fined not more than $5,000 if he or she willfully:
    (1) Discloses information from a system of records, knowing 
dissemination is prohibited to anyone not entitled to receive the 
information. (see subpart E of this part); or
    (2) Maintains a system of records without publishing the required 
public notice in the Federal Register. (see subpart G of this part).
    (b) Any person who knowingly and willfully requests or obtains 
access to any record concerning another individual under false 
pretenses may be found guilty of misdemeanor and fined up to $5,000.


Sec.  310.49  Litigation status sheet.

    Whenever a complaint citing the Privacy Act is filed in a U.S. 
District Court against the Department of Defense, a DoD Component, or 
any DoD employee, the responsible system manager shall notify the DPO. 
The litigation status sheet at Appendix H to this part provides a 
standard format for this notification. The initial litigation status 
sheet forwarded shall, as a minimum, provide the information required 
by items 1 through 6 of the status sheet. A revised litigation status 
sheet shall be provided at each stage of the litigation. When a court 
renders a formal opinion or judgment, copies of the judgment and 
opinion shall be provided to the DPO with the litigation status sheet 
reporting that judgment or opinion.


Sec.  310.50  Lost, stolen, or compromised information.

    (a) When a loss, theft, or compromise of information occurs (see 
Sec.  310.14), the Component shall immediately notify the DPO.

[[Page 40305]]

    (b) The Component shall conduct an inquiry into the facts and 
circumstances surrounding the compromise and shall provide the DPO a 
copy of the final report.
    (c) The Component shall determine what remedial actions must be 
taken to prevent a similar loss in the future. The Component shall also 
determine whether administrative or disciplinary action is warranted 
and appropriate for those individuals determined to be responsible for 
the loss, theft, or compromise.

Subpart L--Computer Matching Program Procedures


Sec.  310.51  General.

    (a) A computer matching program covers two kinds of matching 
programs (see OMB Matching Guidelines, 54 FR 25818 (June 19, 1989)). If 
covered, the matches are subject to the requirements of this subpart. 
The covered programs are:
    (1) Matches using records from Federal personnel or payroll systems 
of records, or
    (2) Matches involving Federal benefits program if:
    (i) To determine eligibility for a Federal benefit,
    (ii) To determine compliance with benefit program requirements, or
    (iii) To effect recovery of improper payments or delinquent debts 
under a Federal benefit program.
    (b) The requirements of this part do not apply if matches are:
    (1) Performed solely to produce aggregated statistical data without 
any personal identifiers. Personally identifying data can be used for 
purposes of conducting the match. However, the results of the match 
shall be stripped of any data that would identify an individual. Under 
no circumstances shall match results be used to take action against 
specific individuals.
    (2) Performed to support research or statistical projects. 
Personally identifying data can be used for purposes of conducting the 
match and the match results may contain identifying data about 
individuals. However, the match results shall not be used to make a 
decision that affects the rights, benefits, or privileges of specific 
individuals.
    (3) Performed by an agency, or a component thereof, whose principal 
function is the enforcement of criminal laws, subsequent to the 
initiation of a specific criminal or civil law enforcement 
investigation of a named individual or individuals.
    (i) The match must flow from an investigation already underway 
which focuses on a named person or persons. ``Fishing expeditions'' in 
which the subjects are generically identified, such as ``program 
beneficiaries'' are not covered.
    (ii) The match must be for the purpose of gathering evidence 
against the named individual or individuals.
    (4) Performed for tax information-related purposes.
    (5) Performed for routine administrative purposes using records 
relating to Federal personnel.
    (i) The records to be used in the match must predominantly relate 
to Federal personnel (i.e., the percentage of records in the system of 
records that are about Federal personnel must be greater than any other 
category).
    (ii) The purpose of the match must not be for purposes of taking 
any adverse financial, personnel, disciplinary, or other unfavorable 
action against an individual.
    (6) Performed using only records from systems of records maintained 
by an agency.
    (i) The purpose of the match must not be for purposes of taking any 
adverse financial, personnel, disciplinary, or other unfavorable action 
against an individual.
    (ii) A match of DoD personnel using records in a system of records 
for purposes of identifying fraud, waste, and abuse is not covered.
    (7) Performed to produce background checks for security clearances 
of Federal or contractor personnel or performed for foreign counter-
intelligence purposes.


Sec.  310.52  Computer matching publication and review requirements.

    (a) DoD Components shall identify the systems of records that will 
be used in the match to ensure the publication requirements of subpart 
G have been satisfied. If the match will require disclosure of records 
outside the Department of Defense, Components shall ensure a routine 
use has been established, and that the publication and review 
requirements met, before any disclosures are made (See subpart G of 
this part).
    (b) If a computer matching program is contemplated, the DoD 
Component shall contact the DPO and provide information regarding the 
contemplated match. The DoD DPO shall ensure that any proposed computer 
matching program satisfies the requirements of the Privacy Act (5 
U.S.C. 552a) and OMB Matching Guidelines (54 FR 25818 (June 19, 1989)).
    (c) A computer matching agreement (CMA) shall be prepared by the 
Component, consistent with the requirements of Sec.  310.53 of this 
subpart and submitted to the DPO. If the CMA satisfies the requirements 
of the Privacy Act (5 U.S.C. 552a) and OMB Matching Guidelines (54 FR 
25818 (June 19, 1989)), as well as this subpart, it shall be forwarded 
to the Defense Data Integrity Board (DIB) for approval or disapproval.
    (1) If the CMA is approved by the DIB, the DPO shall prepare and 
forward a report to both Houses of Congress and to OMB as required by, 
and consistent with, OMB Circular A-130, ``Management of Federal 
Information Resources,'' February 8, 1996, as amended. Congress and OMB 
shall have 40 days to review and comment on the proposed match. Any 
comments received must be resolved before matching can take place.
    (2) If the CMA is approved by the DIB, the DPO shall prepare and 
forward a match notice as required by OMB Circular A-130, ``Management 
of Federal Information Resources,'' February 8, 1996, as amended, for 
publication in the Federal Register. The public shall be given 30 days 
to comment on the proposed match. Any comments received must be 
resolved before matching can take place.


Sec.  310.53  Computer matching agreements (CMAs).

    (a) If a match is to be conducted internally within DoD, a 
memorandum of understanding (MOU) shall be prepared. It shall contain 
the same elements as a CMA, except as otherwise indicated in paragraph 
(b)(4)(ii) of this section.
    (b) A CMA shall contain the following elements:
    (1) Purpose. Why the match is being proposed and what will be 
achieved by conducting the match.
    (2) Legal authority. What is the Federal or state statutory or 
regulatory basis for conducting the match. The Privacy Act does not 
constitute independent authority for matching. Other legal authority 
shall be identified.
    (3) Justification and expected results. Explain why computer 
matching as opposed to some other administrative means is being 
proposed and what the expected results will be, including a specific 
estimate of any savings (see paragraph (b)(13) of this section).
    (4) Records description. Identify:
    (i) The system of records or non-Federal records. For DoD systems 
of record, provide the Federal Register citation for the system notice;
    (ii) The specific routine use in the system notice if records are 
to be disclosed outside the Department of Defense (see Sec.  
310.22(c)). If records are disclosed within the Department of

[[Page 40306]]

Defense for an internal match, disclosures are permitted pursuant to 
paragraph (a) of Sec.  310.22.
    (iii) The number of records involved;
    (iv) The data elements to be included in the match;
    (v) The projected start and completion dates of the match. CMAs 
remain in effect for 18 months but can be renewed for an additional 12 
months provided:
    (A) The match will be conducted without any change, and
    (B) Each party to the match certifies in writing that the program 
has been conducted in compliance with the CMA or MOU.
    (vi) How frequently will the records be matched.
    (5) Records accuracy assessment. Provide an assessment by the 
source and recipient agencies as to the quality of the information that 
will be used for the match. The poorer the quality, the more likely 
that the program will not be cost-effective.
    (6) Notice Procedures. Identify what direct and indirect means will 
be used to inform individuals that matching will take place.
    (i) Direct notice. Indicate whether the individual is advised that 
matching may be conducted when he or she applies for a Federal benefit 
program. Such an advisory should normally be part of the Privacy Act 
Statement that is contained in the application for benefits. Individual 
notice sometimes is provided by a separate notice that is furnished the 
individual upon receipt of the benefit.
    (ii) Indirect notice. Indicate whether the individual is advised 
that matching may be conducted by constructive notice. Indirect or 
constructive notice is achieved by publication of a routine use in the 
Federal Register when the matching is between agencies or is achieved 
by publication of the match notice in the Federal Register.
    (7) Verification procedures. Explain how information produced as a 
result of the match will be independently verified to ensure any 
adverse information obtained is that of the individual identified in 
the match.
    (8) Due process procedures. Describe what procedures will be used 
to notify individuals of any adverse information uncovered as a result 
of the match and to give such individuals an opportunity to either 
explain the information or how to contest the information. No adverse 
action shall be taken against the individual until the due process 
procedures have been satisfied.
    (i) Unless other statutory or regulatory authority provides for a 
longer period of time, the individual shall be given 30 calendar days 
from the date of the notice to respond to the notice.
    (ii) If an individual contacts the agency within the notice period 
and indicates his or her acceptance of the validity of the adverse 
information, the agency may take final action. If the period expires 
without a response, the agency may take final action.
    (iii) If the agency determines that there is a potentially 
significant effect on public health or safety, it may take appropriate 
action notwithstanding the due process provisions.
    (9) Security procedures. Describe the administrative, technical, 
and physical safeguards that will be established to preserve and 
protect the privacy and confidentiality of the records involved in the 
match. The level of security must be commensurate with the level of the 
sensitivity of the records.
    (10) Records usage, duplication, and redisclosure restrictions. 
Describe any restrictions imposed by the source agency or by statute or 
regulation on the collateral uses of the records. Recipient agencies 
may not use the records obtained for matching purposes for any other 
purpose absent a specific statutory requirement or where the disclosure 
is essential to the conduct of the matching program.
    (11) Disposition procedures. Clearly state that the records used in 
the match will be retained only for the time required for conducting 
the match. Once the matching purpose has been achieved, the records 
will be destroyed unless the records must be retained as directed by 
other legal authority. Unless the source agency requests that the 
records be returned, identify the means by which destruction will 
occur, i.e., shredding, burning, electronic erasure, etc.
    (12) Comptroller General access. Include a statement that the 
Comptroller General may have access to all records of the recipient 
agency to monitor or verify compliance with the terms of the CMA.
    (13) Cost-benefit analysis. (i) A cost-benefit analysis shall be 
conducted for the proposed computer matching program unless:
    (A) The Data Integrity Board waives the requirement, or
    (B) The matching program is required by a specific statute.
    (ii) The analysis must demonstrate that the program is likely to be 
cost-effective. This analysis is to ensure agencies are following sound 
management practices. The analysis provides an opportunity to examine 
the programs and to reject those that will only produce marginal 
results.

Appendix A to Part 310--Special Considerations for Safeguarding 
Personal Information Technology (IT) Systems

(See Sec.  310.13 of subpart B)

A. General

    1. The IT environment subjects personal information to special 
hazards as to unauthorized compromise, alteration, dissemination, 
and use. Therefore, special considerations must be given to 
safeguarding personal information in IT systems consistent with the 
requirements of DoD Directive 8500.1.\11\
---------------------------------------------------------------------------

    \11\ See footnote 1 to Sec.  310.1.
---------------------------------------------------------------------------

    2. Personal information must also be protected while it is being 
processed or accessed in computer environments outside the data 
processing installation (such as, remote job entry stations, 
terminal stations, minicomputers, microprocessors, and similar 
activities).
    3. IT facilities authorized to process classified material have 
adequate procedures and security for the purposes of this part. 
However, all unclassified information subject to this part must be 
processed following the procedures used to process and access 
information designated ``For Official Use Only'' (see DoD 5200.1-R).

B. Risk Management and Safeguarding Standards

    1. Establish administrative, technical, and physical safeguards 
that are adequate to protect the information against unauthorized 
disclosure, access, or misuse. (see OMB Circular A-130, ``Management 
of Federal Information Resources.''
    2. Technical and physical safeguards alone will not protect 
against unintentional compromise due to errors, omissions, or poor 
procedures. Proper administrative controls generally provide cheaper 
and surer safeguards.
    3. Tailor safeguards to the type of system, the nature of the 
information involved, and the specific threat to be countered.

C. Minimum Administrative Safeguards

    The minimum safeguarding standards as set forth in Sec.  
310.13(b) apply to all personal data within any IT system. In 
addition:
    1. Consider the following when establishing IT safeguards:
    a. The sensitivity of the data being processed, stored and 
accessed.
    b. The installation environment.
    c. The risk of exposure.
    d. The cost of the safeguard under consideration.
    2. Label or designate media products containing personal 
information that do not contain classified material in such a manner 
as to alert those using or handling the information of the need for 
special protection. Designating products ``For Official Use Only'' 
in accordance with DoD 5200.1-R satisfies this requirement.
    3. Mark and protect all computer products containing classified 
data in accordance with DoD 5200.1-R and DoD Directive 8500.1.

[[Page 40307]]

    4. Mark and protect all computer products containing ``For 
Official Use Only'' material in accordance with DoD 5200.1-R.
    5. Ensure safeguards for protected information stored at 
secondary sites are appropriate.
    6. If there is a computer failure, restore all protected 
information being processed at the time of the failure using proper 
recovery procedures to ensure data integrity.
    7. Train all IT personnel involved in processing information 
subject to this part in proper safeguarding procedures.

D. Physical Safeguards

    1. For all unclassified facilities, areas, and devices that 
process information subject to this Regulation, establish physical 
safeguards that protect the information against reasonably 
identifiable threats that could result in unauthorized access or 
alteration.
    2. Develop access procedures for unclassified computer rooms, 
tape libraries, micrographic facilities, decollating shops, product 
distribution areas, or other direct support areas that process or 
contain personal information subject to this part that control 
adequately access to these areas.
    3. Safeguard on-line devices directly coupled to IT systems that 
contain or process information from systems of records to prevent 
unauthorized disclosure, use, or alteration.
    4. Dispose of paper records following appropriate record 
destruction procedures.

E. Technical Safeguards

    1. The use of encryption devices solely for the purpose of 
protecting unclassified personal information transmitted over secure 
communication circuits or during processing in computer systems is 
normally discouraged. However, when a comprehensive risk assessment 
indicates encryption is cost-effective, it may be used.
    2. Remove personal data stored on magnetic storage media by 
methods that preclude reconstruction of the data.
    3. Ensure personal information is not inadvertently disclosed as 
residue when transferring magnetic media between activities.
    4. When it is necessary to provide dial-up remote access for the 
processing of personal information, control access by computer-
verified passwords. Change passwords periodically or whenever 
compromise is known or suspected.
    5. Normally the passwords shall give access only to those data 
elements (fields) required and not grant access to the entire 
database.
    6. Do not totally rely on proprietary software products to 
protect personnel data during processing or storage.

F. Special Procedures

    1. System Managers shall:
    a. Notify the IT manager whenever personal information subject 
to this part is to be processed by an IT facility.
    b. Prepare and submit for publication all system notices and 
amendments and alterations thereto. (see Sec.  310.30(f)).
    c. Identify to the IT manager those activities and individuals 
authorized access to the information and notify the manager of any 
changes to the access authorizations.
    d. If required, IT managers shall ensure a Privacy Impact 
Assessment is prepared consistent with the requirements of 44 U.S.C. 
3501 Note (section 208, ``Privacy Provisions,'' E-Government Act of 
2002).
    2. IT Personnel shall:
    a. Permit only authorized individuals access to the information.
    b. Adhere to the established information protection procedures 
and rules of conduct.
    c. Notify the system manager and IT manager whenever 
unauthorized personnel seek access to the information.
    3. IT Installation Managers shall:
    a. Maintain an inventory of all computer program applications 
used to process information subject to this part to include the 
identity of the systems of records involved.
    b. Verify that requests for new programs or changes to existing 
programs have been published as required. (see paragraphs (a) and 
(b) of Sec.  310.33).
    c. Notify the system manager whenever changes to computer 
installations, communications networks, or any other changes in the 
IT environment occur that require an altered system report be 
submitted. (see Sec.  310.33(b)).

G. Record Disposal

    1. Dispose of records subject to this Regulation so as to 
prevent compromise. (see Sec.  310.13(c)). Magnetic tapes or other 
magnetic medium may be cleared by degaussing, overwriting, or 
erasing.
    2. Do not use respliced waste computer products containing 
personal data.

H. Risk Assessment for IT Installations That Process Personal Data

    1. A separate risk assessment is not required for IT activities 
that process classified material. A simple certification by the 
appropriate IT official that the facility is cleared to process a 
given level of classified material (such as Top Secret, Secret, or 
Confidential) and that the procedures followed in processing ``For 
Official Use Only'' material are to be followed in processing 
personal data subject to this part is sufficient to meet the risk 
assessment requirement.
    2. Prepare a formal risk assessment, as necessary, for each IT 
activity (to include those activities with terminals and IT devices) 
that processes personal information subject to this part and that do 
not process classified material.
    3. Address the following in the risk assessment:
    a. Identify the specific systems of records supported and 
determine their impact on the mission of the user.
    b. Identify the threats (internal, external, and natural) to the 
data.
    c. Determine the physical and operational (to include software) 
vulnerabilities.
    d. Evaluate the relationships between vulnerabilities and 
threats.
    e. Assess the impact of unauthorized disclosure or modification 
of the personal information.
    f. Identify possible safeguards and their relationships to the 
threats to be countered.
    g. Analyze the economic feasibility of adopting the identified 
safeguards.
    h. Determine the safeguard to be used and develop implementation 
plans.
    i. Discuss contingency plans including operational exercise 
plans.
    j. Determine if procedures proposed are consistent with those 
identified in the system notices for system of records concerned.
    k. Include a vulnerability assessment.
    4. The risk assessment shall be reviewed by the appropriate 
Component officials.
    5. Conduct a risk assessment at least as frequently as 
considered necessary or when there is a change to the installation, 
its hardware, software, or administrative procedures that increase 
or decrease the likelihood of compromise or present new threats to 
the information.
    6. Protect the risk assessment, as it is a sensitive document.
    7. Retain a copy of the risk assessment at the installation and 
make it available to appropriate inspectors and authorized 
personnel.
    8. Include a summary of the current risk assessment with any 
report of new or altered system submitted in accordance with Sec.  
310.33(c) for any system from which information will be processed.
    9. Complete a formal risk assessment at the beginning of the 
design phase for each new unclassified IT installation and before 
beginning the processing of personal data on a regular basis in 
existing IT facilities that do not process classified data.

Appendix B to Part 310--Sample Notification Letter

(See Sec.  310.14 of subpart C)

Dear Mr. John Miller:
    On January 1, 2006, a Department of Defense (DoD) laptop 
computer was stolen from the parked car of a DoD employee in 
Washington, D.C. after normal duty hours while the employee was 
running a personal errand. The laptop contained personally 
identifying information on 100 DoD employees who were participating 
in the xxx Program. The compromised information is the name, social 
security number, residential address, date of birth, office and home 
e-mail address, office and home telephone numbers of the Program 
participants.
    The theft was immediately reported to local and DoD law 
enforcement authorities who are now conducting a joint inquiry into 
the loss.
    We believe that the laptop was the target of the theft as 
opposed to any information that the laptop might contain. And 
because the information in the laptop was password protected, we 
also believe that the probability is low that the information will 
be acquired and used for an unlawful purpose. However, we cannot say 
with certainty that this might not occur. We therefore believe that 
you should consider taking such actions as are possible to protect 
against the potential that someone might use the information to 
steal your identity.
    You should be guided by the actions recommended by the Federal 
Trade Commission at its Web site at http://www.consumer.gov/idtheft/con_steps.htm.

[[Page 40308]]

The FTC urges that you immediately place an initial fraud alert on 
your credit file. The Fraud alert is for a period of 90 days, during 
which, creditors are required to contact you before a new credit 
card is issued or an existing card changed. The site also provides 
other valuable information that can be taken now or in the future if 
problems should develop.
    The DoD takes this loss very seriously and is reviewing its 
current policies and practices with a view of determining what must 
be changed to preclude a similar occurrence in the future. At a 
minimum, we will be providing additional training to personnel to 
ensure that they understand that personally identifiable information 
must at all times be treated in a manner that preserves and protects 
the confidentiality of the data.
    We deeply regret and apologize for any inconvenience and concern 
this theft may cause you.

Appendix C to Part 310--DoD Blanket Routine Uses

(See paragraph (c) of Sec.  310.22 of subpart E)

A. Routine Use--Law Enforcement

    If a system of records maintained by a DoD Component to carry 
out its functions indicates a violation or potential violation of 
law, whether civil, criminal, or regulatory in nature, and whether 
arising by general statute or by regulation, rule, or order issued 
pursuant thereto, the relevant records in the system of records may 
be referred, as a routine use, to the agency concerned, whether 
Federal, State, local, or foreign, charged with the responsibility 
of investigating or prosecuting such violation or charged with 
enforcing or implementing the statute, rule, regulation, or order 
issued pursuant thereto.

B. Routine Use--Disclosure When Requesting Information

    A record from a system of records maintained by a Component may 
be disclosed as a routine use to a Federal, State, or local agency 
maintaining civil, criminal, or other relevant enforcement 
information or other pertinent information, such as current 
licenses, if necessary to obtain information relevant to a Component 
decision concerning the hiring or retention of an employee, the 
issuance of a security clearance, the letting of a contract, or the 
issuance of a license, grant, or other benefit.

C. Routine Use--Disclosure of Requested Information

    A record from a system of records maintained by a Component may 
be disclosed to a Federal agency, in response to its request, in 
connection with the hiring or retention of an employee, the issuance 
of a security clearance, the reporting of an investigation of an 
employee, the letting of a contract, or the issuance of a license, 
grant, or other benefit by the requesting agency, to the extent that 
the information is relevant and necessary to the requesting agency's 
decision on the matter.

D. Routine Use--Congressional Inquiries

    Disclosure from a system of records maintained by a Component 
may be made to a congressional office from the record of an 
individual in response to an inquiry from the congressional office 
made at the request of that individual.

E. Routine Use--Private Relief Legislation

    Relevant information contained in all systems of records of the 
Department of Defense published on or before August 22, 1975, may be 
disclosed to the Office of Management and Budget in connection with 
the review of private relief legislation as set forth in OMB 
Circular A-19 at any stage of the legislative coordination and 
clearance process as set forth in that circular.

F. Routine Use--Disclosures Required by International Agreements

    A record from a system of records maintained by a Component may 
be disclosed to foreign law enforcement, security, investigatory, or 
administrative authorities to comply with requirements imposed by, 
or to claim rights conferred in, international agreements and 
arrangements, including those regulating the stationing and status 
in foreign countries of Department of Defense military and civilian 
personnel.

G. Routine Use--Disclosure to State and Local Taxing Authorities

    Any information normally contained in Internal Revenue Service 
(IRS) Form W-2 which is maintained in a record from a system of 
records maintained by a Component may be disclosed to State and 
local taxing authorities with which the Secretary of the Treasury 
has entered into agreements under 5 U.S.C. 5516, 5517, 5520, and 
only to those State and local taxing authorities for which an 
employee or military member is or was subject to tax regardless of 
whether tax is or was withheld. This routine use is in accordance 
with Treasury Fiscal Requirements Manual Bulletin No. 76-07.

H. Routine Use--Disclosure to the Office of Personnel Management

    A record from a system of records subject to the Privacy Act and 
maintained by a Component may be disclosed to the Office of 
Personnel Management (OPM) concerning information on pay and leave, 
benefits, retirement reductions, and any other information necessary 
for the OPM to carry out its legally authorized government-wide 
personnel management functions and studies.

I. Routine Use--Disclosure to the Department of Justice for Litigation

    A record from a system of records maintained by a Component may 
be disclosed as a routine use to any component of the Department of 
Justice for the purpose of representing the Department of Defense, 
or any officer, employee or member of the Department in pending or 
potential litigation to which the record is pertinent.

J. Routine Use--Disclosure to Military Banking Facilities

    Information as to current military addresses and assignments may 
be provided to military banking facilities who provide banking 
services overseas and who are reimbursed by the Government for 
certain checking and loan losses. For personnel separated, 
discharged, or retired from the Armed Forces, information as to last 
known residential or home of record address may be provided to the 
military banking facility upon certification by a banking facility 
officer that the facility has a returned or dishonored check 
negotiated by the individual or the individual has defaulted on a 
loan and that if restitution is not made by the individual, the U.S. 
Government will be liable for the losses the facility may incur.

K. Routine Use--Disclosure of Information to the General Services 
Administration

    A record from a system of records maintained by a Component may 
be disclosed as a routine use to the General Services Administration 
(GSA) for the purpose of records management inspections conducted 
under authority of 44 U.S.C. 2904 and 2906.

L. Routine Use--Disclosure of Information to the National Archives and 
Records Administration

    A record from a system of records maintained by a Component may 
be disclosed as a routine use to the National Archives and Records 
Administration (NARA) for the purpose of records management 
inspections conducted under authority of 44 U.S.C. 2904 and 2906.

M. Routine Use--Disclosure to the Merit Systems Protection Board

    A record from a system of records maintained by a Component may 
be disclosed as a routine use to the Merit Systems Protection Board, 
including the Office of the Special Counsel, for the purpose of 
litigation, including administrative proceedings, appeals, special 
studies of the civil service and other merit systems, review of OPM 
or Component rules and regulations, investigation of alleged or 
possible prohibited personnel practices, including administrative 
proceedings involving any individual subject of a DoD investigation, 
and such other functions, promulgated in 5 U.S.C. 1205 and 1206 or 
as may be authorized by law.

N. Routine Use--Counterintelligence Purposes

    A record from a system of records maintained by a Component may 
be disclosed as a routine use outside the Department of Defense 
(DoD) or the U.S. Government for the purpose of counterintelligence 
activities authorized by U.S. law or Executive Order or for the 
purpose of enforcing laws that protect the national security of the 
United States.

Appendix D to Part 310--Provisions of the Privacy Act From Which a 
General or Specific Exemption May Be Claimed

(See paragraph (d) of Sec.  310.26)

[[Page 40309]]



------------------------------------------------------------------------
                   Exemptions
------------------------------------------------- Section of the Privacy
         (j)(2)                 (k) (1-7)                   Act
------------------------------------------------------------------------
No.....................  No.....................  (b)(1) Disclosures
                                                   within the Department
                                                   of Defense.
No.....................  No.....................  (2) Disclosures to the
                                                   public.
No.....................  No.....................  (3) Disclosures for a
                                                   ``Routine Use.''
No.....................  No.....................  (4) Disclosures to the
                                                   Bureau of Census.
No.....................  No.....................  (5) Disclosures for
                                                   statistical research
                                                   and reporting.
No.....................  No.....................  (6) Disclosures to the
                                                   NARA.
No.....................  No.....................  (7) Disclosures for
                                                   law enforcement
                                                   purposes.
No.....................  No.....................  (8) Disclosures under
                                                   emergency
                                                   circumstances.
No.....................  No.....................  (9) Disclosures to the
                                                   Congress.
No.....................  No.....................  (10) Disclosures to
                                                   the GAO.
No.....................  No.....................  (11) Disclosures
                                                   pursuant to court
                                                   orders.
No.....................  No.....................  (12) Disclosure to
                                                   consumer reporting
                                                   agencies.
No.....................  No.....................  (c)(1) Making
                                                   disclosure
                                                   accountings.
No.....................  No.....................  (2) Retaining
                                                   disclosure
                                                   accountings.
Yes....................  Yes....................  (c)(3) Making
                                                   disclosure accounting
                                                   available to the
                                                   individual.
Yes....................  No.....................  (c)(4) Informing prior
                                                   recipients of
                                                   corrections.
Yes....................  Yes....................  (d)(1) Individual
                                                   access to records.
Yes....................  Yes....................  (2) Amending records.
Yes....................  Yes....................  (3) Review of the
                                                   Component's refusal
                                                   to amend a record.
Yes....................  Yes....................  (4) Disclosure of
                                                   disputed information.
Yes....................  Yes....................  (5) Access to
                                                   information compiled
                                                   in anticipation of
                                                   civil action.
Yes....................  Yes....................  (e)(1) Restrictions on
                                                   collecting
                                                   information.
Yes....................  No.....................  (e)(2) Collecting
                                                   directly from the
                                                   individual.
Yes....................  No.....................  (3) Informing
                                                   individuals from whom
                                                   information is
                                                   requested.
No.....................  No.....................  (e)(4)(A) Describing
                                                   the name and location
                                                   of the system.
No.....................  No.....................  (B) Describing
                                                   categories of
                                                   individuals.
No.....................  No.....................  (C) Describing
                                                   categories of
                                                   records.
No.....................  No.....................  (D) Describing routine
                                                   uses.
No.....................  No.....................  (E) Describing records
                                                   management policies
                                                   and practices.
No.....................  No.....................  (F) Identifying
                                                   responsible
                                                   officials.
Yes....................  Yes....................  (e)(4)(G) Procedures
                                                   for determining if a
                                                   system contains a
                                                   record on an
                                                   individual.
Yes....................  Yes....................  (H) Procedures for
                                                   gaining access.
Yes....................  Yes....................  (I) Describing
                                                   categories of
                                                   information sources.
Yes....................  No.....................  (e)(5) Standards of
                                                   accuracy.
No.....................  No.....................  (e)(6) Validating
                                                   records before
                                                   disclosure.
No.....................  No.....................  (e)(7) Records of
                                                   First Amendment
                                                   activities.
No.....................  No.....................  (e)(8) Notification of
                                                   disclosure under
                                                   compulsory legal
                                                   process.
No.....................  No.....................  (e)(9) Rules of
                                                   conduct.
No.....................  No.....................  (e)(10)
                                                   Administrative,
                                                   technical, and
                                                   physical safeguards.
No.....................  No.....................  (11) Notice for new
                                                   and revised routine
                                                   uses.
Yes....................  Yes....................  (f)(1) Rules for
                                                   determining if an
                                                   individual is subject
                                                   of a record.
Yes....................  Yes....................  (f)(2) Rules for
                                                   handling access
                                                   requests.
Yes....................  Yes....................  (f)(3) Rules for
                                                   granting access.
Yes....................  Yes....................  (f)(4) Rules for
                                                   amending records.
Yes....................  Yes....................  (f)(5) Rules regarding
                                                   fees.
Yes....................  No.....................  (g)(1) Basis for civil
                                                   action.
Yes....................  No.....................  (g)(2) Basis for
                                                   judicial review and
                                                   remedies for refusal
                                                   to amend.
Yes....................  No.....................  (g)(3) Basis for
                                                   judicial review and
                                                   remedies for denial
                                                   of access.
Yes....................  No.....................  (g)(4) Basis for
                                                   judicial review and
                                                   remedies for other
                                                   failure to comply.
Yes....................  No.....................  (g)(5) Jurisdiction
                                                   and time limits.
Yes....................  No.....................  (h) Rights of legal
                                                   guardians.
No.....................  No.....................  (i)(1) Criminal
                                                   penalties for
                                                   unauthorized
                                                   disclosure.
No.....................  No.....................  (2) Criminal penalties
                                                   for failure to
                                                   publish.
No.....................  No.....................  (3) Criminal penalties
                                                   for obtaining records
                                                   under false
                                                   pretenses.
Yes \1\................  No.....................  (j) Rulemaking
                                                   requirement.
N/A....................  No.....................  (j)(1) General
                                                   exemption for the
                                                   Central Intelligence
                                                   Agency.
N/A....................  No.....................  (j)(2) General
                                                   exemption for
                                                   criminal law
                                                   enforcement records.
Yes....................  No.....................  (k)(1) Exemption for
                                                   classified material.
N/A....................  No.....................  (k)(2) Exemption for
                                                   law enforcement
                                                   material.
Yes....................  N/A....................  (k)(3) Exemption for
                                                   records pertaining to
                                                   Presidential
                                                   protection.
Yes....................  N/A....................  (k)(4) Exemption for
                                                   statistical records.
Yes....................  N/A....................  (k)(5) Exemption for
                                                   investigatory
                                                   material compiled for
                                                   determining
                                                   suitability for
                                                   employment or
                                                   service.
Yes....................  N/A....................  (k)(6) Exemption for
                                                   testing or
                                                   examination material.
Yes....................  N/A....................  (k)(7) Exemption for
                                                   promotion evaluation
                                                   materials used by the
                                                   Armed Forces.
Yes....................  No.....................  (l)(1) Records stored
                                                   in GSA records
                                                   centers.
Yes....................  No.....................  (l)(2) Records
                                                   archived before
                                                   September 27, 1975.
Yes....................  No.....................  (l)(3) Records
                                                   archived on or after
                                                   September 27, 1975.
Yes....................  No.....................  (m) Applicability to
                                                   Government
                                                   contractors.
Yes....................  No.....................  (n) Mailing lists.
Yes \1\................  No.....................  (o) Reports on new
                                                   systems.
Yes \1\................  No.....................  (p) Annual report.
------------------------------------------------------------------------
\1\ See paragraph (d) of Sec.   310.26.


[[Page 40310]]

Appendix E to Part 310--Sample of New or Altered System of Records 
Notice in Federal Register Format

(See paragraph (f) of Sec.  310.30)

New System of Records Notice

DEPARTMENT OF DEFENSE

Office of the Secretary

Privacy Act of 1974; System of Records

AGENCY: Office of the Secretary, DoD.

ACTION: Notice to Add a System of Records.

3SUMMARY: The Office of the Secretary of Defense proposes to add a 
system of records to its inventory of record systems subject to the 
Privacy Act of 1974 (5 U.S.C. 552a), as amended.

DATES: The changes will be effective on (insert date thirty days 
after publication in the Federal Register) unless comments are 
received that would result in a contrary determination.

ADDRESSES: Send comments to OSD Privacy Act Coordinator, Records 
Management Section, Washington Headquarters Services, 1155 Defense 
Pentagon, Washington, DC 20301-1155.

FOR FURTHER INFORMATION CONTACT: Ms. Mary Smith at (703) 000-0000.

SUPPLEMENTARY INFORMATION: The Office of the Secretary of Defense 
notices for systems of records subject to the Privacy Act of 1974 (5 
U.S.C. 552a), as amended, have been published in the Federal 
Register and are available from the address above.
    The proposed systems reports, as required by 5 U.S.C. 552a(r) of 
the Privacy Act of 1974, as amended, were submitted on January 20, 
2006, to the House Committee on Government Reform, the Senate 
Committee on Homeland Security and Governmental Affairs, and the 
Office of Management and Budget (OMB) pursuant to paragraph 4c of 
Appendix I to OMB Circular No. A-130, ``Federal Agency 
Responsibilities for Maintaining Records About Individuals,'' dated 
February 8, 1996 (February 20, 1996, 61 FR 6427).

    Dated: February 1, 2006.

John Miller,

OSD Federal Register Liaison Officer, Department of Defense.

NSLRB 01

    System name: The National Security Labor Relations Board 
(NSLRB).
    System location: National Security Labor Relations Board 
(NSLRB), 1401 Wilson Boulevard, Arlington, VA 22209-2325.
    Categories of individuals covered by the system: Current and 
former civilian Federal Government employees who have filed unfair 
labor practice charges, negotiability disputes, exceptions to 
arbitration awards, and impasses with the National Security Labor 
Relations Board (NSLRB) pursuant to the National Security Personnel 
System (NSPS).
    Categories of records in the system: Documents relating to the 
proceedings before the Board, including the name of the individual 
initiating NSLRB action, statements of witnesses, reports of 
interviews and hearings, examiner's findings and recommendations, a 
copy of the original decision, and related correspondence and 
exhibits.
    Authority for maintenance of the system: The National Defense 
Authorization Act for FY 2004, Public Law 108-136, Section 1101; 5 
U.S.C. 9902(m), Labor Management Relations in the Department of 
Defense; and 5 CFR 9901.907, National Security Labor Relations 
Board.
    Purpose(s): To establish a system of records that will document 
adjudication of unfair labor practice charges, negotiability 
disputes, exceptions to arbitration awards, and impasses filed with 
the National Security Labor Relations Board.
    Routine uses of records maintained in the system, including 
categories of users and the purposes of such uses: In addition to 
those disclosures generally permitted under 5 U.S.C. 552a(b) of the 
Privacy Act, these records or information contained therein may 
specifically be disclosed outside the DoD as a routine use pursuant 
to 5 U.S.C. 552a(b)(3) as follows:
    To The Federal Labor Relations Authority (FLRA) or the Equal 
Employment Opportunity Commission, when requested, for performance 
of functions authorized by law.
    To disclose, in response to a request for discovery or for 
appearance of a witness, information that is relevant to the subject 
matter involved in a pending judicial or administrative proceeding.
    To provide information to officials of labor organizations 
recognized under 5 U.S.C. 71 when relevant and necessary to their 
duties of exclusive representation concerning personnel policies, 
practices, and matters affecting work conditions.
    The DoD `Blanket Routine Uses' set forth at the beginning of 
OSD's compilation of systems of records notices apply to this 
system.
    Policies and practices for storing, retrieving, accessing, 
retaining, and disposing of records in the system:
    Storage: Records are maintained on electronic storage media and 
paper.
    Retrievability: Records will be retrieved in the system by the 
following identifiers: assigned case number; individual's name; 
labor organizations filing the unfair labor practice charges; 
negotiability disputes; exceptions to arbitration awards; date, 
month, year or filing; complaint type; and the organizational 
component from which the complaint arises.
    Safeguards: Records are maintained in a controlled facility. 
Physical entry is restricted by the use of locks, guards, and is 
accessible only to authorized personnel. Access to records is 
limited to person(s) responsible for servicing the record in 
performance of their official duties and who are properly screened 
and cleared for need-to-know. Access to computerized data is 
restricted by passwords, which are changed periodically.
    Retention and disposal: Records are disposed of 5 years after 
final resolution of case.
    System manager(s) and address: Executive Director, National 
Security Personnel System, Program Executive Office, 1401 Wilson 
Boulevard, Arlington, VA 22209-2325.
    Notification procedure: Individuals seeking to determine whether 
this system of records contains information about themselves should 
address written inquiries to the Executive Director, National 
Security Personnel System, Program Executive Office, 1401 Wilson 
Boulevard, Arlington, VA 22209-2325.
    Request should contain name; assigned case number; approximate 
case date (day, month, and year); case type; the names of the 
individuals and/or labor organizations filed the unfair labor 
practice charges; negotiability disputes; exceptions to arbitration 
awards; and impasses.
    Record access procedures: Individuals seeking access to records 
about themselves contained in this system of records should address 
written inquiries to the Executive Director, National Security 
Personnel System, Program Executive Office, 1401 Wilson Boulevard, 
Arlington, VA 22209-2325.
    Request should contain name; assigned case number; approximate 
case date (day, month, and year); case type; the names of the 
individuals and/or labor organizations filed the unfair labor 
practice charges; negotiability disputes; exceptions to arbitration 
awards; and impasses.
    Contesting record procedures: The OSD's rules for accessing 
records, for contesting contents and appealing initial agency 
determinations are published in OSD Administrative Instruction No. 
81; 32 CFR part 311; or may be obtained from the system manager.
    Record source categories: Individual; other officials or 
employees; and departmental and other records containing information 
pertinent to the NSLRB action.
    Exemptions claimed for the system: None.

Altered System of Record Notice

DEPARTMENT OF DEFENSE

Defense Logistics Agency

Privacy Act of 1974; Systems of Records

AGENCY: Defense Logistics Agency.

ACTION: Notice to Alter a System of Records.

SUMMARY: The Defense Logistics Agency proposes to alter a system of 
records notice in its inventory of record systems subject to the 
Privacy Act of 1974 (5 U.S.C. 552a), as amended. The alteration adds 
two routine uses, revises the purpose category, and makes other 
administrative changes to the system notice.

DATES: This action will be effective without further notice on 
(insert date thirty days after publication in the Federal Register) 
unless comments are received that would result in a contrary 
determination.

ADDRESSES: Send comments to the Privacy Act Officer, Headquarters, 
Defense Logistics Agency, ATTN: DSS-B, 8725 John J. Kingman Road, 
Suite 2533, Fort Belvoir, VA 22060-6221.

FOR FURTHER INFORMATION CONTACT: Ms. Mary Smith at (703) 000-0000.

SUPPLEMENTARY INFORMATION: The Defense Logistics Agency notices for 
systems of records subject to the Privacy Act of 1974 (5 U.S.C. 
552a), as amended, have been

[[Page 40311]]

published in the Federal Register and are available from the address 
above.
    The proposed system report, as required by 5 U.S.C. 552a(r) of 
the Privacy Act of 1974, as amended, was submitted on January 29, 
2004, to the House Committee on Government Reform, the Senate 
Committee on Governmental Affairs, and the Office of Management and 
Budget (OMB) pursuant to paragraph 4c of Appendix I to OMB Circular 
No. A-130, ``Federal Agency Responsibilities for Maintaining Records 
About Individuals'', dated February 8, 1996 (February 20, 1996, 61 
FR 6427).

    Dated: February 2, 2004.

John Miller,

Alternate OSD Federal Register Liaison Officer, Department of 
Defense.

S253.10 DLA-G

    System name: Invention Disclosure (February 22, 1993, 58 FR 
10854).
    Changes:
* * * * *
    System identifier: Replace `S253.10 DLA-G' with `S100.70'.
* * * * *
    Categories of individuals covered by the system: Delete `to the 
DLA General Counsel' at the end of the sentence and replace with `to 
DLA.'
* * * * *
    Categories of records in the system: Delete entry and replace 
with `Inventor's name, Social Security Number, address, and 
telephone numbers; descriptions of inventions; designs or drawings, 
as appropriate; evaluations of patentability; recommendations for 
employee awards; licensing documents; and similar records. Where 
patent protection is pursued by DLA, the file may also contain 
copies of applications, Letters Patent, and related materials.'
* * * * *
    Authority for maintenance of the system: Delete entry and 
replace with `5 U.S.C. 301, Departmental Regulations; 5 U.S.C. 4502, 
General provisions; 10 U.S.C. 2320, Rights in technical data; 15 
U.S.C. 3710b, Rewards for scientific, engineering, and technical 
personnel of federal agencies; 15 U.S.C. 3711d, Employee activities; 
35 U.S.C. 181-185, Secrecy of Certain Inventions and Filing 
Applications in Foreign Countries; E.O. 9397 (SSN); and E.O. 10096 
(Inventions Made by Government Employees) as amended by E.O. 10930.'
* * * * *
    Purpose(s): Delete entry and replace with `Data is maintained 
for making determinations regarding and recording DLA interest in 
the acquisition of patents; for documenting the patent process; and 
for documenting any rights of the inventor. The records may also be 
used in conjunction with the employee award program, where 
appropriate.'
* * * * *
    Routine uses of records maintained in the system, including 
categories of users and the purpose of such uses: Add two new 
paragraphs `To the U.S. Patent and Trademark Office for use in 
processing applications and performing related functions and 
responsibilities under Title 35 of the U.S. Code.
    To foreign government patent offices for the purpose of securing 
foreign patent rights.'
* * * * *
    Safeguards: Delete entry and replace with `Access is limited to 
those individuals who require the records for the performance of 
their official duties. Paper records are maintained in buildings 
with controlled or monitored access. During non-duty hours, records 
are secured in locked or guarded buildings, locked offices, or 
guarded cabinets. The electronic records systems employ user 
identification and password or smart card technology protocols.'
* * * * *
    Retention and disposal: Delete entry and replace with `Records 
maintained by Headquarters and field Offices of Counsel are 
destroyed 26 years after file is closed. Records maintained by field 
level Offices of Counsel where patent applications are not prepared 
are destroyed 7 years after closure.'
* * * * *
    Record source categories: Delete entry and replace with 
`Inventors, reviewers, evaluators, officials of U.S. and foreign 
patent offices, and other persons having a direct interest in the 
file.'
* * * * *

S100.70

    System name: Invention Disclosure.
    System location: Office of the General Counsel, HQ DLA-DG, 8725 
John J. Kingman Road, Stop 2533, Fort Belvoir, VA 22060-6221, and 
the offices of counsel of the DLA field activities. Official mailing 
addresses are published as an appendix to DLA's compilation of 
systems of records notices.
    Categories of individuals covered by the system: Employees and 
military personnel assigned to DLA who have submitted invention 
disclosures to DLA.
    Categories of records in the system: Inventor's name, Social 
Security Number, address, and telephone numbers; descriptions of 
inventions; designs or drawings, as appropriate; evaluations of 
patentability; recommendations for employee awards; licensing 
documents; and similar records. Where patent protection is pursued 
by DLA, the file may also contain copies of applications, Letters 
Patent, and related materials.
    Authority for maintenance of the system: 5 U.S.C. 301, 
Departmental Regulations; 5 U.S.C. 4502, General provisions; 10 
U.S.C. 2320, Rights in technical data; 15 U.S.C. 3710b, Rewards for 
scientific, engineering, and technical personnel of federal 
agencies; 15 U.S.C. 3711d, Employee activities; 35 U.S.C. 181-185, 
Secrecy of Certain Inventions and Filing Applications in Foreign 
Countries; E.O. 9397 (SSN); and E.O. 10096 (Inventions Made by 
Government Employees) as amended by E.O. 10930.
    Purpose(s): Data is maintained for making determinations 
regarding and recording DLA interest in the acquisition of patents, 
for documenting the patent process, and for documenting any rights 
of the inventor. The records may also be used in conjunction with 
the employee award program, where appropriate.
    Routine uses of records maintained in the system, including 
categories of users and the purposes of such uses: In addition to 
those disclosures generally permitted under 5 U.S.C. 552a(b) of the 
Privacy Act, these records or information contained therein may 
specifically be disclosed outside the DoD as a routine use pursuant 
to 5 U.S.C. 552a(b)(3) as follows:
    To the U.S. Patent and Trademark Office for use in processing 
applications and performing related functions and responsibilities 
under Title 35 of the U. S. Code.
    To foreign government patent offices for the purpose of securing 
foreign patent rights.
    Information may be referred to other government agencies or to 
non-government agencies or to non-government personnel (including 
contractors or prospective contractors) having an identified 
interest in a particular invention and the Government's rights 
therein.
    The DoD `Blanket Routine Uses' set forth at the beginning of 
DLA's compilation of systems of records notices apply to this 
system.
    Policies and practices for storing, retrieving, accessing, 
retaining, and disposing of records in the system:
    Storage: Records are maintained in paper and computerized form.
    Retrievability: Filed by names of inventors.
    Safeguards: Access is limited to those individuals who require 
the records for the performance of their official duties. Paper 
records are maintained in buildings with controlled or monitored 
access. During non-duty hours, records are secured in locked or 
guarded buildings, locked offices, or guarded cabinets. The 
electronic records systems employ user identification and password 
or smart card technology protocols.
    Retention and disposal: Records maintained by the HQ and field 
Offices of Counsel are destroyed 26 years after file is closed. 
Records maintained by field level Offices of Counsel where patent 
applications are not prepared are destroyed 7 years after closure.
    System manager(s) and address: Office of the General Counsel, 
Headquarters, Defense Logistics Agency, ATTN: DG, 8725 John J. 
Kingman Road, Stop 2533, Fort Belvoir, VA 22060-6221.
    Notification procedure: Individuals seeking to determine whether 
information about themselves is contained in this system should 
address written inquiries to the Privacy Officer, Headquarters, 
Defense Logistics Agency, ATTN: DSS-B, 8725 John J. Kingman Road, 
Stop 6220, Fort Belvoir, VA 22060-6221, or the Privacy Officers at 
DLA field activities. Official mailing addresses are published as an 
appendix to DLA's compilation of systems of records notices.
    Record access procedures: Individuals seeking access to 
information about themselves contained in this system should address 
written inquiries to the Privacy Officer, Headquarters, Defense 
Logistics Agency, ATTN: DSS-B, 8725 John J. Kingman Road, Stop 6220, 
Fort Belvoir, VA 22060-6221, or the Privacy Officers at the

[[Page 40312]]

DLA field activities. Official mailing addresses are published as an 
appendix to DLA's compilation of systems of records notices.
    Individuals should provide information that contains full name, 
current address and telephone numbers of requester.
    For personal visits, each individual shall provide acceptable 
identification, e.g., driver's license or identification card.
    Contesting record procedures: The DLA rules for accessing 
records, contesting contents, and appealing initial agency 
determinations are contained in 32 CFR part 323, or may be obtained 
from the Privacy Act Officer, Headquarters, Defense Logistics 
Agency, ATTN: DSS-B, 8725 John J. Kingman Road, Stop 6220, Fort 
Belvoir, VA 22060-6221.
    Record source categories: Inventors, reviewers, evaluators, 
officials of U.S. and foreign patent offices, and other persons 
having a direct interest in the file.
    Exemptions claimed for the system: None.

Appendix F to Part 310--Format for New or Altered System Report

(See paragraph (c) of Sec.  310.33)

    The report on a new or altered system shall consist of a 
transmittal letter, a narrative statement, and include supporting 
documentation.

A. Transmittal Letter

    The transmittal letter shall be prepared by the Defense Privacy 
Office and shall contain assurances that the new or altered system 
does not duplicate any existing Component systems, DoD-wide systems 
or government-wide systems. The narrative statement, and the system 
notice, shall be attached thereto.

B. Narrative Statement

    The statement shall include information on the following:
    1. System Identifier and name;
    2. Responsible official;
    3. Purpose of establishing the system [for a new system only] or 
nature of the changes proposed for the system [for altered system 
only];
    4. Authority for maintenance of the System;
    5. Probable or potential effects on the privacy of individuals;
    6. Is the system, in whole or part, being maintained by a 
contractor;
    7. Steps taken to minimize risk of unauthorized access;
    8. Routine use compatibility;
    9. OMB information collection requirements; and
    10. Supporting documentation.

Attachment 1--Sample Format for Narrative Statement

DEPARTMENT OF DEFENSE

[Component Name]

Narrative Statement on a [New/Altered] System of Records Under the 
Privacy Act of 1974

    1. System Identifier and Name. This caption sets forth the 
identification and name of the system (see subparagraphs (b)(c) of 
Sec.  310.32).
    2. Responsible Official. The name, title, address, and telephone 
number of the official responsible for the report and to whom 
inquiries and comments about the report may be directed by Congress, 
the Office of Management and Budget, or the Defense Privacy Office.
    3. Purpose of establishing the system or nature of the changes 
proposed for the system: Describe the purpose of the new system or 
how an existing system is being changed.
    4. Authority for maintenance of the system. See paragraph (g) of 
Sec.  310.32.
    5. Probable or potential effects on the privacy of individuals. 
What effect, if any, will the new or altered system impact the 
personal privacy of the affected individuals.
    6. Is the system, in whole or in part, being maintained by a 
contractor. If yes, Components shall ensure that the contract has 
incorporated the Federal Acquisition privacy clause (see paragraph 
(a)(1) of Sec.  310.12).
    7. Steps taken to minimize risk of unauthorized access. Describe 
actions taken to reduce the vulnerability of the system to potential 
threats. See Appendix A to this part.
    8. Routine use compatibility. Provide assurances that any 
records contained in the system that are disclosed outside the DoD 
shall be for a use that is compatible with the purpose for which the 
record was collected. Advise whether or not the blanket routine uses 
apply to this system.
    9. OMB collection requirements. If information is to be 
collected from members of the public, the requirements of reference 
( ) apply and OMB must be advised.
    10. Supporting documentation. The following are typical 
enclosures that may be required:
    a. An advance copy of the system notice for a new or altered 
system that is proposed for publication.
    b. An advance copy of a proposed exemption rule if the new or 
altered system is to be exempted in accordance with subpart F.
    c. Any other supporting documentation that may be pertinent or 
helpful in understanding the need for the system or clarifying its 
intended use.

Attachment 2--Sample Narrative Statement

DEPARTMENT OF DEFENSE

Office of the Secretary

Narrative Statement on a New System of Records Under the Privacy Act of 
1974

    1. System identifier and name: NSLRB 01, entitled ``The National 
Security Labor Relations Board (NSLRB).''
    2. Responsible official: Mr. John Miller, National Security 
Labor Relations Board (NSLRB), 0000 Smith Boulevard, Arlington, VA 
22209, Telephone (703) 000-0000.
    3. Purpose of establishing the system: The Office of the 
Secretary of Defense is proposing to establish a system of records 
that will document adjudication of unfair labor practice charges, 
negotiability disputes, exceptions to arbitration awards, and 
impasses filed with the National Security Labor Relations Board.
    4. Authority for the maintenance of the system: The National 
Defense Authorization Act for FY 2004, Public Law 108-136, Section 
1101; 5 U.S.C. 9902(m), Labor Management Relations in the Department 
of Defense; and 5 CFR 9901.907, National Security Labor Relations 
Board.
    5. Probable or potential effects on the privacy of individuals: 
None.
    6. Is the system, in whole or in part, being maintained by a 
contractor? No.
    7. Steps taken to minimize risk of unauthorized access: Records 
are maintained in a controlled facility. Physical entry is 
restricted by the use of locks, guards, and is accessible only to 
authorized personnel. Access to records is limited to person(s) 
responsible for servicing the record in performance of their 
official duties and who are properly screened and cleared for need-
to-know. Access to computerized data is restricted by passwords, 
which are changed periodically.
    8. Routine use compatibility: Any release of information 
contained in this system of records outside of the DoD will be 
compatible with purposes for which the information is collected and 
maintained. The DoD ``Blanket Routine Uses'' apply to this system of 
records.
    9. OMB information collection requirements: None.
    10. Supporting documentation: None.

Appendix G to Part 310--Sample Amendments for Deletions to System 
Notices in Federal Register Format

(See Sec.  310.34)

Amendment of System Notice

DEPARTMENT OF DEFENSE

Department of the Army

Privacy Act of 1974; System of Records

AGENCY: Department of the Army, DoD.

ACTION: Notice to Amend a System of Records.

SUMMARY: The Department of the Army is proposing to amend a system 
of records notice in its existing inventory of records systems 
subject to the Privacy Act of 1974, (5 U.S.C. 552a), as amended.

DATES: This proposed action will be effective without further notice 
on (insert date thirty days after publication in Federal Register) 
unless comments are received which result in a contrary 
determination.

ADDRESSES: Department of the Army, Freedom of Information/Privacy 
Division, U.S. Army Records Management and Declassification Agency, 
ATTN: AHRC-PDD-FPZ, 7701 Telegraph Road, Casey Building, Suite 144, 
Alexandria, VA 22325-3905.

FOR FURTHER INFORMATION CONTACT: Ms. Mary Smith at (703) 000-0000.

SUPPLEMENTARY INFORMATION: The Department of the Army systems of 
records notices subject to the Privacy Act of 1974, (5 U.S.C. 552a), 
as amended, have been published in the Federal Register and are 
available from the address above.
    The specific changes to the records systems being amended are 
set forth below followed

[[Page 40313]]

by the notices, as amended, published in their entirety. The 
proposed amendments are not within the purview of subsection (r) of 
the Privacy Act of 1974, (5 U.S.C. 552a), as amended, which requires 
the submission of a new or altered system report.


    Dated: February 3, 2006.

John Miller,

OSD Federal Register Liaison Officer, Department of Defense.

A0055 USEUCOM

    System name: Europe Command Travel Clearance Records (August 23, 
2004, 69 FR 51817).
    Changes:
* * * * *
    System name: Delete system identifier and replace with: ``A0055 
USEUCOM DoD''.
* * * * *

A0055 USEUCOM DoD

    System name: Europe Command Travel Clearance Records.
    System location: Headquarters, United States European Command, 
Computer Network Operations Center, Building 2324, P.O. Box 1000, 
APO AE 09131-1000.
    Categories of individuals covered by the system: Military, DoD 
civilians, and non-DoD personnel traveling under DoD sponsorship 
(e.g., contractors, foreign nationals and dependents) and includes 
temporary travelers within the United States European Command's 
(USEUCOM) area of responsibility as define by the DoD Foreign 
Clearance Guide Program.
    Categories of records in the system: Travel requests, which 
contain the individual's name; rank/pay grade; Social Security 
Number; military branch or department; passport number; Visa Number; 
office address and telephone number, official and personal e-mail 
address, detailed information on sites to be visited, visitation 
dates and purpose of visit.
    Authority for the maintenance of the system: 10 U.S.C. 3013, 
Secretary of the Army; 10 U.S.C. 5013, Secretary of the Navy; 10 
U.S.C. 8013, Secretary of the Air Force; DoD 4500.54-G, Department 
of Defense Foreign Clearance Guide; Public Law 99-399, Omnibus 
Diplomatic Security and Antiterrorism Act of 1986; 22 U.S.C. 4801, 
4802, and 4805, Foreign Relations and Intercourse; E.O.12333, United 
States Intelligence Activities; Army Regulation 55-46, Travel 
Overseas; and E.O. 9397 (SSN).
    Purpose(s): To provide the DoD with an automated system to clear 
and audit travel within the United States European Command's area of 
responsibility and to ensure compliance with the specific clearance 
requirements outline in the DoD Foreign Clearance Guide; to provide 
individual travelers with intelligence and travel warnings; and to 
provide the Defense Attach and other DoD authorized officials with 
information necessary to verify official travel by DoD personnel.
    Routine uses of records maintained in the system, including 
categories of users and the purposes of such uses: In addition to 
those disclosures generally permitted under 5 U.S.C. 552a(b) of the 
Privacy Act, these records or information contained therein may 
specifically be disclosed outside the DoD as a routine use pursuant 
to 5 U.S.C. 552a(b)(3) as follows:
    To the Department of State Regional Security Officer, U.S. 
Embassy officials, and foreign police for the purpose of 
coordinating security support for DoD travelers.
    The DoD `Blanket Routine Uses' set forth at the beginning of the 
Army's compilation of systems of records notices also apply to this 
system.
    Policies and practices for storing, retiring, accessing, 
retaining, and disposing of records:
    Storage: Electronic storage media.
    Retrievability: Retrieved by individual's surname, Social 
Security Number and/or passport number.
    Safeguards: Electronic records are located in the United States 
European Command's Theater Requirements Automated Clearance System 
(TRACS) computer database with built in safeguards. Computerized 
records are maintained in controlled areas accessible only to 
authorized personnel with an official need to know access. In 
addition, automated files are password protected and in compliance 
with the applicable laws and regulations. Another built in safeguard 
of the system is records are access to the data through secure 
network.
    Retention and disposal: Records are destroyed 3 months after 
travel is completed.
    System manager(s) and address: Special Assistant for Security 
Matters, Headquarters, United States European Command, Unit 30400, 
P.O. Box 1000, APO AE 09131-1000.
    Notification procedures: Individuals seeking to determine 
whether information about themselves is contained in this system of 
records should address written inquiries to the Special Assistant 
for Security Matters, Headquarters, United States European Command, 
Unit 30400, P.O. Box 1000, APO AE 09131-1000.
    Requests should contain individual's full name, Social Security 
Number, and/or passport number.
    Record access procedures: Individuals seeking to access 
information about themselves that is contained in this system of 
records should address written inquiries to the Special Assistant 
for Security Matters, Headquarters, United States European Command, 
Unit 30400, P.O. Box 1000, APO AE 09131-1000.
    Requests should contain individual's full name, Social Security 
Number, and/or passport number.
    Contesting record procedures: The Army's rules for accessing 
records and for contesting contents and appealing initial agency 
determinations are contained in Army Regulation 340-21; 32 CFR part 
505; or may be obtained from the system manager.
    Record source categories: From individuals.
    Exemptions claimed for the system: None.

Deletion of System Notice

DEPARTMENT OF DEFENSE

Office of the Secretary

Privacy Act of 1974; System of Records

AGENCY: Office of the Secretary, DoD.

ACTION:Notice to Delete Systems of Records.

SUMMARY: The Office of the Secretary of Defense is deleting a system 
of records notice from its existing inventory of records systems 
subject to the Privacy Act of 1974, (5 U.S.C. 552a), as amended.

DATES: This proposed action will be effective without further notice 
on (insert date thirty days after publication in Federal Register) 
unless comments are received which result in a contrary 
determination.

ADDRESSES: OSD Privacy Act Coordinator, Records Management Section, 
Washington Headquarters Services, 1155 Defense Pentagon, Washington, 
DC 20301-1155.

FOR FURTHER INFORMATION CONTACT: Ms. Mary Smith at (703) 000-0000.

SUPPLEMENTARY INFORMATION: The Office of the Secretary of Defense 
systems of records notices subject to the Privacy Act of 1974 (5 
U.S.C. 552a), as amended, have been published in the Federal 
Register and are available from the address above.
    The specific changes to the records system being amended are set 
forth below followed by the notice, as amended, published in its 
entirety. The proposed amendments are not within the purview of 
subsection (r) of the Privacy Act of 1974 (5 U.S.C. 552a), as 
amended, which requires the submission of a new or altered system 
report.

    Dated: April 2, 2006.

John Miller,

OSD Federal Register Liaison Officer, Department of Defense.

DODDS 27

    System name: DoD Domestic and Elementary School Employee File 
(May 9, 2003, 68 FR 24935).
    Reason: The records contained in this system of records are 
covered by OPM/GOVT-1 (General Personnel Records), a government wide 
system notice.

Appendix H to Part 310-Litigation Status Sheet

(See Sec.  310.49)

Litigation Status Sheet

1. Case Number \1\
---------------------------------------------------------------------------

    \1\ Number used by the Component for reference purposes.
---------------------------------------------------------------------------

2. Requester
3. Document Title or Description \2\
4. Litigation
a. Date Complaint Filed
b. Court
c. Case File Number \1\
5. Defendants (DoD Component and individual)
6. Remarks (brief explanation of what the case is about)

[[Page 40314]]

7. Court Action
a. Court's Finding
b. Disciplinary Action (as appropriate)
8. Appeal (as appropriate)
a. Date Complaint Filed
b. Court
c. Case File Number
d. Court's Finding
e. Disciplinary Action (as appropriate)
---------------------------------------------------------------------------

    \2\ Indicate the nature of the case, such as, ``Denial of 
access,'' ``Refusal to amend,'' ``Incorrect records,'' or other 
violations of the Act (specify).

    Dated: June 29, 2006.
L.M. Bynum,
OSD Federal Register Liaison Officer, DOD.
[FR Doc. 06-6011 Filed 7-13-06; 8:45 am]
BILLING CODE 5001-06-P