[Title 32 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 1999 Edition]
[From the U.S. Government Printing Office]
32
National Defense
[[Page i]]
PART 800 TO END
Revised as of July 1, 1999
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT
AS OF JULY 1, 1999
With Ancillaries
Published by
the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register
[[Page ii]]
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 1999
For sale by U.S. Government Printing Office
Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328
[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 32:
Subtitle A--Department of Defense (Continued):
Chapter VII--Department of the Air Force........... 5
Subtitle B--Other Regulations Relating to National
Defense:
Chapter XII--Defense Logistics Agency.............. 243
Chapter XVI--Selective Service System.............. 309
Chapter XIX--Central Intelligence Agency........... 381
Chapter XX--Information Security Oversight Office,
National Archives and Records Administration....... 433
Chapter XXI--National Security Council............. 469
Chapter XXIV--Office of Science and Technology
Policy............................................. 479
Chapter XXVII--Office for Micronesian Status
Negotiations....................................... 495
Chapter XXVIII--Office of the Vice President of the
United States...................................... 505
Chapter XXIX--Presidential Commission on the
Assignment of Women in the Armed Forces............ 517
Finding Aids:
Table of CFR Titles and Chapters........................ 525
Alphabetical List of Agencies Appearing in the CFR...... 543
List of CFR Sections Affected........................... 553
[[Page iv]]
----------------------------
Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 32 CFR 806.0 refers
to title 32, part 806,
section 0.
----------------------------
[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie
evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
issues of the Federal Register. These two publications must be used
together to determine the latest version of any given rule.
To determine whether a Code volume has been amended since its
revision date (in this case, July 1, 1999), consult the ``List of CFR
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative
List of Parts Affected,'' which appears in the Reader Aids section of
the daily Federal Register. These two lists will identify the Federal
Register page number of the latest amendment of any given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
Register since the last revision of that volume of the Code. Source
citations for the regulations are referred to by volume number and page
number of the Federal Register and date of publication. Publication
dates and effective dates are usually not the same and care must be
exercised by the user in determining the actual effective date. In
instances where the effective date is beyond the cut-off date for the
Code a note has been inserted to reflect the future effective date. In
those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be
inserted following the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
amendments to existing regulations in the CFR. These OMB numbers are
placed as close as possible to the applicable recordkeeping or reporting
requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
the cover of each volume are not carried. Code users may find the text
of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For
the period beginning January 1, 1986, a ``List of CFR Sections
Affected'' is published at the end of each CFR volume.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
separate volume, revised annually as of January 1, entitled CFR Index
and Finding Aids. This volume contains the Parallel Table of Statutory
Authorities and Agency Rules (Table I). A list of CFR titles, chapters,
and parts and an alphabetical list of agencies publishing in the CFR are
also included in this volume.
An index to the text of ``Title 3--The President'' is carried within
that volume.
The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ``Contents'' entries in
the daily Federal Register.
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
in the Code of Federal Regulations.
INQUIRIES
For a legal interpretation or explanation of any regulation in this
volume, contact the issuing agency. The issuing agency's name appears at
the top of odd-numbered pages.
For inquiries concerning CFR reference assistance, call 202-523-5227
or write to the Director, Office of the Federal Register, National
Archives and Records Administration, Washington, DC 20408 or e-mail
[email protected].
SALES
The Government Printing Office (GPO) processes all sales and
distribution of the CFR. For payment by credit card, call 202-512-1800,
M-F 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2233, 24 hours
a day. For payment by check, write to the Superintendent of Documents,
Attn: New Orders, P.O. Box 371954, Pittsburgh, PA 15250-7954. For GPO
Customer Service call 202-512-1803.
ELECTRONIC SERVICES
The full text of the Code of Federal Regulations, The United States
Government Manual, the Federal Register, Public Laws, Weekly Compilation
of Presidential Documents and the Privacy Act Compilation are available
in electronic format at www.access.gpo.gov/nara (``GPO Access''). For
more information, contact Electronic Information Dissemination Services,
U.S. Government Printing Office. Phone 202-512-1530, or 888-293-6498
(toll-free). E-mail, [email protected].
The Office of the Federal Register also offers a free service on the
National Archives and Records Administration's (NARA) World Wide Web
site for public
[[Page vii]]
law numbers, Federal Register finding aids, and related information.
Connect to NARA's web site at www.nara.gov/fedreg. The NARA site also
contains links to GPO Access.
Raymond A. Mosley,
Director,
Office of the Federal Register.
July 1, 1999.
[[Page ix]]
THIS TITLE
Title 32--National Defense is composed of six volumes. The parts in
these volumes are arranged in the following order: parts 1-190, parts
191-399, parts 400-629, parts 630-699, parts 700-799, and part 800 to
end. The contents of these volumes represent all current regulations
codified under this title of the CFR as of July 1, 1999.
The current regulations issued by the Department of Defense appear
in the volumes containing parts 1-190 and parts 191-399; those issued by
the Department of the Army appear in the volumes containing parts 400-
629 and parts 630-699; those issued by the Department of the Navy appear
in the volume containing parts 700-799, and those issued by the
Department of the Air Force, Defense Logistics Agency, Selective Service
System, Central Intelligence Agency, Information Security Oversight
Office, National Security Council, Office of Science and Technology
Policy, Office for Micronesian Status Negotiations, Office of the Vice
President of the United States, and Presidential Commission on the
Assignment of Women in the Armed Forces appear in the volume containing
part 800 to end.
For this volume, Linda L. Jones was Chief Editor. The Code of
Federal Regulations is published under the direction of Frances D.
McDonald, assisted by Alomha S. Morris.
[[Page x]]
[[Page 1]]
TITLE 32-NATIONAL DEFENSE
(This book contains part 800 to End)
--------------------------------------------------------------------
Part
SUBTITLE A--Department of Defense (Continued)
Chapter VII--Department of the Air Force.................... 806
SUBTITLE B--Other Regulations Relating to National Defense
Chapter XII--Defense Logistics Agency....................... 1280
Chapter XVI-- Selective Service System...................... 1602
Chapter XIX-- Central Intelligence Agency................... 1900
Chapter XX-- Information Security Oversight Office, National
Archives and Records Administration....................... 2001
Chapter XXI-- National Security Council..................... 2102
Chapter XXIV-- Office of Science and Technology Policy...... 2400
Chapter XXVII-- Office for Micronesian Status Negotiations.. 2700
Chapter XXVIII-- Office of the Vice President of the United
States.................................................... 2800
Chapter XXIX-- Presidential Commission on the Assignment of
Women in the Armed Forces................................. 2900
[[Page 3]]
Subtitle A--Department of Defense (Continued)
--------------------------------------------------------------------
[[Page 5]]
CHAPTER VII--DEPARTMENT OF THE AIR FORCE
--------------------------------------------------------------------
SUBCHAPTER A--ADMINISTRATION
Part Page
800 [Reserved]
806 Air Force Freedom of Information Act program 7
806b Air Force Privacy Act program............... 24
807 Sale to the public.......................... 41
809a Enforcement of order at Air Force
installations, control of civil
disturbances, support of disaster relief
operations, and special consideration
for overseas areas...................... 42
SUBCHAPTER B--SALES AND SERVICES
811 Release, dissemination, and sale of visual
information materials................... 46
811a Visual information documentation (VIDOC)
program................................. 51
818 Personal financial responsibility........... 53
SUBCHAPTER C--PUBLIC RELATIONS [RESERVED]
SUBCHAPTER D--CLAIMS AND LITIGATION
841 Licensing government-owned inventions in the
custody of the Department of the Air
Force................................... 65
842 Administrative claims....................... 70
845 Counsel fees and other expenses in foreign
tribunals............................... 114
SUBCHAPTER E--SECURITY [RESERVED]
SUBCHAPTER F--AIRCRAFT
855 Civil aircraft use of United States Air
Force airfields......................... 118
[[Page 6]]
861 Department of Defense commercial air carrier
quality and safety review program....... 142
SUBCHAPTER G--ORGANIZATION AND MISSION--GENERAL
865 Personnel Review Boards..................... 151
SUBCHAPTER H [RESERVED]
SUBCHAPTER I--MILITARY PERSONNEL
881 Determination of active military service and
discharge for civilian or contractual
groups.................................. 178
884 Making military personnel, employees, and
dependents available to civilian
authorities for trial................... 180
887 Issuing of certificates in lieu of lost or
destroyed certificates of separation.... 187
888-888g [Reserved]
SUBCHAPTER J--CIVILIAN PERSONNEL [RESERVED]
SUBCHAPTER K--MILITARY TRAINING AND SCHOOLS
901 Appointment to the United States Air Force
Academy................................. 190
903 Air Force Academy Preparatory School........ 199
SUBCHAPTERS L-M [RESERVED]
SUBCHAPTER N--TERRITORIAL AND INSULAR REGULATIONS
935 Wake Island Code............................ 204
SUBCHAPTER O--SPECIAL INVESTIGATION [RESERVED]
SUBCHAPTERS P-S [RESERVED]
SUBCHAPTER T--ENVIRONMENTAL PROTECTION
989 Environmental impact analysis process (EIAP) 219
[[Page 7]]
SUBCHAPTER A--ADMINISTRATION
PART 800 [RESERVED]
PART 806--AIR FORCE FREEDOM OF INFORMATION ACT PROGRAM--Table of Contents
Sec.
806.0 Purpose.
806.1 General guidance.
806.2 Responsibilities.
806.3 Material not covered by the FOIA.
806.4 FOIA requests.
806.5 Submitting FOIA requests.
806.6 Processing requests under FOIA and Privacy Act (PA).
806.7 Describing records.
806.8 Creating a record.
806.9 Special disclosure procedures.
806.10 FOIA exemptions.
806.11 FOIA exclusions.
806.12 Denials.
806.13 Freedom of Information Act annual report.
806.14 Host-tenant relationship.
806.15 Processing FOIA requests.
806.16 Referrals.
806.17 Categorizing requesters.
806.18 Fee assessment.
806.19 Aggregating requests.
806.20 Fee waivers.
806.21 Transferring fees to accounting and finance offices.
806.22 Fee rates.
806.23 Technical data.
806.24 Technical data fee rates.
806.25 Appeals.
806.26 For Official Use Only (FOUO).
Appendix A to Part 806--Glossary of Terms
Appendix B to Part 806--Requirements of 5 U.S.C. 552(b)(4)
Authority: 5 U.S.C. 552.
Source: 59 FR 50835, Oct. 6, 1994, unless otherwise noted.
Sec. 806.0 Purpose.
This part implements Department of Defense (DoD) Directive 5400.7,
13 May 1988, DoD Freedom of Information Act Program; and DoD Regulation
5400.7-R, 3 October 1990, DoD Freedom of Information Act Program, 10 May
1991, with Change 1 (32 CFR Parts 285 and 286). It provides guidance for
making records public and for the Air Force Freedom of Information Act
(FOIA) Program. It tells how to process FOIA requests and tells the
public how to request copies of Air Force records using the FOIA (Title
5, United States Code, Section 552, as amended). It outlines the
requirements for For Official Use (FOUO) material. If this part
conflicts with other Air Force publications, it takes precedence over
those that deal with making records public.
Sec. 806.1 General guidance.
The Air Force discloses its records in its possession and control to
the public, except those records exempt under the FOIA which, if
released, would cause an identifiable harm. Make discretionary
disclosures of exempt information whenever possible. (Discretionary
releases are generally not appropriate for exemptions 1, 3, 4, 6, and
7(C)). A discretionary release to one requester will prevent withholding
the same record if someone else requests it. Answer all requests for
information and records promptly. Handle requests in a customer-friendly
manner. Get misrouted FOIA requests to the FOIA Office immediately. Do
not withhold a record simply because it might suggest administrative
error or inefficiency or cause embarrassment. Do not deny a request just
because the record is stored in a computer.
Sec. 806.2 Responsibilities.
(a) The Administrative Assistant to the Secretary of the Air Force
(SAF/AA) takes overall responsibility for making sure the Air Force
complies with the FOIA.
(b) The Office of the General Counsel to the Secretary of the Air
Force (SAF/GSA) makes final decisions on appeals.
(c) The Director of Information management (SAF/AAI), through the
Access Programs Office of the Administrative Communications and Records
Management Division, SAF/AAIQ:
(1) Administers procedures described in this part.
(2) Submits required reports to the Office of the Assistant to the
Secretary of Defense (Public Affairs).
(3) Provides guidance and instructions to major commands (MAJCOM)
and field operating agencies (FOA).
[[Page 8]]
(d) MAJCOM and FOA commanders implement this part in their commands
and agencies.
(e) FOIA managers:
(1) Control and process FOIA requests.
(2) Obtain recommendations from the office of primary responsibility
(OPR) for records.
(3) Provide a reading room for inspecting, copying and giving copies
of records to requesters.
(4) Provide training.
(5) Review publications to make sure they comply with this part.
(6) Conduct periodic program reviews.
(7) Approve or deny fee waivers.
(8) Assess and collect fees.
(9) Send extension notices to requesters.
(10) Submit required reports.
(11) Make final determinations on ``no records'' responses.
(f) OPRs:
(1) Coordinate the release or denial with the offices of collateral
responsibility (OCR) and with the Staff Judge Advocate (SJA) and FOIA
office on proposed denials.
(2) Provide requested records.
(3) Help the disclosure authority determine whether to release
record; and act as declassification authority when appropriate.
(g) Disclosure authorities determine whether to release records and
provide them to the FOIA office.
(h) Initial denial authorities:
(1) Make final decisions to deny records.
(2) Tell requesters the nature of records or information denied,
exemption supporting the denial with reason, and appeal procedures.
Sec. 806.3 Material not covered by the FOIA.
(a) Objects or articles, such as structures, furniture, vehicles,
and equipment, whatever their historical value or value as evidence.
(b) Administrative tools for creating, storing, and retrieving
records, if not created or used as sources of information about
organizations, policies, functions, decisions, or procedures of DoD.
Normally computer software, including source code, object code, and
listings of source and object codes, regardless of medium, are not
agency records. This does not include the supported data that is
processed and produced by such software an that in some instances may be
stored with the software.
(c) Personal notes of an individual not subject to agency creation
or retention requirements, created and maintained primarily for the
convenience of an agency employee, and not distributed to other agency
employees for their official use.
(d) Information stored in a computer for which there is no existing
computer program for retrieval of the requested information.
(e) If other procedures for processing requests for material not
covered by FOIA exist:
(1) Log the request and refer the request outside of the FOIA to the
proper office.
(2) Acknowledge the requester's letter, tell the individual where
you referred the request, and that the material is not a record under
the FOIA.
(f) If no alternative release procedures exist, process the request
under FOIA by advising the requester that materials are not agency
records and give the requester appeal rights.
Sec. 806.4 FOIA requests.
(a) Under FOIA, members of the public, including foreign citizens,
military and civilian personnel acting as private citizens,
organizations and businesses, and individual members of the Congress,
for themselves or constituents, may request records in writing. Federal
agencies or fugitives from the law cannot make FOIA requests.
(b) Requesters should not use Government equipment, supplies,
stationery, postage, telephones, or official mail channels to make FOIA
requests. FOIA managers will process such requests and tell requesters
that using government resources to make FOIA requests is not an
authorized official use.
Sec. 806.5 Submitting FOIA requests.
Submit written requests that reasonably describe the desired records
and include a statement on fees. Address
[[Page 9]]
letters to the FOIA office of the activity that has the record. List
other addressees to save time.
Sec. 806.6 Processing requests under FOIA and Privacy Act (PA).
Process requests under the Act that gives the most information. If
the requester cites both Acts, address each in the reply.
Sec. 806.7 Describing records.
The requester is responsible for identifying the desired record. He
or she should sufficiently describe the record to help locate it with a
reasonable amount of effort. Generally a reasonable description contains
enough information for an organized, nonrandom search. Offices must make
reasonable efforts to find the records described. This means searching
all activities and locations most likely to have the records, including
staged or retired records. If the description is unclear, ask for more
specific information. When possible, tell the requester what information
would help.
Sec. 806.8 Creating a record.
(a) The Air Force is not required to create, compile, or obtain a
record from outside the Air Force to fulfill a request. You may want to
create a new record when it would be a more useful response to the
requester or is less burdensome for the agency than providing an
existing record and the requester agrees. Do not charge the requester
more for creating a record than you would charge for the existing
record.
(b) Apply a standard of reasonableness for electronic data when
there is a question on whether you are creating, programming, or
formatting a record. If you can respond with a ``business as usual''
approach, process the request, otherwise offer the requester appeal
rights.
Sec. 806.9 Special disclosure procedures.
Some instructions have disclosure procedures for certain types of
records. Refer to those instructions for specific disclosure procedures
when you process FOIA requests. The only reason to deny a request is a
FOIA exemption.
(a) Process FOIA requests from foreign citizens, foreign
governments, their representatives, or international commands under this
part, and coordinate with your foreign disclosure office. If the command
has no foreign disclosure office, refer the request to SAF/AAIS (FOIA)
for SAF/IAD coordination through the MAJCOM FOIA office.
(b) If requests from foreign government officials do not cite the
FOIA, refer them to your foreign disclosure office and notify the
requester.
(c) If you have a non-U.S. Government record, coordinate with the
record's originator before releasing it (see Sec. 806.10(e)(1). This
includes records created by foreign governments and organizations like
the North Atlantic Treaty Organization (NATO) and North American
Aerospace Defense (NORAD). Coordinate release of foreign government
records with the U.S. Department of State through the MAJCOM FOIA
office. Coordinate release or denial of Letters of Offer and Acceptance
(LOA) and SAF/IA through SAF/AAIS (FOIA).
Sec. 806.10 FOIA exemptions.
Denial authorities may withhold records or information when an
identifiable harm would result by disclosure, and the records are exempt
under 5 U.S.C. 552(b).
(a) Exemption 1--Classified Records. Records properly and currently
classified in the interest of national defense or foreign policy, as
authorized by executive order and implementing instructions. Apply this
exemption when disclosing information by itself or in the context of
other information that could reasonably be expected to damage national
security.
(1) To make a sound decision, review the record paragraph by
paragraph for releasable information. Review all unclassified parts
before release to see if they are exempt. Before releasing a reviewed
and declassified document, draw a single black line through all the
classification markings, so they are still legible and stamp the
document ``Unclassified.'' Review material, if appropriate, to determine
if it should be classified, even though it was not classified when
requested. AFI 31-401, Information Security Program Management (formerly
AFRs 205-1 and 205-43), tells how to classify and declassify records.
Check to see if information
[[Page 10]]
from foreign sources is classified. Delete exempt parts of records and
disclose the rest if it does not distort meaning and you can reasonably
assume that a skillful, knowledgeable person could not reconstruct the
information deleted. Denial letters must say that unauthorized
disclosure of such information could reasonably be expected to cause
damage to national security and cite the appropriate executive order
paragraph(s) as authority for classification. When denying a whole
classified record, release all unclassified parts that would cause no
identifiable harm. Coordinate with the local information security
specialist when invoking this exemption for consistency of
classification policy and procedures.
(2) When simply knowing whether a record exists or not reveals
classified information, use the ``Glomar'' (refusal to confirm or deny)
response. Apply it consistently, not only when a record exists but also
when a record does not exist. Otherwise, the pattern of using a ``no
record'' response when a record does not exist, and a ``refusal to
confirm or deny'' when a record does exist will disclose exempt
information. Cite the FOIA exemption when you use the ``Glomar''
response.
(b) Exemption 2--Internal Personnel Rules and Practices. Exempt
information falls in two categories:
(1) ``High'' 2 protects records which, if disclosed, would
substantially hinder the effective performance of a significant function
of the DoD by risking circumvention of a statute or Air Force
instruction or policy.
(2) ``Low'' 2 is for trivial internal administrative matters of no
genuine public interest and the process of releasing such records would
constitute an unwarranted administrative burden. You can only use the
``low'' 2 exemption before fully processing the requested records.
Otherwise, you may eliminate the administrative burden justification.
(c) Exemption 3--Other Statutes. Records of matters that a statute
specifically exempts from disclosure by terms that permit no discretion
on the issue of withholding or according to defined standards for
withholding or referring to particular types of matters we must
withhold. When using this exemption, cite both exemption 3 and the
specific statute.
(d) Exemption 4--Confidential Commercial Information. Records with
trade secrets and commercial or financial information submitted by a
person or entity outside the Federal Government on a privileged or
confidential basis that, if released, is likely to cause substantial
competitive harm to the submitter of the information or impair the
government's future ability to obtain necessary information. Examples of
exempt information follow:
(1) Trade secrets that are commercially valuable plans, formulas,
processes, or devices used for making, preparing, compounding, or
processing trade commodities and are the product of innovation or
substantial effort and were given in confidence.
(2) Commercial or financial information given in confidence, in
connection with loans, bids, contracts, or proposals; or privileged
information, such as trade secrets, inventions, discoveries, or other
proprietary data.
(3) Statistical data and commercial or financial information
concerning contract performance, income, profits, losses, and
expenditures, offered and given in confidence by a contractor or
potential contractor.
(4) Personal statements made during inspections, investigations, or
audits, if such statements are given in confidence by the individual and
kept confidential, because they reveal trade secrets or commercial or
financial information normally considered confidential or privileged.
(5) Financial data private employers provide in confidence for local
wage surveys, used to set and adjust pay schedules for prevailing wage
rate employees of the DoD.
(6) Scientific and manufacturing processes or developments
concerning technical or scientific data or other information submitted
with a research grant application or with a report during research.
(7) Computer software qualifying as a record under this part that is
copyrighted under the Copyright Act of 1976 (17 U.S.C. 106), the
disclosure of which would adversely affect its market value.
[[Page 11]]
(8) Technical or scientific data a contractor or subcontractor
developed entirely with private funds and technical or scientific data
developed with both Federal and private funds, which the contractor or
subcontractor legally owns per 10 U.S.C. 2320-2321 and DoD Federal
Acquisition Regulation Supplement (DFARS), chapter 2 of 48 CFR 227.4.
You may withhold technical data developed entirely with Federal funds
under Exemption 3 if the data meets the criteria of 10 U.S.C. 130.
(e) Before releasing information submitted from outside the Air
Force:
(1) Write to the submitter of the data for views on releasability
and include appendix b with your letter.
(2) Tell the requester that we must give the submitter of the data
the opportunity to comment before the Air Force decides whether to
release the information.
(3) Give the submitter a reasonable period of time (no more than 30
calendar days) to object to release and provide justification.
(4) If the submitter does not respond, write that you have not
received a reply, tell the submitter of the decision to release with the
reason and give the expected release date (at least 2 weeks from the
date of your letter).
(5) If the submitter objects, but the Air Force disclosure authority
considers the records releasable, tell the submitter before releasing
the data. Include in the letter a brief explanation and a release date
at least 2 weeks from the date of the letter.
(f) Exemption 5--Inter- or Intra-Agency Records. Intra-agency or
inter-agency memoranda or letters that, according to recognized legal
privileges are not routinely released to a party in litigation with the
Air Force or DoD. If such a record or part of such a record would be
made available routinely through the discovery process in the course of
litigation with the agency, release it. In the discovery process,
litigants get from each other information relevant to issues in a trial
or hearing. if the information is only made available through the
discovery process by special court order, then it is exempt. Release
factual records or parts unless the information is privileged or
otherwise exempt. Generally, release a direction or order from a
superior to a subordinate, though contained in an internal
communication, if it forms policy guidance or a decision, but is not a
discussion of preliminary or other matters that would compromise
decision making. Consult your SJA about whether Exemption 5 material
would be routinely available through the discovery process. Here are
examples of exempt information.
(1) The deliberative process privilege--those parts of records with
internal advice, opinions, evaluations, or recommendations that reveal
Air Force or DoD deliberations.
(2) Those nonfactual parts of Air Force personnel evaluations of
contractors and their products.
(3) Advance information of a speculative, tentative, or evaluative
nature on such matters as proposals to buy, lease, or otherwise acquire
and dispose of materials, real estate, facilities, or functions, if such
information gives private personal interests an unfair competitive
advantage or impedes legitimate governmental functions. Generally, you
cannot use this privilege to withhold factual information. However, you
may withhold facts when they are so interconnected with deliberative
information that disclosing facts necessarily discloses the Air Force's
deliberative process or when facts and deliberative information are so
interconnected that separating them would be uninformative or redundant.
(4) Official reports of inspection, audits, investigations, or
surveys on safety, security, or internal management, administration, or
operation of the Air Force.
(5) The attorney work product privilege--records an attorney
prepares, or supervises the preparation of, in contemplating or
preparing for administrative proceedings or litigation.
(6) The attorney-client privilege--confidential communication
between an attorney and client. For example, a commander expresses
concerns in confidence to his or her judge advocate and asks for a legal
opinion. The legal opinion and everything the commander tells the judge
advocate in confidence qualify.
(7) Unlike deliberative process privilege, you may withhold both
facts and
[[Page 12]]
opinions in attorney work product or privileged communications.
(8) Trade secrets or other confidential research, development, or
commercial information the Air Force or DoD owns, whose premature
release probably would affect the Air Force's or DoD's negotiating
position or other commercial interests.
(9) Computer software qualifying as a record under this part which
is deliberative in nature, if its release would inhibit decisionmaking.
In this case, closely examine the use of the software to ensure its
deliberative nature.
(10) Planning, programming, and budget information involving defense
planning and resource allocation.
(g) Exemption 6--Invasion of Personal Privacy. Personnel, medical,
and similar personal information in other files whose release to the
public clearly invades personal privacy. To decide whether to release
personal information, balance the privacy interest against what its
release would tell the public about how the Air Force functions or about
the conduct of an Air Force functions or about the conduct of any Air
force employee (the public interest). Withhold records only when the
privacy interest exceeds the public interest. Do not use this exemption
to protect a deceased person's privacy, but you may use it to protect
the privacy of the deceased person's family in rare instances. Generally
let a person (or their representative) see their own personnel, medical,
or similar files and withhold information from the subject only using 5
U.S.C. 552a, The Privacy Act of 1974 (see part 806b of this chapter).
(1) Withhold names and duty addresses of personnel serving overseas
or in sensitive or routinely deployable units. Routinely deployable
units normally leave their permanent home stations on a periodic or
rotating basis for peacetime operations or for scheduled training
exercises conducted outside the United States or U.S. territories on a
routine basis. Units based in the United States for a long time, such as
those in extensive training or maintenance activities, do not quality
during that period. Units designated for deployment or contingency plans
not yet executed and units that seldom leave the United States or U.S.
territories (e.g., annually or semiannually) are not routinely
deployable units. However, units alerted for deployment outside the
United States or U.S. territories during actual execution of a
contingency plan or in support of a crisis operation qualify. The way
the Air Force deploys units makes it difficult to determine when a unit
that has part of its personnel deployed becomes eligible for denial. The
Air Force any consider a unit deployed on a routine basis or deployed
fully overseas when 30 percent of its personnel has been either alerted
or actually deployed. In this context, alerted means that a unit has
received an official written warning of an impending operational mission
outside the United States or U.S. territories.
(2) Sensitive units are primarily involved in training for special
activities or classified missions, including, for example, intelligence-
gathering units that collect, handle, dispose of, or store classified
information and materials, as well as units that train or advise foreign
personnel.
(3) Each MAJCOM and FOA will establish a system and OPR(s) to
identify units in their command qualifying for this exemption.
Appropriate OPRs could include Directors of Operations, Plans, and
Programs, and Personnel. The resulting list of nonreleasable units will
be reviewed and updated in January and July and provided to the MAJCOM
or FOA FOIA office. This listing will be in ASCII format on a 3\1/2\ or
5\1/4\ inch floppy disk (double sided, high density), which contains the
unit's eight-position personnel accounting symbol (PAS) code, with 1 pas
code per line (record) (8-byte record). The MAJCOM or FOA FOIA manager
will forward an electronic copy of the list of nonreleasonable units to
AFMPC/RMI to be included in the personnel data system. The MAJCOM and
AFMPC FOIA offices will use it to determine releasable lists of names
and duty addresses.
(h) Exemption 7--Investigative Records. Records or information
gathered for law enforcement purposes but only when releasing these
records would probably:
[[Page 13]]
(1) Interfere with enforcement proceedings.
(2) Deprive a person of the right to a fair trial or an impartial
judgment.
(3) Invade personal privacy unnecessarily.
(4) Identify a confidential source, including a state, local, or
foreign agency or authority or any private institution that gives
confidential information.
(5) Disclose information from a confidential source and obtained by
a criminal law enforcement authority in a criminal investigation or by
an agency conducting a lawful national security intelligence
investigation.
(6) Disclose methods for law enforcement investigation or
prosecutions.
(7) Disclose guidelines for law enforcement investigations or
prosecutions if the release would probably encourage circumvention of
the law.
(8) Endanger an individual's life or physical safety.
(i) You may use this exemption to prevent disclosure of documents
not originally created for, but later gathered for law enforcement
purposes.
(j) Exemption 8--Financial Institutions. Those records contained in
or related to examination, operation, or condition reports prepared by,
on the behalf of, or for the use of, an agency that regulates or
supervises financial institutions.
(k) Exemption 9--Wells. Records with geological and geophysical
information and data, including maps, concerning wells.
Sec. 806.11 FOIA exclusions.
(a) Under two limited situations, requests for law enforcement
records are not subject to disclosure under FOIA:
(1) Requests for law enforcement records when the investigation
involves a possible criminal violation, the subject is unaware of the
investigation, and disclosing the record's existence could interfere
with enforcement.
(2) Requests for informant records a criminal law enforcement agency
keeps under the informant's name or personal identifier made by a third
party using the informant's name or personal identifier, but only when
the informant's status as an informant has not been officially
confirmed.
(b) In these cases, do not use denial procedures; instead, say you
found no records. Coordinate with the SJA on these cases. When you write
to the requester, do not give the statutory citation for the exclusion
nor state your reliance on an exclusion.
Sec. 806.12 Denials.
Only denial authorities may withhold information. Denial authority
level is at the deputy chiefs of staff and chiefs of comparable offices
or higher at HQ USAF, and MAJCOM and FOA commanders. These officials may
name an additional official as a denial authority. Send SAF/AAIQ a
letter with the position titles only. Only the Administrative Assistant
to the Secretary of the Air Force can approve a request for more than
one additional denial authority. Send those requests, with
justification, to SAF/AAIQ.
(a) When denying information, delete only the exempt parts of a
record, release what remains, and let the requester know that you are
providing all reasonably segregable, releasable parts of the record.
Clearly show the requester where you deleted information.
(b) Denial letters must include the reason for the denial and cite
the statutory exemption. Only authorized denial authorities sign denial
letters. FOIA managers may sign ``no records'' responses. Denial letters
and ``no records'' responses must also include an appeal paragraph that:
(1) Tells the requester to address appeals to the Secretary of the
Air Force, through the FOIA office of the activity that issued the
denial or ``no records'' response.
(2) Tells the requester to appeal within 60 calendar days from the
date of the letter and to include reasons for reconsideration.
(3) Asks the requester to attach a copy of the response.
Sec. 806.13 Freedom of Information Act annual report.
(a) MAJCOM and FOA FOIA managers submit a calendar-year report on
3\1/2\- or 5\1/4\-inch disk using the FOIA System. Send the report by 10
January to SAF/AAIQ. The report control symbol (RCS) is DD-PA(A)1365.
[[Page 14]]
(b) SAF/AAIQ submits the report to the Office of the Assistant to
the Secretary of Defense (Public Affairs) Directorate for Freedom of
Information and Security Review on DD Form 2564, Annual Report--Freedom
of Information Act.
Sec. 806.14 Host-tenant relationship.
(a) The host base FOIA manager logs, processes, and reports FOIA
requests for tenant units. The host base FOIA office refers all
recommended denials and ``no records'' appeals to the tenant MAJCOM FOIA
manager.
(b) This host-tenant relationship does not apply to disclosure
authorities for specialized records, such as the Air Force Audit Agency
and the Air Force Office of Special Investigations.
Sec. 806.15 Processing FOIA requests.
All FOIA offices use the FOIA system to track and manage FOIA
requests. AFM 4-196 is the FOIA System End Users Manual.
(a) After receiving a FOIA request, the FOIA manager:
(1) Records the date and time of receiving the request, logs the
request in the FOIA system and sets a suspense date. For more than 10
FOIA requests, sets up a first-in, first-out system to process the
requests in the order received.
(2) Considers a request received when the FOIA office responsible
for processing the request receives it; and when the requester states a
willingness to pay fees set for his or her category (see Sec. 806.17),
has paid past FOIA debts, and has reasonably described the requested
records.
(3) Determines the fee according to the requester's category, writes
to requesters who have not made arrangements to pay for the information
and whose fees are more than $15, telling them the category and cost of
the request.
(4) Answers fee waiver requests before processing. Asks for more
justification, if needed to make a good decision. Do not consider this
notice a denial.
(5) Attaches DD Form 2086, Record of Freedom of Information (FOI)
Processing Cost, or DD 2086-1, Record of Freedom of Information (FOI)
Processing Cost for Technical Data, to each request. The OPR must
complete and return this form to the FOIA office. These forms give the
fees for charging, if any, and processing costs you use to prepare the
FOIA annual report.
(6) Writes the requester to acknowledge receipt of the request if
the date or postmark (whichever is later) is more than 10 workdays ago
and informs the requester of any unusual problems.
(7) Tells the requester if the record is not sufficiently described
and asks for more information. If possible, offers to help the requester
identify the requested records and tells what kind of information makes
searching for a record easier.
(8) Sends the request to the OPR who searches for the record and
decides whether to release it.
(9) Sends classified records with no OPR or functional equivalent to
SAF/AAIS, through the MAJCOM or FOA FOIA office, for HQ USAF/SP review.
Telephones SAF/AAIS before sending the records.
(10) Tells the requester in a letter sent within 10 workdays after
receiving the request of the final decision to release or deny the
records.
(11) When answering requests for lists of names and duty addresses,
tells requesters as early as possible about the mass mailing
restrictions outlined in AFI 37-125, Official Mail, Small Parcel and
Distribution Management (formerly AFR 4-50).
(12) Grants 10 additional workdays for one or more of three reasons:
(i) All or part of the requested records are not at the installation
processing the request.
(ii) Fulfilling the request means collecting and reviewing an
enormous number of records.
(iii) Other Air Fore activities or other agencies need to be
involved in deciding whether to release the records.
(13) Sends the requester a letter within 10 workdays, giving the
reason for the delay and a date (within 20 workdays after receiving the
request) when the requester can expect a final decision.
(14) Records extensions and reasons for them in the FOIA system.
[[Page 15]]
(15) Coordinates with the public affairs office if the requested
records are potentially newsworthy or if the news media sent the
request.
(16) Sends releasable records to requesters with a bill (if
appropriate).
(17) Sends a request the OPR wants to deny through the MAJCOM or FOA
FOIA office to the denial authority for a decision. The package must
include:
(i) The request.
(ii) A copy of the requested records.
(iii) The OPR's and SJA's written recommendations.
(iv) The exemption cited.
(v) The reason for denial.
(b) The OPR locates the information and recommends its release. In
cases where several OPRs have functional responsibility for the
information, the primary OPR is the one responsible for most of the
information in the document. The OPR:
(1) Works with the offices of collateral responsibility (OCR) inside
and outside the Air Force, considers the opinions and information they
provide, and makes the final release decision.
(2) Forwards records that need coordination with other Air Force
functional areas and outside agencies to the MAJCOM or FOA FOIA office,
which sends them to the appropriate FOI office for review and return for
final decision.
(3) Answers each functional request and follows FOIA denial
procedures for records withheld.
Sec. 806.16 Referrals.
A FOIA manager refers requests to another FOIA office after
consulting with them when the request asks for records or information
originated by someone other than the activity receiving the request or
when an OPR finds records in a search that belong to another activity.
(a) Refer FOIA requesters to sources that can provide unaltered
publications and processed documents, such as maps, charts, regulations,
and manuals to the public, with or without charge. For example, people
can obtain documents published in the Federal Register without using the
FOIA. The National Technical Information Service (NTIS), 5285 Port Royal
Road, Springfield, VA 22161, sells current Air Force standard numbered
(departmental) publications, but does not stock superseded, obsolete,
rescinded, classified, FOUO, limited (L), or ``X'' distribution Air
Force publications. FOIA requests for these publications go through
normal FOIA channels to the OPR for a release recommendation.
(b) Usually, tell the requester about the referral, identify the
record referred as security permits, and tell the requester to expect an
answer from the agency or activity receiving the referral.
(c) If a request would involve many referrals, tell the requester
where to address the request; don't refer it yourself.
(d) Before releasing records or information originated with the
National Security Council (NSC) or the White House, refer them through
the Office of the Assistant to the Secretary of Defense (Public Affairs)
Directorate for Freedom of Information (OATSD[PA]DFOISR), Washington DC
20301. The OATSD(PA) will consult with them and reply back to you.
(e) The General Accounting Office (GAO) is outside the Executive
Branch and not subject to the FOIA. However, if the FOIA manager
receives a FOIA request directly from the public or referred from GAO
for GAO documents that contain Air Force or DoD information, process the
request under FOIA.
Sec. 806.17 Categorizing requesters.
(a) Requesters' fees depend on which group they belong to:
(1) Category 1: Commercial. Requesters pay all search, review, and
duplication. To decide who belongs in this category find out how these
requesters will use the requested documents. If you are unsure how the
requester plans to use the records or the request itself does not
clearly state plans, seek additional information before you categorize
the request.
(2) Category 2: Educational or Noncommercial Scientific Institution
or News Media. Requesters get the first 100 copies free and pay for
additional copies. These requesters do not pay search or review charges.
Requesters who use requested records to write and spread
[[Page 16]]
news are not considered commercial requesters.
(3) Category 3: Others. Requesters get the first 2 hours of search
and the first 100 copies free. These requesters do not pay review
charges.
(b) Analyze each request to categorize the requester. If you think
the requester's category differs from what the requester claims, ask the
individual for more justification and say you cannot begin searching for
records until you have agreed on the category. If the requester does not
send the FOIA manager more justification in reasonable time (normally,
30 calendar days), the manager makes a final decision and notifies the
requester of the decision and of the right to appeal it.
(c) Tell requesters that you cannot begin to answer their requests
until they state they will pay the costs set for their category.
Sec. 806.18 Fee assessment.
The FOIA limits charges to search, review, and duplication based on
the requester's category.
(a) Estimate fees if the requester asks. Do not charge an amount
more than the estimate or the amount the requester agrees to unless the
requester first agrees to pay more.
(b) Search time includes all time spent looking for records to
respond to a request. Personnel must search efficiently to minimize both
the Air Force's and the requester's costs. Search efforts must be
thorough and include all locations and activities most likely to have
the requested records. Searches may include retired or staged records.
Time spent reviewing documents to decide whether statutory exemptions
apply counts as review time, not search time. For computer searches,
determine the first 2 free hours against the salary scale of the person
operating the computer.
(1) FOIA managers may charge for search time for the appropriate
category (and review time for commercial requesters only), if the
requester agreed in advance to pay, even if:
(i) A search does not uncover the requested records.
(ii) The records found are entirely exempt from disclosure.
(2) When estimated search charges exceed $25, tell the requester the
estimated fees, unless the requester has already indicated a willingness
to pay fees as high as the estimate. When feasible, offer the requester
the opportunity to restate the request so that the search costs less.
(c) Review is the process of examining documents to determine if one
or more of the statutory exemptions allows withholding. It also includes
the time it takes to excise information. Review does not include time
spent resolving general legal or policy issues on exemptions. FOIA
managers may only assess commercial requesters for initial review. This
does not include reviews at the appeal stage for exemptions already
applied, but it may include review to apply an exemption not previously
cited.
(d) Requesters pay only for copies of the records they actually
receive. Copies may be on paper, microfiche, audiovisual, or machine-
readable magnetic tape or disk, among other media. FOIA managers must
try hard to ensure copies are clear. If you cannot possibly provide a
clear copy, tell the requester that the copy is the best available and
that he or she can make an appointment to review the master copy. For
copies of computer tapes and audiovisual material, charge the actual
copying cost, including the operator's time.
(e) Before beginning or continuing work on a request, FOIA managers
may require advance payment from requesters:
(1) Who have not paid fees on time (usually within 30 calendar days)
in the past.
(2) Whose estimated fees are over $250, unless the requester always
pays promptly. In that case, give the requester an estimate and ask the
requester to ensure full payment.
(f) If the requester has always paid promptly, the FOIA manager
sends the records and requests payment at the same time.
(g) If a requester has not paid on time in the past, FOIA managers
may ask the requester to:
(1) Pay (or show proof of payment of) outstanding bills, plus
interest, for past FOIA requests. Consult 31 U.S.C.
[[Page 17]]
3717 for interest rates and coordinate with your accounting and finance
office.
(2) Pay estimated fees in advance.
(h) If a requester has no payment history, or has not paid on time
in the past, FOIA managers may ask the requester to pay after processing
the request but before sending the records.
(i) When employees with different hourly rates search for
information for an ``Other'' (Category 3) requester, waive the cost of
the most expensive 2 hours of search. Requesters receive the first 2
hours search (Category 3 requesters only) and the first 100 pages of
duplication (Categories 2 and 3) free only once per request. If you
complete your work and refer the request to another FOI office for
action, tell that FOI office how much time you spent searching and how
many pages you copied for the requester.
Sec. 806.19 Aggregating requests.
A requester may make many requests at once, each seeking parts of a
document or documents, just to avoid paying fees. When a requester or a
group of requesters breaks a request into many requests to avoid paying,
the FOIA manager may combine the requests and charge accordingly. Before
combining requests, be sure you have solid evidence that the requesters
are trying to avoid fees. Do not combine one requester's multiple
requests on unrelated subjects. Contact SAF/AAIQ before taking action.
Sec. 806.20 Fee waivers.
(a) Waive fees for requesters of all categories when:
(1) FOIA costs total $15 or less.
(2) A record is created voluntarily to save the cost of supplying
many records.
(3) A record previously withheld is released at small cost (e.g.,
$15 to $30).
(4) Releasing the information is likely to contribute significantly
to public understanding of the operations or activities of the DoD and
is not primarily in the commercial interest of the requester.
(b) A waiver in the public interest establishes the two basic
requirements below. Both must be met before you waive or reduce fees.
Use the following six factors. Begin with the first four factors to
determine ``public interest'' and then use the two remaining factors to
decide if release ``is not primarily in the commercial interest of the
requester.''
(1) Requirement 1. Is releasing the information in the public
interest business it will probably contribute significantly to public
understanding of the government's operations or activities?
(i) Factor 1--Subject of the Request. Analyze whether the subject
matter will significantly contribute to the public understanding of DoD
operations or activities. Requests made for records in DoD's possession
originated by nongovernment organizations for their intrinsic content
rather than informative value will likely not contribute to public
understanding of DoD operations or activities. Press clippings, magazine
articles, or records expressing an opinion or concern from a member of
the public regarding a DoD activity are such records. Releasing older
records may be relevant to current DoD activities, so do not discount it
under this factor simply because it is old. For example, a requester
might want historical records to study how a certain current DoD policy
evolved. Review these requests closely, comparing the requester's stated
purpose for the records and the potential for public understanding of
DoD operations and activities.
(ii) Factor 2--Informative Value. Closely analyze a record's
substantive contents to determine whether disclosure is meaningful, and
will inform the public on DoD operations or activities. While the
subject of a request may contain information concerning DoD operations
or activities it may not always help people understand these operations
or activities. One example is a heavily edited record, containing only
random words, fragmented sentences, or paragraph headings. Another
example is information already in the public domain.
(iii) Factor 3--General Public Will Understand the Subject Better.
Will the records' release inform, or have the potential to inform, the
public or just the requester or a few interested persons? Knowing the
requester's identity is essential to determine whether he or she
[[Page 18]]
plans to, and knows how to, communicate information to the public. Plans
to write a book, research a subject, work on a doctoral dissertation, or
indigency are not reason enough to waive fees. The requester must tell
how he or she plans to disclose the information to the general public.
You may ask requesters for their qualifications, the nature of their
research, the purpose of requesting information, and their plans for
making information public.
(iv) Factor 4--Significance of Public Understanding. Balance the
relative significance or impact of the disclosure against the level of
public knowledge or understanding that exists before disclosure. Records
released on a subject of wide public interest should contain previously
unknown facts that increase public knowledge. They should not duplicate
what the general public already knows. Determining the significance of
information requires objective judgment. Take care to determine whether
disclosure will probably lead to significant public understanding of the
issue. Do not judge whether the information is important enough to be
public.
(2) Requirement 2. Does disclosure of the information primarily mean
profit for the requester?
(i) Factor 5--Commercial Interest. If you determine the requester
will use the records to make a profit, then decide if it's primary, as
opposed to a personal or noncommercial interest. In addition to profit-
making organizations, individuals, and other organizations may have a
commercial interest in certain records. When you have difficulty
deciding whether a request is commercial in nature, the requester's
identity and the circumstances of the request may help. You may write to
the requester and ask for more details.
(ii) Factor 6--Primary Interest. After you have determined the
requester's commercial interest, decide if it is primary. Commercial
interests are primary only if the requester's profit clearly overrides a
personal or nonprofit interest. You must decide whether the commercial
interest outweighs any benefit to the public as a result of disclosure.
Waive or reduce fees when the public gains more than the requester. If
the requester's commercial interest is greater than the public interest,
do not waive or reduce fees even if public interest is significant. As
business organizations, news organizations have a commercial interest;
however, you can assume that their primary interest is giving the
general public news. Scholars writing books or engaging in other
academic research, may profit, either directly or indirectly (through
the institution they represent); however, such work is primarily done
for educational purposes. Usually you would not assess scholars fees.
Assume that brokers or others who compile government information for
marketing use the information for profit.
(iii) Decide each fee waiver case by case. When you have doubts
about waiving or charging a fee, favor the requester.
Sec. 806.21 Transferring fees to accounting and finance offices.
The Treasurer of the United States has two accounts for FOIA
receipts. Use account 3210, Sales of Publications and Reproductions,
Freedom of Information Act, for depositing fees for publications and
forms described in Federal Account Symbols and titles. Use receipt
account 3210, Fees and Other Charges for Services, Freedom of
Information Act, to deposit fees for searching for, copying, and
reviewing records to provide information not in existing publications or
forms. Add your disbursing office's prefix to the account numbers.
Deposit all FOIA receipts in these accounts except those from
industrially funded and nonappropriated funded activities. Deposit these
receipts in the applicable fund.
Sec. 806.22 Fee rates.
(a) These fees apply only to FOIA requests. Part 813 of this
chapter, Schedule of Fees for Copying, Certifying and Searching Records
and Other Documentary Material, contains the fee schedule for non-FOIA
services. Refer to Part 806B of this chapter for guidance on fees for PA
requests.
(b) Search and review:
(1) Clerical (E9 and GS-8 and below)--$12 an hour.
(2) Professional (01-06 and GS-9-GS/GM-15)--$25 an hour.
[[Page 19]]
(3) Executive (07 and GS-16/ES1 and above)--$45 an hour.
(c) Computer search fees are based on direct costs of the central
processing unit, input-output devices, and memory capacity of the actual
computer configuration. Also include the salary scale (equal to hourly
rates above) for the computer operator or programmer who planned and
carried out the search.
(d) Duplication:
(1) Preprinted material--$.02 per page.
(2) Office copies--$.15 per page.
(3) Microfiche--$.25 per page.
(4) Computer copies (tapes or printouts)--actual cost of duplicating
the tape or printout, including operator's time and tape cost.
(e) Copying cost for audiovisual documents is the actual cost of
reproducing the material, including the wage of the person doing the
work. Audiovisual materials given to a requester need not be
reproducible.
(f) Special Services. Includes certifying that records are true
copies and sending records by express mail. You may recover their costs
if the requester clearly asks for and agrees to pay for them.
Sec. 806.23 Technical data.
Technical data does not include computer software or data used for
contract administration, such as financial and management information.
If the FOIA requires, release technical data (not including critical
technology with military or space application) after the requester pays
all reasonable costs for search, duplication, and review.
Sec. 806.24 Technical data fee rates.
(a) Clerical search and review--$13.25 an hour. Minimum charge--
$8.30. Professionals and executives--set rate before beginning at actual
hourly rate. Minimum charge is \1/2\ of hourly rate.
(b) Copying rates depend on the type of record. If this list does
include the product, use the fair market value.
(1) Aerial photographs, specifications, permits, charts, blueprints,
and other technical documents--$2.50 each.
(2) Microfilmed engineering data aperture cards (silver duplicate
negatives)--$.75 per card.
(3) Silver duplicate negatives, keypunched and verified--$.85 per
card.
(4) Diazo duplicate negatives--$.65 per card.
(5) Diazo duplicate negatives keypunched and verified--$.75 per
card.
(6) Engineering data on 35mm roll film--$.50 per frame.
(7) Engineering data 16mm roll film--$.45 per frame.
(8) Engineering paper prints and drawings--$1.50 each.
(9) Reprints of microfilm indices--$.10 each.
(10) Office copies--$3.50 for up to six images. Each additional
image--$.10.
(11) Typewritten pages--$3.50 each.
(12) Certification and validation with seal--$5.20.
(13) Hand-drawn plots and sketches--$12 an hour or less.
(14) Fee Waivers for Technical Data. Waive the fees if they are more
than regular FOIA fee rates if a citizen or a US corporation asks and
certifies the need for technical data to submit (or assess its ability
to submit) an offer to supply the United States or its contractor with a
product related to the technical data. You may ask the citizen or
corporation for a deposit of not more than what fulfilling the request
costs. When the citizen or coporation submits the offer, refund the
deposit. Also waive charges:
(15) If a requester needs technical data to meet the terms of an
international agreement.
(16) If you decide, using regular FOIA fee waiver guidance, that a
waiver is in the interest of the United States.
Sec. 806.25 Appeals.
Requesters may appeal denials of records, category determinations,
fee waiver requests, and ``no records'' determinations by writing to the
Office of the Secretary of the Air Force, within 60 calendar days after
the date of the denial letter. A requester who sends the appeal after 60
calendar days, should explain the reason for the delay.
(a) Requesters who appeal have exhausted all administrative remedies
within the Department of the Air Force and The Office of the General
Counsel to the Secretary of the Air Force (SAF/GC) makes a final
decision. Requesters must address all appeals to
[[Page 20]]
the Office of the Secretary of the Air Force, through the MAJCOM or FOA
FOIA office that denied the request. Requesters should attach a copy of
the denial letter to their appeal and give their reasons for appealing.
(b) After coordinating with the local SJA (and the OPR, if
appropriate), MAJCOM and FOA FOIA offices send all appeals, including
late submissions, to Air Force Legal Services Agency (AFLSA/JACL) for
determination, unless they have reconsidered and approved the request.
MAJCOM and FOA FOIA offices give appeals priority. They do not have 20
workdays to process an appeal.
(c) Requesters must appeal denials involving Office of Personnel
Management's controlled civilian personnel records to the Office of the
General Counsel, Office of Personnel Management, 1900 E Street NW,
Washington DC 20415.
(d) When sending appeals to AFLSA/JACL, attach:
(1) The original appeal letter and envelope.
(2) The initial request and any attachments.
(3) The denial letter, with an index of the denied material, if
applicable.
(4) Copies of all records you have already provided; or if the
records are massive (Several cubic feet) and AFLSA/JACL agrees, an index
or description of released records.
(5) Copies of all administrative processing documents, including
extension letters and opinions and recommendations about the request.
(6) Copy of the denied record or denied portions of it marked to
show what you withheld. If the records are massive and AFLSA/JACL
agrees, you may substitute a detailed description of the documents.
(7) A point-by-point discussion of factual and legal arguments the
requester's appeal contains and, proof that the denial authority
considered and rejected these arguments and why.
(8) An explanation of the decisionmaking process for intraagency
documents denied under the deliberative process privilege and how the
denied material fits into that process.
(e) Assemble appeal packages:
(1) Arrange attachments in the order listed in paragraph (d) of this
section. Use tabbed dividers to separate attachments.
(2) List all attachments in your cover letter.
(3) Include the name of the person to contact and a phone number.
(f) AFLSA/JACL sends the appeal of the Office of the General
Counsel, who makes a final determination. The law requires a final
decision within 20 workdays after receipt of the appeal letter. The 20
days begins when the denial authority's FOIA office receives the appeal.
The time limit includes processing actions by all levels. If a final
determination cannot be made within 20 days, AFLSA/JACL writes to the
requester to acknowledge the appeals' receipt and to explain the delay.
If SAF/GC upholds the denial, in whole or in part, SAF/GC tells the
requester, explains reasons for the denial, and tells the requester
about judicial review rights. If SAF/GC grants the appeal, that office
tells the requester in writing and releases, or directs the release of,
the record.
(g) For ``no records'' determinations, search again, if warranted,
or verify the first search. Include in the package you send to AFLSAS/
JACL any letters that show you systematically tried to find records.
Tell, for example, what areas or offices you search for how you
conducted the search--manually, by computer, by telephone, etc.
(h) For appeals to denials of fee waiver requests, fully account for
actual and estimated costs with a copy of the DD 2086 or DD Form 2086-1.
Sec. 806.26 For Official Use Only (FOUO).
FOUO is not a classification. Information marked FOUO must meet the
criteria for exemptions 2 through 9, or you cannot withhold it. Do not
consider or mark any other records FOUO.
(a) Originators mark records when they create them to call attention
to FOUO content. An FOUO marking does not mean you must withhold a
record under the FOIA. You still need to review a requested record.
Examine records with and without markings to identify information that
needs protection and is exempt from public release
[[Page 21]]
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:
This document contains information EXEMPT FROM MANDATORY DISCLOSURE
UNDER THE FOIA. Exemption(s) . . . . . . applies (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 FOUO 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 handling. 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.
[[Page 22]]
(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.
(h) Destroy FOUO materials by tearing them up so no one can put 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.
(i) 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.
Appendix A to Part 806--Glossary of Terms
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 FOIA.
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
[[Page 23]]
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 possession 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 Sec. 806.15(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.
Appendix B to Part 806--Requirements 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.
(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 information
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
[[Page 24]]
disclosure of which would adversely impact its potential market value.
(g) If release of the subject material would prejudice your
commercial interests, give detailed written reasons that identify the
specific 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 deleting key words or phrases would adequately protect your
interests.
(h) If you do not prove the probability of substantial harm to your
competitive position or other commercial interests, we may be required
to release the information. Records qualify for protections case by
case.
PART 806b-AIR FORCE PRIVACY ACT PROGRAM--Table of Contents
Subpart A-Overview of the Privacy Act Program
Sec.
806b.1 Basic guidelines.
806b.2 Violation penalties.
806b.3 Personal notes.
806b.4 Responsibilities.
Subpart B-Obtaining Law Enforcement Records and Promises of
Confidentiality
806b.5 Obtaining law enforcement records.
806b.6 Promising confidentiality.
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
806b.10 Making a request for access.
806b.11 Processing a request for access.
806b.12 Fees.
806b.13 Denying or limiting access.
806b.14 Denial authorities.
Subpart E-Amending the Record
806b.15 Amendment reasons.
806b.16 Responding to amendment requests.
806b.17 Approving or denying a record amendment.
806b.18 Seeking review of unfavorable agency determinations.
806b.19 Appeal procedures.
806b.20 Contents of Privacy Act case files.
Subpart F-Privacy Act Notifications
806b.21 When to include a Privacy Act warning statement in
publications.
806b.22 Publishing system notices.
806b.23 Timing of notices.
Subpart G-Protecting and Disposing of Records
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.
806b.29 Authorizing exemptions.
806b.30 Approved exemptions.
Subpart I-Disclosing Records to Third Parties
806b.31 Disclosure considerations.
806b.32 Disclosing information for which consent is not required.
806b.33 Disclosing other information.
806b.34 Agencies or individuals to whom the Air Force may release
privacy information.
806b.35 Disclosing the medical records of minors.
806b.36 Disclosure accounting.
806b.37 Computer matching.
Subpart J-Training
806b.38 Who needs training.
806b.39 Training tools.
Subpart K-Privacy Act Reporting
806b.40 Privacy act report (RCS: DD-DA&M(A)1379).
Appendix A to part 806b--Glossary of References, Abbreviations,
Acronyms, and Terms
Appendix B to part 806b--Preparing a System Notice
Appendix C to part 806b--General and Specific Exemptions
Authority: Pub. L. 93-579, 88 Stat. 1896 (5 U.S.C. 552a).
Source: 59 FR 53099, Oct. 21, 1994, unless otherwise noted.
Subpart A--Overview of the Privacy Act Program
Sec. 806b.1 Basic guidelines.
The Privacy Act of 1974 and this part apply only to information in
Air Force systems of records on living United
[[Page 25]]
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.
Sec. 806b.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:
(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.
Sec. 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.
Sec. 806b.4 Responsibilities.
(a) The Administrative Assistant to the Secretary of the Air Force
(SAF/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 (SAF/AAI), through the
Access Programs Office of the Policy Division, (SAF/AAIA):
(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.
(4) Review all publications and forms for compliance with this part.
[[Page 26]]
(5) Review system notices.
(6) Investigate complaints.
(7) Staff denial recommendations (at MAJCOMs and FOAs only).
(g) System Managers:
(1) Decide the need for, and content of systems.
(2) Manage and safeguard the system.
(3) Train personnel on Privacy Act requirements.
(4) Protect records from unauthorized disclosure, alteration, or
destruction.
(5) Prepare system notices and reports.
(6) Answer Privacy Act requests.
(7) Keep records of disclosures.
(8) Evaluate the systems annually.
(h) Privacy Act Monitors (PAM):
(1) Are the focal point in their functional area for general Privacy
Act questions and correspondence.
(2) Maintain a list of all systems of records and system managers in
their area.
(3) Act as liaison with the Privacy Act Officer.
(4) Maintain statistics for the annual Privacy Act report.
Subpart B--Obtaining Law Enforcement Records and Promises of
Confidentiality
Sec. 806b.5 Obtaining law enforcement records.
The Commander AFOSI; the Chief, Air Force Security Police Agency
(AFSPA); MAJCOM, FOA, and base chiefs of security police; AFOSI
detachment commanders; and designees of those offices may ask another
agency for records for law enforcement under 5 U.S.C. 552a(b)(7). The
requesting office must indicate in writing the specific part of the
record desired and identify the law enforcement activity asking for the
record.
Sec. 806b.6 Promising confidentiality.
Record promises of confidentiality to exempt from disclosure any
`confidential' information under subsections (k)(2), (k)(5), or (k)(7)
of the Privacy Act.
Subpart C--Collecting Personal Information
Sec. 806b.7 How to collect personal information.
Collect personal information directly from the subject of the record
when possible. You may ask third parties when:
(a) You must verify information.
(b) You want opinions or evaluations.
(c) You can't contact the subject.
(d) The subject asks you.
Sec. 806b.8 When to give Privacy Act statements (PAS).
(a) Give a PAS orally or in writing:
(1) To anyone from whom you are collecting personal information that
will be put in a system of records.
(2) Whenever you ask someone for his or her Social Security Number
(SSN).
Note: Do this regardless of how you collect or record the answers.
You may display a sign in areas where people routinely furnish this kind
of information. Give a copy of the PAS if asked. Do not ask the person
to sign the PAS.
(3) A PAS must include four items:
(i) Authority: The legal authority, that is, the United States Code
or Executive Order authorizing the program the system supports.
(ii) Purpose: The reason you are collecting the information.
(iii) Routine Uses: A list of where and why the information will be
disclosed outside DoD.
(iv) Disclosure: Voluntary or Mandatory. (Use Mandatory only when
disclosure is required by law and the individual will be penalized for
not providing information.) Include any consequences of nondisclosure in
nonthreatening language.
Sec. 806b.9 Requesting the social security number (SSN).
(a) Do not deny people a legal right, benefit, or privilege for
refusing to give their SSNs unless the law requires disclosure, or a law
or regulation adopted before January 1, 1975, required the SSN and the
Air Force uses it to verify a person's identity in a system of records
established before that date. When you ask for an SSN to create a
record, tell the individual:
[[Page 27]]
(1) The statute, regulation, or rule authorizing you to ask for the
SSN.
(2) The uses that will be made of the SSN.
(3) If he or she is legally obligated to provide the SSN.
(b) The Air Force requests an individual's SSN and provides the
individual information required by law when anyone enters military
service or becomes an Air Force civilian employee. The Air Force uses
the SSN as a service or employment number to reference the individual's
official records. When you ask someone for an SSN as identification (ID)
to retrieve an existing record, you do not have to restate this
information.
(c) Executive Order 9397, November 22, 1943, authorizes using the
SSN as a personal identifier. This order is not adequate authority to
collect an SSN to create a record. When law does not require disclosing
the SSN or when the system of records was created after January 1, 1975,
you may ask for the SSN, but the individual does not have to disclose
it. If the individual refuses to respond, use alternative means of
identifying records.
(d) SSNs are personal and unique to each individual. Protect them as
FOR OFFICIAL USE ONLY (FOUO). Do not disclose them to anyone without an
official need to know.
Subpart D--Giving Access to Privacy Act Records
Sec. 806b.10 Making a request for access.
Persons or their designated representatives may ask for a copy of
their records in a system of records. Requesters need not state why they
want access to their records. Verify the identity of the requester to
avoid unauthorized disclosures. How you verify identity will depend on
the sensitivity of the requested records. Persons without access to
notary services may use an unsworn declaration in the following format:
`I declare under penalty of perjury (if outside the United States, add
`under the laws of the United States of America') that the foregoing is
true and correct. Executed on (date). (Signature).'
Sec. 806b.11 Processing a request for access.
Consider a request from an individual for his or her own records in
a system of records under both the Freedom of Information Act (FOIA) and
the Privacy Act regardless of the Act cited. The requester need not cite
any Act. Process the request under whichever Act gives the most
information. When necessary, tell the requester under which Act you
processed the request and why.
(a) Requesters should describe the records they want. They do not
have to name a system of records number, but they should at least name a
type of record or functional area. For requests that ask for `all
records about me,' ask for more information and tell the person how to
review the Air Force systems of records published in the Federal
Register or in AFDIR 37-144 \1\, `Privacy Act Systems of Record'
(formerly AFR 4-36).
---------------------------------------------------------------------------
\1\ Copies may be obtained at cost from the National Technical
Information Service, 5285 Port Royal Road, Springfield, VA 22161.
---------------------------------------------------------------------------
(b) Requesters should not use government equipment, supplies,
stationery, postage, telephones, or official mail channels for making
Privacy Act requests. Privacy Act Officers and system managers process
such requests but tell requesters that using government resources to
make Privacy Act requests is not authorized.
(c) Tell the requester if a record exists and how to review the
record. If possible, respond to requests within 10 workdays of receiving
them. If you cannot answer the request in 10 workdays, send a letter
explaining why and give an approximate completion date no more than 20
workdays after the first office received the request.
(d) Show or give a copy of the record to the requester within 30
workdays of receiving the request unless the system is exempt and the
Air Force lists the exemption in appendix C of this part; or published
as a final rule in the Federal Register. Give information in a form the
requester can understand.
(e) If the requester wants another person present during the record
review, the system manager may ask for
[[Page 28]]
written consent to authorize discussing the record with another person
present.
Sec. 806b.12 Fees.
Give the first 100 pages free, and charge only reproduction costs
for the remainder. Copies cost $.15 per page; microfiche costs $.25 per
fiche. Charge the fee for the first 100 pages if records show that the
Air Force already responded to a request for the same records at no
charge. Do not charge fees:
(a) When the requester can get the record without charge under
another publication (for example, medical records).
(b) For search.
(c) For reproducing a document for the convenience of the Air Force.
(d) For reproducing a record so the requester can review it.
Sec. 806b.13 Denying or limiting access.
Process access denials within five workdays after you receive a
request for access. When you may not release a record, send a copy of
the request, the record, and why you recommend denying access (including
the applicable exemption) to the denial authority through the Staff
Judge Advocate (SJA) and the Privacy Act officer. The SJA gives a
written legal opinion on the denial. The MAJCOM or FOA Privacy Act
officer reviews the file, gets written advice from the SJA and the
functional office of primary responsibility (OPR), and makes a
recommendation to the denial authority. The denial authority sends the
requester a letter with the decision. If the denial authority grants
access, release the record. If the denial authority refuses access, tell
the requester why and explain pertinent appeal rights.
(a) Before you deny a request for access to a record, make sure
that:
(1) The system has an SAF approved exemption.
(2) The exemption covers each document.
(3) Nonexempt parts are segregated.
(b) You may refuse to give out medical records if a physician
believes that doing so could harm the person's mental or physical
health. You have these options:
(1) Ask the requester to get a letter from a physician to whom you
can send the records. Include a letter explaining to the physician that
giving the records directly to the individual could be harmful.
(2) Offer the services of a military physician other than one who
provided treatment if naming the physician poses a hardship on the
individual.
(c) Do not delete third-party information from a record when the
subject requests access, except as noted in Sec. 806b.13(d), unless the
Air Force covers the record with an established exemption (appendix C of
this part). Presume that all information in a file pertains to the
subject of the file.
(d) Do not release third-party personal data (such as SSN and home
address). This action is not a denial.
(e) Withhold records compiled in connection with a civil action or
other proceeding including any action where the Air Force expects
judicial or administrative adjudicatory proceedings. This exemption does
not cover criminal actions. Do not release attorney work products
prepared before, during, or after the action or proceeding.
Sec. 806b.14 Denial authorities.
These officials or a designee may deny access or amendment of
records. Send a letter to SAF/AAIA with the position titles of
designees. You must get SAF/AA approval before delegating this authority
to a lower level. Send requests for waiver with justification to SAF/
AAIA. Authorities are:
(a) DCSs and chiefs of comparable offices or higher level at SAF or
HQ USAF.
(b) MAJCOM or FOA commanders.
(c) HQ USAF/DPCP, Pentagon, Washington, DC 20330-5060 (for civilian
personnel records).
(d) Commander, Air Force Office of Special Investigations (AFOSI),
Washington, DC 20332-6001 (for AFOSI records).
Subpart E--Amending the Record
Sec. 806b.15 Amendment reasons.
Individuals may ask to have their records amended to make them
accurate, timely, relevant, or complete. System managers routinely
correct a
[[Page 29]]
record if the requester can show that it is factually wrong.
Sec. 806b.16 Responding to amendment requests.
(a) Anyone may request minor corrections orally. Requests for more
serious modifications should be in writing.
(b) After verifying the identity of the requester, make the change,
notify all known recipients of the record, and inform the individual.
(c) Acknowledge requests within 10 workdays of receipt. Give an
expected completion date unless you complete the change within that
time. Final decisions must take no longer than 30 workdays.
Sec. 806b.17 Approving or denying a record amendment.
The Air Force does not usually amend a record when the change is
based on opinion, interpretation, or subjective official judgment. This
action constitutes a denial, and requesters may appeal. If the system
manager decides not to amend or partially amend the record, send a copy
of the request, the record, and the recommended denial reasons to the
denial authority through the SJA and the Privacy Act officer. SJAs will
include a legal opinion.
(a) The MAJCOM or FOA Privacy Act officer reviews the proposed
denial, gets a legal opinion from the SJA and written advice from the
functional OPR, and makes a recommendation to the denial authority.
(b) The denial authority sends the requester a letter with the
decision. If the denial authority approves the request, amend the record
and notify all previous recipients that it has been changed. If the
authority denies the request, give the requester the statutory
authority, reason, and pertinent appeal rights.
Sec. 806b.18 Seeking review of unfavorable agency determinations.
Requesters should pursue record corrections of subjective matters
and opinions through proper channels to the Civilian Personnel Office
using grievance procedures or the Air Force Board for Correction of
Military Records (AFBCMR). Record correction requests denied by the
AFBCMR are not subject to further consideration under this part.
Sec. 806b.19 Appeal procedures.
(a) Individuals may request a denial review by writing to the
Secretary of the Air Force through the denial authority within 60
calendar days after receiving a denial letter. The denial authority
promptly sends a complete appeal package to SAF/AAIA, including:
(1) Original appeal letter.
(2) Initial request.
(3) Initial denial.
(4) Copy of the record.
(5) Any internal records or coordination actions relating to the
denial.
(6) Denial authority's comments on the appellant's arguments.
(7) Legal reviews.
(b) If the denial authority reverses an earlier denial and grants
access or amendment, notify the requester immediately.
(c) SAF/AAIA reviews the denial and forwards to SAF/GCA for legal
review or staffing to grant or deny the appeal. SAF/GCA tells the
requester the final Air Force decision and explains judicial review
rights.
(d) The requester may file a concise statement of disagreement with
the system manager if SAF/GCA denies the request to amend the record.
SAF/GCA explains the requester's rights when they issue the final appeal
decision.
(1) The records should clearly show that a statement of disagreement
is filed with the record or separately.
(2) The disputed part of the record must show that the requester
filed a statement of disagreement.
(3) Give copies of the statement of disagreement to the record's
previous recipients. Inform subsequent record users about the dispute
and give them a copy of the statement with the record.
(4) The system manager may include a brief summary of the reasons
for not amending the record. Limit the summary to the reasons SAF/GCA
gave to the individual. The summary is part of the individual's record,
but it is not subject to amendment procedures.
[[Page 30]]
Sec. 806b.20 Contents of Privacy Act case files.
Do not keep copies of disputed records in this file. Use the file
solely for statistics and to process requests. Do not use the case files
to make any kind of determination about an individual. Document reasons
for untimely responses. These files include:
(a) Requests from and replies to individuals on whether a system has
records about them.
(b) Requests for access or amendment.
(c) Approvals, denials, appeals, and final review actions.
(d) Coordination actions and related papers.
Subpart F--Privacy Act Notifications
Sec. 806b.21 When to include a Privacy Act warning statement in publications.
Include a Privacy Act Warning Statement in each Air Force
publication that requires collecting or keeping personal information in
a system of records. Also include the warning statement when
publications direct collection of the SSN from the individual. The
warning statement will cite legal authority and the system of records
number and title. You can use the following warning statement: `This
part requires collecting and maintaining information protected by the
Privacy Act of 1974 authorized by (U.S.C. citation and or Executive
Order number). System of records notice (number and title) applies.'
Sec. 806b.22 Publishing system notices.
The Air Force must publish notices in the Federal Register of new,
amended, and deleted systems to inform the public of what records the
Air Force keeps and give them an opportunity to comment. The Privacy Act
also requires submission of new or significantly altered systems to the
Office of Management and Budget (OMB) and both houses of the Congress
before publication in the Federal Register. This includes:
(a) Starting a new system.
(b) Instituting significant changes to an existing system.
(c) Sending out data collection forms or instructions.
(d) Issuing a request for proposal or invitation for bid to support
a new system.
Sec. 806b.23 Timing of notices.
At least 120 days before the effective start date, system managers
must send the system notice to SAF/AAIA on a 5 1/4 or 3 1/2-inch disk in
Wordstar (ASCII text file) or Microsoft Word, with a paper copy
highlighting any changes through the MAJCOM or FOA Privacy Act Officer.
See Appendix B of this part for a sample system notice.
Subpart G--Protecting and Disposing of Records
Sec. 806b.24 Protecting records.
Protect information according to its sensitivity level. Consider the
personal sensitivity of the information and the risk of loss or
alteration. Most information in systems of records is FOR OFFICIAL USE
ONLY (FOUO). Refer to AFI 37-131 \2\, `Air Force Freedom of Information
Act Program,' for protection methods.
---------------------------------------------------------------------------
\2\ See footnote 1 to section 806b.11, of this part.
---------------------------------------------------------------------------
Sec. 806b.25 Balancing protection.
Balance additional protection against risk and cost. AF Form 3227,
`Privacy Act Cover Sheet', is available for use with Privacy Act
material. For example, a password may be enough protection for an
automated system with a log-on protocol. Classified computer systems or
those with established audit and password systems are obviously less
vulnerable than unprotected files or word processors in offices that are
periodically empty. Follow AFI 33-202 \3\, `The Air Force Computer
Security Program,' for procedures on safeguarding personal information
in automated records.
---------------------------------------------------------------------------
\3\ See footnote 1 to section 806b.11, of this part.
---------------------------------------------------------------------------
Sec. 806b.26 Disposing of records.
You may use the following methods to dispose of records protected by
the Privacy Act according to records retention schedules:
[[Page 31]]
(a) Destroy by any method that prevents compromise, such as tearing,
burning, or shredding, so long as the personal data is not recognizable
and beyond reconstruction.
(b) Degauss or overwrite magnetic tapes or other magnetic medium.
(c) Dispose of paper products through the Defense Reutilization and
Marketing Office (DRMO) or through activities who manage a base-wide
recycling program. The recycling sales contract must contain a clause
requiring the contractor to safeguard privacy material until its
destruction and to pulp, macerate, shred, or otherwise completely
destroy the records. Originators must safeguard Privacy Act material
until it is transferred to the recycling contractor. A federal employee
or, if authorized, a contractor employee must witness the destruction.
This transfer does not require a disclosure accounting.
Subpart H--Privacy Act Exemptions
Sec. 806b.27 Requesting an exemption.
A system manager who believes that a system needs an exemption from
some or all of the requirements of the Privacy Act should send a request
to SAF/AAIA through the MAJCOM or FOA Privacy Act Officer. The request
should detail the reasons for the exemption and the section of the Act
that allows the exemption. SAF/AAIA gets approval for the request
through SAF/AA and the Defense Privacy Office.
Sec. 806b.28 Exemption types.
(a) A general exemption frees a system from most parts of the
Privacy Act.
(b) A specific exemption frees a system from only a few parts of the
Privacy Act.
Sec. 806b.29 Authorizing exemptions.
Only SAF/AA can exempt systems of records from any part of the
Privacy Act. Denial authorities can withhold records using these
exemptions only if SAF/AA previously approved and published an exemption
for the system in the Federal Register. Appendix C of this part lists
the systems of records that have approved exemptions.
Sec. 806b.30 Approved exemptions.
Approved exemptions exist under 5 U.S.C. 552a for:
(a) Certain systems of records used by activities whose principal
function is criminal law enforcement (subsection (j)(2)).
(b) Classified information in any system of records (subsection
(k)(1)).
(c) Law enforcement records (other than those covered by subsection
(j)(2)). The Air Force must allow an individual access to any record
that is used to deny rights, privileges or benefits to which he or she
would otherwise be entitled by federal law or for which he or she would
otherwise be eligible as a result of the maintenance of the information
(unless doing so would reveal a confidential source) (subsection
(k)(2)).
(d) Statistical records required by law. Data is for statistical use
only and may not be used to decide individuals' rights, benefits, or
entitlements (subsection (k)(4)).
(e) Data to determine suitability, eligibility, or qualifications
for federal service or contracts, or access to classified information if
access would reveal a confidential source (subsection (k)(5)).
(f) Qualification tests for appointment or promotion in the federal
service if access to this information would compromise the objectivity
of the tests (subsection (k)(6)).
(g) Information which the Armed Forces uses to evaluate potential
for promotion if access to this information would reveal a confidential
source (subsection (k)(7)).
Subpart I--Disclosing Records to Third Parties
Sec. 806b.31 Disclosure considerations.
Before releasing personal information to third parties, consider the
consequences, check accuracy, and make sure that no law or directive
bans disclosure. You can release personal information to third parties
when the subject agrees orally or in writing. Air Force members consent
to releasing
[[Page 32]]
their home telephone number and address when they sign and check the `Do
Consent' block on the AF Form 624, `Base/Unit Locator and PSC Directory'
(see AFI 37-129 \4\, `Base and Unit Personnel Locators and Postal
Directories').
---------------------------------------------------------------------------
\4\ See footnote 1 to section 806b.11, of this part.
---------------------------------------------------------------------------
(a) Before including personal information such as home addresses,
home phones, and similar information on social rosters or directories,
ask for written consent statements. Otherwise, do not include the
information.
(b) You must get written consent before releasing any of these items
of information:
(1) Marital status.
(2) Number and sex of dependents.
(3) Gross salary of military personnel (see Sec. 806b.32 for
releasable pay information).
(4) Civilian educational degrees and major areas of study.
(5) School and year of graduation.
(6) Home of record.
(7) Home address and phone.
(8) Age and date of birth.
(9) Present or future assignments for overseas or for routinely
deployable or sensitive units.
(10) Office and unit address and duty phone for overseas or for
routinely deployable or sensitive units.
Sec. 806b.32 Disclosing information for which consent is not required.
You don't need consent before releasing any of these items:
(a) Information releasable under the FOIA.
(b) Information for use within the Department of Defense by
officials or employees with a need to know.
(c) Name.
(d) Rank.
(e) Grade.
(f) Air Force specialty code (AFSC).
(g) Pay (including base pay, special pay, all allowances except
Basic Allowance for Quarters (BAQ) and Variable Housing Allowance
(VHA)).
(h) Gross salary for civilians.
(i) Past duty assignments.
(j) Present and future approved and announced stateside assignments.
(k) Position title.
(l) Office, unit address, and duty phone number.
(m) Date of rank.
(n) Entered on active duty (EAD) date.
(o) Pay date.
(p) Source of commission.
(q) Professional military education.
(r) Promotion sequence number.
(s) Military awards and decorations.
(t) Duty status of active, retired, or reserve.
(u) Active duty official attendance at technical, scientific, or
professional meetings.
(v) Biographies and photos of key personnel.
Sec. 806b.33 Disclosing other information.
Use these guidelines to decide whether to release information:
(a) Would the subject have a reasonable expectation of privacy in
the information requested?
(b) Would disclosing the information benefit the general public? The
Air Force considers information as meeting the public interest standard
if it reveals anything regarding the operations or activities of the
agency, or performance of its statutory duties.
(c) Balance the public interest against the individual's probable
loss of privacy. Do not consider the requester's purpose, circumstances,
or proposed use.
Sec. 806b.34 Agencies or individuals to whom the Air Force may release privacy information.
The Air Force may release information without consent to these
individuals or agencies:
(a) Agencies outside the Department of Defense for a Routine Use
published in the Federal Register. The purpose of the disclosure must be
compatible with the purpose in the Routine Use. When initially
collecting the information from the subject, the Routine Uses block in
the Privacy Act Statement must name the agencies and reason.
(b) The Bureau of the Census to plan or carry out a census or survey
under 13 U.S.C. 8.
(c) A recipient for statistical research or reporting. The recipient
must give advanced written assurance that
[[Page 33]]
the information is for statistical purposes only.
Note: No one may use any part of the record to decide on
individuals' rights, benefits, or entitlements. You must release records
in a format that makes it impossible to identify the real subjects.
(d) The Archivist of the United States and the National Archives and
Records Administration (NARA) to evaluate records for permanent
retention. Records stored in Federal Records Centers remain under Air
Force control.
(e) A federal, state, or local agency (other than the Department of
Defense) for civil or criminal law enforcement. The head of the agency
or a designee must send a written request to the system manager
specifying the record or part needed and the law enforcement purpose.
The system manager may also disclose a record to a law enforcement
agency if the agency suspects a criminal violation. This disclosure is a
Routine Use for all Air Force systems of records and is published in the
Federal Register.
(f) An individual or agency that needs the information for
compelling health or safety reasons. The affected individual need not be
the record subject.
(g) The Congress, a congressional committee, or a subcommittee, for
matters within their jurisdictions.
(h) A congressional office acting for the record subject. A
published, blanket Routine Use permits this disclosure. If the material
for release is sensitive, get a release statement.
(i) The Comptroller General or an authorized representative of the
General Accounting Office on business.
(j) A court order of a court of competent jurisdiction, signed by a
judge.
(k) A consumer credit agency according to the Debt Collections Act
when a published system notice lists this disclosure as a Routine Use.
(l) A contractor operating a system of records under an Air Force
contract. Records maintained by the contractor for the management of
contractor employees are not subject to the Privacy Act.
Sec. 806b.35 Disclosing the medical records of minors.
Air Force personnel may disclose the medical records of minors to
their parents or legal guardians. The laws of each state define the age
of majority.
(a) The Air Force must obey state laws protecting medical records of
drug or alcohol abuse treatment, abortion, and birth control. If you
manage medical records, learn the local laws and coordinate proposed
local policies with the servicing SJA.
(b) Outside the United States (overseas), the age of majority is 18.
Unless parents or guardians have a court order granting access or the
minor's written consent, they will not have access to minor's medical
records overseas when the minor sought or consented to treatment between
the ages of 15 and 17 in a program where regulation or statute provides
confidentiality of records and he or she asked for confidentiality.
Sec. 806b.36 Disclosure accountings.
System managers must keep an accurate record of all disclosures made
from any system of records except disclosures to DoD personnel for
official use or disclosures under the FOIA. System managers may use AF
Form 771, `Accounting of Disclosures'.
(a) System managers may file the accounting record any way they want
as long as they give it to the subject on request, send corrected or
disputed information to previous record recipients, explain any
disclosures, and provide an audit trail for reviews. Include in each
accounting:
(1) Release date.
(2) Description of information.
(3) Reason for release.
(4) Name and address of recipient.
(b) Some exempt systems let you withhold the accounting record from
the subject.
(c) You may withhold information about disclosure accountings for
law enforcement purposes at the law enforcement agency's request.
Sec. 806b.37 Computer matching.
Computer matching programs electronically compare records from two
or more automated systems which may include the Department of Defense,
another federal agency, or a state or
[[Page 34]]
other local government. A system manager proposing a match that could
result in an adverse action against a federal employee must meet these
requirements of the Privacy Act:
(a) Prepare a written agreement between participants.
(1) Secure approval of the Defense Data Integrity Board.
(2) Publish a matching notice in the Federal Register before
matching begins.
(3) Ensure full investigation and due process.
(4) Act on the information, as necessary.
(b) The Privacy Act applies to matching programs that use records
from:
(1) Federal personnel or payroll systems.
(2) Federal benefit programs where matching:
(i) Determines federal benefit eligibility,
(ii) Checks on compliance with benefit program requirements,
(iii) Recovers improper payments or delinquent debts from current or
former beneficiaries.
(c) Matches used for statistics, pilot programs, law enforcement,
tax administration, routine administration, background checks and
foreign counterintelligence, and internal matching that won't cause any
adverse action are exempt from Privacy Act matching requirements.
(d) Any activity that expects to participate in a matching program
must contact SAF/AAIA immediately. System managers must prepare a notice
for publication in the Federal Register with a Routine Use that allows
disclosing the information for use in a matching program. Send the
proposed system notice to SAF/AAIA. Allow 180 days for processing
requests for a new matching program.
(e) Record subjects must receive prior notice of a match. The best
way to do this is to include notice in the Privacy Act Statement on
forms used in applying for benefits. Coordinate computer matching
statements on forms with SAF/AAIA through the MAJCOM Privacy Act
Officer.
Subpart J--Training
Sec. 806b.38 Who needs training.
The Privacy Act requires training for all persons involved in the
design, development, operation and maintenance of any system of records.
Some persons may need more specialized training. They include
information managers, supervisors, and individuals working with medical,
financial, security, and personnel records.
Sec. 806b.39 Training tools.
Helpful aids include:
(a) AFH 37-146 \5\, `Privacy Act Training', a self-paced course.
---------------------------------------------------------------------------
\5\ See footnote 1 to section 806b.11, of this part.
---------------------------------------------------------------------------
(b) `The Privacy Act of 1974,' a 32-minute film developed by the
Defense Privacy Office. Consult your local audiovisual library.
(c) `A Manager's Overview, What You Need to Know About the Privacy
Act'. Contact SAF/AAIA for copies.
Note: Formal school training groups that develop or modify blocks of
instruction must send the material to SAF/AAIA for coordination.
Subpart K--Privacy Act Reporting
Sec. 806b.40 Privacy Act Report (RCS: DD-DA&M(A)1379).
By March 1, of each year, MAJCOM and FOA Privacy Act officers must
send SAF/AAIA a report covering the previous calendar year. The report
includes:
(a) Total number of requests granted in whole.
(b) Total number of requests granted in part.
(c) Total number of requests denied and the Privacy Act exemptions
used.
(d) Total number of requests for which no record was found.
(e) Total number of amendment requests granted in whole.
(f) Total number of amendment requests granted in part.
(g) Total number of amendment requests wholly denied.
(h) Specific recommendations for changes to the Act or the Privacy
Act Program.
[[Page 35]]
Appendix A to part 806b--Glossary of References, Abbreviations,
Acronyms, and Terms
Section A-References
a. Privacy Act of 1974, as amended, Pub. L. 93-579, 88 Stat 1896 (5
U.S.C. 552a).
b. 10 U.S.C 8013, `Secretary of the Air Force: Powers and Duties.'
c. Executive Order 9397, `Numbering System for Federal Accounts
Relating to Individual Persons.'
d. 32 CFR part 806b, `Air Force Privacy Act Program.'
e. DoD Directive 5400.11 \1\, `Department of Defense Privacy
Program.'
---------------------------------------------------------------------------
\1\ Copies may be obtained at cost from the National Technical
Information Service, 5285 Port Royal Road, Springfield, VA 22161.
---------------------------------------------------------------------------
f. DoD 5400.11-R \2\, `Department of Defense Privacy Program.'
---------------------------------------------------------------------------
\2\ See footnote 1 to section B, appendix A to part 806b.
---------------------------------------------------------------------------
g. AFI 33-202 \3\, `The Air Force Computer Security Program'
(formerly AFR 205-16).
---------------------------------------------------------------------------
\3\ See footnote 1 to section B, appendix A to part 806b.
---------------------------------------------------------------------------
h. AFPD 37-1 \4\, `Air Force Information Management.'
---------------------------------------------------------------------------
\4\ See footnote 1 to section B, appendix A to part 806b.
---------------------------------------------------------------------------
i. AFI 37-131 \5\, `Air Force Freedom of Information Act Program'
(formerly AFR 4-33).
---------------------------------------------------------------------------
\5\ See footnote 1 to section B, appendix A to part 806b.
---------------------------------------------------------------------------
j. AFI 37-129 \6\, `Base and Unit Personnel Locators and Postal
Directories' (formerly AFR 11-24).
---------------------------------------------------------------------------
\6\ See footnote 1 to section B, appendix A to part 806b.
---------------------------------------------------------------------------
k. AFMAN 37-139 \7\, `Disposition of Records' (formerly AFR 4-20,
volume 2).
---------------------------------------------------------------------------
\7\ See footnote 1 to section B, appendix A to part 806b.
---------------------------------------------------------------------------
l. AFDIR 37-144 \8\, `Air Force Privacy Act Systems of Records
Notices.'
---------------------------------------------------------------------------
\8\ See footnote 1 to section B, appendix A to part 806b.
---------------------------------------------------------------------------
m. AFH 37-146 \9\, `Privacy Act Training.'
---------------------------------------------------------------------------
\9\ See footnote 1 to section B, appendix A to part 806b.
---------------------------------------------------------------------------
Section B-Definitions Abbreviations and Acronyms
a. AETC - Air Education and Training Command
b. AFA - Air Force Academy
c. AFBCMR - Air Force Board for Correction of Military Records
d. AFISA - Air Force Intelligence Services Agency
e. AFMC - Air Force Materiel Command
f. AFOSI - Air Force Office of Special Investigations
g. AFSC - Air Force Specialty Code
h. AFSCO - Air Force Security Clearance Office
i. AFSPA - Air Force Security Police Agency
j. ASCII - American Standard Code for Information Interchange
k. BAQ - Basic Allowance for Quarters
l. CFR - Code of Federal Regulations
m. DCS - Deputy Chief of Staff
n. DoD - Department of Defense
o. DR&MO - Defense Reutilization and Marketing Office
p. EAD - Entered on Active Duty
q. FOA - Field Operating Agency
r. FOIA - Freedom of Information Act
s. FOUO - For Official Use Only
t. IG - Inspector General
u. IMC - Interim Message Change
v. LE - Logistics and Engineering
w. MAJCOM - Major Command
x. MIRS - Management Information and Research System
y. MP - Military Personnel
z. MPC - Military Personnel Center
aa. NARA - National Archives and Records Administration
bb. OMB - Office of Management and Budget
cc. OPR - Office of Primary Responsibility
dd. PA - Privacy Act
ee. PAM - Privacy Act Monitor
ff. PAS - Privacy Act Statement
gg. RCS - Reports Control Symbol
hh. SAF - Secretary of the Air Force
ii. SAF/AA - The Administrative Assistant to the Secretary of the
Air Force
jj. SAF/AAIA - Policy Division, Directorate of Information
Management
kk. SAF/GCA - Assistant General Counsel for Civilian Personnel and
Fiscal Law
ll. SG - Surgeon General
mm. SJA - Staff Judge Advocate
nn. SP - Security Police
oo. SSN - Social Security Number
pp. US - United States
qq. USAF - United States Air Force
rr. U.S.C. - United States Code
ss. VHA - Variable Housing Allowance
Section C-Terms
a. Access. Allowing individuals to review or receive copies of their
records.
b. Amendment. The process of adding, deleting, or changing
information in a system of records to make the data accurate, relevant,
timely, or complete.
c. Computer matching. A computerized comparison of two or more
automated systems of records or a system of records with non-Federal
records to establish or verify eligibility for payments under Federal
benefit programs or to recover delinquent debts for these programs.
d. Confidential source. A person or organization giving information
under an express or implied promise of confidentiality made before
September 27, 1975.
[[Page 36]]
e. Confidentiality. An expressed and recorded promise to withhold
the identity of a source or the information provided by a source. The
Air Force promises confidentiality only when the information goes into a
system with an approved exemption for protecting the identity of
confidential sources.
f. Defense Data Integrity Board. Representatives from the Services
and the Department of Defense who oversee, coordinate, and approve all
DoD computer matching programs covered by the Act.
g. Denial authority. The individuals with authority to deny requests
for access or amendment of records under the Privacy Act.
h. Disclosure. Giving information from a system, by any means, to
anyone other than the record subject.
i. Federal benefit program. A federally funded or administered
program for individuals that provides cash or in-kind assistance
(payments, grants, loans, or loan guarantees).
j. Individual. A living United States citizen or a permanent
resident alien.
k. Matching agency. The agency that performs a computer match.
l. Minor. Anyone under the age of majority according to local state
law. If there is no applicable state law, a minor is anyone under age
18. Military members and married persons are not minors, no matter what
their chronological age.
m. Personal identifier. A name, number, or symbol which is unique to
an individual, usually the person's name or SSN.
n. Personal information. Information about an individual other than
items of public record.
o. Privacy Act request. An oral or written request by an individual
about his or her records in a system of records.
p. Recipient agency. An agency or contractor that receives the
records and actually performs the computer match.
q. Record. Any information about an individual.
r. Routine use. A disclosure of records to individuals or agencies
outside the Department of Defense for a use that is compatible with the
purpose for which the Air Force created the records.
s. Source agency. A federal, state, or local government agency that
discloses records for the purpose of a computer match.
t. System manager. The official who is responsible for managing a
system of records, including policies and procedures to operate and
safeguard it. Local system managers operate record systems or are
responsible for part of a decentralized system.
u. System of records. A group of records containing personal
information retrieved by the subject's name, personal identifier, or
individual identifier through a cross-reference system.
v. System notice. The official public notice published in the
Federal Register of the existence and content of the system of records.
Appendix B to part 806b--Preparing a System Notice
The following elements comprise a system of records notice for
publication in the Federal Register:
a. System identifier. SAF/AAIA assigns the notice number, for
example, F011 AFMC A, where `F' indicates `Air Force,' the next number
represents the series from AFMAN 37-139 regarding records disposition,
and the final letter group shows the system manager's command or DCS.
The last character `A' indicates that this is the first notice for this
series and system manager.
b. System name. Use a short, specific, plain-language title that
identifies the system's general purpose (limited to 55 characters).
c. System location. Specify the address of the primary system and
any decentralized elements, including automated data systems with a
central computer facility and input or output terminals at separate
locations. Use street address, 2-letter state abbreviations and 9-digit
ZIP Codes. Spell out office names. Do not use office symbols.
d. Categories of individuals covered by the system. Use
nontechnical, specific categories of individuals about whom the Air
Force keeps records. Do not use categories like `all Air Force
personnel' unless they are actually true.
e. Categories of records in the system. Describe in clear,
nontechnical terms, all categories of records in the system. List only
documents actually kept in the system. Do not show source documents that
are used to collect data and then destroyed. Do not list form numbers.
f. Authority for maintenance of the system. Cite the specific law or
Executive Order that authorizes the program the records support. Cite
the DoD directive or instruction or the Air Force or other instruction
that authorizes the system of records. Always include titles with the
citations.
Note: Executive Order 9397 authorizes using the Social Security
Number (SSN). Include this authority whenever the SSN is used to
retrieve records.
g. Purpose(s). Describe briefly and specifically what the Air Force
does with the information collected.
h. Routine uses of records maintained in the system including
categories of users and the purpose of such uses. The Blanket Routine
Uses published in the Air Force Directory of System Notices apply to all
system notices unless you indicate otherwise. Also list each specific
agency or activity outside DoD to
[[Page 37]]
whom the records may be released and the purpose for such release.
i. Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system.
j. Storage. State the medium in which the Air Force keeps the
records, for example, in file folders, card files, microfiche, computer,
and so on. Storage does not refer to the storage container.
k. Retrievability. State how the Air Force retrieves the records,
for example, by name, SSN, or personal characteristics (such as
fingerprints or voiceprints).
l. Safeguards. List the kinds of officials who have immediate access
to the system. List those responsible for safeguarding the records.
Identify the system safeguards, for example, storage in safes, vaults,
locked cabinets or rooms, use of guards, visitor controls, personnel
screening, computer systems software, and so on. Describe safeguards
fully without compromising system security.
m. Retention and disposal. State how long AFMAN 37-139 requires the
activity to maintain the record. Indicate when or if the records may be
transferred to a Federal Records Center and how long the record stays
there. Specify when the Records Center sends the record to the National
Archives or destroys it. Indicate how the records may be destroyed.
n. System manager(s) and address. List the title and duty address of
the system manager. For decentralized systems, show the locations and
the position or duty title of each category of officials responsible for
any segment of the system.
o. Notification procedure. List the title and duty address of the
official authorized to tell requesters if their records are in the
system. Specify the information a requester must submit, for example.,
full name, military status, SSN, date of birth, or proof of identity,
and so on.
p. Record access procedures. Explain how individuals may arrange to
access their records. Include the titles or categories of officials who
may assist, for example, the system manager.
q. Contesting records procedures. SAF/AAIA provides this standard
caption.
r. Record source categories. Show categories of individuals or other
information sources for the system. Do not list confidential sources
protected by subsections (k)(2), (k)(5), or (k)(7) of the Act.
s. Exemptions claimed for the system. When a system has no approved
exemption, write `none' under this heading. Specifically list any
approved exemption including the subsection in the Act.
Appendix C to part 806b--General and Specific Exemptions
(a) General exemption. The following systems of records are exempt
under 5 U.S.C. 552a(j)(2):
(1) System identifier and name: F124 AF A, Counter Intelligence
Operations and Collection Records.
(2) System identifier and name: F124 AF C, Criminal Records.
(3) System identifier and name: F125 AF SP E, Security Police
Automated System (SPAS).
(4) System identifier and name: F124 AF D, Investigative Support
Records.
(5) System identifier and name: F125 AF A, Correction and
Rehabilitation Records.
Exemption-Portions of this system that fall within 5
U.S.C.552a(j)(2) are exempt from the following provisions of 5 U.S.C.
552a, Sections (c)(3) and (c)(4); (d)(1) through (d)(5); (e)(2) and
(e)(3); (e)(4)(G) and (e)(4)(H), (e)(5); (f)(1) through (f)(5); (g)(1)
through (g)(5); and (h) of the Act.
Authority-5 U.S.C. 552a(j)(2).
Reason-The general exemption will protect ongoing investigations and
protect from access criminal investigation information contained in this
record system so as not to jeopardize any subsequent judicial or
administrative process taken as a result of information contained in the
files.
(b) Specific exemptions. The following systems of records are
subject to the specific exemptions shown:
(1) Classified records.
(i) All records in any systems of records that are properly
classified according to Executive Orders 11652, 12065 or 12958, are
exempt from 5 U.S.C. 552a(c)(3); (d); (e)(4)(G), (H), and (I); and (f),
regardless of whether the entire system is otherwise exempt or not.
(ii) Authority. 5 U.S.C. 552a(k)(1).
(2) System identifier and name: F053 AFA C, Admissions and Registrar
Records.
(i) Exemption. Parts of this system of records (Liaison Officer
Evaluation and Selection Panel Candidate Evaluation) are exempt from 5
U.S.C. 552a(d), (e)(4)(H), and (f), but only to the extent that
disclosure would reveal the identity of a confidential source.
(ii) Authority. 5 U.S.C. 552a(k)(5).
(iii) Reasons. To ensure the frankness of information used to
determine whether cadets are qualified for graduation and commissioning
as officers in the Air Force.
(3) System identifier and name: F035 MPC R, Air Force Personnel Test
851, Test Answer Cards.
(i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d);
(e)(4) (G), (H), and (I); and (f).
(ii) Authority. 5 U.S.C. 552a(k)(6).
(iii) Reasons. To protect the objectivity of the promotion testing
system by keeping the test questions and answers in confidence.
[[Page 38]]
(4) System identifier and name: F035 AFA A, Cadet Personnel
Management System.
(i) Exemption. Parts of this system are exempt from 5 U.S.C.
552a(d), (e)(4)(H), and (f), but only insofar as disclosure would reveal
the identity of a confidential source.
(ii) Authority. 5 U.S.C. 552a(k)(7).
(iii) Reasons. To maintain the candor and integrity of comments
needed to evaluate an Air Force Academy cadet for commissioning in the
Air Force.
(5) System identifier and name: F045 AETC C, Cadet Records.
(i) Exemption. Portions of this system (Detachment Professional
Officer Course (POC) Selection Rating Sheets; Air Force Reserve Officer
Training Corps (AFROTC) Form 0-24-Disenrollment Review; Memoranda for
Record and Staff Papers with Staff Advice, Opinions, or Suggestions) are
exempt from 5 U.S.C. 552a(c)(3); (d); (e)(4)(G) and (H), and (f), but
only to the extent that disclosure would reveal the identity of a
confidential source.
(ii) Authority. 5 U.S.C. 552a(k)(5).
(iii) Reasons. To protect the identity of a confidential source who
furnishes information necessary to make determinations about the
qualifications, eligibility, and suitability of cadets for graduation
and commissioning in the Air Force.
(6) System identifier and name: F168 AF SG B, Family Advocacy
Program Record.
(i) Exemption. Parts of this system are exempt from 5 U.S.C.
552a(c)(3) and (d), but only to the extent that disclosure would reveal
the identity of a confidential source.
(ii) Authority. 5 U.S.C. 552a(k)(2) and (k)(5).
(iii) Reasons. To encourage those who know of exceptional medical or
educational conditions or family maltreatments to come forward by
protecting their identities, and the integrity of ongoing and civil law
investigations of criminal and civil law violations. Giving subjects
access to their files could result in them concealing, altering, or
fabricating evidence could hamper the identification of offenders and
alleged offenders; and could jeopardize the safety and well-being of the
family.
(7) System identifier and name: F035 AF MP A, Effectiveness/
Performance Reporting System.
(i) Exemptions-Brigadier General Selectee Effectiveness Reports and
Colonel and Lieutenant Colonel Promotion Recommendations with close out
dates on or before January 31, 1991, may be exempt from subsections of 5
U.S.C. 552a(c)(3); (d); (e)(4)(H); and (f).
(ii) Authority-5 U.S.C. 552a(k)(7).
(iii) Reasons-Subsection (c)(3) because making the disclosure
accounting available to the individual may compromise express promises
of confidentiality by revealing details about the report and identify
other record sources, which may result in circumvention of the access
exemption.
Subsection (d) because individual disclosure compromises express
promises of confidentiality conferred to protect the integrity of the
promotion rating system.
Subsection (e)(4)(H) because of and to the extent that portions of
this record system are exempt from the individual access provisions of
subsection (d).
Subsection (f) because of and to the extent that portions of this
record system are exempt from the individual access provisions of
subsection (d).
(8) [Reserved]
(i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d);
(e)(4) (G), (H), and (I); and (f).
(ii) Authority. 5 U.S.C. 552a(k)(2).
(iii) Reasons. To enforce civil laws, court orders, and the
activities of the Departments of Housing and Urban Development and
Justice.
(9) System identifier and name: F035 AP A, Files on General Officers
and Colonels Assigned to General Officer Positions.
(i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d);
(e)(4)(G), (H), and (I); and (f), but only to the extent that disclosure
would reveal the identity of a confidential source.
(ii) Authority. 5 U.S.C. 552a(k)(7).
(iii) Reasons. To protect the integrity of information used in the
Reserve Initial Brigadier General Screening Board, the release of which
would compromise the selection process.
(10) System identification and name: F035 AF MP P, General Officer
Personnel Data System.
(i) Exemption- Air Force General Officer Promotion and Effectiveness
Reports with close out dates on or before January 31, 1991, may be
exempt from subsections of 5 U.S.C. 552a(c)(3); (d); (e)(4)(H); and (f).
(ii) Authority-5 U.S.C. 552a(k)(7).
(iii) Reason-Subsection (c)(3) because making the disclosure
accounting available to the individual may compromise express promises
of confidentiality by revealing details about the report and identify
other record sources, which may result in circumvention of the access
exemption.
Subsection (d) because individual disclosure compromises express
promises of confidentiality conferred to protect the integrity of the
promotion rating system.
Subsection (e)(4)(H) because of and to the extent that portions of
this record system are exempt from the individual access provisions of
subsection (d).
Subsection (f) because of and to the extent that portions of this
record system are exempt from the individual access provisions of
subsection (d).
(11) System identifier and name: F035 MPC L, Historical Airman
Promotion Master Test File.
[[Page 39]]
(i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d);
(e)(4) (G), (H), and (I); and (f).
(ii) Authority. 5 U.S.C. 552a(k)(6).
(iii) Reasons. To protect the integrity, objectivity, and equity of
the promotion testing system by keeping test questions and answers in
confidence.
(12) System identifier and name: F120 AF IG B, Inspector General
Records.
(i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d);
(e)(4) (G), (H), and (I); and (f). However, if a person is denied any
right, privilege, or benefit, he or she would otherwise be entitled to
as a result of keeping this material, it must be released, unless doing
so would reveal the identity of a confidential source.
(ii) Authority. 5 U.S.C. 552a(k)(2).
(iii) Reasons. Granting individuals access to information collected
while an Inspector General inquiry is in progress could interfere with
the just, thorough, and timely resolution of the complaint or inquiry
and could possibly enable individuals to conceal wrong doing or mislead
the inquiring officer. Disclosure might also subject sources, witnesses,
and their families to harassment or intimidation.
(13) System identifier and name: F124 AFOSI B, Investigative
Applicant Processing Records.
(i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d);
(e)(4) (G), (H), and (I); and (f), but only to the extent that
disclosure would reveal the identity of a confidential source.
(ii) Authority. 5 U.S.C. 552a(k)(5).
(iii) Reasons. To protect those who gave information in confidence
during Air Force Office of Special Investigations (AFOSI) applicant
inquiries. Fear of harassment could cause sources not to make frank and
open responses about applicant qualifications. This could compromise the
integrity of the AFOSI personnel program that relies on selecting only
qualified people.
(14) System identifier and name: F035 AFB B, Master Cadet Personnel
Record (Active/Historical).
(i) Exemptions. Parts of these systems are exempt from 5 U.S.C.
552a(d), (e)(4)(H), and (f), but only to the extent that they would
reveal the identity of a confidential source.
(ii) Authority. 5 U.S.C. 552a(k)(7).
(iii) Reasons. To maintain the candor and integrity of comments
needed to evaluate a cadet for commissioning in the Air Force.
(15) System identifier and name: F205 AFISA A, Sensitive
Compartmented Information Personnel Records.
(i) Exemption. This system is exempt from 5 U.S.C. 552a(a)(3); (d);
(e)(4) (G), (H), and (I); and (f), but only to the extent that
disclosure would reveal the identity of a confidential source.
(ii) Authority. 5 U.S.C. 552a(k)(2) and (k)(5).
(iii) Reasons. To protect the identity of sources to whom proper
promises of confidentiality have been made during investigations.
Without these promises, sources will often be unwilling to provide
information essential in adjudicating access in a fair and impartial
manner.
(16) F124 AFA, Security and Related Investigative Records.
(i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d);
(e)(4) (G), (H), and (I); and (f), but only to the extent that
disclosure would reveal the identity of a confidential source.
(ii) Authority. 5 U.S.C. 552a(k)(5).
(iii) Reasons. To protect the identity of those who give information
in confidence for personnel security and related investigations. Fear of
harassment could cause sources to refuse to give this information in the
frank and open way needed to pinpoint those areas in an investigation
that should be expanded to resolve charges of questionable conduct.
(17) System identifier and name: F205 AFSCO A, Special Security Case
Files.
(i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d),
(e)(4) (G), (H), and (I); and (f), but only to the extent that
disclosure would reveal the identity of a confidential source.
(ii) Authority. 5 U.S.C. 552a(k)(5).
(iii) Reasons. To protect the identity of those who give information
in confidence for personnel security and related investigations. Fear of
harassment could cause sources to refuse to give this information in the
frank and open way needed to pinpoint those areas in an investigation
that should be expanded to resolve charges of questionable conduct.
(18) System identifier and name: F205 AF SP A, Special Security
Files.
(i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d);
(e)(4) (G), (H), and (I); and (f), but only to the extent that
disclosure would reveal the identity of a confidential source.
(ii) Authority. 5 U.S.C. 552a(k)(5).
(ii) Reasons. To protect the identity of those who give information
in confidence for personnel security and related investigations. Fear of
harassment could cause them to refuse to give this information in the
frank and open way needed to pinpoint areas in an investigation that
should be expanded to resolve charges of questionable conduct.
(19) System identifier and name: F035 AF MP R, Applications for
Appointment and Extended Active Duty Files.
(i) Exemption. Parts of this system of records are exempt from 5
U.S.C. 552a(d), but only to the extent that disclosure would reveal the
identity of a confidential source.
(ii) Authority.5 U.S.C. 552a(k)(5).
[[Page 40]]
(iii)Reasons. To protect the identity of confidential sources who
furnish information necessary to make determinations about the
qualifications, eligibility, and suitability of health care
professionals who apply for Reserve of the Air Force appointment or
interservice transfer to the Air Force.
(20) System identifier and name: F111 AF JA B, Courts-Martial and
Article 15 Records.
(i) Exemption. Portions of this system of records may be exempt
pursuant to 5 U.S.C. 552a(j)(2) from the following subsection of 5
U.S.C. 552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H)
and (I), (e)(5), (e)(8), (f), and (g).
(ii) Exemption. Portions of this system of records may be exempt
pursuant to 5 U.S.C. 552a(k)(2) from the following subsection of 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f).
(iii) Authority: 5 U.S.C. 552a(j)(2) and (k)(2).
(iv) Reason: (1) From subsection (c)(3) because the release of the
disclosure accounting, for disclosures pursuant to the routine uses
published for this system, would permit the subject of a criminal
investigation or matter under investigation to obtain valuable
information concerning the nature of that investigation which will
present a serious impediment to law enforcement.
(2) From subsection (c)(4) because an exemption is being claimed for
subsection (d), this subsection will not be applicable.
(3) From subsection (d) because access to the records contained in
this system would inform the subject of a criminal investigation of the
existence of that investigation, provide the subject of the
investigation with information that might enable him to avoid detection
or apprehension, and would present a serious impediment to law
enforcement.
(4) From subsection (e)(1) because in the course of criminal
investigations information is often obtained concerning the violation of
laws or civil obligations of others not relating to an active case or
matter. In the interests of effective law enforcement, it is necessary
that this information be retained since it can aid in establishing
patterns of activity and provide valuable leads for other agencies and
future cases that may be brought.
(5) From subsection (e)(2) because in a criminal investigation the
requirement that information be collected to the greatest extent
possible from the subject individual would present a serious impediment
to law enforcement in that the subject of the investigation would be
placed on notice of the existence of the investigation and would
therefore be able to avoid detection.
(6) From subsection (e)(3) because the requirement that individuals
supplying information be provided with a form stating the requirements
of subsection (e)(3) would constitute a serious impediment to law
enforcement in that it could compromise the existence of a confidential
investigation, reveal the identity of confidential sources of
information and endanger the life and physical safety of confidential
informants.
(7) From subsections (e)(4)(G) and (H) because this system of
records is exempt from individual access pursuant to subsections (j) and
(k) of the Privacy Act of 1974.
(8) From subsection (e)(4)(I) because the identity of specific
sources must be withheld in order to protect the confidentiality of the
sources of criminal and other law enforcement information. This
exemption is further necessary to protect the privacy and physical
safety of witnesses and informants.
(9) From subsection (e)(5) because in the collection of information
for law enforcement purposes it is impossible to determine in advance
what information is accurate, relevant, timely, and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance as further investigation brings new details to
light and the accuracy of such information can only be determined in a
court of law. The restrictions of subsection (e)(5) would restrict the
ability of trained investigators and intelligence analysts to exercise
their judgment in reporting on investigations and impede the development
of intelligence necessary for effective law enforcement.
(10) From subsection (e)(8) because the individual notice
requirements of subsection (e)(8) could present a serious impediment to
law enforcement as this could interfere with the ability to issue search
authorizations and could reveal investigative techniques and procedures.
(11) From subsection (f) because this system of records has been
exempted from the access provisions of subsection (d).
(12) From subsection (g) because this system of records is compiled
for law enforcement purposes and has been exempted from the access
provisions of subsections (d) and (f).
(13) Consistent with the legislative purpose of the Privacy Act of
1974, the Department of the Air Force will grant access to nonexempt
material in the records being maintained. Disclosure will be governed by
the Department of the Air Force's Privacy Regulation, but will be
limited to the extent that the identity of confidential sources will not
be compromised; subjects of an investigation of an actual or potential
criminal violation will not be alerted to the investigation; the
physical safety of witnesses, informants and law enforcement personnel
will not be endangered, the privacy of third parties will not be
violated; and that the disclosure would not otherwise impede effective
law enforcement. Whenever possible, information of the above nature will
be deleted from the requested documents and the balance made available.
The controlling principle behind this limited
[[Page 41]]
access is to allow disclosures except those indicated above. The
decisions to release information from these systems will be made on a
case-by-case basis.
[59 FR 53099, Oct. 21, 1994, as amended at 60 FR 36224, July 14, 1995;
61 FR 2917, Jan. 30, 1996; 61 FR 17070, Apr. 9, 1997]
PART 807--SALE TO THE PUBLIC--Table of Contents
Sec.
807.1 General requirements.
807.2 Charges for publications and forms.
807.3 Requests for classified material, For Official Use only material,
accountable forms, storage safeguard forms, Limited (L)
distribution items, and items with restrictive distribution
caveats.
807.4 Availability and nonavailability of stock.
807.5 Processing requests.
807.6 Depositing payments.
Authority: 10 U.S.C. 8013.
Source: 55 FR 36631, Sept. 6, 1990, unless otherwise noted.
Sec. 807.1 General requirements.
(a) Unaltered Air Force publications and forms will be made
available to the public with or without charge, subject to the
requirements of this part. Base Chiefs of Information Management will
set up procedures to meet these needs and will make available Master
Publications Libraries for public use according to AFR 4-61. They will
also advise requesters that these libraries are available, since in many
cases this will satisfy their needs and reduce workloads in processing
sales requests. If the item is on sale by the Superintendent of
Documents, GPO, refer the request to that outlet. Refer general public
requests for Air Force administrative publications and forms to the
National Technical Information Service (NTIS), Defense Publication
Section, US Department of Commerce, 4285 Port Royal Road, Springfield,
VA 22161-0001.
(b) The Air Force does not consider these unaltered publications and
forms as records, within the meaning of the Freedom of Information Act
(FOIA), as outlined in 5 U.S.C. 552 and implemented by part 806 of this
chapter. Refer requests that invoke the FOIA to the chief, base
information management, for processing.
(c) Units will process requests under the Foreign Military Sales
Program (FMS) as specified in AFR 4-71, chapter 11.
(d) Units will send requests from foreign governments, their
representatives, or international organizations to the MAJCOM foreign
disclosure policy office and to HQ USAF/CVAII, Washington DC 20330-5000.
Also send information copies of such requests to the base public affairs
office. Commands will supplement this requirement to include policies
pertaining to those items for which they have authority to release.
(e) Units will return a request for non-Air Force items to the
requester for submission to appropriate agency.
Sec. 807.2 Charges for publications and forms.
(a) The Air Force applies charges to all requests unless
specifically excluded.
(b) The Air Force applies charges according to part 813, Schedule of
Fees for Copying, Certifying, and Searching Records and Other
Documentary Material. Additional guidance is in part 812, User Charges,
including specific exclusion from charges as listed in Sec. 812.5. As
indicated, the list of exclusions is not all inclusive and
recommendations for additional exclusions are sent to the office of
primary responsibility for part 812 of this chapter.
(c) When a contractor requires publications and forms to perform a
contract, the Air Force furnishes them without charge, if the government
contracting officer approves these requirements.
Sec. 807.3 Requests for classified material, For Official Use Only material, accountable forms, storage safeguard forms, Limited (L) distribution items, and
items with restrictive distribution caveats.
(a) Classified material. The unit receiving the requests should tell
the requester that the Air Force cannot authorize the material for
release because it is currently and properly classified in the interest
of national security as authority by Executive Order, and must be
protected from unauthorized disclosure.
[[Page 42]]
(b) For Official Use Only (FOUO) material. The office of primary
responsibility for the material will review these requests to determine
the material's releasability.
(c) Accountable forms. The unit receiving the request will return it
to the requester stating that the Air Force stringently controls these
forms and cannot release them to unauthorized personnel since their
misuse could jeopardize Department of Defense security or could result
in fraudulent financial gain or claims against the government.
(d) Storage safeguard forms. The unit receiving these requests
returns them to the requesters stating that the Air Force specially
controls these forms and that they are not releasable outside the
Department of Defense since they could be put to unauthorized or
fraudulent use.
(e) Limited (L) distribution items are not releasable outside the
Department of Defense without special review according to AFR 700-6.
Units receiving these requests should refer them to the SCS manager
shown in the index or on the cover of the publications. Advise the
requesters of the referral.
(f) Items with restrictive distribution caveats. Some publications
have restrictive distribution caveats on the cover. Follow the
instructions stated and advise the requesters of the referral.
Sec. 807.4 Availability and nonavailability of stock.
(a) Limit quantities furnished so that stock levels required for
operational Air Force support are not jeopardized.
(b) If the item is not available from publishing distribution office
(PDO) stock, obtain it from the Air Force Publishing Distribution
Center. If the item is under revision, advise the requester that it is
being revised and that no stock is available.
(c) If stocks are not available and the item is being reprinted,
advise the requester that stocks are expected to be available in 90
calendar days and to resubmit at that time.
Sec. 807.5 Processing requests.
Payment is required before shipping the requested material. Payment
must be by check or money order.
(a) Upon receipt of the request, determine the cost involved and
request the material.
(b) Upon receipt of the item, advise the requester to resubmit the
required payment and send the material after payment is received.
(c) If the material cannot be obtained, advise the requester of the
reason.
Sec. 807.6 Depositing payments.
Obtain instructions from the local Accounting and Finance Office
regarding how checks or money orders must be prepared and required
procedures for depositing them.
PART 809a--ENFORCEMENT OF ORDER AT AIR FORCE INSTALLATIONS, CONTROL OF CIVIL DISTURBANCES, SUPPORT OF DISASTER RELIEF OPERATIONS, AND SPECIAL CONSIDERATION FOR
OVERSEAS AREAS--Table of Contents
Sec.
809a.0 Purpose.
Subpart A--Enforcement of Order at or Near Air Force Installations
809a.1 Military responsibility and authority.
809a.2 Civil responsibility and authority.
809a.3 Unauthorized entry to installations.
809a.4 Use of Government facilities.
Subpart B--Use of Military Forces in Civil Defense, Civil Disturbances,
and Disasters
809a.5 Definitions.
809a.6 Base policies and laws.
809a.7 Conditions for use of Air Force resources.
809a.8 Military Commanders' responsibilities.
Subpart C--Special Considerations for Overseas Areas
809a.9 General.
809a.10 Requirements for supplements.
Authority: Sec. 8012, 70A Stat. 488; 10 U.S.C. 8012.
Sec. 809a.0 Purpose.
This part prescribes the commanders' responsibilities for enforcing
order at and in the vicinity of installations under their jurisdiction.
It provides
[[Page 43]]
guidance for the use of Air Force resources in controlling civil
disturbances and in supporting disaster relief operations. This part
applies to installations in the continental United States and will be
used to the maximum extent possible in the overseas commands, the States
of Alaska and Hawaii, the Commonwealth of Puerto Rico, and the
territories and possessions of the United States. Instructions issued by
the appropriate unified commander, status of forces agreements, and
other international agreements provide more definitive guidance for the
overseas commands. Nothing in this part should be construed as
authorizing or requiring security police units to collect and maintain
information concerning persons or organizations having no affiliation
with the Air Force.
[37 FR 18728, Sept. 15, 1972]
Subpart A--Enforcement of Order at or Near Air Force Installations
Sec. 809a.1 Military responsibility and authority.
(a) Air Force installation commanders are responsible for protecting
personnel and property under their jurisdictions and for maintaining
order on installations, to insure the uninterrupted and successful
accomplishment of the Air Force mission.
(b) Each commander is authorized to grant or deny access to his
installations, and to exclude or remove persons whose presence is
unauthorized. In excluding or removing persons from the installation, he
must not act in an arbitrary or capricious manner. His action must be
reasonable in relation to his responsibility to protect and to preserve
order on the installation and to safeguard persons and property thereon.
As far as practicable, he should prescribe by regulation the rules and
conditions governing access to his installation.
[37 FR 18728, Sept. 15, 1972]
Sec. 809a.2 Civil responsibility and authority.
Local civil authorities are primarily responsible for maintaining
order outside the perimeter of an installation. If assistance from civil
authorities is insufficient, and the installation commander believes
that the employment of Air Force resources is essential, he should send
a request for instructions and a report of the circumstances to Hq USAF
per Joint Chiefs of Staff (JCS) Pub. 6, Volume V, U.S. Air Force
Reporting Instruction, June 1970. Unless an emergency involves imminent
danger to personnel or property under the commander's jurisdiction, he
is not authorized to act before instructions are received.
[33 FR 4462, Mar. 13, 1968, as amended at 37 FR 18728, Sept. 15, 1972]
Sec. 809a.3 Unauthorized entry to installations.
Removal of violators: If unauthorized entry occurs, the violators
may be apprehended, ordered to leave, and escorted off the installation
by personnel carefully selected for such duties. The complete and proper
identification of violators, including the taking of photographs, must
be accomplished. Violators who reenter an installation--after having
been removed from it or having been ordered, by an officer or person in
command or charge, not to reenter--may be prosecuted under 18 U.S.C.
1382. If prosecution for subsequent reentry is contemplated, the order
not to reenter should be in writing so as to be easily susceptible of
proof. Commanders are cautioned that only civil law enforcement
authorities have the power to arrest and prosecute for unauthorized
entry of government property.
[33 FR 4462, Mar. 13, 1968, as amended at 37 FR 18728, Sept. 15, 1972]
Sec. 809a.4 Use of Government facilities.
Commanders are prohibited from authorizing demonstrations for
partisan political purposes but other demonstrations may or may not be
authorized only in accordance with the provisions of paragraph 3e, AFR
35-15. They are not to volunteer public statements on demonstrations or
possible demonstrations.
[37 FR 18728, Sept. 15, 1972]
[[Page 44]]
Subpart B--Use of Military Forces in Civil Defense, Civil Disturbances,
and Disasters
Sec. 809a.5 Definitions.
(a) Emergencies. These are conditions which affect public welfare
and occur as a result of enemy attack, insurrection, civil disturbances,
earthquake, fire, flood, or other public disasters which endanger life
and property or disrupt the usual process of government. The term
``emergency'' includes any or all of the conditions explained in this
section.
(b) Civil defense emergency. This is a disaster situation resulting
from devastation created by an enemy attack and requiring emergency
operations during and following attack. It may also be proclaimed by
appropriate authority in anticipation of an attack.
(c) Civil disturbances. These are goup acts of violence or disorder
prejudicial to public law and order including those which follow a major
disaster. They include riots, acts of violence, insurrections, unlawful
obstructions or assemblages, or other disorders.
(d) Major disaster. Any flood, fire, hurricane, or other catastrophe
which, in the determination of the President, is or threatens to be of
sufficient severity and magnitude to warrant disaster assistance by the
Federal Government to supplement the efforts and available resources of
the State and local governments in alleviating the damage, hardship, or
suffering caused thereby.
[33 FR 4462, Mar. 13, 1968, as amended at 37 FR 18728, Sept. 15, 1972;
37 FR 20243, Sept. 28, 1972]
Sec. 809a.6 Base policies and laws.
This subpart contains policies on the use of Air Force military
personnel in civil disturbances and disasters. The more important laws
concerning military aid to civil authorities are also summarized.
(a) The Air Force gives military assistance to civil authorities in
civil defense or civil disturbances and disasters only when such
asistance is requested or directed. Commanders will not undertake such
assistance without authority, unless the overruling demands of humanity
compel immediate action to protect life and property and to restore
order.
(b) The military service having available resources nearest the
affected area is responsible for providing initial assistance to civil
authorities in emergencies. Subsequent operations are to be according to
the mutual agreement between the senior service commanders concerned.
(c) The protection of life and property and the maintenance of law
and order within the territorial jurisdiction of any State is the
primary responsibility of State and local authorities. It is well-
established U.S. Government policy that intervention with military
forces takes place only after State and local authorities have used
their own forces and are unable to control the situation, or when they
do not take appropriate action.
[33 FR 4462, Mar. 13, 1968]
Sec. 809a.7 Conditions for use of Air Force resources.
This part is not intended to extend Air Force responsibilities in
emergencies to generate additional resources (manpower, materiel,
facilities, etc.) requirements, or encourage participation in such
operations at the expense of the Air Force primary mission. It is a
guide for the employment of Air Force resources when:
(a) A disaster or disturbance occcurs in areas in which the U.S. Air
Force is the executive agent of the United States.
(b) A disaster or disturbance occurs in areas that are remote from
an Army installation but near an Air Force installation, thereby
necessitating Air Force assumption of responsibility pending arrival of
Army personnel.
(c) The overriding demand of conditions resulting from a natural
disaster compels immediate action to protect life and property and to
restore order.
[33 FR 4462, Mar. 13, 1968, as amended at 37 FR 18728, Sept. 15, 1972]
Sec. 809a.8 Military Commanders' responsibilities.
(a) Civilians in the affected area will be informed of the rules of
conduct and other restrictive measures to be enforced by the military.
These will be
[[Page 45]]
announced by local proclamation or order, and will be given the widest
publicity by all available media.
(b) Persons not normally subject to military law, who are taken into
custody by military forces incident to civil disturbances, will be
turned over to the civil authorities as soon as possible.
(c) Military forces will ordinarily exercise police powers
previously inoperative in an affected area; restore and maintain order;
maintain essential transportation and communication; and provide
necessary relief measures.
(d) U.S. Air Force civilian employees may be used, in any
assignments in which they are capable and willing to serve. In planning
for on-base contingencies of fires, floods, hurricanes, and other
natural disasters, arrangements should be made for the identification
and voluntary use of individual employees to the extent that the needs
for their services are anticipated.
[33 FR 4462, Mar. 13, 1968, as amended at 37 FR 18728, Sept. 15, 1972]
Subpart C--Special Considerations for Overseas Areas
Sec. 809a.9 General.
The use of Air Force personnel in overseas areas poses unique
problems inasmuch as their use is governed by national laws of the
country concerned and by the terms of international pact or bilateral
agreements to which the United States is signatory.
[37 FR 18729, Sept. 15, 1972]
Sec. 809a.10 Requirements for supplements.
The implementation of policies relating to overseas areas must
conform to the pertinent terms of the status of forces agreement under
which a U.S. Force may be stationed in the foreign host country
concerned. Accordingly, major commands must prepare individual
supplements to this part for each country in which they have units
stationed. These supplements shall contain specific policy and guidance
on the use of Air Force personnel. It is essential that each commander
clearly understands the status of his installation or base, including
that of all sub bases, annexes, housing areas, etc.
[37 18729, Sept. 15, 1972]
[[Page 46]]
SUBCHAPTER B--SALES AND SERVICES
PART 811--RELEASE, DISSEMINATION, AND SALE OF VISUAL INFORMATION MATERIALS--Table of Contents
Sec.
811.0 Purpose.
811.1 Exclusions.
811.2 Terms explained.
811.3 Agencies authorized to release VI materials.
811.4 Policy on the dissemination and sale of VI products.
811.5 Restrictions on the use of government VI records.
811.6 Procedures for requesting VI materials.
811.7 How to collect fees.
811.8 Schedule of fees.
811.9 Requests for motion media.
811.10 Requests for still media.
Authority: 10 U.S.C. 8013.
Source: 56 FR 953, Jan. 10, 1991, unless otherwise noted.
Sec. 811.0 Purpose.
This part establishes policy on the release, dissemination, and sale
of Air Force visual information (VI) materials. It explains how
reproductions may be sold, distributed, or released. It implements 32
CFR part 288 (Department of Defense (DOD) Instruction 7230.7), DOD
Directive 4000.19, DOD Directive 7290.3-M, and DOD Directive 5040.2. It
is used with 32 CFR part 806 (AFR 12-30, Air Force Freedom of
Information Act Program); part 812 (AFR 12-32, Schedule of Fees for
Copying, Certifying, and Searching Records and Other Documentary
Material); AFR 177-108 \1\, Paying and Collecting Transactions at Base
Level; part 837 (AFR 190-1, Public Affairs Policies and Procedures); and
AFR 205-1, Information Security Program. It applies to all Air Force
personnel including United States Air Force Reserve and Air National
Guard units and members. The term major command (MAJCOM), when used in
this part, includes separate operating agencies and direct reporting
units.
---------------------------------------------------------------------------
\1\ Air Force publications are available through NTIS, 5285 Port
Royal Road, Springfield, VA 22161.
---------------------------------------------------------------------------
Sec. 811.1 Exclusions.
This volume does not apply to:
(a) The sale of aerial reconnaissance or cartographic type
photography. Request this photography from the Defense Mapping Agency/
ODS, ATTN: DDCP, Washington, DC 20315-0020.
(b) The sale of completed productions. Send requests for purchase of
completed Air Force productions to the National Archives and Records
Administration, National Audiovisual Center, Information Office, 8700
Edgeworth Drive, Capitol Height, MD 20722-3701.
(c) VI materials made for the Air Force Office of Special
Investigations (AFOSI) for use in an investigation or a
counterintelligence report. Part 806 and AFR 124-4, Requesting AFOSI
Investigations and Safeguarding, Handling and Releasing Information from
AFOSI Reports, show who may use these VI materials.
(d) VI materials made for aircraft and missile mishap investigators
for investigations of Air Force aircraft and missile mishaps per AFR
127-4, Investigating and Reporting US Air Force Mishaps. Part 806 and
AFR 124-4 show who may use these materials.
Sec. 811.2 Terms explained.
The following definitions apply to this part.
(a) Release. The responsible Air Force agency approval to
disseminate copies of Air Force VI materials to public agencies,
commercial concerns, governments, and so forth. Air Force agencies with
releasing authority are listed in Sec. 811.4 of this part. Depending on
subject matter, some VI materials may receive automatic or prerelease
approval.
(b) Dissemination. The DOD Records Center distribution of VI
materials approved for release by the authorized Air Force agency. VI
materials may be sold or distributed, with or without charge, depending
on the circumstances listed in Sec. 811.5 of this part.
(c) Sale. The collection of money by the DOD records centers for VI
products disseminated to activities outside the Federal Government. See
Sec. 811.5 of
[[Page 47]]
this part for determining when the sale of materials is warranted.
(d) VI materials. Normally, still photography, motion pictures, and
videos acquired by Air Force organizations as official documentation of
Air Force operations and activities, and stored by the DOD still and
motion media records centers.
Sec. 811.3 Agencies authorized to release VI materials.
(a) According to part 837 of this chapter (AFR 190-1), the Secretary
of the Air Force, Office of Public Affairs (SAF/PA), may release VI
materials to:
(1) News media, commercial publications, or electronic mail.
(2) Motion picture and television entertainment companies.
(3) Industries.
(4) Nonprofit organizations.
(5) Agencies outside the Federal Government.
(6) The general public (not associated with the news media).
(b) The Secretary of the Air Force, Office of Legislative Liaison
(SAF/LL), arranges for the release of VI material through SAF/PA upon
request from members of Congress and provides such material for official
use.
(c) The International Affairs Division (HQ USAF/CVAII) (or, in some
cases, MAJCOM Foreign Disclosure Office) must authorize release of
classified and unclassified materials for use by foreign governments and
international organizations or their representatives.
Sec. 811.4 Policy on the dissemination and sale of VI products.
(a) Sale of VI material. Although copies of Air Force VI products
may be sold, Air Force policy prohibits competition with commercial
industry. When VI materials are sold outside the Federal Government,
charges and fees must be assessed according to part 812.
(b) Dissemination of VI material to state and local governments.
Copies of VI materials that meet the requirements of this part may be
loaned or sold to state and local governments, or any tax exempt
organization under Title III of the 1968 Intergovernmental Cooperation
Act. The requester must certify that the materials are not available
from commercial sources. The Air Force Central Visual Information
Library (AFCVIL), managed by 1352d Audiovisual Squadron, Norton AFB CA
92409-5996, is the central source for loan of current, completed Air
Force VI productions.
(c) Disseminating and selling activities. Dissemination and sale of
Air Force VI documentation is accomplished by the DOD Motion Media
Records Center, operated by the 1352d Audiovisual Squadron (AAVS) (MAC),
Norton AFB CA 92409-5996 and the DOD Still Media Records Center,
operated by the US Navy at the Anacostia Naval Station, Washington, DC
20374-1681.
(d) Sale of original VI material. Original VI material is not for
sale. Reproductions of the original may be sold. HQ USAF/SCV may
authorize the loan of copies or duplicates of original material for
Federal Government use. SAF/PA may lend copies of original material to
agencies outside the Federal Government and to the public.
(1) DOD VI records centers use only government-owned VI material in
servicing approved requests for dissemination and sale. The use of
nongovernment VI material requires written permission from the owner.
(2) Production of material for sale must not stop or slow official
Air Force work or be used to justify facility expansion or additional
manpower.
(e) Requests and services exempt from fees. According to part 813,
the sources below are exempt from paying fees if funds are available for
producing the material, production does not impair the mission of the
furnishing agency, all clearances and releases specified by this part
have been obtained, and the work can be done during normal duty hours.
When requests cannot be accomplished within the above criteria, fees
must be paid by the requester.
(1) DOD and other government agencies requesting VI materials for
official activities (DOD Directive 4000.19 and DOD Directive 5040.2).
(2) Members of Congress requesting VI materials for use in official
activities.
(3) VI records center materials or services furnished according to
law or Executive order.
(4) Federal, state, territorial, county, or municipal governments,
or their
[[Page 48]]
agencies, for functions related to or furthering an Air Force or other
DOD objective.
(5) Nonprofit organizations for functions related to public health,
education, or welfare.
(6) Members of the Armed Forces in a casualty status, their next of
kin, or authorized representative, when the requested VI material
relates to the member and does not compromise classified information or
the work of an accident investigation board.
(7) The general public, to further the Armed Forces recruiting
program or public understanding of the Armed Forces, when such VI
materials or services are determined by SAF/PA to be in the best
interest of the Air Force.
(8) Incidental or occasional requests for VI records center
materials or services (including requests from residents of foreign
countries) when it is determined that fees would be inappropriate. (For
the distribution of VI materials to foreign nations, see AFR 190-1).
(9) Legitimate news organizations working on news-related
productions, news documentaries, or print products intended to inform
the public on Air Force activities.
Sec. 811.5 Restrictions on the use of government VI records.
Activities sending materials to the DOD VI records centers must make
sure that any limitation on use is noted on the materials. The following
restrictions on VI material disseminated or sold from the records
centers must also be observed:
(a) Materials must not be used to endorse a commercial service or
product.
(b) Rights to official Air Force VI material may not be claimed by
any other government agency or person.
(c) The waiver of proprietary and privacy rights cannot be granted
with the sale or release of VI materials unless these rights and the
rights of transfer are owned by the Air Force.
(d) VI materials received from Air Force contractors may be
released, disseminated, or sold if not identified as proprietary
material in the applicable contract.
(e) When provisions of formal agreements between the Air Force and
other government agencies on release of VI materials differ from this
part, the provisions of the formal agreements apply.
Sec. 811.6 Procedures for requesting VI materials.
(a) Informal inquiries may be made to the appropriate DOD records
center on VI materials available in broad subject areas. Informal
inquiries are not formal requests. Research of, or access to, materials
are provided only in response to a formal request. Inquiries regarding
motion picture or television materials should be sent to the DOD Motion
Media Records Center (1352 AVS/DO, Norton AFB CA 92409-5996). Inquiries
regarding still photo materials should be sent to the DOD Still Media
Records Center, ATTN: Code SSRC, Washington, DC 20374-1681.
(b) Submit formal requests according to Secs. 811.9 and 811.10. When
notified of approval, the requester may communicate directly with the
DOD Motion Media Records Center to select materials. Air Force still
photography customers must contact the 1361st AVS/DOSC, Andrews AFB DC
20334 to select still photo materials.
Sec. 811.7 How to collect fees.
(a) When appropriate, the Air Force or DOD activity making the sale
collects the funds in advance. Exceptions include requirements where
actual cost cannot be determined until work is completed. For example,
television and motion picture services where the charge is by minute or
footage.
(b) The fees due the United States must be paid by cash, United
States Treasury check, certified check, cashier's check, bank draft, or
postal money order.
Sec. 811.8 Schedule of fees.
Fees are established by DOD and are as follows:
(a) Still photography. Still pictorial or documentary photographic
prints. Unlisted standard sizes of prints may be furnished, if
available, at prevailing contract or activity rates.
[[Page 49]]
------------------------------------------------------------------------
Price per print (quantity)
---------------------------------------
1-9 10-20 21-50 50+
------------------------------------------------------------------------
8" x 10" single weight (RC type) $4.50 $3.25 $2.50 $1.75
paper..........................
11" x 14" single weight (RC 9.00 7.00 5.00 4.00
type) paper....................
16" x 20" single weight (RC 19.00 15.00 12.00 9.50
type) paper....................
20" x 24" single weight (RC 30.00 25.00 20.00 15.00
type) paper....................
8" x 10" single weight color 11.00 7.50 3.50 3.00
paper..........................
11" x 14" single weight color 17.00 9.00 6.50 5.50
paper..........................
16" x 20" single weight (RC 35.00 25.00 14.00 11.50
type) paper....................
35mm color transparency slide 5.00 3.50 3.00 3.00
made from color negative.......
35mm duplicate from 35mm slide.. 1.00 .60 .50 .45
Print mounted on 16" x 20" \1\ 8.00 ........ ........ ........
cardboard......................
Print mounted on 20" x 24" \1\ 12.0 ........ ........ ........
cardboard...................... 0
8" x 10" color transparencies... \2\ 20.0 ........ ........ ........
0
4" x 5" color transparencies.... 4.50 ........ ........ ........
4" x 5" B&W negative............ 2.00 ........ ........ ........
70mm color negative............. 7.50 ........ ........ ........
------------------------------------------------------------------------
\1\ Unit price of print.
\2\ (First); 16.00 each additional.
Note: DOD Still Records Center photographic services are not
normally done in house by DOD. Charges for processing and services will
be at prevailing contract or commercial rates or at government cost,
whichever is higher. All prices are subject to change without notice.
Fees for copies of photographs which are part of a patient's medical
record should be coordinated with the Patient Affairs Officer at the
medical treatment facility.
(b) Motion picture.
------------------------------------------------------------------------
Price Per
Foot
Contact
------------------------------------------------------------------------
Color:
16mm work print (positive work print from an original $.20
negative..................................................
16mm reversal work print................................... .20
16mm duplicate negative (from master positive)............. .60
16mm interpositive/internegative........................... .85
16mm internegative (from reversal original)................ .70
16mm tab-to-tab printing................................... .20
+basis
price
Black and White:
16mm master positive (fine grain).......................... .25
16mm duplicate negative.................................... .25
16mm tab-to-tab printing................................... .10
+basic
price
Miscellaneous:
Magnetic tape dub from 16mm film........................... $65.00
Searching (first hour minimum then fraction thereof)....... 100.00/
25.00
16mm film to videotape transfer............................ 5.00
per
minute
Videotape to videotape transfer............................ 5.00
per
minute
------------------------------------------------------------------------
Note: Some motion picture services are not done in house by the DOD.
Charges for these types of processing and services will be at prevailing
contract or commercial rates or at government cost, whichever is higher.
Prices are subject to change without notice.
[[Page 50]]
[56 FR 953, Jan. 10, 1991; 56 FR 10945, Mar. 14, 1991; 56 FR 12583, Mar.
26, 1991]
Sec. 811.9 Request for motion media.
[GRAPHIC] [TIFF OMITTED] TC21OC91.052
Sec. 811.10 Requests for still media.
[[Page 51]]
[GRAPHIC] [TIFF OMITTED] TC21OC91.053
PART 811a--VISUAL INFORMATION DOCUMENTATION (VIDOC) PROGRAM--Table of Contents
Sec.
811a.1 Purpose.
811a.2 Material sources for the VIDOC program.
811a.3 Disposition of VI documentation materials.
Authority: 10 U.S.C. 8013.
Source: 52 FR 48681, Dec. 24, 1987, unless otherwise noted.
[[Page 52]]
Sec. 811a.1 Purpose.
This part establishes policy for the management of the Air Force
visual information documentation (VIDOC) program. It implements
Department of Defense (DOD) Directive 5040.2 and describes how the
program is accomplished. It applies to all Air Force personnel including
United States Air Force Reserve and Air National Guard units and
members. The term major command (MAJCOM), when used in this part
includes separate operating agencies and direct reporting units. The Air
Force VIDOC program:
(a) Records, through visual information (VI) means (still
photographs, motion pictures, video, audio tape, and so forth), imagery
of significant Air Force events that document the employment, growth,
progress, and exercise of Air Force resources during peacetime and in
combat.
(b) Collects and preserves visual imagery of significant Air Force
events with known or potential historical or archival value.
(c) Ensures imagery which depicts the prime mission, support
activities, and significant events of key Air Force organizations is
available. VIDOC imagery or products are used for many purposes, at all
levels, in the Air Force. Examples are:
(1) Immediate use. Documentation used to help analyze and evaluate
concepts and results of deployments, contingencies, tests, exercises,
and so forth, during peacetime and in combat to support Air Force, DOD,
and national objectives. VIDOC provides source material for slides,
motion picture clips, video tapes, multimedia products, and so forth;
used for training, management, information, and briefing purposes. In
wartime, products are used to support theater commanders psychological
operations objectives, operational briefings, status reports, public
affairs requirements, collateral intelligence, and the historical
record.
(2) Future use. VIDOC materials with long-term or permanent value
are retained in DOD central record centers, the National Air and Space
Museum, and the National Archives. These make up the pictorial records
of development, growth, and progress of air power and provide a
continued resource for VI productions and other media presentations.
Sec. 811a.2 Material sources for the VIDOC program.
(a) The primary sources of VI documentation materials are:
(1) Aerospace Audiovisual Service (AAVS) documentation crews, both
ground and aerial, whose primary mission is to acquire Air Force imagery
in peacetime and in combat.
(2) Base VI support centers (VISC).
(3) Optical instrumentation and engineering imagery of Air Force
research, development, test, and evaluation (RDT&E) projects, including
that material originated by defense and aerospace contractors.
(4) Armament delivery recording (ADR) imagery.
(b) Although the imagery may not originate from a documentation
requirement, when properly processed, indexed, and stored, it serves as
a valuable source of VI documentation.
Sec. 811a.3 Disposition of VI documentation materials.
(a) VI materials generated or acquired by Air Force members,
employees, or contractors in conducting official duties are the property
of the United States Air Force. Personal use of VI material for sale or
any other reason not directly related to an official Air Force activity
is prohibited. Any deviation from this policy must be approved by HQ
USAF/SCV. This policy also applies when Air Force members or employees,
by choice or agreement, occasionally use personally owned equipment or
supplies in conducting official duties.
(b) Photographs, motion picture films, transparencies, video tapes,
audio recordings, and other VI products are subject to safeguards and
release requirements when released outside the Department of Defense
(see part 806 and part 837 of this chapter).
[[Page 53]]
PART 818--PERSONAL FINANCIAL RESPONSIBILITY--Table of Contents
Subpart A--General
Sec.
818.0 Purpose.
818.1 Air Force policy.
818.2 Explanation of terms.
818.3 Responsibilities.
818.4 Review of complaints.
818.5 Processing of complaints.
818.6 High-level inquiries (AFR 11-7, Air Force Relations with
Congress).
Subpart B--Personal Indebtedness
818.7 General policies.
818.8 General requirements for acceptance of complaints.
818.9 Dishonored checks and similar instruments.
818.10 Bankruptcy.
818.11 Involuntary deductions for personal indebtedness.
Subpart C--Dependent Support
818.12 General policies.
818.13 Proof of support.
818.14 Basic Allowance for Quarters (BAQ).
818.15 Garnishment.
818.16 Statutory allotments.
818.17 Paternity claims.
818.18 Certificate of compliance.
818.19 Standards of fairness.
818.20 Garnishment of pay of Air Force members and employees only for
child support or alimony obligations.
818.21 Statutory allotments.
Authority: 10 U.S.C. 8013, 15 U.S.C. 1673, 42 U.S.C. 659, 661, 662,
665.
Source: 53 FR 24689, June 30, 1988, unless otherwise noted.
Note: This part is derived from Air Force Regulation 35-18.
Part 806 of this chapter states the basic policies and instructions
governing the disclosure of records and tells members of the public what
they must do to inspect or obtain copies of the material referenced
herein.
Part 807 of this chapter states the procedures for issuing
publications and forms to the public.
Subpart A--General
Sec. 818.0 Purpose.
This part establishes Air Force policy governing alleged delinquent
financial obligations. It outlines procedures for processing claims of
this nature. It implements 32 CFR parts 43, 43a and 81. It applies to
all active Air Force installations and members and US Air Force Reserve
(USAFR) units and members. This part does not apply to Air National
Guard (ANG) units and members. This part is affected by the Privacy Act
of 1974. System of Records Notice F030MPCB--Indebtedness, Nonsupport,
Paternity, applies.
Sec. 818.1 Air Force policy.
Air Force members are expected to pay their financial obligations in
a proper and timely manner. For the purpose of this part, financial
obligations are divided into two categories: Personal indebtedness, and
dependent support. As a general rule, the Air Force has no legal
authority to require its members or their family members to pay personal
financial obligations. Enforcement is a matter for civil authorities.
However, the Air Force can, under certain conditions, divert part of a
member's pay for debts owed to the United States or any of its
instrumentalities (see Sec. 818.11) or to satisfy delinquent child
support and alimony payments (see Secs. 818.15 and 818.16).
Administrative or disciplinary action may be taken against Air Force
members in cases of continued financial irresponsibility. Such action is
taken to improve discipline and maintain the standards of conduct
expected of Air Force personnel, but cannot be used to enforce private
civil obligations.
Sec. 818.2 Explanation of terms.
(a) A proper and timely manner. A manner which, under the
circumstances, does not discredit the Air Force.
(b) Financial obligation. A legal obligation acknowledged by the
member in which there is no reasonable dispute as to the facts, or one
reduced to judgment. The judgment must conform to the Soldiers' and
Sailors' Civil Relief Act of 1940, as amended (50 U.S.C. app. 501,
(1970)), if applicable.
(c) Claimant or complainant. Any business or person seeking help in
obtaining settlement of an alleged financial obligation or making a
claim of delinquency concerning such matters.
(d) Creditor. Any person or business that extends or offers credit,
or to whom or to which a debt is owed. This term includes lending
institutions
[[Page 54]]
(such as centralized charge systems) which, although not a party to the
original transaction, seek help in obtaining settlement.
(e) Debt collector. Any person or agency whose business is primarily
the collection of debts owed to another person or business.
(f) Dependent. Spouse and unmarried children--includes stepchildren,
adopted children, and illegitimate children dependent on the military
member. It may include others duly constituted (see DOD Military Pay and
Allowances Entitlements Manual and AFR 30-20, Issue and control of
Identification (ID) Cards).
Sec. 818.3 Responsibilities.
Specific responsibilities for ensuring Air Force standards are met:
(a) Major commands (MAJCOM), separate operating agencies (SOA), and
direct reporting units (DRU) monitor and provide guidance to subordinate
units, as required, to ensure compliance with established procedures.
(b) Initial active duty indoctrination sites ensure that a
comprehensive block of instruction on personal financial management is
included in teaching guides or course curriculums, as appropriate. This
instruction should emphasize the Air Force policy regarding personal
indebtedness and dependent support (Sec. 818.1) and the merits and
benefits of the PFMP and the BRP. (See Sec. 818.5(b)(2) (i) and (ii).
(c) Installation commanders:
(1) Develop appropriate guidance to assure compliance with
prescribed procedures.
(2) Coordinate on all responses to high-level, executive, and
congressional inquiries.
(d) Chiefs, CBPO:
(1) Through the CBPO Special Actions Unit, process all complaints
according to this part.
(2) Upon request, provide UIF policy guidance to the unit commander.
(3) Coordinate on all responses to high level, executive, and
congressional inquiries.
(e) Unit commanders:
(1) Implement required procedures at the unit level.
(2) Review all the available facts surrounding a complaint of
personal indebtedness, or of nonsupport or inadequate support of
dependents, and initiate appropriate action.
(3) Ensure complainants are provided a prompt reply that explains
Air Force policy. At the unit commander's discretion, the first sergeant
may respond to initial complaints. Second and subsequent inquiries
require a reply by the unit commander.
(4) Advise members of the requirement to meet their financial and
dependent support obligations and inform them that failure to do so
damages their reputation and affects the public image of all Air Force
personnel. At the unit commander's discretion the first sergeant may
provide initial counseling to enlisted members. Second and subsequent
inquiries require counseling by the unit commander.
(5) Refer personnel who have evidenced financial irresponsibility to
the local PFMP manager for counseling on a mandatory but confidential
basis.
(6) Coordinate on all responses to high-level, executive, and
congressional inquiries that pertain to personnel assigned to the unit.
(7) Consider administrative or disciplinary action against members
in cases of continued financial irresponsibility, fraud, deceit,
criminal conduct, or failure to support dependents. Consult the staff
judge advocate for guidance.
(f) Air Force members:
(1) Are expected to pay their just financial obligations in a proper
and timely manner.
(2) Are expected to provide regular and adequate support to their
dependents.
(3) Maintain reasonable contact with their creditors and dependents
to minimize Air Force involvement.
(g) PFMP managers:
(1) Establish a consultant function to assist personnel in financial
management matters, or other subjects as deemed appropriate to the needs
of the local base population.
(2) Advise commanders regarding Air Force policy.
(h) Staff judge advocates:
(1) Advise commanders on the application of Air Force policy on
individual cases. Include advice on administrative
[[Page 55]]
or disciplinary action that may be appropriate in cases involving
continued financial irresponsibility, fraud, deceit, criminal conduct,
or failure to support dependents, including arrearages.
(2) Provide guidance concerning federal, state, and local laws
(e.g., bankruptcy, garnishment, wage earner plans, the Truth in Lending
Act (Pub. L. 90-321), Fair Debt Collection Practices Act (Pub. L. 95-
109), The Soldiers' and Sailors' Civil Relief Act of 1940, as amended,
etc.).
(3) Coordinate on all responses to high-level, executive, and
congressional inquiries.
(i) Family support centers serve as a source of information,
counseling, and referral for family members in need of support and
financial management assistance.
Sec. 818.4 Review of complaints.
Complaints received regarding personal indebtedness or nonsupport of
dependents should first be forwarded to the consolidated base personnel
office (CBPO) Special Actions Unit to ensure that they pertain to an Air
Force member. Also, indebtedness complaints should be reviewed by the
staff judge advocate's office to ensure that they meet the general
policies and requirements for acceptance (see Secs. 818.7 and 818.8).
(a) The CBPO Special Actions Unit forwards processable cases to the
unit commander for action, or:
(1) If the member has been reassigned, forwards the case to the
current CBPO Special Actions Unit and advises the complainant of
referral.
(2) If member has separated with no further military status or has
retired, advises the complainant accordingly and indicates they are
unable to assist because the individual is no longer under Air Force
jurisdiction.
(3) If the member has been released from active duty, forwards the
case to Headquarters Air Reserve Personnel Center, Special Actions
Branch (HQ ARPC/DPAS), Denver CO 80280-5000, and advises the complainant
of the referral.
(b) Indebtedness complaints that do not meet processing requirements
are returned to the complainant with an explanation of the reason or
reasons for return.
(c) For dependent nonsupport or inadequate support cases forwarded
by HQ AFMPC/DPMASC, the commander must furnish the following information
in the reply to that office (if negative, so state):
(1) Requirement of court order or decree, if applicable, and degree
of compliance by the member.
(2) Date, amount, and method of prior support payments.
(3) Proposed date, amount, and method (for instance, money order,
personal check, allotment, and, if by allotment, the effective date of
first payroll deduction, and so forth) of future support payments
(primary and arrearages, if any).
(4) If drawing basic allowance for quarters (BAQ), the amount
received, type (for instance, with dependents or without dependents),
and basis for receipt (wife, child or children in custody of ex-wife,
and so forth).
(5) Action taken or projected to be taken to comply with
Sec. 818.14, where appropriate, regarding the BAQ.
Sec. 818.5 Processing of complaints.
Any complaint that meets the requirements of this part will be
processed. Processed means that the commander shall, within 15 calendar
days of receipt of a complaint:
(a) Review all available facts surrounding the transaction or
forming the basis for the complaint, including the member's legal rights
and counterclaims. Assess the actions of the member as they apply to Air
Force policy in these situations by reviewing the requirements of the
credit agreement, court order, separation agreement, or other documents
and actions taken by the member to resolve the matter, and the financial
status of the member.
(b) Advise the member of Air Force policy appropriate to the
complaint--that personal debts are expected to be paid in a proper and
timely manner or that Air Force members are expected to provide regular
and adequate support for their dependents. Also, explain what the member
should do to comply with that policy.
[[Page 56]]
(1) Legal counseling services are available regarding indebtedness
and dependent support agreements.
(2) Financial counseling and assistance services are available
through the Personal Financial Management Program (PFMP) or the Budget
Restructuring Program (BRP).
(i) PFMP is designed to assist personnel in analyzing personal
financial problem areas, developing budgets, formulating debt-
liquidation plans, obtaining consumer protection, improving checkbook
maintenance, and buying on credit. (See AFR 170-32, Personal Financial
Management Program (PFMP))
(ii) BRP is a coordinated approach between the PFMP manager,
Headquarters Air Force Aid Society (AFAS) and the installation
commander, whereby members who are undergoing financial difficulties may
obtain a loan. BRP loans are made to deserving members in selected cases
where long-term debt problems are such that budget restructuring is
essential if the member is to function effectively in the Air Force
environment.
(iii) Counseling services may also be available from the onbase
military banking facility or credit union.
(c) Advise the complainant of Air Force policy that applies to the
situation. Responses to dependent support complaints will include, when
appropriate, a copy of the factsheet describing the legal process
procedures that may be taken against the Air Force (Sec. 818.20 and
818.21). Form letters are not permitted.
(1) The Air Force does not arbitrate disputed cases, admit or deny
validity of the complaint, or confirm the liability of its members.
(2) Under no circumstances will the response indicate whether or not
administrative or disciplinary action has been taken against the member
as a result of the complaint.
(3) Replies should be courteous and responsive to the complaint. The
commander is not an intermediary and that impression should not be given
in the reply.
(4) Commanders must actively monitor complaints until they are
resolved. The Air Force cannot tolerate financial irresponsibility,
neglect, dishonesty, or evasiveness. Failure to liquidate personal
financial obligations promptly and honorably or to provide regular and
adequate financial support to dependents could necessitate
administrative or disciplinary action. If the commander decides the
complaint reflects adversely on the member, the administrative or
disciplinary action should be made a part of the unfavorable information
file (UIF) according to AFR 35-32 (Unfavorable Information Files,
Control Rosters, Administrative Reprimands and Admonitions) or the unit
assigned personnel information file (UAPIF) according to AFR 35-44
(Military Personnel Records Systems).
Sec. 818.6 High-level inquiries (AFR 11-7, Air Force Relations with Congress).
Replies to high-level, executive, and congressional inquiries should
be coordinated through the installation commander, the staff judge
advocate, director of personnel, and inspector general. As a minimum,
replies should state Air Force policy (Sec. 818.1), and a summary of the
position taken by the member, if applicable. For inquiries requiring
response to HQ AFMPC Congressional Inquiries Section (DPMRPH2), include
that information required by Sec. 818.4(c), as appropriate, in addition
to:
(a) Whether or not the member agrees to release of information
protected by the Privacy Act of 1974. (See part 806b of this chapter)
(b) Name of unit commander, address, and base telephone number.
Subpart B--Personal Indebtedness
Sec. 818.7 General policies.
(a) Members are expected to pay their financial obligations in a
proper and timely manner. Claims of indebtedness, including returned
checks, if properly supported, are processed as prescribed in
Sec. 818.5.
(b) Inform claimants, desiring to contact a military member about
indebtedness, that they may obtain the member's military address by
writing to the HQ AFMPC Research, Locator Fees Section (HQ AFMPC/
DPMD003), Northeast Office Place, 9504 IH 35 North, San Antonio TX
78233-6636. Usually, a research fee of $3.50 is charged for this
[[Page 57]]
service. For those cases where an address is not releasable, HQ AFMPC/
DPMD003 provides mail forwarding service at no additional cost.
(c) The processing of complaints will not be extended to those:
(1) Who have not made a bona fide effort to collect the debt
directly from the military member through personal contact,
correspondence, or other means.
(2) Whose claims are patently false and misleading, or are in
violation of state laws concerning usury and debt collection practices
(Sec. 818.4).
(3) Whose claims are obviously exorbitant (Sec. 818.4).
(d) Some states have enacted laws that prohibit creditors from
contacting a debtor's employer with respect to indebtedness or
communicating facts concerning indebtedness to any employer unless
certain conditions are met. The conditions that must be met to remove
this prohibition are generally such things as reduction of a debt to
judgment and obtaining written permission of the debtor.
(1) At Air Force installations in states having such laws, the
processing of debt complaints will not be extended to those creditors
who are not in compliance with the state law. Commanders may advise
creditors that this rule has been established because it is the general
policy of the Air Force to comply with state law when that law does not
infringe upon military interests.
(2) This policy will govern even though the creditor is not licensed
to do business in the state where the debtor is located.
(e) Under Pub. L. 95-109, contact by a debt collector with third
parties for the purpose of aiding debt collection is prohibited without
the prior consent of the debtor, given directly to the debt collector,
or without a court order. Creditors are generally exempt from Pub. L.
95-109 when they collect on their own behalf.
(f) Denial of privileges:
(1) If a claimant, having been notified of the requirements of this
part, refuses or repeatedly fails to comply with its provisions; or a
claimant, regardless of the merits of the claim, clearly has shown that
an attempt is being made to make unreasonable use of the processing
privilege, the CBPO Special Actions Unit documents the case, provides
comments and recommendations, and submits the documentation through
command channels to HQ AFMPC/DPMASC.
(2) Cases involving usurious, fraudulent, misleading, or deceptive
business practices are reported to the Armed Forces Disciplinary Control
Board according to AFR 125-11 (Armed Forces Disciplinary Control Boards
and Off-Installation Military Enforcement Services), as well as HQ
AFMPC/DPMASC if it appears that Air Force-wide action is appropriate.
Sec. 818.8 General requirements for acceptance of complaints.
Requirements in this section do not apply to claims by Federal,
State, or Municipal governments, including foreign, nor to those
creditors not otherwise subject to Federal Reserve Board (FRB)
Regulation Z (12 CFR part 226, Secs. 226.3, 226.9 (1978)).
(a) Full disclosure and standards of fairness. The Truth in Lending
Act (Pub. L. 90-321) prescribes the general disclosure requirements that
must be met by those offering or extending consumer credit. It also
prescribes the specific disclosure requirements for both open-end and
installment credit transactions.
(1) In place of government requirements, state regulations apply to
credit transactions if the FRB determines that the state regulations
impose substantially similar requirements and provide adequate
enforcement measures.
(2) Commanders should seek advice from their local staff judge
advocate to determine whether federal or state laws and regulations
apply.
(b) Certificates of compliance: (1) Creditors subject to FRB
regulation Z, and assignees claiming thereunder, must provide an
executed copy of the Certificate of Compliance with their request for
assistance. They must also include a copy of the general and specific
disclosures provided the member as required by Pub. L. 90-321.
(2) Creditors not subject to FRB Regulation Z (for example, public
utility companies, grocery stores, and so
[[Page 58]]
forth) must include a certification that their request contains neither
interest, finance charges, nor other fees in excess of that permitted by
the laws of the state in which the obligation was incurred.
(3) Foreign-owned companies having debt complaints against a member
must provide a true copy of the terms of the debt, translated into
English, and certification of their subscription to the Standards of
Fairness.
(c) Evidence of prior actions. Such evidence should include
photostatic, file, or other duplicated copies, or documentary proof (for
example, chronological account activity listings, notarized personal
statements, postal documentation, and so forth) showing that every
effort has been made to obtain payment by direct contact with the
member.
Sec. 818.9 Dishonored checks and similar instruments.
Every check, draft, or order for the payment of money drawn on any
bank or other depository carries with it the representation of payment
in full when presented. If dishonored, checks and similar instruments
are considered to be evidence of personal indebtedness until redeemed or
the member asserts a valid defense to payment. The procedures in
Sec. 818.5 apply, and commanders should counsel members on Air Force
policy regarding personal indebtedness. Although redeemed:
(a) Administrative or disciplinary action may be appropriate where
criminal conduct is evident. The commander should consult the staff
judge advocate to determine whether action under the Uniform Code of
Military Justice (UCMJ) or other administrative action is appropriate.
(b) Repeated cases of dishonored checks may serve as the basis for
administrative action, to include letters of reprimand, UIF entries,
overstamping identification cards to reflect the denial of check cashing
privileges (AFR 30-20, Issue and Control of Identification (ID) Cards),
or administrative separation. The commander should consult the staff
judge advocate on the appropriateness of administrative action.
Note: These provisions are not appropriate for dishonored checks
issued by a military dependent unless the staff judge advocate
determines that the member may be held personally liable based on a
review of the circumstances.
Sec. 818.10 Bankruptcy.
Air Force policy is one of strict neutrality. No adverse action may
be taken against a member of the Air Force for either filing a petition
or because of a discharge in bankruptcy. Underlying facts may involve
mismanagement of personal affairs or dishonorable failure to pay just
debts and could form a basis for adverse action against a member of the
Air Force, but neither filing a petition (for bankruptcy or for payments
out of future earnings) nor a discharge in bankruptcy can, of
themselves, be considered ``mismanagement'' or ``dishonorable.''
(a) Commanders should consult with the servicing staff judge
advocate before considering any administrative or disciplinary action
against a member for conduct associated with a bankruptcy petition.
(b) Further, the staff judge advocate should be consulted when
providing financial counseling for members considering bankruptcy.
(c) The Air Force recognizes and complies with decrees in bankruptcy
cases.
Sec. 818.11 Involuntary deductions for personal indebtedness.
Federal law (5 U.S.C. 5514 and 37 U.S.C. 1007(c)) authorizes the Air
Force Accounting and Finance Center (AFAFC) to satisfy a military
member's personal indebtedness to the Air Force and other Department of
Defense (DOD) Components, federal agencies, and nonappropriated funds
instrumentalities by involuntary salary offset or administrative offset
(AFR 170-30, Debt Collecting). In addition, the AFAFC is authorized to
garnish the wages of Air Force members to satisfy personal indebtedness
for the enforcement of child support and alimony payments under certain
conditions (Secs. 818.15 and 818.16).
[[Page 59]]
Subpart C--Dependent Support
Sec. 818.12 General policies.
Members are expected to pay their financial obligations in a proper
and timely manner. Dependent support, direct or in-kind, is a primary
element of an individual's personal financial obligations. Failure to
provide adequate dependent support, including the failure to make up
arrears in support, is the proper subject of command consideration for
disciplinary or administrative action.
(a) Air Force members are expected to comply with the financial
support provisions of a court order or written support agreement. If the
validity of either is questioned by the member, the issue must be
resolved by the parties or through the civil courts. The Air Force does
not arbitrate such disputes. Written agreements include such things as
separation agreements, property settlement agreements, and
correspondence in which the amount of support has been agreed to by the
parties concerned.
(b) Air Force members are expected to provide adequate support for
dependents in the absence of a court order or written support agreement.
The amount of support is generally based on the dependent's needs (for
example, food, clothing, shelter, medical care, and so forth) and the
ability of the member to pay. Each Air Force member is expected to
provide support in an amount, or kind, bearing a reasonable relation to
the needs of the dependents and the ability of the member to meet those
needs.
(1) The Air Force has no legal authority to arbitrate the amount of
support to be provided or to unilaterally deduct money from a member's
pay to ensure dependent support.
(2) Commanders must assess the actions of the member with respect to
their ability to pay and compliance with Air Force policy.
(i) For example, an individual who purchases a new car for personal
use and then claims an inability to provide dependent support because of
financial constraints ordinarily would not be viewed as being in
compliance with Air Force policy.
(ii) Further, an individual who acknowledges an existing obligation
and initiates an allotment for future support but does not provide for
past periods of nonsupport ordinarily would not be viewed as being in
compliance with Air Force policy.
(3) Commanders must assess the member's compliance with Air Force
policy when a family is separated either by choice or due to an
assignment action (for example, member volunteers for a dependent-
restricted overseas area, elects to serve an unaccompanied tour, early
returns dependents from an overseas area, is absent as a result of
lengthy temporary duty, and so forth).
(c) Examples of in-kind support includes such things as making the
mortgage or rent payments on a home occupied by the dependents, making
the payments on an automobile being used by the dependents, paying
medical bills, paying for school tuition, and so forth.
(d) Dependents, including ex-spouses on behalf of a member's
dependent child or children, are entitled to military legal counseling
services and are encouraged to seek such advice when needed.
(e) The member's obligation to support a child or children is not
affected by desertion or other misconduct on the part of the spouse or
ex-spouse.
(f) Members are expected to initiate changes of address for support
allotments and process appropriate applications for issue or renewal of
dependent identification cards in a timely manner when requested to do
so by or on behalf of dependents.
Sec. 818.13 Proof of support.
Generally, proof of dependent support is not required. However, on
receipt of a complaint of nonsupport or inadequate support from, or on
behalf of, a dependent for whom the member is receiving basic allowance
for quarters (BAQ), proof of support is required.
Sec. 818.14 Basic Allowance for Quarters (BAQ).
Under the DOD Military Pay and Allowances Entitlements Manual
(DODPM), paragraph 30236, BAQ is not payable on behalf of a dependent
whom
[[Page 60]]
a member refuses to support. Failure to support a dependent on whose
behalf BAQ is being received requires recoupment for periods of
nonsupport. Members should be informed of this provision and be advised
that refusal or failure to support dependents requires administrative
termination of BAQ entitlement at the with dependents rate.
(a) BAQ termination at the with dependents rate does not relieve a
member of responsibility for providing dependent support.
(b) Commanders must assess the member's compliance with Air Force
policy in those situations where the member would not otherwise be
authorized the BAQ entitlement. For example, member is residing in
government quarters and has no other dependents.
Sec. 818.15 Garnishment.
Federal law authorizes legal process against the Air Force only for
the enforcement of child support and alimony payments according to state
law. Service of legal process must be accomplished by certified or
registered mail, return receipt requested, or by personal service. The
Commander, Air Force Accounting and Finance Center, Attention: JA,
Denver CO 80279-5000, telephone (303) 370-7524, is the agent designated
to accept legal process within the Air Force for active duty, Reserve,
and retired military members.
(a) Legal process is defined as any writ, order, summons, or other
similar process in the nature of garnishment issued by:
(1) A court of competent jurisdiction within any state, territory,
or possession of the United States; or
(2) A court of competent jurisdiction in any foreign country with
which the United States has entered into an agreement that requires the
United States to honor such process; or
(3) An authorized official pursuant to an order of such court of
competent jurisdiction or pursuant to state or local law. (See 42 U.S.C.
659, 662.)
(b) Process directed for garnishment must demonstrate, either on its
face or by accompanying documentation, that collection is sought only
for child support or alimony or both. The process must also show the
member's Social Security number and whether the member is active duty,
Reserve, or retired.
(c) If the validity of a court's order is questioned by the member
concerned, the issue must be resolved by the parties or in court by the
member or his or her private attorney. The Air Force has no authority to
resolve such disputes.
Sec. 818.16 Statutory allotments.
An active duty member's pay and allowances are subject to a
mandatory allotment to satisfy child or child and spousal support
obligations where payments are in arrears for at least 2 months.
(a) A statutory allotment, pursuant to federal law, may be
accomplished by the Air Force Accounting and Finance Center upon their
being furnished a written notice from a court or state agency with
responsibility for administering child support programs under title IV-D
of the Social Security Act.
(b) The notice and the following documents or information must be
served on the Commander, Air Force Accounting and Finance Center,
Attention: JA, Denver CO 80279-5000:
(1) A statement that the person signing is an agent or an attorney
of the state having a title IV-D plan who has the duty or authority
under such plan to seek to recover amounts owed by a member as child or
child and spousal support or a notice from a state court or any agent of
the court who has authority to issue an order against a member for the
support of a child.
(2) The service member's full name and Social Security number.
(3) A recently certified copy of the order awarding support must be
included with the notice and a statement that the support payments are
in arrears at least 2 months.
(4) A court order showing the amount of the arrears and specifying
that payments be made to liquidate such arrears.
(5) The total amount of the allotment (the amount to be paid for
current support and the amount to be paid each month towards arrears
must be specified), the date or dates that the current support should
terminate (for each
[[Page 61]]
child), and the name and address of the payee.
Sec. 818.17 Paternity claims.
The Air Force does not judge paternity claims against its personnel.
Paternity must be established either by admission, or by judicial order
or decree of paternity, or child support duly ordered by a United States
or foreign court of competent jurisdiction.
(a) Allegations of paternity against active duty members will be
transmitted to the member concerned through his unit commander. The unit
commander will:
(1) If paternity is denied, inform the claimant accordingly and
advise of Air Force policy regarding paternity claims.
(2) Once paternity is established, advise the member of his moral
and legal obligations as well as his legal rights in the matter. The
member will be encouraged to render the necessary financial support to
the child and take any other action considered proper under the
circumstances. Advise the claimant of Air Force policy as it relates to
support of dependents and the position taken by the member, if the
member elects to take one.
(3) On receipt of a communication from a judge of a civilian court,
including a court summons or a judicial order, concerning the member's
availability to appear at an adoption hearing where it is alleged that
he is the father of an illegitimate child, provide a reply that:
(i) Due to military requirements, the member cannot be granted leave
to attend any court hearing until (date), or
(ii) A request by the member for leave to attend an adoption hearing
on (date), if made, would be approved, or
(iii) The member has stated in a sworn written statement (forward a
copy with response) that he is not the natural parent of the child, and
that only a court of competent jurisdiction can judge the matter, or
(iv) Due to the member's unavailability caused by a specific reason,
a completely responsive answer cannot be made.
(v) Inform member of the inquiry and the response. Also, member
should be urged to obtain legal assistance (including an explanation of
the Soldiers' and Sailors' Civil Relief Act of 1940, if appropriate).
(b) If the member has been released from active duty, the unit
commander forwards the inquiry to HQ ARPC/DPAS, Denver CO 80280-5000.
Advise complainant of the referral.
(1) HQ ARPC/DPAS, on receipt of an allegation of paternity, provides
an appropriate response to the claimant as set forth for members on
active duty under paragraphs (a) (1) and (2) of this section.
(2) Communications from a judge of a civilian court, including a
court summons or judicial order, concerning the availability of
personnel to appear at an adoption hearing where it is alleged that the
member not on active duty is the father of an illegitimate child, shall
receive a reply that such person is not on active duty. A copy of the
communication and the reply is forwarded to the named individual.
(3) When requested by a judge of a civilian court, the member's
address may be furnished if the request is supported by a:
(i) Certified copy of either a judicial order or decree of paternity
or support duly rendered against the member by a United States or
foreign court of competent jurisdiction; or
(ii) Document that establishes that the member has made an official
admission or statement acknowledging paternity or responsibility for
support of a child before a court of competent jurisdiction,
administrative or executive agency, or official authorized to receive
it; or
(iii) Court summons, judicial order, or similar document of a court
within the United States in a case concerning the adoption of an
illegitimate child wherein the member is alleged to be the father.
(4) The address may also be furnished if the claimant, with the
corroboration of a physician's affidavit, alleges and explains an
unusual medical situation that makes it essential to obtain information
from the alleged father to protect the physical health of either the
prospective mother or the unborn child.
[[Page 62]]
(c) If the member has been separated with no further military status
or retired, the unit commander advises the claimant:
(1) Of the date of discharge. Indicate that you are unable to assist
because the individual is no longer under Air Force jurisdiction. Also,
advise that the Air Force assumes no responsibility for the whereabouts
of individuals no longer under its jurisdiction.
(2) In addition, the last known address of the former member may be
furnished the requester under the same conditions as set forth for
members not on active duty under paragraph (b) of this section.
Sec. 818.18 Certificate of compliance.
See 32 CFR part 43a.10.
Sec. 818.19 Standards of fairness.
See 32 CFR part 43a.9.
Sec. 818.20 Garnishment of pay of Air Force members and employees only for child support or alimony obligations.
(a) This section is for general guidance. For more specific
information, refer to the United States Code (42 U.S.C. 659, 661, 662;
15 U.S.C. 1673), the Code of Federal Regulations (5 CFR part 581), and
applicable State law.
(b) Federal law authorizes legal process against the United States
Air Force only for the enforcement of child support and alimony
obligations of members and employees in accordance with State law. This
includes active duty, Reserve, Air National Guard (ANG), and retired
military members, and civilian employees of the United States Air Force.
See 42 U.S.C. 659.
(c) Legal process is defied as any writ, order, summons, or other
similar process in the nature of garnishment directed to the US Air
Force which is issued by:
(1) A court of competent jurisdiction within any State, territory,
or possession of the United States;
(2) A court of competent jurisdiction in any foreign country with
which the United States has entered into an agreement that requires the
United States to honor such process; or
(3) An authorized official pursuant to an order of such court of
competent jurisdiction or pursuant to State or local law. See 42 U.S.C.
659, 662.
(d) Child support is the legal obligation of an individual to
provide periodic payments of funds for the support and maintenance of a
child, subject to, and in accordance with, State law.
(e) Alimony is defined as the obligation of an individual to provide
periodic payments for the support and maintenance of the spouse (or
former spouse) including separate maintenance, alimony pendente lite,
maintenance, and spousal support. The definition of alimony expressly
excludes payments or transfers of property made in compliance with any
community property settlement, equitable distribution of property, or
other division of property between spouses. See 42 U.S.C. 662 (b) and
(c).
(f) Attorney's fees, interest, and court costs are within the
definition of child support and alimony when, and to the extent, they
are recoverable pursuant to a decree, order, or judgment issued in
accordance with applicable State law by a court of competent
jurisdiction.
(g) State law is to be followed when processing garnishment requests
(as to jurisdiction and competency of courts, procedures, exemptions,
and the operation of garnishment or similar process). However, State law
as it applies to service of process and exemptions from garnishment and
similar process may be affected by Federal law. See 42 U.S.C. 659(b) and
15 U.S.C. 1673(b).
(h) Unless an otherwise lesser amount is specified by State law,
Federal law provides a limit of 50 percent on the amount that is subject
to garnishment for a person supporting a second family (a spouse or
dependent child), and 60 percent for a person who is not. The
percentages are increased by an additional 5 percent in each situation
if there are outstanding arrearages more than 12 weeks old.
(i) A Federal employee's pay subject to garnishment includes wages,
salary bonuses, incentive pay, retired pay, or disability retirement
pay. (The United States will exclude debts owed to the United States;
Federal, State and local income tax withholding; Social Security
withholdings (FICA); deductions for health insurance premiums; normal
[[Page 63]]
retirement contributions; normal government life insurance premiums;
fines and forfeitures ordered by court-martial; Retired Serviceman's
Family Protection Plan; and Survivor Benefit Plan.) See 42 U.S.C. 662(g)
and 5 CFR 581.105.
(j) Process directed to the Commander, AFAFC/JA, must demonstrate,
either on its face or by accompanying documentation, that collection is
sought only for child support or alimony or both. The process must also
show the social security number and whether the member is retired,
Reserve, ANG, active duty, or civilian employee. (If the employee is a
civilian, the name of the base where the civilian is employed should
also be provided.)
(k) In order to process the request efficiently, these documents
should be provided:
(1) If the process does not reflect that it has been brought to
enforce an obligation of support, a certified copy of the order,
judgment, or decree that originally established the obligation to
support (5 CFR 581.202(c));
(2) A copy of any pleading requesting reduction of delinquent
amounts to a judgment amount, and a copy of any order resulting
therefrom;
(3) Any pleading, affidavit, or application requesting garnishment
process; and
(4) The supporting execution, if any.
Documentation will vary depending on State law.
(l) The law directs the Federal government to answer garnishment or
similar process within 30 days (or within such longer period as may be
prescribed by applicable State law) after date of service. See 42 U.S.C.
659(d).
(m) Service of legal process must be accomplished by certified or
registered mail, return receipt requested, or by personal service. Any
documents served in any other manner will be returned without action.
The following agents have been designated to accept legal process within
the Air Force:
(1) Active duty, reserve, Air National Guard (ANG), and retired
military members, and civilian employees of appropriated fund
activities: Commander, Air Force Accounting and Finance Center,
Attention: JA, Denver CO 80279-5000; (303) 370-7524.
(2) Nonappropriated fund civilian employees of base exchanges: Army
and Air Force Exchange Service, Attention: GC-G, Dallas TX 75222-3956;
(214) 320-2641.
(3) Civilian employees of all other Air Force nonappropriated fund
activities: AFMPC/JA, Attention: NAF Law Division, Randolph AFB TX
78150-6001; (512) 652-6691.
(n) See 5 CFR part 581, appendix A.
Sec. 818.21 Statutory allotments.
(a) On 3 September 1982, the President signed into law section
172(a) of Pub. L. 97-248 (codified at 42 U.S.C. 665, effective 1 October
1982) which allows mandatory allotments from an active duty member's pay
and allowances to satisfy child or child and spousal support
obligations. (Alimony or spousal support alone does not qualify under
this law).
(b) A spouse or former spouse may obtain an allotment for child
support or child and spousal support in cases where payments are in
arrears for at least 2 months.
(c) This act provides that no more than 50 percent of a member's pay
and allowances are subject to be allotted from a member who is
supporting a second family and no more than 60 percent from a member who
is not. The percentages are increased by 5 percent in each situation
where there are outstanding arrearages which are 12 or more weeks past
due. Pay and allowances and exclusions are defined in the DOD
regulations.
(d) After the Air Force member is notified and given an opportunity
to be counseled, the allotment will be established in the next available
month following 30 days after notice is made on the Air Force member.
The payments will be made at the end of the month in which the allotment
was established.
(e) An allotment, pursuant to this statute, may be accomplished by
furnishing the Air Force Accounting and Finance Center a written notice
from a court or state agency administering child support programs under
title IV-D of the Social Security Act. This notice must be signed and
must contain the following information:
[[Page 64]]
(1) A statement that the person signing is an agent or an attorney
of the State having a IV-D plan who has the duty or authority under such
plan to seek to recover amounts owed by a service member as child or
child and spousal support or a notice from a state court or any agent of
the court which has authority to issue an order against a service member
for the support of a child.
(2) The service member's full name and social security number.
(3) A recently certified copy of the order awarding support must be
included with the notice.
(4) A statement that the support payments are in arrears at least
two months.
(5) A court order showing the amount of the arrears and specifying
that payments be made to liquidate such arrears.
(6) The total amount of the allotment. (Specify the amount to be
paid for current support and the amount to be paid each month toward
arrears.)
(7) The dates that the current support should terminate (for each
child).
(8) Name and address of payee.
(f) The notice and documents must be served on the following:
Commander, AFAFC, Attn: JA, Denver CO 80279-5000.
[[Page 65]]
SUBCHAPTER C--PUBLIC RELATIONS [RESERVED]
SUBCHAPTER D--CLAIMS AND LITIGATION
PART 841--LICENSING GOVERNMENT-OWNED INVENTIONS IN THE CUSTODY OF THE DEPARTMENT OF THE AIR FORCE--Table of Contents
Subpart A--General Information
Sec.
841.0 Purpose.
841.1 Air Force policy.
841.2 Execution of licenses.
841.3 Delegation of authority.
841.4 Definitions.
841.5 Royalties.
Subpart B--Restrictions and Conditions for Licensing and Types of
Licenses
841.6 Restrictions and conditions.
841.7 Nonexclusive licenses.
841.8 Exclusive and partially exclusive licenses.
841.9 Additional licenses.
841.10 Foreign licenses.
Subpart C--Licensing Procedures
841.11 Publication requirements.
841.12 Request for a license.
841.13 Contents of a license application.
841.14 Published notices.
841.15 Determination to grant or deny exclusive or partially exclusive
licenses.
841.16 Modification and termination.
841.17 Appeals.
Subpart D--Transfer of Custody of Government Inventions and
Confidentiality of Information
841.18 Transfer procedure.
841.19 Confidentiality of plans and reports.
Authority: 10 U.S.C. 8012.
Source: 50 FR 20563, May 17, 1985, unless otherwise noted.
Subpart A--General Information
Sec. 841.0 Purpose.
This regulation prescribes the policies, administrative
requirements, procedures, terms, and conditions for licensing of rights
in federally owned patents and patent applications vested in the United
States of America in the custody of the Department of the Air Force. It
is consistent with General Services Administration Licensing of
Federally Owned Inventions, 41 CFR 101-4, which implements Pub. L. 96-
517. It applies to all requests for a license under an Air Force
invention.
Sec. 841.1 Air Force policy.
Federally owned inventions in the custody of the Department of the
Air Force normally will best serve the public interest when they are
developed to the point of practical application and made available to
the public in the shortest possible time. Nonexclusive, partially
exclusive, or exclusive licenses for the practice of these inventions
may be granted to applicants who agree to develop and/or market the
inventions. All Air Force inventions normally will be made available for
the granting of licenses to responsible applicants.
Sec. 841.2 Execution of licenses.
Nonexclusive, partially exclusive, or exclusive licenses will be
executed on behalf of the Department of the Air Force by the Secretary
or by anyone to whom this authority is delegated.
Sec. 841.3 Delegation of authority.
The administration of this part is delegated to The Judge Advocate
General, who may redelegate the administration of this part to the
Chief, Patents Division, Office of The Judge Advocate General. All
communications received in any Air Force activity requesting information
regarding the licensing of a Government invention will be acknowledged
and sent without further action directly to HQ USAF/JACP, Washington DC
20324.
Sec. 841.4 Definitions.
(a) Air Force invention means an invention, plant, or design which
is covered by a patent or patent application in the United States, or a
patent, patent application, plant variety protection, or other form of
protection in a foreign country, title to which has been assigned to or
otherwise vested in the United States Government and in
[[Page 66]]
the custody of the Department of the Air Force.
(b) Small business firm means a small business concern as defined in
section 2 of Pub. L. 85-536 (15 U.S.C. 632) and implementing regulations
of the Administrator of the Small Business Administration.
(c) Practical Application means to manufacture in the case of a
composition or product, to practice in the case of a process or method,
or to operate in the case of a machine or system; and in each case,
under such conditions as to establish that the invention is being
utilized and that its benefits are to the extent permitted by law or
Government regulations available to the public on reasonable terms.
(d) United States means the United States of America, its
territories and possessions, the District of Columbia, and the
Commonwealth of Puerto Rico.
Sec. 841.5 Royalties.
(a) Royalties may or may not be charged under nonexclusive licenses
granted to US citizens and US corporations on Government inventions;
however, the Department of the Air Force may require other
considerations when a royalty is not charged.
(b) Normally, an exclusive or partially exclusive license on an Air
Force invention will contain a royalty provision and/or other
consideration flowing to the Government.
Subpart B--Restrictions and Conditions for Licensing and Types of
Licenses
Sec. 841.6 Restrictions and conditions.
The following restrictions and conditions apply to all licenses
granted under this part:
(a) Restrictions: (1) A license may be granted only if the applicant
has supplied the Air Force with a satisfactory plan for development or
marketing of the invention, or both, and with information about the
applicant's capability to fulfill the plan.
(2) A license granting rights to use or sell under an Air Force
invention in the United States shall normally be granted only to a
licensee who agrees that any product embodying the invention or produced
through the use of the invention will be manufactured substantially in
the United States.
(b) Conditions. Licenses shall contain such terms and conditions as
the Air Force determines are appropriate for the protection of the
interests of the Federal Government and the public and are not in
conflict with law or this part. The following terms and conditions apply
to any license:
(1) The duration of the license shall be for a period specified in
the license agreement, unless sooner terminated according to provisions
therein.
(2) The license may be granted for all or less than all fields of
use of the invention or in specified geographical areas, or both.
(3) The license may extend to subsidiaries of the licensee or other
parties if provided for in the license but shall be nonassignable
without approval of the Air Force, except to the successor of that part
of the licensee's business to which the invention pertains.
(4) The license may provide the licensee the right to grant
sublicenses under the license, subject to the approval of the Air Force.
Each sublicense shall make reference to the license, including the
rights retained by the Government, and a copy of each sublicense shall
be furnished to the Air Force.
(5) The license shall require the licensee to carry out the plan for
development or marketing of the invention, or both, to bring the
invention to practical application within a period specified in the
license, and to continue to make the benefits of the invention
reasonably accessible to the public.
(6) The license shall require the licensee to report, at least
annually, on the utilization or efforts at obtaining utilization that
are made by the licensee, with particular reference to the plan
submitted.
(7) Licenses may be royalty-free or for royalties or other
consideration.
(8) When the licensee agrees that any products embodying the
invention or produced through use of the invention will be manufactured
substantially in the United States, the license shall recite such
agreement.
(9) The license shall provide for the right of the Air Force to
terminate the license, in whole or in part, if:
[[Page 67]]
(i) The Air Force determines that the licensee is not executing the
plan submitted with its requests for a license and the licensee cannot
otherwise demonstrate to the satisfaction of the Air Force that it has
taken or can be expected to take within a reasonable time effective
steps to achieve practical application of the invention;
(ii) The Air Force determines that such action is necessary to meet
requirements for public use specified by Federal regulations issued
after the date of the license and such requirements are not reasonably
satisfied by the licensee;
(iii) The licensee has willfully made a false statement of or
willfully omitted a material fact in the license application or in any
report required by the license agreement; or
(iv) The licensee commits a substantial breach of a covenant or
agreement contained in the license.
(10) The license may be modified or terminated consistent with this
part upon mutual agreement of the Air Force and the licensee.
(11) Nothing relating to the grant of a license, nor the grant
itself, shall be construed to confer upon any person, any immunity from
or defense under the antitrust laws or from a charge of patent misuse,
and the acquisition and use of rights pursuant to this subpart shall not
be immunized from the operation of state or Federal law by reason of the
source of the grant.
(12) The license shall contain a provision that the government makes
no representation or warranty as to the validity of any licensed patent
or patent application, or of the scope of any of the claims contained
therein, or that the exercise of the license will not result in the
infringement of any other patent and that the Government assumes no
liability whatsoever resulting from the exercise of the license.
Sec. 841.7 Nonexclusive licenses.
Each Air Force invention normally will be made available for the
granting of nonexclusive licenses, subject to the provisions of any
other license, including those in Sec. 841.8, and subject to the
following condition: the nonexclusive license may also provide that,
after termination of a period specified in the license agreement, the
Air Force may restrict the license to the fields of use or geographic
areas, or both, in which the licensee has brought the invention to
practical application and continues to make the benefits of the
invention reasonably accessible to the public. However, such restriction
shall be made only in order to grant an exclusive or partially exclusive
license according to this part.
Sec. 841.8 Exclusive and partially exclusive licenses.
Each Government invention may be made available for the granting of
an exclusive or partially exclusive license subject to the following
restrictions and conditions:
(a) Restrictions. Exclusive or partially exclusive licenses may be
granted on federally owned inventions as follows:
(1) Three months after notice of the invention's availability has
been announced in the Federal Register; or
(2) Without such notice where the Air Force determines that
expeditious granting of such a license will best serve the interest of
the Federal Government and the public; and
(3) In either situation specified in paragraph (a) (1) or (2) of
this section only if:
(i) Notice of a prospective license, identifying the invention and
the prospective licensee, has been published in the Federal Register,
providing opportunity for filing written objections within a 60-day
period;
(ii) After expiration of the 60-day period and consideration of any
written objections received during the period, the Air Force makes the
determinations required by Sec. 841.15 favorably to the applicant; and
(iii) The Air Force has given first preference to any small business
firms submitting plans that are determined by the agency to be within
the capabilities of the firms and as equally likely, if executed, to
bring the invention to practical application as any plans submitted by
applicants that are not small business firms.
(b) Conditions. In addition to the provisions of Sec. 841.6, the
following terms and conditions apply to domestic exclusive and partially
exclusive licenses:
[[Page 68]]
(1) The license shall be subject to the irrevocable royalty-free
right of the Government of the United States to practice and have
practiced the invention on behalf of the United States and on behalf of
any foreign government or international organization pursuant to any
existing or future treaty or agreement with the United States.
(2) The license shall reserve to the Air Force the right to require
the licensee to grant sublicenses to responsible applicants, on
reasonable terms, when necessary to fulfill health or safety needs.
(3) The license shall be subject to any licenses in force at the
time of the grant of the exclusive or partially exclusive license.
(4) The license may grant the licensee the right of enforcement of
the licensed patent pursuant to the provisions of 35 U.S.C. 29, as
determined appropriate in the public interest.
Sec. 841.9 Additional licenses.
Nothing in this part will preclude the Air Force from granting
licenses for Air Force inventions which are the result of an authorized
exchange of rights in the settlement of patent disputes. The following
exemplify circumstances wherein such licenses may be granted:
(a) In consideration of the settlement of an interference;
(b) In consideration of a release of a claim of infringement; or
(c) In exchange for or as part of the consideration for a license
under adversely held patents.
Sec. 841.10 Foreign licenses.
(a) Exclusive or partially exclusive licenses may be granted on an
Air Force invention covered by a foreign patent, patent application, or
other form of protection, provided that:
(1) Notice of a prospective license identifying the invention and
prospective licensee has been published in the Federal Register,
providing opportunity for filing written objections within a 60-day
period and following consideration of such objections;
(2) The Air Force has considered whether the interests of the
Federal Government or United States industry in foreign commerce will be
enhanced; and
(3) The Air Force has not determined that the grant of such license
will tend substantially to lessen competition or result in undue
concentration in any section of the United States in any line of
commerce to which the technology to be licensed relates, or to create or
maintain other situations inconsistent with antitrust laws.
(b) In addition to the provisions of Sec. 841.6, the following terms
and conditions apply to foreign exclusive and partially exclusive
licenses:
(1) The license shall be subject to the irrevocable, royalty-free
right of the United States Government to practice and have practiced the
invention on behalf of any foreign government or international
organization pursuant to any existing or future treaty or agreement with
the United States.
(2) The license shall be subject to any licenses in force at the
time of the grant of the exclusive license.
(3) The license may grant the licensee the right to take any
suitable and necessary action to protect the licensed property on behalf
of the United States Government.
Subpart C--Licensing Procedures
Sec. 841.11 Publication requirements.
The Department of the Air Force will cause to be published in the
Federal Register, and at least one other publication that the Air Force
deems would best serve the public interest, a list of Government
inventions in the custody of the Department of the Air Force available
for licensing under the conditions specified in subpart B.
Sec. 841.12 Request for a license.
Requests for a license under an Air Force invention should be
addressed to the Chief, Patents Division, HQ USAF/JACP, Washington DC
20324.
Sec. 841.13 Contents of a license application.
An application for a license will include:
(a) Identification of the invention for which the license is desired
including the patent application serial number or
[[Page 69]]
patent number, title, and date, if known;
(b) Identification of the type of license for which the application
is submitted;
(c) Name and address of the person, company, or organization
applying for the license and the citizenship or place of incorporation
of the applicant;
(d) Name, address, and telephone number of the representative of the
applicant to whom correspondence should be sent;
(e) Nature and type of applicant's business, identifying products or
services which the applicant has successfully commercialized, and
approximate number of applicant's employees;
(f) Source of information concerning the availability of a license
on the invention;
(g) A statement indicating whether the applicant is a small business
firm as defined in Sec. 841.4 of this subpart;
(h) A detailed description of the applicant's plan for development
or marketing of the invention, or both, which should include:
(1) A statement of the time, nature, and amount of anticipated
investment of capital and other resources which applicant believes will
be required to bring the invention to practical application;
(2) A statement as to applicant's capability and intention to
fulfill the plan, including information regarding manufacturing,
marketing, financial, and technical resources;
(3) A statement of the fields of use for which applicant intends to
practice the invention; and
(4) A statement of the geographic areas in which the applicant
intends to manufacture any products embodying the invention and
geographic areas where applicant intends to use or sell the invention,
or both;
(i) Identification of licenses previously granted to applicant under
federally owned inventions;
(j) A statement containing the applicant's best knowledge of the
extent to which the invention is being practiced by private industry or
Government, or both, or is otherwise available commercially; and
(k) Any other information which applicant believes will support a
determination to grant the license to applicant.
Sec. 841.14 Published notices.
A notice that the prospective exclusive or partially exclusive
licensee has been selected will be published by the Department of the
Air Force in the Federal Register and a copy of the notice will be sent
to the Attorney General. The notice will include:
(a) Identification of the invention;
(b) Identification of the selected licensee; and
(c) A statement that the license will be granted unless any written
objection is received within 60 days.
Sec. 841.15 Determination to grant or deny exclusive or partially exclusive licenses.
(a) After the notice is published in the Federal Register that a
prospective exclusive or partially exclusive licensee has been selected
and the 60 days for filing written objections has expired, a decision
will be made whether to grant or deny the license considering all
arguments and evidence of record. A memorandum of the decision will be
prepared and shall include:
(1) An identification of the invention, type of license desired, and
name and address of the party applying for the license;
(2) The name and address of all third parties who objected to the
granting of the license, if any;
(3) A brief statement of the reasons for the objections, if any;
(4) A discussion of the relative merits of the license application
vs. the objections filed by third parties, if any;
(5) Determinations, and reasons supporting the determinations,
whether:
(i) The interests of the Federal Government and the public will be
served by the proposed license, in view of the applicant's intentions,
plans, and ability to bring the invention to practical application or
otherwise promote the invention's utilization by the public;
(ii) The desired practical application has not been achieved or is
not likely expeditiously to be achieved under any nonexclusive license
which has been granted on the invention;
(iii) Exclusive or partially exclusive licensing is a reasonable and
necessary
[[Page 70]]
incentive to call forth the investment of risk capital and expenditures
to bring the invention to practical application or otherwise promote the
invention's utilization by the public;
(iv) The proposed terms and scope of exclusivity are not greater
than reasonably necessary to provide the incentive for bringing the
invention to practical application or otherwise promote the invention's
utilization by the public;
(v) The grant of such license will tend substantially to lessen
competition or result in undue concentration in any section of the
country in any line of commerce to which the technology to be licensed
relates, or to create or maintain other situations inconsistant with the
antitrust laws; and
(vi) The interest of the United States Government or industry in
foreign commerce will be enhanced, if the license request is under a
foreign patent, patent application, or other form of protection.
(6) The signature of the individuals making the determinations.
(b) A record of the determinations to grant or deny an exclusive or
a partially exclusive license shall be maintained by the Patents
Division.
Sec. 841.16 Modification and termination.
Before modifying or terminating a license, other than by mutual
agreement, the Air Force shall furnish the licensee and any sublicensee
of record a written notice of intention to modify or terminate the
license, and the licensee and any sublicensee shall be allowed 30 days
after such notice to remedy any breach of the license or show cause why
the license should not be modified or terminated.
Sec. 841.17 Appeals.
A party whose application for a license has been denied, a licensee
whose license has been modified or terminated, in whole or in part, or a
party who timely filed a written objection in response to the notice
required in Sec. 841.8 and Sec. 841.10 and who can demonstrate to the
satisfaction of the Air Force that such party may be damaged by the
agency action, may appeal to The Judge Advocate General, any decision or
determination concerning the grant, denial, interpretation,
modification, or termination of a license. The appeal must be in writing
and submitted within 60 days from the date the decision or determination
was mailed to the party.
Subpart D--Transfer of Custody of Government Inventions and
Confidentiality of Information
Sec. 841.18 Transfer procedure.
Under certain circumstances it may be in the best interest of the
Air Force to enter into an agreement to transfer its custody of any
invention to another Government agency for purposes of administration
including the granting of licenses pursuant to this part. Such transfers
will be made on a case-by-case basis.
Sec. 841.19 Confidentiality of plans and reports.
Title 35 U.S.C. 209 provides that any plan submitted pursuant to
Sec. 841.13 above and any report required by Sec. 841.6 may be treated
by the Air Force as commercial and financial information obtained from a
person and priviledged and confidential and not subject to disclosure
under 5 U.S.C. 552.
PART 842--ADMINISTRATIVE CLAIMS--Table of Contents
Sec.
842.0 Scope.
Subpart A--General Information
842.1 Scope of this subpart.
842.2 Definitions.
842.3 Claims authorities.
842.4 Where to file a claim.
842.5 Claims forms.
842.6 Signature on the claim form.
842.7 Who may file a claim.
842.8 Insured claimants.
842.9 Splitting a claim.
Subpart B--Functions and Responsibilities
842.10 Scope of this subpart.
842.11 Air Force claims organization.
842.12 HQ USAF claims responsibility.
842.13 Staff Judge Advocates' responsibility.
842.14 Claims and assistant claims officers.
[[Page 71]]
Subpart C--Claims Under Article 139, Uniform Code of Military Justice
(UCMJ) (10 U.S.C. 939)
842.15 Scope of this subpart.
842.16 Definitions.
842.17 Claims payable.
842.18 Claims not payable.
842.19 Limiting provisions.
842.20 Filing a claim.
Subpart D--Personnel Claims (31 U.S.C. 3701, 3721)
842.21 Scope of this subpart.
842.22 Definitions.
842.23 Delegations of authority.
842.24 Filing a claim.
842.25 Partial payments.
842.26 Statute of limitations.
842.27 Who may file a claim.
842.28 Who are proper claimants.
842.29 Who are not proper claimants.
842.30 General provisions.
842.31 Claims payable.
842.32 Claims not payable.
842.33 Reconsideration of a claim.
842.34 Right of subrogation, indemnity, and contribution.
842.35 Depreciation and maximum allowances.
Subpart E--Carrier Recovery Claims
842.36 Scope of this subpart.
842.37 Definitions.
842.38 Delegations of authority.
842.39 Statute of limitations.
Subpart F--Military Claims Act (10 U.S.C. 2733)
842.40 Scope of this subpart.
842.41 Definitions.
842.42 Delegations of authority.
842.43 Filing a claim.
842.44 Advance payments.
842.45 Statute of limitations.
842.46 Who may file a claim.
842.47 Who are proper claimants.
842.48 Who are not proper claimants.
842.49 Claims payable.
842.50 Claims not payable.
842.51 Applicable law.
842.52 Appeal of final denials.
842.53 Right of subrogation, indemnity, and contribution.
842.54 Attorney fees.
Subpart G--Foreign Claims (10 U.S.C. 2734)
842.55 Scope of this subpart.
842.56 Definitions.
842.57 Delegations of authority.
842.58 Filing a claim.
842.59 Advance payments.
842.60 Statute of limitations.
842.61 Who may file a claim.
842.62 Who are proper claimants.
842.63 Who are not proper claimants.
842.64 Payment criteria.
842.65 Claims not payable.
842.66 Applicable law.
842.67 Reconsideration of final denials.
842.68 Right of subrogation, indemnity, and contribution.
Subpart H--International Agreement Claims (10 U.S.C. 2734a and 2734b)
842.69 Scope of this subpart.
842.70 Definitions.
842.71 Delegations of authority.
842.72 Filing a claim.
Subpart I--Use of Government Property Claims (10 U.S.C. 2737)
842.73 Scope of this subpart.
842.74 Definitions.
842.75 Delegations of authority.
842.76 Filing a claim.
842.77 Statute of limitations.
842.78 Claims payable.
842.79 Claims not payable.
842.80 Reconsideration of final denial.
842.81 Settlement agreement.
Subpart J--Admiralty Claims (10 U.S.C. 9801-9804, 9806; 46 U.S.C. 740)
842.82 Scope of this subpart.
842.83 Definitions.
842.84 Delegations of authority.
842.85 Reconsidering claims against the United States.
Subpart K--Claims Under the Federal Tort Claims Act (28 U.S.C. 1346(b),
2402, 2671, 2672, 2674-2680)
842.86 Scope of this subpart.
842.87 Definitions.
842.88 Delegations of authority.
842.89 Statute of limitations.
842.90 Reconsideration of final denials.
842.91 Settlement agreements.
Subpart L--Property Damage Tort Claims in Favor of the United States (31
U.S.C. 3701, 3711-3719)
842.92 Scope of this subpart.
842.93 Delegations of authority.
842.94 Assertable claims.
842.95 Non-assertable claims.
842.96 Asserting the claim.
842.97 Referring a claim to the US Attorney or the Department of
Justice.
842.98 Statute of limitations.
842.99 Compromise, termination, and suspension of collection.
[[Page 72]]
Subpart M--Claims Under the National Guard Claims Act (32 U.S.C. 715)
842.100 Scope of this subpart.
842.101 Definitions.
842.102 Delegations of authority.
842.103 Filing a claim.
842.104 Advance payments.
842.105 Statute of limitations.
842.106 Who may file a claim.
842.107 Who are proper claimants.
842.108 Who are not proper claimants.
842.109 Claims payable.
842.110 Claims not payable.
842.111 Applicable law.
842.112 Appeal of final denials.
842.113 Government's right of subrogation, indemnity, and contribution.
842.114 Attorney fees.
Subpart N--Hospital Recovery Claims (42 U.S.C. 2651-2653)
842.115 Scope of this subpart.
842.116 Definitions.
842.117 Delegations of authority.
842.118 Assertable claims.
842.119 Nonassertable claims.
842.120 Asserting the claim.
842.121 Referring a claim to the US Attorney.
842.122 Statute of limitations.
842.123 Recovery rates in government facilities.
842.124 Waiver and compromise of United States interest.
842.125 Reconsideration of a waiver for undue hardship.
Subpart O--Nonappropriated Fund Claims
842.126 Scope of this subpart.
842.127 Definitions.
842.128 Delegations of authority.
842.129 Settlement of claims against NAFIs.
842.130 Payment of claims against NAFIs.
842.131 Tort and tort type claims.
842.132 Claims by NAFI employees.
842.133 Claims by customers, members, participants, or authorized
users.
842.134 Claims in favor of NAFIs.
842.135 Advance payments.
842.136 Claim payments and deposits.
Subpart P--Civil Air Patrol Claims (5 U.S.C. 8101(1)(B), 8102(a),
8116(c), 8141; 10 U.S.C. 9441, 9442; 36 U.S.C. 201-208)
842.137 Scope of this subpart.
842.138 Definitions.
842.139 Delegations of authority.
842.140 Proper claimants.
842.141 Improper claimants.
842.142 Claims payable.
842.143 Claims not payable.
Subpart Q--Advance Payments (10 U.S.C. 2736)
842.144 Scope of this subpart.
842.145 Delegation of authority.
842.146 Who may request.
842.147 When authorized.
842.148 When not authorized.
842.149 Separate advance payment claims.
842.150 Liability for repayment.
Authority: Sec. 8013, 100 Stat. 1053, as amended; 10 U.S.C. 8013,
except as otherwise noted.
Source: 55 FR 2809, Jan. 29, 1990, unless otherwise noted.
Note: Air Force Regulations are available through the National
Technical Information Service (NTIS), U.S. Department of Commerce, 5285
Port Royal Road, Springfield, VA 22161.
This part is derived from Air Force Regulation 112-1, Claims and
Tort Litigation.
Sec. 842.0 Scope.
This part establishes standard policies and procedures for
administratively processing claims resulting from Air Force activities
and for which the Air Force has assigned responsibility; tells how to
present, process, and settle claims.
Subpart A--General Information
Sec. 842.1 Scope of this subpart.
This subpart explains terms used in this part. It states basic Air
Force claims policy and identifies proper claimants.
Sec. 842.2 Definitions.
(a) Authorized agent. Any person or corporation, including a legal
representative, empowered to act on a claimant's behalf.
(b) Civilian personnel. Civilian employees of the Air Force who are
paid from appropriated or nonappropriated funds. They include prisoners
of war, interned enemy aliens performing paid labor, and volunteer
workers except for claims under the Military Personnel and Civilian
Employees' Claims Act.
(c) Claim. Any signed written demand made on or by the Air Force for
the payment of a sum certain. It does not include any obligations
incurred in the regular procurement of services, supplies, equipment, or
real estate. An oral demand made under Article 139,
[[Page 73]]
Uniform Code of Military Justice (UCMJ) is sufficient.
(d) Claimant. An individual, partnership, association, corporation,
country, state, territory, or its political subdivisions, and the
District of Columbia. The US Government or any of its instrumentalities
may be a claimant in admiralty, tort, carrier recovery and hospital
recovery claims in favor of the United States.
(e) Geographic area of claims responsibility. The base Staff Judge
Advocate's (SJA's) jurisdiction for claims. CONUS jurisdictional areas
are designated by HQ USAF/JACC on maps distributed to the field. HQ
PACAF, HQ USAFE, and HQ 9AF SJAs designate these areas within their
jurisdictions. DOD assigns areas of single service responsibility to
each military department.
(f) HQ USAF/JACC. Claims and Tort Litigation Staff, Office of The
Judge Advocate General, Headquarters, United States Air Force, Building
5683, Bolling AFB, DC 20332-6128.
(g) HQ 9AF. Headquarters Ninth Air Force, Shaw AFB, SC 29152-5002.
(h) Owner. A holder of a legal title or an equitable interest in
certain property. Specific examples include:
(1) For real property. The mortgagor, and the mortgagee if that
individual can maintain a cause of action in the local courts involving
a tort to that specific property.
(2) For personal property. A bailee, lessee, mortgagee and a
conditional vendee. A mortgagor, conditional vendor, or someone else
other than the owner, who has the title for purposes of security are not
owners.
(i) HQ PACAF. Headquarters, Pacific Air Forces, Hickam AFB, HI
96853-5001.
(j) Personal injury. The term ``personal injury'' includes both
bodily injury and death.
(k) Property damage. Damage to, loss of, or destruction of real or
personal property.
(l) Settle. To consider and pay, or deny a claim in full or in part.
(m) Single Base General Court-Martial Jurisdiction (GCM). For claims
purposes, a base legal office serving the commander who exercises GCM
authority over that base, or that base and other bases.
(n) Subrogation. The act of assuming the legal rights of another
after paying a claim or debt, for example, an insurance company
(subrogee) paying its insured's (subrogor's) claim, thereby assuming the
insured's right of recovery.
(o) HQ USAFE. Headquarters, United States Air Forces in Europe,
Ramstein Air Base, Germany, APO NY 09012-5001.
[55 FR 2809, Jan. 29, 1990, as amended at 56 FR 1574, Jan. 16, 1991]
Sec. 842.3 Claims authorities.
(a) Appellate authority. The individual authorized to review the
final decision of a settlement authority upon appeal or reconsideration.
(b) Settlement authority. The individual or foreign claims
commission authorized to settle a claim upon its initial presentation.
Sec. 842.4 Where to file a claim.
File a claim at the base legal office of the unit or installation at
or nearest to where the accident or incident occurred. If the accident
or incident occurred in a foreign country where no Air Force unit is
located, file the claim with the Defense Attache (DATT) or Military
Assistance Advisory Group (MAAG) personnel authorized to receive claims
(DIAM 100-1 and AFR 400-45). In a foreign country where a claimant is
unable to obtain adequate assistance in filing a claim, the claimant may
contact the nearest Air Force SJA. The SJA then advises HQ USAF/JACC
thorugh claims channels of action taken and states why the DATT or MAAG
was unable to adequately assist the claimant.
Sec. 842.5 Claims forms.
Any signed written demand on the Air Force for a sum certain is
sufficient to file a claim. The claimant should use these forms when
filing a claim:
(a) Claim processed under the Military Personnel and Civilian
Employees' Claims Act. Use AF Form 180, Claim For Loss of or Damage To
Personal Property Incident To Service, or DD Forms 1842, Claim for
Personal Property Against the United States, and 1844, Schedule of
Property and Claim Analysis Chart, to file the claim.
[[Page 74]]
(b) Claim processed under international agreements. Use any form
specified by the host country.
(c) Any other type claim. Use SF 95, Claim for Damage, Injury, or
Death.
Sec. 842.6 Signature on the claim form.
The claimant or authorized agent signs the claim form in ink using
the first name, middle initial, and last name.
(a) Claim filed by an individual. (1) A married woman signs her
name, for example, Mary A. Doe, rather than Mrs. John Doe.
(2) An authorized agent signing for a claimant shows, after the
signature, the title or capacity and attaches evidence of authority to
present a claim on behalf of the claimant as agent, executor,
administrator, parent, guardian, or other representative; for example,
John Doe by Richard Roe, Attorney in Fact. A copy of a current and valid
power of attorney, court order, or other legal document is sufficient
evidence of the agent's authority.
(b) Claim with joint interest. Where a joint ownership or interest
in real property exists, all joint owners must sign the claim form. This
includes a husband and wife signing a claim if the claim is for property
damage. However, only the military member or civilian employee signs the
claim form for a claim under the Military Personnel and Civilian
Employees' Claims Act.
(c) Claim filed by a corporation. (1) A corporate officer signing
the form must show title or capacity and affix the corporate seal (if
any) to the claim form.
(2) If the person signing the claim is other than the corporate
officer they must:
(i) Attach to the claim form a certification by a proper corporate
officer that the individual is an agent of the corporation duly
authorized to file and settle the claim;
(ii) Affix to the claim form the corporate seal (if any) to the
certification.
(d) Claim filed by a partnership. A partner must sign the form
showing his or her title as partner and list the full name of the
partnership.
Sec. 842.7 Who may file a claim.
(a) Property damage. The owner or owners of the property or their
authorized agent may file a claim for property damage.
(b) Personal injury or death. (1) The injured person or authorized
agent may file a claim for personal injury.
(2) The duly appointed guardian of a minor child or any other person
legally entitled to do so under applicable local law may file a claim
for a minor's personal injury.
(3) The executor or administrator of the decedent's estate or any
other person legally entitled to do so under applicable local law may
file a claim based on an individual's death.
(c) Subrogation. The subrogor (insured) and the subrogee (insurer)
may file a claim jointly or individually. Pay a fully subrogated claim
only to the subrogee. A joint claim must be asserted in the names of and
signed by the real parties in interest. Make payment by sending a joint
check to the subrogee, made payable to the subroger and subrogee. If
separate claims are filed, make payment by check issued to each claimant
to the extent of each undisputed interest.
Sec. 842.8 Insured claimants.
Insured claimants must make a detailed disclosure of their insurance
coverage by stating:
(a) Their name and address.
(b) Kind, amount, and dates of coverage of insurance.
(c) Insurance policy number.
(d) Whether a claim was presented to the insurer and, if so, in what
amount.
(e) Whether the insurer paid or is expected to pay the claim.
(f) The amount of any payment made or promised.
Sec. 842.9 Splitting a claim.
(a) A claim includes all damages accruing to a claimant by reason of
an accident or incident. For example, when the same claimant has a claim
for property damage and personal injury arising out of the same
incident, each claim represents only a part of a single claim or cause
of action. Even if local law permits filing a separate
[[Page 75]]
claim for property damage and for personal injury, do not settle or pay
a separate or split claim without the advance approval of HQ USAF/JACC.
(b) Filing for an advance payment, and subsequently filing a claim,
does not constitute splitting a claim.
(c) Process the claim of a subrogor (insured) and subrogee (insurer)
for damages arising out of the same incident as a single claim where
permitted. If either claim or the combined claim exceeds, or is expected
to exceed, settlement limits, send it to the next higher settlement
authority. Do not split subrogated claims to avoid settlement limits.
Subpart B--Functions and Responsibilities
Sec. 842.10 Scope of this subpart.
It sets out the claims organization within the US Air Force and
describes the functions and responsibilities of the various claims
offices.
Sec. 842.11 Air Force claims organization.
Air Force claims channels are:
(a) Continental United States (CONUS), Azores, Panama and Iceland:
(1) Headquarters US Air Force (HQ USAF).
(2) SJAs of bases, single base GCM authorities, stations and fixed
installations, and commanders responsible for investigation and
settlement of claims.
(b) Pacific Air Forces (PACAF) and US Air Forces, Europe (USAFE):
(1) HQ USAF.
(2) SJAs of PACAF and USAFE.
(3) SJAs of organizations exercising GCM authority.
(4) SJAs of bases, stations and fixed installations, and commanders
responsible for investigating and settling claims.
(c) US Central Command (CENTCOM):
(1) HQ USAF.
(2) SJA of Headquarters Ninth Air Force (HQ 9AF).
(3) SJAs of bases, stations, and fixed installations, and commanders
responsible for investigation and settlement of claims.
(d) Maneuver and disaster claims. Air Force Judge Advocates
designated by The Judge Advocate General (TJAG) to process maneuver and
disaster claims. Once appointed, judge advocates must process claims
through claims channels.
[55 FR 2809, Jan. 29, 1990, as amended at 56 FR 1574, Jan. 16, 1991]
Sec. 842.12 HQ USAF claims responsibility.
(a) TJAG, through the Claims and Tort Litigation Staff (HQ USAF/
JACC): (1) Establishes claims and tort litigation policies and
supervises and assists all Air Force claims activities.
(2) Trains claims officers and paralegals.
(3) Settles certain claims.
Note: The authority specifically delegated to the Deputy Judge
Advocate General to settle certain claims in no way limits the Deputy's
authority to perform the duties of TJAG when so acting pursuant to 10
U.S.C. 8072.
(4) Monitors tort litigation for and against the United States
arising out of Air Force activities.
(b) HQ USAF/JACC. (1) Supervises and inspects claims and tort
litigation activities through assistance visits, special audits, and
Claims Administrative Management Program (CAMP) reviews.
(2) Implements claims and tort litigation policies, issues
instructions, and provides guidance and assistance to subordinate claims
offices.
(3) Recommends settlement action on claims and tort litigation to
TJAG, the Secretary of the Air Force, and the United States Attorney
General.
(4) Maintains liaison with the Department of Defense (DOD),
Department of Justice (DOJ), and other government agencies on claims and
tort litigation.
(5) Settles certain claims.
(6) Certifies or reports claims to the General Accounting Office
(GAO).
(7) Prepares budget estimates for Air Force claims activities.
(8) Monitors the collection, allocation, and expenditure of Air
Force claims funds.
(9) Keeps permanent records on all claims and tort litigation for
which TJAG is responsible.
(10) Conducts and supervises claims training activities.
[[Page 76]]
Sec. 842.13 Staff Judge Advocates' responsibility.
(a) Major Command (MAJCOM). (1) All MAJCOM SJAs, whether or not
exercising claims settlement authority are responsible for the general
supervision of claims activities within their commands, including:
(i) Conduct of periodic claims audits.
(ii) Support of claims teams. Members may be detailed from personnel
assigned to the command to respond to natural disasters or serious
incidents. If resources are not available from within the command, HQ
USAF/JACC should be contacted for assistance.
(iii) Apportion claims funds allocated by HQ USAF.
(2) The PACAF, USAFE, and HQ 9AF SJA:
(i) Settles claims.
(ii) At a minimum, through assistance visits and audits, supervises
claims activities of those subordinate units and organizations assigned
to them for claims purposes.
(iii) Appoints members to foreign claims commissions.
(iv) Monitors international claims.
(v) Establishes and designates geographic areas of claims
responsibility within the command, except for DOD designated single-
service areas of responsibility.
(b) GCM: (1) The GCM SJA, whether or not he or she exercises claims
settlement authority, is responsible for the general supervision of
claims activities within the subordinate units.
(2) The GCM SJA exercising settlement authority:
(i) Settles certain claims.
(ii) Supervises directly the claims activities of their subordinate
units. This includes at least assistance visits and audits for all but
single base GCMs.
(c) Base SJAs: (1) Settle certain claims.
(2) Have primary investigative responsibility for incidents giving
rise to claims that occur in their geographic area of responsibility.
(3) Notify HQ USAF/JACC through claims channels, if there is a
question of which base can best investigate and process a particular
claim.
Sec. 842.14 Claims and assistant claims officers.
(a) Functions and responsibilities: (1) The claims officer, under
the immediate supervision of the SJA, the commander, or other appointing
authority, is responsible for all claims activity of the command,
organization, or unit. This includes investigating and reporting
accidents, incidents, and claims.
(2) The assistant claims officer performs claims duties under the
supervision of the claims officer and in the absence of the claims
officer.
(b) Appointment of claims and assistant claims officers: (1) The
Commander of each Air Force base, station, fixed installation, or
separate unit appoints a claims officer in writing.
(2) The SJA appoints assistant claims officers in writing.
(c) Qualifications of claims officers: Claims officers are
commissioned officers, designated as judge advocates of the Air Force,
or civilian attorneys employed by the United States in authorized
attorney positions at the office of the SJA.
(d) Qualifications of assistant claims officers: The assistant
claims officer may be an attorney, a senior noncommissioned officer (E-7
through E-9), or a Department of the Air Force civilian employee (GS-7
or above).
Subpart C--Claims Under Article 139, Uniform Code of Military Justice
(UCMJ) (10 U.S.C. 939)
Sec. 842.15 Scope of this subpart.
It sets out the Air Force procedures for processing Article 139,
UCMJ claims.
Sec. 842.16 Definitions.
(a) Appointing commander. The commander exercising special court-
martial jurisdiction over the offender is the appointing commander.
(b) Board of officers. One to three commissioned officers appointed
to investigate a complaint of willful property damage or wrongful taking
by Air Force personnel comprise a board of officers.
(c) Property. Property is an item that is owned or possessed by an
individual
[[Page 77]]
or business. Property includes a tangible item such as clothing,
household furnishings, motor vehicles, real property, and currency. The
term does not include intangible property or items having no independent
monetary worth. Items that should not be considered as property for the
purpose of this part include a stock, bond, check, check book, credit
card, telephone service and cable television services.
(d) Willful damage. Damage or destruction caused intentionally,
knowingly, and purposely, without justifiable excuse is willful damage.
(e) Wrongful taking. Any unauthorized taking or withholding of
property with intent to deprive the owner or person in lawful possession
either temporarily or permanently.
Sec. 842.17 Claims payable.
Claims for property willfully damaged or wrongfully taken by Air
Force military personnel as a result of riotous, violent, or disorderly
conduct. If a claim is payable under this part and also under another
part, it may be paid under this part if authorized by HQ USAF/JACC.
Sec. 842.18 Claims not payable.
Claims that are not payable are:
(a) Claims resulting from simple negligence.
(b) Claims for personal injury or death.
(c) Claims resulting from acts or omissions of Air Force military
personnel while acting within the scope of their duty.
(d) Claims of subrogees.
(e) Claims arising from private indebtedness.
(f) Claims for reimbursement for bad checks.
Sec. 842.19 Limiting provisions.
(a) Submit a complaint within 90 days of the date of the incident
unless the appointing commander finds good cause for the delay. Command
determination of the absence of good cause is final.
(b) Assessment of damages in excess of $5,000 against an offender's
pay for a single incident requires HQ USAF/JACC approval.
(c) Payment of indirect, remote, or consequential damages is not
authorized.
Sec. 842.20 Filing a claim.
Claimant complains (orally or in writing) to the commander of a
military organization or unit of the alleged offending member or members
or to the commander of the nearest military installation. However, the
complainant need not request a sum certain in writing, before settlement
is made.
Subpart D--Personnel Claims (31 U.S.C. 3701, 3721)
Sec. 842.21 Scope of this subpart.
It explains how to settle and pay claims under the Military
Personnel and Civilian Employees' Claims Act for incident to service
loss and damage of personal property. These claims are paid according to
this subpart even when another subpart may also apply.
Sec. 842.22 Definitions.
(a) Act of God. An act occasioned exclusively by violence of nature,
such as flood, earthquake, tornado, typhoon or hurricane, that is
unanticipated and over which no one has any control.
(b) Military installation. A facility used to serve a military
purpose and used or controlled by the Air Force or any other Department
of Defense (DOD) element.
(c) Other authorized places: (1) Any place authorized, or apparently
authorized by the government to receive, hold, or store personal
property, such as offices, warehouses, baggage holding areas, hospitals.
(2) Any area on a military installation designated for parking or
storing vehicles.
(3) A recreation area or any real estate the Air Force or any other
DOD element uses or controls.
(d) Personal property. Tangible property an individual owns,
including but not limited to household goods, unaccompanied baggage,
privately owned vehicles (POV), and mobile homes.
(e) Quarters: (1) Housing the government assigns or otherwise
provides in kind to the claimant, including substandard housing and
trailers, when the claimant pays the government a
[[Page 78]]
fixed rental while drawing basic allowance for quarters (BAQ).
(2) Privately owned mobile or manufactured homes parked on base in
spaces the government provides.
(3) Transient housing accommodations, wherever located, such as,
hotels, motels, guest houses, transient dormitories, or other lodgings
the government furnishes or contracts for.
(4) Housing accommodations outside the United States which the
claimant occupies according to local policies and procedures which were
not assigned by or otherwise provided for by the U.S. Government.
Quarters do not include housing occupied by foreign indigenous
employees.
(5) Garages, carports, driveways, and parking lots assigned to
quarters the government provides for the occupants of the quarters to
use.
(6) Street parking:
(i) At quarters.
(ii) In the immediate vicinity of quarters.
(iii) Reserved parking assigned to offbase housing accommodations
overseas.
(7) The area immediately adjacent to quarters when used for storage
of items not commonly stored in living areas, for example, boats,
motorcycles, motorbikes, bicycles, lawn mowers, garden equipment, and
outdoor furniture.
(f) Reconsideration. The original or a higher settlement authority's
review of a prior settlement action.
(g) Small claim. A claim for $1,000 or less.
(h) Unusual Occurrence. Something not expected to happen in the
normal course of events.
Sec. 842.23 Delegations of authority.
(a) Settlement authority: (1) These individuals have been delegated
the authority to settle claims payable for $25,000 or less if the claim
arose before 31 October 1988, or $40,000 or less if the claim arose on
or after 31 October 1988, and to deny claims in any amount:
(i) The Judge Advocate General (TJAG).
(ii) The Deputy Judge Advocate General.
(iii) The Director of Civil Law.
(iv) The Chief, Deputy Chief, and Branch Chiefs, Claims and Tort
Litigation Staff.
(2) The SJAs of HQ USAFE, HQ PACAF, and 9 AF (for claims arising out
of HQ CENTCOM) have delegated authority to settle claims payable, and to
deny claims filed for $25,000 or less.
(3) The SJAs of single base GCMs and the SJAs of GCMs within PACAF
and USAFE have delegated authority to settle claims payable, and to deny
claims filed for $15,000 or less.
(4) SJAs of each Air Force Base, station, and fixed installation
have been delegated the authority to settle claims payable, and deny
claims filed for $10,000 or less.
(b) Redelegation of authority. A settlement authority may redelegate
the authority, in writing, to a subordinate judge advocate or civilian
attorney.
(c) Reconsideration authority. A settlement authority has the same
authority specified in a above. However, with the exception of TJAG, a
settlement authority may not deny a claim on reconsideration that it, or
its delegate, had previously denied.
(d) Authority to reduce, withdraw, and restore settlement authority.
Any superior settlement authority may reduce, withdraw, or restore
delegated authority.
[55 FR 2809, Jan. 29, 1990, as amended at 56 FR 1574, Jan. 16, 1991]
Sec. 842.24 Filing a claim.
(a) How and when to file a claim. A claim is filed when a federal
military agency receives from a claimant or duly authorized agent a
properly completed AF Form 180, DD Form 1842 or other written and signed
demand for a specified sum of money.
(b) Amending a claim. A claimant may amend a claim at any time prior
to the expiration of the statute of limitations by submitting a signed
amendment. The settlement authority adjudicates and settles or forwards
the amended claim as appropriate.
(c) Separate claims. The claimant files a separate claim for each
incident which caused a loss. For transportation claims, this means a
separate claim for each shipment.
[[Page 79]]
Sec. 842.25 Partial payments.
Upon request of a claimant, a settlement authority may make a
partial payment in advance of final settlement when a claimant
experiences personal hardship due to extensive property damage or loss.
Examples where partial payments are appropriate include fires and sunken
transport ships. Partial payments are made in this manner:
(a) If a claim for only part of the loss is submitted and is readily
provable, pay it up to the amount of the settlement authority. (The
claimant may later amend the claim for the remainder of the loss.) If
the total payable amount of the claim exceeds the payment limits of the
settlement authority, send it with recommendations through claims
channels to the proper settlement authority.
(b) When the total claim is submitted and the amount payable exceeds
the settlement authority, pay a partial payment within the limits of
settlement authority and send the claim, with recommendations, through
claims channels to the proper settlement authority.
Sec. 842.26 Statute of limitations.
(a) The claimant must file the claim in writing within 2 years after
it accrues. It accrues when the claimant discovered or reasonably should
have discovered the full extent of the property damage or loss. For
transportation losses, the claim usually accrues on the date of
delivery.
(b) To compute the statutory period, the incident date is excluded
and the day the claim was filed is included.
(c) Consider a claim filed after the statute has run if both of the
following are present:
(1) The United States is at war or in an armed conflict when the
claim accrues, or the United States enters a war or armed conflict after
the claim accrues. Congress or the President establishes the beginning
and end of war or armed conflict. A claimant may not file a claim more
than 2 years after the war or armed conflict ends.
(2) Good cause is shown. A claimant may not file a claim more than 2
years after the good cause ceases to exist.
Sec. 842.27 Who may file a claim.
A claim may be filed by the:
(a) Property owner.
(b) Authorized agent with a power of attorney.
(c) Property owner's survivors, who may file in this order:
(1) Spouse.
(2) Children.
(3) Father or mother, or both.
(4) Brothers or sisters, or both.
Sec. 842.28 Who are proper claimants.
Proper claimants are:
(a) Active duty Air Force military personnel.
(b) Civilian employees of the Air Force who are paid from
appropriated funds.
(c) DOD school teachers and school administrative personnel who are
provided logistic and administrative support by an Air Force
installation commander.
(d) Air Force Reserve (AFRES) and Air National Guard (ANG) personnel
when performing active duty, full-time National Guard duty, or inactive
duty training, ANG technicians under 32 U.S.C. 709.
(e) Retired or separated Air Force military personnel who suffer
damage or loss resulting from the last storage or movement of personal
property, or for claims accruing before retirement or separation.
(f) AFROTC cadets while on active duty for summer training.
(g) United States Air Force Academy cadets.
Sec. 842.29 Who are not proper claimants.
The following individuals are not proper claimants:
(a) Subrogees and assignees of proper claimants, including insurance
companies.
(b) Conditional vendors and lienholders.
(c) Non-Air Force personnel, including American Red Cross personnel,
United Services Organization (USO) performers, employees of government
contractors, and Civil Air Patrol (CAP) members.
(d) AFROTC cadets who are not on active duty for summer training.
[[Page 80]]
(e) Active duty military personnel and civilian employees of a
military service other than the Air Force.
(f) DOD employees who are not assigned to the Air Force.
(g) Army and Air Force Exchange Service (AAFES) employees and other
employees whose salaries are paid from nonappropriated funds (see
subpart O).
(h) Military personnel of foreign governments.
Sec. 842.30 General provisions.
Payable claims must be for:
(a) Personal property which is reasonable or useful under the
circumstances of military service.
(b) Loss, damage, destruction, confiscation, or forced abandonment
which is incident to service.
(c) Losses that are not collectable from any other source, including
insurance and carriers.
(d) Property that is owned by the claimants, their immediate
families, or borrowed for their use.
(e) Losses occurring without the claimants' negligence.
Sec. 842.31 Claims payable.
Claims may be paid for:
(a) Transportation or storage loss: (1) Pay for property damage or
loss incident to:
(i) Transportation under orders, whether it was in the possession of
the government, carrier, storage warehouse, or other government
contractor. This includes Do-It-Yourself (DITY) moves.
(ii) Travel under orders, including temporary duty (TDY).
(iii) Travel on a space available basis on a military aircraft,
vessel, or vehicle.
(2) Pay for property essential to everyday use, if the claimant has
replaced the items that he or she reported as missing. Essential items
may be paid for even if someone locates the property before the claimant
files the claim.
(b) Losses at quarters and other authorized places--(1) In the
United States (including U.S. territories and possessions). Pay for
personal property damage or loss, to include food spoilage, which is
caused by fire, explosion, theft, vandalism, typhoon, hurricane, unusual
occurrences or power outages which last for an extended period of time.
The claimant must be free of negligence.
(i) Claims for damage or loss caused by other acts of god are not
paid except in those instances where the geographic area has been
declared to be a federal disaster area or HQ USAF/JACC has determined
that payment is appropriate because the severity of the act of god was
truly extraordinary.
(ii) In some areas, extreme weather, such as severe lightning
storms, hail, or high winds, occur routinely. Damage claims from these
storms are normally not paid. Failure to take reasonable care in
protecting property from such known hazards may be negligence. These
types of claims would include pitted windshields, dents, chipped paint
on vehicles, and lightning damage to television sets, stereos, computer
components, video recorders, and other electrical appliances.
(2) Outside the United States. Pay for personal property damage or
loss, to include food spoilage, which is caused by fire, explosion,
theft, vandalism, acts of god, unusual occurrences, or power outages
which last for an extended period of time. The claimant must be free of
negligence. The SJA must make an affirmative determination that the act
of god or unusual occurrence was truly extraordinary.
(c) Privately owned vehicles (POV). Pay for damage to or loss of
POVs caused by government negligence under subpart F or K. Pay under
this subpart for damage or loss incident to:
(1) Theft of POVs or their contents, or vandalism to parked POVs:
(i) Anywhere on a military installation.
(ii) At offbase quarters overseas.
(iii) At other authorized places.
(2) Government shipment:
(i) To or from oversea areas incident to PCS.
(ii) On a space available reimbursable basis.
(iii) As a replacement vehicle under the provisions of the Joint
Travel Regulations (JTR).
(3) Authorized use for government duty other than PCS moves. The
owner must have specific advance permission of the appropriate
supervisor or official. Adequate proof of the permission
[[Page 81]]
and of nonavailability of official transportation must be provided prior
to paying such claims. Claims arising while the claimant is deviating
from the principal route or purpose of the trip should not be paid, but
claims occurring after the claimant returns to the route or purpose
should be paid. Travel between quarters and place of duty, including
parking, is not authorized use for government duty.
(4) Paint spray, smokestack emission, and other similar operations
by the Air Force on a military installation caused by a contractor's
negligence. (Process the claim under subpart F or K, if government
negligence causes such losses.) If a contractor's operation caused the
damage:
(i) Refer the claim first to the contractor for settlement.
(ii) Settle the claim under this subpart if the contractor does not
pay it or excessively delays payment, and assert a claim against the
contractor.
(d) Damage to mobile or manufactured homes and contents in shipment.
Pay such claims if there is no evidence of structural or mechanical
failure for which the manufacturer is responsible.
(e) Borrowed property. Pay for loss or damage to property claimants
borrow for their use. Either the borrower or lender, if proper
claimants, may file a claim. Do not pay for property borrowed to
accommodate the lender, i.e., such as to avoid weight or baggage
restrictions in travel.
(f) Marine or aircraft incident. Pay claims of crewmembers and
passengers who are in duty or leave status at the time of the incident.
Payable items include jettisoned baggage, clothing worn at the time of
an incident, and reasonable amounts of money, jewelry, and other
personal items.
(g) Combat losses. Pay for personal property losses, whether or not
the United States was involved, due to:
(1) Enemy action.
(2) Action to prevent capture and confiscation.
(3) Combat activities.
(h) Civil activity losses. Pay for losses resulting from a
claimant's acts to:
(1) Quell a civil disturbance.
(2) Assist during a public disaster.
(3) Save human life.
(4) Save government property.
(i) Confiscated property. Pay for losses when:
(1) A foreign government unjustly confiscates property.
(2) An unjust change or application of foreign law forces surrender
or abandonmnet of property.
(j) Clothing and accessories worn on the person. Pay claims for
damage to eyeglasses, hearing aids, and dentures the government did not
supply, when the damage results from actions beyond the normal risks
associated with daily living and working. Claimants assume the risk of
normal wear and tear, and their negligence bars payment of the claim.
(k) Money losses. Pay claims for loss of money when the losses are
due to theft from quarters, other authorized places, or from the person,
if the claimant was required to be in the area and could not avoid the
theft by due care. As a general rule, $200.00 is reasonable to have in
quarters, and $100.00 is reasonable to have on the person unless:
(1) The money was in a bona fide coin collection.
(2) The claimant can justify possession of the money for a PCS move,
extended TDY, vacation, extensive shopping trip, or similar
circumstances. The claimant must show a good reason why the money had
not been deposited in a bank or converted into travelers checks or a
money order.
(3) Local commercial facilities are not available or because US
personnel do not generally use such facilities.
Sec. 842.32 Claims not payable.
A claim is not payable if:
(a) It is not incident to the claimant's service.
(b) The loss or damage is caused in whole or in part by the
negligence or wrongful act of the claimant, the claimant's spouse,
agent, or employee.
(c) It is a subrogation or assigned claim.
(d) The loss is recovered or recoverable from an insurer or other
source. When a loss is recovered or is recoverable:
(1) The amount payable by insurance should be deducted if an insurer
denied a claim because a claimant failed to report the loss or to file a
timely claim under the policy. The claim should be
[[Page 82]]
paid if the settlement authority determines the claimant had good cause
for not filing with the insurer, or
(2) The amount which the Air Force cannot recover from a carrier
because the claimant failed to give timely notice of loss or damage
should be subtracted from the settlement unless the claimant shows good
cause for failure to give notice.
(e) It is intangible property including bank books, promissory
notes, stock certificates, bonds, baggage checks, insurance policies,
checks, money orders, travelers checks and credit cards.
(f) It is government property, including issued clothing items
carried on an individual issue supply account. (Clothing not carried on
an individual issue supply account which is stolen or clothing lost or
damaged in transit may be considered as a payable item when claimed.)
(g) It is enemy property.
(h) It is a loss within the United States at offbase quarters the
government did not provide.
(i) It is damage to real property.
(j) It is an appraisal fee, unless the settlement authority requires
one to adjudicate the claim. HQ USAF/JACC must authorize payment for an
appraisal fee of more than $100.
(k) It is property acquired or shipped for persons other than the
claimant or the claimant's immediate family; however, a claim for
property acquired for bona fide gifts may be paid.
(l) It is an article held for sale, resale, or used primarily in a
private business.
(m) It is an item acquired, possessed, shipped, or stored in
violation of any U.S. Armed Force directive or regulation. This includes
an automobile for which a member fails to comply with base registration
or insurance regulations. A claim must not be paid if one or more of
these factors exist:
(1) The loss was the type the regulation or directive intended to
prevent.
(2) The violation was willful or in defiance of authority, rather
than minor or technical in nature.
(3) The violation either undermined discipline or adversely affected
command welfare.
(n) It is an item fraudulently claimed. Deny payment for an item
when investigation shows the claimant has intentionally falsified the
value, condition, extent of damage, or repair cost of it. The claim file
must show clear intent to defraud. A mere mistake is not a fraud.
(o) It is for charges for labor performed by the owner or immediate
family member.
(p) It is for financial loss due to changed or cancelled orders.
(q) It is for expenses of enroute repair of a mobile or manufactured
home.
(r) It is a loss of use of personal property.
(s) It is an attorney or agent fee.
(t) It is the cost of preparing a claim, other than estimate fees.
(u) It is an inconvenience expense, such as food, lodging, and
transportation costs due to delay in delivery of household goods or
travel to port to deliver or pick up a vehicle.
(v) It is a loss of, or damage to POV driven during PCS.
(w) It is a personal property insurance premium.
(x) It is a claim for a thesis or other similar papers, except for
the cost of materials.
(y) It is damage to, or loss of a rental vehicle which TDY or PCS
orders authorized. These claims may be payable through Accounting and
Finance as a travel expense.
(z) It is a cost to relocate a telephone or mobile or manufactured
home due to a government ordered quarters move. The member submits such
claims to the commander directing the move for payment from other
Operation and Maintenance (O&M) funds.
(aa) It is for damage to or loss of property stored at the owner's
expense unless the claimant's duty made storage necessary.
(bb) It is for damage to clothing and accessories caused by routine
wrinkles.
(cc) It is hit-and-run damage to POVs.
(dd) It is for damage to clothing and accessories caused by contact
with office furniture or getting in or out of a government vehicle
unless the damage was caused by an unknown defect.
Sec. 842.33 Reconsideration of a claim.
A claimant may request reconsideration of an initial settlement or
denial
[[Page 83]]
of a claim. The claimant sends the request in writing, to the settlement
authority within a reasonable time following the initial settlement or
denial. Sixty days is considered a reasonable time, but the settlement
authority may waive the time limit for good cause.
(a) The original settlement authority reviews the reconsideration
request. The settlement authority sends the entire claim file with
recommendations and supporting rationale to the next higher settlement
authority if all relief the claimant requests is not granted.
(b) The decision of the higher settlement authority is the final
administrative action on the claim.
Sec. 842.34 Right of subrogation, indemnity, and contribution.
The Air Force becomes subrogated to the rights of the claimant upon
settling a claim. The Air Force has the rights of contribution and
indemnity permitted by the law of the situs or under contract. The Air
Force does not seek contribution or indemnity from US military personnel
or civilian employees whose conduct in scope of employment gave rise to
government liability.
Sec. 842.35 Depreciation and maximum allowances.
The military services have jointly established the ``Allowance List-
Depreciation Guide'' to determine values for most items and to limit
payment for some categories of items.
Subpart E--Carrier Recovery Claims
Sec. 842.36 Scope of this subpart.
This subpart explains how to assert and settle claims against
carriers, warehousemen, and contractors for loss and damage to personal
property.
Sec. 842.37 Definitions.
(a) Bill of lading. A contract for movement and delivery of goods.
(1) Carriers issue commercial bills of lading.
(2) Transportation officers issue government bills of lading (GBL).
GBLs include the terms and conditions of commercial bills of lading with
certain exceptions.
(3) The GBL is all of the following:
(i) A receipt for goods tendered to a carrier.
(ii) A contract.
(iii) A document authorizing collection of transportation bills the
carrier presents.
(b) Carrier. Any moving company, personal property forwarder, or
freight forwarder holding a certificate or permit issued by a federal or
state regulatory agency or approved by the Department of Defense for
international shipments.
(c) Military Traffic Management Command (MTMC). The Department of
Defense management agency for military traffic, land transportation, and
common user ocean terminals. Among other responsibilities, MTMC manages
the DOD household goods moving and storage program worldwide. The Army
has single service responsibility for MTMC.
(d) Regional Storage Management Office (RSMO). The MTMC office
responsible for negotiating and administering all storage contracts
within a geographical area. The contracting officer of each RSMO makes
involuntary collections of nontemporary storage loss and damage claims.
(e) Net weight. The weight of the fully-loaded van or shipping crate
(gross weight), less the weight of the empty van or shipping crate (tare
weight).
(f) Nontemporary storage (NTS). All authorized storage not in
connection with a GBL. NTS usually exceeds 180 days and normally
includes packing and shipping of household goods to the warehouse.
(g) Storage in transit (SIT). Storage of a shipment by a carrier at
origin, enroute, or at destination. SIT is initially limited to 90 days.
The transportation officer may extend it to a maximum of 180 days.
(h) Tender of service. A carrier's offer to do business with the
Department of Defense, including the terms and conditions of the
agreement. The Personal Property Traffic Management Regulation (PPTMR),
DOD Regulation 4500.34, Appendix A, contains this agreement.
[[Page 84]]
Sec. 842.38 Delegations of authority.
(a) Settlement authority: (1) These individuals have delegated
authority to settle, compromise, suspend, or terminate action on claims
for $20,000 or less and to accept full payment on any claim:
(i) The Judge Advocate General.
(ii) The Deputy Judge Advocate General.
(iii) The Director of Civil Law.
(iv) Chief, Deputy Chief, and Branch Chiefs, Claims and Tort
Litigation Staff.
(v) The SJAs of HQ PACAF, HQ USAFE, and HQ 9AF (for HQ CENTCOM).
(2) These individuals have delegated authority to settle,
compromise, suspend, or terminate action on claims for $15,000 or less
and to accept full payment on any claim:
(i) SJAs of GCMs in PACAF and USAFE.
(ii) SJAs of single base GCMs.
(3) SJAs of each Air Force base, station, or fixed installation have
delegated authority to settle, compromise, suspend, or terminate action
on claims for $10,000 or less and to accept full payment on any claim.
(b) Redelegation of authority. An individual with settlement
authority may redelegate this authority, in writing, to a subordinate
judge advocate or civilian attorney.
(c) Authority to reduce, withdraw, or restore settlement authority.
Any superior settlement authority may reduce, withdraw, or restore
settlement authority.
Sec. 842.39 Statute of limitations.
(a) International commercial air shipments. The government must file
suit within 2 years after the delivery date. The period for notifying
these carriers of loss or damage is 3 days for luggage, and 7 days for
other goods. Setoff is not possible in these cases. Uncollectible claims
are sent to HQ USAF/JACC within 6 months from the date of delivery.
(b) All other CR claims. The government must file suit within 6
years after the cause of action accrues. It accrues when a responsible
US official, service member, or employee knew or reasonably should have
known the material facts that caused the claimed loss. The requirement
to file a claim within 9 months under commercial bills of lading does
not apply to GBLs.
Subpart F--Military Claims Act (10 U.S.C. 2733)
Sec. 842.40 Scope of this subpart.
This subpart explains how to settle claims made against the United
States for property damage, personal injury, or death caused by military
personnel or civilian employees of the Air Force acting in the scope of
their employment or otherwise incident to the Air Force's noncombat
activities.
Sec. 842.41 Definitions.
(a) Appeal. A request by the claimant or claimant's authorized agent
to reevaluate the final decision. A request for reconsideration and an
appeal are the same for the purposes of this subpart.
(b) Final denial. A letter mailed from the settlement authority to
the claimant or authorized agent advising the claimant that the Air
Force denies the claim.
(c) Noncombat activity. Activity, other than combat, war or armed
conflict, that is particularly military in character and has little
parallel in the civilian community.
Sec. 842.42 Delegations of authority.
(a) Settlement authority: (1) The Secretary of the Air Force has
delegated authority to:
(i) Settle claims for $100,000 or less.
(ii) Settle claims for more than $100,000, paying the first $100,000
and reporting the excess to the General Accounting Office for payment.
(iii) Deny a claim in any amount.
(2) The Judge Advocate General has delegated authority to settle
claims for $100,000 or less and deny claims in any amount.
(3) The following individuals have delegated authority to settle
claims for $25,000 or less and deny claims in any amount:
(i) The Deputy Judge Advocate General.
(ii) The Director of Civil Law.
[[Page 85]]
(iii) The Chief, Deputy Chief and Branch Chiefs, Claims and Tort
Litigation Staff.
(4) The SJA of 9AF for CENTCOM, and the SJAs of PACAF and USAFE have
delegated authority to settle claims payable or deny claims filed for
$25,000 or less.
(5) SJAs of single base GCMs, and GCMs in PACAF and USAFE, and each
Air Force base, station, or fixed installation have delegated authority
to settle claims payable, or deny claims filed for $15,000 or less.
(b) Redelegation of authority. A settlement authority may redelegate
his or her authority for claims not exceeding $25,000, to a subordinate
judge advocate or civilian attorney in writing.
(c) Appellate authority. Upon appeal, a settlement authority has the
same authority specified above. However, no appellate authority below
the Office of the Secretary of the Air Force may deny an appeal of a
claim it had previously denied.
(d) Authority to reduce, withdraw, and restore settlement authority.
Any superior settlement authority may reduce, withdraw, or restore
delegated authority.
(e) Settlement negotiations. A settlement authority may settle a
claim in any sum within its delegated settlement authority, regardless
of the amount claimed. Send uncompromised claims in excess of the
delegated authority to the level with settlement authority. Unsuccessful
negotiations at one level do not bind higher authority.
(f) Special exceptions. Do not settle claims for the following
without HQ USAF/JACC approval:
(1) Legal malpractice.
(2) On the job personal injury or death of an employee of a
government contractor or subcontractor.
(3) Assault, battery, false imprisonment, false arrest, abuse of
process, or malicious prosecution committed by an investigative or law
enforcement officer.
(4) On-base animal bite cases.
(5) Personal injury from asbestos or radon.
(6) Claims based upon an act or omission of an employee of the
government, exercising due care, in the execution of a statute or
regulation.
(7) Claims based upon the exercise or performance or the failure to
exercise or perform a discretionary function or duty on the part of a
federal agency or an employee of the government.
(8) Claims for damage to property of a state, commonwealth,
territory, or the District of Columbia caused by ANG personnel engaged
in training or duty under 32 U.S.C. 316, 502, 503, 504, or 505 who are
assigned to a unit maintained by that state, commonwealth, territory or
the District of Columbia.
(9) Claims not payable because payment is not in the best interests
of the United States, is contrary to public policy, or is otherwise
contrary to the basic intent of the MCA.
(10) Claims presented by a national, or a corporation controlled by
a national, of a country at war or engaged in armed conflict with the
United States, or any country allied with such enemy country.
(11) Medical malpractice.
[55 FR 2809, Jan. 29, 1990, as amended at 56 FR 1574, Jan. 16, 1991]
Sec. 842.43 Filing a claim.
(a) How and when filed. A claim is filed when a federal military
agency receives from a claimant or duly authorized agent a properly
completed Standard Form 95 or other signed and written demand for money
damages in a sum certain. A claim belonging to another agency is
promptly transferred to that agency.
(b) Amending a claim. A claimant may amend a claim at any time prior
to final action. To amend a claim, the claimant or his or her authorized
agent must submit a written, signed demand.
Sec. 842.44 Advance payments.
Subpart Q sets forth procedures for advance payments.
Sec. 842.45 Statute of limitations.
(a) A claim must be filed in writing within 2 years after it
accrues. It accrues when the claimant discovers or reasonably should
have discovered the existence of the act that resulted in the claimed
loss. The same rules governing accrual pursuant to the Federal
[[Page 86]]
Tort Claims Act should be applied with respect to the Military Claims
Act.
(b) The statutory time period excludes the day of the incident and
includes the day the claim was filed.
(c) Consider claims filed after the statute has run when:
(1) The United States is at war or in an armed conflict when the
claim accrues, or
(2) The United States enters a war or armed conflict after the claim
accrues, and
(3) Good cause is shown. A claim is barred by the statute of
limitations if it is filed more than 2 years after the good cause ceases
to exist or the war or armed conflict ends. Congress or the President
establishes the beginning and end of war or armed conflict.
Sec. 842.46 Who may file a claim.
(a) Owners of the property or their authorized agents may file
claims for property damage.
(b) Injured persons or their duly authorized agents may file claims
for personal injury.
(c) Duly appointed guardians of minor children or any other persons
legally entitled to do so under applicable local law may file claims for
minors' personal injuries.
(d) Executors or administrators of a decedent's estate or another
person legally entitled to do so under applicable local law, may file
claims based on:
(1) An individual's death.
(2) A cause of action surviving an individual's death.
(e) Insurers with subrogation rights may file claims for losses paid
in full by them. The parties may file claims jointly or individually, to
the extent of each party's interest, for losses partially paid by
insurers with subrogation rights.
(f) Authorized agents signing claims show their title or legal
capacity and present evidence of authority to present the claims.
Sec. 842.47 Who are proper claimants.
(a) Citizens and inhabitants of the United States.
(b) U.S. military personnel and civilian employees.
Note: These personnel are not proper claimants for personal injury
or death incident to service.
(c) Persons in foreign countries who are not inhabitants of the
foreign country.
(d) States, state agencies, counties, or municipalities, or their
political subdivisions.
(e) Prisoners of war or interned enemy aliens.
Note: These individuals are proper claimants for personal property
damage but not for personal injury.
(f) Property owners, their representatives, and those with certain
legal relationships with the record owner, including mortgagors,
mortgagees, trustees, bailees, lessees and conditional vendees.
(g) Subrogees to the extent they have paid for the claim in
question.
Sec. 842.48 Who are not proper claimants.
(a) Governments of foreign nations, their agencies, political
subdivisions, or municipalities.
(b) Agencies and departments of the U.S. Government.
(c) Nonappropriated fund instrumentalities.
(d) Subrogees of Sec. 842.48(a), (b), and (c) of this part.
(e) Inhabitants of foreign countries.
Sec. 842.49 Claims payable.
(a) Claims arising from negligent or wrongful acts or omissions
committed by United States military or civilian personnel while acting
in the scope of their employment.
(b) Claims arising from noncombat activities of the United States,
whether or not such injuries of damages arose out of the negligent or
wrongful acts or omissions by United States military or civilian
employees acting within the scope of their employment.
(c) Claims for damage to bailed property under Sec. 842.49(a) or (b)
of this part, where all of the following are present:
(1) The United States armed forces assumed the duties of a bailee.
(2) The bailor did not assume the risk of loss by express agreement.
(3) Authorized United States armed forces military or civilian
personnel acting in their official capacity properly accepted the
property.
(d) Claims for loss or damage to:
[[Page 87]]
(1) Insured or registered mail under Sec. 842.49(a), (b), or (c)
while in the possession of the United States armed forces military or
civilian personnel.
(2) Minimum fee insured mail, but only if it has an insurance number
or requirement for hand-to-hand receipt while in the possession of the
United States armed forces military or civilian personnel.
(3) Any mail in the possession of the US Postal Service or a
Military Postal Service due to an unlawful or negligent inspection,
search, or seizure conducted in an oversea military postal facility,
under orders of armed forces personnel.
(e) Claims for property damage of US military personnel under
conditions listed in paragraphs (a) and (b) of this section, where the
damage occurred on a military installation and is not payable under the
Military Personnel and Civilian Employees' Claims Act.
(f) Claims filed by DOD military or civilian health care providers
or legal personnel for their personal liability by settlement or
judgment, to include reasonable costs of such litigation, for their
common law tortious acts committed within the scope of their employment
under circumstances described in 10 U.S.C. 1089(f) and 10 U.S.C.
1054(f).
[55 FR 2809, Jan. 29, 1990, as amended at 55 FR 32076, Aug. 7, 1990]