[Code of Federal Regulations]
[Title 10, Volume 4]
[Revised as of January 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 10CFR1008.12]

[Page 666-669]
 
                            TITLE 10--ENERGY
 
          CHAPTER X--DEPARTMENT OF ENERGY (GENERAL PROVISIONS)
 
PART 1008--RECORDS MAINTAINED ON INDIVIDUALS (PRIVACY ACT)--Table of Contents
 
               Subpart B--Requests for Access or Amendment
 
Sec. 1008.12  Exemptions.

    (a) General exemptions--(1) Generally. 5 U.S.C. 552a(j)(2) allows 
the exemption of any system of records within the

[[Page 667]]

DOE from any part of section 552a except subsections (b), (c)(1) and 
(2), (e)(4)(A) through (F) (e)(6), (7), (9), (10), and (11), and (i) of 
the Act if the system of records is maintained by a DOE component which 
performs as its principal function any activity pertaining to the 
enforcement of criminal laws, including police efforts to prevent, 
control, or reduce crime or to apprehend criminals, and which consists 
of:
    (i) Information compiled for the purpose of identifying individual 
criminal offenders and alleged offenders;
    (ii) Information compiled for the purpose of a criminal 
investigation, including reports of informants and investigators, and 
associated with an identifiable individual; or
    (iii) Reports identifiable to an individual compiled at any stage of 
the process of enforcement of the criminal laws from arrest or 
indictment through release from supervision.
    (2) Applicability of general exemptions to DOE systems of records--
(i) Investigative Files of the Inspector General (DOE-54). This system 
of records is being exempted pursuant to subsection (j)(2) of the Act in 
order to aid the Office of the Inspector General in the performance of 
its law enforcement function. The system is exempted from subsections 
(c)(3) and (4); (d)(1)-(4); (e)(1)-(3); (4)(G), (H), and (I); (5) and 
(8); and (g) of the Act. The system is exempt from these provisions for 
the following reasons: notifying an individual at the individual's 
request of the existence of records in an investigative file pertaining 
to such individual, or granting access to an investigative file could 
(A) interfere with investigative and enforcement proceedings and with 
co-defendants' right to a fair trial; (B) disclose the identity of 
confidential sources and reveal confidential information supplied by 
these sources; and (C) disclose investigative techniques and procedures.
    (ii) Law Enforcement Investigative Records (DOE-84). This system of 
records is being exempted pursuant to subsection (j)(2) of the Act to 
enable the Office of Counterintelligence to carry out its duties and 
responsibilities as they pertain to its law enforcement function. The 
system is exempted from subsections (c)(3) and (4), (d), (e) (1), (2), 
and (3), (e)(4) (G) and (H), (e)(8), (f), and (g) of the Act. The system 
is exempt from these provisions for the following reasons: Notifying an 
individual at the individual's request of the existence of records in an 
investigative file pertaining to such individual, or granting access to 
an investigative file could interfere with investigative and enforcement 
proceedings and with co-defendants' right to a fair trial; disclose the 
identity of confidential sources and reveal confidential information 
supplied by these sources; and disclose investigative techniques and 
procedures.
    (b) Specific exemptions. Subsection (k) of the Privacy Act 
establishes seven categories of systems of records which may be exempted 
from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (7) of 
the Act. The Department has exempted systems of records under four of 
these provisions, as follows:
    (1) Classified material. (i) Subsection (k)(1) permits exemption of 
systems of records that are specifically authorized under criteria 
established under statute or Executive Order to be kept secret in the 
interest of national defense or foreign policy, and are in fact properly 
classified pursuant to such statute or Executive Order. Restricted Data 
and Formerly Restricted Data under the Atomic Energy Act of 1954, as 
amended, are included in this exemption.
    (ii) The DOE systems of records listed below have been exempted 
under subsection (k)(1) to the extent they contain classified 
information, in order to prevent serious damage to the national defense 
or foreign policy that could arise from providing individuals access to 
classified information. Systems exempted under subsection (k)(1) are:

    (A) Alien Visits and Participation (DOE-52).
    (B) Clearance Board Cases (DOE-46).
    (C) Security Correspondence Files (DOE-49).
    (D) Foreign Travel Records (DOE-27)
    (E) Legal Files (Claims, Litigations, Criminal Violation, Patents, 
and other Legal Files) (DOE-41).
    (F) Personnel Security Clearance Files (DOE-43).
    (G) Personnel Security Clearance Index (Automated) (DOE-42).
    (H) Special Access Authorization for Categories of Classified 
Information (DOE-44).

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    (I) Administrative and Analytical Records and Reports (DOE-81).
    (J) Law Enforcement Investigative Records (DOE-84).

    (2) Investigatory material compiled for law enforcement purposes. 
(i) Subsection (k)(2) permits the exemption of investigatory material 
compiled for law enforcement purposes: Provided, however, That if any 
individual is denied any right, privilege, or benefit to which he would 
otherwise be entitled by Federal law, or for which he would otherwise be 
eligible, as a result of the maintenance of such material, such material 
shall be provided to such individual, except to the extent that the 
disclosure of such material would reveal the identity of a source who 
furnished information to the Government under an express promise that 
the identity of the source would be held in confidence, or, prior to 
September 27, 1975, under an implied promise that the identity of the 
source would be held in confidence.
    (ii) The DOE systems of records listed below have been exempted 
under subsection (k)(2) in order to prevent subjects of investigation 
from frustrating the investigatory process through access to records 
about themselves or as a result of learning the identities of 
confidential informants; to prevent disclosure of investigative 
techniques; to maintain the ability to obtain necessary information; and 
thereby to insure the proper functioning and integrity of law 
enforcement activities. Systems of records exempted under subsection 
(k)(2) are:

    (A) Alien Visits and Participation (DOE-52).
    (B) Clearance Board Cases (DOE-46).
    (C) Security Correspondence Files (DOE-49).
    (D) Foreign Travel Records (DOE-27).
    (E) Legal Files (Claims, Litigation, Criminal Violations, Patents, 
and other Legal Files) (DOE-41).
    (F) Personnel Security Clearance Files (DOE-43).
    (G) Personnel Security Clearance Index (Automated) (DOE-42).
    (H) Special Access Authorization for Categories of Classified 
Information (DOE-44).
    (I) DOE Personnel and General Employment Records (DOE-1) (only 
personnel investigative records concerning current and former DOE 
employees and applicants for employment by DOE).
    (J) Investigative Files of the Inspector General (DOE-54) (only 
investigative records concerning past and present DOE employees).
    (K) Administrative and Analytical Records and Reports (DOE-81).
    (L) Law Enforcement Investigative Records (DOE-84).
    (M) Allegation-Based Inspections Files of the Office of Inspector 
General (DOE-83).

    (3) Investigatory material compiled for determining suitability for 
Federal employment. (i) Subsection (k)(5) permits exemption of systems 
of records that contain investigatory material compiled solely for the 
purpose of determining suitability, eligibility, or qualification for 
Federal civilian employment, military service, Federal contracts, or 
access to classified information, but only to the extent that the 
disclosure of such material would reveal the identity of a source who 
furnished information to the Government under an express promise that 
the identity of the source would be held in confidence, or, prior to 
September 27, 1975, under an implied promise that the identity of the 
source would be held in confidence.
    (ii) The DOE systems of records listed below have been exempted 
under subsection (k)(5) to the extent they contain the kinds of records 
described in subsection (k)(5) in order to maintain DOE's ability to 
obtain candid information on candidates for employment, contracts, or 
access to classified information and to fulfill commitments made to 
sources to protect the confidentiality of information, and thereby to 
facilitate proper selection or continuation of the best applicants or 
persons for a given position or contract. Systems exempted under 
subsection (k)(5) are:

    (A) DOE Personnel and General Employment Records (DOE-1);
    (B) Personnel Security Clearance Files (DOE-43);
    (C) Investigative Files of the Inspector General (DOE-54);
    (D) Alien Visits and Participation (DOE-52);
    (E) Clearance Board Cases (DOE-46);
    (F) Security Correspondence Files (DOE-49);
    (G) Foreign Travel Records (DOE-27);

[[Page 669]]

    (H) Legal Files (Claims, Litigation, Criminal Violations, Patents, 
and other Legal Files) (DOE-41);
    (I) Personnel Security Clearance Index (Automated) (DOE-42);
    (J) Special Access Authorization for Categories of Classified 
Information (DOE-44);
    (K) DOE Personnel: Supervisor-Maintained Personnel Records (DOE-2);
    (L) Applications for DOE Employment (DOE-4);
    (M) Administrative and Analytical Records and Reports (DOE-81);
    (N) Law Enforcement Investigative Records (DOE-84).
    (O) Allegation-Based Inspections Files of the Office of Inspector 
General (DOE-83).

    (4) Testing or examination material. (i) Subsection (k)(6) permits 
exemption of systems of records that include testing or examination 
material used solely to determine individual qualifications for 
appointment or promotion in the Federal service, the disclosure of which 
would compromise the objectivity or fairness of the testing of 
examination process.
    (ii) The DOE systems of records listed below have been exempted to 
the extent they contain testing or examination material in order to 
protect the integrity of the personnel testing and evaluation process 
and to avoid providing individuals with unfair advantage, by premature 
or unfair disclosure of testing or rating information. Systems exempted 
under subsection (k)(6) are:

    (A) (DOE-2) DOE Personnel: Supervisor-Maintained Personnel Records.
    (B) (DOE-4) Applications for DOE Employment.
    (C) (DOE-1) DOE Personnel and General Employment Records.

    (c) Application of exemptions to particular requests. (1) The 
Privacy Act Officer, consistent with the recommendation of the System 
Manager and with concurrence of the appropriate General Counsel, may 
make available records which the DOE is authorized to withhold under 
this section.
    (2) With respect to records containing material or information that 
would reveal the identity of a source who was given an assurance of 
confidentiality, a determination to make records available pursuant to 
paragraph (c)(1) of this section shall be made only if the source 
consents to the release of such information to the individual, or if it 
is determined that the material or information is not adverse or 
detrimental to the individual, or for good cause shown. The exercise of 
discretion with respect to waiver of the exemption shall be final.
    (3) Prior to making a determination to deny access to a record in a 
system of records covered by exemption (k)(1) for classified material 
(see paragaph (b)(1) of this section), the System Manager shall consult 
with the Director, Division of Classification, to verify the current 
classification status of the information in the requested record.

[45 FR 61577, Sept. 16, 1980, as amended at 60 FR 35836, July 12, 1995; 
62 FR 67519, Dec. 24, 1997]