SUBJECT: Privacy
Act implementation in NPRC reference service operations
1. Purpose. This memorandum issues and transmits information and instructions on implementation of the Privacy Act (P.L. 93-579) in MPR and CPR reference service operations. Efforts to keep all directives, affected by the Privacy Act, current continue to be made. The information contained in this memorandum supersedes that previously published in other formal and informal memorandums.
2. Cancellation. NPRC 1864.102B is canceled.
3. Reason for revision. NPRC 1864.102 is revised to incorporate the comments offered by the Department of Defense after a review of NPRC(MPR) Privacy Act procedures.
4. Important statement regarding NPRC policy. It is important to remember (1) that the personnel and related records at NPRC are considered to be "maintained" by the agencies (DoD and CSC) which deposited them, (2) that NPRC functions as an "agent" of those agencies, or under rules prescribed by them. Therefore, in any case where a requested disclosure is not clearly covered by the information that has been made available, either in the Privacy Act itself or in the agency's rules, the matter must be referred to, or coordinated with the designated official of the agency concerned. This may be done by telephone when appropriate, or by referral of the request or requester.
5. Requests which specify the Freedom of Information Act. All requests received in this Center, including those from individuals for records pertaining to them which are included in a system of records or requests from individuals pertaining to records which are not included in a system of records (such as rosters or other types of organizational records) are processed in accordance with the Privacy Act guidelines. This includes all requests which cite or allude to the Freedom of Information Act, although separate FOIA procedures, outlined in (NPRC 1865.36 (Obsolete)) and NPRC 1867.15A should also be observed.
6. Instructions. See attachment. Since the implementation of the Privacy Act in September 1975, the requirements of the Privacy Act have been constantly changing. As new instructions are received from the DoD Privacy Board and the Civil Service Commission, and as new problems arise, they will be covered in informal directives until this memo is next revised.
7. Forms. This memorandum makes use of the following forms:
GSA Form 6855, Verbal or Telephone
Inquiry Form.
GSA Form 6895, Telephone Request
for Records or Information.
GSA Form 6933, Release of Information.
GSA Form 6957, Request for Records.
SF 57, Application for Federal Employment.
SF 127, Request for Official Personnel
Folder.
SF 2806, Individual Retirement Record.
SF 2809, Health Benefits Registration
Form.
SF 2810, Notice of Change in Health
Benefits Enrollment.
DAVID L. PETREE
Director
1. Basic provisions. The basic provisions of the Privacy Act, as it applies to military and civilian records at NPRC, are to provide safeguards for an individual against an invasion of personal privacy by--
a. Permitting the individual to determine what records pertaining to him/her are maintained.
b. Permitting the individual to prevent records pertaining to him/her from being used or made available to purposes other than the purpose for which they were created, and
c. Permitting the individual to gain access to his/her records, to have copies made of all or any portion thereof, and to correct or amend such records.
2. Definitions.
a. Disclosure. The term "disclosure" at NPRC means furnishing to a third party information/records in response to any type of request therefor. This includes mail and telephone requests for information and records (including loans and transfers), as well as access to records on the premises. Furnishing information/records to a third party is considered a disclosure, even when the written consent of the individual named in the records has been provided, but furnishing information/records to the individual is not a disclosure.
b. Routine use. The term "routine use" means, with respect to the disclosure of a record, the use of such record for a purpose which is compatible with the purpose for which it was collected. For NPRC, the DoD and CSC descriptions of routine uses will constitute our release policies.
c. Agency. An important aspect of the Privacy Act is that records accepted by GSA for storage and servicing are considered to be "maintained" by the agency which deposited the records. This is further defined and explained by GSA Bulletin FPMR B-57 Archives and Records, on the Subject of Implementation of the Privacy Act of 1974. GSA, functioning as an agent of the transferring agency, may not disclose the record except to that agency, or under rules established by it. For the purposes of this instruction, the Department of Defense is considered the "agency" that deposited the military records and the Civil Service Commission is considered the agency that deposited the civilian records. It should be clearly understood that, in any case where an action of NPRC, based on DoD or CSC release policies, is contested or questioned, the matter is no longer proper for handling by NPRC but must be referred instead to the appropriate Armed Force or to the Civil Service Commission.
d. Record. The term "record" at NPRC includes computer printouts and microfilm tapes. This is important since the same safeguards prescribed for personnel and related records also apply to the computer records.
3. Identification of requester. With implementation of the Privacy Act, there must be an increased awareness for the proper identification of the requester. (See par. 11 concerning telephone requests.) If the request is made in person, verify the identity of the person by requesting some type of identification, for example, driver's license, employment identification card, social security card, etc. Verification of identity in writing must include identifying data, i.e., name, date of birth, service number, social security number, etc. Verification of identity may also be assured by requiring the individual to provide some item of information in the record which only the concerned person would likely know. (An individual cannot be denied access to his records for refusing to disclose his/her social security number.)
4. Requests from individuals for "access" to their records.
a. Requirement. Under the Act, an individual, upon request, is to be informed whether or not a system of records contains a record pertaining to his/her and, accompanied by a person of his/her own choosing, if he/she so desires shall be permitted to review his/her records and to obtain a copy of all or any portion thereof. The agency may require the individual to furnish a written statement authorizing discussion of that individual's record in the accompanying person's presence.
b. Procedure.
(1) In the months since the implementation of the Privacy Act, this Center has periodically received requests for information as to whether or not a record exists. (See par. 17 for additional information and instructions on this subject.) These requests have been written or communicated by individuals visiting the Center. Normally, these requests seek photocopies of the existing records or access to review any records which may be on file. (If a request mentions the Privacy Act or asks whether or not a record exists, it can be termed a request for access.) However, most veterans and separated employees are usually aware of the existence of their records.
(2) As in the past, certain types of records must be removed before an individual is given access to his/her own record. These are discussed in pars. 6 and 7.5. Disclosures to other sources. As indicated in the definition, this means releasing information/records to anyone other than the individual named in them. From the Act itself on "conditions of disclosure," we know that the following broad categories of sources may continue to receive records/information without the written consent of the individual.
a. Authorized officials and elements of the agency that created the record for use in the performance of their official duties. For military records, this would be elements of the Department of Defense and the military departments. For civilian records, it would be the Civil Service Commission and all Federal agency personnel offices.
b. Any agency (of the Federal government) or any instrumentality of any governmental jurisdiction (state or local) for a civil or criminal law enforcement activity if the activity is authorized by law, and if the head of the agency or instrumentality has made a WRITTEN REQUEST specifying the particular portion desired and the law enforcement activity for which the record is sought. "Head of the agency" is further defined in the OMB Guidelines to the Act to include any official delegated by the head of the agency to request records, but never below a section chief. (Requests which do not state the purpose, i.e., the "law enforcement activity for which the record is sought," should be returned asking for this information.)
c. To either House of Congress, or, to the extent of matter within its jurisdiction, any committee or subcommittee thereof, or any joint committee. The OMB Guidelines and the published routine uses of the military departments have been amended to authorize disclosure of personal information to Members of congress when the member is acting his/her individual capacity on behalf of his/her constituent.
d. Courts of law pursuant to a court order or subpoena. There is no change in our procedure on these, other than that which is required by par. 10, concerning notification to the individual at his/her latest address of record.
e. Any person showing compelling circumstances affecting the health or safety of an individual. In such cases, notification of the disclosure must be sent to the last known address of the individual.
f. The Comptroller General or any authorized representative for official GAO business.
g. Any source if the requested information is of a type which is required to be released to the public under the Freedom of Information Act. Examples of such information in military personnel records would be:
Office of Personnel Management guidelines for disclosure of information (see fig. 1.).
h. Any requester who provides NPRC adequate assurance that the record will be used solely for statistical research. These requests are always coordinated with and responded to by the Director who assures compliance with the Privacy Act. A written statement must be provided to NPRC which furnishes the purpose for the request and certification that the records will be used only for statistical purposes. In these cases, NPRC may provide copies of records which have been stripped of personally identifying information. This can be accomplished by covering the individual's name and identifying numbers during the photocopying.
i. Other categories of requesters are covered under the Act's provisions for "routine uses" of the records, which the agencies are required to define and publish annually.
6. Exemptions. Under the Privacy Act, agencies may exempt certain types of records from certain provisions of the Act. However, the system of records must specifically exempt a category or type of records in order to prevent its disclosure. The following are general types of records which may be exempted. IF THESE TYPES ARE ENCOUNTERED AT NPRC, THE APPROPRIATE SYSTEM OF RECORDS MUST BE CHECKED TO DETERMINE IF ANY OF THE POTENTIAL EXEMPTIONS APPLY. THEY ARE AS FOLLOWS:
a. Records maintained by an agency or component thereof which performs as its principal function any activity pertaining to the enforcement of criminal laws.
b. Records specifically authorized under criteria established under an Executive Order to be kept classified in the interest of national defense or foreign policy and are in fact properly classified pursuant to such Executive Order. For CPR, the personnel folder is checked to determine if there is a notice of clearance or discontinuance of investigation or other material relating to proceedings under E. O. 9835 or 10450. If such personnel records are present, CPR may furnish photocopies of all the loyalty investigation records unless the employee was released on loyalty grounds. In those cases, the request and the OPF are forwarded to the Director, Bureau of Management Information System, U. S. Civil Service Commission, 1900 E. Street, N. W. Washington, DC 20415. See par. 19 for additional information on E. O. 9835 or 10450.
c. Investigatory material compiled for law enforcement purposes, other than material covered under a, above; unless an individual would be denied any right, privilege, or benefit that he would otherwise be entitled to by Federal law, or for which he would otherwise be eligible, as a result of the maintenance of such material. Such material shall be provided to such individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence.
d. 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 THAT THE DISCLOSURE OF SUCH MATERIAL WOULD REVEAL THE IDENTITY OF A SOURCE WHO FURNISHED INFORMATION TO THE GOVERNMENT UNDER AN EXPRESS PROMISE THAT THE IDENTITY OF THE SOURCE WOULD BE HELD IN CONFIDENCE, OR PRIOR TO SEPTEMBER 27, 1975, UNDER AN IMPLIED PROMISE THAT THE IDENTITY OF THE SOURCE WOULD BE HELD IN CONFIDENCE. Requests for records which include express or implied promises of confidentiality are referred to the appropriate office of the Armed Force concerned for access determination.
e. Testing or examination material used solely to determine individual qualifications for appointment or promotion in the Federal service the disclosure of which would compromise the objectivity or fairness of the testing or examination process; or
f. Evaluation material used to determine potential for promotion in the Armed Services, but only to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence or prior to be held in confidence. DoD components shall specify those categories of individuals for whom pledges of confidentiality may be made when obtaining information on an individual's suitability for promotion.
If any of these types of records are encountered in a record being prepared for "review," or for "complete" copying, correspondence personnel must check the appropriate System of Records. The Systems of Records for military personnel may be obtained from the FEDERAL REGISTER through the Management and Technical Staff. In December 1976 the DoD Privacy Board determined that an investigatory record or other law enforcement record which may be exempted under one records system would not be afforded a general exemption if permanently filed in a non-exempt records system. THEREFORE, IF A SPECIFIC TYPE OF RECORD (INVESTIGATORY OR LAW ENFORCEMENT) IS EXEMPTED BY A SYSTEM PRESENT AT MPR, EMPLOYEES MUST BE SURE TO INFORM THE REQUESTER WHO IS SEEKING ACCESS TO HIS/HER RECORDS THAT AN EXEMPTED TYPE OF RECORD IS PRESENT IN HIS/HER RECORDS, AND THEN DIRECT THE REQUESTER TO THE ORIGINATING INVESTIGATIVE ORGANIZATION. If the request specifically relates only to an exempted type of record, the requester is referred to the System's Manager designated in the appropriate Notice of Systems of Records. To be familiar with the exemptions within each System of Records, supervisors should periodically review each system serviced by branch employees.
7. Other special types of records requiring special consideration. In addition to the categories of records listed in par. 6 as "exempt" from certain provisions of the Privacy Act, the following categories must also be screened out before access is granted, whether in person or by mail.
a. Privacy of other individuals named in the record. According to the Privacy guidelines of the Department of Defense, Center employees must not release information that would violate the privacy of another individual. Whenever NPRC receives an inquiry from a veteran or his duly authorized representative and releases photocopies of documents which are a part of the master personnel record, those photocopies cannot contain social security numbers, home addresses of record, or home telephone numbers, which pertain to service personnel other than the requesters. To protect the personal privacy of the other individuals, do not release more information than is available to the general public under FOIA. An extract or photocopy may need to be made deleting the information pertaining to the other individual(s).
b. Medical information in records which may adversely affect the individual named in them. There is no change in the criteria and procedures with regard to this type of information, except that in any case where there is uncertainty as to whether the medical information is releasable to the individual concerned, the matter must be referred to the appropriate office of the Armed Force concerned, or to the Civil Service Commission. (Continue to refer Navy medical cases to the BuMed LNO.)
c. Information complied in anticipation of a civil action. An individual may not be granted access to any information compiled in reasonable anticipation of a civil action or proceeding.
d. Information furnished by others under express or implied promise of confidentiality. If the record contains material which would reveal the identity of a source who furnished information to the Government under promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an IMPLIED promise that the identity of the source would be held in confidence, the request is forwarded to the Armed Force concerned.
e. Drug abuse patient treatment records. The screening of records for Drug Abuse patient material is covered in (NPRC 1865.35, ch. 1-8. (Obsolete))
8. Keeping an accounting of certain disclosures.
a. Requirement. The Act requires that an "accounting" be kept of all disclosures except for (1) disclosures to the agency that retired the record; or in the case of the military departments, any official within the Department of Defense who has a need for access in the performance of official duties; and (2) disclosures under the FOIA. The "accounting" must show the date, nature, and purpose of each disclosure when made. The accounting is required even when the disclosure is made with the individual's written consent.
NOTE: Furnishing information/records to the individual named in the record is not considered a "disclosure" within the meaning of this requirement.
b. Procedure. The above accounting will be satisfied here by retaining the inquiry and a copy of the reply. Although this is standard operating procedure at NPRC, there have been certain exceptions and it is important which the accounting is required--subpar. a, above. When records are loaned to the various authorized tenant and visiting agents--and if loan is classified as a "disclosure"--the accounting will be accomplished by filing the request for the record. The request is normally submitted on GSA Form 6957, Request for Records, which includes the date, nature, purpose, and name of the agency to which disclosed. Since the Act requires the accounting to be kept only on disclosures to another agency, NPRC will not have to keep it when military records are lent to any agency or element of DoD. At CPR, the accounting will be kept on loans of OPF's to Federal civilian personnel offices. This accounting will be accomplished by retaining the SF 127, Request for Official Personnel Folder or GSA Form 6895, Telephone Request for Records or information, with the refile material. Additional instructions for CPR for maintaining the accounting are as follows:
(1) Senate and U. S. House of Representative requests for Health Benefits Act information. Information clerks must be careful to retain a photocopy of the United States House and Senate requests for Health Benefits Act information. The SF 2810, Notice of Change in Health Benefits Enrollment, or SF 2809, Health Benefits Registration Form, is not always forwarded. A copy of the information furnished must be retained. These instructions are also incorporated in NPRC 1867.19.c. Requests for the "accounting of disclosure."(2) Certification of teaching experience. For those requests which require certification of teaching experience in dependent schools, Federal schools, or Indian Schools, a photocopy of the completed form must be retained.
(3) Requests for SF 2806. A pencil or draft copy of the SF 2806, Individual Retirement Record, must be retained in the personnel folder.
(4) Retention of ALL Standard Forms 127 in OPF's and with refile material. If a personnel folder is returned to NPRC (CPR) and refiled (with a SF 127 within it) and subsequent SF 127 is submitted, the original SF 127 is not taken out of the personnel folder or destroyed. It must be retained as a record of transfer.
NOTE: If a disclosure is made from an organization-type record and there is no individual record (folder) in which to file the "accounting," the record of disclosure will be given a registry location and treated as refile material.
(1) Requirement. The Act requires that, except for disclosure to governmental law enforcement activities, the "accounting of disclosure" (par. 8) must be made available to the individual named in the records AT HIS/HER REQUEST.NOTE: Although the Freedom of Information Act does not require NPRC to keep an "accounting of disclosure" for each disclosure made under FOIA, in most cases reference service personnel may retain a copy of the response or request. There is no basis for denying access to the copy of the response or request if access is sought by the subject of the record.
(2) Procedures. Such requests will be answered by furnishing the date, nature and purpose, and name and address to whom disclosure was made. Remember that, even though we do, AS A MATTER OF ROUTINE keep a record of certain disclosures within the agency; i.e., within DoD or within CSC, this disclosure was made under subsection (b) (7) of the Act (see subpar. 5b of this memorandum), or if the system specifically exempts access to the accounting record (see par. 6).9. Requests involving amendment (change) or administrative correction of records.(3) Air Force accounting of disclosure (individuals discharged since 9/27/75. Since the implementation of the Privacy Act in September 1975, the Department of the Air Force has maintained accountings of disclosure on the Privacy Act Tracking System (PATS) computer at Randolph AFB. The paper/microfiche record retired to NPRC does not contain an accounting of disclosure record; IT SHOULD NOT BE ASSUMED THAT THERE WERE NO DISCLOSURES OF THE RECORD. Should a request for an accounting of disclosures be received at NPRC, the request and records should be brought to the supervisor for forwarding to DPMDOP through DPMDOA1, Randolph AFB. The request will be answered by DPMDOP. Requests for an accounting of disclosure for reservists and ANG officers should be forwarded to ARPC/DADC for action. If a veteran comes to NPRC to review his/her records and also seeks an accounting of disclosure, the veteran should be encouraged to put his/her request in writing (so that it may be forwarded for processing). The request and the record are then forwarded to AFMPC or ARPC, as appropriate.
a. Military records. The distinction between amendment of a military record and administrative correction has been clarified. General guidelines are as follows:
(1) Amendment. NPRC, as the physical custodian (but not the legal custodian) of military records, cannot amend military records. Amending (changing substantive information contained in a military record) is the responsibility of the Armed Force creating the record. Requests indicating the veteran desires changing the substance of his/her record (no error was made at the time of the record's creation) are not within the authority of NPRC. Examples of amendment requests include:
The following procedures should be
followed when a request for amendment is received:
(a) If a request for amendment states that it is being submitted under the provisions of the Privacy Act, NPRC must acknowledge the receipt of the request within 10 WORKDAYS. Use R6-6915 form, Change of Records Request, to notify the veteran of receipt of the request. See fig. 2.
(b) Forward
the request to the appropriate Armed Force by using R6-6915 form.
The correct addresses appear on the form. It also serves as a notification
to the veteran. File a copy in the record. (Three (3) copies
total.)
Notify the requester that he or she
may submit a request to the military department and that the request may
be further supported if accompanied by:
File a copy in the record. (Two
(2) copies total.)
(c) Never take any action to "deny" a request concerning amendment of a record. If the requester insists that NPRC complete the amendment, coordinate with the Armed Force concerned prior to referring the request and appropriate records.
(d) Requests for a change in sex regarding Marine Corps records are forwarded to the Commandant of the Marine Corps (MSRB-10). Forward both the personnel and medical records with the correspondence.
(e) Do not issue DD Form 215, Correction to DD Form 214, for the types of amendments outlined above - THIS IS THE RESPONSIBILITY OF THE ARMED SERVICE.
(f) If the veteran provides a certified court order or other legal proof of a name change, notify the veteran that we are not changing the veteran's record, but are adding a computer cross reference to his/her record(s) to provide identification and reference by both names. File the court order in the record. Use the R6-6915 form to inform the veteran of NPRC's action. The military departments have asked NPRC to treat name changes in this manner. However, if the veteran writes a second time insisting that his/her previous name be deleted from all records and from the computer reference or that his/her new name be added to all record documents, forward the request and records to the appropriate office as outlined on the R6-6915 form (blocks 1 and 3 and appropriate address). (Navy personnel records are forwarded to the Chief of Naval Personnel through the BuPers Liaison Officer.) Use a duplicate copy to inform the requester of the referral. File a copy in the record. (Three (3) copies total.)
(2) Administrative correction. Correcting an administrative error made on a military document or a typographical misspelling or transposition of numbers (date of birth, service number, etc.,) is an NPRC function when evidence is found in the record to support the request. In some cases, the requester may be able to submit a copy of a discharge certificate or statement of service to support the request for an administrative correction. Clerical errors made on military records at the time of their creation and errors made on separation/discharge documents are the most frequent types of administrative corrections which NPRC employees may perform. Examples are:
When a request for an administrative
correction is received, follow these guidelines:
(a) Use
R6-6915 form, Change of Record Request, to notify requester of the receipt
of request, and if the request is:
(ii) For Air Force Reference Branch personnel, when AF Form 281 is required to change basic identifying data (i.e., date and place of birth, SSAN, and name) as outlined in Air Force Regulation 35-22, forward request and record to AFMPCDOO(officer) or AFMPCDOA(enlisted), Randolph Air Force Base, TX.
(b)
The requester may furnish proof of correct name/DOB/SSAN, if not supported
in record by providing a copy of original discharge certificate or statement
of service issued by the service department containing the correct name.
(c) If there is a delay after the evidence/documents have been submitted to support the need for a correction, advise the requester of the delay and the approximate date when the required action to correct the record will be completed by NPRC.
(d) Upon receipt of admissible proof of name, number, or date(s) in question, prepare:
(A) For Army Reference Branch and Records Reconstruction Branch personnel, when there is no indication that a DD Form 214 was issued initially, forward request and record to èARPERSCOM, ZCC-Bç.
(B) For Navy Reference Branch personnel, prepare DD Form 1343, Notification of Change in Service Member's Official Records, when the error involves correcting the record of a discharged veteran, or the veteran has military status (e.g., retired, Fleet Reserve member). The signature of the appropriate Liaison Officer is required for authentication. Refer to NPRC1865.65, Changes/Corrections to Military Personnel/Medical Records Indexed in Alpha or Numeric files, for distribution of DD Form 1343.
(e)
Dispatch the request, response, and record to the supervisor for a change
of computer action if necessary.
c. Informing prior recipients of corrected (or disputed) records.
(1) Requirement. The Act provides for individuals to request amendments to their records. In cases where the records are amended, the Act further requires that each agency or person to whom the record has been disclosed be notified of the amendment. This requirement, for NPRC purposes, does not apply to disclosures to personnel within the agency, to the public under the Freedom of Information Act, or to disclosures made prior to September 27, 1975, for which no accounting was made. In the heading of this paragraph, the words "or disputed" refer to cases where the request for amendment is denied, the agency ultimately has noted the portion of the record "in dispute," and the individual's "statement of disagreement" is filed with the record and made available to anyone to whom the record subsequently is disclosed.10. Subpoenas and court orders--courts of competent jurisdiction. The Act stipulates that disclosures may be made pursuant to the order of a court of competent jurisdiction, and that, reasonable efforts be made to notify the individual that the records have been made available. This is done by sending the individual, at his/her last known address, a copy of the transmittal letter which is addressed to the clerk of the court.(2) Procedures. Procedures for notifying prior recipients of amendments to records or notifications of dispute should be the responsibility of the Armed Force which has custody of the record during the amendment process. If, however, a record is returned to NPRC after amendment and it is apparent that prior recipients of the record were not notified, the record should be referred to the branch chief so that he/she might contact the Armed Force to determine the proper course of action.
11. Telephone requests. Since the implementation of the Privacy Act, NPRC must exercise great care in establishing the identity of the individual making a request and in handling telephone requests. NPRC will not honor a telephone request unless the employee receiving the call can positively identify the caller. Except in the case of telephone requests from Congressional offices, callers should be urged to put their requests in writing, and advised as to the information needed to conduct a records search. The OMB Guidelines and the published "routine uses" of the military departments have been amended to authorize the disclosure of personal information to a Member of Congress when the Member is acting in behalf of his/her constituent. A written request from the Congressional office need not be submitted. However, in those cases where the Congressional office indicates that the request is being made on behalf of a person other than the individual whose record is to be disclosed, the Congressional office is advised that the written consent of the subject of the record is required.
12. Requests concerning deceased and "incompetent" individuals, and minors.
a. Deceased. The Privacy Act is silent with regard to records of deceased individuals, although the provisions of Freedom of Information Act protect the essential privacy of the next of kin.
b. "Incompetents" and minors. Subsection (h) of the Act reads: "For the purposes of this section, the parent of any minor, or the legal guardian of any individual who has been declared to be incompetent due to physical or mental incapacity or age by a court of competent jurisdiction, may act on behalf of the individual." All requests and authorizations for disclosure from the legal guardians of incompetents must be in writing and must be accompanied by a certified copy of the guardian's letter of appointment showing proof of incompetency. The parentage of a minor can be verified from the record.
13. Soliciting personal information from individuals.
a. Requirement. The Act requires that each individual who is asked to supply personal information about himself must be told (1) the authority for the solicitation; (2) the principal purpose for which it is to be used; (3) the routine uses to be made of it; (4) whether furnishing the information is mandatory or voluntary; and (5) the effects on him, if any, if he doesn't provide the information.
NOTE: Remember that this requirement pertains only to our requests TO THE INDIVIDUAL for information ABOUT HIMSELF/HERSELF.
b. Procedure. This requirement has been fulfilled by including a Privacy Act of 1974 Compliance Statement on most forms used by NPRC to request personal identifying information from individuals. When information is solicited for the Verbal or Telephone Inquiry form, NA Form 13086, the statement must be read to the individual.
14. Fees.
a. MPR. The Privacy Act makes no change in fee policies at MPR.
b. CPR. OPM rules (5 CFR 297.115) stipulate there shall be no charge for the first copy of a record furnished to the individual to whom it pertains. This would rule out the charging of a fee even if the request states that it is being made under the Freedom of Information Act.
15. Form of notification when
information/records not releasable. When military records/
information cannot be released (see
par. 5), the NA Form 13062, Release of Information, is used, checking
the block which reads as follows:
"Under the provisions of the Privacy Act of 1974, we must have the written consent of the individual whose records are involved before considering your request. If the individual is a minor dependent of a veteran, the parent or legal guardian must sign the release. If the person is mentally incompetent, the legal guardian must sign the release. (The legal representative or guardian should furnish a copy of the court appointment.) Although the Privacy Act does not apply to the records of deceased individuals, Department of Defense instructions indicate that we must have the written consent of the next of kin if the individual is deceased. If you are able to obtain the written consent, please return your request to us."However, if the requester cites FOIA, the NA Form 13062 (par. quoted above) is not used. (SEE NPRC 1865.36(Obsolete)).
16. Request for home addresses of military personnel and former military personnel. Department of Defense Directive 5400.11, Encl. 5, par. D-2 implementing the Privacy Act, generally prohibits the furnishing of home addresses to the public, whether requested in list or single name form, unless the request indicates compelling and overriding interests, such as when the health or safety of an individual would be affected, or when the purpose is to confer a benefit on the veteran, provided the veteran is notified of such releases at his or her last know address. The directive does permit the forwarding of a request to the last known address of the individual for reply at his/her discretion, the requester being notified accordingly. See NPRC1865.49 for the criteria for determining whether the request must be furnished, denied, forwarded without fee, or forwarded only if a $2.00 fee is paid.
17. Requests which seek access and do not specify a system of records. Since the implementation of the Privacy Act in 1975, NPRC has occasionally received requests for access which cite various pages of the FEDERAL REGISTER and request NPRC to search all or many of the systems of records listed on those pages for any records which may exist on the requester. These requests are not honored "in toto." It is necessary for the requester to specify the system(s) of records which he/she believes contain(s) information about him/her. The requester should be advised that the public notices for all existing systems of records have been published in the FEDERAL REGISTER and that he/she should consult these to determine the exact system(s) of records to which he/she desires access.
NOTE: If the requester furnishes sufficient information for NPRC employees to search a primary records system located at this Center (which is listed within the pages cited) then, employees should furnish photocopies of the records within that system or inform the requester of the hours during which the records may be reviewed. Examples of the primary records systems located at this Center would be: Marine Corps Military Personnel Records, MMN00006; Navy Personnel Records System, N0022 PERSRECSYS; or Tennessee Valley Authority Personnel Files, TV-2, etc.
18. Release of personal identifying data or organizational records (DoD).
a. August 1976 decision regarding organizational records. The Defense Privacy Board has ruled that this Center must not release information from organizational records (including those of deceased individuals) that would constitute a clearly unwarranted invasion of the privacy of any individual. The board has determined that the amount of information which can be released to the public should not exceed those items releasable to third parties under FOIA (except for older service numbers - see subpar. b below). Delete all personal information from military organizational records prior to release. See subpar. 5g for those items releasable to the public under the Freedom of Information Act.
b. December 1979 decision regarding release of service numbers. The Defense Privacy Board has ruled that the serial/service number does not have the same importance as the social security number (SSAN). The older service numbers (issued until July 1, 1969) are no longer considered to be personal identifiers. Therefore, it is the Defense Privacy Board's decision that NPRC personnel do not have to delete listings of serial/service numbers when photocopies of organizational records or military orders are released. In simple words, this means that NPRC personnel do not have to block out either names or serial/service numbers from photocopies of organizational records or military orders.
c. September 1980 decision regarding blanket orders (organizational records). The Defense Privacy Board has amended its earlier ruling somewhat, allowing release of blanket orders and other organizational records to the subject of the record under the following three circumstances:
(1) The documents to be released concern the requesting individual and are filed in the official personnel record,If all three criteria are not present, follow the guidelines in subpars. 18a and b, above.(2) The documents (unit orders, personnel action memos, etc.) were the type normally furnished to the former serviceperson (requesting individual) previously, and
(3) The documents were created prior to September 27, 1975.
d. Request for photocopies of the master personnel record. When NPRC receives any request and releases photocopies of organizational records which are a part of the master personnel record, those photocopies cannot carry social security numbers, home addresses of record, or home telephone numbers, which pertain to service personnel other than the requester unless the three circumstances outlined in subpar. 18c are present.
(1) The September 1980 Defense Privacy Board ruling simplifies the processing procedures for complete copy cases. It allows the release of limited amounts of personal data on third parties such as SSN's, homes of record, home telephone numbers as of the date of the record, etc. to an individual who is the subject of the record. The release is not a clearly unwarranted invasion of privacy and is not prohibited by the Privacy Act.e. Requests for copies of rosters. When NPRC releases photocopies of rosters in response to a request, it is permissible to release the names of other veterans. However, social security numbers, home addresses of record, and other personal identifiers should be blocked out.(2) If the organizational record or military order was created after September 27, 1975, and contains information not releasable under FOIA, such as derogatory information or character of service pertaining to other service personnel, delete the names and social security numbers (and other personal identifiers) pertaining to those service personnel.
f. Transmittal statement. Correspondence/Organizational Records personnel completing "rosters" cases, should always include a statement on the transmittal form explaining that the Privacy Act of 1974 does not permit the release of social security numbers, or other personal identifiers to the public without the authorization of the veterans concerned.
19. Guidelines for determining the releasability of information relating to loyalty investigations of Federal employees. The following guidelines should be observed when releasing information or records relating to E. O. 9835 or 10450 to parties other than the subject of the record:
a. Court orders and subpoenas. When furnishing photocopies of records in response to court orders and subpoenas, NRPCR deletes all references to loyalty matters on forms, e.g., the application SF 57 returned by the OPM stamped "Processed under E. O. 9835, part 1, section 3." Notification from a former regional loyalty board of the OPM or from a former agency loyalty board is also obliterated. Failure to block out such references would constitute an unwarranted invasion of personal privacy.
b. Executive Branch personnel and employment offices. Requests from personnel and employment offices, within the Executive Branch, concerning completion of the loyalty investigation under E. O. 9835 and E. O. 10450 may be answered completely. Usually NRPCR receives requests for the transfer of an OPF to Executive Branch personnel and employment offices. The OPF may be sent to fulfill such requests.
c. Judicial and Legislative Branch personnel and employment offices. Requests from personnel and employment offices within the Judicial and Legislative Branches regarding loyalty matters are not answered. If the personnel folder contains a notice of clearance of discontinuance of investigation or other material relating to proceedings under E. O. 9835, or E. O. 10450, the folder is released only if the request includes a signed statement to the effect that the personnel folder is required solely in connection with appointment of the individual involved, and that the requesting agency agrees to comply with the terms and provisions of the President's letter of April 3, 1952, to the Secretary of State and Loyalty Review Board Memorandum #45, Revised.
d. Any request which is partially answered by furnishing the date and reason for separation. If the former Federal employee has been separated on loyalty grounds, replies to requests state only that he was separated on grounds of reasonable doubt of his loyalty.