Public Availability of Government Accountability Office Records, 50643-50644 [E7-17457]
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50643
Rules and Regulations
Federal Register
Vol. 72, No. 170
Tuesday, September 4, 2007
This section of the FEDERAL REGISTER
contains regulatory documents having general
applicability and legal effect, most of which
are keyed to and codified in the Code of
Federal Regulations, which is published under
50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by
the Superintendent of Documents. Prices of
new books are listed in the first FEDERAL
REGISTER issue of each week.
GOVERNMENT ACCOUNTABILITY
OFFICE
4 CFR Part 81
Public Availability of Government
Accountability Office Records
AGENCY:
Government Accountability
Office.
rmajette on PROD1PC64 with RULES
ACTION:
Final rule.
SUMMARY: GAO amends its records rule
to clarify and broaden the existing
exemption regarding the disclosure of
congressional correspondence and to
add a new provision regarding the
handling of requests for records of
interviews created by GAO in
connection with its work. Specifically,
the revision to the congressional
correspondence exemption enables
GAO to release or withhold
congressional correspondence without
prior congressional authorization. The
new provision ensures that an agency
from which an interview was obtained
is notified of a request for the record of
interview and receives an opportunity
to advise GAO whether the record of
interview or portions thereof should be
exempt from disclosure. The new
provision will enhance the open, frank,
and honest exchange of information
from other agencies, nonfederal
organizations, and individuals to GAO
during the course of a GAO audit,
evaluation, or investigation.
EFFECTIVE DATE: October 4, 2007.
FOR FURTHER INFORMATION CONTACT: John
A. Bielec, Deputy Assistant General
Counsel; telephone 202–512–2846;
e-mail bielecj@gao.gov.
SUPPLEMENTARY INFORMATION: On
September 18, 2006, GAO published a
proposed rule in the Federal Register
proposing two revisions to 4 CFR Part
81.6 and requesting comments (71 FR
54597). Even though, as a legislative
branch agency, GAO is not subject to the
Administrative Procedures Act and was
VerDate Aug<31>2005
15:15 Aug 31, 2007
Jkt 211001
not required by law to seek comments
before issuing a final rule, GAO
requested comments concerning its
proposed revisions for a 45-day
comment period ending November 2,
2006.
Two comments were received during
the comment period. The first
commenter objected to any change that
would lessen the transparency of
governmental actions. The second
commenter opposed the creation of the
additional exemption regarding records
of interviews on the grounds that the
new exemption is overly broad and
could appear arbitrary and capricious.
After careful review and consideration
of the comments, GAO decided that no
changes were needed to the proposed
revision regarding congressional
correspondence. With respect to the
new provision in § 81.6 concerning
records of interviews, GAO took into
account the comment regarding the
regulation appearing overly broad and
added language to clarify the procedures
to be followed when a request for
records of interviews is made.
Moreover, for the sake of clarity and
transparency, GAO determined that this
new provision should be placed in 4
CFR 81.5 rather than in § 81.6 since
§ 81.5 specifically relates to records
obtained or created in the course of
GAO’s audit, evaluation, or investigative
work.
As previously stated in the proposed
rule, the revision to § 81.6(a) simply
clarifies that GAO is not required to
obtain congressional authorization prior
to the release or withholding of
congressional correspondence from its
records. This revision ensures
consistency in the handling of records
that contain information regarding the
communications between GAO and
congressional members. It will not
result in additional restrictions on the
availability of such records.
The amendment to § 81.5 ensures that
an agency from which an interview was
obtained is given notice of the request
for the record of interview and given an
opportunity to advise GAO whether the
record of interview or portions thereof
should be exempt from disclosure.
While a record of interview is a GAOcreated record, the information
contained therein comes directly from
another agency. The agency from which
an interview was obtained is in the best
position to know whether particular
PO 00000
Frm 00001
Fmt 4700
Sfmt 4700
information contained in a record of
interview may be sensitive or
privileged, and therefore, whether it
should be protected from public
disclosure.
Although the amendment to § 81.5
provides an opportunity for input from
another agency, the sole discretion
regarding the release of records of
interviews or portions thereof remains
with GAO’s Chief Quality Officer. In
deciding whether to release a record of
interview, the new provision makes
clear that the Chief Quality Officer will
consider the views of the agency from
which the interview was obtained and
the exemptions contained in § 81.6 or
any other law or regulation.
While the amendment may restrict the
availability of certain records of
interviews, as discussed in the proposed
rule, the success of GAO’s work requires
that employees of other agencies and
organizations participate in interviews
and provide open, frank, and honest
opinions during these interviews.
Without the amendment to § 81.5,
GAO’s ability to conduct necessary
interviews could be diminished, which
could negatively influence the quality of
work GAO performs for Congress on
behalf of the American people.
List of Subjects in 4 CFR Part 81
Administrative practice and
procedure, Archives and records,
Freedom of information.
I For the reasons stated in the preamble,
amend part 81 of title 4 of the Code of
Federal Regulations as follows:
PART 81—PUBLIC AVAILABILITY OF
GOVERNMENT ACCOUNTABILITY
OFFICE RECORDS
1. The authority citation for part 81
continues to read:
I
Authority: 31 U.S.C. 711.
2. In § 81.5, revise the section heading,
redesignate paragraph (b) as paragraph
(c), and add new paragraph (b) to read
as follows:
I
§ 81.5 Records originating outside GAO,
records of interviews, or records involving
work in progress.
*
*
*
*
*
(b) It is the policy of GAO that prior
to the release of a record of interview
created by GAO in connection with an
audit, evaluation, or investigation of a
program, activity, or funding of a
E:\FR\FM\04SER1.SGM
04SER1
50644
Federal Register / Vol. 72, No. 170 / Tuesday, September 4, 2007 / Rules and Regulations
government entity, GAO will notify the
agency from which an interview was
obtained of the request. GAO will
provide that agency with a reasonable
opportunity to indicate whether the
record of interview or portions thereof
should be exempt from disclosure and
the reason(s) for the exemption. The
public disclosure of a record of
interview remains within the discretion
of GAO’s Chief Quality Officer, but GAO
will consider the views of the agency
and the exemptions provided for under
§ 81.6 or any other law or regulation in
deciding whether to release all or
portions of a record of interview.
*
*
*
*
*
I 3. In § 81.6, revise paragraph (a) to
read as follows:
§ 81.6 Records which may be exempt from
disclosure.
*
*
*
*
*
(a) Records relating to work
performed in response to a
congressional request (unless authorized
by the congressional requester),
congressional correspondence, and
congressional contact memoranda.
*
*
*
*
*
Dated: August 27, 2007.
Gary L. Kepplinger,
General Counsel, Government Accountability
Office.
[FR Doc. E7–17457 Filed 8–31–07; 8:45 am]
BILLING CODE 1610–02–P
DEPARTMENT OF THE TREASURY
Office of Thrift Supervision
12 CFR Part 585
[OTS–2007–0008]
RIN 1550–AC14
Prohibited Service at Savings and
Loan Holding Companies Extension of
Expiration Date of Temporary
Exemption
Office of Thrift Supervision
(OTS), Treasury.
ACTION: Final rule.
rmajette on PROD1PC64 with RULES
AGENCY:
SUMMARY: OTS is amending its rules
implementing section 19(e) of the
Federal Deposit Insurance Act (FDIA),
which prohibits any person who has
been convicted of any criminal offense
involving dishonesty, breach of trust, or
money laundering (or who has agreed to
enter into a pretrial diversion or similar
program in connection with a
prosecution for such an offense) from
holding certain positions with respect to
a savings and loan holding company
VerDate Aug<31>2005
15:15 Aug 31, 2007
Jkt 211001
(SLHC). Specifically, OTS is extending
the expiration date of a temporary
exemption granted to persons who held
positions with respect to a SLHC as of
the date of the enactment of section
19(e). The revised expiration date for
the temporary exemption is March 1,
2008.
DATES: Effective Date: The final rule is
effective on September 4, 2007.
FOR FURTHER INFORMATION CONTACT:
Donna Deale, Director, Holding
Companies and Affiliates, Supervision
Policy, (202) 906–7488, or Karen
Osterloh, Special Counsel, Regulations
and Legislation, (202) 906–6639, Office
of Thrift Supervision, 1700 G Street,
NW., Washington, DC 20552.
SUPPLEMENTARY INFORMATION: On May 8,
2007, OTS published an interim final
rule adding 12 CFR part 585. This new
part implemented section 19(e) of the
FDIA, which prohibits any person who
has been convicted of any criminal
offense involving dishonesty, breach of
trust, or money laundering (or who has
agreed to enter into a pretrial diversion
or similar program in connection with a
prosecution for such an offense) from
holding certain positions with a SLHC.
Section 19(e) also authorizes the
Director of OTS to provide exemptions
from the prohibitions, by regulation or
order, if the exemption is consistent
with the purposes of the statute.
The interim final rule described the
actions that are prohibited under the
statute and prescribed procedures for
applying for an OTS order granting a
case-by-case exemption from the
prohibition. The rule also provided
regulatory exemptions to the
prohibitions, including a temporary
exemption for persons who held
positions with respect to a SLHC on
October 13, 2006, the date of enactment
of section 19(e). This temporary
exemption expires on September 5,
2007, unless a case-by-case exemption is
filed prior to that expiration date.
OTS found that the temporary
exemption was needed to ensure that
the new prohibition did not needlessly
disrupt SLHC operations by requiring
the immediate termination of existing
relationships. OTS designed this
exemption to ensure that SLHCs would
have sufficient time to determine which
persons have convictions or pre-trial
diversions involving the described
criminal offenses, and to provide a
meaningful opportunity for the SLHC or
the prohibited person to demonstrate
that the person’s continued relationship
with the SLHC is consistent with the
purposes of the statute.
Since the publication of the interim
final rule, some SLHCs have contacted
PO 00000
Frm 00002
Fmt 4700
Sfmt 4700
OTS to indicate that they have not had
adequate time to review all of their
existing relationships and file for
appropriate permanent exemptions. To
avoid needless disruptions of these
SLHC operations, OTS is extending the
expiration date of the temporary
exemption to March 1, 2008. OTS has
concluded that this extension of the
exemption is consistent with the
purposes of section 19(e) of the FDIA.1
Regulatory Findings
Notice and Comment and Effective Date
For the reasons set out in the interim
final rule,2 OTS has concluded that:
Notice and comment on this extension
are unnecessary and contrary to the
public interest under section 552(b)(B)
of the Administrative Procedure Act;
there is good cause for making the
extension effective immediately under
section 553(d) of the APA; and the
delayed effective date requirements of
section 302 of the Riegle Community
Development and Regulatory
Improvement Act of 1994 (CDRIA) do
not apply.
Regulatory Flexibility Act
For the reasons stated in the interim
final rule,3 OTS has concluded that this
extension does not require an initial
regulatory flexibility analysis under the
Regulatory Flexibility Act (RFA) (5
U.S.C. 601 et seq.), and that this
extension should not have a significant
impact on a substantial number of small
entities, as defined in the RFA.
Paperwork Reduction Act
OTS has determined that this
extension does not involve a change to
collections of information previously
approved under the Paperwork
Reduction Act (44 U.S.C. 3501 et seq.)
Unfunded Mandates Act of 1995
For the reasons stated in the interim
final rule,4 OTS has determined that
this extension will not result in
expenditures by state, local, and tribal
governments, in the aggregate, or by the
private sector, of more than $100
million in any one year.
Executive Order 12866
OTS has determined that this
extension is not a significant regulatory
action under Executive Order 12866.
1 OTS is continuing to review the public
comments submitted on the interim final rule and
plans to publish a final rule addressing these
comments later this year.
2 72 FR at 25953.
3 72 FR at 25953–25954.
4 72 FR at 25954.
E:\FR\FM\04SER1.SGM
04SER1
]]>Agencies
[Federal Register Volume 72, Number 170 (Tuesday, September 4, 2007)]
[Rules and Regulations]
[Pages 50643-50644]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-17457]
========================================================================
Rules and Regulations
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by the Superintendent of Documents.
Prices of new books are listed in the first FEDERAL REGISTER issue of each
week.
========================================================================
Federal Register / Vol. 72, No. 170 / Tuesday, September 4, 2007 /
Rules and Regulations
[[Page 50643]]
GOVERNMENT ACCOUNTABILITY OFFICE
4 CFR Part 81
Public Availability of Government Accountability Office Records
AGENCY: Government Accountability Office.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: GAO amends its records rule to clarify and broaden the
existing exemption regarding the disclosure of congressional
correspondence and to add a new provision regarding the handling of
requests for records of interviews created by GAO in connection with
its work. Specifically, the revision to the congressional
correspondence exemption enables GAO to release or withhold
congressional correspondence without prior congressional authorization.
The new provision ensures that an agency from which an interview was
obtained is notified of a request for the record of interview and
receives an opportunity to advise GAO whether the record of interview
or portions thereof should be exempt from disclosure. The new provision
will enhance the open, frank, and honest exchange of information from
other agencies, nonfederal organizations, and individuals to GAO during
the course of a GAO audit, evaluation, or investigation.
EFFECTIVE DATE: October 4, 2007.
FOR FURTHER INFORMATION CONTACT: John A. Bielec, Deputy Assistant
General Counsel; telephone 202-512-2846; e-mail bielecj@gao.gov.
SUPPLEMENTARY INFORMATION: On September 18, 2006, GAO published a
proposed rule in the Federal Register proposing two revisions to 4 CFR
Part 81.6 and requesting comments (71 FR 54597). Even though, as a
legislative branch agency, GAO is not subject to the Administrative
Procedures Act and was not required by law to seek comments before
issuing a final rule, GAO requested comments concerning its proposed
revisions for a 45-day comment period ending November 2, 2006.
Two comments were received during the comment period. The first
commenter objected to any change that would lessen the transparency of
governmental actions. The second commenter opposed the creation of the
additional exemption regarding records of interviews on the grounds
that the new exemption is overly broad and could appear arbitrary and
capricious. After careful review and consideration of the comments, GAO
decided that no changes were needed to the proposed revision regarding
congressional correspondence. With respect to the new provision in
Sec. 81.6 concerning records of interviews, GAO took into account the
comment regarding the regulation appearing overly broad and added
language to clarify the procedures to be followed when a request for
records of interviews is made. Moreover, for the sake of clarity and
transparency, GAO determined that this new provision should be placed
in 4 CFR 81.5 rather than in Sec. 81.6 since Sec. 81.5 specifically
relates to records obtained or created in the course of GAO's audit,
evaluation, or investigative work.
As previously stated in the proposed rule, the revision to Sec.
81.6(a) simply clarifies that GAO is not required to obtain
congressional authorization prior to the release or withholding of
congressional correspondence from its records. This revision ensures
consistency in the handling of records that contain information
regarding the communications between GAO and congressional members. It
will not result in additional restrictions on the availability of such
records.
The amendment to Sec. 81.5 ensures that an agency from which an
interview was obtained is given notice of the request for the record of
interview and given an opportunity to advise GAO whether the record of
interview or portions thereof should be exempt from disclosure. While a
record of interview is a GAO-created record, the information contained
therein comes directly from another agency. The agency from which an
interview was obtained is in the best position to know whether
particular information contained in a record of interview may be
sensitive or privileged, and therefore, whether it should be protected
from public disclosure.
Although the amendment to Sec. 81.5 provides an opportunity for
input from another agency, the sole discretion regarding the release of
records of interviews or portions thereof remains with GAO's Chief
Quality Officer. In deciding whether to release a record of interview,
the new provision makes clear that the Chief Quality Officer will
consider the views of the agency from which the interview was obtained
and the exemptions contained in Sec. 81.6 or any other law or
regulation.
While the amendment may restrict the availability of certain
records of interviews, as discussed in the proposed rule, the success
of GAO's work requires that employees of other agencies and
organizations participate in interviews and provide open, frank, and
honest opinions during these interviews. Without the amendment to Sec.
81.5, GAO's ability to conduct necessary interviews could be
diminished, which could negatively influence the quality of work GAO
performs for Congress on behalf of the American people.
List of Subjects in 4 CFR Part 81
Administrative practice and procedure, Archives and records,
Freedom of information.
0
For the reasons stated in the preamble, amend part 81 of title 4 of the
Code of Federal Regulations as follows:
PART 81--PUBLIC AVAILABILITY OF GOVERNMENT ACCOUNTABILITY OFFICE
RECORDS
0
1. The authority citation for part 81 continues to read:
Authority: 31 U.S.C. 711.
0
2. In Sec. 81.5, revise the section heading, redesignate paragraph (b)
as paragraph (c), and add new paragraph (b) to read as follows:
Sec. 81.5 Records originating outside GAO, records of interviews, or
records involving work in progress.
* * * * *
(b) It is the policy of GAO that prior to the release of a record
of interview created by GAO in connection with an audit, evaluation, or
investigation of a program, activity, or funding of a
[[Page 50644]]
government entity, GAO will notify the agency from which an interview
was obtained of the request. GAO will provide that agency with a
reasonable opportunity to indicate whether the record of interview or
portions thereof should be exempt from disclosure and the reason(s) for
the exemption. The public disclosure of a record of interview remains
within the discretion of GAO's Chief Quality Officer, but GAO will
consider the views of the agency and the exemptions provided for under
Sec. 81.6 or any other law or regulation in deciding whether to
release all or portions of a record of interview.
* * * * *
0
3. In Sec. 81.6, revise paragraph (a) to read as follows:
Sec. 81.6 Records which may be exempt from disclosure.
* * * * *
(a) Records relating to work performed in response to a
congressional request (unless authorized by the congressional
requester), congressional correspondence, and congressional contact
memoranda.
* * * * *
Dated: August 27, 2007.
Gary L. Kepplinger,
General Counsel, Government Accountability Office.
[FR Doc. E7-17457 Filed 8-31-07; 8:45 am]
BILLING CODE 1610-02-P
