writing, of the reason for the delay, and the approximate date on which the review will be completed and the final determination made.

(ii) If, upon completion of review, the reviewing official determines that denial of the request for amendment is warranted under the criteria in paragraph (d)(1) of this section, the individual shall be informed, in writing:

(A) Of the final denial of the request for amendment of the record, and the reason(s) therefor;

(B) Of the right to file with the appropriate system manager a concise statement of its individual's reason(s) for disagreeing with the decision of the agency, and that such statement of dispute must be received by the system manager within 120 days following the date of the reviewing authority's final determination;

(C) of other procedures for filing such statement of dispute, and that a properly filed statement of dispute will be made available to anyone to whom the record is subsequently disclosed, together with, if deemed appropriate, a brief statement summarizing the reason(s) why the Department of the Navy refused the request to amend the record;

(D) That prior recipients of the disputed record will be provided a copy of the statement of dispute, to the extent that the prior recipients can be ascertained from disclosure accountings which have been maintained; and

(E) Of his right to seek judicial review of the reviewing authority's refusal to amend a record.

(iii) If the reviewing official determines upon review that the request for amendment of the record should be granted, he shall inform the requesting individual of the determination, in writing, and he shall direct the system manager to amend the record accordingly, and to inform previous recipients of the record for whom disclosure accountings have been made that the record has been amended and the substance of the correction.

(iv) Statements of dispute. When an individual properly files a statement of dispute under the provisions of paragraph (d)(4) (ii) and (iii) of this section, the system manager shall clearly annotate the record so that the

dispute is apparent to anyone who may subsequently access, use, or disclose it. The notation itself should be integral to the record. For automated systems of records, the notation may consist of a special indicator on the entire record or on the specific part of the record in dispute. The system manager shall advise previous recipients of the record for whom accounting disclosure has been made that the record has been disputed, if the statement of dispute is germane to the information disclosed, and shall provide a copy of the individual's statement.

(A) The individual's statement of dispute need not be filed as an integral part of the record to which it pertains. It shall, however, be maintained in such a manner as to permit ready retrieval whenever the disputed portion of the record is to be disclosed. When information which is the subject of a statement of dispute is subsequently disclosed, the system manager shall note that the information is disputed, and provide a copy of the individual's statement of dispute.

(B) The system manager may include a brief summary of the reasons for not making an amendment when disclosing disputed information. Summaries normally will be limited to the reasons stated to the individual. Although these summaries may be treated as a part of the individual's record, they will not be subject to the amendment procedures of this paragraph.

8701.107 Disclosure to others and disclosure accounting.

(a) Summary of requirements. Subsection (b) of 5 U.S.C. 552a prohibits an agency from disclosing any record contained in a system of records to any person or agency, except pursuant to the written request or consent of the individual to whom the record pertains, unless the disclosure is authorized under one or more of the 11 exceptions noted in paragraph (b) of this section. Subsection (i)(1) of 5 U.S.C. 552a prescribes criminal penalties for personnel who knowingly and willfully make unauthorized disclosures of information about individuals from an agency's records. Subsection (c) of 5 U.S.C. 552a requires accurate account

ings to be kept, as prescribed in paragraph (c) of this section in connection with most disclosures of a record pertaining to an individual (including disclosures made pursuant to the individual's request or consent). This is to permit the individual to determine what agencies or persons have been provided information from the record, enable the agency to advise prior recipients of the record of any subsequent amendments or statements of dispute concerning the record, and provide an audit trail for review for the agency's compliance with 5 U.S.C. 552a.

No

(b) Conditions of disclosure. record contained in a system of records shall be disclosed, except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains, unless disclosure of the record falls within one of the exceptions specified below. Disclosure to third parties on the basis of the written consent or request of the individual is permitted, but not required, by this subpart.

(1) Intra-agency. Disclosure may be made to personnel of the Department of the Navy or other component of DoD (including private contractor personnel who are engaged to perform services needed in connection with the operation of a system of records for a DoD component), who have a need for the record in the performance of their duties, provided this use is compatible with the purpose for which the record is maintained. This provision is based on the "need to know" concept.

(i) This may include, for example, disclosure to personnel managers, review boards, discipline officers, court-martial personnel, medical officers, investigating officers, and representatives of the Judge Advocate General, Auditor General, Naval Inspector General, or the Naval Investigative Service, who require the information in order to discharge their official duties. Examples of personnel outside the Navy who may be included are: Personnel of the Joint Chiefs of Staff, Armed Forces Entrance and Examining Stations, Defense Investigative Service, or the other military departments, who require the information in order to discharge an official duty.

(ii) It may also include a transfer of records between naval components and non-DoD agencies in connection with the Personnel Exchange Progran (PEP) and interagency support agreements. Disclosure accountings are not required for intra-agency disclosure and disclosures made in connection with interagency support agreements or the PEP. Although some disclosures authorized by this paragraph might also meet the criteria for disclosure under other exceptions specified in the following paragraphs, they should be treated under paragraph (d)(1) of this section for disclosure accounting purposes.

(2) Freedom of Information Act. Disclosure may be made of those records, or information obtained from the records, required to be released under the provisions of the Freedom of Information Act and 32 CFR Part 701, Subparts A-D. That act has the general effect of requiring the release of any record which does not fall within one of the nine exemptions specified in § 701.5(b)(4)(ii), including an exemption for records which, if disclosed, would result in a clearly unwarranted invasion of the personal privacy of an individual. Examples of information pertaining to military personnel which is normally released are: Name, rank or rate, date of rank, amounts of pay an allowances included in gross compensation, duty status, present and past duty stations, duty station address, finalized future duty station, office phone number, source of commission, military and civilian educational level, and promotion sequence number. Similar examples pertaining to civilian employees are: name, grade, duty station, date of employment, title or position, gross salary, office phone number, and office address. The information specified in the above examples may be provided without requiring a written request. For guidelines concerning disclosure of other items of information pertaining to individuals, see 32 CFR Part 701, Subpart B. Disclosure accountings are not required for disclosures made under the Freedom of Information Act.

(3) Routine use. Disclosure may be made for a "routine use" (as defined in

§ 701.105(f)) that is compatible with the purpose for which the record is collected and listed as a routine use in the applicable record system notice published in the FEDERAL REGISTER in accordance with § 701.108 of this subpart. The routine uses listed in the applicable record system notice, rather than those listed in the applicable Privacy Act statement, are controlling, although the lists should be similar. Disclosure accountings are required for disclosures made pursuant to a routine

use.

(4) Bureau of the Census. Disclosure may be made to the Bureau of the Census for purposes of planning or carrying out a census or survey or related activity authorized by law. Disclosure accountings are required for disclosures made to the Bureau of the Census.

(5) Statistical research or reporting. Disclosure may be made to a recipient who has provided adequate written assurance that the record will be used solely as a statistical research or reporting record, provided the record is transferred in a form that is not individually identifiable (i.e., the identity of the individual cannot be deduced by tabulation or other methodology). The written request must state the purpose of the request, and will be made a part of the activity's accounting for the disclosure. Accountings are not required when activities publish gross statistics concerning a population in a system of records (e.g., statistics on employee turnover rates, military reenlistment rates, and sick leave usage rates).

(6) National Archives. Disclosure may be made to the National Archives when the record has sufficient historical or other value to warrant continued preservation by the U.S. Government, or for evaluation by the Administrator of General Services or his designee to determine whether the record has such value. Records transferred to a federal records center for storage or safekeeping do not fall under this provision. Such transfers are not considered disclosures under this act, since the records remain under the control of the transferring element. Accounting is not required for transfers of records to federal records centers. Disclosure accountings are required for

disclosures made to the National Archives.

(7) Civil or criminal law enforcement activity. Disclosure may be made to another agency or instrumentality of any governmental jurisdiction within or under the control of the United States, for a civil or criminal law enforcement activity, if the activity is authorized by law, and if the head of the agency or instrumentality has made a written request to the activity which maintains the record, specifying the particular record desired and the law enforcement purpose for which the record is sought. The head of the agency or instrumentality may have delegated authority to request records to other officials. Requests by these designated officials shall be honored if they provide satisfactory evidence of their authorization to request records. Blanket requests for all records pertaining to an individual shall not be honored. A record may also be disclosed to a law enforcement activity, provided that such disclosure has been established as a “routine use" in the published record system notice. Disclosure to foreign law enforcement agencies is not covered under the provisions of this paragraph. Such disclosures may be made only pursuant to an established "routine use" published in the record system notice or pursuant to other governing authority. Disclosure accountings are required for disclosures to civil or criminal law enforcement agencies.

(8) Emergency conditions. Disclosure may be made under emergency conditions involving compelling circumstances affecting the health and safety of a person, provided that notification of the disclosure is transmitted to the last known address of the individual to whom the record pertains. For example, an activity may disclose records when the time required to obtain the consent of the inIdividual to whom the record pertains might result in a delay which could impair the health or safety of a person. The individual about whom the records are disclosed need not necessarily be the individual whose health or safety is in peril (e.g., release of dental charts on several individuals

in order to identify a person injured in an accident). In instances where information under alleged emergency conditions is requested by telephone, an attempt will be made to verify the inquirer's and medical facility's identities and the caller's telephone numnber. The requested information, if then considered appropriate and of an emergency nature, may be provided by return call. Disclosure accountings are required for disclosures made under emergency conditions.

(9) Congress and Members of Congress. Disclosure may be made to either House of Congress, or, to the extent of matters within its jurisdiction, to any committee or subcommittee thereof, or to any joint committee of Congress or subcommittee thereof. Disclosure may not be made, howerver, to a Member of Congress requesting in his individual capacity or on behalf of a constituent, except in accordance with the following rules:

(i) Upon receipt of an oral or written request from a Member of Congress or his staff, inquiry should be made as to the identity of the originator of the request. If the request was prompted by a request for assistance by the individual to whom the record pertains, the requested information may be disclosed to the requesting Congressional office.

(ii) If the request was originated by a person other than the individual to whom the record pertains, the Congressional office must be informed that the requested information cannot be disclosed without the written consent of the individual to whom the record pertains. If the Congressional office subsequently states that it has received a request for assistance from the individual or has obtained the individual's written consent for disclosure to that office, the requested information may be disclosed.

(iii) If the Congressional office requests the Department of the Navy to obtain the consent of the individual to whom the record pertains, that office should be infomed that it is the policy of the Department not to interfere in the relationship of a Member of Congress and his constituent, and that the Department therefore does not con

tact an individual who is the subject of a congressional inquiry.

(iv) If the Congressional office insists, an attempt should be made to secure the written consent of the individual to whom the record pertains. If neither the congressional office nor the Department of the Navy obtains the individual's written consent, only information required to be released under the Freedom of Information Act and 32 CFR Part 701, Subparts A-D should be disclosed. (See paragraph (b)(2) of this section).

Disclosure accountings are required for disclosures made to Congress or Members of Congress, except nonconsensual disclosures pursuant to the Freedom of Information Act provided for in paragraph (b)(9)(iv) of this section.

(10) Comptroller General. Disclosure may be made to the Comptroller General of the United States, or to any of his authorized representatives, in the course of the performance of the duties of the General Accounting Office. See § 701.103(a)(3), of this part, and SECNAVINST 5741.2E. Disclosure accountings are required for disclosures to the Comptroller General or General Accounting Office.

(11) Court of competent jurisdiction. Disclosure may be made in response to an order from a court of competent jurisdiction, subject to the following provisions:

(i) When a record is disclosed under compulsory legal process, and the issuance of that order is made public by the court which issued it, activities shall make reasonable efforts to notify the individual to whom the record pertains of the disclosure and the nature of the information provided. This requirement may be satisfied by notifying the individual by mail at the last known address contained in the activity records. Disclosure accountings are required for disclosures made pursuant to court orders.

(ii) Upon being served with an order which is not a matter of public record, an activity shall seek to be advised as to when it will become public. An accounting for the disclosure shall be made at the time the activity complies with the order, but neither the identi

ty of the party to whom the disclosure was made nor the purpose of the disclosure shall be made available to the concerned individual unless the court order has become a matter of public record.

(c) Disclosure accountings—(1) Responsibilities. With respect to a disclosure of a record which it maintains in a system of records, each activity is responsible for keeping an accurate accounting of the date, nature, and purpose of the disclosure, and the name and address of the person or agency to whom the disclosure is made. When disclosure is made by an activity other than the activity that is responsible for maintaining the record, the activity making the disclosure is responsible for giving written notification of the above information to the activity responsible for maintaining the record, to enable the latter activity to keep the required disclosure accounting.

(2) Disclosures for which accountings are required. A disclosure accounting is required for all disclosures of records maintained in a system of records, except: Intra-agency disclosures pursuant to paragraph 701.107(b)(1) of this section; Freedom of Information Act disclosures pursuant to paragraphs (b) (2) or (9)(iv) of this section; or if they involve gross statistics covering a population of a system of records, and identification of individuals is not possible, disclosures for statistical research or reporting purposes pursuant to paragraph (b)(5) of this section. A disclosure accounting is required for a disclosure made to another person or agency pursuant to the request or consent of the individual to whom to record pertains. (There is no requirement for keeping an accounting for disclosures of disclosure accountings.)

(3) Accounting method. Since the characteristics of various records maintained within the Department of the Navy vary widely, no uniform method for keeping disclosure accountings is prescribed. For most paper records, it may be suitable to maintain the accountings on a recordby-record basis, physically affixed to the records. The primary criteria are that the selected method be one which will:

(i) Enable an individual to ascertain what persons or agencies have received disclosures pertaining to him;

(ii) Provide a basis for informing recipients of subsequent amendments or statements of dispute concerning the record; and

(iii) Provide a means to prove, if necessary, that the activity has complied with the requirements of 5 U.S.C. 552a and this subpart.

(4) Retention of accounting record. A disclosure accounting, if one is required, shall be maintained for the life of the record to which the disclosure pertains, or for at least five years after the date of the disclosure for which the accounting is made, whichever is longer.

(5) Accounting to the individual. Unless an applicable exemption has been exercised, system managers or other appropriate custodial officials shall provide all information in the disclosure accounting to an individual requesting such information concerning his records, except entries pertaining to disclosures made pursuant to paragraph (b)(1)(ii) of this section, and disclosures made at the written request of the head of another agency or government instrumentality for law enforcement purposes under paragraph (b)(7) of this section. Activities should maintain the accounting of the latter two types of disclosures in such a manner that the notations are readily segregable, to preclude improper release to the individual. The process of making the accounting available may also require transformation of the data in order to make it comprehensible to the individual. Requests for disclosure accountings otherwise available to the individual may not be denied unless a denial authority (or the designated review authority) has exercised an applicable exemption and denied the request, and then only when it has been determined that denial of the request would serve a significant and legitimate Government purpose (e.g., avoid interferring with an ongoing law enforcement investigation). System managers, denial authorities, and the designated review authority shall follow appropriate procedures prescribed in § 701.106(b), to exercise an exemption, to deny a re