Privacy Act: [DEFENSE DEPARTMENT]...

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final Component action as regards access.
  (4) The individual shall file any appeals from denial of access within 
no less than 60 calendar days of receipt of the denial notification.
  (5) Process all appeals within 30 days of receipt unless the appeal 
authority determines that a fair and equitable review cannot be made 
within that period. Notify the applicant in writing if additional time 
is required for the appellate review. The notification must include the 
reasons for the delay and state when the individual may expect an answer 
to the appeal.
  (e) Denial of appeals by failure to act. A requester may consider his 
or her appeal formally denied if the authority fails:
  (1) To act on the appeal within 30 days;
  (2) To provide the requester with a notice of extension within 30 
days; or
  (3) To act within the time limits established in the Component's 
notice of extension (see paragraph (d)(5) of this section).
  (f) Denying access to OPM records held by DoD Components. (1) The 
records in all systems of records maintained in accordance with the OPM 
government-wide system notices are technically only in the temporary 
custody of the Department of Defense.
  (2) All requests for access to these records must be processed in 
accordance with the Federal Personnel Manual (5 CFR parts 293, 294, 297 
and 735) as well as the applicable Component procedures.
  (3) When a DoD Component refuses to grant access to a record in an OPM 
system, the Component shall instruct the individual to direct his or her 
appeal to the appropriate Component appeal authority, not the Office of 
Personnel Management.
  (4) The Component is responsible for the administrative review of its 
denial of access to such records.

  [51 FR 1364, Jan. 16, 1986. Redesignated at 56 FR 55631, Oct. 29, 1991 
and amended at 56 FR 57800, Nov. 14, 1991]

   Sec. 310.32  Amendment of records.

  (a) Individual review and correction. Individuals are encouraged to 
review the personnel information being maintained about them by DoD 
Components periodically and to avail themselves of the procedures 
established by this part and any other Component regulations to update 
their records.
  (b) Amending records. (1) An individual may request the amendment of 
any record contained in a system of records pertaining to him or her 
unless the system of record has been exempted specifically from the 
amendment procedures of this part under paragraph (b) of Sec. 310.50, 
subpart F. Normally, amendments under this part are limited to 
correcting factual matters and not matters of official judgment, such as 
performance ratings, promotion potential, and job performance 
appraisals.
  (2) While a Component may require that the request for amendment be in 
writing, this requirement shall not be used to discourage individuals 
from requesting valid amendments or to burden needlessly the amendment 
process.
  (3) A request for amendment must include:
  (i) A description of the item or items to be amended;
  (ii) The specific reason for the amendment;
  (iii) The type of amendment action sought (deletion, correction, or 
addition); and
  (iv) Copies of available documentary evidence supporting the request.
  (c) Burden of proof. The applicant must support adequately his or her 
claim.
  (d) Identification of requesters. (1) Individuals may be required to 
provide identification to ensure that they are indeed seeking to amend a 
record pertaining to themselves and not, inadvertently or intentionally, 
the record of others.
  (2) The indentification procedures shall not be used to discourage 
legitimate requests or to burden needlessly or delay the amendment 
process. (See paragraph (c) of Sec. 310.30).
  (e) Limits on attacking evidence previously submitted. (1) The 
amendment process is not intended to permit the alteration of evidence 
presented in the course of judicial or quasi-judicial proceedings. Any 
amendments or changes to these records normally are made through the 
specific procedures established for the amendment of such records.
  (2) Nothing in the amendment process is intended or designed to permit 
a collateral attack upon what has already been the subject of a judicial 
or quasi-judicial determination. However, while the individual may not 
attack the accuracy of the judicial or quasi-judicial determination 
under this part, he or she may challenge the accuracy of the recording 
of that action.
  (f) Sufficiency of a request to amend. Consider the following factors 
when evaluating the sufficiency of a request to amend:
  (1) The accuracy of the information itself; and
  (2) The relevancy, timeliness, completeness, and necessity of the 
recorded information for accomplishing an assigned mission or purpose.
  (g) Time limits. (1) Provide written acknowledgement of a request to 
amend within 10 working days of its receipt by the appropriate systems 
manager. There is no need to acknowledge a request if the action is 
completed within 10 working days and the individual is so informed.
  (2) The letter of acknowledgement shall clearly identify the request 
and advise the individual when he or she may expect to be notified of 
the completed action.
  (3) Only under the most exceptional circumstances shall more than 30 
days be required to reach a decision on a request to amend. Document 
fully and explain in the Privacy Act case file (see paragraph (p) of 
this section) any such decision that takes more than 30 days to resolve.
  (h) Agreement to amend. If the decision is made to grant all or part 
of the request for amendment, amend the record accordingly and notify 
the requester.
  (i) Notification of previous recipients. (1) Notify all previous 
recipients of the information, as reflected in the disclosure accounting 
records, that an amendment has been made and the substance of the 
amendment. Recipients who are known to be no longer retaining the 
information need not be advised of the amendment. All DoD Components and 
federal agencies known to be retaining the record or information, even 
if not reflected in a disclosure record, shall be notified of the 
amendment. Advise the requester of these notifications.
  (2) Honor all requests by the requester to notify specific federal 
agencies of the amendment action.
  (j) Denying amendment. If the request for amendment is denied in whole 
or in part, promptly advise the individual in writing of the decision to 
include:
  (1) The specific reason and authority for not amending;
  (2) Notification that he or she may seek further independent review of 
the decision by the head of the Component or his or her designee;
  (3) The procedures for appealing the decision citing the position and 
address of the official to whom the appeal shall be addressed; and
  (4) Where he or she can receive assistance in filing the appeal.
  (k) DoD Component appeal procedures. Establish procedures to ensure 
the prompt, complete, and independent review of each amendment denial 
upon appeal by the individual. These procedures must ensure that:
  (1) The appeal with all supporting materials both that furnished the 
individual and that contained in Component records is provided to the 
reviewing official, and
  (2) If the appeal is denied completely or in part, the individual is 
notified in writing by the reviewing official that:
  (i) The appeal has been denied and the specific reason and authority 
for the denial;
  (ii) The individual may file a statement of disagreement with the 
appropriate authority and the procedures for filing this statement;
  (iii) If filed properly, the statement of disagreement shall be 
included in the records, furnished to all future recipients of the 
records, and provided to all prior recipients of the disputed records 
who are known to hold the record; and
  (iv) The individual may seek a judicial review of the decision not to 
amend.
  (3) If the record is amended, ensure that:
  (i) The requester is notified promptly of the decision;
  (ii) All prior known recipients of the records who are known to be 
retaining the record are notified of the decision and the specific 
nature of the amendment (see paragraph (i) of this section); and
  (iii) The requester is notified as to which DoD Components and federal 
agencies have been told of the amendment.
  (4) Process all appeals within 30 days unless the appeal authority 
determines that a fair review cannot be made within this time limit. If 
additional time is required for the appeal, notify the requester, in 
writing, of the delay, the reason for the delay, and when he or she may 
expect a final decision on the appeal. Document fully all requirements 
for additional time in the Privacy Case File. (See paragraph (p) of this 
section)
  (l) Denying amendment of OPM records held by DoD Components. (1) The 
records in all systems of records controlled by the Office of Personnel 
Management (OPM) government-wide system notices are technically only 
temporarily in the custody of the Department of Defense.
  (2) All requests for amendment of these records must be processed in 
accordance with the OPM Federal Personnel Manual (5 CFR parts 293, 294, 
297 and 735). The Component denial authority may deny a request. 
However, the appeal process for all such denials must include a review 
by the Assistant Director for Agency Compliance and Evaluation, Office 
of Personnel Management, 1900 E Street NW, Washington, DC 20415.
  (3) When an appeal is received from a Component's denial of amendment 
of the OPM controlled record, process the appeal in accordance with the 
OPM Federal Personnel Manual (5 CFR parts 293, 294, 297 and 735) and 
notify the OPM appeal authority listed above.
  (4) The individual may appeal any Component decision not to amend the 
OPM records directly to OPM.
  (5) OPM is the final review authority for any appeals from a denial to 
amend the OPM records.
  (m) Statements of disagreement submitted by individuals. (1) If the 
reviewing authority refuses to amend the record as requested, the 
individual may submit a concise statement of disagreement setting forth 
his or her reasons for disagreeing with the decision not to amend.
  (2) If an individual chooses to file a statement of disagreement, 
annotate the record to indicate that the statement has been filed (see 
paragraph (n) of this section).
  (3) Furnish copies of the statement of disagreement to all DoD 
Components and federal agencies that have been provided copies of the 
disputed information and who may be maintaining the information.
  (n) Maintaining statements of disagreement. (1) When possible, 
incorporate the statement of disagreement into the record.
  (2) If the statement cannot be made a part of the record, establish 
procedures to ensure that it is apparent from the records that a 
statement of disagreement has been filed and maintain the statement so 
that it can be obtained readily when the disputed information is used or 
disclosed.
  (3) Automated record systems that are not programed to accept 
statements of disagreement shall be annotated or coded so that they 
clearly indicate that a statement of disagreement is on file, and 
clearly identify the statement with the disputed information in the 
system.
  (4) Provide a copy of the statement of disagreement whenever the 
disputed information is disclosed for any purpose.
  (o) DoD Component summaries of reasons for refusing to amend. (1) A 
summary of reasons for refusing to amend may be included with any record 
for which a statement of disagreement is filed.
  (2) Include in this summary only the reasons furnished to the 
individual for not amending the record. Do not include comments on the 
statement of disagreement. Normally, the summary and statement of 
disagreement are filed together.
  (3) When disclosing information for which a summary has been filed, a 
copy of the summary may be included in the release, if the Component 
desires.
  (p) Privacy Case Files. (1) Establish a separate Privacy Case File to 
retain the documentation received and generated during the amendment or 
access process.
  (2) The Privacy Case File shall contain as a minimum:
  (i) The request for amendment or access;
  (ii) Copies of the DoD Component's reply granting or denying the 
request;
  (iii) Any appeals from the individual;
  (iv) Copies of the action regarding the appeal with supporting 
documentation which is not in the basic file; and
  (v) Any other correspondence generated in processing the appeal, to 
include coordination documentation.
  (3) Only the items listed in paragraphs (p)(4) and (s) of this section 
may be included in the system of records challenged for amendment or for 
which access is sought. Do not retain copies of unamended records in the 
basic record system if the request for amendment is granted.
  (4) The following items relating to an amendment request may be 
included in the disputed record system:
  (i) Copies of the amended record.
  (ii) Copies of the individual's statement of disagreement (see 
paragraph (m) of this section).
  (iii) Copies of Component summaries (see paragraph (o) of this 
section).
  (iv) Supporting documentation submitted by the individual.
  (5) The following items relating to an access request may be included 
in the basic records system:
  (i) Copies of the request;
  (ii) Copies of the Component's action granting total access.

  Note.--A separate Privacy case file need not be created in such cases.

  (iii) Copies of the Component's action denying access;
  (iv) Copies of any appeals filed;
  (v) Copies of the reply to the appeal.
  (6) There is no need to establish a Privacy case file if the 
individual has not cited the Privacy Act (reference (b)), this part, or 
the Component implementing instruction for this part.
  (7) Privacy case files shall not be furnished or disclosed to anyone 
for use in making any determination about the individual other than 
determinations made under this part.

  [51 FR 1364, Jan. 16, 1986. Redesignated at 56 FR 55631, Oct. 29, 1991 
and amended at 56 FR 57800, Nov. 14, 1991]

   Sec. 310.33  Reproduction fees.

  (a) Assessing fees. (1) Charge the individual only the direct cost of 
reproduction.
  (2) Do not charge reproduction fees if copying is:
  (i) The only means to make the record available to the individual (for 
example, a copy of the record must be made to delete classified 
information); or
  (ii) For the convenience of the DoD Component (for example, the 
Component has no reading room where an individual may review the record, 
or reproduction is done to keep the original in the Component's file).
  (3) No fees shall be charged when the record may be obtained without 
charge under any other regulation, directive, or statute.
  (4) Do not use fees to discourage requests.
  (b) No minimum fees authorized. Use fees only to recoup direct 
reproduction costs associated with granting access. Minimum fees for 
duplication are not authorized and there is no automatic charge for 
processing a request.
  (c) Prohibited fees. Do not charge or collect fees for:
  (1) Search and retrieval of records;
  (2) Review of records to determine releasability;
  (3) Copying records for DoD Component convenience or when the 
individual has not specifically requested a copy;
  (4) Transportation of records and personnel; or
  (5) Normal postage.
  (d) Waiver of fees. (1) Normally, fees are waived automatically if the 
direct costs of a given request is less than $30. This fee waiver 
provision does not apply when a waiver has been granted to the 
individual before, and later requests appear to be an extension or 
duplication of that original request. A DoD Component may, however, set 
aside this automatic fee waiver provision when on the basis of good 
evidence it determines that the waiver of fees is not in the public 
interest.
  (2) Decisions to waiver or reduce fees that exceed the automatic 
waiver threshold shall be made on a case-by-case basis.
  (e) Fees for members of Congress. Do not charge members of Congress 
for copying records furnished even when the records are requested under 
the Privacy Act on behalf of a constituent (see paragraph (k) of 
Sec. 310.41 of subpart E of this part). When replying to a constituent 
inquiry and the fees involved are substantial, consider suggesting to 
the Congressman that the constituent can obtain the information directly 
by writing to the appropriate offices and paying the costs. When 
practical, suggest to the Congressman that the record can be examined at 
no cost if the constituent wishes to visit the custodian of the record.
  (f) Reproduction fees computation. Compute fees using the appropriate 
portions of the fee schedule in subpart G of the DoD Freedom of 
Information Program (32 CFR part 286).

Subpart E--Disclosure of Personal Information to Other Agencies and 
Third Parties

   Sec. 310.40  Conditions of disclosure.

  (a) Disclosures to third parties. (1) The Privacy Act only compels 
disclosure of records from a system of records to the individuals to 
whom they pertain.

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