[Federal Register: January 7, 2004 (Volume 69, Number 4)]
[Rules and Regulations]
[Page 953-973]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr07ja04-11]
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Part II
Department of Defense
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Department of the Air Force
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32 CFR Part 806b
Privacy Act Program; Implementation; Final Rule
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DEPARTMENT OF DEFENSE
Department of the Air Force
32 CFR Part 806b
[Air Force Instruction 33-332]
Privacy Act Program; Implementation
AGENCY: Department of the Air Force, DoD.
ACTION: Final rule.
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SUMMARY: The Department of the Air Force is revising its Privacy Act
Program Instruction. The revision moves responsibility for the Air
Force Privacy Program to Air Force Chief Information Officer;
prescribes Air Force Visual Aid 33-276, Privacy Act Label as optional;
adds the E-Government Act of 2002 requirement for a Privacy Impact
Assessment for all information technology systems that collect,
maintain, or disseminate information in identifiable form from or about
members of the public; changes appeal processing from Air Force
Communications and Information Center to Air Force Legal Services
Agency; adds Privacy Act warning language to use on information systems
subject to the Privacy Act, includes guidance on sending personal
information via e-mail; adds procedures on complaints; and provides
guidance on recall rosters; social rosters; consent statements, systems
of records operated by a contractor, and placing information on shared
drives.
EFFECTIVE DATE: November 28 2003.
FOR FURTHER INFORMATION CONTACT: Mrs. Anne Rollins at (703) 601-4043.
SUPPLEMENTARY INFORMATION: The proposed rule was published on September
25, 2003, at 68 FR 55337. One public comment was received regarding
administrative clarifications needed for Sec. 806b.15, Fees, and Sec.
806b.17, Special Provisions for Certain Medical Records. We added a
paragraph on fee waivers to address concerns for those cases where the
total copies are slightly over the 100 free copy threshold. We moved
the last sentence in Sec. 806b.15(b) which states, ``The Privacy Act
requires that we ultimately insure that the subject receives the
records.'' to a separate paragraph under Sec. 806b.17 to clearly show
that the individual is entitled to their medical records under the
Privacy Act.
Executive Order 12866, ``Regulatory Planning and Review''
It has been determined that Privacy Act rules for the Department of
Defense are not significant rules. The rules do 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 Privacy Act rules for the Department of
Defense do not have significant economic impact on a substantial number
of small entities because they are concerned only with the
administration of Privacy Act systems of records within the Department
of Defense.
Public Law 96-511, ``Paperwork Reduction Act'' (44 U.S.C. Chapter 35)
It has been determined that Privacy Act rules for the Department of
Defense impose no 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.
Section 202, Public Law 104-4, ``Unfunded Mandates Reform Act''
It has been determined that the Privacy Act rulemaking for the
Department of Defense 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 and
that such rulemaking will not significantly or uniquely affect small
governments.
Executive Order 13132, ``Federalism''
It has been determined that the Privacy Act rules for the
Department of Defense do not have federalism implications. The rules do
not have substantial direct effects on the States, on 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 806b
Privacy.
0
For the reasons set forth in the preamble, the Department of the Air
Force is revising 32 CFR part 806b to read as follows:
PART 806b--PRIVACY ACT PROGRAM
Subpart A--Overview of the Privacy Act Program
Sec.
806b.1 Summary of revisions.
806b.2 Basic guidelines.
806b.3 Violation penalties.
806b.4 Privacy Act complaints.
806b.5 Personal notes.
806b.6 Systems of records operated by a contractor.
806b.7 Responsibilities.
Subpart B--Obtaining Law Enforcement Records and Confidentiality
Promises
806b.8 Obtaining law enforcement records.
806b.9 Confidentiality promises.
Subpart C--Collecting Personal Information
806b.10 How to collect personal information.
806b.11 When To Give Privacy Act Statements (PAS).
806b.12 Requesting the Social Security Number.
Subpart D--Giving Access to Privacy Act Records
806b.13 Making a request for access.
806b.14 Processing a request for access.
806b.15 Fees.
806b.16 Denying or limiting access.
806b.17 Special provision for certain medical records.
806b.18 Third party information in a Privacy Act System of records.
806b.19 Information compiled in anticipation of civil action.
806b.20 Denial authorities.
Subpart E--Amending the Record
806b.21 Amendment reasons.
806b.22 Responding to amendment requests.
806b.23 Approving or denying a record amendment.
806b.24 Seeking review of unfavorable Agency determinations.
806b.25 Contents of Privacy Act case files.
Subpart F--Appeals
806b.26 Appeal procedures.
Subpart G--Privacy Act Notifications
806b.27 When to include a Privacy Act warning statement in
publications.
806b.28 Warning banners.
806b.29 Sending personal information over electronic mail.
Subpart H--Privacy Impact Assessments
806b.30 Evaluating information systems for Privacy Act compliance.
Subpart I--Preparing and Publishing System Notices for the Federal
Register
806b.31 Publishing System notices.
806b.32 Submitting notices for publication in the Federal Register.
806b.33 Reviewing notices.
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Subpart J--Protecting and Disposing of Records
806b.34 Protecting records.
806b.35 Balancing protection.
806b.36 Disposing of records.
Subpart K--Privacy Act Exemptions
806b.37 Exemption types.
806b.38 Authorizing exemptions.
806b.39 Requesting an exemption.
806b.40 Exemptions.
Subpart L--Disclosing Records to Third Parties
806b.41 Disclosure considerations.
806b.42 Social rosters.
806b.43 Placing personal information on shared drives.
806b.44 Personal information that requires protection.
806b.45 Releasable information.
806b.46 Disclosing other information.
806b.47 Rules for releasing Privacy Act information without the
consent of the subject.
806b.48 Disclosing the medical records of minors.
806b.49 Disclosure accountings.
806b.50 Computer matching.
806b.51 Privacy and the Web.
Subpart M--Training
806b.52 Who needs training?
806b.53 Training tools.
806b.54 Information collections, records, and forms or Information
Management Tools (IMT).
Appendix A to Part 806b--Definitions
Appendix B to Part 806b--Preparing a System Notice
Appendix C to Part 806b--DoD ``Blanket Routine Uses''
Appendix D to Part 806b--General and Specific Exemptions
Appendix E to Part 806b--Privacy Impact Assessment
Authority: Pub. L. 93-579, 88 Stat. 1896 (5 U.S.C. 552a).
Subpart A--Overview of the Privacy Act Program
Sec. 806b.1 Summary of revisions.
This part moves responsibility for the Air Force Privacy Program
from Air Force Communications and Information Center to the Air Force
Chief Information Officer; prescribes Air Force Visual Aid 33-276,
Privacy Act Label as optional; adds the E-Gov Act of 2002 requirement
for a Privacy Impact Assessment for all information systems that are
new or have major changes; changes appeal processing from Air Force
Communications and Information Center to Air Force Legal Services
Agency; adds Privacy Act warning language to use on information systems
subject to the Privacy Act, includes guidance on sending personal
information via e-mail; adds procedures on complaints; and provides
guidance on recall rosters; social rosters; consent statements, systems
of records operated by a contractor, and placing information on shared
drives.
Sec. 806b.2 Basic guidelines.
This part implements the Privacy Act of 1974 \1\ and applies to
records on living U.S. citizens and permanent resident aliens that are
retrieved by name or personal identifier. This part also provides
guidance on collecting and disseminating personal information in
general.
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(a) Records that are retrieved by name or personal identifier are
subject to Privacy Act requirements and are referred to as Privacy Act
systems of records. The Air Force must publish notices in the Federal
Register, describing the collection of information for new, changed or
deleted systems to inform the public and give them an opportunity to
comment before implementing or changing the system. (see Appendix B to
this part).
(b) An official system of records is:
(1) Authorized by law or Executive Order.
(2) Needed to carry out an Air Force mission or function.
(3) Published in the Federal Register.
(c) The Air Force will not:
(1) Keep records on how a person exercises First Amendment rights.
Exceptions are when: The Air Force has the permission of that
individual or is authorized by Federal statute; or the information
pertains to, and is within the scope of, an authorized law enforcement
activity. 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.
(2) Penalize or harass an individual for exercising rights
guaranteed under the Privacy Act. We must reasonably help individuals
exercise their rights under the Privacy Act.
(d) Air Force members will:
(1) Keep paper and electronic records that are retrieved by name or
personal identifier only in approved Privacy Act systems published in
the Federal Register.
(2) Collect, maintain, and use information in such systems, for
purposes described in the published notice, to support programs
authorized by law or Executive Order.
(3) Safeguard the records in the system and keep them the minimum
time required.
(4) Ensure records are timely, accurate, complete, and relevant.
(5) Amend and correct records on request.
(6) Allow individuals to review and receive copies of their own
records unless the Secretary of the Air Force approved an exemption for
the system; or the Air Force created the records in anticipation of a
civil action or proceeding (5 U.S.C. 552a(d)(5)).
(7) Provide a review of decisions that deny individuals access to
or amendment of their records through appellate procedures.
Sec. 806b.3 Violation penalties.
An individual may file a civil law suit against the Air Force for
failing to comply with the Privacy Act. The courts may find an
individual offender guilty of a misdemeanor and fine that individual
offender not more than $5,000 for:
(a) Willfully maintaining a system of records that doesn't meet the
public notice requirements.
(b) Disclosing information from a system of records to someone not
entitled to the information.
(c) Obtaining someone else's records under false pretenses.
Sec. 806b.4 Privacy Act complaints.
(a) Process Privacy Act complaints or allegations of Privacy Act
violations through the appropriate base or Major Command Privacy Act
office, to the local systems manager. The base or Major Command Privacy
Act officer directs the process and provides guidance to the system
manager. The local systems manager will investigate complaints, or
allegations of Privacy Act violations; will establish and review the
facts when possible; interview individuals as needed; determine
validity of the complaint; take appropriate corrective action; and
ensure a response is sent to the complainant through the Privacy Act
Officer. In cases where no system manager can be identified, the local
Privacy Act officer will assume these duties. Issues that cannot be
resolved at the local level will be elevated to the Major Command
Privacy Office. When appropriate, local system managers will also:
refer cases for more formal investigation, refer cases for command
disciplinary action, and consult the servicing Staff Judge Advocate. In
combatant commands, process component unique system complaints through
the respective component chain of command.
(b) For Privacy Act complaints filed in a U.S. District Court
against the Air Force, an Air Force activity, or any Air Force
employee, Air Force Legal Services Agency, General Litigation Division
(JACL) will provide Air Force Chief Information Officer/P a litigation
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summary to include: The case number, requester name, the nature of the
case (denial of access, refusal to amend, incorrect records, or specify
the particular violation of the Privacy Act), date complaint filed,
court, defendants, and any appropriate remarks, as well as updates
during the litigation process. When the court renders a formal opinion
or judgment, Air Force Legal Services Agency, General Litigation
Division (JACL) sends Air Force Chief Information Officer/P a copy of
the judgment and opinion.
Sec. 806b.5 Personal notes.
The Privacy Act does not apply to personal notes on individuals
used as memory aids. Personal notes may become Privacy Act records if
they are retrieved by name or other personal identifier and at least
one of the following three conditions apply: Keeping or destroying the
records is not at the sole discretion of the author; the notes are
required by oral or written directive, regulation, or command policy;
or they are shown to other agency personnel.
Sec. 806b.6 Systems of records operated by a contractor.
Contractors who are required to operate or maintain a Privacy Act
system of records by contract must follow this part for collecting,
safeguarding, maintaining, using, accessing, amending and disseminating
personal information. The record system affected is considered to be
maintained by the Air Force and is subject to this part. Systems
managers for offices who have contractors operating or maintaining such
record systems must ensure the contract contains the proper Privacy Act
clauses, and identify the record system number, as required by the
Defense Acquisition Regulation and this part.
(a) Contracts for systems of records operated or maintained by a
contractor will be reviewed annually by the appropriate Major Command
Privacy Officer to ensure compliance with this part.
(b) Disclosure of personal records to a contractor for use in the
performance of an Air Force contract is considered a disclosure within
the agency under exception (b)(1) of the Privacy Act (see Sec.
806b.47(a)).
Sec. 806b.7 Responsibilities.
(a) The Air Force Chief Information Officer is the senior Air Force
Privacy Official with overall responsibility for the Air Force Privacy
Act Program.
(b) The Office of the General Counsel to the Secretary of the Air
Force, Fiscal and Administrative Law Division (GCA) makes final
decisions on appeals.
(c) The General Litigation Division, Air Force Legal Services
Agency (JACL), receives Privacy Act appeals and provides
recommendations to the appellate authority. Service unique appeals,
from combatant commands, should go through the respective chain of
command.
(d) The Plans and Policy Directorate, Office of the Chief
Information Officer manages the program through the Air Force Privacy
Act Officer who:
(1) Administers procedures outlined in this part.
(2) Reviews publications and forms for compliance with this part.
(3) Reviews and approves proposed new, altered, and amended systems
of records; and submits system notices and required reports to the
Defense Privacy Office.
(4) Serves as the Air Force member on the Defense Privacy Board and
the Defense Data Integrity Board.
(5) Provides guidance and assistance to Major Commands, field
operating agencies, direct reporting units and combatant commands for
which AF is executive agent in their implementation and execution of
the Air Force Privacy Program. Ensures availability of training and
training tools for a variety of audiences.
(6) Provides advice and support to those commands to ensure that
information requirements developed to collect or maintain personal data
conform to Privacy Act standards; and that appropriate procedures and
safeguards are developed, implemented, and maintained to protect the
information.
(e) Major Command commanders, and Deputy Chiefs of Staff and
comparable officials at Secretary of the Air Force and Headquarters
United States Air Force offices implement this part.
(f) 11th Communications Squadron will provide Privacy Act training
and submit Privacy Act reports for Headquarters United States Air Force
and Secretary of the Air Force offices.
(g) Major Command Commanders: Appoint a command Privacy Act
officer, and send the name, office symbol, phone number, and e-mail
address to Air Force Chief Information Officer/P.
(h) Major Command and Headquarters Air Force Functional Chief
Information Officers:
(1) Review and provide final approval on Privacy Impact Assessments
(see Appendix E of this part).
(2) Send a copy of approved Privacy Impact Assessments to Air Force
Chief Information Officer/P.
(i) Major Command Privacy Act Officers:
(1) Train base Privacy Act officers. May authorize appointment of
unit Privacy Act monitors to assist with implementation of the program.
(2) Promote Privacy Act awareness throughout the organization.
(3) Review publications and forms for compliance with this part (do
forms require a Privacy Act Statement; is Privacy Act Statement
correct?).
(4) Submit reports as required.
(5) Review system notices to validate currency.
(6) Evaluate the health of the program at regular intervals using
this part as guidance.
(7) Review and provide recommendations on completed Privacy Impact
Assessments for information systems.
(8) Resolve complaints or allegations of Privacy Act violations.
(9) Review and process denial recommendations.
(10) Provide guidance as needed to functionals on implementing the
Privacy Act.
(j) Base Privacy Act Officers:
(1) Provide guidance and training to base personnel.
(2) Submit reports as required.
(3) Review publications and forms for compliance with this part.
(4) Review system notices to validate currency.
(5) Direct investigations of complaints/violations.
(6) Evaluate the health of the program at regular intervals using
this part as guidance.
(k) System Managers:
(1) Manage and safeguard the system.
(2) Train users on Privacy Act requirements.
(3) Protect records from unauthorized disclosure, alteration, or
destruction.
(4) Prepare system notices and reports.
(5) Answer Privacy Act requests.
(6) Records of disclosures.
(7) Validate system notices annually.
(8) Investigate Privacy Act complaints.
(l) System owners and developers:
(1) Decide the need for, and content of systems.
(2) Evaluate Privacy Act requirements of information systems in
early stages of development.
(3) Complete a Privacy Impact Assessment and submit to the Privacy
Act Officer.
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Subpart B--Obtaining Law Enforcement Records and Confidentiality
Promises
Sec. 806b.8 Obtaining law enforcement records.
The Commander, Air Force Office of Special Investigation; the
Commander, Air Force Security Forces Center; Major Command, Field
Operating Agency, and base chiefs of security forces; Air Force Office
of Special Investigations detachment commanders; and designees of those
offices may ask another agency for records for law enforcement under 5
U.S.C. 552a(b)(7). The requesting office must indicate in writing the
specific part of the record desired and identify the law enforcement
activity asking for the record.
Sec. 806b.9 Confidentiality promises.
Promises of confidentiality must be prominently annotated in the
record to protect from disclosure any ``confidential'' information
under 5 United States Code 552a(k)(2), (k)(5), or (k)(7) of the Privacy
Act.
Subpart C--Collecting Personal Information
Sec. 806b.10 How to collect personal information.
Collect personal information directly from the subject of the
record whenever possible. Only ask third parties when:
(a) You must verify information.
(b) You want opinions or evaluations.
(c) You can't contact the subject.
(d) You are doing so at the request of the subject individual.
Sec. 806b.11 When to give Privacy Act Statements (PAS).
(a) Give a PAS orally or in writing to the subject of the record
when you are collecting information from them that will go in a system
of records. Note: Do this regardless of how you collect or record the
answers. You may display a sign in areas where people routinely furnish
this kind of information. Give a copy of the Privacy Act Statement if
asked. Do not ask the person to sign the Privacy Act Statement.
(b) A Privacy Act Statement must include four items:
(1) Authority: The legal authority, that is, the U.S.C. or
Executive Order authorizing the program the system supports.
(2) Purpose: The reason you are collecting the information and what
you intend to do with it.
(3) Routine Uses: A list of where and why the information will be
disclosed outside DoD.
(4) Disclosure: Voluntary or Mandatory. (Use Mandatory only when
disclosure is required by law and the individual will be penalized for
not providing information.) Include any consequences of nondisclosure
in non-threatening language.
Sec. 806b.12 Requesting the Social Security Number.
When asking an individual for his or her Social Security Number,
always give a Privacy Act Statement that tells the person: The legal
authority for requesting it; the uses that will be made of the Social
Security Number; and whether providing the Social Security Number is
voluntary or mandatory. Do not deny anyone a legal right, benefit, or
privilege for refusing to give their Social Security Number unless the
law requires disclosure, or a law or regulation adopted before January
1, 1975 required the Social Security Number and the Air Force uses it
to verify a person's identity in a system of records established before
that date.
(a) The Air Force requests an individual's Social Security Number
and provides the individual information required by law when anyone
enters military service or becomes an Air Force civilian employee. The
Air Force uses the Social Security Number as a service or employment
number to reference the individual's official records. When you ask
someone for a Social Security Number as identification to retrieve an
existing record, you do not have to restate this information.
(b) Executive Order 9397, Numbering System for Federal Accounts
Relating to Individual Persons \2\, authorizes using the Social
Security Number as a personal identifier. This order is not adequate
authority to collect a Social Security Number to create a record. When
law does not require disclosing the Social Security Number or when the
system of records was created after January 1, 1975, you may ask for
the Social Security Number, but the individual does not have to
disclose it. If the individual refuses to respond, use alternative
means of identifying records. (c) Social Security Numbers are personal
and unique to each individual. Protect them as for official use only
(FOUO).
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Within DoD, do not disclose them to anyone without an official need
to know. Outside DoD, they are not releasable without the person's
consent, or unless authorized under one of the 12 exceptions to the
Privacy Act (see Sec. 806b.47).
Subpart D--Giving Access to Privacy Act Records
Sec. 806b.13 Making a Request for Access.
Persons or their designated representatives may ask for a copy of
their records in a system of records. Requesters need not state why
they want access to their records. Verify the identity of the requester
to avoid unauthorized disclosures. How you verify identity will depend
on the sensitivity of the requested records. Persons may use a notary
or an unsworn declaration in the following format: ``I declare under
penalty of perjury (if outside the United States, add ``under the laws
of the United States of America'') that the foregoing is true and
correct. Executed on (date). (Signature).''
Sec. 806b.14 Processing a Request for Access.
Consider a request from an individual for his or her own records in
a system of records under both the Freedom of Information Act and the
Privacy Act regardless of the Act cited. The requester does not need to
cite either Act if the records they want are contained in a system of
records. Process the request under whichever Act gives the most
information. When necessary, tell the requester which Act you used and
why.
(a) Requesters should describe the records they want. They do not
have to name a system of records number, but they should at least name
a type of record or functional area. For requests that ask for ``all
records about me,'' ask for more information and tell the person how to
review the Air Force systems of records published in the Federal
Register or at http://www.defenselink.mil/privacy/notices/usaf.
(b) Requesters should not use government equipment, supplies,
stationery, postage, telephones, or official mail channels for making
Privacy Act requests. System managers will process such requests and
tell requesters that using government resources to make Privacy Act
requests is not authorized.
(c) Tell the requester if a record exists and how to review the
record. If possible, respond to requests within 10 workdays of receipt.
If you cannot answer the request in 10 workdays, send a letter
explaining why and give an approximate completion date no more than 20
workdays after the first office received the request.
(d) Show or give a copy of the record to the requester within 30
workdays of receiving the request unless the system
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is exempt and the Air Force lists the exemption in Appendix D to this
part; or it is published in this section; or published as a final rule
in the Federal Register. Give information in a form the requester can
understand. If the system is exempt under the Privacy Act, provide any
parts releasable under the Freedom of Information Act, with appeal
rights (See subpart F of this part), citing appropriate exemptions from
the Privacy Act and the Freedom of Information Act, if applicable.
(e) If the requester wants another person present during the record
review, the system manager may ask for written consent to authorize
discussing the record with another person present.
Sec. 806b.15 Fees.
Give the first 100 pages free, and charge only reproduction costs
for the remainder. Copies cost $.15 per page; microfiche costs $.25 per
fiche. Charge fees for all pages for subsequent requests for the same
records. Do not charge fees:
(a) When the requester can get the record without charge under
another publication (for example, medical records).
(b) For search.
(c) For reproducing a document for the convenience of the Air
Force.
(d) For reproducing a record so the requester can review it.
Fee waivers. Waive fees automatically if the direct cost of
reproduction is less than $15, unless the individual is seeking an
obvious extension or duplication of a previous request for which he or
she was granted a waiver. Decisions to waive or reduce fees that exceed
$15 are made on a case-by-case basis.
Sec. 806b.16 Denying or limiting access.
System managers process access denials within 5 workdays after you
receive a request for access. When you may not release a record, send a
copy of the request, the record, and why you recommend denying access
(include the applicable exemption) to the denial authority through the
legal office and the Privacy Act office. Judge Advocate offices will
include a written legal opinion. The Privacy Act officer reviews the
file, and makes a recommendation to the denial authority. The denial
authority sends the requester a letter with the decision. If the denial
authority grants access, release the record. If the denial authority
refuses access, tell the requester why and explain pertinent appeal
rights (see subpart F of this part). Before you deny a request for
access to a record, make sure that:
(a) The system has an exemption rule published in the Federal
Register as a final rule.
(b) The exemption covers each document. (All parts of a system are
not automatically exempt.)
(c) Nonexempt parts are segregated.
Sec. 806b.17 Special provision for certain medical records.
If a physician believes that disclosing requested medical records
could harm the person's mental or physical health, you should:
(a) Ask the requester to get a letter from a physician to whom you
can send the records. Include a letter explaining to the physician that
giving the records directly to the individual could be harmful.
(b) Offer the services of a military physician other than one who
provided treatment if naming the physician poses a hardship on the
individual.
(c) The Privacy Act requires that we ultimately insure that the
subject receives the records.
Sec. 806b.18 Third party information in a Privacy Act System of
Record.
Ordinarily a person is entitled to their entire record under the
Privacy Act. However, the law is not uniform regarding whether a
subject is entitled to information that is not ``about'' him or her
(for example, the home address of a third party contained in the
subject's records). Consult your servicing Staff Judge Advocate before
disclosing third party information. Generally, if the requester will be
denied a right, privilege or benefit, the requester must be given
access to relevant portions of the file.
Sec. 806b.19 Information compiled in anticipation of civil action.
Withhold records compiled in connection with a civil action or
other proceeding including any action where the Air Force expects
judicial or administrative adjudicatory proceedings. This exemption
does not cover criminal actions. Do not release attorney work products
prepared before, during, or after the action or proceeding.
Sec. 806b.20 Denial authorities.
These officials or a designee may deny access or amendment of
records as authorized by the Privacy Act. Send a letter to Air Force
Chief Information Officer/P with the position titles of designees.
Authorities are:
(a) Deputy Chief of Staffs and chiefs of comparable offices or
higher level at Secretary of the Air Force or Headquarters United
States Air Force or designees.
(b) Major Command, Field Operating Agency, or direct reporting unit
commanders or designees.
(c) Director, Personnel Force Management, 1040 Air Force Pentagon,
Washington, DC 20330-1040 (for civilian personnel records).
(d) Commander, Air Force Office of Special Investigations,
Washington, DC 20332-6001 (for Air Force Office of Special
Investigations records).
(e) Unified Commanders or designees.
Subpart E--Amending the Record
Sec. 806b.21 Amendment reasons.
Individuals may ask to have their records amended to make them
accurate, timely, relevant, or complete. System managers will routinely
correct a record if the requester can show that it is factually wrong
(e.g., date of birth is wrong).
Sec. 806b.22 Responding to amendment requests.
(a) Anyone may request minor corrections orally. Requests for more
serious modifications should be in writing.
(b) After verifying the identity of the requester, make the change,
notify all known recipients of the record, and inform the individual.
(c) Acknowledge requests within 10 workdays of receipt. Give an
expected completion date unless you complete the change within that
time. Final decisions must take no longer than 30 workdays.
Sec. 806b.23 Approving or denying a record amendment.
The Air Force does not usually amend a record when the change is
based on opinion, interpretation, or subjective official judgment.
Determinations not to amend such records constitutes a denial, and
requesters may appeal (see Subpart F of this part).
(a) If the system manager decides not to amend the record, send a
copy of the request, the record, and the recommended denial reasons to
the denial authority through the legal office and the Privacy Act
office. Legal offices will include a written legal opinion. The Privacy
Act officer reviews the proposed denial and legal opinion and makes a
recommendation to the denial authority.
(b) The denial authority sends the requester a letter with the
decision. If the denial authority approves the request, amend the
record and notify all previous recipients that it has been changed. If
the authority denies the request, give the requester the statutory
authority, reason, and pertinent appeal rights (see subpart F of this
part).
[[Page 959]]
Sec. 806b.24 Seeking review of unfavorable Agency determinations.
Requesters should pursue record corrections of subjective matters
and opinions through proper channels to the Civilian Personnel Office
using grievance procedures or the Air Force Board for Correction of
Military Records. Record correction requests denied by the Air Force
Board for Correction of Military Records are not subject to further
consideration under this part. Military personnel, other than U.S. Air
Force personnel, should pursue service-unique record corrections
through their component chain of command.
Sec. 806b.25 Contents of Privacy Act case files.
Do not keep copies of disputed records in this file. File disputed
records in their appropriate series. Use the file solely for statistics
and to process requests. Do not use the case files to make any kind of
determination about an individual. Document reasons for untimely
responses. These files include:
(a) Requests from and replies to individuals on whether a system
has records about them.
(b) Requests for access or amendment.
(c) Approvals, denials, appeals, and final review actions.
(d) Coordination actions and related papers.
Subpart F--Appeals
Sec. 806b.26 Appeal procedures.
Individuals who receive a denial to their access or amendment
request may request a denial review by writing to the Secretary of the
Air Force, through the denial authority, within 60 calendar days after
receiving a denial letter. The denial authority promptly sends a
complete appeal package to Air Force Legal Services Agency, General
Litigation Division (JACL). The package must include:
(1) The original appeal letter;
(2) The initial request;
(3) The initial denial;
(4) A copy of the record;
(5) Any internal records or coordination actions relating to the
denial;
(6) The denial authority's comments on the appellant's arguments;
and
(7) The legal reviews.
(a) If the denial authority reverses an earlier denial and grants
access or amendment, notify the requester immediately.
(b) Air Force Legal Services Agency, General Litigation Division
(JACL) reviews the denial and provides a final recommendation to
Secretary of the Air Force, Fiscal and Administrative Law Division
(GCA). Secretary of the Air Force, Fiscal and Administrative Law
Division (GCA) tells the requester the final Air Force decision and
explains judicial review rights.
(c) The requester may file a concise statement of disagreement with
the system manager if Secretary of the Air Force, Fiscal and
Administrative Law Division (GCA) denies the request to amend the
record. Secretary of the Air Force, Fiscal and Administrative Law
Division (GCA) explains the requester's rights when they issue the
final appeal decision.
(d) The records should clearly show that a statement of
disagreement is filed with the record or separately.
(e) The disputed part of the record must show that the requester
filed a statement of disagreement.
(f) Give copies of the statement of disagreement to the record's
previous recipients. Inform subsequent record users about the dispute
and give them a copy of the statement with the record.
(g) The system manager may include a brief summary of the reasons
for not amending the record. Limit the summary to the reasons Secretary
of the Air Force, Fiscal and Administrative Law Division (GCA) gave to
the individual. The summary is part of the individual's record, but it
is not subject to amendment procedures.
Subpart G--Privacy Act Notifications
Sec. 806b.27 When to include a Privacy Act warning statement in
publications.
Include a Privacy Act Warning Statement in each Air Force
publication that requires collecting or keeping information in a system
of records. Also include the Warning Statement when publications direct
collection of the Social Security Number, or any part of the Social
Security Number, from the individual. The warning statement will cite
legal authority and when part of a record system, the Privacy Act
system of records number and title. You can use the following warning
statement: ``This instruction requires collecting and maintaining
information protected by the Privacy Act of 1974 authorized by (U.S.C.
citation and or Executive Order number). System of records notice
(number and title) applies.''
Sec. 806b.28. Warning banners.
Information systems that contain information on individuals that is
retrieved by name or personal identifier are subject to the Privacy
Act. The Privacy Act requires these systems to have a Privacy Act
system notice published in the Federal Register that covers the
information collection before collection begins. In addition, all
information systems subject to the Privacy Act will have warning
banners displayed on the first screen (at a minimum) to assist in
safeguarding the information. Use the following language for the
banner: ``PRIVACY ACT INFORMATION--The information accessed through
this system is FOR OFFICIAL USE ONLY and must be protected in
accordance with the Privacy Act and Air Force Instruction 33-332.''
Sec. 806b.29 Sending personal information over electronic mail.
(a) Exercise caution before transmitting personal information over
e-mail to ensure it is adequately safeguarded. Some information may be
so sensitive and personal that e-mail may not be the proper way to
transmit it. When sending personal information over e-mail within DoD,
ensure: There is an official need; all addressee(s) (including ``cc''
addressees) are authorized to receive it under the Privacy Act; and it
is protected from unauthorized disclosure, loss, or alteration.
Protection methods may include encryption or password protecting the
information in a separate Word document. When transmitting personal
information over e-mail, add ``FOUO'' to the beginning of the subject
line, followed by the subject, and apply the following statement at the
beginning of the e-mail:
``This e-mail contains For Official Use Only (FOUO) information
which must be protected under the Privacy Act and Air Force
Instruction 33-332.''
(b) Do not indiscriminately apply this statement to e-mails. Use it
only in situations when you are actually transmitting personal
information. DoD Regulation 5400.7/Air Force Supp, Chapter 4\3\,
provides additional guidance regarding For Official Use Only
information.
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(c) Do not disclose personal information to anyone outside DoD
unless specifically authorized by the Privacy Act (see Sec. 806b.47).
(d) Do not send Privacy Act information to distribution lists or
group e-mail addresses unless each member has an official need to know
the personal information. When in doubt, send only to individual
accounts.
(e) Before forwarding e-mails you have received that contain
personal information, verify that your intended recipients are
authorized to receive the
[[Page 960]]
information under the Privacy Act (see Sec. 806b.47).
Subpart H--Privacy Impact Assessments
Sec. 806b.30 Evaluating information systems for Privacy Act
compliance.
Information system owners and developers must address Privacy Act
requirements in the development stage of the system and integrate
privacy protections into the development life cycle of the information
system. This is accomplished with a Privacy Impact Assessment.
(a) The Privacy Impact Assessment addresses what information is to
be collected; why the information is being collected; the intended use
of the information; with whom the information will be shared; what
notice or opportunities for the individual to decline or consent to
providing the information collected, and how that information is
shared; secured; and whether a system of records is being created, or
an existing system is being amended. The E-Government Act of 2002 \4\
requires Privacy Impact Assessments to be conducted before:
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(1) Developing or procuring information technology systems or
projects that collect, maintain, or disseminate information in
identifiable form from or about members of the public.
(2) Initiating a new electronic collection of information in
identifiable form for 10 or more persons excluding agencies,
instrumentalities, or employees of the Federal Government.
(b) In general, Privacy Impact Assessments are required to be
performed and updated as necessary where a system change creates new
privacy risks.
(c) No Privacy Impact Assessment is required where information
relates to internal government operations, has been previously assessed
under an evaluation similar to a Privacy Impact Assessment, or where
privacy issues are unchanged.
(d) The depth and content of the Privacy Impact Assessment should
be appropriate for the nature of the information to be collected and
the size and complexity of the information technology system.
(e) The system owner will conduct a Privacy Impact Assessment as
outlined in appendix E to this part and send it to their Major Command
Privacy Act office for review and final approval by the Major Command
or Headquarters Air Force Functional Chief Information Officer. The
Major Command or Headquarters Air Force Functional Chief Information
Officer will send a copy of approved Privacy Impact Assessments to Air
Force Chief Information Officer/P, 1155 Air Force Pentagon, Washington
DC 20330-1155; or e-mail af.foia@pentagon.af.mil.
(f) Whenever practicable, approved Privacy Impact Assessments will
be posted to the Freedom of Information Act/Privacy Act Web site for
public access at http://www.foia.af.mil (this requirement will be
waived for security reasons, or to protect classified, sensitive, or
private information contained in an assessment).
Subpart I--Preparing and Publishing System Notices for the Federal
Register
Sec. 806b.31 Publishing system notices.
The Air Force must publish notices in the Federal Register of new,
changed, and deleted systems to inform the public of what records the
Air Force keeps and give them an opportunity to comment before the
system is implemented or changed. The Privacy Act also requires
submission of new or significantly changed systems to the Office of
Management and Budget and both houses of Congress before publication in
the Federal Register. This includes:
(a) Starting a new system.
(b) Instituting significant changes to an existing system.
(c) Sending out data collection forms or instructions.
(d) Issuing a request for proposal or invitation for bid to support
a new system.
Sec. 806b.32 Submitting notices for publication in the Federal
Register.
At least 120 days before implementing a new system, or a major
change to an existing system, subject to this part, system managers
must send a proposed notice, through the Major Command Privacy Office,
to Air Force Chief Information Officer/P. Send notices electronically
to af.foia@pentagon.af.mil using Microsoft Word, using the Track
Changes tool in Word to indicate additions/changes to existing notices.
Follow the format outlined in Appendix B to this part. For new systems,
system managers must include a statement that a risk assessment was
accomplished and is available should the Office of Management and
Budget request it.
Sec. 806b.33 Reviewing notices.
System managers will review and validate their Privacy Act system
notices annually and submit changes to Air Force Chief Information
Officer/P through the Major Command Privacy Office.
Subpart J--Protecting and Disposing of Records
Sec. 806b.34 Protecting records.
Maintaining information privacy is the responsibility of every
federal employee, military member, and contractor who comes into
contact with information in identifiable form. Protect information
according to its sensitivity level. Consider the personal sensitivity
of the information and the risk of disclosure, loss or alteration. Most
information in systems of records is FOUO. Refer to DoD 5400.7-R/Air
Force Supp, DoD Freedom of Information Act Program, for protection
methods.
Sec. 806b.35 Balancing protection.
Balance additional protection against sensitivity, risk and cost.
In some situations, a password may be enough protection for an
automated system with a log-on protocol. Others may require more
sophisticated security protection based on the sensitivity of the
information. Classified computer systems or those with established
audit and password systems are obviously less vulnerable than
unprotected files. Follow Air Force Instruction 33-202, Computer
Security,\5\ for procedures on safeguarding personal information in
automated records.
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(a) AF Form 3227, Privacy Act Cover Sheet,\6\ is optional and
available for use with Privacy Act material. Use it to cover and
protect personal information that you are using in office environments
that are widely unprotected and accessible to many individuals. After
use, such information should be protected as outlined in DoD 5400.7-R/
Air Force Supp.
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(b) Privacy Act Labels. Use of Air Force Visual Aid 33-276, Privacy
Act Label, is optional to assist in protecting Privacy Act information
on compact disks, diskettes, and tapes.
Sec. 806b.36 Disposing of records.
You may use the following methods to dispose of records protected
by the Privacy Act and authorized for destruction according to records
retention schedules:
(a) Destroy by any method that prevents compromise, such as
tearing, burning, or shredding, so long as the personal data is not
recognizable and beyond reconstruction.
[[Page 961]]
(b) Degauss or overwrite magnetic tapes or other magnetic medium.
(c) Dispose of paper products through the Defense Reutilization and
Marketing Office or through activities that manage a base-wide
recycling program. The recycling sales contract must contain a clause
requiring the contractor to safeguard privacy material until its
destruction and to pulp, macerate, shred, or otherwise completely
destroy the records. Originators must safeguard Privacy Act material
until it is transferred to the recycling contractor. A Federal employee
or, if authorized, a contractor employee must witness the destruction.
This transfer does not require a disclosure accounting.
Subpart K--Privacy Act Exemptions
Sec. 806b.37 Exemption types.
There are two types of exemptions permitted by 5 U.S.C. 552a:
(a) A General exemption authorizes the exemption of a system of
records from most parts of the Privacy Act.
(b) A Specific exemption authorizes the exemption of a system of
records from only a few parts.
Sec. 806b.38 Authorizing exemptions.
Denial authorities may withhold records using Privacy Act
exemptions only when an exemption for the system of records has been
published in the Federal Register as a final rule. Appendix D lists the
systems of records that have published exemptions with rationale.
Sec. 806b.39 Requesting an exemption.
A system manager who believes that a system needs an exemption from
some or all of the requirements of the Privacy Act will send a request
to Air Force Chief Information Officer/P through the Major Command or
Field Operating Agency Privacy Act Officer. The request will detail the
reasons for the exemption, the section of the Act that allows the
exemption, and the specific subsections of the Privacy Act from which
the system is to be exempted, with justification for each subsection.
Sec. 806b.40 Exemptions.
Exemptions permissible under 5 U.S.C. 552a (subject to Sec.
806b.38 of this part):
(a) The (j)(2) exemption. Applies to investigative records created
and maintained by law-enforcement activities whose principal function
is criminal law enforcement.
(b) The (k)(1) exemption. Applies to information specifically
authorized to be classified under the DoD Information Security Program
Regulation, 32 CFR part 159.
(c) The (k)(2) exemption. Applies to investigatory information
compiled for law-enforcement purposes by nonlaw enforcement activities
and which is not within the scope of Sec. 806b.40(a) of this part.
However, the Air Force must allow an individual access to any record
that is used to deny rights, privileges or benefits to which he or she
would otherwise be entitled by Federal law or for which he or she would
otherwise be eligible as a result of the maintenance of the information
(unless doing so would reveal a confidential source).
(d) The (k)(3) exemption. Applies to records maintained in
connection with providing protective services to the President and
other individuals under 18 U.S.C. 3506.
(e) The (k)(4) exemption. Applies to records maintained solely for
statistical research or program evaluation purposes and which are not
used to make decisions on the rights, benefits, or entitlement of an
individual except for census records which may be disclosed under 13
U.S.C. 8.
(f) The (k)(5) exemption. Applies to 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. This provision allows protection of
confidential sources used in background investigations, employment
inquiries, and similar inquiries that are for personnel screening to
determine suitability, eligibility, or qualifications.
(g) The (k)(6) exemption. Applies to 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.
(h) The (k)(7) exemption. Applies to 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.
Subpart L--Disclosing Records to Third Parties
Sec. 806b.41 Disclosure considerations.
The Privacy Act requires the written consent of the subject before
releasing personal information to third parties, unless one of the 12
exceptions of the Privacy Act applies (see Sec. 806b.47). Use this
checklist before releasing personal information to third parties: Make
sure it is authorized under the Privacy Act; consider the consequences;
and check the accuracy of the information. You can release personal
information to third parties when the subject agrees in writing. Air
Force members consent to releasing their home telephone number and
address when they sign and check the ``Do Consent'' block on the AF
Form 624, Base/Unit Locator and Postal Service Center Directory \7\
(see Air Force Instruction 33-329, Base and Unit Personnel Locators
\8\).
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Sec. 806b.42 Social rosters.
Before including personal information such as spouses names, home
addresses, home phones, and similar information on social rosters or
directories that are shared with groups of individuals, ask for signed
consent statements. Otherwise, do not include the information. Consent
statements must give the individual a choice to consent or not consent,
and clearly tell the individual what information is being solicited,
the purpose, to whom you plan to disclose the information, and that
consent is voluntary. Maintain the signed statements until no longer
needed.
Sec. 806b.43 Placing personal information on shared drives.
Personal information should never be placed on shared drives for
access by groups of individuals unless each person has an official need
to know the information to perform their job. Add appropriate access
controls to ensure access by only authorized individuals. Recall
rosters are FOUO because they contain personal information and should
be shared with small groups at the lowest levels for official purposes
to reduce the number of people with access to such personal
information. Commanders and supervisors should give consideration to
those individuals with unlisted phone numbers, who do not want their
number included on the office recall roster. In those instances,
disclosure to the Commander or immediate supervisor, or deputy, should
normally be sufficient.
Sec. 806b.44 Personal information that requires protection.
Following are some examples of information that is not releasable
without the written consent of the subject. This list is not all-
inclusive.
(a) Marital status (single, divorced, widowed, separated).
(b) Number, name, and sex of dependents.
[[Page 962]]
(c) Civilian educational degrees and major areas of study (unless
the request for the information relates to the professional
qualifications for Federal employment).
(d) School and year of graduation.
(e) Home of record.
(f) Home address and phone.
(g) Age and date of birth (year).
(h) Present or future assignments for overseas or for routinely
deployable or sensitive units.
(i) Office and unit address and duty phone for overseas or for
routinely deployable or sensitive units.
(j) Race/ethnic origin.
(k) Educational level (unless the request for the information
relates to the professional qualifications for Federal employment).
(l) Social Security Number.
Sec. 806b.45. Releasable information.
Following are examples of information normally releasable to the
public without the written consent of the subject. This list is not
all-inclusive.
(a) Name.
(b) Rank.
(c) Grade.
(d) Air Force specialty code.
(e) Pay (including base pay, special pay, all allowances except
Basic Allowance for Quarters and Variable Housing Allowance).
(f) Gross salary for civilians.
(g) Past duty assignments, unless sensitive or classified.
(h) Present and future approved and announced stateside
assignments.
(i) Position title.
(j) Office, unit address, and duty phone number (Continental United
States (CONUS) only).
(k) Date of rank.
(l) Entered on active duty date.
(m) Pay date.
(n) Source of commission.
(o) Professional military education.
(p) Promotion sequence number.
(q) Military awards and decorations.
(r) Duty status of active, retired, or reserve.
(s) Active duty official attendance at technical, scientific, or
professional meetings.
(t) Biographies and photos of key personnel.
(u) Date of retirement, separation.
Sec. 806b.46 Disclosing other information.
Use these guidelines to decide whether to release information:
(a) Would the subject have a reasonable expectation of privacy in
the information requested?
(b) Would disclosing the information benefit the general public?
The Air Force considers information as meeting the public interest
standard if it reveals anything regarding the operations or activities
of the agency, or performance of its statutory duties.
(c) Balance the public interest against the individual's probable
loss of privacy. Do not consider the requester's purpose,
circumstances, or proposed use.
Sec. 806b.47 Rules for releasing Privacy Act information without
consent of the subject.
The Privacy Act prohibits disclosing personal information to anyone
other than the subject of the record without his or her written
consent. There are twelve exceptions to the ``no disclosure without
consent'' rule. Those exceptions permit release of personal information
without the individual's consent only in the following instances:
(a) Exception 1. DoD employees who have a need to know the
information in the performance of their official duties.
(b) Exception 2. In response to a Freedom of Information Act
request for information contained in a system of records about an
individual and the Freedom of Information Act requires release of the
information.
(c) Exception 3. To agencies outside DoD only for a Routine Use
published in the Federal Register. The purpose of the disclosure must
be compatible with the intended purpose of collecting and maintaining
the record. When initially collecting the information from the subject,
the Routine Uses block in the Privacy Act Statement must name the
agencies and reason.
Note to paragraph (c): In addition to the Routine Uses
established by the Department of the Air Force within each system of
records, the DoD has established ``Blanket Routine Uses'' that apply
to all record systems maintained by the Department of the Air Force.
These ``Blanket Routine Uses'' have been published only once at the
beginning of the Department of the Air Force's Federal Register
compilation of record systems notices in the interest of simplicity,
economy and to avoid redundancy. Unless a system notice specifically
excludes a system of records from a ``Blanket Routine Use,'' all
``Blanket Routine Uses'' apply to that system (see Appendix C to
this part).
(d) Exception 4. The Bureau of the Census to plan or carry out a
census or survey under Title 13, U.S.C. Section 8.
(e) Exception 5. A recipient for statistical research or reporting.
The recipient must give advanced written assurance that the information
is for statistical purposes only. Note: No one may use any part of the
record to decide on individuals' rights, benefits, or entitlements. You
must release records in a format that makes it impossible to identify
the real subjects.
(f) Exception 6. The National Archives and Records Administration
to evaluate records for permanent retention. Records stored in Federal
Records Centers remain under Air Force control.
(g) Exception 7. A Federal, State, or local agency (other than DoD)
for civil or criminal law enforcement. The head of the agency or a
designee must send a written request to the system manager specifying
the record or part needed and the law enforcement purpose. In addition,
the `blanket routine use'' for law enforcement allows the system
manager to disclose a record to a law enforcement agency if the agency
suspects a criminal violation.
(h) Exception 8. An individual or agency that needs the information
for compelling health or safety reasons. The affected individual need
not be the record subject.
(i) Exception 9. Either House of Congress, a congressional
committee, or a subcommittee, for matters within their jurisdictions.
The request must come from the committee chairman or ranking minority
member (see Air Force Instruction 90-401, Air Force Relations With
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(1) Requests from a Congressional member acting on behalf of the
record subject are evaluated under the routine use of the applicable
system notice. If the material for release is sensitive, get a release
statement.
(2) Requests from a Congressional member not on behalf of a
committee or the record subject are properly analyzed under the Freedom
of Information Act, and not under the Privacy Act.
(j) Exception 10. The Comptroller General or an authorized
representative of the General Accounting Office (GAO) to conduct
official GAO business.
(k) Exception 11. A court of competent jurisdiction, with a court
order signed by a judge.
(l) Exception 12. A consumer reporting agency in accordance with 31
U.S.C. 3711(e). Ensure category element is represented within the
system of records notice.
Sec. 806b.48. Disclosing the medical records of minors.
Air Force personnel may disclose the medical records of minors to
their parents or legal guardians in conjunction with applicable Federal
laws and guidelines. The laws of each state define the age of majority.
(a) The Air Force must obey state laws protecting medical records
of drug or alcohol abuse treatment, abortion, and birth control. If you
manage medical
[[Page 963]]
records, learn the local laws and coordinate proposed local policies
with the servicing Staff Judge Advocate.
(b) Outside the United States (overseas), the age of majority is
18. Unless parents or guardians have a court order granting access or
the minor's written consent, they will not have access to minor's
medical records overseas when the minor sought or consented to
treatment between the ages of 15 and 17 in a program where regulation
or statute provides confidentiality of records and he or she asked for
confidentiality.
Sec. 806b.49. Disclosure accountings.
System managers must keep an accurate record of all disclosures
made from any system of records except disclosures to DoD personnel for
official use or disclosures under the Freedom of Information Act.
System managers may use Air Force Form 771\10\, Accounting of
Disclosures. Retain disclosure accountings for 5 years after the
disclosure, or for the life of the record, whichever is longer.
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(a) System managers may file the accounting record any way they
want as long as they give it to the subject on request, send corrected
or disputed information to previous record recipients, explain any
disclosures, and provide an audit trail for reviews. Include in each
accounting:
(1) Release date.
(2) Description of information.
(3) Reason for release.
(4) Name and address of recipient.
(5) Some exempt systems let you withhold the accounting record from
the subject.
(b) You may withhold information about disclosure accountings for
law enforcement purposes at the law enforcement agency's request.
Sec. 806b.50. Computer matching.
Computer matching programs electronically compare records from two
or more automated systems that may include DoD, another Federal agency,
or a state or other local government. A system manager proposing a
match that could result in an adverse action against a Federal employee
must meet these requirements of the Privacy Act:
(1) Prepare a written agreement between participants;
(2) Secure approval of the Defense Data Integrity Board;
(3) Publish a matching notice in the Federal Register before
matching begins;
(4) Ensure full investigation and due process; and
(5) Act on the information, as necessary.
(a) The Privacy Act applies to matching programs that use records
from: Federal personnel or payroll systems and Federal benefit programs
where matching:
(1) Determines Federal benefit eligibility;
(2) Checks on compliance with benefit program requirements;
(3) Recovers improper payments or delinquent debts from current or
former beneficiaries.
(b) Matches used for statistics, pilot programs, law enforcement,
tax administration, routine administration, background checks and
foreign counterintelligence, and internal matching that won't cause any
adverse action are exempt from Privacy Act matching requirements.
(c) Any activity that expects to participate in a matching program
must contact Air Force Chief Information Officer/P immediately. System
managers must prepare a notice for publication in the Federal Register
with a Routine Use that allows disclosing the information for use in a
matching program. Send the proposed system notice to Air Force Chief
Information Officer/P. Allow 180 days for processing requests for a new
matching program.
(d) Record subjects must receive prior notice of a match. The best
way to do this is to include notice in the Privacy Act Statement on
forms used in applying for benefits. Coordinate computer matching
statements on forms with Air Force Chief Information Officer/P through
the Major Command Privacy Act Officer.
Sec. 806b.51. Privacy and the Web.
Do not post personal information on publicly accessible DoD web
sites unless clearly authorized by law and implementing regulation and
policy. Additionally, do not post personal information on .mil private
web sites unless authorized by the local commander, for official
purposes, and an appropriate risk assessment is performed. See Air
Force Instruction 33-129 Transmission of Information Via the
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(a) Ensure public Web sites comply with privacy policies regarding
restrictions on persistent and third party cookies, and add appropriate
privacy and security notices at major web site entry points and Privacy
Act statements or Privacy Advisories when collecting personal
information. Notices must clearly explain where the collection or
sharing of certain information is voluntary, and notify users how to
provide consent.
(b) Include a Privacy Act Statement on the web page if it collects
information directly from an individual that we maintain and retrieve
by his or her name or personal identifier (i.e., Social Security
Number). We may only maintain such information in approved Privacy Act
systems of records that are published in the Federal Register. Inform
the visitor when the information is maintained and retrieved by name or
personal identifier in a system of records; that the Privacy Act gives
them certain rights with respect to the government's maintenance and
use of information collected about them, and provide a link to the Air
Force Privacy Act policy and system notices at http://www.foia.af.mil.
(c) Anytime a web site solicits personally-identifying information,
even when not maintained in a Privacy Act system of records, it
requires a Privacy Advisory. The Privacy Advisory informs the
individual why the information is solicited and how it will be used.
Post the Privacy Advisory to the web page where the information is
being solicited, or through a well-marked hyperlink ``Privacy
Advisory--Please refer to the Privacy and Security Notice that
describes why this information is collected and how it will be used.''
Subpart M--Training
Sec. 806b.52. Who needs training.
The Privacy Act requires training for all persons involved in the
design, development, operation and maintenance of any system of
records. More specialized training is needed for personnel who may be
expected to deal with the news media or the public, personnel
specialists, finance officers, information managers, supervisors, and
individuals working with medical and security records. Commanders will
ensure that above personnel are trained annually in the principles and
requirements of the Privacy Act.
Sec. 806b.53. Training tools.
Helpful resources include:
(a) The Air Force Freedom of Information Act Web page which
includes a Privacy Overview, Privacy Act training slides, the Air Force
systems of records notices, and links to the Defense Privacy Board
Advisory Opinions, the DoD and Department of Justice Privacy web pages.
Go to http://www.foia.af.mil. Click on ``Resources.''
(b) ``The Privacy Act of 1974,'' a 32-minute film developed by the
Defense
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Privacy Office. Contact the Joint Visual Information Activity at DSN
795-6543/7283 or commercial (717) 895-6543/7283, and ask for
504432 ``The Privacy Act of 1974.''
(c) A Manager's Overview, What You Need to Know About the Privacy
Act. This overview gives you Privacy Act 101 and is available on-line
at http://www.foia.af.mil.
(d) Training slides for use by the Major Command and base Privacy
Act officers, available from the Freedom of Information Act web page at
http://www.foia.af.mil, under ``Resources.''
Note: Formal school training groups that develop or modify
blocks of instruction must send the material to Air Force Chief
Information Officer/P for coordination.
Sec. 806b.54 Information collections, records, and forms or
information management tools (IMT).
(a) Information Collections. No information collections are
required by this publication.
(b) Records. Retain and dispose of Privacy Act records according to
Air Force Manual 37-139, Records Disposition Schedule.\12\
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(c) Forms or Information Management Tools (Adopted and Prescribed).
(1) Adopted Forms or Information Management Tools. Air Force Form
624, Base/Unit Locator and PSC Directory, and AF Form 847,
Recommendation for Change of Publication.
(2) Prescribed Forms or Information Management Tools. AF Form 3227,
Privacy Act Cover Sheet, Air Force Form 771, Accounting of Disclosures,
and Air Force Visual Aid 33-276.
Appendix A to Part 806b--Definitions
Access: Allowing individuals to review or receive copies of
their records.
Amendment: The process of adding, deleting, or changing
information in a system of records to make the data accurate,
relevant, timely, or complete.
Computer matching: A computerized comparison of two or more
automated systems of records or a system of records with non-Federal
records to establish or verify eligibility for payments under
Federal benefit programs or to recover delinquent debts for these
programs.
Confidential source: A person or organization giving information
under an express or implied promise of confidentiality made before
September 27, 1975.
Confidentiality: An expressed and recorded promise to withhold
the identity of a source or the information provided by a source.
The Air Force promises confidentiality only when the information
goes into a system with an approved exemption for protecting the
identity of confidential sources.
Cookie: Data created by a Web server that is stored on a user's
computer either temporarily for that session only or permanently on
the hard disk (persistent cookie). It provides a way for the Web
site to identify users and keep track of their preferences. It is
commonly used to ``maintain the state'' of the session. A third-
party cookie either originates on or is sent to a Web site different
from the one you are currently viewing.
Defense Data Integrity Board: Composed of representatives from
DoD components and the services who oversee, coordinate, and approve
all DoD computer matching programs covered by the Act.
Denial Authority: The individuals with authority to deny
requests for access or amendment of records under the Privacy Act.
Disclosure: Giving information from a system, by any means, to
anyone other than the record subject.
Federal benefit program: A Federally funded or administered
program for individuals that provides cash or in-kind assistance
(payments, grants, loans, or loan guarantees).
Individual: A living U.S. citizen or a permanent resident alien.
Minor: Anyone under the age of majority according to local state
law. If there is no applicable state law, a minor is anyone under
age 18. Military members and married persons are not minors, no
matter what their chronological age.
Personal identifier: A name, number, or symbol that is unique to
an individual, usually the person's name or Social Security Number.
Personal information: Information about an individual other than
items of public record.
Privacy Act request: An oral or written request by an individual
about his or her records in a system of records.
Privacy advisory: A statement required when soliciting
personally-identifying information by an Air Force web site and the
information is not maintained in a system of records. The Privacy
Advisory informs the individual why the information is being
solicited and how it will be used.
Privacy Impact Assessment: A written assessment of an
information system that addresses the information to be collected,
the purpose and intended use; with whom the information will be
shared; notice or opportunities for consent to individuals; how the
information will be secured; and whether a new system of records is
being created under the Privacy Act.
Record: Any information about an individual.
Routine use: A disclosure of records to individuals or agencies
outside DoD for a use that is compatible with the purpose for which
the Air Force created the records.
System manager: The official who is responsible for managing a
system of records, including policies and procedures to operate and
safeguard it. Local system managers operate record systems or are
responsible for part of a decentralized system.
System of records: A group of records retrieved by the
individual's name, personal identifier; or individual identifier
through a cross-reference system.
System notice: The official public notice published in the
Federal Register of the existence and content of the system of
records.
Appendix B to Part 806b--Preparing a System Notice
The following elements comprise a system of records notice for
publication in the Federal Register:
System identifier: Air Force Chief Information Officer/P assigns
the notice number, for example, F033 AF PC A, where ``F'' indicates
``Air Force,'' the next number represents the publication series
number related to the subject matter, and the final letter group
shows the system manager's command or Deputy Chief of Staff. The
last character ``A'' indicates that this is the first notice for
this series and system manager.
System name: Use a short, specific, plain-language title that
identifies the system's general purpose (limited to 55 characters).
System location: Specify the address of the primary system and
any decentralized elements, including automated data systems with a
central computer facility and input or output terminals at separate
locations. Use street address, 2-letter state abbreviations and 9-
digit ZIP Codes. Spell out office names. Do not use office symbols.
Categories of individuals covered by the system: Use
nontechnical, specific categories of individuals about whom the Air
Force keeps records. Do not use categories like ``all Air Force
personnel'' unless they are actually true.
Categories of records in the system: Describe in clear, plain
language, all categories of records in the system. List only
documents actually kept in the system. Do not show source documents
that are used to collect data and then destroyed. Do not list form
numbers.
Authority for maintenance of the system: Cite the specific law
or Executive Order that authorizes the program the records support.
Cite the DoD directive/instruction or Air Force instruction(s) that
authorizes the system of records. Always include titles with the
citations.
Note: Executive Order 9397 authorizes using the Social Security
Number as a personal identifier. Include this authority whenever the
Social Security Number is used to retrieve records.
Purpose: Describe briefly and specifically what the Air Force
does with the information collected.
Routine uses of records maintained in the system including
categories of users and the purpose of such uses: List each specific
agency or activity outside DoD to whom the records may be released
and the purpose for such release.
The DoD `Blanket Routine Uses' published in the Air Force
Directory of System Notices apply to all system notices unless you
indicate otherwise.
Polices and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: State the medium in which the Air Force keeps the
records; for example, in file folders, card files, microfiche,
computer, or a
[[Page 965]]
combination of those methods. Storage does not refer to the storage
container.
Retrievability: State how the Air Force retrieves the records;
for example, by name, Social Security Number, or personal
characteristics (such as fingerprints or voiceprints).
Safeguards: List the kinds of officials who have immediate
access to the system. List those responsible for safeguarding the
records. Identify the system safeguards; for example, storage in
safes, vaults, locked cabinets or rooms, use of guards, visitor
controls, personnel screening, computer systems software, and so on.
Describe safeguards fully without compromising system security.
Retention and disposal: State how long Air Force Manual 37-139
requires the activity to maintain the record. Indicate when or if
the records may be transferred to a Federal Records Center and how
long the record stays there. Specify when the Records Center sends
the record to the National Archives or destroys it. Indicate how the
records may be destroyed.
System manager(s) and address: List the position title and duty
address of the system manager. For decentralized systems, show the
locations and the position or duty title of each category of
officials responsible for any segment of the system.
Notification procedure: List the title and duty address of the
official authorized to tell requesters if their records are in the
system. Specify the information a requester must submit; for
example, full name, military status, Social Security Number, date of
birth, or proof of identity, and so on.
Record access procedures: Explain how individuals may arrange to
access their records. Include the titles or categories of officials
who may assist; for example, the system manager.
Contesting records procedures: Air Force Chief Information
Officer/P provides this standard caption.
Record source categories: Show categories of individuals or
other information sources for the system.
Exemptions claimed for the system: When a system has no approved
exemption, write ``none'' under this heading. Specifically list any
approved exemption including the subsection in the Act.
Appendix C to Part 806b--DoD `Blanket Routine Uses'
Certain DoD ``blanket routine uses'' have been established that
are applicable to every record system maintained by the Department
of the Air Force, unless specifically stated otherwise within the
particular record system notice. These additional routine uses of
the records are published only once in the Air Force's Preamble to
its compilation of records systems in the interest of simplicity,
economy and to avoid redundancy.
a. Law Enforcement Routine Use
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. Disclosure when Requesting Information Routine Use
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. Disclosure of Requested Information Routine Use
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. Congressional Inquiries Routine Use
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. Private Relief Legislation Routine Use
Relevant information contained in all systems of records of the
Department of Defense published on or before August 22, 1975, will
be disclosed to the Office of Management and Budget in connection
with the review of private relief legislation as set forth in Office
of Management and Budget Circular A-19 (reference (u)) at any stage
of the legislative coordination and clearance process as set forth
in that Circular.
f. Disclosures Required by International Agreements Routine Use
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 DoD military and civilian personnel.
g. Disclosure to State and Local Taxing Authorities Routine Use
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., sections 5516, 5517, and
5520 (reference (v)) 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. Disclosure to the Office of Personnel Management Routine Use
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 deduction, and any other information necessary
for the OPM to carry out its legally authorized government-wide
personnel management functions and studies.
i. Disclosure to the Department of Justice for Litigation Routine
Use
A record from a system of records maintained by this 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. Disclosure to Military Banking Facilities Overseas Routine Use
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. Disclosure of Information to the General Services Administration
(GSA) Routine Use
A record from a system of records maintained by this 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. Disclosure of Information to the National Archives and Records
Administration (NARA) Routine Use
A record from a system of records maintained by this component
may be disclosed as a routine use to the National Archives and
Records Administration (NARA) for the purpose of records
[[Page 966]]
management inspections conducted under authority of 44 U.S.C. 2904
and 2906.
m. Disclosure to the Merit Systems Protection Board Routine Use
A record from a system of records maintained by this 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. Counterintelligence Purpose Routine Use
A record from a system of records maintained by this component
may be disclosed as a routine use outside the 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, which protect the national security of the United
States.
Appendix D to Part 806b--General and Specific Exemptions
(a) All systems of records maintained by the Department of the
Air Force shall be exempt from the requirements of 5 U.S.C. 552a(d)
pursuant to 5 U.S.C. 552a(k)(1) to the extent that the system
contains any information properly classified under Executive Order
12958 and that is required by Executive Order to be kept classified
in the interest of national defense or foreign policy. This
exemption is applicable to parts of all systems of records including
those not otherwise specifically designated for exemptions herein,
which contain isolated items of properly classified information.
(b) An individual is not entitled to have access to any
information compiled in reasonable anticipation of a civil action or
proceeding (5 U.S.C. 552a(d)(5)).
(c) No system of records within Department of the Air Force
shall be considered exempt under subsection (j) or (k) of the
Privacy Act until the exemption rule for the system of records has
been published as a final rule in the Federal Register.
(d) Consistent with the legislative purpose of the Privacy Act
of 1974, the Department of the Air Force will grant access to non-
exempt material in the records being maintained. Disclosure will be
governed by the Department of the Air Force's Privacy Instruction,
but will be limited to the extent that identity of confidential
sources will not be compromised; subjects of an investigation of an
actual or potential violation will not be alerted to the
investigation; the physical safety of witnesses, informants and law
enforcement personnel will not be endangered, the privacy of third
parties will not be violated; and that the disclosure would not
otherwise impede effective law enforcement. Whenever possible,
information of the above nature will be deleted from the requested
documents and the balance made available. The controlling principle
behind this limited access is to allow disclosures except those
indicated above. The decisions to release information from these
systems will be made on a case-by-case basis.
(e) General Exemptions. The following systems of records claim
an exemption under 5 U.S.C. 552a(j)(2), with the exception of F090
AF IG B, Inspector General Records and F051 AF JA F, Courts-Martial
and Article 15 Records. They claim both the (j)(2) and (k)(2)
exemption, and are listed under this part:
(1) System identifier and name: F071 AF OSI A, Counter
Intelligence Operations and Collection Records.
(2) System identifier and name: F071 AF OSI C, Criminal Records.
(3) System identifier and name: F071 AF OSI D, Investigative
Support Records.
(4) System identifier and name: F031 AF SP E, Security Forces
Management Information System (SFMIS).
(i) Exemption: Parts of this system may be exempt pursuant to 5
U.S.C. 552a(j)(2) if information is compiled and maintained by a
component of the agency which performs as its principle function any
activity pertaining to the enforcement of criminal laws. Therefore,
portions of this system of records may be exempt pursuant to 5
U.S.C. 552a(j)(2) from the following subsections of 5 U.S.C.
552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), and (I),
(e)(5), (e)(8), (f), and (g).
(ii) Authority: 5 U.S.C. 552a(j)(2).
(iii) Reasons: (A) To protect ongoing investigations and to
protect from access criminal investigation information contained in
this record system, so as not to jeopardize any subsequent judicial
or administrative process taken as a result of information contained
in the file.
(B) From subsection (c)(3) because the release of the disclosure
accounting, for disclosures pursuant to the routine uses published
for this system, would permit the subject criminal investigation or
matter under investigation to obtain valuable information concerning
the nature of that investigation which will present a serious
impediment to law enforcement.
(C) From subsection (c)(4) because an exemption is being claimed
for subsection this subsection will not be applicable.
(D) From subsection (d) because access the records contained in
this system would inform the subject of an investigation of
existence of that investigation, provide subject of the
investigation with information that might enable him to avoid
detection, and would present a serious impediment to law
enforcement.
(E) From subsection (e)(4)(H) because system of records is
exempt from individual access pursuant to subsection (j) of the
Privacy Act of 1974.
(F) From subsection (f) because this system of records has been
exempted from access provisions of subsection (d).
(5) System identifier and name: F031 AF SF A, Correction and
Rehabilitation Records.
(i) Exemption: Parts of this system may be exempt pursuant to 5
U.S.C. 552a(j)(2) if information is compiled and maintained by a
component of the agency which performs as its principle function any
activity pertaining to the enforcement of criminal laws. Portions of
this system of records may be exempt pursuant to 5 U.S.C. 552a(j)(2)
from the following subsections of 5 U.S.C. 552a(c)(3), (c)(4), (d),
(e)(3), (e)(4)(G), (H) and (I), (e)(5), (e)(8), (f), and (g).
(ii) Authority: 5 U.S.C. 552a(j)(2).
(iii) Reasons: (A) From subsection (c)(3) because the release of
the disclosure accounting, for disclosures pursuant to the routine
uses published for this system, would permit the subject of a
criminal investigation or matter under investigation to obtain
valuable information concerning the nature of that investigation
which will present a serious impediment to law enforcement.
(B) From subsection (c)(4) because an exemption is being claimed
for subsection (d), this subsection will not be applicable.
(C) From subsection (d) because access to the records contained
in this system would inform the subject of a criminal investigation
of the existence of that investigation, provide the subject of the
investigation with information that might enable him to avoid
detection or apprehension, and would present a serious impediment to
law enforcement.
(D) From subsection (e)(3) would constitute a serious impediment
to law enforcement in that it could compromise the existence of a
confidential investigation, reveal the identity of confidential
sources of information and endanger the life and physical safety of
confidential informants.
(E) From subsections (e)(4)(G) and (H) because this system of
records is exempt from individual access pursuant to subsections
(j)(2) of the Privacy Act of 1974.
(F) From subsection (e)(4)(I) because the identity of specific
sources must be withheld in order to protect the confidentiality of
the sources of criminal and other law enforcement information. This
exemption is further necessary to protect the privacy and physical
safety of witnesses and informants.
(G) From subsection (e)(5) because in the collection of
information for law enforcement purposes it is impossible to
determine in advance what information is accurate, relevant, timely,
and complete. With the passage of time, seemingly irrelevant or
untimely information may acquire new significance as further
investigation brings new details to light and the accuracy of such
information can only be determined in a court of law. The
restrictions of subsection (e)(5) would restrict the ability of
trained investigators and intelligence analysts to exercise their
judgment reporting on investigations and impede the development of
intelligence necessary for effective law enforcement.
(H) From subsection (e)(8) because the individual notice
requirements of subsection (e)(8) could present a serious impediment
to law enforcement as this could interfere with the ability to issue
search authorizations and could reveal investigative techniques and
procedures.
(I) From subsection (f) because this system of records has been
exempted from the access provisions of subsection (d).
(J) From subsection (g) because this system of records compiled
for law enforcement
[[Page 967]]
purposes and has been exempted from the access provisions of
subsections (d) and (f).
(6) System identifier and name: F090 AF IG B, Inspector General
Records.
(i) Exemption: (A) Parts of this system of records may be exempt
pursuant to 5 U.S.C. 552a(j)(2) if the information is compiled and
maintained by a component of the agency which performs as its
principle function any activity pertaining to the enforcement of
criminal laws. Therefore, portions of this system of records may be
exempt pursuant to 5 U.S.C. 552a(j)(2) from the following
subsections of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(1), (e)(2),
(e)(3), (e)(4)(G), (H), and (I), (e)(5), (e)(8), (f), and (g).
(B) Investigative material compiled for law enforcement
purposes, other than material within the scope of subsection 5
U.S.C. 552a(j)(2), may be exempt pursuant to 5 U.S.C. 552a(k)(2).
However, if an individual is denied any right, privilege, or benefit
for which he would otherwise be entitled by Federal law or for which
he would otherwise be eligible, as a result of the maintenance of
the information, the individual will be provided access to the
information exempt to the extent that disclosure would reveal the
identity of a confidential source. Note: When claimed, this
exemption allows limited protection of investigative reports
maintained in a system of records used in personnel or
administrative actions. Therefore, portions of this system of
records may be exempt pursuant to 5 U.S.C. 552a(k)(2) from the
following subsections of 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4)(G), (H) and (I), and (f).
(ii) Authority: 5 U.S.C. 552a(j)(2) and (k)(2).
(iii) Reasons: (A) From subsection (c)(3) because the release of
accounting of disclosure would inform a subject that he or she is
under investigation. This information would provide considerable
advantage to the subject in providing him or her with knowledge
concerning the nature of the investigation and the coordinated
investigative efforts and techniques employed by the cooperating
agencies. This would greatly impede the Air Force IG's criminal law
enforcement.
(B) From subsection (c)(4) and (d), because notification would
alert a subject to the fact that an open investigation on that
individual is taking place, and might weaken the ongoing
investigation, reveal investigative techniques, and place
confidential informants in jeopardy.
(C) From subsection (e)(1) because the nature of the criminal
and/or civil investigative function creates unique problems in
prescribing a specific parameter in a particular case with respect
to what information is relevant or necessary. Also, information may
be received which may relate to a case under the investigative
jurisdiction of another agency. The maintenance of this information
may be necessary to provide leads for appropriate law enforcement
purposes and to establish patterns of activity that may relate to
the jurisdiction of other cooperating agencies.
(D) From subsection (e)(2) because collecting information to the
fullest extent possible directly from the subject individual may or
may not be practical in a criminal and/or civil investigation.
(E) From subsection (e)(3) because supplying an individual with
a form containing a Privacy Act Statement would tend to inhibit
cooperation by many individuals involved in a criminal and/or civil
investigation. The effect would be somewhat adverse to established
investigative methods and techniques.
(F) From subsections (e)(4)(G), (H), and (I) because this system
of records is exempt from the access provisions of subsection (d)
and (f).
(G) From subsection (e)(5) because the requirement that records
be maintained with attention to accuracy, relevance, timeliness, and
completeness would unfairly hamper the investigative process. It is
the nature of law enforcement for investigations to uncover the
commission of illegal acts at diverse stages. It is frequently
impossible to determine initially what information is accurate,
relevant, timely, and least of all complete. With the passage of
time, seemingly irrelevant or untimely information may acquire new
significance as further investigation brings new details to light.
(H) From subsection (e)(8) because the notice requirements of
this provision could present a serious impediment to law enforcement
by revealing investigative techniques, procedures, and existence of
confidential investigations.
(I) From subsection (f) because the agency's rules are
inapplicable to those portions of the system that are exempt and
would place the burden on the agency of either confirming or denying
the existence of a record pertaining to a requesting individual
might in itself provide an answer to that individual relating to an
ongoing investigation. The conduct of a successful investigation
leading to the indictment of a criminal offender precludes the
applicability of established agency rules relating to verification
of record, disclosure of the record to that individual, and record
amendment procedures for this record system.
(J) From subsection (g) because this system of records should be
exempt to the extent that the civil remedies relate to provisions of
5 U.S.C. 552a from which this rule exempts the system.
(7) System identifier and name: F051 AF JA F, Courts-Martial and
Article 15 Records.
(i) Exemptions: (A) Parts of this system may be exempt pursuant
to 5 U.S.C. 552a(j)(2) if the information is compiled and maintained
by a component of the agency which performs as its principle
function any activity pertaining to the enforcement of criminal
laws. Therefore, portions of this system of records may be exempt
pursuant to 5 U.S.C. 552a(j)(2) from the following subsection of 5
U.S.C. 552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G),
(H) and (I), (e)(5), (e)(8), (f), and (g).
(B) Investigatory material compiled for law enforcement
purposes, other than material within the scope of subsection 5
U.S.C. 552a(j)(2), may be exempt pursuant to 5 U.S.C. 552a(k)(2).
However, if an individual is denied any right, privilege, or benefit
for which he would otherwise be entitled by Federal law or for which
he would otherwise be eligible, as a result of the maintenance of
the information, the individual will be provided access to the
information exempt to the extent that disclosure would reveal the
identity of a confidential source. NOTE: When claimed, this
exemption allows limited protection of investigative reports
maintained in a system of records used in personnel or
administrative actions. Therefore, portions of this system of
records may be exempt pursuant to 5 U.S.C. 552a(k)(2) from the
following subsections of 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4)(G), (H) and (I), and (f).
(ii) Authority: 5 U.S.C. 552a(j)(2) and (k)(2).
(iii) Reason: (A) From subsection (c)(3) because the release of
the disclosure accounting, for disclosures pursuant to the routine
uses published for this system, would permit the subject of a
criminal investigation or matter under investigation to obtain
valuable information concerning the nature of that investigation
which will present a serious impediment to law enforcement.
(B) From subsection (c)(4) because an exemption is being claimed
for subsection (d), his subsection will not be applicable.
(C) From subsection (d) because access to the records contained
in this system would inform the subject of a criminal investigation
of the existence of that investigation, provide the subject of the
investigation with information that might enable him to avoid
detection or apprehension, and would present a serious impediment to
law enforcement.
(D) From subsection (e)(1) because in the course of criminal
investigations information is often obtained concerning the
violation of laws or civil obligations of others not relating to an
active case or matter. In the interests of effective law
enforcement, it is necessary that this information be retained since
it can aid in establishing patterns of activity and provide valuable
leads for other agencies and future cases that may be brought.
(E) From subsection (e)(2) because in a criminal investigation
the requirement that information be collected to the greatest extent
possible from the subject individual would present a serious
impediment to law enforcement in that the subject of the
investigation would be placed on notice of the existence of the
investigation and would therefore be able to avoid detection.
(F) From subsection (e)(3) because the requirement that
individuals supplying information be provided with a form stating
the requirements of subsection (e)(3) would constitute a serious
impediment to law enforcement in that it could compromise the
existence of a confidential investigation, reveal the identity of
confidential sources of information and endanger the life and
physical safety of confidential informants.
(G) From subsections (e)(4)(G) and (H) because this system of
records is exempt from individual access pursuant to subsections (j)
and (k) of the Privacy Act of 1974.
(H) From subsection (e)(4)(I) because the identity of specific
sources must be withheld in order to protect the confidentiality of
the sources of criminal and other law enforcement information. This
exemption is further necessary to protect the privacy and physical
safety of witnesses and informants.
(I) From subsection (e)(5) because in the collection of
information for law enforcement
[[Page 968]]
purposes it is impossible to determine in advance what information
is accurate, relevant, timely, and complete. With the passage of
time, seemingly irrelevant or untimely information may acquire new
significance as further investigation brings new details to light
and the accuracy of such information can only be determined in a
court of law. The restrictions of subsection (e)(5) would restrict
the ability of trained investigators and intelligence analysts to
exercise their judgment in reporting on investigations and impede
the development of intelligence necessary for effective law
enforcement.
(J) From subsection (e)(8) because the individual notice
requirements of subsection (e)(8) could present a serious impediment
to law enforcement as this could interfere with the ability to issue
search authorizations and could reveal investigative techniques and
procedures.
(K) From subsection (f) because this system of records has been
exempted from the access provisions of subsection (d).
(L) From subsection (g) because this system of records is
compiled for law enforcement purposes and has been exempted from the
access provisions of subsections (d) and (f).
(f) Specific Exemptions. The following systems of records are
subject to the specific exemptions shown:
(1) System identifier and name: F036 USAFA K, Admissions
Records.
(i) Exemption: Evaluation material used to determine potential
for promotion in the Military Services may be exempt pursuant to 5
U.S.C. 552a(k)(7), but only to the extent that the disclosure of
such material would reveal the identify of a confidential source.
Therefore, portions of this system of records (Liaison Officer
Evaluation and Selection Panel Candidate Evaluation) may be exempt
pursuant to 5 U.S.C. 552a(k)(7) from the following subsections of 5
U.S.C. 552a(d), (e)(4)(H), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(7).
(iii) Reasons: To ensure the frankness of information used to
determine whether cadets are qualified for graduation and
commissioning as officers in the Air Force.
(2) System identifier and name: F036 AFPC N, Air Force Personnel
Test 851, Test Answer Sheets.
(i) Exemption: Testing or examination material used solely to
determine individual qualifications for appointment or promotion in
the federal or military service may be exempt pursuant to 5 U.S.C.
552a(k)(6), if the disclosure would compromise the objectivity or
fairness of the test or examination process. Therefore, portions of
this system of records may be exempt pursuant to 5 U.S.C. 552a(k)(6)
from the following subsections of 5 U.S.C. 552a(c)(3); (d);
(e)(4)(G), (H), and (I); and (f).
(ii) Authority: 5 U.S.C. 552a(k)(6).
(iii) Reasons: To protect the objectivity of the promotion
testing system by keeping the test questions and answers in
confidence.
(3) System identifier and name: F036 USAFA A, Cadet Personnel
Management System.
(i) Exemption: Evaluation material used to determine potential
for promotion in the Military Services may be exempt pursuant to 5
U.S.C. 552a(k)(7), but only to the extent that the disclosure of
such material would reveal the identify of a confidential source.
Therefore, portions of this system of records may be exempt pursuant
to 5 U.S.C. 552a(k)(7) from the following subsections of 5 U.S.C.
552a(d), (e)(4)(H), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(7).
(iii) Reasons: To maintain the candor and integrity of comments
needed to evaluate an Air Force Academy cadet for commissioning in
the Air Force.
(4) System identifier and name: F036 AETC I, Cadet Records.
(i) Exemption: Investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications
for federal civilian employment, military service, federal
contracts, or access to classified information may be exempt
pursuant to 5 U.S.C. 552a(k)(5), but only to the extent that such
material would reveal the identity of a confidential source.
Therefore, portions of this system of records may be exempt pursuant
to 5 U.S.C. 552a(k)(5) (Detachment Professional Officer Course
Selection Rating Sheets; Air Force Reserve Officer Training Corps
Form 0-24--Disenrollment Review; Memoranda for Record and Staff
Papers with Staff Advice, Opinions, or Suggestions) may be exempt
from the following subsections of 5 U.S.C. 552a(c)(3), (d),
(e)(4)(G) and (H), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(5).
(iii) Reasons: To protect the identity of a confidential source
who furnishes information necessary to make determinations about the
qualifications, eligibility, and suitability of cadets for
graduation and commissioning in the Air Force.
(5) System identifier and name: F044 AF SG Q, Family Advocacy
Program Records.
(i) Exemption: (A) Investigative material compiled for law
enforcement purposes, other than material within the scope of
subsection 5 U.S.C. 552a(j)(2), may be exempt pursuant to 5 U.S.C.
552a(k)(2). However, if an individual is denied any right,
privilege, or benefit for which he would otherwise be entitled by
Federal law or for which he would otherwise be eligible, as a result
of the maintenance of the information, the individual will be
provided access to the information exempt to the extent that
disclosure would reveal the identity of a confidential source. Note:
When claimed, this exemption allows limited protection of
investigative reports maintained in a system of records used in
personnel or administrative actions.
(B) Investigative material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for federal
civilian employment, military service, federal contracts, or access
to classified information may be exempt pursuant to 5 U.S.C.
552a(k)(5), but only to the extent that such material would reveal
the identity of a confidential source.
(C) Therefore, portions of this system of records may be exempt
pursuant to 5 U.S.C. 552a(k)(2) and (k)(5) from the following
subsections of 5 U.S.C. 552a(c)(3) and (d).
(ii) Authority: 5 U.S.C. 552a(k)(2) and (k)(5).
(iii) Reasons: From subsections (c)(3) and (d) because the
exemption is needed to encourage those who know of exceptional
medical or educational conditions or family maltreatments to come
forward by protecting their identities and to protect such sources
from embarrassment or recriminations, as well as to protect their
right to privacy. It is essential that the identities of all
individuals who furnish information under an express promise of
confidentiality be protected. Granting individuals access to
information relating to criminal and civil law enforcement, as well
as the release of certain disclosure accounting, could interfere
with ongoing investigations and the orderly administration of
justice, in that it could result in the concealment, alteration,
destruction, or fabrication of information; could hamper the
identification of offenders or alleged offenders and the disposition
of charges; and could jeopardize the safety and well being of
parents and their children. Exempted portions of this system also
contain information considered relevant and necessary to make a
determination as to qualifications, eligibility, or suitability for
Federal employment and Federal contracts, and that was obtained by
providing an express or implied promise to the source that his or
her identity would not be revealed to the subject of the record.
(6) System identifier and name: F036 AF PC A, Effectiveness/
Performance Reporting System.
(i) Exemption: Evaluation material used to determine potential
for promotion in the Military Services (Brigadier General Selectee
Effectiveness Reports and Colonel and Lieutenant Colonel Promotion
Recommendations with close out dates on or before January 31, 1991)
may be exempt pursuant to 5 U.S.C. 552a(k)(7), but only to the
extent that the disclosure of such material would reveal the
identity of a confidential source. Therefore, portions of this
system of records may be exempt pursuant to 5 U.S.C. 552a(k)(7) from
the following subsections of 5 U.S.C. 552a(c)(3), (d), (e)(4)(H),
and (f).
(ii) Authority: 5 U.S.C. 552a(k)(7).
(iii) Reasons: (A) From subsection (c)(3) because making the
disclosure accounting available to the individual may compromise
express promises of confidentiality by revealing details about the
report and identify other record sources, which may result in
circumvention of the access exemption.
(B) From subsection (d) because individual disclosure
compromises express promises of confidentiality conferred to protect
the integrity of the promotion rating system.
(C) From subsection (e)(4)(H) because of and to the extent that
portions of this record system are exempt from the individual access
provisions of subsection (d).
(D) From subsection (f) because of and to the extent that
portions of this record system are exempt from the individual access
provisions of subsection (d).
(7) System identifier and name: F036 AFDP A, Files on General
Officers and Colonels Assigned to General Officer Positions.
(i) Exemption: Evaluation material used to determine potential
for promotion in the Military Services may be exempt pursuant to
[[Page 969]]
5 U.S.C. 552a(k)(7), but only to the extent that the disclosure of
such material would reveal the identity of a confidential source.
Therefore, portions of this system of records may be exempt pursuant
to 5 U.S.C. 552a(k)(7) from the following subsections of 5 U.S.C.
552a(c)(3), (d), (e)(4)(G), (H), and (I); and (f).
(ii) Authority: 5 U.S.C. 552a(k)(7).
(iii) Reasons: To protect the integrity of information used in
the Reserve Initial Brigadier General Screening Board, the release
of which would compromise the selection process.
(8) System identification and name: F036 AF PC O, General
Officer Personnel Data System.
(i) Exemption: Evaluation material used to determine potential
for promotion in the Military Services may be exempt pursuant to 5
U.S.C. 552a(k)(7), but only to the extent that the disclosure of
such material would reveal the identity of a confidential source.
Therefore, portions of this system of records (Air Force General
Officer Promotion and Effectiveness Reports with close out dates on
or before January 31, 1991) may be exempt pursuant to 5 U.S.C.
552a(k)(7) may be exempt from following subsections of 5 U.S.C.
552a(c)(3), (d), (e)(4)(H), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(7).
(iii) Reason: (A) From subsection (c)(3) because making the
disclosure accounting available to the individual may compromise
express promises of confidentiality by revealing details about the
report and identify other record sources, which may result in
circumvention of the access exemption.
(B) From subsection (d) because individual disclosure
compromises express promises of confidentiality conferred to protect
the integrity of the promotion rating system.
(C) From subsection (e)(4)(H) because of and to the extent that
portions of this record system are exempt from the individual access
provisions of subsection (d).
(D) From subsection (f) because of and to the extent that
portions of this record system are exempt from the individual access
provisions of subsection (d).
(9) System identifier and name: F036 AFPC K, Historical Airman
Promotion Master Test File.
(i) Exemption: 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 may
be exempt pursuant to 5 U.S.C. 552a(k)(6), if the disclosure would
compromise the objectivity or fairness of the test or examination
process. Therefore, portions of this system of records may be exempt
pursuant to 5 U.S.C. 552a(k)(6) from the following subsections of 5
U.S.C. 552a(c)(3), (d), (e)(4)(G), (H), and (I), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(6).
(iii) Reasons: To protect the integrity, objectivity, and equity
of the promotion testing system by keeping test questions and
answers in confidence. Reserved.
(10) System identifier and name: F071 AF OSI F, Investigative
Applicant Processing Records.
(i) Exemption: Investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications
for federal civilian employment, military service, federal
contracts, or access to classified information may be exempt
pursuant to 5 U.S.C. 552a(k)(5), but only to the extent that such
material would reveal the identity of a confidential source.
Therefore, portions of this system of records may be exempt pursuant
to 5 U.S.C. 552a(k)(5) from the following subsections of 5 U.S.C.
552a(c)(3), (d), (e)(4)(G), (H), and (I), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(5).
(iii) Reasons: To protect those who gave information in
confidence during Air Force Office of Special Investigations
applicant inquiries. Fear of harassment could cause sources not to
make frank and open responses about applicant qualifications. This
could compromise the integrity of the Air Force Office of Special
Investigations personnel program that relies on selecting only
qualified people.
(11) System identifier and name: F036 USAFA B, Master Cadet
Personnel Record (Active/Historical).
(i) Exemptions: Evaluation material used to determine potential
for promotion in the Military Services may be exempt pursuant to 5
U.S.C. 552a(k)(7), but only to the extent that the disclosure of
such material would reveal the identify of a confidential source.
Therefore, portions of this system of records may be exempt pursuant
to 5 U.S.C. 552a(k)(7) from the following subsections of 5 U.S.C.
552a(d), (e)(4)(H), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(7).
(iii) Reasons: To maintain the candor and integrity of comments
needed to evaluate a cadet for commissioning in the Air Force.
(12) System identifier and name: F031 497IG A, Sensitive
Compartmented Information Personnel Records.
(i) Exemption: (A) Investigatory material compiled for law
enforcement purposes, other than material within the scope of
subsection 5 U.S.C. 552a(j)(2), may be exempt pursuant to 5 U.S.C.
552a(k)(2). However, if an individual is denied any right,
privilege, or benefit for which he would otherwise be entitled by
Federal law or for which he would otherwise be eligible, as a result
of the maintenance of the information, the individual will be
provided access to the information exempt to the extent that
disclosure would reveal the identify of a confidential source. Note:
When claimed, this exemption allows limited protection of
investigative reports maintained in a system of records used in
personnel or administrative actions.
(B) Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for federal
civilian employment, military service, federal contracts, or access
to classified information may be exempt pursuant to 5 U.S.C.
552a(k)(5), but only to the extent that such material would reveal
the identity of a confidential source.
(C) Therefore, portions of this system of records may be exempt
pursuant to 5 U.S.C. 552a(k)(2) and (k)(5) from the following
subsections of 5 U.S.C. 552a(c)(3), (d), (e)(4)(G), (H), and (I),
and (f).
(ii) Authority: 5 U.S.C. 552a(k)(2) and (k)(5).
(iii) Reasons: To protect the identity of sources to which
proper promises of confidentiality have been made during
investigations. Without these promises, sources will often be
unwilling to provide information essential in adjudicating access in
a fair and impartial manner.
(13) System identifier and name: F071 AF OSI B, Security and
Related Investigative Records.
(i) Exemption: Investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications
for federal civilian employment, military service, federal
contracts, or access to classified information may be exempt
pursuant to 5 U.S.C. 552a(k)(5), but only to the extent that such
material would reveal the identity of a confidential source.
Therefore, portions of this system of records may be exempt pursuant
to 5 U.S.C. 552a(k)(5) from the following subsections of 5 U.S.C.
552a(c)(3), (d), (e)(4)(G), (H), and (I), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(5).
(iii) Reasons: To protect the identity of those who give
information in confidence for personnel security and related
investigations. Fear of harassment could cause sources to refuse to
give this information in the frank and open way needed to pinpoint
those areas in an investigation that should be expanded to resolve
charges of questionable conduct.
(14) System identifier and name: F031 497IG B, Special Security
Case Files.
(i) Exemption: Investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications
for federal civilian employment, military service, federal
contracts, or access to classified information may be exempt
pursuant to 5 U.S.C. 552a(k)(5), but only to the extent that such
material would reveal the identity of a confidential source.
Therefore, portions of this system of records may be exempt pursuant
to 5 U.S.C. 552a(k)(5) from the following subsections of 5 U.S.C.
552a(c)(3), (d), (e)(4)(G), (H), and (I), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(5).
(iii) Reasons: To protect the identity of those who give
information in confidence for personnel security and related
investigations. Fear of harassment could cause sources to refuse to
give this information in the frank and open way needed to pinpoint
those areas in an investigation that should be expanded to resolve
charges of questionable conduct.
(15) System identifier and name: F031 AF SP N, Special Security
Files.
(i) Exemption: Investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications
for federal civilian employment, military service, federal
contracts, or access to classified information may be exempt
pursuant to 5 U.S.C. 552a(k)(5), but only to the extent that such
material would reveal the identity of a confidential source.
Therefore, portions of this system of records may be exempt pursuant
to 5 U.S.C. 552a(k)(5) from the following subsections of 5 U.S.C.
552a(c)(3), (d), (e)(4)(G), (H), and (I), and (f).
[[Page 970]]
(ii) Authority: 5 U.S.C. 552a(k)(5).
(iii) Reasons: To protect the identity of those who give
information in confidence for personnel security and related
investigations. Fear of harassment could cause them to refuse to
give this information in the frank and open way needed to pinpoint
areas in an investigation that should be expanded to resolve charges
of questionable conduct.
(16) System identifier and name: F036 AF PC P, Applications for
Appointment and Extended Active Duty Files.
(i) Exemption: Investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications
for federal civilian employment, military service, federal
contracts, or access to classified information may be exempt
pursuant to 5 U.S.C. 552a(k)(5), but only to the extent that such
material would reveal the identity of a confidential source.
Therefore, portions of this system of records may be exempt pursuant
to 5 U.S.C. 552a(k)(5) from the following subsection of 5 U.S.C.
552a(d).
(ii) Authority: 5 U.S.C. 552a(k)(5).
(iii) Reasons: To protect the identity of confidential sources
who furnish information necessary to make determinations about the
qualifications, eligibility, and suitability of health care
professionals who apply for Reserve of the Air Force appointment or
interservice transfer to the Air Force.
(17) System identifier and name: F036 AF DPG, Military Equal
Opportunity and Treatment.
(i) Exemption: Investigative material compiled for law
enforcement purposes, other than material within the scope of
subsection 5 U.S.C. 552a(j)(2), may be exempt pursuant to 5 U.S.C.
552a(k)(2). However, if an individual is denied any right,
privilege, or benefit for which he would otherwise be entitled by
Federal law or for which he would otherwise be eligible, as a result
of the maintenance of the information, the individual will be
provided access to the information exempt to the extent that
disclosure would reveal the identity of a confidential source. Note:
When claimed, this exemption allows limited protection of
investigative reports maintained in a system of records used in
personnel or administrative actions. Therefore, portions of this
system of records may be exempt pursuant to 5 U.S.C. 522a(k)(2) from
the following subsections of 5 U.S.C. 552a(d), (e)(4)(H), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(2).
(iii) Reasons: (A) From subsection (d) because access to the
records contained in this system would inform the subject of an
investigation of the existence of that investigation, provide the
subject of the investigation with information that might enable him
to avoid detection, and would present a serious impediment to law
enforcement. In addition, granting individuals access to information
collected while an Equal Opportunity and Treatment clarification/
investigation is in progress conflicts with the just, thorough, and
timely completion of the complaint, and could possibly enable
individuals to interfere, obstruct, or mislead those clarifying/
investigating the complaint.
(B) From subsection (e)(4)(H) because this system of records is
exempt from individual access pursuant to subsection (k) of the
Privacy Act of 1974.
(C) From subsection (f) because this system of records has been
exempted from the access provisions of subsection (d).
(18) System identifier and name: F051 AF JA I, Commander
Directed Inquiries.
(i) Exemption: Investigatory material compiled for law
enforcement purposes, other than material within the scope of
subsection 5 U.S.C. 552a(j)(2), may be exempt pursuant to 5 U.S.C.
552a(k)(2). However, if an individual is denied any right,
privilege, or benefit for which he would otherwise be entitled by
Federal law or for which he would otherwise be eligible, as a result
of the maintenance of the information, the individual will be
provided access to the information except to the extent that
disclosure would reveal the identity of a confidential source. Note:
When claimed, this exemption allows limited protection of
investigative reports maintained in a system of records used in
personnel or administrative actions. Any portion of this system of
records which falls within the provisions of 5 U.S.C. 552a(k)(2) may
be exempt from the following subsections of 5 U.S.C. 552a(c)(3),
(d), (e)(1), (e)(4)(G), (H), and (I), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(2).
(iii) Reasons: (A) From subsection (c)(3) because to grant
access to the accounting for each disclosure as required by the
Privacy Act, including the date, nature, and purpose of each
disclosure and the identity of the recipient, could alert the
subject to the existence of the investigation. This could seriously
compromise case preparation by prematurely revealing its existence
and nature; compromise or interfere with witnesses or make witnesses
reluctant to cooperate; and lead to suppression, alteration, or
destruction of evidence.
(B) From subsections (d) and (f) because providing access to
investigative records and the right to contest the contents of those
records and force changes to be made to the information contained
therein would seriously interfere with and thwart the orderly and
unbiased conduct of the investigation and impede case preparation.
Providing access rights normally afforded under the Privacy Act
would provide the subject with valuable information that would allow
interference with or compromise of witnesses or render witnesses
reluctant to cooperate; lead to suppression, alteration, or
destruction of evidence; enable individuals to conceal their
wrongdoing or mislead the course of the investigation; and result in
the secreting of or other disposition of assets that would make them
difficult or impossible to reach in order to satisfy any Government
claim growing out of the investigation or proceeding.
(C) From subsection (e)(1) because it is not always possible to
detect the relevance or necessity of each piece of information in
the early stages of an investigation. In some cases, it is only
after the information is evaluated in light of other evidence that
its relevance and necessity will be clear.
(D) From subsections (e)(4)(G) and (H) because this system of
records is compiled for investigative purposes and is exempt from
the access provisions of subsections (d) and (f).
(E) From subsection (e)(4)(I) because to the extent that this
provision is construed to require more detailed disclosure than the
broad, generic information currently published in the system notice,
an exemption from this provision is necessary to protect the
confidentiality of sources of information and to protect privacy and
physical safety of witnesses and informants.
(19) System identifier and name: F031 DoD A, Joint Personnel
Adjudication System.
(i) Exemption: Investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications
for federal civilian employment, military service, federal
contracts, or access to classified information may be exempt
pursuant to 5 U.S.C. 552a(k)(5), but only to the extent that such
material would reveal the identity of a confidential source.
Therefore, portions of this system of records may be exempt pursuant
to 5 U.S.C. 552a(k)(5) from the following subsections of 5 U.S.C.
552a(c)(3), (d), and (e)(1).
(ii) Authority: 5 U.S.C. 552a(k)(5).
(iii) Reasons: (A) From subsection (c)(3) and (d) when access to
accounting disclosures and access to or amendment of records would
cause the identity of a confidential source to be revealed.
Disclosure of the source's identity not only will result in the
Department breaching the promise of confidentiality made to the
source but it will impair the Department's future ability to compile
investigatory material for the purpose of determining suitability,
eligibility, or qualifications for Federal civilian employment,
Federal contracts, or access to classified information. Unless
sources can be assured that a promise of confidentiality will be
honored, they will be less likely to provide information considered
essential to the Department in making the required determinations.
(B) From subsection (e)(1) because in the collection of
information for investigatory purposes, it is not always possible to
determine the relevance and necessity of particular information in
the early stages of the investigation. In some cases, it is only
after the information is evaluated in light of other information
that its relevance and necessity becomes clear. Such information
permits more informed decision-making by the Department when making
required suitability, eligibility, and qualification determinations.
(20) System identifier and name: F033 AF A, Information
Requests-Freedom of Information Act.
(i) Exemption: During the processing of a Freedom of Information
Act request, exempt materials from `other' systems of records may in
turn become part of the case record in this system. To the extent
that copies of exempt records from those other systems of records
are entered into this system, the Department of the Air Force hereby
claims the same exemptions for the records from those `other'
systems that are entered into this system, as claimed for the
original primary system of which they are a part.
[[Page 971]]
(ii) Authority: 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), (k)(3),
(k)(4), (k)(5), (k)(6), and (k)(7).
(iii) Reasons: Records are only exempt from pertinent provisions
of 5 U.S.C. 552a to the extent such provisions have been identified
and an exemption claimed for the original record, and the purposes
underlying the exemption for the original record still pertain to
the record which is now contained in this system of records. In
general, the exemptions were claimed in order to protect properly
classified information relating to national defense and foreign
policy, to avoid interference during the conduct of criminal, civil,
or administrative actions or investigations, to ensure protective
services provided the President and others are not compromised, to
protect the identity of confidential sources incident to Federal
employment, military service, contract, and security clearance
determinations, and to preserve the confidentiality and integrity of
Federal evaluation materials. The exemption rule for the original
records will identify the specific reasons why the records are
exempt from specific provisions of 5 U.S.C. 552a.
(21) System identifier and name: F033 AF B, Privacy Act Request
Files.
(i) Exemption: During the processing of a Privacy Act request,
exempt materials from other systems of records may in turn become
part of the case record in this system. To the extent that copies of
exempt records from those `other' systems of records are entered
into this system, the Department of the Air Force hereby claims the
same exemptions for the records from those `other' systems that are
entered into this system, as claimed for the original primary system
of which they are a part.
(ii) Authority: 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), (k)(3),
(k)(4), (k)(5), (k)(6), and (k)(7).
(iii) Reason: Records are only exempt from pertinent provisions
of 5 U.S.C. 552a to the extent such provisions have been identified
and an exemption claimed for the original record, and the purposes
underlying the exemption for the original record still pertain to
the record which is now contained in this system of records. In
general, the exemptions were claimed in order to protect properly
classified information relating to national defense and foreign
policy, to avoid interference during the conduct of criminal, civil,
or administrative actions or investigations, to ensure protective
services provided the President and others are not compromised, to
protect the identity of confidential sources incident to Federal
employment, military service, contract, and security clearance
determinations, and to preserve the confidentiality and integrity of
Federal evaluation materials. The exemption rule for the original
records will identify the specific reasons why the records are
exempt from specific provisions of 5 U.S.C. 552a.
Appendix E to Part 806b--Privacy Impact Assessment
Section A--Introduction and Overview
The Privacy Act Assessment. The Air Force recognizes the
importance of protecting the privacy of individuals, to ensure
sufficient protections for the privacy of personal information as we
implement citizen-centered e-Government. Privacy issues must be
addressed when systems are being developed, and privacy protections
must be integrated into the development life cycle of these
automated systems. The vehicle for addressing privacy issues in a
system under development is the Privacy Impact Assessment. The
Privacy Impact Assessment process also provides a means to assure
compliance with applicable laws and regulations governing individual
privacy.
(a) Purpose. The purpose of this document is to:
(1) Establish the requirements for addressing privacy during the
systems development process.
(2) Describe the steps required to complete a Privacy Impact
Assessment.
(3) Define the privacy issues you will address in the Privacy
Impact Assessment.
(b) Background. The Air Force is responsible for ensuring the
privacy, confidentiality, integrity, and availability of personal
information. The Air Force recognizes that privacy protection is
both a personal and fundamental right. Among the most basic of
individuals' rights is an expectation that the Air Force will
protect the confidentiality of personal, financial, and employment
information. Individuals also have the right to expect that the Air
Force will collect, maintain, use, and disseminate identifiable
personal information and data only as authorized by law and as
necessary to carry out agency responsibilities. Personal information
is protected by the following:
(1) Title 5, U.S.C. 552a, The Privacy Act of 1974, as amended,
which affords individuals the right to privacy in records maintained
and used by Federal agencies. Note: 5 U.S.C. 552a includes Public
Law 100-503, The Computer Matching and Privacy Act of 1988.\13\
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\13\ http://www.defenselink.mil/privacy/1975OMB_PAGuide/jun1989.pdf
.
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(2) Public Law 100-235, The Computer Security Act of 1987,\14\
which establishes minimum security practices for Federal computer
systems.
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\14\ http://csrc.nist.gov/secplcy/csa_87.txt.
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(3) OMB Circular A-130, Management of Federal Information
Resources,\15\ which provides instructions to Federal agencies on
how to comply with the fair information practices and security
requirements for operating automated information systems.
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\15\ http://www.whitehouse.gov/omb/circulars/a130/a130trans4.html
.
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(4) Public Law 107-347, Section 208, E-Gov Act of 2002, which
aims to ensure privacy in the conduct of federal information
activities.
(5) Title 5, U.S.C. 552, The Freedom of Information Act, as
amended, which provides for the disclosure of information maintained
by Federal agencies to the public while allowing limited protections
for privacy.
(6) DoD Directive 5400.11, Department of Defense Privacy
Program,\16\ December 13, 1999.
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\16\ http://www.dtic.mil/whs/directives/corres/html/540011.htm.
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(7) DoD 5400.11-R, Department of Defense Privacy Program,\17\
August 1983.
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\17\ http://www.dtic.mil/whs/directives/corres/html/540011r.htm.
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(8) Air Force Instruction 33-332, Air Force Privacy Act Program.
(c) The Air Force Privacy Office is in the Office of the Air
Force Chief Information Officer, Directorate of Plans and Policy,
and is responsible for overseeing Air Force implementation of the
Privacy Act.
Section B--Privacy and Systems Development
System Privacy. Rapid advancements in computer technology make
it possible to store and retrieve vast amounts of data of all kinds
quickly and efficiently. These advancements have raised concerns
about the impact of large computerized information systems on the
privacy of data subjects. Public concerns about highly integrated
information systems operated by the government make it imperative to
commit to a positive and aggressive approach to protecting
individual privacy. Air Force Chief Information Officer is requiring
the use of this Privacy Impact Assessment in order to ensure that
the systems the Air Force develops protect individuals' privacy. The
Privacy Impact Assessment incorporates privacy into the development
life cycle so that all system development initiatives can
appropriately consider privacy issues from the earliest stages of
design.
(a) What is a Privacy Impact Assessment? The Privacy Impact
Assessment is a process used to evaluate privacy in information
systems. The process is designed to guide system owners and
developers in assessing privacy through the early stages of
development. The process consists of privacy training, gathering
data from a project on privacy issues, and identifying and resolving
the privacy risks. The Privacy Impact Assessment process is
described in detail in Section C, Completing a Privacy Impact
Assessment.
(b) When is a Privacy Impact Assessment Done? The Privacy Impact
Assessment is initiated in the early stages of the development of a
system and completed as part of the required system life cycle
reviews. Privacy must be considered when requirements are being
analyzed and decisions are being made about data usage and system
design. This applies to all of the development methodologies and
system life cycles used in the Air Force.
(c) Who completes the Privacy Impact Assessment? Both the system
owner and system developers must work together to complete the
Privacy Impact Assessment. System owners must address what data is
to be used, how the data is to be used, and who will use the data.
The system developers must address whether the implementation of the
owner's requirements presents any threats to privacy.
(d) What systems have to complete a Privacy Impact Assessment?
Accomplish Privacy Impact Assessments when:
(1) Developing or procuring information technology that
collects, maintains, or disseminates information in identifiable
form from or about members of the public.
(2) Initiating a new collection of information, using
information technology, that collects, maintains, or disseminates
information in identifiable form for 10 or
[[Page 972]]
more persons excluding agencies, instrumentalities, or employees of
the Federal Government.
(3) Systems as described above that are undergoing major
modifications.
(e) The Air Force or Major Command Privacy Act Officer reserves
the right to request that a Privacy Impact Assessment be completed
on any system that may have privacy risks.
Section C--Completing a Privacy Impact Assessment
The Privacy Impact Assessment. This section describes the steps
required to complete a Privacy Impact Assessment. These steps are
summarized in Table A4.1, Outline of Steps for Completing a Privacy
Impact Assessment.
Training. Training on the Privacy Impact Assessment will be
available, on request, from the Major Command Privacy Act Officer.
The training consists of describing the Privacy Impact Assessment
process and provides detail about the privacy issues and privacy
questions to be answered to complete the Privacy Impact Assessment.
Major Command Privacy Act Officers may use Appendix E, Sections A,
B, D, and E for this purpose. The intended audience is the personnel
responsible for writing the Privacy Impact Assessment document.
The Privacy Impact Assessment Document. Preparing the Privacy
Impact Assessment document requires the system owner and developer
to answer the privacy questions in Section E. A brief explanation
should be written for each question. Issues that do not apply to a
system should be noted as ``Not Applicable.'' During the development
of the Privacy Impact Assessment document, the Major Command Privacy
Act Officer will be available to answer questions related to the
Privacy Impact Assessment process and other concerns that may arise
with respect to privacy.
Review of the Privacy Impact Assessment Document. Submit the
completed Privacy Impact Assessment document to the Major Command
Privacy Act Office for review. The purpose of the review is to
identify privacy risks in the system.
Approval of the Privacy Impact Assessment. The system life cycle
review process (Command, Control, Communications, Computers, and
Intelligence Support Plan) will be used to validate the
incorporation of the design requirements to resolve the privacy
risks. Major Command and Headquarters Air Force Functional CIOs will
issue final approval of the Privacy Impact Assessment.
Table A4.1.--Outline of Steps for Completing a Privacy Impact Assessment
------------------------------------------------------------------------
Step Who Procedure
------------------------------------------------------------------------
1.......................... System Owner, and Request and complete
Developer. Privacy Impact
Assessment
Training.
2.......................... System Owner, and Answer the questions
Developer. in Section E,
Privacy Questions.
For assistance
contact your Major
Command Privacy Act
Officer.
3.......................... System Owner, and Submit the Privacy
Developer. Impact Assessment
document to the
Major Command
Privacy Act
Officer.
4.......................... Major Command Privacy Review the Privacy
Act Officer. Impact Assessment
document to
identify privacy
risks from the
information
provided. The Major
Command Privacy Act
Officer will get
clarification from
the owner and
developer as
needed.
5.......................... System Owner and The System Owner,
Developer, Major Developer and the
Command Privacy Act Major Command
Officer. Privacy Act Officer
should reach
agreement on design
requirements to
resolve all
identified risks.
6.......................... System Owner, Participate in the
Developer, and Major required system
Command Privacy Act life cycle reviews
Officer. to ensure
satisfactory
resolution of
identified privacy
risks to obtain
formal approval
from the Major
Command or
Headquarters Air
Force Functional
CIO.
7.......................... Major Command or Issue final approval
Headquarters Air of Privacy Impact
Force Functional CIO. Assessment, and
send a copy to Air
Force Chief
Information Officer/
P.
8.......................... Air Force Chief When feasible,
Information Officer/ publish Privacy
P. Impact Assessment
on Freedom of
Information Act Web
page (http://www.foia.af.mil
).
------------------------------------------------------------------------
Section D--Privacy Issues in Information Systems
Privacy Act of 1974, 5 U.S.C. 552a as Amended
Title 5, U.S.C., 552a, The Privacy Act of 1974, as amended,
requires Federal Agencies to protect personally identifiable
information. It states specifically:
Each agency that maintains a system of records shall:
Maintain in its records only such information about an
individual as is relevant and necessary to accomplish a purpose of
the agency required to be accomplished by statute or by executive
order of the President;
Collect information to the greatest extent practicable directly
from the subject individual when the information may result in
adverse determinations about an individual's rights, benefits, and
privileges under Federal programs;
Maintain all records used by the agency in making any
determination about any individual with such accuracy, relevance,
timeliness, and completeness as is reasonably necessary to assure
fairness to the individual in the determination;
Establish appropriate administrative, technical and physical
safeguards to ensure the security and confidentiality of records and
to protect against any anticipated threats or hazards to their
security or integrity which could result in substantial harm,
embarrassment, inconvenience, or unfairness to any individual on
whom information is maintained.
Definitions
Accuracy--within sufficient tolerance for error to assure the
quality of the record in terms of its use in making a determination.
Completeness--all elements necessary for making a determination
are present before such determination is made.
Determination--any decision affecting an individual which, in
whole or in part, is based on information contained in the record
and which is made by any person or agency.
Necessary--a threshold of need for an element of information
greater than mere relevance and utility.
Record--any item, collection or grouping of information about an
individual and identifiable to that individual that is maintained by
an agency.
Relevance--limitation to only those elements of information that
clearly bear on the determination(s) for which the records are
intended.
Routine Use--with respect to the disclosure of a record, the use
of such record outside DoD for a purpose that is compatible with the
purpose for which it was collected.
System of Records--a group of any records under the control of
any agency from which information is retrieved by the name of the
individual or by some identifying number, symbol, or other
identifying particular assigned to the individual.
Timeliness--sufficiently current to ensure that any
determination based on the record will be accurate and fair.
Information and Privacy
To fulfill the commitment of the Air Force to protect personal
information, several issues must be addressed with respect to
privacy.
[[Page 973]]
The use of information must be controlled.
Information may be used only for a necessary and lawful purpose.
Individuals must be informed in writing of the principal purpose
and routine uses of the information being collected from them.
Information collected for a particular purpose should not be
used for another purpose without the data subject's consent unless
such other uses are specifically authorized or mandated by law.
Any information used must be sufficiently accurate, relevant,
timely and complete to assure fair treatment of the individual.
Given the availability of vast amounts of stored information and
the expanded capabilities of information systems to process the
information, it is foreseeable that there will be increased requests
to share that information. With the potential expanded uses of data
in automated systems it is important to remember that information
can only be used for the purpose for which it was collected unless
other uses are specifically authorized or mandated by law. If the
data is to be used for other purposes, then the public must be
provided notice of those other uses. These procedures do not in
themselves create any legal rights, but are intended to express the
full and sincere commitment of the Air Force to protect individual
privacy rights and which provide redress for violations of those
rights.
Data in the System
The sources of the information in the system are an important
privacy consideration if the data is gathered from other than Air
Force records. Information collected from non-Air Force sources
should be verified, to the extent practicable, for accuracy, that
the information is current, and complete. This is especially
important if the information will be used to make determinations
about individuals.
Access to the Data
Who has access to the data in a system must be defined and
documented. Users of the data can be individuals, other systems, and
other agencies. Individuals who have access to the data can be
system users, system administrators, system owners, managers, and
developers. When individuals are granted access to a system, their
access should be limited, where possible, to only that data needed
to perform their assigned duties. If individuals are granted access
to all of the data in a system, procedures need to be in place to
deter and detect browsing and unauthorized access. Other systems are
any programs or projects that interface with the system and have
access to the data. Other agencies can be International, Federal,
state, or local entities that have access to Air Force data.
Attributes of the Data
When requirements for the data to be used in the system are
being determined, those requirements must include the privacy
attributes of the data. The privacy attributes are derived from the
legal requirements imposed by The Privacy Act of 1974. First, the
data must be relevant and necessary to accomplish the purpose of the
system. Second, the data must be complete, accurate, and timely. It
is important to ensure the data has these privacy attributes in
order to assure fairness to the individual in making decisions based
on the data.
Maintenance of Administrative Controls
Automation of systems can lead to the consolidation of
processes, data, and the controls in place to protect the data. When
administrative controls are consolidated, they should be evaluated
so that all necessary controls remain in place to the degree
necessary to continue to control access to and use of the data.
Document record retention and disposal procedures and coordinate
them with the Major Command Records Manager.
Section E--Privacy Questions
Data in the System
1. Generally describe the information to be used in System the
system.
2. What are the sources of the information in the system?
a. What Air Force files and databases are used?
b. What Federal Agencies are providing data for use in the
system?
c. What State and local agencies are providing data for use in
the system?
d. What other third party sources will data be collected from?
e. What information will be collected from the employee?
3. Is data accurate and complete?
a. How will data collected from sources other than Air Force
records and the subject be verified for accuracy?
b. How will data be checked for completeness?
c. Is the data current? How do you know?
4. Are the data elements described in detail and documented? If
yes, what is the name of the document?
Access to the Data
1. Who will have access to the data in the system Data (Users,
Managers, System Administrators, Developers, Other)?
2. How is access to the data by a user determined? Are criteria,
procedures, controls, and responsibilities regarding access
documented?
3. Will users have access to all data on the system or will the
user's access be restricted? Explain.
4. What controls are in place to prevent the misuse (e.g.,
browsing) of data by those having access?
5. Does the system share data with another system?
a. Do other systems share data or have access to data in this
system? If yes, explain.
b. Who will be responsible for protecting the privacy rights of
the employees affected by the interface?
6. Will other agencies have access to the data in the system?
a. Will other agencies share data or have access to data in this
system (International, Federal, State, Local, Other)?
b. How will the data be used by the agency?
c. Who is responsible for assuring proper use of the data?
d. How will the system ensure that agencies only get the
information they are entitled to under applicable laws?
Attributes of the Data
1. Is the use of the data both relevant and necessary Data to
the purpose for which the system is being designed?
2. Will the system create new data about an individual?
a. Will the system derive new data or create previously
unavailable data about an individual through aggregation from the
information collected?
b. Will the new data be placed in the individual's record?
c. Can the system make determinations about the record subject
that would not be possible without the new data?
d. How will the new data be verified for relevance and accuracy?
3. Is data being consolidated?
a. If data is being consolidated, what controls are in place to
protect the data from unauthorized access or use?
b. If processes are being consolidated, are the proper controls
remaining in place to protect the data and prevent unauthorized
access? Explain.
4. How will the data be retrieved? Is it retrieved by a personal
identifier? If yes, explain.
Maintenance of Administrative Controls
(1) a. Explain how the system and its use will ensure
Administrative equitable treatment of record subjects.
b. If the system is operated at more than one location, how will
consistent use of the system and data be maintained?
c. Explain any possibility of disparate treatment of individuals
or groups.
(2) a. Coordinate proposed maintenance and disposition of the
records with the Major Command Records Manager.
b. While the data is retained in the system, what are the
requirements for determining if the data is still sufficiently
accurate, relevant, timely, and complete to ensure fairness in
making determinations?
(3) a. Is the system using technologies in ways that the Air
Force has not previously employed?
b. How does the use of this technology affect personal privacy?
(4) a. Will this system provide the capability to identify,
locate, and monitor individuals? If yes, explain.
b. Will this system provide the capability to identify, locate,
and monitor groups of people? If yes, explain.
c. What controls will be used to prevent unauthorized
monitoring?
(5) a. Under which Systems of Record notice does the system
operate? Provide number and name.
b. If the system is being modified, will the system of record
require amendment or revision? Explain.
Dated: December 24, 2003.
L.M. Bynum,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
[FR Doc. 04-23 Filed 1-6-04; 8:45 am]
BILLING CODE 5001-06-P