[Code of Federal Regulations]

[Title 34, Volume 1]

[Revised as of July 1, 2006]

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 (18-10-01) and the Hotline Complaint Files of the Inspector General 

ED/OIG (18-10-04) 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 Sec. Sec.  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 Sec. Sec.  

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 (18-10-01) and the Hotline Complaint Files of the Inspector General 

ED/OIG (18-10-04) 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 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 Sec. Sec.  

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.



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    (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 (18-08-01) 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 Sec. Sec.  

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). The 

Department exempts the Investigatory Material Compiled for Personnel 

Security and Suitability Purposes (18-05-17) system 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(c)(3) of this part, regarding 

access to an accounting of disclosures of records.

    (2) 5 U.S.C. 552a(d) (1) through (4) and (f) and Sec. Sec.  

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.

    (3) 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, Office of the Chief 

Information Officer, Regulatory Information Management Group, 

Washington, DC 20202-4651.

    (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 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



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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; 69 

FR 12246, Mar. 15, 2004]