6 CFR Part 5 Appendix C(a)
Listed by: NARA Registry, DoD Registry, Related authorities
Designation evidence
- NARA authority row: 6 CFR Part 5 Appendix C(a) | status: Basic | banner: CUI.
- DoD authority row: 6 CFR Part 5 Appendix C(a). DoD lists this citation for the category; this DoD detail page does not display a separate Basic/Specified field.
- Related authority evidence: 6 CFR Part 5 Appendix C(a) | status: Basic | banner: CUI
- Related authority evidence: DoD lists this authority for the category; the linked authority text is extracted below when available.
- Registry designation context: Basic + Specified, CUI. The linked authority text contains category-scope or applicability language that helps determine when the information falls within this CUI category. The linked authority text contains disclosure, access, protection, release, dissemination, or distribution-control language relevant to handling. The linked authority text contains violation, penalty, sanction, or enforcement language that may affect consequences for mishandling.
- Registry designation for this category is Basic + Specified with banner CUI.
Extracted authority meaning
- Department of Justice, Office of Justice Pro-
- Registry designation context: Basic + Specified, CUI. The linked authority text contains category-scope or applicability language that helps determine when the information falls within this CUI category. The linked authority text contains disclosure, access, protection, release, dissemination, or distribution-control language relevant to handling. The linked authority text contains violation, penalty, sanction, or enforcement language that may affect consequences for mishandling.
Operating conditions
- NARA category scope used with this authority: Related to information obtained during the course of a law enforcement investigation or action, civil or criminal.
- DoD category scope used with this authority: Related to information obtained during the course of a law enforcement investigation or action, civil or criminal.
- 6 CFR Part 5 Appendix C(a) | status: Basic | banner: CUI
- DoD lists this authority for the category; the linked authority text is extracted below when available.
- NARA registry status: Basic + Specified. Per-authority NARA status values: Basic, Specified. NARA banner marking evidence: CUI, CUI//SP-INV. The registry evidence is preserved here; detailed primary-law or regulation text analysis remains pending for this category.
- NARA category scope: Related to information obtained during the course of a law enforcement investigation or action, civil or criminal.
- Extracted authority condition: The Office of Intelligence and Analysis (I&A) Enterprise Records System (ERS) con- sists of records including intelligence infor- mation and other properly acquired informa- tion received from agencies and components of the federal government, foreign govern- ments, organizations or entities, inter- national organizations, state and local gov- ernment agencies (including law enforce- ment agencies), and private sector entities, as well as information provided by individ- uals, regardless of the medium used to sub- mit the information or the agency to which it was submitted.
- Extracted authority condition: The DHS/USCG– 029 Notice of Arrival and Departure System of Records is a repository of information held by DHS in connection with its several and varied missions and functions, including, but not limited to the enforcement of civil and criminal laws; investigations, inquiries, and proceedings there under.
Safeguarding and dissemination controls
- NARA registry control evidence: status Basic; banner marking CUI.
- Nara basic or specified: Basic + Specified
- Nara authority rows: 6 CFR Part 5 Appendix C(a) | status: Basic | banner: CUI || 18 CFR 1b.20 | status: Specified | banner: CUI//SP-INV | sanctions: 18 CFR 1b.15 || 18 CFR 1b.9 | status: Basic | banner: CUI || 21 CFR 20.64(d)(4) | status: Specified | banner: CUI//SP-INV || 10 CFR 2.390(c)(3)(v) | status: Basic | banner: CUI || 10 CFR 820.12 | status: Basic | banner: CUI || 10 CFR 824.12 | status: Basic | banner: CUI || 10 CFR 851.40 | status: Basic | banner: CUI || 12 CFR 1070.2(h) | status: Specified | banner: CUI//SP-INV
- Nara banner markings: CUI, CUI//SP-INV
- Nara sanctions: 18 CFR 1b.15
- No DoD required dissemination control is listed on the registry page. Apply approved limited dissemination controls only when required or permitted by the designating agency or governing authority.
- Use the registry assertions, NARA authority rows, DoD authorities, DoD policies, warning statements, required dissemination controls, and examples first. Where the cited authority does not specify a handling detail, apply CUI Basic safeguards and dissemination rules so long as they do not conflict with the authority or agency-specific controls.
- Extracted authority control: Moreover, compliance could also compromise sensitive information ei- ther classified in the interest of national se- curity, or which otherwise requires, as ap- propriate, safeguarding and protection from unauthorized disclosure; identify a confiden- tial source or disclose information which would constitute an unwarranted invasion of another individual’s personal privacy; reveal a sensitive intelligence or investigative tech- nique or method, including interfering with intelligence or law enforcement investiga- tive processes by permitting the destruction of evidence, improper influencing or intimi- dation of witnesses, fabrication of state- ments or testimony, and flight from detec- tion or apprehension; or constitute a poten- tial danger to the health or safety of intel- ligence, counterterrorism, homeland secu- rity, and law enforcement personnel, con- fidential sources and informants, and poten- tial witnesses.
- Extracted authority control: Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons: (a) From subsection (c)(3) and (4) (Account- ing for Disclosures) because release of the accounting of disclosures could alert the sub- ject of an investigation of an actual or po- tential criminal, civil, or regulatory viola- tion to the existence of the investigation, or protective inquiry, and reveal investigative interest on the part of DHS as well as the re- cipient agency.
- Extracted authority control: Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following rea- sons: (a) From subsection (c)(3) and (4) (Account- ing for Disclosures) because release of the accounting of disclosures could alert the sub- ject of an investigation of an actual or po- tential criminal, civil, or regulatory viola- tion or a protective inquiry to the existence of the investigation or inquiry, and reveal investigative interest on the part of DHS as well as the recipient agency.
- Extracted authority control: Furthermore, to the extent that subsection (e)(4)(I) is con- strued to require more detailed disclosure than the information accompanying the sys- tem notice for ERS, as published in today’s F EDERALREGISTER, exemption from it is also necessary to protect the confidentiality, pri- vacy, and physical safety of sources of infor- mation, as well as the methods for acquiring it.
- Extracted authority control: Furthermore, to the extent that subsection (e)(4)(I) is construed to require more detailed disclosure than the informa- tion accompanying the system notice for LEIDB, as published in today’s F EDERAL R EGISTER, exemption from it is also nec- essary to protect the confidentiality, pri- vacy, and physical safety of sources of infor- mation, as well as the methods for acquiring it.
- Extracted authority control: Exemptions from these particular sub- sections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons: (a) From subsection (c)(3) (Accounting for Disclosures) because release of the account- ing of disclosures could alert the individual who is the subject of an investigation of an actual or potential criminal, civil, or regu- latory violation to the existence of that in- vestigation and reveal investigative interest on the part of DHS as well as the recipient agency.
- Extracted authority control: Exemptions from the particular subsections are justified, on a case by case basis, to be determined at the time a request is made, for the following reasons: (a) From subsection (c)(3) (Accounting for Disclosures) because release of the account- ing of disclosures could alert the subject of an investigation, of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation and reveal in- vestigative interest on the part of DHS as well as the recipient agency.
Authority excerpts
Most relevant extracted authority passage
Moreover, compliance could also compromise sensitive information ei- ther classified in the interest of national se- curity, or which otherwise requires, as ap- propriate, safeguarding and protection from unauthorized disclosure; identify a confiden- tial source or disclose information which would constitute an unwarranted invasion of another individual’s personal privacy; reveal a sensitive intelligence or investigative tech- nique or method, including interfering with intelligence or law enforcement investiga- tive processes by permitting the destruction of evidence, improper influencing or intimi- dation of witnesses, fabrication of state- ments or testimony, and flight from detec- tion or apprehension; or constitute a poten- tial danger to the health or safety of intel- ligence, counterterrorism, homeland secu- rity, and law enforcement personnel, con- fidential sources and informants, and poten- tial witnesses.
Extracted authority passage 2
Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following reasons: (a) From subsection (c)(3) and (4) (Account- ing for Disclosures) because release of the accounting of disclosures could alert the sub- ject of an investigation of an actual or po- tential criminal, civil, or regulatory viola- tion to the existence of the investigation, or protective inquiry, and reveal investigative interest on the part of DHS as well as the re- cipient agency.
Extracted authority passage 3
Exemptions from these particular subsections are justified, on a case-by-case basis to be determined at the time a request is made, for the following rea- sons: (a) From subsection (c)(3) and (4) (Account- ing for Disclosures) because release of the accounting of disclosures could alert the sub- ject of an investigation of an actual or po- tential criminal, civil, or regulatory viola- tion or a protective inquiry to the existence of the investigation or inquiry, and reveal investigative interest on the part of DHS as well as the recipient agency.
Extracted authority passage 4
Furthermore, to the extent that subsection (e)(4)(I) is con- strued to require more detailed disclosure than the information accompanying the sys- tem notice for ERS, as published in today’s F EDERALREGISTER, exemption from it is also necessary to protect the confidentiality, pri- vacy, and physical safety of sources of infor- mation, as well as the methods for acquiring it.
Extracted authority passage 5
Furthermore, to the extent that subsection (e)(4)(I) is construed to require more detailed disclosure than the informa- tion accompanying the system notice for LEIDB, as published in today’s F EDERAL R EGISTER, exemption from it is also nec- essary to protect the confidentiality, pri- vacy, and physical safety of sources of infor- mation, as well as the methods for acquiring it.
Extracted authority passage 6
The Office of Intelligence and Analysis (I&A) Enterprise Records System (ERS) con- sists of records including intelligence infor- mation and other properly acquired informa- tion received from agencies and components of the federal government, foreign govern- ments, organizations or entities, inter- national organizations, state and local gov- ernment agencies (including law enforce- ment agencies), and private sector entities, as well as information provided by individ- uals, regardless of the medium used to sub- mit the information or the agency to which it was submitted.
18 CFR 1b.20
Listed by: NARA Registry, DoD Registry, Related authorities
Designation evidence
- NARA authority row: 18 CFR 1b.20 | status: Specified | banner: CUI//SP-INV.
- NARA sanctions field: 18 CFR 1b.15.
- DoD authority row: 18 CFR 1b.20. DoD lists this citation for the category; this DoD detail page does not display a separate Basic/Specified field.
- Related authority evidence: 18 CFR 1b.20 | status: Specified | banner: CUI//SP-INV | sanctions: 18 CFR 1b.15
- Related authority evidence: DoD lists this authority for the category; the linked authority text is extracted below when available.
- Registry designation context: Basic + Specified, CUI. The linked authority text contains category-scope or applicability language that helps determine when the information falls within this CUI category. The linked authority text contains disclosure, access, protection, release, dissemination, or distribution-control language relevant to handling. The linked authority text contains violation, penalty, sanction, or enforcement language that may affect consequences for mishandling.
- Registry designation for this category is Basic + Specified with banner CUI.
Extracted authority meaning
- SUBCHAPTER A—GENERAL RULES
- Registry designation context: Basic + Specified, CUI. The linked authority text contains category-scope or applicability language that helps determine when the information falls within this CUI category. The linked authority text contains disclosure, access, protection, release, dissemination, or distribution-control language relevant to handling. The linked authority text contains violation, penalty, sanction, or enforcement language that may affect consequences for mishandling.
Operating conditions
- NARA category scope used with this authority: Related to information obtained during the course of a law enforcement investigation or action, civil or criminal.
- DoD category scope used with this authority: Related to information obtained during the course of a law enforcement investigation or action, civil or criminal.
- 18 CFR 1b.20 | status: Specified | banner: CUI//SP-INV | sanctions: 18 CFR 1b.15
- DoD lists this authority for the category; the linked authority text is extracted below when available.
- NARA registry status: Basic + Specified. Per-authority NARA status values: Basic, Specified. NARA banner marking evidence: CUI, CUI//SP-INV. The registry evidence is preserved here; detailed primary-law or regulation text analysis remains pending for this category.
- NARA category scope: Related to information obtained during the course of a law enforcement investigation or action, civil or criminal.
- Extracted authority condition: All information and documents ob- tained during the course of an inves- tigation, whether or not obtained pur- suant to subpoena, and all investiga- tive proceedings shall be treated as nonpublic by the Commission and its staff except to the extent that (a) the Commission directs or authorizes the public disclosure of the investigation; (b) the information or documents are made a matter of public record during the course of an adjudicatory pro- ceeding; or (c) disclosure is required by the Freedom of Information Act, 5 U.S.C.
- Extracted authority condition: Transcripts, if any, of investigative testimony shall be recorded solely by the official reporter, or by any other person or means designated by the in- vestigating officer.
- Extracted authority condition: In determining the meaning of any provision of this chapter, unless the context indicates otherwise: (a) The singular includes the plural; (b) The plural includes the singular; (c) The present tense includes the fu- ture tense; and (d) Words of one gender include the other gender. [Order 225, 47 FR 19022, May 3, 1982] PART 1b—RULES RELATING TO INVESTIGATIONS Sec. 1b.1 Definitions. 1b.2 Scope. 1b.3 Scope of investigations. 1b.4 Types of investigations. 1b.5 Formal investigations. 1b.6 Preliminary investigations. 1b.7 Procedure after investigation. 1b.8 Requests for Commission investiga- tions. 1b.9 Confidentiality of investigations. 1b.10 By whom conducted. 1b.11 Limitation on participation. 1b.12 Transcripts. 1b.13 Powers of persons conducting formal investigations. 1b.14 Subpoenas. 1b.15 Non-compliance with compulsory processes. 1b.16 Rights of witnesses. 1b.17 Appearance and practice before the Commission. 1b.18 Right to submit statements. 1b.19 Submissions. 1b.20 Request for confidential treatment. 1b.21 Enforcement hotline. 1b.22 Landowner Helpline.
- Extracted authority condition: The definitions set forth in this sec- tion apply for purposes of this chapter, except as otherwise provided in this chapter: (a) Commission means the Federal En- ergy Regulatory Commission.
- Extracted authority condition: Any member of the Commission or the Investigating Officer, in connection with any formal investigation ordered by the Commission, may administer oaths and affirmations, subpoena wit- nesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements or other records relevant or material to the investigation. § 1b.14 Subpoenas.
Safeguarding and dissemination controls
- NARA registry control evidence: status Specified; banner marking CUI//SP-INV.
- Nara basic or specified: Basic + Specified
- Nara authority rows: 6 CFR Part 5 Appendix C(a) | status: Basic | banner: CUI || 18 CFR 1b.20 | status: Specified | banner: CUI//SP-INV | sanctions: 18 CFR 1b.15 || 18 CFR 1b.9 | status: Basic | banner: CUI || 21 CFR 20.64(d)(4) | status: Specified | banner: CUI//SP-INV || 10 CFR 2.390(c)(3)(v) | status: Basic | banner: CUI || 10 CFR 820.12 | status: Basic | banner: CUI || 10 CFR 824.12 | status: Basic | banner: CUI || 10 CFR 851.40 | status: Basic | banner: CUI || 12 CFR 1070.2(h) | status: Specified | banner: CUI//SP-INV
- Nara banner markings: CUI, CUI//SP-INV
- Nara sanctions: 18 CFR 1b.15
- No DoD required dissemination control is listed on the registry page. Apply approved limited dissemination controls only when required or permitted by the designating agency or governing authority.
- Use the registry assertions, NARA authority rows, DoD authorities, DoD policies, warning statements, required dissemination controls, and examples first. Where the cited authority does not specify a handling detail, apply CUI Basic safeguards and dissemination rules so long as they do not conflict with the authority or agency-specific controls.
- Extracted authority control: Notice of the decision by the investigating Officer or other appro- priate official to deny a claim, in whole or in part, and an opportunity to re- spond shall be given to a person claim- ing confidentiality no less than 5 days before its public disclosure.
- Extracted authority control: In determining the meaning of any provision of this chapter, unless the context indicates otherwise: (a) The singular includes the plural; (b) The plural includes the singular; (c) The present tense includes the fu- ture tense; and (d) Words of one gender include the other gender. [Order 225, 47 FR 19022, May 3, 1982] PART 1b—RULES RELATING TO INVESTIGATIONS Sec. 1b.1 Definitions. 1b.2 Scope. 1b.3 Scope of investigations. 1b.4 Types of investigations. 1b.5 Formal investigations. 1b.6 Preliminary investigations. 1b.7 Procedure after investigation. 1b.8 Requests for Commission investiga- tions. 1b.9 Confidentiality of investigations. 1b.10 By whom conducted. 1b.11 Limitation on participation. 1b.12 Transcripts. 1b.13 Powers of persons conducting formal investigations. 1b.14 Subpoenas. 1b.15 Non-compliance with compulsory processes. 1b.16 Rights of witnesses. 1b.17 Appearance and practice before the Commission. 1b.18 Right to submit statements. 1b.19 Submissions. 1b.20 Request for confidential treatment. 1b.21 Enforcement hotline. 1b.22 Landowner Helpline.
- Extracted authority control: (c) It is the Commission’s policy not to disclose the name of the person or entity requesting an investigation ex- cept as required by law, or where such disclosure will aid the investigation. § 1b.9 Confidentiality of investigations.
- Extracted authority control: All information and documents ob- tained during the course of an inves- tigation, whether or not obtained pur- suant to subpoena, and all investiga- tive proceedings shall be treated as nonpublic by the Commission and its staff except to the extent that (a) the Commission directs or authorizes the public disclosure of the investigation; (b) the information or documents are made a matter of public record during the course of an adjudicatory pro- ceeding; or (c) disclosure is required by the Freedom of Information Act, 5 U.S.C.
- Extracted authority control: Such approval shall not be given unless the director of the office responsible for the investiga- tion, in the director’s discretion is sat- isfied that there exist reasons con- sistent with the protection of privacy of persons involved in the investigation and with the unimpeded conduct of the investigation.
- Extracted authority control: (b) Requests for investigations should set forth the alleged violation of law with supporting documentation and in- formation as completely as possible.
- Extracted authority control: In the event the Investigating Officer determines to recommend to the Com- mission that an entity be made the subject of a proceeding governed by part 385 of this chapter, or that an enti- ty be made a defendant in a civil action to be brought by the Commission, the Investigating Officer shall, unless ex- traordinary circumstances make prompt Commission review necessary in order to prevent detriment to the public interest or irreparable harm, no- tify the entity that the Investigating Officer intends to make such a rec- ommendation.
Authority excerpts
Most relevant extracted authority passage
Notice of the decision by the investigating Officer or other appro- priate official to deny a claim, in whole or in part, and an opportunity to re- spond shall be given to a person claim- ing confidentiality no less than 5 days before its public disclosure.
Extracted authority passage 2
In determining the meaning of any provision of this chapter, unless the context indicates otherwise: (a) The singular includes the plural; (b) The plural includes the singular; (c) The present tense includes the fu- ture tense; and (d) Words of one gender include the other gender. [Order 225, 47 FR 19022, May 3, 1982] PART 1b—RULES RELATING TO INVESTIGATIONS Sec. 1b.1 Definitions. 1b.2 Scope. 1b.3 Scope of investigations. 1b.4 Types of investigations. 1b.5 Formal investigations. 1b.6 Preliminary investigations. 1b.7 Procedure after investigation. 1b.8 Requests for Commission investiga- tions. 1b.9 Confidentiality of investigations. 1b.10 By whom conducted. 1b.11 Limitation on participation. 1b.12 Transcripts. 1b.13 Powers of persons conducting formal investigations. 1b.14 Subpoenas. 1b.15 Non-compliance with compulsory processes. 1b.16 Rights of witnesses. 1b.17 Appearance and practice before the Commission. 1b.18 Right to submit statements. 1b.19 Submissions. 1b.20 Request for confidential treatment. 1b.21 Enforcement hotline. 1b.22 Landowner Helpline.
Extracted authority passage 3
(c) It is the Commission’s policy not to disclose the name of the person or entity requesting an investigation ex- cept as required by law, or where such disclosure will aid the investigation. § 1b.9 Confidentiality of investigations.
Extracted authority passage 4
All information and documents ob- tained during the course of an inves- tigation, whether or not obtained pur- suant to subpoena, and all investiga- tive proceedings shall be treated as nonpublic by the Commission and its staff except to the extent that (a) the Commission directs or authorizes the public disclosure of the investigation; (b) the information or documents are made a matter of public record during the course of an adjudicatory pro- ceeding; or (c) disclosure is required by the Freedom of Information Act, 5 U.S.C.
Extracted authority passage 5
Such approval shall not be given unless the director of the office responsible for the investiga- tion, in the director’s discretion is sat- isfied that there exist reasons con- sistent with the protection of privacy of persons involved in the investigation and with the unimpeded conduct of the investigation.
Extracted authority passage 6
Transcripts, if any, of investigative testimony shall be recorded solely by the official reporter, or by any other person or means designated by the in- vestigating officer.
21 CFR 20.64(d)(4)
Listed by: NARA Registry, DoD Registry, Related authorities
Designation evidence
- NARA authority row: 21 CFR 20.64(d)(4) | status: Specified | banner: CUI//SP-INV.
- DoD authority row: 21 CFR 20.64(d)(4). DoD lists this citation for the category; this DoD detail page does not display a separate Basic/Specified field.
- Related authority evidence: 21 CFR 20.64(d)(4) | status: Specified | banner: CUI//SP-INV
- Related authority evidence: DoD lists this authority for the category; the linked authority text is extracted below when available.
- Registry designation context: Basic + Specified, CUI. The linked authority text contains category-scope or applicability language that helps determine when the information falls within this CUI category. The linked authority text contains disclosure, access, protection, release, dissemination, or distribution-control language relevant to handling. The linked authority text contains violation, penalty, sanction, or enforcement language that may affect consequences for mishandling.
- Registry designation for this category is Basic + Specified with banner CUI.
Extracted authority meaning
- subpart, e.g., the exemption for trade
- Registry designation context: Basic + Specified, CUI. The linked authority text contains category-scope or applicability language that helps determine when the information falls within this CUI category. The linked authority text contains disclosure, access, protection, release, dissemination, or distribution-control language relevant to handling. The linked authority text contains violation, penalty, sanction, or enforcement language that may affect consequences for mishandling.
Operating conditions
- NARA category scope used with this authority: Related to information obtained during the course of a law enforcement investigation or action, civil or criminal.
- DoD category scope used with this authority: Related to information obtained during the course of a law enforcement investigation or action, civil or criminal.
- 21 CFR 20.64(d)(4) | status: Specified | banner: CUI//SP-INV
- DoD lists this authority for the category; the linked authority text is extracted below when available.
- NARA registry status: Basic + Specified. Per-authority NARA status values: Basic, Specified. NARA banner marking evidence: CUI, CUI//SP-INV. The registry evidence is preserved here; detailed primary-law or regulation text analysis remains pending for this category.
- NARA category scope: Related to information obtained during the course of a law enforcement investigation or action, civil or criminal.
- Extracted authority condition: (c) Any record which is disclosed to any person, including any person who is the subject of a Food and Drug Ad- ministration investigation, and any data or information received from any person who is the subject of a Food and Drug Administration investigation re- lating to such investigation, is avail- able for public disclosure at that time in accordance with the rule established in § 20.21, except that: (1) Disclosure of such records shall be subject to the other exemptions estab- lished in this subpart and to the limi- tations on exemptions established in subpart E of this part.
- Extracted authority condition: No State or local gov- erning entity shall establish or con- tinue in effect any law, rule, regula- tion, or other requirement that per- mits or requires disclosure of the iden- tities of the voluntary reporter or other person identified in an adverse event report except as provided in this section. [42 FR 15616, Mar. 22, 1977, as amended at 60 FR 16968, Apr. 3, 1995] § 20.64 Records or information com- piled for law enforcement purposes.
- Extracted authority condition: (a) Records or information compiled for law enforcement purposes may be withheld from public disclosure pursu- ant to the provisions of this section to the extent that disclosure of such records or information: (1) Could reasonably be expected to interfere with enforcement pro- ceedings; (2) Would deprive a person to a right to a fair trial or an impartial adjudica- tion; (3) Could reasonably be expected to constitute an unwarranted invasion of personal privacy; (4) Could reasonably be expected to disclose the identity of a confidential source, including a State, local, or for- eign agency or authority or any pri- vate institution which furnished infor- mation on a confidential basis; and in- formation furnished by a confidential source in the case of a record compiled by the Food and Drug Administration or any other criminal law enforcement authority in the course of a criminal investigation or by an agency con- ducting a lawful national security in- telligence investigation; (5) Would disclose techniques and procedures for law enforcement inves- tigations or prosecutions or would dis- close guidelines for law enforcement investigations or prosecutions, if such disclosure could reasonably be ex- pected to risk circumvention of the law; or (6) Could reasonably be expected to endanger the life or physical safety of any individual.
- Extracted authority condition: (d) Records for law enforcement pur- poses shall be subject to the following rules: (1) No such record is available for public disclosure prior to the consider- ation of regulatory enforcement action based upon that record’s being closed, except as provided in § 20.82.
Safeguarding and dissemination controls
- NARA registry control evidence: status Specified; banner marking CUI//SP-INV.
- Nara basic or specified: Basic + Specified
- Nara authority rows: 6 CFR Part 5 Appendix C(a) | status: Basic | banner: CUI || 18 CFR 1b.20 | status: Specified | banner: CUI//SP-INV | sanctions: 18 CFR 1b.15 || 18 CFR 1b.9 | status: Basic | banner: CUI || 21 CFR 20.64(d)(4) | status: Specified | banner: CUI//SP-INV || 10 CFR 2.390(c)(3)(v) | status: Basic | banner: CUI || 10 CFR 820.12 | status: Basic | banner: CUI || 10 CFR 824.12 | status: Basic | banner: CUI || 10 CFR 851.40 | status: Basic | banner: CUI || 12 CFR 1070.2(h) | status: Specified | banner: CUI//SP-INV
- Nara banner markings: CUI, CUI//SP-INV
- Nara sanctions: 18 CFR 1b.15
- No DoD required dissemination control is listed on the registry page. Apply approved limited dissemination controls only when required or permitted by the designating agency or governing authority.
- Use the registry assertions, NARA authority rows, DoD authorities, DoD policies, warning statements, required dissemination controls, and examples first. Where the cited authority does not specify a handling detail, apply CUI Basic safeguards and dissemination rules so long as they do not conflict with the authority or agency-specific controls.
- Extracted authority control: (c) Any record which is disclosed to any person, including any person who is the subject of a Food and Drug Ad- ministration investigation, and any data or information received from any person who is the subject of a Food and Drug Administration investigation re- lating to such investigation, is avail- able for public disclosure at that time in accordance with the rule established in § 20.21, except that: (1) Disclosure of such records shall be subject to the other exemptions estab- lished in this subpart and to the limi- tations on exemptions established in subpart E of this part.
- Extracted authority control: (a) Records or information compiled for law enforcement purposes may be withheld from public disclosure pursu- ant to the provisions of this section to the extent that disclosure of such records or information: (1) Could reasonably be expected to interfere with enforcement pro- ceedings; (2) Would deprive a person to a right to a fair trial or an impartial adjudica- tion; (3) Could reasonably be expected to constitute an unwarranted invasion of personal privacy; (4) Could reasonably be expected to disclose the identity of a confidential source, including a State, local, or for- eign agency or authority or any pri- vate institution which furnished infor- mation on a confidential basis; and in- formation furnished by a confidential source in the case of a record compiled by the Food and Drug Administration or any other criminal law enforcement authority in the course of a criminal investigation or by an agency con- ducting a lawful national security in- telligence investigation; (5) Would disclose techniques and procedures for law enforcement inves- tigations or prosecutions or would dis- close guidelines for law enforcement investigations or prosecutions, if such disclosure could reasonably be ex- pected to risk circumvention of the law; or (6) Could reasonably be expected to endanger the life or physical safety of any individual.
- Extracted authority control: (2) After the consideration of regu- latory enforcement action is closed, such records shall be made available for public disclosure except to the ex- tent that other exemptions from dis- closure in this subpart are applicable.
- Extracted authority control: No statements of witnesses obtained through promises of confidentiality are available for public disclosure.
- Extracted authority control: I (4–1–18 Edition) § 20.64 another exemption established in this subpart, e.g., the exemption for trade secrets and confidential commercial or financial information under § 20.61.
- Extracted authority control: The Com- missioner will exercise his discretion to disclose records relating to possible criminal prosecution pursuant to § 20.82 prior to consideration of criminal pros- ecution being closed only very rarely and only under circumstances that demonstrate a compelling public inter- est.
Authority excerpts
Most relevant extracted authority passage
(c) Any record which is disclosed to any person, including any person who is the subject of a Food and Drug Ad- ministration investigation, and any data or information received from any person who is the subject of a Food and Drug Administration investigation re- lating to such investigation, is avail- able for public disclosure at that time in accordance with the rule established in § 20.21, except that: (1) Disclosure of such records shall be subject to the other exemptions estab- lished in this subpart and to the limi- tations on exemptions established in subpart E of this part.
Extracted authority passage 2
(a) Records or information compiled for law enforcement purposes may be withheld from public disclosure pursu- ant to the provisions of this section to the extent that disclosure of such records or information: (1) Could reasonably be expected to interfere with enforcement pro- ceedings; (2) Would deprive a person to a right to a fair trial or an impartial adjudica- tion; (3) Could reasonably be expected to constitute an unwarranted invasion of personal privacy; (4) Could reasonably be expected to disclose the identity of a confidential source, including a State, local, or for- eign agency or authority or any pri- vate institution which furnished infor- mation on a confidential basis; and in- formation furnished by a confidential source in the case of a record compiled by the Food and Drug Administration or any other criminal law enforcement authority in the course of a criminal investigation or by an agency con- ducting a lawful national security in- telligence investigation; (5) Would disclose techniques and procedures for law enforcement inves- tigations or prosecutions or would dis- close guidelines for law enforcement investigations or prosecutions, if such disclosure could reasonably be ex- pected to risk circumvention of the law; or (6) Could reasonably be expected to endanger the life or physical safety of any individual.
Extracted authority passage 3
(2) After the consideration of regu- latory enforcement action is closed, such records shall be made available for public disclosure except to the ex- tent that other exemptions from dis- closure in this subpart are applicable.
Extracted authority passage 4
No statements of witnesses obtained through promises of confidentiality are available for public disclosure.
Extracted authority passage 5
I (4–1–18 Edition) § 20.64 another exemption established in this subpart, e.g., the exemption for trade secrets and confidential commercial or financial information under § 20.61.
Extracted authority passage 6
No State or local gov- erning entity shall establish or con- tinue in effect any law, rule, regula- tion, or other requirement that per- mits or requires disclosure of the iden- tities of the voluntary reporter or other person identified in an adverse event report except as provided in this section. [42 FR 15616, Mar. 22, 1977, as amended at 60 FR 16968, Apr. 3, 1995] § 20.64 Records or information com- piled for law enforcement purposes.
10 CFR 2.390(c)(3)(v)
Listed by: NARA Registry, DoD Registry, Related authorities
Designation evidence
- NARA authority row: 10 CFR 2.390(c)(3)(v) | status: Basic | banner: CUI.
- DoD authority row: 10 CFR 2.390(c)(3)(v). DoD lists this citation for the category; this DoD detail page does not display a separate Basic/Specified field.
- Related authority evidence: 10 CFR 2.390(c)(3)(v) | status: Basic | banner: CUI
- Related authority evidence: DoD lists this authority for the category; the linked authority text is extracted below when available.
- Registry designation context: Basic + Specified, CUI. The linked authority text contains category-scope or applicability language that helps determine when the information falls within this CUI category. The linked authority text contains disclosure, access, protection, release, dissemination, or distribution-control language relevant to handling. The linked authority text contains violation, penalty, sanction, or enforcement language that may affect consequences for mishandling.
- Registry designation for this category is Basic + Specified with banner CUI.
Extracted authority meaning
- proceeding under this subpart pending
- Registry designation context: Basic + Specified, CUI. The linked authority text contains category-scope or applicability language that helps determine when the information falls within this CUI category. The linked authority text contains disclosure, access, protection, release, dissemination, or distribution-control language relevant to handling. The linked authority text contains violation, penalty, sanction, or enforcement language that may affect consequences for mishandling.
Operating conditions
- NARA category scope used with this authority: Related to information obtained during the course of a law enforcement investigation or action, civil or criminal.
- DoD category scope used with this authority: Related to information obtained during the course of a law enforcement investigation or action, civil or criminal.
- 10 CFR 2.390(c)(3)(v) | status: Basic | banner: CUI
- DoD lists this authority for the category; the linked authority text is extracted below when available.
- NARA registry status: Basic + Specified. Per-authority NARA status values: Basic, Specified. NARA banner marking evidence: CUI, CUI//SP-INV. The registry evidence is preserved here; detailed primary-law or regulation text analysis remains pending for this category.
- NARA category scope: Related to information obtained during the course of a law enforcement investigation or action, civil or criminal.
- Extracted authority condition: (4) Trade secrets and commercial or financial information obtained from a person and privileged or confidential; (5) Interagency or intra-agency mem- orandums or letters that would not be available by law to a party other than an agency in litigation with the agen- cy, provided that the deliberative proc- ess privilege shall not apply to records created 25 years or more before the date on which the records were re- quested; (6) Personnel and medical files and similar files, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy; (7) Records or information compiled for law enforcement purposes, but only to the extent that the production of such law enforcement records or infor- mation: (i) Could reasonably be expected to interfere with enforcement pro- ceedings; (ii) Would deprive a person of a right to a fair trial or an impartial adjudica- tion; (iii) Could reasonably be expected to constitute an unwarranted invasion of personal privacy; (iv) Could reasonably be expected to disclose the identity of a confidential source, including a State, local, or for- eign agency or authority, or any pri- vate institution which furnished infor- mation on a confidential basis, and, in the case of a record or information compiled by a criminal law enforce- ment authority in the course of a criminal investigation,...
- Extracted authority condition: (3) Whenever a submitter desires to withdraw a document from Commis- sion consideration, it may request re- turn of the document, and the docu- ment will be returned unless the infor- mation— (i) Forms part of the basis of an offi- cial agency decision, including but not limited to, a rulemaking proceeding or licensing activity; (ii) Is contained in a document that was made available to or prepared for an NRC advisory committee; (iii) Was revealed, or relied upon, in an open Commission meeting held in accordance with 10 CFR part 9, subpart C; (iv) Has been requested in a Freedom of Information Act request; or (v) Has been obtained during the course of an investigation conducted by the NRC Office of Investigations.
- Extracted authority condition: (1) Correspondence and reports to or from the NRC which contain informa- tion or records concerning a licensee’s or applicant’s physical protection, classified matter protection, or mate- rial control and accounting program for special nuclear material not other- wise designated as Safeguards Informa- tion or classified as National Security Information or Restricted Data.
- Extracted authority condition: (i) The submitter shall ensure that the document containing information sought to be withheld is marked as fol- lows: (A) The first page of the document, and each successive page containing such information, must be marked so as to be readily visible, at the top, or by electronic watermark or other suit- able marking on the body of the page, with language substantially similar to: ‘‘confidential information submitted under 10 CFR 2.390,’’ ‘‘withhold from public disclosure under 10 CFR 2.390,’’ or ‘‘proprietary,’’ to indicate that it contains information the submitter seeks to have withheld.
- Extracted authority condition: Otherwise, except for personal privacy information, which is not subject to the affidavit re- quirement, the request for withholding must be accompanied by an affidavit that— (A) Identifies the document or part sought to be withheld; (B) Identifies the official position of the person making the affidavit; (C) Declares the basis for proposing the information be withheld, encom- passing considerations set forth in § 2.390(a); (D) Includes a specific statement of the harm that would result if the infor- mation sought to be withheld is dis- closed to the public; and (E) Indicates the location(s) in the document of all information sought to be withheld.
Safeguarding and dissemination controls
- NARA registry control evidence: status Basic; banner marking CUI.
- Nara basic or specified: Basic + Specified
- Nara authority rows: 6 CFR Part 5 Appendix C(a) | status: Basic | banner: CUI || 18 CFR 1b.20 | status: Specified | banner: CUI//SP-INV | sanctions: 18 CFR 1b.15 || 18 CFR 1b.9 | status: Basic | banner: CUI || 21 CFR 20.64(d)(4) | status: Specified | banner: CUI//SP-INV || 10 CFR 2.390(c)(3)(v) | status: Basic | banner: CUI || 10 CFR 820.12 | status: Basic | banner: CUI || 10 CFR 824.12 | status: Basic | banner: CUI || 10 CFR 851.40 | status: Basic | banner: CUI || 12 CFR 1070.2(h) | status: Specified | banner: CUI//SP-INV
- Nara banner markings: CUI, CUI//SP-INV
- Nara sanctions: 18 CFR 1b.15
- No DoD required dissemination control is listed on the registry page. Apply approved limited dissemination controls only when required or permitted by the designating agency or governing authority.
- Use the registry assertions, NARA authority rows, DoD authorities, DoD policies, warning statements, required dissemination controls, and examples first. Where the cited authority does not specify a handling detail, apply CUI Basic safeguards and dissemination rules so long as they do not conflict with the authority or agency-specific controls.
- Extracted authority control: (i) The submitter shall ensure that the document containing information sought to be withheld is marked as fol- lows: (A) The first page of the document, and each successive page containing such information, must be marked so as to be readily visible, at the top, or by electronic watermark or other suit- able marking on the body of the page, with language substantially similar to: ‘‘confidential information submitted under 10 CFR 2.390,’’ ‘‘withhold from public disclosure under 10 CFR 2.390,’’ or ‘‘proprietary,’’ to indicate that it contains information the submitter seeks to have withheld.
- Extracted authority control: (2) A person who submits commercial or financial information believed to be privileged or confidential or a trade se- cret shall be on notice that it is the policy of the Commission to achieve an effective balance between legitimate concerns for protection of competitive positions and the right of the public to be fully apprised as to the basis for and effects of licensing or rulemaking ac- tions, and that it is within the discre- tion of the Commission to withhold such information from public disclo- sure.
- Extracted authority control: 85 Nuclear Regulatory Commission § 2.390 trade secrets or privileged or confiden- tial commercial or financial informa- tion, the Commission will then deter- mine whether the right of the public to be fully apprised as to the bases for and effects of the proposed action out- weighs the demonstrated concern for protection of a competitive position, and whether the information should be withheld from public disclosure under this paragraph.
- Extracted authority control: (1) Correspondence and reports to or from the NRC which contain informa- tion or records concerning a licensee’s or applicant’s physical protection, classified matter protection, or mate- rial control and accounting program for special nuclear material not other- wise designated as Safeguards Informa- tion or classified as National Security Information or Restricted Data.
- Extracted authority control: (4) Trade secrets and commercial or financial information obtained from a person and privileged or confidential; (5) Interagency or intra-agency mem- orandums or letters that would not be available by law to a party other than an agency in litigation with the agen- cy, provided that the deliberative proc- ess privilege shall not apply to records created 25 years or more before the date on which the records were re- quested; (6) Personnel and medical files and similar files, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy; (7) Records or information compiled for law enforcement purposes, but only to the extent that the production of such law enforcement records or infor- mation: (i) Could reasonably be expected to interfere with enforcement pro- ceedings; (ii) Would deprive a person of a right to a fair trial or an impartial adjudica- tion; (iii) Could reasonably be expected to constitute an unwarranted invasion of personal privacy; (iv) Could reasonably be expected to disclose the identity of a confidential source, including a State, local, or for- eign agency or authority, or any pri- vate institution which furnished infor- mation on a confidential basis, and, in the case of a record or information compiled by a criminal law enforce- ment authority in the course of a criminal investigation,...
Authority excerpts
Most relevant extracted authority passage
(i) The submitter shall ensure that the document containing information sought to be withheld is marked as fol- lows: (A) The first page of the document, and each successive page containing such information, must be marked so as to be readily visible, at the top, or by electronic watermark or other suit- able marking on the body of the page, with language substantially similar to: ‘‘confidential information submitted under 10 CFR 2.390,’’ ‘‘withhold from public disclosure under 10 CFR 2.390,’’ or ‘‘proprietary,’’ to indicate that it contains information the submitter seeks to have withheld.
Extracted authority passage 2
(2) A person who submits commercial or financial information believed to be privileged or confidential or a trade se- cret shall be on notice that it is the policy of the Commission to achieve an effective balance between legitimate concerns for protection of competitive positions and the right of the public to be fully apprised as to the basis for and effects of licensing or rulemaking ac- tions, and that it is within the discre- tion of the Commission to withhold such information from public disclo- sure.
Extracted authority passage 3
85 Nuclear Regulatory Commission § 2.390 trade secrets or privileged or confiden- tial commercial or financial informa- tion, the Commission will then deter- mine whether the right of the public to be fully apprised as to the bases for and effects of the proposed action out- weighs the demonstrated concern for protection of a competitive position, and whether the information should be withheld from public disclosure under this paragraph.
Extracted authority passage 4
(1) Correspondence and reports to or from the NRC which contain informa- tion or records concerning a licensee’s or applicant’s physical protection, classified matter protection, or mate- rial control and accounting program for special nuclear material not other- wise designated as Safeguards Informa- tion or classified as National Security Information or Restricted Data.
Extracted authority passage 6
(4) Trade secrets and commercial or financial information obtained from a person and privileged or confidential; (5) Interagency or intra-agency mem- orandums or letters that would not be available by law to a party other than an agency in litigation with the agen- cy, provided that the deliberative proc- ess privilege shall not apply to records created 25 years or more before the date on which the records were re- quested; (6) Personnel and medical files and similar files, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy; (7) Records or information compiled for law enforcement purposes, but only to the extent that the production of such law enforcement records or infor- mation: (i) Could reasonably be expected to interfere with enforcement pro- ceedings; (ii) Would deprive a person of a right to a fair trial or an impartial adjudica- tion; (iii) Could reasonably be expected to constitute an unwarranted invasion of personal privacy; (iv) Could reasonably be expected to disclose the identity of a confidential source, including a State, local, or for- eign agency or authority, or any pri- vate institution which furnished infor- mation on a confidential basis, and, in the case of a record or information compiled by a criminal law enforce- ment authority in the course of a criminal investigation,...