81_FR_85423 81 FR 85196 - Production of Official Records or Disclosure of Official Information in Proceedings Before Federal, State or Local Governmental Entities of Competent Jurisdiction

81 FR 85196 - Production of Official Records or Disclosure of Official Information in Proceedings Before Federal, State or Local Governmental Entities of Competent Jurisdiction

DEPARTMENT OF DEFENSE
Office of the Secretary

Federal Register Volume 81, Issue 227 (November 25, 2016)

Page Range85196-85201
FR Document2016-28221

This proposed rule sets forth procedures for the National Reconnaissance Office (NRO) personnel to follow for the release of official information by NRO personnel in legal proceedings, through testimony, production of documents, or otherwise.

Federal Register, Volume 81 Issue 227 (Friday, November 25, 2016)
[Federal Register Volume 81, Number 227 (Friday, November 25, 2016)]
[Proposed Rules]
[Pages 85196-85201]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-28221]


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DEPARTMENT OF DEFENSE

Office of the Secretary

32 CFR Part 267

[Docket ID: DOD-2016-OS-0079]
RIN 0790-AJ51


Production of Official Records or Disclosure of Official 
Information in Proceedings Before Federal, State or Local Governmental 
Entities of Competent Jurisdiction

AGENCY: National Reconnaissance Office, Department of Defense.

ACTION: Proposed rule.

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SUMMARY: This proposed rule sets forth procedures for the National 
Reconnaissance Office (NRO) personnel to follow for the release of 
official information by NRO personnel in legal proceedings, through 
testimony, production of documents, or otherwise.

DATES: Comments must be received by January 24, 2017.

ADDRESSES: You may submit comments, identified by docket number and/or 
Regulatory Information Number (RIN) and title, by any of the following 
methods:
     Federal Rulemaking Portal: http://www.regulations.gov.
    Follow the instructions for submitting comments.
     Mail: Department of Defense, Office of the Deputy Chief 
Management Officer, Directorate for Oversight and Compliance, 4800 Mark 
Center Drive, Mailbox #24, Alexandria, VA 22350-1700.
    Instructions: All submissions received must include the agency name 
and docket number or RIN for this Federal Register document. The 
general policy for comments and other submissions from members of the 
public is to make these submissions available for public viewing on the 
Internet at http://www.regulations.gov as they are received without 
change, including any personal identifiers or contact information.

FOR FURTHER INFORMATION CONTACT: Lisa Miller, (703) 808-1060.

SUPPLEMENTARY INFORMATION:

Background

    Pursuant to DoD Directive 5105.23, ``National Reconnaissance Office 
(NRO),'' effective October 29, 2015 (available at http://www.dtic.mil/whs/directives/corres/pdf/510523p.pdf), the NRO was designated as a 
Defense Agency. This proposed regulation aligns with comparable 
regulations for other defense agencies. This rulemaking discusses 
procedures for NRO personnel to follow when asked to provide official 
testimony in a legal proceeding. It also informs members of the public 
of the procedures for official NRO documents, files, records or 
information or official testimony which could include:
    (1) Any material contained in the files of the NRO;
    (2) Any information relating to, or based upon, material contained 
in the files of the NRO, including but not limited to summaries of such 
information or material, or opinions based on such information or 
material; or
    (3) Any information acquired by any person while such person was 
performing official duties while detailed to the NRO, assigned to the 
NRO, or due to that person's official status or association with the 
NRO. These procedures also apply to subpoenas duces tecum for any 
document within the NRO's possession and to requests for official 
certification of copies of any documents.
    These procedures discussed in this proposed rule apply to 
information requests associated with:
    (1) State court proceedings, to include grand jury proceedings.
    (2) Federal civil proceedings where the United States, NRO, or any 
other Federal Agency is not a party to the case; and
    (3) State and local legislative and administrative proceedings.

[[Page 85197]]

Authority

    The authority for promulgation of this regulatory action is 50 
U.S.C. 3003(4)(f) and 10 U.S.C. 424(b)(2), and Executive Order 12333, 
``United States Intelligence Activities'', as amended, with particular 
reference to Section 1.4 (f) and (g) and Section 1.6 (d), (e) and (h).
    Congress, when enacting the National Security Act of 1947 (``the 
Act''), intended to provide a comprehensive program for the future 
security of the United States, and provide for the establishment of 
integrated policies and procedures for the departments, agencies, and 
functions of the Government relating to the national security. The Act 
was designed to provide a Department of Defense, including the three 
military Departments of the Army, the Navy (including naval aviation 
and the United States Marine Corps), and the Air Force under the 
direction, authority, and control of the Secretary of Defense. The Act 
also provided for the establishment of unified or specified combatant 
commands. The National Reconnaissance Office is identified as an 
``intelligence agency'' under the National Security Act of 1947, as 
amended, (50 U.S.C. 3003(4)(f)).
    An exemption for specified intelligence agencies from the 
disclosure of organizational and personnel information is provided in 
10 U.S.C. 424(b)(2). This exemption provides that, except as required 
by the President, no provision of law shall be construed to require the 
disclosure of: (1) The organization or any function of an organization 
of the Department of Defense (specifically the Defense Intelligence 
Agency, National Reconnaissance Office and the National Geospatial 
Intelligence Agency); or (2) the number of persons employed by, or 
assigned or detailed to, any such organization or the name, official 
title, occupational series, grade, or salary of any such person.

Costs and Benefits

    This proposed rule would benefit the public and the United States 
Government by providing clear procedures for members of the public and 
Government employees to follow when official testimony or official 
documents, records, files or information are sought from NRO or from 
NRO personnel in connection with legal proceedings.

Regulatory Analysis

Executive Order 12866, ``Regulatory Planning and Review'' and Executive 
Order 13563, ``Improving Regulation and Regulatory Review''

    Executive Orders 12866 and 13563 direct agencies to assess all 
costs and benefits of available regulatory alternatives and, if 
regulation is necessary, to select regulatory approaches that maximize 
net benefits (including potential economic, environmental, public 
health and safety effects, distribute impacts, and equity). Executive 
Order 13563 emphasizes the importance of quantifying both costs and 
benefits, of reducing costs, of harmonizing rules, and of promoting 
flexibility. This proposed rule has been designated a ``significant 
regulatory action,'' although not economically significant because the 
rulemaking does not have an annual effect on the economy of $100 
million or more, under section 3(f) of Executive Order 12866. 
Accordingly, the rule has been reviewed by the Office of Management and 
Budget.

Unfunded Mandates Reform Act (2 U.S.C. Ch. 25)

    Section 202 of the Unfunded Mandates Reform Act of 1995 (UMRA) (2 
U.S.C. 1532) requires agencies to assess anticipated costs and benefits 
before issuing any rule whose mandates require spending in any 1 year 
of $100 million in 1995 dollars, updated annually for inflation. In 
2016, that threshold is approximately $146 million. This rulemaking 
would not mandate any requirements for State, local, or tribal 
governments, nor will it affect private sector costs.

Public Law 96-354, ``Regulatory Flexibility Act'' (5 U.S.C. Ch. 6)

    The Department of Defense certifies that this proposed rule is not 
subject to the Regulatory Flexibility Act (5 U.S.C. Ch. 6) because it 
would not, if promulgated, have a significant economic impact on a 
substantial number of small entities. This proposed rule would provide 
clarity to U.S. Government personnel and outside counsel on the proper 
rules and procedures to serve process on U.S. Government officials in 
their official capacity and to obtain official U.S. Government 
testimony or documents for use in legal proceedings. Therefore, the 
Regulatory Flexibility Act, as amended, does not require us to prepare 
a regulatory flexibility analysis.

Public Law 96-511, ``Paperwork Reduction Act'' (44 U.S.C. Chapter 35)

    It has been determined that this rulemaking does not impose 
reporting or record keeping requirements under the Paperwork Reduction 
Act of 1995.

Executive Order 13132, ``Federalism''

    Executive Order 13132 establishes certain requirements that an 
agency must meet when it promulgates a proposed rule (and subsequent 
final rule) that imposes substantial direct requirement costs on State 
and local governments, preempts State law, or otherwise has Federalism 
implications. This rulemaking would not have a substantial effect on 
the States; the relationship between the National Government and the 
States; or the distribution of power and responsibilities among the 
various levels of Government.

List of Subjects in 32 CFR Part 267

    Legal proceedings, Testimony, Documentation.

    Accordingly, 32 CFR part 267 is proposed to be added to read as 
follows:

PART 267--PRODUCTION OF OFFICIAL RECORDS OR DISCLOSURE OF OFFICIAL 
INFORMATION IN PROCEEDINGS BEFORE FEDERAL, STATE OR LOCAL 
GOVERNMENTAL ENTITIES OF COMPETENT JURISDICTION

Sec.
267.1 Scope and purpose.
267.2 Definitions.
267.3 Policy.
267.4 Procedures.
267.5 Service of process.
267.6 Fees.

    Authority: 50 U.S.C. 3003(4)(f) and 10 U.S.C. 424(b)(2).


Sec.  267.1  Scope and purpose.

    (a) This part establishes policy, assigns responsibilities, and 
prescribes mandatory procedures governing the release of official 
information by National Reconnaissance Office (NRO) personnel in legal 
proceedings, through testimony, production of documents, or otherwise. 
This part sets forth procedures for NRO personnel to follow if they are 
subpoenaed to produce or disclose, or to testify with respect to:
    (1) Any material contained in the files of the NRO;
    (2) Any information relating to, or based upon, material contained 
in the files of the NRO, including but not limited to summaries of such 
information or material, or opinions based on such information or 
material; or

[[Page 85198]]

    (3) Any information acquired by any person while such person was 
performing official duties while detailed to the NRO, assigned to the 
NRO, or due to that person's official status or association with the 
NRO. These procedures also apply to subpoenas duces tecum for any 
document within the NRO's possession and to requests for official 
certification of copies of any documents.
    (b) These procedures apply to information requests associated with:
    (1) State court proceedings, to include grand jury proceedings.
    (2) Federal civil proceedings where the United States, NRO, or any 
other Federal Agency is not a party to the case; and
    (3) State and local legislative and administrative proceedings.
    (c) These procedures do not apply to:
    (1) Congressional requests or subpoenas for testimony or documents; 
and
    (2) Release of official information or testimony by NRO personnel 
in the following situations, authorized:
    (i) Before courts-martial convened by the authority of the Military 
Departments or in any administrative meetings conducted by a DoD 
component;
    (ii) Pursuant to administrative proceedings conducted by the Equal 
Employment Opportunity and Diversity Management (EEO&DM) Office;
    (iii) In response to requests for records or information from the 
United States Department of Justice (DOJ) or other federal government 
counsel representing the United States or the interests of the United 
States in litigation;
    (iv) Pursuant to the disclosure of any information to Federal, 
State, or local prosecuting or law enforcement authorities in 
conjunction with an investigation conducted by a DoD criminal 
investigative organization.
    (d) This part is intended to provide guidance for the internal 
operation of the NRO and to ensure the orderly execution of NRO's 
mission, not to impede any legal proceeding.


Sec.  267.2  Definitions.

    For the purpose of this part:
    Demand. Any subpoena, order, or other legal summons (except 
garnishment orders) that is issued by a federal, state, or local 
governmental entity of competent jurisdiction with the authority to 
require the production, disclosure, or release of official NRO 
information or for the appearance and testimony of NRO personnel as 
witnesses.
    Employee or NRO employee. When used herein refers to NRO personnel, 
current or former.
    General Counsel. The NRO General Counsel, to include the Principal 
Deputy General Counsel, Deputy General Counsel, or Acting General 
Counsel.
    Litigation. All pretrial, trial, and post-trial stages of all 
existing or reasonably anticipated judicial or administrative actions, 
hearings, investigations, or similar proceedings before civilian 
courts, commissions, boards or other tribunals, foreign and domestic. 
This term includes responses to discovery requests, depositions, and 
other pretrial proceedings, as well as responses to formal or informal 
requests by attorneys or others in situations involving litigation.
    NRO personnel. Present and former civilian employees assigned or 
detailed to NRO, or employed by NRO, and present and former military 
personnel assigned or detailed to NRO, or employed by NRO. The 
definition of NRO personnel also includes individuals hired through 
contractual agreements by or on behalf of NRO.
    Official Information. All information of any kind, in any storage 
medium, whether or not classified or protected from disclosure that:
    (1) Is in the custody and control of the NRO; or
    (2) Relates to information in the custody and control of the NRO; 
or
    (3) Was acquired by NRO personnel as part of their official duties 
or because of their official status within NRO.
    Production or Produce. The disclosure of:
    (1) Any material contained in the files of NRO; or
    (2) Any information relating to, or based upon, material contained 
in the files of the NRO, including but not limited to summaries of such 
information or material, or opinions based on such information or 
material; or
    (3) Any information acquired by any person while such person was 
performing official duties as detailed to the NRO, assigned to the NRO, 
or due to that person's official status or association with the NRO.
    These procedures also apply to subpoenas duces tecum for any 
document within the NRO's possession and to requests for certification 
of copies of any documents.
    Service of Process. The delivery of a summons and complaint, or 
other document the purpose of which is to give notice of a proceeding 
or to establish the jurisdiction of a court or administrative 
proceeding, in the manner prescribed by Rule 4, Federal Rules of Civil 
Procedure, to an officer or agency of the United States named in court 
or administrative proceedings.


Sec.  267.3  Policy.

    (a) No employee shall produce any materials or information in 
response to a demand without prior authorization as set forth in this 
part. This part applies to current and to former employees and 
contractors, in accordance with applicable nondisclosure agreements.
    (b) This part is intended only to provide procedures for responding 
to a demand for production of documents or information, and is not 
intended to, does not, and may not be relied upon to, create any right 
or benefit, substantive or procedural, enforceable by any party against 
the United States.
    (c) Except as permitted by paragraph (d) of this section, no NRO 
personnel may provide testimony or produce documents in any proceeding 
referenced in Sec.  267.1(b) of this part concerning information 
acquired in the course of performing official NRO duties or because of 
the person's official relationship with NRO, except as specifically 
authorized by the General Counsel.
    (d) With the approval of the General Counsel, on behalf of the 
Director of NRO, NRO personnel may testify at the request of another 
Federal agency, or, where it is in the interests of the NRO, at the 
request of a State or local government or State legislative committee, 
subject to applicable nondisclosure agreements and in accordance with 
procedures set forth in this part.
    (e) Official information that is not classified or privileged may 
be made available for use in Federal and State courts, at the 
discretion of the General Counsel, who may deny requested information 
or testimony under the procedures set forth in this part, or as 
otherwise authorized and warranted under applicable law.


Sec.  267.4  Procedures.

    (a) If official information is sought, through testimony or 
otherwise, by a litigation demand, the individual seeking such release 
or testimony must set forth, in writing and with as much specificity as 
possible, the nature and relevance of the official information sought, 
and shall send such demand to NRO Office of General Counsel (OGC), 
National Reconnaissance Office, Chantilly, VA 20151.
    (b) Any NRO personnel in receipt of a litigation request or demand 
for official NRO information or the testimony of NRO personnel as

[[Page 85199]]

witnesses shall immediately notify the NRO OGC, National Reconnaissance 
Office, Chantilly, VA 20151 (703/808-1060), and shall provide a copy of 
the request or demand to the OGC, which shall follow the procedures set 
forth in this section.
    (c) NRO personnel shall not produce, disclose, release, comment 
upon, or testify concerning any official information during litigation 
except as expressly authorized in writing by the General Counsel. In 
exigent circumstances, the General Counsel may issue oral approval, but 
a written record of such approval will be made and retained in the OGC.
    (d) The NRO OGC and senior NRO officials with responsibility for 
the information sought in the demand shall determine whether any 
information, materials, or testimony may properly be produced in 
response to the demand, provided that the OGC may assert any and all 
legal defenses and objections to the demand available to NRO prior to 
the start of any search for information responsive to the demand. NRO 
may, in its sole discretion, decline to begin any search for 
information responsive to the demand until a final and non-appealable 
disposition of any such defenses and objections raised by NRO has been 
made by the entity or person that issued the demand.
    (e) In deciding whether to authorize the release of official NRO 
information or the testimony of NRO personnel concerning official 
information (hereafter referred to as ``production'') pursuant to 
paragraph (d) of this section, OGC shall consider the following 
factors, among any other pertinent considerations:
    (1) Whether production would be unduly burdensome or otherwise 
inappropriate under the applicable rules of discovery or the rules of 
procedure governing the case or matter in which the demand arose;
    (2) Whether production would violate a statute, executive order, 
regulation, or directive;
    (3) Whether production would reveal NRO organization, functions, or 
personnel information protected from disclosure by statute;
    (4) Whether production would reveal information properly classified 
in the interest of national security;
    (5) Whether production would interfere with ongoing enforcement 
proceedings, compromise constitutional rights, reveal the identity of 
an intelligence source or confidential informant, disclose trade 
secrets or similarly confidential commercial or financial information 
without the owner's consent, or otherwise be inappropriate under the 
circumstances;
    (6) Whether the disclosure would have an adverse effect on 
performance by the NRO of its official mission and duties, to include:
    (i) The need to conserve the time of NRO personnel for the conduct 
of official business;
    (ii) The need to avoid spending the time and money of the United 
States to serve private purposes;
    (iii) The need to avoid involving the NRO in contested issues not 
related to its official mission.
    (f) The NRO OGC is responsible for notifying the appropriate NRO 
employees and other persons of all decisions regarding responses to 
demands and providing advice and counsel as to the implementation of 
such decisions.
    (g) If, after NRO personnel have received a litigation request or 
demand and have in turn notified the OGC in accordance with paragraph 
(b) of this section, a response to the request or demand is required 
before instructions from the OGC are received, an attorney from the 
OGC, or, as appropriate, an attorney from the U.S. Department of 
Justice (DOJ) representing the NRO, shall appear before and furnish the 
court or other competent authority with a copy of this part; shall 
inform the requestor or the court or other authority that the request 
or demand is being reviewed, and shall respectfully seek a stay of the 
request or demand pending a final determination by NRO OGC.
    (h) If the court of competent jurisdiction or other appropriate 
authority declines to stay the effect of the request or demand in 
response to action taken pursuant to paragraph (g) of this section, or 
if such court or other authority orders that the request or demand must 
be complied with notwithstanding the final decision of the General 
Counsel, the NRO personnel upon whom the request or demand was made 
shall notify the General Counsel of such ruling or order. If the 
General Counsel determines that no further legal review of or challenge 
to the ruling or order will be sought, the affected NRO personnel shall 
comply with the demand or order. If directed by the General Counsel not 
to comply with the demand, however, the affected NRO personnel shall 
respectfully decline to comply with the demand. See United States ex 
rel. Touhy v. Ragen, 340 U.S. 462 (1951). In that circumstance, the NRO 
personnel shall state the following to the Court: ``I must respectfully 
advise the Court that under instructions given to me by the General 
Counsel of the National Reconnaissance Office, in accordance with 
Department of Defense Directive 5405.2 and [this part, (32 CFR part 
267), I must respectfully decline to [produce/disclose] that 
information.''
    (i) In the event NRO personnel receive a litigation demand for 
official information originated by another U.S. Government component, 
the General Counsel shall forward the appropriate portions of the 
request to the OGC for the other component. The General Counsel shall 
notify the requestor, court, or other authority of the referral, unless 
providing such notice would itself disclose classified information. To 
protect classified information, the General Counsel, in such cases, 
shall notify the requestor of the referral of the request, or positions 
thereof, to another government agency without specifying the identity 
of such agency. The General Counsel shall assist in coordinating 
responses by the unidentified agency to the request to the extent 
necessary to protect classified information from unauthorized 
disclosure.


Sec.  267.5  Service of process.

    (a) Service of Process Upon the NRO or NRO Personnel Accepted in an 
Official Capacity Only. This section sets forth mandatory procedures 
for accomplishing valid service of process by registered or certified 
mail upon NRO or upon NRO personnel sued or summoned in an official 
capacity.
    (b) Accepting service of process upon NRO personnel in their 
individual capacities at the workplace is not a function of NRO. 
Acceptance of service of process in a person's individual capacity is 
the responsibility of that individual. Consistent with 10 U.S.C. 424, 
NRO will not provide the name or address of any current or former 
employee of NRO to individuals or entities seeking to serve process on 
such employee solely in his or her individual capacity, even where the 
matter is related to NRO activities.
    (c) Service of a summons or complaint upon NRO or service of 
process upon NRO personnel for official information or testimony must 
be made by: serving the United States Attorney for the district in 
which the action is brought, and sending copies of the summons and 
complaint by registered or certified mail to the Attorney General of 
the United States and to the General Counsel of the National 
Reconnaissance Office, 15675 Lee Road, Chantilly, VA 20151-1715. The 
envelope shall be conspicuously marked ``Copy of Summons and Complaint 
Enclosed.'' Parties may call the OGC at (703) 808-1060 for guidance.
    (d) Only the General Counsel or designee is authorized to accept 
the copies of the summons or complaint on

[[Page 85200]]

behalf of NRO. Individual NRO personnel sued or summoned to provide 
information or testimony in an official capacity are not authorized to 
accept service of process. If the General Counsel accepts service of 
process on behalf of NRO or NRO personnel, in accordance with this 
paragraph, the documents for which service is accepted shall be 
stamped: ``Service accepted on behalf of the organization in official 
capacity only.''
    (1) NRO personnel who receive or who have reason to expect to 
receive service of process in any capacity concerning a matter that may 
involve testimony or the furnishing of documents that could reasonably 
be expected to involve official NRO information shall notify the NRO 
OGC, (703) 808-1060 before accepting service and before providing the 
requestor, counsel or other representative of the party who sent the 
demand with any official NRO information in response to the demand.
    (2) If service is sought in an official capacity upon an individual 
who is alleged to work at NRO Headquarters in Chantilly, Virginia, the 
process server should call OGC at (703) 808-1060 for guidance.
    (i) To protect classified NRO employment associations and/or 
classified contracts, the Office of General Counsel shall refuse to 
confirm or deny the existence or the nonexistence of an employment 
relationship with the specific individual sued or summoned in an 
official capacity (other than publicly acknowledged senior agency 
officials of NRO).
    (ii) OGC shall direct the process server to follow the procedures 
set forth in this part to serve process upon the United States Attorney 
for the judicial district in which the action is brought and to send a 
copy of such process to NRO OGC by certified or registered mail.
    (iii) OGC will notify the person summoned and the appropriate NRO 
Security Officer of the legal demand.
    (e) NRO does not accept personal service of process upon NRO 
personnel at NRO facilities or on NRO premises, unless expressly 
directed otherwise by the General Counsel. Process servers will not be 
allowed to enter NRO facilities for the purpose of serving process upon 
any NRO personnel solely in his or her individual capacity. The General 
Counsel, on behalf of the Director of NRO, has sole discretion to 
authorize acceptance of personal service of process upon the NRO or NRO 
personnel served in their official capacities, or served upon NRO 
personnel in an combined individual and official capacity, and may 
exercise this discretion in circumstances where serving process on NRO 
personnel by registered or certified mail is not authorized by law or 
where, in particular circumstances, the General Counsel determines that 
acceptance of personal service of process serves the best 
organizational interests of the NRO.
    (1) A process server who arrives at NRO during duty hours without 
first having contacted the NRO OGC will be referred to the Visitor 
Center. The Visitor Center is not authorized to and shall not accept 
service of process upon NRO or on behalf of any alleged NRO personnel. 
The Visitor Center shall contact OGC.
    (i) The General Counsel or designee shall review the service of 
process at the Visitor Center to assess whether the NRO person is sued 
or summoned in an official or in an individual capacity. If the person 
is sued or summoned in an individual capacity, the General Counsel 
shall refuse to accept service on that basis.
    (ii) If the General Counsel determines that service is sought upon 
NRO or upon an alleged employee of NRO in an official capacity, or if 
the General Counsel is concerned that official NRO information or 
documents may be relevant to the subject matter of the proceeding, the 
General Counsel shall direct the process server to follow the 
procedures set forth in this part and shall refuse to accept service on 
the basis of failure to comply with applicable regulations, unless, as 
an exercise of discretion, OGC determines that acceptance of personal 
service of process best serves the organizational interests of the NRO.
    (iii) If the General Counsel exercises discretion to accept service 
of process upon NRO or upon NRO personnel in an official capacity, in 
accordance with this paragraph, the documents for which service is 
accepted shall be stamped: ``Service accepted on behalf of the 
organization in official capacity only.''
    (iv) OGC will notify the person summoned and the appropriate NRO 
Security Officer of the legal demand.
    (2) [Reserved]
    (f) Litigants may attempt to serve process upon NRO personnel in 
their official capacities at their residences or other places. Because 
NRO personnel are not authorized to accept such service of process, 
such service is not effective under the Federal Rules of Civil 
Procedure. NRO personnel should refuse to accept service. However, NRO 
personnel may find it difficult to determine whether they are being 
sued or summoned in their private or official capacity. Therefore, NRO 
personnel shall notify NRO OGC as soon as possible if they receive any 
summons or complaint that appears to relate to actions in connection 
with their official duties and shall direct such summons or complaint 
to the General Counsel so that the General Counsel can determine the 
scope of service.
    (g) The Commander or Chief of Facility at NRO facilities other than 
NRO Headquarters may accept copies of service of process for himself or 
herself or for NRO personnel assigned to the installation who are sued 
or summoned in their official capacities, without officially confirming 
or denying the existence or nonexistence of an employment or contract 
relationship with the summoned individual. The Commander or Chief of 
Facility will accept any such service of process by noting on the 
return of service form: ``Service accepted on behalf of the 
organization in official capacity only.'' The Commander or Chief of 
Facility will then immediately refer the matter to the General Counsel.
    (1) No individual will officially confirm or deny that the person 
sued or summoned is affiliated with NRO as an employee or contractor 
unless OGC, in coordination with the Commander or Chief of Facility, 
has first determined both that the individual's association with NRO is 
unclassified and that such association may be officially and publicly 
acknowledged in connection with the legal proceeding. If the NRO 
person's association with NRO is classified, service of process shall 
not be accepted unless, as an exercise of discretion, OGC determines 
that acceptance of service of process under the circumstances best 
serves the organizational interests of the NRO and can be accomplished 
without officially confirming or denying the classified association at 
issue. Any such service if accepted must be stamped on the return of 
service form ``Service accepted on behalf of the organization in 
official capacity only.''
    (2) Whether service is accepted or refused, the General Counsel 
will coordinate with NRO security personnel, other federal agencies, or 
other US Government personnel and contact DOJ for guidance on how to 
provide information responsive to legal process while protecting 
classified information from unauthorized disclosure in accordance with 
legal requirements. If OGC or the Commander or Chief of Facility 
accepts service ``on behalf of the organization in official capacity 
only'' and that service was directed toward an individual whose 
association with NRO is or was

[[Page 85201]]

classified, OGC will work with the party who made the litigation demand 
and/or the court and DOJ to identify an individual who can provide 
responsive information or testimony while protecting classified 
information in accordance with legal requirements, or will move for 
other appropriate relief as necessary to protect classified 
information.
    (h) If any NRO person is sued or summoned in a foreign court, that 
person shall provide full documentation of the matter securely to the 
cognizant Commander or Chief of Facility. The Commander or Chief of 
Facility will immediately email a scanned copy of the service of 
process to OGC, and shall send the document securely via an information 
system approved to handle classified information, marking the email to 
indicate attorney-client privilege protections as applicable. The 
person sued or summoned will not complete any return of service forms 
for the foreign court without first obtaining approval from NRO OGC to 
the cognizant Commander or Chief of Facility in writing, and shall 
follow instructions from OGC regarding how to complete the return of 
service form. OGC will coordinate with DOJ to determine whether service 
is effective and whether the NRO person is entitled to be represented 
at Government expense.
    (i) The Commander or Chief of Facility will establish procedures at 
the NRO facility, including a provision for liaison with local staff 
judge advocates, if any, to ensure that service of process on persons 
in their individual capacities is accomplished in accordance with local 
law, relevant treaties, and Status of Forces Agreements. Such 
procedures must be approved by the General Counsel. Commanders or 
Chiefs of Facility will designate a point of contact to conduct liaison 
with the OGC.
    (j) Acceptance of service of any summons or complaint by OGC ``on 
behalf of the organization in official capacity only'' shall not 
constitute an official acknowledgement or confirmation by NRO that any 
individual named in the summons or complaint is, in fact, a current or 
former employee of NRO. Acceptance of service of process shall not 
constitute waiver with respect to jurisdiction, propriety or validity 
of service, improper venue, or any other defense in law or equity 
available under the laws or rules applicable to the service of process.


Sec.  267.6  Fees.

    (a) Consistent with the guidelines in DoD 7000.14-R, Vol. 11A, 
Chap. 4, ``User Fees'' (available at http://comptroller.defense.gov/Portals/45/documents/fmr/Volume_11a.pdf), NRO may charge reasonable 
fees, as established by regulation and to the extent not prohibited by 
law, to parties seeking, by request or demand, official information not 
otherwise available under the DoD Freedom of Information Act, 5 U.S.C. 
552. Such fees are calculated to reimburse the Government for the 
expense of providing such information, and may include:
    (1) The costs of time expended by NRO personnel to process and 
respond to the request or demand;
    (2) Attorney time for reviewing the request or demand and any 
information located in response thereto, and for related legal work in 
connection with the request or demand; and
    (3) Expenses generated by materials and equipment used to search 
for, produce, and copy the responsive information See Oppenheimer Fund, 
Inc. v. Sanders, 437 U.S. 340 (1978).
    (b) [Reserved]

    Dated: November 18, 2016.
Aaron Siegel,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
[FR Doc. 2016-28221 Filed 11-23-16; 8:45 am]
 BILLING CODE 5001-06-P



                                               85196                 Federal Register / Vol. 81, No. 227 / Friday, November 25, 2016 / Proposed Rules

                                               amounts less than this would have a present             determined using the interest rate and                Mailbox #24, Alexandria, VA 22350–
                                               value smaller than the required amount of               mortality table provided under the plan               1700.
                                               $262,344, and thus would fail to satisfy the            determined at either the date for
                                               minimum present value requirement of                                                                             Instructions: All submissions received
                                               section 417(e)(3).
                                                                                                       determining the interest rate and                     must include the agency name and
                                                                                                       mortality table before the amendment or               docket number or RIN for this Federal
                                               *       *    *     *     *                              the date for determining the interest rate            Register document. The general policy
                                                  (8) * * *                                            and mortality table after the                         for comments and other submissions
                                                  (vi) Applicability date for provisions               amendment, whichever results in the                   from members of the public is to make
                                               reflecting PPA ’06 updates and other                    larger distribution. If the plan                      these submissions available for public
                                               rules. Paragraphs (d)(1) through (4) of                 amendment is adopted retroactively                    viewing on the Internet at http://
                                               this section apply to distributions with                (that is, the amendment is effective prior            www.regulations.gov as they are
                                               annuity starting dates in plan years                    to the adoption date), the plan must use              received without change, including any
                                               beginning on or after the date                          the interest rate and mortality table                 personal identifiers or contact
                                               regulations that finalize these proposed                determination dates resulting in the                  information.
                                               regulations are published in the Federal                larger distribution for distributions with
                                               Register. Prior to this applicability date,             annuity starting dates occurring during               FOR FURTHER INFORMATION CONTACT:     Lisa
                                               taxpayers must continue to apply the                    the period beginning with the effective               Miller, (703) 808–1060.
                                               provisions of § 1.417(e)–1(d) as                        date and ending one year after the                    SUPPLEMENTARY INFORMATION:
                                               contained in 26 CFR part 1 as in effect                 adoption date.
                                               immediately before publication of those                                                                       Background
                                                                                                       *     *      *    *      *
                                               final regulations, except to the extent                                                                          Pursuant to DoD Directive 5105.23,
                                               superseded by statutory changes and                     John Dalrymple,
                                                                                                                                                             ‘‘National Reconnaissance Office
                                               guidance of general applicability                       Deputy Commissioner for Services and                  (NRO),’’ effective October 29, 2015
                                               relating to those statutory changes.                    Enforcement.
                                                                                                                                                             (available at http://www.dtic.mil/whs/
                                                  (9) Relationship with section                        [FR Doc. 2016–27907 Filed 11–23–16; 8:45 am]
                                               411(d)(6)—(i) In general. A plan                                                                              directives/corres/pdf/510523p.pdf), the
                                                                                                       BILLING CODE 4830–01–P                                NRO was designated as a Defense
                                               amendment that changes the interest
                                               rate or the mortality assumptions used                                                                        Agency. This proposed regulation aligns
                                               for the purposes described in paragraph                                                                       with comparable regulations for other
                                                                                                       DEPARTMENT OF DEFENSE                                 defense agencies. This rulemaking
                                               (d)(1) of this section (including a plan
                                               amendment that changes the time for                                                                           discusses procedures for NRO personnel
                                                                                                       Office of the Secretary                               to follow when asked to provide official
                                               determining those assumptions) is
                                               generally subject to section 411(d)(6).                                                                       testimony in a legal proceeding. It also
                                                                                                       32 CFR Part 267                                       informs members of the public of the
                                               However, for certain exceptions to the
                                               rule in the preceding sentence, see                     [Docket ID: DOD–2016–OS–0079]                         procedures for official NRO documents,
                                               paragraph (d)(7)(iv) of this section,                                                                         files, records or information or official
                                                                                                       RIN 0790–AJ51
                                               § 1.411(d)–4, Q&A–2(b)(2)(v) (with                                                                            testimony which could include:
                                               respect to plan amendments relating to                  Production of Official Records or                        (1) Any material contained in the files
                                               involuntary distributions), and section                 Disclosure of Official Information in                 of the NRO;
                                               1107(a)(2) of the Pension Protection Act                Proceedings Before Federal, State or                     (2) Any information relating to, or
                                               of 2006, Public Law 109–280, 120 Stat.                  Local Governmental Entities of                        based upon, material contained in the
                                               780 (2006) (PPA ’06) (with respect to                   Competent Jurisdiction                                files of the NRO, including but not
                                               certain plan amendments that were                                                                             limited to summaries of such
                                               made pursuant to a change to the                        AGENCY:  National Reconnaissance                      information or material, or opinions
                                               Internal Revenue Code by PPA ’06 or                     Office, Department of Defense.                        based on such information or material;
                                               regulations issued thereunder).                         ACTION: Proposed rule.                                or
                                                  (ii) Section 411(d)(6) relief for change                                                                      (3) Any information acquired by any
                                               in time for determining interest rate and               SUMMARY:    This proposed rule sets forth
                                                                                                       procedures for the National                           person while such person was
                                               mortality table. Notwithstanding the                                                                          performing official duties while detailed
                                               general rule of paragraph (d)(9)(i) of this             Reconnaissance Office (NRO) personnel
                                                                                                       to follow for the release of official                 to the NRO, assigned to the NRO, or due
                                               section, if a plan amendment changes                                                                          to that person’s official status or
                                               the time for determining the applicable                 information by NRO personnel in legal
                                                                                                       proceedings, through testimony,                       association with the NRO. These
                                               interest rate (and, if the amendment                                                                          procedures also apply to subpoenas
                                               changes the stability period described in               production of documents, or otherwise.
                                                                                                                                                             duces tecum for any document within
                                               paragraph (d)(4)(iii) of this section, the              DATES: Comments must be received by
                                                                                                                                                             the NRO’s possession and to requests for
                                               time for determining the applicable                     January 24, 2017.
                                                                                                                                                             official certification of copies of any
                                               mortality table), including an indirect                 ADDRESSES: You may submit comments,                   documents.
                                               change as a result of a change in plan                  identified by docket number and/or
                                                                                                                                                                These procedures discussed in this
                                               year, the amendment will not be treated                 Regulatory Information Number (RIN)
                                                                                                                                                             proposed rule apply to information
                                               as reducing accrued benefits in violation               and title, by any of the following
                                                                                                                                                             requests associated with:
                                               of section 411(d)(6) merely on account                  methods:
                                               of this change if the conditions of this                  • Federal Rulemaking Portal: http://                   (1) State court proceedings, to include
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                                               paragraph (d)(9)(ii) are satisfied. If the              www.regulations.gov.                                  grand jury proceedings.
                                               plan amendment is effective on or after                   Follow the instructions for submitting                 (2) Federal civil proceedings where
                                               the date the amendment is adopted, any                  comments.                                             the United States, NRO, or any other
                                               distribution for which the annuity                        • Mail: Department of Defense, Office               Federal Agency is not a party to the
                                               starting date occurs in the one-year                    of the Deputy Chief Management                        case; and
                                               period commencing at the time the                       Officer, Directorate for Oversight and                   (3) State and local legislative and
                                               amendment is effective must be                          Compliance, 4800 Mark Center Drive,                   administrative proceedings.


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                                                                     Federal Register / Vol. 81, No. 227 / Friday, November 25, 2016 / Proposed Rules                                             85197

                                               Authority                                               Regulatory Analysis                                   Public Law 96–511, ‘‘Paperwork
                                                                                                                                                             Reduction Act’’ (44 U.S.C. Chapter 35)
                                                  The authority for promulgation of this               Executive Order 12866, ‘‘Regulatory
                                               regulatory action is 50 U.S.C. 3003(4)(f)               Planning and Review’’ and Executive                     It has been determined that this
                                                                                                       Order 13563, ‘‘Improving Regulation                   rulemaking does not impose reporting
                                               and 10 U.S.C. 424(b)(2), and Executive
                                                                                                       and Regulatory Review’’                               or record keeping requirements under
                                               Order 12333, ‘‘United States Intelligence
                                                                                                                                                             the Paperwork Reduction Act of 1995.
                                               Activities’’, as amended, with particular
                                                                                                          Executive Orders 12866 and 13563                   Executive Order 13132, ‘‘Federalism’’
                                               reference to Section 1.4 (f) and (g) and
                                                                                                       direct agencies to assess all costs and
                                               Section 1.6 (d), (e) and (h).                                                                                   Executive Order 13132 establishes
                                                                                                       benefits of available regulatory
                                                  Congress, when enacting the National                 alternatives and, if regulation is                    certain requirements that an agency
                                               Security Act of 1947 (‘‘the Act’’),                     necessary, to select regulatory                       must meet when it promulgates a
                                               intended to provide a comprehensive                     approaches that maximize net benefits                 proposed rule (and subsequent final
                                               program for the future security of the                  (including potential economic,                        rule) that imposes substantial direct
                                               United States, and provide for the                      environmental, public health and safety               requirement costs on State and local
                                               establishment of integrated policies and                                                                      governments, preempts State law, or
                                                                                                       effects, distribute impacts, and equity).
                                               procedures for the departments,                                                                               otherwise has Federalism implications.
                                                                                                       Executive Order 13563 emphasizes the
                                               agencies, and functions of the                                                                                This rulemaking would not have a
                                                                                                       importance of quantifying both costs
                                               Government relating to the national                                                                           substantial effect on the States; the
                                                                                                       and benefits, of reducing costs, of                   relationship between the National
                                               security. The Act was designed to                       harmonizing rules, and of promoting                   Government and the States; or the
                                               provide a Department of Defense,                        flexibility. This proposed rule has been              distribution of power and
                                               including the three military                            designated a ‘‘significant regulatory                 responsibilities among the various
                                               Departments of the Army, the Navy                       action,’’ although not economically                   levels of Government.
                                               (including naval aviation and the                       significant because the rulemaking does
                                               United States Marine Corps), and the                    not have an annual effect on the                      List of Subjects in 32 CFR Part 267
                                               Air Force under the direction, authority,               economy of $100 million or more, under                  Legal proceedings, Testimony,
                                               and control of the Secretary of Defense.                section 3(f) of Executive Order 12866.                Documentation.
                                               The Act also provided for the                           Accordingly, the rule has been reviewed                 Accordingly, 32 CFR part 267 is
                                               establishment of unified or specified                   by the Office of Management and                       proposed to be added to read as follows:
                                               combatant commands. The National                        Budget.
                                               Reconnaissance Office is identified as                                                                        PART 267—PRODUCTION OF
                                                                                                       Unfunded Mandates Reform Act (2                       OFFICIAL RECORDS OR DISCLOSURE
                                               an ‘‘intelligence agency’’ under the
                                                                                                       U.S.C. Ch. 25)                                        OF OFFICIAL INFORMATION IN
                                               National Security Act of 1947, as
                                               amended, (50 U.S.C. 3003(4)(f)).                           Section 202 of the Unfunded                        PROCEEDINGS BEFORE FEDERAL,
                                                                                                       Mandates Reform Act of 1995 (UMRA)                    STATE OR LOCAL GOVERNMENTAL
                                                  An exemption for specified                                                                                 ENTITIES OF COMPETENT
                                               intelligence agencies from the                          (2 U.S.C. 1532) requires agencies to
                                                                                                       assess anticipated costs and benefits                 JURISDICTION
                                               disclosure of organizational and
                                               personnel information is provided in 10                 before issuing any rule whose mandates
                                                                                                                                                             Sec.
                                               U.S.C. 424(b)(2). This exemption                        require spending in any 1 year of $100                267.1     Scope and purpose.
                                               provides that, except as required by the                million in 1995 dollars, updated                      267.2     Definitions.
                                               President, no provision of law shall be                 annually for inflation. In 2016, that                 267.3     Policy.
                                               construed to require the disclosure of:                 threshold is approximately $146                       267.4     Procedures.
                                               (1) The organization or any function of                 million. This rulemaking would not                    267.5     Service of process.
                                                                                                       mandate any requirements for State,                   267.6     Fees.
                                               an organization of the Department of
                                               Defense (specifically the Defense                       local, or tribal governments, nor will it               Authority: 50 U.S.C. 3003(4)(f) and 10
                                               Intelligence Agency, National                           affect private sector costs.                          U.S.C. 424(b)(2).
                                               Reconnaissance Office and the National                  Public Law 96–354, ‘‘Regulatory                       § 267.1    Scope and purpose.
                                               Geospatial Intelligence Agency); or (2)                 Flexibility Act’’ (5 U.S.C. Ch. 6)                       (a) This part establishes policy,
                                               the number of persons employed by, or                                                                         assigns responsibilities, and prescribes
                                               assigned or detailed to, any such                         The Department of Defense certifies                 mandatory procedures governing the
                                               organization or the name, official title,               that this proposed rule is not subject to             release of official information by
                                               occupational series, grade, or salary of                the Regulatory Flexibility Act (5 U.S.C.              National Reconnaissance Office (NRO)
                                               any such person.                                        Ch. 6) because it would not, if                       personnel in legal proceedings, through
                                                                                                       promulgated, have a significant                       testimony, production of documents, or
                                               Costs and Benefits                                      economic impact on a substantial                      otherwise. This part sets forth
                                                                                                       number of small entities. This proposed               procedures for NRO personnel to follow
                                                 This proposed rule would benefit the                  rule would provide clarity to U.S.
                                               public and the United States                                                                                  if they are subpoenaed to produce or
                                                                                                       Government personnel and outside                      disclose, or to testify with respect to:
                                               Government by providing clear                           counsel on the proper rules and
                                               procedures for members of the public                                                                             (1) Any material contained in the files
                                                                                                       procedures to serve process on U.S.
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                                                                                                                                                             of the NRO;
                                               and Government employees to follow                      Government officials in their official                   (2) Any information relating to, or
                                               when official testimony or official                     capacity and to obtain official U.S.                  based upon, material contained in the
                                               documents, records, files or information                Government testimony or documents for                 files of the NRO, including but not
                                               are sought from NRO or from NRO                         use in legal proceedings. Therefore, the              limited to summaries of such
                                               personnel in connection with legal                      Regulatory Flexibility Act, as amended,               information or material, or opinions
                                               proceedings.                                            does not require us to prepare a                      based on such information or material;
                                                                                                       regulatory flexibility analysis.                      or


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                                               85198                 Federal Register / Vol. 81, No. 227 / Friday, November 25, 2016 / Proposed Rules

                                                  (3) Any information acquired by any                     Employee or NRO employee. When                     manner prescribed by Rule 4, Federal
                                               person while such person was                            used herein refers to NRO personnel,                  Rules of Civil Procedure, to an officer or
                                               performing official duties while detailed               current or former.                                    agency of the United States named in
                                               to the NRO, assigned to the NRO, or due                    General Counsel. The NRO General                   court or administrative proceedings.
                                               to that person’s official status or                     Counsel, to include the Principal
                                               association with the NRO. These                         Deputy General Counsel, Deputy                        § 267.3    Policy.
                                               procedures also apply to subpoenas                      General Counsel, or Acting General                       (a) No employee shall produce any
                                               duces tecum for any document within                     Counsel.                                              materials or information in response to
                                               the NRO’s possession and to requests for                   Litigation. All pretrial, trial, and post-         a demand without prior authorization as
                                               official certification of copies of any                 trial stages of all existing or reasonably            set forth in this part. This part applies
                                               documents.                                              anticipated judicial or administrative                to current and to former employees and
                                                  (b) These procedures apply to                        actions, hearings, investigations, or                 contractors, in accordance with
                                               information requests associated with:                   similar proceedings before civilian                   applicable nondisclosure agreements.
                                                  (1) State court proceedings, to include              courts, commissions, boards or other                     (b) This part is intended only to
                                               grand jury proceedings.                                 tribunals, foreign and domestic. This                 provide procedures for responding to a
                                                  (2) Federal civil proceedings where                  term includes responses to discovery                  demand for production of documents or
                                               the United States, NRO, or any other                    requests, depositions, and other pretrial             information, and is not intended to,
                                               Federal Agency is not a party to the                    proceedings, as well as responses to                  does not, and may not be relied upon to,
                                               case; and                                               formal or informal requests by attorneys              create any right or benefit, substantive
                                                  (3) State and local legislative and                  or others in situations involving                     or procedural, enforceable by any party
                                               administrative proceedings.                             litigation.                                           against the United States.
                                                                                                          NRO personnel. Present and former                     (c) Except as permitted by paragraph
                                                  (c) These procedures do not apply to:
                                                                                                       civilian employees assigned or detailed               (d) of this section, no NRO personnel
                                                  (1) Congressional requests or                                                                              may provide testimony or produce
                                               subpoenas for testimony or documents;                   to NRO, or employed by NRO, and
                                                                                                       present and former military personnel                 documents in any proceeding
                                               and                                                                                                           referenced in § 267.1(b) of this part
                                                  (2) Release of official information or               assigned or detailed to NRO, or
                                                                                                       employed by NRO. The definition of                    concerning information acquired in the
                                               testimony by NRO personnel in the                                                                             course of performing official NRO duties
                                               following situations, authorized:                       NRO personnel also includes
                                                                                                       individuals hired through contractual                 or because of the person’s official
                                                  (i) Before courts-martial convened by                                                                      relationship with NRO, except as
                                               the authority of the Military                           agreements by or on behalf of NRO.
                                                                                                          Official Information. All information              specifically authorized by the General
                                               Departments or in any administrative                                                                          Counsel.
                                                                                                       of any kind, in any storage medium,
                                               meetings conducted by a DoD                                                                                      (d) With the approval of the General
                                                                                                       whether or not classified or protected
                                               component;                                                                                                    Counsel, on behalf of the Director of
                                                                                                       from disclosure that:
                                                  (ii) Pursuant to administrative                         (1) Is in the custody and control of the           NRO, NRO personnel may testify at the
                                               proceedings conducted by the Equal                      NRO; or                                               request of another Federal agency, or,
                                               Employment Opportunity and Diversity                       (2) Relates to information in the                  where it is in the interests of the NRO,
                                               Management (EEO&DM) Office;                             custody and control of the NRO; or                    at the request of a State or local
                                                  (iii) In response to requests for records               (3) Was acquired by NRO personnel as               government or State legislative
                                               or information from the United States                   part of their official duties or because of           committee, subject to applicable
                                               Department of Justice (DOJ) or other                    their official status within NRO.                     nondisclosure agreements and in
                                               federal government counsel                                 Production or Produce. The                         accordance with procedures set forth in
                                               representing the United States or the                   disclosure of:                                        this part.
                                               interests of the United States in                          (1) Any material contained in the files               (e) Official information that is not
                                               litigation;                                             of NRO; or                                            classified or privileged may be made
                                                  (iv) Pursuant to the disclosure of any                  (2) Any information relating to, or                available for use in Federal and State
                                               information to Federal, State, or local                 based upon, material contained in the                 courts, at the discretion of the General
                                               prosecuting or law enforcement                          files of the NRO, including but not                   Counsel, who may deny requested
                                               authorities in conjunction with an                      limited to summaries of such                          information or testimony under the
                                               investigation conducted by a DoD                        information or material, or opinions                  procedures set forth in this part, or as
                                               criminal investigative organization.                    based on such information or material;                otherwise authorized and warranted
                                                  (d) This part is intended to provide                 or                                                    under applicable law.
                                               guidance for the internal operation of                     (3) Any information acquired by any
                                               the NRO and to ensure the orderly                       person while such person was                          § 267.4    Procedures.
                                               execution of NRO’s mission, not to                      performing official duties as detailed to                (a) If official information is sought,
                                               impede any legal proceeding.                            the NRO, assigned to the NRO, or due                  through testimony or otherwise, by a
                                                                                                       to that person’s official status or                   litigation demand, the individual
                                               § 267.2   Definitions.                                  association with the NRO.                             seeking such release or testimony must
                                                 For the purpose of this part:                            These procedures also apply to                     set forth, in writing and with as much
                                                 Demand. Any subpoena, order, or                       subpoenas duces tecum for any                         specificity as possible, the nature and
                                               other legal summons (except                             document within the NRO’s possession                  relevance of the official information
                                               garnishment orders) that is issued by a
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                                                                                                       and to requests for certification of                  sought, and shall send such demand to
                                               federal, state, or local governmental                   copies of any documents.                              NRO Office of General Counsel (OGC),
                                               entity of competent jurisdiction with the                  Service of Process. The delivery of a              National Reconnaissance Office,
                                               authority to require the production,                    summons and complaint, or other                       Chantilly, VA 20151.
                                               disclosure, or release of official NRO                  document the purpose of which is to                      (b) Any NRO personnel in receipt of
                                               information or for the appearance and                   give notice of a proceeding or to                     a litigation request or demand for
                                               testimony of NRO personnel as                           establish the jurisdiction of a court or              official NRO information or the
                                               witnesses.                                              administrative proceeding, in the                     testimony of NRO personnel as


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                                                                     Federal Register / Vol. 81, No. 227 / Friday, November 25, 2016 / Proposed Rules                                           85199

                                               witnesses shall immediately notify the                  owner’s consent, or otherwise be                      accordance with Department of Defense
                                               NRO OGC, National Reconnaissance                        inappropriate under the circumstances;                Directive 5405.2 and [this part, (32 CFR
                                               Office, Chantilly, VA 20151 (703/808–                      (6) Whether the disclosure would                   part 267), I must respectfully decline to
                                               1060), and shall provide a copy of the                  have an adverse effect on performance                 [produce/disclose] that information.’’
                                               request or demand to the OGC, which                     by the NRO of its official mission and                   (i) In the event NRO personnel receive
                                               shall follow the procedures set forth in                duties, to include:                                   a litigation demand for official
                                               this section.                                              (i) The need to conserve the time of               information originated by another U.S.
                                                  (c) NRO personnel shall not produce,                 NRO personnel for the conduct of                      Government component, the General
                                               disclose, release, comment upon, or                     official business;                                    Counsel shall forward the appropriate
                                               testify concerning any official                            (ii) The need to avoid spending the                portions of the request to the OGC for
                                               information during litigation except as                 time and money of the United States to                the other component. The General
                                               expressly authorized in writing by the                  serve private purposes;                               Counsel shall notify the requestor,
                                               General Counsel. In exigent                                (iii) The need to avoid involving the              court, or other authority of the referral,
                                               circumstances, the General Counsel may                  NRO in contested issues not related to                unless providing such notice would
                                                                                                       its official mission.                                 itself disclose classified information. To
                                               issue oral approval, but a written record
                                                                                                          (f) The NRO OGC is responsible for                 protect classified information, the
                                               of such approval will be made and
                                                                                                       notifying the appropriate NRO                         General Counsel, in such cases, shall
                                               retained in the OGC.                                    employees and other persons of all
                                                  (d) The NRO OGC and senior NRO                                                                             notify the requestor of the referral of the
                                                                                                       decisions regarding responses to                      request, or positions thereof, to another
                                               officials with responsibility for the                   demands and providing advice and
                                               information sought in the demand shall                                                                        government agency without specifying
                                                                                                       counsel as to the implementation of                   the identity of such agency. The General
                                               determine whether any information,                      such decisions.
                                               materials, or testimony may properly be                                                                       Counsel shall assist in coordinating
                                                                                                          (g) If, after NRO personnel have                   responses by the unidentified agency to
                                               produced in response to the demand,                     received a litigation request or demand
                                               provided that the OGC may assert any                                                                          the request to the extent necessary to
                                                                                                       and have in turn notified the OGC in                  protect classified information from
                                               and all legal defenses and objections to                accordance with paragraph (b) of this
                                               the demand available to NRO prior to                                                                          unauthorized disclosure.
                                                                                                       section, a response to the request or
                                               the start of any search for information                 demand is required before instructions                § 267.5    Service of process.
                                               responsive to the demand. NRO may, in                   from the OGC are received, an attorney                  (a) Service of Process Upon the NRO
                                               its sole discretion, decline to begin any               from the OGC, or, as appropriate, an                  or NRO Personnel Accepted in an
                                               search for information responsive to the                attorney from the U.S. Department of                  Official Capacity Only. This section sets
                                               demand until a final and non-                           Justice (DOJ) representing the NRO,                   forth mandatory procedures for
                                               appealable disposition of any such                      shall appear before and furnish the                   accomplishing valid service of process
                                               defenses and objections raised by NRO                   court or other competent authority with               by registered or certified mail upon
                                               has been made by the entity or person                   a copy of this part; shall inform the                 NRO or upon NRO personnel sued or
                                               that issued the demand.                                 requestor or the court or other authority             summoned in an official capacity.
                                                  (e) In deciding whether to authorize                 that the request or demand is being                     (b) Accepting service of process upon
                                               the release of official NRO information                 reviewed, and shall respectfully seek a               NRO personnel in their individual
                                               or the testimony of NRO personnel                       stay of the request or demand pending                 capacities at the workplace is not a
                                               concerning official information                         a final determination by NRO OGC.                     function of NRO. Acceptance of service
                                               (hereafter referred to as ‘‘production’’)                  (h) If the court of competent                      of process in a person’s individual
                                               pursuant to paragraph (d) of this                       jurisdiction or other appropriate                     capacity is the responsibility of that
                                               section, OGC shall consider the                         authority declines to stay the effect of              individual. Consistent with 10 U.S.C.
                                               following factors, among any other                      the request or demand in response to                  424, NRO will not provide the name or
                                               pertinent considerations:                               action taken pursuant to paragraph (g) of             address of any current or former
                                                  (1) Whether production would be                      this section, or if such court or other               employee of NRO to individuals or
                                               unduly burdensome or otherwise                          authority orders that the request or                  entities seeking to serve process on such
                                               inappropriate under the applicable rules                demand must be complied with                          employee solely in his or her individual
                                               of discovery or the rules of procedure                  notwithstanding the final decision of                 capacity, even where the matter is
                                               governing the case or matter in which                   the General Counsel, the NRO personnel                related to NRO activities.
                                               the demand arose;                                       upon whom the request or demand was                     (c) Service of a summons or complaint
                                                  (2) Whether production would violate                 made shall notify the General Counsel                 upon NRO or service of process upon
                                               a statute, executive order, regulation, or              of such ruling or order. If the General               NRO personnel for official information
                                               directive;                                              Counsel determines that no further legal              or testimony must be made by: serving
                                                  (3) Whether production would reveal                  review of or challenge to the ruling or               the United States Attorney for the
                                               NRO organization, functions, or                         order will be sought, the affected NRO                district in which the action is brought,
                                               personnel information protected from                    personnel shall comply with the                       and sending copies of the summons and
                                               disclosure by statute;                                  demand or order. If directed by the                   complaint by registered or certified mail
                                                  (4) Whether production would reveal                  General Counsel not to comply with the                to the Attorney General of the United
                                               information properly classified in the                  demand, however, the affected NRO                     States and to the General Counsel of the
                                               interest of national security;                          personnel shall respectfully decline to               National Reconnaissance Office, 15675
                                                  (5) Whether production would                         comply with the demand. See United
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                                                                                                                                                             Lee Road, Chantilly, VA 20151–1715.
                                               interfere with ongoing enforcement                      States ex rel. Touhy v. Ragen, 340 U.S.               The envelope shall be conspicuously
                                               proceedings, compromise constitutional                  462 (1951). In that circumstance, the                 marked ‘‘Copy of Summons and
                                               rights, reveal the identity of an                       NRO personnel shall state the following               Complaint Enclosed.’’ Parties may call
                                               intelligence source or confidential                     to the Court: ‘‘I must respectfully advise            the OGC at (703) 808–1060 for guidance.
                                               informant, disclose trade secrets or                    the Court that under instructions given                 (d) Only the General Counsel or
                                               similarly confidential commercial or                    to me by the General Counsel of the                   designee is authorized to accept the
                                               financial information without the                       National Reconnaissance Office, in                    copies of the summons or complaint on


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                                               85200                 Federal Register / Vol. 81, No. 227 / Friday, November 25, 2016 / Proposed Rules

                                               behalf of NRO. Individual NRO                           personnel in an combined individual                   capacity. Therefore, NRO personnel
                                               personnel sued or summoned to provide                   and official capacity, and may exercise               shall notify NRO OGC as soon as
                                               information or testimony in an official                 this discretion in circumstances where                possible if they receive any summons or
                                               capacity are not authorized to accept                   serving process on NRO personnel by                   complaint that appears to relate to
                                               service of process. If the General                      registered or certified mail is not                   actions in connection with their official
                                               Counsel accepts service of process on                   authorized by law or where, in                        duties and shall direct such summons or
                                               behalf of NRO or NRO personnel, in                      particular circumstances, the General                 complaint to the General Counsel so
                                               accordance with this paragraph, the                     Counsel determines that acceptance of                 that the General Counsel can determine
                                               documents for which service is accepted                 personal service of process serves the                the scope of service.
                                               shall be stamped: ‘‘Service accepted on                 best organizational interests of the NRO.                (g) The Commander or Chief of
                                               behalf of the organization in official                     (1) A process server who arrives at                Facility at NRO facilities other than
                                               capacity only.’’                                        NRO during duty hours without first                   NRO Headquarters may accept copies of
                                                  (1) NRO personnel who receive or                     having contacted the NRO OGC will be                  service of process for himself or herself
                                               who have reason to expect to receive                    referred to the Visitor Center. The                   or for NRO personnel assigned to the
                                               service of process in any capacity                      Visitor Center is not authorized to and               installation who are sued or summoned
                                               concerning a matter that may involve                    shall not accept service of process upon              in their official capacities, without
                                               testimony or the furnishing of                          NRO or on behalf of any alleged NRO                   officially confirming or denying the
                                               documents that could reasonably be                      personnel. The Visitor Center shall                   existence or nonexistence of an
                                               expected to involve official NRO                        contact OGC.                                          employment or contract relationship
                                               information shall notify the NRO OGC,                      (i) The General Counsel or designee                with the summoned individual. The
                                               (703) 808–1060 before accepting service                 shall review the service of process at the            Commander or Chief of Facility will
                                               and before providing the requestor,                     Visitor Center to assess whether the                  accept any such service of process by
                                               counsel or other representative of the                  NRO person is sued or summoned in an                  noting on the return of service form:
                                               party who sent the demand with any                      official or in an individual capacity. If             ‘‘Service accepted on behalf of the
                                               official NRO information in response to                 the person is sued or summoned in an                  organization in official capacity only.’’
                                               the demand.                                             individual capacity, the General                      The Commander or Chief of Facility will
                                                  (2) If service is sought in an official              Counsel shall refuse to accept service on             then immediately refer the matter to the
                                               capacity upon an individual who is                      that basis.                                           General Counsel.
                                               alleged to work at NRO Headquarters in                     (ii) If the General Counsel determines                (1) No individual will officially
                                               Chantilly, Virginia, the process server                 that service is sought upon NRO or                    confirm or deny that the person sued or
                                               should call OGC at (703) 808–1060 for                   upon an alleged employee of NRO in an                 summoned is affiliated with NRO as an
                                               guidance.                                               official capacity, or if the General                  employee or contractor unless OGC, in
                                                  (i) To protect classified NRO                        Counsel is concerned that official NRO                coordination with the Commander or
                                               employment associations and/or                          information or documents may be                       Chief of Facility, has first determined
                                               classified contracts, the Office of                     relevant to the subject matter of the                 both that the individual’s association
                                               General Counsel shall refuse to confirm                 proceeding, the General Counsel shall                 with NRO is unclassified and that such
                                               or deny the existence or the                            direct the process server to follow the               association may be officially and
                                               nonexistence of an employment                           procedures set forth in this part and                 publicly acknowledged in connection
                                               relationship with the specific individual               shall refuse to accept service on the                 with the legal proceeding. If the NRO
                                               sued or summoned in an official                         basis of failure to comply with                       person’s association with NRO is
                                               capacity (other than publicly                           applicable regulations, unless, as an                 classified, service of process shall not be
                                               acknowledged senior agency officials of                 exercise of discretion, OGC determines                accepted unless, as an exercise of
                                               NRO).                                                   that acceptance of personal service of                discretion, OGC determines that
                                                  (ii) OGC shall direct the process                    process best serves the organizational                acceptance of service of process under
                                               server to follow the procedures set forth               interests of the NRO.                                 the circumstances best serves the
                                               in this part to serve process upon the                     (iii) If the General Counsel exercises             organizational interests of the NRO and
                                               United States Attorney for the judicial                 discretion to accept service of process               can be accomplished without officially
                                               district in which the action is brought                 upon NRO or upon NRO personnel in                     confirming or denying the classified
                                               and to send a copy of such process to                   an official capacity, in accordance with              association at issue. Any such service if
                                               NRO OGC by certified or registered                      this paragraph, the documents for which               accepted must be stamped on the return
                                               mail.                                                   service is accepted shall be stamped:                 of service form ‘‘Service accepted on
                                                  (iii) OGC will notify the person                     ‘‘Service accepted on behalf of the                   behalf of the organization in official
                                               summoned and the appropriate NRO                        organization in official capacity only.’’             capacity only.’’
                                               Security Officer of the legal demand.                      (iv) OGC will notify the person                       (2) Whether service is accepted or
                                                  (e) NRO does not accept personal                     summoned and the appropriate NRO                      refused, the General Counsel will
                                               service of process upon NRO personnel                   Security Officer of the legal demand.                 coordinate with NRO security
                                               at NRO facilities or on NRO premises,                      (2) [Reserved]                                     personnel, other federal agencies, or
                                               unless expressly directed otherwise by                     (f) Litigants may attempt to serve                 other US Government personnel and
                                               the General Counsel. Process servers                    process upon NRO personnel in their                   contact DOJ for guidance on how to
                                               will not be allowed to enter NRO                        official capacities at their residences or            provide information responsive to legal
                                               facilities for the purpose of serving                   other places. Because NRO personnel                   process while protecting classified
                                               process upon any NRO personnel solely                   are not authorized to accept such                     information from unauthorized
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                                               in his or her individual capacity. The                  service of process, such service is not               disclosure in accordance with legal
                                               General Counsel, on behalf of the                       effective under the Federal Rules of                  requirements. If OGC or the Commander
                                               Director of NRO, has sole discretion to                 Civil Procedure. NRO personnel should                 or Chief of Facility accepts service ‘‘on
                                               authorize acceptance of personal service                refuse to accept service. However, NRO                behalf of the organization in official
                                               of process upon the NRO or NRO                          personnel may find it difficult to                    capacity only’’ and that service was
                                               personnel served in their official                      determine whether they are being sued                 directed toward an individual whose
                                               capacities, or served upon NRO                          or summoned in their private or official              association with NRO is or was


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                                                                      Federal Register / Vol. 81, No. 227 / Friday, November 25, 2016 / Proposed Rules                                         85201

                                               classified, OGC will work with the party                 comptroller.defense.gov/Portals/45/                   December 27, 2016. The Coast Guard
                                               who made the litigation demand and/or                    documents/fmr/Volume_11a.pdf), NRO                    anticipates that this proposed rule will
                                               the court and DOJ to identify an                         may charge reasonable fees, as                        be effective from 7 a.m. on March 1,
                                               individual who can provide responsive                    established by regulation and to the                  2017 to 5 p.m. on October 31, 2017.
                                               information or testimony while                           extent not prohibited by law, to parties              ADDRESSES: You may submit comments
                                               protecting classified information in                     seeking, by request or demand, official               identified by docket number USCG–
                                               accordance with legal requirements, or                   information not otherwise available                   2016–0968 using Federal eRulemaking
                                               will move for other appropriate relief as                under the DoD Freedom of Information                  Portal at http://www.regulations.gov.
                                               necessary to protect classified                          Act, 5 U.S.C. 552. Such fees are                      See the ‘‘Public Participation and
                                               information.                                             calculated to reimburse the Government                Request for Comments’’ portion of the
                                                  (h) If any NRO person is sued or                      for the expense of providing such                     SUPPLEMENTARY INFORMATION section
                                               summoned in a foreign court, that                        information, and may include:                         below for instructions on submitting
                                               person shall provide full documentation                    (1) The costs of time expended by                   comments.
                                               of the matter securely to the cognizant                  NRO personnel to process and respond                     See the ‘‘Public Participation and
                                               Commander or Chief of Facility. The                      to the request or demand;                             Request for Comments’’ portion of the
                                               Commander or Chief of Facility will                        (2) Attorney time for reviewing the                 SUPPLEMENTARY INFORMATION section
                                               immediately email a scanned copy of                      request or demand and any information                 below for instructions on submitting
                                               the service of process to OGC, and shall                 located in response thereto, and for                  comments.
                                               send the document securely via an                        related legal work in connection with
                                               information system approved to handle                                                                          FOR FURTHER INFORMATION CONTACT: If
                                                                                                        the request or demand; and                            you have questions on this proposed
                                               classified information, marking the                        (3) Expenses generated by materials
                                               email to indicate attorney-client                                                                              rule, call or email Steven M. Fischer,
                                                                                                        and equipment used to search for,                     Bridge Administrator, Thirteenth Coast
                                               privilege protections as applicable. The                 produce, and copy the responsive
                                               person sued or summoned will not                                                                               Guard District Bridge Program Office,
                                                                                                        information See Oppenheimer Fund,                     telephone 206–220–7282; email d13-pf-
                                               complete any return of service forms for                 Inc. v. Sanders, 437 U.S. 340 (1978).
                                               the foreign court without first obtaining                                                                      d13bridges@uscg.mil.
                                                                                                          (b) [Reserved]
                                               approval from NRO OGC to the                                                                                   SUPPLEMENTARY INFORMATION:
                                               cognizant Commander or Chief of                            Dated: November 18, 2016.
                                                                                                        Aaron Siegel,                                         I. Table of Abbreviations
                                               Facility in writing, and shall follow
                                               instructions from OGC regarding how to                   Alternate OSD Federal Register Liaison                CFR Code of Federal Regulations
                                               complete the return of service form.                     Officer, Department of Defense.                       DHS Department of Homeland Security
                                               OGC will coordinate with DOJ to                          [FR Doc. 2016–28221 Filed 11–23–16; 8:45 am]          FR Federal Register
                                               determine whether service is effective                   BILLING CODE 5001–06–P                                NPRM Notice of Proposed Rulemaking
                                               and whether the NRO person is entitled                                                                         § Section
                                               to be represented at Government                                                                                U.S.C. United States Code
                                                                                                                                                              ODOT Oregon State Department of
                                               expense.                                                 DEPARTMENT OF HOMELAND                                  Transportation
                                                  (i) The Commander or Chief of                         SECURITY
                                               Facility will establish procedures at the                                                                      II. Background, Purpose and Legal
                                               NRO facility, including a provision for                  Coast Guard                                           Basis
                                               liaison with local staff judge advocates,
                                               if any, to ensure that service of process                33 CFR Part 117                                          ODOT owns and operates the Old
                                               on persons in their individual capacities                                                                      Youngs Bay Bridge, and proposes a
                                                                                                        [Docket No. USCG–2016–0968]                           temporary change to the existing
                                               is accomplished in accordance with
                                               local law, relevant treaties, and Status of              RIN 1625–AA09                                         operating regulation. The Coast Guard
                                               Forces Agreements. Such procedures                                                                             approved a temporary rule change
                                               must be approved by the General                          Drawbridge Operation Regulation;                      authorizing ODOT to operate the Old
                                               Counsel. Commanders or Chiefs of                         Youngs Bay, Astoria, OR                               Youngs Bay Bridge in single leaf mode
                                               Facility will designate a point of contact                                                                     from May 2016 through October 2016,
                                                                                                        AGENCY:   Coast Guard, DHS.                           document citation 81 FR 28018. No
                                               to conduct liaison with the OGC.
                                                  (j) Acceptance of service of any                      ACTION:   Notice of proposed rulemaking.              negative impacts were observed during
                                               summons or complaint by OGC ‘‘on                                                                               that rule change. The subject proposed
                                                                                                        SUMMARY:   The Coast Guard proposes to                regulation will allow the drawtender to
                                               behalf of the organization in official
                                                                                                        change the operating schedule that                    open half the draw span in single leaf
                                               capacity only’’ shall not constitute an
                                                                                                        governs the Oregon State highway                      mode, from 7 a.m. on March 1, 2017 to
                                               official acknowledgement or
                                                                                                        bridge across Youngs Bay foot of Fifth                5 p.m. on October 31, 2017. ODOT’s
                                               confirmation by NRO that any
                                                                                                        Street (Old Youngs Bay Bridge), mile                  proposal would allow the construction
                                               individual named in the summons or
                                                                                                        2.4, at Astoria, OR. The Oregon                       workers to utilize a containment system
                                               complaint is, in fact, a current or former
                                                                                                        Department of Transportation (ODOT) is                that reduces the non-opening half of the
                                               employee of NRO. Acceptance of service
                                                                                                        proposing to change the operating                     bridge’s vertical clearance by five feet.
                                               of process shall not constitute waiver
                                                                                                        schedule of the Old Youngs Bay Bridge                 Marine traffic on Youngs Bay consists of
                                               with respect to jurisdiction, propriety or
                                                                                                        for several months while work is                      vessels ranging from small pleasure
                                               validity of service, improper venue, or
                                                                                                        performed on the north bascule lift. This
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                                               any other defense in law or equity                                                                             craft, sailboats, small tribal fishing
                                                                                                        change would allow ODOT to operate                    boats, and commercial tug and tow, and
                                               available under the laws or rules
                                                                                                        the double bascule draw in single leaf                mega yachts.
                                               applicable to the service of process.
                                                                                                        mode, one lift at a time, and reduce the
                                               § 267.6   Fees.                                          vertical clearance of the non-operable                III. Discussion of Proposed Rule
                                                  (a) Consistent with the guidelines in                 half of the span by five feet.                           This proposed rule would temporarily
                                               DoD 7000.14–R, Vol. 11A, Chap. 4,                        DATES: Comments and related material                  amend 33 CFR 117.899 by adding the
                                               ‘‘User Fees’’ (available at http://                      must reach the Coast Guard on or before               south lift only to open in single leaf


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Document Created: 2016-11-23 23:18:08
Document Modified: 2016-11-23 23:18:08
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionProposed Rules
ActionProposed rule.
DatesComments must be received by January 24, 2017.
ContactLisa Miller, (703) 808-1060.
FR Citation81 FR 85196 
RIN Number0790-AJ51
CFR AssociatedLegal Proceedings; Testimony and Documentation

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