Home > 1997 Privacy Act Documents > Privacy Act: [Exemptions.] 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...

Privacy Act: [Exemptions.] 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...


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[2001 Privacy Act]
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     (v) And, that he may file a suit in a Federal District Court to 
   contest DIS's decision not to amend the disputed record.
     (b) Time limit for review of appeal. If the review of an appeal of 
   a refusal to amend a record cannot be accomplished within 30 days, 
   the Office of Information and Legal Affairs will notify the 
   individual and advise him of the reasons, and inform him of when he 
   may expect the review to be completed.

       [40 FR 55546, Nov. 28, 1975, as amended at 46 FR 35641, July 10, 
   1981]

Sec. 321.11

 Disclosure to other than subject.

     (a) General. No record contained in a system of records maintained 
   by DIS shall be disclosed by any means to any person or agency 
   outside the Department of Defense, except with the written consent or 
   request of the individual subject of the record, except as provided 
   in this section. Disclosures that may be made without the request or 
   consent of the subject of the record are as follows:
     (1) To those officials and employees of the Department of Defense 
   who have a need for the record in the performance of their duties, 
   when the use is compatible with the stated purposes for which the 
   record is maintained.
     (2) Required to be disclosed by the Freedom of Information Act.
     (3) For a routine use as described in DOD Directive 5400.11 and DOD 
   publication in the Federal Register.
     (4) To the Census Bureau, National Archives, the U.S. Congress, the 
   Comptroller General or General Accounting Office under the conditions 
   specified in DOD Directive 5400.11.
     (5) At the written request of the head of an agency outside DOD for 
   a law enforcement activity as authorized by DOD Directive 5400.11.
     (6) For statistical purposes, in response to a court order, or for 
   compelling circumstances affecting the health or safety of an 
   individual as described in DOD Directive 5400.11.
     (7) Legal guardians recognized by the Act.
     (b) Accounting of disclosures. Except for disclosures made to 
   members of the DOD in connection with their routine duties, and 
   disclosures required by the Freedom of Information Act, an accounting 
   will be kept of all disclosures of records maintained in DIS systems 
   listed in Sec. 321.4(b).
     (1) Accounting entries will normally be kept on a DIS form, which 
   will be maintained in the record file jacket, or in a document that 
   is part of the record.
     (2) Accounting entries will record the date, nature and purpose of 
   each disclosure, and the name and address of the person or agency to 
   whom the disclosure is made.
     (3) An accounting of disclosures made to agencies outside the DOD 
   of records in the Defense Central Index of Investigations (DIS 5-02) 
   will be kept as prescribed by the Director of Systems, DIS.
     (4) Accounting records will be maintained for at least 5 years 
   after the last disclosure, or for the life of the record, whichever 
   is longer.
     (5) Subjects of DIS records will be given access to associated 
   accounting records upon request, except as exempted under 
   Sec. 321.14.

       [40 FR 55546, Nov. 28, 1975, as amended at 46 FR 35641, July 10, 
   1981. Redesignated at 56 FR 55631, Oct. 29, 1991, and amended at 56 
   FR 57803, Nov. 14, 1991]

Sec. 321.12

Fees.

     Individuals may request copies for retention of any documents to 
   which they are granted access in DIS records pertaining to them. 
   Requestors will not be charged for the first copy of any records 
   provided; however, duplicate copies will require a charge to cover 
   costs of reproduction. Such charges will be computed in accordance 
   with DoD Directive 5400.11.

       [46 FR 35641, July 10,1981]

Sec. 321.13

 Penalties.

     (a) An individual may bring a civil action against the DIS to 
   correct or amend the record, or where there is a refusal to comply 
   with an individual request or failure to maintain any record with 
   accuracy, relevance, timeliness and completeness, so as to guarantee 
   fairness, or failure to comply with any other provision of 5 U.S.C. 
   552a. The court may order correction or amendment. It may assess 
   against the United States reasonable attorney fees and other costs, 
   or may enjoin the DIS from withholding the records and order the 
   production to the complainant.
     (b) Where it is determined that the action was willful or 
   intentional with respect to 5 U.S.C. 552a(g) (1) (C) or (D), the 
   United States shall be liable for the actual damages sustained, but 
   in no case less than the sum of $1,000 and the costs of the action 
   with attorney fees.
     (c) Criminal penalties may be imposed against an officer or 
   employee of the DIS who fully discloses material, which he knows is 
   prohibited from disclosure, or who willfully maintains a system of 
   records without the notice requirements; or against any person who 
   knowingly and willfully requests or obtains any record concerning an 
   individual from an agency under false pretenses. These offenses shall 
   be misdemeanors with a fine not to exceed $5,000.

Sec. 321.14

 Exemptions.

     (a) General. The Director of the Defense Investigative Service 
   establishes the following exemptions of records systems (or portions 
   thereof) from the provisions of these rules, and other indicated 
   portions of Pub. L. 93-579, in this section. They may be exercised 
   only by the Director, DIS and the Chief of the Office of Information 
   and Legal Affairs. Exemptions will be exercised only when necessary 
   for a specific, significant and legitimate reason connected with the 
   purpose of a records system, and not simply because they are 
   authorized by statute. Personal records releasable under the 
   provisions of 5 U.S.C. 552 will not be withheld from subject 
   individuals based on these exemptions.
     (b) All systems of records maintained by DIS 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 12356 and which is required by the 
   Executive Order to be withheld in the interest of national defense or 
   foreign policy. This exemption, which may be applicable to parts of 
   all systems of records, is necessary because certain record systems 
   not otherwise specifically designated for exemptions herein may 
   contain items of information that have been properly classified.
     (c) System identifier. V1-01
     (1) System name. Privacy and Freedom of Information Request 
   Records.
     (2) Exemption. Any portion of this system that falls under the 
   provisions of 5 U.S.C. 552a(k)(2), (k)(3), (k)(5) 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).
     (3) Authority. 5 U.S.C. 552a(k)(2), (k)(3), and (k)(5)
     (4) Reasons. From subsection (c)(3) because it will enable DIS to 
   conduct certain investigations and relay law enforcement information 
   without compromise of the information, protection of investigative 
   techniques and efforts employed, and identities of confidential 
   sources who might not otherwise come forward and who furnished 
   information under an express promise that the sources' identity would 
   be held in confidence (or prior to the effective date of the Act, 
   under an implied promise);
     (i) From subsections (e)(1), (e)(4)(G), (H), and (I) because it 
   will provide protection against notification of investigatory 
   material including certain reciprocal investigations and 
   counterintelligence information, which might alert a subject to the 
   fact that an investigation of that individual is taking place, and 
   the disclosure of which would weaken the on-going investigation, 
   reveal investigatory techniques, and place confidential informants in 
   jeopardy who furnished information under an express promise that the 
   sources' identity would be held in confidence (or prior to the 
   effective date of the Act, under an implied promise);
     (ii) From subsections (d) and (f) because requiring DIS to grant 
   access to records and agency rules for access and amendment of 
   records would unfairly impede the agency's investigation of 
   allegations of unlawful activities. To require DIS to confirm or deny 
   the existence of a record pertaining to a requesting individual may 
   in itself provide an answer to that individual relating to an on-
   going investigation. The investigation of possible unlawful 
   activities would be jeopardized by agency rules requiring 
   verification of record, disclosure of the record to the subject, and 
   record amendment procedures.

     (d) System identifier. V5-01
     (1) System name. Investigative Files System
     (2) Exemption. Any portion of this system that falls under the 
   provisions of 5 U.S.C. 552a(k)(2), (k)(3), or (k)(5) 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).
     (3) Authority. 5 U.S.C. 552a(k)(2), (k)(3), and (k)(5).
     (4) Reasons. From subsection (c)(3) because it will enable DIS to 
   conduct certain investigations and relay law enforcement information 
   without compromise of the information, protection of investigative 
   techniques and efforts employed, and identities of confidential 
   sources who might not otherwise come forward and who furnished 
   information under an express promise that the sources' identity would 
   be held in confidence (or prior to the effective date of the Act, 
   under an implied promise).
     (i) From subsections (e)(1), (e)(4)(G), (H), and (I) because it 
   will provide protection against notification of investigatory 
   material including certain reciprocal investigations and 
   counterintelligence information, which might alert a subject to the 
   fact that an investigation of that individual is taking place, and 
   the disclosure of which would weaken the on-going investigation, 
   reveal investigatory techniques, and place confidential informants in 
   jeopardy who furnished information under an express promise that the 
   sources' identity would be held in confidence (or prior to the 
   effective date of the Act, under an implied promise).
     (ii) From subsections (d) and (f) because requiring DIS to grant 
   access to records and agency rules for access and amendment of 
   records would unfairly impede the agency's investigation of 
   allegations of unlawful activities. To require DIS to confirm or deny 
   the existence of a record pertaining to a requesting individual may 
   in itself provide an answer to that individual relating to an on-
   going investigation. The investigation of possible unlawful 
   activities would be jeopardized by agency rules requiring 
   verification of record, disclosure of the record to the subject, and 
   record amendment procedures.

     (e) System identifier. V5-02
     (1) System name. Defense Clearance and Investigations Index (DCII).
     (2) Exemption. Any portion of this system that falls under 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).
     (3) Authority. 5 U.S.C. 552a(k)(2).
     (4) Reasons. From subsection (c)(3) because it will enable DIS to 
   conduct certain investigations and relay law enforcement information 
   without compromise of the information, protection of investigative 
   techniques and efforts employed, and identities of confidential 
   sources who might not otherwise come forward and who furnished 
   information under an express promise that the sources' identity would 
   be held in confidence (or prior to the effective date of the Act, 
   under an implied promise).
     (i) From subsections (e)(1), (e)(4)(G), (H), and (I) because it 
   will provide protection against notification of investigatory 
   material including certain reciprocal investigations and 
   counterintelligence information, which might alert a subject to the 
   fact that an investigation of that individual is taking place, and 
   the disclosure of which would weaken the on-going investigation, 
   reveal investigatory techniques, and place confidential informants in 
   jeopardy who furnished information under an express promise that the 
   sources' identity would be held in confidence (or prior to the 
   effective date of the Act, under an implied promise).
     (ii) From subsections (d) and (f) because requiring DIS to grant 
   access to records and agency rules for access and amendment of 
   records would unfairly impede the agency's investigation of 
   allegations of unlawful activities. To require DIS to confirm or deny 
   the existence of a record pertaining to a requesting individual may 
   in itself provide an answer to that individual relating to an on-
   going investigation. The investigation of possible unlawful 
   activities would be jeopardized by agency rules requiring 
   verification of record, disclosure of the record to the subject, and 
   record amendment procedures.

     (f) System identifier. V5-03
     (1) System name. Defense Integrated Management System (DIMS).
     (2) Exemption. Any portion of this system that falls under 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).
     (3) Authority. 5 U.S.C. 552a(k)(2).
     (4) Reasons. From subsection (c)(3) because it will enable DIS to 
   conduct certain investigations and relay law enforcement information 
   without compromise of the information, protection of investigative 
   techniques and efforts employed, and identities of confidential 
   sources who might not otherwise come forward and who furnished 
   information under an express promise that the sources' identity would 
   be held in confidence (or prior to the effective date of the Act, 
   under an implied promise).
     (i) From subsections (e)(1), (e)(4)(G), (H), and (I) because it 
   will provide protection against notification of investigatory 
   material including certain reciprocal investigations and 
   counterintelligence information, which might alert a subject to the 
   fact that an investigation of that individual is taking place, and 
   the disclosure of which would weaken the on-going investigation, 
   reveal investigatory techniques, and place confidential informants in 
   jeopardy who furnished information under an express promise that the 
   sources' identity would be held in confidence (or prior to the 
   effective date of the Act, under an implied promise).
     (ii) From subsections (d) and (f) because requiring DIS to grant 
   access to records and agency rules for access and amendment of 
   records would unfairly impede the agency's investigation of 
   allegations of unlawful activities. To require DIS to confirm or deny 
   the existence of a record pertaining to a requesting individual may 
   in itself provide an answer to that individual relating to an on-
   going investigation. The investigation of possible unlawful 
   activities would be jeopardized by agency rules requiring 
   verification of record, disclosure of the record to the subject, and 
   record amendment procedures.

     (g) System identifier. V5-04.
     (1)System name. Counintelligence Issues Database(CII-DB).
     (2) Exemption. Portions of this system of records that fall within 
   the provisions of 5 U.S.C. 552a(k)(1), (k)(2), (k)(3) and (k)(5) may 
   be exempt from the following subsections (c)(3); (d)(1) through 
   (d)(5); (e)(1); (e)(4)(G), (H), and (I); and (f).
     (3) Authority: 5 U.S.C. 552a(k)(1), (k)(2), (k)(3) and (k)(5).
     (4) Reasons.From subsection (c)(3) because giving the individual 
   access to the disclosure accounting could alert the subject of an 
   investigation to the existence and nature of the investigation and 
   reveal investigative or prosecutive interest by other agencies, 
   particularly in a joint-investigation situation. This would seriously 
   impede or compromise the investigation and case preparation by 
   prematurely revealing its existence and nature; compromise or 
   interfere with witnesses or make witnesses reluctant to cooperate 
   with the investigators; lead to suppression, alteration, fabrication, 
   or destruction of evidence; and endanger the physical safety of 
   confidential sources, witnesses, law enforcement personnel and their 
   families.
     From subsection (d) because the application of these provisions 
   could impede or compromise an investigation or prosecution. If the 
   subject of an investigation had access to the records or were able to 
   use such rules to learn of the existence of an investigation before 

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