[Title 32 CFR VII]
[Code of Federal Regulations (annual edition) - July 1, 2009 Edition]
[Title 32 - NATIONAL DEFENSE]
[Subtitle A - Department of Defense (Continued)]
[Chapter Vii - DEPARTMENT OF THE AIR FORCE]
[From the U.S. Government Printing Office]
32NATIONAL DEFENSE62009-07-012009-07-01falseDEPARTMENT OF THE AIR FORCEVIICHAPTER VIINATIONAL DEFENSEDepartment of Defense (Continued)
CHAPTER VII--DEPARTMENT OF THE AIR FORCE
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SUBCHAPTER A--ADMINISTRATION
Part Page
800-805
[Reserved]
806 Air Force Freedom of Information Act program 7
806b Privacy Act program......................... 36
807 Sale to the public.......................... 70
809a Installation entry policy, civil disturbance
intervention and disaster assistance.... 72
SUBCHAPTER B--SALES AND SERVICES
811 Release, dissemination, and sale of visual
information materials................... 76
813 Visual information documentation program.... 78
SUBCHAPTER C--PUBLIC RELATIONS [RESERVED]
SUBCHAPTER D--CLAIMS AND LITIGATION
842 Administrative claims....................... 81
845 Counsel fees and other expenses in foreign
tribunals............................... 124
SUBCHAPTER E--SECURITY [RESERVED]
SUBCHAPTER F--AIRCRAFT
855 Civil aircraft use of United States Air
Force airfields......................... 128
[[Page 6]]
861 Department of Defense commercial air
transportation quality and safety review
program................................. 152
SUBCHAPTER G--ORGANIZATION AND MISSION--GENERAL
865 Personnel Review boards..................... 166
SUBCHAPTER H [RESERVED]
SUBCHAPTER I--MILITARY PERSONNEL
881 Determination of active military service and
discharge for civilian or contractual
groups.................................. 193
884 Delivery of personnel to United States
civilian authorities for trial.......... 195
887 Issuing of certificates in lieu of lost or
destroyed certificates of separation.... 201
888-888g
[Reserved]
SUBCHAPTER J--CIVILIAN PERSONNEL [RESERVED]
SUBCHAPTER K--MILITARY TRAINING AND SCHOOLS
901 Appointment to the United States Air Force
Academy................................. 204
903 Air Force Academy Preparatory School........ 213
SUBCHAPTERS L-M [RESERVED]
SUBCHAPTER N--TERRITORIAL AND INSULAR REGULATIONS
935 Wake Island Code............................ 219
SUBCHAPTER O--SPECIAL INVESTIGATION [RESERVED]
SUBCHAPTERS P-S [RESERVED]
SUBCHAPTER T--ENVIRONMENTAL PROTECTION
989 Environmental impact analysis process (EIAP) 235
[[Page 7]]
SUBCHAPTER A_ADMINISTRATION
PARTS 800-805 [RESERVED]
PART 806_AIR FORCE FREEDOM OF INFORMATION ACT PROGRAM--Table of Contents
Sec.
806.1 Summary of revisions.
806.2 Applicability.
806.3 Public information.
806.4 Definitions.
806.5 Responsibilities.
806.6 Prompt action on requests.
806.7 Use of exemptions.
806.8 Description of requested record.
806.9 Referrals.
806.10 Records management.
806.11 FOIA reading rooms.
806.12 Record availability.
806.13 5 U.S.C. 552 (a)(2) materials.
806.14 Other materials.
806.15 FOIA exemptions.
806.16 For official use only.
806.17 Release and processing procedures.
806.18 Initial determinations.
806.19 Reasonably segregable portions.
806.20 Records of non-U.S. government source.
806.21 Appeals.
806.22 Time limits.
806.23 Delay in responding to an appeal.
806.24 Fee restrictions.
806.25 Annual report.
806.26 Addressing FOIA requests.
806.27 Samples of Air Force FOIA processing documents.
806.28 Records with special disclosure procedures.
806.29 Administrative processing of Air Force FOIA requests.
806.30 FOIA exempt information examples.
806.31 Requirements of 5 U.S.C. 552(b)(4) to submitters of nongovernment
contract-related information.
Appendix A to Part 806--References
Appendix B to Part 806--Abbreviations and Acronyms
Appendix C to Part 806--Terms
Authority: 5 U.S.C. 552.
Source: 64 FR 72808, Dec. 28, 1999, unless otherwise noted.
Sec. 806.1 Summary of revisions.
This part makes this guidance an Air Force supplement to the DoD
regulation at 32 CFR part 286. It transfers responsibility for the Air
Force Freedom of Information Act (FOIA) Program from the Office of the
Secretary of the Air Force (SAF/AAI) to Headquarters United States Air
Force (HQ USAF/SC) and Headquarters Air Force Communications and
Information Center/Corporate Information Division (HQ AFCIC/ITC);
contains significant changes and additions to implement the Electronic
Freedom of Information Act (EFOIA) Amendments of 1996; addresses
electronic records; increases time limits to 20 working days; adds
procedures for multiple tracking and expedited processing of requests;
changes annual report date and content; adds major command (MAJCOM)
inspectors general (IG), MAJCOM Directors of Inquiries (IGQ), and wing
commanders as initial denial authorities (IDAs).
Sec. 806.2 Applicability.
A list of Air Force MAJCOMs, field operating agencies (FOAs), and
Direct Reporting Units (DRUs) is at Sec. 806.26.
Sec. 806.3 Public information.
(a) Functional requests. Air Force elements may receive requests for
government information or records from the public that do not refer to
the FOIA. Often these requests are sent to a public affairs office (PAO)
or a specific unit. All releases of information from Air Force records,
whether the requester cites the FOIA or not, must comply with the
principles of the FOIA and this part. If the requested material contains
personal privacy information that the Air Force must withhold, it is
particularly important to handle that ``functional'' request as a
request under the FOIA and coordinate it with the appropriate FOIA
office and an Air Force attorney. Regardless of the nature of the
functional request, if the responding element denies the release of
information from Air Force records, then control the request as a FOIA
and follow FOIA denial procedures for records withheld (cite the
pertinent FOIA exemption and give the requester FOIA appeal rights).
(b) HQ AFCIC/ITC will make the Air Force handbook and guide for
requesting records available on the World Wide Web (WWW) from Air
ForceLINK, at http://www.foia.af.mil/handbook.htm.
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Sec. 806.4 Definitions.
(a) Electronic reading room (ERR). Rooms established on Internet web
sites for public access to FOIA-processed (a)(2)(D) records.
(b) FOIA request. This includes FOIA requests made by members of
Congress either on their own behalf or on behalf of one of their
constituents. Process FOIA requests from members of Congress in
accordance with this Air Force supplement. Air Force-affiliated
requesters, to include military and civilian employees, should not use
government equipment, supplies, stationery, postage, telephones, or
official mail channels to make FOIA requests.
(1) Simple requests can be processed quickly with limited impact on
the responding units. The request clearly identifies the records with no
(or few) complicating factors involved. There are few or no responsive
records. Only one installation is involved and there are no outside
Office of Primary Responsibility (OPRs). There are no classified or
nongovernment records. No deliberative process/privileged materials are
involved. The responsive records contain no (or limited) personal
privacy information and do not come from a Privacy Act system of
records. No time extensions are anticipated.
(2) Complex requests take substantial time and cause significant
impact on responding units. Complications and delays are likely. Records
sought are massive in volume. Multiple organizations must review/
coordinate on requested records. Records are classified; originated with
a nongovernment source; are part of the Air Force's decision-making
process; or are privileged.
(c) Government Information Locator Service (GILS). GILS is an
automated on-line card catalog of publicly accessible information. The
Office of Management and Budget (OMB) Bulletin 95-01, December 7, 1994,
and OMB Memorandum, February 6, 1998, mandates that all federal agencies
create a GILS record for information available to the public. The DoD
GILS resides on DefenseLINK, the official DoD home page, at http://
www.defenselink.mil/locator/index.html.
(d) Initial denial authority. Only approved IDAs may deny all or
parts of records. FOIA managers may: initially deny fee category claims,
requests for expedited processing, and waiver or reduction of fees;
review fee estimates; and sign ``no records'' responses. IDAs are the
deputy chiefs of staff and chiefs of comparable offices or higher at HQ
USAF and Secretary of the Air Force (SAF), and MAJCOM commanders. Deputy
Chiefs of Staff and chiefs of comparable offices or higher at HQ USAF
and SAF may name one additional position as denial authority. MAJCOM
commanders may appoint two additional positions at the headquarters and
also the wing commander at base level. MAJCOM IGs and MAJCOM Directors
of Inquiries (IGQ) may act as IDAs for IG records. MAJCOM FOIA managers
must notify HQ AFCIC/ITC in writing (by facsimile, e-mail, or regular
mail) of IDA position titles. Send position titles only--no names. HQ
AFCIC/ITC sends SAF/IGQ a copy of the correspondence designating IDA
positions for IG records. When the commander changes the IDA designee
position, MAJCOM FOIA managers will advise HQ AFCIC/ITC immediately. In
the absence of the designated IDA, the individual filling/assuming that
position acts as an IDA, however; all denial documentation must reflect
the position title of the approved or designated IDA, even if in an
acting capacity (for example, Acting Director of Communications and
Information, Headquarters Air Combat Command).
(e) Office of primary responsibility (OPR). A DoD element that
either prepared, or is responsible for, records identified as responsive
to a FOIA request. OPRs coordinate with the office of corollary
responsibility (OCR) and FOIA managers to assist IDAs in making
decisions on FOIA requests.
(f) OCR. A DoD element with an official interest in, and/or
collateral responsibility for, the contents of records identified as
responsive to a FOIA request, even though those records were either
prepared by, or are the primary responsibility of, a different DoD
element. OCRs coordinate with OPRs and FOIA managers to assist IDAs in
making decisions on FOIA requests.
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(g) Appellate authority. The SAF has designated the Deputy General
Counsel, Fiscal, Ethics, and Civilian Personnel (SAF/GCA) as the FOIA
appellate authority.
(h) Reading room. Any place where a member of the public may view
FOIA records.
Sec. 806.5 Responsibilities.
(a) The Director, Communications and Information (HQ USAF/SC) has
overall responsibility for the Air Force FOIA Program. The Corporate
Information Division (HQ AFCIC/ITC) administers the procedures necessary
to implement the Air Force FOIA Program, submits reports to the
Director, Freedom of Information and Security Review (DFOISR), and
provides guidance and instructions to MAJCOMs. Responsibilities of other
Air Force elements follow.
(b) SAF/GCA makes final decisions on FOIA administrative appeals.
(c) Installation commanders will: Comply with FOIA electronic
reading room (ERR) requirements by establishing a FOIA site on their
installation public web page and making frequently requested records
(FOIA-processed (a)(2)(D)) records available through links from that
site, with a link to the Air Force FOIA web page at http://
www.foia.af.mil. See Sec. 806.12(c).
(d) MAJCOM commanders implement this instruction and appoint a FOIA
manager, in writing. Send the name, phone number, office symbol, and e-
mail address to HQ AFCIC/ITC, 1250 Air Force Pentagon, Washington, DC
20330-1250.
(e) Air Force attorneys review FOIA responses for legal sufficiency,
provide legal advice to OPRs, disclosure authorities, IDAs, and FOIA
managers, and provide written legal opinions when responsive records (or
portions of responsive records) are withheld. Air Force attorneys ensure
factual and legal issues raised by appellants are considered by IDAs
prior to sending the FOIA appeal files to the Secretary of the Air
Force's designee for final action.
(f) Disclosure authorities and IDAs apply the policies and guidance
in this instruction, along with the written recommendations provided by
staff elements, when considering what decisions to make on pending FOIA
actions. Where any responsive records are denied, the IDA tells the
requesters the nature of records or information denied, the FOIA
exemption supporting the denial, the reasons the records were not
released, and gives the requester the appeal procedures. In addition, on
partial releases, IDAs must ensure requesters can see the placement and
general length of redactions with the applicable exemption indicated.
This procedure applies to all media, including electronic records.
Providing placement and general length of redacted information is not
required if doing so would harm an interest protected by a FOIA
exemption. When working FOIA appeal actions for the appellate authority
review:
(1) IDAs grant or recommend continued denial (in full or in part) of
the requester's appeal of the earlier withholding of responsive records,
or adverse determination (for example, IDAs may release some or all of
the previously denied documents).
(2) IDAs reassess a request for expedited processing due to
demonstrated compelling need, overturning or confirming the initial
determination made by the FOIA manager.
(3) When an IDA denies any appellate action sought by a FOIA
requester, the IDA, or MAJCOM FOIA manager (for no record, fee, fee
estimates, or fee category appeals) will indicate in writing that the
issues raised in the FOIA appeal were considered and rejected (in full
or in part). Include this written statement in the file you send to the
Secretary of the Air Force in the course of a FOIA appeal action. Send
all appeal actions through the MAJCOM FOIA office.
(g) OPRs:
(1) Coordinate the release or denial of records requested under the
FOIA with OCRs, FOIA offices, and with Air Force attorneys on proposed
denials.
(2) Provide requested records. Indicate withheld parts of records
annotated with FOIA exemption. Ensure requesters can see the placement
and general length of redactions. This procedure applies to all media,
including
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electronic records. Providing placement and general length of redacted
information is not required if doing so would harm an interest protected
by a FOIA exemption.
(3) Provide written recommendations to the disclosure authority to
determine whether or not to release records, and act as declassification
authority when appropriate.
(4) Make frequently requested records (FOIA-processed (a)(2)(D))
available to the public in the FOIA ERR via the Internet. As required by
AFIs 33-129, Transmission of Information Via the Internet, and 35-205,
Air Force Security and Policy Review Program, OPRs request clearance of
these records with the PAO before posting on the WWW, and coordinate
with JA and FOIA office prior to posting. The FOIA manager, in
coordination with the functional OPR or the owner of the records, will
determine qualifying records, after coordination with any interested
OCRs.
(5) Complete the required GILS core record for each FOIA-processed
(a)(2)(D) record.
(6) Manage ERR records posted to the installation public web page by
updating or removing them when no longer needed. Software for tracking
number of hits may assist in this effort.
(h) FOIA managers:
(1) Ensure administrative correctness of all FOIA actions processed.
(2) Control and process FOIA requests.
(3) Obtain recommendations from the OPR for records.
(4) Prepare or coordinate on all proposed replies to the requester.
FOIA managers may sign replies to requesters when disclosure authorities
approve the total release of records. If the MAJCOM part directs the OPR
to prepare the reply, the OPR will coordinate their reply with the FOIA
office.
(5) Make determinations as to whether or not the nature of requests
are simple or complex where multitrack FOIA request processing queues
exist.
(6) Approve or initially deny any requests for expedited processing.
(7) Provide interim responses to requesters, as required.
(8) Provide a reading room for inspecting and copying records.
(9) Provide training.
(10) Review publications for compliance with this part.
(11) Conduct periodic program reviews.
(12) Approve or deny initial fee waiver requests.
(13) Make the initial decision on chargeable fees.
(14) Collect fees.
(15) Send extension notices.
(16) Submit reports.
(17) Sign ``no record'' responses.
(18) Provide the requester the basis for any adverse determination
(i.e., no records, fee denials, fee category determinations, etc.) in
enough detail to permit the requester to make a decision whether or not
to appeal the actions taken, and provide the requester with appeal
procedures.
(i) On appeals, FOIA managers:
(1) Reassess a fee category claim by a requester, overturning or
confirming the initial determination.
(2) Reassess a request for expedited processing due to demonstrated
compelling need, overturning or confirming the initial determination.
(3) Reassess a request for a waiver or reduction of fees,
overturning or confirming the initial determination.
(4) Review a fee estimate, overturning or confirming the initial
determination.
(5) Confirm that no records were located in response to a request.
(j) The base FOIA manager acts as the FOIA focal point for the FOIA
site on the installation web page.
(k) When any appellate action sought by a FOIA requester is denied
by an IDA or FOIA manager for authorized actions, the IDA or FOIA
manager will indicate, in writing, that the issues raised in the FOIA
appeal were considered and rejected (in full or in part). Include this
written statement in the file you send to the Secretary of the Air Force
in the course of a FOIA appeal action. Send all appeal actions through
the MAJCOM FOIA office.
Sec. 806.6 Prompt action on requests.
(a) Examples of letters to FOIA requesters (e.g., response
determinations and interim responses) are included in Sec. 806.27.
(b) Multitrack processing. (1) Examples of letters to FOIA
requesters (e.g.,
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letters to individuals who have had their FOIA request placed in the
complex track) are included in Sec. 806.27.
(2) Simple requests can be processed quickly, with limited impact on
the responding units. The request clearly identifies the records with no
(or few) complicating factors involved. There are few or no responsive
records, only one installation is involved, there are no outside OPRs,
no classified or nongovernment records, no deliberative process/
privileged materials are involved, records contain no (or limited)
personal privacy information/did not come from Privacy Act systems of
records concerning other individuals, or time extensions not
anticipated.
(c) Complex requests will take substantial time, will cause
significant impact on responding units. Complications and delays are
likely. Records sought are massive in volume, multiple organizations
must review/coordinate on records, records are classified, records
originated with a nongovernment source, records were part of the Air
Force's decision-making process or are privileged.
(d) Expedited processing. Examples of letters to individuals whose
FOIA requests and/or appeals were not expedited are included in Sec.
806.27.
Sec. 806.7 Use of exemptions.
(a) A listing of some AFIs that provide guidance on special
disclosure procedures for certain types of records is provided in Sec.
806.28. Refer to those instructions for specific disclosure procedures.
Remember, the only reason to deny a request is a FOIA exemption.
(b) Refer requests from foreign government officials that do not
cite the FOIA to your foreign disclosure office and notify the
requester.
(c) If you have a non-U.S. Government record, determine if you need
to consult with the record's originator before releasing it (see Sec.
806.9 and Sec. 806.15(c)). This includes records created by foreign
governments and organizations such as North Atlantic Treaty Organization
(NATO) and North American Aerospace Defense (NORAD). You may need to
coordinate release of foreign government records with either the U.S.
Department of State or with the specific foreign embassy, directly
through the MAJCOM FOIA office. Coordinate release or denial of letters
of offer and acceptance (LOA) with SAF/IA through 11 CS/SCSR (FOIA),
1000 Air Force Pentagon, Washington DC 20330-1000.
Sec. 806.8 Description of requested record.
Air Force elements must make reasonable efforts to find the records
described in FOIA requests. Reasonable efforts means searching all
activities and locations most likely to have the records, and includes
staged or retired records, as well as complete and thorough searches of
relevant electronic records, such as databases, word processing, and
electronic mail files.
Sec. 806.9 Referrals.
(a) Send all referrals through the FOIA office. The receiving FOIA
office must agree to accept the referral before transfer. The FOIA
office will provide the name, phone number, mailing address, and e-mail
address of both the FOIA office point of contact and the record OPR
point of contact in their referral letter. Include the requested record.
If the requested records are massive, then provide a description of
them. Referrals to, or consultations with, DFOISR are accomplished from
the MAJCOM level. Section 806.27 has an example of a referral memo.
(b) In some cases, requested records are available from the GPO and
NTIS, 5285 Port Royal Road, Springfield VA 22161. These organizations
offer certain records for sale to the public. Current standard
releasable Air Force publications are available electronically on the
WWW at http://afpubs.hq.af.mil/. For requesters without electronic
access, NTIS has paper copies for sale. Give requesters the web address
or NTIS address when appropriate. However, if the requester prefers to
pursue the FOIA process, consult with HQ AFCIC/ITC through the MAJCOM.
Refer FOIA requests for Air Force publications that are classified,
FOUO, rescinded, or superseded to the OPR through the appropriate FOIA
office.
Sec. 806.10 Records management.
Keep records that were fully released for 2 years and denied records
for 6
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years. Include in the 6-year record file copies of records or parts of
records that were released in response to the same request. Refer to Air
Force Manual (AFMAN) 37-139, Records Disposition Schedule (converting to
AFMAN 33-339, see Sec. 806.9(b)). The functional OPR or FOIA office may
keep the records released or denied. The FOIA office keeps the FOIA case
file for each request. The FOIA case file consists of: the initial
request; tasking to OPRs; OPR's reply; memoranda for record (MFR) of
phone calls or other actions related to the FOIA request; DD Forms 2086,
Record of Freedom of Information (FOI) Processing Cost, or 2086-1,
Record of Freedom of Information (FOI) Processing Cost for Technical
Data; final response; and any of the following, if applicable: extension
letter; legal opinions; submitter notification letters and replies; the
appeal and required attachments (except for the released or denied
records if maintained by the OPR); and all other correspondence to and
from the requester.
Sec. 806.11 FOIA reading rooms.
Each FOIA office will arrange for a reading room where the public
may inspect releasable records. You do not need to co-locate the reading
room with the FOIA office. The FOIA does not require creation of a
reading room dedicated exclusively to this purpose. A ``reading room''
is any location where a requester may review records. For FOIA-processed
(a)(3) records, if requesters meet the criteria for search and review
costs, they must be paid before inspecting records. Assess reproduction
costs at the time of inspection, if appropriate.
Sec. 806.12 Record availability.
(a) HQ AFCIC/ITC will make the traditional FOIA-processed (a)(2)
materials (5 U.S.C. 552(a)(2)(A), (B), and (C)) available to the public.
Each Air Force activity must make 5 U.S.C. 552(a)(2)(D) records (``FOIA-
processed (a)(2)(D) records''--records which they determine will, or
have become, the subject of frequent or subsequent requests) available
to the public in a reading room in hard copy and electronically by
posting it to their appropriate web site. There is no requirement to
make all FOIA-released records available electronically. The FOIA
manager, in coordination with the functional OPR, or the owner of the
records, determines qualifying records, after coordination with any
interested OCRs. As required by AFIs 33-129 and 35-205, OPRs request
clearance of these records with the PAO before posting on the WWW.
(b) Normally, if the FOIA office or OPR receives, or anticipates
receiving, five or more requests for the same record in a quarter, they
will consider it a frequently requested record (FOIA-processed (a)(2)(D)
record) and make it publicly available in hard copy and electronically
as outlined in Sec. 806.12(a). OPRs may elect to make other records
publicly available if they receive, or expect to receive, less than five
requests a quarter. The purpose is to make records available in an ERR
to potential future FOIA requesters instead of waiting to receive a FOIA
request, and reduce the number of multiple FOIA requests for the same
records requiring separate responses. In making these determinations,
recognize there are some situations in which a certain type of record
becomes the subject of simultaneous FOIA requests from all interested
parties and then ceases to be of interest. Activities may typically
receive a ``flurry'' of FOIA requests for contract records immediately
after a contract is awarded, but do not receive any subsequent requests
for such bulky records after that point. In some cases, activities may
decide that placing records in the ERR would not serve the statutory
purpose of ``diverting some potential FOIA requests for previously
released records.'' The following types of records should be considered
for inclusion in the ERR (excluding individuals assigned to overseas,
sensitive, and routinely deployable units): organizational charts and
limited staff directories; lists of personnel reassigned with gaining
base; MAJCOM FOIA supplements; lists of International Merchant Purchase
Authority Card (IMPAC) card holders. Do not post lists of e-mail
addresses.
(c) GILS. Each activity that posts FOIA-processed (a)(2)(D) records
(records which they determine will, or
[[Page 13]]
have become, the subject of frequent or subsequent requests) must create
a GILS record for each FOIA-processed (a)(2)(D) record and post it to
DefenseLINK. The OPR prepares the GILS record. You can complete and
submit a GILS record on-line using a web browser. Instructions for
completing the GILS record, and an on-line form are at http://
www.defenselink.mil/locator/index.html. Follow the steps listed on the
web page. The GILS site on DefenseLINK will serve as the central index
of Air Force FOIA-processed (a)(2)(D) records.
(d) In addition, installations will post a list, or index, of
locally produced FOIA-processed (a)(2)(D) records on their web page at
their FOIA site. Each listing will point or link to the particular
record. In addition, MAJCOMs may choose to post their own index of
MAJCOM specific FOIA-processed (a)(2)(D) records to their appropriate
web site. Installation web pages will include the following phrase (or
similar words) on their FOIA site if they do not have any frequently
requested FOIA records: ``There are no frequently requested FOIA records
to post at this time.'' Include the following statement, or a similar
one, on the installation web page with the records: ``Some records are
released to the public under the FOIA, and may therefore reflect
deletion of some information in accordance with the FOIA's nine
statutory exemptions. A consolidated list of such records is on
DefenseLINK.'' Link the word ``DefenseLINK'' to www.defenselink.mil/
locator/fpr--index.html. Qualifying releasable records with exempt
information redacted must show on the record the amount of information
withheld and the exemption reason (for example, (b)(6)). Activities with
such records should provide the public an index and explanation of the
FOIA exemptions. All installation FOIA pages will include a link to the
Air Force page.
(e) FOIA web pages should be clearly accessed from the main
installation page, either by a direct link to ``FOIA'' or ``Freedom of
Information Act'' from the main page, or found under a logical heading
such as ``Library'' or ``Sites.''
Sec. 806.13 5 U.S.C. 552(a)(2) materials.
The GILS records on DefenseLINK will serve as the index for 5 U.S.C.
552(a)(2)(D) materials.
Sec. 806.14 Other materials.
HQ AFCIC/ITC makes the appropriate FOIA-processed (a)(1) materials
available for the Air Force.
Sec. 806.15 FOIA exemptions.
(a) Exemption number 1. When a requester seeks records that are
classified, or should be classified, only an initial classification
authority, or a declassification authority, can make final
determinations with respect to classification issues. The fact that a
record is marked with a security classification is not enough to support
withholding the document; make sure it is ``properly and currently
classified.'' Review the record paragraph by paragraph for releasable
information. Review declassified and unclassified parts before release
to see if they are exempt by other exemptions. Before releasing a
reviewed and declassified document, draw a single black line through all
the classification markings so they are still legible and stamp the
document unclassified. If the requested records are ``properly and
currently classified,'' and the Air Force withholds from release under
FOIA exemption (b)(1), and the requester appeals the withholding,
include a written statement from an initial classification authority or
declassification authority certifying the data was properly classified
originally and that it remains properly classified per Executive Order.
Examples of initial classification and declassification authority
statements are included in Sec. 806.27. Guidance on document
declassification reviews is in AFI 31-401, Managing the Information
Security Program, and DoD 5200.1-R, Information Security Program,
January 1997.
(b) Exemption number 3. HQ AFCIC/ITC will provide the current FOIA-
processed (b)(3) statutes list to the MAJCOMs.
(c) Exemption number 4. The Air Force, in compliance with Executive
Order 12600, will advise submitters of contractor-submitted records when
a FOIA requester seeks the release of such records, regardless of any
initial
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determination of whether FOIA exemption (b)(4) applies. (See Sec.
806.20(a) and Sec. 806.31). Due to a change to Title 48 CFR, Federal
Acquisition Regulations System, submitter notification is not required
prior to release of unit prices contained in contracts awarded based
upon solicitations issued after January 1. 1998. For solicitations
issued before January 1, 1998, conduct a normal submitter notice. Unit
prices contained in proposals provided prior to contract award are
protected from release, as are all portions of unsuccessful proposals
(before and after contract award) (10 U.S.C. 2305(g), Prohibition on
Release of Contractor Proposals).
(d) Exemption number 5. (1) Attorney-client records could include,
e.g., when a commander expresses concerns in confidence to his or her
judge advocate and asks for a legal opinion. The legal opinion and
everything the commander tells the judge advocate in confidence qualify
under this privilege. Unlike deliberative process privilege, both facts
and opinions qualify under the attorney work product or attorney-client
privilege. Attorney work product records are records an attorney
prepares, or supervises the preparation of, in contemplating or
preparing for administrative proceedings or litigation.
(2) Based on court decisions in FOIA litigation, which led to the
release of results of personnel surveys, FOIA managers and IDAs should
get advice from an Air Force attorney before withholding survey results
under FOIA exemption (b)(5).
(e) Exemption number 6. (1) AFI 37-132, Air Force Privacy Act
Program (will convert to AFI 33-332) provides guidance on collecting and
safeguarding social security numbers (SSN). It states: ``SSNs are
personal and unique to each individual. Protect them as FOUO. Do not
disclose them to anyone without an official need to know.'' Before
releasing an Air Force record to a FOIA requester, delete SSNs that
belong to anyone other than the requester. In any subsequent FOIA
release to a different requester of those same records, make sure SSNs
are deleted. When feasible, notify Air Force employees when someone
submits a FOIA request for information about them. The notification
letter should include a brief description of the records requested. Also
include a statement that only releasable records will be provided and we
will protect personal information as required by the FOIA and Privacy
laws.
(2) Personal information may not be posted at publicly accessible
DoD web sites unless to do so is clearly authorized by law and
implementing regulation and policy. Personal information should not be
posted at nonpublicly accessible web sites unless it is mission
essential and appropriate safeguards have been established. See also
AFIs 33-129 and 35-205.
(3) Withhold names and duty addresses of personnel serving overseas
or in sensitive or routinely deployable units. Routinely deployable
units normally leave their permanent home stations on a periodic or
rotating basis for peacetime operations or for scheduled training
exercises conducted outside the United States or United States
territories. Units based in the United States for a long time, such as
those in extensive training or maintenance activities, do not qualify
during that period. Units designated for deployment on contingency plans
not yet executed and units that seldom leave the United States or United
States territories (e.g., annually or semiannually) are not routinely
deployable units. However, units alerted for deployment outside the
United States or United States territories during actual execution of a
contingency plan or in support of a crisis operation qualify. The way
the Air Force deploys units makes it difficult to determine when a unit
that has part of its personnel deployed becomes eligible for denial. The
Air Force may consider a unit deployed on a routine basis or deployed
fully overseas when 30 percent of its personnel have been either alerted
or actually deployed. In this context, alerted means that a unit has
received an official written warning of an impending operational mission
outside the United States or United States territories. Sensitive units
are those involved in special activities or classified missions,
including, for example, intelligence-gathering units that collect,
handle, dispose of, or store classified information and materials, as
well as units that train or advise foreign personnel.
[[Page 15]]
(i) Each MAJCOM and FOA will establish a system and assign OPRs to
identify United States-based units in their command qualifying for the
``sensitive or routinely deployable unit'' designation, under this
exemption. Appropriate OPRs could include directors of operations, plans
and programs, and personnel.
(ii) MAJCOM FOIA managers will ensure the list of sensitive and
routinely deployable units is reviewed in January and July, and will
follow that review with a memo to the Air Force Personnel Center (HQ
AFPC/MSIMD), 550 C Street West, Suite 48, Randolph AFB, TX 78150-4750,
either validating the current list or providing a revised listing based
on the current status of deployed units at that time. This listing is in
American Standard Code for Information Interchange (ASCII) format on a
3\1/2\'' (double-sided, high-density) diskette, which contains the
unit's eight-position personnel accounting symbol (PAS) code, with one
PAS code per line (record) (8-byte record). The MAJCOM FOIA manager will
send an electronic copy of the list of nonreleasable units to HQ AFPC/
MSIMD which is included in the personnel data system. The MAJCOM and HQ
AFPC FOIA offices will use it to determine releasable lists of names and
duty addresses. This reporting requirement is exempt from licensing with
a reports control symbol (RCS) in accordance with AFI 37-124, The
Information Collections and Reports Management Program; Controlling
Internal, Public, and Interagency Air Force Information Collections
(will convert to AFI 33-324).
(f) Exemption number 7. Guidance provided in Sec. 806.15(e)(1) also
applies to SSNs in records compiled for law enforcement purposes. Do not
disclose SSNs to anyone without an official need to know.
Sec. 806.16 For official use only.
(a) Markings. Record owners may also add the following sentence to
the statement above: ``(Further distribution is prohibited without the
approval of (owner's organization, office symbol, phone).)''
(b) Dissemination and transmission. (1) When deciding whether to
send FOUO records over facsimile equipment, balance the sensitivity of
the records against the risk of disclosure. When faxing, use cover
sheets to indicate FOUO attachments (i.e., AF Form 3227, Privacy Act
Cover Sheet, for Privacy Act information). Consider the location of
sending and receiving machines and ensure authorized personnel are
available to receive FOUO information as soon as it is transmitted.
(2) For Privacy Act records, refer to AFI 33-332 for specific
disclosure rules. For releases to GAO and Congress, refer to AFI 90-401,
Air Force Relations With Congress and AFI 65-401, Relations With the
General Accounting Office. See Sec. 806.9(b) for availability.
(c) Termination, disposal and unauthorized disclosures. You may
recycle FOUO material. Safeguard the FOUO documents or information to
prevent unauthorized disclosure until recycling. Recycling contracts
must include specific responsibilities and requirements on protecting
and destroying FOUO and Privacy Act materials.
Sec. 806.17 Release and processing procedures.
(a) Individuals seeking Air Force information should address
requests to an address listed in Sec. 806.26. MAJCOM FOIA office phone
numbers and mailing addresses are available on the Air Force FOIA Web
Page at http://www.foia.af.mil.
(1) A list of Air Force FOIA processing steps, from receipt of the
request through the final disposition of an administrative appeal is at
Sec. 806.29, which also includes guidance on preparing and processing
an Air Force FOIA appeal package.
(2) Air Force host tenant relationships. The Air Force host base
FOIA manager may log, process, and report FOIA requests for Air Force
tenant units. In such cases, the host base FOIA office refers all
recommended denials and ``no records'' appeals to the Air Force tenant
MAJCOM FOIA manager. This does not apply to the Air National Guard
(ANG), Air Force Reserves, or to disclosure authorities for specialized
records.
(b) Use FOIA procedures in this part to process any congressional
request citing FOIA, or covering a constituent
[[Page 16]]
letter citing FOIA. This does not apply to requests from a Congressional
Committee or Subcommittee Chair on behalf of the committee or
subcommittee.
Sec. 806.18 Initial determinations.
(a) Disclosure authorities make final decisions on providing
releasable records within the time limits and provide recommendations to
the IDA on proposed denials and partial denials after coordination with
the appropriate FOIA and JA office. Normally, disclosure authorities are
division chiefs or higher at Air Staff level. MAJCOMs will designate
their disclosure authority levels. The level should be high enough so a
responsible authority makes the disclosure according to the policies
outlined in this part. At out sourced units or functions, the disclosure
authority must be a government official. Contractors who are functional
OPRs for official government records are not authorized to make the
decision to disclose government records.
(b) On receipt, Air Force FOIA offices will promptly inform Air
Force PAOs of all FOIA requests that are potentially newsworthy, or that
are submitted by news media requesters. FOIA offices will coordinate
final replies for such cases with public affairs.
Sec. 806.19 Reasonably segregable portions.
Delete information exempt from release under the FOIA from copies of
otherwise releasable records. Do not release copies that would permit
the requester to ``read through the marking.'' Examples of records with
deletions of exempted data are in Sec. 806.30.
Sec. 806.20 Records of non-U.S. government source.
(a) The Air Force, in compliance with Executive Order 12600, will
advise submitters of contractor-submitted records when a FOIA requester
seeks the release of such records, regardless of any initial
determination as to whether FOIA exemption (b)(4) applies. See Sec.
806.15(c) and Sec. 806.31. Due to a change to 48 CFR, submitter
notification is not required prior to release of unit prices contained
in contracts awarded based upon solicitations issued after January 1,
1998. For solicitations issued before January 1, 1998, conduct a normal
submitter notice. Unit prices contained in proposals provided prior to
contract award are protected from release, as are all portions of
unsuccessful proposals (before and after contract award) (10 U.S.C.
2305(g)).
(b) Department of State involvement. Air Force FOIA managers will
notify their MAJCOM (or equivalent) FOIA office, in writing, via fax or
e-mail when the Department of State becomes involved in any Air Force
FOIA actions. The MAJCOM FOIA office will provide 11 CS/SCSR, via fax or
e-mail, a summary of the issues involved, and the name, phone number,
mailing address and e-mail address of: their own FOIA office point of
contact; the Air Force record OPR point of contact, the DoD component
FOIA office point of contact (if any), and the Department of State point
of contact. 11 CS/SCSR will inform SAF/IA of any State Department
involvement in Air Force FOIA actions. (See Sec. 806.7(b).) An example
of a memo advising 11 CS/SCSR of State Department involvement in an Air
Force FOIA action is provided in Sec. 806.27.
Sec. 806.21 Appeals.
(a) FOIA requesters seeking Air Force records must address appeals
to the Office of the Secretary of the Air Force, through the FOIA office
of the IDA that denied the request. Requesters should attach a copy of
the denial letter to their appeal and give reasons for appealing. Air
Force IDAs may reconsider any prior denials and may grant all or part of
a requester's appeal. When any appellate action sought by a FOIA
requester is denied by an IDA, the IDA will include a statement that the
issues raised in the appeal were considered and rejected (in full or in
part) in any file sent to the Secretary of the Air Force in the course
of a FOIA appeal action. Send all appeals to IDA decisions at the wing
level through the MAJCOM FOIA office for sending to the Secretary of the
Air Force's designated appellate authority, SAF/GCA (and Air Force Legal
Services Agency (AFLSA/JACL)). (See
[[Page 17]]
Sec. Sec. 806.4(g), 806.5(b), and Sec. 806.5(k).) Additional steps are
required prior to sending an appeal file.
(1) MAJCOM FOIA offices and record OPRs are responsible for ensuring
adequate preparation of the FOIA appeal package for reconsideration by
the IDA. FOIA offices and records OPRs will coordinate with Air Force
attorneys, who will provide written opinions on substantive issues
raised in the appeal.
(2) If a requester appeals an Air Force ``no records''
determination, Air Force elements must search again or verify the
adequacy of their first search. The package must include documents that
show the Air Force element systematically tried to find responsive
records. Tell, for example, what areas or offices were searched and how
the search was conducted--manually, by computer, by telephone, and so
forth. In the event a requester sues the Air Force to contest a
determination that no responsive records exist, formal affidavits are
required to support the adequacy of any searches conducted.
(3) FOIA requesters seeking to appeal denials involving Office of
Personnel Management's controlled civilian personnel records must appeal
to the Office of the General Counsel, Office of Personnel Management,
1900 E Street NW, Washington, DC 20415.
(4) If a requester appeals a denial of a fee waiver, fee estimate,
or fee reduction request, FOIA offices and record OPRs must account for
actual and estimated costs of processing a request, and will include
copies of the DD Forms 2086 or 2086-1 in the appeal package.
(5) When any appellate action sought by a FOIA requester is denied
by an IDA, prepare the FOIA appeal package as specified in Sec. 806.29,
and then the MAJCOM FOIA office forwards the appeal file to the
Secretary of the Air Force's designated appellate authority, SAF/GCA
(through AFLSA/JACL), for a final administrative determination.
(b) Air Force activities will process appeal actions expeditiously
to ensure they reach the Office of the Secretary of the Air Force in a
timely manner.
Sec. 806.22 Time limits.
Any FOIA appeals received after the 60-day time limit are not
processed, unless the requester provides adequate justification for
failing to comply with the time limit. If a late appeal is received, and
there is no adequate justification for failing to comply with the time
limit, the FOIA office will advise the FOIA requester their appeal has
been closed. An example of a closure letter is included in Sec. 806.27.
Sec. 806.23 Delay in responding to an appeal.
For an appeal in process and not yet forwarded to AFLSA/JACL, the
MAJCOM FOIA office is responsible for advising the requester of the
status of the appeal. For an appeal in process at AFLSA/JACL, that
office will advise the requester regarding status of the appeal.
Sec. 806.24 Fee restrictions.
For FOIA purposes, Air Force activities will consider the cost of
collecting a fee to be $15 and will not assess requesters' fees for any
amount less than $15.
Sec. 806.25 Annual report.
(a) MAJCOM FOIA managers and AFLSA/JACL send a consolidated report
for the fiscal year on DD Form 2564, Annual Report Freedom of
Information Act, to HQ AFCIC/ITC by October 30 via regular mail, e-mail,
or facsimile. AFLSA/JACL will prepare the appeals and litigation costs
sections of the report. HQ AFCIC/ITC will make the Air Force report
available on the WWW.
(b) Total requests processed. ``Processed'' includes responses that
give an estimated cost for providing the records, even if the requester
has not paid.
(c) Denied in full. Do not report ``no record'' responses as
denials.
(d) Other reasons.
(1) Referrals. Also include referrals within Air Force in this
category.
(2) Not an agency record. The ``not an agency record'' other reason
category only applies to requests for: objects or articles such as
structures, furniture, vehicles and equipment, whatever their historical
value, or value as evidence;
[[Page 18]]
anything that is not a tangible or documentary record such as an
individual's memory or oral communication; and personal records of an
individual not subject to agency creation or retention requirements,
created and maintained primarily for the convenience of an agency
employee and not distributed to other agency employees for their
official use. This category does not include ``no record'' responses.
(e) Other. The ``Other (Specify)'' block must contain the reason
with the total number for the reason. For example: ``FOIA request had no
return address-4.''
(f) 5 U.S.C. 552(b)(3) statutes invoked on initial determinations. A
corresponding statute is required for each instance entered in the
Exemption 3 block. List the statute by number, not title. For any
statute on the report that is not on DoD's list of commonly used 5
U.S.C. 552(b)(3) statutes, attach a copy of the pertinent page of the
statute that states information must be withheld from public disclosure.
HQ AFCIC/ITC makes the DoD list available to FOIA managers
electronically. Statutes on the DoD list with an asterisk indicate they
are valid 5 U.S.C. 552(b)(3) statutes from litigation. Do not enter any
of the following as 5 U.S.C. 552(b)(3) statutes:
5 U.S.C. 552
5 U.S.C. 552a
28 U.S.C. 1498
17 U.S.C. 101
18 U.S.C. 1905.
(g) Appeal determinations. Enter the total number of FOIA appeals
received and total number of FOIA appeals completed during the fiscal
year.
(h) Average. Air Force will use the ``median age'' and will not
collect or report averages.
(i) Number of initial requests received during the fiscal year. This
number includes open and closed cases.
(j) Total number of initial requests. ``Processed'' includes
responses which give an estimated cost for providing the records, even
if the requester has not paid.
(k) Total program cost. This figure includes all costs from the DD
Forms 2086 and 2086-1, as well as personnel costs for individuals
primarily involved in administering the FOIA program. To figure
personnel costs, multiply the annual salary of each person by the
percentage of time spent on FOIA.
(l) MAJCOMs and bases do not include the 25 percent. HQ AFCIC/ITC
will add to the final Air Force report to DoD.
(m) Authentication. MAJCOM SCs will sign as approving official (or
two-letter functional equivalent for FOIA offices in other functional
areas).
Sec. 806.26 Addressing FOIA requests.
(a) FOIA requests concerning Air National Guard Inspector General
records should be sent to 11 CS/SCSR (FOIA), 1000 Air Force Pentagon,
Washington, DC 20330-1000.
(b) Addressing Air Force Freedom of Information Act requests. The
Department of the Air Force, a component of the DoD, includes the Office
of the Secretary of the Air Force, the Chief of Staff of the Air Force
(who is supported by Headquarters Air Force or ``Air Staff'' elements),
the MAJCOMs, the FOAs, and DRUs. This section lists the FOIA office
addresses. A selected subordinate unit is also included in this section.
Realignment of Air Force elements is frequent; addresses listed below
are subject to change.
(c) The Department of the Air Force does not have a central
repository for Air Force records. FOIA requests are addressed to the Air
Force element that has custody of the record desired. In answering
inquiries regarding FOIA requests, Air Force personnel will assist
requesters in determining the correct Air Force element to address their
requests. If there is uncertainty as to the ownership of the record
desired, refer the requester to the Air Force element that is most
likely to have the record. Two organizations that include Air Force
elements, and hold some Air Force-related records, are also included in
the addresses listed below.
(d) MAJCOMs:
(1) Air Combat Command (ACC): HQ ACC/SCTC, 230 East Flight Line
Road, Langley AFB VA 23665-2781.
(2) Air Education and Training Command (AETC): HQ AETC/SCTS, 61 Main
Circle Suite 2, Randolph AFB TX 78150-4545.
[[Page 19]]
(3) Air Force Materiel Command (AFMC): HQ AFMC/SCDP, 4225 Logistics
Avenue, Suite 6, Wright-Patterson AFB, OH 45433-5745.
(4) Air Force Reserve Command (AFRC): HQ AFRC/SCSM, 155 2nd Street,
Robins AFB, GA 31098-1635.
(5) Air Force Special Operations Command (AFSOC): HQ AFSOC/SCMN, 100
Bartley Street, Suite 201, Hurlburt Field, FL 32544-5273.
(6) Air Force Space Command (AFSPC): HQ AFSPC/SCMA, 150 Vandenberg
Street, Suite 1105, Peterson AFB, CO 80914-4400.
(7) Air Mobility Command (AMC): HQ AMC/SCYNR, 203 West Losey Street,
Room 3180, Scott AFB, IL 62225-5223.
(8) Pacific Air Forces (PACAF): HQ PACAF/SCT, 25 E Street, Suite
C220, Hickam AFB, HI 96853-5409.
(9) United States Air Forces in Europe (USAFE): HQ USAFE/SCMI, Unit
3050, Box 125, APO AE 09094-0125.
(e) FOAs:
(1) Air Force Audit Agency (AFAA): HQ AFAA/IMP, 1126 Air Force
Pentagon, Washington, DC 20330-1126.
(2) Air Force Base Conversion Agency (AFBCA): AFBCA/ESA, 1700 North
Moore Street, Suite 2300, Arlington, VA 22209-2802.
(3) Air Force Center for Environmental Excellence (AFCEE): HQ AFCEE/
MSI, 3207 North Road, Brooks AFB, TX 78235-5363.
(4) Air Force Civil Engineering Support Agency (AFCESA): HQ AFCESA/
IMD, 139 Barnes Drive Suite 1, Tyndall AFB, FL 32403-5319.
(5) Air Force Historical Research Agency (AFHRA): AFHRA/RSA, 600
Chennault Circle, Maxwell AFB, AL 36112-6424.
(6) Air Force Inspection Agency (AFIA): (Shared FOIA office/
function, AFIA and Air Force Safety Agency) AFSA/JAR, 9700 Avenue G SE,
Suite 236B, Kirtland AFB, NM 87117-5670.
(7) Air Force Medical Support Agency (AFMSA): AFMSA/CCEA, 2510
Kennedy Circle, Suite 208, Brooks AFB, TX 78235-5121.
(8) Air Force News Agency (AFNEWS): HQ AFNEWS/SCB, 203 Norton
Street, Kelly AFB, TX 78241-6105.
(9) Air Force Office of Special Investigations (AFOSI): HQ AFOSI/
SCR, P. O. Box 2218, Waldorf, MD 20604-2218.
(10) Air Force Personnel Center (AFPC): HQ AFPC/MSIMD, 550 C Street
West, Suite 48, Randolph AFB, TX 78150-4750.
(11) Air Force Center for Quality and Innovation (AFCQMI): AFCQMI/
CSP, 550 E Street East, Randolph AFB, TX 78150-4451.
(12) Air Force Safety Agency (AFSA): (Shared FOIA office/function,
AFIA, and AFSA) AFSA/JARF, 9700 Avenue G SE, Suite 236B, Kirtland AFB,
NM 87117-5670.
(13) Air Force Security Forces Center (AFSFC): AFSFC/CCQ 1720
Patrick Street, Lackland AFB, TX 78236-5226.
(14) Air Force Services Agency (AFSVA): AFSVA/SVSR, 9504 1H-35
North, Suite 250, San Antonio, TX 78233-6635.
(15) Air Force Technical Applications Center (AFTAC): AFTAC/LSCS,
1030 South Highway, Suite A1A, Patrick AFB, FL 32925-6001.
(16) Air Intelligence Agency (AIA): AIA/DOOI, 102 Hall Boulevard,
Suite 229, San Antonio, TX 78243-7029.
(17) Air Reserve Personnel Center (ARPC): ARPC/SCS, 6760 East
Irvington Place, 6600, Denver, CO 80280-6600.
(18) Air Force Weather Agency (AFWA): HQ AFWA/SCI, 106 Peacekeeper
Drive Suite 2N3, Offutt AFB, NE 68113-4039.
(19) Air Force History Support Office (AFHSO): AFHSO, 500 Duncan
Avenue Box 94, Bolling AFB, DC 20332-1111.
(f) DRUs:
(1) Air Force Operational Test and Evaluation Center (AFOTEC):
AFOTEC/SCM, 8500 Gibson Boulevard SE, Kirtland AFB, NM 87117-5558.
(2) 11th Wing: 11 CS/SCSR (FOIA), 1000 Air Force Pentagon,
Washington, DC 20330-1000 (if a person is unsure where to send a FOIA
request for Air Force records, or is seeking records from the Office of
the Secretary of the Air Force, or other Headquarters Air Force records,
use this address).
(3) United States Air Force Academy (USAFA): 10 CS/SCBD, 2304 Cadet
Drive, Suite 232, USAFA, CO 80840-5060.
(g) Selected subordinate units: Air Force Communications Agency
(AFCA): HQ AFCA/CCQI, 203 West Losey Street, Room 1022, Scott AFB, IL
62225-5203.
[[Page 20]]
(h) Organizations which include air force elements:
(1) Army and Air Force Exchange Service (AAFES): HQ AAFES/GC-E, P.O.
Box 660202, Dallas, TX 75266-0202.
(2) National Guard Bureau (NGB)/Air National Guard: NGB-AD, 2500
Army Pentagon, Washington, DC 20310-2500. (FOIA requests concerning Air
National Guard IG records should be sent to 11 CS/SCSR (FOIA), 1000 Air
Force Pentagon, Washington, DC 20330-1000)
Sec. 806.27 Samples of Air Force FOIA processing documents.
(a) This section includes suggested language in paragraph format
that tracks Air Force and DoD FOIA guidance. The rest of the body of
letters and memorandums should comply with Air Force administrative
guidance. Each MAJCOM may elect to prepare their own verbiage to meet
their specific needs, so long as FOIA processing actions are consistent
with guidance in DoD 5400.7-R and this part. In this section, language
in parentheses is for explanatory purposes only. Do not include any of
the parenthetical language of this section in your FOIA correspondence.
When optional language must be selected, the optional language will be
presented within parentheses. Use only the portions that apply to the
specific request or response.
(b) Initial receipt of Freedom of Information Act request.
We received your Freedom of Information Act (FOIA) request dated
Month year, for (summarize the request) on
Month year (date received). We will provide you our
release determination by (enter date that is 20 workdays from date you
received the request). (Based on our initial review, we believe we
cannot process your request within 20 workdays.) (If ``cannot'' is used,
add appropriate explanation; examples follow.) Please contact (name and
commercial telephone number) if you have any questions and refer to case
number .
(c) Interim response:
Your request will be delayed because: all or part of the responsive
records are not located at this installation; (and/or) Processing this
FOIA request will require us to collect and review a substantial number
of records (and/or) Other Air Force activities or other agencies (if
applicable) to include the submitter of the information, need to be
involved in deciding whether or not to release the responsive records.
We expect to reply to your request not later than (give a date that is
not more than 30 workdays from the initial receipt of the request); (or)
If processing the FOIA request will take more than the allowed time
limits to respond). We find we are unable to meet the time limits
imposed by the FOIA in this instance because (tell the requester the
reason for the delay) (example: the records are classified and must be
reviewed for possible declassification by other activities or agencies).
We anticipate completing your request by (date).
(When charging fees is appropriate.) The FOIA provides for the
collection of fees based on the costs of processing a FOIA request and
your fee category. Based on the information in your request, we have
determined your fee category is (commercial/educational or noncommercial
scientific institution or news media/all others). As a result, you (if
commercial category) are required to pay all document search, review and
duplication costs over $15.00. (or) As a result, you (if educational or
noncommercial scientific institution or news media) will be provided the
first 100 pages free of charge; you are required to pay any duplication
costs over and above those amounts. (or) As a result, you will be
provided the first 2 hours of search time and the first 100 pages free
of charge; you are required to pay any search and duplication costs over
and above those amounts.
(d) Request for a more specific description:
Your request does not sufficiently describe the desired records. The
FOIA applies to existing Air Force records; without more specific
information from you, we cannot identify what documents might be
responsive to your request. Please give us whatever additional details
you may have on the Air Force records you want. Can you tell us when the
records were created, and what Air Force element may have created the
records? If this request involves an Air Force contract, do you know the
contract number and dates it covered? Our address is (include name and
complete mailing address), our fax number is (give fax number), our e-
mail address is (optional--give complete e-mail address). Based on the
original request you sent us, we are unable to respond.
(e) Single letter acknowledging receipt of request and giving final
response. (If you can complete a FOIA request within the statutory 20-
workday processing period, Air Force elements may elect to send a single
letter to the requester, along with responsive records which are
released to the requester in full).
[[Page 21]]
We received your Freedom of Information Act (FOIA) request dated
Month year, for (summarize the request) on
Month year (date received). A copy (or) Copies of
(describe the record(s) being released) (is/are) releasable and (is/are)
attached.
(f) Collection of fees:
The FOIA provides for the collection of fees based on the costs of
processing a FOIA request and your fee category. We have placed you in
the (enter the fee category) fee category. In your case, we have
assessed a charge of $---- for processing your request. The fee was
calculated in the following manner: (Give a detailed cost breakdown: for
example, 15 pages of reproduction at $0.15 per page; 5 minutes of
computer search time at $43.50 per minute, 2 hours of professional level
search at $25 per hour.) Please make your check payable to (appropriate
payee) and send it to (give your complete mailing address) by (date 30
days after the letter is signed). (or) The FOIA provides for the
collection of fees based on the costs of processing a FOIA request and
your fee category. We have placed you in the (enter the fee category);
however, in this case, we have waived collecting fees.
(g) Multitrack processing letters to FOIA requesters. (When using
the multitrack FOIA processing system, determine which of the following
paragraphs to include in your letters to the requester. To the extent it
may apply, include language from paragraph 2 of the sample. If a
requester asks for expedited processing, answer carefully if you decide
not to provide expedited processing, because requesters may appeal
denial of their request for expedited processing. Advise requesters
placed into the complex track in writing how they can simplify their
request to qualify for the simple track.)
We received your Freedom of Information Act (FOIA) request dated
Month year, for (summarize the request) on
Month year (date received). Because our organization
has a significant number of pending FOIA requests, which prevents us
from making a response determination within 20 workdays, we have
instituted multitrack processing of requests. Based on the information
you provided, we have placed your request in the (simple or complex)
track. We have assigned number
to identify your request;
should you need to contact us about your request, please write or call
(name and telephone) and use this number to assist us in responding more
promptly.
Based on our current backlog, we expect to respond to your request
not later than (give an estimated date). Our policy is to process
requests within their respective tracks in the order in which we receive
them. We do process each FOIA request as quickly as we can.
(h) If the request is placed in the complex track:
In your case, processing your request is complex because (give basic
reasons this is a complex case: request was vague or complicated; the
records sought are voluminous; multiple organizations will have to work
on this request; records are classified; responsive records came from
another command/another service/a nongovernment source; responsive
records were part of the Air Force's decision-making process, and the
prerelease review will require policy determinations from different Air
Force elements; records describe law enforcement activities; records
involve foreign policy issues; due to the nature of your request and/or
the nature of our computer system, responding to your request or
providing a response in the electronic format you requested will be
technically complex, etc.). Simplifying your request might permit
quicker processing in the following ways: (describe ways the search
could be narrowed to fewer records, or ways policy issues could be
avoided, etc.) Can you tell us when the records were created, and what
Air Force element may have created the records? If this request involves
an Air Force contract, do you know the contract number? Please give us
whatever additional details you may have on the Air Force records you
are seeking, so we can attempt to streamline the processing of your
request. Our address is (give complete mailing address), our fax number
is (give fax number), our e-mail address is (optional--give complete e-
mail address).
(i) If the requester asks that you expedite their request:
Because individuals receiving expedited processing may receive a
response before other earlier requesters, there are administrative
requirements you must meet before we can expedite a request. In your
request, you asked that we expedite processing. In order for us to
expedite a request, the requester must provide a statement certifying
the reasons supporting their request are true and correct to the best of
their knowledge.
In the second category, ``urgently needed'' means the information
itself has a particular value that it will lose if it is not
disseminated quickly. Ordinarily this means the information concerns a
breaking news story of general public interest. Historic information, or
information sought for litigation or commercial activities usually would
not
[[Page 22]]
qualify for expedited processing in the second category. Also, the fact
that a news organization has an internal broadcast or publication
deadline, so long as the deadline was unrelated to the nature of the
information itself (for example, the information was not a breaking news
story of general public interest) would not make the information
``urgently needed.''
In this case, we have determined your FOIA request (will/will not)
receive expedited processing. We came to this conclusion because you
(did/did not) demonstrate you need the information because failure to
obtain the records on an expedited basis (could or could not) reasonably
expect to pose an imminent threat to life or physical safety of an
individual (or) the information (is or is not) urgently needed in order
to inform the public about actual or alleged Federal Government activity
(or) failure to obtain the records on an expedited basis (could or could
not) reasonably expect to lead to an imminent loss of substantial due
process rights, (or) release (would or would not) serve a humanitarian
need by promoting the welfare and interests of mankind (and/or) your
request for expedited processing did not meet the statutory requirements
of the FOIA; you did not provide enough information to make a
determination of compelling need for the information you requested (and/
or) you did not properly certify your request.
(j) If you deny a request for expedited processing:
If you consider our decision not to expedite your request incorrect,
you may appeal our decision. Include in your appeal letter the reasons
for reconsidering your request for expedited processing, and attach a
copy of this letter. Address your appeal to Secretary of the Air Force
through (address of MAJCOM FOIA office). In the meantime, we will
continue to process your request in the (simple/complex) processing
track.
(k) Certification, computer systems manager (electronic records or
format requested).
(When answering a request for electronic records, based on the
configuration of your hardware and/or software, certain factors may make
a particular request complex. Have your computer system manager advise
you whether or not they can create the new record/format on a ``business
as usual'' basis. If producing the record/format would entail a
significant expenditure of resources in time and manpower that would
cause significant interference with the operation of the information
system and adversely affect mission accomplishment, you do not need to
process the request. The FOIA office needs to get a certification from
the computer systems manager to document this determination to support
their response. Possible language for this certification is provided
below.)
I, (rank/grade and name) am the computer systems manager for
(organization with electronic records responsive to FOIA request). In
consultation with (FOIA office), I have considered the FOIA request of
(requester's name), our
(FOIA identifier), which asked for (describe electronic record or
format). We (do/do not) have electronic records that are responsive to
this request (or) data that we (can/cannot) configure into the requested
format. (If there are electronic records) The existing electronic
records (do/do not) contain nonreleasable data that we (can/cannot)
remove from the electronic record. Because of the way our (computer
system/database/software) (use all that apply, specify hardware and/or
software nomenclature if possible; for example, IBM
, Microsoft Excel) is configured, creating
the electronic record (or) modifying the existing record/format would
entail a significant expenditure of resources in time and manpower that
would cause significant interference with the operation of the
information system and adversely affect mission accomplishment (describe
how responding would interfere and time/manpower resources required,
give estimated reprogramming time, if possible). I have applied the DoD
``standard of reasonableness'' in considering this request. I understand
that when the capability exists to respond to a FOIA request that would
require only a ``business as usual'' approach to electronically extract
the data and compile an electronic record or reformat data to satisfy a
FOIA request, then creation of the electronic record or reformatting the
data would be appropriate. In this case, a significant expenditure of
resources and manpower would be required to compile the electronic
record (or) reformat existing data. This activity would cause a
significant interference with the operation of our automated information
system. I certify creation of the electronic record (or) reformatting
existing data in order to respond to this request would not be
reasonable, under the circumstances.
Signature
(Date Signed) (Signature Block)
(Note: Some electronic data requests may include a request for
software. You may have to release government-developed software that is
not otherwise exempt, if requested under the FOIA. Exemptions 1--
classified software, 2--testing, evaluation, or similar software, 3--
exempt by statute, 5--deliberative process/privileged software, and 7--
law enforcement operations software may apply, based on the nature of
the requested software. If the software is commercial off-the-shelf
software, as opposed to software developed by the government, the
software may
[[Page 23]]
qualify to be withheld from release under FOIA exemption 4.
(l) ``No (paper or electronic) records'' or ``requested format not
available'' letters.
This is in response to your Freedom of Information Act (FOIA)
request dated Month year, for (summarize the request)
on Month year (date received), our number
.
A thorough search by (identify the unit(s) that tried to locate
responsive records) did not locate any records responsive to your
request. (If the requester asked questions, and there are no responsive
records that would provide the answers to those questions): The FOIA
applies to existing Air Force records; the Air Force need not create a
record in order to respond to a request.
(or) A thorough assessment by the OPR and the computer systems
manager has determined we cannot provide the (electronic record data) in
the format you requested. (If this can be done on a ``business as usual
basis):'' (Paper copies American Standard Code for Information
Interchange (ASCII) files) of the data you requested are attached.
If you interpret this ``o records'' response as an adverse action,
you may appeal it in writing to the Secretary of the Air Force. Your
appeal should be postmarked no later than 60 calendar days from the date
of this letter. Address your letter as follows: Secretary of the Air
Force, Thru: (MAJCOM FOIA Office), (mailing address).
The FOIA provides for the collection of fees based on the costs of
processing a FOIA request and your fee category. We have placed you in
the (enter category) fee category; however, in this case, we have waived
fees. (If paper copies or ASCII files are provided: ) The FOIA provides
for the collection of fees based on the costs of processing a FOIA
request and your fee category. In your case, as a requester in the fee
category of (add appropriate category), we have assessed a charge of $--
-- for processing your request. The fee was calculated in the following
manner: (Give a detailed cost breakdown: for example, 15 pages of
reproduction at $0.15 per page; 5 minutes of computer search time at
$43.50 per minute, 2 hours of professional level search at $25 per
hour.) Please make your check payable to (appropriate payee) and send it
to (give your complete mailing address) by (date 30 days after the
letter is signed).
(m) Referral or coordination letters. (These letters are to tell the
requester all or part of the request was referred to another Air Force
organization, to refer or coordinate the request to another federal
government organization, and to advise a nongovernment submitter a FOIA
request was received for information they submitted.)G56
(1) Letter to requester.
(If all or part of a request has been referred, write to the
requester:) Your Freedom of Information Act (FOIA) request dated
Month year, for (summarize the request) received on
Month year (date received), our number
, was referred (or) must be
coordinated with (give mailing address of the FOIA office to which you
are referring all or part of the request, the identity of the federal
government organization you are either coordinating with or are
referring all or part of the request to, or that you must coordinate
with the nongovernment submitter of responsive information). (On
referrals:) That office will process (all/part) of your request
(describe which part is being referred if the entire request is not
being referred) and they will respond directly to you. (On
coordinations:) That organization has a significant interest in the
records (or) created the records that may answer to your request.
(Before notifying a requester of a referral to another DoD component or
federal agency, consult with them to determine if their association with
the material is exempt. If so, protect the association and any exempt
information without revealing the identity of the protected activity.)
(When a nongovernment submitter is involved:) The nongovernment
submitter of information that may answer your request needs time to
respond to the possible release of information under the FOIA.
Because we must refer (or) coordinate your request outside our
organization, your request will be delayed. We will determine whether
any records are available; as soon as is practicable, a decision will be
made whether to release or to withhold from disclosure any responsive
records under the FOIA, 5 U.S.C. 552. Your request will be processed as
expeditiously as circumstances permit.
(2) Letter to another government agency.
(If all or part of a request was referred or requires coordination,
write to the government entity): On Month year (date
received), our organization received a Freedom of Information Act (FOIA)
request from (identity of requester), Attachment 1, dated
Month year, for (summarize the request). Based on our
assessment of that request, our number
, we need to (refer/
coordinate) (all/part) of that request to you (describe which part is
being referred or coordinated, if it was not the entire request). (Name
and phone number of person who agreed to the referral or coordination)
accepted this referral (or) coordination action was on (date).
[[Page 24]]
We notified the requester of this action (see Sec. 806.31).
We (do/do not) hold records responsive to this request. (If do hold
is used:) Copies of responsive records located in our files are included
at Attachment 3 to assist you in making your assessment on the
releasability of (our/your) related records. If you need to contact us,
our phone number and address is (give name, phone and complete mailing
address), our fax number is (give fax number), our e-mail address is
(give complete e-mail address).
(3) Letter to submitter of contract-related information.
(If contractor-submitted information is involved, write to the
submitter:) On Month year (date received), our
organization received a Freedom of Information Act (FOIA) request from
(identity of requester), our number
, dated
Month year, for (summarize the request). Information you submitted to
the Air Force was identified as responsive to this request, see copies
attached.
To determine the releasability of the information contained in these
documents and to give you the maximum protection under the law, please
review the attached documents and give us the information outlined in
Sec. 806.31. If you feel the information is privileged or confidential,
consists of proprietary commercial or financial information, and
otherwise meets the statutory requirements for withholding the
information from release under FOIA exemption 4, 5 U.S.C. 552(b)(4),
respond to us in writing not later than working days
from the date of this letter (usually 30 calendar days). If you object
to release of this information under the FOIA, identify the items,
lines, columns or portions you believe we should withhold from release.
You will also need to provide a written explanation of how release
would adversely impact or cause harm to your competitive position, your
commercial standing, or other legally protected interests. An assertion
that ``we should deny because all of the information was submitted in
confidence'' or ``deny because all of the information was marked as
proprietary in nature'' would not justify withholding of the requested
information under the FOIA. If you need to contact us, call or write
(give name), phone number is (give commercial number), our address is
(give complete mailing address), our fax number is (give fax number),
our e-mail address is (give complete e-mail address).
(4) Letter requesting State Department coordination. (If the State
Department is involved in coordinating on a request, fax or e-mail 11
CS/SCSR so they can inform SAF/IA if appropriate).
On Month year (date received), our organization
received a Freedom of Information Act (FOIA) request from (identity of
requester), our number ,
dated Month year, for (summarize the request).
Because of the nature of this request, we were advised by (note the
individual and organization who told you to coordinate the request with
the State Department; this may be a MAJCOM or Combatant Command--give
telephone and facsimile numbers if known) we need to coordinate this
request with the Department of State. In accordance with DoD 5400.7-R,
Air Force Supplement, we are informing you of their involvement in this
FOIA request. (Provide any specifics available.) Air Force records are
involved in this action. If you need to contact us, our phone number is
(give commercial and DSN numbers), our address is (give complete mailing
address), our fax number is (give fax number), our e-mail address is
(give complete e-mail address).
(n) Certification of initial classification or declassification
authority (When denying a FOIA request, in whole or in part, because the
information requested is classified, the initial classification
authority, his or her successor, or a declassification authority, needs
to determine if the records are ``properly and currently classified,''
and therefore must be withheld from release under FOIA exemption (b)(1);
also, you need to determine that you cannot release any reasonably
segregable additional portions. Language that certifies such a
determination was made on a FOIA request involving classified records
follows).
(1) Sample certification format--all information remains classified.
I, (rank/grade and name) am the initial classification authority
(or) the successor to the original initial classification authority (or)
the declassification authority for (give an unclassified description of
the records concerned). In consultation with (FOIA office), I have
assessed the FOIA request of (requester's name), our
(FOIA identifier), for
records that were properly classified at the time of their creation and
currently remain properly classified in accordance with Executive Order
(E.O.) 12958, National Security Information, (or) contain information
that we have determined is classified in accordance with E.O. 12958
Section 1.5(--) (or) in accordance with E.O. 12958 Section 1.5(--) and
is also exempt from declassification in accordance with Section 1.6(--)
of the E. O. (or if the record is more than 25 years old) contain
information that we have determined is exempt from declassification in
accordance with E.O. 12958 Section
[[Page 25]]
3.4(b)(--). Unauthorized release could cause (for TOP SECRET, use
exceptionally grave; for SECRET use serious; for CONFIDENTIAL do not add
language; should read cause damage) damage to national security. There
are no reasonably segregable portions that we can release. Consequently
release of this information is denied pursuant to 5 U.S.C. 552(b)(1).
Signature
(Date Signed) (Signature Block)
(2) Sample certification format--portions remain classified.
I, (rank/grade and name) am the initial classification authority
(or) the successor to the original initial classification authority (or)
the declassification authority for (give an unclassified description of
the records concerned.) In consultation with (FOIA office), I have
assessed the FOIA request of (requester's name), our
(FOIA identifier), that
asked for records, (or) portions of which were properly classified at
the time of their creation. Portions of the records currently remain
properly classified in accordance with E.O. 12958. The bracketed
information is currently and properly classified in accordance with
Section 1.5 (add appropriate subparagraph), E.O. 12958, and is also
exempt from declassification in accordance with Section 1.6(--) of the
Executive Order (or if the record is more than 25 years old) contain
information that we have determined is exempt from declassification in
accordance with E.O. 12958 Section 3.4(b)(--). Unauthorized release
could cause (for TOP SECRET use exceptionally grave; for SECRET use
serious; for CONFIDENTIAL do not add language; should read cause damage)
damage to national security. There are no other reasonably segregable
portions that we can release. Consequently this information is denied
pursuant to 5 U.S.C. 552(b)(1).
Signature
(Date Signed) (Signature Block)
(o) Letter to a requester who has withdrawn their request or appeal.
(If a FOIA requester has withdrawn a FOIA request or appeal, sending a
final letter to the requester to close the file may be wise. Suggested
language to the requester follows):
We received your Freedom of Information Act (FOIA) request (or)
appeal dated Month year, on Month
year (date received). After sending us your request (or) appeal, you
indicated by (facsimile, letter) that you wished to withdraw your
request (or) appeal. We have, therefore, closed your file without
further action.
(p) Letter to a requester who has appealed after the 60-day
deadline. (We will not process FOIA appeals received after the 60-day
time limit, unless the requester provides adequate justification for
failing to comply. If you receive a late appeal, and it gives inadequate
justification for failing to comply, the FOIA office will advise the
requester their appeal was closed; suggested language for a letter to an
untimely requester follows.)
We received your Freedom of Information Act (FOIA) appeal dated
Month year, on Month year (date
received). You did not appeal within 60 days of the postmarked date of
our denial letter as outlined in our agency regulation. Therefore, we
are closing our file.
(q) Letter to a requester who has appealed. (There are occasions
when, on reconsideration, an IDA grants all or part of an appeal. When
sending their appeal to higher headquarters, notify the requester.
Suggested language to a requester who has appealed follows):
We received your Freedom of Information Act (FOIA) appeal, our
number , dated
Month year, on Month year (date
received). We considered the issues raised in your appeal carefully. We
have decided to grant (or) partially grant your appeal.
(If you grant all or part of the appeal): Upon reconsideration, we
are releasing the requested records (or) granting your request. (If the
appeal is only partially granted, describe what portions remain in
dispute). (If applicable): We are releasing and attaching all or
portions of the responsive records. (If applicable): We will continue
processing your appeal for the remaining withheld (records/information).
Sec. 806.28 Records with special disclosure procedures.
Certain records have special administrative procedures to follow
before disclosure. Selected publications that contain such guidance are
listed below.
(a) AFI 16-701, Special Access Programs.
(b) AFI 31-206, Security Police Investigations.
(c) AFI 31-501, Personnel Security Program Management.
(d) AFI 31-601, Industrial Security Program Management.
(e) AFI 36-2603, Air Force Board for Correction of Military Records.
(f) AFI 36-2706, Military Equal Opportunity and Treatment Program.
[[Page 26]]
(g) AFI 36-2906, Personal Financial Responsibility.
(h) AFI 36-2907, Unfavorable Information File (UIF) Program.
(i) AFI 40-301, Family Advocacy.
(j) AFI 41-210, Patient Administration Functions.
(k) AFI 44-109, Mental Health and Military Law.
(l) AFI 51-201, Administration of Military Justice.
(m) AFI 51-301, Civil Litigation.
(n) AFI 51-303, Intellectual Property-Patents, Patent Related
Matters, Trademarks, and Copyrights.
(o) AFI 51-501, Tort Claims.
(p) AFI 51-503, Aircraft, Missile, Nuclear and Space Accident
Investigations.
(q) AFI 51-504, Legal Assistance, Notary and Preventive Law
Programs.
(r) AFI 51-1102, Cooperation with the Office of the Special Counsel.
(s) AFI 61-204, Disseminating Scientific and Technical Information.
(t) AFI 61-303, Licensing Inventions Made Under Cooperative Research
and Development Agreements.
(u) AFI 71-101, Volume 1, Criminal Investigations, and Volume 2,
Protective Service Matters.
(v) AFI 84-101, Historical Products, Services, and Requirements.
(w) AFI 90-301, Inspector General Complaints.
(x) AFI 91-204, Safety Investigations and Reports.
Sec. 806.29 Administrative processing of Air Force FOIA requests.
(a) This section is a checklist format of processing steps and
explanations of Air Force and DoD guidance. Each MAJCOM may elect to
prepare its own checklists to tailor FOIA processing actions within its
own organizations to meet their specific needs, so long as it remains
consistent with guidance contained in DoD 5400.7-R, DoD Freedom of
Information Act Program, and this part.
(b) Procedures: FOIA requests.
(1) Note the date the request was received, give the request a
unique identifier/number, and log the request.
(2) Assess the request to determine initial processing requirements:
(3) Determine what Air Force elements may hold responsive records.
(i) Are responsive records kept at the same or different
installations?
(ii) Is referral of (all/part) of the request required?
(4) Determine appropriate processing track (simple/complex/
expedited). (Air Force FOIA offices without backlogs do not multitrack
FOIA requests.)
Note: Requesters have a right to appeal an adverse tracking decision
(for example, when it is determined their request will not be
expedited). Also, if their request qualifies for the complex track, tell
requesters so they may limit the scope of their request in order to
qualify for the simple track. FOIA managers must assess a request before
placing it into a specific processing track, and must support their
actions should the requester appeal. If a request is determined to be
complex, or is not expedited when the requester sought expedited
processing, you must advise the requester of the adverse tracking
decision in writing. See Sec. 806.27 for sample language for this kind
of letter to a requester.
(i) Simple. Defines a request that can be processed quickly, with
limited impact on the responding units. The request clearly identifies
the records, involves no (or few) complicating factors (e.g., there are
few or no responsive records, involves only one installation and there
are no outside OPRs, involves no classified records (Exemption 1), a law
exempts the responsive records from disclosure (Exemption 3), no
contractor-submitted records (Exemption 4), no deliberative process/
privileged materials (Exemption 5), records contain no (or limited)
personal privacy information/did not come from Privacy Act systems of
records concerning other individuals (Exemption 6), release of records
would have minimal impact on law enforcement (Exemption 7); no time
extensions expected, other than the additional 10-workdays allowed in
situations outlined in the FOIA). If the requested data must come from
electronic records, response can be completed on a ``business-as-usual''
basis; requires no (or limited) reprogramming of automated information
systems and would cause no significant interference with operation of
information systems by processing a simple request/providing a response
in the electronic format requested.
(ii) Complex. Defines a request whose processing will take
substantial time,
[[Page 27]]
will cause significant impact on responding units. Complications and
delays are likely (e.g., the request is vague (poor description of
records, unclear who or when records were created), records are massive
in volume, multiple organizations will receive tasking, records are
classified (Exemption 1), records came from another command/service/a
nongovernment source (Exemption 4), records are part of the Air Force's
decision-making process, and not incorporated into a final decision (IG/
audit reports, legal opinions, misconduct or mishap investigations etc.)
or are attorney-client records (Exemption 5), records are largely
personal information on another individual or came from Privacy Act
systems of records (Exemption 6), records describe law enforcement
activities or information from (and/or identities of) confidential
sources (Exemption 7); response cannot be completed on a ``business as
usual'' basis and would require extensive reprogramming or cause
significant interference with operation of the automated information
systems. (Advise requester, in writing, of right to limit the scope of
their request in order to qualify for simple track.)
(iii) An expedited request is when a requester asks for expedited
processing and explains the compelling need (imminent threat to life or
physical safety; urgently needed by a person primarily engaged in
disseminating information; due process; or humanitarian need) for the
requested information. In order to receive expedited processing,
requesters must provide a statement certifying their ``demonstration''
(description) of their specific ``compelling need'' or due process/
humanitarian need is true and correct to the best of their knowledge.
When a requester seeks expedited processing, FOIA offices must respond
in writing to the requester within 10 calendar days after receipt of the
request approving or denying their request for expedited processing.
Requesters have a right to appeal an adverse decision (e.g., when it is
determined their requests will not be expedited). There are four
categories of FOIA requests that qualify for expedited processing:
(A) The requester asserts a ``compelling need'' for the records,
because a failure to obtain records quickly could reasonably be expected
to pose an imminent threat to the life or physical safety of an
individual.
(B) The requester asserts a ``compelling need'' for the records,
because the information is ``urgently needed'' by an individual engaged
in disseminating information to inform the public (primarily news media
requesters; and could also include other persons with the ability to
disseminate information).
Note: ``Urgently needed,'' in this case, means the information has a
particular value that will be lost if it is not disseminated quickly.
This normally would apply to a breaking news story of general public
interest. Information of historical interest only, or sought for
litigation or commercial activities would not qualify, nor would the
fact a news media entity had an internal broadcast deadline of its own,
which was unrelated to the ``news breaking nature'' of the information
itself, cause the requested information to qualify as ``urgently
needed.''
(C) Failure to obtain records quickly could cause imminent loss of
substantial due process rights or providing the information quickly
would serve a ``humanitarian need'' (i.e., disclosing the information
will promote the welfare and interests of mankind). While FOIA requests
falling into these third and fourth categories can qualify for expedited
processing, process them in the expedited track behind the requests
qualifying for expedited processing based on ``compelling need'' (the
first two types of expedited FOIA requests).
(5) Determine fee category of requester (commercial/educational---
noncommercial scientific institution--news media/all others) and assess
fee issues. When all assessable costs are $15.00 or less, waive fees
automatically for all categories of requesters. Assess other fee waiver
or reduction requests on a case-by-case basis.
(6) Apply fee waiver/fee reduction criteria in appropriate cases
(when requester asks for fee waiver/reduction).
(7) Find the responsive Air Force records (if any).
(i) Send the request to the appropriate OPRs to search for
responsive records and to decide whether to recommend release of any
responsive
[[Page 28]]
records. Include a DD Form 2086, Record of Freedom of Information (FOI),
or a DD Form 2086-1, Record of Freedom of Information (FOI) Processing
Cost for Technical Data, in each request. The OPR must complete and
return the appropriate forms and statements to the FOIA office.
(ii) If the OPRs find no responsive records, or if the OPRs desire
to withhold any responsive records from release to the requester, the
OPRs must provide a written certificate detailing either their
unsuccessful search, or their reasons why the documents should be
withheld from release under the FOIA; the written OPR statements must
accompany the copies of the records the OPR desires to withhold as the
FOIA action is processed (e.g., include it in any denial or appeal
file).
Note: If any part of a FOIA request is denied, and the requester
appeals that denial, include all forms, certificates and documents
prepared by the OPRs in the FOIA appeal package required in paragraph
(d)(5) of this section.
(c) Contacts with FOIA requesters and non-Air Force submitters of
data.
(1) Contacts with Air Force elements. A FOIA request is considered
``received'' (and therefore ready to process) when the FOIA office
responsible for processing the request physically receives it, when the
requester states a willingness to pay fees set for the appropriate fee
category, or, if applicable, when the requester has paid any past FOIA
debts and has reasonably described the requested records. Keep hard/
paper copies of all memoranda documenting requester contacts with Air
Force elements regarding a pending FOIA request in the requester's FOIA
file. If the requester contacts Air Force elements telephonically about
a pending FOIA request, the Air Force member participating in the
conversation must prepare notes or memorandums for record (MFR), and
keep those notes or MFRs in the requester's FOIA file. If any part of a
FOIA request is denied, and the requester appeals that denial, submit
documentation of requester contacts with Air Force elements in
chronological order in the FOIA appeal package (see paragraph (d)(1) of
this section).
(2) Contacts with the FOIA Requester. See Sec. 806.27 for samples
of language to use in various types of Air Force FOIA letters. If any
part of a FOIA request is denied, and the requester appeals that denial,
submit documents sent by Air Force elements to the requester in the FOIA
appeal package in chronological order (see paragraph (d)(5) of this
section). Letters that Air Force FOIA offices may need to send to a FOIA
requester include:
(i) An initial notification letter that the FOIA request was
received. This letter may advise the requester that processing of the
FOIA request may be delayed because:
(A) All or part of the requested records are not located at the
installation processing the FOIA request (see Sec. 806.29(c)(2)(ii)).
(B) An enormous number of records must be collected and reviewed.
(C) Other Air Force activities or other agencies, to include (if
applicable) the nongovernment submitter of information, need to be
involved in deciding whether or not to release the records.
(D) If you cannot complete processing of a FOIA request within 20
workdays, advise the requester of the reasons for the delay and give a
date (within 30 workdays after receiving the request) when the requester
can expect a final decision.
(ii) The initial notification letter may advise the requester all/
part of the request was referred to another Air Force element or
government activity.
(iii) The initial notification letter may advise the requester of
the appropriate fee category. In cases where fees are appropriate, and
requesters have not agreed to pay for responsive records and fees are
likely to be more than $15.00, seek assurances that the requester agrees
to pay appropriate fees. If more information is needed to make a fee
category determination, or to determine whether fees should be waived/
reduced, inform the requester. FOIA offices may determine fee waiver/
reduction requests before processing a FOIA request; if a fee waiver/
reduction request is denied, the requester may
[[Page 29]]
appeal that denial; he/she may also appeal an adverse fee category
determination (e.g., asked for news media fees, but was assessed
commercial fees.)
(iv) The initial notification letter may advise the requester the
request does not sufficiently describe the desired records. If possible,
help the requester identify the requested records by explaining what
kind of information would make searching for responsive records easier.
(v) If Air Force elements can complete a FOIA request within the
statutory 20-workday processing period, you may elect to send only a
single letter to the requester, along with responsive records that are
released to the requester in full.
(vi) A letter to the requester that the responding FOIA office uses
multitrack processing due to a significant number of pending requests
that prevents a response determination from being made within 20
workdays. This letter advises the FOIA requester that track the request
is in (simple/complex); in this letter, if expedited processing was
requested, the requester is advised if the request will be expedited or
not. If the request is found to be complex, you must advise the
requester he/she may alter the FOIA request to simplify processing. If
it is determined the request will not be expedited, the requester must
be told he/she can appeal. (This may be the initial letter to the
requester, for Air Force elements with multitrack processing; if that is
the case, this letter may include sections discussed in Sec.
806.29(c)(2)(i)).
(vii) Subsequent letters to the requester on various subjects (for
example, releasing requested records; advising reasons for delays;
responding to the letters, facsimiles or calls; advising the requester
of referrals to other Air Force units or government activities; involves
a non-Air Force submitter, etc.).
(viii) A release letter to the requester, forwarding releasable
responsive records with a bill (if appropriate).
(ix) A ``no records'' response letter to the requester if there are
no responsive records, or, a denial letter, if any responsive records
are withheld from release. FOIA managers may sign ``no records'' or
``requested format not available'' responses; they may also sign a
letter that advises a requester the fee category sought was not
determined to be appropriate, or that a fee waiver/fee reduction request
was disapproved, or that a request for expedited processing has been
denied. An IDA must sign any letter or document withholding responsive
records. When denying records, you must tell the requester, in writing:
the name and title or position of the official who made the denial
determination, the basis for the denial in enough detail to permit the
requester to make a decision concerning appeal, and the FOIA exemptions
on which the denial is based. The denial letter must include a brief
statement describing what the exemptions cover. When the initial denial
is based (in whole or in part) on a security classification, this
explanation should include a summary of the applicable executive order
criteria for classification, as well as an explanation of how those
criteria apply to the particular record in question. Estimate the volume
of the records denied and provide this estimate to the requester, unless
providing such an estimate would harm an interest protected by an
exemption of the FOIA. This estimate should be in number of pages or,
for records in other media, in some other reasonable form of estimation,
unless the volume is otherwise indicated through deletions on records
disclosed in part. Indicate the size and location of the redactions on
the records released. You must also tell the requester how he/she can
appeal the denial.
(3) Contacts with non-Air Force submitters of data. Before releasing
data (information or records) submitted from outside the Air Force,
determine whether you need to write to the submitter of the data for
their views on releasability of their data. In many cases, this non-Air
Force data may fall under FOIA Exemption 4. If it appears you must
contact the submitter of the data, advise the requester in writing that
you must give the submitter of the data the opportunity to comment
before the Air Force decides whether to release the information. Give
the submitter a reasonable period of time (30 calendar days) to object
to release and
[[Page 30]]
provide justification for withholding the documents. If the submitter
does not respond, advise the submitter in writing that you have not
received a reply and plan to release the records. Provide the submitter
with the reasons the Air Force will release the records, and give the
submitter your expected release date (at least 2 weeks from the date of
your letter). This permits the submitter time to seek a temporary
restraining order (TRO) in federal court, if they can convince the judge
to issue such an order. See Sec. 806.27 for samples of language to use
in Air Force letters to both the FOIA requester and nongovernment
submitters. Remember to include a copy of Sec. 806.31 as an attachment
to the letter sent to the nongovernment submitter.
(i) The notice requirements of this section need not be followed if
the Air Force determines that the information should not be disclosed,
the information has been lawfully published or officially made available
to the public, or disclosure of the information is required by law.
(ii) If the submitter objects to release of the records, but the Air
Force disclosure authority considers the records releasable, tell the
submitter before releasing the data. Include in the letter to the
submitter a brief explanation and a specific release date at least 2
weeks from the date of the letter. Advise the submitter once a
determination is made that release of the data is required under the
FOIA, failure to oppose the proposed release will lead to release of
submitted data. Also advise the requester such a release under the FOIA
will result in the released information entering the public domain, and
that subsequent requests for the same information will be answered
without any formal coordination between the Air Force and the submitter,
unless the information is later amended, changed, or modified. A person
equal to, or higher in rank than, the denial authority makes the final
decision to disclose responsive records over the submitter's objection.
(iii) When a previously released contract document has been
modified, any contract documents not in existence at the time of an
earlier FOIA request that are responsive to a later FOIA request for the
same contract, will be processed as a first-time FOIA request for those
newly created documents. Notify the nongovernment submitter of the
pending FOIA action, and give them the same opportunity to respond as is
detailed above. Passage of a significant period of time since the prior
FOIA release can also require Air Force elements to comply with the
notice requirements in this paragraph.
(d) Denying all or part of a request. When responsive records are
withheld from release (denied), the appropriate offices must prepare a
denial package for the IDA. Air Force elements must send the request,
related documents, and responsive records through their IDA's FOIA
office to the IDA for a decision. The denial package must include:
(1) The FOIA request and any modifications by the requester.
(2) A copy of the responsive records, including both records that
may be released and records recommended for denial.
(3) Written recommendations from the OPRs and an Air Force attorney.
(4) The exemptions cited and a discussion of how the records qualify
for withholding under the FOIA. This discussion should also include the
reasons for denial: to deny release of responsive records requested
under the FOIA, you must determine that disclosure of the records would
result in a foreseeable harm to an interest protected by a FOIA
exemption (or exemptions), that the record is exempt from release under
one or more of the exemptions of the FOIA, and that a discretionary
release is not appropriate.
(5) Any collateral documents that relate to the requested records.
For example:
(i) If the requested records came from a non-Air Force or non-U.S.
Federal Government submitter, include any documents from the submitter
that relate to the release or denial of the requested records. If you
are not sure whether or not the non-Air Force or non-U.S. Federal
Government submitted information is potentially exempt from release
under the FOIA, contact an Air Force attorney. FOIA Exemptions 3, 4, 5,
6, and 7 may apply.
(ii) If the requested records came from Privacy Act systems of
records,
[[Page 31]]
include a written discussion of any Privacy Act issues.
(iii) If any requested records came from another Air Force element,
or release of the requested records would affect another Air Force
element, FOIA offices should coordinate with that other element. If the
FOIA request is not completely referred to the other element, include
documents from that element.
(iv) If any requested records are classified, include a written
certification from a classification authority or declassification
authority stating the data was properly classified originally, that it
remains properly classified (per E.O. 12958), and, if applicable, that
no reasonably segregable portions can be released.
(e) FOIA appeal actions.
(1) If an IDA, or a FOIA office responding on behalf of an IDA,
withholds a record from release because they determine the record is
exempt under one or more of the exemptions to the FOIA, the requester
may appeal that decision, in writing, to the Secretary of the Air Force.
The appeal should be accompanied by a copy of the denial letter. FOIA
appeals should be postmarked within 60 calendar days after the date of
the denial letter, and should contain the reasons the requester
disagrees with the initial denial. Late appeals may be rejected, either
by the element initially processing the FOIA appeal, or by subsequent
denial authorities, if the requester does not provide adequate
justification for the delay. Appeal procedures also apply to the denial
of a fee category claim by a requester, denial of a request for waiver
or reduction of fees, disputes regarding fee estimates, review on an
expedited basis of a determination not to grant expedited access to
agency records, and for ``no record'' or ``requested format not
available'' determinations when the requester considers such responses
adverse in nature.
(2) Coordinate appeals with an Air Force attorney (and the OPR, if
appropriate) so they can consider factual and legal arguments raised in
the appeal, and can prepare written assessments of issues raised in the
appeal to assist the IDA in considering the appeal. MAJCOM FOIA offices
and 11 CS/SCSR (for OPRs at HQ USAF and SAF), send all appeals to the
Secretary of the Air Force through AFLSA/JACL for consideration, unless
the IDA has reconsidered the initial denial action, and granted the
appeal.
(3) If a requester appeals a ``no records'' determination,
organizations must search again or verify the adequacy of their first
search (for example, if a second search would be fruitless, the
organization may include a signed statement from either the records OPR
or the MAJCOM FOIA manager detailing why another search was not
practical). The appeal package must include documents (to include a
certification from the records OPR) that show how the organization tried
to find responsive records. In the event a requester sues the Air Force
to contest a determination that no responsive records exist, formal
affidavits will be required to support the adequacy of any searches
conducted.
(4) General administrative matters. FOIA requesters may ultimately
sue the Air Force in federal court if they are dissatisfied with adverse
determinations. In these suits, the contents of the administrative
appeal file are evaluated to determine whether the Air Force complied
with the FOIA and its own guidance. Improper or inadequate appeal files
make defending these cases problematic. Include all the documents
related to the requester's FOIA action in the appeal file. If appeal
file documents are sensitive, or are classified up to the SECRET level,
send them separately to AFLSA/JACL, 1501 Wilson Boulevard, 7th Floor,
Arlington, VA 22209-2403. Make separate arrangements with AFLSA/JACL for
processing classified appeal file documents TOP SECRET or higher. Cover
letters on appeal packages need to list all attachments. If a FOIA
action is complicated, a chronology of events helps reviewers understand
what happened in the course of the request and appeal. If an appeal file
does not include documentation described below, include a blank sheet in
proper place and mark as ``not applicable,'' ``N/A,'' or ``not used.''
Do not renumber and move the other items up. If any part of
[[Page 32]]
the requester's appeal is denied, the appeal package must include a
signed statement by the IDA, demonstrating the IDA considered and
rejected the requester's arguments, and the basis for that decision.
This may be a separate memorandum, an endorsement on a legal opinion or
OPR opinion, or the cover letter which forwards the appeal for final
determination. Include in the cover letter forwarding the appeal to the
Secretary of the Air Force the name, phone number and e-mail address (if
any) of the person to contact about the appeal. The order and contents
of appeal file attachments follow.
(i) The original appeal letter and envelope.
(ii) The initial FOIA request, any modifications of the request by
the requester or any other communications from the requester, in
chronological order.
(iii) The denial letter.
(iv) Copies of all records already released. (An index of released
documents may be helpful, if there are a number of items. If the records
released are ``massive'' (which means ``several cubic feet'') and AFLSA/
JACL agrees, an index or description of the records may be provided in
place of the released records. Do not send appeal files without copies
of released records without the express agreement of AFLSA/JACL. Usually
AFLSA/JACL requires all the released records in appeal files. If you do
not send the released records to AFLSA/JACL when a FOIA requester has
appealed a partial denial, retain a copy of what was released for 6
years.)
(v) Copies of all administrative processing documents, including
extension letters, search descriptions, and initial OPR recommendations
about the request, in chronological order.
(vi) Copies of the denied records or portions marked to show what
was withheld. If your organization uses a single set of highlighted
records (to show items redacted from records released to the requester),
ensure the records are legible and insert a page in the appropriate
place stating where the records are located. (An index of denied
documents may be helpful, if there are a number of items. If the records
denied are ``massive'' (which means ``several cubic feet'') and AFLSA/
JACL agrees, an index or description of the records may be provided in
place of the denied records. Do not send appeal files without copies of
denied records without the express agreement of AFLSA/JACL. Usually
AFLSA/JACL requires all the denied records in appeal files. If you do
not send the denied records to AFLSA/JACL, when a FOIA requester has
appealed a denial, retain a copy of what was denied for 6 years.)
(vii) All legal opinions in chronological order. Include a point-by-
point discussion of factual and legal arguments in the requester's
appeal (prepared by an Air Force attorney and/or the OPR). If the IDA
does not state in the cover letter he/she signed, that he/she considered
and rejected the requester's arguments, asserting the basis for that
decision (e.g., the IDA concurs in the legal and/or OPR assessments of
the requester's arguments) include a signed, written statement
containing the same information from the IDA, either as a separate
document or an endorsement to a legal or OPR assessment. Include any
explanation of the decision-making process for intra-agency documents
denied under the deliberative process privilege and how the denied
material fits into that process (if applicable).
Sec. 806.30 FOIA exempt information examples.
(a) Certain responsive records may contain parts that are
releasable, along with other parts that the Air Force must withhold from
release. Carefully delete information exempt from release under the FOIA
from copies of otherwise releasable records. Do not release copies that
would permit the requester to ``read through the marking.'' In order to
assist FOIA managers in redacting records, selected items appropriate to
withhold in commonly requested Air Force records are illustrated below.
When providing releasable portions from classified paragraphs, line
through and do not delete, the classification marking preceding the
paragraph.
(b) Exemption 1. Example used is an extract from a ``simulated''
contingency plan (all information below is
[[Page 33]]
fictional and UNCLASSIFIED; parenthetical information and marking is
used for illustrative purposes only).
(U) Air Force members will safeguard all FELLOW YELLOW data (NOTE:
FELLOW YELLOW simulates an UNCLASSIFIED code name).
During the contingency deployment in Shambala, those members
assigned to force element FELLOW YELLOW will cover their movements by
employing specified camouflage and concealment activities while behind
enemy lines. Only secure communications of limited duration as specified
in the communications annex will be employed until FELLOW YELLOW
personnel return to base. (Exemption 1)
(c) Exemption 2. Example used is an extract from a ``simulated''
test administration guide (all information below is fictional and is
used for illustrative purposes only).
When administering the test to determine which technicians are
ranked fully qualified, make sure to allow only the time specified in HQ
AETC Pamphlet XYZ, which the technicians were permitted to review as
part of their test preparation. For ease in scoring this exam, correct
answers are A, A, B, B, A, B, C, C, A, B, D, D, C, C, C, D; the
corresponding template for marking the standard answer sheet is kept
locked up at all times when not in use to grade answer sheets.
(Exemption ``high'' 2)
(d) Exemption 5. Example used is a simulated IG Report of
Investigation (ROI) recommendation. All parenthetical information in
this example is fictional and is used for illustrative purposes only:
Having interviewed the appropriate personnel and having reviewed the
appropriate documents, I recommend additional training sessions for all
branch personnel on accepted Air Force standards, and the Air Force
pursue administrative or judicial disciplinary action with respect to
Terry Hardcase. (Exemption 5)
(e) Exemption 6. Example used is a simulated personnel computer
report on a military member selected for a special assignment (all
information below is fictional; information and marking is used for
illustrative purposes only.):
SSgt Doe, Kerry E. SSN: 111-11-1112 Date of Birth: 22
Jun 71
Duty Title: Special Assistant to Office Symbol: ..................
CINCPAC CINCPAC/CCSA
Duty Station: Hickam AFB HI Date Assigned: 12
11111-1111 June 1998
Marital Status: Divorced Dependents: 01 Home Address: 12
Anystreet,
Downtown ST 11112
Home Phone: (112) 223-3344
(Exemption 6)
------------------------------------------------------------------------
(f) Exemption 7. Example used is summary of a law enforcement report
on a domestic disturbance at on-base family housing (all information
below is fictional and all parenthetical information is used for
illustrative purposes only):
At 2140, the law enforcement desk, extension 222-3456, took an
anonymous call that reported a disturbance at 1234 Basestreet, quarters
allegedly occupied by two military members. SrA Patrolman (names of law
enforcement investigators usually are withheld under Exemptions 6 and
7(C)) arrived on the scene at 2155. SrA Patrolman met Nora Neighbor,
(names of witnesses usually are withheld under Exemptions 6 and 7(C))
who was very agitated. Because she feared her neighbors would retaliate
against her if they knew she reported their fight, she asked that her
name not be released before she would talk. After she was promised her
identity would remain anonymous, she stated: (Nora Neighbor became a
confidential informant; data that could identify her, and in some cases,
the information she related, should be withheld from release under
Exemptions 6, 7(C) and (D).) ``I heard cursing and heard furniture and
dishes breaking. They fight all the time. I've seen Betty Battle (unless
Betty is the requester, redact her name Exemptions 6 and 7(C)) with a
black eye, and I also saw Bob Battle (unless Bob is the requester,
redact his name Exemptions 6 and 7(C)) with bruises the day after they
had their last fight, last Saturday night. This time, there was a
tremendous crash; I heard a man scream ``My Lord NO!'' then I saw Betty
Battle come out of the house with dark stains on her clothes--she got
into her car and drove away. I could see this really well, because the
streetlight is right between our houses; I'm the wife of their NCOIC. If
only Nick, my husband, was here now, he'd know what to do! I haven't
heard anything from Bob Battle.'' (Exemptions 6 and 7)
[[Page 34]]
Sec. 806.31 Requirements of 5 U.S.C. 552(b)(4) to submitters of nongovernment
contract-related information.
(a) The FOIA requires federal agencies to provide their records,
except those specifically exempted, for the public to inspect and copy.
Section (b) of the Act lists nine exemptions that are the only basis for
withholding records from the public.
(b) In this case, the fourth exemption, 5 U.S.C. 552(b)(4), may
apply to records or information the Air Force maintains. Under this
exemption, agencies must withhold trade secrets and commercial or
financial information they obtained from a person or organization
outside the government that is privileged or confidential. This
generally includes information provided and received during the
contracting process with the understanding that the Air Force will keep
it privileged or confidential.
(c) Commercial or financial matter is ``confidential'' and exempt if
its release will probably:
(1) Impair the government's ability to obtain necessary information
in the future.
(2) Substantially harm the source's competitive position or impair
some other legitimate government interest such as compliance and program
effectiveness.
(d) Applicability of exemption. The exemption may be used to protect
information provided by a nongovernment submitter when public disclosure
will probably cause substantial harm to its competitive position.
Examples of information that may qualify for this exemption include:
(1) Commercial or financial information received in confidence with
loans, bids, contracts, or proposals, as well as other information
received in confidence or privileged, such as trade secrets, inventions,
discoveries, or other proprietary data.
Note: Certain proprietary and source selection information may also
fall under exemption (b)(3), under the provisions of 10 U.S.C. 2305(g)
or 41 U.S.C. 423, if statutory requirements are met.
(2) Statistical data and commercial or financial information
concerning contract performance, income, profits, losses, and
expenditures, offered and received in confidence from a contractor or
potential contractor.
(3) Personal statements given during inspections, investigations, or
audits, received and kept in confidence because they reveal trade
secrets or commercial or financial information, normally considered
confidential or privileged.
(4) Financial data that private employers give in confidence for
local wage surveys used to set and adjust pay schedules for the
prevailing wage rate of DoD employees.
(5) Information about scientific and manufacturing processes or
developments that is technical or scientific or other information
submitted with a research grant application, or with a report while
research is in progress.
(6) Technical or scientific data a contractor or subcontractor
develops entirely at private expense, and technical or scientific data
developed partly with Federal funds and partly with private funds, in
which the contractor or subcontractor retains legitimate proprietary
interests per 10 U.S.C. 2320 to 2321 and 48 CFR, Chapter 2, 227.71-
227.72.
(7) Computer software copyrighted under the Copyright Act of 1976
(17 U.S.C. 106), the disclosure of which would adversely impact its
potential market value.
(e) Submitter's Written Response. If release of the requested
material would prejudice your commercial interests, give detailed
written reasons that identify the specific information and the
competitive harm public release will cause to you, your organization, or
your business. The act requires the Air Force to provide any reasonably
segregable part of a record after deleting exempt portions. If deleting
key words or phrases would adequately protect your interests, advise us
in writing which portions you believe we can safely release, and which
portions you believe we need to withhold from release. If you do not
provide details on the probability of substantial harm to your
competitive position or other commercial interests, which would be
caused by releasing your material to the requester, we may be required
to release the information. Records qualify for protection on a case by
case basis.
[[Page 35]]
(f) Pricing Information. Generally, the prices a contractor charges
the government for goods or services would be released under the FOIA.
Examples of releasable data include: bids submitted in response to an
invitation for bids (IFB), amounts actually paid by the government under
a contract, and line item prices, contract award price, and
modifications to a contract. Unit prices contained in a contract award
are considered releasable as part of the post award notification
procedure prescribed by 48 CFR 15.503, unless they are part of an
unsuccessful proposal, then 10 U.S.C. 2305(g) protects everything
including unit price.
Sec. Appendix A to Part 806--References
Title 5, United States Code, Section 552, The Freedom of Information
Act, as amended
Title 5, United States Code, Section 552a, The Privacy Act (as amended)
Title 10, United States Code, Section 2305(g), Prohibition on Release of
Contractor Proposals
Title 48, Code of Federal Regulations (CFR), Federal Acquisition
Regulations (FAR) System
OMB Bulletin 95-01, 7 December 1994
OMB Memorandum, 6 February 1998
DoD 5200.1-R, Information Security Program, January 1997
AFI 16-701, Special Access Programs
AFI 31-206, Security Police Investigations
AFI 31-401, Information Security Program Management
AFI 31-501, Personnel Security Program Management
AFI 31-601, Industrial Security Program Management
AFI 33-129, Transmission of Information Via the Internet
AFI 35-205, Air Force Security and Policy Review Program
AFI 36-2603, Air Force Board for Correction of Military Records
AFI 36-2706, Military Equal Opportunity and Treatment Program
AFI 36-2906, Personal Financial Responsibility
AFI 36-2907, Unfavorable Information File (UIF) Program
AFPD 37-1, Air Force Information Management (will convert to AFPD 33-3)
AFI 37-124, The Information Collections and Reports Management Program;
Controlling Internal, Public, and Interagency Air Force Information
Collections (will convert to AFI 33-324)
AFI 37-132, Air Force Privacy Act Program (will convert to AFI 33-332)
AFMAN 37-139, Records Disposition Schedule (will convert to AFMAN 33-
339)
AFI 40-301, Family Advocacy
AFI 41-210, Patient Administration Functions
AFI 44-109, Mental Health and Military Law
AFI 51-201, Administration of Military Justice
AFI 51-301, Civil Litigation
AFI 51-303, Intellectual Property-Patents, Patent Related Matters,
Trademarks, and Copyrights
AFI 51-501, Tort Claims
AFI 51-503, Aircraft, Missile, Nuclear and Space Accident Investigations
AFI 51-504, Legal Assistance, Notary and Preventive Law Programs
AFI 51-1102, Cooperation with the Office of the Special Counsel
AFI 61-204, Disseminating Scientific and Technical Information
AFI 61-303, Licensing Inventions Made Under Cooperative Research and
Development Agreements
AFI 65-401, Relations With the General Accounting Office
AFI 71-101, Volume 1, Criminal Investigations
AFI 71-101, Volume 2, Protective Service Matters
AFI 84-101, Historical Products, Services, and Requirements
AFI 90-301, Inspector General Complaints
AFI 90-401, Air Force Relations With Congress
AFI 91-204, Safety Investigations and Reports
Sec. Appendix B to Part 806--Abbreviations and Acronyms
AFCA--Air Force Communications Agency
AFCIC--Air Force Communications and Information Center
AFRC--Air Force Reserve Command
AFI--Air Force Instruction
AFLSA/JACL--Air Force Legal Services Agency, General Litigation Division
AFMAN--Air Force Manual
AFPC/MSIMD--Air Force Personnel Center/Records Management, FOIA, and
Privacy Act Office
AFPD--Air Force Policy Directive
ANG--Air National Guard
ASCII--American Standard Code for Information Interchange
CFR--Code of Federal Regulations
DFAS--Defense Finance and Accounting Service
DFOISR--Director, Freedom of Information and Security Review
DoD--Department of Defense
DRU--Direct Reporting Unit
EFOIA--Electronic Freedom of Information Act
ERR--Electronic Reading Room
FOA--Field Operating Agency
FOIA--Freedom of Information Act
FOUO--For Official Use Only
[[Page 36]]
GAO--General Accounting Office
GILS--Government Information Locator Service
GPO--Government Printing Office
IDA--Initial Denial Authority
IG--Inspector General
IMPAC--International Merchant Purchase Authority Card
LOA--Letters of Offer and Acceptance
MAJCOM--Major Command
MFR--Memorandum for Record
NATO--North Atlantic Treaty Organization
NORAD--North American Aerospace Defense
NTIS--National Technical Information Service
OCR--Office of Corollary Responsibility
OMB--Office of Management and Budget
OPR--Office of Primary Responsibility
PA--Privacy Act
PAO--Public Affairs Office
PAS--Personnel Accounting Symbol
RCS--Reports Control Symbol
SAF--Secretary of the Air Force
SSN--Social Security Number
USAF--United States Air Force
U.S.C.--United States Code
WWW--World Wide Web
Sec. Appendix C to Part 806--Terms
Appellate Authority--The Office of the General Counsel to the Secretary
of the Air Force (SAF/GCA).
Denial--An adverse determination on no records, fees, expedited access,
or not disclosing records.
Determination--The written decision to release or deny records or
information that is responsive to a request.
Disclosure--Providing access to, or one copy of, a record.
Disclosure Authority--Official authorized to release records, normally
division chiefs or higher.
FOIA Manager--The person who manages the FOIA Program at each
organizational level.
FOIA Request--A written request for DoD records from the public that
cites or implies the FOIA.
Functional Request--Any request for records from the public that does
not cite the FOIA.
Government Information Locator Service (GILS)--An automated on-line card
catalog of publicly accessible information.
Glomar Response--A reply that neither confirms nor denies the existence
or nonexistence of the requested record.
Initial Denial Authority (IDA)--Persons in authorized positions that may
withhold records.
Partial Denial--A decision to withhold part of a requested record.
Public Interest--The interest in obtaining official information that
sheds light on how an agency performs its statutory duties and informs
citizens about what their government is doing.
Reading Room--A place where the public may inspect and copy, or have
copied, releasable records.
Records--The products of data compilation, such as all books, papers,
maps, and photographs, machine readable materials inclusive of those in
electronic form or format, or other documentary materials, regardless of
physical form or characteristics, made or received by an agency of the
U.S. Government under Federal Law in connection with the transaction of
public business and in the agency's possession and control at the time
the FOIA request is made. Records include notes, working papers, and
drafts.
Redact--To remove nonreleasable material.
PART 806b_PRIVACY ACT PROGRAM--Table of Contents
Subpart A_Overview of the Privacy Act Program
Sec.
806b.1 Summary of revisions.
806b.2 Basic guidelines.
806b.3 Violation penalties.
806b.4 Privacy Act complaints.
806b.5 Personal notes.
806b.6 Systems of records operated by a contractor.
806b.7 Responsibilities.
Subpart B_Obtaining Law Enforcement Records and Confidentiality Promises
806b.8 Obtaining law enforcement records.
806b.9 Confidentiality promises.
Subpart C_Collecting Personal Information
806b.10 How to collect personal information.
806b.11 When To Give Privacy Act Statements (PAS).
806b.12 Requesting the Social Security Number.
Subpart D_Giving Access to Privacy Act Records
806b.13 Making a request for access.
806b.14 Processing a request for access.
806b.15 Fees.
806b.16 Denying or limiting access.
806b.17 Special provision for certain medical records.
806b.18 Third party information in a Privacy Act System of records.
806b.19 Information compiled in anticipation of civil action.
806b.20 Denial authorities.
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Subpart E_Amending the Record
806b.21 Amendment reasons.
806b.22 Responding to amendment requests.
806b.23 Approving or denying a record amendment.
806b.24 Seeking review of unfavorable Agency determinations.
806b.25 Contents of Privacy Act case files.
Subpart F_Appeals
806b.26 Appeal procedures.
Subpart G_Privacy Act Notifications
806b.27 When to include a Privacy Act warning statement in publications.
806b.28 Warning banners.
806b.29 Sending personal information over electronic mail.
Subpart H_Privacy Impact Assessments
806b.30 Evaluating information systems for Privacy Act compliance.
Subpart I_Preparing and Publishing System Notices for the Federal
Register
806b.31 Publishing System notices.
806b.32 Submitting notices for publication in the Federal Register.
806b.33 Reviewing notices.
Subpart J_Protecting and Disposing of Records
806b.34 Protecting records.
806b.35 Balancing protection.
806b.36 Disposing of records.
Subpart K_Privacy Act Exemptions
806b.37 Exemption types.
806b.38 Authorizing exemptions.
806b.39 Requesting an exemption.
806b.40 Exemptions.
Subpart L_Disclosing Records to Third Parties
806b.41 Disclosure considerations.
806b.42 Social rosters.
806b.43 Placing personal information on shared drives.
806b.44 Personal information that requires protection.
806b.45 Releasable information.
806b.46 Disclosing other information.
806b.47 Rules for releasing Privacy Act information without the consent
of the subject.
806b.48 Disclosing the medical records of minors.
806b.49 Disclosure accountings.
806b.50 Computer matching.
806b.51 Privacy and the Web.
Subpart M_Training
806b.52 Who needs training?
806b.53 Training tools.
806b.54 Information collections, records, and forms or Information
Management Tools (IMT).
Appendix A to Part 806b--Definitions
Appendix B to Part 806b--Preparing a System Notice
Appendix C to Part 806b--DoD ``Blanket Routine Uses''
Appendix D to Part 806b--General and Specific Exemptions
Appendix E to Part 806b--Privacy Impact Assessment
Authority: Pub. L. 93-579, 88 Stat. 1896 (5 U.S.C. 552a).
Source: 69 FR 954, Jan. 7, 2004, unless otherwise noted.
Subpart A_Overview of the Privacy Act Program
Sec. 806b.1 Summary of revisions.
This part moves responsibility for the Air Force Privacy Program
from Air Force Communications and Information Center to the Air Force
Chief Information Officer; prescribes Air Force Visual Aid 33-276,
Privacy Act Label as optional; adds the E-Gov Act of 2002 requirement
for a Privacy Impact Assessment for all information systems that are new
or have major changes; changes appeal processing from Air Force
Communications and Information Center to Air Force Legal Services
Agency; adds Privacy Act warning language to use on information systems
subject to the Privacy Act, includes guidance on sending personal
information via e-mail; adds procedures on complaints; and provides
guidance on recall rosters; social rosters; consent statements, systems
of records operated by a contractor, and placing information on shared
drives.
Sec. 806b.2 Basic guidelines.
This part implements the Privacy Act of 1974 \1\ and applies to
records on living U.S. citizens and permanent resident aliens that are
retrieved by name or
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personal identifier. This part also provides guidance on collecting and
disseminating personal information in general.
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(a) Records that are retrieved by name or personal identifier are
subject to Privacy Act requirements and are referred to as Privacy Act
systems of records. The Air Force must publish notices in the Federal
Register, describing the collection of information for new, changed or
deleted systems to inform the public and give them an opportunity to
comment before implementing or changing the system. (see Appendix B to
this part).
(b) An official system of records is:
(1) Authorized by law or Executive Order.
(2) Needed to carry out an Air Force mission or function.
(3) Published in the Federal Register.
(c) The Air Force will not:
(1) Keep records on how a person exercises First Amendment rights.
Exceptions are when: The Air Force has the permission of that individual
or is authorized by Federal statute; or the information pertains to, and
is within the scope of, an authorized law enforcement activity. First
Amendment rights include, but are not limited to, freedom of religion,
freedom of political beliefs, freedom of speech, freedom of the press,
the right to assemble, and the right to petition.
(2) Penalize or harass an individual for exercising rights
guaranteed under the Privacy Act. We must reasonably help individuals
exercise their rights under the Privacy Act.
(d) Air Force members will:
(1) Keep paper and electronic records that are retrieved by name or
personal identifier only in approved Privacy Act systems published in
the Federal Register.
(2) Collect, maintain, and use information in such systems, for
purposes described in the published notice, to support programs
authorized by law or Executive Order.
(3) Safeguard the records in the system and keep them the minimum
time required.
(4) Ensure records are timely, accurate, complete, and relevant.
(5) Amend and correct records on request.
(6) Allow individuals to review and receive copies of their own
records unless the Secretary of the Air Force approved an exemption for
the system; or the Air Force created the records in anticipation of a
civil action or proceeding (5 U.S.C. 552a(d)(5)).
(7) Provide a review of decisions that deny individuals access to or
amendment of their records through appellate procedures.
Sec. 806b.3 Violation penalties.
An individual may file a civil law suit against the Air Force for
failing to comply with the Privacy Act. The courts may find an
individual offender guilty of a misdemeanor and fine that individual
offender not more than $5,000 for:
(a) Willfully maintaining a system of records that doesn't meet the
public notice requirements.
(b) Disclosing information from a system of records to someone not
entitled to the information.
(c) Obtaining someone else's records under false pretenses.
Sec. 806b.4 Privacy Act complaints.
(a) Process Privacy Act complaints or allegations of Privacy Act
violations through the appropriate base or Major Command Privacy Act
office, to the local systems manager. The base or Major Command Privacy
Act officer directs the process and provides guidance to the system
manager. The local systems manager will investigate complaints, or
allegations of Privacy Act violations; will establish and review the
facts when possible; interview individuals as needed; determine validity
of the complaint; take appropriate corrective action; and ensure a
response is sent to the complainant through the Privacy Act Officer. In
cases where no system manager can be identified, the local Privacy Act
officer will assume these duties. Issues that cannot be resolved at the
local level will be elevated to the Major Command Privacy Office. When
appropriate, local system managers will also: refer cases for more
formal investigation, refer cases for
[[Page 39]]
command disciplinary action, and consult the servicing Staff Judge
Advocate. In combatant commands, process component unique system
complaints through the respective component chain of command.
(b) For Privacy Act complaints filed in a U.S. District Court
against the Air Force, an Air Force activity, or any Air Force employee,
Air Force Legal Services Agency, General Litigation Division (JACL) will
provide Air Force Chief Information Officer/P a litigation summary to
include: The case number, requester name, the nature of the case (denial
of access, refusal to amend, incorrect records, or specify the
particular violation of the Privacy Act), date complaint filed, court,
defendants, and any appropriate remarks, as well as updates during the
litigation process. When the court renders a formal opinion or judgment,
Air Force Legal Services Agency, General Litigation Division (JACL)
sends Air Force Chief Information Officer/P a copy of the judgment and
opinion.
Sec. 806b.5 Personal notes.
The Privacy Act does not apply to personal notes on individuals used
as memory aids. Personal notes may become Privacy Act records if they
are retrieved by name or other personal identifier and at least one of
the following three conditions apply: Keeping or destroying the records
is not at the sole discretion of the author; the notes are required by
oral or written directive, regulation, or command policy; or they are
shown to other agency personnel.
Sec. 806b.6 Systems of records operated by a contractor.
Contractors who are required to operate or maintain a Privacy Act
system of records by contract must follow this part for collecting,
safeguarding, maintaining, using, accessing, amending and disseminating
personal information. The record system affected is considered to be
maintained by the Air Force and is subject to this part. Systems
managers for offices who have contractors operating or maintaining such
record systems must ensure the contract contains the proper Privacy Act
clauses, and identify the record system number, as required by the
Defense Acquisition Regulation and this part.
(a) Contracts for systems of records operated or maintained by a
contractor will be reviewed annually by the appropriate Major Command
Privacy Officer to ensure compliance with this part.
(b) Disclosure of personal records to a contractor for use in the
performance of an Air Force contract is considered a disclosure within
the agency under exception (b)(1) of the Privacy Act (see Sec.
806b.47(a)).
Sec. 806b.7 Responsibilities.
(a) The Air Force Chief Information Officer is the senior Air Force
Privacy Official with overall responsibility for the Air Force Privacy
Act Program.
(b) The Office of the General Counsel to the Secretary of the Air
Force, Fiscal and Administrative Law Division (GCA) makes final
decisions on appeals.
(c) The General Litigation Division, Air Force Legal Services Agency
(JACL), receives Privacy Act appeals and provides recommendations to the
appellate authority. Service unique appeals, from combatant commands,
should go through the respective chain of command.
(d) The Plans and Policy Directorate, Office of the Chief
Information Officer manages the program through the Air Force Privacy
Act Officer who:
(1) Administers procedures outlined in this part.
(2) Reviews publications and forms for compliance with this part.
(3) Reviews and approves proposed new, altered, and amended systems
of records; and submits system notices and required reports to the
Defense Privacy Office.
(4) Serves as the Air Force member on the Defense Privacy Board and
the Defense Data Integrity Board.
(5) Provides guidance and assistance to Major Commands, field
operating agencies, direct reporting units and combatant commands for
which AF is executive agent in their implementation and execution of the
Air Force Privacy Program. Ensures availability of training and training
tools for a variety of audiences.
[[Page 40]]
(6) Provides advice and support to those commands to ensure that
information requirements developed to collect or maintain personal data
conform to Privacy Act standards; and that appropriate procedures and
safeguards are developed, implemented, and maintained to protect the
information.
(e) Major Command commanders, and Deputy Chiefs of Staff and
comparable officials at Secretary of the Air Force and Headquarters
United States Air Force offices implement this part.
(f) 11th Communications Squadron will provide Privacy Act training
and submit Privacy Act reports for Headquarters United States Air Force
and Secretary of the Air Force offices.
(g) Major Command Commanders: Appoint a command Privacy Act officer,
and send the name, office symbol, phone number, and e-mail address to
Air Force Chief Information Officer/P.
(h) Major Command and Headquarters Air Force Functional Chief
Information Officers:
(1) Review and provide final approval on Privacy Impact Assessments
(see Appendix E of this part).
(2) Send a copy of approved Privacy Impact Assessments to Air Force
Chief Information Officer/P.
(i) Major Command Privacy Act Officers:
(1) Train base Privacy Act officers. May authorize appointment of
unit Privacy Act monitors to assist with implementation of the program.
(2) Promote Privacy Act awareness throughout the organization.
(3) Review publications and forms for compliance with this part (do
forms require a Privacy Act Statement; is Privacy Act Statement
correct?).
(4) Submit reports as required.
(5) Review system notices to validate currency.
(6) Evaluate the health of the program at regular intervals using
this part as guidance.
(7) Review and provide recommendations on completed Privacy Impact
Assessments for information systems.
(8) Resolve complaints or allegations of Privacy Act violations.
(9) Review and process denial recommendations.
(10) Provide guidance as needed to functionals on implementing the
Privacy Act.
(j) Base Privacy Act Officers:
(1) Provide guidance and training to base personnel.
(2) Submit reports as required.
(3) Review publications and forms for compliance with this part.
(4) Review system notices to validate currency.
(5) Direct investigations of complaints/violations.
(6) Evaluate the health of the program at regular intervals using
this part as guidance.
(k) System Managers:
(1) Manage and safeguard the system.
(2) Train users on Privacy Act requirements.
(3) Protect records from unauthorized disclosure, alteration, or
destruction.
(4) Prepare system notices and reports.
(5) Answer Privacy Act requests.
(6) Records of disclosures.
(7) Validate system notices annually.
(8) Investigate Privacy Act complaints.
(l) System owners and developers:
(1) Decide the need for, and content of systems.
(2) Evaluate Privacy Act requirements of information systems in
early stages of development.
(3) Complete a Privacy Impact Assessment and submit to the Privacy
Act Officer.
Subpart B_Obtaining Law Enforcement Records and Confidentiality Promises
Sec. 806b.8 Obtaining law enforcement records.
The Commander, Air Force Office of Special Investigation; the
Commander, Air Force Security Forces Center; Major Command, Field
Operating Agency, and base chiefs of security forces; Air Force Office
of Special Investigations detachment commanders; and designees of those
offices may ask another agency for records for law enforcement under 5
U.S.C. 552a(b)(7). The requesting office must indicate in writing the
specific part of the record desired and identify the law enforcement
activity asking for the record.
[[Page 41]]
Sec. 806b.9 Confidentiality promises.
Promises of confidentiality must be prominently annotated in the
record to protect from disclosure any ``confidential'' information under
5 United States Code 552a(k)(2), (k)(5), or (k)(7) of the Privacy Act.
Subpart C_Collecting Personal Information
Sec. 806b.10 How to collect personal information.
Collect personal information directly from the subject of the record
whenever possible. Only ask third parties when:
(a) You must verify information.
(b) You want opinions or evaluations.
(c) You can't contact the subject.
(d) You are doing so at the request of the subject individual.
Sec. 806b.11 When to give Privacy Act Statements (PAS).
(a) Give a PAS orally or in writing to the subject of the record
when you are collecting information from them that will go in a system
of records. Note: Do this regardless of how you collect or record the
answers. You may display a sign in areas where people routinely furnish
this kind of information. Give a copy of the Privacy Act Statement if
asked. Do not ask the person to sign the Privacy Act Statement.
(b) A Privacy Act Statement must include four items:
(1) Authority: The legal authority, that is, the U.S.C. or Executive
Order authorizing the program the system supports.
(2) Purpose: The reason you are collecting the information and what
you intend to do with it.
(3) Routine Uses: A list of where and why the information will be
disclosed outside DoD.
(4) Disclosure: Voluntary or Mandatory. (Use Mandatory only when
disclosure is required by law and the individual will be penalized for
not providing information.) Include any consequences of nondisclosure in
non-threatening language.
Sec. 806b.12 Requesting the Social Security Number.
When asking an individual for his or her Social Security Number,
always give a Privacy Act Statement that tells the person: The legal
authority for requesting it; the uses that will be made of the Social
Security Number; and whether providing the Social Security Number is
voluntary or mandatory. Do not deny anyone a legal right, benefit, or
privilege for refusing to give their Social Security Number unless the
law requires disclosure, or a law or regulation adopted before January
1, 1975 required the Social Security Number and the Air Force uses it to
verify a person's identity in a system of records established before
that date.
(a) The Air Force requests an individual's Social Security Number
and provides the individual information required by law when anyone
enters military service or becomes an Air Force civilian employee. The
Air Force uses the Social Security Number as a service or employment
number to reference the individual's official records. When you ask
someone for a Social Security Number as identification to retrieve an
existing record, you do not have to restate this information.
(b) Executive Order 9397, Numbering System for Federal Accounts
Relating to Individual Persons \2\, authorizes using the Social Security
Number as a personal identifier. This order is not adequate authority to
collect a Social Security Number to create a record. When law does not
require disclosing the Social Security Number or when the system of
records was created after January 1, 1975, you may ask for the Social
Security Number, but the individual does not have to disclose it. If the
individual refuses to respond, use alternative means of identifying
records. (c) Social Security Numbers are personal and unique to each
individual. Protect them as for official use only (FOUO).
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Within DoD, do not disclose them to anyone without an official need
to know. Outside DoD, they are not releasable without the person's
consent,
[[Page 42]]
or unless authorized under one of the 12 exceptions to the Privacy Act
(see Sec. 806b.47).
Subpart D_Giving Access to Privacy Act Records
Sec. 806b.13 Making a Request for Access.
Persons or their designated representatives may ask for a copy of
their records in a system of records. Requesters need not state why they
want access to their records. Verify the identity of the requester to
avoid unauthorized disclosures. How you verify identity will depend on
the sensitivity of the requested records. Persons may use a notary or an
unsworn declaration in the following format: ``I declare under penalty
of perjury (if outside the United States, add ``under the laws of the
United States of America'') that the foregoing is true and correct.
Executed on (date). (Signature).''
Sec. 806b.14 Processing a Request for Access.
Consider a request from an individual for his or her own records in
a system of records under both the Freedom of Information Act and the
Privacy Act regardless of the Act cited. The requester does not need to
cite either Act if the records they want are contained in a system of
records. Process the request under whichever Act gives the most
information. When necessary, tell the requester which Act you used and
why.
(a) Requesters should describe the records they want. They do not
have to name a system of records number, but they should at least name a
type of record or functional area. For requests that ask for ``all
records about me,'' ask for more information and tell the person how to
review the Air Force systems of records published in the Federal
Register or at http://www.defenselink.mil/privacy/notices/usaf.
(b) Requesters should not use government equipment, supplies,
stationery, postage, telephones, or official mail channels for making
Privacy Act requests. System managers will process such requests and
tell requesters that using government resources to make Privacy Act
requests is not authorized.
(c) Tell the requester if a record exists and how to review the
record. If possible, respond to requests within 10 workdays of receipt.
If you cannot answer the request in 10 workdays, send a letter
explaining why and give an approximate completion date no more than 20
workdays after the first office received the request.
(d) Show or give a copy of the record to the requester within 30
workdays of receiving the request unless the system is exempt and the
Air Force lists the exemption in Appendix D to this part; or it is
published in this section; or published as a final rule in the Federal
Register. Give information in a form the requester can understand. If
the system is exempt under the Privacy Act, provide any parts releasable
under the Freedom of Information Act, with appeal rights (See subpart F
of this part), citing appropriate exemptions from the Privacy Act and
the Freedom of Information Act, if applicable.
(e) If the requester wants another person present during the record
review, the system manager may ask for written consent to authorize
discussing the record with another person present.
Sec. 806b.15 Fees.
Give the first 100 pages free, and charge only reproduction costs
for the remainder. Copies cost $.15 per page; microfiche costs $.25 per
fiche. Charge fees for all pages for subsequent requests for the same
records. Do not charge fees:
(a) When the requester can get the record without charge under
another publication (for example, medical records).
(b) For search.
(c) For reproducing a document for the convenience of the Air Force.
(d) For reproducing a record so the requester can review it.
Fee waivers. Waive fees automatically if the direct cost of
reproduction is less than $15, unless the individual is seeking an
obvious extension or duplication of a previous request for which he or
she was granted a waiver. Decisions to waive or reduce fees that exceed
$15 are made on a case-by-case basis.
[[Page 43]]
Sec. 806b.16 Denying or limiting access.
System managers process access denials within 5 workdays after you
receive a request for access. When you may not release a record, send a
copy of the request, the record, and why you recommend denying access
(include the applicable exemption) to the denial authority through the
legal office and the Privacy Act office. Judge Advocate offices will
include a written legal opinion. The Privacy Act officer reviews the
file, and makes a recommendation to the denial authority. The denial
authority sends the requester a letter with the decision. If the denial
authority grants access, release the record. If the denial authority
refuses access, tell the requester why and explain pertinent appeal
rights (see subpart F of this part). Before you deny a request for
access to a record, make sure that:
(a) The system has an exemption rule published in the Federal
Register as a final rule.
(b) The exemption covers each document. (All parts of a system are
not automatically exempt.)
(c) Nonexempt parts are segregated.
Sec. 806b.17 Special provision for certain medical records.
If a physician believes that disclosing requested medical records
could harm the person's mental or physical health, you should:
(a) Ask the requester to get a letter from a physician to whom you
can send the records. Include a letter explaining to the physician that
giving the records directly to the individual could be harmful.
(b) Offer the services of a military physician other than one who
provided treatment if naming the physician poses a hardship on the
individual.
(c) The Privacy Act requires that we ultimately insure that the
subject receives the records.
Sec. 806b.18 Third party information in a Privacy Act System of Record.
Ordinarily a person is entitled to their entire record under the
Privacy Act. However, the law is not uniform regarding whether a subject
is entitled to information that is not ``about'' him or her (for
example, the home address of a third party contained in the subject's
records). Consult your servicing Staff Judge Advocate before disclosing
third party information. Generally, if the requester will be denied a
right, privilege or benefit, the requester must be given access to
relevant portions of the file.
Sec. 806b.19 Information compiled in anticipation of civil action.
Withhold records compiled in connection with a civil action or other
proceeding including any action where the Air Force expects judicial or
administrative adjudicatory proceedings. This exemption does not cover
criminal actions. Do not release attorney work products prepared before,
during, or after the action or proceeding.
Sec. 806b.20 Denial authorities.
These officials or a designee may deny access or amendment of
records as authorized by the Privacy Act. Send a letter to Air Force
Chief Information Officer/P with the position titles of designees.
Authorities are:
(a) Deputy Chief of Staffs and chiefs of comparable offices or
higher level at Secretary of the Air Force or Headquarters United States
Air Force or designees.
(b) Major Command, Field Operating Agency, or direct reporting unit
commanders or designees.
(c) Director, Personnel Force Management, 1040 Air Force Pentagon,
Washington, DC 20330-1040 (for civilian personnel records).
(d) Commander, Air Force Office of Special Investigations,
Washington, DC 20332-6001 (for Air Force Office of Special
Investigations records).
(e) Unified Commanders or designees.
Subpart E_Amending the Record
Sec. 806b.21 Amendment reasons.
Individuals may ask to have their records amended to make them
accurate, timely, relevant, or complete. System managers will routinely
correct a record if the requester can show that it is factually wrong
(e.g., date of birth is wrong).
[[Page 44]]
Sec. 806b.22 Responding to amendment requests.
(a) Anyone may request minor corrections orally. Requests for more
serious modifications should be in writing.
(b) After verifying the identity of the requester, make the change,
notify all known recipients of the record, and inform the individual.
(c) Acknowledge requests within 10 workdays of receipt. Give an
expected completion date unless you complete the change within that
time. Final decisions must take no longer than 30 workdays.
Sec. 806b.23 Approving or denying a record amendment.
The Air Force does not usually amend a record when the change is
based on opinion, interpretation, or subjective official judgment.
Determinations not to amend such records constitutes a denial, and
requesters may appeal (see Subpart F of this part).
(a) If the system manager decides not to amend the record, send a
copy of the request, the record, and the recommended denial reasons to
the denial authority through the legal office and the Privacy Act
office. Legal offices will include a written legal opinion. The Privacy
Act officer reviews the proposed denial and legal opinion and makes a
recommendation to the denial authority.
(b) The denial authority sends the requester a letter with the
decision. If the denial authority approves the request, amend the record
and notify all previous recipients that it has been changed. If the
authority denies the request, give the requester the statutory
authority, reason, and pertinent appeal rights (see subpart F of this
part).
Sec. 806b.24 Seeking review of unfavorable Agency determinations.
Requesters should pursue record corrections of subjective matters
and opinions through proper channels to the Civilian Personnel Office
using grievance procedures or the Air Force Board for Correction of
Military Records. Record correction requests denied by the Air Force
Board for Correction of Military Records are not subject to further
consideration under this part. Military personnel, other than U.S. Air
Force personnel, should pursue service-unique record corrections through
their component chain of command.
Sec. 806b.25 Contents of Privacy Act case files.
Do not keep copies of disputed records in this file. File disputed
records in their appropriate series. Use the file solely for statistics
and to process requests. Do not use the case files to make any kind of
determination about an individual. Document reasons for untimely
responses. These files include:
(a) Requests from and replies to individuals on whether a system has
records about them.
(b) Requests for access or amendment.
(c) Approvals, denials, appeals, and final review actions.
(d) Coordination actions and related papers.
Subpart F_Appeals
Sec. 806b.26 Appeal procedures.
Individuals who receive a denial to their access or amendment
request may request a denial review by writing to the Secretary of the
Air Force, through the denial authority, within 60 calendar days after
receiving a denial letter. The denial authority promptly sends a
complete appeal package to Air Force Legal Services Agency, General
Litigation Division (JACL). The package must include:
(1) The original appeal letter;
(2) The initial request;
(3) The initial denial;
(4) A copy of the record;
(5) Any internal records or coordination actions relating to the
denial;
(6) The denial authority's comments on the appellant's arguments;
and
(7) The legal reviews.
(a) If the denial authority reverses an earlier denial and grants
access or amendment, notify the requester immediately.
(b) Air Force Legal Services Agency, General Litigation Division
(JACL) reviews the denial and provides a final recommendation to
Secretary of the Air Force, Fiscal and Administrative Law Division
(GCA). Secretary of the
[[Page 45]]
Air Force, Fiscal and Administrative Law Division (GCA) tells the
requester the final Air Force decision and explains judicial review
rights.
(c) The requester may file a concise statement of disagreement with
the system manager if Secretary of the Air Force, Fiscal and
Administrative Law Division (GCA) denies the request to amend the
record. Secretary of the Air Force, Fiscal and Administrative Law
Division (GCA) explains the requester's rights when they issue the final
appeal decision.
(d) The records should clearly show that a statement of disagreement
is filed with the record or separately.
(e) The disputed part of the record must show that the requester
filed a statement of disagreement.
(f) Give copies of the statement of disagreement to the record's
previous recipients. Inform subsequent record users about the dispute
and give them a copy of the statement with the record.
(g) The system manager may include a brief summary of the reasons
for not amending the record. Limit the summary to the reasons Secretary
of the Air Force, Fiscal and Administrative Law Division (GCA) gave to
the individual. The summary is part of the individual's record, but it
is not subject to amendment procedures.
Subpart G_Privacy Act Notifications
Sec. 806b.27 When to include a Privacy Act warning statement in publications.
Include a Privacy Act Warning Statement in each Air Force
publication that requires collecting or keeping information in a system
of records. Also include the Warning Statement when publications direct
collection of the Social Security Number, or any part of the Social
Security Number, from the individual. The warning statement will cite
legal authority and when part of a record system, the Privacy Act system
of records number and title. You can use the following warning
statement: ``This instruction requires collecting and maintaining
information protected by the Privacy Act of 1974 authorized by (U.S.C.
citation and or Executive Order number). System of records notice
(number and title) applies.''
Sec. 806b.28 Warning banners.
Information systems that contain information on individuals that is
retrieved by name or personal identifier are subject to the Privacy Act.
The Privacy Act requires these systems to have a Privacy Act system
notice published in the Federal Register that covers the information
collection before collection begins. In addition, all information
systems subject to the Privacy Act will have warning banners displayed
on the first screen (at a minimum) to assist in safeguarding the
information. Use the following language for the banner: ``PRIVACY ACT
INFORMATION--The information accessed through this system is FOR
OFFICIAL USE ONLY and must be protected in accordance with the Privacy
Act and Air Force Instruction 33-332.''
Sec. 806b.29 Sending personal information over electronic mail.
(a) Exercise caution before transmitting personal information over
e-mail to ensure it is adequately safeguarded. Some information may be
so sensitive and personal that e-mail may not be the proper way to
transmit it. When sending personal information over e-mail within DoD,
ensure: There is an official need; all addressee(s) (including ``cc''
addressees) are authorized to receive it under the Privacy Act; and it
is protected from unauthorized disclosure, loss, or alteration.
Protection methods may include encryption or password protecting the
information in a separate Word document. When transmitting personal
information over e-mail, add ``FOUO'' to the beginning of the subject
line, followed by the subject, and apply the following statement at the
beginning of the e-mail:
``This e-mail contains For Official Use Only (FOUO) information
which must be protected under the Privacy Act and Air Force Instruction
33-332.''
(b) Do not indiscriminately apply this statement to e-mails. Use it
only in situations when you are actually transmitting personal
information. DoD Regulation 5400.7/Air Force Supp,
[[Page 46]]
Chapter 4 \3\, provides additional guidance regarding For Official Use
Only information.
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(c) Do not disclose personal information to anyone outside DoD
unless specifically authorized by the Privacy Act (see Sec. 806b.47).
(d) Do not send Privacy Act information to distribution lists or
group e-mail addresses unless each member has an official need to know
the personal information. When in doubt, send only to individual
accounts.
(e) Before forwarding e-mails you have received that contain
personal information, verify that your intended recipients are
authorized to receive the information under the Privacy Act (see Sec.
806b.47).
Subpart H_Privacy Impact Assessments
Sec. 806b.30 Evaluating information systems for Privacy Act compliance.
Information system owners and developers must address Privacy Act
requirements in the development stage of the system and integrate
privacy protections into the development life cycle of the information
system. This is accomplished with a Privacy Impact Assessment.
(a) The Privacy Impact Assessment addresses what information is to
be collected; why the information is being collected; the intended use
of the information; with whom the information will be shared; what
notice or opportunities for the individual to decline or consent to
providing the information collected, and how that information is shared;
secured; and whether a system of records is being created, or an
existing system is being amended. The E-Government Act of 2002 \4\
requires Privacy Impact Assessments to be conducted before:
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(1) Developing or procuring information technology systems or
projects that collect, maintain, or disseminate information in
identifiable form from or about members of the public.
(2) Initiating a new electronic collection of information in
identifiable form for 10 or more persons excluding agencies,
instrumentalities, or employees of the Federal Government.
(b) In general, Privacy Impact Assessments are required to be
performed and updated as necessary where a system change creates new
privacy risks.
(c) No Privacy Impact Assessment is required where information
relates to internal government operations, has been previously assessed
under an evaluation similar to a Privacy Impact Assessment, or where
privacy issues are unchanged.
(d) The depth and content of the Privacy Impact Assessment should be
appropriate for the nature of the information to be collected and the
size and complexity of the information technology system.
(e) The system owner will conduct a Privacy Impact Assessment as
outlined in appendix E to this part and send it to their Major Command
Privacy Act office for review and final approval by the Major Command or
Headquarters Air Force Functional Chief Information Officer. The Major
Command or Headquarters Air Force Functional Chief Information Officer
will send a copy of approved Privacy Impact Assessments to Air Force
Chief Information Officer/P, 1155 Air Force Pentagon, Washington DC
20330-1155; or e-mail [email protected].
(f) Whenever practicable, approved Privacy Impact Assessments will
be posted to the Freedom of Information Act/Privacy Act Web site for
public access at http://www.foia.af.mil (this requirement will be waived
for security reasons, or to protect classified, sensitive, or private
information contained in an assessment).
Subpart I_Preparing and Publishing System Notices for the Federal
Register
Sec. 806b.31 Publishing system notices.
The Air Force must publish notices in the Federal Register of new,
changed, and deleted systems to inform the public of what records the
Air Force keeps and give them an opportunity to comment before the
system
[[Page 47]]
is implemented or changed. The Privacy Act also requires submission of
new or significantly changed systems to the Office of Management and
Budget and both houses of Congress before publication in the Federal
Register. This includes:
(a) Starting a new system.
(b) Instituting significant changes to an existing system.
(c) Sending out data collection forms or instructions.
(d) Issuing a request for proposal or invitation for bid to support
a new system.
Sec. 806b.32 Submitting notices for publication in the Federal Register.
At least 120 days before implementing a new system, or a major
change to an existing system, subject to this part, system managers must
send a proposed notice, through the Major Command Privacy Office, to Air
Force Chief Information Officer/P. Send notices electronically to
[email protected] using Microsoft Word, using the Track Changes
tool in Word to indicate additions/changes to existing notices. Follow
the format outlined in Appendix B to this part. For new systems, system
managers must include a statement that a risk assessment was
accomplished and is available should the Office of Management and Budget
request it.
Sec. 806b.33 Reviewing notices.
System managers will review and validate their Privacy Act system
notices annually and submit changes to Air Force Chief Information
Officer/P through the Major Command Privacy Office.
Subpart J_Protecting and Disposing of Records
Sec. 806b.34 Protecting records.
Maintaining information privacy is the responsibility of every
federal employee, military member, and contractor who comes into contact
with information in identifiable form. Protect information according to
its sensitivity level. Consider the personal sensitivity of the
information and the risk of disclosure, loss or alteration. Most
information in systems of records is FOUO. Refer to DoD 5400.7-R/Air
Force Supp, DoD Freedom of Information Act Program, for protection
methods.
Sec. 806b.35 Balancing protection.
Balance additional protection against sensitivity, risk and cost. In
some situations, a password may be enough protection for an automated
system with a log-on protocol. Others may require more sophisticated
security protection based on the sensitivity of the information.
Classified computer systems or those with established audit and password
systems are obviously less vulnerable than unprotected files. Follow Air
Force Instruction 33-202, Computer Security, \5\ for procedures on
safeguarding personal information in automated records.
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(a) AF Form 3227, Privacy Act Cover Sheet, \6\ is optional and
available for use with Privacy Act material. Use it to cover and protect
personal information that you are using in office environments that are
widely unprotected and accessible to many individuals. After use, such
information should be protected as outlined in DoD 5400.7-R/Air Force
Supp.
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(b) Privacy Act Labels. Use of Air Force Visual Aid 33-276, Privacy
Act Label, is optional to assist in protecting Privacy Act information
on compact disks, diskettes, and tapes.
Sec. 806b.36 Disposing of records.
You may use the following methods to dispose of records protected by
the Privacy Act and authorized for destruction according to records
retention schedules:
(a) Destroy by any method that prevents compromise, such as tearing,
burning, or shredding, so long as the personal data is not recognizable
and beyond reconstruction.
(b) Degauss or overwrite magnetic tapes or other magnetic medium.
(c) Dispose of paper products through the Defense Reutilization and
Marketing Office or through activities that manage a base-wide recycling
program.
[[Page 48]]
The recycling sales contract must contain a clause requiring the
contractor to safeguard privacy material until its destruction and to
pulp, macerate, shred, or otherwise completely destroy the records.
Originators must safeguard Privacy Act material until it is transferred
to the recycling contractor. A Federal employee or, if authorized, a
contractor employee must witness the destruction. This transfer does not
require a disclosure accounting.
Subpart K_Privacy Act Exemptions
Sec. 806b.37 Exemption types.
There are two types of exemptions permitted by 5 U.S.C. 552a:
(a) A General exemption authorizes the exemption of a system of
records from most parts of the Privacy Act.
(b) A Specific exemption authorizes the exemption of a system of
records from only a few parts.
Sec. 806b.38 Authorizing exemptions.
Denial authorities may withhold records using Privacy Act exemptions
only when an exemption for the system of records has been published in
the Federal Register as a final rule. Appendix D lists the systems of
records that have published exemptions with rationale.
Sec. 806b.39 Requesting an exemption.
A system manager who believes that a system needs an exemption from
some or all of the requirements of the Privacy Act will send a request
to Air Force Chief Information Officer/P through the Major Command or
Field Operating Agency Privacy Act Officer. The request will detail the
reasons for the exemption, the section of the Act that allows the
exemption, and the specific subsections of the Privacy Act from which
the system is to be exempted, with justification for each subsection.
Sec. 806b.40 Exemptions.
Exemptions permissible under 5 U.S.C. 552a (subject to Sec. 806b.38
of this part):
(a) The (j)(2) exemption. Applies to investigative records created
and maintained by law-enforcement activities whose principal function is
criminal law enforcement.
(b) The (k)(1) exemption. Applies to information specifically
authorized to be classified under the DoD Information Security Program
Regulation, 32 CFR part 159.
(c) The (k)(2) exemption. Applies to investigatory information
compiled for law-enforcement purposes by nonlaw enforcement activities
and which is not within the scope of Sec. 806b.40(a) of this part.
However, the Air Force must allow an individual access to any record
that is used to deny rights, privileges or benefits to which he or she
would otherwise be entitled by Federal law or for which he or she would
otherwise be eligible as a result of the maintenance of the information
(unless doing so would reveal a confidential source).
(d) The (k)(3) exemption. Applies to records maintained in
connection with providing protective services to the President and other
individuals under 18 U.S.C. 3506.
(e) The (k)(4) exemption. Applies to records maintained solely for
statistical research or program evaluation purposes and which are not
used to make decisions on the rights, benefits, or entitlement of an
individual except for census records which may be disclosed under 13
U.S.C. 8.
(f) The (k)(5) exemption. Applies to investigatory material compiled
solely for the purpose of determining suitability, eligibility, or
qualifications for federal civilian employment, military service,
federal contracts, or access to classified information, but only to the
extent such material would reveal the identity of a confidential source.
This provision allows protection of confidential sources used in
background investigations, employment inquiries, and similar inquiries
that are for personnel screening to determine suitability, eligibility,
or qualifications.
(g) The (k)(6) exemption. Applies to testing or examination material
used solely to determine individual qualifications for appointment or
promotion in the Federal or military service, if the disclosure would
compromise the objectivity or fairness of the test or examination
process.
[[Page 49]]
(h) The (k)(7) exemption. Applies to evaluation material used to
determine potential for promotion in the Military Services, but only to
the extent that the disclosure of such material would reveal the
identity of a confidential source.
Subpart L_Disclosing Records to Third Parties
Sec. 806b.41 Disclosure considerations.
The Privacy Act requires the written consent of the subject before
releasing personal information to third parties, unless one of the 12
exceptions of the Privacy Act applies (see Sec. 806b.47). Use this
checklist before releasing personal information to third parties: Make
sure it is authorized under the Privacy Act; consider the consequences;
and check the accuracy of the information. You can release personal
information to third parties when the subject agrees in writing. Air
Force members consent to releasing their home telephone number and
address when they sign and check the ``Do Consent'' block on the AF Form
624, Base/Unit Locator and Postal Service Center Directory \7\(see Air
Force Instruction 33-329, Base and Unit Personnel Locators \8\).
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Sec. 806b.42 Social rosters.
Before including personal information such as spouses names, home
addresses, home phones, and similar information on social rosters or
directories that are shared with groups of individuals, ask for signed
consent statements. Otherwise, do not include the information. Consent
statements must give the individual a choice to consent or not consent,
and clearly tell the individual what information is being solicited, the
purpose, to whom you plan to disclose the information, and that consent
is voluntary. Maintain the signed statements until no longer needed.
Sec. 806b.43 Placing personal information on shared drives.
Personal information should never be placed on shared drives for
access by groups of individuals unless each person has an official need
to know the information to perform their job. Add appropriate access
controls to ensure access by only authorized individuals. Recall rosters
are FOUO because they contain personal information and should be shared
with small groups at the lowest levels for official purposes to reduce
the number of people with access to such personal information.
Commanders and supervisors should give consideration to those
individuals with unlisted phone numbers, who do not want their number
included on the office recall roster. In those instances, disclosure to
the Commander or immediate supervisor, or deputy, should normally be
sufficient.
Sec. 806b.44 Personal information that requires protection.
Following are some examples of information that is not releasable
without the written consent of the subject. This list is not all-
inclusive.
(a) Marital status (single, divorced, widowed, separated).
(b) Number, name, and sex of dependents.
(c) Civilian educational degrees and major areas of study (unless
the request for the information relates to the professional
qualifications for Federal employment).
(d) School and year of graduation.
(e) Home of record.
(f) Home address and phone.
(g) Age and date of birth (year).
(h) Present or future assignments for overseas or for routinely
deployable or sensitive units.
(i) Office and unit address and duty phone for overseas or for
routinely deployable or sensitive units.
(j) Race/ethnic origin.
(k) Educational level (unless the request for the information
relates to the professional qualifications for Federal employment).
(l) Social Security Number.
Sec. 806b.45 Releasable information.
Following are examples of information normally releasable to the
public
[[Page 50]]
without the written consent of the subject. This list is not all-
inclusive.
(a) Name.
(b) Rank.
(c) Grade.
(d) Air Force specialty code.
(e) Pay (including base pay, special pay, all allowances except
Basic Allowance for Quarters and Variable Housing Allowance).
(f) Gross salary for civilians.
(g) Past duty assignments, unless sensitive or classified.
(h) Present and future approved and announced stateside assignments.
(i) Position title.
(j) Office, unit address, and duty phone number (Continental United
States (CONUS) only).
(k) Date of rank.
(l) Entered on active duty date.
(m) Pay date.
(n) Source of commission.
(o) Professional military education.
(p) Promotion sequence number.
(q) Military awards and decorations.
(r) Duty status of active, retired, or reserve.
(s) Active duty official attendance at technical, scientific, or
professional meetings.
(t) Biographies and photos of key personnel.
(u) Date of retirement, separation.
Sec. 806b.46 Disclosing other information.
Use these guidelines to decide whether to release information:
(a) Would the subject have a reasonable expectation of privacy in
the information requested?
(b) Would disclosing the information benefit the general public? The
Air Force considers information as meeting the public interest standard
if it reveals anything regarding the operations or activities of the
agency, or performance of its statutory duties.
(c) Balance the public interest against the individual's probable
loss of privacy. Do not consider the requester's purpose, circumstances,
or proposed use.
Sec. 806b.47 Rules for releasing Privacy Act information without consent of
the subject.
The Privacy Act prohibits disclosing personal information to anyone
other than the subject of the record without his or her written consent.
There are twelve exceptions to the ``no disclosure without consent''
rule. Those exceptions permit release of personal information without
the individual's consent only in the following instances:
(a) Exception 1. DoD employees who have a need to know the
information in the performance of their official duties.
(b) Exception 2. In response to a Freedom of Information Act request
for information contained in a system of records about an individual and
the Freedom of Information Act requires release of the information.
(c) Exception 3. To agencies outside DoD only for a Routine Use
published in the Federal Register. The purpose of the disclosure must be
compatible with the intended purpose of collecting and maintaining the
record. When initially collecting the information from the subject, the
Routine Uses block in the Privacy Act Statement must name the agencies
and reason.
Note to paragraph (c): In addition to the Routine Uses established
by the Department of the Air Force within each system of records, the
DoD has established ``Blanket Routine Uses'' that apply to all record
systems maintained by the Department of the Air Force. These ``Blanket
Routine Uses'' have been published only once at the beginning of the
Department of the Air Force's Federal Register compilation of record
systems notices in the interest of simplicity, economy and to avoid
redundancy. Unless a system notice specifically excludes a system of
records from a ``Blanket Routine Use,'' all ``Blanket Routine Uses''
apply to that system (see Appendix C to this part).
(d) Exception 4. The Bureau of the Census to plan or carry out a
census or survey under Title 13, U.S.C. Section 8.
(e) Exception 5. A recipient for statistical research or reporting.
The recipient must give advanced written assurance that the information
is for statistical purposes only. Note: No one may use any part of the
record to decide on individuals' rights, benefits, or entitlements. You
must release records in a format that makes it impossible to identify
the real subjects.
(f) Exception 6. The National Archives and Records Administration to
evaluate records for permanent retention. Records stored in Federal
Records Centers remain under Air Force control.
[[Page 51]]
(g) Exception 7. A Federal, State, or local agency (other than DoD)
for civil or criminal law enforcement. The head of the agency or a
designee must send a written request to the system manager specifying
the record or part needed and the law enforcement purpose. In addition,
the ``blanket routine use'' for law enforcement allows the system
manager to disclose a record to a law enforcement agency if the agency
suspects a criminal violation.
(h) Exception 8. An individual or agency that needs the information
for compelling health or safety reasons. The affected individual need
not be the record subject.
(i) Exception 9. Either House of Congress, a congressional
committee, or a subcommittee, for matters within their jurisdictions.
The request must come from the committee chairman or ranking minority
member (see Air Force Instruction 90-401, Air Force Relations With
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(1) Requests from a Congressional member acting on behalf of the
record subject are evaluated under the routine use of the applicable
system notice. If the material for release is sensitive, get a release
statement.
(2) Requests from a Congressional member not on behalf of a
committee or the record subject are properly analyzed under the Freedom
of Information Act, and not under the Privacy Act.
(j) Exception 10. The Comptroller General or an authorized
representative of the General Accounting Office (GAO) to conduct
official GAO business.
(k) Exception 11. A court of competent jurisdiction, with a court
order signed by a judge.
(l) Exception 12. A consumer reporting agency in accordance with 31
U.S.C. 3711(e). Ensure category element is represented within the system
of records notice.
Sec. 806b.48 Disclosing the medical records of minors.
Air Force personnel may disclose the medical records of minors to
their parents or legal guardians in conjunction with applicable Federal
laws and guidelines. The laws of each state define the age of majority.
(a) The Air Force must obey state laws protecting medical records of
drug or alcohol abuse treatment, abortion, and birth control. If you
manage medical records, learn the local laws and coordinate proposed
local policies with the servicing Staff Judge Advocate.
(b) Outside the United States (overseas), the age of majority is 18.
Unless parents or guardians have a court order granting access or the
minor's written consent, they will not have access to minor's medical
records overseas when the minor sought or consented to treatment between
the ages of 15 and 17 in a program where regulation or statute provides
confidentiality of records and he or she asked for confidentiality.
Sec. 806b.49 Disclosure accountings.
System managers must keep an accurate record of all disclosures made
from any system of records except disclosures to DoD personnel for
official use or disclosures under the Freedom of Information Act. System
managers may use Air Force Form 771 \10\, Accounting of Disclosures.
Retain disclosure accountings for 5 years after the disclosure, or for
the life of the record, whichever is longer.
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(a) System managers may file the accounting record any way they want
as long as they give it to the subject on request, send corrected or
disputed information to previous record recipients, explain any
disclosures, and provide an audit trail for reviews. Include in each
accounting:
(1) Release date.
(2) Description of information.
(3) Reason for release.
(4) Name and address of recipient.
(5) Some exempt systems let you withhold the accounting record from
the subject.
(b) You may withhold information about disclosure accountings for
law enforcement purposes at the law enforcement agency's request.
Sec. 806b.50 Computer matching.
Computer matching programs electronically compare records from two
or
[[Page 52]]
more automated systems that may include DoD, another Federal agency, or
a state or other local government. A system manager proposing a match
that could result in an adverse action against a Federal employee must
meet these requirements of the Privacy Act:
(1) Prepare a written agreement between participants;
(2) Secure approval of the Defense Data Integrity Board;
(3) Publish a matching notice in the Federal Register before
matching begins;
(4) Ensure full investigation and due process; and
(5) Act on the information, as necessary.
(a) The Privacy Act applies to matching programs that use records
from: Federal personnel or payroll systems and Federal benefit programs
where matching:
(1) Determines Federal benefit eligibility;
(2) Checks on compliance with benefit program requirements;
(3) Recovers improper payments or delinquent debts from current or
former beneficiaries.
(b) Matches used for statistics, pilot programs, law enforcement,
tax administration, routine administration, background checks and
foreign counterintelligence, and internal matching that won't cause any
adverse action are exempt from Privacy Act matching requirements.
(c) Any activity that expects to participate in a matching program
must contact Air Force Chief Information Officer/P immediately. System
managers must prepare a notice for publication in the Federal Register
with a Routine Use that allows disclosing the information for use in a
matching program. Send the proposed system notice to Air Force Chief
Information Officer/P. Allow 180 days for processing requests for a new
matching program.
(d) Record subjects must receive prior notice of a match. The best
way to do this is to include notice in the Privacy Act Statement on
forms used in applying for benefits. Coordinate computer matching
statements on forms with Air Force Chief Information Officer/P through
the Major Command Privacy Act Officer.
Sec. 806b.51 Privacy and the Web.
Do not post personal information on publicly accessible DoD web
sites unless clearly authorized by law and implementing regulation and
policy. Additionally, do not post personal information on .mil private
web sites unless authorized by the local commander, for official
purposes, and an appropriate risk assessment is performed. See Air Force
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(a) Ensure public Web sites comply with privacy policies regarding
restrictions on persistent and third party cookies, and add appropriate
privacy and security notices at major web site entry points and Privacy
Act statements or Privacy Advisories when collecting personal
information. Notices must clearly explain where the collection or
sharing of certain information is voluntary, and notify users how to
provide consent.
(b) Include a Privacy Act Statement on the web page if it collects
information directly from an individual that we maintain and retrieve by
his or her name or personal identifier (i.e., Social Security Number).
We may only maintain such information in approved Privacy Act systems of
records that are published in the Federal Register. Inform the visitor
when the information is maintained and retrieved by name or personal
identifier in a system of records; that the Privacy Act gives them
certain rights with respect to the government's maintenance and use of
information collected about them, and provide a link to the Air Force
Privacy Act policy and system notices at http://www.foia.af.mil.
(c) Anytime a web site solicits personally-identifying information,
even when not maintained in a Privacy Act system of records, it requires
a Privacy Advisory. The Privacy Advisory informs the individual why the
information is solicited and how it will be used. Post the Privacy
Advisory to the web page where the information is being solicited, or
through a well-marked hyperlink ``Privacy Advisory--
[[Page 53]]
Please refer to the Privacy and Security Notice that describes why this
information is collected and how it will be used.''
Subpart M_Training
Sec. 806b.52 Who needs training.
The Privacy Act requires training for all persons involved in the
design, development, operation and maintenance of any system of records.
More specialized training is needed for personnel who may be expected to
deal with the news media or the public, personnel specialists, finance
officers, information managers, supervisors, and individuals working
with medical and security records. Commanders will ensure that above
personnel are trained annually in the principles and requirements of the
Privacy Act.
Sec. 806b.53 Training tools.
Helpful resources include:
(a) The Air Force Freedom of Information Act Web page which includes
a Privacy Overview, Privacy Act training slides, the Air Force systems
of records notices, and links to the Defense Privacy Board Advisory
Opinions, the DoD and Department of Justice Privacy web pages. Go to
http://www.foia.af.mil. Click on ``Resources.''
(b) ``The Privacy Act of 1974,'' a 32-minute film developed by the
Defense Privacy Office. Contact the Joint Visual Information Activity at
DSN 795-6543/7283 or commercial (717) 895-6543/7283, and ask for
504432 ``The Privacy Act of 1974.''
(c) A Manager's Overview, What You Need to Know About the Privacy
Act. This overview gives you Privacy Act 101 and is available on-line at
http://www.foia.af.mil.
(d) Training slides for use by the Major Command and base Privacy
Act officers, available from the Freedom of Information Act web page at
http://www.foia.af.mil, under ``Resources.''
Note: Formal school training groups that develop or modify blocks of
instruction must send the material to Air Force Chief Information
Officer/P for coordination.
Sec. 806b.54 Information collections, records, and forms or information
management tools (IMT).
(a) Information Collections. No information collections are required
by this publication.
(b) Records. Retain and dispose of Privacy Act records according to
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(c) Forms or Information Management Tools (Adopted and Prescribed).
(1) Adopted Forms or Information Management Tools. Air Force Form
624, Base/Unit Locator and PSC Directory, and AF Form 847,
Recommendation for Change of Publication.
(2) Prescribed Forms or Information Management Tools. AF Form 3227,
Privacy Act Cover Sheet, Air Force Form 771, Accounting of Disclosures,
and Air Force Visual Aid 33-276.
Sec. Appendix A to Part 806b--Definitions
Access: Allowing individuals to review or receive copies of their
records.
Amendment: The process of adding, deleting, or changing information
in a system of records to make the data accurate, relevant, timely, or
complete.
Computer matching: A computerized comparison of two or more
automated systems of records or a system of records with non-Federal
records to establish or verify eligibility for payments under Federal
benefit programs or to recover delinquent debts for these programs.
Confidential source: A person or organization giving information
under an express or implied promise of confidentiality made before
September 27, 1975.
Confidentiality: An expressed and recorded promise to withhold the
identity of a source or the information provided by a source. The Air
Force promises confidentiality only when the information goes into a
system with an approved exemption for protecting the identity of
confidential sources.
Cookie: Data created by a Web server that is stored on a user's
computer either temporarily for that session only or permanently on the
hard disk (persistent cookie). It provides a way for the Web site to
identify users and keep track of their preferences. It is commonly used
to ``maintain the state'' of the session. A third-party cookie either
originates on or is sent to a Web site different from the one you are
currently viewing.
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Defense Data Integrity Board: Composed of representatives from DoD
components and the services who oversee, coordinate, and approve all DoD
computer matching programs covered by the Act.
Denial Authority: The individuals with authority to deny requests
for access or amendment of records under the Privacy Act.
Disclosure: Giving information from a system, by any means, to
anyone other than the record subject.
Federal benefit program: A Federally funded or administered program
for individuals that provides cash or in-kind assistance (payments,
grants, loans, or loan guarantees).
Individual: A living U.S. citizen or a permanent resident alien.
Minor: Anyone under the age of majority according to local state
law. If there is no applicable state law, a minor is anyone under age
18. Military members and married persons are not minors, no matter what
their chronological age.
Personal identifier: A name, number, or symbol that is unique to an
individual, usually the person's name or Social Security Number.
Personal information: Information about an individual other than
items of public record.
Privacy Act request: An oral or written request by an individual
about his or her records in a system of records.
Privacy advisory: A statement required when soliciting personally-
identifying information by an Air Force 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.
Privacy Impact Assessment: A written assessment of an information
system that addresses the information to be collected, the purpose and
intended use; with whom the information will be shared; notice or
opportunities for consent to individuals; how the information will be
secured; and whether a new system of records is being created under the
Privacy Act.
Record: Any information about an individual.
Routine use: A disclosure of records to individuals or agencies
outside DoD for a use that is compatible with the purpose for which the
Air Force created the records.
System manager: The official who is responsible for managing a
system of records, including policies and procedures to operate and
safeguard it. Local system managers operate record systems or are
responsible for part of a decentralized system.
System of records: A group of records retrieved by the individual's
name, personal identifier; or individual identifier through a cross-
reference system.
System notice: The official public notice published in the Federal
Register of the existence and content of the system of records.
Sec. Appendix B to Part 806b--Preparing a System Notice
The following elements comprise a system of records notice for
publication in the Federal Register:
System identifier: Air Force Chief Information Officer/P assigns the
notice number, for example, F033 AF PC A, where ``F'' indicates ``Air
Force,'' the next number represents the publication series number
related to the subject matter, and the final letter group shows the
system manager's command or Deputy Chief of Staff. The last character
``A'' indicates that this is the first notice for this series and system
manager.
System name: Use a short, specific, plain-language title that
identifies the system's general purpose (limited to 55 characters).
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.
Categories of individuals covered by the system: Use nontechnical,
specific categories of individuals about whom the Air Force keeps
records. Do not use categories like ``all Air Force personnel'' unless
they are actually true.
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 show source documents that are used
to collect data and then destroyed. Do not list form numbers.
Authority for maintenance of the system: Cite the specific law or
Executive Order that authorizes the program the records support. Cite
the DoD directive/instruction or Air Force instruction(s) that
authorizes the system of records. Always include titles with the
citations.
Note: Executive Order 9397 authorizes using the Social Security
Number as a personal identifier. Include this authority whenever the
Social Security Number is used to retrieve records.
Purpose: Describe briefly and specifically what the Air Force does
with the information collected.
Routine uses of records maintained in the system including
categories of users and the purpose of such uses: List each specific
agency or activity outside DoD to whom the records may be released and
the purpose for such release.
The DoD `Blanket Routine Uses' published in the Air Force Directory
of System Notices
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apply to all system notices unless you indicate otherwise.
Polices and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage: State the medium in which the Air Force keeps 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.
Retrievability: State how the Air Force retrieves the records; for
example, by name, Social Security Number, or personal characteristics
(such as fingerprints or voiceprints).
Safeguards: List the kinds of officials who have immediate access to
the system. List those responsible for safeguarding the records.
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.
Retention and disposal: State how long Air Force Manual 37-139
requires the activity to maintain the record. 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.
System manager(s) and address: List the position title and duty
address of the system manager. For decentralized systems, show the
locations and the position or duty title of each category of officials
responsible for any segment of the system.
Notification procedure: 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, Social Security Number, date of birth, or
proof of identity, and so on.
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.
Contesting records procedures: Air Force Chief Information Officer/P
provides this standard caption.
Record source categories: Show categories of individuals or other
information sources for the system.
Exemptions claimed for the system: When a system has no approved
exemption, write ``none'' under this heading. Specifically list any
approved exemption including the subsection in the Act.
Sec. Appendix C to Part 806b--DoD `Blanket Routine Uses'
Certain DoD ``blanket routine uses'' have been established that are
applicable to every record system maintained by the Department of the
Air Force, unless specifically stated otherwise within the particular
record system notice. These additional routine uses of the records are
published only once in the Air Force's Preamble to its compilation of
records systems in the interest of simplicity, economy and to avoid
redundancy.
a. 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.
b. Disclosure when Requesting Information Routine Use
A record from a system of records maintained by a 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 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.
c. Disclosure of Requested Information Routine Use
A record from a system of records maintained by a 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.
d. Congressional Inquiries Routine Use
Disclosure from a system of records maintained by a Component may be
made to a congressional office from the record of an individual in
response to an inquiry from the
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congressional office made at the request of that individual.
e. Private Relief Legislation Routine Use
Relevant information contained in all systems of records of the
Department of Defense published on or before August 22, 1975, will be
disclosed to the Office of Management and Budget in connection with the
review of private relief legislation as set forth in Office of
Management and Budget Circular A-19 (reference (u)) at any stage of the
legislative coordination and clearance process as set forth in that
Circular.
f. Disclosures Required by International Agreements Routine Use
A record from a system of records maintained by a Component may be
disclosed to foreign law enforcement, security, investigatory, or
administrative authorities 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.
g. Disclosure to State and Local Taxing Authorities Routine Use
Any information normally contained in Internal Revenue Service (IRS)
Form W-2 which is maintained in a record from a system of records
maintained by a Component may be disclosed to state and local taxing
authorities with which the Secretary of the Treasury has entered into
agreements under 5 U.S.C., sections 5516, 5517, and 5520 (reference (v))
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 No. 76-07.
h. 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 Component may be disclosed to the Office of Personnel
Management (OPM) concerning information on pay and leave, benefits,
retirement deduction, and any other information necessary for the OPM to
carry out its legally authorized government-wide personnel management
functions and studies.
i. Disclosure to the Department of Justice for Litigation Routine Use
A record from a system of records maintained by this 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.
j. 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 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.
k. Disclosure of Information to the General Services Administration
(GSA) Routine Use
A record from a system of records maintained by this component may
be disclosed as a routine use to the General Services Administration
(GSA) for the purpose of records management inspections conducted under
authority of 44 U.S.C. 2904 and 2906.
l. Disclosure of Information to the National Archives and Records
Administration (NARA) Routine Use
A record from a system of records maintained by this component may
be disclosed as a routine use to the National Archives and Records
Administration (NARA) for the purpose of records management inspections
conducted under authority of 44 U.S.C. 2904 and 2906.
m. Disclosure to the Merit Systems Protection Board Routine Use
A record from a system of records maintained by this 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 proceedings, appeals, special
studies of the civil service and other merit systems, review of OPM 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. 1205 and 1206, or as may be
authorized by law.
n. Counterintelligence Purpose Routine Use
A record from a system of records maintained by this component may
be disclosed as a routine use outside the DoD or the U.S.
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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.
Sec. Appendix D to Part 806b--General and Specific Exemptions
(a) All systems of records maintained by the Department of the Air
Force shall be exempt from the requirements of 5 U.S.C. 552a(d) pursuant
to 5 U.S.C. 552a(k)(1) to the extent that the system contains any
information properly classified under Executive Order 12958 and that is
required by Executive Order to be kept classified in the interest of
national defense or foreign policy. This exemption is applicable to
parts of all systems of records including those not otherwise
specifically designated for exemptions herein, which contain isolated
items of properly classified information.
(b) An individual is not entitled to have access to any information
compiled in reasonable anticipation of a civil action or proceeding (5
U.S.C. 552a(d)(5)).
(c) No system of records within Department of the Air Force shall be
considered exempt under subsection (j) or (k) of the Privacy Act until
the exemption rule for the system of records has been published as a
final rule in the Federal Register.
(d) Consistent with the legislative purpose of the Privacy Act of
1974, the Department of the Air Force will grant access to non-exempt
material in the records being maintained. Disclosure will be governed by
the Department of the Air Force's Privacy Instruction, but will be
limited to the extent that identity of confidential sources will not be
compromised; subjects of an investigation of an actual or potential
violation will not be alerted to the investigation; the physical safety
of witnesses, informants and law enforcement personnel will not be
endangered, the privacy of third parties will not be violated; and that
the disclosure would not otherwise impede effective law enforcement.
Whenever possible, information of the above nature will be deleted from
the requested documents and the balance made available. The controlling
principle behind this limited access is to allow disclosures except
those indicated above. The decisions to release information from these
systems will be made on a case-by-case basis.
(e) General Exemptions. The following systems of records claim an
exemption under 5 U.S.C. 552a(j)(2), with the exception of F090 AF IG B,
Inspector General Records and F051 AF JA F, Courts-Martial and Article
15 Records. They claim both the (j)(2) and (k)(2) exemption, and are
listed under this part:
(1) System identifier and name: F071 AF OSI A, Counter Intelligence
Operations and Collection Records.
(2) System identifier and name: F071 AF OSI C, Criminal Records.
(3) System identifier and name: F071 AF OSI D, Investigative Support
Records.
(4) System identifier and name: F031 AF SP E, Security Forces
Management Information System (SFMIS).
(i) Exemption: Parts of this system may be exempt pursuant to 5
U.S.C. 552a(j)(2) if information is compiled and maintained by a
component of the agency which performs as its principle function any
activity pertaining to the enforcement of criminal laws. Therefore,
portions of this system of records may be exempt pursuant to 5 U.S.C.
552a(j)(2) from the following subsections of 5 U.S.C. 552a(c)(3),
(c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), and (I), (e)(5), (e)(8),
(f), and (g).
(ii) Authority: 5 U.S.C. 552a(j)(2).
(iii) Reasons: (A) To protect ongoing investigations and to protect
from access criminal investigation information contained in this record
system, so as not to jeopardize any subsequent judicial or
administrative process taken as a result of information contained in the
file.
(B) From subsection (c)(3) because the release of the disclosure
accounting, for disclosures pursuant to the routine uses published for
this system, would permit the subject criminal investigation or matter
under investigation to obtain valuable information concerning the nature
of that investigation which will present a serious impediment to law
enforcement.
(C) From subsection (c)(4) because an exemption is being claimed for
subsection this subsection will not be applicable.
(D) From subsection (d) because access the records contained in this
system would inform the subject of an investigation of existence of that
investigation, provide subject of the investigation with information
that might enable him to avoid detection, and would present a serious
impediment to law enforcement.
(E) From subsection (e)(4)(H) because system of records is exempt
from individual access pursuant to subsection (j) of the Privacy Act of
1974.
(F) From subsection (f) because this system of records has been
exempted from access provisions of subsection (d).
(5) System identifier and name: F031 AF SF A, Correction and
Rehabilitation Records.
(i) Exemption: Parts of this system may be exempt pursuant to 5
U.S.C. 552a(j)(2) if information is compiled and maintained by a
component of the agency which performs as its principle function any
activity pertaining to the enforcement of criminal laws. Portions of
this system of records may be exempt pursuant to 5 U.S.C. 552a(j)(2)
from the following subsections of 5 U.S.C. 552a(c)(3), (c)(4), (d),
(e)(3), (e)(4)(G), (H) and (I), (e)(5), (e)(8), (f), and (g).
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(ii) Authority: 5 U.S.C. 552a(j)(2).
(iii) Reasons: (A) From subsection (c)(3) because the release of the
disclosure accounting, for disclosures pursuant to the routine uses
published for this system, would permit the subject of a criminal
investigation or matter under investigation to obtain valuable
information concerning the nature of that investigation which will
present a serious impediment to law enforcement.
(B) From subsection (c)(4) because an exemption is being claimed for
subsection (d), this subsection will not be applicable.
(C) From subsection (d) because access to the records contained in
this system would inform the subject of a criminal investigation of the
existence of that investigation, provide the subject of the
investigation with information that might enable him to avoid detection
or apprehension, and would present a serious impediment to law
enforcement.
(D) From subsection (e)(3) would constitute a serious impediment to
law enforcement in that it could compromise the existence of a
confidential investigation, reveal the identity of confidential sources
of information and endanger the life and physical safety of confidential
informants.
(E) From subsections (e)(4)(G) and (H) because this system of
records is exempt from individual access pursuant to subsections (j)(2)
of the Privacy Act of 1974.
(F) From subsection (e)(4)(I) because the identity of specific
sources must be withheld in order to protect the confidentiality of the
sources of criminal and other law enforcement information. This
exemption is further necessary to protect the privacy and physical
safety of witnesses and informants.
(G) From subsection (e)(5) because in the collection of information
for law enforcement purposes it is impossible to determine in advance
what information is accurate, relevant, timely, and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance as further investigation brings new details to
light and the accuracy of such information can only be determined in a
court of law. The restrictions of subsection (e)(5) would restrict the
ability of trained investigators and intelligence analysts to exercise
their judgment reporting on investigations and impede the development of
intelligence necessary for effective law enforcement.
(H) From subsection (e)(8) because the individual notice
requirements of subsection (e)(8) could present a serious impediment to
law enforcement as this could interfere with the ability to issue search
authorizations and could reveal investigative techniques and procedures.
(I) From subsection (f) because this system of records has been
exempted from the access provisions of subsection (d).
(J) From subsection (g) because this system of records compiled for
law enforcement purposes and has been exempted from the access
provisions of subsections (d) and (f).
(6) System identifier and name: F090 AF IG B, Inspector General
Records.
(i) Exemption: (A) Parts of this system of records may be exempt
pursuant to 5 U.S.C. 552a(j)(2) if the information is compiled and
maintained by a component of the agency which performs as its principle
function any activity pertaining to the enforcement of criminal laws.
Therefore, portions of this system of records may be exempt pursuant to
5 U.S.C. 552a(j)(2) from the following subsections of 5 U.S.C.
552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H), and
(I), (e)(5), (e)(8), (f), and (g).
(B) Investigative material compiled for law enforcement purposes,
other than material within the scope of subsection 5 U.S.C. 552a(j)(2),
may be exempt pursuant to 5 U.S.C. 552a(k)(2). However, if an individual
is denied any right, privilege, or benefit for which he would otherwise
be entitled by Federal law or for which he would otherwise be eligible,
as a result of the maintenance of the information, the individual will
be provided access to the information exempt to the extent that
disclosure would reveal the identity of a confidential source. Note:
When claimed, this exemption allows limited protection of investigative
reports maintained in a system of records used in personnel or
administrative actions. Therefore, portions of this system of records
may be exempt pursuant to 5 U.S.C. 552a(k)(2) from the following
subsections of 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I),
and (f).
(ii) Authority: 5 U.S.C. 552a(j)(2) and (k)(2).
(iii) Reasons: (A) From subsection (c)(3) because the release of
accounting of disclosure would inform a subject that he or she is under
investigation. This information would provide considerable advantage to
the subject in providing him or her with knowledge concerning the nature
of the investigation and the coordinated investigative efforts and
techniques employed by the cooperating agencies. This would greatly
impede the Air Force IG's criminal law enforcement.
(B) From subsection (c)(4) and (d), because notification would alert
a subject to the fact that an open investigation on that individual is
taking place, and might weaken the ongoing investigation, reveal
investigative techniques, and place confidential informants in jeopardy.
(C) From subsection (e)(1) because the nature of the criminal and/or
civil investigative function creates unique problems in prescribing a
specific parameter in a particular case with respect to what information
is relevant or necessary. Also, information may be received which may
relate to a case under the investigative jurisdiction of another agency.
The maintenance of this information
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may be necessary to provide leads for appropriate law enforcement
purposes and to establish patterns of activity that may relate to the
jurisdiction of other cooperating agencies.
(D) From subsection (e)(2) because collecting information to the
fullest extent possible directly from the subject individual may or may
not be practical in a criminal and/or civil investigation.
(E) From subsection (e)(3) because supplying an individual with a
form containing a Privacy Act Statement would tend to inhibit
cooperation by many individuals involved in a criminal and/or civil
investigation. The effect would be somewhat adverse to established
investigative methods and techniques.
(F) From subsections (e)(4)(G), (H), and (I) because this system of
records is exempt from the access provisions of subsection (d) and (f).
(G) From subsection (e)(5) because the requirement that records be
maintained with attention to accuracy, relevance, timeliness, and
completeness would unfairly hamper the investigative process. It is the
nature of law enforcement for investigations to uncover the commission
of illegal acts at diverse stages. It is frequently impossible to
determine initially what information is accurate, relevant, timely, and
least of all complete. With the passage of time, seemingly irrelevant or
untimely information may acquire new significance as further
investigation brings new details to light.
(H) From subsection (e)(8) because the notice requirements of this
provision could present a serious impediment to law enforcement by
revealing investigative techniques, procedures, and existence of
confidential investigations.
(I) From subsection (f) because the agency's rules are inapplicable
to those portions of the system that are exempt and would place the
burden on the agency of either confirming or denying the existence of a
record pertaining to a requesting individual might in itself provide an
answer to that individual relating to an ongoing investigation. The
conduct of a successful investigation leading to the indictment of a
criminal offender precludes the applicability of established agency
rules relating to verification of record, disclosure of the record to
that individual, and record amendment procedures for this record system.
(J) From subsection (g) because this system of records should be
exempt to the extent that the civil remedies relate to provisions of 5
U.S.C. 552a from which this rule exempts the system.
(7) System identifier and name: F051 AF JA F, Courts-Martial and
Article 15 Records.
(i) Exemptions: (A) Parts of this system may be exempt pursuant to 5
U.S.C. 552a(j)(2) if the information is compiled and maintained by a
component of the agency which performs as its principle function any
activity pertaining to the enforcement of criminal laws. Therefore,
portions of this system of records may be exempt pursuant to 5 U.S.C.
552a(j)(2) from the following subsection of 5 U.S.C. 552a(c)(3), (c)(4),
(d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H) and (I), (e)(5), (e)(8),
(f), and (g).
(B) Investigatory material compiled for law enforcement purposes,
other than material within the scope of subsection 5 U.S.C. 552a(j)(2),
may be exempt pursuant to 5 U.S.C. 552a(k)(2). However, if an individual
is denied any right, privilege, or benefit for which he would otherwise
be entitled by Federal law or for which he would otherwise be eligible,
as a result of the maintenance of the information, the individual will
be provided access to the information exempt to the extent that
disclosure would reveal the identity of a confidential source. NOTE:
When claimed, this exemption allows limited protection of investigative
reports maintained in a system of records used in personnel or
administrative actions. Therefore, portions of this system of records
may be exempt pursuant to 5 U.S.C. 552a(k)(2) from the following
subsections of 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I),
and (f).
(ii) Authority: 5 U.S.C. 552a(j)(2) and (k)(2).
(iii) Reason: (A) From subsection (c)(3) because the release of the
disclosure accounting, for disclosures pursuant to the routine uses
published for this system, would permit the subject of a criminal
investigation or matter under investigation to obtain valuable
information concerning the nature of that investigation which will
present a serious impediment to law enforcement.
(B) From subsection (c)(4) because an exemption is being claimed for
subsection (d), his subsection will not be applicable.
(C) From subsection (d) because access to the records contained in
this system would inform the subject of a criminal investigation of the
existence of that investigation, provide the subject of the
investigation with information that might enable him to avoid detection
or apprehension, and would present a serious impediment to law
enforcement.
(D) From subsection (e)(1) because in the course of criminal
investigations information is often obtained concerning the violation of
laws or civil obligations of others not relating to an active case or
matter. In the interests of effective law enforcement, it is necessary
that this information be retained since it can aid in establishing
patterns of activity and provide valuable leads for other agencies and
future cases that may be brought.
(E) From subsection (e)(2) because in a criminal investigation the
requirement that information be collected to the greatest extent
possible from the subject individual would present a serious impediment
to law
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enforcement in that the subject of the investigation would be placed on
notice of the existence of the investigation and would therefore be able
to avoid detection.
(F) From subsection (e)(3) because the requirement that individuals
supplying information be provided with a form stating the requirements
of subsection (e)(3) would constitute a serious impediment to law
enforcement in that it could compromise the existence of a confidential
investigation, reveal the identity of confidential sources of
information and endanger the life and physical safety of confidential
informants.
(G) From subsections (e)(4)(G) and (H) because this system of
records is exempt from individual access pursuant to subsections (j) and
(k) of the Privacy Act of 1974.
(H) From subsection (e)(4)(I) because the identity of specific
sources must be withheld in order to protect the confidentiality of the
sources of criminal and other law enforcement information. This
exemption is further necessary to protect the privacy and physical
safety of witnesses and informants.
(I) From subsection (e)(5) because in the collection of information
for law enforcement purposes it is impossible to determine in advance
what information is accurate, relevant, timely, and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance as further investigation brings new details to
light and the accuracy of such information can only be determined in a
court of law. The restrictions of subsection (e)(5) would restrict the
ability of trained investigators and intelligence analysts to exercise
their judgment in reporting on investigations and impede the development
of intelligence necessary for effective law enforcement.
(J) From subsection (e)(8) because the individual notice
requirements of subsection (e)(8) could present a serious impediment to
law enforcement as this could interfere with the ability to issue search
authorizations and could reveal investigative techniques and procedures.
(K) From subsection (f) because this system of records has been
exempted from the access provisions of subsection (d).
(L) From subsection (g) because this system of records is compiled
for law enforcement purposes and has been exempted from the access
provisions of subsections (d) and (f).
(8) System identifier and name: F071 JTF A, Computer Network Crime
Case System.
(i) Exemption: (A) Parts of this system may be exempt pursuant to 5
U.S.C. 552a(j)(2) if the information is compiled and maintained by a
component of the agency, which performs as its principle function any
activity pertaining to the enforcement of criminal laws. Any portion of
this system of records which falls within the provisions of 5 U.S.C.
552a(j)(2) may be exempt from the following subsections of 5 U.S.C.
552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H), and
(I), (e)(5), (e)(8), (f), and (g).
(B) Investigatory material compiled for law enforcement purposes,
other than material within the scope of subsection 5 U.S.C. 552a(j)(2),
may be exempt pursuant to 5 U.S.C. 552a(k)(2). However, if an individual
is denied any right, privilege, or benefit for which he would otherwise
be entitled by Federal law or for which he would otherwise be eligible,
as a result of the maintenance of the information, the individual will
be provided access to the information exempt to the extent that
disclosure would reveal the identify of a confidential source.
Note: When claimed, this exemption allows limited protection of
investigative reports maintained in a system of records used in
personnel or administrative actions. Any portion of this system of
records which falls within the provisions of 5 U.S.C. 552a(k)(2) may be
exempt from the following subsections of 5 U.S.C. 552a(c)(3), (d),
(e)(1), (e)(4)(G), (H) and (I), and (f).
(ii) Authority: 5 U.S.C. 552a(j)(2) and (k)(2).
(iii) Reasons: (A) From subsection (c)(3) because the release of
accounting of disclosure would inform a subject that he or she is under
investigation. This information would provide considerable advantage to
the subject in providing him or her with knowledge concerning the nature
of the investigation and the coordinated investigative efforts and
techniques employed by the cooperating agencies. This would greatly
impede criminal law enforcement.
(B) From subsection (c)(4) and (d), because notification would alert
a subject to the fact that an open investigation on that individual is
taking place, and might weaken the on-going investigation, reveal
investigative techniques, and place confidential informants in jeopardy.
(C) From subsection (e)(1) because the nature of the criminal and/or
civil investigative function creates unique problems in prescribing a
specific parameter in a particular case with respect to what information
is relevant or necessary. Also, information may be received which may
relate to a case under the investigative jurisdiction of another agency.
The maintenance of this information may be necessary to provide leads
for appropriate law enforcement purposes and to establish patterns of
activity that may relate to the jurisdiction of other cooperating
agencies.
(D) From subsection (e)(2) because collecting information to the
fullest extent possible directly from the subject individual may or may
not be practical in a criminal and/or civil investigation.
(E) From subsection (e)(3) because supplying an individual with a
form containing
[[Page 61]]
a Privacy Act Statement would tend to inhibit cooperation by many
individuals involved in a criminal and/or civil investigation. The
effect would be somewhat adverse to established investigative methods
and techniques.
(F) From subsections (e)(4)(G), (H), and (I) because this system of
records is exempt from the access provisions of subsection (d).
(G) From subsection (e)(5) because the requirement that records be
maintained with attention to accuracy, relevance, timeliness, and
completeness would unfairly hamper the investigative process. It is the
nature of law enforcement for investigations to uncover the commission
of illegal acts at diverse stages. It is frequently impossible to
determine initially what information is accurate, relevant, timely, and
least of all complete. With the passage of time, seemingly irrelevant or
untimely information may acquire new significance as further
investigation brings new details to light.
(H) From subsection (e)(8) because the notice requirements of this
provision could present a serious impediment to law enforcement by
revealing investigative techniques, procedures, and existence of
confidential investigations.
(I) From subsection (f) because the agency's rules are inapplicable
to those portions of the system that are exempt and would place the
burden on the agency of either confirming or denying the existence of a
record pertaining to a requesting individual might in itself provide an
answer to that individual relating to an on-going investigation. The
conduct of a successful investigation leading to the indictment of a
criminal offender precludes the applicability of established agency
rules relating to verification of record, disclosure of the record to
that individual, and record amendment procedures for this record system.
(J) From subsection (g) because this system of records should be
exempt to the extent that the civil remedies relate to provisions of 5
U.S.C. 552a from which this rule exempts the system.
(f) Specific Exemptions. The following systems of records are
subject to the specific exemptions shown:
(1) System identifier and name: F036 USAFA K, Admissions Records.
(i) Exemption: Evaluation material used to determine potential for
promotion in the Military Services may be exempt pursuant to 5 U.S.C.
552a(k)(7), but only to the extent that the disclosure of such material
would reveal the identify of a confidential source. Therefore, portions
of this system of records (Liaison Officer Evaluation and Selection
Panel Candidate Evaluation) may be exempt pursuant to 5 U.S.C.
552a(k)(7) from the following subsections of 5 U.S.C. 552a(d),
(e)(4)(H), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(7).
(iii) Reasons: To ensure the frankness of information used to
determine whether cadets are qualified for graduation and commissioning
as officers in the Air Force.
(2) System identifier and name: F036 AFPC N, Air Force Personnel
Test 851, Test Answer Sheets.
(i) Exemption: Testing or examination material used solely to
determine individual qualifications for appointment or promotion in the
federal or military service may be exempt pursuant to 5 U.S.C.
552a(k)(6), if the disclosure would compromise the objectivity or
fairness of the test or examination process. Therefore, portions of this
system of records may be exempt pursuant to 5 U.S.C. 552a(k)(6) from the
following subsections of 5 U.S.C. 552a(c)(3); (d); (e)(4)(G), (H), and
(I); and (f).
(ii) Authority: 5 U.S.C. 552a(k)(6).
(iii) Reasons: To protect the objectivity of the promotion testing
system by keeping the test questions and answers in confidence.
(3) System identifier and name: F036 USAFA A, Cadet Personnel
Management System.
(i) Exemption: Evaluation material used to determine potential for
promotion in the Military Services may be exempt pursuant to 5 U.S.C.
552a(k)(7), but only to the extent that the disclosure of such material
would reveal the identify of a confidential source. Therefore, portions
of this system of records may be exempt pursuant to 5 U.S.C. 552a(k)(7)
from the following subsections of 5 U.S.C. 552a(d), (e)(4)(H), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(7).
(iii) Reasons: To maintain the candor and integrity of comments
needed to evaluate an Air Force Academy cadet for commissioning in the
Air Force.
(4) System identifier and name: F036 AETC I, Cadet Records.
(i) Exemption: Investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications for
federal civilian employment, military service, federal contracts, or
access to classified information may be exempt pursuant to 5 U.S.C.
552a(k)(5), but only to the extent that such material would reveal the
identity of a confidential source. Therefore, portions of this system of
records may be exempt pursuant to 5 U.S.C. 552a(k)(5) (Detachment
Professional Officer Course Selection Rating Sheets; Air Force Reserve
Officer Training Corps Form 0-24--Disenrollment Review; Memoranda for
Record and Staff Papers with Staff Advice, Opinions, or Suggestions) may
be exempt from the following subsections of 5 U.S.C. 552a(c)(3), (d),
(e)(4)(G) and (H), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(5).
(iii) Reasons: To protect the identity of a confidential source who
furnishes information necessary to make determinations about the
qualifications, eligibility, and
[[Page 62]]
suitability of cadets for graduation and commissioning in the Air Force.
(5) System identifier and name: F044 AF SG Q, Family Advocacy
Program Records.
(i) Exemption: (A) Investigative material compiled for law
enforcement purposes, other than material within the scope of subsection
5 U.S.C. 552a(j)(2), may be exempt pursuant to 5 U.S.C. 552a(k)(2).
However, if an individual is denied any right, privilege, or benefit for
which he would otherwise be entitled by Federal law or for which he
would otherwise be eligible, as a result of the maintenance of the
information, the individual will be provided access to the information
exempt to the extent that disclosure would reveal the identity of a
confidential source. Note: When claimed, this exemption allows limited
protection of investigative reports maintained in a system of records
used in personnel or administrative actions.
(B) Investigative material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for federal
civilian employment, military service, federal contracts, or access to
classified information may be exempt pursuant to 5 U.S.C. 552a(k)(5),
but only to the extent that such material would reveal the identity of a
confidential source.
(C) Therefore, portions of this system of records may be exempt
pursuant to 5 U.S.C. 552a(k)(2) and (k)(5) from the following
subsections of 5 U.S.C. 552a(c)(3) and (d).
(ii) Authority: 5 U.S.C. 552a(k)(2) and (k)(5).
(iii) Reasons: From subsections (c)(3) and (d) because the exemption
is needed to encourage those who know of exceptional medical or
educational conditions or family maltreatments to come forward by
protecting their identities and to protect such sources from
embarrassment or recriminations, as well as to protect their right to
privacy. It is essential that the identities of all individuals who
furnish information under an express promise of confidentiality be
protected. Granting individuals access to information relating to
criminal and civil law enforcement, as well as the release of certain
disclosure accounting, could interfere with ongoing investigations and
the orderly administration of justice, in that it could result in the
concealment, alteration, destruction, or fabrication of information;
could hamper the identification of offenders or alleged offenders and
the disposition of charges; and could jeopardize the safety and well
being of parents and their children. Exempted portions of this system
also contain information considered relevant and necessary to make a
determination as to qualifications, eligibility, or suitability for
Federal employment and Federal contracts, and that was obtained by
providing an express or implied promise to the source that his or her
identity would not be revealed to the subject of the record.
(6) System identifier and name: F036 AF PC A, Effectiveness/
Performance Reporting System.
(i) Exemption: Evaluation material used to determine potential for
promotion in the Military Services (Brigadier General Selectee
Effectiveness Reports and Colonel and Lieutenant Colonel Promotion
Recommendations with close out dates on or before January 31, 1991) may
be exempt pursuant to 5 U.S.C. 552a(k)(7), but only to the extent that
the disclosure of such material would reveal the identity of a
confidential source. Therefore, portions of this system of records may
be exempt pursuant to 5 U.S.C. 552a(k)(7) from the following subsections
of 5 U.S.C. 552a(c)(3), (d), (e)(4)(H), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(7).
(iii) Reasons: (A) From subsection (c)(3) because making the
disclosure accounting available to the individual may compromise express
promises of confidentiality by revealing details about the report and
identify other record sources, which may result in circumvention of the
access exemption.
(B) From subsection (d) because individual disclosure compromises
express promises of confidentiality conferred to protect the integrity
of the promotion rating system.
(C) From subsection (e)(4)(H) because of and to the extent that
portions of this record system are exempt from the individual access
provisions of subsection (d).
(D) From subsection (f) because of and to the extent that portions
of this record system are exempt from the individual access provisions
of subsection (d).
(7) System identifier and name: F036 AFDP A, Files on General
Officers and Colonels Assigned to General Officer Positions.
(i) Exemption: Evaluation material used to determine potential for
promotion in the Military Services may be exempt pursuant to 5 U.S.C.
552a(k)(7), but only to the extent that the disclosure of such material
would reveal the identity of a confidential source. Therefore, portions
of this system of records may be exempt pursuant to 5 U.S.C. 552a(k)(7)
from the following subsections of 5 U.S.C. 552a(c)(3), (d), (e)(4)(G),
(H), and (I); and (f).
(ii) Authority: 5 U.S.C. 552a(k)(7).
(iii) Reasons: To protect the integrity of information used in the
Reserve Initial Brigadier General Screening Board, the release of which
would compromise the selection process.
(8) System identification and name: F036 AF PC O, General Officer
Personnel Data System.
(i) Exemption: Evaluation material used to determine potential for
promotion in the Military Services may be exempt pursuant to 5 U.S.C.
552a(k)(7), but only to the extent that the disclosure of such material
would reveal the identity of a confidential source. Therefore, portions
of this system of records
[[Page 63]]
(Air Force General Officer Promotion and Effectiveness Reports with
close out dates on or before January 31, 1991) may be exempt pursuant to
5 U.S.C. 552a(k)(7) may be exempt from following subsections of 5 U.S.C.
552a(c)(3), (d), (e)(4)(H), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(7).
(iii) Reason: (A) From subsection (c)(3) because making the
disclosure accounting available to the individual may compromise express
promises of confidentiality by revealing details about the report and
identify other record sources, which may result in circumvention of the
access exemption.
(B) From subsection (d) because individual disclosure compromises
express promises of confidentiality conferred to protect the integrity
of the promotion rating system.
(C) From subsection (e)(4)(H) because of and to the extent that
portions of this record system are exempt from the individual access
provisions of subsection (d).
(D) From subsection (f) because of and to the extent that portions
of this record system are exempt from the individual access provisions
of subsection (d).
(9) System identifier and name: F036 AFPC K, Historical Airman
Promotion Master Test File.
(i) Exemption: Testing or examination material used solely to
determine individual qualifications for appointment or promotion in the
federal or military service, if the disclosure would compromise the
objectivity or fairness of the test or examination process may be exempt
pursuant to 5 U.S.C. 552a(k)(6), if the disclosure would compromise the
objectivity or fairness of the test or examination process. Therefore,
portions of this system of records may be exempt pursuant to 5 U.S.C.
552a(k)(6) from the following subsections of 5 U.S.C. 552a(c)(3), (d),
(e)(4)(G), (H), and (I), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(6).
(iii) Reasons: To protect the integrity, objectivity, and equity of
the promotion testing system by keeping test questions and answers in
confidence. Reserved.
(10) System identifier and name: F071 AF OSI F, Investigative
Applicant Processing Records.
(i) Exemption: Investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications for
federal civilian employment, military service, federal contracts, or
access to classified information may be exempt pursuant to 5 U.S.C.
552a(k)(5), but only to the extent that such material would reveal the
identity of a confidential source. Therefore, portions of this system of
records may be exempt pursuant to 5 U.S.C. 552a(k)(5) from the following
subsections of 5 U.S.C. 552a(c)(3), (d), (e)(4)(G), (H), and (I), and
(f).
(ii) Authority: 5 U.S.C. 552a(k)(5).
(iii) Reasons: To protect those who gave information in confidence
during Air Force Office of Special Investigations applicant inquiries.
Fear of harassment could cause sources not to make frank and open
responses about applicant qualifications. This could compromise the
integrity of the Air Force Office of Special Investigations personnel
program that relies on selecting only qualified people.
(11) System identifier and name: F036 USAFA B, Master Cadet
Personnel Record (Active/Historical).
(i) Exemptions: Evaluation material used to determine potential for
promotion in the Military Services may be exempt pursuant to 5 U.S.C.
552a(k)(7), but only to the extent that the disclosure of such material
would reveal the identify of a confidential source. Therefore, portions
of this system of records may be exempt pursuant to 5 U.S.C. 552a(k)(7)
from the following subsections of 5 U.S.C. 552a(d), (e)(4)(H), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(7).
(iii) Reasons: To maintain the candor and integrity of comments
needed to evaluate a cadet for commissioning in the Air Force.
(12) System identifier and name: F031 497IG A, Sensitive
Compartmented Information Personnel Records.
(i) Exemption: (A) Investigatory material compiled for law
enforcement purposes, other than material within the scope of subsection
5 U.S.C. 552a(j)(2), may be exempt pursuant to 5 U.S.C. 552a(k)(2).
However, if an individual is denied any right, privilege, or benefit for
which he would otherwise be entitled by Federal law or for which he
would otherwise be eligible, as a result of the maintenance of the
information, the individual will be provided access to the information
exempt to the extent that disclosure would reveal the identify of a
confidential source. Note: When claimed, this exemption allows limited
protection of investigative reports maintained in a system of records
used in personnel or administrative actions.
(B) Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for federal
civilian employment, military service, federal contracts, or access to
classified information may be exempt pursuant to 5 U.S.C. 552a(k)(5),
but only to the extent that such material would reveal the identity of a
confidential source.
(C) Therefore, portions of this system of records may be exempt
pursuant to 5 U.S.C. 552a(k)(2) and (k)(5) from the following
subsections of 5 U.S.C. 552a(c)(3), (d), (e)(4)(G), (H), and (I), and
(f).
(ii) Authority: 5 U.S.C. 552a(k)(2) and (k)(5).
(iii) Reasons: To protect the identity of sources to which proper
promises of confidentiality have been made during investigations.
Without these promises, sources will often be unwilling to provide
information essential in adjudicating access in a fair and impartial
manner.
[[Page 64]]
(13) System identifier and name: F071 AF OSI B, Security and Related
Investigative Records.
(i) Exemption: Investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications for
federal civilian employment, military service, federal contracts, or
access to classified information may be exempt pursuant to 5 U.S.C.
552a(k)(5), but only to the extent that such material would reveal the
identity of a confidential source. Therefore, portions of this system of
records may be exempt pursuant to 5 U.S.C. 552a(k)(5) from the following
subsections of 5 U.S.C. 552a(c)(3), (d), (e)(4)(G), (H), and (I), and
(f).
(ii) Authority: 5 U.S.C. 552a(k)(5).
(iii) Reasons: To protect the identity of those who give information
in confidence for personnel security and related investigations. Fear of
harassment could cause sources to refuse to give this information in the
frank and open way needed to pinpoint those areas in an investigation
that should be expanded to resolve charges of questionable conduct.
(14) System identifier and name: F031 497IG B, Special Security Case
Files.
(i) Exemption: Investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications for
federal civilian employment, military service, federal contracts, or
access to classified information may be exempt pursuant to 5 U.S.C.
552a(k)(5), but only to the extent that such material would reveal the
identity of a confidential source. Therefore, portions of this system of
records may be exempt pursuant to 5 U.S.C. 552a(k)(5) from the following
subsections of 5 U.S.C. 552a(c)(3), (d), (e)(4)(G), (H), and (I), and
(f).
(ii) Authority: 5 U.S.C. 552a(k)(5).
(iii) Reasons: To protect the identity of those who give information
in confidence for personnel security and related investigations. Fear of
harassment could cause sources to refuse to give this information in the
frank and open way needed to pinpoint those areas in an investigation
that should be expanded to resolve charges of questionable conduct.
(15) System identifier and name: F031 AF SP N, Special Security
Files.
(i) Exemption: Investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications for
federal civilian employment, military service, federal contracts, or
access to classified information may be exempt pursuant to 5 U.S.C.
552a(k)(5), but only to the extent that such material would reveal the
identity of a confidential source. Therefore, portions of this system of
records may be exempt pursuant to 5 U.S.C. 552a(k)(5) from the following
subsections of 5 U.S.C. 552a(c)(3), (d), (e)(4)(G), (H), and (I), and
(f).
(ii) Authority: 5 U.S.C. 552a(k)(5).
(iii) Reasons: To protect the identity of those who give information
in confidence for personnel security and related investigations. Fear of
harassment could cause them to refuse to give this information in the
frank and open way needed to pinpoint areas in an investigation that
should be expanded to resolve charges of questionable conduct.
(16) System identifier and name: F036 AF PC P, Applications for
Appointment and Extended Active Duty Files.
(i) Exemption: Investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications for
federal civilian employment, military service, federal contracts, or
access to classified information may be exempt pursuant to 5 U.S.C.
552a(k)(5), but only to the extent that such material would reveal the
identity of a confidential source. Therefore, portions of this system of
records may be exempt pursuant to 5 U.S.C. 552a(k)(5) from the following
subsection of 5 U.S.C. 552a(d).
(ii) Authority: 5 U.S.C. 552a(k)(5).
(iii) Reasons: To protect the identity of confidential sources who
furnish information necessary to make determinations about the
qualifications, eligibility, and suitability of health care
professionals who apply for Reserve of the Air Force appointment or
interservice transfer to the Air Force.
(17) System identifier and name: F036 AF DPG, Military Equal
Opportunity and Treatment.
(i) Exemption: Investigative material compiled for law enforcement
purposes, other than material within the scope of subsection 5 U.S.C.
552a(j)(2), may be exempt pursuant to 5 U.S.C. 552a(k)(2). However, if
an individual is denied any right, privilege, or benefit for which he
would otherwise be entitled by Federal law or for which he would
otherwise be eligible, as a result of the maintenance of the
information, the individual will be provided access to the information
exempt to the extent that disclosure would reveal the identity of a
confidential source. Note: When claimed, this exemption allows limited
protection of investigative reports maintained in a system of records
used in personnel or administrative actions. Therefore, portions of this
system of records may be exempt pursuant to 5 U.S.C. 522a(k)(2) from the
following subsections of 5 U.S.C. 552a(d), (e)(4)(H), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(2).
(iii) Reasons: (A) From subsection (d) because access to the records
contained in this system would inform the subject of an investigation of
the existence of that investigation, provide the subject of the
investigation with information that might enable him to avoid detection,
and would present a serious impediment to law enforcement. In addition,
granting individuals access to information collected while an Equal
Opportunity and Treatment clarification/investigation is in
[[Page 65]]
progress conflicts with the just, thorough, and timely completion of the
complaint, and could possibly enable individuals to interfere, obstruct,
or mislead those clarifying/investigating the complaint.
(B) From subsection (e)(4)(H) because this system of records is
exempt from individual access pursuant to subsection (k) of the Privacy
Act of 1974.
(C) From subsection (f) because this system of records has been
exempted from the access provisions of subsection (d).
(18) System identifier and name: F051 AF JA I, Commander Directed
Inquiries.
(i) Exemption: Investigatory material compiled for law enforcement
purposes, other than material within the scope of subsection 5 U.S.C.
552a(j)(2), may be exempt pursuant to 5 U.S.C. 552a(k)(2). However, if
an individual is denied any right, privilege, or benefit for which he
would otherwise be entitled by Federal law or for which he would
otherwise be eligible, as a result of the maintenance of the
information, the individual will be provided access to the information
except to the extent that disclosure would reveal the identity of a
confidential source. Note: When claimed, this exemption allows limited
protection of investigative reports maintained in a system of records
used in personnel or administrative actions. Any portion of this system
of records which falls within the provisions of 5 U.S.C. 552a(k)(2) may
be exempt from the following subsections of 5 U.S.C. 552a(c)(3), (d),
(e)(1), (e)(4)(G), (H), and (I), and (f).
(ii) Authority: 5 U.S.C. 552a(k)(2).
(iii) Reasons: (A) From subsection (c)(3) because to grant access to
the accounting for each disclosure as required by the Privacy Act,
including the date, nature, and purpose of each disclosure and the
identity of the recipient, could alert the subject to the existence of
the investigation. This could seriously compromise case preparation by
prematurely revealing its existence and nature; compromise or interfere
with witnesses or make witnesses reluctant to cooperate; and lead to
suppression, alteration, or destruction of evidence.
(B) From subsections (d) and (f) because providing access to
investigative records and the right to contest the contents of those
records and force changes to be made to the information contained
therein would seriously interfere with and thwart the orderly and
unbiased conduct of the investigation and impede case preparation.
Providing access rights normally afforded under the Privacy Act would
provide the subject with valuable information that would allow
interference with or compromise of witnesses or render witnesses
reluctant to cooperate; lead to suppression, alteration, or destruction
of evidence; enable individuals to conceal their wrongdoing or mislead
the course of the investigation; and result in the secreting of or other
disposition of assets that would make them difficult or impossible to
reach in order to satisfy any Government claim growing out of the
investigation or proceeding.
(C) From subsection (e)(1) because it is not always possible to
detect the relevance or necessity of each piece of information in the
early stages of an investigation. In some cases, it is only after the
information is evaluated in light of other evidence that its relevance
and necessity will be clear.
(D) From subsections (e)(4)(G) and (H) because this system of
records is compiled for investigative purposes and is exempt from the
access provisions of subsections (d) and (f).
(E) From subsection (e)(4)(I) because to the extent that this
provision is construed to require more detailed disclosure than the
broad, generic information currently published in the system notice, an
exemption from this provision is necessary to protect the
confidentiality of sources of information and to protect privacy and
physical safety of witnesses and informants.
(19) [Reserved]
(20) System identifier and name: F033 AF A, Information Requests-
Freedom of Information Act.
(i) Exemption: During the processing of a Freedom of Information Act
request, exempt materials from `other' systems of records may in turn
become part of the case record in this system. To the extent that copies
of exempt records from those other systems of records are entered into
this system, the Department of the Air Force hereby claims the same
exemptions for the records from those `other' systems that are entered
into this system, as claimed for the original primary system of which
they are a part.
(ii) Authority: 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), (k)(3), (k)(4),
(k)(5), (k)(6), and (k)(7).
(iii) Reasons: Records are only exempt from pertinent provisions of
5 U.S.C. 552a to the extent such provisions have been identified and an
exemption claimed for the original record, and the purposes underlying
the exemption for the original record still pertain to the record which
is now contained in this system of records. In general, the exemptions
were claimed in order to protect properly classified information
relating to national defense and foreign policy, to avoid interference
during the conduct of criminal, civil, or administrative actions or
investigations, to ensure protective services provided the President and
others are not compromised, to protect the identity of confidential
sources incident to Federal employment, military service, contract, and
security clearance determinations, and to preserve the confidentiality
and integrity of Federal evaluation materials. The exemption rule for
the original records will identify the specific reasons why the records
are exempt from specific provisions of 5 U.S.C. 552a.
[[Page 66]]
(21) System identifier and name: F033 AF B, Privacy Act Request
Files.
(i) Exemption: During the processing of a Privacy Act request,
exempt materials from other systems of records may in turn become part
of the case record in this system. To the extent that copies of exempt
records from those `other' systems of records are entered into this
system, the Department of the Air Force hereby claims the same
exemptions for the records from those `other' systems that are entered
into this system, as claimed for the original primary system of which
they are a part.
(ii) Authority: 5 U.S.C. 552a(j)(2), (k)(1), (k)(2), (k)(3), (k)(4),
(k)(5), (k)(6), and (k)(7).
(iii) Reason: Records are only exempt from pertinent provisions of 5
U.S.C. 552a to the extent such provisions have been identified and an
exemption claimed for the original record, and the purposes underlying
the exemption for the original record still pertain to the record which
is now contained in this system of records. In general, the exemptions
were claimed in order to protect properly classified information
relating to national defense and foreign policy, to avoid interference
during the conduct of criminal, civil, or administrative actions or
investigations, to ensure protective services provided the President and
others are not compromised, to protect the identity of confidential
sources incident to Federal employment, military service, contract, and
security clearance determinations, and to preserve the confidentiality
and integrity of Federal evaluation materials. The exemption rule for
the original records will identify the specific reasons why the records
are exempt from specific provisions of 5 U.S.C. 552a.
[69 FR 954, Jan. 7, 2004, as amended at 69 FR 12540, Mar. 17, 2004; 70
FR 46405, Aug. 10, 2005]
Sec. Appendix E to Part 806b--Privacy Impact Assessment
Section A--Introduction and Overview
The Privacy Act Assessment. The Air Force recognizes the importance
of protecting the privacy of individuals, to ensure sufficient
protections for the privacy of personal information as we implement
citizen-centered e-Government. Privacy issues must be addressed when
systems are being developed, and privacy protections must be integrated
into the development life cycle of these automated systems. The vehicle
for addressing privacy issues in a system under development is the
Privacy Impact Assessment. The Privacy Impact Assessment process also
provides a means to assure compliance with applicable laws and
regulations governing individual privacy.
(a) Purpose. The purpose of this document is to:
(1) Establish the requirements for addressing privacy during the
systems development process.
(2) Describe the steps required to complete a Privacy Impact
Assessment.
(3) Define the privacy issues you will address in the Privacy Impact
Assessment.
(b) Background. The Air Force is responsible for ensuring the
privacy, confidentiality, integrity, and availability of personal
information. The Air Force recognizes that privacy protection is both a
personal and fundamental right. Among the most basic of individuals'
rights is an expectation that the Air Force will protect the
confidentiality of personal, financial, and employment information.
Individuals also have the right to expect that the Air Force will
collect, maintain, use, and disseminate identifiable personal
information and data only as authorized by law and as necessary to carry
out agency responsibilities. Personal information is protected by the
following:
(1) Title 5, U.S.C. 552a, The Privacy Act of 1974, as amended, which
affords individuals the right to privacy in records maintained and used
by Federal agencies. Note: 5 U.S.C. 552a includes Public Law 100-503,
The Computer Matching and Privacy Act of 1988. \13\
---------------------------------------------------------------------------
\13\ http://www.defenselink.mil/privacy/1975OMB--PAGuide/
jun1989.pdf.
---------------------------------------------------------------------------
(2) Public Law 100-235, The Computer Security Act of 1987, \14\
which establishes minimum security practices for Federal computer
systems.
---------------------------------------------------------------------------
\14\ http://csrc.nist.gov/secplcy/csa--87.txt.
---------------------------------------------------------------------------
(3) OMB Circular A-130, Management of Federal Information Resources,
\15\ which provides instructions to Federal agencies on how to comply
with the fair information practices and security requirements for
operating automated information systems.
---------------------------------------------------------------------------
\15\ http://www.whitehouse.gov/omb/circulars/a130/a130trans4.html.
---------------------------------------------------------------------------
(4) Public Law 107-347, Section 208, E-Gov Act of 2002, which aims
to ensure privacy in the conduct of federal information activities.
(5) Title 5, U.S.C. 552, The Freedom of Information Act, as amended,
which provides for the disclosure of information maintained by Federal
agencies to the public while allowing limited protections for privacy.
(6) DoD Directive 5400.11, Department of Defense Privacy Program,
\16\ December 13, 1999.
---------------------------------------------------------------------------
\16\ http://www.dtic.mil/whs/directives/corres/html/540011.htm.
---------------------------------------------------------------------------
(7) DoD 5400.11-R, Department of Defense Privacy Program, \17\
August 1983.
---------------------------------------------------------------------------
\17\ http://www.dtic.mil/whs/directives/corres/html/540011r.htm.
---------------------------------------------------------------------------
(8) Air Force Instruction 33-332, Air Force Privacy Act Program.
(c) The Air Force Privacy Office is in the Office of the Air Force
Chief Information Officer, Directorate of Plans and Policy, and is
[[Page 67]]
responsible for overseeing Air Force implementation of the Privacy Act.
Section B--Privacy and Systems Development
System Privacy. Rapid advancements in computer technology make it
possible to store and retrieve vast amounts of data of all kinds quickly
and efficiently. These advancements have raised concerns about the
impact of large computerized information systems on the privacy of data
subjects. Public concerns about highly integrated information systems
operated by the government make it imperative to commit to a positive
and aggressive approach to protecting individual privacy. Air Force
Chief Information Officer is requiring the use of this Privacy Impact
Assessment in order to ensure that the systems the Air Force develops
protect individuals' privacy. The Privacy Impact Assessment incorporates
privacy into the development life cycle so that all system development
initiatives can appropriately consider privacy issues from the earliest
stages of design.
(a) What is a Privacy Impact Assessment? The Privacy Impact
Assessment is a process used to evaluate privacy in information systems.
The process is designed to guide system owners and developers in
assessing privacy through the early stages of development. The process
consists of privacy training, gathering data from a project on privacy
issues, and identifying and resolving the privacy risks. The Privacy
Impact Assessment process is described in detail in Section C,
Completing a Privacy Impact Assessment.
(b) When is a Privacy Impact Assessment Done? The Privacy Impact
Assessment is initiated in the early stages of the development of a
system and completed as part of the required system life cycle reviews.
Privacy must be considered when requirements are being analyzed and
decisions are being made about data usage and system design. This
applies to all of the development methodologies and system life cycles
used in the Air Force.
(c) Who completes the Privacy Impact Assessment? Both the system
owner and system developers must work together to complete the Privacy
Impact Assessment. System owners must address what data is to be used,
how the data is to be used, and who will use the data. The system
developers must address whether the implementation of the owner's
requirements presents any threats to privacy.
(d) What systems have to complete a Privacy Impact Assessment?
Accomplish Privacy Impact Assessments when:
(1) Developing or procuring information technology that collects,
maintains, or disseminates information in identifiable form from or
about members of the public.
(2) Initiating a new collection of information, using information
technology, that collects, maintains, or disseminates information in
identifiable form for 10 or more persons excluding agencies,
instrumentalities, or employees of the Federal Government.
(3) Systems as described above that are undergoing major
modifications.
(e) The Air Force or Major Command Privacy Act Officer reserves the
right to request that a Privacy Impact Assessment be completed on any
system that may have privacy risks.
Section C--Completing a Privacy Impact Assessment
The Privacy Impact Assessment. This section describes the steps
required to complete a Privacy Impact Assessment. These steps are
summarized in Table A4.1, Outline of Steps for Completing a Privacy
Impact Assessment.
Training. Training on the Privacy Impact Assessment will be
available, on request, from the Major Command Privacy Act Officer. The
training consists of describing the Privacy Impact Assessment process
and provides detail about the privacy issues and privacy questions to be
answered to complete the Privacy Impact Assessment. Major Command
Privacy Act Officers may use Appendix E, Sections A, B, D, and E for
this purpose. The intended audience is the personnel responsible for
writing the Privacy Impact Assessment document.
The Privacy Impact Assessment Document. Preparing the Privacy Impact
Assessment document requires the system owner and developer to answer
the privacy questions in Section E. A brief explanation should be
written for each question. Issues that do not apply to a system should
be noted as ``Not Applicable.'' During the development of the Privacy
Impact Assessment document, the Major Command Privacy Act Officer will
be available to answer questions related to the Privacy Impact
Assessment process and other concerns that may arise with respect to
privacy.
Review of the Privacy Impact Assessment Document. Submit the
completed Privacy Impact Assessment document to the Major Command
Privacy Act Office for review. The purpose of the review is to identify
privacy risks in the system.
Approval of the Privacy Impact Assessment. The system life cycle
review process (Command, Control, Communications, Computers, and
Intelligence Support Plan) will be used to validate the incorporation of
the design requirements to resolve the privacy risks. Major Command and
Headquarters Air Force Functional CIOs will issue final approval of the
Privacy Impact Assessment.
[[Page 68]]
Table A4.1--Outline of Steps for Completing a Privacy Impact Assessment
------------------------------------------------------------------------
Step Who Procedure
------------------------------------------------------------------------
1.......................... System Owner, and Request and complete
Developer. Privacy Impact
Assessment
Training.
2.......................... System Owner, and Answer the questions
Developer. in Section E,
Privacy Questions.
For assistance
contact your Major
Command Privacy Act
Officer.
3.......................... System Owner, and Submit the Privacy
Developer. Impact Assessment
document to the
Major Command
Privacy Act
Officer.
4.......................... Major Command Privacy Review the Privacy
Act Officer. Impact Assessment
document to
identify privacy
risks from the
information
provided. The Major
Command Privacy Act
Officer will get
clarification from
the owner and
developer as
needed.
5.......................... System Owner and The System Owner,
Developer, Major Developer and the
Command Privacy Act Major Command
Officer. Privacy Act Officer
should reach
agreement on design
requirements to
resolve all
identified risks.
6.......................... System Owner, Participate in the
Developer, and Major required system
Command Privacy Act life cycle reviews
Officer. to ensure
satisfactory
resolution of
identified privacy
risks to obtain
formal approval
from the Major
Command or
Headquarters Air
Force Functional
CIO.
7.......................... Major Command or Issue final approval
Headquarters Air of Privacy Impact
Force Functional CIO. Assessment, and
send a copy to Air
Force Chief
Information Officer/
P.
8.......................... Air Force Chief When feasible,
Information Officer/ publish Privacy
P. Impact Assessment
on Freedom of
Information Act Web
page (http://
www.foia.af.mil).
------------------------------------------------------------------------
Section D--Privacy Issues in Information Systems
Privacy Act of 1974, 5 U.S.C. 552a as Amended
Title 5, U.S.C., 552a, The Privacy Act of 1974, as amended, requires
Federal Agencies to protect personally identifiable information. It
states specifically:
Each agency that maintains a system of records shall:
Maintain in its records only such information about an individual as
is relevant and necessary to accomplish a purpose of the agency required
to be accomplished by statute or by executive order of the President;
Collect information to the greatest extent practicable directly from
the subject individual when the information may result in adverse
determinations about an individual's rights, benefits, and privileges
under Federal programs;
Maintain all records used by the agency in making any determination
about any individual with such accuracy, relevance, timeliness, and
completeness as is reasonably necessary to assure fairness to the
individual in the determination;
Establish appropriate administrative, technical and physical
safeguards to ensure the security and confidentiality of records and to
protect against any anticipated threats or hazards to their security or
integrity which could result in substantial harm, embarrassment,
inconvenience, or unfairness to any individual on whom information is
maintained.
Definitions
Accuracy--within sufficient tolerance for error to assure the
quality of the record in terms of its use in making a determination.
Completeness--all elements necessary for making a determination are
present before such determination is made.
Determination--any decision affecting an individual which, in whole
or in part, is based on information contained in the record and which is
made by any person or agency.
Necessary--a threshold of need for an element of information greater
than mere relevance and utility.
Record--any item, collection or grouping of information about an
individual and identifiable to that individual that is maintained by an
agency.
Relevance--limitation to only those elements of information that
clearly bear on the determination(s) for which the records are intended.
Routine Use--with respect to the disclosure of a record, the use of
such record outside DoD for a purpose that is compatible with the
purpose for which it was collected.
System of Records--a group of any records under the control of any
agency from which information is retrieved by the name of the individual
or by some identifying number, symbol, or other identifying particular
assigned to the individual.
Timeliness--sufficiently current to ensure that any determination
based on the record will be accurate and fair.
[[Page 69]]
Information and Privacy
To fulfill the commitment of the Air Force to protect personal
information, several issues must be addressed with respect to privacy.
The use of information must be controlled.
Information may be used only for a necessary and lawful purpose.
Individuals must be informed in writing of the principal purpose and
routine uses of the information being collected from them.
Information collected for a particular purpose should not be used
for another purpose without the data subject's consent unless such other
uses are specifically authorized or mandated by law.
Any information used must be sufficiently accurate, relevant, timely
and complete to assure fair treatment of the individual.
Given the availability of vast amounts of stored information and the
expanded capabilities of information systems to process the information,
it is foreseeable that there will be increased requests to share that
information. With the potential expanded uses of data in automated
systems it is important to remember that information can only be used
for the purpose for which it was collected unless other uses are
specifically authorized or mandated by law. If the data is to be used
for other purposes, then the public must be provided notice of those
other uses. These procedures do not in themselves create any legal
rights, but are intended to express the full and sincere commitment of
the Air Force to protect individual privacy rights and which provide
redress for violations of those rights.
Data in the System
The sources of the information in the system are an important
privacy consideration if the data is gathered from other than Air Force
records. Information collected from non-Air Force sources should be
verified, to the extent practicable, for accuracy, that the information
is current, and complete. This is especially important if the
information will be used to make determinations about individuals.
Access to the Data
Who has access to the data in a system must be defined and
documented. Users of the data can be individuals, other systems, and
other agencies. Individuals who have access to the data can be system
users, system administrators, system owners, managers, and developers.
When individuals are granted access to a system, their access should be
limited, where possible, to only that data needed to perform their
assigned duties. If individuals are granted access to all of the data in
a system, procedures need to be in place to deter and detect browsing
and unauthorized access. Other systems are any programs or projects that
interface with the system and have access to the data. Other agencies
can be International, Federal, state, or local entities that have access
to Air Force data.
Attributes of the Data
When requirements for the data to be used in the system are being
determined, those requirements must include the privacy attributes of
the data. The privacy attributes are derived from the legal requirements
imposed by The Privacy Act of 1974. First, the data must be relevant and
necessary to accomplish the purpose of the system. Second, the data must
be complete, accurate, and timely. It is important to ensure the data
has these privacy attributes in order to assure fairness to the
individual in making decisions based on the data.
Maintenance of Administrative Controls
Automation of systems can lead to the consolidation of processes,
data, and the controls in place to protect the data. When administrative
controls are consolidated, they should be evaluated so that all
necessary controls remain in place to the degree necessary to continue
to control access to and use of the data. Document record retention and
disposal procedures and coordinate them with the Major Command Records
Manager.
Section E--Privacy Questions
Data in the System
1. Generally describe the information to be used in System the
system.
2. What are the sources of the information in the system?
a. What Air Force files and databases are used?
b. What Federal Agencies are providing data for use in the system?
c. What State and local agencies are providing data for use in the
system?
d. What other third party sources will data be collected from?
e. What information will be collected from the employee?
3. Is data accurate and complete?
a. How will data collected from sources other than Air Force records
and the subject be verified for accuracy?
b. How will data be checked for completeness?
c. Is the data current? How do you know?
4. Are the data elements described in detail and documented? If yes,
what is the name of the document?
Access to the Data
1. Who will have access to the data in the system Data (Users,
Managers, System Administrators, Developers, Other)?
[[Page 70]]
2. How is access to the data by a user determined? Are criteria,
procedures, controls, and responsibilities regarding access documented?
3. Will users have access to all data on the system or will the
user's access be restricted? Explain.
4. What controls are in place to prevent the misuse (e.g., browsing)
of data by those having access?
5. Does the system share data with another system?
a. Do other systems share data or have access to data in this
system? If yes, explain.
b. Who will be responsible for protecting the privacy rights of the
employees affected by the interface?
6. Will other agencies have access to the data in the system?
a. Will other agencies share data or have access to data in this
system (International, Federal, State, Local, Other)?
b. How will the data be used by the agency?
c. Who is responsible for assuring proper use of the data?
d. How will the system ensure that agencies only get the information
they are entitled to under applicable laws?
Attributes of the Data
1. Is the use of the data both relevant and necessary Data to the
purpose for which the system is being designed?
2. Will the system create new data about an individual?
a. Will the system derive new data or create previously unavailable
data about an individual through aggregation from the information
collected?
b. Will the new data be placed in the individual's record?
c. Can the system make determinations about the record subject that
would not be possible without the new data?
d. How will the new data be verified for relevance and accuracy?
3. Is data being consolidated?
a. If data is being consolidated, what controls are in place to
protect the data from unauthorized access or use?
b. If processes are being consolidated, are the proper controls
remaining in place to protect the data and prevent unauthorized access?
Explain.
4. How will the data be retrieved? Is it retrieved by a personal
identifier? If yes, explain.
Maintenance of Administrative Controls
(1) a. Explain how the system and its use will ensure Administrative
equitable treatment of record subjects.
b. If the system is operated at more than one location, how will
consistent use of the system and data be maintained?
c. Explain any possibility of disparate treatment of individuals or
groups.
(2) a. Coordinate proposed maintenance and disposition of the
records with the Major Command Records Manager.
b. While the data is retained in the system, what are the
requirements for determining if the data is still sufficiently accurate,
relevant, timely, and complete to ensure fairness in making
determinations?
(3) a. Is the system using technologies in ways that the Air Force
has not previously employed?
b. How does the use of this technology affect personal privacy?
(4) a. Will this system provide the capability to identify, locate,
and monitor individuals? If yes, explain.
b. Will this system provide the capability to identify, locate, and
monitor groups of people? If yes, explain.
c. What controls will be used to prevent unauthorized monitoring?
(5) a. Under which Systems of Record notice does the system operate?
Provide number and name.
b. If the system is being modified, will the system of record
require amendment or revision? Explain.
PART 807_SALE TO THE PUBLIC--Table of Contents
Sec.
807.1 General requirements.
807.2 Charges for publications and forms.
807.3 Requests for classified material, For Official Use Only material,
accountable forms, storage safeguard forms, Limited (L)
distribution items, and items with restrictive distribution
caveats.
807.4 Availability and nonavailability of stock.
807.5 Processing requests.
807.6 Depositing payments.
Authority: 10 U.S.C. 8013.
Source: 55 FR 36631, Sept. 6, 1990, unless otherwise noted.
Sec. 807.1 General requirements.
(a) Unaltered Air Force publications and forms will be made
available to the public with or without charge, subject to the
requirements of this part. Base Chiefs of Information Management will
set up procedures to meet these needs and will make available Master
Publications Libraries for public use according to AFR 4-61. They will
also advise requesters that these libraries are available, since in many
cases this will satisfy their needs and reduce workloads in processing
sales requests. If
[[Page 71]]
the item is on sale by the Superintendent of Documents, GPO, refer the
request to that outlet. Refer general public requests for Air Force
administrative publications and forms to the National Technical
Information Service (NTIS), Defense Publication Section, US Department
of Commerce, 4285 Port Royal Road, Springfield, VA 22161-0001.
(b) The Air Force does not consider these unaltered publications and
forms as records, within the meaning of the Freedom of Information Act
(FOIA), as outlined in 5 U.S.C. 552 and implemented by part 806 of this
chapter. Refer requests that invoke the FOIA to the chief, base
information management, for processing.
(c) Units will process requests under the Foreign Military Sales
Program (FMS) as specified in AFR 4-71, chapter 11.
(d) Units will send requests from foreign governments, their
representatives, or international organizations to the MAJCOM foreign
disclosure policy office and to HQ USAF/CVAII, Washington DC 20330-5000.
Also send information copies of such requests to the base public affairs
office. Commands will supplement this requirement to include policies
pertaining to those items for which they have authority to release.
(e) Units will return a request for non-Air Force items to the
requester for submission to appropriate agency.
Sec. 807.2 Charges for publications and forms.
(a) The Air Force applies charges to all requests unless
specifically excluded.
(b) The Air Force applies charges according to part 813, Schedule of
Fees for Copying, Certifying, and Searching Records and Other
Documentary Material. Additional guidance is in part 812, User Charges,
including specific exclusion from charges as listed in Sec. 812.5. As
indicated, the list of exclusions is not all inclusive and
recommendations for additional exclusions are sent to the office of
primary responsibility for part 812 of this chapter.
(c) When a contractor requires publications and forms to perform a
contract, the Air Force furnishes them without charge, if the government
contracting officer approves these requirements.
Sec. 807.3 Requests for classified material, For Official Use Only material,
accountable forms, storage safeguard forms, Limited (L) distribution items,
and items with restrictive distribution caveats.
(a) Classified material. The unit receiving the requests should tell
the requester that the Air Force cannot authorize the material for
release because it is currently and properly classified in the interest
of national security as authority by Executive Order, and must be
protected from unauthorized disclosure.
(b) For Official Use Only (FOUO) material. The office of primary
responsibility for the material will review these requests to determine
the material's releasability.
(c) Accountable forms. The unit receiving the request will return it
to the requester stating that the Air Force stringently controls these
forms and cannot release them to unauthorized personnel since their
misuse could jeopardize Department of Defense security or could result
in fraudulent financial gain or claims against the government.
(d) Storage safeguard forms. The unit receiving these requests
returns them to the requesters stating that the Air Force specially
controls these forms and that they are not releasable outside the
Department of Defense since they could be put to unauthorized or
fraudulent use.
(e) Limited (L) distribution items are not releasable outside the
Department of Defense without special review according to AFR 700-6.
Units receiving these requests should refer them to the SCS manager
shown in the index or on the cover of the publications. Advise the
requesters of the referral.
(f) Items with restrictive distribution caveats. Some publications
have restrictive distribution caveats on the cover. Follow the
instructions stated and advise the requesters of the referral.
[[Page 72]]
Sec. 807.4 Availability and nonavailability of stock.
(a) Limit quantities furnished so that stock levels required for
operational Air Force support are not jeopardized.
(b) If the item is not available from publishing distribution office
(PDO) stock, obtain it from the Air Force Publishing Distribution
Center. If the item is under revision, advise the requester that it is
being revised and that no stock is available.
(c) If stocks are not available and the item is being reprinted,
advise the requester that stocks are expected to be available in 90
calendar days and to resubmit at that time.
Sec. 807.5 Processing requests.
Payment is required before shipping the requested material. Payment
must be by check or money order.
(a) Upon receipt of the request, determine the cost involved and
request the material.
(b) Upon receipt of the item, advise the requester to resubmit the
required payment and send the material after payment is received.
(c) If the material cannot be obtained, advise the requester of the
reason.
Sec. 807.6 Depositing payments.
Obtain instructions from the local Accounting and Finance Office
regarding how checks or money orders must be prepared and required
procedures for depositing them.
PART 809a_INSTALLATION ENTRY POLICY, CIVIL DISTURBANCE INTERVENTION AND
DISASTER ASSISTANCE--Table of Contents
Sec.
809a.0 Purpose.
Subpart A_Installation Entry Policy
809a.1 Random installation entry point checks.
809a.2 Military responsibility and authority.
809a.3 Unauthorized entry.
809a.4 Use of Government facilities.
809a.5 Barment procedures.
Subpart B_Civil Disturbance Intervention and Disaster Assistance
809a.6 Authority.
809a.7 Definitions.
809a.8 Installation policies and laws.
809a.9 Conditions for use of Air Force resources.
809a.10 Military commanders' responsibilities.
809a.11 Procedures outside the United States.
Authority: 10 U.S.C. 332 and 333.
Source: 67 FR 13718, Mar. 26, 2002, unless otherwise noted.
Sec. 809a.0 Purpose.
This part prescribes the commanders' authority for enforcing order
within or near Air Force installations under their jurisdiction and
controlling entry to those installations. It provides guidance for use
of military personnel in controlling civil disturbances and in
supporting disaster relief operations. This part applies to
installations in the United States, its territories and possessions, and
will be used to the maximum extent possible in the overseas commands.
Instructions issued by the appropriate overseas commander, status of
forces agreements, and other international agreements provide more
definitive guidance for the overseas commands. Nothing in this part
should be construed as authorizing or requiring security forces units to
collect and maintain information concerning persons or organizations
having no affiliation with the Air Force other than a list of persons
barred from the installation.
Subpart A_Installation Entry Policy
Sec. 809a.1 Random installation entry point checks.
The installation commander determines when, where, and how to
implement random checks of vehicles or pedestrians. The commander
conducts random checks to protect the security of the command or to
protect government property.
Sec. 809a.2 Military responsibility and authority.
(a) Air Force installation commanders are responsible for protecting
[[Page 73]]
personnel and property under their jurisdiction and for maintaining
order on installations, to ensure the uninterrupted and successful
accomplishment of the Air Force mission.
(b) Each commander is authorized to grant or deny access to their
installations, and to exclude or remove persons whose presence is
unauthorized. In excluding or removing persons from the installation,
the installation commander must not act in an arbitrary or capricious
manner. Their action must be reasonable in relation to their
responsibility to protect and to preserve order on the installation and
to safeguard persons and property thereon. As far as practicable, they
should prescribe by regulation the rules and conditions governing access
to their installation.
Sec. 809a.3 Unauthorized entry.
Under Section 21 of the Internal Security Act of 1950 (50 U.S.C.
797), any directive issued by the commander of a military installation
or facility, which includes the parameters for authorized entry to or
exit from a military installation, is legally enforceable against all
persons whether or not those persons are subject to the Uniformed Code
of Military Justice (UCMJ). Military personnel who reenter an
installation after having been properly ordered not to do so may be
apprehended. Civilian violators may be detained and either escorted off
the installation or turned over to proper civilian authorities. Civilian
violators may be prosecuted under 18 U.S.C. 1382.
Sec. 809a.4 Use of Government facilities.
Commanders are prohibited from authorizing demonstrations for
partisan political purposes. Demonstrations on any Air Force
installation for other than political purposes may only occur with the
prior approval of the installation commander. Demonstrations that could
result in interference with, or prevention of, the orderly
accomplishment of the mission of an installation or that present a clear
danger to loyalty, discipline or morale of members of the Armed Forces
will not be approved.
Sec. 809a.5 Barment procedures.
Under the authority of 50 U.S.C. 797, installation commanders may
deny access to the installation through the use of a barment order.
Barment orders should be in writing but may also be oral. Security
forces maintain a list of personnel barred from the installation.
Subpart B_Civil Disturbance Intervention and Disaster Assistance
Sec. 809a.6 Authority.
The authority to intervene during civil disturbances and to provide
disaster assistance is bound by directives issued by competent
authorities. States must request federal military intervention or aid
directly from the President of the United States by the state's
legislature or executive. Installation commanders must immediately
report these requests in accordance with AFI 10-802, Military Support to
Civil Authorities (Available from National Technical Information
Service, 5285 Port Royal Road, Springfield, VA 22161.).
Sec. 809a.7 Definitions.
The following definitions apply to this part:
(a) Emergencies. These are conditions which affect public welfare
and occur as a result of enemy attack, insurrection, civil disturbances,
earthquake, fire, flood, or other public disasters which endanger life
and property or disrupt the usual process of government. The term
``emergency'' includes any or all of the conditions explained in this
section.
(b) Civil defense emergency. This is a disaster situation resulting
from devastation created by an enemy attack and requiring emergency
operations during and following attack. It may also be proclaimed by
appropriate authority in anticipation of an attack.
(c) Civil disturbances. These are group acts of violence or disorder
prejudicial to public law and order including those which follow a major
disaster. They include riots, acts of violence, insurrections, unlawful
obstructions or assemblages, or other disorders.
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(d) Major disaster. Any flood, fire, hurricane, or other catastrophe
which, in the determination of the President, is or threatens to be of
sufficient severity and magnitude to warrant disaster assistance by the
Federal Government to supplement the efforts and available resources of
the State and local governments in alleviating the damage, hardship, or
suffering caused thereby.
Sec. 809a.8 Installation policies and laws.
This subpart contains policies on the use of Air Force military
personnel in civil disturbances and disasters. The more important laws
concerning military aid to civil authorities are also summarized.
(a) The Air Force gives military assistance to civil authorities in
civil defense or civil disturbances and disasters only when such
assistance is requested or directed. Commanders will not undertake such
assistance without authority, unless the overruling demands of humanity
compel immediate action to protect life and property and to restore
order.
(b) The military service having available resources nearest the
affected area is responsible for providing initial assistance to civil
authorities in emergencies. Subsequent operations are to be according to
the mutual agreement between the senior service commanders concerned.
(c) The protection of life and property and the maintenance of law
and order within the territorial jurisdiction of any State is the
primary responsibility of State and local authorities. It is well-
established U.S. Government policy that intervention with military
forces takes place only after State and local authorities have used
their own forces and are unable to control the situation, or when they
do not take appropriate action.
Sec. 809a.9 Conditions for use of Air Force resources.
This part is not intended to extend Air Force responsibilities in
emergencies to generate additional resources (manpower, materiel,
facilities, etc.) requirements, or encourage participation in such
operations at the expense of the Air Force primary mission. It is a
guide for the employment of Air Force resources when:
(a) A disaster or disturbance occurs in areas in which the U.S. Air
Force is the executive agent of the United States.
(b) A disaster or disturbance occurs in areas that are remote from
an Army installation but near an Air Force installation, thereby
necessitating Air Force assumption of responsibility pending arrival of
Army personnel.
(c) The overriding demand of conditions resulting from a natural
disaster compels immediate action to protect life and property and to
restore order.
Sec. 809a.10 Military commanders' responsibilities.
(a) Civilians in the affected area will be informed of the rules of
conduct and other restrictive measures to be enforced by the military.
These will be announced by local proclamation or order, and will be
given the widest publicity by all available media.
(b) Persons not normally subject to military law, who are taken into
custody by military forces incident to civil disturbances, will be
turned over to the civil authorities as soon as possible.
(c) Military forces will ordinarily exercise police powers
previously inoperative in an affected area; restore and maintain order;
maintain essential transportation and communication; and provide
necessary relief measures.
(d) U.S. Air Force civilian employees may be used, in any
assignments in which they are capable and willing to serve. In planning
for on-base contingencies of fires, floods, hurricanes, and other
natural disasters, arrangements should be made for the identification
and voluntary use of individual employees to the extent that the needs
for their services are anticipated.
Sec. 809a.11 Procedures outside the United States.
It is Air Force policy to make every reasonable effort to avoid any
confrontation between United States military forces and host nation
demonstrators or other dissidents posing a threat to Air Force
resources. Intervention by United States military personnel outside the
United States is governed by
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international law, bilateral and other international agreements to which
the United States is a party, and host-nation laws. Local plans to
counter such situations must include provisions to request and obtain
host nation civil or military support as quickly as possible.
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SUBCHAPTER B_SALES AND SERVICES
PART 811_RELEASE, DISSEMINATION, AND SALE OF VISUAL INFORMATION MATERIALS--
Table of Contents
Sec.
811.1 Exceptions.
811.2 Release of visual information materials.
811.3 Official requests for visual information productions or materials.
811.4 Selling visual information materials.
811.5 Customers exempt from fees.
811.6 Visual information product/material loans.
811.7 Collecting and controlling fees.
811.8 Forms prescribed and availability of publications.
Authority: 10 U.S.C. 8013.
Source: 65 FR 64619, Oct. 30, 2000, unless otherwise noted.
Sec. 811.1 Exceptions.
The regulations in this part do not apply to:
(a) Visual information (VI) materials made for the Air Force Office
of Special Investigations for use in an investigation or a
counterintelligence report. (See Air Force Instruction (AFI) 90-301, The
Inspector General Complaints, which describes who may use these
materials.)
(b) VI materials made during Air Force investigations of aircraft or
missile mishaps according to AFI 91-204, Safety Investigations and
Reports. (See AFI 90-301.)
Sec. 811.2 Release of visual information materials.
(a) Only the Secretary of the Air Force for Public Affairs (SAF/PA)
clears and releases Air Force materials for use outside Department of
Defense (DoD), according to AFI 35-205, Air Force Security and Policy
Review Program.
(b) The Secretary of the Air Force for Legislative Liaison (SAF/LL)
arranges the release of VI material through SAF/PA when a member of
Congress asks for them for official use.
(c) The International Affairs Division (HQ USAF/CVAII) or, in some
cases, the major command (MAJCOM) Foreign Disclosure Office, must
authorize release of classified and unclassified materials to foreign
governments and international organizations or their representatives.
Sec. 811.3 Official requests for visual information productions or materials.
(a) Send official Air Force requests for productions or materials
from the DoD Central Records Centers by letter or message. Include:
(1) Descriptions of the images needed, including media format,
dates, etc.
(2) Visual information record identification number (VIRIN),
production, or Research, development, test, and evaluation (RDT&E)
identification numbers, if known.
(3) Intended use and purpose of the material.
(4) The date needed and a statement of why products are needed on a
specific date.
(b) Send inquiries about motion picture or television materials to
the Defense Visual Information Center (DVIC), 1363 Z Street, Building
2730, March ARB, CA 92518-2703.
(c) Send Air Force customer inquiries about still photographic
materials to 11 CS/SCUA, Bolling AFB, Washington, DC 20332-0403 (the Air
Force accessioning point).
(d) Send non-Air Force customers' inquiries about still photographic
materials to the DVIC.