[Code of Federal Regulations]
[Title 39, Volume 1]
[Revised as of January 1, 2007]
From the U.S. Government Printing Office via GPO Access
[CITE: 39CFR266.9]

[Page 125-129]
 
                        TITLE 39--POSTAL SERVICE
 
                 CHAPTER I--UNITED STATES POSTAL SERVICE
 
PART 266_PRIVACY OF INFORMATION--Table of Contents
 
Sec.  266.9  Exemptions.

    (a) Subsections 552a(j) and (k) of 5 U.S.C. 552a empower the 
Postmaster General to exempt systems of records meeting certain criteria 
from various other subsections of 5 U.S.C. 552a. With respect to systems 
of records so exempted, nothing in this part shall require compliance 
with provisions hereof implementing any subsections of 5 U.S.C. 552a 
from which those systems have been exempted.
    (b) Paragraph (b)(1) of this section contains a summary of 
provisions of 5 U.S.C. 552a for which exemption is claimed for some 
systems of records pursuant to, and to the extent permitted by, 
subsections 552a(j) and (k) of 5 U.S.C. 552a. Paragraphs (b)(2) through 
(5) of this section identify the exempted systems of records, the 
exemptions applied to each, and the reasons for the exemptions:
    (1) Explanation of provisions under 5 U.S.C. 552a for which an 
exemption is claimed in the systems discussed below. (i) Subsection 
(c)(3) requires an agency to make available to the individual named in 
the records an accounting of each disclosure of records.
    (ii) Subsection (c)(4) requires an agency to inform any person or 
other agency to which a record has been disclosed of any correction or 
notation of dispute the agency has made to the record in accordance with 
5 U.S.C. 552a(d).
    (iii) Subsections (d)(1) through (4) require an agency to permit an 
individual to gain access to records about the individual, to request 
amendment of such records, to request a review of an agency decision not 
to amend such records, and to provide a statement of disagreement about 
a disputed record to be filed and disclosed with the disputed record.
    (iv) Subsection (e)(1) requires an agency to maintain in its records 
only such information about an individual

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that is relevant and necessary to accomplish a purpose required by 
statute or executive order of the President.
    (v) Subsection (e)(2) requires an agency to collect information to 
the greatest extent practicable directly from the subject individual 
when the information may result in adverse determinations about an 
individual's rights, benefits, and privileges under federal programs.
    (vi) Subsection (e)(3) requires an agency to inform each person whom 
it asks to supply information of the authority under which the 
information is sought, the purposes for which the information will be 
used, the routine uses that may be made of the information, whether 
disclosure is mandatory or voluntary, and the effects of not providing 
the information.
    (vii) Subsection (e)(4)(G) and (H) requires an agency to publish a 
Federal Register notice of its procedures whereby an individual can be 
notified upon request whether the system of records contains information 
about the individual, how to gain access to any record about the 
individual contained in the system, and how to contest its content.
    (viii) Subsection (e)(5) requires an agency to maintain its records 
with such accuracy, relevance, timeliness, and completeness as is 
reasonably necessary to ensure fairness to the individual in making any 
determination about the individual.
    (ix) Subsection (e)(8) requires an agency to make reasonable efforts 
to serve notice on an individual when any record on such individual is 
made available to any person under compulsory legal process when such 
process becomes a matter of public record.
    (x) Subsection (f) requires an agency to establish procedures 
whereby an individual can be notified upon request if any system of 
records named by the individual contains a record pertaining to the 
individual, obtain access to the record, and request amendment.
    (xi) Subsection (g) provides for civil remedies if an agency fails 
to comply with the access and amendment provisions of subsections (d)(1) 
and (d)(3), and with other provisions of 5 U.S.C. 552a, or any rule 
promulgated thereunder, in such a way as to have an adverse effect on an 
individual.
    (xii) Subsection (m) requires an agency to cause the requirements of 
5 U.S.C. 552a to be applied to a contractor operating a system of 
records to accomplish an agency function.
    (2) Pursuant to subsection 552a(j)(2), Emergency Management Records, 
USPS 500.300; Inspection Service Investigative File System, USPS 
700.000; Mail Cover Program Records, USPS 700.100; and Inspector General 
Investigative Records, USPS 700.300, are exempt from subsections 552a 
(c)(3), (c)(4), (d)(1)-(4), (e)(1)-(3), (e)(4) (G) and (H), (e)(5), 
(e)(8), (f), (g), and (m) because the systems contain information 
pertaining to the enforcement of criminal laws. The reasons for 
exemption follow:
    (i) Disclosure to the record subject pursuant to subsections (c)(3), 
(c)(4), or (d)(1)-(4) could:
    (A) Alert subjects that they are targets of an investigation or mail 
cover by the Postal Inspection Service or an investigation by the Office 
of Inspector General;
    (B) Alert subjects of the nature and scope of the investigation and 
of evidence obtained;
    (C) Enable the subject of an investigation to avoid detection or 
apprehension;
    (D) Subject confidential sources, witnesses, and law enforcement 
personnel to harassment or intimidation if their identities were 
released to the target of an investigation;
    (E) Constitute unwarranted invasions of the personal privacy of 
third parties who are involved in a certain investigation;
    (F) Intimidate potential witnesses and cause them to be reluctant to 
offer information;
    (G) Lead to the improper influencing of witnesses, the destruction 
or alteration of evidence yet to be discovered, the fabrication of 
testimony, or the compromising of classified material; and
    (H) Seriously impede or compromise law enforcement, mail cover, or 
background investigations that might involve law enforcement aspects as 
a result of the above.
    (ii) Application of subsections (e)(1) and (e)(5) is impractical 
because the

[[Page 127]]

relevance, necessity, or correctness of specific information might be 
established only after considerable analysis and as the investigation 
progresses. As to relevance (subsection (e)(1)), effective law 
enforcement requires the keeping of information not relevant to a 
specific Postal Inspection Service investigation or Office of Inspector 
General investigation. Such information may be kept to provide leads for 
appropriate law enforcement and to establish patterns of activity that 
might relate to the jurisdiction of the Office of Inspector General, 
Postal Inspection Service, and/or other agencies. As to accuracy 
(subsection (e)(5)), the correctness of records sometimes can be 
established only in a court of law.
    (iii) Application of subsections (e)(2) and (e)(3) would require 
collection of information directly from the subject of a potential or 
ongoing investigation. The subject would be put on alert that he or she 
is a target of an investigation by the Office of Inspector General, or 
an investigation or mail cover by the Postal Inspection Service, 
enabling avoidance of detection or apprehension, thereby seriously 
compromising law enforcement, mail cover, or background investigations 
involving law enforcement aspects. Moreover, in certain circumstances 
the subject of an investigation is not required to provide information 
to investigators, and information must be collected from other sources.
    (iv) The requirements of subsections (e)(4)(G) and (H), and (f) do 
not apply because this system is exempt from the provisions of 
subsection (d). Nevertheless, the Postal Service has published notice of 
its notification, access, and contest procedures because access is 
appropriate in some cases.
    (v) Application of subsection (e)(8) could prematurely reveal an 
ongoing criminal investigation to the subject of the investigation.
    (vi) The provisions of subsection (g) do not apply because exemption 
from the provisions of subsection (d) renders the provisions on suits to 
enforce subsection (d) inapplicable.
    (vii) If one of these systems of records is operated in whole or in 
part by a contractor, the exemptions claimed herein shall remain 
applicable to it (subsection (m)).
    (3) Pursuant to subsection 552a(k)(2), Labor Relations Records, USPS 
200.000; Emergency Management Records, USPS 500.300; Inspection Service 
Investigative File System, USPS 700.000; Mail Cover Program Records, 
USPS 700.100; Inspector General Investigative Records, USPS 700.300; and 
Financial Transactions, USPS 860.000, are exempt from certain 
subsections of 5 U.S.C. 552a because the systems contain investigatory 
material compiled for law enforcement purposes other than material 
within the scope of subsection 552a(j)(2).
    (i) Emergency Management Records, USPS 500.300; Inspection Service 
Investigative File System, USPS 700.000; Mail Cover Program Records, 
USPS 700.100; and Inspector General Investigative Records, USPS 700.300, 
are exempt from subsections 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4) (G) 
and (H), and (f) for the same reasons as stated in paragraph (b)(2) of 
this section.
    (ii) Labor Relations Records, USPS 200.000, is exempt from 
subsections 552a(d)(1)-(4), (e)(4)(G) and (H), and (f) for the following 
reasons:
    (A) Application of the requirements at subsections (d)(1)-(4) would 
cause disruption of enforcement of the laws relating to equal employment 
opportunity (EEO). It is essential to the integrity of the EEO complaint 
system that information collected in the investigative process not be 
prematurely disclosed and that witnesses be free from restraint, 
interference, coercion, or reprisal.
    (B) The requirements of subsections (e)(4)(G) and (H), and (f) do 
not apply for the same reasons described in paragraph (b)(2)(iv) of this 
section.
    (iii) Financial Transactions, USPS 860.000, is exempt from 
subsections 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G) and (H), and (f) 
for the following reasons:
    (A) Disclosure to the record subject pursuant to subsections (c)(3) 
and (d)(1)-(4) would violate the non-notification provision of the Bank 
Secrecy Act, 31 U.S.C. 5318(g)(2), under which the Postal Service is 
prohibited from notifying a transaction participant that a suspicious 
transaction report has been made. In addition, the access provisions of 
subsections (c)(3) and

[[Page 128]]

(d)(1)-(4) would alert individuals that they have been identified as 
suspects or possible subjects of investigation and thus seriously hinder 
the law enforcement purposes underlying the suspicious transaction 
reports.
    (B) This system is in compliance with subsection (e)(1) because 
maintenance of the records is required by law. Strict application of the 
relevance and necessity requirements of subsection (e)(1) to suspicious 
transactions would be impractical, however, because the relevance or 
necessity of specific information can often be established only after 
considerable analysis and as an investigation progresses.
    (C) The requirements of subsections (e)(4)(G) and (H), and (f) do 
not apply because this system is exempt from the provisions of 
subsection (d). Nevertheless, the Postal Service has published notice of 
its notification, access, and contest procedures because access is 
appropriate in some cases.
    (4) Pursuant to subsection 552a(k)(5), Recruiting, Examining, and 
Placement Records, USPS 100.100; Labor Relations Records, USPS 200.000; 
Inspection Service Investigative File System, USPS 700.000; and 
Inspector General Investigative Records, USPS 700.300 are exempt from 
certain subsections of 5 U.S.C. 552a because the systems contain 
investigatory material compiled for the purpose of determining 
suitability, eligibility, or qualifications for employment, contracts, 
or access to classified information.
    (i) Recruiting, Examining, and Placement Records, USPS 100.100, is 
exempt from subsections 552a(d)(1)-(4) and (e)(1) for the following 
reasons:
    (A) During its investigation and evaluation of an applicant for a 
position, the Postal Service contacts individuals who, without an 
assurance of anonymity, would refuse to provide information concerning 
the subject of the investigation. If a record subject were given access 
pursuant to subsection (d)(1)-(4), the promised confidentiality would be 
breached and the confidential source would be identified. The result 
would be restriction of the free flow of information vital to a 
determination of an individual's qualifications and suitability for 
appointment to or continued occupancy of his or her position.
    (B) In collecting information for investigative and evaluative 
purposes, it is impossible to determine in advance what information 
might be of assistance in determining the qualifications and suitability 
of an individual for appointment. Information that seems irrelevant, 
when linked with other information, can sometimes provide a composite 
picture of an individual that assists in determining whether that 
individual should be appointed to or retained in a position. For this 
reason, exemption from subsection (e)(1) is claimed.
    (C) The requirements of subsections (e)(4)(G) and (H), and (f) do 
not apply because this system is exempt from the provisions of 
subsection (d). Nevertheless, the Postal Service has published notice of 
its notification, access, and contest procedures because access is 
appropriate in some cases.
    (ii) Labor Relations Records, USPS 200.000, is exempt from 
subsections 552a(d)(1)-(4), (e)(4)(G) and (H), and (f) for the following 
reasons:
    (A) Application of the provisions at subsection (d)(1)-(4) would 
reveal to the EEO complainant the identity of individuals who supplied 
information under a promise of anonymity. It is essential to the 
integrity of the EEO complaint system that information collected in the 
investigative process not be prematurely disclosed and that witnesses be 
free from restraint, interference, coercion, or reprisal.
    (B) The requirements of subsections (e)(4)(G) and (H), and (f) do 
not apply because this system is exempt from the provisions of 
subsection (d). Nevertheless, the Postal Service has published notice of 
its notification, access, and contest procedures because access is 
appropriate in some cases.
    (iii) Inspection Service Investigative File System, USPS 700.000; 
and Inspector General Investigative Records, USPS 700.300, are exempt 
from subsections 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4) (G) and (H), and 
(f) for the same reasons as stated in paragraph (b)(2) of this section.
    (5) Pursuant to subsection 552a(k)(6), Employee Development and 
Training Records, USPS 100.300; Personnel Research Records, 100.600; and 
Emergency Management Records, USPS 500.300 are

[[Page 129]]

exempt from subsections 552a(d)(1)-(4), (e)(4)(G) and (H), and (f) 
because the systems contain testing or examination material the 
disclosure of which would compromise the objectivity or fairness of the 
material. The reasons for exemption follow:
    (i) These systems contain questions and answers to standard testing 
materials, the disclosure of which would compromise the fairness of the 
future use of these materials. It is not feasible to develop entirely 
new examinations after each administration as would be necessary if 
questions or answers were available for inspection and copying. 
Consequently, exemption from subsection (d) is claimed.
    (ii) The requirements of subsections (e)(4)(G) and (H), and (f) do 
not apply because this system is exempt from the provisions of 
subsection (d). Nevertheless, the Postal Service has published notice of 
its notification, access, and contest procedures because access is 
appropriate in some cases.

[70 FR 22513, Apr. 29, 2005]