31456 Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations

1Copies may be obtained: http://

www.whs.osd.mil/corres.htm.

2See footnote 1 to § 701.100.

3Copies may be obtained: Chief of Naval

Operations, 2000 Navy Pentagon, Washington, DC

20350–2000.

dates of requirement for premarket

approval.

Dated: May 9, 2000.

Linda S. Kahan,

Deputy Director for Regulations Policy, Center

for Devices and Radiological Health.

[FR Doc. 00–12526 Filed 5–17–00; 8:45 am]

BILLING CODE 4160–01–F

DEPARTMENT OF DEFENSE

Department of the Navy

32 CFR Part 701

Department of the Navy Privacy Act

Program

AGENCY: Department of the Navy.

ACTION: Final rule.

SUMMARY: On September 14, 1999, at 64

FR 49850, the Department of the Navy

unintentionally deleted subparts F and

G to 32 CFR part 701. These subparts

provide the policies and procedures for

the Department of the Navy Privacy

Program and are still current and

relevant to the Navy’s Privacy Program.

Therefore, this final rule adds subparts

F and G to 32 CFR part 701.

EFFECTIVE DATE: September 14, 1999.

FOR FURTHER INFORMATION CONTACT: Mrs.

Doris Lama at (202) 685-6545.

SUPPLEMENTARY INFORMATION:

Executive Order 12866, ‘Regulatory

Planning and Review’

It has been determined that 32 CFR

part 701, subparts F and G are not

significant regulatory action. The rule

does not:

(1) Have an annual effect to 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;

(3) Materially alter the budgetary

impact of entitlements, grants, user fees,

or loan programs or the rights and

obligations of recipients thereof;

(4) Raise novel legal or policy issues

arising out of legal mandates, the

President’s priorities, or the principles

set forth in this Executive Order.

Public Law 96–354, ‘Regulatory

Flexibility Act’ (5 U.S.C. 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 part does

not impose any reporting or record

keeping requirements under the

Paperwork Reduction Act of 1995.

List of Subjects in 32 CFR Part 701

Privacy.

Accordingly, Chapter I, 32 CFR part

701, is amended by adding subparts F

and G to read as follows:

Subpart F—Department of the Navy Privacy

Act Program

Sec.

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.

Subpart F—Department of the Navy

Privacy Act Program

Authority: Pub. L. 93–579, 88 Stat 1896 (5

U.S.C. 552a).

§ 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 (32 CFR part 310) and

provides Department of the Navy

policies and procedures for:

(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.

§ 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 5720.42F,3 ‘Department of

the Navy Freedom of Information Act

Program.’

§ 701.102 Definitions.

For the purposes of this subpart and

subpart G of this part, the following

meanings apply.

Access. The review or copying of a

record or parts thereof contained in a

system of records by any individual.

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.

Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations 31457

4 See footnote 3 to § 701.101.

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.

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.

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.

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).

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 nonpersonal capacity (for example, sole

proprietorship or partnership).

Individual access. Access to

information pertaining to the individual

by the individual or his or her

designated agent or legal guardian.

Maintain. Includes maintain, collect,

use, or disseminate.

Member of the public. Any individual

or party acting in a private capacity.

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.

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.

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.

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.

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.

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(MRA)), 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.

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.

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.

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.

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).

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

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.

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.

Working day. All days excluding

Saturday, Sunday, and legal holidays.

§ 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

31458 Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations

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

§ 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.

§ 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 trainingoversight 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 ARAD)) 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

§ 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;

Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations 31459

5Copies may be obtained: Judge Advocate

General, Navy Department, 1322 Patterson Avenue,

SE, Suite 3000, Washington Navy Yard,

Washington, DC 20374-5066. 6See footnote 3 to § 701.101.

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 courtsmartial.

(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 § 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

§ 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:

(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.

§ 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 § 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 § 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.);

31460 Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations

7Copies may be obtained: OPNAV/SECNAV

Directives Control Office, Washington Navy Yard,

Building 200, Washington, DC 20350–2000.

(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 § 701.107(b) and (c), do the

evaluation described in paragraph (e) of

this section.

(ii) Conduct the following reviews

annually and be prepared to report, in

accordance with § 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 nonDoD records to ensure that the

requirements of § 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 § 701.107(b). If minor

changes are needed, amend the system

notice pursuant to § 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 paragraph (h) of this

section.

(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.’’

(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.

§ 701.106 Safeguarding records in

systems of records.

Establish appropriate administrative,

technical, and physical safeguards to

Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations 31461

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 NEEDTO-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

paragraph (b)(1) of this section.

§ 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.

§ 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

31462 Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations

8Copies may be obtained: Office of Personnel

Management, 1900 E Street, Washington, DC 20415.

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.

(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.

§ 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 America 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

Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations 31463

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 paragraph (d) of

this section.

(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

§ 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

§ 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) Paragraphs (a)(9)(i) and (ii) of this

section 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

5720.42F, ‘‘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

31464 Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations

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 caseby-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 § 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.

§ 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 § 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 § 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.

Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations 31465

(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.

§ 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 (MRA), 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 (MRA),

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 governmentwide 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, 720 Kennon

Street, SE, Washington Navy Yard,

Building 36, Washington, DC 20374–

5012.

(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, 1322 Patterson Avenue, SE,

Suite 3000, Washington Navy Yard,

Washington, DC 20374–5066.

(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.

31466 Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations

§ 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 5720.42F, ‘‘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 5720.42F, ‘‘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 5720.42F, ‘‘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 5720.42F, ‘‘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.

Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations 31467

(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

5720.42F, ‘‘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 courtsmartial 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 (ARAD) 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

31468 Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations

9Copies may be obtained: Judge Advocate

General, Navy Department, (Code 34), 1322

Patterson Avenue, SE, Suite 3000, Washington

Navy Yard, Washington, DC 20374–5066.

Records Center is considered the agent

of Department of the Navy and the

disclosure is made under paragraph

(b)(1) of this section.

(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.’’

(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 5720.42F 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 5720.42F 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

Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations 31469

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

5720.42F and OPM Regulations and the

Federal Personnel Manual, as well as

the information listed in paragraphs

(b)(2)(v) (for military personnel) and

(b)(2) of this section.

(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) (semiconscious) (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 paragraph

(b)(7) of this section; 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 paragraph (f) of

this section.

§ 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

31470 Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations

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

5720.42F, ‘‘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. 12958 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)–(k)(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 5720.42F,

‘‘Department of the Navy Freedom of

Information Act Program’’ and E.O.

12958, in the interest of national

defense or foreign policy.

(2) (k)(2) exemption: Investigatory

information (other than that information

within the scope of paragraph (f)(2) of

this section) 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 paragraph (h) of this section,

‘‘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 paragraph (h) of

this section, ‘‘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

Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations 31471

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 paragraph (h) of this section,

‘‘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.

§ 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.

§ 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

Authority: Pub. L. 93–579, 88 Stat 1896 (5

U.S.C. 552a).

§ 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, § 701.113, to

exempt certain systems of Department

of the Navy records from specified

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

§ 701.117 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. 12958 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.

§ 701.118 Exemptions for specific Navy

record systems.

(a) System identifier and name:

(1) N01070–9, White House Support

Program.

(2) Exemption: (i) Information

specifically authorized to be classified

under E.O. 12958, as implemented by

DoD 5200.1–R, may be exempt pursuant

to 5 U.S.C. 552a(k)(1).

(ii) Investigatory material compiled

for law enforcement purposes may be

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

However, if an individual is denied any

right, privilege, or benefit for which he

would otherwise be entitled by Federal

law or for which he would otherwise be

eligible, as a result of the maintenance

of such information, the individual will

be provided access to such information

except to the extent that disclosure

would reveal the identity of a

confidential source.

(iii) Records maintained in

connection with providing protective

services to the President and other

individuals under 18 U.S.C. 3506, may

be exempt pursuant to 5 U.S.C.

552a(k)(3).

(iv) Investigatory material compiled

solely for the purpose of determining

suitability, eligibility, or qualifications

for federal civilian employment,

military service, federal contracts, or

access to classified information may be

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

31472 Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations

but only to the extent that such material

would reveal the identity of a

confidential source.

(v) 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).

(3) Authority: 5 U.S.C. 552a(k)(1),

(k)(2), (k)(3), and (k)(5).

(4) Reasons: (i) Exempted portions of

this system contain information which

has been properly classified under E.O.

12958, 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:

(1) N01131–1, Officer Selection and

Appointment System.

(2) Exemption: (i) Information

specifically authorized to be classified

under E.O. 12958, as implemented by

DoD 5200.1–R, may be exempt pursuant

to 5 U.S.C. 552a(k)(1).

(ii) Investigatory material compiled

solely for the purpose of determining

suitability, eligibility, or qualifications

for federal civilian employment,

military service, federal contracts, or

access to classified information may be

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

but only to the extent that such material

would reveal the identity of a

confidential source.

(iii) Testing or examination material

used solely to determine individual

qualifications for appointment or

promotion in the Federal service may be

exempt pursuant to 5 U.S.C. 552a(k)(6),

if the disclosure would compromise the

objectivity or fairness of the test or

examination process.

(iv) Evaluation material used to

determine potential for promotion in the

Military Services may be exempt

pursuant to 5 U.S.C. 552a(k)(7), but only

to the extent that the disclosure of such

material would reveal the identity of a

confidential source.

(v) 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).

(3) Authority: 5 U.S.C. 552a(k)(1),

(k)(5), (k)(6), and (k)(7).

(4) Reasons: (i) 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:

(1) N01133–2, Recruiting Enlisted

Selection System.

(2) Exemption: (i) Information

specifically authorized to be classified

under E.O. 12958, as implemented by

DoD 5200.1–R, may be exempt pursuant

to 5 U.S.C. 552a(k)(1).

(ii) Investigatory material compiled

solely for the purpose of determining

suitability, eligibility, or qualifications

for federal civilian employment,

military service, federal contracts, or

access to classified information may be

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

but only to the extent that such material

would reveal the identity of a

confidential source.

(iii) Testing or examination material

used solely to determine individual

qualifications for appointment or

promotion in the Federal service may be

exempt pursuant to 5 U.S.C. 552a(k)(6),

if the disclosure would compromise the

objectivity or fairness of the test or

examination process.

(iv) Evaluation material used to

determine potential for promotion in the

Military Services may be exempt

pursuant to 5 U.S.C. 552a(k)(7), but only

to the extent that the disclosure of such

material would reveal the identity of a

confidential source.

(v) 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).

(3) Authority: 5 U.S.C. 552a(k)(1),

(k)(5), (k)(6), and (k)(7).

(4) 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:

(1) N01640–1, Individual Correctional

Records.

(2) Exemption: (i) Parts of this system

may be exempt pursuant to 5 U.S.C.

552a(j)(2) if the information is compiled

and maintained by a component of the

agency which performs as its principle

function any activity pertaining to the

enforcement of criminal laws.

(ii) 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).

(3) Authority: 5 U.S.C. 552a(j)(2).

(4) Reason: (i) 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:

(1) N01754–3, Navy Child

Development Services Program.

(2) Exemption: (i) Investigatory

material compiled for law enforcement

purposes may be exempt pursuant to 5

U.S.C. 552a(k)(2). However, if an

individual is denied any right, privilege,

or benefit for which he would otherwise

be entitled by Federal law or for which

he would otherwise be eligible, as a

result of the maintenance of such

information, the individual will be

provided access to such information

except to the extent that disclosure

would reveal the identity of a

confidential source.

Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations 31473

(ii) Portions of this system of records

are exempt from the following

subsections of the Privacy Act: (c)(3)

and (d).

(3) Authority: 5 U.S.C. 552a(k)(2).

(4) Reasons: (i) 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:

(1) N03834–1, Special Intelligence

Personnel Access File.

(2) Exemption: (i) Information

specifically authorized to be classified

under E.O. 12958, as implemented by

DoD 5200.1–R, may be exempt pursuant

to 5 U.S.C. 552a(k)(1).

(ii) Investigatory material compiled

solely for the purpose of determining

suitability, eligibility, or qualifications

for federal civilian employment,

military service, federal contracts, or

access to classified information may be

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

but only to the extent that such material

would reveal the identity of a

confidential source.

(iii) 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).

(3) Authority: 5 U.S.C. 552a(k)(1) and

(k)(5).

(4) Reasons: (i) 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.

(ii) 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:

(1) N04060–1, Navy and Marine Corps

Exchange Security Files.

(2) Exemption: (i) Investigatory

material compiled for law enforcement

purposes may be exempt pursuant to 5

U.S.C. 552a(k)(2). However, if an

individual is denied any right, privilege,

or benefit for which he would otherwise

be entitled by Federal law or for which

he would otherwise be eligible, as a

result of the maintenance of such

information, the individual will be

provided access to such information

except to the extent that disclosure

would reveal the identity of a

confidential source.

(ii) 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).

(3) Authority: 5 U.S.C. 552a(k)(2).

(4) Reasons: (i) 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) [Reserved]

(i) System identifier and name:

(1) N05041–1, Inspector General (IG)

Records.

(2) Exemption: (i) Information

specifically authorized to be classified

under E.O. 12958, as implemented by

DoD 5200.1–R, may be exempt pursuant

to 5 U.S.C. 552a(k)(1).

(ii) Investigatory material compiled

for law enforcement purposes may be

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

However, if an individual is denied any

right, privilege, or benefit for which he

would otherwise be entitled by Federal

law or for which he would otherwise be

eligible, as a result of the maintenance

of such information, the individual will

be provided access to such information

except to the extent that disclosure

would reveal the identity of a

confidential source.

(iii) Portions of this system of records

may be exempt from the provisions of

5 U.S.C. 552a(c)(3); (d); (e)(1); (e)(4)(G),

(H), and (I); and (f).

(3) Authority: 5 U.S.C. 552a(k)(1) and

(k)(2).

(4) Reasons: (i) From subsection (c)(3)

because the release of the disclosure

accounting would permit individuals to

obtain valuable information concerning

the nature of the investigation and

would present a serious impediment to

the orderly conduct of any investigative

activities. Such accounting could result

in the release of properly classified

information which would compromise

the national defense or disrupt foreign

policy.

(ii) From subsections (d) and (f)

because access to the records would

inform individuals of the existence and

nature of the investigation; provide

information that might result in the

concealment, destruction, or fabrication

of evidence; possibly jeopardize the

safety and well-being of informants,

witnesses and their families; likely

reveal and render ineffectual

investigatory techniques and methods

and sources of information; and

possibly result in the invasion of the

personal privacy of third parties. Access

could result in the release of properly

classified information which could

compromise the national defense or

disrupt foreign policy. Amendment of

the records would interfere with the

ongoing investigation and impose an

impossible administrative burden by

requiring investigations to be

continually reinvestigated.

(iii) From subsection (e)(1) because in

the course of the investigation it is not

always possible, at least in the early

stages of the inquiry, to determine

relevance and or necessity as such

determinations may only occur after the

information has been evaluated.

Information may be obtained concerning

the actual or potential violation of laws

or regulations other than those relating

to the ongoing investigation. Such

information should be retained as it can

aid in establishing patterns of improper

activity and can provide valuable leads

in the conduct of other investigations.

(iv) From subsection (e)(4)(G) and (H)

because this system of records is exempt

from individual access pursuant to

subsections (k)(1) and (k)(2) of the

Privacy Act of 1974.

(v) From subsection (e)(4)(I) because it

is necessary to protect the

confidentiality of sources and to protect

the privacy and physical safety of

witnesses. Although the system is

exempt from this requirement, the

Department of the Navy has published

a notice in broad, generic terms in the

belief that this is all that subsection

(e)(4)(I) of the Act requires.

(j) System identifier and name:

(1) N05300–3, Faculty Professional

Files.

(2) Exemption: Investigatory material

compiled solely for the purpose of

determining suitability, eligibility, or

qualifications for federal civilian

31474 Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations

employment, military service, federal

contracts, or access to classified

information may be exempt pursuant to

5 U.S.C. 552a(k)(5), but only to the

extent that such material would reveal

the identity of a confidential source.

(ii) 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).

(3) Authority: 5 U.S.C. 552a(k)(5).

(4) 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:

(1) N05354–1, Equal Opportunity

Information Management System.

(2) Exemption: (i) Information

specifically authorized to be classified

under E.O. 12958, as implemented by

DoD 5200.1–R, may be exempt pursuant

to 5 U.S.C. 552a(k)(1).

(ii) Investigatory material compiled

solely for the purpose of determining

suitability, eligibility, or qualifications

for federal civilian employment,

military service, federal contracts, or

access to classified information may be

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

but only to the extent that such material

would reveal the identity of a

confidential source.

(iii) 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).

(3) Authority: 5 U.S.C. 552a(k)(1) and

(k)(5).

(4) 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:

(1) N05520–1, Personnel Security

Eligibility Information System.

(2) Exemption: (i) Information

specifically authorized to be classified

under E.O. 12958, as implemented by

DoD 5200.1–R, may be exempt pursuant

to 5 U.S.C. 552a(k)(1).

(ii) Investigatory material compiled

for law enforcement purposes may be

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

However, if an individual is denied any

right, privilege, or benefit for which he

would otherwise be entitled by Federal

law or for which he would otherwise be

eligible, as a result of the maintenance

of such information, the individual will

be provided access to such information

except to the extent that disclosure

would reveal the identity of a

confidential source.

(iii) Investigatory material compiled

solely for the purpose of determining

suitability, eligibility, or qualifications

for federal civilian employment,

military service, federal contracts, or

access to classified information may be

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

but only to the extent that such material

would reveal the identity of a

confidential source.

(iv) Evaluation material used to

determine potential for promotion in the

Military Services may be exempt

pursuant to 5 U.S.C. 552a(k)(7), but only

to the extent that the disclosure of such

material would reveal the identity of a

confidential source.

(v) 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).

(3) Authority: 5 U.S.C. 552a(k)(1),

(k)(2), (k)(5), and (k)(7).

(4) 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:

(1) N05520–4, NCIS Investigative Files

System.

(2) Exemption: (i) Parts of this system

may be exempt pursuant to 5 U.S.C.

552a(j)(2) if the information is compiled

and maintained by a component of the

agency which performs as its principle

function any activity pertaining to the

enforcement of criminal laws.

(ii) 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).

(3) Authority: 5 U.S.C. 552a(j)(2).

(4) Reason:

(i) 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.

(5) Exemption:

(i) Information specifically authorized

to be classified under E.O. 12958, as

implemented by DoD 5200.1–R, may be

exempt pursuant to 5 U.S.C. 552a(k)(1).

(ii) Records maintained in connection

with providing protective services to the

President and other individuals under

18 U.S.C. 3506, may be exempt pursuant

to 5 U.S.C. 552a(k)(3).

(iii) Records maintained solely for

statistical research or program

evaluation purposes and which are not

used to make decisions on the rights,

benefits, or entitlement of an individual

except for census records which may be

disclosed under 13 U.S.C. 8, may be

exempt pursuant to 5 U.S.C. 552a(k)(4).

(iv) Investigatory material compiled

solely for the purpose of determining

suitability, eligibility, or qualifications

for federal civilian employment,

military service, federal contracts, or

access to classified information may be

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

but only to the extent that such material

would reveal the identity of a

confidential source.

(v) Testing or examination material

used solely to determine individual

qualifications for appointment or

promotion in the Federal service may be

exempt pursuant to 5 U.S.C. 552a(k)(6),

if the disclosure would compromise the

objectivity or fairness of the test or

examination process.

(vi) 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).

(6) Authority: 5 U.S.C. 552a(k)(1),

(k)(3), (k)(4), (k)(5) and (k)(6).

(7) Reason:

(i) The release of disclosure

accountings would permit the subject of

Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations 31475

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.

(ii) 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.

12958, and that is required to be kept

secret in the interest of national defense

or foreign policy.

(iii) 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.

(iv) 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.

(v) 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.

(vi) 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.

(vii) Exempt portions of this system

containing screening board reports.

(viii) 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:

(1) N05520–5, Personnel Security

Program Management Records System.

(2) Exemption:

(i) Information specifically authorized

to be classified under E.O. 12958, as

implemented by DoD 5200.1–R, may be

exempt pursuant to 5 U.S.C. 552a(k)(1).

(ii) Investigatory material compiled

solely for the purpose of determining

suitability, eligibility, or qualifications

for federal civilian employment,

military service, federal contracts, or

access to classified information may be

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

but only to the extent that such material

would reveal the identity of a

confidential source.

(iii) Portions of this system of records

are exempt from the following

subsections of 5 U.S.C. 552a: (d)(1–5).

(3) Authority: 5 U.S.C. 552a(k)(1) and

(k)(5).

(4) Reasons:

(i) 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:

(1) N05527–1, Security Incident

System.

(2) Exemption:

(i) Parts of this system may be exempt

pursuant to 5 U.S.C. 552a(j)(2) if the

information is compiled and maintained

by a component of the agency which

performs as its principle function any

activity pertaining to the enforcement of

criminal laws.

(ii) 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).

(3) Authority: 5 U.S.C. 552a(j)(2).

(4) Reasons:

(i) 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:

(1) N05527–4, Naval Security Group

Personnel Security/Access Files.

(2) Exemption:

(i) Information specifically authorized

to be classified under E.O. 12958, as

implemented by DoD 5200.1–R, may be

exempt pursuant to 5 U.S.C. 552a(k)(1).

(ii) Investigatory material compiled

for law enforcement purposes may be

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

However, if an individual is denied any

right, privilege, or benefit for which he

would otherwise be entitled by Federal

law or for which he would otherwise be

eligible, as a result of the maintenance

of such information, the individual will

be provided access to such information

except to the extent that disclosure

would reveal the identity of a

confidential source.

(iii) Records maintained in

connection with providing protective

services to the President and other

individuals under 18 U.S.C. 3506, may

be exempt pursuant to 5 U.S.C.

552a(k)(3).

(iv) Records maintained solely for

statistical research or program

evaluation purposes and which are not

used to make decisions on the rights,

benefits, or entitlement of an individual

except for census records which may be

disclosed under 13 U.S.C. 8, may be

exempt pursuant to 5 U.S.C. 552a(k)(4).

(v) Investigatory material compiled

solely for the purpose of determining

31476 Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations

suitability, eligibility, or qualifications

for federal civilian employment,

military service, federal contracts, or

access to classified information may be

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

but only to the extent that such material

would reveal the identity of a

confidential source.

(vi) 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).

(3) Authority: 5 U.S.C. 552a(k)(1)

through (k)(5).

(4) Reasons:

(i) Exempt portions of this system

contain information that has been

properly classified under E.O. 12958,

and that is required to be kept secret in

the interest of national defense or

foreign policy.

(ii) 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:

(1) N05800–1, Legal Office Litigation/

Correspondence Files.

(2) Exemption:

(i) Information specifically authorized

to be classified under E.O. 12958, as

implemented by DoD 5200.1–R, may be

exempt pursuant to 5 U.S.C. 552a(k)(1).

(ii) Investigatory material compiled

for law enforcement purposes may be

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

However, if an individual is denied any

right, privilege, or benefit for which he

would otherwise be entitled by Federal

law or for which he would otherwise be

eligible, as a result of the maintenance

of such information, the individual will

be provided access to such information

except to the extent that disclosure

would reveal the identity of a

confidential source.

(iii) Investigatory material compiled

solely for the purpose of determining

suitability, eligibility, or qualifications

for federal civilian employment,

military service, federal contracts, or

access to classified information may be

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

but only to the extent that such material

would reveal the identity of a

confidential source.

(iv) Testing or examination material

used solely to determine individual

qualifications for appointment or

promotion in the Federal service may be

exempt pursuant to 5 U.S.C. 552a(k)(6),

if the disclosure would compromise the

objectivity or fairness of the test or

examination process.

(v) Evaluation material used to

determine potential for promotion in the

Military Services may be exempt

pursuant to 5 U.S.C. 552a(k)(7), but only

to the extent that the disclosure of such

material would reveal the identity of a

confidential source.

(vi) 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).

(3) Authority: 5 U.S.C. 552a(k)(1),

(k)(2), (k)(5), (k)(6), and (k)(7).

(4) Reasons:

(i) 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 caserelated papers. Administrative due

process could not be achieved by the

‘‘exparte’’ correction of such materials.

(ii) 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.

(iii) Subsections (f)(2), (3), and (4)

because this record system is exempt

from the individual access provisions of

subsection (d).

(r) System identifier and name:

(1) N01000–5, Naval Clemency and

Parole Board Files.

(2) Exemption:

(i) Parts of this system may be exempt

pursuant to 5 U.S.C. 552a(j)(2) if the

information is compiled and maintained

by a component of the agency which

performs as its principle function any

activity pertaining to the enforcement of

criminal laws.

(ii) Portions of this system of records

are exempt from the following

subsections of the Privacy Act: (c)(4),

(d), (e)(4)(G), and (f).

(3) Authority: 5 U.S.C. 552a(j)(2).

(4) Reasons:

(i) 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 reflecting items

of opinion, conclusion, or

recommendation expressed by

individual board members or by the

board as a whole.

(ii) 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:

(1) N06320–2, Family Advocacy

Program System.

(2) Exemption:

(i) Investigatory material compiled for

law enforcement purposes may be

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

However, if an individual is denied any

right, privilege, or benefit for which he

would otherwise be entitled by Federal

law or for which he would otherwise be

eligible, as a result of the maintenance

of such information, the individual will

be provided access to such information

except to the extent that disclosure

would reveal the identity of a

confidential source.

(ii) Investigatory material compiled

solely for the purpose of determining

suitability, eligibility, or qualifications

for federal civilian employment,

military service, federal contracts, or

access to classified information may be

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

but only to the extent that such material

would reveal the identity of a

confidential source.

(iii) Portions of this system of records

are exempt from the following

subsections of the Privacy Act: (c)(3)

and (d).

(3) Authority: 5 U.S.C. 552a(k)(2) and

(k)(5).

(4) Reasons:

(i) 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

Federal Register / Vol. 65, No. 97 / Thursday, May 18, 2000 / Rules and Regulations 31477

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.

(ii) 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:

(1) N12930–1, Human Resources

Group Personnel Records.

(2) Exemption:

(i) Investigatory material compiled

solely for the purpose of determining

suitability, eligibility, or qualifications

for federal civilian employment,

military service, federal contracts, or

access to classified information may be

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

but only to the extent that such material

would reveal the identity of a

confidential source.

(ii) Testing or examination material

used solely to determine individual

qualifications for appointment or

promotion in the Federal service may be

exempt pursuant to 5 U.S.C. 552a(k)(6),

if the disclosure would compromise the

objectivity or fairness of the test or

examination process.

(iii) Portions of this system of records

are exempt from the following

subsections of the Privacy Act: (d),

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

(3) Authority: 5 U.S.C. 552a(k)(5) and

(k)(6).

(4) Reasons:

(i) 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.

(ii) 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.

§ 701.119 Exemptions for specific Marine

Corps record systems.

(a) System identifier and name:

(1) MMN00018, Base Security Incident

Reporting System.

(2) Exemption:

(i) Parts of this system may be exempt

pursuant to 5 U.S.C. 552a(j)(2) if the

information is compiled and maintained

by a component of the agency which

performs as its principle function any

activity pertaining to the enforcement of

criminal laws.

(ii) 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).

(3) Authority: 5 U.S.C. 552a(j)(2).

(4) Reasons:

(i) 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:

(1) MIN00001, Personnel and Security

Eligibility and Access Information

System.

(2) Exemption:

(i) Investigatory material compiled for

law enforcement purposes may be

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

However, if an individual is denied any

right, privilege, or benefit for which he

would otherwise be entitled by Federal

law or for which he would otherwise be

eligible, as a result of the maintenance

of such information, the individual will

be provided access to such information

except to the extent that disclosure

would reveal the identity of a

confidential source.

(ii) Records maintained in connection

with providing protective services to the

President and other individuals under

18 U.S.C. 3506, may be exempt pursuant

to 5 U.S.C. 552a(k)(3).

(iii) Investigatory material compiled

solely for the purpose of determining

suitability, eligibility, or qualifications

for federal civilian employment,

military service, federal contracts, or

access to classified information may be

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

but only to the extent that such material

would reveal the identity of a

confidential source.

(iv) 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).

(3) Authority: 5 U.S.C. 552a(k)(2),

(k)(3), and (k)(5), as applicable.

(4) Reasons:

(i) Exempt portions of this system

contain information that has been

properly classified under E.O. 12958,

and that is required to be kept secret in

the interest of national defense or

foreign policy.

(ii) 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.

(iii) 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: May 12, 2000.

L.M. Bynum,

Alternate OSD Federal Register Liaison

Officer, Department of Defense.

[FR Doc. 00–12465 Filed 5–17–00; 8:45 am]

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