[Code of Federal Regulations]
[Title 5, Volume 1]
[Revised as of January 1, 2006]
From the U.S. Government Printing Office via GPO Access
[CITE: 5CFR297.402]

[Page 115]
 
                    TITLE 5--ADMINISTRATIVE PERSONNEL
 
                CHAPTER I--OFFICE OF PERSONNEL MANAGEMENT
 
PART 297_PRIVACY PROCEDURES FOR PERSONNEL RECORDS--Table of Contents
 
                     Subpart D_Disclosure of Records
 
Sec. 297.402  Disclosure pursuant to a compulsory legal process served 
on the Office.

    For purposes of this section, the Office considers that a subpoena 
signed by a judge is equivalent to a court order.
    (a) The Office may disclose, without prior consent of the data 
subject, specified information from a system of records whenever such 
disclosure is pursuant to an order signed by the appropriate official of 
a court of competent jurisdiction or quasi-judicial agency. In this 
subpart, a court of competent jurisdiction includes the judicial system 
of a state, territory, or possession of the United States.
    (b) Notice of the order will be provided to the data subject by the 
Office as soon as practicable after service of the order. The notice 
should be mailed to the last known address of the individual and state 
the name and number of the case or proceeding, and the nature of the 
information sought.
    (c) Before complying or refusing to comply with the order, an 
official with authority to disclose records under this subpart should 
consult legal counsel to ensure that the response is appropriate.
    (d) Before responding to the order or subpoena signed by a judge, an 
official with authority to disclose records under this subpart in 
consulting with legal counsel will ensure that--
    (1) The requested material is relevant to the subject matter of the 
related judicial or administrative proceeding;
    (2) Motion is made to quash or modify an order that is unreasonable 
or oppressive:
    (3) Motion is made for a protective order when necessary to restrict 
the use or disclosure of any information furnished for purposes other 
than those of the involved proceeding; or
    (4) Request is made for an extension of time allowed for response, 
if necessary.
    (e) If an order or subpoena signed by a judge for production of 
documents also requests appearance of an Office employee, the response 
should be to furnish certified copies of the appropriate records. In 
those situations where the subpoena is not signed by a judge, the Office 
will return the document to the sender and indicate that no action will 
be taken to provide records until the subpoena is signed by a judge.
    (f) If oral testimony is requested by the order or subpoena signed 
by a judge, an explanation that sets forth the testimony desired must be 
furnished to the Office system manager. The individual who has been 
ordered or subpoenaed to testify should consult with counsel to 
determine the matters about which the individual may properly testify.
    (g) In all situations concerning an order, subpoena signed by a 
judge, or other demand for an employee of the Office to produce any 
material or testimony concerning the records that are subject to the 
order, that are contained in the Office's systems of records, and that 
are acquired as part of the employee's official duties, the employee 
shall not provide the information without the prior approval of the 
appropriate Office official.
    (h) If it is determined that the information should not be provided, 
the individual ordered or subpoenaed to do so should respectfully 
decline to comply with the demand based on the instructions from the 
appropriate Office official.
    (i) Notice of the issuance of the ex parte order or subpoena signed 
by a judge is not required if the system of records has been exempted 
from the notice requirement of 5 U.S.C. 552a(e)(8) pursuant to 5 U.S.C. 
552a(j) by a Notice of Exemption published in the Federal Register.

[53 FR 1998, Jan. 26, 1988, as amended at 57 FR 56732, Nov. 30, 1992]

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