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or to decide whether discretionary release is appropriate.

(1) Information in a technical document that requires a distribution statement per AFI 61-204, Controlling the Distribution of Classified and Unclassified Scientific and Technical Information (formerly AFR 80-30), must show that statement. The originator may also mark the information FOUO, if appropriate.

(2) Mark an unclassified document containing FOUO information “For Official Use Only” at the bottom, on the outside of the front cover (if any), on each page containing FOUO information, on the back page, and on the outside of the back cover (if any).

(3) In unclassified documents, the originator may also mark individual paragraphs that contain FOUO information to alert users and assist in review.

(4) In a classified document, mark:

(i) An individual paragraph that contains FOUO, but not classified information, by placing “(FOUO)" at the beginning of the paragraph.

(ii) The top and bottom of each page that has both FOUO and classified information, with the highest security classification of information on that page.

(iii) “FOUO" at the bottom of each page that has FOUO but not classified information.

(5) If a classified document also contains FOUO information or if the classified material becomes FOUO when declassified, place the following statement on the bottom of the cover or the first page, under the classification marking: If declassified, review the document to make sure material is not FOUO and not exempt under this part before public release.

(6) Mark other records, such as computer printouts, photographs, films, tapes, or slides,“For Official Use Only'' or "FOUO" so the receiver or viewer knows the record contains FOUO information.

(7) Mark FOUO material sent to authorized persons outside the DoD with an explanation typed or stamped on the document:

plies (apply). (Further distribution is prohibited without the approval of (enter OPR)).

(b) DoD components, officials of DoD components, and authorized DoD contractors, consultants, and grantees send FOUO information to each other to conduct official DoD business. Tell recipients the status of such information, and send the material in a way that prevents unauthorized public disclosure. Make sure documents that transmit FOUO material call attention to any FOUО attachments. Normally, you may send FOUO records over facsimile equipment. To prevent unauthorized disclosure, consider attaching special cover sheets (i.e., AF Form 3227, Privacy Act Cover Sheet, for Privacy Act information), the location of sending and receiving machines, and whether authorized personnel are around to receive FOUO information. FOUO information may be passed to officials in other departments and agencies of the executive and judicial branches to fulfill a government function. Mark the records "For Official Use Only," and tell the recipient the information is exempt from public disclosure under the FOIA and whether it needs special bandling. If the records are subject to the PA, refer to Part 806b of this chapter for PA disclosure policies.

(c) AFI 90 401, Air Force Relations With Congress (formerly AFR 11-7), governs the release of FOUO information to members of the Congress and AFI 65 401, Air Force Relations With the General Accounting Office (formerly AFR 11-8), governs its release to the General Accounting Office (GAO). Review records before releasing to see if the information warrants FOUO status. If not, remove FOUO markings. If the material still warrants FOUO status, mark the records FOUO and explain the appropriate exemption and marking to the recipient.

(d) When you use the US Postal Service, package records with FOUO information so their contents are safe. If FOUO information is not combined with classified information, individuals may send FOUO information by First Class Mail or Parcel Post. Bulky shipments, such as FOUO directives or testing materials, that qualify under postal regulations may be sent by Fourth Class Mail.

This document contains information EXEMPT FROM MANDATORY DISCLOSURE UNDER THE FOIA. Exemption(s)......ap

APPENDIX A TO PART 806 GLOSSARY OF

TERMS

(e) Mark each part of a message that contains FOUO information. Unclassified messages containing FOUO information must show the abbreviation "FOUO" before the text begins.

(f) To safeguard FOUO records during normal duty hours, place them in an out-of-sight location if people who do not work for the government come into the work area. After normal duty hours, store FOUO records to prevent unauthorized access. File them with other unclassified records in unlocked files or desks, etc., if the Government or a Government contractor provides normal internal building security. When there is no internal security, locked buildings or rooms usually provide adequate after-hours protection. For additional protection, store FOUO material in locked containers such as file cabinets, desks, or bookcases.

(g) When a record is no longer FOUO, remove the markings or indicate on the document the markings no longer apply. Try to tell everyone who has the records that their status has changed.

(b) Destroy FOUO materials by tearing them up so no one can ut them back together and throwing them into trash containers. When the information needs more protection, local authorities may use other methods. However, balance the expense of extra protection against the degree of sensitivity of the FOUO information in the records. You may recycle FOUO material. Safeguard the FOUO documents or information until recycling to prevent unauthorized disclosure. Recycling contracts must include agreements on how to protect and destroy FOUO and PA materials.

(1) Unauthorized disclosure of FOUO records is not an unauthorized disclosure of classified information. Air Force personnel must act to protect FOUO records under their control from unauthorized disclosure. When unauthorized persons gain access to these records, administrators find out who is responsible and take disciplinary action where appropriate. Unauthorized disclosure of FOUO information containing PA information may also result in civil or criminal sanctions against individuals or the Air Force. Tell the originating organization when its records are improperly disclosed.

Appellate Authority-The Office of the General Counsel to the Secretary of the Air Force, who decides FOIA appeals.

Commercial Request-A category 1 request from, or on behalf of, one who seeks information that furthers the commercial, trade, or profit interest of the requester or the person represented.

Denial-A determination by a denial authority not to disclose requested records in its possession and control.

Determination—The decision to grant or deny all or part of a request from the public for records.

Disclosure-Providing access to, or one copy of, a record.

Disclosure Authority- Official authorized to release records.

Education Institution Request A category 2 request from a preschool, a public or private elementary or secondary school, an institution of undergraduate higher education, an institution of graduate higher education, an institution of professional education, or an institution of vocational education that operates one or more scholarly research programs.

Electronic Data Records or information created, stored, and retrieved by electronic means. Electronic records do not include computer software used as a tool to create, store, or retrieve electronic data.

FOIA Manager-The person who manages the FOIA Program at each organizational level.

FOIA Request-A written request for records from the public that cites or implies the FOIA.

Functional Request-A request for records that does not specifically cite or imply the FOIA.

Glomar Response-A reply that neither confirms nor denies the existence or nonexistence of the requested record. A “Glomar" response may be used with FOIA exemptions 1, 6, and 7(C).

Initial Denial Authority (IDA)—Persons in authority positions who may withhold records under the FOLA.

News Media Request-A category 2 request from a person whose job is gathering news for a publishing or broadcasting organization that supplies news to the public. News media also includes free lance journalists who can prove they have good reason for expecting a news organization to publish their work.

Noncommercial Scientific Institution Request-A category 2 request from a noncommercial institution that operates solely to conduct scientific research not intended to promote a particular product or industry.

Other Request-A category 3 request from anyone who does not fit into the Commercial category or the Noncommercial Scientific or

Educational Institutions or News Media category.

Partial Denial-Decision to withhold part of a requested agency record.

Public Interest—When releasing official information sheds light on how an agency performs its statutory duties and informs citizens about what their government is doing or reveals an Air Force official's conduct. Normally there is no public interest in personal information if it does not reveal a person's conduct in their job.

Records—The products of data compilation, such as all books, papers, maps, and photographs, machine readable materials or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the U.S. Government in connection with the transaction of public business and in the agency's possessi and control at the time it receives the request. Records such as notes, working papers, and drafts kept as historical evidence of actions are subject to the FOIA, and may be exempt from release under 5 U.S.C. 552(b)(5) if an identifiable harm exists by their release. Computer software rarely qualifies as

an agency record. Evaluate each case. Two examples of software as a record are:

a. Data embedded in the software cannot be extracted without the software.

b. Software that reveals information about DoD organization, policies, functions, decisions, or procedures, such as computer models used to forecast budget outlays, to calculate retirement system costs, or to optimize models on travel costs.

Search-To look for a requested record or a specific section of a record. You can search over the telephone, manually, or with computer searches.

Statutory Time Limits—The 10 workdays after receiving the request to tell the requester whether the records are released or denied. This term also covers the additional 10-workday extension allowed for reasons in 8806.15(a)(12). The 10 days begin when the FOIA manager receives a properly filed request with a reasonable description of the requested records and with the requester's stated willingness to pay fees or fees paid. If the requester disagrees with his or her category or wants fees reduced or waived, the 10 days begin after resolving these issues.

Technical Data-Information (including computer software documentation) that is scientific or technical in nature and recorded on any medium.

(b) Section (b) of the Act lists nine exemptions that are the only basis for withholding records from the public.

(c) In this case, the fourth exemption, 5 U.S.C. 552(b)(4), may apply to records or information the Air Force maintains. Under this exemption, agencies may withhold trade secrets and commercial or financial information they obtained from a person or organization outside the government which is privileged or confidential.

(d) This generally includes information provided and received with the understanding that it will be kept privileged or confidential.

(e) Commercial or financial matter is "confidential” and exempt if its release will probably:

(1) Impair the Government's ability to obtain necessary information in the future.

(2) Substantially harm the source's competitive position or impair some other legitimate Government interest.

(f) The exemption may be used to help the source when public disclosure will probably cause substantial harm to its competitive position. Examples of information that may qualify for this exemption include:

(1) Commercial or financial information received in confidence with loans, bids, contracts, or proposals, as well as other infor

ation received in confidence or privileged, such as trade secrets, inventions, discoveries, or other proprietary data.

(2) Statistical data and commercial or financial information concerning contract performance, income, profits, losses, and expenditures, offered and received in confidence from a contractor or potential contractor.

(3) Personal statements given during inspections, investigations, or audits, received and kept in confidence because they reveal trade secrets or commercial or financial information, normally considered confidential or privileged.

(4) Financial data that private employers give in confidence for local wage surveys used to set and adjust pay schedules for the prevailing wage rate of DoD employees.

(5) Information about scientific and manufacturing processes or developments that is technical or scientific or other information submitted with a research grant application, or with a report while research is in progress.

(6) Technical or scientific data a contractor or subcontractor develops entirely at private expense, and technical or scientific data developed partly with Federal funds and partly with private funds, in which the contractor or subcontractor retains legitimate proprietary interests per 10 U.S.C. 2320-2321 and 48 CFR 227.4.

(7) Computer software copyrighted under the Copyright Act of 1976 (17 U.S.C. 106), the

APPENDIX B TO PART 806_REQUIRE

MENTS OF 5 U.S.C. 552(b)(4) (SEND
WITH LETTER TO SUBMITTERS)

(a) The Freedom of Information Act (FOIA) requires Federal agencies to provide their records, except those specifically exempted, for the public to inspect and copy.

174–119 0-97--2

Subpart Privacy Act Notifications

806b.21 When to include a privacy act warn-

ing statement in publications.
806b.22 Publishing system notices.
806b.23 Timing of notices.

Subpart G Protecting and Disposing of

Records

disclosure of which would adversely impact
its potential market value.

(8) If release of the subject material would
prejudice your commercial interests, give de-
tailed written reasons that identify the spe-
cific information and the competitive harm
it will cause to you, your organization, or
your business. The Act requires we provide
any reasonably segregable part of a record
after deleting exempt parts. So, tell us if de-
leting key words or phrases would ade-
quately protect your interests.

(b) If you do not prove the probability of
substantial harm to your competitive posi-
tion or other commercial interests, we may
be required to release the information.
Records qualify for protections case by case.

806b.24 Protecting records.
806b.25 Balancing protection.
806b.26 Disposing of records.

Subpart H Privacy Act Exemptions
806b.27 Requesting an exemption.
806b.28 Exemption types.
8066.29 Authorizing exemptions.
806b.30 Approved exemptions.
Subpart Disclosing Records to Third

Parties

PART 806b-AIR FORCE PRIVACY

ACT PROGRAM

Subpart A-Overview of the Privacy Act

Program

Sec.
806b.1 Basic guidelines.
806b.2 Violation penalties.
806b.3 Personal notes.
8060.4 Responsibilities.

806b.31 Disclosure considerations.
806b.32 Disclosing information for which con-

sent is not required.
806b.33 Disclosing other information.
806b.34 Agencies or individuals to whom the

Air Force may release privacy informa-

tion.
806b.35 Disclosing the medical records of mi-

nors.
8066.36 Disclosure accounting.
8066.37 Computer matching.

Subpart B-Obtaining Law Enforcement
Records and Promises of Confidentiality

806b.5 Obtaining law enforcement records.
806b.6 Promising confidentiality.

Subpart J-Training
806b.38 Who needs training.
806b.39 Training tools.

Subpart C-Collecting Personal Information

806b.7 How to collect personal information.
806b.8 When to give privacy act statements

(PAS).
806b.9 Requesting the social security number

(SSN).

Subpart D Giving Access to Privacy Act

Records

Subpart K-Privacy Act Reporting
8066.40 Privacy act report (RCS: DD

DA&M(A)1379).
APPENDIX A TO PART 806b-GLOSSARY OF REF-

ERENCES, ABBREVIATIONS, ACRONYMS, AND

TERMS
APPENDIX B TO PART 806b_PREPARING A SYS-

TEM NOTICE
APPENDIX C TO PART 806bGENERAL AND SPE-

CIFIC EXEMPTIONS
AUTHORITY: Pub. L. 93–579, 88 Stat. 1896 (5
U.S.C. 552a).

SOURCE: 59 FR 53099, Oct. 21, 1994, unless
otherwise noted.

[blocks in formation]

Subpart A-Overview of the

Privacy Act Program
8806b.1 Basic guidelines.

The Privacy Act of 1974 and this part
apply only to information in Air Force
systems of records on living United

States citizens and permanent resident aliens.

(a) An official system of records must be:

(1) Authorized by law or Executive Order.

(2) Controlled by an Air Force or lower level directive.

(3) Needed to carry out an Air Force mission or function.

(b) The Air Force does not:

(1) Keep records on how a person exercises First Amendment rights. EXCEPTIONS are when: The Air Force has the permission of that individual or is authorized by federal statute; or the information pertains to an authorized law enforcement activity.

(2) Penalize or harass an individual for exercising rights guaranteed under the Privacy Act. Give reasonable aid to individuals exercising their rights.

(c) Air Force members:

(1) Keep paper and electronic records containing personal information and retrieved by name or personal identifier only in approved systems published in the FEDERAL REGISTER.

(2) Collect, maintain, and use information in such systems only to support programs authorized by law or Executive Order.

(3) Safeguard the records in the system and keep them the minimum time required.

(4) Keep the records timely, accurate, complete, and relevant.

(5) Amend and correct records on request.

(6) Let individuals review and receive copies of their own records unless the Secretary of the Air Force approved an exemption for the system or the Air Force created the records in anticipation of a civil action or proceeding.

(7) Provide a review of decisions that deny individuals access to or amendment of their records.

(a) Willfully maintaining a system of records that doesn't meet the public notice requirements.

(b) Disclosing information from a system of records to someone not entitled to the information.

(c) Obtaining someone else's records under false pretenses.

8 806b.3 Personal notes.

If you keep personal notes on individuals to use as memory aids to supervise or perform other official functions, and do not share them with others, and an Air Force directive does not require their maintenance, the Privacy Act does not apply.

8806b.4 Responsibilities.

(a) The Administrative Assistant to the Secretary of the Air Force (SAFI AA) manages the entire program.

(b) The Office of the General Counsel to the Secretary of the Air Force (SAF/ GCA) makes final decisions on appeals.

(c) The Director of Information Management (SAFIAAI), through the Access Programs Office of the Policy Division, (SAFIAAIA):

(1) Administers procedures outlined in this part.

(2) Submits system notices and required reports to the Defense Privacy Office.

(3) Guides major commands (MAJCOM) and field operating agencies (FOA).

(d) MAJCOM and FOA commanders, HQ USAF and Deputy Chiefs of Staff (DCS), and comparable officials, and SAF offices implement this part. Each HQ USAF and SAF office appoints a Privacy Act monitor. Send the name, office symbol, and phone number to SAF/AAIA.

(e) MAJCOM and FOA Information Managers:

(1) Manage the program. (2) Appoint a command Privacy Act officer.

(3) Send the name, office symbol, and phone number to SAF/AAIA.

(f) Privacy Act Officers: (1) Guide and train.

(2) Review the program at regular intervals.

(3) Submit reports.

8806b.2 Violation penalties.

An individual may file a civil suit against the Air Force for failing to comply with the Privacy Act. The courts may find an individual offender guilty of a misdemeanor and fine that individual offender not more than $5,000 for:

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