Exemption Application Chart

(c)(3)

ACCESS EXEMPTION
Except for disclosures made under subsection (b)(7), an individual is entitled, upon request, to get access to the accounting of disclosures of his record.

An individual is not entitled to access information that is compiled in reasonable anticipation of civil actions or proceedings. 

(d)(5)

Nothing in this [Act] shall allow an individual access to any information compiled in reasonable anticipation of a civil action or proceeding.

This provision shields information that is compiled in anticipation of court proceedings or quasi-judicial administrative hearings.

This Privacy Act provision has been held to be similar to the attorney work-product privilege, and to extend even to information prepared by non-attorneys.

(j)(2)

Records maintained by an agency or component thereof which performs as its principal function any activity pertaining to the enforcement of criminal laws and which consists of identifying data compiled for the purpose of a criminal investigation, associated with an identifiable individual; or reports identifiable to an individual compiled at any stage of the process of enforcement of criminal laws.

(j)(2)'s threshold requirement is that the system of records be maintained by an 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:

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;

Information compiled for the purpose of a criminal investigation, including reports of informants and investigators, and associated with an identifiable individual;

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.

It has been held that the threshold requirement is not met where only one of the principal functions of the component maintaining the system is criminal law enforcement.

Once the threshold requirement is satisfied, it must be shown that the system of records at issue consists of information compiled for one of the criminal law enforcement purposes listed in subsection (j)(2)(A)-(C).

Several courts have held that an Inspector General's Office qualifies as a "principal function" criminal law enforcement component.

(c)(3); (c)(4);
(d)(1); (d)(2);
(d)(3); (d)(4);
(d)(5); (e)(1);
(e)(2); (e)(3);
(e)(4)(G);
(e)(4)(H);
(e)(4)(I);
(e)(5); (e)(8); (f)(1); (f)(2); (f)(3); (f)(4); (f)(5); (g)(1); (g)(2); (g)(3); (g)(4); (g)(5);

(k)(1)

Relate to the national defense or foreign policy and are properly classified.

The exemption has been construed to permit the withholding of classified records from an agency employee with a security clearance who seeks only private access to records about him.

Blanket Exemption for classified Material.

Component rules shall include a blanket exemption under section 552a(k)(1) from the access provisions (section 552a(d) and the notification of access procedures (section 552a(e)(4)(H) for all classified material in any systems of records maintained.

(c)(3); (d)(1);
(d)(2); (d)(3);
(d)(5); (e)(1); (e)(4)(G);
(e)(4)(H);
(e)(4)(I);
(f)(1); (f)(2); (f)(3); (f)(4); (f)(5);

(k)(2)

Investigatory records compiled for law enforcement purposes other than those spelled out in the general exemption.

Investigatory material compiled for law enforcement purposes, other than material within the scope of subsection (j)(2) of this section.

This exemption covers: (1) material compiled for criminal investigative law enforcement purposes, by non-principal function criminal law enforcement entities; and (2) material compiled for other investigative law enforcement purposes, by any agency.

(c)(3); (d)(1);
(d)(2); (d)(3);
(d)(4); (d)(5);
(e)(1);
(e)(4)(G);
(e)(4)(H);
(e)(4)(I);
(f)(1); (f)(2); (f)(3); (f)(4); (f)(5);

(k)(3)

Maintained in connection with providing protective services to the President of the United States or other individuals.

Maintained in connection with providing protective services to the President of the United States or other individuals pursuant to section 3056 of Title 18.

This exemption is applicable to certain Secret Service record systems.

(c)(3); (d)(1);
(d)(2); (d)(3);
(d)(4); (d)(5);
(e)(1);
(e)(4)(G);
(e)(4)(H);
(e)(4)(I);
(f)(1); (f)(2); (f)(3); (f)(4); (f)(5);

(k)(4)

Exemption for Statistical Records. Subsection (k) (4) “Required by statute to be maintained and used solely as statistical records;”

It is the intent of this provision to permit exemptions for those systems of records which by operation cannot be used to make a determination about an individual.

(c)(3); (d)(1);
(d)(2); (d)(3);
(d)(4); (d)(5);
(e)(1);
(e)(4)(G);
(e)(4)(H);
(e)(4)(I);
(f)(1); (f)(2);
(f)(3); (f)(4); (f)(5);

(k)(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 material, but only to the extent that the disclosure of material would reveal a source who furnished information to the government under an express promise of confidentiality.

This exemption is generally applicable to source-identifying material in background employment and personnel-type investigative files.

Promises of Confidentiality: Only the identity of sources that have been given an express promise of confidentiality may be protected from disclosure under (k)(2) , (k)(5) and (k)(7). However, the identity of sources who were given implied promises of confidentiality in inquiries conducted before September 27, 1975, also may be protected from disclosure.

(c)(3); (d)(1);
(d)(2); (d)(3);
(d)(4); (d)(5);
(e)(1);
(e)(4)(G);
(e)(4)(H);
(e)(4)(I);
(f)(1); (f)(2);
(f)(3); (f)(4); (f)(5);

(k)(6)

Testing or examination material used solely to determine individual qualifications for appointment or promotion in the Federal or military service, if the disclosure would compromise the objectivity or fairness of the test or examination process.

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.

(c)(3); (d)(1);
(d)(2); (d)(3);
(d)(4); (d)(5);
(e)(1);
(e)(4)(G);
(e)(4)(H);
(e)(4)(I);
(f)(1); (f)(2); (f)(3); (f)(4); (f)(5);

(k)(7)

Evaluation material used to determine potential for promotion in the Military Services, but only to the extent that the disclosure of such material would reveal the identity of a confidential source.

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 [9-25-75], under an implied promise that the identity of the source would be held in confidence.

(c)(3); (d)(1);
(d)(2); (d)(3);
(d)(4); (d)(5);
(e)(1);
(e)(4)(G);
(e)(4)(H);
(e)(4)(I);
(f)(1); (f)(2); (f)(3); (f)(4); (f)(5);