[Federal Register Volume 71, Number 154 (Thursday, August 10, 2006)]
[Rules and Regulations]
[Pages 46052-46071]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 06-6799]



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Part VI





Department of Defense





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Department of the Army



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32 CFR Part 505



The Army Privacy Program; Final Rule

Federal Register / Vol. 71, No. 154 / Thursday, August 10, 2006 / 
Rules and Regulations

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DEPARTMENT OF DEFENSE

Department of the Army

32 CFR Part 505

RIN 0702-AA53

[Docket No. USA-2006-0011]


The Army Privacy Program

AGENCY: Department of the Army, DoD.

ACTION: Final rule.

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SUMMARY: The Department of the Army is updating policies and 
responsibilities for the Army Privacy Program, which implements the 
Privacy Act of 1974, by showing organizational realignments and by 
revising referenced statutory and regulatory authority, such as the 
Health Insurance Portability and Accountability Act and E-Government 
Act of 2002. This rule finalizes the proposed rule that was published 
in the Federal Register on April 25, 2006.

DATES: Effective Date: September 11, 2006.

ADDRESSES: U.S. Army Records Management and Declassification Agency, 
Freedom of Information and Privacy Office, 7701 Telegraph Road, Casey 
Bldg., Suite 144, Alexandria, VA 22315-3905.

FOR FURTHER INFORMATION CONTACT: Ms. Janice Thornton at (703) 428-6503.

SUPPLEMENTARY INFORMATION:

A. Background

    In the April 25, 2006, issue of the Federal Register (71 FR 24494), 
the Department of the Army issued a proposed rule to revise 32 CFR part 
505. It incorporates Privacy Act policy objectives to include (1) 
restricting disclosure of personally identifiable records maintained; 
(2) to grant individuals rights of access to agency records maintained 
on themselves; (3) to grant individuals the right to seek amendment of 
agency records maintained on themselves upon a showing that the records 
are not accurate, relevant, timely, or complete; and (4) to establish 
practices ensuring the Army is complying with statutory norms for 
collection, maintenance, and dissemination of records. The Department 
of the Army received two comments from one commenter. No substantive 
changes were requested or made; however, the proposed changes were 
accepted and made to the final rule. The commenter expressed concern on 
Sec.  505-2(e) titled ``Nomination of individuals when personal 
information * * *'' It was changed to read ``Notification of 
individuals when personal information * * *'' The other concern was in 
Sec.  505.2(a)(2), suggestion was made to clarify the section by 
incorporating the DoD 6025.18-R, Privacy of Individually Identifiable 
Health Information in DoD Health Care Programs, language. The proposed 
Sec.  505.2 (a)(3) through Sec.  505.2(a)(13) was redesignated as Sec.  
505.2(a) (4) through Sec.  505.2(a)(14) and a new Sec.  505.2(a)(3) was 
added.

B. Executive Order 12866 (Regulatory Planning and Review)

    It has been determined that Privacy Act rules for the Department of 
Defense are not significant rules. The rules do not (1) have an annual 
effect on the economy of $100 million or more or adversely affect in a 
material way the economy; a sector of the economy; productivity; 
competition; jobs; the environment; public health or safety; or State, 
local, or tribal governments or communities; (2) create a serious 
inconsistency or otherwise interfere with an action taken or planned by 
another Agency; (3) materially alter the budgetary impact of 
entitlements, grants, user fees, or loan programs, or the rights and 
obligations of recipients thereof; or (4) raise novel legal or policy 
issues arising out of legal mandates, the President's priorities, or 
the principles set forth in this Executive order.

C. Regulatory Flexibility

    It has been certified that Privacy Act rules for the Department of 
Defense do not have significant economic impact on a substantial number 
of small entities because they are concerned only with the 
administration of Privacy Act systems of records within the Department 
of Defense.

D. Paperwork Reduction Act

    It has been certified that Privacy Act rules for the Department of 
Defense impose no information requirements beyond the Department of 
Defense and that the information collected within the Department of 
Defense is necessary and consistent with 5 U.S.C. 552a, known as the 
Privacy Act of 1974.

E. Unfunded Mandates Reform Act

    It has been certified that the Privacy Act rulemaking for the 
Department of Defense does not involve a Federal mandate that may 
result in the expenditure by State, local and tribal governments, in 
the aggregate, or by the private sector, of $100 million or more and 
that such rulemaking will not significantly or uniquely affect small 
governments.

F. Executive Order 13132 (Federalism)

    It has been certified that the Privacy Act rules for the Department 
of Defense do not have federalism implications. The rules do not have 
substantial direct effects on the States, on the relationship between 
the National Government and the States, or on the distribution of power 
and responsibilities among the various levels of government.

Robert Dickerson,
Chief, U.S. Army Freedom of Information Act and Privacy Office.

List of Subjects in 32 CFR Part 505

    Privacy.

0
For reasons stated in the preamble the Department of the Army revises 
32 CFR part 505 to read as follows:

PART 505--ARMY PRIVACY ACT PROGRAM

Sec.
505.1 General information.
505.2 General provisions.
505.3 Privacy Act systems of records.
505.4 Collecting personal information.
505.5 Individual access to personal information.
505.6 Amendment of records.
505.7 Disclosure of personal information to other agencies and third 
parties.
505.8 Training requirements.
505.9 Reporting requirements.
505.10 Use and establishment of exemptions.
505.11 Federal Register publishing requirements.
505.12 Privacy Act enforcement actions.
505.13 Computer Matching Agreement Program.
505.14 Recordkeeping requirements under the Privacy Act.
Appendix A to Part 505--References
Appendix B to Part 505--Denial Authorities for Records Under Their 
Authority (Formerly Access and Amendment Refusal Authorities)
Appendix C to Part 505--Privacy Act Statement Format
Appendix D to Part 505--Exemptions; Exceptions; and DoD Blanket 
Routine Uses
Appendix E to Part 505--Litigation Status Sheet
Appendix F to Part 505--Example of a System of Records Notice
Appendix G to Part 505--Management Control Evaluation Checklist
Appendix H to Part 505--Definitions

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


Sec.  505.1  General information.

    (a) Purpose. This part sets forth policies and procedures that 
govern personal information maintained by the Department of the Army 
(DA) in Privacy Act systems of records. This part also provides 
guidance on collecting and disseminating personal information in

[[Page 46053]]

general. The purpose of the Army Privacy Act Program is to balance the 
government's need to maintain information about individuals with the 
right of individuals to be protected against unwarranted invasions of 
their privacy stemming from Federal agencies' collection, maintenance, 
use and disclosure of personal information about them. Additionally, 
this part promotes uniformity within the Army's Privacy Act Program.
    (b) References: (1) Referenced publications are listed in Appendix 
A of this part.
    (2) DOD Computer Matching Program and other Defense Privacy 
Guidelines may be accessed at the Defense Privacy Office Web site 
http://www.defenselink.mil/privacy.
    (c) Definitions are provided at Appendix H of this part.
    (d) Responsibilities. (1) The Office of the Administrative 
Assistant to the Secretary of the Army will--
    (i) Act as the senior Army Privacy Official with overall 
responsibility for the execution of the Department of the Army Privacy 
Act Program;
    (ii) Develop and issue policy guidance for the program in 
consultation with the Army General Counsel; and
    (iii) Ensure the DA Privacy Act Program complies with Federal 
statutes, Executive Orders, Office of Management and Budget guidelines, 
and 32 CFR part 310.
    (2) The Chief Attorney, Office of the Administrative Assistant to 
the Secretary of the Army (OAASA) will--
    (i) Provide advice and assistance on legal matters arising out of, 
or incident to, the administration of the DA Privacy Act Program;
    (ii) Serve as the legal advisor to the DA Privacy Act Review Board. 
This duty may be fulfilled by a designee in the Chief Attorney and 
Legal Services Directorate, OAASA;
    (iii) Provide legal advice relating to interpretation and 
application of the Privacy Act of 1974; and
    (iv) Serve as a member on the Defense Privacy Board Legal 
Committee. This duty may be fulfilled by a designee in the Chief 
Attorney and Legal Services Directorate, OAASA.
    (3) The Judge Advocate General will serve as the Denial Authority 
on requests made pursuant to the Privacy Act of 1974 for access to or 
amendment of Army records, regardless of functional category, 
concerning actual or potential litigation in which the United States 
has an interest.
    (4) The Chief, DA Freedom of Information Act and Privacy Office 
(FOIA/P), U.S. Army Records Management and Declassification Agency 
will--
    (i) Develop and recommend policy;
    (ii) Execute duties as the Army's Privacy Act Officer;
    (iii) Promote Privacy Act awareness throughout the DA;
    (iv) Serve as a voting member on the Defense Data Integrity Board 
and the Defense Privacy Board;
    (v) Represent the Department of the Army in DOD policy meetings; 
and
    (vi) Appoint a Privacy Act Manager who will--
    (A) Administer procedures outlined in this part;
    (B) Review and approve proposed new, altered, or amended Privacy 
Act systems of records notices and subsequently submit them to the 
Defense Privacy Office for coordination;
    (C) Review Department of the Army Forms for compliance with the 
Privacy Act and this part;
    (D) Ensure that reports required by the Privacy Act are provided 
upon request from the Defense Privacy Office;
    (E) Review Computer Matching Agreements and recommend approval or 
denial to the Chief, DA FOIA/P Office;
    (F) Provide Privacy Act training;
    (G) Provide privacy guidance and assistance to DA activities and 
combatant commands where the Army is the Executive Agent;
    (H) Ensure information collections are developed in compliance with 
the Privacy Act provisions;
    (I) Ensure Office of Management and Budget reporting requirements, 
guidance, and policy are accomplished; and
    (J) Immediately review privacy violations of personnel to locate 
the problem and develop a means to prevent recurrence of the problem.
    (5) Heads of Department of the Army activities, field-operating 
agencies, direct reporting units, Major Army commands, subordinate 
commands down to the battalion level, and installations will--
    (i) Supervise and execute the privacy program in functional areas 
and activities under their responsibility; and
    (ii) Appoint a Privacy Act Official who will--
    (A) Serve as the staff advisor on privacy matters;
    (B) Ensure that Privacy Act records collected and maintained within 
the Command or agency are properly described in a Privacy Act system of 
records notice published in the Federal Register;
    (C) Ensure no undeclared systems of records are being maintained;
    (D) Ensure Privacy Act requests are processed promptly and 
responsively;
    (E) Ensure a Privacy Act Statement is provided to individuals when 
information is collected that will be maintained in a Privacy Act 
system of records, regardless of the medium used to collect the 
personal information (i.e., forms, personal interviews, stylized 
formats, telephonic interviews, or other methods);
    (F) Review, biennially, recordkeeping practices to ensure 
compliance with the Act, paying particular attention to the maintenance 
of automated records. In addition, ensure cooperation with records 
management officials on such matters as maintenance and disposal 
procedures, statutory requirements, forms, and reports; and
    (G) Review, biennially Privacy Act training practices. This is to 
ensure all personnel are familiar with the requirements of the Act.
    (6) DA Privacy Act System Managers and Developers will--
    (i) Ensure that appropriate procedures and safeguards are 
developed, implemented, and maintained to protect an individual's 
personal information;
    (ii) Ensure that all personnel are aware of their responsibilities 
for protecting personal information being collected and maintained 
under the Privacy Act Program;
    (iii) Ensure official filing systems that retrieve records by name 
or other personal identifier and are maintained in a Privacy Act system 
of records have been published in the Federal Register as a Privacy Act 
system of records notice. Any official who willfully maintains a system 
of records without meeting the publication requirements, as prescribed 
by 5 U.S.C. 552a, as amended, OMB Circular A-130, 32 CFR part 310 and 
this part, will be subject to possible criminal penalties and/or 
administrative sanctions;
    (iv) Prepare new, amended, or altered Privacy Act system of records 
notices and submit them to the DA Freedom of Information and Privacy 
Office for review. After appropriate coordination, the system of 
records notices will be submitted to the Defense Privacy Office for 
their review and coordination;
    (v) Review, biennially, each Privacy Act system of records notice 
under their purview to ensure that it accurately describes the system 
of records;
    (vi) Review, every four years, the routine use disclosures 
associated with each Privacy Act system of records notice in order to 
determine if such routine use continues to be compatible with the 
purpose for which the activity collected the information;
    (vii) Review, every four years, each Privacy Act system of records 
notice for which the Secretary of the Army has

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promulgated exemption rules pursuant to Sections (j) or (k) of the Act. 
This is to ensure such exemptions are still appropriate;
    (viii) Review, every year, contracts that provide for the 
maintenance of a Privacy Act system of records to accomplish an 
activity's mission. This requirement is to ensure each contract 
contains provisions that bind the contractor, and its employees, to the 
requirements of 5 U.S.C. 552a(m)(1); and
    (ix) Review, if applicable, ongoing Computer Matching Agreements. 
The Defense Data Integrity Board approves Computer Matching Agreements 
for 18 months, with an option to renew for an additional year. This 
additional review will ensure that the requirements of the Privacy Act, 
Office of Management and Budget guidance, local regulations, and the 
requirements contained in the Matching Agreements themselves have been 
met.
    (7) All DA personnel will--
    (i) Take appropriate actions to ensure personal information 
contained in a Privacy Act system of records is protected so that the 
security and confidentiality of the information is preserved;
    (ii) Not disclose any personal information contained in a Privacy 
Act system of records except as authorized by 5 U.S.C. 552a, DOD 
5400.11-R, or other applicable laws. Personnel willfully making a 
prohibited disclosure are subject to possible criminal penalties and/or 
administrative sanctions; and
    (iii) Report any unauthorized disclosures or unauthorized 
maintenance of new Privacy Act systems of records to the applicable 
activity's Privacy Act Official.
    (8) Heads of Joint Service agencies or commands for which the Army 
is the Executive Agent or the Army otherwise provides fiscal, 
logistical, or administrative support, will adhere to the policies and 
procedures in this part.
    (9) Commander, Army and Air Force Exchange Service, will supervise 
and execute the Privacy Program within that command pursuant to this 
part.
    (10) Overall Government-wide responsibility for implementation of 
the Privacy Act is the Office of Management and Budget. The Department 
of Defense is responsible for implementation of the Act within the 
armed services. The Privacy Act also assigns specific Government-wide 
responsibilities to the Office of Personnel Management and the General 
Services Administration.
    (11) Government-wide Privacy Act systems of records notices are 
available at http://www.defenselink.mil/privacy.
    (e) Legal Authority. (1) Title 5, United States Code, Section 552a, 
as amended, The Privacy Act of 1974.
    (2) Title 5, United States Code, Section 552, The Freedom of 
Information Act (FOIA).
    (3) Office of Personnel Management, Federal Personnel Manual (5 CFR 
parts 293, 294, 297, and 7351).
    (4) OMB Circular No. A-130, Management of Federal Information 
Resources, Revised, August 2003.
    (5) DOD Directive 5400.11, Department of Defense Privacy Program, 
November 16, 2004.
    (6) DOD Regulation 5400.11-R, Department of Defense Privacy 
Program, August 1983.
    (7) Title 10, United States Code, Section 3013, Secretary of the 
Army.
    (8) Executive Order No. 9397, Numbering System for Federal Accounts 
Relating to Individual Persons, November 30, 1943.
    (9) Public Law 100-503, the Computer Matching and Privacy Act of 
1974.
    (10) Public Law 107-347, Section 208, Electronic Government (E-Gov) 
Act of 2002.
    (11) DOD Regulation 6025.18-R, DOD Health Information Privacy 
Regulation, January 24, 2003.


Sec.  505.2  General provisions.

    (a) Individual privacy rights policy. Army policy concerning the 
privacy rights of individuals and the Army's responsibilities for 
compliance with the Privacy Act are as follows--
    (1) Protect the privacy of United States living citizens and aliens 
lawfully admitted for permanent residence from unwarranted intrusion.
    (2) Deceased individuals do not have Privacy Act rights, nor do 
executors or next-of-kin in general. However, immediate family members 
may have limited privacy rights in the manner of death details and 
funeral arrangements of the deceased individual. Family members often 
use the deceased individual's Social Security Number (SSN) for federal 
entitlements; appropriate safeguards must be implemented to protect the 
deceased individual's SSN from release. Also, the Health Insurance 
Portability and Accountability Act extends protection to certain 
medical information contained in a deceased individual's medical 
records.
    (3) Personally identifiable health information of individuals, both 
living and deceased, shall not be used or disclosed except for 
specifically permitted purposes.
    (4) Maintain only such information about an individual that is 
necessary to accomplish the Army's mission.
    (5) Maintain only personal information that is timely, accurate, 
complete, and relevant to the collection purpose.
    (6) Safeguard personal information to prevent unauthorized use, 
access, disclosure, alteration, or destruction.
    (7) Maintain records for the minimum time required in accordance 
with an approved National Archives and Records Administration record 
disposition.
    (8) Let individuals know what Privacy Act records the Army 
maintains by publishing Privacy Act system of records notices in the 
Federal Register. This will enable individuals to review and make 
copies of these records, subject to the exemptions authorized by law 
and approved by the Secretary of the Army. Department of the Army 
Privacy Act systems of records notices are available at http://www.defenselink.mil/privacy.
    (9) Permit individuals to correct and amend records about 
themselves which they can prove are factually in error, not timely, not 
complete, not accurate, or not relevant.
    (10) Allow individuals to request an administrative review of 
decisions that deny them access to or the right to amend their records.
    (11) Act on all requests promptly, accurately, and fairly.
    (12) Keep paper and electronic records that are retrieved by name 
or personal identifier only in approved Privacy Act systems of records.
    (13) Maintain no records describing how an individual exercises his 
or her rights guaranteed by the First Amendment (freedom of religion, 
freedom of political beliefs, freedom of speech and press, freedom of 
peaceful assemblage, and petition) unless expressly authorized by 
statute, pertinent to and within the scope of an authorized law 
enforcement activity, or otherwise authorized by law or regulation.
    (14) Maintain appropriate administrative technical and physical 
safeguards to ensure records are protected from unauthorized alteration 
or disclosure.
    (b) Safeguard personal information. (1) Privacy Act data will be 
afforded reasonable safeguards to prevent inadvertent or unauthorized 
disclosure of records during processing, storage, transmission, and 
disposal.
    (2) Personal information should never be placed on shared drives 
that are accessed by groups of individuals unless each person has an 
``official need to know'' the information in the performance of 
official duties.

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    (3) Safeguarding methods must strike a balance between the 
sensitivity of the data, need for accuracy and reliability for 
operations, general security of the area, and cost of the safeguards. 
In some situations, a password may be enough protection for an 
automated system with a log-on protocol. For additional guidance on 
safeguarding personal information in automated records see AR 380-67, 
The Department of the Army Personnel Security Program.
    (c) Conveying privacy protected data electronically via e-mail and 
the World Wide Web. (1) Unencrypted electronic transmission of privacy 
protected data makes the Army vulnerable to information interception 
which can cause serious harm to the individual and the accomplishment 
of the Army's mission.
    (2) The Privacy Act requires that appropriate technical safeguards 
be established, based on the media (e.g., paper, electronic) involved, 
to ensure the security of the records and to prevent compromise or 
misuse during transfer.
    (3) Privacy Web sites and hosted systems with privacy-protected 
data will employ secure sockets layers (SSL) and Public Key 
Infrastructure (PKI) encryption certificates or other DoD-approved 
commercially available certificates for server authentication and 
client/server authentication. Individuals who transmit data containing 
personally identifiable information over e-mail will employ PKI or 
other DoD-approved certificates.
    (4) When sending Privacy Act protected information within the Army 
using encrypted or dedicated lines, ensure that--
    (i) There is an ``official need to know'' for each addressee 
(including ``cc'' addressees); and
    (ii) The Privacy Act protected information is marked For Official 
Use Only (FOUO) to inform the recipient of limitations on further 
dissemination. For example, add FOUO to the beginning of an e-mail 
message, along with the following language: ``This contains FOR 
OFFICIAL USE ONLY (FOUO) information which is protected under the 
Privacy Act of 1974 and AR 340-21, The Army Privacy Program. Do not 
further disseminate this information without the permission of the 
sender.''
    (iii) Do not indiscriminately apply this statement. Use it only in 
situations when actually transmitting protected Privacy Act 
information.
    (iv) For additional information about marking documents ``FOUO'' 
review AR 25-55, Chapter IV.
    (5) Add appropriate ``Privacy and Security Notices'' at major Web 
site entry points. Refer to AR 25-1, para 6-4n for requirements for 
posting ``Privacy and Security Notices'' on public Web sites. 
Procedures related to the establishing, operating, and maintaining of 
unclassified DA Web sites can be accessed at http://www.defenselink.mil/webmasters/policy/DOD_web_policy.
    (6) Ensure public Web sites comply with policies regarding 
restrictions on persistent and third party cookies. The Army prohibits 
both persistent and third part cookies. (see AR 25-1, para 6-4n)
    (7) A Privacy Advisory is required on Web sites which host 
information systems soliciting personally identifying information, even 
when not maintained in a Privacy Act system of records. The Privacy 
Advisory informs the individual why the information is solicited and 
how it will be used. Post the Privacy Advisory to the Web site page 
where the information is being solicited, or to a well marked hyperlink 
stating ``Privacy Advisory--Please refer to the Privacy and Security 
Notice that describes why this information is collected and how it will 
be used.''
    (d) Protecting records containing personal identifiers such as 
names and Social Security Numbers. (1) Only those records covered by a 
Privacy Act system of records notice may be arranged to permit 
retrieval by a personal identifier (e.g., an individual's name or 
Social Security Number). AR 25-400-2, paragraph 6-2 requires all 
records covered by a Privacy Act system of records notice to include 
the system of record identification number on the record label to serve 
as a reminder that the information contained within must be 
safeguarded.
    (2) Use a coversheet or DA Label 87 (For Official Use Only) for 
individual records not contained in properly labeled file folders or 
cabinets.
    (3) When developing a coversheet, the following is an example of a 
statement that you may use: ``The information contained within is FOR 
OFFICIAL USE ONLY (FOUO) and protected by the Privacy Act of 1974.''
    (e) Notification of Individuals when personal information is lost, 
stolen, or compromised. (1) Whenever an Army organization becomes aware 
the protected personal information pertaining to a Service member, 
civilian employee (appropriated or non-appropriated fund), military 
retiree, family member, or another individual affiliated with Army 
organization (e.g., volunteer) has been lost, stolen, or compromised, 
the organization shall inform the affected individuals as soon as 
possible, but not later than ten days after the loss or compromise of 
protected personal information is discovered.
    (2) At a minimum, the organization shall advise individuals of what 
specific data was involved; the circumstances surrounding the loss, 
theft, or compromise; and what protective actions the individual can 
take.
    (3) If Army organizations are unable to comply with policy, they 
will immediately notify their superiors, who will submit a memorandum 
through the chain of command to the Administrative Assistant of the 
Secretary of the Army to explain why the affected individuals or 
population's personal information has been lost, stolen, or 
compromised.
    (4) This policy is also applicable to Army contractors who collect, 
maintain, use, or disseminate protected personal information on behalf 
of the organization.
    (f) Federal government contractors' compliance. (1) When a DA 
activity contracts for the design, development, or operation of a 
Privacy Act system of records in order to accomplish a DA mission, the 
agency must apply the requirements of the Privacy Act to the contractor 
and its employees working on the contract (See 48 CFR part 24 and other 
applicable supplements to the FAR; 32 CFR part 310).
    (2) System Managers will review annually, contracts contained 
within the system(s) of records under their responsibility, to 
determine which ones contain provisions relating to the design, 
development, or operation of a Privacy Act system of records.
    (3) Contractors are considered employees of the Army for the 
purpose of the sanction provisions of the Privacy Act during the 
performance of the contract requirements.
    (4) Disclosing records to a contractor for use in performing the 
requirements of an authorized DA contract is considered a disclosure 
within the agency under exception (b)(1), ``Official Need to Know'', of 
the Act.


Sec.  505.3  Privacy Act systems of records.

    (a) Systems of records. (1) A system of records is a group of 
records under the control of a DA activity that are retrieved by an 
individual's name or by some identifying number, symbol, or other 
identifying particular assigned to an individual.
    (2) Privacy Act systems of records must be--
    (i) Authorized by Federal statute or an Executive Order;
    (ii) Needed to carry out DA's mission; and
    (iii) Published in the Federal Register in a system of records 
notice, which will provide the public an opportunity to

[[Page 46056]]

comment before DA implements or changes the system.
    (3) The mere fact that records are retrievable by a name or 
personal identifier is not enough. Records must actually be retrieved 
by a name or personal identifier. Records in a group of records that 
may be retrieved by a name or personal identifier but are not normally 
retrieved by this method are not covered by this part. However, they 
are covered by AR 25-55, the Department of the Army Freedom of 
Information Act Program.
    (4) The existence of a statute or Executive Order mandating the 
maintenance of a system of records to perform an authorized activity 
does not abolish the responsibility to ensure the information in the 
system of records is relevant and necessary to perform the authorized 
activity.
    (b) Privacy Act system of records notices. (1) DA must publish 
notices in the Federal Register on new, amended, altered, or deleted 
systems of records to inform the public of the Privacy Act systems of 
records that it maintains. The Privacy Act requires submission of new 
or significantly changed systems of records to OMB and both houses of 
Congress before publication in the Federal Register (See Appendix E of 
this part).
    (2) Systems managers must send a proposed notice at least 120 days 
before implementing a new, amended or altered system to the DA Freedom 
of Information and Privacy Office. The proposed or altered notice must 
include a narrative statement and supporting documentation. A narrative 
statement must contain the following items:
    (i) System identifier and name;
    (ii) Responsible Official, title, and phone number;
    (iii) If a new system, the purpose of establishing the system or if 
an altered system, nature of changes proposed;
    (iv) Authority for maintenance of the system;
    (v) Probable or potential effects of the system on the privacy of 
individuals;
    (vi) Whether the system is being maintained, in whole or in part, 
by a contractor;
    (vii) Steps taken to minimize risk of unauthorized access;
    (viii) Routine use compatibility;
    (ix) Office of Management and Budget information collection 
requirements; and
    (x) Supporting documentation as an attachment. Also as an 
attachment should be the proposed new or altered system notice for 
publication in the Federal Register.
    (3) An amended or altered system of records is one that has one or 
more of the following:
    (i) A significant increase in the number, type, or category of 
individuals about whom records are maintained;
    (ii) A change that expands the types of categories of information 
maintained;
    (iii) A change that alters the purpose for which the information is 
used;
    (iv) A change to equipment configuration (either hardware or 
software) that creates substantially greater access to the records in 
the system of records;
    (v) An addition of an exemption pursuant to Section (j) or (k) of 
the Act; or
    (vi) An addition of a routine use pursuant to 5 U.S.C. 552a(b)(3).
    (4) For additional guidance contact the DA FOIA/P Office.
    (5) On behalf of DA, the Defense Privacy Office maintains a list of 
DOD Components' Privacy Act system of records notices at the Defense 
Privacy Office's Web site http://www.defenselink.mil/privacy.
    (6) DA PAM 25-51 sets forth procedures pertaining to Privacy Act 
system of records notices.
    (7) For new systems, system managers must establish appropriate 
administrative, technical, and physical safeguards to ensure the 
security and confidentiality of records. This applies to all new 
systems of records whether maintained manually or automated.
    (i) One safeguard plan is the development and use of a Privacy 
Impact Assessment (PIA) mandated by the E-Gov Act of 2002, Section 208. 
The Office of Management and Budget specifically directs that a PIA be 
conducted, reviewed, and published for all new or significantly altered 
information in identifiable form collected from or about the members of 
the public. The PIA describes the appropriate administrative, 
technical, and physical safeguards for new automated systems. This will 
assist in the protection against any anticipated threats or hazards to 
the security or integrity of data, which could result in substantial 
harm, embarrassment, inconvenience, or unfairness to any individual on 
whom information is maintained. Contact your local Information Officer 
for guidance on conducting a PIA.
    (ii) The development of appropriate safeguards must be tailored to 
the requirements of the system as well as other factors, such as the 
system environment, location, and accessibility.


Sec.  505.4  Collecting personal information.

    (a) General provisions. (1) Employees will collect personal 
information to the greatest extent practicable directly from the 
subject of the record. This is especially critical, if the information 
may result in adverse determinations about an individual's rights, 
benefits, and privileges under federal programs (See 5 U.S.C. 
552a(e)(2)).
    (2) It is unlawful for any Federal, State, or local government 
agency to deny anyone a legal right, benefit, or privilege provided by 
law for refusing to give their SSN unless the law requires disclosure, 
or a law or regulation adopted before January 1, 1975, required the SSN 
or if DA uses the SSN to verify a person's identity in a system of 
records established and in use before that date. Executive Order 9397 
(issued prior to January 1, 1975) authorizes the Army to solicit and 
use the SSN as a numerical identifier for individuals in most federal 
records systems. However, the SSN should only be collected as needed to 
perform official duties. Executive Order 9397 does not mandate the 
solicitation of SSNs from Army personnel as a means of identification.
    (3) Upon entrance into military service or civilian employment with 
DA, individuals are asked to provide their SSN. The SSN becomes the 
service or employment number for the individual and is used to 
establish personnel, financial, medical, and other official records. 
After an individual has provided his or her SSN for the purpose of 
establishing a record, the Privacy Act Statement is not required if the 
individual is only requested to furnish or verify the SSN for 
identification purposes in connection with the normal use of his or her 
records. If the SSN is to be used for a purpose other than 
identification, the individual must be informed whether disclosure of 
the SSN is mandatory or voluntary; by what statutory authority the SSN 
is solicited; and what uses will be made of the SSN. This notification 
is required even if the SSN is not to be maintained in a Privacy Act 
system of records.
    (4) When asking an individual for his or her SSN or other personal 
information that will be maintained in a system of records, the 
individual must be provided with a Privacy Act Statement.
    (b) Privacy Act Statement (PAS). (1) A Privacy Act Statement is 
required whenever personal information is requested from an individual 
and will become part of a Privacy Act system of records. The 
information will be retrieved by the individual's name or other 
personal identifier (See 5 U.S.C. 552a(e)(3)).
    (2) The PAS will ensure that individuals know why the information 
is being collected so they can make an

[[Page 46057]]

informed decision as to providing the personal information.
    (3) In addition, the PAS will include language that is explicit, 
easily understood, and not so lengthy as to deter an individual from 
reading it.
    (4) A sign can be displayed in areas where people routinely furnish 
this kind of information, and a copy of the PAS will be made available 
upon request by the individual.
    (5) Do not ask the person to sign the PAS.
    (6) A Privacy Act Statement must include the following four items--
    (i) Authority: Cite the specific statute or Executive Order, 
including a brief title or subject that authorizes the DA to collect 
the personal information requested.
    (ii) Principal Purpose (s): Cite the principal purposes for which 
the information will be used.
    (iii) Routine Uses: A list of where and why the information will be 
disclosed OUTSIDE of DOD. Applicable routine uses are published in the 
applicable Privacy Act system of records notice(s). If none, the 
language to be used is: ``Routine Use(s): None. However the `Blanket 
Routine Uses' set forth at the beginning of the Army's compilation of 
systems of records notices apply.''
    (iv) Disclosure: Voluntary or Mandatory. Include in the Privacy Act 
Statement specifically whether furnishing the requested personal data 
is mandatory or voluntary. A requirement to furnish personal data is 
mandatory ONLY when a federal statute, Executive Order, regulation, or 
other law specifically imposes a duty on the individual to provide the 
information sought, and when the individual is subject to a penalty if 
he or she fails to provide the requested information. If providing the 
information is only a condition of or prerequisite to granting a 
benefit or privilege and the individual has the option of receiving the 
benefit or privilege, providing the information is always voluntary. 
However, the loss or denial of the privilege, benefit, or entitlement 
sought must be listed as a consequence of not furnishing the requested 
information.
    (7) Some acceptable means of administering the PAS are as follows, 
in the order of preference--
    (i) Below the title of the media used to collect the personal 
information. The PAS should be positioned so that the individual will 
be advised of the PAS before he or she provides the requested 
information;
    (ii) Within the body with a notation of its location below the 
title;
    (iii) On the reverse side with a notation of its location below the 
title;
    (iv) Attached as a tear-off sheet; or
    (v) Issued as a separate supplement.
    (8) An example of a PAS is at appendix B of this part.
    (9) Include a PAS on a Web site page if it collects information 
directly from an individual and is retrieved by his or her name or 
personal identifier (See Office of Management and Budget Privacy Act 
Guidelines, 40 FR 28949, 28961 (July 9, 1975)).
    (10) Army policy prohibits the collection of personally identifying 
information on public Web sites without the express permission of the 
user. Requests for exceptions must be forwarded to the Army CIO/G-6. 
(See AR 25-1, para 6-4n.)
    (c) Collecting personal information from third parties. (1) It may 
not be practical to collect personal information directly from the 
individual in all cases. Some examples of when collection from third 
parties may be necessary are when--
    (i) Verifying information;
    (ii) Opinions or evaluations are needed;
    (iii) The subject cannot be contacted; or
    (iv) At the request of the subject individual.
    (2) When asking third parties to provide information about other 
individuals, they will be advised of--
    (i) The purpose of the request; and
    (ii) Their rights to confidentiality as defined by the Privacy Act 
of 1974 (Consult with your servicing Staff Judge Advocate for potential 
limitations to the confidentiality that may be offered pursuant to the 
Privacy Act).
    (d) Confidentiality promises. Promises of confidentiality must be 
prominently annotated in the record to protect from disclosure any 
information provided in confidence pursuant to 5 U.S.C. 552a(k)(2), 
(k)(5), or (k)(7).


Sec.  505.5  Individual access to personal information.

    (a) Individual access. (1) The access provisions of this part are 
intended for use by individuals whose records are maintained in a 
Privacy Act system of records. If a representative acts on their 
behalf, a written authorization must be provided, with the exception of 
members of Congress acting on behalf of a constituent.
    (2) A Department of the Army ``Blanket Routine Use'' allows the 
release of Privacy Act protected information to members of Congress 
when they are acting on behalf of the constituent and the information 
is filed and retrieved by the constituent's name or personal 
identifier. The said ``Blanket Routine Use'' is listed below.
    ``Congressional Inquiries Disclosure Routine Use: Disclosure from a 
system of records maintained by a DOD Component may be made to a 
congressional office from the record of an individual in response to an 
inquiry from the congressional office made at the request of that 
individual.''
    (3) Upon a written request, an individual will be granted access to 
information pertaining to him or her that is maintained in a Privacy 
Act system of records, unless--
    (i) The information is subject to an exemption, the system manager 
has invoked the exemption, and the exemption is published in the 
Federal Register; or
    (ii) The information was compiled in reasonable anticipation of a 
civil action or proceeding.
    (4) Legal guardians or parents acting on behalf of a minor child 
have the minor child's rights of access under this part, unless the 
records were created or maintained pursuant to circumstances where the 
interests of the minor child were adverse to the interests of the legal 
guardian or parent.
    (5) These provisions should allow for the maximum release of 
information consistent with Army and DOD's statutory responsibilities.
    (b) Individual requests for access. (1) Individuals will address 
requests for access to records in a Privacy Act system of records to 
the system manager or the custodian of the record designated in DA 
systems of records notices (See DA PAM 25-51 or the Defense Privacy 
Office's Web site http://www.defenselink.mil/privacy).
    (2) Individuals do not have to state a reason or justify the need 
to gain access to records under the Act.
    (3) Release of personal information to individuals under this 
section is not considered a ``public release'' of information.
    (c) Verification of identity for first party requesters. (1) Before 
granting access to personal data, an individual will provide reasonable 
verification of identity.
    (2) When requesting records in writing, the preferred method of 
verifying identity is the submission of a notarized signature. An 
alternative method of verifying identity for individuals who do not 
have access to notary services is the submission of an un-sworn 
declaration in accordance with 28 U.S.C. 1746 in the following format:
    (i) If executed within the United States, its territories, 
possessions, or commonwealths: ``I declare (or certify,

[[Page 46058]]

verify, or state) under penalty of perjury that the foregoing is true 
and correct. Executed on (date). (Signature)''.
    (ii) If executed outside of the United States: ``I declare under 
perjury or penalty under the laws of the United States of America that 
the foregoing is true and correct. Executed on (date). (Signature).''
    (3) When an individual seeks access in person, identification can 
be verified by documents normally carried by the individual (such as 
identification card, driver's license, or other license, permit or pass 
normally used for identification purposes). However, level of proof of 
identity is commensurate with the sensitivity of the records sought. 
For example, more proof is required to access medical records than is 
required to access parking records.
    (4) Telephonic requests will not be honored.
    (5) An individual cannot be denied access solely for refusal to 
provide his or her Social Security Number (SSN) unless the SSN was 
required for access by statute or regulation adopted prior to January 
1, 1975.
    (6) If an individual wishes to have his or her records released 
directly to a third party or to be accompanied by a third party when 
seeking access to his or her records, reasonable proof of authorization 
must be obtained. The individual may be required to furnish a signed 
access authorization with a notarized signature or other proof of 
authenticity (i.e. telephonic confirmation) before granting the third 
party access.
    (d) Individual access to medical records. (1) An individual must be 
given access to his or her medical and psychological records unless a 
judgment is made that access to such records could have an adverse 
effect on the mental or physical health of the individual. This 
determination normally should be made in consultation with a medical 
doctor. Additional guidance is provided in DOD 5400.11-R, Department of 
Defense Privacy Program. In this instance, the individual will be asked 
to provide the name of a personal health care provider, and the records 
will be provided to that health care provider, along with an 
explanation of why access without medical supervision could be harmful 
to the individual.
    (2) Information that may be harmful to the record subject should 
not be released to a designated individual unless the designee is 
qualified to make psychiatric or medical determinations.
    (3) DA activities may offer the services of a military physician, 
other than the one who provided the treatment.
    (4) Do not require the named health care provider to request the 
records for the individual.
    (5) The agency's decision to furnish the records to a medical 
designee and not directly to the individual is not considered a denial 
for reporting purposes under the Act and cannot be appealed.
    (6) However, no matter what the special procedures are, DA has a 
statutory obligation to ensure that access is provided the individual.
    (7) Regardless of age, all DA military personnel and all married 
persons are considered adults. The parents of these individuals do not 
have access to their medical records without written consent of the 
individual.
    (8) DOD 6025.18-R, DOD Health Information Privacy Regulation, 
issued pursuant to the Health Insurance Portability and Accountability 
Act (HIPAA) of 1996, has placed additional procedural requirements on 
the uses and disclosure of individually identifiable health information 
beyond those found in the Privacy Act of 1974 and this part. In order 
to be in compliance with HIPAA, the additional guidelines and 
procedures will be reviewed before release of an individual's 
identifiable health information.
    (e) Personal notes. (1) The Privacy Act does not apply to personal 
notes of individuals used as memory aids. These documents are not 
Privacy Act records and are not subject to this part.
    (2) The five conditions for documents to be considered personal 
notes are as follows--
    (i) Maintained and discarded solely at the discretion of the 
author;
    (ii) Created only for the author's personal convenience and the 
notes are restricted to that of memory aids;
    (iii) Not the result of official direction or encouragement, 
whether oral or written;
    (iv) Not shown to others for any reason; and
    (v) Not filed in agency files.
    (3) Any disclosure from personal notes, either intentional or 
through carelessness, removes the information from the category of 
memory aids and the personal notes then become subject to provisions of 
the Act.
    (f) Denial or limitation of individual's right to access. (1) Even 
if the information is filed and retrieved by an individual's name or 
personal identifier, his or her right to access may be denied if--
    (i) The records were compiled in reasonable anticipation of a civil 
action or proceeding including any action where DA expects judicial or 
administrative adjudicatory proceedings. The term ``civil action or 
proceeding'' includes quasi-judicial, pre-trial judicial, and 
administrative proceedings, as well as formal litigation;
    (ii) The information is about a third party and does not pertain to 
the requester. A third party's SSN and home address will be withheld. 
However, information about the relationship between the individual and 
the third party would normally be disclosed as it pertains to the 
individual;
    (iii) The records are in a system of records that has been properly 
exempted by the Secretary of the Army from the access provisions of 
this part and the information is exempt from release under a provision 
of the Freedom of Information Act (See appendix C of this part for a 
list of applicable Privacy Act exemptions, exceptions, and ``Blanket'' 
routine uses);
    (iv) The records contain properly classified information that has 
been exempted from the access provision of this part;
    (v) The records are not described well enough to enable them to be 
located with a reasonable amount of effort on the part of an employee 
familiar with the file. Requesters should reasonably describe the 
records they are requesting. They do not have to designate a Privacy 
Act system of records notice identification number, but they should at 
least identify a type of record or functional area. For requests that 
ask for ``all records about me,'' DA personnel should ask the requester 
for more information to narrow the scope of his or her request; and
    (vi) Access is sought by an individual who fails or refuses to 
comply with Privacy Act established procedural requirements, included 
refusing to pay fees.
    (2) Requesters will not use government equipment, supplies, 
stationery, postage, telephones, or official mail channels for making 
Privacy Act requests. System managers will process such requests but 
inform requesters that using government resources to make Privacy Act 
requests is not authorized.
    (3) When a request for information contained in a Privacy Act 
system of records is denied in whole or in part, the Denial Authority 
or designee shall inform the requester in writing and explain why the 
request for access has been refused.
    (4) A request for access, notification, or amendment of a record 
shall be acknowledged in writing within 10 working days of receipt by 
the proper system manager or record custodian.

[[Page 46059]]

    (g) Relationship between the Privacy Act and the Freedom of 
Information Act. (1) Not all requesters are knowledgeable of the 
appropriate statutory authority to cite when requesting information. In 
some instances, they may cite neither the PA nor the Freedom of 
Information Act in their request. In some instances they may cite one 
Act but not the other. The Freedom of Information Act and the PA works 
together to ensure that requesters receive the greatest amount of 
information possible.
    (2) Do not deny the individual access to his or her records simply 
because he or she failed to cite the appropriate statute or regulation.
    (3) If the records are required to be released under the Freedom of 
Information Act, the PA will never block disclosure to requester. If 
the PA allows the DA activity to deny access to an individual, the 
Freedom of Information Act must still be applied, and the information 
released if required by the Freedom of Information Act.
    (4) Unlike the Freedom of Information Act, the Privacy Act applies 
only to U.S. citizens and aliens lawfully admitted for permanent 
residence.
    (5) Requesters who seek records about themselves contained in a 
Privacy Act system of records (1st party requesters) and who cite or 
imply only the Privacy Act, will have their request processed under the 
provisions of both the PA and the Freedom of Information Act. If the 
information requested is not contained in a Privacy Act system of 
records or is not about the requester, the individual's request will be 
processed under the provisions of the Freedom of Information Act only, 
and the Freedom of Information Act processing requirements/time lines 
will apply.
    (6) Third party information. (i) Third party information contained 
in a Privacy Act system of records that does not pertain to the 
requester, such as SSN, home addresses, and other purely personal 
information that is not about the requester, will be processed under 
the provisions of Freedom of Information Act only. Third party 
information that is not about the requester is not subject to the 
Privacy Act's first party access provision.
    (ii) Information about the relationship between the first party 
requester and a third party is normally disclosed as pertaining to the 
first party requester. Consult your servicing Staff Judge Advocate if 
there is a question about the release of third party information to a 
first party requester.
    (7) If an individual requests information about them contained in a 
Privacy Act system of records, the individual may be denied the 
information only if the information is exempt under both the PA and the 
Freedom of Information Act. Both PA and Freedom of Information Act 
exemptions will be cited in the denial letter and appeals will be 
processed in accordance with both Acts.
    (8) Each time a first party requester cites or implies the PA, 
perform this analysis:
    (i) Is the request from a United States living citizen or an alien 
lawfully admitted for permanent residence?
    (ii) Is the individual requesting an agency record?
    (iii) Are the records within a PA system of records that are filed 
and retrieved by an individual's name or other personal identifier? (If 
the answer is ``yes'' to all of these questions, then the records 
should be processed under the ``Privacy Act'') and
    (iv) Does the information requested pertain exclusively to the 
requester?
    (A) If yes, no further consideration of Freedom of Information Act 
exemptions required. Release all information unless a PA exemption 
authorizes withholding.
    (B) If no, process the information that is not about the requester 
under the Freedom of Information Act and withhold only if a proper 
Freedom of Information Act exemption applies.
    (h) Functional requests. If an individual asks for his or her 
records and does not cite or reasonably imply either the Privacy Act or 
the Freedom of Information Act, and another prescribing directive or 
regulation authorizes the release, the records should be released under 
that other directive or regulation and not the PA or the FOIA. Examples 
of functional requests are military members asking to see their 
Official Military Personnel Records or civilian employees asking to see 
their Official Personnel Folder.
    (i) Procedures for denying or limiting an individual's right to 
access or amendment and the role of the Denial Authority. (1) The only 
officials authorized to deny a request for records or a request to 
amend records in a PA system of records pertaining to the requesting 
individual, are the appropriate Denial Authorities, their designees, or 
the Secretary of the Army who will be acting through the General 
Counsel.
    (2) Denial Authorities are authorized to deny requests, either in 
whole or in part, for notification, access and amendment of Privacy Act 
records contained in their respective areas of responsibility.
    (i) The Denial Authority may delegate all or part of their 
authority to a division chief under his supervision within the Agency 
in the grade of 0-5/GS-14 or higher. All delegations must be in 
writing.
    (ii) The Denial Authority will send the names, office names, and 
telephones numbers of their delegates to the DA Freedom of Information 
and Privacy Office.
    (iii) If a Denial Authority delegate denies access or amendment, 
the delegate must clearly state that he or she is acting on behalf of 
the Denial Authority, who must be identified by name and position in 
the written response to the requester. Denial Authority designation 
will not delay processing privacy requests/actions.
    (iv) The official Denial Authorities are for records under their 
authority (See appendix B of this part). The individuals designated as 
Denial Authorities under this part are the same individuals designated 
as Initial Denial Authorities under AR 25-55, the Department of the 
Army Freedom of Information Act Program. However, delegation of Denial 
Authority pursuant to this part does not automatically encompass 
delegation of Initial Denial Authority under AR 25-55. Initial Denial 
Authority must be expressly delegated pursuant to AR 25-55 for an 
individual to take action on behalf of an Initial Denial Authority 
under AR 25-55.
    (3) The custodian of the record will acknowledge requests for 
access made under the provisions of the Privacy Act within 10 working 
days of receipt.
    (4) Requests for information recommended for denial will be 
forwarded to the appropriate Denial Authority, along with a copy of the 
records and justification for withholding the record. At the same time, 
notify the requester of the referral to the Denial Authority for 
action. All documents or portions thereof determined to be releasable 
to the requester will be released to the requester before forwarding 
the case to the Denial Authority.
    (5) Within 30 working days, the Denial Authority will provide the 
following notification to the requester in writing if the decision is 
to deny the requester access to the information.
    (6) Included in the notification will be:
    (i) Denying Official's name, position title, and business address;
    (ii) Date of the denial;
    (iii) The specific reason for the denial, citing the appropriate 
subsections of the Privacy Act, the Freedom of Information Act, AR 25-
55, The Department of the Army Freedom of Information Act Program and 
this part; and

[[Page 46060]]

    (iv) The individual's right to administratively appeal the denial 
within 60 calendar days of the mailing date of the notice, through the 
Denial Authority, to the Office of the General Counsel, Secretary of 
the Army, 104 Army Pentagon, Washington, DC 20310-0104.
    (7) The appeal must be in writing and the requester should provide 
a copy of the denial letter and a statement of their reasons for 
seeking review.
    (8) For denials made by the DA when the record is maintained in a 
Government-wide system of records, an individual's request for further 
review must be addressed to each of the appropriate government Privacy 
Act offices listed in the Privacy Act system of records notices. For a 
current listing of Government-wide Privacy Act system of records 
notices see the Defense Privacy Office's Web site http://www.defenselink.mil/privacy or DA PAM 25-51.
    (j) No records determinations. (1) Since a no record response may 
be considered an ``adverse'' determination, the Denial Authority must 
make the final determination that no records exist. The originating 
agency shall notify the requester that an initial determination has 
been made that there are no responsive records, however the final 
determination will be made by the Denial Authority. A no records 
certificate must accompany a no records determination that is forwarded 
to the Denial Authority.
    (2) The Denial Authority must provide the requester with appeal 
rights.
    (k) Referral of requests. (1) A request received by a DA activity 
having no records responsive to a request shall be referred to another 
DOD Component or DA activity, if the other Component or activity 
confirms that they have the requested records, or verifies that they 
are the proper custodian for that type of record. The requester will be 
notified of the referral. In cases where the DA activity receiving the 
request has reason to believe that the existence or nonexistence of the 
record may in itself be classified, that activity will consult the 
Component or activity having cognizance over the records in question 
before referring the request. If the Component or activity that is 
consulted determines that the existence or nonexistence of the records 
is in itself classified, the requester shall be so notified by the DA 
activity originally receiving the request that it can neither confirm 
nor deny the existence of the record, and no referral shall take place.
    (2) A DA activity shall refer a Privacy Act request for a 
classified record that it holds to another DOD Component, DA activity, 
or agency outside the Department of Defense, if the record originated 
in the other DOD Component, DA activity, or outside agency, or if the 
classification is derivative. The referring DA activity will provide 
the records and a release recommendation with the referral action.
    (3) Any DA activity receiving a request that has been misaddressed 
will refer the request to the proper address and advise the requester.
    (4) Within DA, referrals will be made directly to offices having 
custody of the requested records (unless the Denial Authority is the 
custodian of the requested records). If the office receiving the 
Privacy Act request does not know where the requested records are 
located, the office will contact the DA FOIA/P Office, to determine the 
appropriate office for referral.
    (5) The requester will be informed of the referral whenever records 
or a portion of records are, after prior consultation, referred to 
another activity for a release determination and direct response. 
Additionally, the DA activity referral letter will accomplish the 
following--
    (i) Fully describe the Privacy Act system of records from which the 
document was retrieved; and
    (ii) Indicate whether the referring activity claims any exemptions 
in the Privacy Act system of records notice.
    (6) Within the DA, an activity will refer a Privacy Act request for 
records that it holds but was originated by another activity, to the 
originating activity for direct response. An activity will not, in any 
case, release or deny such records without prior consultation with the 
originating activity. The requester will be notified of such referral.
    (7) A DA activity may refer a Privacy Act request for records that 
originated in an agency outside of DOD, or that is based on information 
obtained from an agency outside the DOD, to that agency for direct 
response to the requester, only if that agency is subject to the 
Privacy Act. Otherwise, the DA activity must respond to the request.
    (8) DA activities will not honor any Privacy Act requests for 
investigative, intelligence, or any other type of records that are on 
loan to the Department of Defense for a specific purpose, if the 
records are restricted from further release in writing. Such requests 
will be referred to the agency that provided the records.
    (9) A DA activity will notify requesters seeking National Security 
Council (NSC) or White House documents that they should write directly 
to the NSC or White House for such documents. DA documents in which the 
NSC or White House have a concurrent reviewing interest will be 
forwarded to the Department of Defense, Office of Freedom of 
Information and Security Review, which will coordinate with the NSC or 
White House, and return the documents to the originating DA activity 
after NSC or White House review. NSC or White House documents 
discovered in DA activity files which are responsive to a Privacy Act 
request will be forwarded to DOD for coordination and return with a 
release determination.
    (10) To the extent referrals are consistent with the policies 
expressed above; referrals between offices of the same DA activity are 
authorized.
    (l) Reproduction fees. (1) Use fees only to recoup direct 
reproduction costs associated with granting access.
    (2) DA activities may use discretion in their decision to charge 
for the first copy of records provided to an individual to whom the 
records pertain. Thereafter, fees will be computed pursuant to the fee 
schedule set forth in AR 25-55, including the fee waiver provisions.
    (3) Checks or money orders for fees should be made payable to the 
Treasurer of the United States and will be deposited in the 
miscellaneous receipts of the treasury account maintained at the 
activity's finance office.
    (4) Reproduction costs shall only include the direct costs of 
reproduction and shall not include costs of--
    (i) Time or effort devoted to searching for or reviewing the 
records by 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 records and has not requested a copy, and the only means of 
allowing review is to make a copy (e.g., the records are stored in a 
computer and a copy must be printed to provide individual access, or 
the activity does not wish to surrender temporarily the original 
records for the individual to review).
    (m) Privacy Act case files. (1) Whenever an individual submits a 
Privacy Act request, a case file will be established. This Privacy Act 
case file is a specific type of file that is governed by a specific 
Privacy Act system of records notice. In no instance will the 
individual's Privacy Act request and

[[Page 46061]]

corresponding Army actions be included in the individual's military 
personnel file or other military filing systems, such as adverse action 
files or general legal files, and in no instance will the Privacy Act 
case file be used to make an adverse determination about the 
individual.
    (2) The case file will be comprised of the request for access/
amendment, grants, refusals, coordination action(s), and all related 
papers.


Sec.  505.6  Amendment of records.

    (a) Amended records. (1) Individuals are encouraged to periodically 
review the information maintained about them in Privacy Act systems of 
records and to familiarize themselves with the amendment procedures 
established by this part.
    (2) An individual may request to amend records that are retrieved 
by his or her name or personal identifier from a system of records 
unless the system has been exempted from the amendment provisions of 
the Act. The standard for amendment is that the records are inaccurate 
as a matter of fact rather than judgment, irrelevant, untimely, or 
incomplete. The burden of proof is on the requester.
    (3) The system manager or custodian must review Privacy Act records 
for accuracy, relevance, timeliness, and completeness.
    (4) Amendment procedures are not intended to permit individuals to 
challenge events in records that have actually occurred. Amendment 
procedures only allow individuals to amend those items that are 
factually inaccurate and not matters of official judgment (e.g., 
performance ratings, promotion potential, and job performance 
appraisals). In addition, an individual is not permitted to amend 
records for events that have been the subject of judicial or quasi-
judicial actions/proceedings.
    (b) Proper amendment requests. (1) Amendment requests, except for 
routine administrative changes, will be in writing.
    (2) When acting on behalf of a first party requester, an individual 
must provide written documentation of the first party requester's 
consent to allow the individual to view his or her records.
    (3) Amendment is appropriate if it can be shown that--
    (i) Circumstances leading up to the recorded event were found to be 
inaccurately reflected in the document;
    (ii) The record is not identical to the individual's copy; or
    (iii) The document was not constructed in accordance with the 
applicable recordkeeping requirements prescribed in AR 25-400-2, The 
Army Records Information Management System (ARIMS).
    (4) Under the amendment provisions, an individual may not challenge 
the merits of an adverse determination.
    (5) U.S. Army Criminal Investigation Command (USACIDC) reports of 
investigations (PA system of records notice A0195-2a USACIDC, Source 
Register; A0195-2b USACIDC, Criminal Investigation and Crime Laboratory 
Files) have been exempted from the amendment provisions of the Privacy 
Act. Requests to amend these reports will be considered under AR 195-2. 
Actions taken by the Commander of U.S. Army Criminal Investigation 
Command will constitute final action on behalf of the Secretary of the 
Army under that regulation.
    (6) Records placed in the National Archives are exempt from the 
Privacy Act provision allowing individuals to request amendment of 
records. Most provisions of the Privacy Act apply only to those systems 
of records that are under the legal control of the originating agency; 
for example, an agency's current operating files or records stored at a 
Federal Records Center.
    (7) Inspector General investigative files and action request/
complaint files (records in system notice A0021-1 SAIG, Inspector 
General Records) have been exempted from the amendment provisions of 
the Privacy Act. Requests to amend these reports will be considered 
under AR 20-1 by the Inspector General. Action by the Inspector General 
will constitute final action on behalf of the Secretary of the Army 
under that regulation.
    (8) Other records that are exempt from the amendment provisions of 
the Privacy Act are listed in the applicable PA system of records 
notices.
    (c) Amendment procedures. (1) Requests to amend records should be 
addressed to the custodian or system manager of the records. The 
request must reasonably describe the records to be amended and the 
changes sought (e.g., deletion, addition, or amendment). The burden of 
proof is on the requester. The system manager or records custodian will 
provide the individual with a written acknowledgment of the request 
within 10 working days and will make a final response within 30 working 
days of the date the request was received. The acknowledgment must 
clearly identify the request and inform the individual that final 
action will be forthcoming within 30 working days.
    (2) Records for which amendment is sought must be reviewed by the 
proper system manager or custodian for accuracy, relevance, timeliness, 
and completeness.
    (3) If the amendment is appropriate, the system manager or 
custodian will physically amend the records accordingly. The requester 
will be notified of such action.
    (4) If the amendment is not warranted, the request and all relevant 
documents, including reasons for not amending, will be forwarded to the 
proper Denial Authority within 10 working days to ensure that the 30 
day time limit for the final response is met. In addition, the 
requester will be notified of the referral.
    (5) Based on the documentation provided, the Denial Authority will 
either amend the records and notify the requester and the custodian of 
the records of all actions taken, or deny the request. If the records 
are amended, those who have received the records in the past will 
receive notice of the amendment.
    (6) If the Denial Authority determines that the amendment is not 
warranted, he or she will provide the requester and the custodian of 
the records reason(s) for not amending. In addition, the Denial 
Authority will send the requester an explanation regarding his or her 
right to seek further review by the DA Privacy Act Review Board, 
through the Denial Authority, and the right to file a concise 
``Statement of Disagreement'' to append to the individual's records.
    (i) On receipt of a request for further review by the Privacy Act 
Review Board, the Denial Authority will append any additional records 
or background information that substantiates the refusal or renders the 
case complete;
    (ii) Within 5 working days of receipt, forward the appeal to the DA 
Privacy Act Review Board; and
    (iii) Append the servicing Judge Advocate's legal review, including 
a determination that the Privacy Act Review Board packet is complete.
    (d) DA Privacy Act Review Board. (1) The DA Privacy Act Review 
Board acts on behalf of the Secretary of the Army in deciding appeals 
of the appropriate Denial Authority's refusal to amend records.
    (2) The Board will process an appeal within 30 working days of its 
receipt. The General Counsel may authorize an additional 30 days when 
unusual circumstances and good cause so warrant.
    (3) The Board membership consists of the following principal 
members, comprised of three voting and two non-voting members, or their 
delegates.
    (4) Three voting members include--
    (i) Administrative Assistant to the Secretary of the Army (AASA) 
who acts as the Chairman of the Board;

[[Page 46062]]

    (ii) The Judge Advocate General; and
    (iii) The Chief, DA Freedom of Information and Privacy Division, 
U.S. Army Records Management and Declassification Agency.
    (5) In addition, two non-voting members include--
    (i) The Chief Attorney, OAASA (or designee) who serves as the legal 
advisor and will be present at all Board sessions to provide legal 
advice as required; and
    (ii) Recording Secretary provided by the Office of the 
Administrative Assistant to the Secretary of the Army.
    (e) DA Privacy Act Review Board meetings. (1) The meeting of the 
Board requires the presence of all five members or their designated 
representatives. Other non-voting members with subject matter expertise 
may participate in a meeting of the Board, at the discretion of the 
Chairman.
    (2) Majority vote of the voting members is required to make a final 
determination on a request before the Board.
    (3) Board members, who have denial authority, may not vote on a 
matter upon which they took Denial Authority action. However, an 
individual who took Denial Authority action, or his or her 
representative, may serve as a non-voting member when the Board 
considers matters in the Denial Authority's area of functional 
specialization.
    (4) The Board may seek additional information, including the 
requester's official personnel file, if relevant and necessary to 
decide the appeal.
    (5) If the Board determines that an amendment is warranted (the 
record is inaccurate as a matter of fact rather than judgment, 
irrelevant, untimely, or incomplete) it will amend the record and 
notify the requester, the Denial Authority, the custodian of the 
record, and any prior recipients of the record, of the amendment.
    (6) If the Board determines that amendment is unwarranted, they 
will--
    (i) Obtain the General Counsel's concurrence in writing;
    (ii) Respond to the requester with the reasons for denial; and
    (iii) Inform the requester of the right to file a ``Statement of 
Disagreement'' with the Board's action and to seek judicial review of 
the Army's refusal to amend. A ``Statement of Disagreement'' must be 
received by the system manager within 120 days and it will be made an 
integral part of the pertinent record. Anyone who may have access to, 
use of, or need to disclose information from the record will be aware 
that the record was disputed. The disclosing authority may include a 
brief summary of the Board's reasons for not amending the disputed 
record.
    (7) It is inappropriate for the Privacy Act Review Board to 
consider any record which is exempt from the amendment provision of the 
Privacy Act.


Sec.  505.7  Disclosure of personal information to other agencies and 
third parties.

    (a) Disclosing records to third parties. (1) DA is prohibited from 
disclosing a record from a Privacy Act system of records to any person 
or agency without the prior written consent of the subject of the 
record, except when--
    (i) Pursuant to the twelve Privacy Act exceptions. The twelve 
exceptions to the ``no disclosure without consent'' rule are those 
exceptions which permit the release of personal information without the 
individual's/subject's consent (See appendix C of this part).
    (ii) The FOIA requires the release of the record. One of the twelve 
exceptions to Privacy Act is the FOIA Exception. If the FOIA requires 
the release of information, the information must be released. The 
Privacy Act can not prevent release to a third party if the FOIA 
requires release. However, information must not be discretionarily 
released under the FOIA if the information is subject to the Privacy 
Act's ``no disclosure without consent'' rule.
    (iii) A routine use applies. Another major exception to the ``no 
disclosure without consent'' rule is the routine use exception. The 
Privacy Act allows federal agencies to publish routine use exceptions 
to the Privacy Act. Some routine uses are Army specific, DOD specific, 
and Governmentwide. Routine uses exceptions are listed in the Privacy 
Act system of records notice(s) applicable to the Privacy Act records 
in question. The Army and other agencies' system of records notices may 
be accessed at the Defense Privacy Office's Web site http://www.defenselink.mil/privacy.
    (2) The approved twelve exceptions to the Privacy Act ``no 
disclosure without consent'' rule are listed at appendix C of this 
part.
    (b) Disclosing records to other DOD components and to federal 
agencies outside the DOD. (1) The twelve Privacy Act exceptions 
referred to in appendix C of this part are available to other DOD 
components and to federal agencies outside the DOD as exceptions to the 
Privacy Act's ``no disclosure without consent'' rule, with the 
exception of the FOIA exception. The FOIA is not an appropriate 
mechanism for providing information to other DOD components and to 
federal agencies outside the DOD.
    (2) A widely used exception to requests for information from local 
and state government agencies and federal agencies not within the DOD 
is the routine use exception to the Privacy Act.
    (3) The most widely used exception to requests for information from 
other DOD components is the ``intra-agency need to know'' exception to 
the Privacy Act. Officers and employees of the DOD who have an official 
need for the records in the performance of their official duties are 
entitled to Privacy Act protected information. Rank, position, or title 
alone does not authorize access to personal information about others. 
An official need for the information must exist before disclosure.
    (4) For the purposes of disclosure and disclosure accounting, the 
Department of Defense (DOD) is considered a single agency.
    (c) Disclosures under AR 25-55, the Freedom of Information Act 
(FOIA) Program. (1) Despite Privacy Act protections, all records must 
be disclosed if the Freedom of Information Act (FOIA) requires their 
release. The FOIA requires release unless the information is exempted 
by one or more of the nine FOIA exemptions.
    (2) Required release under the FOIA. The following are examples of 
personal information that is generally not exempt from the FOIA; 
therefore, it must be released to the public, unless covered by 
paragraphs (d)(2) and (d)(3) of this section. The following list is not 
all inclusive:
    (i) Military Personnel--
    (A) Rank, date of rank, active duty entry date, basic pay entry 
date, and gross pay (including base pay, special pay, and all 
allowances except Basic Allowance for Housing);
    (B) Present and past duty assignments, future stateside 
assignments;
    (C) Office/unit name, duties address and telephone number (DOD 
policy may require withholding of this information in certain 
circumstances);
    (D) Source of commission, promotion sequence number, military 
awards and decorations, and professional military education;
    (E) Duty status, at any given time;
    (F) Separation or retirement dates;
    (G) Military occupational specialty (MOS);
    (H) Active duty official attendance at technical, scientific or 
professional meetings; and
    (I) Biographies and photos of key personnel (DOD policy may require 
withholding of this information in certain circumstances).
    (ii) Federal civilian employees--

[[Page 46063]]

    (A) Present and past position titles, occupational series, and 
grade;
    (B) Present and past annual salary rates (including performance 
awards or bonuses, incentive awards, merit pay amount, Meritorious or 
Distinguished Executive Ranks, and allowances and differentials);
    (C) Present and past duty stations;
    (D) Office or duty telephone number (DOD policy may require 
withholding of this information in certain circumstances); and
    (E) Position descriptions, identification of job elements, and 
performance standards (but not actual performance appraisals), the 
release of which would not interfere with law enforcement programs or 
severely inhibit agency effectiveness. Performance elements and 
standards (or work expectations) may also be withheld when they are so 
intertwined with performance appraisals, the disclosure would reveal an 
individual's performance appraisal.
    (d) Personal information that requires protection. (1) The 
following are examples of information that is generally NOT releasable 
without the written consent of the subject. This list is not all 
inclusive--
    (i) Marital status;
    (ii) Dependents' names, sex and SSN numbers;
    (iii) Civilian educational degrees and major areas of study (unless 
the request for the information relates to the professional 
qualifications for Federal employment);
    (iv) School and year of graduation;
    (v) Home of record;
    (vi) Home address and phone;
    (vii) Age and date of birth;
    (viii) Overseas assignments (present or future);
    (ix) Overseas office or unit mailing address and duty phone of 
routinely deployable or sensitive units;
    (x) Race/ethnic origin;
    (xi) Educational level (unless the request for the information 
relates to professional qualifications for federal employment);
    (xii) Social Security Number (SSN); and
    (xiii) The information that would otherwise be protected from 
mandatory disclosure under a FOIA exemption.
    (2) The Office of the Secretary of Defense issued a policy 
memorandum in 2001 that provided greater protection of DOD personnel in 
the aftermath of 9/11 by requiring information that personally 
identifies DOD personnel be more carefully scrutinized and limited. In 
general, the Department of Defense has specifically advised that DOD 
components are not to release lists of names, duty addresses, present 
or past position titles, grades, salaries, and performance standards of 
DOD military members and civilian employees. At the office director 
level or above, the release of information will be limited to the name, 
official title, organization, and telephone number, provided a 
determination is made that disclosure does not raise security or 
privacy concerns. No other information, including room numbers, will 
normally be released about these officials. Consistent with current 
policy, information on officials below the office director level may 
continue to be released if their positions or duties require frequent 
interaction with the public.
    (3) Disclosure of records pertaining to personnel of overseas, 
sensitive, or routinely deployed units shall be prohibited to the 
extent authorized by 10 U.S.C. 130b.
    (e) Release of home addresses and home telephone numbers. (1) The 
release of home addresses and home telephone numbers normally is 
prohibited. This release is normally considered a clearly ``unwarranted 
invasion'' of personal privacy and is exempt from mandatory release 
under the FOIA. However, home addresses and home telephone numbers may 
still be released if--
    (i) The individual has indicated previously in writing that he or 
she has no objection to the release;
    (ii) The source of the information to be released is a public 
document such as commercial telephone directory or other public 
listing;
    (iii) The release is required by Federal statute (for example, 
pursuant to federally funded state programs to locate parents who have 
defaulted on child support payments) (See 42 U.S.C. 653); or
    (iv) The releasing of information is pursuant to the routine use 
exception or the ``intra-agency need to know'' exception to the Privacy 
Act.
    (2) A request for a home address or telephone number may be 
referred to the last known address of the individual for a direct reply 
by the individual to the requester. In such cases, the requester shall 
be notified of the referral.
    (3) Do not sell or rent lists of individual names and addresses 
unless such action is specifically authorized by the appropriate 
authority.
    (f) Emergency Recall Rosters. (1) The release of emergency recall 
rosters normally is prohibited. Their release is normally considered a 
clearly ``unwarranted invasion'' of personal privacy and is exempt from 
mandatory release under the FOIA. Emergency recall rosters should only 
be shared with those who have an ``official need to know'' the 
information, and they should be marked ``For Official Use Only'' (See 
AR 25-55).
    (2) Do not include a person's SSN on an emergency recall roster or 
their spouse's name.
    (3) Commanders and supervisors should give consideration to those 
individuals with unlisted phone numbers. Commanders and supervisors 
should consider limiting access to an unlisted number within the unit.
    (g) Social Rosters. (1) Before including personal information such 
as a spouse's name, home addresses, home phone numbers, and similar 
information on social rosters or social directories, which will be 
shared with individuals, always ask for the individual's written 
consent. Without their written consent, do not include this 
information.
    (2) Collection of this information will require a Privacy Act 
Statement which clearly tells the individual what information is being 
solicited, the purpose, to whom the disclosure of the information is 
made, and whether collection of the information is voluntary or 
mandatory.
    (h) Disclosure of personal information on group orders. (1) 
Personal information will not be posted on group orders so that 
everyone on the orders can view it. Such a disclosure of personal 
information violates the Privacy Act and this part.
    (2) The following are some examples of personal information that 
should not be contained in group orders. The following list is not all-
inclusive--
    (i) Complete SSN;
    (ii) Home addresses and phone numbers; or
    (iii) Date of birth.
    (i) Disclosures for established routine uses. (1) Records may be 
disclosed outside the DOD without the consent of the individual to whom 
they pertain for an established routine use.
    (2) A routine use shall--
    (i) Be compatible with and related to the purpose for which the 
record was compiled;
    (ii) Identify the persons or organizations to which the records may 
be released; and
    (iii) Have been published previously in the Federal Register.
    (3) Establish a routine use for each user of the information 
outside the Department of Defense who needs official access to the 
records.
    (4) Routine uses may be established, discontinued, or amended 
without the consent of the individuals involved. However, new or 
changed routine uses

[[Page 46064]]

must be published in the Federal Register at least 30 days before 
actually disclosing any records.
    (5) In addition to the routine uses listed in the applicable 
systems of records notices, ``Blanket Routine Uses'' for all DOD 
maintained systems of records have been established. These ``Blanket 
Routine Uses'' are applicable to every record system maintained within 
the DOD unless specifically stated otherwise within a particular record 
system. The ``Blanket Routine Uses'' are listed at appendix C of this 
part.
    (j) Disclosure accounting. (1) System managers must keep an 
accurate record of all disclosures made from DA Privacy Act system of 
records, including those made with the consent of the individual, 
except when records are--
    (i) Disclosed to DOD officials who have a ``need to know'' the 
information to perform official government duties; or
    (ii) Required to be disclosed under the Freedom of Information Act.
    (2) The purpose for the accounting of disclosure is to--
    (i) Enable an individual to ascertain those persons or agencies 
that have received information about them;
    (ii) Enable the DA to notify past recipients of subsequent 
amendments or ``Statements of Dispute'' concerning the record; and
    (iii) Provide a record of DA compliance with the Privacy Act of 
1974, if necessary.
    (3) Since the characteristics of records maintained within DA vary 
widely, no uniform method for keeping the disclosure accounting is 
prescribed.
    (4) Essential elements to include in each disclosure accounting 
report are--
    (i) The name, position title, and address of the person making the 
disclosure;
    (ii) Description of the record disclosed;
    (iii) The date, method, and purpose of the disclosure; and
    (iv) The name, position title, and address of the person or agency 
to which the disclosure was made.
    (5) The record subject has the right of access to the disclosure 
accounting except when--
    (i) The disclosure was made for law enforcement purposes under 5 
U.S.C. 552a(b)(7); or
    (ii) The disclosure was made from a system of records for which an 
exemption from 5 U.S.C. 552a(c)(3) has been claimed.
    (6) There are no approved filing procedures for the disclosure of 
accounting records; however, system managers must be able to retrieve 
upon request. With this said, keep disclosure accountings for 5 years 
after the disclosure, or for the life of the record, whichever is 
longer.
    (7) When an individual requests such an accounting, the system 
manager or designee will respond within 20 working days.


Sec.  505.8  Training requirements.

    (a) Training. (1) The Privacy Act requires all heads of Army Staff 
agencies, field operating agencies, direct reporting units, Major 
Commands, subordinate commands, and installations to establish rules of 
conduct for all personnel involved in the design, development, 
operation, and maintenance of any Privacy Act system of records and to 
train the appropriate personnel with respect to the privacy rules 
including the penalties for non-compliance (See 5 U.S.C. 552a(e)(9)).
    (2) To meet the training requirements, three general levels of 
training must be established. They are--
    (i) Orientation. Training that provides basic understanding of this 
part as it applies to the individual's job performance. This training 
will be provided to personnel, as appropriate, and should be a 
prerequisite to all other levels of training;
    (ii) Specialized training. Training that provides information as to 
the application of specific provisions of this part to specialized 
areas of job performance. Personnel of particular concern include, but 
are not limited to, personnel specialists, finance officers, DOD 
personnel who may be expected to deal with the news media or the 
public, special investigators, paperwork managers, individuals working 
with medical and security records, records managers, computer systems 
development personnel, computer systems operations personnel, 
statisticians dealing with personal data and program evaluations, 
contractors and anyone responsible for implementing or carrying out 
functions under this part. Specialized training should be provided on a 
periodic basis; and
    (iii) Managerial training. Training designed to identify for 
responsible managers (such as senior system managers, Denial 
Authorities, and functional managers described in this section) issues 
that they should consider when making management decisions affected by 
the Privacy Act Program.
    (b) Training tools. Helpful resources include--
    (1) Privacy Act training slides for Major Commands and Privacy Act 
Officers: Contact the DA FOIA/P Office, or slides can be accessed at 
the Web site https://www.rmda.belvoir.army.mil/rmdaxml/rmda/FPHomePage.asp.
    (2) The ``DOJ Freedom of Information Act Guide and Privacy Act 
Overview'': The U.S. Department of Justice, Executive Office for United 
States Attorneys, Office of Legal Education, 600 E. Street, NW., Room 
7600, Washington, DC 20530, or training programs can be accessed at the 
Web site www.usdoj.gov/usao/eousa/ole.html.


Sec.  505.9  Reporting requirements.

    The Department of the Army will submit reports, consistent with the 
requirements of DOD 5400.11-R, OMB Circular A-130, and as otherwise 
directed by the Defense Privacy Office. Contact the DA FOIA/P Office 
for further guidance regarding reporting requirements.


Sec.  505.10  Use and establishment of exemptions.

    (a) Three types of exemptions. (1) There are three types of 
exemptions applicable to an individual's right to access permitted by 
the Privacy Act. They are the Special, General, and Specific 
exemptions.
    (2) Special exemption (d)(5)--Relieves systems of records from the 
access provision of the Privacy Act only. This exemption applies to 
information compiled in reasonable anticipation of a civil action or 
proceeding.
    (3) General exemption (j)(2)--Relieves systems of records from most 
requirements of the Act. Only Army activities actually engaged in the 
enforcement of criminal laws as their primary function may claim this 
exemption.
    (4) Specific exemptions (k)(1)-(k)(7)-Relieves systems of records 
from only a few provisions of the Act.
    (5) To find out if an exemption is available for a particular 
record, refer to the applicable system of records notices. System of 
records notices will state which exemptions apply to a particular type 
of record. System of records notices that are applicable to the Army 
are contained in DA Pam 25-51 (available at the Army Publishing 
Directorate Web site http://www.usapa.army.mil/), the Defense Privacy 
Office's Web site http://www.defenselink.mil/privacy/), or in this 
section). Some of the system of records notices apply only to the Army 
and the DOD and some notices are applicable government-wide.
    (6) Descriptions of current exemptions are listed in detail at 
appendix C of this part.
    (b) Exemption procedures. (1) For the General and Specific 
exemptions to be applicable to the Army, the Secretary of

[[Page 46065]]

the Army must promulgate exemption rules to implement them. This 
requirement is not applicable to the one Special exemption which is 
self-executing. Once an exemption is made applicable to the Army 
through the exemption rules, it will be listed in the applicable system 
of records notices to give notice of which specific types of records 
the exemption applies to. When a system manager seeks to have an 
exemption applied to a certain Privacy Act system of records that is 
not currently provided for by an existing system of records notice, the 
following information will be furnished to the DA FOIA/P Office--
    (i) Applicable system of records notice;
    (ii) Exemption sought; and
    (iii) Justification.
    (2) After appropriate staffing and approval by the Secretary of the 
Army and the Defense Privacy Office, it will be published in the 
Federal Register as a proposed rule, followed by a final rule 60 days 
later. No exemption may be invoked until these steps have been 
completed.


Sec.  505.11  Federal Register publishing requirements.

    (a) The Federal Register. There are three types of documents 
relating to the Privacy Act Program that must be published in the 
Federal Register. They are the DA Privacy Program policy and procedures 
(AR 340-21), the DA exemption rules, and Privacy Act system of records 
notices.
    (b) Rulemaking procedures. (1) DA Privacy Program procedures and 
exemption rules are subject to the formal rulemaking process.
    (2) Privacy Act system of records notices are not subject to formal 
rulemaking and are published in the Federal Register as Notices, not 
Rules.
    (3) The Privacy Program procedures and exemption rules are 
incorporated into the Code of Federal Regulations (CFR). Privacy Act 
system of records notices are not published in the CFR.


Sec.  505.12  Privacy Act enforcement actions.

    (a) Judicial Sanctions. The Act has both civil remedies and 
criminal penalties for violations of its provisions.
    (1) Civil remedies. The DA is subject to civil remedies for 
violations of the Privacy Act. In addition to specific remedial 
actions, 5 U.S.C. 552a(g) may provide for the payment of damages, court 
costs, and attorney's fees.
    (2) Criminal penalties. A DA official or employee may be found 
guilty of a misdemeanor and fined not more than $5,000 for willfully--
    (i) Disclosing individually identifiable personal information to 
one not entitled to the information;
    (ii) Requesting or obtaining information from another's record 
under false pretenses; or
    (iii) Maintaining a system of records without first meeting the 
public notice requirements of the Act.
    (b) Litigation Status Sheet. (1) When a complaint citing the 
Privacy Act is filed in a U.S. District Court against the Department of 
the Army, an Army Component, a DA Official, or any Army employee, the 
responsible system manager will promptly notify the Army Litigation 
Division, 901 North Stuart Street, Arlington, VA 22203-1837.
    (2) The Litigation Status Sheet at appendix E of this part provides 
a standard format for this notification. At a minimum, the initial 
notification will have items (a) through (f) provided.
    (3) A revised Litigation Status Sheet must be provided at each 
stage of the litigation.
    (4) When a court renders a formal opinion or judgment, copies must 
be provided to the Defense Privacy Office by the Army Litigation 
Division.
    (c) Administrative Remedies--Privacy Act complaints. (1) The 
installation level Privacy Act Officer is responsible for processing 
Privacy Act complaints or allegations of Privacy Act violations. 
Guidance should be sought from the local Staff Judge Advocate and 
coordination made with the system manager to assist in the resolution 
of Privacy Act complaints. The local Privacy Act officer is responsible 
for--
    (i) Reviewing allegations of Privacy Act violations and the 
evidence provided by the complainants;
    (ii) Making an initial assessment as to the validity of the 
complaint, and taking appropriate corrective action;
    (iii) Coordinating with the local Staff Judge Advocate to determine 
whether a more formal investigation such as a commander's inquiry or an 
AR 15-6 investigation is appropriate; and
    (iv) Ensuring the decision at the local level from either the 
Privacy Act Officer or other individual who directed a more formal 
investigation is provided to the complainant in writing.
    (2) The decision at the local level may be appealed to the next 
higher command level Privacy Act Officer.
    (3) A legal review from the next higher command level Privacy Act 
Officer's servicing Staff Judge Advocate is required prior to action on 
the appeal.


Sec.  505.13  Computer Matching Agreement Program.

    (a) General provisions. (1) Pursuant to the Privacy Act and this 
part, DA records may be subject to computer matching, i.e., the 
computer comparison of automated systems of records.
    (2) There are two specific kinds of Matching Programs covered by 
the Privacy Act--
    (i) Matches using records from Federal personnel or payroll systems 
of records; and
    (ii) Matches involving Federal benefit programs to accomplish one 
or more of the following purposes--
    (A) To determine eligibility for a Federal benefit;
    (B) To comply with benefit program requirements; and
    (C) To effect recovery of improper payments or delinquent debts 
from current or former beneficiaries.
    (3) The comparison of records must be computerized. Manual 
comparisons are not covered.
    (4) Any activity that expects to participate in a Computer Matching 
Program must contact the DA FOIA/P Office immediately.
    (5) In all cases, Computer Matching Agreements are processed by the 
Defense Privacy Office and approved by the Defense Data Integrity 
Board. Agreements will be conducted in accordance with the requirements 
of 5 U.S.C. 552a, and OMB Circular A-130.
    (b) Other matching. Several types of computer matching are exempt 
from the restrictions of the Act such as matches used for statistics, 
pilot programs, law enforcement, tax administration, routine 
administration, background checks, and foreign counterintelligence. The 
DA FOIA/P Office should be consulted if there is a question as to 
whether the Act governs a specific type of computer matching.


Sec.  505.14  Recordkeeping requirements under the Privacy Act.

    (a) AR 25-400-2, The Army Records Information Management System 
(ARIMS). To maintain privacy records are required by the Army Records 
Information Management System (ARIMS) to provide adequate and proper 
documentation of the conduct of Army business so that the rights and 
interests of individuals and the Federal Government are protected.
    (b) A full description of the records prescribed by this part and 
their disposition/retention requirements are found on the ARIMS Web 
site at https://www.arims.army.mil.

Appendix A to Part 505--References

    (a) The Privacy Act of 1974 (5 U.S.C. 552a, as amended).
    (b) OMB Circular No. A-130, Management of Federal Information 
Resources.
    (c) AR 25-55, The Department of the Army Freedom of Information 
Program.

[[Page 46066]]

    (d) DA PAM 25-51, The Army Privacy Program--System of Records 
Notices and Exemption Rules.
    (e) DOD Directive 5400.11, Department of Defense Privacy 
Program.
    (f) DOD 5400.11-R, Department of Defense Privacy Program.
    (g) AR 25-2, Information Assurance
    (h) AR 25-400-2, The Army Records Information Management System 
(ARIMS).
    (i) AR 27-10, Military Justice.
    (j) AR 40-66, Medical Record Administration and Health Care 
Documentation.
    (k) AR 60-20 and AFR 147-14, Army and Air Force Exchange Service 
Operating Policies.
    (l) AR 190-45, Law Enforcement Reporting.
    (m) AR 195-2, Criminal Investigation Activities.
    (n) AR 380-5, Department of Army Information Security Program.
    (o) DOD Directive 5400-7, DOD Freedom of Information Act (FOIA) 
Program.
    (q) DOD 5400.7-R, DOD Freedom of Information Program.
    (r) DOD 6025.18-R, DOD Health Information Privacy Regulation 
(HIPAA).
    (s) U.S. Department of Justice, Freedom of Information Act Guide 
and Privacy Act Overview.
    (t) Office of Secretary of Defense memorandum, dated July 15, 
2005, subject: Notifying Individuals when Personal Information is 
Lost, Stolen, or Compromised located at http://www.army.mil/ciog6/referencs/policy/dos/OSDprivateinfo.pdf.

Appendix B to Part 505--Denial Authorities for Records Under Their 
Authority (Formerly Access and Amendment Refusal Authorities)

    (a) The Administrative Assistant to the Secretary of the Army is 
authorized to act for the Secretary of the Army on requests for all 
records maintained by the Office of the Secretary of the Army and 
its serviced activities, as well as requests requiring the personal 
attention of the Secretary of the Army. This also includes civilian 
Equal Employment Opportunity (EEO) actions. (See DCS, G-1 for 
Military Equal Opportunity (EO) actions.) The Administrative 
Assistant to the Secretary of the Army has delegated this authority 
to the Chief Attorney, OAASA (See DCS, G1 for Military Equal 
Opportunity (EO) actions).
    (b) The Assistant Secretary of the Army (Financial Management 
and Comptroller) is authorized to act on requests for finance and 
accounting records. Requests for CONUS finance and accounting 
records should be referred to the Defense Finance and Accounting 
Service (DFAS). The Chief Attorney, OAASA, acts on requests for non-
finance and accounting records of the Assistant Secretary of the 
Army (Financial Management and Comptroller).
    (c) The Assistant Secretary of the Army (Acquisition, Logistics, 
& Technology) is authorized to act on requests for procurement 
records other than those under the purview of the Chief of Engineers 
and the Commander, U.S. Army Materiel Command. The Chief Attorney, 
OAASA, acts on requests for non-procurement records of the Assistant 
Secretary of the Army (Acquisition, Logistics and Technology).
    (d) The Deputy Assistant Secretary of the Army (Civilian 
Personnel Policy)/Director of Civilian Personnel, Office of the 
Assistant Secretary of the Army (Manpower and Reserve Affairs) is 
authorized to act on requests for civilian personnel records, 
personnel administration and other civilian personnel matters, 
except for EEO (civilian) matters which will be acted on by the 
Administrative Assistant to the Secretary of the Army. The Deputy 
Assistant Secretary of the Army (Civilian Personnel Policy)/Director 
of Civilian Personnel has delegated this authority to the Chief, 
Policy and Program Development Division (Note: Requests from former 
civilian employees to amend a record in an Office of Personnel 
Management system of records, such as the Official Personnel Folder, 
should be sent to the Office of Personnel Management, Assistant 
Director for Workforce Information, Compliance, and Investigations 
Group: 1900 E. Street, NW., Washington, DC 20415-0001).
    (e) The Chief Information Officer G-6 is authorized to act on 
requests for records pertaining to Army Information Technology, 
command, control communications and computer systems and the 
Information Resources Management Program (automation, 
telecommunications, visual information, records management, 
publications and printing).
    (f) The Inspector General is authorized to act on requests for 
all Inspector General Records.
    (g) The Auditor General is authorized to act on requests for 
records relating to audits done by the U.S. Army Audit Agency under 
AR 10-2. This includes requests for related records developed by the 
Audit Agency.
    (h) The Director of the Army Staff is authorized to act on 
requests for all records of the Chief of Staff and its Field 
Operating Agencies. The Director of the Army Staff has delegated 
this authority to the Chief Attorney and Legal Services Directorate, 
U.S. Army Resources & Programs Agency (See The Judge Advocate 
General for the General Officer Management Office actions). The 
Chief Attorney and Legal Services Director, U.S. Army Resources & 
Programs Agency acts on requests for records of the Chief of Staff 
and its Field Operating Agencies (See The Judge Advocate General for 
the General Officer Management Office actions).
    (i) The Deputy Chief of Staff, G-3/5/7 is authorized to act on 
requests for records relating to International Affairs policy, 
planning, integration and assessments, strategy formulation, force 
development, individual and unit training policy, strategic and 
tactical command and control systems, nuclear and chemical matters, 
use of DA forces.
    (j) The Deputy Chief of Staff, G-8 is authorized to act on 
requests for records relating to programming, material integration 
and externally directed reviews.
    (k) The Deputy Chief of Staff, G-1 is authorized to act on the 
following records: Personnel board records, Equal Opportunity 
(military) and sexual harassment, health promotions, physical 
fitness and well-being, command and leadership policy records, HIV 
and suicide policy, substance abuse programs except for individual 
treatment records which are the responsibility of the Surgeon 
General, retiree benefits, services, and programs (excluding 
individual personnel records of retired military personnel, which 
are the responsibility of the U.S. Army Human Resources Command-St. 
Louis), DA dealings with Veterans Affairs, U.S. Soldier's and 
Airmen's Home; all retention, promotion, and separation records; all 
military education records including records related to the removal 
or suspension from a military school or class; Junior Reserve 
Officer Training Corps (JROTC) and Senior Reserve Officer Training 
Corps (SROTC) records; SROTC instructor records; U.S. Military 
Academy Cadet Records; recruiting and MOS policy issues, personnel 
travel and transportation entitlements, military strength and 
statistics, The Army Librarian, demographics, and Manprint.
    (l) The Deputy Chief of Staff, G-4 is authorized to act on 
requests for records relating to DA logistical requirements and 
determinations, policy concerning materiel maintenance and use, 
equipment standards, and logistical readiness.
    (m) The Chief of Engineers is authorized to act on requests for 
records involving civil works, military construction, engineer 
procurement, and ecology; and the records of the U.S. Army Engineer 
divisions, districts, laboratories, and field operating agencies.
    (n) The Surgeon General/Commander, U.S. Army Medical Command, is 
authorized to act on requests for medical research and development 
records, and the medical records of active duty military personnel, 
dependents, and persons given physical examination or treatment at 
DA medical facilities, to include alcohol and drug treatment/test 
records.
    (o) The Chief of Chaplains is authorized to act on requests for 
records involving ecclesiastical relationships, rites performed by 
DA chaplains, and nonprivileged communications relating to clergy 
and active duty chaplains' military personnel files.
    (p) The Judge Advocate General is authorized to act on requests 
for records relating to claims, courts-martial, legal services, 
administrative
    (q) The Chief, National Guard Bureau, is authorized to act on 
requests for all personnel and medical records of retired, 
separated, discharged, deceased, and active Army National Guard 
military personnel, including technician personnel, unless such 
records clearly fall within another Denial Authority's 
responsibility. This authority includes, but is not limited to, 
National Guard organization and training files; plans, operations, 
and readiness files, policy files, historical files, files relating 
to National Guard military support, drug interdiction, and civil 
disturbances; construction, civil works, and ecology records dealing 
with armories, facilities within the States, ranges, etc.; Equal 
Opportunity investigative records; aviation program records and 
financial records dealing with personnel, operation and maintenance, 
and equipment budgets.
    (r) The Chief, Army Reserve and Commander, U.S. Army Reserve 
Command are authorized to act on requests for all

[[Page 46067]]

personnel and medical records of retired, separated, discharged, 
deceased, and reserve component military personnel, and all U.S. 
Army Reserve (USAR) records, unless such records clearly fall within 
another Denial Authority's responsibility. Records under the 
responsibility of the Chief, Army Reserve and the Commander, U.S. 
Army Reserve Command include records relating to USAR plans, 
policies, and operations; changes in the organizational status of 
USAR units; mobilization and demobilization policies, active duty 
tours, and the Individual Mobilization Augmentation program; and all 
other Office of the Chief, Army Reserve (OCAR) records and 
Headquarters, U.S. Army Reserve Command records.
    (s) The Commander, United States Army Materiel Command (AMC) is 
authorized to act on requests for the records of AMC headquarters 
and to subordinate commands, units, and activities that relate to 
procurement, logistics, research and development, and supply and 
maintenance operations.
    (t) The Provost Marshal General is authorized to act on all 
requests for provost marshal activities and law enforcement 
functions for the Army, all matters relating to police intelligence, 
physical security, criminal investigations, corrections and 
internment (to include confinement and correctional programs for 
U.S. prisoners, criminal investigations, provost marshal activities, 
and military police support. The Provost Marshal General is 
responsible for the Office of Security, Force Protection, and Law 
Enforcement Division and is the functional proponent for AR 190-
series (Military Police) and 195-series (Criminal Investigation), AR 
630-10 Absent Without Leave, Desertion, and Administration of 
Personnel Involved in Civilian Court Proceedings, and AR 633-30, 
Military Sentences to Confinement.
    (u) The Commander, U.S. Army Criminal Investigation Command, is 
authorized to act on requests for criminal investigative records of 
USACIDC headquarters, and its subordinate activities, and military 
police reports. This includes criminal investigation records, 
investigation-in-progress records, and all military police records 
and reports that result in criminal investigation reports. This 
authority has been delegated to the Director, U.S. Army Crime 
Records Center.
    (v) The Commander, U.S. Army Human Resources Command, is 
authorized to act on requests for military personnel files relating 
to active duty personnel including, but not limited to military 
personnel matters, military education records including records 
related to the removal or suspension from a military school or 
class; personnel locator, physical disability determinations, and 
other military personnel administration records; records relating to 
military casualty and memorialization activities; heraldic 
activities, voting, records relating to identification cards, 
naturalization and citizenship, commercial solicitation, Military 
Postal Service Agency and Army postal and unofficial mail service. 
The Commander, U.S. Army Human Resources Command, is also authorized 
to act on requests concerning all personnel and medical records of 
retired, separated, discharged, deceased, and reserve component 
military personnel, unless such records clearly fall within another 
Denial Authority's authority.
    (w) The Commander, U.S. Army Resources Command-St. Louis has 
been delegated authority to act on behalf of the U.S. Army Human 
Resources Commander for requests concerning all personnel and 
medical records of retired, separated, discharged, deceased, and 
reserve component military personnel, unless such records clearly 
fall within another Denial Authority's authority. The authority does 
not include records relating to USAR plans, policies, and 
operations; changes in the organizational status of USAR units, 
mobilization and demobilization policies; active duty tours, and the 
individual mobilization augmentation program.
    (x) The Assistant Chief of Staff for Installation Management is 
authorized to act on requests for records relating to planning, 
programming, execution and operation of Army installations. This 
includes base realignment and closure activities, environmental 
activities other than litigation, facilities and housing activities, 
and installation management support activities.
    (y) The Commander, U.S. Army Intelligence and Security Command, 
is authorized to act on requests for intelligence and security 
records, foreign scientific and technological records, intelligence 
training, intelligence threat assessments, and foreign liaison 
information, mapping and geodesy information, ground surveillance 
records, intelligence threat assessment, and missile intelligence 
data relating to tactical land warfare systems.
    (z) The Commander, U.S. Army Combat Readiness Center (formerly 
U.S. Army Safety Center), is authorized to act on requests for Army 
safety records.
    (aa) The Commander, U.S. Army Test and Evaluation Command 
(ATEC), is authorized to act on requests for the records of ATEC 
headquarters, its subordinate commands, units, and activities that 
relate to test and evaluation operations.
    (bb) The General Counsel, Army and Air Force Exchange Service, 
is authorized to act on requests for Army and Air Force Exchange 
Service records, under AR 60-20/AFR 147-14.
    (cc) The Commandant, United States Disciplinary Barracks (USDB) 
is authorized to act on records pertaining to USDB functional area 
responsibilities relating to the administration and confinement of 
individual military prisoners at the USDB. This includes, but is not 
limited to, all records pertaining to the treatment of military 
prisoners; investigation of prisoner misconduct; management, 
operation, and administration of the USDB confinement facility; and 
related programs which fall directly within the scope of the 
Commandant's functional area of command and control.
    (dd) The Commander, U.S. Army Community and Family Support 
Center (USACFSC) is authorized to act on requests for records 
pertaining to morale, welfare, recreation, and entertainment 
programs; community and family action programs; child development 
centers; non-appropriated funds issues, and private organizations on 
Army installations.
    (ee) The Commander, Military Surface Deployment and Distribution 
Command (formerly Military Traffic Management Command) is authorized 
to act on requests for records pertaining to military and commercial 
transportation and traffic management records.
    (ff) The Director, Installation Management Agency (IMA) is 
authorized to act on requests for all IMA records.
    (gg) Special Denial Authority's authority for time-event related 
records may be designated on a case-by-case basis. These will be 
published in the Federal Register. You may contact the Department of 
the Army, Freedom of Information and Privacy Office to obtain 
current information on special delegations.

Appendix C to Part 505--Privacy Act Statement Format

    (a) Authority: The specific federal statute or Executive Order 
that authorizes collection of the requested information.
    (b) Principal Purpose(s): The principal purpose or purposes for 
which the information is to be used.
    (c) Routine Uses(s): Disclosure of the information outside DOD.
    (d) Disclosure: Whether providing the information is voluntary 
or mandatory and the effects on the individual if he or she chooses 
not to provide the requested information.
    (1) Example of a Privacy Act Statement
    (i) Authority: Emergency Supplement Act of 2000; Public Law 106-
246; 5 U.S.C. 3013, Secretary of the Army; 10 U.S.C. 5013, Secretary 
of the Navy; 10 U.S.C. 8013, Secretary of the Air Force; Department 
of Defense Directive 8500.aa, Information Assurance (IA); and E.O. 
9397 (SSN).
    (ii) Principal Purpose(s): To control access to DOD information, 
information based systems and facilities by authenticating the 
identity of a person using a measurable physical characteristic(s). 
This computer system uses software programs to create biometrics 
templates and summary statistics, which are used for purposes such 
as assessing system performance or identifying problem areas.
    (iii) Routine Use(s): None. The DoD ``Blanket Routine Uses'' set 
forth at the beginning of the Army's Compilations of System of 
Records Notices applies to this system.
    (iv) Disclosure: Voluntary; however, failure to provide the 
requested information may result in denial of access to DOD 
information based systems and/or DOD facilities.
    (2) [Reserved].

Appendix D to Part 505--Exemptions; Exceptions; and DoD Blanket Routine 
Uses

    (a) Special Exemption. 5 U.S.C. 552a(d)(5)--Denies individual 
access to any information compiled in reasonable anticipation of 
civil action or proceeding.
    (b) General and Specific Exemptions. The Secretary of the Army 
may exempt Army systems of records from certain requirements

[[Page 46068]]

of the Privacy Act. The two kinds of exemptions that require 
Secretary of the Army enactment are General and Specific exemptions. 
The Army system of records notices for a particular type of record 
will state whether the Secretary of the Army has authorized a 
particular General and Specific exemption to a certain type of 
record. The Army system of records notices are published in DA Pam 
25-51 and on the Defense Privacy Office's Web site http://www.defenselink.mil/privacy/.
    (c) Twelve Exceptions to the ``No Disclosure without Consent'' 
rule of the Privacy Act.
    (1) 5 U.S.C. 552a(b)(1)--To DOD officers and employees who have 
a need for the record in the performance of their official duties. 
This is the ``official need to know concept.
    (2) 5 U.S.C. 552a(b)(2)--FOIA requires release of the 
information.
    (3) 5 U.S.C. 552a(b)(3)--The Routine Use Exception. The Routine 
Use must be published in the Federal Register and the purpose of the 
disclosure must be compatible with the purpose for the published 
Routine Use. The applicable Routine Uses for a particular record 
will be listed in the applicable Army Systems Notice.
    (4) 5 U.S.C. 552a(b)(4)--To the Bureau of the Census to plan or 
carry out a census or survey, or related activity pursuant to Title 
13 of the U.S. Code.
    (5) 5 U.S.C. 552a(b)(5)--To a recipient who has provided DA or 
DOD with advance adequate written assurance that the record will be 
used solely as a statistical research or reporting record, and the 
record is to be transferred in a form that is not individually 
identifiable.
    (6) 5 U.S.C. 552a(b)(6)--To the National Archives and Records 
Administration as a record that has sufficient historical or other 
value to warrant its continued preservation by the U.S. Government, 
or for evaluation by the Archivist of the United States or the 
designee of the Archivist to determine whether the record has such 
value.

    Note: Records transferred to the Federal Records Centers for 
storage remain under the control of the DA and no accounting for 
disclosure is required under the Privacy Act.

    (7) 5 U.S.C. 552a(b)(7)--To another agency or instrumentality of 
any governmental jurisdiction within or under the control of the 
United States for a civil or criminal law enforcement activity, if 
the activity is authorized by law, and if the head of the agency or 
instrumentality has made a written request to the Army or the DOD 
specifying the particular portion desired and the law enforcement 
activity for which the record is sought.
    (8) 5 U.S.C. 552a(b)(8)--To a person pursuant to a showing of 
compelling circumstances affecting the health or safety of an 
individual if upon such disclosure, notification is transmitted to 
the last known address of such individual.
    (9) 5 U.S.C. 552a(b)(9)--To either House of Congress, or, to the 
extent the matter is within its jurisdiction, any committee or 
subcommittee thereof, or any joint committee of Congress or 
subcommittee of any such joint committee. Requests from a 
Congressional member acting on behalf of a constituent are not 
included in this exception, but may be covered by a routine use 
exception to the Privacy Act (See applicable Army system of records 
notice).
    (10) 5 U.S.C. 552a(b)(10)--To the Comptroller General or 
authorized representatives, in the course of the performance of the 
duties of the Government Accountability Office.
    (11) 5 U.S.C. 552a(b)(11)--Pursuant to the order of a court of 
competent jurisdiction. The order must be signed by a judge.
    (12) 5 U.S.C. 552a(b)(12)--To a consumer reporting agency in 
accordance with section 3711(e) of Title 31 of the U.S. Code. The 
name, address, SSN, and other information identifying the 
individual; amount, status, and history of the claim; and the agency 
or program under which the case arose may be disclosed. However, 
before doing so, agencies must complete a series of steps designed 
to validate the debt and to offer the individual an opportunity to 
repay it.
    (d) DOD Blanket Routine Uses. In addition to specific routine 
uses which are listed in the applicable Army system of record 
notices, certain ``Blanket Routine Uses'' apply to all DOD 
maintained systems of records. These are listed on the Defense 
Privacy Office's Web site http://www.defenselink.mil/privacy/. These 
``Blanket Routine Uses'' are not specifically listed in each system 
of records notice as the specific routine uses are. The current DOD 
``Blanket Routine Uses'' are as follows--
    (1) Law Enforcement Routine Use. If a system of records 
maintained by a DOD component to carry out its functions indicates a 
violation or potential violation of law, whether civil, criminal or 
regulatory in nature, and whether arising by general statute or by 
regulation, rule, or order issued pursuant thereto, the relevant 
records in the system of records may be referred, as a routine use, 
to the agency concerned, whether federal, state, local, or foreign, 
charged with the responsibility of investigating or prosecuting such 
violation or charged with enforcing or implementing the statute, 
rule, regulation or order issued pursuant thereto.
    (2) Disclosure When Requesting Information Routine Use. A record 
from a system of records maintained by a DOD component may be 
disclosed as a routine use to a Federal, State, or local agency 
maintaining civil, criminal, or other relevant enforcement 
information or other pertinent information, such as current 
licenses, if necessary to obtain information relevant to a DOD 
Component decision concerning the hiring or retention of an 
employee, the issuance of a security clearance, the letting of a 
contract, or the issuance of a license, grant or other benefit.
    (3) Disclosure of Requested Information Routine Use. A record 
from a system of records maintained by a DOD component may be 
disclosed to a Federal agency, in response to its request, in 
connection with the hiring or retention of an employee, the issuance 
of a security clearance, the reporting of an investigation of an 
employee, the letting of a contract, or the issuance of a license, 
grant, or other benefit by the requesting agency, to the extent that 
the information is relevant and necessary to the requesting agency's 
decision on the matter.
    (4) Congressional Inquiries Disclosure Routine Use. Disclosure 
from a system of records maintained by a DOD component may be made 
to a congressional office from the record of an individual in 
response to an inquiry from the congressional office made at the 
request of that individual.
    (5) Private Relief Legislation Routine Use. Relevant information 
contained in all systems of records of DOD published on or before 
August 22, 1975, may be disclosed to Office of Management and Budget 
in connection with the review of private relief legislation, as set 
forth in OMB Circular A-19, at any stage of the legislative 
coordination and clearance process as set forth in that Circular.
    (6) Disclosures Required by International Agreements Routine 
Use. A record from a system of records maintained by a DOD Component 
may be disclosed to foreign law enforcement, security, 
investigatory, or administrative authorities in order to comply with 
requirements imposed by, or to claim rights conferred in, 
international agreements and arrangements including those regulating 
the stationing and status in foreign countries of DOD military and 
civilian personnel.
    (7) Disclosure to State and Local Taxing Authorities Routine 
Use. Any information normally contained in Internal Revenue Service 
Form W-2, which is maintained in a record from a system of records 
maintained by a DOD component, may be disclosed to state and local 
taxing authorities with which the Secretary of the Treasury has 
entered into agreements pursuant to 5 U.S.C. sections 5516, 5517, 
and 5520 and only to those state and local taxing authorities for 
which an employee or military member is or was subject to tax 
regardless of whether tax is or was withheld. This routine use is in 
accordance with Treasury Fiscal Requirements Manual Bulletin 76-07.
    (8) Disclosure to the Office of Personnel Management Routine 
Use. A record from a system of records subject to the Privacy Act 
and maintained by a DA activity may be disclosed to the Office of 
Personnel Management concerning information on pay and leave, 
benefits, retirement deductions, and any other information necessary 
for Office of Personnel Management to carry out its legally 
authorized Government-wide personnel management functions and 
studies.
    (9) Disclosure to the Department of Justice for Litigation 
Routine Use. A record from a system of records maintained by a DOD 
component may be disclosed as a routine use to any component of the 
Department of Justice for the purpose of representing the Department 
of Defense, or any officer, employee, or member of the Department in 
pending or potential litigation to which the record is pertinent.
    (10) Disclosure to Military Banking Facilities Overseas Routine 
Use. Information as to current military addresses and assignments 
may be provided to military banking facilities who provide banking 
services overseas and who are reimbursed by the Government for 
certain checking and

[[Page 46069]]

loan losses. For personnel separated, discharged, or retired from 
the Armed forces, information as to last known residential or home 
of record address may be provided to the military banking facility 
upon certification by a banking facility officer that the facility 
has a returned or dishonored check negotiated by the individual or 
the individual has defaulted on a loan and that if restitution is 
not made by the individual, the U.S. Government will be liable for 
the losses the facility may incur.
    (11) Disclosure of Information to the General Services 
Administration Routine Use. A record from a system of records 
maintained by a DOD component may be disclosed as a routine use to 
the General Services Administration for the purpose of records 
management inspections conducted under authority of 44 U.S.C. 
Sections 2904 and 2906.
    (12) Disclosure of Information to National Archives and Records 
Administration Routine Use. A record from a system of records 
maintained by a DOD component may be disclosed as a routine use to 
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION for the purpose of 
records management inspections conducted under authority of 44 
U.S.C. sections 2904 and 2906.
    (13) Disclosure to the Merit Systems Protection Board Routine 
Use. A record from a system of records maintained by a DOD component 
may be disclosed as a routine use to the Merit Systems Protection 
Board, including the Office of the Special Counsel for the purpose 
of litigation, including administrative procedures, appeals, special 
studies of the civil service and other merit systems, review of 
Office of Personnel Management or component rules and regulations, 
investigation of alleged or possible prohibited personnel practices, 
including administrative proceedings involving any individual 
subject of a DOD investigation, and such other functions, 
promulgated in 5 U.S.C. sections 1205 and 1206, or as may be 
authorized by law.
    (14) Counterintelligence Purposes Routine Use. A record from a 
system of records maintained by a DOD component may be disclosed as 
a routine use outside the DOD or the U.S. Government for the purpose 
of counterintelligence activities authorized by U.S. Law or 
Executive Order or for the purpose of enforcing laws, which protect 
the national security of the United States.

Appendix E to Part 505--Litigation Status Sheet

    (a) Case Number: The number used by a DA activity for reference 
purposes; Requester;
    (b) Document Title or Description: Indicates the nature of the 
case, such as ``Denial of access'', ``Refusal to amend,'' 
``Incorrect records'', or other violations of the Act (specify);
    (c) Litigation: Date complaint filed, Court, and Case File 
Number;
    (d) Defendants: DOD component and individual;
    (e) Remarks: Brief explanation of what the case is about;
    (f) Court action: Court's finding and disciplinary action (if 
applicable); and
    (g) Appeal (If applicable): Date complaint filed, court, case 
File Number, court's finding, disciplinary action (if applicable).

Appendix F to Part 505--Example of a System of Records Notice

    (a) Additional information and guidance on Privacy Act system of 
records notices are found in DA PAM 25-51. The following elements 
comprise a Privacy Act system of records notice for publication in 
the Federal Register:
    (b) System Identifier: A0025-55 AHRC--DA FOIA/P Office assigns 
the notice number, for example, A0025-55, where ``A'' indicates 
``Army,'' the next number represents the publication series number 
related to the subject matter, and the final letter group shows the 
system manager's command. In this case, it would be U.S. Army Human 
Resources Command.
    (c) System Name: Use a short, specific, plain language title 
that identifies the system's general purpose (limited to 55 
characters).
    (d) System Location: Specify the address of the primary system 
and any decentralized elements, including automated data systems 
with a central computer facility and input or output terminals at 
separate locations. Use street address, 2-letter state abbreviations 
and 9-digit ZIP Codes. Spell out office names. Do not use office 
symbols.
    (e) Categories of Individuals: Describe the individuals covered 
by the system. Use non-technical, specific categories of individuals 
about whom the Department of Army keeps records. Do not use 
categories like ''all Army personnel'' unless that is truly 
accurate.
    (f) Categories of Records in the System: Describe in clear, 
plain language, all categories of records in the system. List only 
documents actually kept in the system. Do not identify source 
documents that are used to collect data and then destroyed. Do not 
list form numbers.
    (g) Authority for Maintenance of the System: Cite the specific 
law or Executive Order that authorizes the maintenance of the 
system. Cite the DOD directive/instruction or Department of the Army 
Regulation(s) that authorizes the Privacy Act system of records. 
Always include titles with the citations. Note: Executive Order 9397 
authorizes using the SSN as a personal identifier. Include this 
authority whenever the SSN is used to retrieve records.
    (h) Purpose(s): List the specific purposes for maintaining the 
system of records by the activity.
    (i) Routine Use(s): The blanket routine uses that appear at the 
beginning of each Component compilation apply to all systems notice 
unless the individual system notice specifically states that one or 
more of them do not apply to the system. Blanket Routine Uses are 
located at the beginning of the Component listing of systems notices 
and are not contained in individual system of records notices. 
However, specific routine uses are listed in each applicable system 
of records notice. List the specific activity to which the record 
may be released, for example ``To the Veterans Administration'' or 
``To state and local health agencies''. For each routine user 
identified, include a statement as to the purpose or purposes for 
which the record is to release to that activity. Do not use general 
statements, such as ``To other federal agencies as required'' or 
``To any other appropriate federal agency''.
    (j) Polices and Practices for Storing, Retrieving, Accessing, 
Retaining, and Disposing of Records in the System:
    (k) Storage: State the medium in which DA maintains the records; 
for example, in file folders, card files, microfiche, computer, or a 
combination of those methods. Storage does not refer to the storage 
container.
    (l) Retrievability: State how the Army retrieves the records; 
for example, by name, fingerprints or voiceprints.
    (m) Safeguards: Identify the system safeguards; for example, 
storage in safes, vaults, locked cabinets or rooms, use of guards, 
visitor controls, personnel screening, computer systems software, 
and so on. Describe safeguards fully without compromising system 
security.
    (n) Retention and Disposal. State how long AR 25-400-2 requires 
the activity to maintain the records. Indicate when or if the 
records may be transferred to a Federal Records Center and how long 
the record stays there. Specify when the Records Center sends the 
record to the National Archives or destroys it. Indicate how the 
records may be destroyed.
    (o) System Manager(s) and Address: List the position title and 
duty address of the system manager. For decentralized systems, show 
the locations, the position, or duty title of each category of 
officials responsible for any segment of the system.
    (p) Notification Procedures: List the title and duty address of 
the official authorized to tell requesters if their records are in 
the system. Specify the information a requester must submit; for 
example, full name, military status, SSN, date of birth, or proof of 
identity, and so on.
    (q) Record Access Procedures: Explain how individuals may 
arrange to access their records. Include the titles or categories of 
officials who may assist; for example, the system manager.
    (r) Contesting Records Procedures: The standard language to use 
is ``The Army's rules for accessing records, and for contesting 
contents and appealing initial agency determinations are contained 
in Army Regulation 25-71; 32 CFR part 505; or may be obtained from 
the system manager.''
    (s) Record Source Categories: Show categories of individuals or 
other information sources for the system. Do not list confidential 
sources protected by 5 U.S.C. 552a(k)(2), (k)(5), or (k)(7).
    (t) Exemptions Claimed for the System: Specifically list any 
approved exemption including the subsection in the Act. When a 
system has no approved exemption, write ``none'' under this heading.

Appendix G to Part 505--Management Control Evaluation Checklist

    (a) Function. The function covered by this checklist is DA 
Privacy Act Program.
    (b) Purpose. The purpose of this checklist is to assist Denial 
Authorities and Activity Program Coordinators in evaluating the key 
management controls listed below. This checklist is not intended to 
cover all controls.

[[Page 46070]]

    (c) Instructions. Answer should be based on the actual testing 
of key management controls (e.g., document analysis, direct 
observation, sampling, simulation, other). Answers that indicate 
deficiencies should be explained and corrective action indicated in 
supporting documentation. These management controls must be 
evaluated at least once every five years. Certificate of this 
evaluation has been conducted and should be accomplished on DA Form 
11-2-R (Management Control Evaluation Certification Statement).

Test Questions

    a. Is a Privacy Act Program established and implemented in your 
organization?
    b. Is an individual appointed to implement the Privacy Act 
requirements?
    c. Are provisions of AR 25-71 concerning protection of OPSEC 
sensitive information regularly brought to the attention of managers 
responsible for responding to Privacy Act requests and those 
responsible for control of the Army's records?
    d. When more than twenty working days are required to respond, 
is the Privacy Act requester informed, explaining the circumstance 
requiring the delay and provided an appropriate date for completion.
    e. Are Accounting Disclosures Logs being maintained?
    Comments: Assist in making this a better tool for evaluating 
management controls. Submit comments to the Department of Army, 
Freedom of Information and Privacy Division.

Appendix H to Part 505--Definitions

Function

    (a) Access. Review or copying a record or parts thereof 
contained in a Privacy Act system of records by an individual.
    (b) Agency. For the purposes of disclosing records subject to 
the Privacy Act, Components of the Department of Defense are 
considered a single agency. For other purposes including access, 
amendment, appeals from denials of access or amendment, exempting 
systems of records, and recordkeeping for release to non-DOD 
agencies, the Department of the Army is considered its own agency.
    (c) Amendment. The process of adding, deleting, or changing 
information in a system of records to make the data accurate, 
relevant, timely, or complete.
    (d) Computer Matching Agreement. An agreement to conduct a 
computerized comparison of two or more automated systems of records 
to verify eligibility for payments under Federal benefit programs or 
to recover delinquent debts for these programs.
    (e) Confidential Source. A person or organization who has 
furnished information to the Federal Government under an express 
promise that the person's or the organization's identity would be 
held in confidence or under an implied promise of such 
confidentiality if this implied promise was made before September 
27, 1975.
    (f) Cookie. A mechanism that allows the server to store its own 
information about a user on the user's own computer. Cookies are 
embedded in the HTML information flowing back and forth between the 
user's computer and the servers. They allow user-side customization 
of Web information. Normally, cookies will expire after a single 
session.
    (g) Defense Data Integrity Board. The Board oversees and 
coordinates all computer matching programs involving personal 
records contained in systems of records maintained by the DOD 
Component; reviews and approves all computer matching agreements 
between the Department of Defense (DOD) and other Federal, State, 
and local governmental agencies, as well as memoranda of 
understanding when the match is internal to the DOD.
    (h) Disclosure. The transfer of any personal information from a 
Privacy Act system of records by any means of communication (such as 
oral, written, electronic mechanical, or actual review) to any 
persons, private entity, or government agency, other than the 
subject of the record, the subject's designated agent or the 
subject's legal guardian. Within the context of the Privacy Act and 
this part, this term applies only to personal information that is a 
part of a Privacy Act system of records.
    (i) Deceased Individuals. The Privacy Act confers no rights on 
deceased persons, nor may their next-of-kin exercise any rights for 
them. However, family members of deceased individuals have their own 
privacy right in particularly sensitive, graphic, personal details 
about the circumstances surrounding an individual's death. This 
information may be withheld when necessary to protect the privacy 
interests of surviving family members. Even information that is not 
particularly sensitive in and of itself may be withheld to protect 
the privacy interests of surviving family members if disclosure 
would rekindle grief, anguish, pain, embarrassment, or cause a 
disruption of their peace minds. Because surviving family members 
use the deceased's Social Security Number to obtain benefits, DA 
personnel should continue to protect the SSN of deceased 
individuals.
    (j) Individual. A living person who is a citizen of the United 
States or an alien lawfully admitted for permanent residence. The 
parent or legal guardian of a minor also may act on behalf of an 
individual. Members of the United States Armed Forces are 
individuals. Corporations, partnerships, sole proprietorships, 
professional groups, businesses, whether incorporated or 
unincorporated, and other commercial entities are not individuals.
    (k) Individual Access. The subject of a Privacy Act file or his 
or her designated agent or legal guardian has access to information 
about them contained in the Privacy Act file. The term individual 
generally does not embrace a person acting on behalf of a commercial 
entity (for example, sole proprietorship or partnership).
    (l) Denial Authority (formerly Access and Amendment Refusal 
Authority). The Army Staff agency head or major Army commander 
designated authority by this part to deny access to, or refuse 
amendment of, records in his or her assigned area or functional 
specialization.
    (m) Maintain. Includes keep, collect, use or disseminate.
    (n) Members of the Public. Individuals or parties acting in a 
private capacity.
    (o) Minor. An individual under 18 years of age, who is not 
married and who is not a member of the Department of the Army.
    (p) Official Use. Within the context of this part, this term is 
used when Department of the Army officials and employees have 
demonstrated a need for the use of any record or the information 
contained therein in the performance of their official duties.
    (q) Personal Information. Information about an individual that 
identifies, relates, or is unique to, or describes him or her, e.g., 
a social security number, age, military rank, civilian grade, 
marital status, race, salary, home/office phone numbers, etc.
    (r) Persistent cookies. Cookies that can be used to track users 
over time and across different Web sites to collect personal 
information.
    (s) Personal Identifier. A name, number, or symbol that is 
unique to an individual, usually the person's name or SSN.
    (t) System of Records. A group of records under the control of 
the DA from which information is filed and retrieved by individuals' 
names or other personal identifiers assigned to the individuals. 
System notices for all systems of records must be published in the 
Federal Register. A grouping of records arranged chronologically or 
subjectively that are not retrieved by individuals' names or 
identifiers is not a Privacy Act system of records, even though 
individual information could be retrieved by individuals' names or 
personal identifiers, such as through a paper-by-paper search.
    (u) Privacy Advisory. A statement required when soliciting 
personally identifying information by a Department of the Army Web 
site and the information is not maintained in a system of records. 
The Privacy Advisory informs the individual why the information is 
being solicited and how it will be used.
    (v) Privacy Impact Assessment (PIA). 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.
    (w) Privacy Act (PA) Request. A request from an individual for 
information about the existence of, access to, or amendment of 
records pertaining to that individual located in a Privacy Act 
system of records. The request must cite or implicitly refer to the 
Privacy Act of 1974.
    (x) Protected Personal Information. Information about an 
individual that identifies, relates to, is unique to, or describes 
him or her (e.g., home address, date of birth, social security 
number, credit card, or charge card account, etc.).
    (y) Records. Any item, collection, or grouping of information, 
whatever the storage media (e.g., paper, electronic, etc), about an 
individual that is maintained by a DOD Component, including but not 
limited to, his or her education, financial transactions, medical 
history, criminal or employment history and that contains his or her 
name, or the identifying number, symbol, or other identifying 
particular assigned to the individual, such as a finger or voice 
print or a photograph.

[[Page 46071]]

    (z) Records Maintenance and Use. Any action involving the 
storage, retrieval, and handling of records kept in offices by or 
for the agency.
    (aa) 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. 
Additionally, the Office of Personnel Management is the review 
authority for civilian official personnel folders or records 
contained in any other OMP record.
    (bb) Routine Use. Disclosure of a record outside DOD without the 
consent of the subject individual for a use that is compatible with 
the purpose for which the information was collected and maintained 
by DA. A routine use must be included in the notice for the Privacy 
Act system of records published in the Federal Register.
    (cc) Statistical record. A record in a system of records 
maintained for statistical research or reporting purposes and not 
used in whole or in part in making determinations about specific 
individuals.
    (dd) System Manager. An official who has overall responsibility 
for policies and procedures for operating and safeguarding a Privacy 
Act system of records.
    (ee) Third-party cookies. Cookies placed on a user's hard drive 
by Internet advertising networks. The most common third-party 
cookies are placed by the various companies that serve the banner 
ads that appear across many Web sites.
    (ff) Working Days. Days excluding Saturday, Sunday, and legal 
holidays.

[FR Doc. 06-6799 Filed 8-9-06; 8:45 am]
BILLING CODE 3710-08-P