SUBJECT:  Screening of military personnel and medical records for on-site review or for disclosure through photocopies

1. Purpose.  This memorandum issues instructions concerning preparation of military personnel and medical records for on-site review or for disclosure of the record through photocopies.

2. Cancellation.  NPRC 1864.108B is canceled.

3. Reason for revision.  This memorandum is revised to update the types of restricted information and show current screening procedures for on-site review or for disclosure through photocopies.

4. Applicability.  The provisions of this memorandum are applicable to:  personnel in the search and file sections, correspondence sections, and Research Room at 9700 Page; and to personnel in the General Purpose Section, General Reference Branch at 111 Winnebago.

5. Instructions.  The instructions for screening of military personnel and medical records for on-site review or for disclosure through photocopies are contained in the Attachment.

6. Forms.  This memorandum makes use of the following forms:

 NA Form 13035, Concealment, Removal or Mutilation of Records
 NA Form 13087, Request for Records
 DD Form 214, Certificate of Release or Discharge from Active Duty
 NAVMC HQ 55 Form, Unfinished Business
 NAVMC 118 Form, Administrative Remarks
 SF 180, Request Pertaining to Military Records
 SF 600, Chronological Record of Medical Care
 

DAVID L. PETREE
Director

     a. personal identifiers other than those of the veteran whose records are involved;

     b. neuropsychiatric reports;

     c. accounting of disclosure to law enforcement agencies for law enforcement purposes;

     d. information compiled in anticipation of a civil action;

     e. information furnished by others under express or implied promise of confidentiality;

     f. drug or alcohol abuse rehabilitation treatment information covered by the Drug Abuse Office and Treatment Act of 1972, as amended in 1974; and

     g. FOR AIR FORCE AND NAVY ONLY:  Family Advocacy Program.

     h. FOR AIR FORCE ONLY:  AIDS and sickle cell treatment records.

2. Security.  All persons reviewing records are watched constantly to prevent possible alteration, destruction, or removal of documents from the record.  The correspondence section chief or the Chief, General Purpose Section, designates an individual to remain in attendance while the visitor reviews the record.

3. Use of NA Form 13035, Concealment, Removal, or Mutilation of Records.

     a. MPR.  NA Form 13035 is completed by each person reviewing records at 9700 Page.  This includes commercial investigative agents, insurance company agents, state and local government agents, authorized third parties, and veterans reviewing their own records.  Agents of the Federal government are exempt.  NA Form 13035 is attached to NA Form 13087, Request for Records; Standard Form 180, Request Pertaining to Military Records; or any other written authorization, and filed in the military record under review.

     b. General Reference Branch.  Each individual, excluding Federal agents, reviewing military dependent medical records at 111 Winnebago must complete NA Form 13035.  Attach NA Form 13035 to appropriate written authorization and file in medical record.

4. The Privacy Act of 1974.  The Privacy Act permits the individual to gain access to his/her records (or to authorize access to someone else), and to have photocopies made of all or any portion thereof.  If the record contains information of a sensitive nature about another individual, that portion is not made available when granting access to the veteran or his/her authorized representatives.

5. Deletion of personal identifiers.  The Defense Privacy Board requires that NPRC protect the personal privacy of individuals other than the subject of the personnel and medical records. EXCEPTION:  See subpar. 5c.  When information is mailed, either as photocopies or extracted data, or when a file is provided for on-site review, the recipient must not be given personal information pertaining to individuals other than the person of record, such as social  security number, home address, telephone number, financial transactions, or medical history.  The following procedures apply when making copies, including copies of documents from which personal identifiers have been removed so that the copy can be provided for on-site review:

     a. Correction tape on original.  Deletions are made on the record copy of the order by using correction tape.  Do not completely remove the protective backing from the correction tape.  Peel approximately 1/8 inch of the tape backing from each end of the correction tape.  This procedure allows the tape to be easily removed with minimum damage to the record copy of the order.  Prepare a machine copy when the correction tape has been applied.

     b. Black wax pencil or correction tape on photocopy.  Prepare a machine copy of the document.  Delete personal identifiers on the machine copy, using correction tape or a black wax pencil.  Do not release to requesters machine copies of documents with deletions made with wax pencil.  Instead, make a copy of the deleted document and provide this copy to the requester.  After the record has been reviewed, retain the machine copies in the medical or personnel jacket, as they may need to be used again.

NOTE:  If medical information pertaining to an individual other than the subject of the record appears and is extensive, it may be faster and more effective to delete only the name and all personal identifiers of the second individual rather than to attempt to block out all of the information.

     c. Blanket orders.  The Defense Privacy Board has provided guidelines relating to blanket orders or other documents concerning personnel actions such as promotions, discharges, TDY, PCS, etc.  This guidance is that these documents can be provided to any of the individuals listed as long as:

(1) the documents were filed in the personnel record;

(2) the documents were previously furnished to the individual; and

(3) the documents were created prior to September 27, 1975.

     a. Neuropsychiatric reports.  These include:

(1) Diagnosis of a mental, psychoneurotic, or personality disorder.

(2) Diagnosis or implication of sexual deviation.

(3) Any illness with a uniformly unfavorable prognosis (such as cancer, a terminal illness, any illness leading to ultimate blindness).

"The enclosed records should be treated as confidential.  Please use your discretion in regard to releasing the diagnosis/prognosis contained within to the veteran.  Information about these records should not be released to or discussed with any other person."

     c. Information compiled in anticipation of a civil action.  A veteran or his/her representative may not be granted access to any information compiled in reasonable anticipation of a civil action or proceeding.

     d. Information furnished by others under express or implied promise of confidentiality.  If the record contains material which would reveal the identity of a source who furnished information to the Government under promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under the IMPLIED promise that the identity of the source would be held in confidence, the request is forwarded to the military service  concerned.

NOTE:  The two types of information described in subpars. 6c and 6d, above, are rarely found in military personnel or medical records.  If found, consult the supervisor for advice.

7. Screening required for Family Advocacy Program, AIDS, and sickle cell records.  The Department of the Air Force requires screening of military personnel and medical files to ensure that the following types of information are not released inappropriately:  The records of identity, diagnosis, prognosis, or treatment of any client/patient, irrespective of whether or when he/she ceases to be a client/patient, maintained in connection with the performance of any family advocacy, AIDS, or sickle cell prevention and treatment function conducted, requested, or directly or indirectly assisted by any department or agency of the United States.

NOTE:  The Department of the Navy considers Family Advocacy Program records sensitive in nature, and as such should be treated as neuropsychiatric records.

8. Screening required by the Drug Abuse Office and Treatment Act of 1972.  This law contains provisions designed to protect the confidential nature of records relating to a veteran's participation in a drug or alcohol abuse rehabilitation treatment program conducted by any Federal department or agency.

Records containing information about use, abuse, or treatment unrelated to a rehabilitation treatment program are not covered by the Act and are releasable.  Records covered by the Act are described below.

     a. Those that reveal the identity, diagnosis, or treatment of any patient, and which were maintained in connection with a rehabilitation treatment program.

NOTE:  Infrequently there is evidence of drug or alcohol abuse rehabilitation treatment information covered by the Act involving a veteran other than the one whose record is being screened.  It is equally important not to release this information.

    b. Those that were maintained over any period of time, including prior to the passage of the Act, as long as the service person's participation in a rehabilitation treatment program continued after March 21, 1972, for DRUG ABUSE patients and May 14, 1974, for ALCOHOL ABUSE patients.  The confidential nature of the records is protected under the provisions of the Act, regardless of whether the veteran successfully completed the rehabilitation treatment program or NOT.

NOTE:  All of the military services have an entirely separate system of records for the type of drug or alcohol abuse records that are protected by law.  Therefore, the types of records protected shouldn't be filed in the personnel or medical record.  NPRC screens for "collateral and incidental references to drug and alcohol abuse or programs."  These references can be found in the personnel or medical record.  Do not screen for these types of references for release to the veteran, any third-party with a specific release mentioning these types of  records, or to any federal routine use.  For all other requesters, screening is required.

9. Records that do not require screening for references to alcohol and drug abuse.  Any federal routine use agency shall have unrestricted access to the records of the veteran.  Requests from these sources do not require screening.  In addition, records in certain records blocks, which were retired prior to the effective dates of the Act and its amendments, do not require screening.  (See fig. 1.)

10. Records that require screening for references to alcohol and drug abuse.  All records in the Service Registry Files, except those listed in fig. 1, require screening:
 

11. Locating drug or alcohol abuse rehabilitation treatment information in the record.  Information pertaining to a veteran's participation in a drug or alcohol abuse rehabilitation treatment program is found in letters, forms, telegrams, microfiche, etc.  There is no standard entry format for this information so the entire file must be reviewed.  Following is a list of some forms and organization names to look for when screening records.

     a. Clinical Record Summary Sheet;

     b. Miramar Naval Air Station;

     c. Naval Drug Rehabilitation Center (NDRC);

     d. NAVMC HQ. 55 Form, Unfinished Business;

     e. NAVMC 118 Form, Administrative Remarks;

     f. Social Actions Branch Forms;

     g. Standard Form 600, Chronological Record of Medical Care; and

     h. The "Remarks" block on the DD Form 214, Certificate of Release or Discharge from Active Duty

12. Processing steps.  Requests received via mail may need screening, or screening may be required prior to on-site review.  In the latter case, the employee who requests that the record be pulled enters "SCREEN" in large letters on the form used to route the request for searching.  (See fig. 2.)

     a. Search section responsibilities.  A record requested by the Research Room is charged out to the Research Room, but any record that needs screening must first go to the appropriate correspondence section or to the General Purpose Section where screening takes place.

     b. Correspondence section responsibilities.  When a record is being screened, each document is reviewed thoroughly for the presence of any restricted information.  Restricted information will either be removed entirely, for example, records of drug abuse treatment, or it may be necessary to "sanitize" the document(s) by removing personal identifiers on other individuals before releasing any such document or a copy of it.

(1) Restricted information not found.  A routine reply is dispatched after requested photocopies are made, but if the request for the record is marked "SCREEN," the screener must also initial and date the request next to "SCREEN" before dispatching the request and record to the Research Room.

(2) Information believed to be restricted is found.  If any information is found that the screener believes needs to be removed entirely, he/she removes the individual document(s) containing the information, places the document(s) on top of the record with a rubber band, and gives the record to the supervisor.  The supervisor reviews the information extracted to verify that it is restricted and screens the rest of the record thoroughly to see if any restricted information is present elsewhere.

(a) Supervisor determines there is NO restricted information in the record.  Supervisor places the document(s) previously removed back in the record and either returns the case to the archives technician or, if it contains a "SCREEN" stamp, initials and dates the request, and dispatches the request together with the record to the Research Room.

(b) Supervisor determines there IS restricted information.  The supervisor extracts all pages containing restricted information and writes "restricted document(s) removed," along with initials and date, next to "SCREEN" stamp; and either dispatches the military personnel or medical records (with extracted document(s) in a separate envelope), together with request, to the Research Room; or if personal identifiers must be withheld but the document(s) is(are) otherwise releasable, returns case to archives technician to "sanitize" document(s).

13. Microfiche records.  Some records contain both paper and microfiche records in the same jacket.  The same procedures followed when screening paper records are also followed when reviewing microfiche, except that the screener stops reviewing the record AS SOON AS he/she believes any restricted information has been found.  The microfiche card number, row designation, and the location of the image which contains information believed to be restricted is written on 3 X 5 card.  Microfiche is placed back in the microfiche envelope in the record, the 3 x 5 card is attached to the request, and the request is given to the supervisor for review.  (See subpars. 12b(2)(a) and (b).)

Former Consolidated Registry Files:  All records from the former Consolidated Registry File (C-File) were retired prior to the passage of the Drug Abuse Office and Treatment Act and thus do not need to be screened for drug abuse information.  Several years ago, the C-File was dismantled and Air Force, Army, Marine Corps, and Navy records from the C-File were given F, A, and N Registry numbers and were relocated into the appropriate service registry locations.  These registry numbers are shown below:
 

NOTE:  Identification of former Consolidated Registry File records can also be made by the red "MPRC" registry number stamped on the folder.