82 FR 8139 - Privacy Act Procedures
DEPARTMENT OF THE INTERIOR
National Indian Gaming Commission Federal Register Volume 82, Issue 14 (January 24, 2017)
National Indian Gaming Commission
Federal Register Volume 82, Issue 14 (January 24, 2017)
| Page Range | 8139-8144 | |
| FR Document | 2017-00585 |
[Federal Register Volume 82, Number 14 (Tuesday, January 24, 2017)] [Rules and Regulations] [Pages 8139-8144] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-00585] ======================================================================= ----------------------------------------------------------------------- DEPARTMENT OF THE INTERIOR National Indian Gaming Commission 25 CFR Part 515 RIN 3141-AA65 Privacy Act Procedures AGENCY: National Indian Gaming Commission, Department of the Interior. ACTION: Final rule. ----------------------------------------------------------------------- SUMMARY: The National Indian Gaming Commission (NIGC or the Commission) is establishing this rule in Chapter III of title 25 of the Code of Federal Regulations. This rule describes the procedures and policies adopted by the Commission pursuant to the Privacy Act of 1974. Under the Act, a Federal agency must publish notice, in the Federal Register, of any systems of records that it intends to create as well as procedures regarding the collection, maintenance, use, and dissemination of the records within those systems. The Commission previously published notice of the creation of two systems of records, namely the Indian Gaming Individuals Record System and the Management Contract Individuals Record System. The regulations set forth here update the Commission's previously published procedures and serve to streamline how the Commission processes its Privacy Act requests. DATES: Effective January 24, 2017. FOR FURTHER INFORMATION CONTACT: Andrew Mendoza, Staff Attorney, at (202) 632-7003 or by fax (202) 632-7066 (these numbers are not toll free). SUPPLEMENTARY INFORMATION: The Indian Gaming Regulatory Act (IGRA), [[Page 8140]] enacted on October 17, 1988, established the National Indian Gaming Commission. Congress enacted the Privacy Act in 1974 (Public Law 93- 579, 5 U.S.C. 552a). The Commission originally adopted Privacy Act procedures on January 22, 1993. Since that time, the Commission has changed the location of its headquarters office, established a new system of records, and streamlined the way it processes Privacy Act requests. On February 26, 2015, the Commission announced its intent to update its Privacy Act procedures through tribal consultation and accepted comments from the regulated community orally at several consultation sessions. The Commission also accepted written comments via the consultation process through February 23, 2016. On August 26, 2016, after reviewing those comments, the Commission published a Notice of Proposed Rulemaking, which invited additional comments from the general public. No additional comments were received during that period. Although no comments were received during the comment period, the Commission made two substantive changes to the proposed rule. Specifically, the Commission is lengthening the time period for appeals in Section 515.7(b) from 30 working days to 90 calendar days. One of the major reasons for updating the Commission's Privacy Act regulations was to align the procedures for processing Privacy Act requests with the Commission's processes under the Freedom of Information Act (FOIA), 5 U.S.C. 552. On June 30, 2016, President Obama signed the FOIA Improvements Act of 2016 into law. Among the many changes to the FOIA, agencies are now required to provide requesters with not less than 90 days to appeal adverse determinations made under that Act. Since the Commission processes all Privacy Act requests simultaneously under both, the FOIA and Privacy Act, the Commission decided to lengthen the amount of time for a requester to appeal an adverse determination under the Privacy Act to match the timeline established in the FOIA. Additionally, the Commission corrected an error in Section 515.7(c), which addresses the timeframe in which the Privacy Act Appeals Officer must respond to an appeal. In the proposed rule, the Privacy Act Appeals Officer was provided with 30 working days to respond to an appeal. While this timeframe is within the Commission's current regulations, it differs from the one set out within the Commission's FOIA regulations. Under the FOIA, an agency is required to respond to an appeal of an adverse determination within 20 working days of its receipt. To streamline the Commission's appeals procedures and synchronize the time for responses for requests that must be processed under both statutes, this section should have read 20 working days rather than 30. The provision is being adjusted accordingly. Executive Order 13175 The National Indian Gaming Commission is committed to fulfilling its tribal consultation obligations--whether directed by statute or administrative action such as Executive Order (EO) 13175 (Consultation and Coordination with Indian Tribal Governments)--by adhering to the consultation framework described in its Consultation Policy published July 15, 2013. Pursuant to the Order, the Commission engaged in extensive consultation on this topic. One comment received through consultation requested that Section 515.10 be revised to prevent the Commission from charging fees for the first copy of a record or any portion of a record to an individual to whom the record pertains. The Commission disagrees and decided to keep the fee provisions as initially presented. The Privacy Act allows agencies to establish fees for duplication so long as there is no cost for searching or reviewing the record. The Commission believes that the proposed regulation appropriately places the cost of duplicating records on the requesting individual and not on the Commission or tribes who fund its operations. The same commenter also recommended that Section 515.11 clearly state the penalties for providing a false statement under 18 U.S.C. 494 and 495. The Commission disagrees. The proposed regulation identifies the relevant statutes, which lay out the penalties for providing a false statement. If the Commission were to clearly state the penalties associated with those offenses, it would also be required to change its regulations if Congress amended the penalties listed in those statutes. The Commission prefers the approach in the proposed regulations, which eliminates any need to update the provision in the future should the penalties change. Regulatory Flexibility Act: The Commission certifies that the proposed rule will not have a significant economic impact on a substantial number of small entities under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.). The factual basis for this certification is as follows: This rule is procedural in nature and will not impose substantive requirements that would be considered impacts within the scope of the Act. Unfunded Mandates Reform Act The Commission is an independent regulatory agency, and, as such, is exempt from the Unfunded Mandates Reform Act, 2 U.S.C. 1501 et seq. Takings In accordance with Executive Order 12630, the Commission has determined that this proposed rule does not have significant takings implications. A takings implication assessment is not required. Civil Justice Reform In accordance with Executive Order 12988, the Commission has determined that the rule does not unduly burden the judicial system and meets the requirements of sections 3(a) and 3(b)(2) of the Executive Order. Small Business Regulatory Enforcement Fairness Act The proposed rule is not a major rule under 5 U.S.C. 804(2), the Small Business Regulatory Enforcement Fairness Act. The proposed rule will not result in an annual effect on the economy of more than $100 million per year; a major increase in costs or prices for consumers, individual industries, Federal, State, or local government agencies, or geographic regions; or significant adverse effects on competition, employment, investment, productivity, innovation, or on the ability of U.S. based enterprises. Paperwork Reduction Act The proposed rule does not contain any information collection requirements for which the Office of Management and Budget approval under the Paperwork Reduction Act (44 U.S.C. 3501-3520) would be required. National Environmental Policy Act The Commission has determined that the proposed rule does not constitute a major Federal Action significantly affecting the quality of the human environment and that no detailed statement is required pursuant to the National Environmental Policy Act of 1969. List of Subjects in 25 CFR Part 515 Administrative practice and procedure, Privacy, Reporting and recordkeeping. [[Page 8141]] 0 For the reasons set forth in the preamble, the Commission revises part 25 CFR part 515 to read as follows: PART 515--PRIVACY ACT PROCEDURES Sec. 515.1 Purpose and scope. 515.2 Definitions. 515.3 Request for access to records. 515.4 Responsibility for responding to requests. 515.5 Responses to requests for access to records. 515.6 Request for amendment or correction of records. 515.7 Appeals of initial agency adverse determination. 515.8 Requests for an accounting of record disclosure. 515.9 Notice of court-ordered and emergency disclosures. 515.10 Fees. 515.11 Penalties. 515.12 [Reserved] 515.13 Specific exemptions. Authority: 5 U.S.C. 552a Sec. 515.1 Purpose and scope. This part contains the regulations the National Indian Gaming Commission (Commission) follows in implementing the Privacy Act of 1974. These regulations should be read together with the Privacy Act, which provides additional information about records maintained on individuals. The regulations in this part apply to all records contained within systems of records maintained by the Commission that are retrieved by an individual's name or personal identifier. They describe the procedures by which individuals may request access to records about themselves, request amendment or correction of those records, and request an accounting of disclosures of those records by the Commission. The Commission shall also process all Privacy Act requests for access to records under the Freedom of Information Act (FOIA), 5 U.S.C. 552, and the Commission's FOIA regulations contained in 25 CFR part 517, which gives requesters maximum disclosure. Sec. 515.2 Definitions. For the purposes of this subpart: (a) Individual means a citizen of the United States or an alien lawfully admitted for permanent residence. (b) Maintain means store, collect, use, or disseminate. (c) Record means any item, collection, or grouping of information about an individual that is maintained by the Commission, including education, financial transactions, medical history, and criminal or employment history, and that contains the individual's name, or identifying number, symbol, or other identifier assigned to the individual, such as social security number, finger or voice print, or photograph. (d) System of records means a group of any records under the control of the Commission from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifier assigned to the individual. (e) Routine use means use of a record for a purpose that is compatible with the purpose for which it was collected. (f) Working day means a Federal workday that does not include Saturdays, Sundays, or Federal holidays. Sec. 515.3 Request for access to records. (a) How made and addressed. Any individual may make a request to the Commission for access to records about him or herself. Such requests shall conform to the requirements of this section. The request may be made in person at 90 K Street NE., Suite 200, Washington, DC 20002 during the hours of 9 a.m. to 12 noon and 2 p.m. to 5 p.m. Monday through Friday, in writing at NIGC Attn: Privacy Act Officer, C/O Department of the Interior, 1849 C Street NW., Mail Stop #1621, Washington, DC 20240, or via electronic mail addressed to PARequests@nigc.gov. (b) Description of records sought. Each request for access to records must describe the records sought in enough detail to enable Commission personnel to locate the system of records containing them with a reasonable amount of effort. Whenever possible, the request should describe the records sought, the time periods in which the records were compiled, any tribal gaming facility with which they were associated, and the name or identifying number of each system of records in which the records are kept. (c) Agreement to pay fees. Requests shall also include a statement indicating the maximum amount of fees the requester is willing to pay to obtain the requested information. The requester must send acknowledgment to the Privacy Act Officer indicating his/her willingness to pay the fees. Absent such an acknowledgment within the specified time frame, the request will be considered incomplete, no further work shall be done, and the request will be administratively closed. (d) Verification of identity. When making a request for access to records the individual seeking access must provide verification of identity. The requester must provide a full name, current address, and date and place of birth. The request must be signed and must either be notarized or submitted under 28 U.S.C. 1746, which is a law that permits statements to be made under penalty of perjury as a substitute for notarization. In order to assist in the identification and location of requested records, a request may also, at the requester's option, include a social security number. (e) Verification of guardianship. When making a request as a parent or guardian of a minor or as the guardian of someone determined by a court to be incompetent, for access to records about that individual, the request must establish: (1) The identity of the individual who is the subject of the record by stating the name, current address, date and place of birth, and, at the requester's option, the social security number of the individual; (2) The requester's own identity, as required in paragraph (d) of this section; (3) That the requester is the parent or guardian of the individual and proof of such relationship by providing a birth certificate showing parentage or a court order establishing guardianship; and (4) That the requester is acting on behalf of that individual in making the request. (f) Verification in the case of third party information requests. Any individual who desires to have a record covered by this part disclosed to or mailed to another person may designate such person and authorize such person to act as his or her agent for that specific purpose. The authorization shall be in writing, signed by the individual whose record is requested, and notarized or witnessed as provided in paragraph (d) of this section. (g) In-person disclosures. An individual to whom a record is to be disclosed in person, pursuant to this section, may have a person of his or her own choosing accompany him or her when the record is disclosed. If a requester is accompanied by another individual, the requester shall be required to authorize in writing any discussion of the records in the presence of the other person. Sec. 515.4 Responsibility for responding to requests. (a) In general. In determining which records are responsive to a request, the Commission ordinarily will include only records in its possession as of the date it begins its search for records. If any other date is used, the Privacy Act Officer shall inform the requester of that date. (b) Authority to grant or deny requests. The Privacy Act Officer shall [[Page 8142]] make initial determinations either to grant or deny in whole or in part access to records. (c) Consultations and referrals. When the Commission receives a request for a record in its possession, the Privacy Act Officer shall determine whether another agency of the Federal Government is better able to determine whether the record is exempt from disclosure under the Privacy Act. If the Privacy Act Officer determines that it is best able to process the record in response to the request, then it shall do so. If the Privacy Act Officer determines that it is not best able to process the record, then it shall either: (1) Respond to the request regarding that record, after consulting with the agency best able to determine whether to disclose it and with any other agency that has a substantial interest in it; or (2) Refer the responsibility for responding to the request regarding that record to the agency best able to determine whether to disclose it, or to another agency that originated the record. Ordinarily, the agency that originated a record will be presumed to be best able to determine whether to disclose it. (d) Notice of referral. Whenever the Privacy Act Officer refers all or any part of the responsibility for responding to a request to another agency, it ordinarily shall notify the requester of the referral and inform the requester of the name of each agency to which the request has been referred and of the part of the request that has been referred. Sec. 515.5 Responses to requests for access to records. (a) Acknowledgement of requests. Upon receipt of a request, the Privacy Act Officer ordinarily shall, within 20 working days, send an acknowledgement letter which shall confirm the requester's agreement to pay fees under Sec. 515.9 and provide an assigned request number. (b) Grants of requests for access. Once the Privacy Act Officer makes a determination to grant a request for access in whole or in part, it shall notify the requester in writing. The notice shall inform the requester of any fee charged under Sec. 515.9 of this part and the Privacy Act Officer shall disclose records to the requester promptly on payment of any applicable fee. If a request is made in person, the Privacy Act Officer will disclose the records to the requester directly, in a manner not unreasonably disruptive of its operations, on payment of any applicable fee and with a written record made of the grant of the request. If a requester is accompanied by another individual, the requester shall be required to authorize in writing any discussion of the records in the presence of the other person. (c) Adverse determinations of requests for access. If the Privacy Act Officer makes any adverse determination denying a request for access in any respect, it shall notify the requester of that determination in writing. The notification letter shall be signed by the official making the determination and include: (1) The name and title of the person responsible for the denial; (2) A brief statement of the reason(s) for the denial, including any Privacy Act exemption(s) applied to the denial; (3) A statement that the denial may be appealed under Sec. 515.7 and a description of the requirements of Sec. 515.7. Sec. 515.6 Request for amendment or correction of records. (a) How made and addressed. An individual may make a request for an amendment or correction to a Commission record about that individual by writing directly to the Privacy Act Officer, following the procedures in Sec. 515.3. The request should identify each particular record in question, state the amendment or correction that is sought, and state why the record is not accurate, relevant, timely, or complete. The request may include any documentation that would be helpful to substantiate the reasons for the amendment sought. (b) Privacy Act Officer response. The Privacy Act Officer shall, not later than 10 working days after receipt of a request for an amendment or correction of a record, acknowledge receipt of the request and provide notification of whether the request is granted or denied. If the request is granted in whole or in part, the Privacy Act Officer shall describe the amendment or correction made and shall advise the requester of the right to obtain a copy of the amended or corrected record. If the request is denied in whole or in part, the Privacy Act Officer shall send a letter signed by the denying official stating: (1) The reason(s) for the denial; and (2) The procedure for appeal of the denial under paragraph (c) of this section. (c) Appeals. A requester may appeal a denial of a request for amendment or correction in the same manner as a denial of a request for access as described in Sec. 515.7. If the appeal is denied, the requester shall be advised of the right to file a Statement of Disagreement as described in paragraph (d) of this section and of the right under the Privacy Act for judicial review of the decision. (d) Statements of Disagreement. If the appeal under this section is denied in whole or in part, the requester has the right to file a Statement of Disagreement that states the reason(s) for disagreeing with the Privacy Act Officer's denial of the request for amendment or correction. Statements of Disagreement must be concise, must clearly identify each part of any record that is disputed, and should be no longer than one typed page for each fact disputed. The Statement of Disagreement shall be placed in the system of records in which the disputed record is maintained and the record shall be marked to indicate a Statement of Disagreement has been filed. (e) Notification of amendment, correction, or disagreement. Within 30 working days of the amendment or correction of the record, the Privacy Act Officer shall notify all persons, organizations, or agencies to which it previously disclosed the record, and if an accounting of that disclosure was made, that the record has been amended or corrected. If a Statement of Disagreement was filed, the Commission shall append a copy of it to the disputed record whenever the record is disclosed and may also append a concise statement of its reason(s) for denying the request to amend the record. (f) Records not subject to amendment. Section 515.13 lists the records that are exempt from amendment or correction. Sec. 515.7 Appeals of initial adverse agency determination. (a) Adverse determination. An initial adverse agency determination of a request may consist of: A determination to withhold any requested record in whole or in part; a determination that a requested record does not exist or cannot be located; a determination that the requested record is not a record subject to the Privacy Act; a determination that a record will not be amended; a determination to deny a request for an accounting; a determination on any disputed fee matter; and any associated denial of a request for expedited treatment under the Commission's FOIA regulations. (b) Appeals. If the Privacy Act Officer issues an adverse determination in response to a request, the requester may file a written notice of appeal. The notice shall be accompanied by the original request, the initial adverse determination that is being appealed, and a statement describing why the adverse determination was in error. The appeal shall be addressed to the Privacy [[Page 8143]] Act Appeals Officer at the locations listed in Sec. 515.3 of this part no later than 90 calendar days after the date of the letter denying the request. Both the appeal letter and envelope should be marked ``Privacy Act Appeal.'' Any Privacy Act appeals submitted via electronic mail should state ``Privacy Act Appeal'' in the subject line. (c) Responses to appeals. The decision on appeal will be made in writing within 20 working days of receipt of the notice of appeal by the Privacy Act Appeals Officer. For good cause shown, however, the Privacy Act Appeals Officer may extend the 30 working day period. If such an extension is taken, the requester shall be promptly notified of such extension and the anticipated date of decision. A decision affirming an adverse determination in whole or in part will include a brief statement of the reason(s) for the determination, including any Privacy Act exemption(s) applied. If the adverse determination is reversed or modified in whole or in part, the requester will be notified in a written decision and the request will be reprocessed in accordance with that appeal decision. The response to the appeal shall also advise of the right to institute a civil action in a Federal district court for judicial review of the decision. (d) When appeal is required. In order to institute a civil action in a federal district court for judicial review of an adverse determination, a requester must first appeal it under this section. Sec. 515.8 Requests for an accounting of record disclosure. (a) How made and addressed. Subject to the exceptions listed in paragraph (b) of this section, an individual may make a request for an accounting of the disclosures of any record about that individual that the Commission has made to another person, organization, or agency. The accounting contains the date, nature and purpose of each disclosure, as well as the name and address of the person, organization, or agency to which the disclosure was made. The request for an accounting should identify each particular record in question and should be made in writing to the Commission's Privacy Act Officer, following the procedures in Sec. 515.3. (b) Where accountings are not required. The Commission is not required to provide an accounting where they relate to: (1) Disclosures for which accountings are not required to be kept, such as those that are made to employees of the Commission who have a need for the record in the performance of their duties and disclosures that are made under section 552 of title 5; (2) Disclosures made to law enforcement agencies for authorized law enforcement activities in response to written requests from those law enforcement agencies specifying the law enforcement activities for which the disclosures are sought; or (3) Disclosures made from law enforcement systems of records that have been exempted from accounting requirements. (c) Appeals. A requester may appeal a denial of a request for an accounting in the same manner as a denial of a request for access as described in Sec. 515.7 of this part and the same procedures will be followed. (d) Preservation of accountings. All accountings made under this section will be retained for at least five years or the life of the record, whichever is longer, after the disclosure for which the accounting is made. Sec. 515.9 Notice of court-ordered and emergency disclosures. (a) Court-ordered disclosures. When a record pertaining to an individual is required to be disclosed by a court order, the Privacy Act Officer shall make reasonable efforts to provide notice of this to the individual. Notice shall be given within a reasonable time after the Privacy Act Officer's receipt of the order--except that in a case in which the order is not a matter of public record, the notice shall be given only after the order becomes public. This notice shall be mailed to the individual's last known address and shall contain a copy of the order and a description of the information disclosed. Notice shall not be given if disclosure is made from a criminal law enforcement system of records that has been exempted from the notice requirement. (b) Emergency disclosures. Upon disclosing a record pertaining to an individual made under compelling circumstances affecting health or safety, the Privacy Act Officer shall, within a reasonable time, notify that individual of the disclosure. This notice shall be mailed to the individual's last known address and shall state the nature of the information disclosed; the person, organization, or agency to which it was disclosed; the date of disclosure; and the compelling circumstances justifying disclosure. Sec. 515.10 Fees. The Commission shall charge fees for duplication of records under the Privacy Act in the same way in which it charges duplication fees under Sec. 517.9 of this part. No search or review fee may be charged for any record. Additionally, when the Privacy Act Officer makes a copy of a record as a necessary part of reviewing the record or granting access to the record, the Commission shall not charge for the cost of making that copy. Otherwise, the Commission may charge a fee sufficient to cover the cost of duplicating a record. Sec. 515.11 Penalties. Any person who makes a false statement in connection with any request for access to a record, or an amendment thereto, under this part, is subject to the penalties prescribed in 18 U.S.C. 494 and 495. Sec. 515.12 [Reserved] Sec. 515.13 Specific exemptions. (a) The following systems of records are exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1) and (f): (1) Indian Gaming Individuals Records System. (2) Management Contract Individuals Record System. (b) The exemptions under paragraph (a) of this section apply only to the extent that information in these systems is subject to exemption under 5 U.S.C. 552a(k)(2). When compliance would not appear to interfere with or adversely affect the overall responsibilities of the Commission, with respect to licensing of key employees and primary management officials for employment in an Indian gaming operation or verifying the suitability of an individual who has a financial interest in, or management responsibility for a management contract, the applicable exemption may be waived by the Commission. (c) Exemptions from the particular sections are justified for the following reasons: (1) From 5 U.S.C. 552a(c)(3), because making available the accounting of disclosures to an individual who is the subject of a record could reveal investigative interest. This would permit the individual to take measures to destroy evidence, intimidate potential witnesses, or flee the area to avoid the investigation. (2) From 5 U.S.C. 552a(d), (e)(1), and (f) concerning individual access to records, when such access could compromise classified information related to national security, interfere with a pending investigation or internal inquiry, constitute an unwarranted invasion of privacy, reveal a sensitive investigative technique, or pose a potential threat to the Commission or its employees or to law enforcement personnel. Additionally, access could [[Page 8144]] reveal the identity of a source who provided information under an express promise of confidentiality. (3) From 5 U.S.C. 552a(d)(2), because to require the Commission to amend information thought to be incorrect, irrelevant, or untimely, because of the nature of the information collected and the length of time it is maintained, would create an impossible administrative and investigative burden by continually forcing the Commission to resolve questions of accuracy, relevance, timeliness, and completeness. (4) From 5 U.S.C. 552a(e)(1) because: (i) It is not always possible to determine relevance or necessity of specific information in the early stages of an investigation. (ii) Relevance and necessity are matters of judgment and timing in that what appears relevant and necessary when collected may be deemed unnecessary later. Only after information is assessed can its relevance and necessity be established. (iii) In any investigation the Commission may receive information concerning violations of law under the jurisdiction of another agency. In the interest of effective law enforcement and under 25 U.S.C. 2716(b), the information could be relevant to an investigation by the Commission. (iv) In the interviewing of individuals or obtaining evidence in other ways during an investigation, the Commission could obtain information that may or may not appear relevant at any given time; however, the information could be relevant to another investigation by the Commission. Dated: December 30, 2016. Jonodev Chaudhuri, Chairman. Kathryn Isom-Clause, Vice-Chair. Sequoyah Simermeyer, Commissioner. [FR Doc. 2017-00585 Filed 1-23-17; 8:45 am] BILLING CODE 7565-01-P
![Federal Register / Vol. 82, No. 14 / Tuesday, January 24, 2017 / Rules and Regulations 8139
interested persons an opportunity to Issued: January 9, 2017. (b) 16 U.S.C. 823b(c), Federal Power
view and print the contents of this Kimberly D. Bose, Act: $21,916 per day.
document via the Internet through the Secretary. (c) 16 U.S.C. 825n(a), Federal Power
Commission’s Home Page (http:// In consideration of the foregoing, the Act: $2,795.
www.ferc.gov) and in the Commission’s Commission amends parts 250 and 385, (d) 16 U.S.C. 825o–1(b), Federal
Public Reference Room during normal Chapter I, Title 18, Code of Federal Power Act: $1,213,503 per day.
business hours (8:30 a.m. to 5:00 p.m. Regulations as follows: (e) 15 U.S.C. 717t–1, Natural Gas Act:
Eastern time) at 888 First Street NE., $1,213,503 per day.
Room 2A, Washington, DC 20426. PART 250—FORMS (f) 49 App. U.S.C. 6(10) (1988),
Interstate Commerce Act: $1,270 per
14. From the Commission’s Home
■ 1. The authority citation for part 250 offense and $64 per day after the first
Page on the Internet, this information is continues to read as follows: day.
available on eLibrary. The full text of (g) 49 App. U.S.C. 16(8) (1988),
this document is available on eLibrary Authority: 15 U.S.C. 717–717w, 3301–
3432; 42 U.S.C. 7101–7352; 28 U.S.C. 2461 Interstate Commerce Act: $12,705 per
in PDF and Microsoft Word format for day.
note.
viewing, printing, and downloading. To (h) 49 App. U.S.C. 19a(k) (1988),
access this document in eLibrary, type ■ 2. Amend § 250.16 by revising
Interstate Commerce Act: $1,270 per
the docket number (excluding the last paragraph (e)(1) to read as follows:
day.
three digits) in the docket number field. § 250.16 Format of compliance plan (i) 49 App. U.S.C. 20(7)(a) (1988),
15. User assistance is available for transportation services and affiliate Interstate Commerce Act: $1,270 per
eLibrary and the Commission’s Web site transactions. day.
during normal business hours from the * * * * * [FR Doc. 2017–00567 Filed 1–23–17; 8:45 am]
Commission’s Online Support at 202– (e) Penalty for failure to comply. (1) BILLING CODE 6717–01–P
502–6652 (toll free at 1–866–208–3676) Any person who transports gas for
or email at ferconlinesupport@ferc.gov, others pursuant to Subparts B or G of
or the Public Reference Room at (202) Part 284 of this chapter and who DEPARTMENT OF THE INTERIOR
502–8371, TTY (202) 502–8659, knowingly violates the requirements of
public.referenceroom@ferc.gov. §§ 358.4 and 358.5, § 250.16, or § 284.13 National Indian Gaming Commission
VII. Effective Date and Congressional of this chapter will be subject, pursuant
Notification to sections 311(c), 501, and 504(b)(6) of 25 CFR Part 515
the Natural Gas Policy Act of 1978, to
16. For the same reasons the a civil penalty, which the Commission RIN 3141–AA65
Commission has determined that public may assess, of not more than $1,213,503 Privacy Act Procedures
notice and comment are unnecessary, for any one violation.
impractical, and contrary to the public * * * * * AGENCY: National Indian Gaming
interest, the Commission finds good Commission, Department of the Interior.
cause to adopt an effective date that is PART 385—RULES OF PRACTICE AND ACTION: Final rule.
less than 30 days after the date of PROCEDURE
publication in the Federal Register SUMMARY: The National Indian Gaming
pursuant to the Administrative ■ 3. The authority citation for part 385 Commission (NIGC or the Commission)
Procedure Act,18 and therefore, the is revised to read as follows: is establishing this rule in Chapter III of
regulation is effective upon publication Authority: 5 U.S.C. 551–557; 15 U.S.C. title 25 of the Code of Federal
in the Federal Register. 717–717w, 3301–3432; 16 U.S.C. 791a–825v, Regulations. This rule describes the
17. The Commission has determined, 2601–2645; 28 U.S.C. 2461; 31 U.S.C 3701, procedures and policies adopted by the
9701; 42 U.S.C. 7101–7352, 16441, 16451– Commission pursuant to the Privacy Act
with the concurrence of the 16463; 49 U.S.C. 60502; 49 App. U.S.C. 1–85 of 1974. Under the Act, a Federal agency
Administrator of the Office of (1988); 28 U.S.C. 2461 note (1990); 28 U.S.C. must publish notice, in the Federal
Information and Regulatory Affairs of 2461 note (2015). Register, of any systems of records that
the Office of Management and Budget,
■ 4. Revise § 385.1504(a) to read as it intends to create as well as procedures
that this rule is not a ‘‘major rule’’ as
follows: regarding the collection, maintenance,
defined in section 351 of the Small
use, and dissemination of the records
Business Regulatory Enforcement § 385.1504 Maximum civil penalty (Rule
within those systems. The Commission
Fairness Act of 1996. This Final Rule is 1504).
previously published notice of the
being submitted to the Senate, House, (a) Except as provided in paragraph
creation of two systems of records,
and Government Accountability Office. (b) of this section, the Commission may
namely the Indian Gaming Individuals
List of Subjects assess a civil penalty of up to $21,916
Record System and the Management
for each day that the violation
Contract Individuals Record System.
18 CFR Part 250 continues.
The regulations set forth here update the
Natural Gas and Reporting and * * * * * Commission’s previously published
recordkeeping requirements. ■ 5. Revise § 385.1602 to read as procedures and serve to streamline how
follows: the Commission processes its Privacy
18 CFR Part 385
§ 385.1602 Civil penalties, as adjusted
Act requests.
sradovich on DSK3GMQ082PROD with RULES
Administrative practice and (Rule 1602). DATES: Effective January 24, 2017.
procedure, Electric power, Penalties, FOR FURTHER INFORMATION CONTACT:
The current inflation-adjusted civil
Pipelines, Reporting and recordkeeping Andrew Mendoza, Staff Attorney, at
monetary penalties provided by law
requirements. (202) 632–7003 or by fax (202) 632–7066
within the jurisdiction of the
By the Commission. Commission are: (these numbers are not toll free).
(a) 15 U.S.C. 3414(b)(6)(A)(i), Natural SUPPLEMENTARY INFORMATION: The
18 5 U.S.C. 553(d)(3). Gas Policy Act of 1978: $1,213,503. Indian Gaming Regulatory Act (IGRA),
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![Federal Register / Vol. 82, No. 14 / Tuesday, January 24, 2017 / Rules and Regulations 8141
■ For the reasons set forth in the and that contains the individual’s name, birth. The request must be signed and
preamble, the Commission revises part or identifying number, symbol, or other must either be notarized or submitted
25 CFR part 515 to read as follows: identifier assigned to the individual, under 28 U.S.C. 1746, which is a law
such as social security number, finger or that permits statements to be made
PART 515—PRIVACY ACT voice print, or photograph. under penalty of perjury as a substitute
PROCEDURES (d) System of records means a group for notarization. In order to assist in the
of any records under the control of the identification and location of requested
Sec.
Commission from which information is records, a request may also, at the
515.1 Purpose and scope. retrieved by the name of the individual requester’s option, include a social
515.2 Definitions. or by some identifying number, symbol, security number.
515.3 Request for access to records. or other identifier assigned to the (e) Verification of guardianship.
515.4 Responsibility for responding to individual. When making a request as a parent or
requests. (e) Routine use means use of a record guardian of a minor or as the guardian
515.5 Responses to requests for access to for a purpose that is compatible with the of someone determined by a court to be
records. purpose for which it was collected. incompetent, for access to records about
515.6 Request for amendment or correction (f) Working day means a Federal that individual, the request must
of records. workday that does not include
515.7 Appeals of initial agency adverse establish:
Saturdays, Sundays, or Federal (1) The identity of the individual who
determination.
515.8 Requests for an accounting of record holidays. is the subject of the record by stating the
disclosure. § 515.3 Request for access to records.
name, current address, date and place of
515.9 Notice of court-ordered and birth, and, at the requester’s option, the
emergency disclosures. (a) How made and addressed. Any social security number of the
515.10 Fees. individual may make a request to the individual;
515.11 Penalties. Commission for access to records about (2) The requester’s own identity, as
515.12 [Reserved] him or herself. Such requests shall required in paragraph (d) of this section;
515.13 Specific exemptions. conform to the requirements of this (3) That the requester is the parent or
Authority: 5 U.S.C. 552a section. The request may be made in guardian of the individual and proof of
person at 90 K Street NE., Suite 200, such relationship by providing a birth
§ 515.1 Purpose and scope. Washington, DC 20002 during the hours certificate showing parentage or a court
This part contains the regulations the of 9 a.m. to 12 noon and 2 p.m. to 5 p.m. order establishing guardianship; and
National Indian Gaming Commission Monday through Friday, in writing at (4) That the requester is acting on
(Commission) follows in implementing NIGC Attn: Privacy Act Officer, C/O behalf of that individual in making the
the Privacy Act of 1974. These Department of the Interior, 1849 C Street request.
regulations should be read together with NW., Mail Stop #1621, Washington, DC (f) Verification in the case of third
the Privacy Act, which provides 20240, or via electronic mail addressed party information requests. Any
additional information about records to PARequests@nigc.gov. individual who desires to have a record
maintained on individuals. The (b) Description of records sought. covered by this part disclosed to or
regulations in this part apply to all Each request for access to records must mailed to another person may designate
records contained within systems of describe the records sought in enough such person and authorize such person
records maintained by the Commission detail to enable Commission personnel to act as his or her agent for that specific
that are retrieved by an individual’s to locate the system of records purpose. The authorization shall be in
name or personal identifier. They containing them with a reasonable writing, signed by the individual whose
describe the procedures by which amount of effort. Whenever possible, the record is requested, and notarized or
individuals may request access to request should describe the records witnessed as provided in paragraph (d)
records about themselves, request sought, the time periods in which the of this section.
amendment or correction of those records were compiled, any tribal (g) In-person disclosures. An
records, and request an accounting of gaming facility with which they were individual to whom a record is to be
disclosures of those records by the associated, and the name or identifying disclosed in person, pursuant to this
Commission. The Commission shall also number of each system of records in section, may have a person of his or her
process all Privacy Act requests for which the records are kept. own choosing accompany him or her
access to records under the Freedom of (c) Agreement to pay fees. Requests when the record is disclosed. If a
Information Act (FOIA), 5 U.S.C. 552, shall also include a statement indicating requester is accompanied by another
and the Commission’s FOIA regulations the maximum amount of fees the individual, the requester shall be
contained in 25 CFR part 517, which requester is willing to pay to obtain the required to authorize in writing any
gives requesters maximum disclosure. requested information. The requester discussion of the records in the
must send acknowledgment to the presence of the other person.
§ 515.2 Definitions. Privacy Act Officer indicating his/her
For the purposes of this subpart: willingness to pay the fees. Absent such § 515.4 Responsibility for responding to
(a) Individual means a citizen of the an acknowledgment within the requests.
United States or an alien lawfully specified time frame, the request will be (a) In general. In determining which
admitted for permanent residence. considered incomplete, no further work records are responsive to a request, the
(b) Maintain means store, collect, use, shall be done, and the request will be Commission ordinarily will include
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or disseminate. administratively closed. only records in its possession as of the
(c) Record means any item, collection, (d) Verification of identity. When date it begins its search for records. If
or grouping of information about an making a request for access to records any other date is used, the Privacy Act
individual that is maintained by the the individual seeking access must Officer shall inform the requester of that
Commission, including education, provide verification of identity. The date.
financial transactions, medical history, requester must provide a full name, (b) Authority to grant or deny
and criminal or employment history, current address, and date and place of requests. The Privacy Act Officer shall
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![Federal Register / Vol. 82, No. 14 / Tuesday, January 24, 2017 / Rules and Regulations 8143
Act Appeals Officer at the locations and disclosures that are made under part. No search or review fee may be
listed in § 515.3 of this part no later than section 552 of title 5; charged for any record. Additionally,
90 calendar days after the date of the (2) Disclosures made to law when the Privacy Act Officer makes a
letter denying the request. Both the enforcement agencies for authorized law copy of a record as a necessary part of
appeal letter and envelope should be enforcement activities in response to reviewing the record or granting access
marked ‘‘Privacy Act Appeal.’’ Any written requests from those law to the record, the Commission shall not
Privacy Act appeals submitted via enforcement agencies specifying the law charge for the cost of making that copy.
electronic mail should state ‘‘Privacy enforcement activities for which the Otherwise, the Commission may charge
Act Appeal’’ in the subject line. disclosures are sought; or a fee sufficient to cover the cost of
(c) Responses to appeals. The (3) Disclosures made from law duplicating a record.
decision on appeal will be made in enforcement systems of records that
writing within 20 working days of have been exempted from accounting § 515.11 Penalties.
receipt of the notice of appeal by the requirements. Any person who makes a false
Privacy Act Appeals Officer. For good (c) Appeals. A requester may appeal statement in connection with any
cause shown, however, the Privacy Act a denial of a request for an accounting request for access to a record, or an
Appeals Officer may extend the 30 in the same manner as a denial of a amendment thereto, under this part, is
working day period. If such an request for access as described in subject to the penalties prescribed in 18
extension is taken, the requester shall be § 515.7 of this part and the same U.S.C. 494 and 495.
promptly notified of such extension and procedures will be followed.
§ 515.12 [Reserved]
the anticipated date of decision. A (d) Preservation of accountings. All
decision affirming an adverse accountings made under this section § 515.13 Specific exemptions.
determination in whole or in part will will be retained for at least five years or (a) The following systems of records
include a brief statement of the reason(s) the life of the record, whichever is are exempt from 5 U.S.C. 552a(c)(3), (d),
for the determination, including any longer, after the disclosure for which the (e)(1) and (f):
Privacy Act exemption(s) applied. If the accounting is made. (1) Indian Gaming Individuals
adverse determination is reversed or Records System.
§ 515.9 Notice of court-ordered and
modified in whole or in part, the (2) Management Contract Individuals
emergency disclosures.
requester will be notified in a written Record System.
decision and the request will be (a) Court-ordered disclosures. When a
record pertaining to an individual is (b) The exemptions under paragraph
reprocessed in accordance with that (a) of this section apply only to the
appeal decision. The response to the required to be disclosed by a court
order, the Privacy Act Officer shall extent that information in these systems
appeal shall also advise of the right to is subject to exemption under 5 U.S.C.
institute a civil action in a Federal make reasonable efforts to provide
notice of this to the individual. Notice 552a(k)(2). When compliance would not
district court for judicial review of the appear to interfere with or adversely
decision. shall be given within a reasonable time
after the Privacy Act Officer’s receipt of affect the overall responsibilities of the
(d) When appeal is required. In order Commission, with respect to licensing
to institute a civil action in a federal the order—except that in a case in
which the order is not a matter of public of key employees and primary
district court for judicial review of an management officials for employment in
adverse determination, a requester must record, the notice shall be given only
after the order becomes public. This an Indian gaming operation or verifying
first appeal it under this section. the suitability of an individual who has
notice shall be mailed to the
§ 515.8 Requests for an accounting of individual’s last known address and a financial interest in, or management
record disclosure. shall contain a copy of the order and a responsibility for a management
(a) How made and addressed. Subject description of the information contract, the applicable exemption may
to the exceptions listed in paragraph (b) disclosed. Notice shall not be given if be waived by the Commission.
of this section, an individual may make disclosure is made from a criminal law (c) Exemptions from the particular
a request for an accounting of the enforcement system of records that has sections are justified for the following
disclosures of any record about that been exempted from the notice reasons:
individual that the Commission has requirement. (1) From 5 U.S.C. 552a(c)(3), because
made to another person, organization, or (b) Emergency disclosures. Upon making available the accounting of
agency. The accounting contains the disclosing a record pertaining to an disclosures to an individual who is the
date, nature and purpose of each individual made under compelling subject of a record could reveal
disclosure, as well as the name and circumstances affecting health or safety, investigative interest. This would
address of the person, organization, or the Privacy Act Officer shall, within a permit the individual to take measures
agency to which the disclosure was reasonable time, notify that individual to destroy evidence, intimidate potential
made. The request for an accounting of the disclosure. This notice shall be witnesses, or flee the area to avoid the
should identify each particular record in mailed to the individual’s last known investigation.
question and should be made in writing address and shall state the nature of the (2) From 5 U.S.C. 552a(d), (e)(1), and
to the Commission’s Privacy Act Officer, information disclosed; the person, (f) concerning individual access to
following the procedures in § 515.3. organization, or agency to which it was records, when such access could
(b) Where accountings are not disclosed; the date of disclosure; and compromise classified information
required. The Commission is not the compelling circumstances justifying related to national security, interfere
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required to provide an accounting disclosure. with a pending investigation or internal
where they relate to: inquiry, constitute an unwarranted
(1) Disclosures for which accountings § 515.10 Fees. invasion of privacy, reveal a sensitive
are not required to be kept, such as The Commission shall charge fees for investigative technique, or pose a
those that are made to employees of the duplication of records under the Privacy potential threat to the Commission or its
Commission who have a need for the Act in the same way in which it charges employees or to law enforcement
record in the performance of their duties duplication fees under § 517.9 of this personnel. Additionally, access could
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![8144 Federal Register / Vol. 82, No. 14 / Tuesday, January 24, 2017 / Rules and Regulations
reveal the identity of a source who ACTION: Final regulations and temporary Background
provided information under an express regulations. On January 23, 2012, the Federal
promise of confidentiality. Register published temporary
(3) From 5 U.S.C. 552a(d)(2), because SUMMARY: This document provides
guidance to nonresident alien regulations (TD 9572) at 77 FR 3108
to require the Commission to amend (2012 temporary regulations), and a
information thought to be incorrect, individuals and foreign corporations
that hold certain financial products notice of proposed rulemaking by cross-
irrelevant, or untimely, because of the reference to the temporary regulations
nature of the information collected and providing for payments that are
contingent upon or determined by and notice of public hearing at 77 FR
the length of time it is maintained, 3202 (2012 proposed regulations, and
would create an impossible reference to U.S. source dividend
payments. This document also provides together with the 2012 temporary
administrative and investigative burden regulations, 2012 section 871(m)
by continually forcing the Commission guidance to withholding agents that are
responsible for withholding U.S. tax regulations) under section 871(m) of the
to resolve questions of accuracy, Code. The 2012 section 871(m)
relevance, timeliness, and with respect to a dividend equivalent, as
well as certain other parties to section regulations relate to dividend
completeness. equivalents from sources within the
(4) From 5 U.S.C. 552a(e)(1) because: 871(m) transactions and their agents.
United States paid to nonresident alien
(i) It is not always possible to DATES: Effective Date: These regulations
individuals and foreign corporations.
determine relevance or necessity of are effective on January 19, 2017. Corrections to the 2012 temporary
specific information in the early stages Applicability Dates: For dates of regulations were published on February
of an investigation. applicability, see §§ 1.871–15(r); 1.871– 6, 2012, and March 8, 2012, in the
(ii) Relevance and necessity are 15T(r)(4); 1.1441–1(f)(5); 1.1441–2(f); Federal Register at 77 FR 5700 and 77
matters of judgment and timing in that 1.1441–7(a)(4); 1.1461–1(i). FR 13969, respectively. A correcting
what appears relevant and necessary FOR FURTHER INFORMATION CONTACT: D. amendment to the 2012 temporary
when collected may be deemed Peter Merkel or Karen Walny at (202) regulations was also published on
unnecessary later. Only after 317–6938 (not a toll-free number). August 31, 2012, in the Federal Register
information is assessed can its relevance SUPPLEMENTARY INFORMATION: at 77 FR 53141. The Department of the
and necessity be established. Treasury (Treasury Department) and the
(iii) In any investigation the Paperwork Reduction Act
IRS received written comments on the
Commission may receive information The collection of information 2012 proposed regulations, and a public
concerning violations of law under the contained in these final regulations has hearing was held on April 27, 2012.
jurisdiction of another agency. In the been reviewed and approved by the On December 5, 2013, the Federal
interest of effective law enforcement Office of Management and Budget in Register published final regulations and
and under 25 U.S.C. 2716(b), the accordance with the Paperwork removal of temporary regulations (TD
information could be relevant to an Reduction Act of 1995 (44 U.S.C. 9648) at 78 FR 73079 (2013 final
investigation by the Commission. 3507(d)) under control numbers 1545– regulations), which finalized a portion
(iv) In the interviewing of individuals 0096 and 1545–1597. The collections of of the 2012 section 871(m) regulations.
or obtaining evidence in other ways information in these regulations are in On the same date, the Federal Register
during an investigation, the Commission § 1.871–15T(p) and are an increase in published a withdrawal of notice of
could obtain information that may or the total annual burden in the current proposed rulemaking, a notice of
may not appear relevant at any given regulations under §§ 1.1441–1 through proposed rulemaking, and a notice of
time; however, the information could be 1.1441–9. This information is required public hearing at 78 FR 73128 (2013
relevant to another investigation by the to establish whether a payment is proposed regulations). In light of
Commission. treated as a U.S. source dividend for comments on the 2012 proposed
Dated: December 30, 2016. purposes of section 871(m) of the regulations, the 2013 proposed
Jonodev Chaudhuri, Internal Revenue Code (Code). This regulations described a new approach
Chairman. information will be used for audit and for determining whether a payment
Kathryn Isom-Clause, examination purposes. The IRS intends made pursuant to a notional principal
Vice-Chair.
that these information collection contract (NPC) or an equity-linked
requirements will be satisfied by instrument (ELI) is a dividend
Sequoyah Simermeyer,
persons complying with chapter 3 equivalent based on the delta of the
Commissioner. reporting requirements and the contract. In response to written
[FR Doc. 2017–00585 Filed 1–23–17; 8:45 am] requirements of the applicable qualified comments on the 2013 proposed
BILLING CODE 7565–01–P intermediary (QI) revenue procedure, or regulations, the Treasury Department
alternative certification and and the IRS released Notice 2014–14,
documentation requirements set out in 2014–13 IRB 881, on March 24, 2014
DEPARTMENT OF THE TREASURY these regulations. An agency may not (see § 601.601(d)(2)(ii)(b)), stating that
conduct or sponsor, and a person is not the Treasury Department and the IRS
Internal Revenue Service required to respond to, a collection of anticipated limiting the application of
information unless it displays a valid the rules with respect to specified ELIs
26 CFR Part 1 control number. described in the 2013 proposed
[TD 9815] Books or records relating to a regulations to ELIs issued on or after 90
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collection of information must be days after the date of publication of final
RIN 1545–BM33 retained as long as their contents may regulations.
Dividend Equivalents From Sources become material in the administration On September 18, 2015, the Federal
Within the United States of any internal revenue law. Generally, Register published final regulations and
tax returns and return information are temporary regulations (TD 9734), at 80
AGENCY: Internal Revenue Service (IRS), confidential, as required by 26 U.S.C. FR 56866, which finalized a portion of
Treasury. 6103. the 2013 proposed regulations and
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Document Created: 2018-02-01 15:12:19
Document Modified: 2018-02-01 15:12:19
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Rules and Regulations | |
| Action | Final rule. | |
| Dates | Effective January 24, 2017. | |
| Contact | Andrew Mendoza, Staff Attorney, at (202) 632-7003 or by fax (202) 632-7066 (these numbers are not toll free). | |
| FR Citation | 82 FR 8139 | |
| RIN Number | 3141-AA65 | |
| CFR Associated | Administrative Practice and Procedure; Privacy and Reporting and Recordkeeping |
2026 Federal Register | Disclaimer | Privacy Policy
USC | CFR | eCFR