Title 5    Code of Federal Regulations
CHAPTER I
SUBCHAPTER B

PART 297 - PRIVACY PROCEDURES FOR PERSONNEL RECORDS

       SUBPART A - GENERAL PROVISIONS
Sec.
297.101 Purpose and scope.
297.102 Definitions.
297.103 Designations of authority by system manager.
297.104 Types of records.
297.105 Agency and Office responsibilities for systems of records and applicability of the
regulations.
297.106 Contact point for Privacy Act matters.

   SUBPART B - REQUEST FOR ACCESS

297.201 General provisions.
297.202 Methods of access.
297.203 Access by the parent of a minor or by the legal guardian of an individual declared to be
incompetent.
297.204 Access by the representative of the data subject. 
297.205 Access to medical records.
297.206 Fees charged by the Office.
297.207 Denials of access and appeals with respect to such denials. 
297.208 Judicial review
.
  SUBPART C - AMENDMENT OF RECORDS

297.301 General provisions.
297.302 Time limits.
297.303 Applicability of amendment provisions.
297.304 Approval of requests to amend records
297.305 Denial of requests to amend records.
297.306 Appeal of a denial of a request to amend a record. 
297.307 Statement of disagreement.
297.308 Judicial review
.
 SUBPART D - DISCLOSURE OF RECORDS

297.401 Conditions of disclosure.
297.402 Disclosure pursuant to compulsory legal process served on the Office.
297.403 Accounting of disclosure.

 SUBPART E - EXEMPT RECORDS

297.501 Exemptions.
  Authority: Sec. 3, Pub. L. 93-579, 88 Stat. 1896 (5 U.S.C. 552a).   Source: 53 FR 1998, Jan. 26,
1988, unless otherwise noted.  


Sec. 297.101 Purpose and scope.
 
  This part sets forth the regulations of the U.S. Office of Personnel Management (the Office) to
govern the maintenance, protection, disclosure, and amendment of records within the systems of
records as defined by the Privacy Act of 1974 (5 U.S.C. 552a), Public Law 93-579.
 
Sec. 297.102 Definitions.
 
  In this part, the terms agency, individual, maintain, record, statistical records, and systems of
records have the same meanings as defined in the Privacy Act, 5 U.S.C. 552a. In addition:  
Access means providing a copy of a record to, or allowing review of the original record by, the
data subject or the data subject's authorized representative, parent, or legal guardian;
  Act means the Privacy Act of 1974, Public Law 93-579, 5 U.S.C. 552a, as amended;
  Agency means any department or independent establishment in the Executive Branch of the
Federal Government, including a Government corporation, of Government-controlled
corporation, except those specifically excluded from the Office recordkeeping requirements by
statute, this title, or formal agreement between the Office and the agency.
  Amendment means the correction, addition, deletion, or destruction of a record or specific
portions of a record;   Data subject means the individual to whom the information pertains and by
whose name or other individual identifier the information is retrieved;
  Disclosure means providing personal review of a record, or a copy thereof, to someone other
than the data subject or the data subject's authorized representative, parent, or legal guardian;  
  Office means the U.S. Office of Personnel Management;  
  Personnel record means any record concerning an individual which is maintained and used in
the personnel management or personnel policy-making process; and
  System manager means the Office or agency official, designated by the head of the agency, who
has the authority to decide Privacy Act matters relative to each system of records maintained by
the Office.

Sec. 297.103 Designations of authority by system manager.

  The responsible Office system manager having jurisdiction over a system of records may
designate in writing an Office employee to evaluate and issue the Offices's decision on Privacy
Act matters relating to either internal, central, or Governmentwide systems of records.
 
Sec. 297.104 Types of records.
 
  The Office manages three generic types of personnel records systems:
  (a) Internal systems of records are under the Office's physical control and are established and
maintained by the Office solely on its own employees and, when appropriate, on others in
contact with the Office regarding matters within its authority.
  (b) Centralized systems of personnel records are physically established and maintained by the
Office with regard to most current and former Federal employees and some applicants for
Federal employment.
  (c) Governmentwide systems of personnel records are maintained by the Office, and through
Office delegations of authority, by Federal agencies with regard to their own employees or
applicants for employment.  Although they are Office records, they are in the physical custody of
those agencies.  Though in the physical custody of agencies, the Office retains authority under its
record management authority and under the Privacy Act to decide appeals of initial agency
determinations regarding access to and amendment of material in these systems.
 
Sec. 297.105 Agency and Office responsibilities for systems of records and applicability of the
regulations.
 
  (a) These regulations apply to processing requests from both current and former Office
employees for records contained in internal, central, and Governmentwide systems of records
managed by the Office.
  (b) Agencies are solely and totally responsible for processing requests regarding records
maintained in their internal systems of records.  Agency regulations, and not these Office
regulations, govern the implementation of the Privacy Act for agency internal systems; there is
no right of appeal to the Office from an agency's determination regarding its internal agency
records.
  (c) For records maintained in the Office's central systems of records, the data subject should
contact the appropriate Office system manager concerning Privacy Act matters.  These
regulations will apply to inquiries regarding records located in the central systems of records.
  (d) For records maintained within the Office's Governmentwide systems of records, each
agency is responsible, unless specifically excepted by the Office, for responding to initial Privacy
Act access and amendment requests from its own current employees.  For records in Office
Governmentwide systems, including those in Official Personnel Folders, Employee Performance
Folders, and Employee Medical Folders, the Office is responsible for responding to initial
Privacy Act access and amendment requests from former Federal employees.
  (e) The procedures in this part apply to all such requests.  The procedures in this part also apply
to appeals from an agency initial determination regarding access to or amendment of records
contained in the Office's Governmentwide systems of records.   
  (f) The Office follows the procedures in this part when -   
  (1) Processing initial requests regarding access to or amendment
of records by its own employees and others that the Office is maintaining information on in its
systems of records, including requests from former employees of an agency whose records
properly reside in an Office Governmentwide system of records.
  (2) Processing Privacy Act appeals regarding access to and amendment of records generated by
another Federal agency, but which are contained in the Office's Governmentwide systems of
records, after an agency has issued the initial decision.
  (3) Processing initial requests and appeals concerning access to and amendment of records
contained in the central systems of records.
  (g) For requests concerning records and material of another agency that are in the custody of the
Office, but not under its control or ownership, the Office reserves the right to either refer the
request to the agency primarily responsible for the material or to notify the individual of the
proper agency that should be contacted.
 
Sec. 297.106 Contact point for Privacy Act matters.
 
  To determine what records the Office maintains in its system of records, requesters must write
to the Assistant Director for Workforce Information, Personnel Systems and Oversight Group,
Office of Personnel Management, 1900 E Street, NW., Washington, DC 20415. Using the
Office's response, requesters can contact the particular system manager indicated in the Office's
notices of its systems published in the Federal Register for further assistance in determining if
the Office maintains information pertaining to them.  

Sec. 297.201 General provisions.
 
  (a) Individual's requesting access to records pertaining to them that are maintained in a system
of records should submit a written request to the appropriate system manager and state that the
request is being made pursuant to the Privacy Act of 1974.   (b) The Office or agency will require
proof of identity from a requester.  The Office or agency reserves the right to determine the
adequacy of any such proof.  The general identifying items the Office will require a requester to
provide when a request is made to the Office are -
  (1) Full name, signature, and home address;
  (2) Social security number (for systems of records that include this identifier);
  (3) Current or last place and dates of Federal employment, when appropriate and,
  (4) Date and place of birth.
  (c) An individual may be represented by another when requesting access to records.
 

Sec. 297.202 Methods of access.
 
  (a) The methods for allowing access to records, when such access has been granted by the
Office or agency, are:
  (1) Inspection in person in the designated office during the hours specified by the Office or
agency; or
  (2) Transfer of records at the option of the Office or agency to another more convenient Federal
facility.
  (b) Generally, Office of Personnel Management offices will not furnish certified copies of
records.  When copies are to be furnished, they may be provided as determined by the Office and
may require payment of any fee levied in accordance with the Office's established fee schedule.
  (c) When the requester seeks to obtain original documentation, the Office reserves the right to
limit the request to copies of the original records.  Original records should be made available for
review only in the presence of the system manager or designee.  An agency should consult with
the Office when it receives a request for original documentation.  Section 2701(a) of title 18 of
the United States Code makes it a crime to conceal, mutilate, obliterate, or destroy any record
filed in a public office, or to attempt to do so.
 
Sec. 297.203 Access by the parent of a minor or by the legal guardian of an individual declared
to be incompetent.  

  (a) A parent, legal guardian, or custodian of a minor, upon presentation of suitable personal
identification, may access on behalf of a minor any record pertaining to the minor in a system of
records maintained by the Office.
  (b) A legal guardian, upon presentation of documentation establishing guardianship, may access
on behalf of an individual declared to be incompetent by a court of competent jurisdiction, any
record pertaining to that individual in a system of records maintained by the Office.
  (c) Minors are not precluded from exercising personally those rights provided them by the
Privacy Act.
 

Sec. 297.204 Access by the representative of the data subject.  

  A record may be disclosed to a representative of the individual to whom the record pertains
after the system manager receives written authorization from the individual who is the subject of
the record.
 
Sec. 297.205 Access to medical records.
 
  When a request for access involves medical or psychological records that the system manager
believes requires special handling, the requester should be advised that the material will be
provided only to a physician designated by the data subject.  Upon receipt of the designation and
upon verification of the physician's identity, the records will be made available to the physician,
who will have full authority to disclose those records to the data subject when appropriate.
 
Sec. 297.206 Fees charged by the Office.
 
  (a) No fees will be charged for search and review time expended by the Office to produce a
record, or for making a photostatic copy of the record, or for having it personally reviewed by the
data subject, when a record is retrieved from a system of records pertaining to that data subject. 
Additional copies provided may be charged under the Office's established fee schedule.
  (b) When the fees chargeable under this section will amount to more than $25, the requester
will be notified and payment of fees may be required before the records are provided.
  (c) Remittance should be made by either a personal check, bank draft, or a money order that is
made payable to the U.S. Office of Personnel Management and addressed to the appropriate
system manager.
 
Sec. 297.207 Denials of access and appeals with respect to such denials.
 
  (a) If an access request is denied, the Office or agency response will be in writing and will
include a statement of the reasons for the denial and the procedures available to appeal the denial,
including the name, position title, and address of the Office official responsible for the review.
  (b) Nothing in this part should be construed to entitle a data subject the right to access any
information compiled in reasonable anticipation of a civil action or proceeding.
  (c) For denials of access made under this subpart, the following procedures apply:
  (1) For initial denials made by an agency, when the record is maintained in an Office
Governmentwide system of records, a request for administrative review should be made only to
the Assistant Director for Workforce Information, Personnel Systems and Oversight Group, U.S.
Office of Personnel Management, 1900 E Street NW., Washington, DC 20415.
  (2) For denials initially made by an Office official, when a record is maintained in an internal or
central system of records, a request for administrative review should be made to the Information
and Privacy Appeals Counsel, Office of the General Counsel, U.S. Office of Personnel
Management, 1900 E Street NW., Washington, DC 20415.
  (3) Any administrative review decision that either partially or fully supports the initial decision
and denies access to the material the individual originally sought should state the requester's right
to seek judicial review of the final administrative decision.
 
Sec. 297.208 Judicial review.
 
  Upon receipt of notification that the denial of access has been upheld on administrative review,
the requester has the right to judicial review of the decision for up to 2 years from the date on
which the cause of action arose.  Judicial review may be sought in the district court of the United
States in the district in which -   
   (a) The requester resides;  
   (b) The requester has his or her principal place of business; or   
   (c) The agency records are situated; or it may be sought in the district court of the District of
Columbia.
 
Sec. 297.301 General provisions.
 
  (a) Individuals may request, in writing, the amendment of their records maintained in an Office
system of records by contacting the appropriate system manager.  The Office or agency will
require proof of identity from a requester.  The Office or agency reserves the right to determine
the adequacy of any such proof.  The general identifying items the Office will require a requester
to provide when a request is made to the Office are -
  (1) Full name, signature, and home address;
  (2) Social security number (for systems of records that include this identifier);
  (3) Current or last place and dates of Federal employment, when appropriate; and
  (4) Date and place of birth.
  (b) An individual may be represented by another party when requesting amendment of records.
  (c) A request for amendment should include the following:   
  (1) The precise identification of the records to be amended;  
  (2) The identification of the specific material to be deleted, added, or changed; and
  (3) A statement of the reasons for the request, including all available material substantiating the
request.
  (d) Requests for amendment of records should include the words 'PRIVACY ACT
AMENDMENT REQUEST' in capital letters on both the envelope and at the top of the request
letter.
  (e) A request for administrative review of an agency denial to amend a record in the Office's
systems of records should be addressed to the Assistant Director for Workforce Information,
Personnel Systems and Oversight Group, U.S. Office of Personnel Management, 1900 E Street
NW., Washington, DC 20415.
  (f) A request for administrative review of a denial to amend a record by an Office official
should be addressed to the Information and Privacy Appeals Counsel, Office of the General
Counsel, U.S. Office of Personnel Management, 1900 E Street NW., Washington, DC 20415.
  (g) The burden of proof demonstrating the appropriateness of the requested amendment rests
with the requester; and, the requester must provide relevant and convincing evidence in support
of the request.
 
Sec. 297.302 Time limits.
 
  The system manager should acknowledge receipt of an amendment request within 10 working
days and issue a determination as soon as practicable.  This time frame begins when the request
is
received by the proper Office or agency official.

Sec. 297.303 Applicability of amendment provisions.
 
  (a) The amendment procedures are not intended to allow a challenge to material that records an
event that actually occurred nor are they designed to permit a collateral attack upon that which
has been or could have been the subject of a judicial, quasi-judicial, or administrative
proceeding.  The amendment procedures are also not designed to change opinions in records
pertaining to the individual.
  (b) The amendment procedures apply to situations when an occurrence that is documented was
challenged through an established judicial, quasi-judicial, or administrative procedure and found
to be inaccurately described; when the document is not identical to the individual's copy; or when
the document is not created in accordance with the applicable recordkeeping requirements. (For
example, the amendment provisions are not designed to allow a challenge to the merits of an
agency adverse action that is documented in an individual's Official Personnel Folder.)  

Sec. 297.304 Approval of requests to amend records.
 
  (a) If the system manager determines that amendment of a record is appropriate, the system
manager will take the necessary steps to have the necessary changes made and will see that the
individual receives a copy of the amended record.
  (b) When practicable and appropriate, the system manager will advise all prior recipients of the
fact that an amendment of a record has been made.
 
Sec. 297.305 Denial of requests to amend records.
 
  (a) If the Office or agency system manager decides not to amend the record in the manner
sought, the requester should be notified in writing of the reasons for the denial.
  (b) The decision letter should also include the requester's right to appeal the denial and the
procedures for appealing the denial to the appropriate official.
 
Sec. 297.306 Appeal of a denial of a request to amend a record.  

  (a) An individual who disagrees with an initial denial to amend a record may file a written
appeal of that denial to the appropriate official.  In submitting an appeal, the individual should
provide a copy of the original request for amendment, a copy of the initial denial decision, and a
statement of the specific reasons why the initial denial is believed to be in error.  Any appeal
should be submitted to the official designated in the initial decision letter.  The appeal should
include the words 'PRIVACY ACT APPEAL' in capital letters on the envelope and at the top of
the letter of appeal.
  (b) The reviewing official should complete the review and make a final determination in writing
no later than 30 working days from the date on which the appeal is received.  When
circumstances warrant, this time frame may be extended.
  (c) If the Office grants the appeal, it will take the necessary steps either to amend the record
itself or to require the originating agency to amend the record.  When appropriate and possible,
prior recipients of the record should be notified of the Office's action.
  (d) The Office reserves the right to hold in abeyance any Privacy Act appeal concerning a
record when an individual is involved in challenging an action involving that record in another
administrative, judicial, or quasi-judicial forum.  At the conclusion of such a challenge, the
individual can resubmit the appeal.
  (e) If the Office denies the appeal, it will include in the decision letter notification of the
appellant's right to judicial review.
 
Sec. 297.307 Statement of disagreement.
 
  (a) Upon receipt of a final administrative determination denying a request to amend a record,
the requester may file a concise statement of disagreement.  Such a statement should be filed
with the appropriate system manager and should include the reasons why the requester believes
the decision to be incorrect.
  (b) The statement of disagreement should be maintained with the record to be amended and any
disclosure of the record must include a copy of the statement of disagreement.
  (c) When practicable and appropriate, the system manager should provide a copy of the
statement of disagreement to any individual or agency to whom the record was previously
disclosed as noted by the disclosure accounting.
 
Sec. 297.308 Judicial review.
 
  Upon receipt of notification that the denial to amend a record has been upheld on administrative
review, the requester has the right to judicial review of the decision for up to 2 years from the
date the cause of action arose.  Judicial review may be sought in the district court of the United
States in the district in which -  
  (a) The requester resides;
  (b) The requester has his or her principal place of business; or   
  (c)   The agency records are situated; or it may be sought in the district court of the District of
Columbia.
 
Sec. 297.401 Conditions of disclosure.
 
  An official or employee of the Office or agency should not disclose a record retrieved from a
Governmentwide system of records to any person, another agency, or other entity without the
express written consent of the subject individual unless disclosure is -  
  (a) To officers or employees of the Office who have a need for the information in the
performance of their duties.
  (b) Required by the provisions of the Freedom of Information Act.  
  (c) For a routine use as published in the Federal Register.
  (d) To the Bureau of the Census for uses pursuant to title 13 of the United States Code.
  (e)(1) To a recipient who has provided the agency with advance adequate written assurance that
the record will be used solely as a statistical research or reporting record.  The record will be
transferred in a form that is not individually identifiable.  The written statement should include as
a minimum:
  (I) A statement of the purpose for requesting the records; and  
 (ii) Certification that the records will be used only for statistical purposes.
  (2) These written statements should be maintained as records.  In addition to deleting personal
identifying information from records released for statistical purposes, the system manager will
reasonably ensure that the identity of the individual cannot be deduced by combining various
statistical records.
  (f) To the National Archives of the United States as a record that has sufficient historical or
other value to warrant its continued preservation by the United States Government, or for
evaluation by the Archivist of the United States or his or her designee to determine whether the
record has such value.
   (g) To another agency or instrumentality of any governmental jurisdiction within or under the
control of the United States for a civil or criminal law enforcement activity if the activity is
authorized by law, and if the head of the agency or instrumentality or his designated
representative has made a written request to the Office or agency that maintains the record
specifying the particular portion desired and the law enforcement activity for which the record is
sought.
  (h) To a person showing compelling circumstances affecting the health and safety of an
individual, not necessarily the individual to whom the record pertains.  Upon such disclosure, a
notification should be sent to the last known address of the subject individual.
  (I) To the Congress or to a Congressional committee, subcommittee, or joint committee to the
extent that the subject matter falls within its established jurisdiction.
  (j) To the Comptroller General or any authorized representatives of the Comptroller General in
the course of the performance of the duties of the General Accounting Office.
  (k) Pursuant to the order of a court of competent jurisdiction.
  (l) To a consumer reporting agency in accordance with section 3711 (f) of title 31 of the United
States Code.

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)
 
Sec. 297.403 Accounting of disclosure.
 
  (a) The Office or agency will maintain a record of disclosures in cases where records about the
individual are disclosed from an Office system of records except -
  (1) When the disclosure is made pursuant to the Freedom of Information Act, as amended (5
U.S.C. 552); or
  (2) When the disclosure is made to those officers and employees of the Office or agency who
have a need for the record in the performance of their duties.
  (b) This accounting of the disclosures will be retained for at least 5 years or for the life of the
record, whichever is longer, and will contain the following information:
  (1) A brief description of the record disclosed;
  (2) The date, nature, and purpose for the disclosure; and   (3) The name and address of the
purpose, agency, or other entity to whom the disclosure is made.
  (c) Except for the accounting of disclosure made to agencies, individuals, or entities in law
enforcement activities or disclosures made from the Office's exempt systems of records, the
accounting of disclosures will be made available to the data subject upon request in accordance
with the access procedures of this part.
(53 FR 1998, Jan. 26, 1988. Redesignated at 57 FR 56732, Nov. 30, 1992)
 
Sec. 297.501 Exemptions.
 
  (a) Several of the Office's internal, central, and Governmentwide systems of records contain
information for which exemptions appearing at 5 U.S.C. 552a(k) (1), (2), (3), (5), and (6) may
be claimed.  The systems of records for which the exemptions are claimed, the specific
exemptions determined to be necessary and proper with respect to these systems of records, the
records exempted, the provisions of the act from which they are exempted, and the justifications
for the exemptions are set forth below.
  (b) Specific exemptions - (1) Inspector General Investigations Case File Records
(OPM/CENTRAL-4). All information in these recordsthat meets the criteria stated in 5 U.S.C.
552a(k) (1), (2), (3),(4), (5), (6), and (7) is exempt from the requirements of 5 U.S.C.552a(c)(3)
and (d). These provisions of the Privacy Act relate to making accountings of disclosures
available to the data subject and access to and amendment of records.  The specific applicability
of the exemptions to this system and the reasons for the exemptions are as follows: 
  (I) Inspector General investigations may contain properly classified information that pertains to
national defense and foreign policy obtained from other systems or another Federal agency. 
Application of exemption (k)(1) may be necessary to preclude the data subject's access to and
amendment of such classified information under 5 U.S.C. 552a(d). 
 (ii) Inspector General investigations may contain investigatory material compiled for law
enforcement purposes other than material within the scope of 5 U.S.C. 552a(j)(2); e.g.,
investigations into the administration of the merit system. Application of exemption(k)(2) may
be necessary to preclude the data subject's access to or amendment of such records under 5
U.S.C. 552(a)(3) and (d).  
 (iii) Inspector General investigations may contain information obtained from another system or
Federal agency that relates to providing protective services to the President of the United States 
or other individuals pursuant to 18 U.S.C. 3056. Application of exemption (k)(3) may be
necessary to preclude the data subject's access to and amendment of such records under 5 U.S.C.
552a(d). 
  (iv) Inspector General case files may contain information that, by statute, is required to be
maintained and used solely as a statistical record.  Application of exemption (k)(4) may
be necessary to ensure compliance with such a statutory mandate.  
  (v) All information about individuals in these records that meets the criteria stated in 5 U.S.C.
552a(k)(5) is exempt from the requirements of 5 U.S.C. 552a(c)(3) and (d). This exemption
is claimed because this system contains investigatory material that if disclosed may reveal the
identity of a source who furnished information to the Government under an express promise that
the source's identity would be held in confidence or, prior to September 27, 1975, under an
implied promise.  The application of exemption (k)(5) will be required to honor promises of
confidentiality should the data subject request access to or amendment of the records, or access
to the accounting of disclosures of the record. 
  (vi) All information in these records that meets the criteria stated in 5 U.S.C. 552a(k)(6) is
exempt from the requirements of 5U.S.C. 552a(d) relating to access to and amendment of records
by the data subject.  This exemption is claimed because portions of case file record may relate
to testing and examining material used solely to determine individual qualifications for
appointment or promotion in the Federal service.  Access to or amendment of this information by
the data subject would compromise the objectivity and fairness of the testing or examining
process. 
  (vii) Inspector General case files may contain evaluation material used to determine potential
for
promotion in the armed services.  Application of exemption (k)(7) may be necessary, but only to
the extent that the disclosure of the data would reveal the identity of a source who furnished
information to the Government under an express promise that the identity of the source would
beheld in confidence, or, prior to September 27, 1975, under an implied promise that the identity
of the source would be held in confidence.  
  (2) Administrative Law Judge Applicant Records (OPM/CENTRAL-6).(I) All information
about individuals in these records that meets the criteria stated in 5 U.S.C. 552a(k)(5) is exempt
from the requirement of 5 U.S.C. 552(c)(3) and (d). The exemptions are claimed because this
system contains investigatory material compiled solely for determining suitability, eligibility,
and qualifications for Federal civilian employment.  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
September 27, 1975, under an implied promise that the identity of the source would be held in
confidence, the application of exemption (k)(5) will be required to honor promises of
confidentiality should the data subject request access to the accounting of disclosures of the
record, or access to or amendment of the record..  
  (ii) All information in these records that meets the criteria stated in 5 U.S.C. 552a(k)(6) is
exempt from the requirements of 5U.S.C. 552a(d), relating to access to and amendment of the
records by the data subject.  This exemption is claimed because portions of this system relate to
testing and examining materials used solely to determine individual qualifications for
appointment or promotion in the Federal service.  Access to or amendment of this information by
the data subject would compromise the objectivity and fairness of the testing or examining
process. 
  (3) Litigation and Claims Records (OPM/CENTRAL-7). (I) When litigation or claim cases
occur, information from other existing systems of records may be incorporated into the case file. 
This information may be material for which exemptions have been claimed by the Office in this
section.  To the extent that such exempt material is incorporated into a litigation or claim case
file, the appropriate exemption (5 U.S.C. 552a(k)(1), (2), (3), (4), (5),(6), or (7)) shall also apply
to the material as it appears in this system.  The exemptions will be only from those provisions of
the Act that were claimed for the systems from which the records originated. 
   (ii) During the course of litigation or claims cases, it may be necessary to conduct
investigations to develop information and evidence relevant to the case.  These investigative
records may include material meeting the criteria stated in 5U.S.C. 552a(k)(1), (2), (3), (4), (5),
(6), and (7). Such material is exempt from the requirement of 5 U.S.C. 552a(c)(3) and (d).
 These provisions of the Act relate to making accounting of disclosures available to the data
subject and access to and amendment of records.  The specific applicability of the exemptions to
this system and the reasons for the exemptions are: 
  (A) Such investigations may contain properly classified information that pertains to national
defense and foreign policy obtained from another Federal agency.  Application of
exemption(k)(1) may be necessary to preclude the data subject's access to and amendment of
such classified information under 5 U.S.C 552a(d). 
  (B) Such investigations may contain investigatory material compiled for law enforcement
purposes other than material within the scope of 5 U.S.C. 552a(j)(2), e.g., administration of the
merit system, obtained from another Federal agency.  All information about individuals in these
records that meets the criteria of 5 U.S.C 552a(k)(2) is exempt from the requirements of 5 U.S.C.
552a(c)(3) and (d). Application of exemption (k)(2) may be necessary to preclude the data
subject's access to or amendment of those records.
  (c) Such investigations may contain information obtained from another agency that relates to
providing protective services to the President of the United States or other individuals pursuant
to 18 U.S.C. 3056. All information about individuals in these records that meets the criteria of 5
U.S.C. 552a(k)(3) is exempt from the requirements of 5 U.S.C. 552a(d), relating to access to or
amendment of records by the data subject.  Application of exemption (k)(3) may be necessary to
preclude the data subject's access to and amendment of such records.
  (D) Such investigations may contain information that, by statute, is required to be maintained
and used solely as a statistical record.  Application of exemption (k)(4) may be necessary to
ensure compliance with such a statutory mandate.
  (E) All information about individuals in these records that meets the criteria stated in 5 U.S.C.
552a(k)(5) is exempt from the requirements of 5 U.S.C. 552a (c)(3) and (d). These exemptions
are claimed because this system contains investigatory material compiled solely for determining
suitability, eligibility, and qualifications for Federal civilian employment.  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 September 27, 1975, under an implied promise that the identity of the
source would be held in confidence, the application of exemption (k)(5) will be required to honor
such a promise should the data subject request access to the accounting of disclosure, or access to
or amendment of the record, that would reveal the identity of a confidential source.
  (F) All information in these records that meets the criteria stated in 5 U.S.C. 552a(k)(6) is
exempt from the requirements of 5 U.S.C. 552a(d), relating to access to and amendment of the
records by the data subject.  This exemption is claimed because portions of this system relate to
testing or examining materials used solely to determine individual qualifications for appointment
or promotion in the Federal service.  Access to or amendment by the data subject of this
information would compromise the objectivity and fairness of the testing or examining process.
  (G) Such investigations may contain evaluation material used to determine potential for
promotion in the armed services. Application of exemption (k)(7) may be necessary, but only to
the extent that the disclosure of the data 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 September 27, 1975, under an implied promise that the identity of
the source would be held in confidence.
  (4) Privacy Act/Freedom of Information Case Records (OPM/CENTRAL-8). In this subpart,
the Office has claimed exemptions for its other systems of records where it felt such exemptions
are appropriate and necessary.  These exemptions are claimed under 5 U.S.C. 552a(k) (1), (2),
(3), (4), (5), (6) and (7). During the processing of a Privacy Act/Freedom of Information Act
request (which may include access requests, amendment requests, and requests for review for
initial denials of such requests) exempt materials from those other systems may in turn become
part of the case record in this system.  To the extent that copies of exempt records from those
other systems are entered into this system, the Office hereby claims the same exemptions for the
records from those other systems that are entered into this system, as claimed for the original
primary system of which they are a part.
  (5) Personnel Investigations Records (OPM/CENTRAL-9). All information in these records
that meets the criteria stated in 5 U.S.C. 552a(k) (1), (2), (3), (4), (5), (6), and (7) is exempt from
the requirements of 5 U.S.C. 552a (c)(3) and (d). These provisions of the Privacy Act relate to
making accountings of disclosures available to the data subject and access to and amendment of
records.  The specific applicability of the exemptions to this system and the reasons for the
exemptions are as follows:
  (I) Personnel investigations may contain properly classified information which pertains to
national defense and foreign policy obtained from another Federal agency.  Application of
exemption (k)(1) may be necessary to preclude the data subject's access to and amendment of
such classified information under 5 U.S.C. 552a(d).
  (ii) Personnel investigations may contain investigatory material compiled for law enforcement
purposes other than material within the scope of 5 U.S.C. 552a(j)(2); e.g., investigations into the
administration of the merit system.  Application of exemption (k)(2) may be necessary to
preclude the data subject's access to or amended of such records under 5 U.S.C. 552a (c)(3) and
(d).  
  (iii) Personnel investigations may contain information obtained from another Federal
agency that relates to providing protective services to the President of the United States or other
individuals pursuant to 18 U.S.C. 3056. Application of exemption (k)(3) may be necessary to
preclude the data subject's access to and amendment of such records under 5 U.S.C. 552a(d).
  (iv) Personnel investigations may contain information that, by statute, is required to be
maintained and used solely as a statistical record.  Application of exemption (k)(4) may be
necessary to ensure compliance with such a statutory mandate.  
  (v) All information about individuals in these records that meets the criteria stated in 5 U.S.C.
552a(k)(5) is exempt from the requirements of 5 U.S.C. 552a (c)(3) and (d). These exemptions
are claimed because this system contains investigatory material compiled solely for determining
suitability, eligibility, and qualifications for Federal civilian employment.  To the extent that the
disclosure of 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 September 27, 1975, under an implied promise that the identity of the
source would be held in confidence, the applicability of exemption (k)(5) will be required to
honor promises of confidentiality should the data subject request access to or amendment of the
record, or access to the accounting of disclosures of the record.
  (vi) All information in these records that meets the criteria stated in 5 U.S.C. 552a(k)(6) is
exempt from the requirements of 5 U.S.C. 552a(d), relating to access to and amendment of
records by the data subject.  This exemption is claimed because portions of this system relate to
testing or examining materials used solely to determine individual qualifications for appointment
or promotion in the Federal service.  Access to or amendment of this information by the data
subject would compromise the objectivity and fairness of the testing or examining process.
  (vii) Personnel Investigations may contain evaluation material used to determine potential for
promotion in the armed services. Application of exemption (k)(7) may be necessary, but only to
the extent that the disclosure of the data 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 September 27, 1975, under an implied promise that the identity of
the source would be held in
confidence.
  (6) Presidential Management Intern Program Records (OPM/CENTRAL-11). All information
in these records that meets the criteria stated in 5 U.S.C. 552a(k)(6) is exempt from the
requirements of 5 U.S.C. 552a(d), relating to access to and amendment of records by the data
subject.  This exemption is claimed because portions of this system relate to testing or examining
materials used solely to determine individual qualifications for appointment or promotion in the
Federal service and access to or amendment of this information by the data subject would
compromise the objectivity and fairness of the testing or examining process.
  (7) Recruiting, Examining, and Placement Records (OPM/GOVT-5). (I) All information about
individuals in these records that meets the criteria stated in 5 U.S.C. 552a(k)(5) is exempt from
the requirements of 5 U.S.C. 552a(c)(3) and (d). These provisions of the Privacy Act relate to
making accountings of disclosures available to the data subject and access to and amendment of
records.  These exemptions are claimed because this system contains investigative material
compiled solely for determining the appropriateness of a request for approval of an objection to
an eligible's qualification for employment in the Federal service.  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 September 27, 1975, under an implied promise that the identity of the
source would be held in confidence, the application of exemption (k)(5) will be required to honor
promises of confidentiality should the data subject request access to the accounting of disclosures
of the record, or access to or amendment of the record.
  (ii) All information in these records that meets the criteria stated in 5 U.S.C. 552a(K)(6) is
exempt from the requirements of 5 U.S.C. 552a(d), relating to access to an amendment of records
by the subject.  This exemption is claimed because portions of this system relate to testing or
examining materials used solely to determine individual qualifications for appointment or
promotion in the Federal service and access to or amendment of this information by the data
subject would compromise the objectivity and fairness of the testing or examining process.
  (8) Personnel Research and Test Validation Records (OPM/GOVT-6). (I) All information in
these records that meets the criteria stated in 5 U.S.C. 552a(k)(6) is exempt from the
requirements of 5 U.S.C. 552a(d), relating to access to and amendment of the records by the data
subject.  This exemption is claimed because portions of this system relate to testing or examining
materials used solely to determine individual qualifications for appointment or promotion in the
Federal service.  Access to or amendment of this information by the data subject would
compromise the objectivity and fairness of the testing or examining process.
  (ii) All information in these records that meets the criteria stated in 5 U.S.C. 552a(k)(4) is
exempt from the requirements of 5 U.S.C. 552a(d), relating to access to or amendment of the
records by the data subject.  This exemption is claimed because portions of this system relate to
records required by statute to be maintained and used solely for statistical purposes.  Access to or
amendment of this information by the data subject would compromise the confidentiality of these
records and their usefulness for statistical research purposes.
  (c) The Office also reserves the right to assert exemptions for records received from another
agency that could be properly claimed by that agency in responding to a request.  The Office may
refuse access to information compiled in reasonable anticipation of a civil action or proceeding.
(53 FR 1998, Jan. 26, 1988, as amended at 57 FR 20956, May 18, 1992)