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[2001 Privacy Act]
[From the U.S. Government Printing Office via GPO Access]
Sec. 505.5
Exemptions.
(a) Exempting systems of records. The Secretary of the Army may
exempt Army systems of records from certain requirements of the
Privacy Act. There are two kinds of exemptions: General and specific.
The general exemption relieves systems of records from most
requirements of the Act; the specific exemptions from only a few. See
appendix C to this part.
(b) General exemptions. Only Army activities actually engaged in
the enforcement of criminal laws as their primary function may claim
the general exemption. To qualify for this exemption, a system must
consist of:
(1) Information compiled to identify individual criminals and
alleged criminals, which consists only of identifying data and arrest
records; type and disposition of charges; sentencing, confinement,
and release records; and parole and probation status;
(2) Information compiled for the purpose of criminal investigation
including efforts to prevent, reduce, or control crime and reports of
informants and investigators associated with an identifiable
individual; or
(3) Reports identifiable to an individual, compile at any stage of
the process of enforcement of the criminal laws, from arrest or
indictment through release from supervision.
(c) Specific exemptions. The Secretary of the Army has exempted all
properly classified information and a few systems of records that
have the following kinds of information, from certain parts of the
Privacy Act. The Privacy Act exemption cite appears in parentheses
after each category.
(1) Classified information in every Army system of records. This
exemption is not limited to the systems listed in Sec. 505.5(d).
Before denying as individual access to classified information, the
Access and Amendment Refusal Authority must make sure that it was
properly classified under the standards of Executive Orders 11652,
12065, or 12958 and that it must remain so in the interest of
national defense of foreign policy. (5 U.S.C. 552a(k)(1)).
(2) Investigatory data for law enforcement purposes (other than
that claimed under the general exemption). However, if this
information has been used to deny someone a right, privilege or
benefit to which the individual is entitled by Federal law, it must
be released, unless doing so would reveal the identity of a
confidential source. (5 U.S.C. 552a(k)(2)).
(3) Records maintained in connection with providing protective
services to the President of the United States or other individuals
protected pursuant to Title 18 U.S.C., section 3056. (5 U.S.C.
552a(k)(3)).
(4) Statistical data required by statute and used only for
statistical purposes and not to make decisions on the rights,
benefits, or entitlements of individuals, except for census records
which may be disclosed under Title 13 U.S.C., section 8. (5 U.S.C.
552a(k)(4)).
(5) Data compiled to determine suitability, eligibility, or
qualifications for Federal service, Federal contracts, or access to
classified information. This information may be withheld only to the
extent that disclosure would reveal the identify of a confidential
source. (5 U.S.C. 552a(k)(5)).
(6) Testing material used to determine if a person is qualified for
appointment or promotion in the Federal service. This information may
be withheld only if disclosure would compromise the objectivity or
fairness of the examination process. (5 U.S.C. 552a(k)(6)).
(7) Information to determine promotion potential in the Armed
Forces. Information may be withheld, but only to the extent that
disclosure would reveal the identity of a confidential source. (5
U.S.C. 552a(k)(7)).
(d) Procedures. When a system manager seeks an exemption for a
system of records, the following information will be furnished to the
Director of Information Systems for Command, Control, Communications
and Computers, Washington, DC 20310-0107; applicable system notice,
exemptions sought, and justification. After appropriate staffing and
approval by the Secretary of the Army, a proposed rule will be
published in the Federal Register, followed, by a final rule 60 days
later. No exemption may be invoked until these steps have been
completed.
(e) Exempt Army records. The following records may be exempt from
certain parts of the Privacy Act:
(1) System identifier: A0020-1a SAIG
(i) System name: Inspector General Investigative Files.
(ii) Exemptions: (A) Investigatory material compiled for law
enforcement purposes 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
such information, the individual will be provided access to such
information except to the extent that disclosure would reveal the
identity of a confidential source.
(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. Therefore, portions of the
system of records may be exempt pursuant to 5 U.S.C. 552a(c)(3), (d),
(e)(4)(G) and (H), and (f).
(iii) Authority: 5 U.S.C. 552a(k)(2) and (k)(5).
(iv) 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 (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.
(C) From subsections (e)(4)(G) and (H) because this system of
records is exempt from individual access pursuant to subsection
(k)(2) of the Privacy Act of 1974.
(D) From subsection (f) because this system of records has been
exempted from the access provisions of subsection (d).
(E) Consistent with the legislative purpose of the Privacy Act of
1974, the Department of the Army will grant access to nonexempt
material in the records being maintained. Disclosure will be governed
by the Department of the Army's Privacy Regulation, but will be
limited to the extent that the identity of confidential sources will
not be compromised; subjects of an investigation of an actual or
potential criminal 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 this 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 in this paragraph. The decisions to release information
from these systems will be made on a case-by-case basis.
(2) A0020-1bSAIG.
(i) System name: Inspector General Action Request/Assistance Files.
(ii) Exemption: All portions of this system of records which fall
within the scope of 5 U.S.C. 552a(k)(2) or (k)(5) may be exempt from
the provisions of 5 U.S.C. 552a(c)(3), (d), (e)(4)(G), (e)(4)(H), and
(f).
(iii) Authority: 5 U.S.C. 552a(k)(2) and (k)(5).
(iv) Reasons: Selected portions and/or records in this system are
compiled for the purposes of enforcing civil, criminal, or military
law, including Executive Orders or regulations validly adopted
pursuant to law. Granting individuals access to information collected
and maintained in these files could interfere with enforcement
proceedings; deprive a person of a right to fair trail or an
impartial ajudication or be prejudicial to the conduct of
administrative action affecting rights, benefits, or privileges of
individuals; constitute an unwarranted invasion of personnel privacy;
disclose the identity of a confidential source; disclose nonroutine
investigative techniques and procedures, or endanger the life or
physical safety of law enforcement personnel; violate statutes which
authorize or require certain information, to be withheld from the
public such as: Trade or financial information, technical data,
National Security Agency information, or information relating to
inventions. Exemption from access necessarily includes exemption from
the other requirements.
(3)A0025-55SAIS.
(i) System name: Request for Information Files.
(ii) Exemption: (A) All portions of this system of records which
fall within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(1), (e)(2),
(e)(3), (e)(4)(G), (e)(4)(H), (e)(5), (e)(8), (f) and (g).
(B) All portions of the system maintained by offices of Initial
Denying Authorities which do not have a law enforcement mission and
which fall within the scope of 5 U.S.C. 552a(k)(1) through (k)(7) may
be exempt from the provisions of 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4)(G), (e)(4)(H), and (f).
(iii) Authority: 5 U.S.C. 552a(j)(2), and (k)(1) through (k)(7).
(iv) Reasons: This system of records is maintained solely for the
purpose of administering the Freedom of Information Act and
processing routine requests for information. To insure an accurate
and complete file on each case, it is sometimes necessary to include
copies of records which have been the subject of a Freedom of
Information Act request. This situation applies principally to cases
in which an individual has been denied access and/or amendment of
personal records under an exemption authorized by 5 U.S.C. 552. The
same justification for the original denial would apply to denial of
access to copies maintained in the Freedom of Information Act file.
It should be emphasized that the majority of records in this system
are available on request to the individual and that all records are
used solely to process requests. This file is not used to make any
other determinations on the rights, benefits or privileges of
individuals.
(4)A0027-1DAJA.
(i) System name: General Legal Files.
(ii) Exemption: All portions of this system of records which fall
within the scope of 5 U.S.C. 552a(k)(1), (k)(2), (k)(5), (k)(6), and
(k)(7) may be exempt from the provisions of 5 U.S.C. 552a(c)(3), (d),
(e)(1), and (f).
(iii) Authority: 5 U.S.C. 552a(k)(1), (k)(2), (k)(5), (k)(6), and
(k)(7).
(iv) Reasons: Various records from other exempted systems of
records are sometimes submitted for legal review or other action. A
copy of such records may be permanently incorporated into the General
Legal Files system of records as evidence of the facts upon which a
legal opinion or review was based. Exemption of the General Legal
Files system of records is necessary in order to ensure that such
records continue to receive the same protection afforded them by
exemptions granted to the systems of records in which they were
originally filed.
(5) System identifier: A0027-10a DAJA
(i) System name: Prosecutorial Files.
(ii) Exemptions: 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 the system of records may be exempt pursuant to 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).
(iii) Authority: 5 U.S.C. 552a(j)(2).
(iv) 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), 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)(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 valuable 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 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 subsection
(j)(2) 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 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).
(M) Consistent with the legislative purpose of the Privacy Act of
1974, the Department of the Army will grant access to nonexempt
material in the records being maintained. Disclosure will be governed
by the Department of the Army's Privacy Regulation (this part 505),
but will be limited to the extent that the identity of confidential
sources will not be compromised; subjects of an investigation of an
actual or potential criminal 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 this 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 in this paragraph. The decisions to release information
from these systems will be made on a case-by-case basis.
(6) System identifier: A0027-10b DAJA
(i) System name: Courts-Martial Records and Reviews.
(ii) Exemptions: 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
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