(iii) Transmit the proposed rule for publication in the FEDERAL REGISTER as a notice of proposed rulemaking.

(iv) After 30 days and consideration of any public comments, transmit the final exemption rule for publication in the FEDERAL REGISTER.

(v) Notify the system manager of the effective date of the exemption.

(2) The Privacy Act requires exemption rules to be published in the FEDERAL REGISTER separately from system notices. To simplify reference and use within the Army, exemption rules have been combined with the applicable system notices in Army Regulation 340-21.

[40 FR 55552, Nov. 28, 1975, as amended at 44 FR 37503, June 27, 1979]

§ 505.8 Instructions for completing DA Form 4368-R.

(a) General. Paragraphs (c) through (f) of this section should also be used in preparing Privacy Act Statements for incorporation in the body of a form, format, questionnaire, survey sheet, or report subject to this regulation.

(b) Title of form and prescribing directive. Enter the title and the prescribing directive of the form to which the notification statement pertains.

(c) Authority. (1) Specify the statutory authority or Executive Order requiring the information. If no authority exists for collection of the specific information required on the form, cite the statute or Executive Order authorizing the program or function which employs the form. When the specific program or function cannot be identified under statute or Executive Order, cite the appropriate general "housekeeping" statute which assigns to the Secretary of the Army the broad functional responsibility for the area of concern. Citation of such a statute is limited to occasions when thorough research has failed to reveal a more specific authority, and when citation of the statute has been concurred in by The Judge Advocate General or staff judge advocate/legal officer of the agency or command concerned. Proponents will not cite Department of Defense Directives or Instructions, Army Regulations, or other comparable departmental or local directives, except

as authority for collecting the SSN alone.

(2) The following housekeeping statutes are cited as a guide to proponents when a more specific authority cannot be determined:

(i) Title 10, United States Code, section 3012: Use for forms having an Army Regulation as a prescribing directive.

(ii) Title 5, United States Code, section 301: Use for other forms not described above.

(3) Coordination with The Judge Advocate General or staff judge advocate/legal officer of the agency or command concerned is mandatory before citing one of the above statutes as authority. Other authority citations may be coordinated as necessary with the appropriate legal staff to assure their validity.

(d) Principal purpose(s). State the principal purpose or purposes for which the information is collected. "Purposes" are distinguished from "uses" (e), in that purposes describe the objectives for collecting the information. Uses, on the other hand, are the specific ways or processes in which the information may be disclosed. For example, the purpose of collecting information may be to evaluate an application for a veteran's benefit and to issue checks upon establishment of eligibility. Uses might include verification of certain information with the appropriate military services and release of check data to the Treasury Department.

(e) Routine uses. List all routine uses which may be made of the information collected. Uses of the SSN will be separately stated, if applicable. Each proponent of a form or format subject to the Privacy Act must prescribe its "routine" uses. "Routine use", as defined in the Privacy Act, means the use of a record or information for a purpose which is compatible with the purpose for which it was collected. "Routine use” does not merely encompass the common, ordinary uses of the form, but also includes all the proper and necessary uses, regardless of frequency. For example, individual income tax returns are routinely used by the Internal Revenue Service to audit the amount of tax due and to

assist in collecting such tax by civil proceedings. They are used less often, however, for referral to the Department of Justice for possible criminal prosecution for fraud or tax evasion. Nevertheless, the routine uses of such records would also include referrals to the Department of Justice.

(f)(1) Mandatory or voluntary disclosure and effect on individual not providing information.

(2) Indicate whether providing the information is mandatory or voluntary, and the effect on the individual of not providing all or any part of the requested information. Indicate separately whether disclosure of the SSN is mandatory or voluntary, as applicable.

a

(g) Form number. Type the same number as the form to which the statement applies, followed by the phrase, "Privacy Act Statement", in the box at the lower left corner. For example, the statement for DD Form 398 (Statement of Personal History) will show in the lower left corner the number "DD Form 398-Privacy Act Statement-26 Sep 75." The forms management officer will assign forms control number to statements that accompany unnumbered formats, questionnaires, survey sheets and reports. This identification will be in addition to the reports control symbol or OMB approval number authorizing collection of the information. All notification statements will show September 26, 1975 as the date of approval when prepared prior to that date. Upon completion of the form, the DA Form 4368-R identification will be deleted.

§ 505.9 Exemption rules for Army systems of records.

(a) General. This section contains exemption rules for systems of records maintained by the Department of the Army. System notices have been omitted from this section, since they are published in the FEDERAL REGISTER, Volume 44, Number 143, Part II, Section 1, December 17, 1979.

(b) Exemptions. The Secretary of the Army proposes to designate the systems of records listed below for exemptions under the specified provisions of the Privacy Act of 1974 (Pub.

L. 93-579). In addition to specific exemptions claimed pursuant to § 505.7, paragraph (c) below, any document properly classified in accordance with DOD Directive 5200.1-R and Executive Order 12065, and predecessor orders and included in a system of records, may be exempted pursuant to § 505.7, paragraph (c)(1)(i) from the provisions of § 505.2, paragraphs (c) through (j). This exemption is necessary because certain record systems not otherwise specifically designated for exemption may subsequently include occasional documents which have been properly classified.

EXEMPTED RECORD SYSTEMS

(Specific Exemptions)

ID-A0201.08aDACS.

SYSNAME-Central Files, Office of the Chief of Staff (DACS-DAS).

EXEMPTION-Portions of this system of records which fall within 5 U.S.C. 552a(k) are exempted from the following provisions of Title 5 U.S.C. section 552a: (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f).

AUTHORITY-5 U.S.C. 552a(k) (1), (2), (3), (4), (5), (6), (7).

REASONS-This system contains documents pertaining to any function or subject which may require involvement of the Department of the Army. Documents are generated by other elements of the Army or are received from other agencies and individuals. Because of the broad scope of the contents of this file and, since the introduction of documents included are largely unregulatable, the specific portions or documents in the system which may require an exemption cannot be predetermined. Therefore, and to the extent that such material is necessary to be maintained, selected individual documents may be exempted from disclosure under any of the provisions of subsection (k) (1) through (7), Title 5 U.S.C. 552a. EXEMPTED RECORD SYSTEM

(Specific Exemptions)

ID-A0201.08COSA.

SYSNAME-Central Files, Office Secretary of the Army (SAAA).

EXEMPTION-All portions of this system of records which fall within 5 U.S.C. 552a(k) (1) through (7) are exempted from the following provisions of Title 5 U.S.C. section 552a: (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f).

AUTHORITY-5 U.S.C. 552a(k) (1), (2), (3), (4), (5), (6), and (7).

REASONS-This system contains documents pertaining to any function or subject

which may require involvement of the Department of the Army. Documents in this file are generated by other elements of the Army or are received from other agencies and individuals. Because of the broad scope of the contents of this file, and since the introduction of documents included there is largely unregulatable, the specific portions or documents in this system which may require an exemption cannot be predetermined. Therefore, and to the extent that such material is received and maintained, selected individual documents may be exempted from disclosures under any of the provisions of subsection (k) (1) through (7), Title 5 U.S.C. 552a.

b. Insert before exemption rule IDA0508.07USACIDC, SYSNAME-Criminal Investigation Accreditation Files (40 FR 55576):

EXEMPTED RECORD SYSTEMS

(Specific Exemptions)

ID-A0224.04 DAIG.

SYSNAME-Inspector General Investiga

tive Files.

EXEMPTION-All portions of this system of records which fall within 5 U.S.C. 552a(k) (2) or (5) are exempt from the following provisions of Title 5 U.S.C. section 552a: (c)(3), (d), (e)(4)(G), (e)(4)(H), and (f). AUTHORITY-5 U.S.C. 552a(k) (2) and

(5).

REASONS-Selected

portions and/or

records in this system are compiled for the purposes of enforcing civil, criminal, or military law, including Executive orders or regulations validly adopted pursuant to law. Granting individuals access to information collected and maintained in these files could interfere with enforcement proceedings; deprive a person of a right to fair trial or an impartial adjudication or be prejudicial to the conduct of administrative action affecting rights, benefits, or privileges of individual; constitute an unwarranted invasion of personal privacy; disclose the identity of a confidential source; disclose nonroutine investigative techniques and procedures, or endanger the life or physical safety of law enforcement personnel; violate statutes which authorize or require certain information to be withheld from the public such as: trade or financial information, technical data, National Security Agency information, or information relating to inventions. Exemption from access necessarily includes exemption from the other requirements.

EXEMPTED RECORD SYSTEMS

(Specific Exemptions)

ID-A0224.05aDAIG.
SYSNAME-Inspector General Complaint

Files.

(5).

REASONS-Selected

EXEMPTION-All portions of this system of records which fall within 5 U.S.C. 552a(k) (2) or (5) are exempt from the following provisions of Title 5 U.S.C. section 552a: (c)(3), (d), (e)(4)(G), (e)(4)(H), and (f). AUTHORITY-5 U.S.C. 552a(k) (2) and portions and/or records in this system are compiled for the purposes of enforcing civil, criminal, or military law, including Executive Orders or regulations validly adopted pursuant to law. Granting individuals access to information collected and maintained in these files could interfere with enforcement proceedings; deprive a person of a right to fair trial or an impartial adjudication or be prejudicial to the conduct of administrative action affecting rights, benefits, or privileges of individual; constitute an unwarranted invasion of personal privacy; disclose the identity of a confidential source; disclose nonroutine investigative techniques and procedures, or endanger the life or physical safety of law enforcement personnel; violate statutes which authorize or require certain information to be withheld from the public such as: trade or financial information, technical data, National Security Agency information, or information relating to inventions. Exemption from access necessarily includes exemption from the other requirements.

EXEMPTED RECORD SYSTEMS

(General Exemptions)

ID-A0225.01aDAPE.

SYSNAME-Military Police Management

Information System (MPMIS)-Correctional Reporting System (CRS).

EXEMPTION-All portions of this system which fall within 5 U.S.C. 552a(j)(2) are exempt from the following provisions of Title 5 U.S.C. section 552a: (c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5), (e)(8), (f), and (g).

AUTHORITY—5 U.S.C. 552a(j)(2).

REASONS-From subsection (c)(3) because the release of accounting of disclosures would place the subject of an investigation on notice that he is under investigation and provide him with significant information concerning the nature of the investigation, thus resulting in a serious impediment to law enforcement investigations. From subsection (d) because granting individuals access to information collected and maintained by this component relating to the enforcement of criminal laws could interfere with the orderly administration of justice. Disclosure of this information could jeopardize the safety and well being of information sources, correctional supervisors and other confinement facility administrators. Disclosure of the information could also result in the invasion of privacy of per

EXEMPTION-Portions of this system of records which fall within 5 U.S.C. 552a(j)(2) are exempt from the following provisions of Title 5 U.S.C., section 552a: (c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5), (e)(8), (f), and (g). Portions of the system maintained by Offices of Initial Denying Authorities which do not have a law enforcement mission and which fall within 5 U.S.C. 552a (k)(1) through (k)(7) are exempt from the following provisions of Title 5 U.S.C., section 552a: (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f).

AUTHORITY-5 U.S.C. 552a (j)(2) and (k)(1) through (k)(7).

REASONS-This system of records is maintained solely for the purpose of administering the Freedom of Information Act and processing routine requests for information. To insure an accurate and complete file on each case, it is sometimes necessary to include copies of records which have been the subject of a Freedom of Information Act request. This situation applies principally to cases in which an individual has been denied access and/or amendment of personal records under an exemption authorized by Title 5 U.S.C., Section 552. The same justification for the original denial would apply to a denial of access to copies maintained in the Freedom of Information Act file. It should be emphasized that the majority of records in this system are available on request to the individual and that all records are used solely to process requests. This file is not used to make any other determinations on the rights, benefits or privileges of individuals.

EXEMPTED RECORD SYSTEMS

(General Exemptions)

ID-A0240.01DAAG
SYSNAME-Privacy Act Case Files.

EXEMPTIONS-Portions of this system which fall within 5 U.S.C. 552a(j)(2) are exempt from the following provisions of Title 5 U.S.C., section 552a: (c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(5), (e)(8), (f), and (g). Portions of this system maintained by the DA Privacy Review Board and by those Access and Amendment Refusal Authorities which do not have a law enforcement mission and which fall within 5 U.S.C. 552a (k)(1) through (k)(7) are exempt from the following provisions of Title 5 U.S.C., section 552a: (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f).

AUTHORITY-5 U.S.C. 552a (j)(2) and (k)(1) through (k)(7).

REASONS-This system of records is maintained solely for the purposes of administering the Privacy Act of 1974. To insure an accurate and complete file on each case, it is sometimes necessary to include copies of records which have been the subject of a Privacy Act request. This situation applies principally to cases in which an individual has been denied access and/or amendment of personal records under an exemption authorized by Title 5 U.S.C., Section 552a. The same justification for the original denial would apply to a denial of access and/or amendment of copies maintained in the Privacy Act Case File. It should be emphasized that the majority of records in this system are available on request to the individual and that all records are used solely to administer Privacy Act requests. This file is not used to make any other determinations on the rights, benefits or privileges of individuals.

EXEMPTED RECORD SYSTEMS

(General Exemptions)

ID-A0401.08DAJA.

SYSNAME-Prosecutorial Files.

EXEMPTION-Portions of this system of records which fall within 5 U.S.C. 552a(j)(2) are exempt from the following provisions of Title 5 U.S.C., section 552a: (c)(3), (c)(4), (d), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(8), (f), and (g).

AUTHORITY-5 U.S.C. 552a(j)(2).

REASONS-From subsection (c)(4), (d), (e)(4)(G), (e)(4)(H), (f), and (g) because granting individuals access to information collected and maintained by this component relating to the enforcement of laws could interfere with proper investigations and the orderly administration of justice. Disclosure of this information could result in the concealment, alteration or destruction of evidence, the identification of offenders or alleged offenders, nature and dispostion of

charges; and jeopardize the safety and well being of informants, witnesses and their families, and law enforcement personnel and their families. Disclosure of this information could also reveal and render ineffectual investigative techniques, sources and methods used by this component, and could result in the invasion of the privacy of individuals only incidentally related to an investigation. Exemption from access necessarily includes exemption from other requirements.

From subsection (c)(3) because the release of accounting of disclosure would place the subject of an investigation on notice that he is under investigation and provide him with significant information concerning the nature of the investigation, thus resulting in a serious impediment to law enforcement investigations.

From subsection (e)(2) because in a criminal or other law enforcement investigation, the requirement that information be collected to the greatest extent practicable from the subject individual would alert the subject as to the nature or existence of the investigation and thereby present a serious impediment to effective law enforcement.

From subsection (e)(3) because compliance would constitute a serious impediment to law enforcement in that it could comproImise the existence of a confidential investigation or reveal the identity of witnesses or confidential informants.

From subsection (e)(8) because compliance with this provision would provide an impediment to law enforcement by interfering with the ability to issue warrants or subpoenas and by revealing investigative techniques, procedures or evidence.

EXEMPTED RECORD SYSTEMS

(Specific Exemptions)

ID-A0402.01aDAJA

SYSNAME-General Legal Files.

EXEMPTION-Those portions of this system of records falling within 5 U.S.C. 552a(k)(1), (2), (5), (6), and (7) may be exempt from the following provisions of Title 5 U.S.C. section 552a: (c)(3), (d), (e)(1), and (f).

AUTHORITY-U.S.C. 552a(k)(1), (2), (5), (6), and (7).

REASONS-Various records from other exempted systems of records are sometimes submitted for legal review or other action. A copy of such records may be permanently incorporated into the General Legal Files system of records as evidence of the facts upon which a legal opinion or review was based. Exemption of the General Legal Files system of records is necessary in order to ensure that such records continue to receive the same protection afforded them by exemptions granted to the systems of records in which they were originally filed.

EXEMPTED RECORD SYSTEM

(General Exemptions)

ID-A0404.02DAJA

SYSNAME-Courts-Martial Files.

EXEMPTION-All portions of this system which fall under Title 5 U.S.C. 552a(j)(2) are exempt from the following provisions of Title 5 U.S.C. 552a: section (d)(2), (d)(3), (d)(4), (e)(2), (e)(3), (e)(4)(H), and (g).

AUTHORITY: Title 5 U.S.C. 552a(j)(2). REASONS-Courts-martial files are exempt because a large body of existing criminal law governs trials by court-martial to the exclusion of the Privacy Act. The Congress recognized the judicial nature of court-martial proceedings and exempted them from the Administrative Procedures Act by specifically excluding them from the definition of the term "agency" (Title 5 U.S.C. 551(1)(F)). This definition is applicable to the Privacy Act (Title 5 U.S.C. 552a(1)). Substantive and procedural law applicable in trials by court-martial is set forth in the Constitution, the Uniform Code of Military Justice (UCMJ), Manual for Courts-Martial, United States, 1969 (Revised edition), and the decisions of the U.S. Court of Military Appeals and Courts of Military Review. The right of the accused not to be compelled to be a witness against himself and the need to obtain accurate and reliable information with regard to criminal misconduct necessitate the collection of information from sources other than the individual accused.

Advising the accused or any other witness of the authority for collection of the information, the purpose for which it is to be used, whether disclosure is voluntary or mandatory, and the efforts on the individual of not providing the information would unnecessarily disrupt and confuse courtmartial proceedings. It is the responsibility of the investigating officer or military judge to determine what information will be considered as evidence. In making the determination, the individual's rights are weighed against the accused's right to a fair trial. The determination is final for the moment and the witness' failure to comply with the decision would delay the proceeding and may result in prosecution of the witness for wrongful refusal to testify.

In a trial by court-martial, the accused has a unique opportunity to assure that his record is accurate, relevant, timely, and complete as it is made. He has the right to be present at the trial, to be represented by counsel at general and special courts-martial, and to consult with counsel in summary courts-martial, to review and challenge all information before it is introduced into evidence, to cross-examine all witnesses against him, to present evidence in his behalf and in general and special courts-martial, to review