Rules Governing Compliance With Subpoenas, Summonses, and Court Orders for the Office of Inspector General, 14539-14541 [2021-04210]
Download as PDF
Federal Register / Vol. 86, No. 50 / Wednesday, March 17, 2021 / Rules and Regulations
For the reasons stated in the
preamble, the Postal Service amends 39
CFR part 230 as follows:
Subpart G—Penalties
§ 597.701
[Amended]
47. In § 597.701, in paragraph (b)(3),
remove ‘‘$81,283’’ and add in its place
‘‘$82,244’’.
■
PART 598—FOREIGN NARCOTICS
KINGPIN SANCTIONS REGULATIONS
48. The authority citation for part 598
is revised to read as follows:
■
Authority: 3 U.S.C. 301; 21 U.S.C. 1901–
1908; 31 U.S.C. 321(b); Pub. L. 101–410, 104
Stat. 890, as amended (28 U.S.C. 2461 note).
Subpart G—Penalties
§ 598.701
[Amended]
49. In § 598.701, in paragraph (a)(4),
remove ‘‘$1,529,991’’ and add in its
place ‘‘$1,548,075’’.
■
[FR Doc. 2021–05506 Filed 3–16–21; 8:45 am]
BILLING CODE 4810–AL–P
POSTAL SERVICE
39 CFR Part 230
Rules Governing Compliance With
Subpoenas, Summonses, and Court
Orders for the Office of Inspector
General
Postal ServiceTM.
ACTION: Final rule.
AGENCY:
The Postal Service is
amending the Code of Federal
Regulations to state rules that govern
compliance with subpoenas,
summonses, and court orders served on
employees of the Office of Inspector
General where neither the Postal
Service, the United States, nor any other
Federal agency is a party.
DATES: Effective March 17, 2021.
FOR FURTHER INFORMATION CONTACT:
Matthew C. Glover, Director, Legal
Services, Office of Inspector General, at
(703) 248–4584.
SUPPLEMENTARY INFORMATION: On
October 3, 2003, the Postal Service
published rules governing compliance
with subpoenas, summonses, and court
orders served on employees of the
Office of Inspector General.
Those rules appear in subpart B of
part 230. This publication amends and
updates the existing rules.
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List of Subjects in 39 CFR Part 230
Administrative practice and
procedure.
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1. The authority citation for part 230
continues to read as follows:
■
Authority: 5 U.S.C. app. 3; 39 U.S.C. 401(2)
and 1001.
■
2. Revise subpart B to read as follows:
Subpart B—Rules Governing
Compliance With Subpoenas,
Summonses, and Court Orders by
Postal Employees Within the Office of
Inspector General Where Neither the
Postal Service, the United States, Nor
Any Other Federal Agency Is a Party
§ 230.10 Demands for records or
testimony.
Dated: March 12, 2021.
Bradley T. Smith,
Acting Director, Office of Foreign Assets
Control.
SUMMARY:
PART 230—OFFICE OF INSPECTOR
GENERAL
(a) Scope and applicability. (1) This
section sets forth the Touhy regulations
of the U.S. Postal Service Office of
Inspector General. It applies to
situations where an employee of the
Office of Inspector General has been
summoned, subpoenaed, or given a
court order to produce documents or
provide testimony in connection with
any Federal, State, local court,
administrative, or legislative
proceeding.
(2) This section does not apply to:
(i) Proceedings where the United
States, the Postal Service, or any other
Federal agency is named as a party;
(ii) Congressional requests or
subpoenas for testimony or documents;
or
(iii) Appearances by employees in
their private capacities in proceedings
unrelated to their Postal Service
employment.
(3) This section should be read
together with the Freedom of
Information Act (FOIA), 5 U.S.C. 552a,
which provides additional information
about access to records. The provisions
of this section do not affect rights and
procedures governing public access to
official documents pursuant to the
FOIA.
(4) This section does not create any
right or benefit, substantive or
procedural, enforceable by any party
against the Office of Inspector General
or the U.S. Postal Service.
(b) General prohibition. (1) No
employee may testify or produce
documents concerning information
acquired in the course of employment or
as a result of his or her relationship with
the Postal Service in any case or matter,
unless authorized to do so by an
authorizing official.
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(2) Without written authorization
from the authorizing official, the
employee must respectfully decline to
produce documents, testify, or
otherwise disclose the requested
information. If the authorization is
denied or not received by the return
date, the employee (together with
counsel, where appropriate) shall
appear at the stated time and place,
produce a copy of this section, and
respectfully decline to testify or produce
any document on the basis of the
regulations in this section.
(3) If an attempt is made to compel
production of documents during the
employee’s testimony, the employee is
directed to decline to produce the item
or information and to state that the
material cannot be disclosed or
produced without the approval of the
authorizing official.
(c) Procedure to request documents or
testimony. (1) All demands seeking the
production of nonpublic documents or
employee testimony concerning matters
relating to their official duties shall be
made in writing and conform to the
requirements outlined in paragraphs
(c)(2) and (3) of this section.
(2) The requesting party shall serve a
summons or subpoena issued in
accordance with the appropriate rules of
procedure on the General Counsel to the
Inspector General at the Office of
Inspector General, 1735 North Lynn
Street, Arlington, VA 22209–2020.
(3) Together with a summons or
subpoena served on the General
Counsel, the requesting party shall
include an affidavit or sworn
declaration containing the following
information:
(i) The title of the case and the forum
where it will be heard;
(ii) The party’s interest in the case;
(iii) The reasons for the demand;
(iv) If testimony is sought, a detailed
summary of the anticipated testimony;
(v) If testimony is sought, a showing
that Office of Inspector General records
could not be provided and used in place
of the requested testimony;
(vi) The intended use of the
documents or testimony; and
(vii) An affirmative statement that the
documents or testimony is necessary for
defending or prosecuting the case at
issue.
(d) Evaluation of a demand for
documents or testimony. (1) The
authorizing official will consider the
factors in paragraphs (d)(1)(i) through
(viii) of this section when deciding
whether to authorize testimony or the
production of documents:
(i) Statutory restrictions, as well as
any legal objection, exemption, or
privilege that may apply;
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Federal Register / Vol. 86, No. 50 / Wednesday, March 17, 2021 / Rules and Regulations
(ii) Relevant legal standards for
disclosure of nonpublic information and
documents;
(iii) Office of Inspector General rules
and regulations;
(iv) The public interest;
(v) Minimizing or preventing
expenditures of Office of Inspector
General time and resources solely for
private purposes;
(vi) Minimizing the appearance of
improperly favoring one litigant over
another;
(vii) Minimizing the possibility that
the public will misconstrue variances
between personal opinions of Office of
Inspector General employees and
agency policy; and
(viii) Preserving the integrity of the
administrative process.
(2) Where, on the basis of its
investigation, the Office of Inspector
General has requested or recommended
that a State or local prosecuting
authority pursue a criminal prosecution
or has otherwise approved such a
prosecution, that prosecuting authority
will be deemed to have made a proper
request for information to be used in
connection with that prosecution. With
respect to other criminal matters
pursued in state or local courts, the
consideration shall also be given to the
additional factors in paragraphs (d)(2)(i)
through (iv) of this section:
(i) The seriousness of the violation or
crime involved;
(ii) The past history or criminal record
of the violator or accused;
(iii) The importance of the legal issues
presented; and
(iv) The relatedness of the crime to
the Office of Inspector General’s
mission.
(3) The following records described in
paragraphs (d)(2)(i) through (iii) of this
section will not be released:
(i) Records required to remain
confidential by the Freedom of
Information Act, the Privacy Act, this
part, and part 262 of this chapter,
(ii) Records containing information
relating to an employee’s security or
loyalty; and
(iii) Original records.
(4)(i) The following records and
testimony may only be produced under
the circumstances described in
paragraphs (d)(4)(i)(A) through (C) of
this section:
(A) The Office of Inspector General
Manual and other operating instructions
issued to employees when specifically
authorized after consultation with the
General Counsel to the Inspector
General;
(B) Office of Inspector General
criminal investigative reports when
specifically authorized after consulting
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with the General Counsel to the
Inspector General; and
(C) Information relating to
confidential investigative techniques,
confidential sources of information, and
information that must be keep
confidential under the Inspector General
Act, as amended, 5 U.S.C. app. 3. Where
the authorizing official determines this
information would otherwise be
appropriate for release under this part,
the Office of Inspector General may
request an in camera review to
determine the necessity for its release.
(ii) The specific limitations on the
production of certain categories of
information set forth in paragraphs
(d)(4)(i)(A) through (C) of this section do
not require or imply that other
documents or testimony will be
authorized without limitation.
(5) When authorizing testimony or the
release of documents, the authorizing
official will establish the extent of the
Office of Inspector General’s response.
(i) Permission to testify or to release
documents in all cases will be limited
to matters outlined in the affidavit or
declaration described in paragraph (c)(3)
of this section, or to such matters as
deemed appropriate by the authorizing
official.
(ii) If the authorizing official allows
the production of documents or
testimony, arrangements shall be made
for the taking of testimony or receipt of
documents by the method least
disruptive to the employee’s official
duties. Testimony may, for example, be
provided by affidavits, answers to
interrogatories, written depositions, or
depositions transcribed, recorded, or
preserved by any other means allowable
by law.
(iii) The Inspector General,
authorizing official, or a delegee may
designate an employee other than the
employee identified in the request to
respond to a request for an appearance.
(6) Upon the authorizing official’s
issuance of a final determination not to
authorize testimony or release records,
the party making the request may
consult or negotiate with the
authorizing official to refine and limit
the demand.
(7) Notwithstanding the Office of
Inspector General’s general commitment
to offer all possible assistance to the
courts, the disclosure of information
falling within the scope of this part is
a matter of discretion, resting with the
authorizing official. If, in the opinion of
the authorizing official requested
documents should not be released or
testimony should not be provided, that
determination will be final.
(e) Representation of an employee in
any appearance. At the option of the
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authorizing official, an Office of
Inspector General attorney may make an
appearance on behalf of the Office of
Inspector General and assist an
employee whose appearance has been
requested and authorized. The
authorizing official may also request
assistance from the U.S. Department of
Justice.
(f) Expert or opinion witness. Unless
authorized by the authorizing official,
an employee may not testify as an
expert or opinion witness regarding any
matter arising out of the employee’s
duties or functions at the Office of
Inspector General for any party other
than the United States. A litigant must
first obtain the permission of an
authorizing official before designating
an employee as an expert or opinion
witness.
(g) Costs and fees. (1) The Office of
Inspector General is authorized to
charge reasonable fees to parties
demanding documents or information.
Unless determined by 28 U.S.C. 1821 or
other applicable statute, the costs of
responding to a request for documents
or testimony shall be borne by the
requesting party. As determined by the
Office of Inspector General, costs
calculated to reimburse the Office for
the cost of responding to a demand may
include:
(i) The costs of time expended by
employees to process and respond to the
demand;
(ii) Attorney time for reviewing,
responding to, or processing the
demand and for legal work in
connection with the demand;
(iii) Expenses generated by equipment
used to search for, produce, and copy
the requested information;
(iv) Expenses attendant upon an
employee’s absence from his or her
official duties in connection with the
case or matter, including the employee’s
salary and applicable overhead charges;
(v) Travel costs of any employees who
testify or are requested to testify and any
agency attorney or other representative
who travels in connection with a
request for testimony, including lodging
and per diem, assessed, as applicable, at
the rates and in the manner specified in
39 CFR 265.9; and
(vi) Other costs of providing
testimony, including the cost of
transcripts.
(2) At the discretion of the Office of
Inspector General where appropriate,
fees and costs may be estimated and
collected before testimony is given.
(h) Definitions. The following
definitions apply to this section.
Authorizing official means the
Inspector General or an official
designated by the Inspector General to
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Federal Register / Vol. 86, No. 50 / Wednesday, March 17, 2021 / Rules and Regulations
authorize release of documents or
employee testimony.
Case or matter means any civil or
criminal proceeding before a court of
law, administrative board, hearing
officer, or other body conducting a
judicial or administrative proceeding.
The term also includes proceedings in
legislative bodies other than the
Congress of the United States.
Demand means any request, order, or
subpoena for testimony or the
production of documents.
Document includes all information
falling within the scope of the terms
‘‘documents’’ and ‘‘electronically stored
information’’ in Federal Rule of Civil
Procedure 34(a) and any analogous rules
applicable to the case or matter in
which a demand is made.
Employee includes all current and
former employees of the Office of
Inspector General (whether temporary
or permanent, part-time or full-time),
employees of the Postal Service
assigned or detailed to the Office of
Inspector General, student interns,
student cooperatives, contractors, and
employees of contractors who have or
had access to Office of Inspector General
information and records.
Nonpublic means all documents or
information not subject to mandatory
public disclosure under 39 CFR 265.6(b)
or that must be kept confidential under
the Inspector General Act of 1978 as
amended, 5 U.S.C. app. 3.
Testify or testimony include in-person
oral statements before any body
conducting a judicial, administrative, or
legislative proceeding, statements made
in depositions, answers to
interrogatories, declarations, affidavits,
or other similar documents.
Ruth Stevenson,
Chief Counsel, Federal Compliance.
Table of Contents
[FR Doc. 2021–04210 Filed 3–16–21; 8:45 am]
I. What is being addressed in this document?
II. Have the requirements for approval of a
SIP revision been met?
III. What action is the EPA taking?
IV. Incorporation by Reference
V. Statutory and Executive Order Reviews
BILLING CODE P
ENVIRONMENTAL PROTECTION
AGENCY
40 CFR Part 52
[EPA–R07–OAR–2020–0620; FRL–10021–
40–Region 7]
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Air Plan Approval; Missouri; Removal
of Control of Emissions From Solvent
Cleanup Operations
Environmental Protection
Agency (EPA).
ACTION: Final rule.
AGENCY:
The Environmental Protection
Agency (EPA) is taking final action to
approve a State Implementation Plan
SUMMARY:
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15:45 Mar 16, 2021
Jkt 253001
(SIP) revision submitted by the State of
Missouri on January 15, 2019, and
supplemented by letter on June 14,
2019. Missouri requests that the EPA
remove a rule related to control of
emissions from the solvent cleanup
operations in the Kansas City, Missouri
area from its SIP. This removal does not
have an adverse effect on air quality.
The EPA’s approval of this rule revision
is in accordance with the requirements
of the Clean Air Act (CAA) and will
ensure consistency between state and
federally-approved rules.
DATES: This final rule is effective on
April 16, 2021.
ADDRESSES: The EPA has established a
docket for this action under Docket ID
No. EPA–R07–OAR–2020–0620. All
documents in the docket are listed on
the https://www.regulations.gov
website. Although listed in the index,
some information is not publicly
available, i.e., CBI or other information
whose disclosure is restricted by statute.
Certain other material, such as
copyrighted material, is not placed on
the internet and will be publicly
available only in hard copy form.
Publicly available docket materials are
available through https://
www.regulations.gov or please contact
the person identified in the FOR FURTHER
INFORMATION CONTACT section for
additional information.
FOR FURTHER INFORMATION CONTACT:
William Stone, Environmental
Protection Agency, Region 7 Office, Air
Quality Planning Branch, 11201 Renner
Boulevard, Lenexa, Kansas 66219;
telephone number: (913) 551–7714;
email address: stone.william@epa.gov.
SUPPLEMENTARY INFORMATION:
Throughout this document ‘‘we,’’ ‘‘us,’’
and ‘‘our’’ refer to the EPA.
I. What is being addressed in this
document?
The EPA is approving the removal of
10 Code of State Regulations (CSR) 10–
2.215, Control of Emissions from
Solvent Cleanup Operations, from the
Missouri SIP.
At the time that the rule was
approved into the SIP, 10 CSR 10–2.215
applied to any person in Clay, Jackson
and Platte Counties in Missouri that
performs or allows the performance of
any cleaning operation involving the
use of a volatile organic compound
(VOC) solvent or solvent solution that
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14541
emitted over 500 pounds per day of
VOCs. According to the June 14, 2019
letter from the Missouri Department of
Natural Resources, available in the
docket for this action, Missouri
rescinded the rule because there are no
sources subject to the rule, and the rule
is no longer necessary for attainment
and maintenance of the 1979, 1997, or
2008 National Ambient Air Quality
Standards (NAAQS) for Ozone.
As explained in detail in the EPA’s
proposed rule, Missouri has
demonstrated that removal of 10 CSR
10–2.215 will not interfere with
attainment of the NAAQS, reasonable
further progress 1 or any other
applicable requirement of the CAA
because there are no existing sources
that are subject to the rule, and therefore
removal of the rule will not cause VOC
emissions to increase. 85 FR 82995,
December 21, 2020.
The EPA solicited comments on the
proposed revision to Missouri’s SIP, and
did not receive any comments.
Therefore, the EPA is finalizing its
proposal to remove 10 CSR 10–2.215
from the SIP.
II. Have the requirements for approval
of a SIP revision been met?
The State submission has met the
public notice requirements for SIP
submissions in accordance with 40 CFR
51.102. The submission also satisfied
the completeness criteria of 40 CFR part
51, appendix V. The State provided
public notice on this SIP revision from
February 28, 2018, to April 5, 2018 and
received five comments from the EPA
that related to Missouri’s lack of an
adequate demonstration that the rule
could be removed from the SIP in
accordance with section 110(l) of the
CAA. Missouri’s June 14, 2019 letter
addressed the EPA’s comments. In
addition, the revision meets the
substantive SIP requirements of the
CAA, including section 110 and
implementing regulations.
III. What action is the EPA taking?
The EPA is taking final action to
approve Missouri’s request to remove 10
CSR 2.215 from the SIP.
IV. Incorporation by Reference
In this document, the EPA is
amending regulatory text that includes
incorporation by reference. As described
in the amendments to 40 CFR part 52 set
forth below, the EPA is removing
provisions of the EPA-Approved
Missouri Regulation from the Missouri
1 RFP is not applicable to the Kansas City Area
because the area is in attainment of all applicable
ozone standards.
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Agencies
[Federal Register Volume 86, Number 50 (Wednesday, March 17, 2021)]
[Rules and Regulations]
[Pages 14539-14541]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-04210]
=======================================================================
-----------------------------------------------------------------------
POSTAL SERVICE
39 CFR Part 230
Rules Governing Compliance With Subpoenas, Summonses, and Court
Orders for the Office of Inspector General
AGENCY: Postal ServiceTM.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Postal Service is amending the Code of Federal Regulations
to state rules that govern compliance with subpoenas, summonses, and
court orders served on employees of the Office of Inspector General
where neither the Postal Service, the United States, nor any other
Federal agency is a party.
DATES: Effective March 17, 2021.
FOR FURTHER INFORMATION CONTACT: Matthew C. Glover, Director, Legal
Services, Office of Inspector General, at (703) 248-4584.
SUPPLEMENTARY INFORMATION: On October 3, 2003, the Postal Service
published rules governing compliance with subpoenas, summonses, and
court orders served on employees of the Office of Inspector General.
Those rules appear in subpart B of part 230. This publication
amends and updates the existing rules.
List of Subjects in 39 CFR Part 230
Administrative practice and procedure.
For the reasons stated in the preamble, the Postal Service amends
39 CFR part 230 as follows:
PART 230--OFFICE OF INSPECTOR GENERAL
0
1. The authority citation for part 230 continues to read as follows:
Authority: 5 U.S.C. app. 3; 39 U.S.C. 401(2) and 1001.
0
2. Revise subpart B to read as follows:
Subpart B--Rules Governing Compliance With Subpoenas, Summonses,
and Court Orders by Postal Employees Within the Office of Inspector
General Where Neither the Postal Service, the United States, Nor
Any Other Federal Agency Is a Party
Sec. 230.10 Demands for records or testimony.
(a) Scope and applicability. (1) This section sets forth the Touhy
regulations of the U.S. Postal Service Office of Inspector General. It
applies to situations where an employee of the Office of Inspector
General has been summoned, subpoenaed, or given a court order to
produce documents or provide testimony in connection with any Federal,
State, local court, administrative, or legislative proceeding.
(2) This section does not apply to:
(i) Proceedings where the United States, the Postal Service, or any
other Federal agency is named as a party;
(ii) Congressional requests or subpoenas for testimony or
documents; or
(iii) Appearances by employees in their private capacities in
proceedings unrelated to their Postal Service employment.
(3) This section should be read together with the Freedom of
Information Act (FOIA), 5 U.S.C. 552a, which provides additional
information about access to records. The provisions of this section do
not affect rights and procedures governing public access to official
documents pursuant to the FOIA.
(4) This section does not create any right or benefit, substantive
or procedural, enforceable by any party against the Office of Inspector
General or the U.S. Postal Service.
(b) General prohibition. (1) No employee may testify or produce
documents concerning information acquired in the course of employment
or as a result of his or her relationship with the Postal Service in
any case or matter, unless authorized to do so by an authorizing
official.
(2) Without written authorization from the authorizing official,
the employee must respectfully decline to produce documents, testify,
or otherwise disclose the requested information. If the authorization
is denied or not received by the return date, the employee (together
with counsel, where appropriate) shall appear at the stated time and
place, produce a copy of this section, and respectfully decline to
testify or produce any document on the basis of the regulations in this
section.
(3) If an attempt is made to compel production of documents during
the employee's testimony, the employee is directed to decline to
produce the item or information and to state that the material cannot
be disclosed or produced without the approval of the authorizing
official.
(c) Procedure to request documents or testimony. (1) All demands
seeking the production of nonpublic documents or employee testimony
concerning matters relating to their official duties shall be made in
writing and conform to the requirements outlined in paragraphs (c)(2)
and (3) of this section.
(2) The requesting party shall serve a summons or subpoena issued
in accordance with the appropriate rules of procedure on the General
Counsel to the Inspector General at the Office of Inspector General,
1735 North Lynn Street, Arlington, VA 22209-2020.
(3) Together with a summons or subpoena served on the General
Counsel, the requesting party shall include an affidavit or sworn
declaration containing the following information:
(i) The title of the case and the forum where it will be heard;
(ii) The party's interest in the case;
(iii) The reasons for the demand;
(iv) If testimony is sought, a detailed summary of the anticipated
testimony;
(v) If testimony is sought, a showing that Office of Inspector
General records could not be provided and used in place of the
requested testimony;
(vi) The intended use of the documents or testimony; and
(vii) An affirmative statement that the documents or testimony is
necessary for defending or prosecuting the case at issue.
(d) Evaluation of a demand for documents or testimony. (1) The
authorizing official will consider the factors in paragraphs (d)(1)(i)
through (viii) of this section when deciding whether to authorize
testimony or the production of documents:
(i) Statutory restrictions, as well as any legal objection,
exemption, or privilege that may apply;
[[Page 14540]]
(ii) Relevant legal standards for disclosure of nonpublic
information and documents;
(iii) Office of Inspector General rules and regulations;
(iv) The public interest;
(v) Minimizing or preventing expenditures of Office of Inspector
General time and resources solely for private purposes;
(vi) Minimizing the appearance of improperly favoring one litigant
over another;
(vii) Minimizing the possibility that the public will misconstrue
variances between personal opinions of Office of Inspector General
employees and agency policy; and
(viii) Preserving the integrity of the administrative process.
(2) Where, on the basis of its investigation, the Office of
Inspector General has requested or recommended that a State or local
prosecuting authority pursue a criminal prosecution or has otherwise
approved such a prosecution, that prosecuting authority will be deemed
to have made a proper request for information to be used in connection
with that prosecution. With respect to other criminal matters pursued
in state or local courts, the consideration shall also be given to the
additional factors in paragraphs (d)(2)(i) through (iv) of this
section:
(i) The seriousness of the violation or crime involved;
(ii) The past history or criminal record of the violator or
accused;
(iii) The importance of the legal issues presented; and
(iv) The relatedness of the crime to the Office of Inspector
General's mission.
(3) The following records described in paragraphs (d)(2)(i) through
(iii) of this section will not be released:
(i) Records required to remain confidential by the Freedom of
Information Act, the Privacy Act, this part, and part 262 of this
chapter,
(ii) Records containing information relating to an employee's
security or loyalty; and
(iii) Original records.
(4)(i) The following records and testimony may only be produced
under the circumstances described in paragraphs (d)(4)(i)(A) through
(C) of this section:
(A) The Office of Inspector General Manual and other operating
instructions issued to employees when specifically authorized after
consultation with the General Counsel to the Inspector General;
(B) Office of Inspector General criminal investigative reports when
specifically authorized after consulting with the General Counsel to
the Inspector General; and
(C) Information relating to confidential investigative techniques,
confidential sources of information, and information that must be keep
confidential under the Inspector General Act, as amended, 5 U.S.C. app.
3. Where the authorizing official determines this information would
otherwise be appropriate for release under this part, the Office of
Inspector General may request an in camera review to determine the
necessity for its release.
(ii) The specific limitations on the production of certain
categories of information set forth in paragraphs (d)(4)(i)(A) through
(C) of this section do not require or imply that other documents or
testimony will be authorized without limitation.
(5) When authorizing testimony or the release of documents, the
authorizing official will establish the extent of the Office of
Inspector General's response.
(i) Permission to testify or to release documents in all cases will
be limited to matters outlined in the affidavit or declaration
described in paragraph (c)(3) of this section, or to such matters as
deemed appropriate by the authorizing official.
(ii) If the authorizing official allows the production of documents
or testimony, arrangements shall be made for the taking of testimony or
receipt of documents by the method least disruptive to the employee's
official duties. Testimony may, for example, be provided by affidavits,
answers to interrogatories, written depositions, or depositions
transcribed, recorded, or preserved by any other means allowable by
law.
(iii) The Inspector General, authorizing official, or a delegee may
designate an employee other than the employee identified in the request
to respond to a request for an appearance.
(6) Upon the authorizing official's issuance of a final
determination not to authorize testimony or release records, the party
making the request may consult or negotiate with the authorizing
official to refine and limit the demand.
(7) Notwithstanding the Office of Inspector General's general
commitment to offer all possible assistance to the courts, the
disclosure of information falling within the scope of this part is a
matter of discretion, resting with the authorizing official. If, in the
opinion of the authorizing official requested documents should not be
released or testimony should not be provided, that determination will
be final.
(e) Representation of an employee in any appearance. At the option
of the authorizing official, an Office of Inspector General attorney
may make an appearance on behalf of the Office of Inspector General and
assist an employee whose appearance has been requested and authorized.
The authorizing official may also request assistance from the U.S.
Department of Justice.
(f) Expert or opinion witness. Unless authorized by the authorizing
official, an employee may not testify as an expert or opinion witness
regarding any matter arising out of the employee's duties or functions
at the Office of Inspector General for any party other than the United
States. A litigant must first obtain the permission of an authorizing
official before designating an employee as an expert or opinion
witness.
(g) Costs and fees. (1) The Office of Inspector General is
authorized to charge reasonable fees to parties demanding documents or
information. Unless determined by 28 U.S.C. 1821 or other applicable
statute, the costs of responding to a request for documents or
testimony shall be borne by the requesting party. As determined by the
Office of Inspector General, costs calculated to reimburse the Office
for the cost of responding to a demand may include:
(i) The costs of time expended by employees to process and respond
to the demand;
(ii) Attorney time for reviewing, responding to, or processing the
demand and for legal work in connection with the demand;
(iii) Expenses generated by equipment used to search for, produce,
and copy the requested information;
(iv) Expenses attendant upon an employee's absence from his or her
official duties in connection with the case or matter, including the
employee's salary and applicable overhead charges;
(v) Travel costs of any employees who testify or are requested to
testify and any agency attorney or other representative who travels in
connection with a request for testimony, including lodging and per
diem, assessed, as applicable, at the rates and in the manner specified
in 39 CFR 265.9; and
(vi) Other costs of providing testimony, including the cost of
transcripts.
(2) At the discretion of the Office of Inspector General where
appropriate, fees and costs may be estimated and collected before
testimony is given.
(h) Definitions. The following definitions apply to this section.
Authorizing official means the Inspector General or an official
designated by the Inspector General to
[[Page 14541]]
authorize release of documents or employee testimony.
Case or matter means any civil or criminal proceeding before a
court of law, administrative board, hearing officer, or other body
conducting a judicial or administrative proceeding. The term also
includes proceedings in legislative bodies other than the Congress of
the United States.
Demand means any request, order, or subpoena for testimony or the
production of documents.
Document includes all information falling within the scope of the
terms ``documents'' and ``electronically stored information'' in
Federal Rule of Civil Procedure 34(a) and any analogous rules
applicable to the case or matter in which a demand is made.
Employee includes all current and former employees of the Office of
Inspector General (whether temporary or permanent, part-time or full-
time), employees of the Postal Service assigned or detailed to the
Office of Inspector General, student interns, student cooperatives,
contractors, and employees of contractors who have or had access to
Office of Inspector General information and records.
Nonpublic means all documents or information not subject to
mandatory public disclosure under 39 CFR 265.6(b) or that must be kept
confidential under the Inspector General Act of 1978 as amended, 5
U.S.C. app. 3.
Testify or testimony include in-person oral statements before any
body conducting a judicial, administrative, or legislative proceeding,
statements made in depositions, answers to interrogatories,
declarations, affidavits, or other similar documents.
Ruth Stevenson,
Chief Counsel, Federal Compliance.
[FR Doc. 2021-04210 Filed 3-16-21; 8:45 am]
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