ATTACHMENT 3

NAVY CIVILIAN PERSONNEL INSTRUCTIONS

4-6. REQUESTS FOR INFORMATION FROM PERSONNEL RECORDS

D. GENERAL

Information from an employee's personnel records may not be disclosed to persons other than authorized Federal officials without the employee's consent except as provided in NCPI 290.4-7 and as follows:

(1) Pertinent facts concerning an individual's employment may be given to State or local agencies, or prospective employers, when there is a legitimate reason for their receiving such information. To prospective employers it is customary to give confirmation of employment, salary, and home address when the request is made in writing, or in person, by an agency presenting proper credentials. (2) Information regarding security matters is to be furnished in accordance with NCPI 732.

(3) Information requested by court order, or relating to death, personal injury, loss or property damage, whether or not litigation is involved, may be produced in accordance with Sections 1320, 1321 and 1330 of the JAG Manual.

(4) Tax authorities, retail and credit establishments, and others having legitimate reason for the request, may upon presentation of proper credentials be given information concerning individual employees. This should normally be limited to status, tenure, and verification of salary. Tax authorities may also be given an employee's home address.

4-7. FURNISHING LISTS OF CIVILIAN EMPLOYEES' NAMES, SALARIES, OFFICIAL TITLES AND STATIONS

A. POLICY

In order that the public may be fully informed of the activities of the Department of Defense, it is the policy of the Department, stated in DoD Instruction 5410.8 of 5 February 1957, to release personnel information to the maximum extent consistent with the guides outlined in b below.

B. GUIDES

In determining whether a personnel list can be furnished in response to a specific request, the following factors should be considered:

(1) Whether the request is by the Congress or otherwise on behalf of the public;

(2) Whether the list can be furnished without undue interruption of work; (3) Whether any of the information requested constitutes classified defense information or otherwise requires protection in the public interest pursuant to law; see also NCPI 732.2–10;

(4) Whether the employees so listed would be benefited or disadvantaged; (5) Whether or not the list is to be used for the purpose of political solicitation. Requests clearly on behalf of the public should be granted even though some interruption of work might be involved and even though employees would not be benefited. Lists for private purposes should be furnished only if this can be be done without undue interruption of work and if employees would not be disadvantaged by being listed.

C. EXAMPLES

Examples of guides applied to specific request for lists of employee names, salaries, official title and stations are:

(1) From Congressmen or congressional committees

Information should be furnished promptly, if furnishing lists precisely as requested would entail undue cost, this should be reported to the requester along with suggestions of any possible alternatives that would be helpful but more economical.

(2) From the press and other information media on behalf of the public

Information should be furnished if it is available without undue interruption of regular work.

(3) From colleges, correspondence schools and other educational institutions

When it is desirable to encourage employees to take outside training and in counseling its employees with regard to available training suitable for their individual needs, appropriate announcements of courses should be distributed This is usually preferable to the alternative of preparing and distributing lists. (4) From organizations such as state societies and other non-profit organizations

In general, it should be the policy to furnish lists of personnel to such organizations only when some specific benefit is to be received by the employees and if undue interruption of work would not be involved.

(5) From commercial firms and individual solicitors

Such requests must ordinarily be refused. Exceptions should be made only when they can be granted with negligible interruption of regular work and without adverse effect upon individual employees. In response to requests such as those listed above, information will be furnished about employees in the work situation. However, their home addresses will ordinarily not be included along with the basic personnel data. An exception will be made if a Congressional request should ask inclusion of addresses or if an important community-wide purpose would be served compatibility with other interests of the Department.

D. RESTRICTIONS

It is not permissible to furnish the names and addresses of employees for the purpose of political solicitation. Lists of names of employees in foreign areas will not be furnished the public when release of such names will be inimical to the interests of the United States. See also NCPI 721.

E. FLEXIBLE APPLICATION OF THE GUIDES

Due to the wide range of problems of size, available staff, security requirements, competing demands for existing resources at a given time, and other variables, guides for response to requests must remain flexible and responses to similar requests may be different if circumstances are different. The examples in c above, however, are intended to illustrate typical responses to different kinds of requests.

F. REIMBURSEMENT

The furnishing of requested information pursuant to the provisions of c above, except in the case of (1) thereunder, will be on a reimbursable basis in accordance with the provisions of paragraph 035887 of the NavCompt Manual. As provided by subparagraph 3(20) therein, it may be administratively determined that a charge would be inappropriate for requests for information which are occasional and incidental, not of a type that is frequently requested.

ATTACHMENT 4

DEPARTMENT OF THE NAVY,
OFFICE OF THE SECRETARY,
Washington, D.C., October 10, 1969

SECNAV NOTICE 12713

From. Secretary of the Navy

To.-All Navy and Marine Corps activities employing civilians (except activities in Hawaii and Puerto Rico)

Subject.-Automated Procedures for Minority Group Statistics

Reference. (a) FPM Letter No. 713-13 of 4 Sep 1969, Subj: Amendments to Equal Employment Opportunity Regulations (b) FPM Letter No. 290-2 of 30 Sep 1969, Subj: Automated Procedures for Processing Minority Group Statistics Enclosure. Department of the Navy Minority Group Identification Data Form (2) Punching and Verification Instructions

1. PURPOSE

The purpose of this Notice is to establish the Department of the Navy regulations for minority group identification of individual employees and collection of information for the establishment of an automated records system. The system is

20-550 74 - pt. 2 63

being established to enable statistical analysis of the effectiveness of the Department of the Navy Equal Employment Opportunity Program and to comply with Civil Service Commission reporting requirements.

2. DISCUSSION

Reference (a) authorized the establishment of an automated records system for minority group statistics. Reference (b) imposed specific controls to insure that no improper use will be made of this system. The system provides for identification by supervisors of all minority employees, currently on board, by name and social security number. After the initial process, identification of all new employees will be made by designated appointment officials. Each minority employee's social security number, together with minority group identification, will be recorded in an automated data processing file with no other information. Maintaining any record containing an employee's name with minority identification is prohibited. Also, at no time will any machine output be allowed showing the name and minority identification of any employee. Activities with access to Automated Data Processing (ADP) equipment are being authorized to maintain minority records, but only in accordance with the procedures specified in this Notice.

3. ACTION

a. Initial identification.-Every Navy and Marine Corps activity, except those in Hawaii and the Commonwealth of Puerto Rico, is required to complete an initial minority group identification of all employees, including temporary employees (except foreign nationals outside the United States) as of 30 November 1969. (While only full-time employees will be reported to the Civil Service Commission, identification of part-time and intermittent employees is necessary because of possible future schedule changes to full-time.)

(1) Listings by organizational unit will be prepared, including the name and social security number of every employee in the unit, on a copy of enclosure (1) or a listing showing identical information. Within each unit (or occupation where not feasible for the entire unit) names should be listed alphabetically. Enclosure (1) may be reproduced locally, or a machine listing may be produced. A duplicate copy of all listings will be provided, for control purposes, to the Equal Employment Opportunity Coordinator or other equal employment opportunity official assigned responsibility for the identification program by the head of the activity.

(2) Listings will be forwarded to the supervisor of each organizational unit for identification of each employee with the appropriate code, 1 through 7, described below. The supervisor who makes the identification will circle the number which denotes each employee's group. Supervisors must be instructed not to inquire of any employee as to his race or national origin, but will determine, by visual identification, the appropriate code. The code designations, described below, are necessarily broad and not anthropologically precise; however, they are adequate to meet program needs.

Code

1

2

3

4

5

6

7

Designation

Negro-Persons having visual characteristics of this group and who
are so regarded in the establishment where they work or in the
community where they live.

Spanish American-This group includes persons of Latin-American,
Mexican, Puerto Rican, or Spanish origin or ancestry.

American Indian-Persons who are regarded in the establishment or
community as members of this group.

Oriental-Employees who are regarded in the establishment or community as members of this group, which includes persons of several national origins; e.g., Japanese, Chinese, Filipino, Korean, Polynesians, Indonesians, etc.

Aleut Employment in Alaska—Employees who are regarded as members of this group in the establishment or community.

Eskimo Employment in Alaska-Employees who are regarded as members of this group in the establishment or community.

None of these Employees not otherwise included in the above designations.

(NOTE. Codes 5 and 6 may be blocked out in activities not in Alaska.)

(3) Supervisors are to be specifically prohibited from making copies of listings or from recording race, color or national origin on any other document or record.

Upon completion of the designations of all employees, the identifying supervisor shall place the listing in a sealed envelope and return it to the Equal Employment Opportunity Coordinator or other EEO official designated by the head of the activity.

(4) The Equal Employment Opportunity Coordinator or other EEO official designated by the head of the activity will review each listing to insure that all employees have been identified and will insure that listings for all activity employees are returned. He will physically separate the portion of each sheet containing the names from the portion containing social security numbers and minority group codes. In those activities with access to ADP equipment, he will forward the listings of social security numbers and minority group designations for keypunching, as indicated on enclosure (2).

(5) For those activities with access to ADP equipment, cards will be punched for all employees with Code 1 through 6 designations. Cards will not be punched for employees designated as Code 7. Machine edits will be made to assure validity of social security and minority group identification numbers. The punched cards, together with the source document, will be returned to the activity EEO Coordinator or other EEO official designated by the head of the activity for any further audit he desires to make.

(6) Keypunched cards or listings of social security numbers and minority identification shall be mailed by every activity to the Office of Civilian Manpower Management (Code 062) as early as possible, but no later than 15 December 1969. (NOTE: While the listings or cards to be sent to OCMM must be as of 30 November 1969, activities may conduct the identification program as of an earlier date, if desired, so long as the report is updated to 30 November prior to mailing.) The letter transmitting the cards or listings will give the name and telephone number of the EEO Coordinator or other EEO official assigned responsibility for the identification program by the head of the activity.

b. Establishment and use of activity ADP files.—(1) Activities with access to ADP equipment are hereby authorized to establish their own minority identification file. Such file shall contain only social security numbers and minority identification codes. Strict control of the minority identification file shall be maintained to insure that no unauthorized output is produced.

(2) Output from activity files may be authorized only by the activity EEO Coordinator or by the head of the activity personally, and only for the purpose of analyzing minority employment data. Reports from the minority identification file are to be produced only upon the written authorization by one of these two officials.

(3) Output from the central OCMM ADP file may be authorized only by the Department of the Navy Director of Equal Employment Opportunity or the Head of the Office of Civilian Manpower Management National Social Objectives Branch.

(4) Output must be in the form of gross data only, with no listing of any employee by name. Output will require merging of activity personnel records with the minority identification file. After processing has been completed and requested reports released to the activity head or his EEO Coordinator, the merged file will either be destroyed (degaussing of magnetic tapes is acceptable) or, if subsequent outputs are anticipated, stored under strict control.

c. Update of file data.-(1) The head of each activity shall designate an appointment official to be responsible for insuring that a minority group identification is made on every accession during the appointment process. The official designated shall be responsible for providing minority identification, monthly, on every accession to the Equal Employment Opportunity Coordinator or other EEO official designated by the head of the activity. This will be done by listing all accessions on a copy of enclosure (1), with social security number and minority group code identification. Review (and processing as indicated in paragraph 3a (4) above), and card punching by activities with ADP capability, will be promptly completed and listings or cards forwarded to the Office of Civilian Manpower Management (Code 062) by the 15th of each month.

(2) Activity ADP files may be purged of separated employees by processing SF 50's through the file or by periodic matching of activity personnel records with the minority identification file. The central file will be purged through separations reported to the PADS system.

d. Additional information.-Any questions concerning the procedures prescribed by this Notice should be referred to Mr. H. W. Boyles, Head of the Office of Civilian Manpower Management National Social Objectives Branch (OCMM, Code 031). His telephone number is Oxford 48793 or Autovon 22-48793.

e. Report Control Symbol.-The reporting requirement in this Notice has been assigned Report Control Symbol CSC-OCMM 12280-17.

4. CANCELLATION.

This Notice will be canceled when its contents are incorporated into permanent Department of the Navy Instructions and for record purposes on 30 June 1970. JAMES D. HITTLE,

Assistant Secretary of the Navy (Manpower and Reserve Affairs).

Subpart 4-U.S. Marine Corps

Subcommittee Analysis

The U.S. Marine Corps maintains six data storage systems that come within the scope of this survey.

The U.S. Marine Corps response is complete in every respect. Procedural manuals submitted along with the answers to the survey questionnaire, provide detailed descriptions of the data collected, methods of collection, mechanisms for review, and the degree of computerization of the systems.

The response is dated August 27, 1970. At the time of the response, the MMS/JUMPS system was in the process of replacing the PAS system. This change-over should now be complete.

Portions of the manuals that describe purely mechanical operations of data input have been omitted. Also omitted is material that was duplicated in other sections of the operational manuals.

III. Comments

A. Statutory Authority

Personnel files data banks A, B, C, D and E are maintained under authority of the Commandant of the Marine Corps, by direction of