(iii) An individual who makes a request on behalf of a minor or legal incompetent as authorized under §5b.10 of this part shall verify his relationship to the minor or legal incompetent, in addition to verifying his own identity, by providing a copy of the minor's birth certificate, a court order, or other competent evidence of guardianship to the responsible Department official; except that, an individual is not required to verify his relationship to the minor or legal incompetent when he is not required to verify his own identity or when evidence of his relationship to the minor or legal incompetent has been previously given to the responsible Department official.

(iv) An individual shall further verify his identity if he is requesting notification of or access to sensitive records. Any further verification shall parallel the record to which notification or access is being sought. Such further verification may include such particulars as the individual's years of attendance at a particular educational institution, rank attained in the uniformed services, date or place of birth, names of parents, or an occupation.

(v) An individual who makes a request by telephone shall verify his identity by providing to the responsible Department official identifying particulars which parallel the record to which notification or access is being sought. If the responsible Department official determines that the particulars provided by telephone are insufficient, the requester will be required to submit the request in writing or in person. Telephone requests will not be accepted where an individual is requesting notification of or access to sensitive records.

(c) Granting notification of or access to a record. (1) Subject to the provisions governing exempt systems in §5b.11 of this part, a responsible Department official, who receives a request for notification of or access to a record and, if required, verification of an individual's identity, will review the request and grant notification or access to a record, if the individual requesting access to the record is the subject individual.

(2) If the responsible Department official determines that there will be a

delay in responding to a request be cause of the number of requests bein processed, a breakdown of equipment shortage of personnel, storage records in other locations, etc., he wil so inform the individual and indicat when notification or access will b granted.

(3) Prior to granting notification o or access to a record, the responsibl Department official may at his discre tion require an individual making a re quest in person to reduce his request t writing if the individual has not al ready done so at the time the reques is made.

§ 5b.7 Procedures for correction amendment of records.

(a) Any subject individual may re quest that his record be corrected o amended if he believes that the recor is not accurate, timely, complete, o relevant or necessary to accomplish Department function. A subject indi vidual making a request to amend o correct his record shall address his re quest to the responsible Departmen official in writing; except that, the re quest need not be in writing if the sub ject individual makes his request i person and the responsible Departmen official corrects or amends the recor at that time. The subject individua shall specify in each request:

(1) The system of records from whic] the record is retrieved;

(2) The particular record which he i seeking to correct or amend;

(3) Whether he is seeking an additio to or a deletion or substitution of th record; and,

(4) His reasons for requesting corred tion or amendment of the record.

(b) A request for correction Ο amendment of a record will be ad knowledged within 10 working days o its receipt unless the request can b processed and the subject individual in formed of the responsible Departmen official's decision on the request withi that 10 day period.

(c) If the responsible Department of ficial agrees that the record is not a curate, timely, or complete based on preponderance of the evidence, th record will be corrected or amended The record will be deleted without re gard to its accuracy, if the record i

relevant or necessary to accomh the Department function for _ch the record was provided or is intained. In either case, the subject ividual will be informed in writing the correction, amendment, or delen and, if accounting was made of or disclosures of the record, all preus recipients of the record will be ormed of the corrective action

en.

1) If the responsible Department ofal does not agree that the record uld be corrected or amended, the ject individual will be informed in ting of the refusal to correct or end the record. He will also be inmed that he may appeal the refusal correct or amend his record §5b.8 of s part.

e) Requests to correct or amend a ord governed by the regulation of ther government agency, e.g., Office Personnel Management, Federal Buu of Investigation, will be forwarded such government agency for procing and the subject individual will informed in writing of the referral.

0.8 Appeals of refusals to correct or amend records.

■) Processing the appeal. (1) A subject ividual who disagrees with a refusal correct or amend his record may ap1 the refusal in writing. All appeals 11 be made to the Secretary. 1) An appeal will be completed with30 working days from its receipt by appeal authority; except that, the eal authority may for good cause end this period for an additional 30 s. Should the appeal period be exded, the subject individual appealthe refusal to correct or amend the ord will be informed in writing of extension and the circumstances of delay. The subject individual's reest to amend or correct the record,

responsible Department official's asal to correct or amend, and any er pertinent material relating to appeal will be reviewed. No hearing 1 be held.

=) If the appeal authority agrees t the record subject to the appeal uld be corrected or amended, the ord will be amended and the subject ividual will be informed in writing he correction or amendment. Where

an accounting was made of prior disclosures of the record, all previous recipients of the record will be informed of the corrective action taken.

(4) If the appeal is denied, the subject individual will be informed in writing: (i) of the denial and the reasons for the denial;

(ii) That he has a right to seek judicial review of the denial; and,

(iii) That he may submit to the responsible Department official a concise statement of disagreement to be associated with the disputed record and disclosed whenever the record is disclosed. (b) Notation and disclosure of disputed records. Whenever a subject individual submits a statement of disagreement to the responsible Department official in accordance with paragraph (a)(4)(iii) of this section, the record will be noted to indicate that it is disputed. In any subsequent disclosure, a copy of the subject individual's statement of disagreement, will be disclosed with the record. If the responsible Department official deems it appropriate, a concise statement of the appeal authority's reasons for denying the subject individual's appeal may also be disclosed with the record. While the subject individual will have access to this statement of reasons, such statement will not be subject to correction or amendment. Where an accounting was made of prior disclosures of the record, all previous recipients of the record will be provided a copy of the subject individual's statement of disagreement, as well as the statement, if any, of the appeal authority's reasons for denying the subject individual's appeal.

§ 5b.9 Disclosure of records.

(a) Consent to disclosure by a subject individual. (1) Except as provided in paragraph (b) of this section authorizing disclosures of records without consent, no disclosure of a record will be made without the consent of the subject individual. In each case the consent, whether obtained from the subject individual at the request of the Department or whether provided to the Department by the subject individual on his own initiative, shall be in writing. The consent shall specify the individual, organizational unit or class of individuals or organizational units to

whom the record may be disclosed, which record may be disclosed and, where applicable, during which time frame the record may be disclosed (e.g., during the school year, while the subject individual is out of the country, whenever the subject individual is receiving specific services). A blanket consent to disclose all of a subject individual's records to unspecified individuals or organizational units will not be honored. The subject individual's identity and, where applicable (e.g., where a subject individual gives consent to disclosure of a record to a specific individual), the identity of the individual to whom the record is to be disclosed shall be verified.

(2) A parent or guardian of any minor is not authorized to give consent to a disclosure of the minor's medical record.

(b) Disclosures without the consent of the subject individual. The disclosures listed in this paragraph may be made without the consent of the subject individual. Such disclosures are:

(1) To those officers and employees of the Department who have a need for the record in the performance of their duties. The responsible Department official may upon request of any officer or employee, or on his own initiative, determine what constitutes legitimate need.

(2) Required to be disclosed under the Freedom of Information Act, 5 U.S.C. 552, and part 5 of this title.

(3) For a routine use as defined in paragraph (j) of § 5b.1. Routine uses will be listed in any notice of a system of records. Routine uses published in Appendix B are applicable to more than one system of records. Where applicable, notices of systems of records may contain references to the routine uses listed in Appendix B. Appendix B will be published with any compendium of notices of systems of records.

(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 U.S.C.

(5) To a recipient who has provided the agency with advance written assurance that the record will be used solely as a statistical research or reporting record; Provided, That, the record is

transferred in a form that does I identify the subject individ- ual.

(6) To the National Archives of t United States as a record which h sufficient historical or other value warrant its continued preservation the United States Government, or f evaluation by the Administrator General Services or his designee to d termine whether the record has su value.

(7) To another government agency to an instrumentality of any gover mental jurisdiction within or under t control of the United States for a civ or criminal law enforcement activity the activity is authorized by law, and the head of such government agency instrumentality has submitted a wri ten request to the Department spec fying the record desired and the law e forcement activity for which the reco is sought.

(8) To an individual pursuant to showing of compelling circumstance affecting the health or safety of any i dividual if a notice of the disclosure transmitted to the last known addres of the subject individual.

(9) To either House of Congress, or t the extent of matter within its juri diction, any committee or sul committee thereof, any joint com mittee of Congress or subcommittee any such joint committee.

(10) To the Comptroller General, c any of the Comptroller General's a thorized representatives, in the cours of the performance of the duties of th General Accounting Office.

(11) Pursuant to the order of a cou of competent jurisdiction.

(c) Accounting of disclosures. (1) An a counting of all disclosures of a recor will be made and maintained by th Department for 5 years or for the life the record, whichever is longer; exce that, such an accounting will not made:

(i) For disclosures under paragrapł (b) (1) and (2) of this section; and,

(ii) For disclosures made with th written consent of the subject ind vidual.

(2) The accounting will include:

(i) The date, nature, and purpose each disclosure; and

i) The name and address of the peror entity to whom the disclosure is de.

3) Any subject individual may reest access to an accounting of disclo

es of a record. The subject indiual shall make a request for access an accounting in accordance with procedures in §5b.5 of this part. A ject individual will be granted acs to an accounting of the disclosures a record in accordance with the proures of this part which govern acs to the related record. Access to an ounting of a disclosure of a record de under paragraph (b)(7) of this secn may be granted at the discretion Che responsible Department official. .10 Parents and guardians.

or the purpose of this part, a parent guardian of any minor or the legal rdian or any individual who has n declared incompetent due to phys1 or mental incapacity or age by a rt of competent jurisdiction is aurized to act on behalf of an indiual or a subject individual. Except provided in paragraph (b)(2) of § 5b.5, this part governing procedures for ifying an individual's identity, an ividual authorized to act on behalf minor or legal incompetent will be wed as if he were the individual or ject individual.

.11 Exempt systems.

-) General policy. The Act permits an ncy to exempt certain types of syss of records from some of the Act's uirements. It is the policy of the partment to exercise authority to mpt systems of records only in coming cases.

›) Specific systems of records exempted Cer (j)(2). The Department exempts Investigative Files of the Inspector eral ED/OIG (18-10-0001) and the line Complaint Files of the InspecGeneral ED/OIG (18-10-0004) syss of records from the following proons of 5 U.S.C. 552a and this part: O 5 U.S.C. 552a(c)(3) and §5b.9(a)(1) (c)(3) of this part, regarding access an accounting of disclosures of a ord.

O 5 U.S.C. 552a(c)(4) and §§ 5b.7(c) and (b) of this part, regarding notificato outside parties and agencies of

correction or notation of dispute made in accordance with 5 U.S.C. 552a(d).

(3) 5 U.S.C. 552a(d) (1) through (4) and (f) and §§ 5b.5(a)(1) and (c), 5b.7, and 5b.8 of this part, regarding notification or access to records and correction or amendment of records.

(4) 5 U.S.C. 552a(e)(1) and § 5b.4(a)(1) of this part, regarding maintaining only relevant and necessary information.

(5) 5 U.S.C. 552a(e)(2) and § 5b.4(a)(2) of this part, regarding collection of information from the subject individual.

(6) 5 U.S.C. 552a(e)(3) and §5b.4(a)(3) of this part, regarding notice to individuals asked to provide information to the Department.

(7) 5 U.S.C. 552a(e)(4) (G), (H), and (I), regarding inclusion of information in the system notice about procedures for notification, access, correction, and source of records.

(8) 5 U.S.C. 552a(e)(5), regarding maintaining records with requisite accuracy, relevance, timeliness, and completeness.

(9) 5 U.S.C. 552a(e)(8), regarding service of notice on subject individual if a record is made available under compulsory legal process if that process becomes a matter of public record.

(10) 5 U.S.C. 552a(g), regarding civil remedies for violation of the Privacy Act.

(c) Specific systems of records exempted under (k)(2). (1) The Department exempts the Investigative Files of the Inspector General ED/OIG (18-10-0001) and the Hotline Complaint Files of the Inspector General ED/OIG (18-10-0004) from the following provisions of 5 U.S.C. 552a and this part to the extent that these systems of records consist of investigatory material and complaints that may be included in investigatory material compiled for law enforcement purposes:

(i) 5 U.S.C. 552a(c)(3) and §5b.9(c)(3) of this part, regarding access to an accounting of disclosures of records.

(ii) 5 U.S.C. 552a(d) (1) through (4) and (f) and §§ 5b.5(a)(1) and (c), 5b.7, and 5b.8 of this part, regarding notification of and access to records and correction or amendment of records.

(iii) 5 U.S.C. 552a(e)(1) and §5b.4(a)(1) of this part, regarding the requirement to maintain only relevant and necessary information.

(iv) 5 U.S.C. 552a(e)(4) (G), (H), and (I), regarding inclusion of information in the system notice about procedures for notification, access, correction, and source of records.

(2) The Department exempts the Complaint Files and Log, Office for Civil Rights (18-08-0002) from the following provisions of 5 U.S.C. 552a and this part:

(i) 5 U.S.C. 552a(c)(3) and §5b.9(c)(3) of this part, regarding access to an accounting of disclosures of records.

(ii) 5 U.S.C. 552a(d) (1) through (4) and (f) and §§ 5b.5(a)(1) and (c), 5b.7, and 5b.8 of this part, regarding notification of and access to records and correction or amendment of records.

(iii) 5 U.S.C. 552a(e)(4) (G) and (H), regarding inclusion of information in the system notice about procedures for notification, access, and correction of records.

(d) Specific systems of records exempted under (k)(5). (1) The Department exempts the Investigatory Material Compiled for Personnel Security and Suitability Purposes (18-10-0002) system of records from the following provisions of 5 U.S.C. 552a and this part:

(i) 5 U.S.C. 552a(c)(3) and § 5b.9(c)(3) of this part, regarding access to an accounting of disclosures of records.

(ii) 5 U.S.C. 552a(d) (1) through (4) and (f) and §§ 5b.5(a)(1) and (c), 5b.7, and 5b.8 of this part, regarding notification of and access to records and correction or amendment of records.

(iii) 5 U.S.C. 552a(e)(4) (G) and (H), regarding inclusion of information in the system notice about procedures for notification, access, and correction of records.

(2) The Department exempts the Suitability for Employment Records (18-11-0020) from the following provisions of 5 U.S.C. 552a and this part:

(i) 5 U.S.C. 552a(c)(3) and § 5b.9(c)(3) of this part, regarding access to an accounting of disclosures of records.

(ii) 5 U.S.C. 552a(d) (1) through (4) and (f) and §§ 5b.5(a)(1) and (c), 5b.7, and 5b.8 of this part, regarding notification of and access to records and correction or amendment of records.

(iii) 5 U.S.C. 552a(e)(4) (G) and (H), regarding inclusion of information in the system notice about procedures for no

tification, access, and correction O records.

(e) Basis for exemptions taken unde (j)(2), (k)(2), and (k)(5). The reason the Department took each exemption de scribed in this section is stated in the preamble for the final rulemaking doc ument under which the exemption wa promulgated. These final rulemaking documents were published in the FED ERAL REGISTER and may be obtaine from the Department of Education by mailing a request to the following ad dress: U.S. Department of Education Privacy Act Officer, Information Man agement Branch, Washington, 20202-4753.

D

(f) Notification of or access to records in exempt systems of records. (1) If a systen of records is exempt under this section an individual may nonetheless reques notification of or access to a record i that system. An individual shall mak requests for notification of or access t a record in an exempt system 0 records in accordance with the proce dures of §5b.5 of this part.

(2) An individual will be granted noti fication of or access to a record in a exempt system but only to the exten that notification or access would no reveal the identity of a source who fur nished the record to the Departmen under an express promise, and, prior t September 27, 1975, an implied promise that his identity would be held in con fidence if

(i) The record is in a system o records or that portion of a system o records that is exempt under sub section (k)(2), but not under subsectio (j)(2), of the Act and the individual ha been, as a result of the maintenance o the record, denied a right, privilege, o benefit to which he or she would other wise be eligible; or

(ii) The record is in a system records that is exempt under sub section (k)(5) of the Act.

(3) If an individual is not granted no tification of or access to a record in system of records exempt under sub sections (k)(2) (but not under su section (j)(2)) and (k)(5) of the Act i accordance with this paragraph, he she will be informed that the identit of a confidential source would be r vealed if notification of or access t