Privacy Act Regulations, 16531-16543 [E8-5904]
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Federal Register / Vol. 73, No. 61 / Friday, March 28, 2008 / Rules and Regulations
schools identified under paragraph
(a)(1)(ii) of this section, and to restore
eligibility of covered schools identified
under paragraph (a)(2) of this section.
§ 216.6
Information requirements.
The information requirements
identified at § 216.5(b) and (c)(1) have
been assigned Report Control Symbol
DD–P&R–(AR)–2038 in accordance with
DoD 8910.1–M 2.
Appendix A of Part 216—Military
Recruiting Sample Letter of Inquiry
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(Tailor letter to situation presented)
Dr. John Doe,
President, ABC University, Anywhere, USA
12345–9876.
Dear Dr. Doe: I understand that military
recruiting personnel [have been unable to
recruit or have been refused studentrecruiting information 3 at (subelement of)
ABC University)] by a policy or practice of
the school. Specifically, military recruiting
personnel have reported [here state policy
decisions or practices encountered]. [If
preliminary information coming to the
attention of a Military Service indicates that
other Military Services’ recruiting
representatives have been similarly informed
of the policy or experienced a similar
practice affecting their ability for military
recruiting purposes to have the access or
information require, so state.]
Current Federal law (10 U.S.C. 983) denies
the use of certain Federal funds through
grants or contracts, to include payment on
such contracts or grants previously obligated,
(excluding any Federal funding to an
institution of higher education, or to an
individual, to be available solely for student
financial assistance, related administrative
costs, or costs associated with attendance)
from appropriations of the Departments of
Defense, Transportation, Labor, Health and
Human Services, Education, and related
agencies to institutions of higher education
(including any subelements of such
institutions) that have a policy or practice of
denying military recruiting personnel access
to campuses or access to students on
campuses, in a manner that is at least equal
in quality and scope (as explained in § 216.3
of Title 32, Code of Federal Regulations, Part
216), as it provides to nonmilitary recruiters,
or access to student recruiting information.
Implementing regulations are codified at
Title 32, Code of Federal Regulations, Part
216.
This letter provides you an opportunity to
clarify your institution’s policy regarding
military recruiting on the campus of
[University]. In that regard, I request, within
the next 30 days, a written policy statement
of the institution with respect to access to
campus and students by military recruiting
personnel. Your response should highlight
2 Copies may be obtained at https://www.dtic.mil/
whs/directives/.
3 Student-recruiting information refers to a
student’s name, address, telephone listing, age (or
year of birth), level of education (e.g., freshman,
sophomore, or degree awarded for a recent
graduate), and major(s).
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any difference between access for military
recruiters and access for recruiting by other
potential employers.
Based on this information and any
additional facts you can provide, Department
of Defense officials will make a
determination as to your institution’s
eligibility to receive funds by grant or
contract. That decision may affect eligibility
for funding from appropriations of the
Departments of Defense, Transportation,
Labor, Health and Human Services,
Education, and related agencies. Should it be
determined that [University] as an institution
of higher education (or any subelement of the
institution) is in violation of the
aforementioned statutes and regulations,
such funding would be stopped, and the
institution of higher education (including
any subelements of the institution) would
remain ineligible to receive such funds until
and unless the Department of Defense
determines that the institution has ceased the
offending policies and practices.
I regret that this action may have to be
taken. Successful recruiting requires that
Department of Defense recruiters have equal
access to students on the campuses of
colleges and universities [and studentrecruiting information], and at the same time,
have effective relationships with the officials
and student bodies of those institutions. I
hope it will be possible to identify and
correct any policies or practices that inhibit
military recruiting at your school. [My
representative, (name), is] [I am] available to
answer any of your questions by telephone at
[telephone number]. I look forward to your
reply.
Sincerely,
Appendix B of Part 216—ROTC Sample
Letter of Inquiry
(Tailor letter to situation presented)
Dr. Jane Smith,
President, ABC University, Anywhere, USA
12345–9876.
Dear Dr. Smith: I understand that ABC
University has [refused a request from a
Military Department to establish a Senior
ROTC unit at your institution] [refused to
continue existing ROTC programs at your
institution][prevented students from
participation at a Senior ROTC program at
another institution] by a policy or practice of
the University.
Current Federal law (10 U.S.C. 983) denies
the use of certain Federal funds through
grants or contracts, to include payment on
such contracts or grants previously obligated,
(excluding any Federal funding to an
institution of higher education, or to an
individual, to be available solely for student
financial assistance, related administrative
costs, or costs associated with attendance)
from appropriations of the Departments of
Defense, Transportation, Labor, Health and
Human Services, Education, and related
agencies to institutions of higher education
(including any subelements of such
institutions) that have a policy or practice of
prohibiting or preventing the Secretary of
Defense from maintaining, establishing, or
efficiently operating a Senior ROTC unit.
Implementing regulations are codified at
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Title 32, Code of Federal Regulations, Part
216.
This letter provides you an opportunity to
clarify your institution’s policy regarding
ROTC access on the campus of ABC
University. In that regard, I request, within
the next 30 days, a written statement of the
institution with respect to [define the
problem area(s)].
Based on this information, Department of
Defense officials will make a determination
as to your institution’s eligibility to receive
the above-referenced funds by grant or
contract. That decision may affect eligibility
for funding from appropriations of the
Departments of Defense, Transportation,
Labor, Health and Human Services,
Education, and related agencies. Should it be
determined that [University] as an institution
of higher education (or any subelement of the
institution) is in violation of the
aforementioned statutes and regulations,
such funding would be stopped, and the
institution of higher education (including
any subelements of the institution) would
remain ineligible to receive such funds until
and unless the Department of Defense
determines that the institution has ceased the
offending policies and practices.
I regret that this action may have to be
taken. Successful officer procurement
requires that the Department of Defense
maintain a strong ROTC program. I hope it
will be possible to [define the correction to
the aforementioned problem area(s)]. [My
representative, (name), is] [I am] available to
answer any of your questions by telephone at
[telephone number]. I look forward to your
reply.
Sincerely,
Dated: March 20, 2008.
L.M. Bynum,
Alternate OSD Federal Register Liaison
Officer, DoD.
[FR Doc. E8–6536 Filed 3–27–08; 8:45 am]
BILLING CODE 5001–06–P
OFFICE OF THE DIRECTOR OF
NATIONAL INTELLIGENCE
32 CFR Part 1701
Privacy Act Regulations
Office of the Director of
National Intelligence.
ACTION: Final rule.
AGENCY:
SUMMARY: This final regulation provides
the public the guidelines under which
the Office of the Director of National
Intelligence (ODNI) will implement the
Privacy Act of 1974, 5 U.S.C. 552a, as
amended. Subpart A of the regulation
describes agency policies for collecting
and maintaining personally identifiable
records and processes for administering
requests for records under the Privacy
Act. Subpart B of the regulation
articulates agency policy for invoking
exemptions under the Act, including
retaining exemptions on records
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received from other agencies where
reasons for exemption remain valid.
Subpart B also articulates the basis for
exemptions that may be claimed with
respect to records in each published
system of records. Subpart C sets forth
the agency routine uses applicable to
more than one system of records.
DATES:
Effective Date: March 28, 2008.
Mr.
John F. Hackett, Director, Information
Management Office (703) 482–3610.
FOR FURTHER INFORMATION CONTACT:
The ODNI
was created by the Intelligence Reform
and Terrorism Prevention Act of 2004,
Public Law 108–458, 118 Stat. 3638
(Dec. 17, 2004). The first Director of
National Intelligence, Ambassador John
D. Negroponte, was sworn into Office on
April 21, 2005 and the ODNI began
operations on April 22, 2005. Because
the majority of documents held by the
ODNI at its inception were previously
maintained by the Central Intelligence
Agency (CIA) and because the ODNI did
not have a Privacy staff upon stand-up,
records were administered under the
CIA’s Privacy Act authorities and using
CIA’s administrative resources.
On January 2, 2008 (73 FR 113), the
ODNI published its own Privacy Act
regulation for public comment. The
ODNI received no comments on its
proposed regulation.
Therefore, under the authority of the
Intelligence Reform and Terrorism
Prevention Act of 2004, Public Law
108–458, 118 Stat. 3638, the Office of
the Director of National Intelligence
hereby establishes Part 1701,
Administration of Records Under the
Privacy Act of 1974, to Chapter XVII of
Title 32 of the Code of Federal
Regulations.
In addition, on December 28, 2007,
the ODNI published notices for the
following twelve new Privacy Act
systems of records: NCTC Access
Authorization Records, NCTC Human
Resources Management System, NCTC
Telephone Directory, NCTC Knowledge
Repository (SANCTUM), NCTC Online
(NOL), NCTC Tacit Knowledge
Management Records, NCTC Terrorism
Analysis Records, NCTC Terrorist
Identities Records, NCTC Partnership
Management Records, ONCIX
Counterintelligence Damage Assessment
Records, OIG Experts Contact Records,
OIG Human Resources Records and OIG
Investigation and Interview Records.
The ODNI received no comments
regarding these systems of records
notices. These systems of records
notices are published at 72 Federal
Register 73887–73904 (Dec. 28, 2007).
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SUPPLEMENTARY INFORMATION:
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Regulatory Flexibility Act
Executive Order 13132, Federalism
This rule affects only the manner in
which ODNI collects and maintains
information about individuals. ODNI
certifies that this rulemaking does not
impact small entities and that analysis
under the Regulatory Flexibility Act, 5
U.S.C. 601–612, is not required.
Executive Order 13132 requires
agencies to examine the implications for
the distribution of power and
responsibilities among the various
levels of government resulting from
their rules. ODNI concludes that this
rule does not affect the rights, roles and
responsibilities of the States, involves
no preemption of State law and does not
limit State policymaking discretion.
This rule has no federalism implications
as defined by the Executive Order.
Small Entity Inquiries
The Small Business Regulatory
Enforcement Fairness Act (SBREFA) of
1996 requires the ODNI to comply with
small entity requests for information
and advice about compliance with
statutes and regulations within the
ODNI jurisdiction. Any small entity that
has a question regarding this document
may address it to the information
contact listed above. Further
information regarding SBREFA is
available on the Small Business
Administration’s Web page at https://
www.sga.gov/advo/law/law-lib.html.
Paperwork Reduction Act
The Paperwork Reduction Act of 1995
(44 U.S.C. 3507(d)) requires that the
ODNI consider the impact of paperwork
and other burdens imposed on the
public associated with the collection of
information. There are no information
collection requirements associated with
this rule and therefore no analysis of
burden is required.
Executive Order 12866, Regulatory
Planning and Review
This rule is not a ‘‘significant
regulatory action’’ within the meaning
of Executive Order 12866. This rule will
not adversely affect the economy or
sector of the economy in a material way;
will not create inconsistency with or
interfere with other agency action; will
not materially alter the budgetary
impact of entitlements, grants, fees or
loans or the right and obligations of
recipients thereof; or raise legal or
policy issues arising out of legal
mandates, the President’s priorities or
the principles set forth in the Executive
Order. Accordingly, further regulatory
evaluation is not required.
Unfunded Mandates
Title II of the Unfunded Mandates
Reform Act of 1995 (UMRA), Public
Law 104–4, 109 Stat. 48 (Mar. 22, 1995),
requires Federal agencies to assess the
effects of certain regulatory actions on
State, local, and tribal governments, and
the private sector. This rule imposes no
Federal mandate on any State, local, or
tribal government or on the private
sector. Accordingly, no UMRA analysis
of economic and regulatory alternatives
is required.
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Environmental Impact
The ODNI has reviewed this action for
purposes of the National Environmental
Policy Act of 1969 (NEPA), 42 U.S.C.
4321–4347, and has determined that
this action does not affect the human
environment.
Energy Impact
This rulemaking is not a major
regulatory action under the provisions
of the Energy Policy and Conservation
Act (EPCA), Public Law 94–163, as
amended, 42 U.S.C. 6362.
List of Subjects in 32 CFR Part 1701
Records and Privacy Act.
For the reasons set forth in the
preamble, ODNI adds part 1701 as
follows:
I
PART 1701—ADMINISTRATION OF
RECORDS UNDER THE PRIVACY ACT
OF 1974
Subpart A—Protection of Privacy and
Access to Individual Records Under the
Privacy Act of 1974
Sec.
1701.1 Purpose, scope, applicability.
1701.2 Definitions.
1701.3 Contact for general information and
requests.
1701.4 Privacy Act responsibilities/policy.
1701.5 Collection and maintenance of
records.
1701.6 Disclosure of records/policy.
1701.7 Requests for notification of and
access to records.
1701.8 Requests to amend or correct
records.
1701.9 Requests for an accounting of record
disclosures.
1701.10 ODNI responsibility for responding
to access requests.
1701.11 ODNI responsibility for responding
to requests for amendment or correction.
1701.12 ODNI responsibility for responding
to requests for accounting.
1701.13 Special procedures for medical/
psychiatric/psychological testing
records.
1701.14 Appeals.
1701.15 Fees.
1701.16 Contractors.
1701.17 Standards of conduct.
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Subpart B—Exemption of Records Systems
Under the Privacy Act
1701.20 Exemption policies.
1701.21 Exemption of National
Counterterrorism Center (NCTC) systems
of records.
1701.22 Exemption of Office of the National
Counterintelligence Executive (ONCIX)
systems of records.
1701.23 Exemption of Office of Inspector
General (OIG) systems of records.
Subpart C—Routine Uses Applicable to
More Than One ODNI System of Records
1701.30 Policy and applicability.
1701.31 General routine uses.
Authority: 50 U.S.C. 401–442; 5 U.S.C.
552a.
Subpart A—Protection of Privacy and
Access to Individual Records Under
the Privacy Act of 1974
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§ 1701.1
Purpose, scope, applicability.
(a) Purpose. This subpart establishes
the policies and procedures the Office of
the Director of National Intelligence
(ODNI) will follow in implementing the
requirements of the Privacy Act of 1974,
5 U.S.C.552a, as amended. This subpart
sets forth the procedures ODNI must
follow in collecting and maintaining
personal information from or about
individuals, as well as procedures by
which individuals may request to access
or amend records about themselves and
request an accounting of disclosures of
those records by the ODNI. In addition,
this subpart details parameters for
disclosing personally identifiable
information to persons other than the
subject of a record.
(b) Scope. The provisions of this
subpart apply to all records in systems
of records maintained by ODNI
directorates, centers, mission managers
and other sub-organizations [hereinafter
called ‘‘components’’] that are retrieved
by an individual’s name or personal
identifier.
(c) Applicability. This subpart governs
the following individuals and entities:
(1) All ODNI staff and components
must comply with this subpart. The
terms ‘‘staff’’ and ‘‘component’’ are
defined in § 1701.2.
(2) Unless specifically exempted, this
subpart also applies to advisory
committees and councils within the
meaning of the Federal Advisory
Committee Act (FACA) which provide
advice to: Any official or component of
ODNI; or the President, and for which
ODNI has been delegated responsibility
for providing service.
(d) Relation to Freedom of
Information Act. The ODNI shall
provide a subject individual under this
subpart all records which are otherwise
accessible to such individual under the
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provisions of the Freedom of
Information Act, 5 U.S.C. 552.
§ 1701.2
Definitions.
For purposes of this subpart, the
following terms have the meanings
indicated:
Access means making a record
available to a subject individual.
Act means the Privacy Act of 1974.
Agency means the ODNI or any of its
components.
Component means any directorate,
mission manager, or other suborganization in the ODNI or reporting to
the Director, that has been designated or
established in the ODNI pursuant to
Section 103 of the National Security Act
of 1947, as amended, including the
National Counterterrorism Center
(NCTC), the National
Counterproliferation Center (NCPC) and
the Office of the National
Counterintelligence Executive (ONCIX),
or such other offices and officials as
may be established by law or as the
Director may establish or designate in
the ODNI, for example, the Program
Manager, Information Sharing
Environment (ISE) and the Inspector
General (IG).
Disclosure means making a record
about an individual available to or
releasing it to another party.
FOIA means the Freedom of
Information Act.
Individual, when used in connection
with the Privacy Act, means a living
person who is a citizen of the United
States or an alien lawfully admitted for
permanent residence. It does not
include sole proprietorships,
partnerships, or corporations.
Information means information about
an individual and includes, but is not
limited to, vital statistics; race, sex, or
other physical characteristics; earnings
information; professional fees paid to an
individual and other financial
information; benefit data or claims
information; the Social Security
number, employer identification
number, or other individual identifier;
address; phone number; medical
information; and information about
marital, family or other personal
relationships.
Maintain means to establish, collect,
use, or disseminate when used in
connection with the term record; and, to
have control over or responsibility for a
system of records, when used in
connection with the term system of
records.
Notification means communication to
an individual whether he is a subject
individual.
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Office of the Director of National
Intelligence means any and all of the
components of the ODNI.
Record means any item, collection, or
grouping of information about an
individual that is maintained by the
ODNI including, but not limited to,
information such as an individual’s
education, financial transactions,
medical history, and criminal or
employment history that contains the
individual’s name, or an identifying
number, symbol, or any other identifier
assigned to an individual. When used in
this subpart, record means only a record
that is in a system of records.
Routine use means the disclosure of a
record outside ODNI, without the
consent of the subject individual, for a
purpose which is compatible with the
purpose for which the record was
collected. It does not include disclosure
which the Privacy Act otherwise
permits pursuant to subsection (b) of the
Act.
Staff means any current or former
regular or special employee, detailee,
assignee, employee of a contracting
organization, or independent contractor
of the ODNI or any of its components.
Subject individual means the person
to whom a record pertains (or ‘‘record
subject’’).
System of records means a group of
records under ODNI’s control from
which information about an individual
is retrieved by the name of the
individual or by an identifying number,
symbol, or other particular assigned to
the individual. Single records or groups
of records which are not retrieved by a
personal identifier are not part of a
system of records,
§ 1701.3 Contact for general information
and requests.
Privacy Act requests and appeals and
inquiries regarding this subpart or about
ODNI’s Privacy Act program must be
submitted in writing to the Director,
Information Management Office (D/
IMO), Office of the Director of National
Intelligence, Washington, DC 20511 (by
mail or by facsimile at 703–482–2144)
or to the contact designated in the
specific Privacy Act System of Records
Notice. Privacy Act requests with the
required identification statement and
signature pursuant to paragraphs (d) and
(e) of § 1701.7 of this subpart must be
filed in original form.
§ 1701.4
policy.
Privacy Act responsibilities/
The ODNI will administer records
about individuals consistent with
statutory, administrative, and program
responsibilities. Subject to exemptions
authorized by the Act, ODNI will
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collect, maintain and disclose records as
required and will honor subjects’ rights
to view and amend records and to
obtain an accounting of disclosures.
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§ 1701.5 Collection and maintenance of
records.
(a) ODNI will not maintain a record
unless:
(1) It is relevant and necessary to
accomplish an ODNI function required
by statute or Executive Order;
(2) It is acquired to the greatest extent
practicable from the subject individual
when ODNI may use the record to make
any determination about the individual;
(3) The individual providing the
record is informed of the authority for
providing the record (including whether
providing the record is mandatory or
voluntary), the principal purpose for
maintaining the record, the routine uses
for the record, and what effect refusing
to provide the record may have;
(4) It is maintained with such
accuracy, relevance, timeliness and
completeness as is reasonably necessary
to ensure fairness to the individual in
the determination;
(b) Except as to disclosures made to
an agency or made under the FOIA,
ODNI will make reasonable efforts prior
to disseminating a record about an
individual, to ensure that the record is
accurate, relevant, timely, and complete;
(c) ODNI will not maintain or develop
a system of records that is not the
subject of a current or planned public
notice;
(d) ODNI will not adopt a routine use
of information in a system without
notice and invitation to comment
published in the Federal Register at
least 30 days prior to final adoption of
the routine use;
(e) To the extent ODNI participates
with a non-Federal agency in matching
activities covered by section (8) of the
Act, ODNI will publish notice of the
matching program in the Federal
Register;
(f) ODNI will not maintain a record
which describes how an individual
exercises rights guaranteed by the First
Amendment unless expressly
authorized by statute or by the subject
individual, or unless pertinent to and
within the scope of an authorized law
enforcement activity;
(g) When required by the Act, ODNI
will maintain an accounting of all
disclosures of records by the ODNI to
persons, organizations or agencies;
(h) Each ODNI component shall
implement administrative, physical and
technical controls to prevent
unauthorized access to its systems of
records, to prevent unauthorized
disclosure of records, and to prevent
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physical damage to or destruction of
records;
(i) ODNI will establish rules and
instructions for complying with the
requirements of the Privacy Act,
including notice of the penalties for
non-compliance, applicable to all
persons involved in the design,
development, operation or maintenance
of any system of records.
§ 1701.6
Disclosure of records/policy.
Consistent with 5 U.S.C. 552a(b),
ODNI will not disclose any record
which is contained in a system of
records by any means (written, oral or
electronic) without the consent of the
subject individual unless disclosure
without consent is made for reasons
permitted under applicable law,
including:
(a) Internal agency use on a need-toknow basis;
(b) Release under the Freedom of
Information Act (FOIA) if not subject to
protection under the FOIA exemptions;
(c) A specific ‘‘routine use’’ as
described in the ODNI’s published
compilation of Routine Uses Applicable
to More Than One ODNI System of
Records or in specific published Privacy
Act Systems of Records Notices
(available at https://www.dni.gov);
(d) Release to the Bureau of the
Census, the National Archives and
Records Administration, or the
Government Accountability Office, for
the performance of those entities’
statutory duties;
(e) Release in non-identifiable form to
a recipient who has provided written
assurance that the record will be used
solely for statistical research or
reporting;
(f) Compelling circumstances in
which the health or safety of an
individual is at risk;
(g) Release pursuant to the order of a
court of competent jurisdiction or to a
governmental entity for a specifically
documented civil or criminal law
enforcement activity;
(h) Release to either House of
Congress or to any committee,
subcommittee or joint committee thereof
to the extent of matter within its
jurisdiction;
(i) Release to a consumer reporting
agency in accordance with section
3711(e) of Title 31.
§ 1701.7 Requests for notification of and
access to records.
(a) How to request. Unless records are
not subject to access (see paragraph (b)
of this section), individuals seeking
access to records about themselves may
submit a request in writing to the D/
IMO, as directed in Sec. 1701.3 of this
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subpart, or to the contact designated in
the specific Privacy Act System of
Records Notice. To ensure proper
routing and tracking, requesters should
mark the envelope ‘‘Privacy Act
Request.’’
(b) Records not subject to access. The
following records are not subject to
review by subject individuals:
(1) Records in ODNI systems of
records that ODNI has exempted from
access and correction under the Privacy
Act, 5 U.S.C. 552a(j) or (k), by notice
published in the Federal Register, or
where those exemptions require that
ODNI can neither confirm nor deny the
existence or nonexistence of responsive
records (see § 1701.10(c)(iii)).
(2) Records in ODNI systems of
records that another agency has
exempted from access and correction
under the Privacy Act, 5 U.S.C. 552a(j)
or (k), by notice published in the
Federal Register, or where those
exemptions require that ODNI can
neither confirm nor deny the existence
or nonexistence of responsive records
(see § 1701.10(c)(iii)).
(c) Description of records. Individuals
requesting access to records about
themselves should, to the extent
possible, describe the nature of the
records, why and under what
circumstances the requester believes
ODNI maintains the records, the time
period in which they may have been
compiled and, ideally, the name or
identifying number of each Privacy Act
System of Records in which they might
be included. The ODNI publishes
notices in the Federal Register that
describe its systems of records. The
Federal Register compiles these notices
biennially and makes them available in
hard copy at large reference libraries
and in electronic form at the
Government Printing Office’s World
Wide Web site, https://
www.gpoaccess.gov.
(d) Verification of identity. A written
request for access to records about
oneself must include full (legal) name,
current address, date and place of birth,
and citizenship status. Aliens lawfully
admitted for permanent residence must
provide their Alien Registration Number
and the date that status was acquired.
The D/IMO may request additional or
clarifying information to ascertain
identity. Access requests must be signed
and the signature either notarized or
submitted under 28 U.S.C. 1746,
authorizing statements made under
penalty of perjury as a substitute for
notarization.
(e) Verification of guardianship or
representational relationship. The
parent or guardian of a minor, the
guardian of an individual under judicial
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disability, or an attorney retained to
represent an individual shall provide, in
addition to establishing the identity of
the minor or individual represented as
required in paragraph (d) of this section,
evidence of such representation by
submitting a certified copy of the
minor’s birth certificate, court order, or
representational agreement which
establishes the relationship and the
requester’s identity.
(f) ODNI will permit access to or
provide copies of records to individuals
other than the record subject (or the
subject’s legal representative) only with
the requester’s written authorization.
§ 1701.8 Requests to amend or correct
records.
rwilkins on PROD1PC63 with RULES
(a) How to request. Unless the record
is not subject to amendment or
correction (see paragraph (b) of this
section), individuals (or guardians or
representatives acting on their behalf)
may make a written amendment or
correction request to the D/IMO, as
directed in § 1701.3 of this subpart, or
to the contact designated in a specific
Privacy Act System of Records.
Requesters seeking amendment or
correction should identify the particular
record or portion subject to the request,
explain why an amendment or
correction is necessary, and provide the
desired replacement language.
Requesters may submit documentation
supporting the request to amend or
correct. Requests for amendment or
correction will lapse (but may be reinitiated with a new request) if all
necessary information is not submitted
within forty-five (45) days of the date of
the original request. The identity
verification procedures of paragraphs
(d) and (e) of § 1701.7 of this subpart
apply to amendment requests.
(b). (1) Records which are
determinations of fact or evidence
received (e.g., transcripts of testimony
given under oath or written statements
made under oath; transcripts of grand
jury proceedings, judicial proceedings,
or quasi-judicial proceedings, which are
the official record of those proceedings;
pre-sentence records that originated
with the courts) and
(2) Records in ODNI systems of
records that ODNI or another agency has
exempted from amendment and
correction under Privacy Act, 5 U.S.C.
552a(j) or (k) by notice published in the
Federal Register.
§ 1701.9 Requests for an accounting of
record disclosures.
(a) How to request. Except where
accountings of disclosures are not
required to be kept (see paragraph (b) of
this section), record subjects (or their
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guardians or representatives) may
request an accounting of disclosures
that have been made to another person,
organization, or agency as permitted by
the Privacy Act at 5 U.S.C. 552a(b). This
accounting contains the date, nature,
and purpose of each disclosure, as well
as the name and address of the person,
organization, or agency to which the
disclosure was made. Requests for
accounting should identify each record
in question and must be made in writing
to the D/IMO, as indicated in § 1701.3
of this subpart, or to the contact
designated in a specific Privacy Act
System of Records.
(b) Accounting not required. The
ODNI is not required to provide
accounting of disclosure in the
following circumstances:
(1) Disclosures for which the Privacy
Act does not require accounting, i.e.,
disclosures to employees within the
agency and disclosures made under the
FOIA;
(2) Disclosures made to law
enforcement agencies for authorized law
enforcement activities in response to
written requests from the respective
head of the law enforcement agency
specifying the law enforcement
activities for which the disclosures are
sought; or
(3) Disclosures from systems of
records that have been exempted from
accounting requirements under the
Privacy Act, 5 U.S.C. 552a(j) or (k), by
notice published in the Federal
Register.
§ 1701.10 ODNI responsibility for
responding to access requests.
(a) Acknowledgement of requests.
Upon receipt of a request providing all
necessary information, the D/IMO shall
acknowledge receipt to the requester
and provide an assigned request number
for further reference.
(b) Tasking to component. Upon
receipt of a proper access request, the D/
IMO shall provide a copy of the request
to the point of contact (POC) in the
ODNI component with which the
records sought reside. The POC within
the component shall determine whether
responsive records exist and, if so,
recommend to the D/IMO:
(1) Whether access should be denied
in whole or part (and the legal basis for
denial under the Privacy Act); or
(2) Whether coordination with or
referral to another component or federal
agency is appropriate.
(c) Coordination and referrals—(1)
Examination of records. If a component
POC receiving a request for access
determines that an originating agency or
other agency that has a substantial
interest in the record is best able to
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process the request (e.g., the record is
governed by another agency’s
regulation, or another agency originally
generated or classified the record), the
POC shall forward to the D/IMO all
records necessary for coordination with
or referral to the other component or
agency, as well as specific
recommendations with respect to any
denials.
(2) Notice of referral. Whenever the D/
IMO refers all or any part of the
responsibility for responding to a
request to another agency, the D/IMO
shall notify the requester of the referral.
(3) Effect of certain exemptions. (i) In
processing a request, the ODNI shall
decline to confirm or deny the existence
or nonexistence of any responsive
records whenever the fact of their
existence or nonexistence:
(A) May reveal protected intelligence
sources and collection methods (50
U.S.C. 403–1(i)); or
(B) Is classified and subject to an
exemption appropriately invoked by
ODNI or another agency under
subsections (j) or (k) of the PrivacyAct.
(ii) In such event, the ODNI will
inform the requester in writing and
advise the requestor of the right to file
an administrative appeal of any adverse
determination.
(d) Time for response. The D/IMO
shall respond to a request for access
promptly upon receipt of
recommendations from the POC and
determinations resulting from any
necessary coordination with or referral
to another agency. The D/IMO may
determine to update a requester on the
status of a request that remains
outstanding longer than reasonably
expected.
(e) ODNI action on requests for
access—(1) Grant of access. Once the D/
IMO determines to grant a request for
access in whole or in part, the D/IMO
shall notify the requester in writing and
come to agreement with the requester
about how to effect access, whether by
on-site review or duplication of the
records. If a requester is accompanied
by another person, the requester shall be
required to authorize in writing any
discussion of the records in the
presence of the other person.
(2) Denial of access. The D/IMO shall
notify the requester in writing when an
adverse determination is made denying
a request for access in any respect.
Adverse determinations, or denials,
consist of a determination to withhold
any requested record in whole or in
part; a determination that a requested
record does not exist or cannot be
located; a determination that what has
been requested is not a record subject to
the Privacy Act; or a determination that
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the existence of a record can neither be
confirmed nor denied. The notification
letter shall state:
(i) The reason(s) for the denial; and
(ii) The procedure for appeal of the
denial under § 1701.14 of this subpart.
§ 1701.11 ODNI responsibility for
responding to requests for amendment or
correction.
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(a) Acknowledgement of request. The
D/IMO shall acknowledge receipt of a
request for amendment or correction of
records in writing and provide an
assigned request number for further
reference.
(b) Tasking of component. Upon
receipt of a proper request to amend or
correct a record, the D/IMO shall
forward the request to the POC in the
component maintaining the record. The
POC shall promptly evaluate the
proposed amendment or correction in
light of any supporting justification and
recommend that the D/IMO grant or
deny the request or, if the request
involves a record subject to correction
by an originating agency, refer the
request to the other agency.
(c) Action on request for amendment
or correction. (1) If the POC determines
that the request for amendment or
correction is justified, in whole or in
part, the D/IMO shall promptly:
(i) Make the amendment, in whole or
in part, as requested and provide the
requester a written description of the
amendment or correction made; and
(ii) Provide written notice of the
amendment or correction to all persons,
organizations or agencies to which the
record has been disclosed (if an
accounting of the disclosure was made);
(2) Where the D/IMO has referred an
amendment request to another agency,
the D/IMO, upon confirmation from that
agency that the amendment has been
effected, shall provide written notice of
the amendment or correction to all
persons, organizations or agencies to
which ODNI previously disclosed the
record.
(3) If the POC determines that the
requester’s records are accurate,
relevant, timely and complete, and that
no basis exists for amending or
correcting the record, either in whole or
in part, the D/IMO shall inform the
requester in writing of:
(i) The reason(s) for the denial; and
(ii) The procedure for appeal of the
denial under Sec. 1701.15 of this
subpart.
§ 1701.12 ODNI responsibility for
responding to requests for accounting.
(a) Acknowledgement of request.
Upon receipt of a request for
accounting, the D/IMO shall
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acknowledge receipt of the request in
writing and provide an assigned request
number for further reference.
(b) Tasking of component. Upon
receipt of a request for accounting, the
D/IMO shall forward the request to the
POC in the component maintaining the
record. The POC shall work with the
component’s information management
officer and the systems administrator to
generate the requested disclosure
history.
(c) Action on request for accounting.
The D/IMO will notify the requester
when the accounting is available for onsite review or transmission in paper or
electronic medium.
(d) Notice of court-ordered
disclosures. The D/IMO shall make
reasonable efforts to notify an
individual whose record is disclosed
pursuant to court order. Notice shall be
made within a reasonable time after
receipt of the order; however, when the
order is not a matter of public record,
the notice shall be made only after the
order becomes public. Notice shall be
sent to the individual’s last known
address and include a copy of the order
and a description of the information
disclosed. No notice shall be made
regarding records disclosed from a
criminal law enforcement system that
has been exempted from the notice
requirement.
(e) Notice of emergency disclosures.
ODNI shall notify an individual whose
record it discloses under compelling
circumstances affecting health or safety.
This notice shall be mailed to the
individual’s last known address and
shall state the nature of the information
disclosed; the person, organization, or
agency to which it was disclosed; the
date of disclosure; and the compelling
circumstances justifying the disclosure.
This provision shall not apply in
circumstances involving classified
records that have been exempted from
disclosure pursuant to subsection (j) or
(k) of the Privacy Act.
§ 1701.13 Special procedures for medical/
psychiatric/psychological records.
Current and former ODNI employees,
including current and former employees
of ODNI contractors, and unsuccessful
applicants for employment may seek
access to their medical, psychiatric or
psychological testing records by writing
to: Information and Privacy Coordinator,
Central Intelligence Agency,
Washington, DC 20505, and provide
identifying information as required by
paragraphs (d) and (e) of § 1701.7 of this
subpart. The Central Intelligence
Agency’s Privacy Act Regulations will
govern administration of these types of
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records, including appeals from adverse
determinations.
§ 1701.14
Appeals.
(a) Individuals may appeal denials of
requests for access, amendment, or
accounting by submitting a written
request for review to the Director,
Information Management Office (D/
IMO) at the Office of the Director of
National Intelligence, Washington, DC
20511. The words ‘‘PRIVACY ACT
APPEAL’’ should be written on the
letter and the envelope. The appeal
must be signed by the record subject or
legal representative. No personal
appearance or hearing on appeal will be
allowed.
(b) The D/IMO must receive the
appeal letter within 45 calendar days of
the date the requester received the
notice of denial. The postmark is
conclusive as to timeliness. Copies of
correspondence from ODNI denying the
request to access or amend the record
should be included with the appeal, if
possible. At a minimum, the appeal
letter should identify:
(1) The records involved;
(2) The date of the initial request for
access to or amendment of the record;
(3) The date of ODNI’s denial of that
request; and
(4) A statement of the reasons
supporting the request for reversal of the
initial decision. The statement should
focus on information not previously
available or legal arguments
demonstrating that the ODNI’s decision
is improper.
(c) Following receipt of the appeal,
the Director of Intelligence Staff (DIS)
shall, in consultation with the Office of
General Counsel, make a final
determination in writing on the appeal.
(d) Where ODNI reverses an initial
denial, the following procedures apply:
(1) If ODNI reverses an initial denial
of access, the procedures in paragraph
(e)(1) of § 1701.10 of this subpart will
apply.
(2) If ODNI reverses its initial denial
of a request to amend a record, the POC
will ensure that the record is corrected
as requested, and the D/IMO will inform
the individual of the correction, as well
as all persons, organizations and
agencies to which ODNI had disclosed
the record.
(3) If ODNI reverses its initial denial
of a request for accounting, the POC will
notify the requester when the
accounting is available for on-site
review or transmission in paper or
electronic medium.
(e) If ODNI upholds its initial denial
or reverses in part (i.e., only partially
granting the request), ODNI’s notice of
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final agency action will inform the
requester of the following rights:
(1) Judicial review of the denial under
5 U.S.C. 552a(g)(1), as limited by 5
U.S.C. 552a(g)(5).
(2) Opportunity to file a statement of
disagreement with the denial, citing the
reasons for disagreeing with ODNI’s
final determination not to correct or
amend a record. The requester’s
statement of disagreement should
explain why he disputes the accuracy of
the record.
(3) Inclusion in one’s record of copies
of the statement of disagreement and the
final denial, which ODNI will provide
to all subsequent recipients of the
disputed record, as well as to all
previous recipients of the record where
an accounting was made of prior
disclosures of the record.
§ 1701.15
Fees.
ODNI shall charge fees for duplication
of records under the Privacy Act, 5
U.S.C. 552a, in the same way in which
it will charge for duplication of records
under § 1700.7(g), ODNI’s regulation
implementing the fee provision of the
Freedom of Information Act, 5 U.S.C.
552.
§ 1701.16
Contractors.
(a) Any approved contract for the
operation of a Privacy Act system of
records to accomplish a function of the
ODNI will contain the Privacy Act
provisions prescribed by the Federal
Acquisition Regulations (FAR) at 48
CFR part 24, requiring the contractor to
comply with the Privacy Act and this
subpart. The contracting component
will be responsible for ensuring that the
contractor complies with these contract
requirements. This section does not
apply to systems of records maintained
by a contractor as a function of
management discretion, e.g., the
contractor’s personnel records.
(b) Where the contract contains a
provision requiring the contractor to
comply with the Privacy Act and this
subpart, the contractor and any
employee of the contractor will be
considered employees of the ODNI for
purposes of the criminal penalties of the
Act, 5 U.S.C. 552a(i).
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§ 1701.17
Standards of conduct.
(a) General. ODNI will ensure that
staff are aware of the provisions of the
Privacy Act and of their responsibilities
for protecting personal information that
ODNI collects and maintains, consistent
with Sec. 1701.5 and 1701.6 of this
subpart.
(b) Criminal penalties—(1)
Unauthorized disclosure. Criminal
penalties may be imposed against any
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ODNI staff who, by virtue of
employment, has possession or access to
ODNI records which contain
information identifiable with an
individual, the disclosure of which is
prohibited by the Privacy Act or by
these rules, and who, knowing that
disclosure of the specific material is
prohibited, willfully discloses the
material in any manner to any person or
agency not entitled to receive it.
(2) Unauthorized maintenance.
Criminal penalties may be imposed
against any ODNI staff who willfully
maintains a system of records without
meeting the requirements of subsection
(e)(4) of the Privacy Act, 5 U.S.C. 552a.
The D/IMO, the Civil Liberties
Protection Officer, the General Counsel,
and the Inspector General are
authorized independently to conduct
such surveys and inspect such records
as necessary from time to time to ensure
that these requirements are met.
(3) Unauthorized requests. Criminal
penalties may be imposed upon any
person who knowingly and willfully
requests or obtains any record
concerning an individual from the ODNI
under false pretenses.
Subpart B—Exemption of Record
Systems Under the Privacy Act
§ 1701.20
Exemption policies.
(a) General. The DNI has determined
that invoking exemptions under the
Privacy Act and continuing exemptions
previously asserted by agencies whose
records ODNI receives is necessary: to
ensure against the release of classified
information essential to the national
defense or foreign relations; to protect
intelligence sources and methods; and
to maintain the integrity and
effectiveness of intelligence,
investigative and law enforcement
processes. Accordingly, as authorized
by the Privacy Act, 5 U.S.C. 552a,
subsections (j) and (k), and in
accordance with the rulemaking
procedures of the Administrative
Procedures Act, 5 U.S.C. 553, the ODNI
shall:
(1) Exercise its authority pursuant to
subsections (j) and (k) of the Privacy Act
to exempt certain ODNI systems of
records or portions of systems of records
from various provisions of the Privacy
Act; and
(2) Continue in effect and assert all
exemptions claimed under Privacy Act
subsections (j) and (k) by an originating
agency from which the ODNI obtains
records where the purposes underlying
the original exemption remain valid and
necessary to protect the contents of the
record.
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16537
(b) Related policies. (1) The
exemptions asserted apply to records
only to the extent they meet the criteria
of subsections (j) and (k) of the Privacy
Act, whether claimed by the ODNI or
the originator of the records.
(2) Discretion to supersede
exemption: Where complying with a
request for access or amendment would
not appear to interfere with or adversely
affect a counterterrorism or law
enforcement interest, and unless
prohibited by law, the D/IMO may
exercise his discretion to waive the
exemption. Discretionary waiver of an
exemption with respect to a record will
not obligate the ODNI to waive the
exemption with respect to any other
record in an exempted system of
records. As a condition of such
discretionary access, ODNI may impose
any restrictions (e.g., concerning the
location of file reviews) deemed
necessary or advisable to protect the
security of agency operations,
information, personnel, or facilities.
(3) Records in ODNI systems also are
subject to protection under 50 U.S.C.
403–1(i), the provision of the National
Security Act of 1947 which requires the
DNI to protect intelligence sources and
methods from unauthorized disclosure.
§ 1701.21 Exemption of National
Counterterrorism Center (NCTC) systems of
records.
(a) The ODNI exempts the following
systems of records from the
requirements of subsections (c)(3);
(d)(1), (2), (3) and (4); (e)(1); (e)(4)(G),
(H), (I); and (f) of the Privacy Act to the
extent that information in the system is
subject to exemption pursuant
subsections (k)(1) and (k)(5) of the Act:
(1) NCTC Human Resources
Management System (ODNI/NCTC–
001).
(2) [Reserved]
(b) Exemptions from the particular
subsections are justified for the
following reasons:
(1) From subsection (c)(3) (accounting
of disclosures) because an accounting of
disclosures from records concerning the
record subject would specifically reveal
an investigative interest on the part of
the ODNI or recipient agency and could
result in release of properly classified
national security or foreign policy
information.
(2) From subsections (d)(1), (2), (3)
and (4) (record subject’s right to access
and amend records) because affording
access and amendment rights could
alert the record subject to the
investigative interest of intelligence or
law enforcement agencies or
compromise sensitive information
classified in the interest of national
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security. In the absence of a national
security basis for exemption, records in
this system may be exempted from
access and amendment to the extent
necessary to honor promises of
confidentiality to persons providing
information concerning a candidate for
position. Inability to maintain such
confidentiality would restrict the free
flow of information vital to a
determination of a candidate’s
qualifications and suitability.
(3) From subsection (e)(1) (maintain
only relevant and necessary records)
because it is not always possible to
establish relevance and necessity before
all information is considered and
evaluated in relation to an intelligence
concern. In the absence of a national
security basis for exemption under
subsection (k)(1), records in this system
may be exempted from the relevance
requirement pursuant to subsection
(k)(5) because it is not possible to
determine in advance what exact
information may assist in determining
the qualifications and suitability of a
candidate for position. Seemingly
irrelevant details, when combined with
other data, can provide a useful
composite for determining whether a
candidate should be appointed.
(4) From subsections (e)(4)(G) and (H)
(publication of procedures for notifying
subjects of the existence of records
about them and how they may access
records and contest contents) because
the system is exempted from subsection
(d) provisions regarding access and
amendment, and from the subsection (f)
requirement to promulgate agency rules.
Nevertheless, the ODNI has published
notice concerning notification, access,
and contest procedures because it may
in certain circumstances determine it
appropriate to provide subjects access to
all or a portion of the records about
them in a system of records.
(5) From subsection (e)(4)(I)
(identifying sources of records in the
system of records) because identifying
sources could result in disclosure of
properly classified national defense or
foreign policy information, intelligence
sources and methods, and investigatory
techniques and procedures.
Notwithstanding its proposed
exemption from this requirement, ODNI
identifies record sources in broad
categories sufficient to provide general
notice of the origins of the information
it maintains in its systems of records.
(6) From subsection (f) (agency rules
for notifying subjects to the existence of
records about them, for accessing and
amending records, and for assessing
fees) because the system is exempt from
subsection (d) provisions regarding
access and amendment of records by
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record subjects. Nevertheless, the ODNI
has published agency rules concerning
notification of a subject in response to
his request if any system of records
named by the subject contains a record
pertaining to him and procedures by
which the subject may access or amend
the records. Notwithstanding
exemption, the ODNI may determine it
appropriate to satisfy a record subject’s
access request.
(c) The ODNI exempts the following
systems of records from the
requirements of subsections (c)(3);
(d)(1), (2), (3) and (4); (e)(1); (e)(4)(G),
(H), (I); and (f) of the Privacy Act to the
extent that information in the system is
subject to exemption pursuant to
subsection(k)(1) of the Act:
(1) NCTC Access Authorization
Records (ODNI/NCTC–002).
(2) NCTC Telephone Directory (ODNI/
NCTC–003).
(3) NCTC Partnership Management
Records (ODNI/NCTC–006).
(4) NCTC Tacit Knowledge
Management Records (ODNI/NCTC–
007).
(d) Exemptions from the particular
subsections are justified for the
following reasons:
(1) From subsection (c)(3) (accounting
of disclosures) because an accounting of
disclosures from records concerning the
record subject would specifically reveal
an investigative interest on the part of
the ODNI or recipient agency and could
result in release of properly classified
national security or foreign policy
information.
(2) From subsections (d)(1), (2), (3)
and (4) (record subject’s right to access
and amend records) because affording
access and amendment rights could
alert the record subject to the
investigative interest of intelligence or
law enforcement agencies or
compromise sensitive information
classified in the interest of national
security.
(3) From subsection (e)(1) (maintain
only relevant and necessary records)
because it is not always possible to
establish relevance and necessity before
all information is considered and
evaluated in relation to an intelligence
concern.
(4) From subsections (e)(4)(G) and (H)
(publication of procedures for notifying
subjects of the existence of records
about them and how they may access
records and contest contents) because
the system is exempted from subsection
(d) provisions regarding access and
amendment and from the subsection (f)
requirement to promulgate agency rules.
Nevertheless, the ODNI has published
notice concerning notification, access,
and contest procedures because it may
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in certain circumstances determine it
appropriate to provide subjects access to
all or a portion of the records about
them in a system of records.
(5) From subsection (e)(4)(I)
(identifying sources of records in the
system of records) because identifying
sources could result in disclosure of
properly classified national defense or
foreign policy information, intelligence
sources and methods, and investigatory
techniques and procedures.
Notwithstanding its proposed
exemption from this requirement, ODNI
identifies record sources in broad
categories sufficient to provide general
notice of the origins of the information
it maintains in its systems of records.
(6) From subsection (f) (agency rules
for notifying subjects to the existence of
records about them, for accessing and
amending records, and for assessing
fees) because the system is exempt from
subsection (d) provisions regarding
access and amendment of records by
record subjects. Nevertheless, the ODNI
has published agency rules concerning
notification of a subject in response to
his request if any system of records
named by the subject contains a record
pertaining to him and procedures by
which the subject may access or amend
the records. Notwithstanding
exemption, the ODNI may determine it
appropriate to satisfy a record subject’s
access request.
(e) The ODNI exempts the following
systems of records from the
requirements of subsections (c)(3);
(d)(1), (2), (3), (4); (e)(1); (e)(4)(G), (H),
(I); and (f) of the Privacy Act, to the
extent that information in the system is
subject to exemption pursuant to
subsections (k)(1) and (k)(2) of the Act:
(1) NCTC Knowledge Repository
(SANCTUM) (ODNI/NCTC–004).
(2) NCTC Online (ODNI/NCTC–005).
(3) NCTC Terrorism Analysis Records
(ODNI/NCTC–008).
(4) NCTC Terrorist Identities Records
(ODNI/NCTC–009).
(f) Exemptions from the particular
subsections are justified for the
following reasons:
(1) From subsection (c)(3) (accounting
of disclosures) because an accounting of
disclosures from records concerning the
record subject would specifically reveal
an investigative interest on the part of
the ODNI as well as the recipient agency
and could: Result in release of properly
classified national security or foreign
policy information; compromise
ongoing efforts to investigate a known or
suspected terrorist; reveal sensitive
investigative or surveillance techniques;
or identify a confidential source. With
this information, the record subject
could frustrate counterintelligence
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measures; impede an investigation by
destroying evidence or intimidating
potential witnesses; endanger the
physical safety of sources, witnesses,
and law enforcement and intelligence
personnel and their families; or evade
apprehension or prosecution by law
enforcement personnel.
(2) From subsections (d)(1), (2), (3)
and (4) (record subject’s right to access
and amend records) because these
provisions concern individual access to
and amendment of counterterrorism,
investigatory and intelligence records.
Affording access and amendment rights
could alert the record subject to the fact
and nature of an investigation or the
investigative interest of intelligence or
law enforcement agencies; permit the
subject to frustrate such investigation,
surveillance or potential prosecution;
compromise sensitive information
classified in the interest of national
security; identify a confidential source
or disclose information which would
reveal a sensitive investigative or
intelligence technique; and endanger
the health or safety of law enforcement
personnel, confidential informants, and
witnesses. In addition, affording
subjects access and amendment rights
would impose an impossible
administrative burden to continuously
reexamine investigations, analyses, and
reports.
(3) From subsection (e)(1) (maintain
only relevant and necessary records)
because it is not always possible for
intelligence or law enforcement
agencies to know in advance what
information about an encounter with a
known or suspected terrorist will be
relevant for the purpose of conducting
an operational response. Relevance and
necessity are questions of judgment and
timing, and only after information is
evaluated can relevance and necessity
be established. In addition, information
in the system of records may relate to
matters under the investigative
jurisdiction of another agency, and may
not readily be segregated. Furthermore,
information in these systems of records,
over time, aid in establishing patterns of
criminal activity that can provide leads
for other law enforcement agencies.
(4) From subsections (e)(4)(G) and (H)
(publication of procedures for notifying
subjects of the existence of records
about them and how they may access
records and contest contents) because
the system is exempted from subsection
(d) provisions regarding access and
amendment and from the subsection (f)
requirement to promulgate agency rules.
Nevertheless, the ODNI has published
notice concerning notification, access,
and contest procedures because it may
in certain circumstances determine it
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appropriate to provide subjects access to
all or a portion of the records about
them in a system of records.
(5) From subsection (e)(4)(I)
(identifying sources of records in the
system of records) because identifying
sources could result in disclosure of
properly classified national defense or
foreign policy information.
Additionally, exemption from this
provision is necessary to protect the
privacy and safety of witnesses and
sources of information, including
intelligence sources and methods and
investigatory techniques and
procedures. Notwithstanding its
proposed exemption from this
requirement, ODNI identifies record
sources in broad categories sufficient to
provide general notice of the origins of
the information it maintains in its
systems of records.
(6) From subsection (f) (agency rules
for notifying subjects to the existence of
records about them, for accessing and
amending records and for assessing fees)
because the system is exempt from
subsection (d) provisions regarding
access and amendment of records by
record subjects. Nevertheless, the ODNI
has published agency rules concerning
notification of a subject in response to
his request if any system of records
named by the subject contains a record
pertaining to him and procedures by
which the subject may access or amend
the records. Notwithstanding
exemption, the ODNI may determine it
appropriate to satisfy a record subject’s
access request.
§ 1701.22 Exemption of Office of the
National Counterintelligence Executive
(ONCIX) system of records.
(a) The ODNI exempts the following
system of records from the requirements
of subsections (c)(3); (d)(1), (2), (3), (4);
(e)(1); (e)(4)(G), (H), (I); and (f) of the
Privacy Act, to the extent that
information in the system is subject to
exemption pursuant to subsections
(k)(1) and (k)(2) of the Act:
(1) ONCIX Counterintelligence
Damage Assessment Records (ODNI/
ONCIX–001).
(2) [Reserved]
(b) Exemptions from the particular
subsections are justified for the
following reasons:
(1) From subsection (c)(3) (accounting
of disclosures) because an accounting of
disclosures from records concerning the
record subject would specifically reveal
an investigative interest on the part of
the ODNI as well as the recipient agency
and could: result in release of properly
classified national security or foreign
policy information; compromise
ongoing efforts to investigate a known or
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suspected terrorist; reveal sensitive
investigative or surveillance techniques;
or identify a confidential source. With
this information, the record subject
could frustrate counterintelligence
measures; impede an investigation by
destroying evidence or intimidating
potential witnesses; endanger the
physical safety of sources, witnesses,
and law enforcement and intelligence
personnel and their families; or evade
apprehension or prosecution by law
enforcement personnel.
(2) From subsections (d)(1), (2), (3)
and (4) (record subject’s right to access
and amend records) because these
provisions concern individual access to
and amendment of counterterrorism,
investigatory and intelligence records.
Affording access and amendment rights
could alert the record subject to the fact
and nature of an investigation or the
investigative interest of intelligence or
law enforcement agencies; permit the
subject to frustrate such investigation,
surveillance or potential prosecution;
compromise sensitive information
classified in the interest of national
security; identify a confidential source
or disclose information which would
reveal a sensitive investigative or
intelligence technique; and endanger
the health or safety of law enforcement
personnel, confidential informants, and
witnesses. In addition, affording
subjects access and amendment rights
would impose an impossible
administrative burden to continuously
reexamine investigations, analyses, and
reports.
(3) From subsection (e)(1) (maintain
only relevant and necessary records)
because it is not always possible to
know in advance what information will
be relevant to evaluate and mitigate
damage to the national security.
Relevance and necessity are questions of
judgment and timing, and only after
information is evaluated can relevance
and necessity be established. In
addition, information in the system of
records may relate to matters under the
investigative jurisdiction of another
agency, and may not readily be
segregated. Furthermore, information in
these systems of records, over time, aid
in establishing patterns of criminal
activity that can provide leads for other
law enforcement agencies.
(4) From subsections (e)(4)(G) and (H)
(publication of procedures for notifying
subjects to the existence of records
about them and how they may access
records and contest contents) because
the system is exempted from subsection
(d) provisions regarding access and
amendment and from the subsection (f)
requirement to promulgate agency rules.
Nevertheless, the ODNI has published
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notice concerning notification, access,
and contest procedures because it may
in certain circumstances determine it
appropriate to provide subjects access to
all or a portion of the records about
them in a system of records.
(5) From subsection (e)(4)(I)
(identifying sources of records in the
system of records) because identifying
sources could result in disclosure of
properly classified national defense or
foreign policy information.
Additionally, exemption from this
provision is necessary to protect the
privacy and safety of witnesses and
sources of information, including
intelligence sources and methods and
investigatory techniques and
procedures. Notwithstanding its
proposed exemption from this
requirement, ODNI identifies record
sources in broad categories sufficient to
provide general notice of the origins of
the information it maintains in its
systems of records.
(6) From subsection (f) (agency rules
for notifying subjects to the existence of
records about them, for accessing and
amending records and for assessing fees)
because the system is exempt from
subsection (d) provisions regarding
access and amendment of records by
record subjects. Nevertheless, the ODNI
has published agency rules concerning
notification of a subject in response to
his request if any system of records
named by the subject contains a record
pertaining to him and procedures by
which the subject may access or amend
the records. Notwithstanding
exemption, the ODNI may determine it
appropriate to satisfy a record subject’s
access request.
rwilkins on PROD1PC63 with RULES
§ 1701.23 Exemption of Office of Inspector
General (OIG) systems of records.
(a) The ODNI exempts the following
systems of records from the
requirements of subsections (c)(3);
(d)(1), (2), (3) and (4); (e)(1); (e)(4)(G),
(H), (I); and (f) of the Privacy Act to the
extent that information in the system is
subject to exemption pursuant
subsections (k)(1) and (k)(5) of the Act:
(1) OIG Human Resources Records
(ODNI/OIG–001).
(2) OIG Experts Contact Records
(ODNI/OIG–002).
(b) Exemptions from the particular
subsections are justified for the
following reasons:
(1) From subsection (c)(3) (accounting
of disclosures) because an accounting of
disclosures from records concerning the
record subject would specifically reveal
an investigative interest on the part of
the ODNI or recipient agency and could
result in release of properly classified
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national security or foreign policy
information.
(2) From subsections (d)(1), (2), (3)
and (4) (record subject’s right to access
and amend records) because affording
access and amendment rights could
alert the record subject to the
investigative interest of intelligence or
law enforcement agencies or
compromise sensitive information
classified in the interest of national
security. In the absence of a national
security basis for exemption under
subsection (k)(1), records in this system
may be exempted from access and
amendment pursuant to subsection
(k)(5) to the extent necessary to honor
promises of confidentiality to persons
providing information concerning a
candidate for position. Inability to
maintain such confidentiality would
restrict the free flow of information vital
to a determination of a candidate’s
qualifications and suitability.
(3) From subsection (e)(1) (maintain
only relevant and necessary records)
because it is not always possible to
establish relevance and necessity before
all information is considered and
evaluated in relation to an intelligence
concern. In the absence of a national
security basis for exemption under
subsection (k)(1), records in this system
may be exempted from the relevance
requirement pursuant to subsection
(k)(5) because it is not always possible
to determine in advance what exact
information may assist in determining
the qualifications and suitability of a
candidate for position. Seemingly
irrelevant details, when combined with
other data, can provide a useful
composite for determining whether a
candidate should be appointed.
(4) From subsections (e)(4)(G) and (H)
(publication of procedures for notifying
subjects of the existence of records
about them and how they may access
records and contest contents) because
the system is exempted from subsection
(d) provisions regarding access and
amendment and from the subsection (f)
requirement to promulgate agency rules.
Nevertheless, the ODNI has published
such a notice concerning notification,
access, and contest procedures because
it may in certain circumstances
determine it appropriate to provide
subjects access to all or a portion of the
records about them in a system of
records.
(5) From subsection (e)(4)(I)
(identifying sources of records in the
system of records) because identifying
sources could result in disclosure of
properly classified national defense or
foreign policy information, intelligence
sources and methods and investigatory
techniques and procedures.
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Notwithstanding its proposed
exemption from this requirement, ODNI
identifies record sources in broad
categories sufficient to provide general
notice of the origins of the information
it maintains in its systems of records.
(6) From subsection (f) (agency rules
for notifying subjects to the existence of
records about them, for accessing and
amending records and for assessing fees)
because the system is exempt from
subsection (d) provisions regarding
access and amendment of records by
record subjects. Nevertheless, the ODNI
has published agency rules concerning
notification of a subject in response to
his request if any system of records
named by the subject contains a record
pertaining to him and procedures by
which the subject may access or amend
the records. Notwithstanding
exemption, the ODNI may determine it
appropriate to satisfy a record subject’s
access request.
(c) The ODNI exempts the following
system of records from the requirements
of subsections (c)(3) and (4); (d)(1), (2),
(3), (4); (e)(1), (2), (3), (5), (8) and (12);
and (g) of the Privacy Act, to the extent
that information in the system is subject
to exemption pursuant to subsection
(j)(2) of the Act. In addition, the
following system of records is exempted
from the requirements of subsections
(c)(3); (d)(1), (2), (3) and (4); (e)(1);
(e)(4)(G), (H) and (I); and (f) of the
Privacy Act, to the extent that
information in the system is subject to
exemption pursuant to subsections
(k)(1) and (k)(2) of the Act.
(1) OIG Investigation and Interview
Records (ODNI/OIG–003).
(2) [Reserved]
(d) Exemptions from the particular
subsections are justified for the
following reasons:
(1) From subsection (c)(3) (accounting
of disclosures) because an accounting of
disclosures from records concerning the
record subject would specifically reveal
an investigative interest on the part of
the ODNI as well as the recipient agency
and could: result in release of properly
classified national security or foreign
policy information; compromise
ongoing efforts to investigate a known or
suspected terrorist; reveal sensitive
investigative or surveillance techniques;
or identify a confidential source. With
this information, the record subject
could frustrate counterintelligence
measures; impede an investigation by
destroying evidence or intimidating
potential witnesses; endanger the
physical safety of sources, witnesses,
and law enforcement and intelligence
personnel and their families; or evade
apprehension or prosecution by law
enforcement personnel.
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(2) From subsection (c)(4) (notice of
amendment to record recipients)
because the system is exempted from
the access and amendment provisions of
subsection (d).
(3) From subsections (d)(1), (2), (3)
and (4) (record subject’s right to access
and amend records) because these
provisions concern individual access to
and amendment of counterterrorism,
investigatory and intelligence records.
Affording access and amendment rights
could alert the record subject to the fact
and nature of an investigation or the
investigative interest of intelligence or
law enforcement agencies; permit the
subject to frustrate such investigation,
surveillance or potential prosecution;
compromise sensitive information
classified in the interest of national
security; identify a confidential source
or disclose information which would
reveal a sensitive investigative or
intelligence technique; and endanger
the health or safety of law enforcement
personnel, confidential informants, and
witnesses. In addition, affording
subjects access and amendment rights
would impose an impossible
administrative burden to continuously
reexamine investigations, analyses, and
reports.
(4) From subsection (e)(1) (maintain
only relevant and necessary records)
because it is not always possible to
know in advance what information will
be relevant for the purpose of
conducting an investigation. Relevance
and necessity are questions of judgment
and timing, and only after information
is evaluated can relevance and necessity
be established. In addition, information
in the system of records may relate to
matters under the investigative
jurisdiction of another agency, and may
not readily be segregated. Furthermore,
information in these systems of records,
over time, aid in establishing patterns of
criminal activity that can provide leads
for other law enforcement agencies.
(5) From subsection (e)(2) (collection
directly from the individual) because
application of this provision would alert
the subject of a counterterrorism
investigation, study or analysis to that
fact, permitting the subject to frustrate
or impede the activity. Counterterrorism
investigations necessarily rely on
information obtained from third parties
rather than information furnished by
subjects themselves.
(6) From subsection (e)(3) (provide
Privacy Act Statement to subjects
furnishing information) because the
system is exempted from the (e)(2)
requirement to collect information
directly from the subject.
(7) From subsections (e)(4)(G) and (H)
(publication of procedures for notifying
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subjects of the existence of records
about them and how they may access
records and contest contents) because
the system is exempted from subsection
(d) provisions regarding access and
amendment and from the subsection (f)
requirement to promulgate agency rules.
Nevertheless, the ODNI has published
notice concerning notification, access,
and contest procedures because it may
in certain circumstances determine it
appropriate to provide subjects access to
all or a portion of the records about
them in a system of records.
(8) From subsection (e)(4)(I)
(identifying sources of records in the
system of records) because identifying
sources could result in disclosure of
properly classified national defense or
foreign policy information.
Additionally, exemption from this
provision is necessary to protect the
privacy and safety of witnesses and
sources of information, including
intelligence sources and methods and
investigatory techniques and
procedures. Notwithstanding its
proposed exemption from this
requirement, ODNI identifies record
sources in broad categories sufficient to
provide general notice of the origins of
the information it maintains in its
systems of records.
(9) From subsection (e)(5) (maintain
timely, accurate, complete and up-todate records) because many of the
records in the system are derived from
other domestic and foreign agency
record systems over which ODNI
exercises no control. In addition, in
collecting information for
counterterrorism, intelligence, and law
enforcement purposes, it is not possible
to determine in advance what
information is accurate, relevant, timely,
and complete. With the passage of time
and the development of additional facts
and circumstances, seemingly irrelevant
or dated information may acquire
significance. The restrictions imposed
by (e)(5) would limit the ability of
intelligence analysts to exercise
judgment in conducting investigations
and impede development of intelligence
necessary for effective counterterrorism
and law enforcement efforts.
(10) From subsection (e)(8) (notice of
compelled disclosures) because
requiring individual notice of legally
compelled disclosure poses an
impossible administrative burden and
could alert subjects of counterterrorism,
law enforcement, or intelligence
investigations to the previously
unknown fact of those investigations.
(11) From subsection (e)(12) (public
notice of matching activity) because, to
the extent such activities are not
otherwise excluded from the matching
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requirements of the Privacy Act,
publishing advance notice in the
Federal Register would frustrate the
ability of intelligence analysts to act
quickly in furtherance of analytical
efforts.
(12) From subsection (f) (agency rules
for notifying subjects to the existence of
records about them, for accessing and
amending records and for assessing fees)
because the system is exempt from the
subsection (d) provisions regarding
access and amendment of records by
record subjects. Nevertheless, the ODNI
has published agency rules concerning
notification of a subject in response to
his request if any system of records
named by the subject contains a record
pertaining to him and procedures by
which the subject may access or amend
the records. Notwithstanding
exemption, the ODNI may determine it
appropriate to satisfy a record subject’s
access request.
(13) From subsection (g) (civil
remedies) to the extent that the civil
remedies relate to provisions of 5 U.S.C.
552a from which this rule exempts the
system.
Subpart C—Routine Uses Applicable
to More Than One ODNI System of
Records
§ 1701.30
Policy and applicability.
(a) ODNI proposes the following
general routine uses to foster simplicity
and economy and to avoid redundancy
or error by duplication in multiple
ODNI systems of records and in systems
of records established hereafter by ODNI
or by one of its components.
(b) These general routine uses may
apply to every Privacy Act system of
records maintained by ODNI and its
components, unless specifically stated
otherwise in the System of Records
Notice for a particular system.
Additional general routine uses may be
identified as notices of systems of
records are published.
(c) Routine uses specific to a
particular System of Records are
identified in the System of Records
Notice for that system.
§ 1701.31
General routine uses.
(a) Except as noted on Standard
Forms 85 and 86 and supplemental
forms thereto (questionnaires for
employment in, respectively, ‘‘nonsensitive’’ and ‘‘national security’’
positions within the Federal
government), a record that on its face or
in conjunction with other information
indicates or relates to a violation or
potential violation of law, whether civil,
criminal, administrative or regulatory in
nature, and whether arising by general
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statute, particular program statute,
regulation, rule or order issued pursuant
thereto, may be disclosed as a routine
use to an appropriate federal, state,
territorial, tribal, local law enforcement
authority, foreign government or
international law enforcement authority,
or to an appropriate regulatory body
charged with investigating, enforcing, or
prosecuting such violations.
(b) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use, subject to
appropriate protections for further
disclosure, in the course of presenting
information or evidence to a magistrate,
special master, administrative law
judge, or to the presiding official of an
administrative board, panel or other
administrative body.
(c) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use to
representatives of the Department of
Justice or any other entity responsible
for representing the interests of the
ODNI in connection with potential or
actual civil, criminal, administrative,
judicial or legislative proceedings or
hearings, for the purpose of representing
or providing advice to: The ODNI; any
staff of the ODNI in his or her official
capacity; any staff of the ODNI in his or
her individual capacity where the staff
has submitted a request for
representation by the United States or
for reimbursement of expenses
associated with retaining counsel; or the
United States or another Federal agency,
when the United States or the agency is
a party to such proceeding and the
record is relevant and necessary to such
proceeding.
(d) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use in a
proceeding before a court or
adjudicative body when any of the
following is a party to litigation or has
an interest in such litigation, and the
ODNI, Office of General Counsel,
determines that use of such records is
relevant and necessary to the litigation:
The ODNI; any staff of the ODNI in his
or her official capacity; any staff of the
ODNI in his or her individual capacity
where the Department of Justice has
agreed to represent the staff or has
agreed to provide counsel at government
expense; or the United States or another
Federal agency, where the ODNI, Office
of General Counsel, determines that
litigation is likely to affect the ODNI.
(e) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use to
representatives of the Department of
Justice and other U.S. Government
entities, to the extent necessary to
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obtain advice on any matter within the
official responsibilities of such
representatives and the responsibilities
of the ODNI.
(f) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use to a Federal,
state or local agency or other
appropriate entities or individuals from
which/whom information may be
sought relevant to: A decision
concerning the hiring or retention of an
employee or other personnel action; the
issuing or retention of a security
clearance or special access, contract,
grant, license, or other benefit; or the
conduct of an authorized investigation
or inquiry, to the extent necessary to
identify the individual, inform the
source of the nature and purpose of the
inquiry, and identify the type of
information requested.
(g) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use to any
Federal, state, local, tribal or other
public authority, or to a legitimate
agency of a foreign government or
international authority to the extent the
record is relevant and necessary to the
other entity’s decision regarding the
hiring or retention of an employee or
other personnel action; the issuing or
retention of a security clearance or
special access, contract, grant, license,
or other benefit; or the conduct of an
authorized inquiry or investigation.
(h) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use to a Member
of Congress or Congressional staffer in
response to an inquiry from that
Member of Congress or Congressional
staffer made at the written request of the
individual who is the subject of the
record.
(i) A record from a system of records
maintained by the ODNI may be
disclosed to the Office of Management
and Budget in connection with the
review of private relief legislation, as set
forth in Office of Management and
Budget Circular No. A–19, at any stage
of the legislative coordination and
clearance process as set forth in the
Circular.
(j) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use to any agency,
organization, or individual for
authorized audit operations, and for
meeting related reporting requirements,
including disclosure to the National
Archives and Records Administration
for records management inspections and
such other purposes conducted under
the authority of 44 U.S.C. 2904 and
2906, or successor provisions.
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(k) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use to individual
members or staff of Congressional
intelligence oversight committees in
connection with the exercise of the
committees’ oversight and legislative
functions.
(l) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use pursuant to
Executive Order to the President’s
Foreign Intelligence Advisory Board, the
President’s Intelligence Oversight
Board, to any successor organizations,
and to any intelligence oversight entity
established by the President, when the
Office of the General Counsel or the
Office of the Inspector General
determines that disclosure will assist
such entities in performing their
oversight functions and that such
disclosure is otherwise lawful.
(m) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use to contractors,
grantees, experts, consultants, or others
when access to the record is necessary
to perform the function or service for
which they have been engaged by the
ODNI.
(n) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use to a former
staff of the ODNI for the purposes of
responding to an official inquiry by a
Federal, state, or local government
entity or professional licensing
authority or facilitating communications
with a former staff of the ODNI that may
be necessary for personnel-related or
other official purposes when the ODNI
requires information or consultation
assistance, or both, from the former staff
regarding a matter within that person’s
former area of responsibility.
(o) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use to legitimate
foreign, international or multinational
security, investigatory, law enforcement
or administrative authorities in order to
comply with requirements imposed by,
or to claim rights conferred in, formal
agreements and arrangements to include
those regulating the stationing and
status in foreign countries of
Department of Defense military and
civilian personnel.
(p) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use to any Federal
agency when documents or other
information obtained from that agency
are used in compiling the record and the
record is relevant to the official
responsibilities of that agency, provided
that disclosure of the recompiled or
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enhanced record to the source agency is
otherwise authorized and lawful.
(q) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use to appropriate
agencies, entities, and persons when:
The security or confidentiality of
information in the system of records has
or may have been compromised; and the
compromise may result in economic or
material harm to individuals (e.g.,
identity theft or fraud), or harm to the
security or integrity of the affected
information or information technology
systems or programs (whether or not
belonging to the ODNI) that rely upon
the compromised information; and
disclosure is necessary to enable ODNI
to address the cause(s) of the
compromise and to prevent, minimize,
or remedy potential harm resulting from
the compromise.
(r) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use to a Federal,
state, local, tribal, territorial, foreign, or
multinational agency or entity or to any
other appropriate entity or individual
for any of the following purposes: to
provide notification of a serious terrorist
threat for the purpose of guarding
against or responding to such threat; to
assist in coordination of terrorist threat
awareness, assessment, analysis, or
response; or to assist the recipient in
performing authorized responsibilities
relating to terrorism or counterterrorism.
(s) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use for the
purpose of conducting or supporting
authorized counterintelligence activities
as defined by section 401a(3) of the
National Security Act of 1947, as
amended, to elements of the Intelligence
Community, as defined by section
401a(4) of the NationalSecurity Act of
1947, as amended; to the head of any
Federal agency or department; to
selected counterintelligence officers
within the Federal government.
(t) A record from a system of records
maintained by the ODNI may be
disclosed as a routine use to a Federal,
state, local, tribal, territorial, foreign, or
multinational government agency or
entity, or to other authorized entities or
individuals, but only if such disclosure
is undertaken in furtherance of
responsibilities conferred by, and in a
manner consistent with, the National
Security Act of 1947, as amended; the
Counterintelligence Enhancement Act of
2002, as amended; Executive Order
12333 or any successor order together
with its implementing procedures
approved by the Attorney General; and
other provisions of law, Executive Order
or directive relating to national
VerDate Aug<31>2005
16:25 Mar 27, 2008
Jkt 214001
intelligence or otherwise applicable to
the ODNI. This routine use is not
intended to supplant the other routine
uses published by the ODNI.
Dated: March 18, 2008.
Ronald L. Burgess, Jr.,
Lieutenant General, USA, Director of the
Intelligence Staff.
[FR Doc. E8–5904 Filed 3–27–08; 11:00 am]
BILLING CODE 3910–A7–P–P
ENVIRONMENTAL PROTECTION
AGENCY
40 CFR Part 52
[EPA–R08–OAR–2007–0647; FRL–8546–3]
Approval and Promulgation of State
Implementation Plans; State of Utah;
Interstate Transport of Pollution and
Other Revisions
Environmental Protection
Agency (EPA).
ACTION: Direct final rule.
AGENCY:
SUMMARY: EPA is taking direct final
action approving State Implementation
Plan (SIP) revisions submitted by the
State of Utah on March 22 and
September 17, 2007. The revisions
address Interstate Transport Pollution
requirements of Section 110(a)(2)(D)(i)
of the Clean Air Act and a typographical
error in Rule R307–130–4, ‘‘Options.’’
The March 22, 2007 submittal adds
‘‘Section XXIII, Interstate Transport’’ to
the Utah SIP, and Rule R307–110–36 to
the Utah Administrative Code (UAC).
The new Rule R307–110–36
incorporates by reference the Interstate
Transport declaration into the State
rules. The September 17, 2007 submittal
amends UAC Rule R307–130–4,
‘‘Options,’’ by removing from the text
the word ‘‘not’’ which had been
accidentally placed in this rule. This
action is being taken under section 110
of the Clean Air Act.
DATES: This rule is effective on May 27,
2008 without further notice, unless EPA
receives adverse comment by April 28,
2008. If adverse comment is received,
EPA will publish a timely withdrawal of
the direct final rule in the Federal
Register informing the public that the
rule will not take effect.
ADDRESSES: Submit your comments,
identified by Docket ID No. EPA–R08–
OAR–2007–0647, by one of the
following methods:
• www.regulations.gov. Follow the
on-line instructions for submitting
comments.
• E-mail: videtich.callie@epa.gov and
mastrangelo.domenico@epa.gov.
PO 00000
Frm 00029
Fmt 4700
Sfmt 4700
16543
• Fax: (303) 312–6064 (please alert
the individual listed in the FOR FURTHER
INFORMATION CONTACT if you are faxing
comments).
• Mail: Callie Videtich, Director, Air
Program, Environmental Protection
Agency (EPA), Region 8, Mailcode 8P–
AR, 1595 Wynkoop Street, Denver,
Colorado 80202–1129.
• Hand Delivery: Callie Videtich,
Director, Air Program, Environmental
Protection Agency (EPA), Region 8,
Mailcode 8P–AR, 1595 Wynkoop,
Denver, Colorado 80202–1129. Such
deliveries are only accepted Monday
through Friday, 8 a.m. to 4:55 p.m.,
excluding Federal holidays. Special
arrangements should be made for
deliveries of boxed information.
Instructions: Direct your comments to
Docket ID No. EPA–R08–OAR–2007–
0647. EPA’s policy is that all comments
received will be included in the public
docket without change and may be
made available online at
www.regulations.gov, including any
personal information provided, unless
the comment includes information
claimed to be Confidential Business
Information (CBI) or other information
whose disclosure is restricted by statute.
Do not submit information that you
consider to be CBI or otherwise
protected through www.regulations.gov
or e-mail. The www.regulations.gov Web
site is an ‘‘anonymous access’’ system,
which means EPA will not know your
identity or contact information unless
you provide it in the body of your
comment. If you send an e-mail
comment directly to EPA, without going
through www.regulations.gov your email address will be automatically
captured and included as part of the
comment that is placed in the public
docket and made available on the
Internet. If you submit an electronic
comment, EPA recommends that you
include your name and other contact
information in the body of your
comment and with any disk or CD–ROM
you submit. If EPA cannot read your
comment due to technical difficulties
and cannot contact you for clarification,
EPA may not be able to consider your
comment. Electronic files should avoid
the use of special characters, any form
of encryption, and be free of any defects
or viruses. For additional instructions
on submitting comments, go to Section
I. General Information of the
SUPPLEMENTARY INFORMATION section of
this document.
Docket: All documents in the docket
are listed in the www.regulations.gov
index. Although listed in the index,
some information is not publicly
available, e.g., CBI or other information
whose disclosure is restricted by statute.
E:\FR\FM\28MRR1.SGM
28MRR1
Agencies
[Federal Register Volume 73, Number 61 (Friday, March 28, 2008)]
[Rules and Regulations]
[Pages 16531-16543]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-5904]
=======================================================================
-----------------------------------------------------------------------
OFFICE OF THE DIRECTOR OF NATIONAL INTELLIGENCE
32 CFR Part 1701
Privacy Act Regulations
AGENCY: Office of the Director of National Intelligence.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This final regulation provides the public the guidelines under
which the Office of the Director of National Intelligence (ODNI) will
implement the Privacy Act of 1974, 5 U.S.C. 552a, as amended. Subpart A
of the regulation describes agency policies for collecting and
maintaining personally identifiable records and processes for
administering requests for records under the Privacy Act. Subpart B of
the regulation articulates agency policy for invoking exemptions under
the Act, including retaining exemptions on records
[[Page 16532]]
received from other agencies where reasons for exemption remain valid.
Subpart B also articulates the basis for exemptions that may be claimed
with respect to records in each published system of records. Subpart C
sets forth the agency routine uses applicable to more than one system
of records.
DATES: Effective Date: March 28, 2008.
FOR FURTHER INFORMATION CONTACT: Mr. John F. Hackett, Director,
Information Management Office (703) 482-3610.
SUPPLEMENTARY INFORMATION: The ODNI was created by the Intelligence
Reform and Terrorism Prevention Act of 2004, Public Law 108-458, 118
Stat. 3638 (Dec. 17, 2004). The first Director of National
Intelligence, Ambassador John D. Negroponte, was sworn into Office on
April 21, 2005 and the ODNI began operations on April 22, 2005. Because
the majority of documents held by the ODNI at its inception were
previously maintained by the Central Intelligence Agency (CIA) and
because the ODNI did not have a Privacy staff upon stand-up, records
were administered under the CIA's Privacy Act authorities and using
CIA's administrative resources.
On January 2, 2008 (73 FR 113), the ODNI published its own Privacy
Act regulation for public comment. The ODNI received no comments on its
proposed regulation.
Therefore, under the authority of the Intelligence Reform and
Terrorism Prevention Act of 2004, Public Law 108-458, 118 Stat. 3638,
the Office of the Director of National Intelligence hereby establishes
Part 1701, Administration of Records Under the Privacy Act of 1974, to
Chapter XVII of Title 32 of the Code of Federal Regulations.
In addition, on December 28, 2007, the ODNI published notices for
the following twelve new Privacy Act systems of records: NCTC Access
Authorization Records, NCTC Human Resources Management System, NCTC
Telephone Directory, NCTC Knowledge Repository (SANCTUM), NCTC Online
(NOL), NCTC Tacit Knowledge Management Records, NCTC Terrorism Analysis
Records, NCTC Terrorist Identities Records, NCTC Partnership Management
Records, ONCIX Counterintelligence Damage Assessment Records, OIG
Experts Contact Records, OIG Human Resources Records and OIG
Investigation and Interview Records. The ODNI received no comments
regarding these systems of records notices. These systems of records
notices are published at 72 Federal Register 73887-73904 (Dec. 28,
2007).
Regulatory Flexibility Act
This rule affects only the manner in which ODNI collects and
maintains information about individuals. ODNI certifies that this
rulemaking does not impact small entities and that analysis under the
Regulatory Flexibility Act, 5 U.S.C. 601-612, is not required.
Small Entity Inquiries
The Small Business Regulatory Enforcement Fairness Act (SBREFA) of
1996 requires the ODNI to comply with small entity requests for
information and advice about compliance with statutes and regulations
within the ODNI jurisdiction. Any small entity that has a question
regarding this document may address it to the information contact
listed above. Further information regarding SBREFA is available on the
Small Business Administration's Web page at https://www.sga.gov/advo/law/law-lib.html.
Paperwork Reduction Act
The Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)) requires
that the ODNI consider the impact of paperwork and other burdens
imposed on the public associated with the collection of information.
There are no information collection requirements associated with this
rule and therefore no analysis of burden is required.
Executive Order 12866, Regulatory Planning and Review
This rule is not a ``significant regulatory action'' within the
meaning of Executive Order 12866. This rule will not adversely affect
the economy or sector of the economy in a material way; will not create
inconsistency with or interfere with other agency action; will not
materially alter the budgetary impact of entitlements, grants, fees or
loans or the right and obligations of recipients thereof; or raise
legal or policy issues arising out of legal mandates, the President's
priorities or the principles set forth in the Executive Order.
Accordingly, further regulatory evaluation is not required.
Unfunded Mandates
Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), Public
Law 104-4, 109 Stat. 48 (Mar. 22, 1995), requires Federal agencies to
assess the effects of certain regulatory actions on State, local, and
tribal governments, and the private sector. This rule imposes no
Federal mandate on any State, local, or tribal government or on the
private sector. Accordingly, no UMRA analysis of economic and
regulatory alternatives is required.
Executive Order 13132, Federalism
Executive Order 13132 requires agencies to examine the implications
for the distribution of power and responsibilities among the various
levels of government resulting from their rules. ODNI concludes that
this rule does not affect the rights, roles and responsibilities of the
States, involves no preemption of State law and does not limit State
policymaking discretion. This rule has no federalism implications as
defined by the Executive Order.
Environmental Impact
The ODNI has reviewed this action for purposes of the National
Environmental Policy Act of 1969 (NEPA), 42 U.S.C. 4321-4347, and has
determined that this action does not affect the human environment.
Energy Impact
This rulemaking is not a major regulatory action under the
provisions of the Energy Policy and Conservation Act (EPCA), Public Law
94-163, as amended, 42 U.S.C. 6362.
List of Subjects in 32 CFR Part 1701
Records and Privacy Act.
0
For the reasons set forth in the preamble, ODNI adds part 1701 as
follows:
PART 1701--ADMINISTRATION OF RECORDS UNDER THE PRIVACY ACT OF 1974
Subpart A--Protection of Privacy and Access to Individual Records Under
the Privacy Act of 1974
Sec.
1701.1 Purpose, scope, applicability.
1701.2 Definitions.
1701.3 Contact for general information and requests.
1701.4 Privacy Act responsibilities/policy.
1701.5 Collection and maintenance of records.
1701.6 Disclosure of records/policy.
1701.7 Requests for notification of and access to records.
1701.8 Requests to amend or correct records.
1701.9 Requests for an accounting of record disclosures.
1701.10 ODNI responsibility for responding to access requests.
1701.11 ODNI responsibility for responding to requests for amendment
or correction.
1701.12 ODNI responsibility for responding to requests for
accounting.
1701.13 Special procedures for medical/psychiatric/psychological
testing records.
1701.14 Appeals.
1701.15 Fees.
1701.16 Contractors.
1701.17 Standards of conduct.
[[Page 16533]]
Subpart B--Exemption of Records Systems Under the Privacy Act
1701.20 Exemption policies.
1701.21 Exemption of National Counterterrorism Center (NCTC) systems
of records.
1701.22 Exemption of Office of the National Counterintelligence
Executive (ONCIX) systems of records.
1701.23 Exemption of Office of Inspector General (OIG) systems of
records.
Subpart C--Routine Uses Applicable to More Than One ODNI System of
Records
1701.30 Policy and applicability.
1701.31 General routine uses.
Authority: 50 U.S.C. 401-442; 5 U.S.C. 552a.
Subpart A--Protection of Privacy and Access to Individual Records
Under the Privacy Act of 1974
Sec. 1701.1 Purpose, scope, applicability.
(a) Purpose. This subpart establishes the policies and procedures
the Office of the Director of National Intelligence (ODNI) will follow
in implementing the requirements of the Privacy Act of 1974, 5
U.S.C.552a, as amended. This subpart sets forth the procedures ODNI
must follow in collecting and maintaining personal information from or
about individuals, as well as procedures by which individuals may
request to access or amend records about themselves and request an
accounting of disclosures of those records by the ODNI. In addition,
this subpart details parameters for disclosing personally identifiable
information to persons other than the subject of a record.
(b) Scope. The provisions of this subpart apply to all records in
systems of records maintained by ODNI directorates, centers, mission
managers and other sub-organizations [hereinafter called
``components''] that are retrieved by an individual's name or personal
identifier.
(c) Applicability. This subpart governs the following individuals
and entities:
(1) All ODNI staff and components must comply with this subpart.
The terms ``staff'' and ``component'' are defined in Sec. 1701.2.
(2) Unless specifically exempted, this subpart also applies to
advisory committees and councils within the meaning of the Federal
Advisory Committee Act (FACA) which provide advice to: Any official or
component of ODNI; or the President, and for which ODNI has been
delegated responsibility for providing service.
(d) Relation to Freedom of Information Act. The ODNI shall provide
a subject individual under this subpart all records which are otherwise
accessible to such individual under the provisions of the Freedom of
Information Act, 5 U.S.C. 552.
Sec. 1701.2 Definitions.
For purposes of this subpart, the following terms have the meanings
indicated:
Access means making a record available to a subject individual.
Act means the Privacy Act of 1974.
Agency means the ODNI or any of its components.
Component means any directorate, mission manager, or other sub-
organization in the ODNI or reporting to the Director, that has been
designated or established in the ODNI pursuant to Section 103 of the
National Security Act of 1947, as amended, including the National
Counterterrorism Center (NCTC), the National Counterproliferation
Center (NCPC) and the Office of the National Counterintelligence
Executive (ONCIX), or such other offices and officials as may be
established by law or as the Director may establish or designate in the
ODNI, for example, the Program Manager, Information Sharing Environment
(ISE) and the Inspector General (IG).
Disclosure means making a record about an individual available to
or releasing it to another party.
FOIA means the Freedom of Information Act.
Individual, when used in connection with the Privacy Act, means a
living person who is a citizen of the United States or an alien
lawfully admitted for permanent residence. It does not include sole
proprietorships, partnerships, or corporations.
Information means information about an individual and includes, but
is not limited to, vital statistics; race, sex, or other physical
characteristics; earnings information; professional fees paid to an
individual and other financial information; benefit data or claims
information; the Social Security number, employer identification
number, or other individual identifier; address; phone number; medical
information; and information about marital, family or other personal
relationships.
Maintain means to establish, collect, use, or disseminate when used
in connection with the term record; and, to have control over or
responsibility for a system of records, when used in connection with
the term system of records.
Notification means communication to an individual whether he is a
subject individual.
Office of the Director of National Intelligence means any and all
of the components of the ODNI.
Record means any item, collection, or grouping of information about
an individual that is maintained by the ODNI including, but not limited
to, information such as an individual's education, financial
transactions, medical history, and criminal or employment history that
contains the individual's name, or an identifying number, symbol, or
any other identifier assigned to an individual. When used in this
subpart, record means only a record that is in a system of records.
Routine use means the disclosure of a record outside ODNI, without
the consent of the subject individual, for a purpose which is
compatible with the purpose for which the record was collected. It does
not include disclosure which the Privacy Act otherwise permits pursuant
to subsection (b) of the Act.
Staff means any current or former regular or special employee,
detailee, assignee, employee of a contracting organization, or
independent contractor of the ODNI or any of its components.
Subject individual means the person to whom a record pertains (or
``record subject'').
System of records means a group of records under ODNI's control
from which information about an individual is retrieved by the name of
the individual or by an identifying number, symbol, or other particular
assigned to the individual. Single records or groups of records which
are not retrieved by a personal identifier are not part of a system of
records,
Sec. 1701.3 Contact for general information and requests.
Privacy Act requests and appeals and inquiries regarding this
subpart or about ODNI's Privacy Act program must be submitted in
writing to the Director, Information Management Office (D/IMO), Office
of the Director of National Intelligence, Washington, DC 20511 (by mail
or by facsimile at 703-482-2144) or to the contact designated in the
specific Privacy Act System of Records Notice. Privacy Act requests
with the required identification statement and signature pursuant to
paragraphs (d) and (e) of Sec. 1701.7 of this subpart must be filed in
original form.
Sec. 1701.4 Privacy Act responsibilities/policy.
The ODNI will administer records about individuals consistent with
statutory, administrative, and program responsibilities. Subject to
exemptions authorized by the Act, ODNI will
[[Page 16534]]
collect, maintain and disclose records as required and will honor
subjects' rights to view and amend records and to obtain an accounting
of disclosures.
Sec. 1701.5 Collection and maintenance of records.
(a) ODNI will not maintain a record unless:
(1) It is relevant and necessary to accomplish an ODNI function
required by statute or Executive Order;
(2) It is acquired to the greatest extent practicable from the
subject individual when ODNI may use the record to make any
determination about the individual;
(3) The individual providing the record is informed of the
authority for providing the record (including whether providing the
record is mandatory or voluntary), the principal purpose for
maintaining the record, the routine uses for the record, and what
effect refusing to provide the record may have;
(4) It is maintained with such accuracy, relevance, timeliness and
completeness as is reasonably necessary to ensure fairness to the
individual in the determination;
(b) Except as to disclosures made to an agency or made under the
FOIA, ODNI will make reasonable efforts prior to disseminating a record
about an individual, to ensure that the record is accurate, relevant,
timely, and complete;
(c) ODNI will not maintain or develop a system of records that is
not the subject of a current or planned public notice;
(d) ODNI will not adopt a routine use of information in a system
without notice and invitation to comment published in the Federal
Register at least 30 days prior to final adoption of the routine use;
(e) To the extent ODNI participates with a non-Federal agency in
matching activities covered by section (8) of the Act, ODNI will
publish notice of the matching program in the Federal Register;
(f) ODNI will not maintain a record which describes how an
individual exercises rights guaranteed by the First Amendment unless
expressly authorized by statute or by the subject individual, or unless
pertinent to and within the scope of an authorized law enforcement
activity;
(g) When required by the Act, ODNI will maintain an accounting of
all disclosures of records by the ODNI to persons, organizations or
agencies;
(h) Each ODNI component shall implement administrative, physical
and technical controls to prevent unauthorized access to its systems of
records, to prevent unauthorized disclosure of records, and to prevent
physical damage to or destruction of records;
(i) ODNI will establish rules and instructions for complying with
the requirements of the Privacy Act, including notice of the penalties
for non-compliance, applicable to all persons involved in the design,
development, operation or maintenance of any system of records.
Sec. 1701.6 Disclosure of records/policy.
Consistent with 5 U.S.C. 552a(b), ODNI will not disclose any record
which is contained in a system of records by any means (written, oral
or electronic) without the consent of the subject individual unless
disclosure without consent is made for reasons permitted under
applicable law, including:
(a) Internal agency use on a need-to-know basis;
(b) Release under the Freedom of Information Act (FOIA) if not
subject to protection under the FOIA exemptions;
(c) A specific ``routine use'' as described in the ODNI's published
compilation of Routine Uses Applicable to More Than One ODNI System of
Records or in specific published Privacy Act Systems of Records Notices
(available at https://www.dni.gov);
(d) Release to the Bureau of the Census, the National Archives and
Records Administration, or the Government Accountability Office, for
the performance of those entities' statutory duties;
(e) Release in non-identifiable form to a recipient who has
provided written assurance that the record will be used solely for
statistical research or reporting;
(f) Compelling circumstances in which the health or safety of an
individual is at risk;
(g) Release pursuant to the order of a court of competent
jurisdiction or to a governmental entity for a specifically documented
civil or criminal law enforcement activity;
(h) Release to either House of Congress or to any committee,
subcommittee or joint committee thereof to the extent of matter within
its jurisdiction;
(i) Release to a consumer reporting agency in accordance with
section 3711(e) of Title 31.
Sec. 1701.7 Requests for notification of and access to records.
(a) How to request. Unless records are not subject to access (see
paragraph (b) of this section), individuals seeking access to records
about themselves may submit a request in writing to the D/IMO, as
directed in Sec. 1701.3 of this subpart, or to the contact designated
in the specific Privacy Act System of Records Notice. To ensure proper
routing and tracking, requesters should mark the envelope ``Privacy Act
Request.''
(b) Records not subject to access. The following records are not
subject to review by subject individuals:
(1) Records in ODNI systems of records that ODNI has exempted from
access and correction under the Privacy Act, 5 U.S.C. 552a(j) or (k),
by notice published in the Federal Register, or where those exemptions
require that ODNI can neither confirm nor deny the existence or
nonexistence of responsive records (see Sec. 1701.10(c)(iii)).
(2) Records in ODNI systems of records that another agency has
exempted from access and correction under the Privacy Act, 5 U.S.C.
552a(j) or (k), by notice published in the Federal Register, or where
those exemptions require that ODNI can neither confirm nor deny the
existence or nonexistence of responsive records (see Sec.
1701.10(c)(iii)).
(c) Description of records. Individuals requesting access to
records about themselves should, to the extent possible, describe the
nature of the records, why and under what circumstances the requester
believes ODNI maintains the records, the time period in which they may
have been compiled and, ideally, the name or identifying number of each
Privacy Act System of Records in which they might be included. The ODNI
publishes notices in the Federal Register that describe its systems of
records. The Federal Register compiles these notices biennially and
makes them available in hard copy at large reference libraries and in
electronic form at the Government Printing Office's World Wide Web
site, https://www.gpoaccess.gov.
(d) Verification of identity. A written request for access to
records about oneself must include full (legal) name, current address,
date and place of birth, and citizenship status. Aliens lawfully
admitted for permanent residence must provide their Alien Registration
Number and the date that status was acquired. The D/IMO may request
additional or clarifying information to ascertain identity. Access
requests must be signed and the signature either notarized or submitted
under 28 U.S.C. 1746, authorizing statements made under penalty of
perjury as a substitute for notarization.
(e) Verification of guardianship or representational relationship.
The parent or guardian of a minor, the guardian of an individual under
judicial
[[Page 16535]]
disability, or an attorney retained to represent an individual shall
provide, in addition to establishing the identity of the minor or
individual represented as required in paragraph (d) of this section,
evidence of such representation by submitting a certified copy of the
minor's birth certificate, court order, or representational agreement
which establishes the relationship and the requester's identity.
(f) ODNI will permit access to or provide copies of records to
individuals other than the record subject (or the subject's legal
representative) only with the requester's written authorization.
Sec. 1701.8 Requests to amend or correct records.
(a) How to request. Unless the record is not subject to amendment
or correction (see paragraph (b) of this section), individuals (or
guardians or representatives acting on their behalf) may make a written
amendment or correction request to the D/IMO, as directed in Sec.
1701.3 of this subpart, or to the contact designated in a specific
Privacy Act System of Records. Requesters seeking amendment or
correction should identify the particular record or portion subject to
the request, explain why an amendment or correction is necessary, and
provide the desired replacement language. Requesters may submit
documentation supporting the request to amend or correct. Requests for
amendment or correction will lapse (but may be re-initiated with a new
request) if all necessary information is not submitted within forty-
five (45) days of the date of the original request. The identity
verification procedures of paragraphs (d) and (e) of Sec. 1701.7 of
this subpart apply to amendment requests.
(b). (1) Records which are determinations of fact or evidence
received (e.g., transcripts of testimony given under oath or written
statements made under oath; transcripts of grand jury proceedings,
judicial proceedings, or quasi-judicial proceedings, which are the
official record of those proceedings; pre-sentence records that
originated with the courts) and
(2) Records in ODNI systems of records that ODNI or another agency
has exempted from amendment and correction under Privacy Act, 5 U.S.C.
552a(j) or (k) by notice published in the Federal Register.
Sec. 1701.9 Requests for an accounting of record disclosures.
(a) How to request. Except where accountings of disclosures are not
required to be kept (see paragraph (b) of this section), record
subjects (or their guardians or representatives) may request an
accounting of disclosures that have been made to another person,
organization, or agency as permitted by the Privacy Act at 5 U.S.C.
552a(b). This accounting contains the date, nature, and purpose of each
disclosure, as well as the name and address of the person,
organization, or agency to which the disclosure was made. Requests for
accounting should identify each record in question and must be made in
writing to the D/IMO, as indicated in Sec. 1701.3 of this subpart, or
to the contact designated in a specific Privacy Act System of Records.
(b) Accounting not required. The ODNI is not required to provide
accounting of disclosure in the following circumstances:
(1) Disclosures for which the Privacy Act does not require
accounting, i.e., disclosures to employees within the agency and
disclosures made under the FOIA;
(2) Disclosures made to law enforcement agencies for authorized law
enforcement activities in response to written requests from the
respective head of the law enforcement agency specifying the law
enforcement activities for which the disclosures are sought; or
(3) Disclosures from systems of records that have been exempted
from accounting requirements under the Privacy Act, 5 U.S.C. 552a(j) or
(k), by notice published in the Federal Register.
Sec. 1701.10 ODNI responsibility for responding to access requests.
(a) Acknowledgement of requests. Upon receipt of a request
providing all necessary information, the D/IMO shall acknowledge
receipt to the requester and provide an assigned request number for
further reference.
(b) Tasking to component. Upon receipt of a proper access request,
the D/IMO shall provide a copy of the request to the point of contact
(POC) in the ODNI component with which the records sought reside. The
POC within the component shall determine whether responsive records
exist and, if so, recommend to the D/IMO:
(1) Whether access should be denied in whole or part (and the legal
basis for denial under the Privacy Act); or
(2) Whether coordination with or referral to another component or
federal agency is appropriate.
(c) Coordination and referrals--(1) Examination of records. If a
component POC receiving a request for access determines that an
originating agency or other agency that has a substantial interest in
the record is best able to process the request (e.g., the record is
governed by another agency's regulation, or another agency originally
generated or classified the record), the POC shall forward to the D/IMO
all records necessary for coordination with or referral to the other
component or agency, as well as specific recommendations with respect
to any denials.
(2) Notice of referral. Whenever the D/IMO refers all or any part
of the responsibility for responding to a request to another agency,
the D/IMO shall notify the requester of the referral.
(3) Effect of certain exemptions. (i) In processing a request, the
ODNI shall decline to confirm or deny the existence or nonexistence of
any responsive records whenever the fact of their existence or
nonexistence:
(A) May reveal protected intelligence sources and collection
methods (50 U.S.C. 403-1(i)); or
(B) Is classified and subject to an exemption appropriately invoked
by ODNI or another agency under subsections (j) or (k) of the
PrivacyAct.
(ii) In such event, the ODNI will inform the requester in writing
and advise the requestor of the right to file an administrative appeal
of any adverse determination.
(d) Time for response. The D/IMO shall respond to a request for
access promptly upon receipt of recommendations from the POC and
determinations resulting from any necessary coordination with or
referral to another agency. The D/IMO may determine to update a
requester on the status of a request that remains outstanding longer
than reasonably expected.
(e) ODNI action on requests for access--(1) Grant of access. Once
the D/IMO determines to grant a request for access in whole or in part,
the D/IMO shall notify the requester in writing and come to agreement
with the requester about how to effect access, whether by on-site
review or duplication of the records. If a requester is accompanied by
another person, the requester shall be required to authorize in writing
any discussion of the records in the presence of the other person.
(2) Denial of access. The D/IMO shall notify the requester in
writing when an adverse determination is made denying a request for
access in any respect. Adverse determinations, or denials, consist of a
determination to withhold any requested record in whole or in part; a
determination that a requested record does not exist or cannot be
located; a determination that what has been requested is not a record
subject to the Privacy Act; or a determination that
[[Page 16536]]
the existence of a record can neither be confirmed nor denied. The
notification letter shall state:
(i) The reason(s) for the denial; and
(ii) The procedure for appeal of the denial under Sec. 1701.14 of
this subpart.
Sec. 1701.11 ODNI responsibility for responding to requests for
amendment or correction.
(a) Acknowledgement of request. The D/IMO shall acknowledge receipt
of a request for amendment or correction of records in writing and
provide an assigned request number for further reference.
(b) Tasking of component. Upon receipt of a proper request to amend
or correct a record, the D/IMO shall forward the request to the POC in
the component maintaining the record. The POC shall promptly evaluate
the proposed amendment or correction in light of any supporting
justification and recommend that the D/IMO grant or deny the request
or, if the request involves a record subject to correction by an
originating agency, refer the request to the other agency.
(c) Action on request for amendment or correction. (1) If the POC
determines that the request for amendment or correction is justified,
in whole or in part, the D/IMO shall promptly:
(i) Make the amendment, in whole or in part, as requested and
provide the requester a written description of the amendment or
correction made; and
(ii) Provide written notice of the amendment or correction to all
persons, organizations or agencies to which the record has been
disclosed (if an accounting of the disclosure was made);
(2) Where the D/IMO has referred an amendment request to another
agency, the D/IMO, upon confirmation from that agency that the
amendment has been effected, shall provide written notice of the
amendment or correction to all persons, organizations or agencies to
which ODNI previously disclosed the record.
(3) If the POC determines that the requester's records are
accurate, relevant, timely and complete, and that no basis exists for
amending or correcting the record, either in whole or in part, the D/
IMO shall inform the requester in writing of:
(i) The reason(s) for the denial; and
(ii) The procedure for appeal of the denial under Sec. 1701.15 of
this subpart.
Sec. 1701.12 ODNI responsibility for responding to requests for
accounting.
(a) Acknowledgement of request. Upon receipt of a request for
accounting, the D/IMO shall acknowledge receipt of the request in
writing and provide an assigned request number for further reference.
(b) Tasking of component. Upon receipt of a request for accounting,
the D/IMO shall forward the request to the POC in the component
maintaining the record. The POC shall work with the component's
information management officer and the systems administrator to
generate the requested disclosure history.
(c) Action on request for accounting. The D/IMO will notify the
requester when the accounting is available for on-site review or
transmission in paper or electronic medium.
(d) Notice of court-ordered disclosures. The D/IMO shall make
reasonable efforts to notify an individual whose record is disclosed
pursuant to court order. Notice shall be made within a reasonable time
after receipt of the order; however, when the order is not a matter of
public record, the notice shall be made only after the order becomes
public. Notice shall be sent to the individual's last known address and
include a copy of the order and a description of the information
disclosed. No notice shall be made regarding records disclosed from a
criminal law enforcement system that has been exempted from the notice
requirement.
(e) Notice of emergency disclosures. ODNI shall notify an
individual whose record it discloses under compelling circumstances
affecting health or safety. This notice shall be mailed to the
individual's last known address and shall state the nature of the
information disclosed; the person, organization, or agency to which it
was disclosed; the date of disclosure; and the compelling circumstances
justifying the disclosure. This provision shall not apply in
circumstances involving classified records that have been exempted from
disclosure pursuant to subsection (j) or (k) of the Privacy Act.
Sec. 1701.13 Special procedures for medical/psychiatric/psychological
records.
Current and former ODNI employees, including current and former
employees of ODNI contractors, and unsuccessful applicants for
employment may seek access to their medical, psychiatric or
psychological testing records by writing to: Information and Privacy
Coordinator, Central Intelligence Agency, Washington, DC 20505, and
provide identifying information as required by paragraphs (d) and (e)
of Sec. 1701.7 of this subpart. The Central Intelligence Agency's
Privacy Act Regulations will govern administration of these types of
records, including appeals from adverse determinations.
Sec. 1701.14 Appeals.
(a) Individuals may appeal denials of requests for access,
amendment, or accounting by submitting a written request for review to
the Director, Information Management Office (D/IMO) at the Office of
the Director of National Intelligence, Washington, DC 20511. The words
``PRIVACY ACT APPEAL'' should be written on the letter and the
envelope. The appeal must be signed by the record subject or legal
representative. No personal appearance or hearing on appeal will be
allowed.
(b) The D/IMO must receive the appeal letter within 45 calendar
days of the date the requester received the notice of denial. The
postmark is conclusive as to timeliness. Copies of correspondence from
ODNI denying the request to access or amend the record should be
included with the appeal, if possible. At a minimum, the appeal letter
should identify:
(1) The records involved;
(2) The date of the initial request for access to or amendment of
the record;
(3) The date of ODNI's denial of that request; and
(4) A statement of the reasons supporting the request for reversal
of the initial decision. The statement should focus on information not
previously available or legal arguments demonstrating that the ODNI's
decision is improper.
(c) Following receipt of the appeal, the Director of Intelligence
Staff (DIS) shall, in consultation with the Office of General Counsel,
make a final determination in writing on the appeal.
(d) Where ODNI reverses an initial denial, the following procedures
apply:
(1) If ODNI reverses an initial denial of access, the procedures in
paragraph (e)(1) of Sec. 1701.10 of this subpart will apply.
(2) If ODNI reverses its initial denial of a request to amend a
record, the POC will ensure that the record is corrected as requested,
and the D/IMO will inform the individual of the correction, as well as
all persons, organizations and agencies to which ODNI had disclosed the
record.
(3) If ODNI reverses its initial denial of a request for
accounting, the POC will notify the requester when the accounting is
available for on-site review or transmission in paper or electronic
medium.
(e) If ODNI upholds its initial denial or reverses in part (i.e.,
only partially granting the request), ODNI's notice of
[[Page 16537]]
final agency action will inform the requester of the following rights:
(1) Judicial review of the denial under 5 U.S.C. 552a(g)(1), as
limited by 5 U.S.C. 552a(g)(5).
(2) Opportunity to file a statement of disagreement with the
denial, citing the reasons for disagreeing with ODNI's final
determination not to correct or amend a record. The requester's
statement of disagreement should explain why he disputes the accuracy
of the record.
(3) Inclusion in one's record of copies of the statement of
disagreement and the final denial, which ODNI will provide to all
subsequent recipients of the disputed record, as well as to all
previous recipients of the record where an accounting was made of prior
disclosures of the record.
Sec. 1701.15 Fees.
ODNI shall charge fees for duplication of records under the Privacy
Act, 5 U.S.C. 552a, in the same way in which it will charge for
duplication of records under Sec. 1700.7(g), ODNI's regulation
implementing the fee provision of the Freedom of Information Act, 5
U.S.C. 552.
Sec. 1701.16 Contractors.
(a) Any approved contract for the operation of a Privacy Act system
of records to accomplish a function of the ODNI will contain the
Privacy Act provisions prescribed by the Federal Acquisition
Regulations (FAR) at 48 CFR part 24, requiring the contractor to comply
with the Privacy Act and this subpart. The contracting component will
be responsible for ensuring that the contractor complies with these
contract requirements. This section does not apply to systems of
records maintained by a contractor as a function of management
discretion, e.g., the contractor's personnel records.
(b) Where the contract contains a provision requiring the
contractor to comply with the Privacy Act and this subpart, the
contractor and any employee of the contractor will be considered
employees of the ODNI for purposes of the criminal penalties of the
Act, 5 U.S.C. 552a(i).
Sec. 1701.17 Standards of conduct.
(a) General. ODNI will ensure that staff are aware of the
provisions of the Privacy Act and of their responsibilities for
protecting personal information that ODNI collects and maintains,
consistent with Sec. 1701.5 and 1701.6 of this subpart.
(b) Criminal penalties--(1) Unauthorized disclosure. Criminal
penalties may be imposed against any ODNI staff who, by virtue of
employment, has possession or access to ODNI records which contain
information identifiable with an individual, the disclosure of which is
prohibited by the Privacy Act or by these rules, and who, knowing that
disclosure of the specific material is prohibited, willfully discloses
the material in any manner to any person or agency not entitled to
receive it.
(2) Unauthorized maintenance. Criminal penalties may be imposed
against any ODNI staff who willfully maintains a system of records
without meeting the requirements of subsection (e)(4) of the Privacy
Act, 5 U.S.C. 552a. The D/IMO, the Civil Liberties Protection Officer,
the General Counsel, and the Inspector General are authorized
independently to conduct such surveys and inspect such records as
necessary from time to time to ensure that these requirements are met.
(3) Unauthorized requests. Criminal penalties may be imposed upon
any person who knowingly and willfully requests or obtains any record
concerning an individual from the ODNI under false pretenses.
Subpart B--Exemption of Record Systems Under the Privacy Act
Sec. 1701.20 Exemption policies.
(a) General. The DNI has determined that invoking exemptions under
the Privacy Act and continuing exemptions previously asserted by
agencies whose records ODNI receives is necessary: to ensure against
the release of classified information essential to the national defense
or foreign relations; to protect intelligence sources and methods; and
to maintain the integrity and effectiveness of intelligence,
investigative and law enforcement processes. Accordingly, as authorized
by the Privacy Act, 5 U.S.C. 552a, subsections (j) and (k), and in
accordance with the rulemaking procedures of the Administrative
Procedures Act, 5 U.S.C. 553, the ODNI shall:
(1) Exercise its authority pursuant to subsections (j) and (k) of
the Privacy Act to exempt certain ODNI systems of records or portions
of systems of records from various provisions of the Privacy Act; and
(2) Continue in effect and assert all exemptions claimed under
Privacy Act subsections (j) and (k) by an originating agency from which
the ODNI obtains records where the purposes underlying the original
exemption remain valid and necessary to protect the contents of the
record.
(b) Related policies. (1) The exemptions asserted apply to records
only to the extent they meet the criteria of subsections (j) and (k) of
the Privacy Act, whether claimed by the ODNI or the originator of the
records.
(2) Discretion to supersede exemption: Where complying with a
request for access or amendment would not appear to interfere with or
adversely affect a counterterrorism or law enforcement interest, and
unless prohibited by law, the D/IMO may exercise his discretion to
waive the exemption. Discretionary waiver of an exemption with respect
to a record will not obligate the ODNI to waive the exemption with
respect to any other record in an exempted system of records. As a
condition of such discretionary access, ODNI may impose any
restrictions (e.g., concerning the location of file reviews) deemed
necessary or advisable to protect the security of agency operations,
information, personnel, or facilities.
(3) Records in ODNI systems also are subject to protection under 50
U.S.C. 403-1(i), the provision of the National Security Act of 1947
which requires the DNI to protect intelligence sources and methods from
unauthorized disclosure.
Sec. 1701.21 Exemption of National Counterterrorism Center (NCTC)
systems of records.
(a) The ODNI exempts the following systems of records from the
requirements of subsections (c)(3); (d)(1), (2), (3) and (4); (e)(1);
(e)(4)(G), (H), (I); and (f) of the Privacy Act to the extent that
information in the system is subject to exemption pursuant subsections
(k)(1) and (k)(5) of the Act:
(1) NCTC Human Resources Management System (ODNI/NCTC-001).
(2) [Reserved]
(b) Exemptions from the particular subsections are justified for
the following reasons:
(1) From subsection (c)(3) (accounting of disclosures) because an
accounting of disclosures from records concerning the record subject
would specifically reveal an investigative interest on the part of the
ODNI or recipient agency and could result in release of properly
classified national security or foreign policy information.
(2) From subsections (d)(1), (2), (3) and (4) (record subject's
right to access and amend records) because affording access and
amendment rights could alert the record subject to the investigative
interest of intelligence or law enforcement agencies or compromise
sensitive information classified in the interest of national
[[Page 16538]]
security. In the absence of a national security basis for exemption,
records in this system may be exempted from access and amendment to the
extent necessary to honor promises of confidentiality to persons
providing information concerning a candidate for position. Inability to
maintain such confidentiality would restrict the free flow of
information vital to a determination of a candidate's qualifications
and suitability.
(3) From subsection (e)(1) (maintain only relevant and necessary
records) because it is not always possible to establish relevance and
necessity before all information is considered and evaluated in
relation to an intelligence concern. In the absence of a national
security basis for exemption under subsection (k)(1), records in this
system may be exempted from the relevance requirement pursuant to
subsection (k)(5) because it is not possible to determine in advance
what exact information may assist in determining the qualifications and
suitability of a candidate for position. Seemingly irrelevant details,
when combined with other data, can provide a useful composite for
determining whether a candidate should be appointed.
(4) From subsections (e)(4)(G) and (H) (publication of procedures
for notifying subjects of the existence of records about them and how
they may access records and contest contents) because the system is
exempted from subsection (d) provisions regarding access and amendment,
and from the subsection (f) requirement to promulgate agency rules.
Nevertheless, the ODNI has published notice concerning notification,
access, and contest procedures because it may in certain circumstances
determine it appropriate to provide subjects access to all or a portion
of the records about them in a system of records.
(5) From subsection (e)(4)(I) (identifying sources of records in
the system of records) because identifying sources could result in
disclosure of properly classified national defense or foreign policy
information, intelligence sources and methods, and investigatory
techniques and procedures. Notwithstanding its proposed exemption from
this requirement, ODNI identifies record sources in broad categories
sufficient to provide general notice of the origins of the information
it maintains in its systems of records.
(6) From subsection (f) (agency rules for notifying subjects to the
existence of records about them, for accessing and amending records,
and for assessing fees) because the system is exempt from subsection
(d) provisions regarding access and amendment of records by record
subjects. Nevertheless, the ODNI has published agency rules concerning
notification of a subject in response to his request if any system of
records named by the subject contains a record pertaining to him and
procedures by which the subject may access or amend the records.
Notwithstanding exemption, the ODNI may determine it appropriate to
satisfy a record subject's access request.
(c) The ODNI exempts the following systems of records from the
requirements of subsections (c)(3); (d)(1), (2), (3) and (4); (e)(1);
(e)(4)(G), (H), (I); and (f) of the Privacy Act to the extent that
information in the system is subject to exemption pursuant to
subsection(k)(1) of the Act:
(1) NCTC Access Authorization Records (ODNI/NCTC-002).
(2) NCTC Telephone Directory (ODNI/NCTC-003).
(3) NCTC Partnership Management Records (ODNI/NCTC-006).
(4) NCTC Tacit Knowledge Management Records (ODNI/NCTC-007).
(d) Exemptions from the particular subsections are justified for
the following reasons:
(1) From subsection (c)(3) (accounting of disclosures) because an
accounting of disclosures from records concerning the record subject
would specifically reveal an investigative interest on the part of the
ODNI or recipient agency and could result in release of properly
classified national security or foreign policy information.
(2) From subsections (d)(1), (2), (3) and (4) (record subject's
right to access and amend records) because affording access and
amendment rights could alert the record subject to the investigative
interest of intelligence or law enforcement agencies or compromise
sensitive information classified in the interest of national security.
(3) From subsection (e)(1) (maintain only relevant and necessary
records) because it is not always possible to establish relevance and
necessity before all information is considered and evaluated in
relation to an intelligence concern.
(4) From subsections (e)(4)(G) and (H) (publication of procedures
for notifying subjects of the existence of records about them and how
they may access records and contest contents) because the system is
exempted from subsection (d) provisions regarding access and amendment
and from the subsection (f) requirement to promulgate agency rules.
Nevertheless, the ODNI has published notice concerning notification,
access, and contest procedures because it may in certain circumstances
determine it appropriate to provide subjects access to all or a portion
of the records about them in a system of records.
(5) From subsection (e)(4)(I) (identifying sources of records in
the system of records) because identifying sources could result in
disclosure of properly classified national defense or foreign policy
information, intelligence sources and methods, and investigatory
techniques and procedures. Notwithstanding its proposed exemption from
this requirement, ODNI identifies record sources in broad categories
sufficient to provide general notice of the origins of the information
it maintains in its systems of records.
(6) From subsection (f) (agency rules for notifying subjects to the
existence of records about them, for accessing and amending records,
and for assessing fees) because the system is exempt from subsection
(d) provisions regarding access and amendment of records by record
subjects. Nevertheless, the ODNI has published agency rules concerning
notification of a subject in response to his request if any system of
records named by the subject contains a record pertaining to him and
procedures by which the subject may access or amend the records.
Notwithstanding exemption, the ODNI may determine it appropriate to
satisfy a record subject's access request.
(e) The ODNI exempts the following systems of records from the
requirements of subsections (c)(3); (d)(1), (2), (3), (4); (e)(1);
(e)(4)(G), (H), (I); and (f) of the Privacy Act, to the extent that
information in the system is subject to exemption pursuant to
subsections (k)(1) and (k)(2) of the Act:
(1) NCTC Knowledge Repository (SANCTUM) (ODNI/NCTC-004).
(2) NCTC Online (ODNI/NCTC-005).
(3) NCTC Terrorism Analysis Records (ODNI/NCTC-008).
(4) NCTC Terrorist Identities Records (ODNI/NCTC-009).
(f) Exemptions from the particular subsections are justified for
the following reasons:
(1) From subsection (c)(3) (accounting of disclosures) because an
accounting of disclosures from records concerning the record subject
would specifically reveal an investigative interest on the part of the
ODNI as well as the recipient agency and could: Result in release of
properly classified national security or foreign policy information;
compromise ongoing efforts to investigate a known or suspected
terrorist; reveal sensitive investigative or surveillance techniques;
or identify a confidential source. With this information, the record
subject could frustrate counterintelligence
[[Page 16539]]
measures; impede an investigation by destroying evidence or
intimidating potential witnesses; endanger the physical safety of
sources, witnesses, and law enforcement and intelligence personnel and
their families; or evade apprehension or prosecution by law enforcement
personnel.
(2) From subsections (d)(1), (2), (3) and (4) (record subject's
right to access and amend records) because these provisions concern
individual access to and amendment of counterterrorism, investigatory
and intelligence records. Affording access and amendment rights could
alert the record subject to the fact and nature of an investigation or
the investigative interest of intelligence or law enforcement agencies;
permit the subject to frustrate such investigation, surveillance or
potential prosecution; compromise sensitive information classified in
the interest of national security; identify a confidential source or
disclose information which would reveal a sensitive investigative or
intelligence technique; and endanger the health or safety of law
enforcement personnel, confidential informants, and witnesses. In
addition, affording subjects access and amendment rights would impose
an impossible administrative burden to continuously reexamine
investigations, analyses, and reports.
(3) From subsection (e)(1) (maintain only relevant and necessary
records) because it is not always possible for intelligence or law
enforcement agencies to know in advance what information about an
encounter with a known or suspected terrorist will be relevant for the
purpose of conducting an operational response. Relevance and necessity
are questions of judgment and timing, and only after information is
evaluated can relevance and necessity be established. In addition,
information in the system of records may relate to matters under the
investigative jurisdiction of another agency, and may not readily be
segregated. Furthermore, information in these systems of records, over
time, aid in establishing patterns of criminal activity that can
provide leads for other law enforcement agencies.
(4) From subsections (e)(4)(G) and (H) (publication of procedures
for notifying subjects of the existence of records about them and how
they may access records and contest contents) because the system is
exempted from subsection (d) provisions regarding access and amendment
and from the subsection (f) requirement to promulgate agency rules.
Nevertheless, the ODNI has published notice concerning notification,
access, and contest procedures because it may in certain circumstances
determine it appropriate to provide subjects access to all or a portion
of the records about them in a system of records.
(5) From subsection (e)(4)(I) (identifying sources of records in
the system of records) because identifying sources could result in
disclosure of properly classified national defense or foreign policy
information. Additionally, exemption from this provision is necessary
to protect the privacy and safety of witnesses and sources of
information, including intelligence sources and methods and
investigatory techniques and procedures. Notwithstanding its proposed
exemption from this requirement, ODNI identifies record sources in
broad categories sufficient to provide general notice of the origins of
the information it maintains in its systems of records.
(6) From subsection (f) (agency rules for notifying subjects to the
existence of records about them, for accessing and amending records and
for assessing fees) because the system is exempt from subsection (d)
provisions regarding access and amendment of records by record
subjects. Nevertheless, the ODNI has published agency rules concerning
notification of a subject in response to his request if any system of
records named by the subject contains a record pertaining to him and
procedures by which the subject may access or amend the records.
Notwithstanding exemption, the ODNI may determine it appropriate to
satisfy a record subject's access request.
Sec. 1701.22 Exemption of Office of the National Counterintelligence
Executive (ONCIX) system of records.
(a) The ODNI exempts the following system of records from the
requirements of subsections (c)(3); (d)(1), (2), (3), (4); (e)(1);
(e)(4)(G), (H), (I); and (f) of the Privacy Act, to the extent that
information in the system is subject to exemption pursuant to
subsections (k)(1) and (k)(2) of the Act:
(1) ONCIX Counterintelligence Damage Assessment Records (ODNI/
ONCIX-001).
(2) [Reserved]
(b) Exemptions from the particular subsections are justified for
the following reasons:
(1) From subsection (c)(3) (accounting of disclosures) because an
accounting of disclosures from records concerning the record subject
would specifically reveal an investigative interest on the part of the
ODNI as well as the recipient agency and could: result in release of
properly classified national security or foreign policy information;
compromise ongoing efforts to investigate a known or suspected
terrorist; reveal sensitive investigative or surveillance techniques;
or identify a confidential source. With this information, the record
subject could frustrate counterintelligence measures; impede an
investigation by destroying evidence or intimidating potential
witnesses; endanger the physical safety of sources, witnesses, and law
enforcement and intelligence personnel and their families; or evade
apprehension or prosecution by law enforcement personnel.
(2) From subsections (d)(1), (2), (3) and (4) (record subject's
right to access and amend records) because these provisions concern
individual access to and amendment of counterterrorism, investigatory
and intelligence records. Affording access and amendment rights could
alert the record subject to the fact and nature of an investigation or
the investigative interest of intelligence or law enforcement agencies;
permit the subject to frustrate such investigation, surveillance or
potential prosecution; compromise sensitive information classified in
the interest of national security; identify a confidential source or
disclose information which would reveal a sensitive investigative or
intelligence technique; and endanger the health or safety of law
enforcement personnel, confidential informants, and witnesses. In
addition, affording subjects access and amendment rights would impose
an impossible administrative burden to continuously reexamine
investigations, analyses, and reports.
(3) From subsection (e)(1) (maintain only relevant and necessary
records) because it is not always possible to know in advance what
information will be relevant to evaluate and mitigate damage to the
national security. Relevance and necessity are questions of judgment
and timing, and only after information is evaluated can relevance and
necessity be established. In addition, information in the system of
records may relate to matters under the investigative jurisdiction of
another agency, and may not readily be segregated. Furthermore,
information in these systems of records, over time, aid in establishing
patterns of criminal activity that can provide leads for other law
enforcement agencies.
(4) From subsections (e)(4)(G) and (H) (publication of procedures
for notifying subjects to the existence of records about them and how
they may access records and contest contents) because the system is
exempted from subsection (d) provisions regarding access and amendment
and from the subsection (f) requirement to promulgate agency rules.
Nevertheless, the ODNI has published
[[Page 16540]]
notice concerning notification, access, and contest procedures because
it may in certain circumstances determine it appropriate to provide
subjects access to all or a portion of the records about them in a
system of records.
(5) From subsection (e)(4)(I) (identifying sources of records in
the system of records) because identifying sources could result in
disclosure of properly classified national defense or foreign policy
information. Additionally, exemption from this provision is necessary
to protect the privacy and safety of witnesses and sources of
information, including intelligence sources and methods and
investigatory techniques and procedures. Notwithstanding its proposed
exemption from this requirement, ODNI identifies record sources in
broad categories sufficient to provide general notice of the origins of
the information it maintains in its systems of records.
(6) From subsection (f) (agency rules for notifying subjects to the
existence of records about them, for accessing and amending records and
for assessing fees) because the system is exempt from subsection (d)
provisions regarding access and amendment of records by record
subjects. Nevertheless, the ODNI has published agency rules concerning
notification of a subject in response to his request if any system of
records named by the subject contains a record pertaining to him and
procedures by which the subject may access or amend the records.
Notwithstanding exemption, the ODNI may determine it appropriate to
satisfy a record subject's access request.
Sec. 1701.23 Exemption of Office of Inspector General (OIG) systems
of records.
(a) The ODNI exempts the following systems of records from the
requirements of subsections (c)(3); (d)(1), (2), (3) and (4); (e)(1);
(e)(4)(G), (H), (I); and (f) of the Privacy Act to the extent that
information in the system is subject to exemption pursuant subsections
(k)(1) and (k)(5) of the Act:
(1) OIG Human Resources Records (ODNI/OIG-001).
(2) OIG Experts Contact Records (ODNI/OIG-002).
(b) Exemptions from the particular subsections are justified for
the following reasons:
(1) From subsection (c)(3) (accounting of disclosures) because an
accounting of disclosures from records concerning the record subject
would specifically reveal an investigative interest on the part of the
ODNI or recipient agency and could result in release of properly
classified national security or foreign policy information.
(2) From subsections (d)(1), (2), (3) and (4) (record subject's
right to access and amend records) because affording access and
amendment rights could alert the record subject to the investigative
interest of intelligence or law enforcement agencies or compromise
sensitive information classified in the interest of national security.
In the absence of a national security basis for exemption under
subsection (k)(1), records in this system may be exempted from access
and amendment pursuant to subsection (k)(5) to the extent necessary to
honor promises of confidentiality to persons providing information
concerning a candidate for position. Inability to maintain such
confidentiality would restrict the free flow of information vital to a
determination of a candidate's qualifications and suitability.
(3) From subsection (e)(1) (maintain only relevant and necessary
records) because it is not always possible to establish relevance and
necessity before all information is considered and evaluated in
relation to an intelligence concern. In the absence of a national
security basis for exemption under subsection (k)(1), records in this
system may be exempted from the relevance requirement pursuant to
subsection (k)(5) because it is not always possible to determine in
advance what exact information may assist in determining the
qualifications and suitability of a candidate for position. Seemingly
irrelevant details, when combined with other data, can provide a useful
composite for determining whether a candidate should be appointed.
(4) From subsections (e)(4)(G) and (H) (publication of procedures
for notifying subjects of the existence of records about them and how
they may access records and contest contents) because the system is
exempted from subsection (d) provisions regarding access and amendment
and from the subsection (f) requirement to promulgate agency rules.
Nevertheless, the ODNI has published such a notice concerning
notification, access, and contest procedures because it may in certain
circumstances determine it appropriate to provide subjects access to
all or a portion of the records about them in a system of records.
(5) From subsection (e)(4)(I) (identifying sources of records in
the system of records) because identifying sources could result in
disclosure of properly classified national defense or foreign policy
information, intelligence sources and methods and investigatory
techniques and procedures. Notwithstanding its proposed exemption from
this requirement, ODNI identifies record sources in broad categories
sufficient to provide general notice of the origins of the information
it maintains in its systems of records.
(6) From subsection (f) (agency rules for notifying subjects to the
existence of records about them, for accessing and amending records and
for assessing fees) because the system is exempt from subsection (d)
provisions regarding access and amendment of records by record
subjects. Nevertheless, the ODNI has published agency rules concerning
notification of a subject in response to his request if any system of
records named by the subject contains a record pertaining to him and
procedures by which the subject may access or amend the records.
Notwithstanding exemption, the ODNI may determine it appropriate to
satisfy a record subject's access request.
(c) The ODNI exemp