[Privacy Act Issuances (1997)]
[From the U.S. Government Publishing Office, www.gpo.gov]
INTERNATIONAL DEVELOPMENT COOPERATION AGENCY
22 CFR PART 215--REGULATIONS FOR IMPLEMENTATION OF PRIVACY ACT OF 1974
Sec.
215.1 Purpose and scope.
215.2 Definitions.
215.3 Procedures for requests pertaining to individual records in a
system of records.
215.4 Times, places and requirements for indentification of individuals
making requests.
215.5 Access to requested information by individuals.
215.6 Special procedures: Medical records.
215.7 Request for correction of amendment of record.
215.8 Agency review of request for amendment of record.
215.9 Appeal of initial adverse agency determination.
215.10 Disclosure of record to person other than the individual to whom
it pertains.
215.11 Fees.
215.12 Penalties and remedies.
215.13 General exemptions.
215.14 Specific exemptions.
Authority: Sec. 621, Foreign Assistance Act of 1961, as amended, (22
U.S.C. 2381; 75 Stat. 445); secs. 3,4, Administrative Procedure Act (5
U.S.C. 553; 60 Stat. 237); Privacy Act of 1974 (Pub. L. 93-579; 5 U.S.C.
552a; 88 Stat. 1896).
Source: 57 FR 38276, Aug. 24, 1992.
Sec. 215.1 Purpose and scope.
(a) It is the purpose and objective of the International Development
Cooperation Agency and the Agency for International Development to
collect information, revise personal data collection forms or processes,
and maintain Agency records in a manner that will prevent an unwarranted
invasion of privacy of those individuals who are the subject of Agency
records.
(b) These regulations establish the procedures by which an individual
may obtain notification of the existence of Agency records pertaining to
that individual, gain access to those records, request an amendment or
correction to the records, and appeal adverse decisions to requests for
amendment or correction of Agency records.
(c) The Agency separately states and publishes in the Federal Register
a public notice of the existence and character of systems maintained by
the Agency, pursuant to the provisions of sections (e)(4) and (e)(11) of
the Privacy Act of 1974 (5 U.S.C. 552a; 88 Stat. 1896).
Sec. 215.2 Definitions.
(a) Act means the Privacy Act of 1974 (5 U.S.C. 552a; 88 Stat. 1896);
(b) Agency means the International Development Cooperation Agency or
the Agency for International Development, its offices, bureaus,
divisions, and posts abroad;
(c) Amend shall include the amendment of a record;
(d) Individual means a citizen of the United States or an alien
lawfully admitted for permanent residence;
(e) Maintain includes maintain, collect, use or disseminate;
(f) Record means any item, collection, or grouping of information
about an individual that is maintained by an agency, including, but not
limited to, his education, financial transactions, medical history, and
criminal or employment history and that contains his name, or the
identifying number, symbol, or other identifying particular assigned to
the individual, such as a finger or voice print or a photograph;
(g) Routine use means, with respect to the disclosure of a record, the
use of such record for a purpose which is compatible with the purpose
for which it was collected;
(h) Statistical Record means a record in a system of records
maintained for statistical research or reporting purposes only and not
used in whole or in part in making any determination about an
identifiable individual, except as provided by section 8 of title 13;
(i) System of Records means a group of any records under the control
of any agency from which information is retrieved by the name of the
individual or by some identifying number, symbol, or other identifying
particular assigned to the individual.
Sec. 215.3 Procedures for requests pertaining to individual records
in a system of records.
(a) Requests for notification of access to or amendment of Agency
records contained in a system of records pertaining to an individual may
be made in person or by mail as follows: For the International
Development Cooperation Agency-Assistant Director for Administration,
International Development Cooperation Agency, Room 4889 New State, 2201
C Street, NW, Washington, DC 20523 Attention: Privacy Liaison Officer.
For the Agency for International Development-Privacy Liaison Officer,
Agency for International Development, Room 4889 New State, 2201 C
Street, NW., Washington, DC 20523.
(b) Such request should include information necessary to identify the
record, e.g., the individual's full name, date of birth, place of birth,
present mailing address, or system of record identification name and
number, if known, and, to facilitate the retrieval of records contained
in those systems of records which are retrieved by social security
numbers, the social security number of the individual to whom the record
pertains.
(c) With respect to a system of records which may be maintained by the
Agency in offices outside the United States, an individual may inquire
whether he or she is the subject of an Agency record or may request
access to or amendment of such records by appearing in person or by
writing to the Privacy Liaison Officer, Agency for International
Development, at the overseas missions.
(d) The Assistant Director for Administration for requests to I.D.C.A.
or the appropriate Privacy Liaison Officer for request to A.I.D., or
their designees shall, within ten (10) working days of receipt of the
request, furnish in writing to the requesting individual notice of the
existence or nonexistence of any records described in the request.
Sec. 215.4 Times, places, and requirements for identification of
individuals making requests.
(a) Individuals making personal requests for notification, access or
contest may do so at the place designated in paragraph (a) of
Sec. 215.3, which is open 9 a.m. to 5 p.m. daily, except Saturdays,
Sundays, and legal public holidays.
(b) Individuals making personal requests for notification, access or
contest at offices outside the United States may do so at the overseas
missions during the regular business hours of those offices.
(c) An individual requesting such information in person shall provide
such personal identification as is reasonable under the circumstances to
verify the individual's identity; e.g. driver's license, employee
identification card or medicare card. (The identification should contain
a photograph of the individual.)
(d) An individual requesting such information by mail shall include in
his or her request a signed notarized statement to verify his or her
identity and which stipulates that the individual understands that
knowingly or willfully seeking or obtaining access to records about
another individual under false pretenses is punishable by a fine up to
$5,000, as provided in section (i)(3) of the Act.
(e) Verification of identity as set forth in paragraphs (c) and (d) of
this section shall not be required of individuals seeking access to
records otherwise available to members of the public under the Freedom
of Information Act (5 U.S.C. 552; 88 Stat. 1561).
(f) An individual who wishes to be accompanied by another person when
reviewing a record shall furnish the Agency with a written statement
authorizing discussion of his or her record in the presence of the
accompanying person. Such statement need not contain any reasons for the
access or for the accompanying person's presence.
Sec. 215.5 Access to requested information by individuals.
(a) Upon receipt of a request by an individual made in accordance with
the provisions of Sec. 215.3, such individual shall be granted access to
any record pertaining to him or her which is contained in a system of
records maintained by the Agency subject to exemptions discussed in
Secs. 215.13 and 215.14.
(b) Notwithstanding the provisions of paragraph (a) of this section,
access will not be allowed an individual to information or records
compiled by the Agency in reasonable anticipation of a civil or criminal
action or proceeding.
(c) Whenever possible, access to requested records will be granted;
(1) Where the request is presented in person and the record is readily
available, promptly upon receipt of the request for access,
determination that access to the record may be granted, verification of
the identity of the individual seeking access, and, where applicable,
receipt of consent to discuss the record with a person accompanying the
individual;
(2) Where the request is made by mail, the record will, whenever
possible, be provided within ten (10) working days of receipt of the
request.
(d) Where access to a record cannot reasonably be granted as provided
in paragraphs (c)(1) and (2) of this section, the Agency will
acknowledge in writing receipt of the request for access and indicate a
reasonable time within which access to the record can be granted.
(e) Where no reasonable means exist for an individual to have access
to his or her record in person, a copy of the record must be provided
through the mail.
Sec. 215.6 Special procedure: Medical records.
If the Assistant Director for Administration or the Privacy Liaison
Officer, determines that the release directly to the individual of
medical records maintained by the Agency could have an adverse effect
upon such individual, the Director/Officer will attempt to arrange an
alternative acceptable to both the individual and Agency (such as the
release of said information to a doctor named by the individual) in
granting access to such record.
Sec. 215.7 Request for correction or amendment of record.
(a) An individual may request the Agency to correct or amend a record
pertaining to him or her which the individual believes is not accurate,
relevant, timely or complete.
(b) Such request must be in writing and must be presented, in person
or by mail to the addresses listed in Sec. 215.3(a).
(c) Such requests must set forth the following information:
(1) Identification of the system of records in which the particular
record is maintained;
(2) The portion(s) of the record to be amended or corrected;
(3) The desired amendment or correction; and
(4) The reasons for the amendment or correction.
The request must be accompanied by evidence, documentation, or other
information in support of the request.
(d) Assistance in preparing a request to amend a record may be
obtained from the officials listed in Sec. 215.3(a).
Sec. 215.8 Agency review of requests for amendment of record.
(a) The Agency will examine the information requested to be amended to
determine its accuracy, timeliness, completeness, and its relevancy and
necessity to accomplish a purpose of the Agency required to be
accomplished by statute or by executive order.
(b) Within ten (10) working days after the receipt by the Assistant
Director for Administration or the Privacy Liaison Officer, of a request
made in accordance with this section, the Assistant Director for
Administration or the Privacy Liaison Officer shall acknowledge in
writing such receipt and shall, after examination in accordance with the
provisions of paragraph (a) of this section, promptly either:
(1) Make any amendment of any portion thereof which the individual
believes is not accurate, relevant, timely or complete, and notify the
individual of the amendment made; or
(2) Inform the individual of the Agency's refusal to amend the record
in accordance with the request, the reason(s) for the refusal, and the
procedures established by the Agency for the individual to request a
review of that refusal.
(c) If the Agency agrees with the individual's request to amend a
record, in addition to proceeding as set forth in paragraph (b)(1) of
this section, it shall promptly advise all previous recipients of the
record of the fact that the amendment was made and the substance of the
amendment where an accounting of disclosures has been made.
(d) If unusual circumstances prevent the completion of Agency action
on the request to amend within 30 days after the receipt thereof by the
Assistant Director for Administration or the Privacy Liaison Officer,
the individual will be promptly advised of the delay, the reasons for
the delay, and of the date by which the review is expected to be
completed.
(e) If the Agency, after its initial examination of the record and the
request for Amendment, disagrees with all or any part of the
individual's request to amend it shall:
(1) To the extent the Agency agrees with any part of the individual's
request to amend, proceed as described in paragraphs (b)(1) and (c) of
this section;
(2) Advise the individual of its refusal and the reason(s) therefor;
(3) Inform the individual that he or she may request a further review
by the Director or the Administrator, or their designees; and
(4) Describe the procedures for requesting such review, including the
name and address of the official to whom the request should be directed.
(f) No part of these regulations shall be construed to permit:
(1) The alteration of evidence presented in the course of judicial,
quasi-judicial or quasi-legislative proceedings;
(2) Collateral attack upon any matter which has been the subject of
judicial or quasi-judicial action; or
(3) An amendment or correction which would be in violation of an
existing statute, executive order or regulation.
Sec. 215.9 Appeal of initial adverse agency determination.
(a) An individual who disagrees with the denial or partial denial of
his or her request to amend a record may file a request for review of
such refusal within 60 days after the date of notification of the denial
or partial denial.
(b) The request for review must be in writing and may be presented in
person or by mail to:
Director, International Development Cooperation Agency, 2201 C Street,
NW, Washington, DC 20523. Attention: Privacy Review Request.
Director, Office of External Affairs, Agency for International
Development, 2201 C Street, NW, Washington, DC 20523. Attention: Privacy
Review Request.
Both the envelope and the letter should be clearly marked: Attention:
Privacy Review Request. Such request should include any documentation,
information or statements advanced for the amendment of the record, and
a copy of the initial adverse determination.
(c) Upon receipt of the request for review, the Director or the
Assistant Administrator, or an officer of the Agency designated in
writing by the Director or Administrator, shall undertake an independent
review of the initial determination.
(d) If someone other than the Director or the Assistant Administrator
is designated to conduct the review, he or she shall be an officer who
is organizationally independent of or senior to the officer or employee
who made the initial determination.
(e) In conducting the review, the reviewing official, may at his or
her option, request such additional information as is deemed necessary
to establish that the record contains only that information which is
accurate, timely, complete and necessary to assure fairness in any
determination which may be made about the individual on the basis of the
record.
(f) Within 30 days after receipt of the request for review, the
Director, the Assistant Administrator, or the official designated to
conduct the review, shall advise the individual of the Agency's final
decision. If unusual circumstances prevent the completion of the review
within the 30-day period, the Agency shall, prior to the expiration of
the 30-day period, advise the individual in writing of the circumstances
preventing the completion of such review and inform him or her of the
date by which the review is expected to be completed.
(g) If the reviewing official determines that the record should be
amended in accordance with the individual's request, the Agency shall:
(1) Amend the record accordingly;
(2) Advise the individual of the amendment; and
(3) Where an accounting of disclosures has been made, advise all
previous recipients of the fact that the amendment was made and the
nature of the amendment.
(h) If, after conducting the review, the reviewing official refuses to
amend the record, in whole or in part, in accordance with the
individual's request, Agency shall advise the individual:
(1) Of its refusal and the reasons therefor;
(2) Of the individual's right to file a concise statement of his or
her reasons for disagreeing with the Agency's decision;
(3) Of the procedures for filing a statement of disagreement;
(4) That any such statement will be sent to anyone to whom the record
is subsequently disclosed, together with a brief statement by the Agency
summarizing its reasons for refusing to amend the record;
(5) That to the extent an accounting of disclose was maintained, prior
recipients of the disputed record will be provided a copy of any
statement of disagreement and of the Agency's statement summarizing its
reasons for refusing to amend the record; and
(6) Of the individual's right to seek judicial review of the Agency's
refusal to amend a record as provided for in section (g)(1)(a) of the
Act.
Sec. 215.10 Disclosure of record to person other than the individual
to whom it pertains.
(a) Subject to the conditions of paragraphs (b) and (c) of this
section, the Agency shall not disclose any record which is contained in
a system of records by any means of communication to any person or other
agency who is not the individual to whom the record pertains.
(b) Upon written request or with prior written consent of the
individual to whom the record pertains, the Agency may disclose any such
record to a person or to another agency as requested or authorized.
(c) Notwithstanding the absence of written consent from the individual
to whom the record pertains, the Agency may disclose any such record
provided such disclosure is:
(1) To those officers and employees of the Agency who have a need for
the record in the performance of their duties;
(2) Required under the Freedom of Information Act (5 U.S.C. 552);
(3) For a routine use as defined in Sec. 215.2;
(4) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
Title 13 of the United States Code;
(5) To a recipient who has provided the Agency with adequate advance
written assurance that the record will be used solely as a statistical
research or reporting record, and the record is to be transferred in a
form that is not individually identifiable;
(6) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the United States Government, or for evaluation by the
Administrator of General Services or his or her designee, to determine
whether the record has such value;
(7) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity authorized by law: Provided,
The head of the agency or instrumentality has made a prior written
request to the Assistant Administrator of Administration or the Privacy
Liaison Officer, specifying the particular record and the law
enforcement activity for which it is sought;
(8) To a responsible person pursuant to a showing of compelling
circumstances affecting the health or safety of an individual if upon
such disclosure notification will be transmitted to the last known
address of such individual;
(9) To either House of Congress, or, to the extent of a matter within
its jurisdiction, any committee or subcommittee, or joint committee of
Congress, or subcommittee of such joint committee;
(10) To the Comptroller General, or any of his/her authorized
representatives, in the course of the performance of the duties of the
General Accounting Office;
(11) Pursuant to an order of a court of competent jurisdiction or;
(12) To a consumer reporting agency in accordance with section 3711(f)
of Title 31.
Sec. 215.11 Fees.
(a) The only fees to be charged to or collected from an individual
under the provisions of this part are for copying records at the request
of the individual.
(b) No fees shall be charged or collected for the following: Search
for and retrieval of the records; review of the records; copying at the
initiative of the Agency without a request from the individual; the
first 100 pages; and first-class postage. However if special handling or
other than first-class mail is requested or required, the costs shall be
added to the basic fee.
(c) The copying fees prescribed in paragraph (a) of this section are:
Ten (10) cents per page. Twenty (20) cents per page of computer
printout.
(d) Payment may be in the form of a check, bank draft on a bank in the
United States, or postal money order payable to the Treasurer of the
United States.
(e) A receipt for fees paid will be given only upon request.
(f) A copying fee totaling $15.00 or less shall be waived but the
copying fees for contemporaneous requests by the same individual shall
be aggregated to determine the total fee.
(g) A fee may be reduced or waived by the Privacy Liaison Officer.
Sec. 215.12 Penalties and remedies.
The provisions of the Act relating to penalties and remedies are
summarized below:
(a) An individual may bring a civil action against the Agency when the
Agency:
(1) Makes a determination not to amend a record in accordance with the
individual's request;
(2) Refuses to comply with an individual's request pursuant to 5
U.S.C. 552a(d)(1);
(3) Fails to maintain a record concerning an individual with such
accuracy, relevance, timeliness and completeness as is necessary to
assure fairness in any determination relating to the qualifications,
character, rights, or opportunities of, or benefits to the individual
that may be made on the basis of such record, and as a result thereof a
determination is made which is adverse to the individual; or
(4) Fails to comply with any other provision of section (d) of the Act
in such a way as to have an adverse effect on an individual.
(b) The court may order the correction or amendment of the records,
may enjoin the Agency from withholding the records, may order the Agency
to produce any records improperly withheld, and may assess attorney's
fees and costs.
(c) Where a court of competent jurisdiction makes a determination that
the Agency action was willful or intentional with respect to 5 U.S.C.
552a(g)(1) (c) or (d), the United States shall be liable for actual
damages of no less than $1,000, the costs of the action, and attorneys'
fees.
(d) Criminal penalties may be imposed against an officer or employee
of the Agency who willfully discloses material which he or she knows is
prohibited from disclosure, or who maintains a system of records without
complying with the notice requirements.
(e) Criminal penalties may be imposed against any person who knowingly
and willfully requests or obtains any record concerning an individual
from an agency under false pretenses. The offenses enumerated in
paragraphs (d) and (e) of this section are misdemeanors, with fines not
to exceed $5,000.
Sec. 215.13 General exemptions.
(a) Pursuant to 5 U.S.C. 552a(j)(2), the Director or the Administrator
may, where there is a compelling reason to do so, exempt a system of
records within the Agency from any part of the Act, except subsections
(b), (c) (1) and (2), (e)(4)(A) through (F), (e) (6), (7), (9), (10),
and (11), and (i) thereof, if the system of records is maintained by the
Agency or component thereof 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 the activities of prosecutors, courts, correctional,
probation, pardon, or parole authorities, and which consists of:
(1) Information compiled for the purpose of identifying individual
criminal offenders and alleged offenders and consisting only of
identifying data and notations of arrests, the nature and disposition of
criminal charges, sentencing, confinement, release, and parole and
probation status;
(2) Information compiled for the purpose of a criminal investigation,
including reports of informants and investigators, and associated with
an identifiable individual; or
(3) 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.
(b) Each notice of a system of records that is the subject of an
exemption under this section will include a statement that the system
has been exempted, the reasons therefore, and a reference to the Federal
Register, volume and page, where the exemption rule can be found.
(c) The systems of records to be exempted under section (j)(2) of the
Act, the provisions of the Act from which they are being exempted, and
the justification for the exemptions, are set forth below:
(1) Criminal Law Enforcement Records. This system of records is to be
exempted from sections (c) (3) and (4); (d); (e) (1), (2), and (3); (e)
(4) (G), (H), and (I); (e) (5) and (8); (f), (g) and (h) of the Act.
These exemptions are necessary to insure the proper functioning of the
law enforcement activity, to protect confidential sources of
information, to fulfill promises of confidentiality, to maintain the
integrity of the law enforcement procedures, to avoid premature
disclosure of the knowledge of criminal activity and the evidentiary
bases of possible enforcement actions, to prevent interference with law
enforcement proceeding, to avoid the disclosure of investigative
techniques, and to avoid the endangering the law enforcement personnel.
Sec. 215.14 Specific exemptions.
(a) Pursuant to 5 U.S.C. 552a(k), the Director or the Administrator
may, where there is a compelling reason to do so, exempt a system of
records, from any of the provisions of subsections (c)(3); (d); (e)(1);
(e)(4) (G), (H), and (I); and (f) of the Act if a system of records is:
(1) Subject to the provisions of 5 U.S.C. 552(b)(1);
(2) Investigatory material compiled for law enforcement purposes,
other than material within the scope of subsection (j)(2) of the Act:
Provided, however, That if any individual is denied any right,
privilege, or benefit to which he or she 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 the effective
date of this section, under an implied promise that the identity of the
source would be held in confidence;
(3) Maintained in connection with providing protective services to the
President of the United States or other individuals pursuant to 18
U.S.C. 3056;
(4) Required by statute to be maintained and used solely as
statistical records;
(5) Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications 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 the effective
date of this section, under an implied promise that the identity of the
source would be held in confidence;
(6) 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 or examination process; or
(7) Evaluation material used to determine potential for promotion in
the armed services, 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 the effective date of
this section, under an implied promise that the identity of the source
would be held in confidence.
(b) Each notice of a system of records that is the subject of an
exemption under 5 U.S.C. 552a(k) will include a statement that the
system has been exempted, the reasons therefore, and a reference to the
Federal Register, volume and page, where the exemption rule can be
found.
(c) The systems of records to be exempted under section (k) of the
Act, the provisions of the Act from which they are being exempted, and
the justification for the exemptions, are set forth below:
(1) Criminal Law Enforcement Records. If the 5 U.S.C. 552a(j)(2)
exemption claimed under paragraph (c) of Sec. 215.13 and on the notice
of systems of records to be published in the Federal Register on this
same date is held to be invalid, then this system is determined to be
exempt, under 5 U.S.C. 552(a)(k) (1) and (2) of the Act, from the
provisions of 5 U.S.C. 552a (c)(3); (d); (e)(1); (e)(4); (G); (H); (I);
and (f). The reasons for asserting the exemptions are to protect the
materials required by executive order to be kept secret in the interest
of the national defense or foreign policy, to prevent subjects of
investigation from frustrating the investigatory process, to insure the
proper functioning and integrity of law enforcement activities, to
prevent disclosure of investigative techniques, to maintain the ability
to obtain necessary information, to fulfill commitments made to sources
to protect their identities and the confidentiality of information and
to avoid endangering these sources and law enforcement personnel.
(2) Personnel Security and Suitability Investigatory Records. This
system is exempt under 5 U.S.C. 552a (k)(1), (k)(2), and (k)(5) from the
provisions of 5 U.S.C. 552a (c)(3); (d); (e)(1); (e)(4); (G); (H); (I);
and (f). These exemptions are claimed to protect the materials required
by executive order to be kept secret in the interest of national defense
or foreign policy, to prevent subjects of investigation from frustrating
the investigatory process, to insure the proper functioning and
integrity of law enforcement activities, to prevent disclosure of
investigative techniques, to maintain the ability to obtain candid and
necessary information, to fulfill commitments made to sources to protect
the confidentiality of information, to avoid endangering those sources
and, ultimately, to facilitate proper selection or continuance of the
best applicants or persons for a given position or contract. Special
note is made of the limitation on the extent to which this exemption may
be asserted.
(3) Litigation Records. This system is exempt under 5 U.S.C.
552(k)(1), (k)(2), and (k)(5) from the provisions of 5 U.S.C.
552a(c)(3); (d); (e)(1); (e)(4) (G), (H), (I); and (f). These exemptions
are claimed to protect the materials required by executive order to be
kept secret in the interest of national defense or foreign policy, to
prevent subjects of investigation from frustrating the investigatory
process, to insure the proper functioning and integrity of law
enforcement activities, to prevent disclosure of investigative
techniques, to maintain the ability to obtain candid and necessary
information, to fulfill commitments made to sources to protect the
confidentiality of information.
(4) Employee Equal Employment Opportunity Complaint Investigatory
Records. This system is exempt under 5 U.S.C. 552a(k)(1) and (k)(2) from
the provisions of 5 U.S.C. 552a(c)(3); (d); (e)(1); (e)(4) (G), (H),
(I); and (f). These exemptions are claimed to protect the materials
required by executive order to be kept secret in the interest of
national defense or foreign policy, to prevent subjects of investigation
from frustrating the investigatory process, to insure the proper
functioning and integrity of law enforcement activities, to prevent
disclosure of investigative techniques, to maintain the ability to
obtain candid and necessary information, to fulfill commitments made to
sources to protect the confidentiality of information, to avoid
endangering these sources.
(5) The following systems of records are exempt under 5 U.S.C.
552a(k)(5) from the provision of 5 U.S.C. 552a(c)(3); (d); (e)(1);
(e)(4) (G), (H), (I); and (f):
(i) Employee Conduct and Discipline Records.
(ii) Employee Relations Records.
This exemption is claimed for these systems of records to maintain the
ability to obtain candid and necessary information, to fulfill
commitments made to sources to protect the confidentiality of
information, to avoid endangering these sources and, ultimately, to
facilitate proper selection or continuance of the best applicants or
persons for a given position or contract. Special note is made of the
limitation on the extent to which this exemption may be asserted. The
existence and general character of the information exempted will be made
known to the individual to whom it pertains.