Availability of Department of the Navy Records and Publication of Department of the Navy Documents Affecting the Public

DEPARTMENT OF DEFENSE

Department of the Navy

32 CFR Part 701

Availability of Department of the Navy Records and Publication of

Department of the Navy Documents Affecting the Public

AGENCY: Department of the Navy, DoD.

ACTION: Final rule.

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SUMMARY: The Department of the Navy has revised its Privacy Act

Instruction. This final rule re-establishes the Navy's Privacy Program

and incorporates the changes made to the revised Instruction.

EFFECTIVE DATE: November 7, 1994.

FOR FURTHER INFORMATION CONTACT: Mrs. Doris Lama at (703) 697-1459 or

DSN 227-1459.

SUPPLEMENTARY INFORMATION: Executive Order 12866. The Director,

Administration and Management, Office of the Secretary of Defense has

determined that this Privacy Act rule for the Department of Defense

does not constitute `significant regulatory action'. Analysis of the

rule indicates that it does not have an annual effect on the economy of

$100 million or more; does not create a serious inconsistency or

otherwise interfere with an action taken or planned by another agency;

does not materially alter the budgetary impact of entitlements, grants,

user fees, or loan programs or the rights and obligations of recipients

thereof; does not raise novel legal or policy issues arising out of

legal mandates, the President's priorities, or the principles set forth

in Executive Order 12866 (1993).

Regulatory Flexibility Act of 1980. The Director, Administration and

Management, Office of the Secretary of Defense certifies that this

Privacy Act rule for the Department of Defense does not have

significant economic impact on a substantial number of small entities

because it is concerned only with the administration of Privacy Act

systems of records within the Department of Defense.

Paperwork Reduction Act. The Director, Administration and Management,

Office of the Secretary of Defense certifies that this Privacy Act rule

for the Department of Defense imposes 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.

The Department of the Navy previously published its proposed rule

on June 1, 1994, at 59 FR 28304. No comments were received that

resulted in a contrary determination, therefore, the Department of the

Navy is publishing this final rule.

List of Subjects in 32 CFR Part 701

Privacy.

Accordingly, 32 CFR part 701, subparts F and G are revised as

follows:

PART 701 - AVAILABILITY OF DEPARTMENT OF THE NAVY RECORDS AND

PUBLICATION OF DEPARTMENT OF THE NAVY DOCUMENTS AFFECTING THE

PUBLIC

Subpart F - Department of the Navy Privacy Act Program

701.100 Purpose.

701.101 Applicability.

701.102 Definitions.

701.103 Policy.

701.104 Responsibility and authority.

701.105 Systems of records.

701.106 Safeguarding records in systems of records.

701.107 Criteria for creating, altering, amending, and deleting

Privacy Act systems of records.

701.108 Collecting information about individuals.

701.109 Access to records.

701.110 Amendment of records.

701.111 Privacy Act appeals.

701.112 Disclosure of records.

701.113 Exemptions.

701.114 Enforcement actions.

701.115 Computer matching program.

Subpart G - Privacy Act Exemptions

701.116 Purpose.

701.117 Exemption for classified records.

701.118 Exemptions for specific Navy record systems.

701.119 Exemptions for specific Marine Corps records systems.

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

Subpart F - Department of the Navy Privacy Act Program

Sec. 701.100 Purpose.

Subparts F and G of this part implement the Privacy Act (5 U.S.C.

552a), and DoD Directive 5400.11\1\, and DoD 5400.11-R\2\, (see 32 CFR

part 310) and provides Department of the Navy policies and procedures

for:

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\1\Copies may be obtained, at cost, from the National Technical

Information Service, 5285 Port Royal Road, Springfield, VA 22161.

\2\See footnote 1 to Sec. 701.100.

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(a) Governing the collection, safeguarding, maintenance, use,

access, amendment, and dissemination of personal information kept by

Department of the Navy in systems of records;

(b) Notifying individuals if any systems of records contain a

record pertaining to them;

(c) Verifying the identity of individuals who request their records

before the records are made available to them;

(d) Notifying the public of the existence and character of each

system of records.

(e) Exempting systems of records from certain requirements of the

Privacy Act; and

(f) Governing the Privacy Act rules of conduct for Department of

the Navy personnel, who will be subject to criminal penalties for

noncompliance with 5 U.S.C. 552a, as amended by the Computer Matching

Act of 1988.

Sec. 701.101 Applicability.

This subpart and subpart G of this part apply throughout the

Department of the Navy. It is also applicable to contractors by

contract or other legally binding action, whenever a Department of the

Navy contract provides for the operation of a system of records or

portion of a system of records to accomplish a Department of the Navy

function. For the purposes of any criminal liabilities adjudged, any

contractor or any employee of such contractor is considered to be an

employee of Department of the Navy. In case of a conflict, this subpart

and subpart G of this part take precedence over any existing Department

of the Navy directive that deals with the personal privacy and rights

of individuals regarding their personal records, except for disclosure

of personal information required by 5 U.S.C. 552 (1988) as amended by

the Freedom of Information Reform Act and implemented by Secretary of

the Navy Instruction 5720.42E\3\, ``Department of the Navy Freedom of

Information Act Program.''

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\3\Copies available from Chief of Naval Operations (N09B30),

2000 Navy Pentagon, Washington, DC 20350-2000.

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Sec. 701.102 Definitions.

For the purposes of this subpart and subpart G of this part, the

following meanings apply.

(a) Access. The review or copying of a record or parts thereof

contained in a system of records by any individual.

(b) Agency. For the purposes of disclosing records subject to the

Privacy Act between or among Department of Defense (DoD) components,

the Department of Defense is considered a single agency. For all other

purposes, Department of the Navy is considered an agency within the

meaning of Privacy Act.

(c) Confidential source. A person or organization who has furnished

information to the Federal Government either under an express promise

that the person's or the organization's identity will be held in

confidence or under an implied promise of such confidentiality if this

implied promise was made before September 27, 1975.

(d) Defense Data Integrity Board. Consists of members of the

Defense Privacy Board, as outlined in DoD Directive 5400.11 and, in

addition, the DoD Inspector General or the designee, when convened to

oversee, coordinate and approve or disapprove all DoD component

computer matching covered by the Privacy Act.

(e) Disclosure. The transfer of any personal information from a

system of records by any means of communication (such as oral, written,

electronic, mechanical, or actual review), to any person, private

entity, or government agency, other than the subject of the record, the

subject's designated agent or the subject's legal guardian.

(f) Federal personnel. Officers and employees of the Government of

the United States, members of the uniformed services (including members

of the Reserve Components), individuals or survivors thereof, entitled

to receive immediate or deferred retirement benefits under any

retirement program of the Government of the United States (including

survivor benefits).

(g) Individual. A living citizen of the United States or alien

lawfully admitted to the U.S. for permanent residence. The legal

guardian of an individual has the same rights as the individual and may

act on his or her behalf. No rights are vested in the representative of

a deceased person under this instruction and the term ``individual''

does not embrace an individual acting in a non-personal capacity (for

example, sole proprietorship or partnership).

(h) Individual access. Access to information pertaining to the

individual by the individual or his or her designated agent or legal

guardian.

(i) Maintain. Includes maintain, collect, use, or disseminate.

(j) Member of the public. Any individual or party acting in a

private capacity.

(k) Minor. Under this subpart and subpart G of this part, a minor

is an individual under 18 years of age, who is not a member of the U.S.

Navy or Marine Corps, nor married.

(l) Official use. Under this subpart and subpart G of this part,

this term is used when Department of the Navy officials and employees

have a demonstrated need for the use of any record or the information

contained therein in the performance of their official duties.

(m) Personal information. Information about an individual that is

intimate or private to the individual, as distinguished from

information related solely to the individual's official functions or

public life.

(n) Privacy Act (PA) request. A request from an individual for

notification as to the existence of, access to, or amendment of records

pertaining to that individual. These records must be maintained in a

system of records.

(o) Record. Any item, collection, or grouping of information about

an individual that is maintained by a naval activity including, but not

limited to, the individual's education, financial transactions, and

medical, criminal, or employment history, and that contains the

individual's name or other identifying particulars assigned to the

individual, such as a finger or voice print or a photograph.

(p) Review authority. An official charged with the responsibility

to rule on administrative appeals of initial denials of requests for

notification, access, or amendment of records. The Secretary of the

Navy has delegated his review authority to the Assistant Secretary of

the Navy (Manpower and Reserve Affairs (ASN(M&RA)), the General Counsel

(OGC), and the Judge Advocate General (NJAG). Additionally, the Office

of Personnel Management (OPM) is the review authority for civilian

official personnel folders or records contained in any other OPM

record.

(q) Risk assessment. An analysis which considers information

sensitivity, vulnerability, and cost to a computer facility or word

processing center in safeguarding personal information processed or

stored in the facility or center.

(r) Routine use. Disclosure of a record outside the Department of

Defense for a purpose that is compatible with the purpose for which the

record was collected and maintained by the Department of Defense. The

routine use must have been included in the notice for the system of

records published in the Federal Register.

(s) Statistical record. A record maintained only for statistical

research, or reporting purposes, and not used in whole or in part in

making any determination about a specific individual.

(t) System manager. An official who has overall responsibility for

a system of records. He or she may serve at any level in Department of

the Navy. Systems managers are indicated in the published record

systems notices. If more than one official is indicated as a system

manager, initial responsibility resides with the manager at the

appropriate level (i.e., for local records, at the local activity).

(u) System of records. A group of records under the control of a

Department of the Navy activity from which information is retrieved by

the individual's name or by some identifying number, symbol, or other

identifying particular assigned to the individual. System notices for

all Privacy Act systems of records must be published in the Federal

Register and are also published in periodic Chief of Naval Operations

Notes (OPNAVNOTEs) 5211\4\.

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\4\See footnote 3 to Sec. 701.101.

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(v) Word processing equipment. Any combination of electronic

hardware and computer software integrated in a variety of forms

(firmware, programmable software, hard wiring, or similar equipment)

that permits the processing of textual data. Generally, the equipment

contains a device to receive information, a computer-like processor

with various capabilities to manipulate the information, a storage

medium, and an output device.

(w) Word processing system. A combination of equipment employing

automated technology, systematic procedures, and trained personnel for

the primary purpose of manipulating human thoughts and verbal or

written communications into a form suitable to the originator. The

results are written or graphic presentations intended to communicate

verbally or visually with another individual.

(x) Working day. All days excluding Saturday, Sunday, and legal

holidays.

Sec. 701.103 Policy.

It is the policy of Department of the Navy to:

(a) Ensure that all its personnel comply fully with 5 U.S.C. 552a,

DoD Directive 5400.11 and DoD 5400.11-R, to protect individuals from

unwarranted invasions of privacy. Individuals covered by this

protection are living citizens of the U.S. or aliens lawfully admitted

for permanent residence. A legal guardian of an individual or parent of

a minor when acting on the individual's or minor's behalf, has the same

rights as the individual or minor. (A member of the Armed Forces is not

a minor for the purposes of this subpart and subpart G of this part).

(b) Collect, maintain, and use only that personal information

needed to support a Navy function or program as authorized by law or

E.O., and disclose this information only as authorized by 5 U.S.C. 552a

and this subpart and subpart G of this part. In assessing need,

consideration shall be given to alternatives, such as use of

information not individually identifiable or use of sampling of certain

data for certain individuals only. Additionally, consideration is to be

given to the length of time information is needed, and the cost of

maintaining the information compared to the risks and adverse

consequences of not maintaining the information.

(c) Keep only personal information that is timely, accurate,

complete, and relevant to the purpose for which it was collected.

(d) Let individuals have access to, and obtain copies of, all or

portions of their records, subject to exemption procedures authorized

by law and this subpart and subpart G of this part.

(e) Let individuals request amendment of their records when

discrepancies proven to be erroneous, untimely, incomplete, or

irrelevant are noted.

(f) Let individuals request an administrative review of decisions

that deny them access, or refuse to amend their records.

(g) Ensure that adequate safeguards are enforced to prevent misuse,

unauthorized disclosure, alteration, or destruction of personal

information in records.

(h) Maintain no records describing how an individual exercises his

or her rights guaranteed by the First Amendment (freedom of religion,

political beliefs, speech, and press; peaceful assemblage; and petition

for redress of grievances), unless they are:

(1) Expressly authorized by statute;

(2) Authorized by the individual;

(3) Within the scope of an authorized law enforcement activity; or

(4) For the maintenance of certain items of information relating to

religious affiliation for members of the naval service who are

chaplains. This should not be construed, however, as restricting or

excluding solicitation of information which the individual is willing

to have in his or her record concerning religious preference,

particularly that required in emergency situations.

(5) Maintain only systems of records which have been published in

the Federal Register, in accordance with periodic Chief of Naval

Operations Notes (OPNAVNOTEs) 5211 and Sec. 701.105. These OPNAVNOTEs

5211 provide a listing of all Department of the Navy Privacy Act

systems of records and identify the Office of Personnel Management

(OPM) government-wide systems containing information on Department of

the Navy civilian employees, even though technically, Department of the

Navy does not have cognizance over them. A Privacy Act systems notice

outlines what kinds of information may be collected and maintained by

naval activities. When collecting/maintaining information in a Privacy

Act system of records, review the systems notice to ensure activity

compliance is within the scope of the system. If you determine the

systems notice does not meet your needs, contact the systems manager or

Chief of Naval Operations (N09B30) with your concerns so that amendment

of the system may be considered.

Sec. 701.104 Responsibility and authority.

(a) Chief of Naval Operations (CNO). CNO is designated as the

official responsible for administering and supervising the execution of

5 U.S.C. 552a, DoD Directive 5400.11, and DoD 5400.11-R. CNO has

designated the Assistant Vice Chief of Naval Operations (N09B30) as

principal Privacy Act Coordinator for the Department of the Navy to:

(1) Set Department of the Navy policy on the provisions of the

Privacy Act.

(2) Serve as principal advisor on all Privacy Act matters.

(3) Oversee the administration of the Privacy Act program, which

includes preparing the Department of the Navy Privacy Act report for

submission to Congress.

(4) Develop Navy-wide Privacy Act training program and serve as

training-oversight manager.

(5) Conduct staff assistance visits within Department of the Navy

to review compliance with 5 U.S.C. 552a and this subpart and subpart G

of this part.

(6) Coordinate and prepare responses for Privacy Act requests

received for Office of the Secretary of the Navy records.

(b) Commandant of the Marine Corps (CMC). CMC is responsible for

administering and supervising the execution of this subpart and subpart

G of this part within the Marine Corps. The Commandant has designated

the Director, Manpower Management Information Systems Division (HQMC

(Code MI)) as the Privacy Act coordinator for Headquarters, U.S. Marine

Corps.

(c) Privacy Act Coordinator. Each addressee is responsible for

implementing and administering a Privacy Act program under this subpart

and subpart G of this part. Each addressee shall designate a Privacy

Act Coordinator to:

(1) Serve as principal point of contact on Privacy Act matters.

(2) Provide training for activity/command personnel on the

provisions of 5 U.S.C. 552a and this subpart and subpart G of this

part.

(3) Issue implementing instruction which designates the activity's

Privacy Act Coordinator, Privacy Act records disposition, Privacy Act

processing procedures, identification of Privacy Act systems of records

under their cognizance, and training aids for those personnel involved

with systems of records.

(4) Review internal directives, practices, and procedures,

including those having Privacy Act implications and where Privacy Act

Statements (PASs) are needed.

(5) Compile input and submit consolidated Privacy Act report to

Echelon 2 Privacy Act Coordinator, who, in turn, will provide

consolidated report to CNO (N09B30).

(6) Maintain liaison with records management officials (i.e.,

maintenance and disposal procedures and standards, forms, and reports),

as appropriate.

(7) Provide guidance on handling Privacy Act requests and scope of

Privacy Act exemptions.

(8) Conduct staff assistance visits within command and lower

echelon commands to ensure compliance with the Privacy Act.

(9) Echelon 2 Privacy Act Coordinators shall provide CNO (N09B30)

with a complete listing of all Privacy Act Coordinators under their

jurisdiction. Such information should include activity name and

address, office code, name of Privacy Act Coordinator, commercial and

DSN telephone number, and FAX number, if applicable.

(d) Release authority. Officials having cognizance over the

requested subject matter are authorized to respond to requests for

notification, access, and/or amendment of records. These officials

could also be systems managers (see Sec. 701.104(g)).

(e) Denial authority. Within the Department of the Navy, the

following chief officials, their respective vice commanders, deputies,

principal assistants, and those officials specifically designated by

the chief official are authorized to deny requests, either in whole or

in part, for notification, access and amendment, made under this

subpart and subpart G of this part, when the records relate to matters

within their respective areas of responsibility or chain of command:

(1) Department of the Navy. Civilian Executive Assistants; CNO;

CMC; Chief of Naval Personnel; Commanders of the Naval Systems

Commands, Office of Naval Intelligence, Naval Security Group Command,

Naval Imaging Command, and Naval Computer and Telecommunications

Command; Chief, Bureau of Medicine and Surgery; Auditor General of the

Navy; Naval Inspector General; Director, Office of Civilian Personnel

Management; Chief of Naval Education and Training; Commander, Naval

Reserve Force; Chief of Naval Research; Commander, Naval Oceanography

Command; heads of Department of the Navy Staff Offices, Boards, and

Councils; Flag Officers and General Officers. NJAG and his Deputy, and

OGC and his Deputies are excluded from this grant of authorization.

While NJAG and OGC are not denial authorities, they are authorized to

further delegate the authority conferred here to other senior officers/

officials within NJAG and OGC.

(2) For the shore establishment.

(i) All officers authorized under Article 22, Uniform Code of

Military Justice (UCMJ) or designated in section 0120, Manual of the

Judge Advocate General (JAGINST 5800.7C)\5\, to convene general courts-

martial.

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\5\Copies available from the Judge Advocate General, Navy

Department, 200 Stovall Street, Alexandria, VA 22332-2400.

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(ii) Commander, Naval Investigative Service Command.

(iii) Deputy Commander, Naval Legal Service Command.

(3) In the Operating Forces. All officers authorized by Article 22,

Uniform Code of Military Justice (UCMJ), or designated in section 0120,

Manual of the Judge Advocate General (JAGINST 5800.7C), to convene

general courts-martial.

(f) Review authority. (1) The Assistant Secretary of the Navy

(Manpower and Reserve Affairs), is the Secretary's designee, and shall

act upon requests for administrative review of initial denials of

requests for amendment of records related to fitness reports and

performance evaluations of military personnel (see Sec. 701.111(c)(3)).

(2) The Judge Advocate General and General Counsel, as the

Secretary's designees, shall act upon requests for administrative

review of initial denials of records for notification, access, or

amendment of records, as set forth in Sec. 701.111(c)(2) and (4).

(3) The authority of the Secretary of the Navy (SECNAV), as the

head of an agency, to request records subject to the Privacy Act from

an agency external to the Department of Defense for civil or criminal

law enforcement purposes, under subsection (b)(7) of 5 U.S.C. 552a, is

delegated to the Commandant of the Marine Corps, the Director of Naval

Intelligence, the Judge Advocate General, and the General Counsel.

(g) Systems manager. Systems managers, as designated in Department

of the Navy's compilation of systems notices (periodic Chief of Naval

Operations Notes (OPNAVNOTEs) 5211\6\, ``Current Privacy Act

Issuances'') shall:

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\6\See footnote 3 to Sec. 701.101.

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(1) Ensure the system has been published in the Federal Register

and that any additions or significant changes are submitted to CNO

(N09B30) for approval and publication. The systems of records should be

maintained in accordance with the systems notices as published in the

periodic Chief of Naval Operations Notes (OPNAVNOTEs) 5211, ``Current

Privacy Act Issuances.''

(2) Maintain accountability records of disclosures.

(h) Department of the Navy employees. Each employee of the

Department of the Navy has certain responsibilities for safeguarding

the rights of others. These include:

(1) Not disclosing any information contained in a system of records

by any means of communication to any person or agency, except as

authorized by this subpart and subpart G of this part.

(2) Not maintaining unpublished official files which would fall

under the provisions of 5 U.S.C. 552a.

(3) Safeguarding the privacy of individuals and confidentiality of

personal information contained in a system of records.

Sec. 701.105 Systems of records.

To be subject to this subpart and subpart G of this part, a

``system of records'' must consist of ``records'' that are retrieved by

the name, or some other personal identifier, of an individual and be

under the control of Department of the Navy.

(a) Retrieval practices. (1) Records in a group of records that are

not retrieved by personal identifiers are not covered by this subpart

and subpart G of this part, even if the records contain information

about individuals and are under the control of Department of the Navy.

The records must be retrieved by personal identifiers to become a

system of records.

(2) If records previously not retrieved by personal identifiers are

rearranged so they are retrieved by personal identifiers, a new system

notice must be submitted in accordance with Sec. 701.107.

(3) If records in a system of records are rearranged so retrieval

is no longer by personal identifiers, the records are no longer subject

to this subpart and subpart G of this part and the records system

notice should be deleted in accordance with Sec. 701.107.

(b) Recordkeeping standards. A record maintained in a system of

records subject to this subpart and subpart G of this part must meet

the following criteria:

(1) Be accurate. All information in the record must be factually

correct.

(2) Be relevant. All information contained in the record must be

related to the individual who is the record subject and also must be

related to a lawful purpose or mission of the Department of the Navy

activity maintaining the record.

(3) Be timely. All information in the record must be reviewed

periodically to ensure that it has not changed due to time or later

events.

(4) Be complete. It must be able to stand alone in accomplishing

the purpose for which it is maintained.

(5) Be necessary. All information in the record must be needed to

accomplish a Department of the Navy mission or purpose established by

Federal Law or E.O. of the President.

(c) Authority to establish systems of records. Identify the

specific Federal statute or E.O. of the President that authorizes

maintaining each system of records. When a naval activity uses its

``internal housekeeping'' statute, i.e., 5 U.S.C. 301, Departmental

Regulations, the naval instruction that implements the statute should

also be identified. A statute or E.O. authorizing a system of records

does not negate the responsibility to ensure the information in the

system of records is relevant and necessary.

(d) Exercise of First Amendment rights. (1) Do not maintain any

records describing how an individual exercises rights guaranteed by the

First Amendment of the U.S. Constitution unless expressly authorized by

Federal law; the individual; or pertinent to and within the scope of an

authorized law enforcement activity.

(2) First amendment rights include, but are not limited to, freedom

of religion, freedom of political beliefs, freedom of speech, freedom

of the press, the right to assemble, and the right to petition.

(e) System manager's evaluations and reviews. (1) Evaluate each new

system of records. Before establishing a system of records, evaluate

the information to be included and consider the following:

(i) The relationship of each item of information to be collected

and retained to the purpose for which the system is maintained (all

information must be relevant to the purpose);

(ii) The specific impact on the purpose or mission if each category

of information is not collected (all information must be necessary to

accomplish a lawful purpose or mission.);

(iii) The ability to meet the informational needs without using

personal identifiers (will anonymous statistical records meet the

needs?);

(iv) The length of time each item of information must be kept;

(v) The methods of disposal;

(vi) The cost of maintaining the information; and

(vii) Whether a system already exists that serves the purpose of

the new system.

(2) Evaluate and review all existing systems of records.

(i) When an alteration or amendment of an existing system is

prepared pursuant to Sec. 701.107(b) and (c), do the evaluation

described in Sec. 701.105(e).

(ii) Conduct the following reviews annually and be prepared to

report, in accordance with Sec. 701.104(c)(8), the results and

corrective actions taken to resolve problems uncovered.

(A) Training practices to ensure all personnel are familiar with

the requirements of 5 U.S.C. 552a, and DoD Directive 5400.11, ``DoD

Privacy Program'', this subpart and subpart G of this part, and any

special needs their specific jobs entail.

(B) Recordkeeping and disposal practices to ensure compliance with

this subpart and subpart G of this part.

(C) Ongoing computer matching programs in which records from the

system have been matched with non-DoD records to ensure that the

requirements of Sec. 701.115 have been met.

(D) Actions of Department of the Navy personnel that resulted in

either Department of the Navy being found civilly liable or a person

being found criminally liable under 5 U.S.C. 552a, to determine the

extent of the problem and find the most effective way of preventing the

problem from occurring in the future.

(E) Each system of records notice to ensure it accurately describes

the system. Where major changes are needed, alter the system notice in

accordance with Sec. 701.107(b). If minor changes are needed, amend the

system notice pursuant to Sec. 701.107(c).

(iii) Every even-numbered year, review a random sample of

Department of the Navy contracts that provide for the operation of a

system of records to accomplish a Department of the Navy function, to

ensure the wording of each contract complies with the provisions of 5

U.S.C. 552a and Sec. 701.105(h).

(iv) Every three years, beginning in 1992, review the routine use

disclosures associated with each system of records to ensure the

recipient's use of the records continues to be compatible with the

purpose for which the information was originally collected.

(v) Every three years, beginning in 1993, review each system of

records for which exemption rules have been established to determine

whether each exemption is still needed.

(vi) When directed, send the reports through proper channels to the

CNO (N09B30).

(f) Discontinued information requirements. (1) Immediately stop

collecting any category or item of information about individuals that

is no longer justified, and when feasible, remove the information from

existing records.

(2) Do not destroy records that must be kept in accordance with

retention and disposal requirements established under SECNAVINST

5212.5\7\, ``Disposal of Navy and Marine Corps Records.''

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\7\Copies available from OPNAV/SECNAV Directives Control Office,

Washington Navy Yard, Building 200, Washington, DC 20350-2000.

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(g) Review records before disclosing outside the Federal

government. Before disclosing a record from a system of records to

anyone outside the Federal government, take reasonable steps to ensure

the record which is being disclosed is accurate, relevant, timely, and

complete for the purposes it is being maintained.

(h) Federal government contractors. (1) Applicability to Federal

government contractors.

(i) When a naval activity contracts for the operation of a system

of records to accomplish its function, the activity must ensure

compliance with this subpart and subpart G of this part and 5 U.S.C.

552a. For the purposes of the criminal penalties described in 5 U.S.C.

552a, the contractor and its employees shall be considered employees of

the agency during the performance of the contract.

(ii) Consistent with Parts 24 and 52 of the Federal Acquisition

Regulation (FAR), contracts for the operation of a system of records

shall identify specifically the record system and the work to be

performed, and shall include in the solicitations and resulting

contract the terms as prescribed by the FAR.

(iii) If the contractor must use records that are subject to this

subpart and subpart G of this part to perform any part of a contract,

the contractor activities are subject to this subpart and subpart G of

this part.

(iv) This subpart and subpart G of this part do not apply to

records of a contractor that are:

(A) Established and maintained solely to assist the contractor in

making internal contractor management decisions, such as records

maintained by the contractor for use in managing the contract;

(B) Maintained as internal contractor employee records, even when

used in conjunction with providing goods or services to the naval

activity;

(C) Maintained as training records by an educational organization

contracted by a naval activity to provide training when the records of

the contract students are similar to and commingled with training

records of other students, such as admission forms, transcripts, and

academic counseling and similar records; or

(D) Maintained by a consumer reporting agency to which records have

been disclosed under contract in accordance with 31 U.S.C. 952d.

(v) For contracting that is subject to this subpart and subpart G

of this part, naval activities shall publish instructions that:

(A) Furnish Privacy Act guidance to personnel who solicit, award,

or administer Government contracts;

(B) Inform prospective contractors of their responsibilities under

this subpart and subpart G of this part and the Department of the Navy

Privacy Program;

(C) Establish an internal system for reviewing contractor's

performance for compliance with the Privacy Act; and

(D) Provide for the biennial review of a random sample of contracts

that are subject to this subpart and subpart G of this part.

(2) Contracting procedures. The Defense Acquisition Regulatory

(DAR) Council, which oversees the implementation of the FAR within the

Department of Defense, is responsible for developing the specific

policies and procedures for soliciting, awarding, and administering

contracts that are subject to this subpart and subpart G of this part

and 5 U.S.C. 552a.

(3) Contractor compliance. Naval activities shall establish

contract surveillance programs to ensure contractors comply with the

procedures established by the DAR Council under the preceding

subparagraph.

(4) Disclosing records to contractors. Disclosing records to a

contractor for use in performing a contract let by a naval activity is

considered a disclosure within Department of the Navy. The contractor

is considered the agent of Department of the Navy when receiving and

maintaining the records for that activity.

Sec. 701.106 Safeguarding records in systems of records.

Establish appropriate administrative, technical, and physical

safeguards to ensure the records in every system of records are

protected from unauthorized alteration, destruction, or disclosure.

Protect the records from reasonably anticipated threats or hazards that

could result in substantial harm, embarrassment, inconvenience, or

unfairness to any individual on whom information is maintained.

(a) Minimum standards. (1) Conduct risk analysis and management

planning for each system of records. Consider sensitivity and use of

the records, present and projected threats and vulnerabilities, and

present and projected cost-effectiveness of safeguards. The risk

analysis may vary from an informal review of a small, relatively

insensitive system to a formal, fully quantified risk analysis of a

large, complex, and highly sensitive system.

(2) Train all personnel operating a system of records or using

records from a system of records in proper record security procedures.

(3) Label information exempt from disclosure under this subpart and

subpart G of this part to reflect their sensitivity, such as ``FOR

OFFICIAL USE ONLY,'' ``PRIVACY ACT SENSITIVE: DISCLOSE ON A NEED-TO-

KNOW BASIS ONLY,'' or some other statement that alerts individuals of

the sensitivity to the records.

(4) Administer special administrative, physical, and technical

safeguards to protect records processed or stored in an automated data

processing or word processing system to protect them from threats

unique to those environments.

(b) Records disposal. (1) Dispose of records from systems of

records so as to prevent inadvertent disclosure. Disposal methods are

considered adequate if the records are rendered unrecognizable or

beyond reconstruction (i.e., such as tearing, burning, melting,

chemical decomposition, burying, pulping, pulverizing, shredding, or

mutilation). Magnetic media may be cleared by completely erasing,

overwriting, or degaussing the tape.

(2) The transfer of large volumes of records (e.g., printouts and

computer cards) in bulk to a disposal activity such as a Defense

Reutilization and Marketing Office for authorized disposal is not a

disclosure of records, if the volume of records, coding of the

information, or some other factor render it impossible to recognize any

personal information about a specific individual.

(3) When disposing or destroying large quantities of records from a

system of records, care must be taken to ensure that the bulk of the

records is maintained to prevent easy identification of specific

records. If such bulk is maintained, no special procedures are

required. If bulk is not maintained, or if the form of the records

makes individually identifiable information easily discernable, dispose

of the records in accordance with Sec. 701.106(b)(1).

Sec. 701.107 Criteria for creating, altering, amending and deleting

Privacy Act systems of records.

(a) Criteria for a new system of records. A new system of records

is one for which no existing system notice has been published in the

Federal Register. If a notice for a system of records has been canceled

or deleted, and it is determined that it should be reinstated or

reused, a new system notice must be published in the Federal Register.

Advance public notice must be given before a naval activity may begin

to collect information for or use a new system of records. The

following procedures apply:

(1) Describe in the record system notice the contents of the record

system and the purposes and routine uses for which the information will

be used and disclosed.

(2) The public shall be given 30 days to comment on any proposed

routine uses before the routine uses are implemented.

(3) The notice shall contain the date the system of records will

become effective.

(b) Criteria for an alteration to a system of records notice. A

system is considered altered when any one of the following actions

occur or is proposed:

(1) A significant increase or change in the number or types of

individuals about whom records are maintained. For example, a decision

to expand a system of records that originally covered personnel

assigned to only one naval activity to cover personnel at several

installations would constitute an altered system. An increase or

decrease in the number of individuals covered due to normal growth or

decrease is not an alteration.

(2) A change that expands the types or categories of information

maintained. For example, a personnel file that has been expanded to

include medical records would be an alteration.

(3) A change that alters the purpose for which the information is

used. In order to be an alteration, the change must be one that is not

reasonably inferred from any of the existing purposes.

(4) A change to equipment configuration (either hardware or

software) that creates substantially greater use of records in the

system. For example, placing interactive computer terminals at regional

offices when the system was formerly used only at the headquarters

would be an alteration.

(5) A change in the manner in which records are organized or in the

method by which records are retrieved.

(6) Combining record systems due to a reorganization within

Department of the Navy.

(7) Retrieving by Social Security Numbers (SSNs), records that

previously were retrieved only by names would be an alteration if the

present notice failed to indicate retrieval by SSNs. An altered system

of records must be published in the Federal Register. Submission for an

alteration must contain a narrative statement, the specific changes

altering the system, and the system of records notice.

(c) Criteria for amending a systems of records notice. Minor

changes to published system of records notices are considered

amendments. All amendments should be forwarded to CNO (N09B30) for

publication in the Federal Register. When submitting an amendment to a

system of records notice, the naval activity must include a description

of the specific changes proposed and the system of records notice.

(d) Criteria for deleting a system of records notice. When a system

of records is discontinued, incorporated into another system, or

determined to be no longer subject to this subpart and subpart G of

this part, a deletion notice must be published in the Federal Register.

The deletion notice shall include the system identification number,

system name, and the reason for deleting it. If a system is deleted

through incorporation into or merger with another system, identify the

successor system in the deletion notice.

Sec. 701.108 Collecting information about individuals.

(a) Collecting directly from the individual. To the greatest extent

practicable, collect information for systems of records directly from

the individual to whom the record pertains if the record may be used to

make an adverse determination about the individual's rights, benefits,

or privileges under the Federal programs.

(b) Collecting information about individuals from third persons. It

might not always be practical to collect all information about an

individual directly from that person, such as verifying information

through other sources for security or employment suitability

determinations; seeking other opinions, such as a supervisor's comments

on past performance or other evaluations; obtaining the necessary

information directly from the individual would be exceptionally

difficult or would result in unreasonable costs or delays; or, the

individual requests or consents to contacting another person to obtain

the information.

(c) Soliciting the social security number (SSN). (1) It is unlawful

for any Federal, State, or local government agency to deny an

individual a right, benefit, or privilege provided by law because the

individual refuses to provide his or her SSN. However, this prohibition

does not apply if a Federal law requires that the SSN be provided, or

the SSN is required by a law or regulation adopted before January 1,

1975, to verify the individual's identity for a system of records

established and in use before that date.

(2) Before requesting an individual to provide the SSN, the

individual must be advised whether providing the SSN is mandatory or

voluntary; by what law or other authority the SSN is solicited; and

what uses will be made of the SSN.

(3) The preceding advice relates only to the SSN. If other

information about the individual is solicited for a system of records,

a Privacy Act statement (PAS) also must be provided to him/her.

(4) The notice published in the Federal Register for each system of

records containing SSNs solicited from individuals must indicate the

authority for soliciting the SSNs and whether it is mandatory for the

individuals to provide their SSNs. E.O. 9397 requires federal agencies

to use SSNs as numerical identifiers for individuals in most federal

records systems, however, it does not make it mandatory for individuals

to provide their SSNs.

(5) When entering military service or civilian employment with the

Department of the Navy, individuals must provide their SSNs. This is

then the individual's numerical identifier and is used to establish

personnel, financial, medical, and other official records (as

authorized by E.O. 9397). The individuals must be given the

notification described above. Once the individual has provided his or

her SSN to establish the records, a notification is not required when

the SSN is requested only for identification or to locate the records.

(6) The Federal Personnel Manual\8\ must be consulted when

soliciting SSNs for use in systems of records maintained by the Office

of Personnel Management.

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\8\Copies available from the Office of Personnel Management,

1900 E Street, Washington, DC 20415.

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(7) A Department of the Navy activity may request an individual's

SSN even though it is not required by Federal statute, or is not for a

system of records in existence and operating prior to January 1, 1975.

However, the separate Privacy Act Statement for the SSN, alone, or a

merged Privacy Act Statement covering both the SSN and other items of

personal information, must make clear that disclosure of the number is

voluntary. If the individual refuses to disclose his or her SSN, the

activity must be prepared to identify the individual by alternate

means.

(d) Contents of Privacy Act Statement.

(1) When an individual is requested to furnish information about

himself/herself for a system of records, a Privacy Act Statement must

be provided to the individual, regardless of the method used to collect

the information (i.e., forms, personal or telephonic interview, etc).

If the information requested will not be included in a system of

records, a Privacy Act Statement is not required.

(2) The Privacy Act Statement shall include the following:

(i) The Federal law or E.O. that authorizes collecting the

information (i.e., E.O. 9397 authorizes collection of SSNs);

(ii) Whether or not it is mandatory for the individual to provide

the requested information (It is only mandatory when a Federal law or

E.O. of the President specifically imposes a requirement to furnish the

information and provides a penalty for failure to do so. If furnishing

information is a condition for granting a benefit or privilege

voluntarily sought by the individual, it is voluntary for the

individual to give the information.);

(iii) The principle purposes for collecting the information;

(iv) The routine uses that will be made of the information (i.e.,

to whom and why it will be disclosed outside the Department of

Defense); and

(v) The possible effects on the individual if the requested

information is not provided.

(3) The Privacy Act Statement must appear on the form used to

collect the information or on a separate form that can be retained by

the individual collecting the information. If the information is

collected by means other than a form completed by the individual, i.e.,

solicited over the telephone, the Privacy Act Statement should be read

to the individual and if requested by the individual, a copy sent to

him/her. There is no requirement that the individual sign the Privacy

Act Statement.

(e) Format for Privacy Act Statement. When forms are used to

collect information about individuals for a system of records, the

Privacy Act Statement shall appear as follows (listed in the order of

preference):

(1) Immediately below the title of the form,

(2) Elsewhere on the front page of the form (clearly indicating it

is the Privacy Act Statement),

(3) On the back of the form with a notation of its location below

the title of the form, or

(4) On a separate form which the individual may keep.

Sec. 701.109 Access to records.

(a) Individual access to records. (1) Right of access. Only

individuals who are subjects of records maintained in systems of

records and by whose personal identifiers the records are retrieved

have the right of individual access under this subpart and subpart G of

this part, unless they provide written authorization for their

representative to act on their behalf. Legal guardians or parents

acting on behalf of a minor child also have the right of individual

access under this subpart and subpart G of this part.

(2) Notification of record's existence. Each naval activity shall

establish procedures for notifying an individual, in response to his or

her request, if a system of records identified by him/her contains a

record pertaining to the individual.

(3) Individual request for access. Individuals shall address

requests for access to records in systems of records to the system

manager or the office designated in the Department of the Navy

compilation of system notices (periodic Chief of Naval Operations Notes

(OPNAVNOTEs) 5211, ``Current Privacy Act Issuances'').

(4) Verifying identity.

(i) An individual shall provide reasonable verification of identity

before obtaining access to records.

(ii) When requesting records in writing, naval activities may not

insist that a requester submit a notarized signature. The courts have

ruled that an alternative method of verifying identity must be

established for individuals who do not have access to notary services.

This alternative permits requesters to provide an unsworn declaration

that states ``I declare under perjury or penalty under the laws of the

United States of American that the foregoing is true and correct.''

(iii) When an individual seeks access in person, identification can

be verified by documents normally carried by the individual (i.e.,

identification card, driver's license, or other license, permit or pass

normally used for identification purposes).

(iv) When access is requested other than in writing, identity may

be verified by the individual's providing minimum identifying data such

as full name, date and place of birth, or other information necessary

to locate the record sought. If the information sought is sensitive,

additional identifying data may be required. Telephonic requests should

not be honored.

(v) Allow an individual to be accompanied by a person of his or her

choice when viewing the record; however, require the individual to

provide written authorization to have the record discussed in front of

the other person.

(vi) Do not deny access to an individual who is the subject of the

record solely for refusing to divulge his or her SSN, unless it is the

only means of retrieving the record or verifying identity.

(vii) Do not require the individual to explain why he or she is

seeking access to a record under this subpart and subpart G of this

part.

(viii) Only a designated denial authority may deny access. The

denial must be in writing and contain the information required by

Sec. 701.109(d).

(5) Blanket requests not honored. Do not honor requests from

individuals for notification and/or access concerning all Department of

the Navy systems of records. In these instances, notify the individual

that requests for notification and/or access must be directed to the

appropriate system manager for the particular record system being

requested, as indicated in the periodic Chief of Naval Operations Notes

(OPNAVNOTEs) 5211, ``Current Privacy Act Issuances''; and the request

must either designate the particular system of records to be searched,

or provide sufficient information for the system manager to identify

the appropriate system. Also, provide the individual with any other

information needed for obtaining consideration of his or her request.

(6) Granting individual access to records.

(i) Grant the individual access to the original record (or exact

copy) without any changes or deletions, other than those made in

accordance with Sec. 701.113.

(ii) Grant the individual's request for an exact copy of the

record, upon the signed authorization of the individual, and provide a

copy to anyone designated by the individual. In either case, the

copying fees may be assessed to the individual pursuant to

Sec. 701.109(b).

(iii) If requested, explain any record or portion of a record that

is not understood, as well as any changes or deletions.

(7) Illegible or incomplete records. Do not deny an individual

access solely because the physical condition or format of the record

does not make it readily available (i.e., when the record is in a

deteriorated state or on magnetic tape). Either prepare an extract or

recopy the document exactly.

(8) Access by parents and legal guardians.

(i) The parent of any minor, or the legal guardian of any

individual declared by a court of competent jurisdiction to be

incompetent due to physical or mental incapacity or age, may obtain

access to the record of the minor or incompetent individual if the

parent or legal guardian is acting on behalf or for the benefit of the

minor or incompetent. However, with respect to access by parents and

legal guardians to medical records and medical determinations about

minors, use the following procedures:

(A) In the United States, the laws of the state where the records

are located might afford special protection to certain medical records

(i.e., drug and alcohol abuse treatment, and psychiatric records). The

state statutes might apply even if the records are maintained by a

naval medical facility.

(B) For installations located outside the U.S., the parent or legal

guardian of a minor shall be denied access if all four of the following

conditions are met:

(1) The minor at the time of the treatment or consultation was 15,

16, or 17 years old;

(2) The treatment or consultation was within a program authorized

by law or regulation to provide confidentiality to the minor;

(3) The minor indicated a desire that the treatment or consultation

record be handled in confidence and not disclosed to a parent or

guardian; and

(4) The parent or legal guardian does not have the written

authorization of the minor or a valid court order granting access.

(ii) A minor or incompetent has the same right of access as any

other individual under this subpart and subpart G of this part. The

right of access of the parent or legal guardian is in addition to that

of the minor or incompetent.

(9) Access to information compiled in reasonable anticipation of a

civil proceeding.

(i) An individual is not entitled under this subpart and subpart G

of this part to access information compiled in reasonable anticipation

of a civil action or proceeding.

(ii) The term ``civil action or proceeding'' includes quasi-

judicial and pre-trial judicial proceedings, as well as formal

litigation.

(iii) Section 701.109(9)(i) and (ii) do not prohibit access to

records compiled or used for purposes other than litigation, nor

prohibit access to systems of records solely because they are

frequently subject to litigation. The information must have been

compiled for the primary purpose of litigation.

(10) Personal notes or records not under the control of the

Department of the Navy.

(i) Certain documents under the control of a Department of the Navy

employee and used to assist him/her in performing official functions

are not considered Department of the Navy records within the meaning of

this subpart and subpart G of this part. These documents are not

systems of records that are subject to this subpart and subpart G of

this part, if they are:

(A) Maintained and discarded solely at the discretion of the

author;

(B) Created only for the author's personal convenience;

(C) Not the result of official direction or encouragement, whether

oral or written; and

(D) Not shown to other persons for any reason or filed in agency

files.

(11) Relationship between the Privacy Act and FOIA. In some

instances, individuals requesting access to records pertaining to

themselves may not know which Act to cite as the appropriate statutory

authority. The following guidelines are to ensure that the individuals

receive the greatest degree of access under both Acts:

(i) Access requests that specifically state or reasonably imply

that they are made under 5 U.S.C. 552 (1988) as amended by the Freedom

of Information Reform Act of 1986, are processed under Secretary of the

Navy Instruction 5720.42E, ``Department of the Navy Freedom of

Information Act Program.''

(ii) Access requests that specifically state or reasonably imply

that they are made under 5 U.S.C. 552a are processed under this subpart

and subpart G of this part.

(iii) Access requests that cite both 5 U.S.C. 552a, as amended by

the Computer Matching Act of 1988 and 5 U.S.C. 552 (1988) as amended by

the Freedom of Information Reform Act are processed under the Act that

provides the greater degree of access. Inform the requester which

instruction was used in granting or denying access.

(iv) Do not penalize the individual access to his or her records

otherwise releasable under 5 U.S.C. 552a and periodic Chief of Naval

Operations Notes (OPNAVNOTEs) 5211, ``Current Privacy Act Issuances'',

simply because he or she failed to cite the appropriate statute or

instruction.

(12) Time Limits. Acknowledge requests for access made under

Privacy Act or this subpart and subpart G of this part within 10

working days after receipt, and advise the requester of your decision

to grant/deny access within 30 working days.

(b) Reproduction fees. Normally, only one copy of any record or

document will be provided. Checks or money orders for fees should be

made payable to the Treasurer of the United States and deposited to the

miscellaneous receipts of the treasury account maintained at the

finance office servicing the activity.

(1) Fee schedules shall include only the direct cost of

reproduction and shall not include costs of:

(i) Time or effort devoted to searching for or reviewing the record

by naval personnel;

(ii) Fees not associated with the actual cost of reproduction;

(iii) Producing a copy when it must be provided to the individual

without cost under another regulation, directive, or law;

(iv) Normal postage;

(v) Transportation of records or personnel; or

(vi) Producing a copy when the individual has requested only to

review the record and has not requested a copy to keep, and the only

means of allowing review is to make a copy (e.g., the record is stored

in a computer and a copy must be printed to provide individual access,

or the naval activity does not wish to surrender temporarily the

original record for the individual to review).

(2) Fee schedules.

(i) Office copy (per page)............$.10

(ii) Microfiche (per fiche)............$.25

(3) 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.

(c) Denying individual access. (1) Deny the record subject access

to requested record only if it was compiled in reasonable anticipation

of a civil action or proceeding or is in a system of records that has

been exempt from the access provisions of Sec. 701.113.

(2) Deny the individual access only to those portions of the record

for which the denial will serve a legitimate government purpose. An

individual may be refused access for failure to comply with established

procedural requirements, but must be told the specific reason for the

refusal and the proper access procedures.

(3) Deny the individual access to his or her medical and

psychological records if it is determined that access could have an

adverse affect on the mental or physical health of the individual. This

determination normally should be made in consultation with a medical

practitioner. If it is medically indicated that access could have an

adverse mental or physical effect on the individual, provide the record

to a medical practitioner named by the individual, along with an

explanation of why access without medical supervision could be harmful

to the individual. In any case, do not require the named medical

practitioner to request the record for the individual. If, however, the

individual refuses or fails to designate a medical practitioner, access

shall be refused. The refusal is not considered a denial for reporting

purposes under the Privacy Act.

(d) Notifying the individual. Written denial of access must be

given to the individual. The denial letter shall include:

(1) The name, title, and signature of a designated denial

authority;

(2) The date of the denial;

(3) The specific reason for the denial, citing the appropriate

subsections of 5 U.S.C. 552a or this subpart and subpart G of this part

authorizing the denial;

(4) The individual's right to appeal the denial within 60 calendar

days of the date the notice is mailed; and

(5) The title and address of the review authority.

Sec. 701.110 Amendment of records.

(a) Individual review and amendment. Encourage individuals to

review periodically, the information maintained about them in systems

of records, and to avail themselves of the amendment procedures

established by this subpart and subpart G of this part.

(1) Right to amend. An individual may request to amend any record

retrieved by his or her personal identifier from a system of records,

unless the system has been exempt from the amendment procedures under

this subpart. Amendments under this subpart and subpart G of this part

are limited to correcting factual matters, not matters of opinion

(i.e., information contained in evaluations of promotion potential or

performance appraisals). When records sought to be amended are covered

by another issuance, the administrative procedures under that issuance

must be exhausted before using the Privacy Act. In other words, the

Privacy Act may not be used to avoid the administrative procedures

required by the issuance actually covering the records in question.

(2) In writing. Amendment requests shall be in writing, except for

routine administrative changes, such as change of address.

(3) Content of amendment request. An amendment request must include

a description of the information to be amended; the reason for the

amendment; the type of amendment action sought (i.e., deletion,

correction, or addition); and copies of available documentary evidence

supporting the request.

(b) Burden of proof. The individual must provide adequate support

for the request.

(c) Verifying identity. The individual may be required to provide

identification to prevent the inadvertent or intentional amendment of

another's record. Use the verification guidelines provided in

Sec. 701.109(a)(4).

(d) Limits on amending judicial and quasi-judicial evidence and

findings. This subpart and subpart G of this part do not permit the

alteration of evidence presented in the course of judicial or quasi-

judicial proceedings. Amendments to such records must be made in

accordance with procedures established for such proceedings. This

subpart and subpart G of this part do not permit a collateral attack on

a judicial or quasi-judicial finding; however, this subpart and subpart

G of this part may be used to challenge the accuracy of recording the

finding in a system of records.

(e) Standards for amendment request determinations. The record

which the individual requests to be amended must meet the recordkeeping

standards established in Sec. 701.105. The record must be accurate,

relevant, timely, complete, and necessary. If the record in its present

state does not meet each of the criteria, grant the amendment request

to the extent necessary to meet them.

(f) Time limits. Within 10 working days of receiving an amendment

request, the systems manager shall provide the individual a written

acknowledgement of the request. If action on the amendment request is

completed within the 10 working days and the individual is so informed,

no separate acknowledgment is necessary. The acknowledgment must

clearly identify the request and advise the individual when to expect

notification of the completed action. Only under exceptional

circumstances should more than 30 working days be required to complete

the action on an amendment request.

(g) Granting an amendment request in whole or in part. (1) Notify

the requester. To the extent the amendment request is granted, the

systems manager shall notify the individual and make the appropriate

amendment.

(2) Notify previous recipients. Notify all previous recipients of

the information (as reflected in the disclosure accounting record) that

the amendment has been made and provide each a copy of the amended

record. Recipients who are known to be no longer retaining the record

need not be advised of the amendment. If it is known that other naval

activities, DoD components, or Federal agencies have been provided the

information that now requires amendment, or if the individual requests

that these agencies be notified, provide the notification of amendment

even if those activities or agencies are not listed on the disclosure

accounting form.

(h) Denying an amendment request in whole or in part. If the

amendment request is denied in whole or in part, promptly notify the

individual in writing. Include in the notification to the individual

the following:

(1) Those sections of 5 U.S.C. 552a or this subpart and subpart G

of this part upon which the denial is based;

(2) His or her right to appeal to the head of the activity for an

independent review of the initial denial;

(3) The procedures for requesting an appeal, including the title

and address of the official to whom the appeal should be sent; and

(4) Where the individual can receive assistance in filing the

appeal.

(i) Requests for amending OPM records. The records in an OPM

government-wide system of records are only temporarily in the custody

of naval activities. Requests for amendment of these records must be

processed in accordance with OPM Regulations and the Federal Personnel

Manual. The denial authority may deny a request, but all denials are

subject to review by the Assistant Director for Workforce Information,

Personnel Systems Oversight Group, Office of Personnel Management, 1900

E Street, NW, Washington, DC 20415.

(j) Individual's statement of disagreement. (1) If the review

authority refuses to amend the record as requested, the individual may

submit a concise statement of disagreement listing the reasons for

disagreeing with the refusal to amend.

(2) If possible, incorporate the statement of disagreement into the

record. If that is not possible, annotate the record to reflect that

the statement was filed and maintain the statement so that it can be

readily obtained when the disputed information is used or disclosed.

(3) Furnish copies of the statement of disagreement to all

individuals listed on the disclosure accounting form (except those

known to be no longer retaining the record), as well as to all other

known holders of copies of the record.

(4) Whenever the disputed information is disclosed for any purpose,

ensure that the statement of disagreement also is used or disclosed.

(k) Department of the Navy statement of reasons. (1) If the

individual files a statement of disagreement, the naval activity may

file a statement of reasons containing a concise summary of the

activity's reasons for denying the amendment request.

(2) The statement of reasons shall contain only those reasons given

to the individual by the appellate official and shall not contain any

comments on the individual's statement of disagreement.

(3) At the discretion of the naval activity, the statement of

reasons may be disclosed to those individuals, activities, and agencies

that receive the statement of disagreement.

Sec. 701.111 Privacy Act appeals.

(a) How to file an appeal. The following guidelines shall be

followed by individuals wishing to appeal a denial of notification,

access, or amendment of records.

(1) The appeal must be received by the cognizant review authority

(i.e., ASN (M&RA), NJAG, OGC, or OPM) within 60 calendar days of the

date of the response.

(2) The appeal must be in writing and requesters should provide a

copy of the denial letter and a statement of their reasons for seeking

review.

(b) Time of receipt. The time limits for responding to an appeal

commence when the appeal reaches the office of the review authority

having jurisdiction over the record. Misdirected appeals should be

referred expeditiously to the proper review authority.

(c) Review authorities. ASN (M&RA), NJAG, and OGC are authorized to

adjudicate appeals made to SECNAV. NJAG and OGC are further authorized

to delegate this authority to a designated Assistant NJAG and the

Principal Deputy General or Deputy General Counsel, respectively, under

such terms and conditions as they deem appropriate.

(1) If the record is from a civilian Official Personnel Folder or

is contained on any other OPM forms, send the appeal to the Assistant

Director for Workforce Information, Personnel Systems and Oversight

Group, Office of Personnel Management, 1900 E Street, NW, Washington,

DC 20415. Records in all systems of records maintained in accordance

with the OPM government-wide systems notices are only in the temporary

custody of the Department of the Navy.

(2) If the record pertains to the employment of a present or former

Navy and Marine Corps civilian employee, such as Navy or Marine Corps

civilian personnel records or an employee's grievance or appeal file,

to the General Counsel, Navy Department, Washington, DC 20360-5110.

(3) If the record pertains to a present or former military member's

fitness reports or performance evaluations to the Assistant Secretary

of the Navy (Manpower and Reserve Affairs), Navy Department,

Washington, DC 20350-1000.

(4) All other records dealing with present or former military

members to the Judge Advocate General, Navy Department, 200 Stovall

Street, Alexandria, VA 22332-2400.

(d) Appeal procedures. (1) If the appeal is granted, the review

authority shall advise the individual that his or her appeal has been

granted and provide access to the record being sought.

(2) If the appeal is denied totally or in part, the appellate

authority shall advise the reason(s) for denying the appeal, citing the

appropriate subsections of 5 U.S.C. 552a or this subpart and subpart G

of this part that apply; the date of the appeal determination; the

name, title, and signature of the appellate authority; and a statement

informing the requester of his or her right to seek judicial relief in

the Federal District Court.

(e) Final action, time limits and documentation. (1) The written

appeal notification granting or denying access is the final naval

activity action on the initial request for access.

(2) All appeals shall be processed within 30 working days of

receipt, unless the appellate authority finds that an adequate review

cannot be completed within that period. If additional time is needed,

notify the applicant in writing, explaining the reason for the delay

and when the appeal will be completed.

(f) Denial of appeal by activity's failure to act. An individual

may consider his or her appeal denied if the appellate authority fails

to:

(1) Take final action on the appeal within 30 working days of

receipt when no extension of time notice was given; or

(2) Take final action within the period established by the notice

to the appellate authority of the need for an extension of time to

complete action on the appeal.

Sec. 701.112 Disclosure of records.

(a) Conditions of disclosure. (1) 5 U.S.C. 552a prohibits an agency

from disclosing any record contained in a system of records to any

person or agency, except when the record subject gives written consent

for the disclosure or when one of the 12 conditions listed below in

this subsection applies.

(2) Except for disclosures made under 5 U.S.C. 552 (1988) as

amended by the Freedom of Information Reform Act of 1986 and Secretary

of the Navy Instruction 5720.42E, ``Department of the Navy Freedom of

Information Act Program,'' before disclosing any record from a system

of records to any recipient other than a Federal agency, make

reasonable efforts to ensure the record is accurate, relevant, timely,

and complete for Department of the Navy purposes. Records discovered to

have been improperly filed in the system of records should be removed

before disclosure.

(i) If validation cannot be obtained from the record itself, the

naval activity may contact the record subject (if reasonably available)

to verify the accuracy, timeliness, completeness, and relevancy of the

information.

(ii) If validation cannot be obtained from the record and the

record subject is not reasonably available, advise the recipient that

the information is believed to be valid as of a specific date and

reveal any factors bearing on the validity of the information.

(b) Nonconsensual disclosures. 5 U.S.C. 552a provides 12 instances

when a record in a system of records may be disclosed without the

written consent of the record subject:

(1) Disclosures within the Department of Defense. For purposes of

disclosing records, the Department of Defense is considered a single

agency; hence, a record may be disclosed to any officer or employee in

the Department of Defense (including private contractor personnel who

are engaged to perform services needed in connection with the operation

of a system of records for a DoD component), who have a need for the

record in the performance of their duties, provided this use is

compatible with the purpose for which the record is maintained. This

provision is based on the ``need to know'' concept.

(i) For example, this may include disclosure to personnel managers,

review boards, discipline officers, courts-martial personnel, medical

officers, investigating officers, and representatives of the Judge

Advocate General, Auditor General, Naval Inspector General, or the

Naval Investigative Service, who require the information in order to

discharge their official duties. Examples of personnel outside the

Department of the Navy who may be included are: Personnel of the Joint

Staff, Armed Forces Entrance and Examining Stations, Defense

Investigative Service, or the other military departments, who require

the information in order to discharge an official duty.

(ii) It may also include the transfer of records between naval

components and non-DoD agencies in connection with the Personnel

Exchange Program (PEP) and interagency support agreements. Disclosure

accountings are not required for intra-agency disclosure and

disclosures made in connection with interagency support agreements or

the PEP. Although some disclosures authorized by this paragraph might

also meet the criteria for disclosure under other exceptions specified

in the following paragraphs of this section, they should be treated

under this paragraph for disclosure accounting purposes.

(2) Disclosures required by the FOIA.

(i) A record must be disclosed if required by 5 U.S.C. 552 (1988)

as amended by the Freedom of Information Reform Act of 1986, which is

implemented by Secretary of the Navy Instruction 5720.42E, ``Department

of the Navy Freedom of Information Act Program.''

(ii) 5 U.S.C. 552 (1988) as amended by the Freedom of Information

Reform Act of 1986 and Secretary of the Navy Instruction 5720.42E,

``Department of the Navy Freedom of Information Act Program'' require

that records be made available to any person requesting them in

writing, unless the record is exempt from disclosure under one of the

nine FOIA exemptions. Therefore, if a record is not exempt from

disclosure, it must be provided to the requester.

(iii) Certain records, such as personnel, medical, and similar

files, are exempt from disclosure under exemption (b)(6) of 5 U.S.C.

552 (1988) as amended by the Freedom of Information Act Reform Act of

1986. Under that exemption, disclosure of information pertaining to an

individual can be denied only when the disclosure would be a clearly

unwarranted invasion of personal privacy. The first step is to

determine whether a viable personal privacy interest exists in these

records involving an identifiable living person. The second step is to

consider how disclosure would benefit the general public in light of

the content and context of the information in question. The third step

is to determine whether the identified public interests qualify for

consideration. The fourth step is to balance the personal privacy

interests against the qualifying public interest. Numerous factors must

be considered such as: The nature of the information to be disclosed

(i.e., Do individuals normally have an expectation of privacy in the

type of information to be disclosed?); importance of the public

interest served by the disclosure and probability of further disclosure

which may result in an unwarranted invasion of privacy; relationship of

the requester to the public interest being served; newsworthiness of

the individual to whom the information pertains (i.e., high ranking

officer, public figure); degree of sensitivity of the information from

the standpoint of the individual or the individual's family, and its

potential for being misused to the harm, embarrassment, or

inconvenience of the individual or the individual's family; the passage

of time since the event which is the topic of the record (i.e., to

disclose that an individual has been arrested and is being held for

trial by court-martial is normally permitted, while to disclose an

arrest which did not result in conviction might not be permitted after

the passage of time); and the degree to which the information is

already in the public domain or is already known by the particular

requester.

(iv) Records or information from investigatory records, including

personnel security investigatory records, are exempt from disclosure

under the broader standard of ``an unwarranted invasion of personal

privacy'' found in exemption (b)(7)(C) of 5 U.S.C. 552. This broader

standard applies only to records or information compiled for law

enforcement purposes.

(v) A disclosure under 5 U.S.C. 552 about military members must be

in accordance with Secretary of the Navy Instruction 5720.42E,

``Department of the Navy Freedom of Information Act Program'', but the

following information normally may be disclosed from military personnel

records (except for those personnel assigned to sensitive or routinely

deployable units, or located in a foreign territory), without a clearly

unwarranted invasion of personal privacy: Full name, rank, date of

rank, base pay, past duty stations, present duty station and future

duty station (if finalized), unless the stations have been determined

by the Department of the Navy to be sensitive, routinely deployable, or

located in a foreign territory, office or duty telephone number, source

of commission, promotion sequence number, awards and decorations,

attendance at professional military schools, and duty status at any

given time.

(vi) The following information normally may be disclosed from

civilian employee records about CONUS employees: Full name, present and

past position titles and occupational series, present and past grades,

present and past annual salary rates (including performance awards or

bonuses, incentive awards, merit pay amount, Meritorious and

Distinguished Executive Ranks, and allowances and differentials), past

duty stations, present duty station and future duty station (if

finalized), including room numbers, shop designations, or other

identifying information regarding buildings or places of employment,

unless the duty stations have been determined by the Department of the

Navy to be sensitive, routinely deployable, or located in a foreign

territory, position descriptions, identification of job elements, and

those performance standards (but not actual performance appraisals)

that the disclosure of which would not interfere with law enforcement

programs or severely inhibit Department of the Navy effectiveness.

(viii) Disclosure of home addresses and home telephone numbers

normally is considered a clearly unwarranted invasion of personal

privacy and is prohibited. However, they may be disclosed if the

individual has consented to the disclosure; the disclosure is required

by the FOIA; the disclosure is required by another law, such as 42

U.S.C. 653, which provides assistance to states in locating parents who

have defaulted on child support payments, or the collection of alimony,

and to state and local tax authorities for the purpose of enforcing tax

laws. However, care must be taken prior to release to ensure that a

written record is prepared to document the reasons for the release

determination.

(A) When compiling home addresses and telephone numbers, the

individual may be offered the option of authorizing disclosure of the

information without further consent for specific purposes, such as

locator services. In that case, the information may be disclosed for

the stated purpose without further consent. If the information is to be

disclosed for any other purpose, a signed consent permitting the

additional disclosure must be obtained from the individual.

(B) Before listing home addresses and telephone numbers in

Department of the Navy telephone directories, give the individual the

opportunity to refuse such a listing. If the individual requests that

the home address or telephone number not be listed in the directory, do

not assess any additional fee associated with maintaining an unlisted

number for government-owned telephone services.

(C) The sale or rental of lists of names and addresses is

prohibited unless such action is specifically authorized by Federal

law. This does not prohibit the disclosure of names and addresses made

under Secretary of the Navy Instruction 5720.42E, ``Department of the

Navy Freedom of Information Act Program.''

(D) In response to FOIA requests, information concerning special

and general courts-martial results (e.g., records of trial) are

releasable. However, information regarding summary courts-martial and

non-judicial punishment are generally not releasable. The balancing of

interests must be done. It is possible that in a particular case,

information regarding non-judicial punishment should be disclosed

pursuant to a FOIA request (i.e., the facts leading to a nonjudicial

punishment are particularly newsworthy or the case involves a senior

official abusing the public trust through office-related misconduct,

such as embezzlement). Announcement of nonjudicial punishment

dispositions under JAGMAN, subsection 0107, is a proper exercise of

command authority and not a release of information under FOIA or this

subpart and subpart G of this part. Exceptions to this policy must be

coordinated with CNO (N09B30) or CMC (MI-3) prior to responding to

requesters, including all requests for this type of information from

members of Congress.

(3) Disclosures for established routine uses.

(i) Records may be disclosed outside the Department of the Navy if

the disclosure is for an established routine use.

(ii) A routine use shall:

(A) Be compatible with and related to the purpose for which the

record was created;

(B) Identify the persons or organizations to whom the record may be

disclosed;

(C) Identify specifically the uses for which the information may be

employed by the receiving person or organization; and

(D) Have been published previously in the Federal Register.

(iii) A routine use shall be established for each user of the

information outside the Department of the Navy who needs the

information for an official purpose.

(iv) Routine uses may be established, discontinued, or amended

without the consent of the individuals to whom the records pertain.

However, new and amended routine uses must be published in the Federal

Register at least 30 days before the information may be disclosed under

their provisions.

(v) In addition to the routine uses established by the Department

of the Navy for each system of records, common ``Blanket Routine

Uses,'' applicable to all record systems maintained with the Department

of the Navy, have been established. These ``Blanket Routine Uses'' are

published at the beginning of the Department of the Navy's Federal

Register compilation of record systems notices rather than at each

system notice and are also reflected in periodic Chief of Naval

Operations Notes (OPNAVNOTEs) 5211, ``Current Privacy Act Issuances.''

Unless a system notice specifically excludes a system of records from a

``Blanket Routine Use,'' all ``Blanket Routine Uses'' apply to that

system.

(vi) If the recipient has not been identified in the Federal

Register or if the recipient, though identified, intends to employ the

information for a purpose not published in the Federal Register, the

written consent of the individual is required before the disclosure can

be made.

(4) Disclosures to the Bureau of the Census. Records may be

disclosed to the Bureau of the Census for purposes of planning or

carrying out a census, survey, or related activities authorized by 13

U.S.C. 8.

(5) Disclosures for statistical research or reporting. Records may

be disclosed to a recipient for statistical research or reporting if:

(i) Prior to the disclosure, the recipient has provided adequate

written assurance that the records shall be used solely for statistical

research or reporting; and

(ii) The records are transferred in a form that does not identify

individuals.

(6) Disclosures to the National Archives and Records

Administration.

(i) Records may be disclosed to the National Archives and Records

Administration for evaluation to determine whether the records have

sufficient historical or other value to warrant preservation by the

Federal government. If preservation is warranted, the records will be

retained by the National Archives and Record Administration, which

becomes the official owner of the records.

(ii) Records may be disclosed to the National Archives and Records

Administration to carry out records management inspections required by

Federal law.

(iii) Records transferred to a Federal Records Center operated by

the National Archives and Records Administration for storage are not

within this category. Those records continue to be maintained and

controlled by the transferring naval activity. The Federal Records

Center is considered the agent of Department of the Navy and the

disclosure is made under Sec. 701.112(b)(1).

(7) Disclosures when requested for law enforcement purposes.

(i) A record may be disclosed to another agency or an

instrumentality of any governmental jurisdiction within or under the

control of the U.S. for a civil or criminal law enforcement activity

if:

(A) The civil or criminal law enforcement activity is authorized by

law (federal, state or local); and

(B) The head of the agency (or his or her designee) has made a

written request to the naval activity specifying the particular record

or portion desired and the law enforcement purpose for which it is

sought.

(ii) Blanket requests for any and all records pertaining to an

individual shall not be honored. The requesting agency must specify

each record or portion desired and how each relates to the authorized

law enforcement activity.

(iii) If a naval activity discloses a record outside the Department

of Defense for law enforcement purposes without the individual's

consent and without an adequate written request, the disclosure must be

under an established routine use, such as the ``Blanket Routine Use''

for law enforcement.

(iv) Disclosure to foreign law enforcement agencies is not governed

by the provisions of 5 U.S.C. 552a and this paragraph, but may be made

only under established ``Blanket Routine Uses,'' routine uses published

in the individual record system notice, or to other governing

authority.

(8) Disclosure to protect the health or safety of an individual.

Disclosure may be made under emergency conditions involving

circumstances affecting the health and safety of an individual (i.e.,

when the time required to obtain the consent of the individual to whom

the records pertain might result in a delay which could impair the

health or safety of a person) provided notification of the disclosure

is sent to the record subject. Sending the notification to the last

known address is sufficient. In instances where information is

requested by telephone, an attempt will be made to verify the

inquirer's and medical facility's identities and the caller's telephone

number. The requested information, if then considered appropriate and

of an emergency nature, may be provided by return call.

(9) Disclosures to Congress.

(i) A record may be disclosed to either House of Congress at the

request of either the Senate or House of Representatives as a whole.

(ii) A record also may be disclosed to any committee, subcommittee,

or joint committee of Congress if the disclosure pertains to a matter

within the legislative or investigative jurisdiction of the committee,

subcommittee, or joint committee.

(iii) Disclosure may not be made to a Member of Congress requesting

in his or her individual capacity. However, for Members of Congress

making inquiries on behalf of individuals who are subjects of records,

a ``Blanket Routine Use'' has been established to permit disclosures to

individual Members of Congress.

(A) When responding to a congressional inquiry made on behalf of a

constituent by whose identifier the record is retrieved, there is no

need to verify that the individual has authorized the disclosure to the

Member of Congress.

(B) The oral or written statement of a Congressional staff member

is sufficient to establish that a request has been received from the

individual to whom the record pertains.

(C) If the constituent inquiry is made on behalf of an individual

other than the record subject, provide the Member of Congress only that

information releasable under 5 U.S.C. 552. Advise the Member of

Congress that the written consent of the record subject is required

before additional information may be disclosed. Do not contact the

record subject to obtain consent for the disclosure to the Member of

Congress unless the Congressional office specifically requests it be

done.

(10) Disclosures to the Comptroller General for the General

Accounting Office (GAO). Records may be disclosed to the Comptroller

General of the U.S., or authorized representative, in the course of the

performance of the duties of the GAO.

(11) Disclosures under court orders.

(i) Records may be disclosed under the order of a court of

competent jurisdiction.

(ii) When a record is disclosed under this provision and the

compulsory legal process becomes a matter of public record, make

reasonable efforts to notify the individual to whom the record

pertains. Notification sent to the last known address of the individual

is sufficient. If the order has not yet become a matter of public

record, seek to be advised as to when it will become public. Neither

the identity or the party to whom the disclosure was made nor the

purpose of the disclosure shall be made available to the record subject

unless the court order has become a matter of public record.

(iii) The court order must bear the signature of a federal, state,

or local judge. Orders signed by court clerks or attorneys are not

deemed to be orders of a court of competent jurisdiction. A photocopy

of the order, regular on its face, will be sufficient evidence of the

court's exercise of its authority of the minimal requirements of

SECNAVINST 5820.8A\9\, ``Release of Official Information for Litigation

Purposes and Testimony by Department of the Navy Personnel.''

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\9\Copies available from the Judge Advocate General, Navy

Department, (Code 34), 200 Stovall Street, Alexandria, VA 22332-

2400.

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(12) Disclosures to consumer reporting agencies. Certain

information may be disclosed to consumer reporting agencies (i.e.,

credit reference companies such as TRW and Equifax, etc.) as defined by

the Federal Claims Collection Act of 1966 (31 U.S.C. 952d). Under the

provisions of that Act, the following information may be disclosed to a

consumer reporting agency:

(i) Name, address, taxpayer identification number (SSN), and other

information necessary to establish the identity of the individual;

(ii) The amount, status, and history of the claim; and

(iii) The agency or program under which the claim arose. 31 U.S.C.

952d specifically requires that the Federal Register notice for the

system of records from which the information will be disclosed indicate

that the information may be disclosed to a consumer reporting agency.

(c) Disclosures to commercial enterprises. Records may be disclosed

to commercial enterprises only under the criteria established by

Secretary of the Navy Instruction 5720.42E and 42 U.S.C. 653, Parent

Locator Service for Enforcement of Child Support.

(1) Any information required to be disclosed by Secretary of the

Navy Instruction 5720.42E and 42 U.S.C. 653, Parent Locator Service for

Enforcement of Child Support may be disclosed to a requesting

commercial enterprise.

(2) Commercial enterprises may present a consent statement signed

by the individual indicating specific conditions for disclosing

information from a record. Statements such as the following, if signed

by the individual, are considered sufficient to authorize the

disclosure: I hereby authorize the Department of the Navy to verify my

SSN or other identifying information and to disclose my home address

and telephone number to authorized representatives of (name of

commercial enterprise) to be used in connection with my commercial

dealings with that enterprise. All information furnished will be used

in connection with my financial relationship with (name of commercial

enterprise).

(3) When a consent statement as described in the preceding

subsection is presented, provide the information to the commercial

enterprise, unless the disclosure is prohibited by another regulation

or Federal law.

(4) Blanket consent statements that do not identify the Department

of Defense or Department of the Navy, or that do not specify exactly

the information to be disclosed, may be honored if it is clear that the

individual, in signing the consent statement, was seeking a personal

benefit (i.e., loan for a house or automobile) and was aware of the

type of information necessary to obtain the benefit sought.

(5) Do not honor requests from commercial enterprises for official

evaluations of personal characteristics such as personal financial

habits.

(d) Disclosure of Health Care Records to the Public. This paragraph

applies to disclosure of information to the news media and the public

concerning individuals treated or hospitalized in Department of the

Navy medical facilities and, when the cost of care is paid by the

Department of the Navy, in non-Federal facilities.

(1) Disclosures without the individual's consent. Normally, the

following information may be disclosed without the individual's

consent:

(i) Information required to be released by Secretary of the Navy

Instruction 5720.42E and OPM Regulations and the Federal Personnel

Manual, as well as the information listed in Sec. 701.112(b)(2)(v) for

military personnel and in Sec. 701.112(b)(2).

(ii) For civilian employees; and

(iii) General information concerning medical conditions, i.e., date

of admission or disposition; present medical assessment of the

individual's condition if the medical practitioner has volunteered the

information, i.e., the individual's condition presently is (stable)

(good) (fair) (serious) (critical), and the patient is (conscious)

(semi-conscious) (unconscious).

(2) Disclosures with the individual's consent. With the

individual's informed consent, any information about the individual may

be disclosed. If the individual is a minor or has been declared

incompetent by a court of competent jurisdiction, the parent of the

minor or appointed legal guardian of the incompetent may give consent

on behalf of the individual.

(e) Disclosure of Personal Information on Group/Bulk Orders. Do not

use personal information including complete SSNs, home addresses and

phone numbers, dates of birth, etc., on group/bulk orders. This

personal information should not be posted on lists that everyone listed

on the orders sees. Such a disclosure of personal information violates

the Privacy Act and this subpart and subpart G of this part.

(f) Disclosure Accounting. Keep an accurate record of all

disclosures made from a record (including those made with the consent

of the individual) except those made to DoD personnel for use in

performing their official duties; and those made under the FOIA.

Disclosure accounting is to permit the individual to determine what

agencies or persons have been provided information from the record,

enable Department of the Navy activities to advise prior recipients of

the record of any subsequent amendments or statements of dispute

concerning the record, and provide an audit trial of Department of the

Navy's compliance with 5 U.S.C. 552a.

(1) Disclosure accountings shall contain the date of the

disclosure; a description of the information disclosed; the purpose of

the disclosure; and the name and address of the person or agency to

whom the disclosure was made.

(2) The record subject has the right of access to the disclosure

accounting except when the disclosure was made at the request of a

civil or criminal law enforcement agency under Sec. 701.112(b)(7); or

when the system of records has been exempted from the requirement to

provide access to the disclosure accounting.

(g) Methods of disclosure accounting. Since the characteristics of

various records maintained within the Department of the Navy vary

widely, no uniform method for keeping disclosure accountings is

prescribed. The primary criteria are that the selected method be one

which will:

(1) Enable an individual to ascertain what persons or agencies have

received disclosures pertaining to him/her;

(2) Provide a basis for informing recipients of subsequent

amendments or statements of dispute concerning the record; and

(3) Provide a means to prove, if necessary that the activity has

complied with the requirements of 5 U.S.C. 552a and this subpart and

subpart G of this part.

(h) Retention of Disclosure Accounting. Maintain a disclosure

accounting of the life of the record to which the disclosure pertains,

or 5 years after the date of the disclosure, whichever is longer.

Disclosure accounting records are normally maintained with the record,

as this will ensure compliance with Sec. 701.112(f).

Sec. 701.113 Exemptions.

(a) Using exemptions. No system of records is automatically exempt

from all provisions of 5 U.S.C. 552a. A system of records is exempt

from only those provisions of 5 U.S.C. 552a that are identified

specifically in the exemption rule for the system. Subpart G of this

part contains the systems designated as exempt, the types of exemptions

claimed, the authority and reasons for invoking the exemptions and the

provisions of 5 U.S.C. 552a from which each system has been exempt.

Exemptions are discretionary on the part of Department of the Navy and

are not effective until published as a final rule in the Federal

Register. The naval activity maintaining the system of records shall

make a determination that the system is one for which an exemption may

be established and then propose an exemption rule for the system.

Submit the proposal to CNO (N09B30) for approval and publication in the

Federal Register.

(b) Types of exemptions. There are two types of exemptions

permitted by 5 U.S.C. 552a.

(1) General exemptions. Those that authorize the exemption of a

system of records from all but specifically identified provisions of 5

U.S.C. 552a.

(2) Specific exemptions. Those that allow a system of records to be

exempt from only a few designated provisions of 5 U.S.C. 552a.

(c) Establishing exemptions. (1) 5 U.S.C. 552a authorizes the

Secretary of the Navy to adopt rules designating eligible systems of

records as exempt from certain requirements. The Secretary of the Navy

has delegated the CNO (N09B30) to make a determination that the system

is one for which an exemption may be established and then propose and

establish an exemption rule for the system. No system of records within

Department of the Navy shall be considered exempt until the CNO

(N09B30) has approved the exemption and an exemption rule has been

published as a final rule in the Federal Register. A system of records

is exempt from only those provisions of 5 U.S.C. 552a that are

identified specifically in the Department of the Navy exemption rule

for the system.

(2) No exemption may be established for a system of records until

the system itself has been established by publishing a notice in the

Federal Register, at least 30 days prior to the effective date,

describing the system. This allows interested persons an opportunity to

comment. An exemption may not be used to deny an individual access to

information that he or she can obtain under Secretary of the Navy

Instruction 5720.42E, ``Department of the Navy Freedom of Information

Act Program.''

(d) Exemption for classified material. All systems of records

maintained by the Department of the Navy shall be exempt under section

(k)(1) of 5 U.S.C. 552a, to the extent that the systems contains any

information properly classified under E.O. 12356 and that is required

by that E.O. to be kept secret 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.

Note: Department of the Navy Privacy Act systems of records which

contain classified information automatically qualify for a (k)(1)

exemption, without establishing an exemption rule.

(e) Exempt records in nonexempt systems. (1) An exemption rule

applies to the system of records for which it was established. If a

record from an exempt system is incorporated intentionally into a

system that has not been exempt, the published notice and rules for the

nonexempt system will apply to the record and it will not be exempt

from any provisions of 5 U.S.C. 552a.

(2) A record from one component's (i.e., Department of the Navy)

exempted system that is temporarily in the possession of another

component (i.e., Army) remains subject to the published system notice

and rules of the originating component's (i.e., Department of the

Navy). However, if the non-originating component incorporates the

record into its own system of records, the published notice and rules

for the system into which it is incorporated shall apply. If that

system of records has not been exempted, the record shall not be exempt

from any provisions of 5 U.S.C. 552a.

(3) A record accidentally misfiled into a system of records is

governed by the published notice and rules for the system of records in

which it actually should have been filed.

(f) General exemptions-- (1) Central Intelligence Agency (CIA). The

Department of the Navy is not authorized to establish an exemption for

records maintained by the CIA under subsection (j)(1) of 5 U.S.C. 552a.

(2) Law enforcement. (i) The general exemption provided by

subsection (j)(2) of 5 U.S.C. 552a may be established to protect

criminal law enforcement records maintained by Department of the Navy.

(ii) To be eligible for the (j)(2) exemption, the system of records

must be maintained by an element that performs, as one of its principal

functions, the enforcement of criminal laws. The Naval Investigative

Service, Naval Inspector General, and military police activities

qualify for this exemption.

(iii) Criminal law enforcement includes police efforts to detect,

prevent, control, or reduce crime, or to apprehend criminals, and the

activities of prosecution, court, correctional, probation, pardon, or

parole authorities.

(iv) Information that may be protected under the (j)(2) exemption

includes:

(A) Information compiled for the purpose of identifying criminal

offenders and alleged criminal offenders consisting of only identifying

data and notations of arrests; the nature and disposition of criminal

charges; and sentencing, confinement, release, parole, and probation

status;

(B) Information compiled for the purpose of a criminal

investigation, including reports of informants and investigators, and

associated with an identifiable individual; and

(C) Reports identifiable to an individual, compiled at any stage of

the enforcement process, from arrest, apprehension, indictment, or

preferral of charges through final release from the supervision that

resulted from the commission of a crime.

(v) The (j)(2) exemption does not apply to:

(A) Investigative records maintained by a naval activity having no

criminal law enforcement duties as one of its principle functions, or

(B) Investigative records compiled by any element concerning

individual's suitability, eligibility, or qualification for duty,

employment, or access to classified information, regardless of the

principle functions of the naval activity that compiled them.

(vi) The (j)(2) exemption established for a system of records

maintained by a criminal law enforcement activity cannot protect law

enforcement records incorporated into a nonexempt system of records or

any system of records maintained by an activity not principally tasked

with enforcing criminal laws. All system managers, therefore, are

cautioned to comply strictly with Department of the Navy regulations or

instructions prohibiting or limiting the incorporation of criminal law

enforcement records into systems other than those maintained by

criminal law enforcement activities.

(g) Specific exemptions. Specific exemptions permit certain

categories of records to be exempted from specific provisions of 5

U.S.C. 552a. Subsections (k)(1)-(7) of 5 U.S.C. 552a allow exemptions

for seven categories of records. To be eligible for a specific

exemption, the record must meet the corresponding criteria.

Note: Department of the Navy Privacy Act systems of records which

contain classified information automatically qualify for a (k)(1)

exemption, without an established exemption rule.

(1) (k)(1) exemption: Information properly classified under

Secretary of the Navy Instruction 5720.42E, ``Department of the Navy

Freedom of Information Act Program'' and E.O. 12356, in the interest of

national defense or foreign policy.

(2) (k)(2) exemption: Investigatory information (other than that

information within the scope of Sec. 701.113(f)(2) compiled for law

enforcement purposes. If maintaining the information causes an

individual to be ineligible for or denied any right, benefit, or

privilege that he or she would otherwise be eligible for or entitled to

under Federal law, then he or she shall be given access to the

information, except for the information that would identify a

confidential source (see Sec. 701.113(h), ``confidential source'').

The (k)(2) exemption, when established, allows limited protection on

investigative records maintained for use in personnel and

administrative actions.

(3) (k)(3) exemption: Records maintained in connection with

providing protective services to the President of the United States and

other individuals under 18 U.S.C. 3056.

(4) (k)(4) exemption: Records required by Federal law to be

maintained and used solely as statistical records that are not used to

make any determination about an identifiable individual, except as

provided by 13 U.S.C. 8.

(5) (k)(5) 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, but only to the extent such

material would reveal the identity of a confidential source. (See

Sec. 701.113(h), ``confidential source''). This exemption allows

protection of confidential sources in background investigations,

employment inquiries, and similar inquiries used in personnel screening

to determine suitability, eligibility, or qualifications.

(6) (k)(6) 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 testing or examination process.

(7) (k)(7) exemption: Evaluation material used to determine

potential for promotion in the military services, but only to the

extent that disclosure would reveal the identity of a confidential

source. (See Sec. 701.113(h), ``confidential source''.)

(h) Confidential Source. Promises of confidentiality are to be

given on a limited basis and only when essential to obtain the

information sought. Establish appropriate procedures for granting

confidentiality and designate those categories of individuals

authorized to make such promises.

Sec. 701.114 Enforcement actions.

(a) Administrative remedies. An individual who alleges he or she

has been affected adversely by a naval activity's violation of 5 U.S.C.

552a or this subpart and subpart G of this part shall be permitted to

seek relief from SECNAV through proper administrative channels.

(b) Civil court actions. After exhausting all administrative

remedies, an individual may file suit in Federal court against a naval

activity for any of the following acts:

(1) Denial of an amendment request. The activity head, or his or

her designee wrongfully refuses the individual's request for review of

the initial denial of an amendment or, after review, wrongfully refuses

to amend the record;

(2) Denial of access. The activity wrongfully refuses to allow the

individual to review the record or wrongfully denies his or her request

for a copy of the record;

(3) Failure to meet recordkeeping standards. The activity fails to

maintain an individual's record with the accuracy, relevance,

timeliness, and completeness necessary to assure fairness in any

determination about the individual's rights, benefits, or privileges

and, in fact, makes an adverse determination based on the record; or

(4) Failure to comply with Privacy Act. The activity fails to

comply with any other provision of 5 U.S.C. 552a or any rule or

regulation promulgated under 5 U.S.C. 552a and thereby causes the

individual to be adversely affected.

(c) Criminal penalties. Subsection (i)(1) of 5 U.S.C. 552a

authorizes three criminal penalties against individuals for violations

of its provisions. All three are misdemeanors punishable by fines of

$5,000.

(1) Wrongful disclosure. Any member or employee of Department of

the Navy who, by virtue of his or her employment or position, has

possession of or access to records and willfully makes a disclosure

knowing that disclosure is in violation of 5 U.S.C. 552a or this

subpart and subpart G of this part.

(2) Maintaining unauthorized records. Any member or employee of

Department of the Navy who willfully maintains a system of records for

which a notice has not been published under periodic Chief of Naval

Operations Notes (OPNAVNOTEs) 5211, ``Current Privacy Act Issuances.''

(3) Wrongful requesting or obtaining records. Any person who

knowingly and willfully requests or obtains information concerning an

individual under false pretenses.

Sec. 701.115 Computer matching program.

(a) General. 5 U.S.C. 552a and this subpart and subpart G of this

part are applicable to certain types of computer matching, i.e., the

computer comparison of automated systems of records. There are two

specific kinds of matching programs that are fully governed by 5 U.S.C.

552a and this subpart and subpart G of this part:

(1) Matches using records from Federal personnel or payroll systems

of records;

(2) Matches involving Federal benefit programs to accomplish one or

more of the following purposes:

(i) To determine eligibility for a Federal benefit.

(ii) To comply with benefit program requirements.

(iii) To effect recovery of improper payments or delinquent debts

from current or former beneficiaries.

(b) The record comparison must be a computerized one. Manual

comparisons are not covered, involving records from two or more

automated systems of records (i.e., systems of records maintained by

Federal agencies that are subject to 5 U.S.C. 552a); or a Department of

the Navy automated systems of records and automated records maintained

by a non-Federal agency (i.e., State or local government or agent

thereof). A covered computer matching program entails not only the

actual computerized comparison, but also preparing and executing a

written agreement between the participants, securing approval of the

Defense Data Integrity Board, publishing a matching notice in the

Federal Register before the match begins, ensuring that investigation

and due process are completed, and taking ultimate action, if any.

Subpart G - Privacy Act Exemptions

Sec. 701.116 Purpose.

Subparts F and G of this part contain rules promulgated by the

Secretary of the Navy, pursuant to 5 U.S.C. 552a (j) and (k), and

subpart F, Sec. 70l.113, to exempt certain systems of Department of the

Navy records from specified provisions of 5 U.S.C. 552a.

Sec. 70l.117 Exemption for classified records.

All systems of records maintained by the Department of the Navy

shall be exempt from the requirements of the access provision of the

Privacy Act (5 U.S.C. 552a(d)) under the (k)(1) exemption, to the

extent that the system contains information properly classified under

E.O. 12356 and that is required by that E.O. to be kept secret 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.

Sec. 701.118 Exemptions for specific Navy record systems.

(a) System Identifier and Name: N01070-9, White House Support

Program.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (c)(3), (d), (e)(1), (e)(4)

(G) through (I), and (f).

Authority: 5 U.S.C. 552a(k) (1), (2), (3), and (5).

Reasons: Exempted portions of this system contain information which

has been properly classified under E.O. 12356, and which is required to

be kept secret in the interest of national defense or foreign policy.

Exempted portions of this system may also contain information

considered relevant and necessary to make a determination as to

qualifications, eligibility, or suitability for access to classified

information, and which 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. Exempted portions of this system may also

contain information collected and maintained in connection with

providing protective services to the President and other individuals

protected pursuant to 18 U.S.C. 3056. Exempted portions of this system

may also contain investigative records compiled for law enforcement

purposes, the disclosure of which could reveal the identity of sources

who provide information under an express or implied promise of

confidentiality, compromise investigative techniques and procedures,

jeopardize the life or physical safety of law-enforcement personnel, or

otherwise interfere with enforcement proceedings or adjudications.

(b) System Identifier and Name: N01131-1, Officer Selection and

Appointment System.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (c)(3), (d), (e)(1),

(e)(4)(G) through (I), and (f).

Authority: 5 U.S.C. 552a(k)(1), (5), (6), and (7).

Reasons: Granting individuals access to portions of this system of

records could result in the disclosure of classified material, or the

identification of sources who provided information to the government

under an express or implied promise of confidentiality. Material will

be screened to permit access to unclassified material and to

information that does not disclose the identity of a confidential

source.

(c) System Identifier and Name: N01133-2, Recruiting Enlisted

Selection System.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (c)(3), (d), (e)(1),

(e)(4)(G) through (I), and (f).

Authority: 5 U.S.C. 552a(k)(1), (5), (6), and (7).

Reasons: Granting individuals access to portions of this system of

records could result in the disclosure of classified material, or the

identification of sources who provided information to the government

under an express or implied promise of confidentiality. Material will

be screened to permit access to unclassified material and to

information that does not disclose the identity of a confidential

source.

(d) System Identifier and Name: N01640-1, Individual Correctional

Records.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (c)(3), (c)(4), (d), (e)(2),

(e)(3), (e)(4)(G) through (I), (e)(5), (e)(8), (f), and (g).

Authority: 5 U.S.C. 552a(j)(2).

Reason: Granting individuals access to portions of these records

pertaining to or consisting of, but not limited to, disciplinary

reports, criminal investigations, and related statements of witnesses,

and such other related matter in conjunction with the enforcement of

criminal laws, could interfere with the orderly investigations, with

the orderly administration of justice, and possibly enable suspects to

avoid detection or apprehension. Disclosure of this information could

result in the concealment, destruction, or fabrication of evidence, and

jeopardize the safety and well-being of informants, witnesses and their

families, and law enforcement personnel and their families. Disclosure

of this information could also reveal and render ineffectual

investigative techniques, sources, and methods used by these components

and could result in the invasion of the privacy of individuals only

incidentally related to an investigation. The exemption of the

individual's right of access to portions of these records, and the

reasons therefor, necessitate the exemption of this system of records

from the requirement of the other cited provisions.

(e) System Identifier and Name: N01754-3, Navy Child Development

Services Program.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (c)(3) and (d).

Authority: 5 U.S.C. 552a(k)(2).

Reasons: Exemption is needed in order to encourage persons having

knowledge of abusive or neglectful acts toward children to report such

information, and to protect such sources from embarrassment or

recrimination, 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.

Additionally, granting individuals access to information relating to

criminal and civil law enforcement, as well as the release of certain

disclosure accountings, 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 and the disposition of

charges; and could jeopardize the safety and well being of parents and

their children.

(f) System Identifier and Name: N03834-1, Special Intelligence

Personnel Access File.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (c)(3), (d), (e)(1), (e)(4)

(G) through (I), and (f).

Authority: 5 U.S.C. 552a(k) (1) and (5).

Reasons: Exempted portions of this system contain information that

has been properly classified under E.O. 12356, and that is required to

be kept secret in the interest of national defense or foreign policy.

Exempted portions of this system also contain information considered

relevant and necessary to make a determination as to qualifications,

eligibility, or suitability for access to classified information and

was obtained by providing an express or implied assurance to the source

that his or her identity would not be revealed to the subject of the

record.

(g) System Identifier and Name: N04060-1, Navy and Marine Corps

Exchange Security Files.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (c)(3), (d), (e)(4) (G)

through (I), and (f).

Authority: 5 U.S.C. 552a(k)(2).

Reasons: Granting individuals access to information collected and

maintained by these activities relating to the enforcement of criminal

laws could interfere with orderly investigations, with orderly

administration of justice, and possibly enable suspects to avoid

detection or apprehension. Disclosure of this information could result

in the concealment, destruction, or fabrication of evidence, and could

also reveal and render ineffectual investigative techniques, sources,

and methods used by these activities.

(h) System Identifier and Name: N04385-1, IG Investigatory System.

Exemption: Portions of this system or records are exempt from the

following subsections of the Privacy Act: (c)(3), (c)(4), (d), (e)(2),

(e)(3), (e)(4) (G) through (I), (e)(5), (e)(8), (f), and (g).

Authority: 5 U.S.C. 552a(j) (2).

Reasons: Granting individuals access to information collected and

maintained by these activities relating to the enforcement of criminal

laws could interfere with orderly investigations, the orderly

administration of justice, and might enable suspects to avoid detection

and apprehension. Disclosures of this information could result in the

concealment, destruction, or fabrication of evidence, and possibly

jeopardize the safety and well being of informants, witnesses and their

families. Such disclosures could also reveal and render ineffectual

investigatory techniques and methods and sources of information and

could result in the invasion of the personal privacy of individuals

only incidentally related to an investigation. The exemption of the

individual's right of access to his or her records, and the reasons

therefore, necessitate the exemption of this system of records from the

provisions of the other cited sections of 5 U.S.C. 552a.

(i) System Identifier and Name: N04385-2, Hotline Program Case

Files.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (c)(3), (d), (e)(1),

(e)(4)(G), (H), (I), and (f).

Authority: 5 U.S.C. 552a(k) (1), (2), (5), (6) and (7).

Reasons: Exempted portions of this system consist of information

compiled for the purpose of investigations, including reports of

informants and investigators. Such investigations may be associated

with identifiable individuals. Disclosure of files in this system would

interfere with orderly investigations, and possibly result in the

concealment, destruction, or fabrication of evidence, and possibly

jeopardize the safety and well-being of informants, witnesses and their

families. Such disclosures could also reveal and render ineffectual

investigatory techniques and methods and sources of information and

could further result in the invasion of the personal privacy of

individuals only incidentally related to an investigation. Depending on

the nature of the complaint, records may contain information that: is

currently and properly classified pursuant to E.O. and must be kept

secret in the interest of national defense or foreign policy, is

confidentially provided information located in investigatory records

compiled for the purposed of enforcement of non-criminal law, relates

to qualifications, eligibility, or suitability for Federal employment,

is test or examination material used to determine qualifications for

appointment or promotion in the Federal service, is confidentially

provided information used to determine potential for promotion in the

armed services.

(j) System Identifier and Name: N05300-3, Faculty Professional

Files.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (c)(3), (d), (e)(4) (G) and

(H), and (f).

Authority: 5 U.S.C. 552a(k)(5).

Reasons: Exempted portions of this system contain information

considered relevant and necessary to make a release determination as to

qualifications, eligibility, or suitability for Federal employment, and

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.

(k) System Identifier and Name: N05354-1, Equal Opportunity

Information Management System.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (c)(3), (d), (e)(4)(G)

through (I), and (f).

Authority: 5 U.S.C. 552a(k)(1) and (5).

Reasons: Granting access to information in this system of records

could result in the disclosure of classified material, or reveal the

identity of a source who furnished information to the Government under

an express or implied promise of confidentiality. Material will be

screened to permit access to unclassified material and to information

that will not disclose the identity of a confidential source.

(l) System Identifier and Name: N05520-1, Personnel Security

Eligibility Information System.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (c)(3), (d), (e)(4)(G) and

(I), and (f).

Authority: 5 U.S.C. 552a(k) (1), (2), (5), and (7).

Reasons: Granting individuals access to information collected and

maintained in this system of records could interfere with orderly

investigations; result in the disclosure of classified material;

jeopardize the safety of informants, witnesses, and their families;

disclose investigative techniques; and result in the invasion of

privacy of individuals only incidentally related to an investigation.

Material will be screened to permit access to unclassified information

that will not disclose the identity of sources who provide the

information to the government under an express or implied promise of

confidentiality.

(m) System Identifier and Name: N05520-4, NIS Investigative Files

System.

Exemption (1): Portions of this system of records are exempt from

the following subsections of the Privacy Act: (c)(3), (c)(4), (d),

(e)(2), (e)(3), (e)(4)(G) through (I), (e)(5), (e)(8), (f), and (g).

Authority (1): 5 U.S.C. 552a(j)(2).

Reason (1): Granting individuals access to information collected

and maintained by this activity relating to the enforcement of criminal

laws could interfere with the orderly investigations, with the orderly

administration of justice, and possibly enable suspects to avoid

detection or apprehension. Disclosure of this information could result

in the concealment, destruction, or fabrication of evidence, and

jeopardize the safety and well-being of informants, witnesses and their

families, and law enforcement personnel and their families. Disclosure

of this information could also reveal and render ineffectual

investigative techniques, sources, and methods used by these components

and could result in the invasion of the privacy of individuals only

incidentally related to an investigation. The exemption of the

individual's right of access to portions of these records, and the

reasons therefor, necessitate the exemption of this system of records

from the requirement of the other cited provisions.

Exemption (2): Portions of this system of records are exempt from

the following subsections of the Privacy Act: (c)(3), (d), (e)(1),

(e)(4)(G) through (I), and (f).

Authority (2): 5 U.S.C. 552a(k) (1), (3), (4), (5) and (6).

Reason (2): The release of disclosure accountings would permit the

subject of an investigation to obtain valuable information concerning

the nature of that investigation, and the information contained, or the

identity of witnesses or informants, would therefor present a serious

impediment to law enforcement. In addition, disclosure of the

accounting would amount to notice to the individual of the existence of

a record. Access to the records contained in this system would inform

the subject of the existence of material compiled for law enforcement

purposes, the premature release of which could prevent the successful

completion of investigation, and lead to the improper influencing of

witnesses, the destruction of records, or the fabrication of testimony.

Exempt portions of this system also contain information that has been

properly classified under E.O. 12356, and that is required to be kept

secret in the interest of national defense or foreign policy.

Exempt portions of this system also contain information considered

relevant and necessary to make a determination as to qualifications,

eligibility, or suitability for Federal civilian employment, military

service, Federal contracts, or access to classified information, and

was obtained by providing an express or implied assurance to the source

that his or her identity would not be revealed to the subject of the

record. The notice of this system of records published in the Federal

Register sets forth the basic statutory or related authority for

maintenance of the system.

The categories of sources of records in this system have been

published in the Federal Register in broad generic terms. The identity

of specific sources, however, must be withheld in order to protect the

confidentiality of the source, of criminal and other law enforcement

information. This exemption is further necessary to protect the privacy

and physical safety of witnesses and informants.

This system of records is exempted from procedures for notice to an

individual as to the existence of records pertaining to him/her dealing

with an actual or potential civil or regulatory investigation, because

such notice to an individual would be detrimental to the successful

conduct and/or completion of an investigation, pending or future. Mere

notice of the fact of an investigation could inform the subject or

others that their activities are under, or may become the subject of,

an investigation. This could enable the subjects to avoid detection, to

influence witnesses improperly, to destroy records, or to fabricate

testimony.

Exempt portions of this system containing screening board reports.

Screening board reports set forth the results of oral examination of

applicants for a position as a special agent with the Naval

Investigation Service Command. Disclosure of these records would reveal

the areas pursued in the course of the examination and thus adversely

affect the result of the selection process. Equally important, the

records contain the candid views of the members composing the board.

Release of the records could affect the willingness of the members to

provide candid opinions and thus diminish the effectiveness of a

program which is essential to maintaining the high standard of the

Special Agent Corps., i.e., those records constituting examination

material used solely to determine individual qualifications for

appointment in the Federal service.

(n) System Identifier and Name: N05520-5, Navy Joint Adjudication

and Clearance System (NJACS).

Exemption: Portions of this system of records are exempt from the

following subsections of 5 U.S.C. 552a: (d)(1-5).

Authority: 5 U.S.C. 552a(k)(1) and (k)(5).

Reasons: Granting individuals access to information collected and

maintained in this system of records could result in the disclosure of

classified material; and jeopardize the safety of informants, and their

families. Further, the integrity of the system must be ensured so that

complete and accurate records of all adjudications are maintained.

Amendment could cause alteration of the record of adjudication.

(o) System Identifier and Name: N05527-1, Security Incident System.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (c)(3), (c)(4), (d), (e)(2),

and (e)(4)(G) through (I), (e)(5), (e)(8), (f) and (g).

Authority: 5 U.S.C. 552a(j)(2).

Reasons: Granting individuals access to information collected and

maintained by this component relating to the enforcement of criminal

laws could interfere with orderly administration of justice, and

possibly enable suspects to avoid detection or apprehension. Disclosure

of this information could result in concealment, destruction, or

fabrication of evidence, and jeopardize the safety and well being of

informants, witnesses and their families, and of law enforcement

personnel and their families. Disclosure of this information could also

reveal and render ineffectual investigative techniques, sources, and

methods used by this component, and could result in the invasion of

privacy of individuals only incidentally related to an

investigation.The exemption of the individual's right of access to his

or her records, and the reason therefore, necessitate the exemption of

this system of records from the requirements of other cited provisions.

(p) System Identifier and Name: N05527-4, Naval Security Group

Personnel Security/Access Files.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (c)(3), (d), (e)(1),

(e)(4)(G) through (I), and (f).Authority: 5 U.S.C. 552a(k)(1) through

(k)(5).

Reasons: Exempt portions of this system contain information that

has been properly classified under E.O. 12356, and that is required to

be kept secret in the interest of national defense or foreign policy.

Exempt portions of this system also contain information considered

relevant and necessary to make a determination as to qualification,

eligibility or suitability for access to classified special

intelligence information, 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.

(q) System Identifier and Name: N05800-1, Legal Office Litigation/

Correspondence Files.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (d), (e)(1), and (f)(2), (3),

and (4).

Authority: 5 U.S.C. 552a(k)(1), (k)(2), (k)(5), (k)(6), and (k)(7).

Reasons: Subsection (d) because granting individuals access to

information relating to the preparation and conduct of litigation would

impair the development and implementation of legal strategy.

Accordingly, such records are exempt under the attorney-client

privilege. Disclosure might also compromise on-going investigations and

reveal confidential informants. Additionally, granting access to the

record subject would seriously impair the Navy's ability to negotiate

settlements or pursue other civil remedies. Amendment is inappropriate

because the litigation files contain official records including

transcripts, court orders, investigatory materials, evidentiary

materials such as exhibits, decisional memorandum and other case-

related papers. Administrative due process could not be achieved by the

``exparte'' correction of such materials.

Subsection (e)(1) because it is not possible in all instances to

determine relevancy or necessity of specific information in the early

stages of case development. What appeared relevant and necessary when

collected, ultimately may be deemed unnecessary upon assessment in the

context of devising legal strategy. Information collected during civil

litigation investigations which is not used during subject case is

often retained to provide leads in other cases or to establish patterns

of activity.

Subsection (f)(2), (3), and (4) because this record system is

exempt from the individual access provisions of subsection (d).

(r) System Identifier and Name: N05819-3, Naval Clemency and Parole

Board Files.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (c)(4), (d), (e)(4)(G), and

(f).

Authority: 5 U.S.C. 552a(j)(2).

Reasons: Granting individuals access to records maintained by this

Board could interfere with internal processes by which Board personnel

are able to formulate decisions and policies with regard to clemency

and parole in cases involving naval prisoners and other persons under

the jurisdiction of the Board. Material will be screened to permit

access to all material except such records or documents as reflect

items of opinion, conclusion, or recommendation expressed by individual

board members or by the board as a whole.

The exemption of the individual's right to access to portions of

these records, and the reasons therefore, necessitate the partial

exemption of this system of records from the requirements of the other

cited provisions.

(s) System Identifier and Name: N06320-2, Family Advocacy Program

System.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (c)(3) and (d).

Authority: 5 U.S.C. 552a(k)(2) and (k)(5).

Reasons: Exemption is needed in order to encourage persons having

knowledge of abusive or neglectful acts toward children to report such

information, 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.

Additionally, 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.

(t) System Identifier and Name: N12930-1, Human Resources Group

Personnel Records.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (d), (e)(4)(G) and (H), and

(f).

Authority: 5 U.S.C. 552a(k)(5) and (k)(6).

Reasons: Exempted portions of this system contain information

considered relevant and necessary to make a determination as to

qualifications, eligibility, or suitability for Federal employment, and

was obtained by providing express or implied promise to the source that

his or her identity would not be revealed to the subject of the record.

Exempted portions of this system also contain test or examination

material used solely to determine individual qualifications for

appointment or promotion in the Federal service, the disclosure of

which would comprise the objectivity or fairness of the testing or

examination process.

Sec. 701.119 Exemptions for Specific Marine Corps Record Systems.

(a) System Identifier and Name: MMN00018, Base Security Incident

Reporting System.

Exemption: Portions of this system of records are exempt from the

following subsections of the Privacy Act: (c)(3), (c)(4), (d), (e) (2)

and (3), (e)(4)(G) through (I), (e)(5), (e)(8), (f), and (g).

Authority: 5 U.S.C. 552a(j)(2).

Reasons: Granting individuals access to information collected and

maintained by these activities relating to the enforcement of criminal

laws could interfere with orderly investigations, with the orderly

administration of justice, and might enable suspects to avoid detection

or apprehension. Disclosure of this information could result in the

concealment, destruction, or fabrication of evidence, and jeopardize

the safety and well being of informants, witnesses and their families,

and law enforcement personnel and their families. Disclosure of this

information could also reveal and render ineffectual investigative

techniques, sources, and methods used by this component, and could

result in the invasion of the privacy of individuals only incidentally

related to an investigation. The exemption of the individual's right of

access to his or her records, and the reasons therefore, necessitate

the exemption of this system of records from the requirements of other

cited provisions.

(b) System Identifier and Name: MIN00001, Personnel and Security

Eligibility and Access Information System.

Exemption: Portions of this system of records are exempt for the

following subsections of the Privacy Act: (c)(3), (d), (e)(1),

(e)(4)(G) through (I), and (f).

Authority: 5 U.S.C. 552a(k)(2), (k)(3), and (k)(5), as applicable.

Reasons: Exempt portions of this system contain information that

has been properly classified under E.O. 12356, and that is required to

be kept secret in the interest of national defense or foreign policy.

Exempt portions of this system also contain information considered

relevant and necessary to make a determination as to qualifications,

eligibility, or suitability for Federal civilian employment, military

service, Federal contracts, or access to classified, compartmented, or

otherwise sensitive information, and was obtained by providing an

expressed or implied assurance to the source that his or her identity

would not be revealed to the subject of the record.

Exempt portions of this system further contain information that

identifies sources whose confidentiality must be protected to ensure

that the privacy and physical safety of these witnesses and informants

are protected.

Dated: October 28, 1994.

L. M. Bynum,

Alternate OSD Federal Register Liaison Officer, Department of Defense.

[FR Doc. 94-27326 Filed 11-04-94; 8:45 am]

BILLING CODE 3810-01-F