24124 Federal Register / Vol. 78, No. 79 / Wednesday, April 24, 2013 / Proposed Rules 

138Regulations Implementing the National 

Environmental Policy Act of 1969, Order No. 486, 

52 FR 47897 (Dec. 17, 1987), FERC Stats. & Regs., 

Regulations Preambles 1986–1990 ¶ 30,783 (1987). 

139 18 CFR 380.4(a)(2)(ii). 

for any action that may have a 

significant adverse effect on the human 

environment.138 The Commission has 

categorically excluded certain actions 

from this requirement as not having a 

significant effect on the human 

environment. Included in the exclusion 

are rules that are clarifying, corrective, 

or procedural or that do not 

substantially change the effect of the 

regulations being amended.139 The 

actions proposed here fall within this 

categorical exclusion in the 

Commission’s regulations. 

VII. Comment Procedures 

136. The Commission invites 

interested persons to submit comments 

on the matters and issues proposed in 

this notice to be adopted, including any 

related matters or alternative proposals 

that commenters may wish to discuss. 

Comments are due June 24, 2013. 

Comments must refer to Docket No. 

RM13–5–000, and must include the 

commenter’s name, the organization 

they represent, if applicable, and their 

address in their comments. 

137. The Commission encourages 

comments to be filed electronically via 

the eFiling link on the Commission’s 

Web site at http://www.ferc.gov. The 

Commission accepts most standard 

word processing formats. Documents 

created electronically using word 

processing software should be filed in 

native applications or print-to-PDF 

format and not in a scanned format. 

Commenters filing electronically do not 

need to make a paper filing. 

138. Commenters that are not able to 

file comments electronically must send 

an original of their comments to: 

Federal Energy Regulatory Commission, 

Secretary of the Commission, 888 First 

Street NE., Washington, DC 20426. 

139. All comments will be placed in 

the Commission’s public files and may 

be viewed, printed, or downloaded 

remotely as described in the Document 

Availability section below. Commenters 

on this proposal are not required to 

serve copies of their comments on other 

commenters. 

VIII. Document Availability 

140. In addition to publishing the full 

text of this document in the Federal 

Register, the Commission provides all 

interested persons an opportunity to 

view and/or print the contents of this 

document via the Internet through the 

Commission’s Home Page (http:// 

www.ferc.gov) and in the Commission’s 

Public Reference Room during normal 

business hours (8:30 a.m. to 5:00 p.m. 

Eastern time) at 888 First Street NE., 

Room 2A, Washington, DC 20426. 

141. From the Commission’s Home 

Page on the Internet, this information is 

available on eLibrary. The full text of 

this document is available on eLibrary 

in PDF and Microsoft Word format for 

viewing, printing, and/or downloading. 

To access this document in eLibrary, 

type the docket number excluding the 

last three digits of this document in the 

docket number field. 

142. User assistance is available for 

eLibrary and the Commission’s Web site 

during normal business hours from the 

Commission’s Online Support at (202) 

502–6652 (toll free at 1–866–208–3676) 

or email at ferconlinesupport@ferc.gov, 

or the Public Reference Room at (202) 

502–8371, TTY (202) 502–8659. Email 

the Public Reference Room at 

public.referenceroom@ferc.gov. 

By direction of the Commission. 

Nathaniel J. Davis, Sr., 

Deputy Secretary. 

[FR Doc. 2013–09643 Filed 4–23–13; 8:45 am] 

BILLING CODE 6717–01–P 

DEPARTMENT OF DEFENSE 

Office of the Secretary 

32 CFR Part 329 

[Docket ID: DOD–2012–OS–0161] 

RIN 0790–AI96 

National Guard Bureau Privacy 

Program 

AGENCY: Department of Defense. 

ACTION: Proposed rule. 

SUMMARY: This proposed rule 

establishes policies and procedures for 

the National Guard Bureau (NGB) 

Privacy Program. The NGB is a Joint 

Activity of the Department of Defense 

(DoD). This rule will cover the privacy 

policies and procedures associated with 

records created and under the control of 

the Chief, NGB that are not otherwise 

covered by existing DoD, Air Force, or 

Army rules. 

DATES: Comments must be received by 

June 24, 2013. 

ADDRESSES: You may submit comments, 

identified by docket number and or RIN 

number and title, by any of the 

following methods: 

• Federal eRulemaking Portal: http:// 

www.regulations.gov. Follow the 

instructions for submitting comments. 

• Mail: Federal Docket Management 

System Office, 4800 Mark Center Drive, 

East Tower, Suite 02G09, Alexandria, 

VA 22350–3100. 

Instructions: All submissions received 

must include the agency name and 

docket number or Regulatory 

Information Number (RIN) for this FR 

document. The general policy for 

comments and other submissions from 

members of the public is to make these 

submissions available for public 

viewing on the Internet at http:// 

regulations.gov as they are received 

without change, including any personal 

identifiers or contact information. 

FOR FURTHER INFORMATION CONTACT: Ms. 

Jennifer Nikolaisen, 571–256–7838. 

SUPPLEMENTARY INFORMATION: 

Executive Summary 

I. Purpose and Authority of the 

Regulatory Action 

a. Purpose: This part implements the 

policies and procedures outlined in 5 

U.S.C. 552a, Office of Management and 

Budget (OMB) Circular No. A–130, and 

32 CFR part 310. This part provides 

guidance and procedures for 

implementing the National Guard 

Bureau Privacy Program. The NGB is a 

Joint Activity of the DoD pursuant to 10 

U.S.C. 10501 

b. Authority: Public Law 93–579, 88 

Stat. 1986 (5 U.S.C. 552a). 

II. Summary of the Major Provisions of 

the Regulatory Action 

This provision is made to establish 

the Privacy Program for the National 

Guard Bureau. 

III. 

This regulatory action imposes no 

monetary costs to the Agency or public. 

The benefit to the public is the accurate 

reflection of the Agency’s Privacy 

Program to ensure that policies and 

procedures are known to the public. 

Regulatory Procedures 

Executive Order 12866, ‘‘Regulatory 

Planning and Review’’ and Executive 

Order 13563, ‘‘Improving Regulation 

and Regulatory Review’’ 

It has been determined that 32 CFR 

part 329 is not a significant regulatory 

action. The rule does not: 

(1) Have an annual effect on the 

economy of $100 million or more or 

adversely affect in a material way the 

economy; a section of the economy; 

productivity; competition; jobs; the 

environment; public health or safety; or 

State, local, or tribal governments or 

communities; 

(2) Create a serious inconsistency or 

otherwise interfere with an action taken 

or planned by another Agency; 


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(3) Materially alter the budgetary 

impact of entitlements, grants, user fees, 

or loan programs, or the rights and 

obligations of recipients thereof; or 

(4) Raise novel legal or policy issues 

arising out of legal mandates, the 

President’s priorities, or the principles 

set forth in these Executive Orders. 

Unfunded Mandates Reform Act (Sec. 

202, Pub. L. 104–4) 

It has been certified that this rule does 

not contain a Federal mandate that may 

result in the expenditure by State, local 

and tribal governments, in aggregate, or 

by the private sector, of $100 million or 

more in any one year. 

Public Law 96–354, ‘‘Regulatory 

Flexibility Act’’ (5 U.S.C. 601) 

It has been certified that this rule is 

not subject to the Regulatory Flexibility 

Act (5 U.S.C. 601) because it would not, 

if promulgated, have a significant 

economic impact on a substantial 

number of small entities. 

Public Law 96–511, ‘‘Paperwork 

Reduction Act’’ (44 U.S.C. Chapter 35) 

It has been certified that this rule does 

not impose reporting or recordkeeping 

requirements under the Paperwork 

Reduction Act of 1995. 

Executive Order 13132, ‘‘Federalism’’ 

It has been certified that this rule does 

not have federalism implications, as set 

forth in Executive Order 13132. This 

rule does not have substantial direct 

effects on: 

(1) The States; 

(2) The relationship between the 

National Government and the States; or 

(3) The distribution of power and 

responsibilities among the various 

levels of Government. 

List of Subjects in 32 CFR Part 329 

Privacy. 

Accordingly, 32 CFR part 329 is 

proposed to be added to read as follows: 

PART 329—NATIONAL GUARD 

BUREAU PRIVACY PROGRAM 

Sec. 

329.1 Purpose. 

329.2 Applicability. 

329.3 Definitions. 

329.4 Policy. 

329.5 Responsibilities. 

329.6 Procedures. 

329.7 Exemptions. 

Authority: Pub. L. 93–579, 88 Stat. 1986 

(5 U.S.C. 552a). 

§ 329.1 Purpose. 

This part implements the policies and 

procedures outlined in 5 U.S.C. 552a, 

Office of Management and Budget 

(OMB) Circular No. A–130, and 32 CFR 

part 310. This part provides the 

responsibilities, guidance, and 

procedures for the National Guard 

Bureau (NGB) to comply with Federal 

and DoD Privacy requirements. 

§ 329.2 Applicability. 

(a) This part applies to the NGB and 

the records under the custody and 

control of the Chief, NGB, as defined by 

DoD Directive (DoDD) 5105.77, entitled 

‘‘National Guard Bureau’’ (Available at 

http://www.dtic.mil/whs/directives/ 

corres/pdf/510577p.pdf). 

(b) It does not apply to the National 

Guards of the States, Territories, and 

District of Columbia, except to the 

extent that they are in the possession of 

NGB records or relying on a System of 

Records Notice (SORN) published by 

NGB for their authority to maintain 5 

U.S.C. 552a protected records. 

§ 329.3 Definitions. 

All terms used in this part which are 

defined in 5 U.S.C. 552a shall have the 

same meaning herein. 

Access. Allowing individuals to 

review or receive copies of their records. 

Accuracy. Within sufficient tolerance 

for error to assure the quality of the 

record in terms of its use in making a 

determination. 

Agency. Any Executive department, 

military department, Government 

corporation, Government controlled 

corporation, or other establishment in 

the executive branch of the [federal] 

Government (including the Executive 

Office of the President), or any 

independent regulatory agency (as 

defined by 5 U.S.C. 552a). 

Amendment. The process of adding, 

deleting, or changing information in a 

System of Records (SOR) to make the 

data accurate, relevant, timely, and/or 

complete. 

Appellate Authority. The individual 

with authority to deny requests for 

access or amendment of records under 

5 U.S.C. 552a. 

Breach. A loss of control, 

compromise, unauthorized disclosure, 

unauthorized acquisition, unauthorized 

access, or any similar term referring to 

situations where a person other than 

authorized users (with an official need 

to know), and for an other than 

authorized purpose has access or 

potential access to personally 

identifiable information, whether 

physical or electronic. A breach can 

include identifiable information in any 

form. (As defined by DoD Director of 

Administration and Management Memo, 

5 Jun 2009 entitled ‘‘Safeguarding 

Against and Responding to the Breach 

of Personally Identifiable Information 

(PII)’’ (Available at http://www.dod.mil/ 

pubs/foi/privacy/docs/DA_M6_5_2009

Responding_toBreach_of_PII).) 

Chief, National Guard Bureau 

(CNGB). A principal advisor to the 

Secretary of Defense, through the 

Chairman of the Joint Chiefs of Staff, on 

matters involving non-federalized 

National Guard forces and on other 

matters as determined by the Secretary 

of Defense; and the principal adviser to 

the Secretary of the Army and the Chief 

of Staff of the Army, and to the 

Secretary of the Air Force and the Chief 

of Staff of the Air Force, on matters 

relating to the National Guard, the Army 

National Guard of the United States, and 

the Air National Guard of the United 

States. The CNGB also represents the 

National Guard on the Joint Chiefs of 

Staff. 

Completeness. All elements necessary 

for making a determination are present 

before such determination is made. 

Computer Matching Program. A 

program that matches the personal 

records in computerized database of two 

or more Federal agencies. 

Denial Authority. The individual with 

authority to deny requests for access or 

amendment of records under 5 U.S.C. 

552a. 

Determination. Any decision affecting 

an individual which, in whole or in 

part, is based on information contained 

in the record and which is made by any 

person or agency. 

Directorate/Division. The terms 

directorate and division are used to refer 

to suborganizations within the NGB. 

The Joint Staff and Air Guard Readiness 

Center uses the term ‘‘Directorate’’ to 

refer to their suborganizations and the 

Army Guard Readiness Center uses the 

term ‘‘Division’’ to refer to their 

suborganizations. 

Disclosure. Giving information from a 

system, by any means, to anyone other 

than the record subject. 

Disclosure Accounting. A record of all 

disclosures made from a SOR, except for 

disclosures made to Department of 

Defense personnel for use in 

performance of their official duties or 

disclosures made as required by 5 

U.S.C. 552. 

Federal Register (FR). A daily 

publication of notices and rules issued 

by Federal Agencies and the President 

printed on a daily Federal workday. 

Individual. A citizen of the United 

States or an alien lawfully admitted for 

permanent residence. (As defined by 5 

U.S.C. 552a) 

Maintain. Maintain, collect, use or 

disseminate. (As defined by 5 U.S.C. 

552a) 

Memorandum of Agreement. A 

written understanding (agreement) 


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between parties to cooperatively work 

together on an agreed upon project or 

meet an agreed objective. 

Memorandum of Understanding. A 

written agreement between parties 

describing a bilateral or multilateral 

agreement between parties. 

Necessary. A threshold of need for an 

element of information greater than 

mere relevance and utility. 

Personal Information. Information 

about an individual other than items of 

public record. 

Personally Identifiable Information 

(PII). Personal information. Information 

about an individual that identifies, 

links, relates, or is unique to, or 

describes him or her. Information which 

can be used to distinguish or trace an 

individual’s identity which is linked or 

linkable to a specified individual. 

Privacy Act (5 U.S.C. 552a) Request. 

An oral (in person) or written request by 

an individual to access his or her 

records in a SOR. 

Privacy Act (5 U.S.C. 552a) Statement 

(PAS). A statement given to an 

individual when soliciting personal 

information that will be maintained in 

a SOR that advises them of the authority 

to collect information, the principal 

purpose(s) that the information will be 

used for, the routine uses on how the 

information will be disclosed outside of 

the agency, and whether it is mandatory 

or voluntary to provide the information 

and any consequences for not providing 

the information. 

Privacy Impact Assessment (PIA). A 

written assessment of an information 

system that addresses the information to 

be collected, the purpose and intended 

use; with whom the information will be 

shared; notice or opportunities for 

consent to individuals; how the 

information will be secured; and 

whether a new SOR is being created 

under 5 U.S.C. 552a. Privacy Impact 

Assessments are required for all 

information systems and electronic 

collections that collect, maintain, use, or 

disseminate personally identifiable 

information about members of the 

public (this includes contractors and 

family members), under Public Law 

107–347, Section 208 of the EGovernment Act of 2002. DoD 

Instruction 5400.16, entitled 

‘‘Department of Defense Privacy Impact 

Assessment (PIA)’’ (Available at http:// 

www.dtic.mil/whs/directives/corres/pdf/ 

540016p.pdf), provides additional 

requirements for PIAs, including a 

requirement to write a PIA on any 

information systems or electronic 

collection of PII on Federal personnel. 

Protected Health Information (PHI). 

Any information about health status, 

provision of health care, or payment for 

health care that can be linked to a 

specific individual. 

Record. Any item, collection, or 

grouping of information about an 

individual that is maintained by an 

agency, including, but not limited to, 

the individual’s his education, financial 

transactions, medical history, and 

criminal or employment history and 

that contains his name, or the 

identifying number, symbol, or other 

identifying particular assigned to the 

individual, such as a finger or voice 

print or a photograph (As defined by 5 

U.S.C. 552a). 

Relevance. Limitation to only those 

elements of information that clearly bear 

of the determination(s) for which the 

records are intended. 

Routine Use. The disclosure of a 

record outside the DoD for a use that is 

compatible with the purpose for which 

the information was collected and 

maintained by the DoD. The routine use 

must be included in the published 

system notice for the SOR involved. The 

DoD Blanket Routine Uses, found in 32 

CFR part 310, Appendix C are 

applicable to all SORNs published by 

DoD. 

System Manager. The official who is 

responsible for managing a SOR, 

including policies and procedures to 

operate and safeguard it. Local System 

Managers operate record systems or are 

responsible for the records that are 

maintained in decentralized locations 

but are covered by a SORN published by 

another DoD activity or a GovernmentWide SORN. 

System of Records (SOR). A group of 

any records under the control of any 

agency from which information is 

retrieved by the name of the individual 

or by some identifying number, symbol, 

or other identifying particular assigned 

to the individual. 

System of Records Notice (SORN). 

The official public notice published in 

the FR of the existence and content of 

the SOR. As required by 5 U.S.C. 552a 

and 32 CFR part 310, Appendix E. The 

notice shall include: 

(1) The name and location of the 

system, 

(2) The categories of individuals on 

whom records are maintained in the 

system, 

(3) The categories of records 

maintained in the system, 

(4) Each routine use of the records 

contained in the system, including the 

categories of users and the purpose of 

such use, 

(5) The policies and practices of the 

agency regarding storage, retrievability, 

access controls, retention, and disposal 

of the records, 

(6) The title and business address of 

the agency official who is responsible 

for the SOR, 

(7) The agency procedures whereby 

an individual can be notified at his 

request if the SOR contains a record 

pertaining to him, 

(8) The agency procedures whereby 

an individual can be notified at his 

request how he can gain access to any 

record pertaining to him contained in 

the SOR, and how he can contest its 

contents; and 

(9) The categories of sources of 

records in the system. 

Timeliness. Sufficiently current to 

ensure that any determination based on 

the record will be accurate and fair. 

§ 329.4 Policy. 

In accordance with 32 CFR part 310, 

it is NGB’s policy that: 

(a) Personal information contained in 

any SOR maintained by any NGB 

organization will be safeguarded to the 

extent authorized by 5 U.S.C. 552a, 

Appendix I of Office of Management 

and Budget Circular No. A–130, and any 

other applicable legal requirements. 

(b) NGB will collect, maintain, use, 

and disseminate personal information 

only when it is relevant and necessary 

to achieve a purpose required by a 

statute or Executive Order. 

(c) NGB will collect personal 

information directly from the 

individuals to whom it pertains to the 

greatest extent possible and will provide 

individuals a PAS at the time of 

collection when the information being 

collected will be filed and/or retrieved 

by the subject’s name or other unique 

identifier. The PAS will contain the 

following elements, as required by 5 

U.S.C. 552a: 

(1) The statutory authority or 

Executive Order that allows for the 

solicitation, 

(2) The intended use/purpose that 

will be made of the information 

collected, 

(3) The routine uses that may be made 

of the information collected; and 

(4) Whether it is mandatory or 

voluntary for the individual to disclose 

the requested information and the nonpunitive effects on the individual for 

not providing all or any part of the 

requested information. Collection can 

only be mandatory if the statutory 

authority or Executive Order cited 

provides a penalty for not providing the 

information. 

(d) NGB offices maintaining records 

and information about individuals will 

ensure that such data is protected from 

unauthorized access, use, 

dissemination, disclosure, alteration, 

and/or destruction. Offices will 


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establish safeguards to ensure the 

security of personal information is 

protected from threats or hazards that 

might result in substantial harm, 

embarrassment, inconvenience, or 

unfairness to the individual using 

guidelines found in 32 CFR part 310, 

subpart B, 32 CFR part 310, Appendix 

A, and DoD Manual (DoDM) 5200.01, 

Volume 4, entitled ‘‘DoD Information 

Security Program: Controlled 

Unclassified Information (CUI)’’ 

(Available at http://www.dtic.mil/whs/ 

directives/corres/pdf/520001_vol4.pdf). 

(e) NGB offices shall permit 

individuals to access and have a copy of 

all or any portion of records about them, 

unless an exemption for the system has 

been properly established (see 5 U.S.C. 

552a, 32 CFR part 310, subparts D and 

F, and section 7 of 32 CFR part 329). 

Individuals requesting access to their 

record will also receive concurrent 

consideration under 5 U.S.C. 552 and 32 

CFR part 286. 

(f) NGB offices will permit 

individuals an opportunity to request 

that records about them be corrected or 

amended (see 5 U.S.C. 552a, 32 CFR 

part 310, subpart D, and part 6 of 32 

CFR part 329). 

(g) Any records about individuals that 

are maintained by the NGB will be 

maintained with such accuracy, 

relevance, timeliness, and completeness 

as is reasonably necessary to assure 

fairness to the individual before making 

any determination about the individual 

or before making the record available to 

any recipient pursuant to a routine use. 

(h) NGB will keep no record that 

describes how individuals exercise their 

rights guaranteed by the First 

Amendment, unless expressly 

authorized by statute or by the 

individual to whom the records pertain, 

or is pertinent to and within the scope 

of an authorized law enforcement 

activity. 

(i) NGB will notify individuals 

whenever records pertaining to them are 

made available under compulsory legal 

processes, if such process is a matter of 

public record. 

(j) NGB will assist individuals in 

determining what records pertaining to 

them are being collected, maintained, 

used, or disseminated. 

(k) NGB offices and personnel, 

including contractors, maintaining and 

having access to records and 

information about individuals will 

manage them and conduct themselves 

so as to avoid the civil liability and 

criminal penalties provided for under 5 

U.S.C. 552a. 

§ 329.5 Responsibilities. 

(a) Chief of the National Guard 

Bureau (CNGB). The CNGB, under the 

authority, direction, and control of the 

Secretary of Defense (SecDef), approves 

and establishes overall policy, direction, 

and guidance for the NGB privacy 

program and promulgates privacy policy 

for the non-Federalized National Guard. 

(b) NGB Chief Counsel. The NGB 

Chief Counsel, under the authority, 

direction, and control of the CNGB, 

shall: 

(1) Serve as the National Guard Senior 

Component Official for Privacy (SCOP) 

pursuant to part 32 CFR part 310, 

subpart A. 

(2) Direct and administer the Privacy 

Program for the NGB as well as the 

National Guard of the States, Territories, 

and the District of Columbia as it 

pertains to the maintenance of records 

protected by 5 U.S.C. 552a, other 

Federal laws on privacy, and OMB and 

DoD Privacy policies. 

(3) Ensure implementation of and 

compliance with standards and 

procedures established by 5 U.S.C. 552a, 

OMB A–130, 32 CFR part 310, and this 

part. 

(4) Serve as the appellate authority on 

denials of access or amendment. 

(5) Direct the implementation all 

aspects of 5 U.S.C. 552a, OMB A–130, 

32 CFR part 310, this part, and other 

Federal laws on privacy, and OMB and 

DoD Privacy policies. 

(c) Chief of the Office of Information 

and Privacy (OIP). The Chief of the OIP, 

under the authority, direction, and 

control of the NGB Chief Counsel, shall: 

(1) Oversee the National Guard’s 

compliance with 5 U.S.C. 552a, OMB 

A–130, 32 CFR part 310, this part, and 

other Federal laws on privacy, and OMB 

and DoD Privacy policies. 

(2) Issue policy and guidance as it 

relates to 5 U.S.C. 552a and other 

Federal and DoD Privacy requirements. 

(3) Collect, consolidate, and submit 

Privacy reports to the Defense Privacy 

and Civil Liberties Office (DPCLO), or 

the respective service (Air Force or 

Army) that the reporting of information 

pertains to. This includes, but is not 

limited to: 

(i) Personally Identifiable Information 

(PII) Breach Reports required by 32 CFR 

part 310, subpart B, 

(ii) Quarterly Training Reports, SORN 

Reviews, Privacy Complaints, and 

Privacy Officer Activity Reports 

required by 32 CFR part 310, subpart I; 

and, 

(iii) Reports pursuant to sec. D of 44 

U.S.C. 3541 and Public Law 17–347. 

(4) Submit all approved SORNs to the 

DPCLO or the respective service that has 

the statutory authority to publish the 

SORN for publication in the FR. 

(5) Refer inquiries about access, 

amendments of records, and general and 

specific exemptions listed in a SORN to 

the appropriate System Manager. 

(6) Review all instructions, directives, 

publications, policies, Memorandums of 

Agreement (MOA), Memorandums of 

Understanding (MOU), data sharing 

agreements, data transfer agreements, 

data use agreements, surveys (including 

web-based or electronic), and forms that 

involve or discuss the collection, 

retention, access, use, sharing, or 

maintenance of PII are to ensure 

compliance with this part. 

(7) Make training resources available 

to NGB personnel, including 

contractors, regarding 5 U.S.C. 552a, 

OMB A–130, 32 CFR part 310, 

compliance with this part, and other 

Federal and DoD Privacy requirements. 

(d) Chief of Administrative Law. The 

Chief of Administrative Law shall serve 

as the initial denial authority (IDA) to 

deny official requests for access or 

amendment to an individual’s record 

pursuant to a published NGB SORN 

under 5 U.S.C. 552a or amendments to 

such records. 

(e) Chief of Litigation and 

Employment Law. The Chief of 

Litigation and Employment Law will 

notify the Chief of the OIP of any 

complaint citing 5 U.S.C. 552a is filed 

in a U.S. District Court against the NGB, 

or any employee of NGB using the 

procedures outlined in section 6 of 32 

U.S.C. part 329. 

(f) NGB Comptroller/Director of 

Administration and Management 

(DA&M). The NGB Comptroller/DA&M 

shall ensure appropriate Federal 

Acquisition Regulation (FAR) (Available 

at https://www.acquisition.gov/far/) and 

Defense Federal Acquisition Regulation 

Supplement (DFARS) (Available at 

http://www.acq.osd.mil/dpap/dars/

dfarspgi/current/index.html) clauses 

(FAR Subpart 24.1 related to 5 U.S.C. 

552a and FAR subpart 24.2 related to 5 

U.S.C. 552, as well as DFARS clauses 

52.224–1 and/or 52.224–2) are included 

in all contracts that provide for 

contractor personnel to have access or 

maintain records, including records in 

information systems, that are covered by 

5 U.S.C. 552a or that contain PII. 

(g) NGB Directorates/Divisions. All 

NGB directorates/divisions maintaining 

records containing PII or that have 

personnel that have access to PII shall: 

(1) Ensure that a SORN is published 

in the FR before collection of any 

information subject to 5 U.S.C. 552a is 

scheduled to begin. 

(2) Ensure System Managers comply 

with all responsibilities outlined in 


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section 5(h) of 32 U.S.C. part 329. This 

includes referring any proposed denials 

of access or amendment under 5 U.S.C. 

552a to the Chief of the OIP within 10 

working days. 

(3) Evaluate Privacy requirements for 

information systems and electronic 

collection or maintenance of PII in the 

early stages of system acquisition/ 

development. This includes completing 

a PIA in accordance with the 

requirements of Public Law 107–347, 

Section 208 of the E-Government Act of 

2002, and DoD 5400.16–R. 

(4) Ensure personnel, including 

contractors, who have access to PII 

complete appropriate Privacy training as 

required by 5 U.S.C. 552a, 32 CFR part 

310, subpart H, and Part II of DoD Policy 

‘‘Safeguarding Against and Responding 

to Breaches of PII’’ as follows: 

(i) Orientation Training: Training that 

provides individuals with a basic 

understanding of the requirements of 5 

U.S.C. 552a as it applies to the 

individual’s job performance. The 

training is for all personnel, as 

appropriate, and should be a 

prerequisite to all other levels of 

training. 

(ii) Specialized Training: Training 

that provides information as to the 

application of specific provisions of this 

part to specialized areas of job 

performance. Personnel of particular 

concern include, but are not limited to 

personnel specialists, finance officers, 

special investigators, paperwork 

managers, public affairs officials, 

information technology professionals, 

and any other personnel responsible for 

implementing or carrying out functions 

under this part. 

(iii) Management Training: Training 

that provides managers and decision 

makers considerations that they should 

take into account when making 

management decisions regarding the 

Privacy program. 

(iv) Privacy Act (5 U.S.C. 552a) SOR 

Training: All individuals who work 

with a Privacy Act (5 U.S.C. 552a) SOR 

are trained on the provisions of the 5 

U.S.C. 552a SORN(s) they work with, 32 

CFR part 310, and this part. 

(5) Ensure all instructions, directives, 

publications, policies, MOAs, MOUs, 

data sharing agreements, data transfer 

agreements, data use agreements, 

surveys (including web-based or 

electronic surveys), and forms that 

involve the collection, retention, use, 

access, sharing, or maintenance of PII 

are coordinated with the Chief of the 

OIP. 

(6) Ensure that any suspected or 

confirmed breaches of PII, or potential 

breaches of PII, are immediately 

reported to the Chief of the OIP in 

accordance with NGB Memorandum 

380–16/33–361 (Available at http:// 

www.nationalguard.mil/sitelinks/links/ 

NGB%20Memorandum%20380- 

16%2033-361,%20PII%20

Incident%20Response%20

Handling.pdf). 

(7) Ensure policies and administrative 

processes within their directorates are 

evaluated to ensure compliance with the 

procedures in this part. 

(h) System Managers. System 

Managers will: 

(1) Report any changes to their 

existing SORN(s) to the Chief of the OIP 

for publishing in the FR at least 90 

working days before the intended 

change to the system. 

(2) Review their published SORN(s) 

on a biennial basis and submit updates 

to the Chief of the OIP as necessary. 

(3) Ensure appropriate training is 

provided for all users, to include 

contractors, which have access to 

records covered by their published 

system notice. 

(4) Ensure safeguards are in place to 

protect all records containing PII 

(electronic, paper, etc.) from 

unauthorized access, use, disclosure, 

alteration, and/or destruction using 

guidelines found in 32 CFR part 310, 

subpart B, 32 CFR part 310, Appendix 

1, and DoDM 5200.01, Volume 4. 

(5) Assist in responding to any 

complaints and inquiries regarding the 

collection or maintenance of, or access 

to information covered by their 

published SORN(s). 

(6) Process all 5 U.S.C. 552a requests 

for access and amendment, as outlined 

in section 6 of 32 CFR part 329. 

(7) Maintain a record of disclosures 

for any records covered by a SORN 

using a method that complies with 32 

CFR part 310, subpart E when disclosing 

records outside of the agency (DoD). 

Such disclosures will only be made 

when permitted by a Routine Use 

published in the SORN. 

(i) As required by 5 U.S.C. 552a and 

32 CFR part 310, subpart E, the 

disclosure accounting will be 

maintained for 5 years after the 

disclosure, or for the life of the record, 

whichever is longer. The record may be 

maintained with the record disclosed, or 

in a separate file within the office’s 

official record keeping system. 

(ii) Pursuant to 5 U.S.C. 552a and 32 

CFR part 310, subpart E, the disclosure 

accounting will include the release date, 

a description of the information 

released, the reason for the release; and, 

the name and address of the recipient. 

§ 329.6 Procedures. 

(a) Publication of Notice in the FR. 

(1) A SORN shall be published in the 

FR of any record system meeting the 

definition of a SOR, as defined by 5 

U.S.C. 552a. 

(2) System Managers shall submit 

notices for new or revised SORNs 

through their Director to the Chief of the 

OIP for review at least 90 working days 

prior to implementation. 

(3) The Chief of the OIP shall forward 

complete SORNs to the Defense Privacy 

and Civil Liberties Office (DPCLO), or 

the respective service that has the 

statutory authority to publish the SORN, 

for review and publication in the FR in 

accordance with 32 CFR part 310, 

subpart G. Following the OMB comment 

period, the public is given 30 days to 

submit written data, views, or 

arguments for consideration before a 

SOR is established or modified. 

(b) Access to Systems of Records 

Information. 

(1) As provided by 5 U.S.C. 552a, 

records shall be disclosed to the 

individual they pertain to and under 

whose individual name or identifier 

they are filed, unless exempted by the 

provisions in 32 CFR part 310, subpart 

F, and section 7 of 32 CFR part 329. If 

an individual is accompanied by a third 

party, or requests a release to a third 

party, the individual shall be required to 

furnish a signed access authorization 

granting the third party access 

conditions according to 32 CFR part 

310, subpart D. 

(2) Individuals seeking access to 

records that pertain to themselves, and 

that are filed by their name or other 

personal identifier, may submit the 

request in person, by mail, or by email. 

All requests for access must be in 

accordance with these procedures: 

(i) Any individual making a request 

for access to records in person shall 

show personal identification to the 

appropriate System Manager, as 

identified in the SORN published in the 

FR, to verify his or her identity, 

according to 32 CFR part 310, subpart D. 

(ii) Any individual making a request 

for access to records by mail or email 

shall address such request to the System 

Manager. If the System Manager is 

unknown, the individual may inquire to 

NGB–JA/OIP: AHS–Bldg 2, Suite T319B, 

111 S. George Mason Drive, Arlington, 

VA 22204–1382, or email 

privacy@ng.army.mil for assistance in 

locating the System Manager. 

(iii) Requests for access shall include 

a mailing address where the records 

should be sent and include either a 

signed notarized statement or a signed 

unsworn declaration to verify his or her 

identity to ensure that they are seeking 

to access records about themselves and 

not, inadvertently or intentionally, the 

records of others. The Privacy Act (5 

U.S.C. 552a) provides a penalty of a 


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misdemeanor and a fine of not more 

than $5,000 for any person who 

knowingly and willfully requests or 

obtains any record concerning an 

individual from an agency under false 

pretenses. If making a declaration, it 

shall read as follows: 

(A) Inside the US: ‘‘I declare (or 

certify, verify, or state) under penalty of 

perjury that the foregoing is true and 

correct. Executed on (date). 

(Signature).’’ 

(B) Outside the US: ‘‘I declare (or 

certify, verify, or state) under penalty of 

perjury under the laws of the United 

States of America that the foregoing is 

true and correct. Executed on (date). 

(Signature).’’ 

(iv) All requests for records shall 

describe the record sought and provide 

sufficient information to enable the 

records to be located (e.g. identification 

of the SORN, approximate date the 

record was initiated, originating 

organization, and type of document). 

(v) All requesters shall comply with 

the procedures in 32 CFR part 310, 

subpart D for inspecting and/or 

obtaining copies of requested records. 

(vi) Requestors affiliated with the DoD 

may not use official government 

supplies or equipment to include 

mailing addresses, work phones/faxes, 

or DoD-issued email accounts to make 

requests. If requests are received using 

DoD equipment, the requestor will be 

advised to make a new request, using 

non-DoD equipment, and processing of 

their request will begin only after such 

new request is received. 

(3) The System Manager shall mail a 

written acknowledgement of the request 

for access to the individual within 10 

working days of receipt. The 

acknowledgement shall identify the 

request and may, if necessary, request 

any additional information needed to 

access the record, advising the requestor 

that they have 20 calendar days to reply. 

No acknowledgement is necessary if the 

request can be reviewed and processed, 

to include notification to the individual 

of a grant or denial of access, within the 

10 working day period. Whenever 

practical, the decision to grant or deny 

access shall be made within 30 working 

days. For requests presented in person, 

written acknowledgement may be 

provided at the time the request is 

presented. 

(4) When a request for access is 

received, System Managers shall 

promptly take one of three actions on 

requests to access records: 

(i) If no portions of the record are 

exempt, pursuant to the published 

SORN, 32 CFR part 310, subpart F, and 

section 7 of 32 CFR part 329, the request 

for access shall be granted and the 

individual will be provided access to all 

records about him or her. If there is 

information within the record not about 

the record subject (e.g. third party 

information) that information will be 

removed and referred to the Chief of the 

OIP for processing under 5 U.S.C. 552, 

pursuant to 32 CFR part 286. 

(ii) If the System Manager finds that 

the record, or portions of the record, is 

exempt from access pursuant to the 

published SORN, 32 U.S.C. part 310, 

subpart F, and section 7 of 32 U.S.C. 

part 329, they will refer the 

recommended denial to the Chief of the 

OIP, through their Director, within 10 

working days of receipt. The referral 

will include the following: 

(A) Written recommendation for 

denial explaining which portion(s) of 

the record should be exempt from 

access and a discussion for why the 

record, or portions of the record, should 

be denied. 

(B) The record, or portions of the 

record, being recommended for denial. 

If only portions of records are 

recommended for denial they must be 

clearly marked or highlighted. 

(C) The original request and any 

correspondence with the requestor. 

(D) A clean copy of the record. 

(iii) If the request for access pertains 

to a record controlled and maintained 

by another Federal agency, but in the 

temporary custody of the NGB, the 

records are the property of the 

originating Component. Access to these 

records is controlled by the system 

notice and rules for the originating 

component/agency. Such requests shall 

be referred to the originating 

component/agency and the requestor 

will be notified in writing of the referral 

and contact information for the 

component/agency. 

(5) The Chief of the OIP will use the 

following procedures for processing any 

recommended denials of access: 

(i) The specific reason for denial cited 

by the System Manager will be 

evaluated and a recommendation will 

be presented to the denial authority. 

(ii) If the request for access is denied, 

a written letter will be sent to the 

requestor using procedures outlined in 

32 CFR part 310, subpart D. The 

requestor will be advised they have 60 

calendar days to appeal the decision to 

deny access. Appeals should be sent to: 

NGB Chief Counsel, 1636 Defense 

Pentagon, Room 1D164, Washington DC 

20301–1636. The requester must 

provide proof of identity or a sworn 

declaration with their appeal, as 

outlined in 32 CFR part 310, subpart D. 

(iii) If the request for access should be 

granted, the access request will be 

directed back to the System Manager to 

process. 

(6) The Chief Counsel will use the 

following procedures for any appeals 

received: 

(i) The Chief Counsel will notify the 

Chief of the OIP that an appeal has been 

received and will request the 

administrative record of the initial 

denial. 

(ii) The Chief of the OIP will provide 

an exact copy of all records from the 

initial denial to the Chief Counsel 

within 10 working days. 

(iii) The Chief Counsel will review the 

appeal and make a final determination 

on whether to grant or deny the appeal. 

(A) If the appellate authority denies 

the appeal, he or she will provide a 

formal written notification to the 

requestor using the procedures outlined 

in 32 CFR part 310, subpart D and will 

provide a copy of the response to the 

Chief of the OIP. 

(B) If the appellate authority grants 

the appeal, he or she will notify the 

Chief of the OIP and the Directorate that 

recommended the denial that the 

individual is being given access to the 

record. The Chief Counsel will provide 

a subsequent notification to the 

requestor advising that his or her appeal 

has been granted, and will provide the 

requestor access to his or her record. 

(iv) All appeals should be processed 

within 30 working days after receipt by 

the Chief Counsel. If the Chief Counsel 

determines that a fair and equitable 

review cannot be made within that time, 

the individual shall be informed in 

writing of the reasons for the delay and 

of the approximate date the review is 

expected to be completed. 

(7) There is no requirement that an 

individual be given access to records 

that are not in a group of records that 

meet the definition of a SOR in 5 U.S.C. 

552a. 

(8) No verification of identity shall be 

required of an individual seeking access 

to records that are otherwise available to 

the public. 

(9) Individuals shall not be denied 

access to a record in a SOR about 

themselves because those records are 

exempted from disclosure under 32 CFR 

part 285. Individuals may only be 

denied access to a record in a SOR about 

themselves when those records are 

exempted from the access provisions of 

32 CFR part 310, subpart F, and this 

part. 

(10) Individuals shall not be denied 

access to their records for refusing to 

disclose their Social Security Number 

(SSN), unless disclosure of the SSN is 

required by statute, by regulation 

adopted before January 1, 1975, or if the 

record’s filing identifier and only means 


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of retrieval is by the SSN (reference 5 

U.S.C. 552a, note, Executive Order 

9397). 

(c) Access to Records or Information 

Compiled for Law Enforcement 

Purposes. 

(1) All requests by individuals to 

access records about themselves are 

processed under 5 U.S.C. 552, 5 U.S.C. 

552a as well as 32 CFR part 286, 32 CFR 

part 310, subpart D to give requesters a 

greater degree of access to records on 

themselves, regardless of which Act is 

cited by the requestor for processing. 

(2) Records (including those in the 

custody of law enforcement activities) 

that have been incorporated into a SOR 

exempted from the access conditions of 

5 U.S.C. 552a and 32 CFR part 310, 

subpart D will be processed in 

accordance with 5 U.S.C. 552a, 32 CFR 

part 310, subpart D, and this part. 

Individuals shall not be denied access to 

records solely because they are in an 

exempt system. They will have the same 

access that they would receive under 5 

U.S.C. 552 and 32 CFR part 286. 

(3) Records systems exempted from 

access conditions will be processed 

under 5 U.S.C. 552 and 32 CFR part 286, 

or 5 U.S.C. 552a and 32 CFR part 310, 

subpart D, depending upon which gives 

the greater degree of access. 

(4) If a non-law enforcement element 

has temporary custody of a record 

otherwise exempted from access under 

32 CFR part 310, subpart F for the 

purpose of adjudication or personnel 

actions, they shall refer any such access 

request, along with the records, to the 

originating agency and notify the 

requestor of the referral. 

(d) Access to Illegible, Incomplete, or 

Partially Exempt Records. 

(1) An individual shall not be denied 

access to his or her record or a copy of 

the record solely because the physical 

condition or the format of the record 

does not make it readily available (e.g. 

record is in a deteriorated state or on a 

magnetic tape). The document will be 

prepared as an extract, or it will be 

exactly recopied. 

(2) If a portion of the record contains 

information that is exempt from access, 

an extract or summary containing all of 

the information in the record that is 

releasable shall be prepared by the 

System Manager. 

(3) When the physical condition of 

the record makes it necessary to prepare 

an extract for release, the extract shall 

be prepared so that the requestor will 

understand it. 

(4) The requester shall be given access 

to any deletions or changes to records 

that are accessible. 

(e) Access to Medical Records. 

(1) Medical records and other 

protected health information (PHI) shall 

be disclosed to the individual pursuant 

to Chapter 11 of DoD 6025.18–R, DoD 

Health Information Privacy Regulation 

(Available at http://www.dtic.mil/whs/ 

directives/corres/pdf/602518r.pdf) and 

32 CFR part 310, subpart D. 

(2) The individual may be charged 

reproduction fees for copies or records 

as outlined in 32 CFR part 310, subpart 

D. 

(f) Amending and Disputing Personal 

Information in Systems of Records. 

(1) The System Manager shall allow 

individuals to request amendments to 

the records covered by their system 

notice to the extent that such records are 

not accurate, relevant, timely, or 

complete. Amendments are limited to 

correcting factual matters and not 

matters of official judgment, such as 

performance ratings, promotion 

potential, and job performance 

appraisals. 

(2) Individuals seeking amendment to 

records that pertain to themselves, and 

that are filed or retrieved by their name 

or other personal identifier, may submit 

a request for amendment in person, by 

mail, or by email. All requests for 

amendment must be in accordance with 

the following: 

(i) Any individual making a request 

for amendment to records in person 

shall show personal identification to the 

appropriate System Manager, as 

identified in the SORN published in the 

FR, to verify his or her identity, as 

outlined in 32 CFR part 310, subpart D. 

(ii) Any individual making a request 

for amendment to records by mail or 

email shall address such request to the 

System Manager. If the System Manager 

is unknown, they may inquire to NGB– 

JA/OIP: AHS-Bldg 2, Suite T319B, 111 

S. George Mason Drive, Arlington VA 

22204–1382, or email 

privacy@ng.army.mil for assistance in 

locating the System Manager. 

(iii) Requests for amendment shall 

include a mailing address where the 

decision on the request for amendment 

can be sent and include either a signed 

notarized statement or a signed unsworn 

declaration to verify his or her identity 

to ensure that they are seeking to amend 

records about themselves and not, 

inadvertently or intentionally, the 

records of others. The Privacy Act (5 

U.S.C. 552a) provides a penalty of a 

misdemeanor and a fine of not more 

than $5,000 for any person who 

knowingly and willfully requests or 

obtains any record concerning an 

individual from an agency under false 

pretenses. The declaration shall read as 

follows: 

(A) Inside the US: ‘‘I declare (or 

certify, verify, or state) under penalty of 

perjury that the foregoing is true and 

correct. Executed on (date). 

(Signature).’’ 

(B) Outside the US: ‘‘I declare (or 

certify, verify, or state) under penalty of 

perjury under the laws of the United 

States of America that the foregoing is 

true and correct. Executed on (date). 

(Signature).’’ 

(iv) All requests for amendment must 

include all information necessary to 

make a determination on the request for 

amendment, as outlined in 32 CFR part 

310, subpart D. 

(v) Requestors affiliated with the DoD 

may not use official government 

supplies or equipment to include 

mailing addresses, work phones/faxes, 

or DoD-issued email accounts to make 

requests for amendment. If requests are 

received using DoD equipment, the 

requestor will be advised to make a new 

request, using non-DoD equipment, and 

processing of their request will begin 

only after such new request is received. 

(3) When a request for amendment is 

received, the System Manager shall: 

(i) Mail a written acknowledgement of 

the request for amendment to the 

individual within 10 working days of 

receipt. Such acknowledgement shall 

identify the request and may, if 

necessary, request any additional 

information needed to make a 

determination, advising the requestor 

that they have 20 calendar days to reply. 

No acknowledgement is necessary if the 

request can be reviewed and processed, 

to include notification to the individual 

of a grant or denial of amendment 

within the 10 working day period. 

Whenever practical, the decision to 

amend shall be made within 30 working 

days. For requests presented in person, 

written acknowledgement may be 

provided at the time the request is 

presented. 

(ii) Determine whether the requester 

has adequately supported his or her 

claim that the record is inaccurate, 

irrelevant, untimely, or incomplete. 

(A) If it is determined the individual’s 

request for amendment is being granted, 

the System Manager will proceed to 

amend the records in accordance with 

existing statutes, regulations, or 

administrative procedures. The 

requestor will then be notified in 

writing of the agreement to amend and 

all previous holders of the records will 

be notified of the amendment as 

required by 32 CFR part 310, subpart D. 

(B) If it is determined that any, or all, 

of the record should not be amended, 

the original request, along with the 

record requested for amendment, and 

justification for recommended denial 


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action shall be forwarded through their 

Director to the Chief of the OIP within 

10 working days of receipt for a decision 

by the IDA. 

(C) If the request for an amendment 

pertains to a record controlled and 

maintained by another Federal agency, 

the amendment request shall be referred 

to the appropriate agency and the 

requestor will be notified in writing of 

the referral and contact information for 

the agency. 

(4) The Chief of the OIP will use the 

following procedures for any 

recommended denials of amendment: 

(i) The specific reason for denial of 

amendment cited by the System 

Manager shall be evaluated and a 

recommendation presented to the IDA 

on whether to support the 

recommendation to deny amendment to 

the record. 

(ii) If the request to amend the record 

is denied, a written letter will be sent to 

the requestor using procedures outlined 

in 32 CFR part 310, subpart D. If an 

individual disagrees with the denial 

decision, he or she may file an appeal 

within 60 calendar days of receipt of the 

denial notification. Appeals should be 

sent to: NGB Chief Counsel, 1636 

Defense Pentagon, Room 1D164, 

Washington DC 20301–1636. 

(5) The Chief Counsel will use the 

following procedures for any appeals 

received: 

(i) The Chief Counsel will notify Chief 

of the OIP that an appeal has been 

received and request an exact copy of 

the administrative record be provided 

within 10 working days. 

(ii) The Chief Counsel will review the 

appeal and make a final determination 

on whether to grant or deny the appeal. 

(A) If the Chief Counsel denies the 

appeal, a written letter will be provided 

to the requestor using the procedures 

outlined in 32 CFR part 310, subpart D 

including notification to the requestor 

that they may file a statement of 

disagreement. A brief statement will be 

prepared by the NGB Chief Counsel 

summarizing the reasons for refusing to 

amend the records and a copy will be 

provided to the Chief of the OIP and the 

System Manager. 

(B) If the appellate authority grants 

the appeal, the procedures outlined in 

32 CFR part 310, subpart D and this part 

will be followed. The System Manager 

will be responsible for informing all 

previous recipients of the amendment 

when a disclosure accounting has been 

maintained in accordance with 32 CFR 

part 310, subpart E. 

(iii) All appeals should be processed 

within 30 working days after receipt by 

the Chief Counsel. If the Chief Counsel 

determines that a fair and equitable 

review cannot be made within that time, 

the individual shall be informed in 

writing of the reasons for the delay and 

of the approximate date the review is 

expected to be completed. 

(g) Disclosure of Disputed 

Information. If the appellate authority 

determines the record should not be 

amended and the individual has filed a 

statement of disagreement, the following 

procedures will be used: 

(1) The System Manager that has 

control of the record shall annotate the 

disputed record so it is apparent to any 

person to whom the record is disclosed 

that a statement has been filed. Where 

feasible, the notation itself shall be 

integral to the record. 

(2) Where disclosure accounting has 

been made, the System Manager shall 

advise previous recipients that the 

record has been disputed and shall 

provide a copy of the individual’s 

statement of disagreement, and the 

statement summarizing the reasons for 

the NGB refusing to amend the records 

in accordance with 32 CFR part 310, 

subpart D. 

(3) The statement of disagreement 

shall be maintained in a manner that 

permits ready retrieval whenever the 

disputed portion of the record is 

disclosed. 

(4) When information that is the 

subject of a statement of disagreement is 

subsequently requested for disclosure, 

the System Manager will follow these 

procedures: 

(i) The System Manager shall note 

which information is disputed and 

provide a copy of the individual’s 

statement in the disclosure. 

(ii) The System Manager shall include 

the summary of the NGB’s reasons for 

not making a correction when disclosing 

disputed information. 

(5) Copies of the statement 

summarizing the reasons for the NGB 

refusing to amend the records will be 

treated as part of the individual’s 

record; however, it will not be subject 

to the amendment procedure outlined in 

5 U.S.C. 552 and 32 CFR part 310, 

subpart D. 

(h) Penalties. 

(1) Civil Action. An individual may 

file a civil suit against the NGB or its 

employees if the individual feels certain 

provisions of 5 U.S.C. 552a have been 

violated. 

(2) Criminal Action. 

(i) Criminal penalties may be imposed 

against any officer or employee for the 

offenses listed in subsection I of 5 

U.S.C. 552a. 

(ii) An officer or employee of NGB 

may be found guilty of a misdemeanor 

and fined up to $5,000 for a violation of 

the offenses listed in subsection I of 5 

U.S.C. 552a. 

(i) Litigation Status Sheet. Whenever 

a complaint citing 5 U.S.C. 552a is filed 

in a U.S. District Court against the NGB, 

or any employee of NGB, the Chief of 

Litigation and Employment Law shall: 

(1) Promptly notify the Chief of the 

OIP of the complaint using the litigation 

status sheet in 32 CFR part 310, 

Appendix H. This status sheet will be 

provided to the DPCLO, or the 

respective service(s) involved in the 

litigation. 

(2) Provide a revised litigation status 

sheet to the Chief of the OIP at each 

stage of the litigation for submission to 

the DPCLO, or the respective service(s) 

involved. 

(3) When a court renders a formal 

opinion or judgment, copies of the 

judgment or opinion shall be provided 

to the Chief of the OIP who will provide 

them to DPCLO, or the respective 

service(s) involved, along with the 

litigation status sheet reporting the 

judgment or opinion. 

(j) Computer Matching Programs. All 

requests for participation in a matching 

program (either as a matching agency, or 

a source agency) shall be submitted 

directly to the DPCLO for review and 

compliance, following procedures in 32 

CFR part 310, subpart L. The Directorate 

shall submit a courtesy copy of such 

requests to the Chief of the OIP. 

§ 329.7 Exemptions. 

(a) General Information. There are two 

types of exemptions, general and 

specific. The general exemption 

authorizes the exemption of a SOR from 

all but a few requirements of 5 U.S.C. 

552a. The specific exemption authorizes 

exemption of a SOR or portion thereof, 

from only a few specific requirements. 

If a new SOR originates for which an 

exemption is proposed, or an additional 

or new exemption for an existing SOR 

is proposed, the exemption shall be 

submitted with the SORN. No 

exemption of a SOR shall be considered 

automatic for all records in the system. 

The System Manager shall review each 

requested records and apply the 

exemptions only when this will serve 

significant and legitimate purpose of the 

Federal Government. 

(b) Exemption for Classified Material. 

All SOR maintained by the NGB shall be 

exempt under section (k)(1) of 5 U.S.C. 

552a to the extent that the systems 

contain any information properly 

classified under Executive Order 13526 

and that is required by that Executive 

Order 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 


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otherwise specifically designated for 

exemptions herein which contain 

isolated items of properly classified 

information. 

(c) Exemption for Anticipation of a 

Civil Action or Proceeding. All systems 

of records maintained by the NGB shall 

be exempt under section (d)(5) of 5 

U.S.C. 552a, to the extent that the record 

is compiled in reasonable anticipation 

of a civil action or proceeding. 

(d) General Exemptions. No SOR 

within the NGB shall be considered 

exempt under subsection (j) or (k) of 5 

U.S.C. 552a until the exemption rule for 

the SOR has been published as a final 

rule in the FR. 

(e) Specific exemptions. 

(1) System identifier and name: INGB 

001, Freedom of Information Act (5 

U.S.C.) and Privacy Act (5 U.S.C. 552a) 

Case Files. 

(i) Exemption: During the course of a 

5 U.S.C. 552 or 5 U.S.C. 552a action, 

exempt materials from other systems of 

records may, in turn, become part of the 

case records in this system. To the 

extent that copies of exempt records 

from those other systems of records are 

entered into this 5 U.S.C. 552 or 5 

U.S.C. 552a case record, the NGB hereby 

claims the same exemptions for the 

records from those other systems that 

are entered into this system, as claimed 

for the original primary SOR which they 

are a part. 

(ii) Authority: 5 U.S.C. 552a, sections 

(j)(2), (k)(1), (k)(2), (k)(3), (k)(4), (k)(5), 

(k)(6), and (k)(7). 

(iii) Reasons: Records are only exempt 

from pertinent provisions of 5 U.S.C. 

552a to the extent such provisions have 

been identified and an exemption 

claimed for the original record and the 

purposes underlying the exemption for 

the original record still pertain to the 

record which is now contained in this 

SOR. In general, the exemptions were 

claimed in order to protect properly 

classified information relating to 

national defense and foreign policy, to 

avoid interference during the conduct of 

criminal, civil, or administrative actions 

or investigations, to ensure protective 

services provided the President and 

others are not compromised, to protect 

the identity of confidential sources 

incident to Federal employment, 

military service, contract, and security 

clearance determinations, to preserve 

the confidentiality and integrity of 

Federal testing materials, and to 

safeguard evaluation materials used for 

military promotions when furnished by 

a confidential source. The exemption 

rule for the original records will identify 

the specific reasons why the records are 

exempt from specific provisions of 5 

U.S.C. 552a. 

(2) System identifier and name: INGB 

005, Special Investigation Reports and 

Files. 

(i) Exemption: Investigatory material 

compiled for law enforcement purposes, 

other than material within the scope of 

subsection 5 U.S.C. 552a(j)(2), may be 

exempt pursuant to 5 U.S.C. 552a(k)(2). 

However, if an individual is denied any 

right, privilege, or benefit for which he 

would otherwise be entitled by Federal 

law or for which he would otherwise be 

eligible, as a result of the maintenance 

of the information, the individual will 

be provided access to the information 

except to the extent that disclosure 

would reveal the identity of a 

confidential source. Note: When 

claimed, this exemption allows limited 

protection of investigative reports 

maintained in a SOR used in personnel 

or administrative actions. Any portion 

of this SOR which falls within the 

provisions of 5 U.S.C. 552a(k)(2) may be 

exempt from the following subsections 

of 5 U.S.C. 552a(c)(3), (d), (e)(1), 

(e)(4)(G), (H), and (I), and (f). 

(ii) Authority: 5 U.S.C. 552a, section 

(k)(2). 

(iii) Reasons: 

(A) From subsection (c)(3) because to 

grant access to the accounting for each 

disclosure as required by 5 U.S.C. 552a, 

including the date, nature, and purpose 

of each disclosure and the identity of 

the recipient, could alert the subject to 

the existence of the investigation. This 

could seriously compromise case 

preparation by prematurely revealing its 

existence and nature; compromise or 

interfere with witnesses or make 

witnesses reluctant to cooperate; and 

lead to suppression, alteration, or 

destruction of evidence. 

(B) From subsections (d) and (f) 

because providing access to 

investigative records and the right to 

contest the contents of those records 

and force changes to be made to the 

information contained therein would 

seriously interfere with and thwart the 

orderly and unbiased conduct of the 

investigation and impede case 

preparation. Providing access rights 

normally afforded under 5 U.S.C. 552a 

would provide the subject with valuable 

information that would allow 

interference with or compromise of 

witnesses or render witnesses reluctant 

to cooperate; lead to suppression, 

alteration, or destruction of evidence; 

enable individuals to conceal their 

wrongdoing or mislead the course of the 

investigation; and result in the secreting 

of or other disposition of assets that 

would make them difficult or 

impossible to reach in order to satisfy 

any Government claim growing out of 

the investigation or proceeding. 

(C) From subsection (e)(1) because it 

is not always possible to detect the 

relevance or necessity of each piece of 

information in the early stages of an 

investigation. In some cases, it is only 

after the information is evaluated in 

light of other evidence that its relevance 

and necessity will be clear. 

(D) From subsections (e)(4)(G) and (H) 

because this SOR is compiled for 

investigative purposes and is exempt 

from the access provisions of 

subsections (d) and (f). 

(E) From subsection (e)(4)(I) because 

to the extent that this provision is 

construed to require more detailed 

disclosure than the broad, generic 

information currently published in the 

system notice, an exemption from this 

provision is necessary to protect the 

confidentiality of sources of information 

and to protect privacy and physical 

safety of witnesses and informants. 

Dated: April 15, 2013. 

Patricia Toppings, 

OSD Federal Register Liaison Officer, 

Department of Defense. 

[FR Doc. 2013–09619 Filed 4–23–13; 8:45 am] 

BILLING CODE 5001–06–P 

POSTAL SERVICE 

39 CFR Part 111 

New Mailing Standards for Live 

Animals and Special Handling 

AGENCY: Postal ServiceTM. 

ACTION: Proposed rule. 

SUMMARY: The Postal Service is 

proposing to revise Mailing Standards 

of the United States Postal Service, 

Domestic Mail Manual (DMM®) 503.14 

and 601.9.3 to require special handling 

service for shipments containing certain 

types of live animals, to limit the mail 

classes available for use when shipping 

certain types of live animals, and to 

expand the mailability of live animals 

domestically to include any adult bird 

weighing no more than 25 pounds. 

DATES: Submit comments on or before 

May 24, 2013. 

ADDRESSES: Mail or deliver written 

comments to the manager, Product 

Classification, U.S. Postal Service, 475 

L’Enfant Plaza SW., Room 4446, 

Washington, DC 20260–5015. You may 

inspect and photocopy all written 

comments at USPS® Headquarters 

Library, 475 L’Enfant Plaza SW., 11th 

Floor North, Washington, DC, by 

appointment only between the hours of 

9 a.m. and 4 p.m., Monday through 

Friday. Call 1–202–268–2906 in 

advance for an appointment. Email 


tkelley on DSK3SPTVN1PROD with PROPOSALS