Privacy Act Procedures, 8139-8144 [2017-00585]
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Federal Register / Vol. 82, No. 14 / Tuesday, January 24, 2017 / Rules and Regulations
interested persons an opportunity to
view and print the contents of this
document via the Internet through the
Commission’s Home Page (https://
www.ferc.gov) and in the Commission’s
Public Reference Room during normal
business hours (8:30 a.m. to 5:00 p.m.
Eastern time) at 888 First Street NE.,
Room 2A, Washington, DC 20426.
14. From the Commission’s Home
Page on the Internet, this information is
available on eLibrary. The full text of
this document is available on eLibrary
in PDF and Microsoft Word format for
viewing, printing, and downloading. To
access this document in eLibrary, type
the docket number (excluding the last
three digits) in the docket number field.
15. User assistance is available for
eLibrary and the Commission’s Web site
during normal business hours from the
Commission’s Online Support at 202–
502–6652 (toll free at 1–866–208–3676)
or email at ferconlinesupport@ferc.gov,
or the Public Reference Room at (202)
502–8371, TTY (202) 502–8659,
public.referenceroom@ferc.gov.
VII. Effective Date and Congressional
Notification
16. For the same reasons the
Commission has determined that public
notice and comment are unnecessary,
impractical, and contrary to the public
interest, the Commission finds good
cause to adopt an effective date that is
less than 30 days after the date of
publication in the Federal Register
pursuant to the Administrative
Procedure Act,18 and therefore, the
regulation is effective upon publication
in the Federal Register.
17. The Commission has determined,
with the concurrence of the
Administrator of the Office of
Information and Regulatory Affairs of
the Office of Management and Budget,
that this rule is not a ‘‘major rule’’ as
defined in section 351 of the Small
Business Regulatory Enforcement
Fairness Act of 1996. This Final Rule is
being submitted to the Senate, House,
and Government Accountability Office.
List of Subjects
18 CFR Part 250
Natural Gas and Reporting and
recordkeeping requirements.
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18 CFR Part 385
Administrative practice and
procedure, Electric power, Penalties,
Pipelines, Reporting and recordkeeping
requirements.
By the Commission.
18 5
U.S.C. 553(d)(3).
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Issued: January 9, 2017.
Kimberly D. Bose,
Secretary.
8139
§ 250.16 Format of compliance plan
transportation services and affiliate
transactions.
(b) 16 U.S.C. 823b(c), Federal Power
Act: $21,916 per day.
(c) 16 U.S.C. 825n(a), Federal Power
Act: $2,795.
(d) 16 U.S.C. 825o–1(b), Federal
Power Act: $1,213,503 per day.
(e) 15 U.S.C. 717t–1, Natural Gas Act:
$1,213,503 per day.
(f) 49 App. U.S.C. 6(10) (1988),
Interstate Commerce Act: $1,270 per
offense and $64 per day after the first
day.
(g) 49 App. U.S.C. 16(8) (1988),
Interstate Commerce Act: $12,705 per
day.
(h) 49 App. U.S.C. 19a(k) (1988),
Interstate Commerce Act: $1,270 per
day.
(i) 49 App. U.S.C. 20(7)(a) (1988),
Interstate Commerce Act: $1,270 per
day.
*
[FR Doc. 2017–00567 Filed 1–23–17; 8:45 am]
In consideration of the foregoing, the
Commission amends parts 250 and 385,
Chapter I, Title 18, Code of Federal
Regulations as follows:
PART 250—FORMS
1. The authority citation for part 250
continues to read as follows:
■
Authority: 15 U.S.C. 717–717w, 3301–
3432; 42 U.S.C. 7101–7352; 28 U.S.C. 2461
note.
2. Amend § 250.16 by revising
paragraph (e)(1) to read as follows:
■
*
*
*
*
(e) Penalty for failure to comply. (1)
Any person who transports gas for
others pursuant to Subparts B or G of
Part 284 of this chapter and who
knowingly violates the requirements of
§§ 358.4 and 358.5, § 250.16, or § 284.13
of this chapter will be subject, pursuant
to sections 311(c), 501, and 504(b)(6) of
the Natural Gas Policy Act of 1978, to
a civil penalty, which the Commission
may assess, of not more than $1,213,503
for any one violation.
*
*
*
*
*
PART 385—RULES OF PRACTICE AND
PROCEDURE
3. The authority citation for part 385
is revised to read as follows:
■
Authority: 5 U.S.C. 551–557; 15 U.S.C.
717–717w, 3301–3432; 16 U.S.C. 791a–825v,
2601–2645; 28 U.S.C. 2461; 31 U.S.C 3701,
9701; 42 U.S.C. 7101–7352, 16441, 16451–
16463; 49 U.S.C. 60502; 49 App. U.S.C. 1–85
(1988); 28 U.S.C. 2461 note (1990); 28 U.S.C.
2461 note (2015).
4. Revise § 385.1504(a) to read as
follows:
■
§ 385.1504
1504).
Maximum civil penalty (Rule
(a) Except as provided in paragraph
(b) of this section, the Commission may
assess a civil penalty of up to $21,916
for each day that the violation
continues.
*
*
*
*
*
■ 5. Revise § 385.1602 to read as
follows:
§ 385.1602 Civil penalties, as adjusted
(Rule 1602).
The current inflation-adjusted civil
monetary penalties provided by law
within the jurisdiction of the
Commission are:
(a) 15 U.S.C. 3414(b)(6)(A)(i), Natural
Gas Policy Act of 1978: $1,213,503.
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BILLING CODE 6717–01–P
DEPARTMENT OF THE INTERIOR
National Indian Gaming Commission
25 CFR Part 515
RIN 3141–AA65
Privacy Act Procedures
National Indian Gaming
Commission, Department of the Interior.
ACTION: Final rule.
AGENCY:
The National Indian Gaming
Commission (NIGC or the Commission)
is establishing this rule in Chapter III of
title 25 of the Code of Federal
Regulations. This rule describes the
procedures and policies adopted by the
Commission pursuant to the Privacy Act
of 1974. Under the Act, a Federal agency
must publish notice, in the Federal
Register, of any systems of records that
it intends to create as well as procedures
regarding the collection, maintenance,
use, and dissemination of the records
within those systems. The Commission
previously published notice of the
creation of two systems of records,
namely the Indian Gaming Individuals
Record System and the Management
Contract Individuals Record System.
The regulations set forth here update the
Commission’s previously published
procedures and serve to streamline how
the Commission processes its Privacy
Act requests.
DATES: Effective January 24, 2017.
FOR FURTHER INFORMATION CONTACT:
Andrew Mendoza, Staff Attorney, at
(202) 632–7003 or by fax (202) 632–7066
(these numbers are not toll free).
SUPPLEMENTARY INFORMATION: The
Indian Gaming Regulatory Act (IGRA),
SUMMARY:
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enacted on October 17, 1988,
established the National Indian Gaming
Commission. Congress enacted the
Privacy Act in 1974 (Public Law 93–
579, 5 U.S.C. 552a). The Commission
originally adopted Privacy Act
procedures on January 22, 1993. Since
that time, the Commission has changed
the location of its headquarters office,
established a new system of records,
and streamlined the way it processes
Privacy Act requests. On February 26,
2015, the Commission announced its
intent to update its Privacy Act
procedures through tribal consultation
and accepted comments from the
regulated community orally at several
consultation sessions. The Commission
also accepted written comments via the
consultation process through February
23, 2016. On August 26, 2016, after
reviewing those comments, the
Commission published a Notice of
Proposed Rulemaking, which invited
additional comments from the general
public. No additional comments were
received during that period.
Although no comments were received
during the comment period, the
Commission made two substantive
changes to the proposed rule.
Specifically, the Commission is
lengthening the time period for appeals
in Section 515.7(b) from 30 working
days to 90 calendar days. One of the
major reasons for updating the
Commission’s Privacy Act regulations
was to align the procedures for
processing Privacy Act requests with the
Commission’s processes under the
Freedom of Information Act (FOIA), 5
U.S.C. 552. On June 30, 2016, President
Obama signed the FOIA Improvements
Act of 2016 into law. Among the many
changes to the FOIA, agencies are now
required to provide requesters with not
less than 90 days to appeal adverse
determinations made under that Act.
Since the Commission processes all
Privacy Act requests simultaneously
under both, the FOIA and Privacy Act,
the Commission decided to lengthen the
amount of time for a requester to appeal
an adverse determination under the
Privacy Act to match the timeline
established in the FOIA.
Additionally, the Commission
corrected an error in Section 515.7(c),
which addresses the timeframe in which
the Privacy Act Appeals Officer must
respond to an appeal. In the proposed
rule, the Privacy Act Appeals Officer
was provided with 30 working days to
respond to an appeal. While this
timeframe is within the Commission’s
current regulations, it differs from the
one set out within the Commission’s
FOIA regulations. Under the FOIA, an
agency is required to respond to an
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appeal of an adverse determination
within 20 working days of its receipt. To
streamline the Commission’s appeals
procedures and synchronize the time for
responses for requests that must be
processed under both statutes, this
section should have read 20 working
days rather than 30. The provision is
being adjusted accordingly.
Executive Order 13175
The National Indian Gaming
Commission is committed to fulfilling
its tribal consultation obligations—
whether directed by statute or
administrative action such as Executive
Order (EO) 13175 (Consultation and
Coordination with Indian Tribal
Governments)—by adhering to the
consultation framework described in its
Consultation Policy published July 15,
2013. Pursuant to the Order, the
Commission engaged in extensive
consultation on this topic.
One comment received through
consultation requested that Section
515.10 be revised to prevent the
Commission from charging fees for the
first copy of a record or any portion of
a record to an individual to whom the
record pertains.
The Commission disagrees and
decided to keep the fee provisions as
initially presented. The Privacy Act
allows agencies to establish fees for
duplication so long as there is no cost
for searching or reviewing the record.
The Commission believes that the
proposed regulation appropriately
places the cost of duplicating records on
the requesting individual and not on the
Commission or tribes who fund its
operations.
The same commenter also
recommended that Section 515.11
clearly state the penalties for providing
a false statement under 18 U.S.C. 494
and 495.
The Commission disagrees. The
proposed regulation identifies the
relevant statutes, which lay out the
penalties for providing a false statement.
If the Commission were to clearly state
the penalties associated with those
offenses, it would also be required to
change its regulations if Congress
amended the penalties listed in those
statutes. The Commission prefers the
approach in the proposed regulations,
which eliminates any need to update
the provision in the future should the
penalties change.
Regulatory Flexibility Act: The
Commission certifies that the proposed
rule will not have a significant
economic impact on a substantial
number of small entities under the
Regulatory Flexibility Act (5 U.S.C. 601
et seq.). The factual basis for this
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certification is as follows: This rule is
procedural in nature and will not
impose substantive requirements that
would be considered impacts within the
scope of the Act.
Unfunded Mandates Reform Act
The Commission is an independent
regulatory agency, and, as such, is
exempt from the Unfunded Mandates
Reform Act, 2 U.S.C. 1501 et seq.
Takings
In accordance with Executive Order
12630, the Commission has determined
that this proposed rule does not have
significant takings implications. A
takings implication assessment is not
required.
Civil Justice Reform
In accordance with Executive Order
12988, the Commission has determined
that the rule does not unduly burden the
judicial system and meets the
requirements of sections 3(a) and 3(b)(2)
of the Executive Order.
Small Business Regulatory Enforcement
Fairness Act
The proposed rule is not a major rule
under 5 U.S.C. 804(2), the Small
Business Regulatory Enforcement
Fairness Act. The proposed rule will not
result in an annual effect on the
economy of more than $100 million per
year; a major increase in costs or prices
for consumers, individual industries,
Federal, State, or local government
agencies, or geographic regions; or
significant adverse effects on
competition, employment, investment,
productivity, innovation, or on the
ability of U.S. based enterprises.
Paperwork Reduction Act
The proposed rule does not contain
any information collection requirements
for which the Office of Management and
Budget approval under the Paperwork
Reduction Act (44 U.S.C. 3501–3520)
would be required.
National Environmental Policy Act
The Commission has determined that
the proposed rule does not constitute a
major Federal Action significantly
affecting the quality of the human
environment and that no detailed
statement is required pursuant to the
National Environmental Policy Act of
1969.
List of Subjects in 25 CFR Part 515
Administrative practice and
procedure, Privacy, Reporting and
recordkeeping.
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For the reasons set forth in the
preamble, the Commission revises part
25 CFR part 515 to read as follows:
■
PART 515—PRIVACY ACT
PROCEDURES
Sec.
515.1 Purpose and scope.
515.2 Definitions.
515.3 Request for access to records.
515.4 Responsibility for responding to
requests.
515.5 Responses to requests for access to
records.
515.6 Request for amendment or correction
of records.
515.7 Appeals of initial agency adverse
determination.
515.8 Requests for an accounting of record
disclosure.
515.9 Notice of court-ordered and
emergency disclosures.
515.10 Fees.
515.11 Penalties.
515.12 [Reserved]
515.13 Specific exemptions.
Authority: 5 U.S.C. 552a
§ 515.1
Purpose and scope.
This part contains the regulations the
National Indian Gaming Commission
(Commission) follows in implementing
the Privacy Act of 1974. These
regulations should be read together with
the Privacy Act, which provides
additional information about records
maintained on individuals. The
regulations in this part apply to all
records contained within systems of
records maintained by the Commission
that are retrieved by an individual’s
name or personal identifier. They
describe the procedures by which
individuals may request access to
records about themselves, request
amendment or correction of those
records, and request an accounting of
disclosures of those records by the
Commission. The Commission shall also
process all Privacy Act requests for
access to records under the Freedom of
Information Act (FOIA), 5 U.S.C. 552,
and the Commission’s FOIA regulations
contained in 25 CFR part 517, which
gives requesters maximum disclosure.
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§ 515.2
Definitions.
For the purposes of this subpart:
(a) Individual means a citizen of the
United States or an alien lawfully
admitted for permanent residence.
(b) Maintain means store, collect, use,
or disseminate.
(c) Record means any item, collection,
or grouping of information about an
individual that is maintained by the
Commission, including education,
financial transactions, medical history,
and criminal or employment history,
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and that contains the individual’s name,
or identifying number, symbol, or other
identifier assigned to the individual,
such as social security number, finger or
voice print, or photograph.
(d) System of records means a group
of any records under the control of the
Commission from which information is
retrieved by the name of the individual
or by some identifying number, symbol,
or other identifier assigned to the
individual.
(e) Routine use means use of a record
for a purpose that is compatible with the
purpose for which it was collected.
(f) Working day means a Federal
workday that does not include
Saturdays, Sundays, or Federal
holidays.
§ 515.3
Request for access to records.
(a) How made and addressed. Any
individual may make a request to the
Commission for access to records about
him or herself. Such requests shall
conform to the requirements of this
section. The request may be made in
person at 90 K Street NE., Suite 200,
Washington, DC 20002 during the hours
of 9 a.m. to 12 noon and 2 p.m. to 5 p.m.
Monday through Friday, in writing at
NIGC Attn: Privacy Act Officer, C/O
Department of the Interior, 1849 C Street
NW., Mail Stop #1621, Washington, DC
20240, or via electronic mail addressed
to PARequests@nigc.gov.
(b) Description of records sought.
Each request for access to records must
describe the records sought in enough
detail to enable Commission personnel
to locate the system of records
containing them with a reasonable
amount of effort. Whenever possible, the
request should describe the records
sought, the time periods in which the
records were compiled, any tribal
gaming facility with which they were
associated, and the name or identifying
number of each system of records in
which the records are kept.
(c) Agreement to pay fees. Requests
shall also include a statement indicating
the maximum amount of fees the
requester is willing to pay to obtain the
requested information. The requester
must send acknowledgment to the
Privacy Act Officer indicating his/her
willingness to pay the fees. Absent such
an acknowledgment within the
specified time frame, the request will be
considered incomplete, no further work
shall be done, and the request will be
administratively closed.
(d) Verification of identity. When
making a request for access to records
the individual seeking access must
provide verification of identity. The
requester must provide a full name,
current address, and date and place of
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birth. The request must be signed and
must either be notarized or submitted
under 28 U.S.C. 1746, which is a law
that permits statements to be made
under penalty of perjury as a substitute
for notarization. In order to assist in the
identification and location of requested
records, a request may also, at the
requester’s option, include a social
security number.
(e) Verification of guardianship.
When making a request as a parent or
guardian of a minor or as the guardian
of someone determined by a court to be
incompetent, for access to records about
that individual, the request must
establish:
(1) The identity of the individual who
is the subject of the record by stating the
name, current address, date and place of
birth, and, at the requester’s option, the
social security number of the
individual;
(2) The requester’s own identity, as
required in paragraph (d) of this section;
(3) That the requester is the parent or
guardian of the individual and proof of
such relationship by providing a birth
certificate showing parentage or a court
order establishing guardianship; and
(4) That the requester is acting on
behalf of that individual in making the
request.
(f) Verification in the case of third
party information requests. Any
individual who desires to have a record
covered by this part disclosed to or
mailed to another person may designate
such person and authorize such person
to act as his or her agent for that specific
purpose. The authorization shall be in
writing, signed by the individual whose
record is requested, and notarized or
witnessed as provided in paragraph (d)
of this section.
(g) In-person disclosures. An
individual to whom a record is to be
disclosed in person, pursuant to this
section, may have a person of his or her
own choosing accompany him or her
when the record is disclosed. If a
requester is accompanied by another
individual, the requester shall be
required to authorize in writing any
discussion of the records in the
presence of the other person.
§ 515.4 Responsibility for responding to
requests.
(a) In general. In determining which
records are responsive to a request, the
Commission ordinarily will include
only records in its possession as of the
date it begins its search for records. If
any other date is used, the Privacy Act
Officer shall inform the requester of that
date.
(b) Authority to grant or deny
requests. The Privacy Act Officer shall
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make initial determinations either to
grant or deny in whole or in part access
to records.
(c) Consultations and referrals. When
the Commission receives a request for a
record in its possession, the Privacy Act
Officer shall determine whether another
agency of the Federal Government is
better able to determine whether the
record is exempt from disclosure under
the Privacy Act. If the Privacy Act
Officer determines that it is best able to
process the record in response to the
request, then it shall do so. If the
Privacy Act Officer determines that it is
not best able to process the record, then
it shall either:
(1) Respond to the request regarding
that record, after consulting with the
agency best able to determine whether
to disclose it and with any other agency
that has a substantial interest in it; or
(2) Refer the responsibility for
responding to the request regarding that
record to the agency best able to
determine whether to disclose it, or to
another agency that originated the
record. Ordinarily, the agency that
originated a record will be presumed to
be best able to determine whether to
disclose it.
(d) Notice of referral. Whenever the
Privacy Act Officer refers all or any part
of the responsibility for responding to a
request to another agency, it ordinarily
shall notify the requester of the referral
and inform the requester of the name of
each agency to which the request has
been referred and of the part of the
request that has been referred.
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§ 515.5 Responses to requests for access
to records.
(a) Acknowledgement of requests.
Upon receipt of a request, the Privacy
Act Officer ordinarily shall, within 20
working days, send an
acknowledgement letter which shall
confirm the requester’s agreement to pay
fees under § 515.9 and provide an
assigned request number.
(b) Grants of requests for access. Once
the Privacy Act Officer makes a
determination to grant a request for
access in whole or in part, it shall notify
the requester in writing. The notice
shall inform the requester of any fee
charged under § 515.9 of this part and
the Privacy Act Officer shall disclose
records to the requester promptly on
payment of any applicable fee. If a
request is made in person, the Privacy
Act Officer will disclose the records to
the requester directly, in a manner not
unreasonably disruptive of its
operations, on payment of any
applicable fee and with a written record
made of the grant of the request. If a
requester is accompanied by another
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individual, the requester shall be
required to authorize in writing any
discussion of the records in the
presence of the other person.
(c) Adverse determinations of requests
for access. If the Privacy Act Officer
makes any adverse determination
denying a request for access in any
respect, it shall notify the requester of
that determination in writing. The
notification letter shall be signed by the
official making the determination and
include:
(1) The name and title of the person
responsible for the denial;
(2) A brief statement of the reason(s)
for the denial, including any Privacy
Act exemption(s) applied to the denial;
(3) A statement that the denial may be
appealed under § 515.7 and a
description of the requirements of
§ 515.7.
§ 515.6 Request for amendment or
correction of records.
(a) How made and addressed. An
individual may make a request for an
amendment or correction to a
Commission record about that
individual by writing directly to the
Privacy Act Officer, following the
procedures in § 515.3. The request
should identify each particular record in
question, state the amendment or
correction that is sought, and state why
the record is not accurate, relevant,
timely, or complete. The request may
include any documentation that would
be helpful to substantiate the reasons for
the amendment sought.
(b) Privacy Act Officer response. The
Privacy Act Officer shall, not later than
10 working days after receipt of a
request for an amendment or correction
of a record, acknowledge receipt of the
request and provide notification of
whether the request is granted or
denied. If the request is granted in
whole or in part, the Privacy Act Officer
shall describe the amendment or
correction made and shall advise the
requester of the right to obtain a copy
of the amended or corrected record. If
the request is denied in whole or in
part, the Privacy Act Officer shall send
a letter signed by the denying official
stating:
(1) The reason(s) for the denial; and
(2) The procedure for appeal of the
denial under paragraph (c) of this
section.
(c) Appeals. A requester may appeal
a denial of a request for amendment or
correction in the same manner as a
denial of a request for access as
described in § 515.7. If the appeal is
denied, the requester shall be advised of
the right to file a Statement of
Disagreement as described in paragraph
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(d) of this section and of the right under
the Privacy Act for judicial review of the
decision.
(d) Statements of Disagreement. If the
appeal under this section is denied in
whole or in part, the requester has the
right to file a Statement of Disagreement
that states the reason(s) for disagreeing
with the Privacy Act Officer’s denial of
the request for amendment or
correction. Statements of Disagreement
must be concise, must clearly identify
each part of any record that is disputed,
and should be no longer than one typed
page for each fact disputed. The
Statement of Disagreement shall be
placed in the system of records in which
the disputed record is maintained and
the record shall be marked to indicate
a Statement of Disagreement has been
filed.
(e) Notification of amendment,
correction, or disagreement. Within 30
working days of the amendment or
correction of the record, the Privacy Act
Officer shall notify all persons,
organizations, or agencies to which it
previously disclosed the record, and if
an accounting of that disclosure was
made, that the record has been amended
or corrected. If a Statement of
Disagreement was filed, the Commission
shall append a copy of it to the disputed
record whenever the record is disclosed
and may also append a concise
statement of its reason(s) for denying the
request to amend the record.
(f) Records not subject to amendment.
Section 515.13 lists the records that are
exempt from amendment or correction.
§ 515.7 Appeals of initial adverse agency
determination.
(a) Adverse determination. An initial
adverse agency determination of a
request may consist of: A determination
to withhold any requested record in
whole or in part; a determination that a
requested record does not exist or
cannot be located; a determination that
the requested record is not a record
subject to the Privacy Act; a
determination that a record will not be
amended; a determination to deny a
request for an accounting; a
determination on any disputed fee
matter; and any associated denial of a
request for expedited treatment under
the Commission’s FOIA regulations.
(b) Appeals. If the Privacy Act Officer
issues an adverse determination in
response to a request, the requester may
file a written notice of appeal. The
notice shall be accompanied by the
original request, the initial adverse
determination that is being appealed,
and a statement describing why the
adverse determination was in error. The
appeal shall be addressed to the Privacy
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Act Appeals Officer at the locations
listed in § 515.3 of this part no later than
90 calendar days after the date of the
letter denying the request. Both the
appeal letter and envelope should be
marked ‘‘Privacy Act Appeal.’’ Any
Privacy Act appeals submitted via
electronic mail should state ‘‘Privacy
Act Appeal’’ in the subject line.
(c) Responses to appeals. The
decision on appeal will be made in
writing within 20 working days of
receipt of the notice of appeal by the
Privacy Act Appeals Officer. For good
cause shown, however, the Privacy Act
Appeals Officer may extend the 30
working day period. If such an
extension is taken, the requester shall be
promptly notified of such extension and
the anticipated date of decision. A
decision affirming an adverse
determination in whole or in part will
include a brief statement of the reason(s)
for the determination, including any
Privacy Act exemption(s) applied. If the
adverse determination is reversed or
modified in whole or in part, the
requester will be notified in a written
decision and the request will be
reprocessed in accordance with that
appeal decision. The response to the
appeal shall also advise of the right to
institute a civil action in a Federal
district court for judicial review of the
decision.
(d) When appeal is required. In order
to institute a civil action in a federal
district court for judicial review of an
adverse determination, a requester must
first appeal it under this section.
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§ 515.8 Requests for an accounting of
record disclosure.
(a) How made and addressed. Subject
to the exceptions listed in paragraph (b)
of this section, an individual may make
a request for an accounting of the
disclosures of any record about that
individual that the Commission has
made to another person, organization, or
agency. The accounting contains the
date, nature and purpose of each
disclosure, as well as the name and
address of the person, organization, or
agency to which the disclosure was
made. The request for an accounting
should identify each particular record in
question and should be made in writing
to the Commission’s Privacy Act Officer,
following the procedures in § 515.3.
(b) Where accountings are not
required. The Commission is not
required to provide an accounting
where they relate to:
(1) Disclosures for which accountings
are not required to be kept, such as
those that are made to employees of the
Commission who have a need for the
record in the performance of their duties
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17:47 Jan 23, 2017
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and disclosures that are made under
section 552 of title 5;
(2) Disclosures made to law
enforcement agencies for authorized law
enforcement activities in response to
written requests from those law
enforcement agencies specifying the law
enforcement activities for which the
disclosures are sought; or
(3) Disclosures made from law
enforcement systems of records that
have been exempted from accounting
requirements.
(c) Appeals. A requester may appeal
a denial of a request for an accounting
in the same manner as a denial of a
request for access as described in
§ 515.7 of this part and the same
procedures will be followed.
(d) Preservation of accountings. All
accountings made under this section
will be retained for at least five years or
the life of the record, whichever is
longer, after the disclosure for which the
accounting is made.
§ 515.9 Notice of court-ordered and
emergency disclosures.
(a) Court-ordered disclosures. When a
record pertaining to an individual is
required to be disclosed by a court
order, the Privacy Act Officer shall
make reasonable efforts to provide
notice of this to the individual. Notice
shall be given within a reasonable time
after the Privacy Act Officer’s receipt of
the order—except that in a case in
which the order is not a matter of public
record, the notice shall be given only
after the order becomes public. This
notice shall be mailed to the
individual’s last known address and
shall contain a copy of the order and a
description of the information
disclosed. Notice shall not be given if
disclosure is made from a criminal law
enforcement system of records that has
been exempted from the notice
requirement.
(b) Emergency disclosures. Upon
disclosing a record pertaining to an
individual made under compelling
circumstances affecting health or safety,
the Privacy Act Officer shall, within a
reasonable time, notify that individual
of the disclosure. This notice shall be
mailed to the individual’s last known
address and shall state the nature of the
information disclosed; the person,
organization, or agency to which it was
disclosed; the date of disclosure; and
the compelling circumstances justifying
disclosure.
§ 515.10
Fees.
The Commission shall charge fees for
duplication of records under the Privacy
Act in the same way in which it charges
duplication fees under § 517.9 of this
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8143
part. No search or review fee may be
charged for any record. Additionally,
when the Privacy Act Officer makes a
copy of a record as a necessary part of
reviewing the record or granting access
to the record, the Commission shall not
charge for the cost of making that copy.
Otherwise, the Commission may charge
a fee sufficient to cover the cost of
duplicating a record.
§ 515.11
Penalties.
Any person who makes a false
statement in connection with any
request for access to a record, or an
amendment thereto, under this part, is
subject to the penalties prescribed in 18
U.S.C. 494 and 495.
§ 515.12
[Reserved]
§ 515.13
Specific exemptions.
(a) The following systems of records
are exempt from 5 U.S.C. 552a(c)(3), (d),
(e)(1) and (f):
(1) Indian Gaming Individuals
Records System.
(2) Management Contract Individuals
Record System.
(b) The exemptions under paragraph
(a) of this section apply only to the
extent that information in these systems
is subject to exemption under 5 U.S.C.
552a(k)(2). When compliance would not
appear to interfere with or adversely
affect the overall responsibilities of the
Commission, with respect to licensing
of key employees and primary
management officials for employment in
an Indian gaming operation or verifying
the suitability of an individual who has
a financial interest in, or management
responsibility for a management
contract, the applicable exemption may
be waived by the Commission.
(c) Exemptions from the particular
sections are justified for the following
reasons:
(1) From 5 U.S.C. 552a(c)(3), because
making available the accounting of
disclosures to an individual who is the
subject of a record could reveal
investigative interest. This would
permit the individual to take measures
to destroy evidence, intimidate potential
witnesses, or flee the area to avoid the
investigation.
(2) From 5 U.S.C. 552a(d), (e)(1), and
(f) concerning individual access to
records, when such access could
compromise classified information
related to national security, interfere
with a pending investigation or internal
inquiry, constitute an unwarranted
invasion of privacy, reveal a sensitive
investigative technique, or pose a
potential threat to the Commission or its
employees or to law enforcement
personnel. Additionally, access could
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Federal Register / Vol. 82, No. 14 / Tuesday, January 24, 2017 / Rules and Regulations
reveal the identity of a source who
provided information under an express
promise of confidentiality.
(3) From 5 U.S.C. 552a(d)(2), because
to require the Commission to amend
information thought to be incorrect,
irrelevant, or untimely, because of the
nature of the information collected and
the length of time it is maintained,
would create an impossible
administrative and investigative burden
by continually forcing the Commission
to resolve questions of accuracy,
relevance, timeliness, and
completeness.
(4) From 5 U.S.C. 552a(e)(1) because:
(i) It is not always possible to
determine relevance or necessity of
specific information in the early stages
of an investigation.
(ii) Relevance and necessity are
matters of judgment and timing in that
what appears relevant and necessary
when collected may be deemed
unnecessary later. Only after
information is assessed can its relevance
and necessity be established.
(iii) In any investigation the
Commission may receive information
concerning violations of law under the
jurisdiction of another agency. In the
interest of effective law enforcement
and under 25 U.S.C. 2716(b), the
information could be relevant to an
investigation by the Commission.
(iv) In the interviewing of individuals
or obtaining evidence in other ways
during an investigation, the Commission
could obtain information that may or
may not appear relevant at any given
time; however, the information could be
relevant to another investigation by the
Commission.
Dated: December 30, 2016.
Jonodev Chaudhuri,
Chairman.
Kathryn Isom-Clause,
Vice-Chair.
Sequoyah Simermeyer,
Commissioner.
[FR Doc. 2017–00585 Filed 1–23–17; 8:45 am]
BILLING CODE 7565–01–P
DEPARTMENT OF THE TREASURY
Internal Revenue Service
sradovich on DSK3GMQ082PROD with RULES
26 CFR Part 1
[TD 9815]
RIN 1545–BM33
Dividend Equivalents From Sources
Within the United States
Internal Revenue Service (IRS),
Treasury.
AGENCY:
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17:47 Jan 23, 2017
Jkt 241001
Final regulations and temporary
regulations.
ACTION:
This document provides
guidance to nonresident alien
individuals and foreign corporations
that hold certain financial products
providing for payments that are
contingent upon or determined by
reference to U.S. source dividend
payments. This document also provides
guidance to withholding agents that are
responsible for withholding U.S. tax
with respect to a dividend equivalent, as
well as certain other parties to section
871(m) transactions and their agents.
DATES: Effective Date: These regulations
are effective on January 19, 2017.
Applicability Dates: For dates of
applicability, see §§ 1.871–15(r); 1.871–
15T(r)(4); 1.1441–1(f)(5); 1.1441–2(f);
1.1441–7(a)(4); 1.1461–1(i).
FOR FURTHER INFORMATION CONTACT: D.
Peter Merkel or Karen Walny at (202)
317–6938 (not a toll-free number).
SUPPLEMENTARY INFORMATION:
SUMMARY:
Paperwork Reduction Act
The collection of information
contained in these final regulations has
been reviewed and approved by the
Office of Management and Budget in
accordance with the Paperwork
Reduction Act of 1995 (44 U.S.C.
3507(d)) under control numbers 1545–
0096 and 1545–1597. The collections of
information in these regulations are in
§ 1.871–15T(p) and are an increase in
the total annual burden in the current
regulations under §§ 1.1441–1 through
1.1441–9. This information is required
to establish whether a payment is
treated as a U.S. source dividend for
purposes of section 871(m) of the
Internal Revenue Code (Code). This
information will be used for audit and
examination purposes. The IRS intends
that these information collection
requirements will be satisfied by
persons complying with chapter 3
reporting requirements and the
requirements of the applicable qualified
intermediary (QI) revenue procedure, or
alternative certification and
documentation requirements set out in
these regulations. An agency may not
conduct or sponsor, and a person is not
required to respond to, a collection of
information unless it displays a valid
control number.
Books or records relating to a
collection of information must be
retained as long as their contents may
become material in the administration
of any internal revenue law. Generally,
tax returns and return information are
confidential, as required by 26 U.S.C.
6103.
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Background
On January 23, 2012, the Federal
Register published temporary
regulations (TD 9572) at 77 FR 3108
(2012 temporary regulations), and a
notice of proposed rulemaking by crossreference to the temporary regulations
and notice of public hearing at 77 FR
3202 (2012 proposed regulations, and
together with the 2012 temporary
regulations, 2012 section 871(m)
regulations) under section 871(m) of the
Code. The 2012 section 871(m)
regulations relate to dividend
equivalents from sources within the
United States paid to nonresident alien
individuals and foreign corporations.
Corrections to the 2012 temporary
regulations were published on February
6, 2012, and March 8, 2012, in the
Federal Register at 77 FR 5700 and 77
FR 13969, respectively. A correcting
amendment to the 2012 temporary
regulations was also published on
August 31, 2012, in the Federal Register
at 77 FR 53141. The Department of the
Treasury (Treasury Department) and the
IRS received written comments on the
2012 proposed regulations, and a public
hearing was held on April 27, 2012.
On December 5, 2013, the Federal
Register published final regulations and
removal of temporary regulations (TD
9648) at 78 FR 73079 (2013 final
regulations), which finalized a portion
of the 2012 section 871(m) regulations.
On the same date, the Federal Register
published a withdrawal of notice of
proposed rulemaking, a notice of
proposed rulemaking, and a notice of
public hearing at 78 FR 73128 (2013
proposed regulations). In light of
comments on the 2012 proposed
regulations, the 2013 proposed
regulations described a new approach
for determining whether a payment
made pursuant to a notional principal
contract (NPC) or an equity-linked
instrument (ELI) is a dividend
equivalent based on the delta of the
contract. In response to written
comments on the 2013 proposed
regulations, the Treasury Department
and the IRS released Notice 2014–14,
2014–13 IRB 881, on March 24, 2014
(see § 601.601(d)(2)(ii)(b)), stating that
the Treasury Department and the IRS
anticipated limiting the application of
the rules with respect to specified ELIs
described in the 2013 proposed
regulations to ELIs issued on or after 90
days after the date of publication of final
regulations.
On September 18, 2015, the Federal
Register published final regulations and
temporary regulations (TD 9734), at 80
FR 56866, which finalized a portion of
the 2013 proposed regulations and
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]]>Agencies
[Federal Register Volume 82, Number 14 (Tuesday, January 24, 2017)]
[Rules and Regulations]
[Pages 8139-8144]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-00585]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF THE INTERIOR
National Indian Gaming Commission
25 CFR Part 515
RIN 3141-AA65
Privacy Act Procedures
AGENCY: National Indian Gaming Commission, Department of the Interior.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The National Indian Gaming Commission (NIGC or the Commission)
is establishing this rule in Chapter III of title 25 of the Code of
Federal Regulations. This rule describes the procedures and policies
adopted by the Commission pursuant to the Privacy Act of 1974. Under
the Act, a Federal agency must publish notice, in the Federal Register,
of any systems of records that it intends to create as well as
procedures regarding the collection, maintenance, use, and
dissemination of the records within those systems. The Commission
previously published notice of the creation of two systems of records,
namely the Indian Gaming Individuals Record System and the Management
Contract Individuals Record System. The regulations set forth here
update the Commission's previously published procedures and serve to
streamline how the Commission processes its Privacy Act requests.
DATES: Effective January 24, 2017.
FOR FURTHER INFORMATION CONTACT: Andrew Mendoza, Staff Attorney, at
(202) 632-7003 or by fax (202) 632-7066 (these numbers are not toll
free).
SUPPLEMENTARY INFORMATION: The Indian Gaming Regulatory Act (IGRA),
[[Page 8140]]
enacted on October 17, 1988, established the National Indian Gaming
Commission. Congress enacted the Privacy Act in 1974 (Public Law 93-
579, 5 U.S.C. 552a). The Commission originally adopted Privacy Act
procedures on January 22, 1993. Since that time, the Commission has
changed the location of its headquarters office, established a new
system of records, and streamlined the way it processes Privacy Act
requests. On February 26, 2015, the Commission announced its intent to
update its Privacy Act procedures through tribal consultation and
accepted comments from the regulated community orally at several
consultation sessions. The Commission also accepted written comments
via the consultation process through February 23, 2016. On August 26,
2016, after reviewing those comments, the Commission published a Notice
of Proposed Rulemaking, which invited additional comments from the
general public. No additional comments were received during that
period.
Although no comments were received during the comment period, the
Commission made two substantive changes to the proposed rule.
Specifically, the Commission is lengthening the time period for appeals
in Section 515.7(b) from 30 working days to 90 calendar days. One of
the major reasons for updating the Commission's Privacy Act regulations
was to align the procedures for processing Privacy Act requests with
the Commission's processes under the Freedom of Information Act (FOIA),
5 U.S.C. 552. On June 30, 2016, President Obama signed the FOIA
Improvements Act of 2016 into law. Among the many changes to the FOIA,
agencies are now required to provide requesters with not less than 90
days to appeal adverse determinations made under that Act. Since the
Commission processes all Privacy Act requests simultaneously under
both, the FOIA and Privacy Act, the Commission decided to lengthen the
amount of time for a requester to appeal an adverse determination under
the Privacy Act to match the timeline established in the FOIA.
Additionally, the Commission corrected an error in Section
515.7(c), which addresses the timeframe in which the Privacy Act
Appeals Officer must respond to an appeal. In the proposed rule, the
Privacy Act Appeals Officer was provided with 30 working days to
respond to an appeal. While this timeframe is within the Commission's
current regulations, it differs from the one set out within the
Commission's FOIA regulations. Under the FOIA, an agency is required to
respond to an appeal of an adverse determination within 20 working days
of its receipt. To streamline the Commission's appeals procedures and
synchronize the time for responses for requests that must be processed
under both statutes, this section should have read 20 working days
rather than 30. The provision is being adjusted accordingly.
Executive Order 13175
The National Indian Gaming Commission is committed to fulfilling
its tribal consultation obligations--whether directed by statute or
administrative action such as Executive Order (EO) 13175 (Consultation
and Coordination with Indian Tribal Governments)--by adhering to the
consultation framework described in its Consultation Policy published
July 15, 2013. Pursuant to the Order, the Commission engaged in
extensive consultation on this topic.
One comment received through consultation requested that Section
515.10 be revised to prevent the Commission from charging fees for the
first copy of a record or any portion of a record to an individual to
whom the record pertains.
The Commission disagrees and decided to keep the fee provisions as
initially presented. The Privacy Act allows agencies to establish fees
for duplication so long as there is no cost for searching or reviewing
the record. The Commission believes that the proposed regulation
appropriately places the cost of duplicating records on the requesting
individual and not on the Commission or tribes who fund its operations.
The same commenter also recommended that Section 515.11 clearly
state the penalties for providing a false statement under 18 U.S.C. 494
and 495.
The Commission disagrees. The proposed regulation identifies the
relevant statutes, which lay out the penalties for providing a false
statement. If the Commission were to clearly state the penalties
associated with those offenses, it would also be required to change its
regulations if Congress amended the penalties listed in those statutes.
The Commission prefers the approach in the proposed regulations, which
eliminates any need to update the provision in the future should the
penalties change.
Regulatory Flexibility Act: The Commission certifies that the
proposed rule will not have a significant economic impact on a
substantial number of small entities under the Regulatory Flexibility
Act (5 U.S.C. 601 et seq.). The factual basis for this certification is
as follows: This rule is procedural in nature and will not impose
substantive requirements that would be considered impacts within the
scope of the Act.
Unfunded Mandates Reform Act
The Commission is an independent regulatory agency, and, as such,
is exempt from the Unfunded Mandates Reform Act, 2 U.S.C. 1501 et seq.
Takings
In accordance with Executive Order 12630, the Commission has
determined that this proposed rule does not have significant takings
implications. A takings implication assessment is not required.
Civil Justice Reform
In accordance with Executive Order 12988, the Commission has
determined that the rule does not unduly burden the judicial system and
meets the requirements of sections 3(a) and 3(b)(2) of the Executive
Order.
Small Business Regulatory Enforcement Fairness Act
The proposed rule is not a major rule under 5 U.S.C. 804(2), the
Small Business Regulatory Enforcement Fairness Act. The proposed rule
will not result in an annual effect on the economy of more than $100
million per year; a major increase in costs or prices for consumers,
individual industries, Federal, State, or local government agencies, or
geographic regions; or significant adverse effects on competition,
employment, investment, productivity, innovation, or on the ability of
U.S. based enterprises.
Paperwork Reduction Act
The proposed rule does not contain any information collection
requirements for which the Office of Management and Budget approval
under the Paperwork Reduction Act (44 U.S.C. 3501-3520) would be
required.
National Environmental Policy Act
The Commission has determined that the proposed rule does not
constitute a major Federal Action significantly affecting the quality
of the human environment and that no detailed statement is required
pursuant to the National Environmental Policy Act of 1969.
List of Subjects in 25 CFR Part 515
Administrative practice and procedure, Privacy, Reporting and
recordkeeping.
[[Page 8141]]
0
For the reasons set forth in the preamble, the Commission revises part
25 CFR part 515 to read as follows:
PART 515--PRIVACY ACT PROCEDURES
Sec.
515.1 Purpose and scope.
515.2 Definitions.
515.3 Request for access to records.
515.4 Responsibility for responding to requests.
515.5 Responses to requests for access to records.
515.6 Request for amendment or correction of records.
515.7 Appeals of initial agency adverse determination.
515.8 Requests for an accounting of record disclosure.
515.9 Notice of court-ordered and emergency disclosures.
515.10 Fees.
515.11 Penalties.
515.12 [Reserved]
515.13 Specific exemptions.
Authority: 5 U.S.C. 552a
Sec. 515.1 Purpose and scope.
This part contains the regulations the National Indian Gaming
Commission (Commission) follows in implementing the Privacy Act of
1974. These regulations should be read together with the Privacy Act,
which provides additional information about records maintained on
individuals. The regulations in this part apply to all records
contained within systems of records maintained by the Commission that
are retrieved by an individual's name or personal identifier. They
describe the procedures by which individuals may request access to
records about themselves, request amendment or correction of those
records, and request an accounting of disclosures of those records by
the Commission. The Commission shall also process all Privacy Act
requests for access to records under the Freedom of Information Act
(FOIA), 5 U.S.C. 552, and the Commission's FOIA regulations contained
in 25 CFR part 517, which gives requesters maximum disclosure.
Sec. 515.2 Definitions.
For the purposes of this subpart:
(a) Individual means a citizen of the United States or an alien
lawfully admitted for permanent residence.
(b) Maintain means store, collect, use, or disseminate.
(c) Record means any item, collection, or grouping of information
about an individual that is maintained by the Commission, including
education, financial transactions, medical history, and criminal or
employment history, and that contains the individual's name, or
identifying number, symbol, or other identifier assigned to the
individual, such as social security number, finger or voice print, or
photograph.
(d) System of records means a group of any records under the
control of the Commission from which information is retrieved by the
name of the individual or by some identifying number, symbol, or other
identifier assigned to the individual.
(e) Routine use means use of a record for a purpose that is
compatible with the purpose for which it was collected.
(f) Working day means a Federal workday that does not include
Saturdays, Sundays, or Federal holidays.
Sec. 515.3 Request for access to records.
(a) How made and addressed. Any individual may make a request to
the Commission for access to records about him or herself. Such
requests shall conform to the requirements of this section. The request
may be made in person at 90 K Street NE., Suite 200, Washington, DC
20002 during the hours of 9 a.m. to 12 noon and 2 p.m. to 5 p.m. Monday
through Friday, in writing at NIGC Attn: Privacy Act Officer, C/O
Department of the Interior, 1849 C Street NW., Mail Stop #1621,
Washington, DC 20240, or via electronic mail addressed to
PARequests@nigc.gov.
(b) Description of records sought. Each request for access to
records must describe the records sought in enough detail to enable
Commission personnel to locate the system of records containing them
with a reasonable amount of effort. Whenever possible, the request
should describe the records sought, the time periods in which the
records were compiled, any tribal gaming facility with which they were
associated, and the name or identifying number of each system of
records in which the records are kept.
(c) Agreement to pay fees. Requests shall also include a statement
indicating the maximum amount of fees the requester is willing to pay
to obtain the requested information. The requester must send
acknowledgment to the Privacy Act Officer indicating his/her
willingness to pay the fees. Absent such an acknowledgment within the
specified time frame, the request will be considered incomplete, no
further work shall be done, and the request will be administratively
closed.
(d) Verification of identity. When making a request for access to
records the individual seeking access must provide verification of
identity. The requester must provide a full name, current address, and
date and place of birth. The request must be signed and must either be
notarized or submitted under 28 U.S.C. 1746, which is a law that
permits statements to be made under penalty of perjury as a substitute
for notarization. In order to assist in the identification and location
of requested records, a request may also, at the requester's option,
include a social security number.
(e) Verification of guardianship. When making a request as a parent
or guardian of a minor or as the guardian of someone determined by a
court to be incompetent, for access to records about that individual,
the request must establish:
(1) The identity of the individual who is the subject of the record
by stating the name, current address, date and place of birth, and, at
the requester's option, the social security number of the individual;
(2) The requester's own identity, as required in paragraph (d) of
this section;
(3) That the requester is the parent or guardian of the individual
and proof of such relationship by providing a birth certificate showing
parentage or a court order establishing guardianship; and
(4) That the requester is acting on behalf of that individual in
making the request.
(f) Verification in the case of third party information requests.
Any individual who desires to have a record covered by this part
disclosed to or mailed to another person may designate such person and
authorize such person to act as his or her agent for that specific
purpose. The authorization shall be in writing, signed by the
individual whose record is requested, and notarized or witnessed as
provided in paragraph (d) of this section.
(g) In-person disclosures. An individual to whom a record is to be
disclosed in person, pursuant to this section, may have a person of his
or her own choosing accompany him or her when the record is disclosed.
If a requester is accompanied by another individual, the requester
shall be required to authorize in writing any discussion of the records
in the presence of the other person.
Sec. 515.4 Responsibility for responding to requests.
(a) In general. In determining which records are responsive to a
request, the Commission ordinarily will include only records in its
possession as of the date it begins its search for records. If any
other date is used, the Privacy Act Officer shall inform the requester
of that date.
(b) Authority to grant or deny requests. The Privacy Act Officer
shall
[[Page 8142]]
make initial determinations either to grant or deny in whole or in part
access to records.
(c) Consultations and referrals. When the Commission receives a
request for a record in its possession, the Privacy Act Officer shall
determine whether another agency of the Federal Government is better
able to determine whether the record is exempt from disclosure under
the Privacy Act. If the Privacy Act Officer determines that it is best
able to process the record in response to the request, then it shall do
so. If the Privacy Act Officer determines that it is not best able to
process the record, then it shall either:
(1) Respond to the request regarding that record, after consulting
with the agency best able to determine whether to disclose it and with
any other agency that has a substantial interest in it; or
(2) Refer the responsibility for responding to the request
regarding that record to the agency best able to determine whether to
disclose it, or to another agency that originated the record.
Ordinarily, the agency that originated a record will be presumed to be
best able to determine whether to disclose it.
(d) Notice of referral. Whenever the Privacy Act Officer refers all
or any part of the responsibility for responding to a request to
another agency, it ordinarily shall notify the requester of the
referral and inform the requester of the name of each agency to which
the request has been referred and of the part of the request that has
been referred.
Sec. 515.5 Responses to requests for access to records.
(a) Acknowledgement of requests. Upon receipt of a request, the
Privacy Act Officer ordinarily shall, within 20 working days, send an
acknowledgement letter which shall confirm the requester's agreement to
pay fees under Sec. 515.9 and provide an assigned request number.
(b) Grants of requests for access. Once the Privacy Act Officer
makes a determination to grant a request for access in whole or in
part, it shall notify the requester in writing. The notice shall inform
the requester of any fee charged under Sec. 515.9 of this part and the
Privacy Act Officer shall disclose records to the requester promptly on
payment of any applicable fee. If a request is made in person, the
Privacy Act Officer will disclose the records to the requester
directly, in a manner not unreasonably disruptive of its operations, on
payment of any applicable fee and with a written record made of the
grant of the request. If a requester is accompanied by another
individual, the requester shall be required to authorize in writing any
discussion of the records in the presence of the other person.
(c) Adverse determinations of requests for access. If the Privacy
Act Officer makes any adverse determination denying a request for
access in any respect, it shall notify the requester of that
determination in writing. The notification letter shall be signed by
the official making the determination and include:
(1) The name and title of the person responsible for the denial;
(2) A brief statement of the reason(s) for the denial, including
any Privacy Act exemption(s) applied to the denial;
(3) A statement that the denial may be appealed under Sec. 515.7
and a description of the requirements of Sec. 515.7.
Sec. 515.6 Request for amendment or correction of records.
(a) How made and addressed. An individual may make a request for an
amendment or correction to a Commission record about that individual by
writing directly to the Privacy Act Officer, following the procedures
in Sec. 515.3. The request should identify each particular record in
question, state the amendment or correction that is sought, and state
why the record is not accurate, relevant, timely, or complete. The
request may include any documentation that would be helpful to
substantiate the reasons for the amendment sought.
(b) Privacy Act Officer response. The Privacy Act Officer shall,
not later than 10 working days after receipt of a request for an
amendment or correction of a record, acknowledge receipt of the request
and provide notification of whether the request is granted or denied.
If the request is granted in whole or in part, the Privacy Act Officer
shall describe the amendment or correction made and shall advise the
requester of the right to obtain a copy of the amended or corrected
record. If the request is denied in whole or in part, the Privacy Act
Officer shall send a letter signed by the denying official stating:
(1) The reason(s) for the denial; and
(2) The procedure for appeal of the denial under paragraph (c) of
this section.
(c) Appeals. A requester may appeal a denial of a request for
amendment or correction in the same manner as a denial of a request for
access as described in Sec. 515.7. If the appeal is denied, the
requester shall be advised of the right to file a Statement of
Disagreement as described in paragraph (d) of this section and of the
right under the Privacy Act for judicial review of the decision.
(d) Statements of Disagreement. If the appeal under this section is
denied in whole or in part, the requester has the right to file a
Statement of Disagreement that states the reason(s) for disagreeing
with the Privacy Act Officer's denial of the request for amendment or
correction. Statements of Disagreement must be concise, must clearly
identify each part of any record that is disputed, and should be no
longer than one typed page for each fact disputed. The Statement of
Disagreement shall be placed in the system of records in which the
disputed record is maintained and the record shall be marked to
indicate a Statement of Disagreement has been filed.
(e) Notification of amendment, correction, or disagreement. Within
30 working days of the amendment or correction of the record, the
Privacy Act Officer shall notify all persons, organizations, or
agencies to which it previously disclosed the record, and if an
accounting of that disclosure was made, that the record has been
amended or corrected. If a Statement of Disagreement was filed, the
Commission shall append a copy of it to the disputed record whenever
the record is disclosed and may also append a concise statement of its
reason(s) for denying the request to amend the record.
(f) Records not subject to amendment. Section 515.13 lists the
records that are exempt from amendment or correction.
Sec. 515.7 Appeals of initial adverse agency determination.
(a) Adverse determination. An initial adverse agency determination
of a request may consist of: A determination to withhold any requested
record in whole or in part; a determination that a requested record
does not exist or cannot be located; a determination that the requested
record is not a record subject to the Privacy Act; a determination that
a record will not be amended; a determination to deny a request for an
accounting; a determination on any disputed fee matter; and any
associated denial of a request for expedited treatment under the
Commission's FOIA regulations.
(b) Appeals. If the Privacy Act Officer issues an adverse
determination in response to a request, the requester may file a
written notice of appeal. The notice shall be accompanied by the
original request, the initial adverse determination that is being
appealed, and a statement describing why the adverse determination was
in error. The appeal shall be addressed to the Privacy
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Act Appeals Officer at the locations listed in Sec. 515.3 of this part
no later than 90 calendar days after the date of the letter denying the
request. Both the appeal letter and envelope should be marked ``Privacy
Act Appeal.'' Any Privacy Act appeals submitted via electronic mail
should state ``Privacy Act Appeal'' in the subject line.
(c) Responses to appeals. The decision on appeal will be made in
writing within 20 working days of receipt of the notice of appeal by
the Privacy Act Appeals Officer. For good cause shown, however, the
Privacy Act Appeals Officer may extend the 30 working day period. If
such an extension is taken, the requester shall be promptly notified of
such extension and the anticipated date of decision. A decision
affirming an adverse determination in whole or in part will include a
brief statement of the reason(s) for the determination, including any
Privacy Act exemption(s) applied. If the adverse determination is
reversed or modified in whole or in part, the requester will be
notified in a written decision and the request will be reprocessed in
accordance with that appeal decision. The response to the appeal shall
also advise of the right to institute a civil action in a Federal
district court for judicial review of the decision.
(d) When appeal is required. In order to institute a civil action
in a federal district court for judicial review of an adverse
determination, a requester must first appeal it under this section.
Sec. 515.8 Requests for an accounting of record disclosure.
(a) How made and addressed. Subject to the exceptions listed in
paragraph (b) of this section, an individual may make a request for an
accounting of the disclosures of any record about that individual that
the Commission has made to another person, organization, or agency. The
accounting contains the date, nature and purpose of each disclosure, as
well as the name and address of the person, organization, or agency to
which the disclosure was made. The request for an accounting should
identify each particular record in question and should be made in
writing to the Commission's Privacy Act Officer, following the
procedures in Sec. 515.3.
(b) Where accountings are not required. The Commission is not
required to provide an accounting where they relate to:
(1) Disclosures for which accountings are not required to be kept,
such as those that are made to employees of the Commission who have a
need for the record in the performance of their duties and disclosures
that are made under section 552 of title 5;
(2) Disclosures made to law enforcement agencies for authorized law
enforcement activities in response to written requests from those law
enforcement agencies specifying the law enforcement activities for
which the disclosures are sought; or
(3) Disclosures made from law enforcement systems of records that
have been exempted from accounting requirements.
(c) Appeals. A requester may appeal a denial of a request for an
accounting in the same manner as a denial of a request for access as
described in Sec. 515.7 of this part and the same procedures will be
followed.
(d) Preservation of accountings. All accountings made under this
section will be retained for at least five years or the life of the
record, whichever is longer, after the disclosure for which the
accounting is made.
Sec. 515.9 Notice of court-ordered and emergency disclosures.
(a) Court-ordered disclosures. When a record pertaining to an
individual is required to be disclosed by a court order, the Privacy
Act Officer shall make reasonable efforts to provide notice of this to
the individual. Notice shall be given within a reasonable time after
the Privacy Act Officer's receipt of the order--except that in a case
in which the order is not a matter of public record, the notice shall
be given only after the order becomes public. This notice shall be
mailed to the individual's last known address and shall contain a copy
of the order and a description of the information disclosed. Notice
shall not be given if disclosure is made from a criminal law
enforcement system of records that has been exempted from the notice
requirement.
(b) Emergency disclosures. Upon disclosing a record pertaining to
an individual made under compelling circumstances affecting health or
safety, the Privacy Act Officer shall, within a reasonable time, notify
that individual of the disclosure. This notice shall be mailed to the
individual's last known address and shall state the nature of the
information disclosed; the person, organization, or agency to which it
was disclosed; the date of disclosure; and the compelling circumstances
justifying disclosure.
Sec. 515.10 Fees.
The Commission shall charge fees for duplication of records under
the Privacy Act in the same way in which it charges duplication fees
under Sec. 517.9 of this part. No search or review fee may be charged
for any record. Additionally, when the Privacy Act Officer makes a copy
of a record as a necessary part of reviewing the record or granting
access to the record, the Commission shall not charge for the cost of
making that copy. Otherwise, the Commission may charge a fee sufficient
to cover the cost of duplicating a record.
Sec. 515.11 Penalties.
Any person who makes a false statement in connection with any
request for access to a record, or an amendment thereto, under this
part, is subject to the penalties prescribed in 18 U.S.C. 494 and 495.
Sec. 515.12 [Reserved]
Sec. 515.13 Specific exemptions.
(a) The following systems of records are exempt from 5 U.S.C.
552a(c)(3), (d), (e)(1) and (f):
(1) Indian Gaming Individuals Records System.
(2) Management Contract Individuals Record System.
(b) The exemptions under paragraph (a) of this section apply only
to the extent that information in these systems is subject to exemption
under 5 U.S.C. 552a(k)(2). When compliance would not appear to
interfere with or adversely affect the overall responsibilities of the
Commission, with respect to licensing of key employees and primary
management officials for employment in an Indian gaming operation or
verifying the suitability of an individual who has a financial interest
in, or management responsibility for a management contract, the
applicable exemption may be waived by the Commission.
(c) Exemptions from the particular sections are justified for the
following reasons:
(1) From 5 U.S.C. 552a(c)(3), because making available the
accounting of disclosures to an individual who is the subject of a
record could reveal investigative interest. This would permit the
individual to take measures to destroy evidence, intimidate potential
witnesses, or flee the area to avoid the investigation.
(2) From 5 U.S.C. 552a(d), (e)(1), and (f) concerning individual
access to records, when such access could compromise classified
information related to national security, interfere with a pending
investigation or internal inquiry, constitute an unwarranted invasion
of privacy, reveal a sensitive investigative technique, or pose a
potential threat to the Commission or its employees or to law
enforcement personnel. Additionally, access could
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reveal the identity of a source who provided information under an
express promise of confidentiality.
(3) From 5 U.S.C. 552a(d)(2), because to require the Commission to
amend information thought to be incorrect, irrelevant, or untimely,
because of the nature of the information collected and the length of
time it is maintained, would create an impossible administrative and
investigative burden by continually forcing the Commission to resolve
questions of accuracy, relevance, timeliness, and completeness.
(4) From 5 U.S.C. 552a(e)(1) because:
(i) It is not always possible to determine relevance or necessity
of specific information in the early stages of an investigation.
(ii) Relevance and necessity are matters of judgment and timing in
that what appears relevant and necessary when collected may be deemed
unnecessary later. Only after information is assessed can its relevance
and necessity be established.
(iii) In any investigation the Commission may receive information
concerning violations of law under the jurisdiction of another agency.
In the interest of effective law enforcement and under 25 U.S.C.
2716(b), the information could be relevant to an investigation by the
Commission.
(iv) In the interviewing of individuals or obtaining evidence in
other ways during an investigation, the Commission could obtain
information that may or may not appear relevant at any given time;
however, the information could be relevant to another investigation by
the Commission.
Dated: December 30, 2016.
Jonodev Chaudhuri,
Chairman.
Kathryn Isom-Clause,
Vice-Chair.
Sequoyah Simermeyer,
Commissioner.
[FR Doc. 2017-00585 Filed 1-23-17; 8:45 am]
BILLING CODE 7565-01-P
