mation in § 294.401. For the purposes of this paragraph, the parties concerned means the Government employee involved in the proceeding, his or her representative designated in writing, and the representative of the agency involved in the proceeding.

(e) The Office in suitability rating actions under Part 731 of this chapter will disclose to an applicant, eligible, or appointee, or a representative designated in writing, such information from reports of investigation as the Office determines is sufficient to enable him or her to respond to an interrogatory or other question without revealing the source of information obtained under an expressed or implied pledge of confidence. The Office will furnish a report of investigation to the Government agency concerned.

(f) The Office or other Government agency does not make a report of investigation or information from a report under its control available to the public, to witnesses, or, except as provided in paragraphs (a), (b), (c), and (d) of this section, to the parties concerned in the investigation.

Subpart G-Official Personnel Folder

§ 294.701 Coverage.

This subpart applies to the disclosure of information contained in the Official Personnel Folder (or an automated equivalent) established under Subpart B of Part 293 of this chapter. Information disclosed under this subpart may be made available by the Office or a Federal agency having custody of the folder.

§ 294.702 Availability of information.

(a) The following information about most present and former government employees is available to the public: (1) Name;

(2) Present and past position titles;
(3) Present and past grades;
(4) Present and past salaries;

(5) Present and past duty stations (which include room numbers, shop designations, or other identifying information regarding buildings or places of employment).

(b) Disclosure of this information will not be made where the information requested is a list of present or

past position titles, grades, salaries. and/or duty stations of Government employees which as determined by the agency official responsible for custody of that information, is:

(1) Selected in such a way as to constitute a clearly unwarranted invasion of personal privacy because the nature of the request calls for a response that would reveal more about the employees on whom information is sought than the five enumerated items; or

(2) Would otherwise be protected from mandatory disclosure under an exemption of the Freedom of Information Act.

(c) In addition to the information that may be made available under paragraph (a) of this section, the following information may be made available to a prospective employer of a Government employee or former Government employee:

(1) Tenure of employment;

(2) Civil service status;

(3) Length of service in the agency and the Government; and

(4) When separated, the date and reason for separation shown on the Notification of Personnel Action, Standard Form 50.

(d) In addition to the information to be made available under paragraphs (a) and (b) of this section, the home address of an employee shall be made available to a police or court official on receipt of a proper request stating that an indictment has been returned against the employee or that complaint, information, accusation, or other writ involving nonsupport or a criminal offense has been filed against the employee and the employee's address is needed for service of a summons, warrant, subpena, or other legal process.

(e) The General Services Administration, National Archives and Records Service, may make information from the Official Personnel Folder of an employee separated from the service available to a person engaged in research for historical or educational purposes or for similar purposes when the person has written permission from the Office to receive such information. This permission may be requested in writing from:

Assistant Director for Agency Compliance and Evaluation, Agency Relations, Office of Personnel Management, 1900 E Street, N.W., Washington, D.C. 20415.

Requests for this type of information should include identifying information as described in § 294.106(c)(1) of this part, and verification from a publisher, educational research, or other similarly recognized institution that the information is being sought for historical, educational, or other similar purposes. Except as provided in

§ 294.703(a) of this part, information made available under this paragraph shall be in the form of an abstract of the former employee's service in the Government and, when he has been separated at least five years, an abstract of his educational experience background as reflected in his application for employment with the Government. Information that is derogatory to the former employee shall not be made available under this paragraph.

(f) Except as provided in paragraphs (a) through (e) of this section, information required to be included in an Official Personnel Folder by the instructions of the Office is not available to the public.

(a) On official request, an Official Personnel Folder may be disclosed to a representative of a Congressional committee or subcommittee, or an official of the legislative or judicial branch, or of the Government of the District of Columbia. However, before disclosure, all material that relates to loyalty or security under Executive Order 9835 or 10450 or any other authority, and all information covered under paragraphs (a) (1) through (3) of this section, shall be removed from the folder. If a specific request for loyalty or security information is made by a Congressional committee or subcommittee, or any source outside the executive branch, the request shall be forwarded to the General Counsel, Office of Personnel Management, 1900 E Street, N.W., Washington, D.C. 20415, for consultation with the Department of Justice pursuant to the President's Memorandum of March 24, 1969.

(b) An Official Personnel Folder shall be disclosed to an official of the

executive branch who has a need for the information in the performance of his official duties.

Subpart H-Appeals

§ 294.801 Appeals.

(a) The Office, upon a request which identifies the individual from whose file the information is sought, shall disclose the following information from an appeal file to a member of the public, except when the disclosure would constitute a clearly unwarranted invasion of personal privacy:

(1) Confirmation of the name of the individual from whose file the information is sought and the names of the other parties concerned;

(2) The status of the case; (3) The decision on the case; (4) The nature of the action appealed; and

(5) With the consent of the parties concerned, other reasonably identified information from the file.

(b) The Office will disclose to the parties concerned the information contained in an appeal file in proceedings under Part 511 of this chapter, except when the disclosure would violate the proscription against the disclosure of medical information in § 294.401. For the purpose of this section, "the parties concerned" means the Applicant for Government Employment, Government employee, or former Government employee involved in the proceedings, his representative designated in writing, and the representative of the agency or the Office involved in the proceeding.

ment.

for

correction/amend

Subpart D—Requirements for Recordkeeping Under the Privacy Act

297.401 Responsibility for systems of records.

297.402 Responsibility for litigation concerning the regulations.

297.403 Publication of annual notices. 297.404 Reports on changes to systems of records.

297.405 Penalties.

297.406 Changing or adding routine uses. 297.407 Providing Privacy Act statements. 297.408 Annual reports.

297.409 Annual notice to employees.

Subpart E-Disclosures From Systems of Records

Subpart B—Individual Rights Regarding Access, Amendment, and Disclosure

297.502 General written consent require

297.102 Definitions.

297.103 Designations

297.501 Restrictions on disclosure of a deceased data subject's record.

system manager.

prior written consent of the data subject.

legal process.

297.505 Disclosure pursuant to a subpoena.

297.506

297.507

Accounting of disclosure.
Penalties.

AUTHORITY: Sec. 3, Pub. L. 93-579, 88 Stat. 1896 (5 U.S.C. 552a).

SOURCE: 44 FR 65036, Nov. 9, 1979, unless otherwise noted.

Subpart A-General Provisions

§ 297.101 Purpose and scope.

(a) These regulations implement the provisions of Pub. L. 93-579, the Privacy Act of 1974 (5 U.S.C. 552a). The regulations govern the types of systems of personnel records listed below and which are more thoroughly identified in the annual publication of the Office's notices of systems of records.

(1) Internal systems of personnel records established and maintained by the Office of Personnel Management (OPM) solely on its own employees

and which are under its physical control.

(2) Centralized systems of personnel records physically established and maintained by the Office of Personnel Management on most current and former Federal employees and some applicants for Federal employment.

(3) Government-wide systems of personnel records that are maintained by agencies on their employees or on applicants for employment for the Office of Personnel Management and which are in the physical custody of agencies. Though such records are in the physical custody of agencies, the Office of Personnel Management has retained authority under the Privacy Act to make reviews of initial agency determinations regarding access to and amendment of records in these systems.

(b) For the purposes of this part, the term "agency" applies to any department or independent establishment in the Executive Branch of the Federal Government, including a Government corporation or Government controlled corporation, except those specifically excluded from Office of Personnel Management recordkeeping requirements by statute, Office of Personnel Management regulation, or formal agreement between the Office of Personnel Management and that agency.

For the purpose of this part, the terms used herein 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, Pub. L. 93-579, 5 U.S.C. 552a;

"Amendment" includes correction, addition, deletion, or destruction of the record or specific portions thereof;

"Annual Report" means that report required to be submitted by each Federal agency to the Office of Management and Budget by April 30th of each year identifying its activities under the Privacy Act for the preceding calendar year;

"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, the data subject's authorized representative, parent, or legal guardian;

"Notice of system of records" means the notice, published in the FEDERAL REGISTER, of the existence and character of every system of record, hereinafter referred to as system notice;

"Office" means the Office of Personnel Management;

"Personnel record" means any record concerning an individual which is maintained and used in the personnel management or personnel policymaking process; and

"System Manager" means the 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 agency.

§ 297.103 Designations of authority by system manager.

The responsible Office or agency system manager having jurisdiction over a system of records may designate in writing an agency employee either at the agency's headquarters or field office to evaluate and issue the agency decision on Privacy Act matters relating to the system of records. The designee should have ready access to the record involved, and be knowledgeable in all matters concerning what comprises the system of records and the basis for deciding Privacy Act issues.

Subpart B—Individual Rights Regarding Access, Amendment, and Disclosure

§ 297.201 Identification requirements for specific inquiries and requests for

access.

(a) Unless the information sought is required to be released under the Freedom of Information Act or other statute, the Office or agency shall require proof of identity from a request

er, and reserves the right to determine the adequacy of any such proof of identity before responding to a specific inquiry or request for access to a record in a system of records. The general identifying information items that a system manager may ask to be furnished before a specific inquiry or request for access is granted include:

(1) Full name, signature, and home address;

(2) Date and place of birth;

(3) The current or last place and dates of Federal employment, if appropriate; and

(4) Social Security Number (for systems of records retrieved by this identifier).

(b) A request/inquiry from someone other than the data subject shall contain copies of any documents that establish the relationship or authorize access as follows:

(1) Where the requester is the parent or legal guardian of a data subject who is a minor, the requester shall identify the relationship with the data subject and furnish a certified or authenticated (e.g. notarized) copy of any document establishing parentage or appointment as legal guardian;

(2) Where the requester is the legal guardian of a data subject who has been declared incompetent by the courts, the requester shall identify the relationship with the data subject and furnish a certified or authenticated copy of the court's appointment of guardianship;

(3) Where the requester is a representative of the data subject, the requester shall identify the relationship with the data subject or the data subject's parent or legal guardian, and furnish documentation designating the representative as having the authority to act on behalf of the data subject.

(c) When the requester appears in person and cannot be identified by sight and signature, proof of identify is required as follows:

(1) When a request is from the data subject, the means of proof, in order of preference, are:

(i) A document bearing the individual's photograph and signature (for example, driver's license, passport, or

(ii) Two documents bearing the individual's signature (for example, medicare card, unemployment insurance book, employer identification card, national credit card, professional, craft, or union membership card);

(2) When a request is made by the parent, legal guardian, or authorized representative of the data subject, the means of identifying the requester and his or her authority for acting on behalf of the data subject, shall be as prescribed in paragraphs (b) and (c) of this section. In addition, the requester shall establish the identity of the data subject in the manner prescribed in paragraph (a) of this section.

(d) When a written inquiry or request is received from the data subject, or from the data subject's parent, legal guardian, or authorized representative, it should be signed and

(1) For an inquiry, contain sufficient identifying information about the data subject to permit searching of the record system(s) and to permit response and

(2) For a request: (i) From the data subject, contain sufficient information to locate the record and establish that the requester and the data subject are the same (e.g. matching signatures); or

(ii) From the data subject's parent, legal guardian, or authorized representative, contain sufficient information to locate the record, match identity with the data subject, and such documentation of association or authorization as is prescribed in paragraph (b) of this section.

(e) The signed request from the data subject, or from the data subject's parent, legal guardian, or authorized representative specified in paragraph (d) of this section shall be sufficient proof of identity of the requester, unless for good cause the system manager or designee determines that there is a need to require some notarized or certified evidence of the identity of the requester.

(f) The system manager or designee may modify the type of proof of identity required and the method by which it is provided, on a case-by-case basis and within the limits prescribed in