[Code of Federal Regulations]
[Title 34, Volume 1]
[Revised as of July 1, 2003]
From the U.S. Government Printing Office via GPO Access
[CITE: 34CFR5b.11]

[Page 21-23]
 
                           TITLE 34--EDUCATION
 
PART 5b--PRIVACY ACT REGULATIONS--Table of Contents
 
Sec. 5b.11  Exempt systems.

    (a) General policy. The Act permits an agency to exempt certain 
types of systems of records from some of the Act's requirements. It is 
the policy of the Department to exercise authority to exempt systems of 
records only in compelling cases.
    (b) Specific systems of records exempted under (j)(2). The 
Department exempts the Investigative Files of the Inspector General ED/
OIG (18-10-0001) and the Hotline Complaint Files of the Inspector 
General ED/OIG (18-10-0004) systems of records from the following 
provisions of 5 U.S.C. 552a and this part:
    (1) 5 U.S.C. 552a(c)(3) and Sec. 5b.9(a)(1) and (c)(3) of this part, 
regarding access to an accounting of disclosures of a record.
    (2) 5 U.S.C. 552a(c)(4) and Secs. 5b.7(c) and 5b.8(b) of this part, 
regarding notification to outside parties and agencies of correction or 
notation of dispute made in accordance with 5 U.S.C. 552a(d).
    (3) 5 U.S.C. 552a(d) (1) through (4) and (f) and Secs. 5b.5(a)(1) 
and (c), 5b.7, and 5b.8 of this part, regarding notification or access 
to records and correction or amendment of records.
    (4) 5 U.S.C. 552a(e)(1) and Sec. 5b.4(a)(1) of this part, regarding 
maintaining only relevant and necessary information.
    (5) 5 U.S.C. 552a(e)(2) and Sec. 5b.4(a)(2) of this part, regarding 
collection of information from the subject individual.
    (6) 5 U.S.C. 552a(e)(3) and Sec. 5b.4(a)(3) of this part, regarding 
notice to individuals asked to provide information to the Department.
    (7) 5 U.S.C. 552a(e)(4) (G), (H), and (I), regarding inclusion of 
information in the system notice about procedures for notification, 
access, correction, and source of records.
    (8) 5 U.S.C. 552a(e)(5), regarding maintaining records with 
requisite accuracy, relevance, timeliness, and completeness.
    (9) 5 U.S.C. 552a(e)(8), regarding service of notice on subject 
individual if a record is made available under compulsory legal process 
if that process becomes a matter of public record.
    (10) 5 U.S.C. 552a(g), regarding civil remedies for violation of the 
Privacy Act.
    (c) Specific systems of records exempted under (k)(2). (1) The 
Department exempts the Investigative Files of the Inspector General ED/
OIG (18-10-0001) and the Hotline Complaint Files of the Inspector 
General ED/OIG (18-10-0004) from the following provisions of 5 U.S.C. 
552a and this part to the extent that these systems of records consist 
of investigatory material and complaints

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that may be included in investigatory material compiled for law 
enforcement purposes:
    (i) 5 U.S.C. 552a(c)(3) and Sec. 5b.9(c)(3) of this part, regarding 
access to an accounting of disclosures of records.
    (ii) 5 U.S.C. 552a(d) (1) through (4) and (f) and Secs. 5b.5(a)(1) 
and (c), 5b.7, and 5b.8 of this part, regarding notification of and 
access to records and correction or amendment of records.
    (iii) 5 U.S.C. 552a(e)(1) and Sec. 5b.4(a)(1) of this part, 
regarding the requirement to maintain only relevant and necessary 
information.
    (iv) 5 U.S.C. 552a(e)(4) (G), (H), and (I), regarding inclusion of 
information in the system notice about procedures for notification, 
access, correction, and source of records.
    (2) The Department exempts the Complaint Files and Log, Office for 
Civil Rights (18-08-0002) from the following provisions of 5 U.S.C. 552a 
and this part:
    (i) 5 U.S.C. 552a(c)(3) and Sec. 5b.9(c)(3) of this part, regarding 
access to an accounting of disclosures of records.
    (ii) 5 U.S.C. 552a(d) (1) through (4) and (f) and Secs. 5b.5(a)(1) 
and (c), 5b.7, and 5b.8 of this part, regarding notification of and 
access to records and correction or amendment of records.
    (iii) 5 U.S.C. 552a(e)(4) (G) and (H), regarding inclusion of 
information in the system notice about procedures for notification, 
access, and correction of records.
    (d) Specific systems of records exempted under (k)(5). (1) The 
Department exempts the Investigatory Material Compiled for Personnel 
Security and Suitability Purposes (18-10-0002) system of records from 
the following provisions of 5 U.S.C. 552a and this part:
    (i) 5 U.S.C. 552a(c)(3) and Sec. 5b.9(c)(3) of this part, regarding 
access to an accounting of disclosures of records.
    (ii) 5 U.S.C. 552a(d) (1) through (4) and (f) and Secs. 5b.5(a)(1) 
and (c), 5b.7, and 5b.8 of this part, regarding notification of and 
access to records and correction or amendment of records.
    (iii) 5 U.S.C. 552a(e)(4) (G) and (H), regarding inclusion of 
information in the system notice about procedures for notification, 
access, and correction of records.
    (2) The Department exempts the Suitability for Employment Records 
(18-11-0020) from the following provisions of 5 U.S.C. 552a and this 
part:
    (i) 5 U.S.C. 552a(c)(3) and Sec. 5b.9(c)(3) of this part, regarding 
access to an accounting of disclosures of records.
    (ii) 5 U.S.C. 552a(d) (1) through (4) and (f) and Secs. 5b.5(a)(1) 
and (c), 5b.7, and 5b.8 of this part, regarding notification of and 
access to records and correction or amendment of records.
    (iii) 5 U.S.C. 552a(e)(4) (G) and (H), regarding inclusion of 
information in the system notice about procedures for notification, 
access, and correction of records.
    (e) Basis for exemptions taken under (j)(2), (k)(2), and (k)(5). The 
reason the Department took each exemption described in this section is 
stated in the preamble for the final rulemaking document under which the 
exemption was promulgated. These final rulemaking documents were 
published in the Federal Register and may be obtained from the 
Department of Education by mailing a request to the following address: 
U.S. Department of Education, Privacy Act Officer, Information 
Management Branch, Washington, DC 20202-4753.
    (f) Notification of or access to records in exempt systems of 
records. (1) If a system of records is exempt under this section, an 
individual may nonetheless request notification of or access to a record 
in that system. An individual shall make requests for notification of or 
access to a record in an exempt system or records in accordance with the 
procedures of Sec. 5b.5 of this part.
    (2) An individual will be granted notification of or access to a 
record in an exempt system but only to the extent that notification or 
access would not reveal the identity of a source who furnished the 
record to the Department under an express promise, and, prior to 
September 27, 1975, an implied promise, that his identity would be held 
in confidence if--
    (i) The record is in a system of records or that portion of a system 
of records that is exempt under subsection (k)(2), but not under 
subsection (j)(2), of the Act and the individual has been, as a result 
of the maintenance of the record, denied a right, privilege, or

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benefit to which he or she would otherwise be eligible; or
    (ii) The record is in a system of records that is exempt under 
subsection (k)(5) of the Act.
    (3) If an individual is not granted notification of or access to a 
record in a system of records exempt under subsections (k)(2) (but not 
under subsection (j)(2)) and (k)(5) of the Act in accordance with this 
paragraph, he or she will be informed that the identity of a 
confidential source would be revealed if notification of or access to 
the record were granted to the individual.
    (g) Discretionary actions by the responsible Department official. 
Unless disclosure of a record to the general public is otherwise 
prohibited by law, the responsible Department official may, in his or 
her discretion, grant notification of or access to a record in a system 
of records that is exempt under this section. Discretionary notification 
of or access to a record in accordance with this paragraph will not be a 
precedent for discretionary notification of or access to a similar or 
related record and will not obligate the responsible Department official 
to exercise his or her discretion to grant notification of or access to 
any other record in a system of records that is exempt under this 
section.

[58 FR 44424, Aug. 20, 1993, as amended at 64 FR 31066, June 9, 1999]