Federal Register / Vol. 72, No. 14 / Tuesday, January 23, 2007 / Proposed Rules 2819 

Small Business Regulatory Enforcement 

Fairness Act of 1996 

This rule is not a ‘‘major rule’’ as 

defined by the Small Business 

Regulatory Enforcement Fairness Act of 

1996, 5 U.S.C. 804(2). This proposed 

rule will not result in an annual effect 

on the economy of $100 million or 

more, a major increase in costs or prices, 

or have significant adverse effects on 

competition, employment, investment, 

productivity, innovation, or on the 

ability of United States-based 

companies to compete with foreignbased companies in domestic and 

export markets. 

Paperwork Reduction Act of 1995 

The rule does not contain collection 

of information requirements. Therefore, 

clearance by the Office of Management 

and Budget under the Paperwork 

Reduction Act, 44 U.S.C. 3501 et seq., 

is not required. 

List of Subjects in 28 CFR Part 20 

Classified information, Crime, 

Intergovernmental relations, 

Investigations, Law enforcement, 

Privacy. 

Accordingly, part 20 of title 28 of the 

Code of Federal Regulations is proposed 

to be amended as follows: 

PART 20—CRIMINAL JUSTICE 

INFORMATION SYSTEMS 

1. The authority citation for part 20 

continues to read as follows: 

Authority: 28 U.S.C. 534; Pub. L. 92–544, 

86 Stat. 1115; 42 U.S.C. 3711, et seq.; Pub. 

L. 99–169, 99 Stat. 1002, 1008–1011, as 

amended by Pub. L. 99–569, 100 Stat. 3190, 

3196; Pub. L. 101–410, 104 Stat. 890, as 

amended by Pub. L. 104–134, 110 Stat. 1321. 

2. Section 20.3 is amended by revising 

paragraph (b) to read as follows: 

§ 20.3 Definitions. 

As used in these regulations: 

* * * * * 

(b) Administration of criminal justice 

means the performance of any of the 

following activities: Detection, 

apprehension, detention, pretrial 

release, post-trial release, prosecution, 

adjudication, correctional supervision, 

or rehabilitation of accused persons or 

criminal offenders. The term ‘‘criminal 

justice purpose’’ in 20 CFR 20.33(a)(1) 

includes activities defined as the 

‘‘administration of criminal justice.’’

The administration of criminal justice 

also includes 

(i) Criminal identification activities 

and the collection, storage, and 

dissemination of criminal history record 

information; 

(ii) The screening of employees or 

applicants for employment hired by 

criminal justice agencies; and 

(iii) The issuance of identification 

documents to current and retired law 

enforcement officers pursuant to Public 

Law 108–277. 

* * * * * 

3. Section § 20.33 is amended by 

revising paragraphs (a) introductory text 

and (a)(1) to read as follows: 

§ 20.33 Dissemination of criminal history 

record information. 

(a) Criminal history record 

information contained in the III System 

and the FIRS may be made available: 

(1) To criminal justice agencies for 

criminal justice purposes; 

* * * * * 

Dated: January 2, 2007. 

Alberto R. Gonzales, 

Attorney General. 

[FR Doc. E7–150 Filed 1–22–07; 8:45 am] 

BILLING CODE 4410–02–P 

DEPARTMENT OF DEFENSE 

Office of the Secretary 

[DoD–2006–OS–0033; 0790–AI10] 

32 CFR Part 311 

Office of the Secretary Privacy 

Program 

AGENCY: Department of Defense. 

ACTION: Proposed rule. 

SUMMARY: This rule proposed updates 

and implements policies and 

procedures for the Privacy Act Program 

in the Office of the Secretary of Defense 

and organizations provided 

administrative support by the 

Washington Headquarters Services. 

DATES: Comments must be received by 

March 26, 2007. 

ADDRESSES: You may submit comments, 

identified by docket number and or RIN 

number and title, by any of the 

following methods: 

• Federal eRulemaking Portal: http:// 

www.regulations.gov. Follow the 

instructions for submitting comments. 

• Mail: Federal Docket Management 

System Office, 1160 Defense Pentagon, 

Washington, DC 20301–1160. 

Instructions: All submissions received 

must include the agency name and 

docket number or Regulatory 

Information Number (RIN) for this 

Federal Register document. The general 

policy for comments and other 

submissions from members of the public 

is to make these submissions available 

for public viewing on the Internet at 

http://regulations.gov as they are 

received without change, including any 

personal identifiers or contact 

information. 

FOR FURTHER INFORMATION CONTACT: Ms. 

J. Irvin, 703–696–4940. 

SUPPLEMENTARY INFORMATION: 

Executive Order 12866, ‘‘Regulatory 

Planning and Review’’ 

It has been determined that 32 CFR 

part 311 is not a significant regulatory 

action. The rule does not: 

(1) Have an annual effect on the 

economy of $100 million or more or 

adversely affect in a material way the 

economy; a section of the economy; 

productivity; competition; jobs; the 

environment; public health or safety; or 

State, local, or tribal governments or 

communities; 

(2) Create a serious inconsistency or 

otherwise interfere with an action taken 

or planned by another Agency; 

(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. 

Unfunded Mandates Reform Act (Sec. 

202, Pub. L. 104–4) 

It has been certified that this rule does 

not contain a Federal mandate that may 

result in the expenditure by State, local 

and tribal governments, in aggregate, or 

by the private sector, of $100 million or 

more in any one year. 

Public Law 96–354, ‘‘Regulatory 

Flexibility Act’’ (5 U.S.C. 601) 

It has been certified that this rule is 

not subject to the Regulatory Flexibility 

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

if promulgated, have a significant 

economic impact on a substantial 

number of small entities. Certification is 

required. 

Public Law 96–511, ‘‘Paperwork 

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

It has been certified that this rule does 

impose reporting or recordkeeping 

requirements under the Paperwork 

Reduction Act of 1995. The reporting 

and recordkeeping requirements have 

been submitted to OMB for review. 

Executive Order 13132, ‘‘Federalism’’ 

It has been certified that this rule does 

not have federalism implications, as set 

forth in Executive Order 13132. This 

rule does not have substantial direct 

effects on: 

(1) The States; 


jlentini on PROD1PC65 with PROPOSAL
2820 Federal Register / Vol. 72, No. 14 / Tuesday, January 23, 2007 / Proposed Rules 

1Copies may be obtained at http://www.dtic.mil/ 

whs/directives/. 2Copies may be obtained at http://www.dtic.mil/ 

whs/directives/. 3Copies may be obtained at http://www.dtic.mil/ 

whs/directives/. 

4Copies may be obtained at http://www.dtic.mil/ 

whs/directives/. 

(2) The relationship between the 

National Government and the States; or 

(3) The distribution of power and 

responsibilities among the various 

levels of Government. 

List of Subjects in 32 CFR Part 311 

Privacy. 

Accordingly, 32 CFR part 311 is 

proposed to be revised to read as 

follows: 

PART 311—OFFICE OF THE 

SECRETARY OF DEFENSE PRIVACY 

PROGRAM 

Sec. 

311.1 Purpose. 

311.2 Applicability. 

311.3 Definitions. 

311.4 Policy. 

311.5 Responsibilities. 

311.6 Procedures. 

311.7 Information requirements. 

Authority: Pub. L. 93–579, 88 Stat. 1986 (5 

U.S.C. 552a). 

§ 311.1 Purpose. 

This part updates and implement the 

policies and procedures outlined in 5 

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

Budget (OMB) Circular No. A–130, DoD 

Directive 5400.11,1 and DoD 5400.11–

R.2 This part provides guidance and 

procedures for implementing the 

Privacy Program in the Office of the 

Secretary of Defense (OSD) and 

organizations receiving administrative 

support from the Washington 

Headquarters Services (WHS), according 

to DoD Directive 5110.4.3

§ 311.2 Applicability. 

This part: 

(a) Applies to the OSD, the Chairman 

of the Joint Chiefs of Staff, and other 

activities receiving administrative 

support from the WHS (hereafter 

referred to collectively as the ‘‘OSD 

Components’’). 

(b) Covers systems of records 

maintained by the OSD Components 

and governs the maintenance, access, 

change, and release of information 

contained in those systems of records, 

from which information about an 

individual is retrieved by a personal 

identifier. 

§ 311.3 Definitions. 

Access. Any individual’s review of a 

record or a copy of a record or parts of 

a system of records. 

Disclosure. The transfer of any 

personal information from a system of 

records by any means of oral, written, 

electronic, mechanical, or other 

communication, to any person, private 

entity, or Government Agency, other 

than the subject of the record, the 

subject’s designated agent, or the 

subject’s guardian. 

Individual. A living citizen of the 

United States or an alien lawfully 

admitted to the United States for 

permanent residence. The legal 

guardian of an individual has the same 

rights as the individual and may act on 

his or her behalf. 

Individual access. Access to personal 

information pertaining to the 

individual, by the individual, his or her 

designated agent, or legal guardian. 

Maintain. For the purpose of this part, 

includes maintenance, collection, use, 

or dissemination. 

Matching program. A program that 

matches the personal records in 

computerized databases of two or more 

Federal Agencies using a computer. 

Personal information. Information 

about an individual that is intimate or 

private, as distinguished from 

information related solely to the 

individual’s official functions or public 

life. 

Records. Any item, collection, or 

grouping of information, whatever the 

storage media (e.g., paper or electronic), 

about an individual that is maintained 

by an OSD 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 photograph. 

System manager. An OSD Component 

official who is responsible for the 

operation and management of a system 

of records. 

System of records. A group of records 

under the control of an OSD Component 

from which personal information is 

retrieved by the individual’s name or by 

some identifying number, symbol, or 

other identifying particular assigned to 

an individual. 

§ 311.4 Policy. 

(a) According to DoD 5400.11–R,4 it is 

DoD policy to safeguard personal 

information contained in any system of 

records maintained by any DoD 

Component and to permit any 

individual to know what existing 

records pertain to him or her. 

(b) Each office maintaining records 

and information about individuals shall 

ensure that this data is protected from 

unauthorized disclosure. These offices 

shall permit individuals to have access 

to and have a copy made of all or any 

portion of records about them, except as 

provided in Chapters 3 and 5 of DoD 

5400.11–R. The individuals will also 

have an opportunity to request that such 

records be amended as provided by 5 

U.S.C. 552a and Chapter 3 of DoD 

5400.11–R. Individuals requesting 

access to their records shall receive 

concurrent consideration under 5 U.S.C. 

552 and 552a, if appropriate. 

(c) The Heads of the OSD Components 

shall maintain any necessary record of 

a personal nature that is individually 

identifiable in a manner that complies 

with the law and DoD policy. Any 

information collected must be as 

accurate, relevant, timely, and complete 

as is reasonable to ensure fairness to the 

individual. Adequate safeguards must 

be provided to prevent misuse or 

unauthorized release of such 

information. 

§ 311.5 Responsibilities. 

(a) The Director, WHS, shall: 

(1) Direct and administer the DoD 

Privacy Program for the OSD 

Components. 

(2) Establish standards and 

procedures to ensure implementation of 

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

OMB Circular No. A–130, DoD Directive 

5400.11 and DoD 5400.11–R. 

(3) Ensure the Records and 

Declassification Division, Executive 

Services Directorate (ESD), WHS, 

implements all aspects of 5 U.S.C. 552a, 

except that portion about receiving and 

acting on public requests for personal 

records. As such, the Records and 

Declassification Division shall: 

(i) Exercise oversight and 

administrative control of the Privacy 

Act Program for the OSD Components. 

(ii) Provide guidance and training to 

the OSD Components as required by 5 

U.S.C. 552a and OMB Circular A–130. 

Periodic training will be provided to 

public affairs officers and others who 

may be expected to deal with the news 

media or the public. 

(iii) Collect and consolidate data from 

the OSD Components and submit 

reports to the Defense Privacy Office 

(DPO), as required by 5 U.S.C. 522a; 

OMB Circular A–130, DoD Directive 

5400.11, DoD 5400.1–R, and the DPO. 

(iv) Coordinate and consolidate 

information for reporting all record 

systems, as well as changes to approved 

systems, to the OMB, the Congress, and 

the Federal Register, as required by 5 

U.S.C. 552a, OMB Circular A–130, and 

DoD 5400.1–R. 


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whs/directives/. 

6Copies may be obtained from http:// 

www.dod.mil/privacy/ 

DoD_PIA_Guidance_Oct_28_2005.pdf. 

7Copies may be obtained at http://www.dtic.mil/ 

whs/directives/. 

(v) Serve as the appellate authority for 

OSD Components when a requester 

appeals a denial for access to records 

under 5 U.S.C. 552a. 

(vi) Serve as the appellate authority 

for OSD Components when a requester 

appeals a denial for amendment of a 

record or initiates legal action to correct 

a record. 

(vii) Evaluate and decide, in 

coordination with the DPO, appeals 

resulting from denials of access or 

amendments to records by the OSD 

Components. 

(4) Ensure the Freedom of Information 

Division, ESD, WHS, complies with all 

aspects of 5 U.S.C. 552a including that 

portion about receiving and acting on 

public requests for personal records. As 

such, the Freedom of Information 

Division shall: 

(i) Forward requests for information 

or access to records to the appropriate 

OSD Component having primary 

responsibility for any pertinent system 

of records under 5 U.S.C. 552a or to the 

OSD Components under 5 U.S.C. 552. 

(ii) Maintain deadlines to ensure 

responses are made within the time 

limits prescribed in 5 U.S.C. 552, DoD 

Instruction 5400.10 5 and this part. 

(iii) Collect fees charged and assessed 

for reproducing requested materials. 

(iv) Refer all matters about 

amendments of records and general and 

specific exemptions under 5 U.S.C. 552a 

to the proper OSD Components. 

(5) Coordinate with the DoD General 

Counsel, or the WHS General Counsel 

when appropriate, on OSD Components’

denials of appeals for amending records, 

and review actions to confirm denial of 

access to records, as appropriate. 

(b) The DoD General Council shall 

provide advice and assistance to the: 

(1) Chief, Records and 

Declassification Division, in the 

discharge of appellate and review 

responsibilities. 

(2) Chief, Freedom of Information 

Division, on all access matters. 

(3) OSD Component on legal matters 

pertaining to 5 U.S.C. 552a. 

(c) The Heads of the OSD Components 

shall: 

(1) Designate an individual as the 

point of contact for Privacy Act matters; 

advise the Chief, Records and 

Declassification Division, and the Chief, 

Freedom of Information Division, of the 

names of officials so designated. 

(2) Report any new record system, or 

changes to an existing system, to the 

Chief, Records and Declassification 

Division, at least 90 days before the 

intended use of the system. 

(3) Review all contracts pertaining to 

the maintenance of records systems, by 

or on behalf of the OSD Component, to 

ensure within his or her authority that 

language is included that provides such 

systems shall be maintained consistent 

with 5 U.S.C. 552a. 

(4) Revise procurement guidance to 

ensure contracts providing for the 

maintenance of a records system, by or 

on behalf of the OSD Component, 

includes language that such system 

shall be maintained in accordance with 

5 U.S.C. 552a. 

(5) Ensure computer and 

telecommunications equipment or 

service procurements comply with 5 

U.S.C. 552. 

(6) Coordinate with the Chief, 

Information Officer, for the OSD 

Component to ensure a risk analysis is 

conducted in compliance with DoD 

5400.11–R. 

(7) Coordinate with the OSD Chief, 

Information Officer, to ensure a Privacy 

Impact Assessment is conducted in 

compliance with DoD CIO 

memorandum dated October 28, 2005 6

and DoD’s implementing guidance. 

(8) Ensure all DoD issuances prepared 

by the OSD Component that require 

forms or other methods to collect 

information about individuals are in 

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

(9) Establish internal administrative 

procedures to comply with the 

procedures listed in this part and DoD 

5400.11–R. 

(10) Coordinate with legal counsel on 

all proposed denials of access to 

records. 

(11) Provide justification to the 

Freedom of Information Division when 

access to a record is denied in whole or 

in part. 

(12) Provide the record of an initial 

denial or access to a record that is 

appealed to the Freedom of Information 

Division at the time of initial denial. 

(13) Maintain an accurate accounting 

of the actions resulting in a denial for 

access to a record or for the correction 

of a record. This accounting should be 

maintained so it can be readily certified 

as the complete record of proceedings if 

litigation occurs in accordance with 

DoD 5400.11–R. 

(14) Ensure all personnel who either 

have access to a system of records, or 

who are engaged in developing or 

overseeing the procedures for handling 

records in a system, are aware of their 

responsibilities for protecting personal 

information according to 5 U.S.C. 552a 

and DoD 5400.11–R. 

(15) Forward all requests for access to 

records received directly from an 

individual to the Freedom of 

Information Division for appropriate 

suspense control and recording. 

(16) Provide the Freedom of 

Information Division with a copy of the 

requested record when the request is 

granted. 

(d) The requester shall: 

(1) Submit a request for access to 

records pertaining to oneself in writing 

or in person to the OSD Component’s 

custodian of the records. If the requester 

is not satisfied with the response, he or 

she may file another request in writing 

as provided in paragraph 311.1(b)(2). 

The requester must provide personal 

identification to verify identity 

according to Chapter 3 of DoD 5400.11–

R and provide a signed notarized 

statement or a sworn declaration in the 

format specified by DoD 5400.7–R.7

(2) Describe the record sought and 

provide sufficient information to enable 

the material to be located (e.g., 

identification of system of records, 

approximate date it was initiated, 

originating organization, and type of 

document). 

(3) Comply with the procedures 

provided in DoD 5400.11–R for 

inspecting and/or obtaining copies of 

requested records. 

(4) Submit a written request to amend 

a record to the office designated in the 

system of records notice. 

§ 311.6 Procedures. 

(a) Publication of notice in the 

Federal Register. (1) A notice shall be 

published in the Federal Register of any 

record system meeting the definition of 

a system of records in DoD 5400.11–R. 

(2) OSD Components shall provide 

the Chief, Records and Declassification 

Division, with 90 days advance notice of 

any anticipated new or revised system 

of records. This information shall be 

submitted to the OMB and Congress at 

least 60 days before use and published 

in the Federal Register at least 30 days 

before being put into use according to 

the procedures in DoD 5400.11–R. This 

provides the public with an opportunity 

to submit written data, views, or 

arguments to the OSD Components for 

consideration before a system of records 

is established or modified. 

(b) Access to systems of records 

information. (1) As provided by 5 U.S.C. 

552a, records shall be disclosed only to 

the individual they pertain to and under 

whose individual name or identifier 

they are filed, unless exempted by the 

provisions in DoD 5400.11–R. If an 


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individual is accompanied by a third 

party, the individual shall be required to 

furnish a signed access authorization 

which grants the third party access 

according to Chapter 3 of DoD 5400.11–

R. 

(2) Individuals may request access to 

their records, in person or by mail, in 

accordance with the following 

procedures: 

(i) In person. Submit a request for an 

appointment in writing to WHS, ESD, 

Freedom of Information Division, 1155 

Defense Pentagon, Washington, DC 

20301–1155. The individual shall 

provide personal identification to the 

Freedom of Information Division to 

verify the individual’s identity 

according to Chapter 3 of DoD 5400.11–

R and provide a signed notarized 

statement or a sworn declaration in the 

format specified by DoD 5400.7–R. 

(ii) By mail. Address requests to WHS, 

ESD, Freedom of Information Division, 

1155 Defense Pentagon, Washington, DC 

20301–1155. To verify the identity of 

the individual, the request shall include 

either a signed notarized statement or a 

sworn declaration in the format 

specified by DoD 5400.7–R. 

(3) There is no requirement that an 

individual be given access to records 

that are not in a group of records that 

meet the definition of a system of 

records in 5 U.S.C. 552a. 

(4) Granting access to a record 

containing personal information shall 

not be conditional upon any 

requirement that the individual state a 

reason or otherwise justify the need to 

gain access. 

(5) No verification of identity shall be 

required of an individual seeking access 

to records that are otherwise available to 

the public. 

(6) Individuals shall not be denied 

access to a record in a system of records 

about themselves because those records 

are exempted from disclosure under 5 

U.S.C. 552. Individuals may only be 

denied access to a record in a system of 

records about themselves when those 

records are exempted from the access 

provisions of Chapter 5 of DoD 5400.11–

R. 

(7) Individuals shall not be denied 

access to their records for refusing to 

disclose their Social Security Number 

(SSN), unless disclosure of the SSN is 

required by statute, by regulation 

adopted before January 1, 1975, or if the 

record’s filing identifier and only means 

of retrieval is by SSN. 

(c) Access to records or information 

compiled for law enforcement purposes. 

(1) Requests are processed under DoD 

Directive 5400.11 and 5 U.S.C. 552 to 

give requesters a greater degree of access 

to records on themselves. 

(2) Records in the custody of law 

enforcement activities that have been 

incorporated into a system of records or 

exempted from the access conditions of 

DoD Directive 5400.11 will be processed 

in accordance with 5 U.S.C. 552. 

Individuals shall not be denied access to 

records solely because they are in the 

exempt system. They will have the same 

access that they would receive under 5 

U.S.C. 552. (Also see section A.10., 

Chapter 3, DoD 5400.11–R) 

(3) Records exempted from access 

conditions will be processed in 

accordance with DoD Directive 5400.11 

or 5 U.S.C. 552, depending upon which 

regulation gives the greater degree of 

access. (See also section A.10.1., 

Chapter 3, DoD 5400.11–R) 

(4) Records exempted from access 

under Section B, Chapter 5 of DoD 

5400.11–R, that are temporarily in the 

custody of a non-law enforcement 

element for adjudicative or personnel 

actions, shall be referred to the 

originating agency. 

(d) Access to illegible, incomplete, or 

partially exempt records. (1) An 

individual shall not be denied access to 

a record or a copy of a record solely 

because the physical condition or 

format of the record does not make it 

readily available (e.g., deteriorated state 

or on magnetic tape). The document 

will be prepared as an extract, or it will 

be recopied exactly as is. 

(2) If a portion of the record contains 

information that is exempt from access, 

an extract or summary containing all 

releasable information in the record 

shall be prepared. 

(3) When the physical condition of 

the record makes it necessary to prepare 

an extract for release, the extract shall 

be prepared so that the requester will 

understand it. 

(4) The requester shall be informed of 

all deletions or changes to records. 

(e) Access to medical records. (1) 

Medical records shall be disclosed to 

the individual and may be transmitted 

to a medical doctor named by the 

individual concerned. 

(2) The individual may be charged 

reproduction fees for copies or records 

according to DoD 5400.11–R. 

(f) Amending and disputing personal 

information in systems of records. (1) 

The Head of an OSD Component, or a 

designated official, shall allow 

individuals to request amendment to 

their records to the extent that such 

records are not accurate, relevant, 

timely, or complete. Requests should be 

as brief and as simple as possible and 

should contain adequate identifying 

information to locate the record, a 

description of the items to be amended, 

and the reason for the change. A request 

shall not be rejected nor required to be 

resubmitted unless additional 

information is essential to process the 

request. Requesters shall be required to 

provide verification of their identity as 

stated in paragraph (b)(2) of this section 

to ensure they are seeking to amend 

records about themselves. 

(2) The appropriate system of records 

system manager shall mail a written 

acknowledgment of an individual’s 

request to amend a record within 10 

workdays after receipt. Such 

acknowledgment shall identify the 

request and may, if necessary, request 

any additional information needed to 

make a determination. No 

acknowledgment is necessary if the 

request can be reviewed and processed, 

and the individual can be notified of 

compliance or denial, within the 10-day 

period. Whenever practical, the decision 

shall be made within 30 working days. 

For requests presented in person, 

written acknowledgment may be 

provided at the time the request is 

presented. 

(3) Amending personal information. 

The Head of an OSD Component, or 

designated official, shall promptly take 

one of the following actions on requests 

to amend records: 

(i) If they agree with any portion or all 

of an individual’s request, amend the 

records in accordance with existing 

statutes, regulations, or internal 

administrative procedures, and inform 

the requester of the action taken. The 

OSD Component shall also notify all 

previous holders of the record that the 

amendment has been made and shall 

explain the substance of the correction, 

except for disclosures of the records to 

officers or DoD employees, or made as 

required by the Freedom of Information 

Act, the OSD shall also notify all to 

whom the record was disclosed that the 

amendment has been made and shall 

explain the substance of the correction. 

(ii) Notify the requester of the 

disapproval to amend a record and the 

reason for the disapproval. Notify the 

requester of the procedure to submit an 

appeal as described in paragraph (f)(5) 

of this section. if he or she disagrees 

with all or any portion of a request. 

(iii) Refer requests to the appropriate 

Federal Agency. Advise the requester of 

this referral if the request for an 

amendment pertains to a record 

controlled and maintained by another 

Agency. 

(4) Disputing personal information. 

The Head of an OSD Component or 

designated official shall: 

(i) Determine whether the requester 

has adequately supported his or her 

claim that the record is inaccurate, 

irrelevant, untimely, or incomplete. 


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whs/directives/ 

(ii) Limit the review of a record to 

those items of information that clearly 

bear on any determination to amend the 

records and ensure that those elements 

are reviewed before a determination is 

made. 

(5) If an individual disagrees with the 

initial OSD Component determination, 

he or she may file an appeal. The 

request should be sent to the Chief, 

Records and Declassification Division, 

WHS, 1155 Defense Pentagon, 

Washington, DC 20301–1155. 

(6) If, after review, the Records and 

Declassification Division determines the 

system of records should not be 

amended as requested, the Records and 

Declassification Division shall provide a 

copy of any statement of disagreement 

to the extent that disclosure accounting 

is maintained in accordance with 

Chapter 4 or DoD 5400.11–R. The 

Records and Declassification Division 

shall advise the individual: 

(i) Of the reason and authority for the 

denial. 

(ii) Of his or her right to file a 

statement of the reason for disagreeing 

with the Records and Declassification 

Division decision. 

(iii) Of the procedures for filing a 

statement of disagreements. 

(iv) That the statement filed shall be 

made available to anyone the record is 

disclosed to, together with a brief 

statement summarizing reasons for 

refusing to amend the records. 

(7) If the Records and Declassification 

Division determines that the record 

should be amended in accordance with 

the individual’s request, the OSD 

Component shall amend the record, and 

advise the individual of the amendment, 

in accordance with Chapter 4 of DoD 

5400.11–R. 

(8) All appeals should be processed 

within 30 workdays after receipt. If the 

Records and Declassification Division 

determines that a fair and equitable 

review cannot be made within that time, 

the individual shall be informed in 

writing of the reasons for the delay and 

of the approximate date the review is 

expected to be completed. 

(g) Disclosure of disputed 

information. (1) If the Records and 

Declassification Division determines the 

record should not be amended and the 

individual has filed a statement of 

disagreement under paragraph (f)(7) of 

this section, the OSD Component shall 

annotate the disputed record so it is 

apparent under record disclosure that a 

statement has been filed. Where 

feasible, the notation itself shall be 

integral to the record. Where disclosure 

accounting has been made, the OSD 

Component shall advise previous 

recipients that the record has been 

disputed and shall provide a copy of the 

individual’s statement of disagreement 

in accordance with Chapter 4 of DoD 

5400.11–R. 

(i) This statement shall be maintained 

to permit ready retrieval whenever the 

disputed portion of the record is 

disclosed. 

(ii) When information that is the 

subject of a statement of disagreement is 

subsequently disclosed, the OSD 

Component’s designated official shall 

note which information is disputed and 

provide a copy of the individual’s 

statement. 

(2) The OSD Component shall include 

a brief summary of its reasons for not 

making a correction when disclosing 

disputed information. Such statements 

shall normally be limited to the reasons 

given to the individual for not amending 

the record. 

(3) Copies of the OSD Component’s 

summary will be treated as part of the 

individual’s record; however, it will not 

be subject to the amendment procedure 

outlined in paragraph (c)(3) of this 

section. 

(h) Penalties. (1) Civil action. An 

individual may file a civil suit against 

the OSD Component or its employees if 

the individual feels certain provisions 

or the Privacy Act have been violated as 

stated in 5 U.S.C. 552a. 

(2) Criminal action. (i) Criminal 

penalties may be imposed against an 

OSD officer or employee for offenses 

listed in Section (i) of 5 U.S.C. 552a, as 

follows: 

(A) Willful unauthorized disclosure of 

protected information in the records. 

(B) Failure to publish a notice of the 

existence of a record system in the 

Federal Register. 

(C) Requesting or gaining access to the 

individual’s record under false 

pretenses. 

(ii) An OSD officer or employee may 

be fined up to $5,000 for a violation as 

outlined in paragraph (h)(2)(i) of this 

section. 

(i) Litigation status sheet. Whenever a 

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

in a U.S. District Court against the 

Department of Defense, an OSD 

Component, or any OSD employee, the 

responsible system manager shall 

promptly notify the DPO. The litigation 

status sheet in DoD 5400.11–R provides 

a standard format for this notification. 

(The initial litigation status sheet shall, 

as a minimum, provide the information 

required by items 1, through 6. of DoD 

5400.11–R) A revised litigation status 

sheet shall be provided at each stage of 

the litigation. When a court renders a 

formal opinion or judgment, copies of 

the judgment or opinion shall be 

provided to the DPO with the litigation 

status sheet reporting that judgment or 

opinion. 

(j) Computer matching programs. 

Chapter 11, paragraph B of DoD 

5400.11–R, prescribes that all requests 

for participation in a matching program 

(either as a matching agency or a source 

agency) be submitted to the DPO for 

review and compliance. The OSD 

Components shall submit these requests 

through the Records and 

Declassification Division. 

§ 311.7 Information requirements. 

The DPO shall establish requirements 

and deadlines for DoD privacy reports. 

These reports shall be licensed in 

accordance with DoD Directive 8910.1.8

Dated: January 16, 2007. 

L.M. Bynum, 

Alternate OSD Federal Register Liaison 

Officer, DoD. 

[FR Doc. E7–800 Filed 1–22–07; 8:45 am] 

BILLING CODE 5001–06–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Part 52 

[EPA–R05–OAR–2005–OH–0005; FRL–

8272–9] 

Approval and Promulgation of 

Implementation Plans; Ohio Particulate 

Matter 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Proposed rule. 

SUMMARY: EPA is re-proposing approval 

of Ohio rules concerning equivalent 

visible emission limits (EVELs). Ohio’s 

rules provide criteria for establishment 

of EVELs, and the rules provide that 

EVELs established according to these 

criteria take effect without formal 

review by EPA. EPA proposed to 

approve these rules on December 2, 

2002, at 67 FR 71515. However, that 

proposal did not clearly solicit comment 

on the timing by which actions on 

EVELs by the State take effect. EPA is 

proposing that previous State 

modifications to EVELs would become 

effective at the federal level 

immediately upon the effective date of 

any final EPA action approving these 

Ohio rules. Similarly, any future action 

by the State to establish, modify, or 

rescind EVELs in accordance with the 

criteria given in these Ohio rules would 

become effective at the federal level 

immediately upon the effective date of 

the State action. 


jlentini on PROD1PC65 with PROPOSAL