§ 298a.8 Request for correction or amendment.

(a) General. Upon request and proper identification by any individual who has been granted access to DIS records pertaining to himself or herself, that individual may request, either in person or through the mail, that the record be amended. Such a request must be made in writing and addressed to the Assistant for Information, Defense Investigative Service (Record Amendment RequestD0020), Washington, DC 20314.

(b) Content. The following information must be included to insure effective action on the request:

(1) Description of the record. Requesters should specify the number of pages and documents, the titles of the documents, form numbers if there are any, dates on the documents and names of individuals who signed them. Any reasonable description of the document is acceptable.

(2) Description of the items to be amended. The description of the passages, pages or documents to be amended should be as clear and specific as possible.

(i) Page, line and paragraph numbers should be cited where they exist.

(ii) A direct quotation of all or a portion of the passage may be made if it isn't otherwise easily identifiable. If the passage is long, a quotation of its beginning and end will suffice.

(iii) In appropriate cases, a simple substantive request may be appropriate, e.g., "delete all references to my alleged arrest in July 1970."

(iv) If the requester has received a copy of the record, he may submit an annotated copy of documents he wishes amended.

(3) Type of amendment. The requester must clearly state the type of amendment he is requesting.

(i) Deletion or expungement, i.e., a complete removal from the record of data, sentences, passages, paragraphs or documents.

(ii) Correction of the information in the record to make it more accurate, e.g., rectify mistaken identities, dates, data pertaining to the individual, etc.

(iii) Additions to make the record more relevant, accurate or timely may be requested.

(iv) Other changes may be requested; they must be specifically and clearly described.

(4) Reason for amendment. Requests for amendment must be based on specific

reasons, included in writing. Categories of reasons are as follows:

(i) Accuracy. Amendment may be requested where matters of fact are believed incorrectly recorded, e.g., dates, names, addresses, identification numbers, or any other information concerning the individual. The request, whenever possible, should contain the accurate information, copies of verifying documents, or indication of how the information can be verified.

(ii) Relevance. Amendment may be requested when information in a record is believed not to be relevant or necessary to the purposes of the record system. (See DOD FEDERAL REGISTER Descriptions. )

(iii) Timeliness. Amendment may be requested when information is thought to be so old as to no longer be pertinent to the stated purposes of the records system. It may also be requested when there is recent information of a pertinent type that is not included in the record.

(iv) Completeness. Amendment may be requested where information in a record is incomplete with respect to its purpose. The data thought to have been omitted should be included or identified with the request.

(v) Fairness. Amendment may be requested when a record is thought to be unfair concerning the subject, in terms of the stated purposes of the record. In such cases, a source of additional information to increase the fairness of the record should be identified where possible.

(vi) Other reasons. Reasons for requesting amendment are not limited to those cited above. The content of the records is authorized in terms of their stated purposes which should be the basis for evaluating them. However, any matter believed appropriate may be submitted as a basis of an amendment request.

(vii) Court orders and statutes may require amendment of a file. While they do not require a Privacy Act request for execution, such may be brought to the attention of DIS by these procedures.

(c) Verification of identity. In order to assure that an individual's record is not accidentally or intentionally amended by an unauthorized person, all requests for amendment require verification of identity. (See § 298a.5.)

(d) Assistance. Individuals seeking to request amendment of records pertaining to themselves that are maintained

by DIS will be assisted as necessary by DIS officials. Where a request is incomplete, it will not be denied, but the requester will be contacted for the additional information necessary to his request.

(e) This section does not permit the alteration of evidence presented to courts, boards and other official proceedings.

§ 298a.9 DIS review of request for amendment.

(a) General. Upon receipt from any individual of a request to amend a record pertaining to himself and maintained by DIS, the Assistant for Information will refer such request to the responsible office. Such request will be handled in close compliance with enclosure 4 to DOD Directive 5400.11, and the following accomplished:

(1) A written acknowledgment of the receipt of a request for amendment of a record will be provided to the individual within 10 working days, unless final action regarding approval or denial can be accomplished within that time. In that case, the notification of approval or denial will constitute adequate acknowledgment.

(2) Where there is a determination to grant all or a portion of a request to amend a record, the record shall be promptly amended and the requesting individual notified. Individuals, agencies or components shown by accounting records to have received copies of the record, or to whom disclosure has been made, will be notified of the amendment by the responsible official. Where a DOD recipient of an investigative record cannot be located, the notification will be sent to the personnel security element of the parent Component.

(3) Where there is a determination to deny all or a portion of a request to amend a record, the office will promptly: (i) Advise the requesting individual of the specifics of the refusal and the

reasons;

(ii) Inform the individual that he may request a review of the denial(s) from "Director, Defense Investigative Service (Record Amendment Denial Review), D0030, Washington, DC 20314." The request should be brief, in writing, and enclose a copy of the denial correspondence. (b) DIS Determination to Approve or Deny. Determination to approve or deny any request to amend a record, or portion thereof, will be made by the re

sponsible official following regular coordination procedures. Such determinations must be based on the information in the record, the request for amendment and the authorized purposes of the record. Where necessary, additional investigation or inquiry will be made to verify assertions of individuals requesting amendment. Coordination will be made with the Assistant for Information (D0020) and the Assistant for Legal Affairs (D0030) in such actions.

§ 298a.10 Appeal of initial amendment decision.

(a) General. Upon receipt from any individual of an appeal to review a DIS refusal to amend a record, the Assistant for Legal Affairs will assure that such appeal is handled in compliance with the Privacy Act of 1974 and DOD Directive 5400.11 and accomplish the following:

(1) Review the record, request for amendment, DIS action on the request and the denial, and direct such additional inquiry or investigation as is deemed necessary to make a fair and equitable determination.

(2) Recommend to the Director whether to approve or deny the appeal. (3) If the determination is made to amend a record, advise the individual and previous recipients (or an appropriate office) where an accounting of disclosures has been made.

(4) Where the decision has been made to deny the individual's appeal to amend a record, notify the individual:

(i) of the denial and the reason;

(ii) of his right to file a concise statement of reasons for disagreeing with the decision not to amend the record;

(iii) That such statement may be sent to the Assistant for Legal Affairs, DIS (D0030), Washington, DC 20314, and that it will be disclosed to users of the disputed record;

(iv) That prior recipients of the disputed record will be provided a copy of the statement of disagreement, or if they cannot be reached (e.g., through deactivation) the personnel security element of their DOD component

(v) And, that he may file a suit in a Federal District Court to contest DIS's decision not to amend the disputed record.

(b) Time limit for review of appeal. If the review of an appeal of a refusal to amend a record cannot be accomplished

within 30 days, the Assistant for Legal Affairs will notify the individual and advise him of the reasons, and inform him of when he may expect the review to be completed. § 298a.11 ject.

Disclosure to other than sub

(a) General. No record contained in a system of records maintained by DIS shall be disclosed by any means to any person or agency outside the Department of Defense, except with the written consent or request of the individual subject of the record, except as provided in this section. Disclosures that may be made without the request or consent of the subject of the record are as follows:

(1) To those officials and employees of the Department of Defense who have a need for the record in the performance of their duties, when the use is compatible with the stated purposes for which the record is maintained.

(2) Required to be disclosed by the Freedom of Information Act.

(3) For a routine use as described in DOD Directive 5400.11 and DOD publication in the FEDERAL REGISTER.

(4) To the Census Bureau, National Archives, the U.S. Congress, the Comptroller General or General Accounting Office under the conditions specified in DOD Directive 5400.11.

(5) At the written request of the head of an agency outside DOD for a law enforcement activity as authorized by DOD Directive 5400.11.

(6) For statistical purposes, in response to a court order, or for compelling circumstances affecting the health or safety of an indvidual as described in DOD Directive 5400.11.

(7) Legal guardians recognized by the Act.

(b) Accounting of disclosures. Except for disclosures made to members of the DOD in connection with their routine duties, and disclosures required by the Freedom of Information Act, an accounting will be kept of all disclosures of records maintained in DIS systems listed in § 298a.4b. An accounting will be kept of all disclosures of investigative information, system DIS 5-01.

(1) Accounting entries will normally be kept on a DIS form, which will be maintained in the record file jacket, or in a document that is part of the record.

(2) Accounting entries will record the date, nature and purpose of each disclosure, and the name and address of

(a) An individual may bring a civil action against the DIS to correct or amend the record, or where there is a refusal to comply with an individual request or failure to maintain any record with accuracy, relevance, timeliness and completeness, so as to guarantee fairness, or failure to comply with any other provision of 5 U.S.C. 552a. The court may order correction or amendment. It may assess against the United States reasonable attorney fees and other costs, or may enjoin the DIS from withholding the records and order the production to the complainant.

(b) Where it is determined that the action was willful or intentional with respect to 5 U.S.C. 552a (g) (1) (C) or (D), the United States shall be liable for the actual damages sustained, but in no case less than the sum of $1,000 and the costs of the action with attorney fees.

(c) Criminal penalties may be imposed against an officer or employee of the DIS who fully discloses material, which he knows is prohibited from disclosure, or who willfully maintains a system of records without the notice requirements; or against any person who knowingly and willfully requests or obtains any record concerning an individual from an agency

under false pretenses. These offenses shall be misdemeanors with a fine not to exceed $5,000.

§ 298a.14 Exemptions.

(a) General. The Director of the Defense Investigative Service establishes the following exemptions of records systems (or portions thereof) from the provisions of these rules, and other indicated portions of Pub. L. 93-579, in this section. They may be exercised only by the Director of the DIS, his Assistant for Information, Assistant for Legal Affairs, Director of Operational Policy, or Director of Personnel. Exemptions will be exercised only when necessary for a specific, significant and legitimate reason connected with the purpose of a records system, and not simply because they are authorized by statute. Personal records releasable under the provisions of 5 U.S.C. 552 will not be withheld from subject individuals based on these exemptions.

(b) All systems of records maintained by DIS shall be exempt from the requirements of 5 U.S.C. 552a(d) pursuant to 5 U.S.C. 552a (k) (1) to the extent that the system contains any information properly classified under Executive Order 11652 and which is required by the Executive Order to be withheld in the interest of national defense or foreign policy. This exemption, which may be applicable to parts of all systems of records, is necessary because certain record systems not otherwise specifically designated for exemptions herein may contain items of information that have been properly classified.

(3)

(c) Investigative files—DIS 5-01. (1) Exemption. 5 U.S.C. 552a (c) and (4); (d); (e) (1), (2), (3), (5) and (8); (g); and (o);

(2) Authority. 5 U.S.C. 552a(j) (2); (3) Reasons. Records maintained by, or at the direction of the DIS Special Cases Division include criminal investigations for which DIS has primary responsibility and certain reports and reciprocal investigations,s well as security or counterintelligence information, which may be used in criminal prosecution. The withholding of this information will be to the extent necessary to allow the DIS Special Cases Division, a criminal law enforcement component, to conduct effective investigations into alleged unlawful activity, or crime conducive situations, without jeopardizing such investigations. Knowledge of the investi

58-112-76- 49

gations of the Special Cases Division would enable subjects or suspects to take actions to prevent detection of criminal activities, fabricate evidence, influence witnesses improperly, conceal or destroy evidence, or to escape prosecution. It could also lead to intimidation of, or harm to, sources, informants, witnesses and their families. Information from this system will be withheld only to the extent that its release would interfere with such investigations.

(d) Investigative files—DIS 5–01.

(1) Exemption. 5 U.S.C. 552a(c)(3); (d); (e) (1) and (4) (G) (H) and (I); (f);

(2) Authority. 5 U.S.C. 552a(k) (2);

(3) Reasons. This exemption will permit the DIS to conduct certain law enforcement investigations effectively, and without compromise, to relay law enforcement information without compromise, and to protect the identities of sources who would not otherwise provide information. Investigatory material, including certain reciprocal investigations and counterintelligence information, must be exempted until such time action is taken regarding the allegations, but after that time only to the extent that the information would identify a confidential source who furnished information under an express promise that the source's identity would be held in confidence (or prior to the effective date of the Act, under an implied promise).

(e) Investigative files—DIS 5–01.

(1) Exemption. 5 U.S.C. 552a(c) (3); (d;) (e) (1) and (4) (G), (H) and (I); (f);

(2) Authority. 5 U.S.C. 552a(k) (3);

(3) Reasons. DIS investigatory material exempted under this authority is maintained in connection with assisting the US Secret Service (USSS) to provide protective services to the President of the United States and other individuals pursuant to 18 U.S.C. 3056. This exemption provision will enable the DIS to continue its statutory support of this activity without compromising the contents of Secret Service intelligence files or DIS investigative activities.

(f) Investigative files-DIS 5-01. (1) Exemption. 5 U.S.C. 552a(c) (3); (d) and (f);

(2) Authority. 5 U.S.C. 552a(k) (5); (3) Reasons. Personnel security investigatory material is exempt to the extent that the disclosure of such material would reveal the identity of a source who furnished information under an ex

press promise that the source's identity would be held in confidence (or prior to the effective date of the Act, under an implied promise). This exemption provision will allow the DIS to collect information necessary for personnel security investigations from certain sources who would otherwise be unwilling to provide it. This exemption will be applied only in those cases where it is clearly necessary to grant confidentiality for the performance of an authorized investigative function.

(g) Defense central index of investigations DCII-DIS 5-02.

(1) Exemption. 5 U.S.C. 522a (c) (3) and (4); (d); and (e) (8).

(2) Authority. 5 U.S.C. 552a(j) (2). (3) Reasons. This exemption will allow contributing criminal law enforcement components to conduct effective investigations into alleged unlawful activity or crime conducive situations and use the DCII without jeopardizing such investigations. The disclosure of investigations conducted by criminal law enforcement components would enable subjects or suspect individuals to take actions to prevent detection of criminal activities, destroy or fabricate evidence, intimidate or interfere with witnesses, or take action to escape prosecution. Information from this system will be withheld only to the extent that its release would interfere with such investigations.

(h) Defense case control system (DCCS)-DIS 5-04.

(1) Exemption. 5 U.S.C. 552a (c) (3) (4); (d) and (e) (8).

(2) Authority. 5 U.S.C. 552a(j) (2).

(3) Reasons. This exemption will allow the DIS Special Cases Division, a criminal law enforcement element to conduct effective investigations into alleged unlawful activity or crime conducive situations and use the DCCS without jeopardizing such investigations. The disclosure of investigations conducted by the Special Cases Division would enable subjects to take actions to prevent detection of criminal activities, fabricate or destroy evidence, intimidate witnesses or to escape prosecution. Information from this system will be withheld only to the extent that its release would interfere with such investigations. § 298a.15 DIS implementation policies.

(a) General. The implementation of the Privacy Act of 1974 within DIS is as prescribed by DOD Directive 5400.11. This section provides special rules and infor

mation that extend or amplify DOD policies with respect to matters of particular concern to the Defense Investigative Service.

(b) Privacy Act rules application. Any request concerning personal record information in a system of records, by the individual to whom such information pertains, for access, amendment, correction, accounting of disclosures, etc., will be governed by the Privacy Act of 1974, DOD Directive 5400.11 and these rules exclusively. Any denial or exemption of all or part of a record from notification, access, disclosure, amendment or other provision, will also be processed under these rules, unless court order or other competent authority directs.

(c) Amendment of DIS directives. Upon final adoption of these rules, responsible DIS officials shall review all existing doctrine, policy and procedures in all DIS instructions, regulations and directives, and bring them into compliance with these rules, The Privacy Act of 1974 and DOD Directive 5400.11.

(d) First amendment rights. No DIS official or element may maintain any information pertaining to the exercise by an individual of his rights under the First Amendment without the permission of that individual unless such collection is specifically authorized by statute or necessary to and within the scope of an authorized law enforcement activity.

(e) Standards of accuracy and validation of records.

(1) All individuals or elements within DIS which create or maintain records pertaining to individuals will insure that they are reasonably accurate, relevant, timely and complete to serve the purpose for which they are maintained and to assure fairness to the individual to whom they pertain. Information that is not pertinent to a stated purpose of a system of records will not be maintained within those records. Officials compiling investigatory records will make every reasonable effort to assure that only reports that are impartial, clear, accurate, complete, fair and relevant with respect to the authorized purpose of such records are included, and that reports not meeting these standards or serving such purposes are not included in such records.

(2) Prior to dissemination to an individual or agency outside DOD of any record about an individual (except for a Freedom of Information Act action or access by a subject individual under these rules) the disclosing DIS official will by