Opinion ID: 755736
Heading Depth: 2
Heading Rank: 1

Heading: Requests to Amend Records

Text: 17 The Privacy Act provides that individuals may request access to records on them, may request amendment of those records, and may attach a statement of disagreement to the record if amendment is refused. See 5 U.S.C. § 552a(d). It further provides that if an agency refuses to review the denial of a requested amendment or to attach a statement of disagreement the individual may file suit in the United States district court. See 5 U.S.C. § 552a(g)(1)(A). The district court may order the agency to amend the record or attach the statement of disagreement, and the individual may recover attorney fees and costs if he or she substantially prevails in the action. See 5 U.S.C. § 552a(g)(2). 18 In the district court, Major Gowan requested the Air Force be directed to amend the Nameth letter, the Alison letter, the Steele fraud, waste, and abuse complaint, and the Brower letter. He also complained about the Air Force's handling of his request to amend the Kirtland OSI report. On appeal, Major Gowan abandons his claims regarding the Alison letter and any argument that the Nameth and Brower letters should be amended. Instead, Major Gowan seeks only to include statements of disagreement with the Nameth and Brower letters. In its brief the Air Force submits that it is willing to and will attach statements of disagreement to the Nameth and Brower letters. In light of this representation, we assume that the Air Force has or will immediately voluntarily comply with the Privacy Act and attach Major Gowan's statements of disagreement to the Nameth and Brower letters. See 5 U.S.C. § 552a(d)(3) (Each agency that maintains a system of records shall ... [if amendment is denied] permit the individual to file with the agency a concise statement setting forth the reasons for his disagreement with the refusal of the agency [to amend]....). Thus, the only remaining amendment issues concern the Steele fraud, waste, and abuse complaint, the Kirtland OSI report, and the propriety of the Air Force amendment referral process.
19 The Steele complaint was processed by the Office of the Inspector General. The district court held that (1) the Steele complaint is not amendable because it is a statement of opinion, and (2) the Privacy Act does not apply because [c]omplaints made to the Inspector General are exempt from disclosure. Because we affirm on the second basis, we do not need to address the first reason for the district court's ruling. 20 The district court correctly held that the Air Force has exempted the Inspector General's records from § 552a(d) of the Privacy Act. Under 5 U.S.C. § 552a(k)(2): 21 The head of any agency may promulgate rules ... to exempt any system of records within the agency from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) of this section if the system of records is- 22 ... 23 (2) investigatory material compiled for law enforcement purposes, other than material within the scope of subsection (j)(2) of this section: Provided, however, That if any individual is denied any right, privilege, or benefit that he would otherwise be entitled by Federal law, or for which he would otherwise be eligible, as a result of the maintenance of such material, such material shall be provided to such individual.... 24 The Air Force has promulgated a regulation to exempt Inspector General records from disclosure under the Privacy Act. See 32 C.F.R. Pt. 806b, App. C, § (b)(12) (1997). 1 Steele's fraud, waste, and abuse complaint, which alleged possible violations of military and federal law, comes within § 552a(k)(2)'s specification of investigatory material compiled for law enforcement purposes. See Viotti v. United States Air Force, 902 F.Supp. 1331, 1335 (D.Colo.1995). Although Major Gowan argues that fraud, waste, and abuse complaints do not constitute investigatory material, the complaint is the catalyst of the investigation and thus comes within the parameters of § 552a(k)(2). Further, the charges contained in the complaint were deemed unworthy of further action, so that § 552a(k)(2)'s exception, which requires disclosure where the subject has been denied a benefit because of the record, is inapplicable. Cf. Viotti, 902 F.Supp. at 1336. 25 Because this fraud, waste, and abuse complaint is properly exempt from § 552a(d), Major Gowan does not have a Privacy Act cause of action to require the Air Force to amend the records or attach a statement of disagreement. Where, as here, an agency has properly exempted its records, the agency no longer has any obligation to disclose those records--irrespective of the underlying motives of the agency or the impact of the records upon the parties. Nolan v. United States Dept. of Justice, 973 F.2d 843, 848-49 (10th Cir.1992); see also Aquino v. Stone, 957 F.2d 139, 143 (4th Cir.1992); Doe v. Federal Bureau of Investigation, 936 F.2d 1346, 1352 (D.C.Cir.1991); Alexander v. United States, 787 F.2d 1349, 1351-52 (9th Cir.1986); Wentz v. Department of Justice, 772 F.2d 335, 338 (7th Cir.1985) (You cannot amend a document if you don't have access to it.).
26 Major Gowan also contends that the Kirtland OSI report should be amended. The AFBCMR amended the report to show which individuals in fact were interviewed, but denied the remainder of Major Gowan's request to amend. The district court held that under § 552a(k)(2) the Kirtland OSI report was exempted from the provisions of § 552a(d), but did not specify which § 552a(k)(2) exemption it relied upon. We agree with the district court that the Kirtland OSI report is exempted from the requirements of § 552a(d), but disagree on which exemption section to apply. However, we may affirm on any ground supported by the record. See United States v. Knox, 124 F.3d 1360, 1362 (10th Cir.1997). 27 None of the specific exemptions promulgated under § 552a(k)(2) seems to apply to the Kirtland OSI report. See 32 C.F.R. Pt. 806b, App. C(b) (1997). Besides the specific exemptions enumerated in 5 U.S.C. § 552a(k)(2), however, the Privacy Act provides that law enforcement materials generally may be exempted from otherwise applicable Privacy Act requirements. See 5 U.S.C. § 552a(j)(2). The general exemption section, § 552a(j)(2), states: 28 The head of any agency may promulgate rules ... to exempt any system of records within the agency from any part of this section except subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i) if the system of records is- 29 ... 30 (2) maintained by an agency or component thereof which performs as its principal function any activity pertaining to the enforcement of criminal laws, including police efforts to prevent, control, or reduce crime or to apprehend criminals, and the activities of prosecutors, courts, correctional, probation, pardon, or parole authorities, and which consists of ... (B) information compiled for the purpose of a criminal investigation, including reports of informants and investigators, and associated with an identifiable individual.... 31 The Air Force has promulgated regulations under § 552a(j)(2) exempting certain material from the requirements of § 552a(d), including Investigative Support Records and Criminal Records. See 32 C.F.R. Pt. 806b, App. C(a) (1997). 2 The Investigative Support Records category includes [r]eports of investigation, collection reports, statements of individuals, affidavits, correspondence, and other documentation pertaining to criminal collection activities investigative surveys ... which are used by AFOSI to determine if, in fact, possible criminal activity requiring further specialized investigation is occurring in a specific area and by USAF and other military commanders as well as Department of Justice officials to determine if judicial or administrative action is warranted. See Department of Defense System of Records Notices, 50 Fed.Reg. 22,090, 22,492 (1985). The Criminal Records system includes [r]eports of investigation, statements of individuals, correspondence, and other informational material pertaining to specific investigations of alleged violations of laws, regulations or directives which are used in taking judicial and administrative actions involving suspected criminal activity concerning [Department of Defense] personnel and to determine if legal or administrative action is warranted. See id. at 22,491. 32 The OSI report at issue fits both of these categories. It is located in a system of records maintained by the Kirtland OSI, a law enforcement body; it consists of information compiled for the purpose of a criminal investigation and associated with an identifiable individual; and it has been the subject of the proper rule-making procedures. Consequently, it is exempt under § 552a(j)(2). See Nolan, 973 F.2d at 847. As stated above, Major Gowan has no Privacy Act cause of action regarding exempted records, and thus he cannot challenge the Air Force's refusal to make further amendments to the Kirtland OSI report. See id. at 848-49.
33 Beyond challenging the Air Force's handling of his specific amendment requests, Major Gowan quarrels with the Air Force's amendment process itself. Before about 1990, the Air Force Privacy Act program automatically referred requests for amendment of subjective or opinion matters to the AFBCMR. Major Gowan complains that the AFBCMR did not allow the attachment of statements of disagreement or judicial review. Consequently, he seeks injunctive relief to ensure that the Air Force complies with the provisions of the Privacy Act. 34 The Privacy Act clearly grants individuals the right to seek agency review of a denial of a request to amend, to file a statement of disagreement, and to seek judicial review of the agency's determination. See 5 U.S.C. §§ 552a(d)(3), (g)(1)(A). Therefore, any Air Force policy that provides to the contrary would be invalid under the Act. However, Major Gowan's Privacy Act complaints have been resolved through this judicial action, and the Air Force eliminated its nonconforming policy in about 1990. Although Major Gowan asserts that he may in the future want to seek amendment of Air Force records and that the Air Force may again wrongfully deny his Privacy Act right to seek amendment or the filing of a statement of disagreement, an assertion of such a contingent interest is insufficient to confer standing. See Lujan v. Defenders of Wildlife, 504 U.S. 555, 563-64, 112 S.Ct. 2130, 119 L.Ed.2d 351 (1992). As a result, we decline to hear his challenge to the AFBCMR referral process. 35 Finally, Major Gowan alleges that the Air Force failed to comply with the Privacy Act when it did not inform him of his right to seek judicial review of its denial of his requests to amend. See 5 U.S.C. § 552a(d)(3) (requiring the agency to notify the individual of the provisions for judicial review under 5 U.S.C. § 552a(g)(1)(A)). To redress violations of § 552a(d)(3), a plaintiff may secure injunctive relief and, if he has substantially prevailed, recover attorney's fees and costs. See 5 U.S.C. §§ 552a(g)(1)(A), (g)(2). Given that Major Gowan was obviously aware of his right to seek judicial review, however, we find it unnecessary to award him injunctive relief, and we determine that he should not be awarded attorney's fees under 5 U.S.C. § 552a(g)(2)(B).