This section of the FEDERAL REGISTER

contains notices to the public of the proposed

issuance of rules and regulations. The

purpose of these notices is to give interested

persons an opportunity to participate in the

rule making prior to the adoption of the final

rules.

Proposed Rules Federal Register

38363 

Vol. 74, No. 147 

Monday, August 3, 2009 

RECOVERY ACCOUNTABILITY AND 

TRANSPARENCY BOARD 

4 CFR Part 200 

RIN 0430–AA00 

Implementation of Privacy Act of 1974 

AGENCY: Recovery Accountability and 

Transparency Board. 

ACTION: Proposed rule. 

SUMMARY: The Recovery Accountability 

and Transparency Board (Board) is 

proposing to implement a set of 

procedural regulations under the 

Privacy Act of 1974 (Privacy Act or the 

Act), Public Law 93–579, 5 U.S.C. 552a. 

The proposed regulations have been 

written to conform to the statutory 

provisions of the Act. They are intended 

to expedite the processing of Privacy 

Act requests received by the Board and 

to ensure the proper dissemination of 

information to the public. 

DATES: Comments on the proposed rule 

should be submitted no later than 

October 2, 2009. 

ADDRESSES: Comments on this proposed 

rule may be submitted: 

By Mail or Hand Delivery: Office of 

General Counsel, Recovery 

Accountability and Transparency Board, 

1717 Pennsylvania Avenue, NW., Suite 

700, Washington, DC 20006; 

By Fax: (202) 254–7970; or 

By E-mail to the Board: 

comments@ratb.gov. 

All comments on this proposed 

Privacy Act rule should be clearly 

identified as such. 

FOR FURTHER INFORMATION CONTACT: 

Jennifer Dure, General Counsel, (202) 

254–7900. 

SUPPLEMENTARY INFORMATION: This 

proposed rule is intended to set forth 

the procedures to be used by members 

of the public when requesting records 

from the Board under the Privacy Act. 

It also establishes a timeframe for 

responses, a fee schedule for copying 

records, and charges for obtaining 

information, when applicable. 

All written comments received on this 

document by October 2, 2009, will be 

fully considered before publication of 

the final rule. Any information 

considered confidential must be so 

identified and submitted in writing. 

Comments submitted anonymously will 

not be considered. However, name and/ 

or address may be withheld on request. 

Executive Order 12866 

The proposed regulation does not 

meet the criteria for a significant 

regulatory action under Executive Order 

12866. Therefore, review by the Office 

of Management and Budget is not 

required. 

Regulatory Flexibility Act 

The proposed rule adds Privacy Act 

regulations to 4 CFR part 200 and will 

not have a significant economic impact 

on a substantial number of small 

entities. 

Paperwork Reduction Act 

The rule imposes no additional 

recording and recordkeeping 

requirements and is therefore exempt 

from the requirements of the Paperwork 

Reduction Act. 

List of Subjects in 4 CFR Part 200 

Administrative practice and 

procedure, Privacy, Reporting and 

recordkeeping requirements. 

Under the authority at Public Law 

111–5, 123 Stat. 115 (2009), the Board 

proposes to amend Title 4 of the Code 

of Federal Regulations by establishing a 

new Chapter II, consisting of Part 200 to 

read as follows: 

CHAPTER II—RECOVERY 

ACCOUNTABILITY AND TRANSPARENCY 

BOARD 

PART 200—PRIVACY ACT OF 1974 

Sec. 

200.1 Purpose and scope. 

200.2 Definitions. 

200.3 Privacy Act records maintained by 

the Board. 

200.4 Privacy Act inquiries. 

200.5 Requests for access to records. 

200.6 Processing of requests. 

200.7 Fees. 

200.8 Appealing denials of access. 

200.9 Requests for correction of records. 

200.10 Disclosure of records to third 

parties. 

200.11 Maintaining records of disclosures. 

200.12 Notification of systems of Privacy 

Act records. 

200.13 Privacy Act training. 

200.14 Responsibility for maintaining 

adequate safeguards. 

200.15 Systems of records covered by 

exemptions. 

200.16 Mailing lists. 

Authority: 5 U.S.C. 552a(f). 

§ 200.1 Purpose and scope. 

This part sets forth the policies and 

procedures of the Board regarding 

access to systems of records maintained 

by the Board under the Privacy Act, 

Public Law 93–579, 5 U.S.C. 552a. The 

provisions in the Act shall take 

precedence over any part of the Board’s 

regulations in conflict with the Act. 

These regulations establish procedures 

by which an individual may exercise 

the rights granted by the Privacy Act to 

determine whether a Board system of 

records contains a record pertaining to 

him or her; to gain access to such 

records; and to request correction or 

amendment of such records. These 

regulations also set identification 

requirements and prescribe fees to be 

charged for copying records. 

§ 200.2 Definitions. 

As used in this part: 

(a) Agency means any executive 

department, military department, 

government corporation, or other 

establishment in the executive branch of 

the federal government, including the 

Executive Office of the President or any 

independent regulatory agency; 

(b) Individual means any citizen of 

the United States or an alien lawfully 

admitted for permanent residence; 

(c) Maintain means to collect, use, 

store, or disseminate records as well as 

any combination of these recordkeeping 

functions. The term also includes 

exercise of control over, and therefore 

responsibility and accountability for, 

systems of records; 

(d) Record means any item, collection, 

or grouping of information about an 

individual that is maintained by the 

Board and contains the individual’s 

name or other identifying information, 

such as a number or symbol assigned to 

the individual or his or her fingerprint, 

voice print, or photograph. The term 

includes, but is not limited to, 

information regarding an individual’s 

education, financial transactions, 

medical history, and criminal or 

employment history; 

(e) System of records means a group 

of records under the control of the 

Board from which information is 


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38364 Federal Register / Vol. 74, No. 147 / Monday, August 3, 2009 / Proposed Rules 

retrievable by use of the name of the 

individual or by some number, symbol, 

or other identifying particular assigned 

to the individual; 

(f) Routine use means, with respect to 

the disclosure of a record, the use of a 

record for a purpose that is compatible 

with the purpose for which it was 

collected; 

(g) Designated Privacy Act Officer 

means the person named by the Board 

to administer the Board’s activities in 

regard to the regulations in this part; 

(h) Executive Director means the chief 

operating officer of the Board; 

(i) Days means standard working 

days, excluding weekends and Federal 

holidays. 

§ 200.3 Privacy Act records maintained by 

the Board. 

(a) The Board shall maintain only 

such information about an individual as 

is relevant and necessary to accomplish 

a purpose of the agency required by 

statute or by Executive Order of the 

President. In addition, the Board shall 

maintain all records that are used in 

making determinations about any 

individual with such accuracy, 

relevance, timeliness, and completeness 

as is reasonably necessary to ensure 

fairness to that individual in the making 

of any determination about him or her. 

However, the Board shall not be 

required to update retired records. 

(b) The Board shall not maintain any 

record about any individual with 

respect to or describing how such 

individual exercises rights guaranteed 

by the First Amendment of the 

Constitution of the United States, unless 

expressly authorized by statute or by the 

subject individual, or unless pertinent 

to and within the scope of an authorized 

law enforcement activity. 

§ 200.4 Privacy Act inquiries. 

(a) Inquiries regarding the contents of 

record systems. Any person wanting to 

know whether the Board’s systems of 

records contain a record pertaining to 

him or her may file an inquiry in 

person, by mail or by telephone. 

(b) Inquiries in person may be 

submitted at the Board’s headquarters 

located at 1717 Pennsylvania Avenue, 

NW., Suite 700, Washington, DC 20006. 

Inquiries should be marked ‘‘Privacy 

Act Inquiry’’ on each page of the inquiry 

and on the front of the envelope and 

directed to the Privacy Act Officer. 

(c) Inquiries by mail may be sent to: 

Privacy Act Officer, Recovery 

Accountability and Transparency Board, 

1717 Pennsylvania Avenue, NW., Suite 

700, Washington, DC 20006. ‘‘Privacy 

Act Inquiry’’ should be written on the 

envelope and each page of the inquiry. 

(d) Telephone inquiries may be made 

by calling the Board’s Privacy Act 

Officer at (202) 254–7900. 

§ 200.5 Requests for access to records. 

(a) All requests for records should 

include the following information: 

(1) Full name, address, and telephone 

number of requester. 

(2) The system of records containing 

the desired information. 

(3) Any other information that the 

requester believes would help locate the 

record. 

(b) Requests in writing. A person may 

request access to his or her own records 

in writing by addressing a letter to: 

Privacy Act Officer, Recovery 

Accountability and Transparency Board, 

1717 Pennsylvania Avenue, NW., Suite 

700, Washington, DC 20006. 

(c) Requests by fax. A person may 

request access to his or her records by 

facsimile at (202) 254–7970. 

(d) Requests by phone. A person may 

request access to his or her records by 

calling the Privacy Act Officer at (202) 

254–7900. 

(e) Requests in person. Any person 

may examine and request copies of his 

or her own records on the Board’s 

premises. The requester should contact 

the Board’s office at least one week 

before the desired appointment date. 

This request may be made to the Privacy 

Act Officer in writing or by calling (202) 

254–7900. Before viewing the records, 

proof of identification must be 

provided. The identification should be a 

valid copy of one of the following: 

• A government ID; 

• A driver’s license; 

• A passport; or 

• Other current identification that 

contains both an address and a picture 

of the requester. 

§ 200.6 Processing of requests. 

Upon receipt of a request for 

information, the Privacy Act Officer will 

ascertain whether the records identified 

by the requester exist, and whether they 

are subject to any exemption under 

§ 200.15 below. 

If the records exist and are not subject 

to exemption, the Privacy Act Officer 

will provide the information. 

(a) Requests in writing, including 

those sent by fax. Within five working 

days of receiving the request, the 

Privacy Act Officer will acknowledge its 

receipt and will advise the requester of 

any additional information that may be 

needed. Within 15 working days of 

receiving the request, the Privacy Act 

Officer will send the requested 

information or will explain to the 

requester why additional time is needed 

for a response. 

(b) Requests in person or by 

telephone. Within 15 days of the initial 

request, the Privacy Act Officer will 

contact the requester and arrange an 

appointment at a mutually agreeable 

time when the record can be examined. 

The requester may be accompanied by 

no more than one person. In such case, 

the requestor must inform the Privacy 

Act Officer that a second individual will 

be present and must sign a statement 

authorizing disclosure of the records to 

that person. The statement will be kept 

with the requester’s records. At the 

appointment, the requester will be 

asked to present identification as stated 

in § 200.5(e). 

(c) Excluded information. If a request 

is received for information compiled in 

reasonable anticipation of litigation, the 

Privacy Act Officer will inform the 

requester that the information is not 

subject to release under the Privacy Act 

(see 5 U.S.C. 552a(d)(5)). 

§ 200.7 Fees. 

A fee will not be charged for 

searching, reviewing, or making 

corrections to records. A fee for copying 

will be assessed at the same rate 

established for the Freedom of 

Information Act requests. Duplication 

fees for paper copies of a record will be 

10 cents per page for black and white 

and 20 cents per page for color. For all 

other forms of duplication, the Board 

will charge the direct costs of producing 

the copy. However, the first 100 pages 

of black-and-white copying or its 

equivalent will be free of charge. 

§ 200.8 Appealing denials of access. 

If access to records is denied by the 

Privacy Act Officer, the requester may 

file an appeal in writing. The appeal 

should be directed to Executive 

Director, Recovery Accountability and 

Transparency Board, 1717 Pennsylvania 

Avenue, NW., Suite 700, Washington, 

DC 20006. 

The appeal letter must specify the 

denied records that are still sought, and 

state why denial by the Privacy Act 

Officer is erroneous. 

The Executive Director or his or her 

designee will respond to appeals within 

20 working days of the receipt of the 

appeal letter. The appeal determination 

will explain the basis of the decision to 

deny or grant the appeal. 

§ 200.9 Requests for correction of records. 

(a) Correction requests. Any person is 

entitled to request correction of his or 

her record(s) covered under the Act. The 

request must be made in writing and 

should be addressed to Privacy Act 

Officer, Recovery Accountability and 

Transparency Board, 1717 Pennsylvania 


sroberts on DSKD5P82C1PROD with PROPOSALS
Federal Register / Vol. 74, No. 147 / Monday, August 3, 2009 / Proposed Rules 38365 

Avenue, NW., Suite 700, Washington, 

DC 20006. The letter should clearly 

identify the corrections desired. In most 

circumstances, an edited copy of the 

record will be acceptable for this 

purpose. 

(b) Initial response. Receipt of a 

correction request will be acknowledged 

by the Privacy Act Officer in writing 

within five working days. The Privacy 

Act Officer will provide a letter to the 

requester within 20 working days 

stating whether the request for 

correction has been granted or denied. 

If the Privacy Act Officer denies any 

part of the correction request, the 

reasons for the denial will be provided 

to the requester. 

§ 200.10 Disclosure of records to third 

parties. 

(a) The Board will not disclose any 

record that is contained in a system of 

records to any person or agency, except 

with a written request by or with the 

prior written consent of the individual 

whose record is requested, unless 

disclosure of the record is: 

(1) Required by an employee or agent 

of the Board in the performance of his/ 

her official duties. 

(2) Required under the provisions of 

the Freedom of Information Act (5 

U.S.C. 552). Records required to be 

made available by the Freedom of 

Information Act will be released in 

response to a request in accordance with 

the Board’s regulation published at 4 

CFR Part 201. 

(3) For a routine use as published in 

the annual notice in the Federal 

Register. 

(4) To the Census Bureau for planning 

or carrying out a census, survey, or 

related activities pursuant to the 

provisions of Title 13 of the United 

States Code. 

(5) To a recipient who has provided 

the Board with adequate advance 

written assurance that the record will be 

used solely as a statistical research or 

reporting record and that the record is 

to be transferred in a form that is not 

individually identifiable. 

(6) To the National Archives and 

Records Administration as a record that 

has sufficient historical or other value to 

warrant its continued preservation by 

the United States government, or for 

evaluation by the Archivist of the 

United States, or his or her designee, to 

determine whether the record has such 

value. 

(7) To another agency or to an 

instrumentality of any governmental 

jurisdiction within or under the control 

of the United States for a civil or 

criminal law enforcement activity, if the 

activity is authorized by law, and if the 

head of the agency or instrumentality 

has made a written request to the Board 

for such records specifying the 

particular part desired and the law 

enforcement activity for which the 

record is sought. The Board also may 

disclose such a record to a law 

enforcement agency on its own 

initiative in situations in which 

criminal conduct is suspected, provided 

that such disclosure has been 

established as a routine use, or in 

situations in which the misconduct is 

directly related to the purpose for which 

the record is maintained. 

(8) To a person pursuant to a showing 

of compelling circumstances affecting 

the health or safety of an individual if, 

upon such disclosure, notification is 

transmitted to the last known address of 

such individual. 

(9) To either House of Congress, or, to 

the extent of matters within its 

jurisdiction, any committee or 

subcommittee thereof, any joint 

committee of Congress or subcommittee 

of any such joint committee. 

(10) To the Comptroller General, or 

any of his or her authorized 

representatives, in the course of the 

performance of official duties of the 

Government Accountability Office. 

(11) Pursuant to an order of a court of 

competent jurisdiction. In the event that 

any record is disclosed under such 

compulsory legal process, the Board 

shall make reasonable efforts to notify 

the subject individual after the process 

becomes a matter of public record. 

(12) To a consumer reporting agency 

in accordance with 31 U.S.C. 3711(e). 

(b) Before disseminating any record 

about any individual to any person 

other than a Board employee, the Board 

shall make reasonable efforts to ensure 

that the records are, or at the time they 

were collected, accurate, complete, 

timely, and relevant. This paragraph (b) 

does not apply to disseminations made 

pursuant to the provisions of the 

Freedom of Information Act (5 U.S.C. 

552) and paragraph (a)(2) of this section. 

§ 200.11 Maintaining records of 

disclosure. 

(a) The Board shall maintain a log 

containing the date, nature, and 

purposes of each disclosure of a record 

to any person or agency. Such 

accounting also shall contain the name 

and address of the person or agency to 

whom or to which each disclosure was 

made. This log will not include 

disclosures made to Board employees or 

agents in the course of their official 

duties or pursuant to the provisions of 

the Freedom of Information Act (5 

U.S.C. 552). 

(b) An accounting of each disclosure 

shall be retained for at least five years 

after the accounting is made or for the 

life of the record that was disclosed, 

whichever is longer. 

(c) The Board shall make the 

accounting of disclosure of a record 

pertaining to an individual available to 

that individual at his or her request. 

Such a request should be made in 

accordance with the procedures set 

forth in § 200.5. This paragraph (c) does 

not apply to disclosure made for law 

enforcement purposes under 5 U.S.C. 

552a(b)(7) and § 200.10(a)(7). 

§ 200.12 Notification of systems of Privacy 

Act records. 

(a) Public Notice. The Board 

periodically reviews its systems of 

records and will publish information 

about any significant additions or 

changes to those systems in the Federal 

Register. Information about systems of 

records maintained by other agencies 

that are in the temporary custody of the 

Board will not be published. In 

addition, the Office of the Federal 

Register biennially compiles and 

publishes all systems of records 

maintained by all federal agencies, 

including the Board. 

(b) At least 30 days before publishing 

additions or changes to the Board’s 

systems of records, the Board will 

publish a notice of intent to amend, 

providing the public with an 

opportunity to comment on the 

proposed amendments to its systems of 

records in the Federal Register. 

§ 200.13 Privacy Act training. 

(a) The Board shall ensure that all 

persons involved in the design, 

development, operation, or maintenance 

of any Board systems of records are 

informed of all requirements necessary 

to protect the privacy of individuals. 

The Board shall ensure that all 

employees having access to records 

receive adequate training in their 

protection and that records have 

adequate and proper storage with 

sufficient security to ensure their 

privacy. 

(b) All employees shall be informed of 

the civil remedies provided under 5 

U.S.C. 552a(g)(1) and other implications 

of the Privacy Act and of the fact that 

the Board may be subject to civil 

remedies for failure to comply with the 

provisions of the Privacy Act and the 

regulations in this part. 

§ 200.14 Responsibility for maintaining 

adequate safeguards. 

The Board has the responsibility for 

maintaining adequate technical, 

physical, and security safeguards to 


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38366 Federal Register / Vol. 74, No. 147 / Monday, August 3, 2009 / Proposed Rules 

prevent unauthorized disclosure or 

destruction of manual and automated 

records systems. These security 

safeguards shall apply to all systems of 

records in which identifiable personal 

data are processed or maintained, 

including all reports and output from 

such systems of records that contain 

identifiable personal information. Such 

safeguards must be sufficient to prevent 

negligent, accidental, or unintentional 

disclosure, modification, or destruction 

of any personal records or data; must 

minimize, to the extent practicable, the 

risk that skilled technicians or 

knowledgeable persons could 

improperly obtain access to modify or 

destroy such records or data; and shall 

further ensure against such casual entry 

by unskilled persons without official 

reasons for access to such records or 

data. 

(a) Manual systems. (1) Records 

contained in a system of records as 

defined in this part may be used, held, 

or stored only where facilities are 

adequate to prevent unauthorized access 

by persons within or outside the Board. 

(2) Access to and use of a system of 

records shall be permitted only to 

persons whose duties require such 

access to the information for routine 

uses or for such other uses as may be 

provided in this part. 

(3) Other than for access by 

employees or agents of the Board, access 

to records within a system of records 

shall be permitted only to the individual 

to whom the record pertains or upon his 

or her written request. 

(4) The Board shall ensure that all 

persons whose duties require access to 

and use of records contained in a system 

of records are adequately trained to 

protect the security and privacy of such 

records. 

(5) The disposal and destruction of 

identifiable personal data records shall 

be done by shredding and in accordance 

with rules promulgated by the Archivist 

of the United States. 

(b) Automated systems. (1) 

Identifiable personal information may 

be processed, stored, or maintained by 

automated data systems only where 

facilities or conditions are adequate to 

prevent unauthorized access to such 

systems in any form. 

(2) Access to and use of identifiable 

personal data associated with automated 

data systems shall be limited to those 

persons whose duties require such 

access. Proper control of personal data 

in any form associated with automated 

data systems shall be maintained at all 

times, including maintenance of 

accountability records showing 

disposition of input and output 

documents. 

(3) All persons whose duties require 

access to processing and maintenance of 

identifiable personal data and 

automated systems shall be adequately 

trained in the security and privacy of 

personal data. 

(4) The disposal and disposition of 

identifiable personal data and 

automated systems shall be done by 

shredding, burning, or, in the case of 

electronic records, by degaussing or by 

overwriting with the appropriate 

security software, in accordance with 

regulations of the Archivist of the 

United States or other appropriate 

authority. 

§ 200.15 Systems of records covered by 

exemptions. 

The Board currently has no exempt 

systems of records. 

§ 200.16 Mailing lists. 

The Board shall not sell or rent an 

individual’s name and/or address unless 

such action is specifically authorized by 

law. This section shall not be construed 

to require the withholding of names and 

addresses otherwise permitted to be 

made public. 

Ivan J. Flores, 

Paralegal Specialist, Recovery Accountability 

and Transparency Board. 

[FR Doc. E9–18352 Filed 7–31–09; 8:45 am] 

BILLING CODE 6820–GA–P 

RECOVERY ACCOUNTABILITY AND 

TRANSPARENCY BOARD 

4 CFR Part 201 

RIN 0430–AA01 

Rule Implementing the Freedom of 

Information Act 

AGENCY: Recovery Accountability and 

Transparency Board. 

ACTION: Proposed rule. 

SUMMARY: The Recovery Accountability 

and Transparency Board (Board) is 

proposing to implement a set of 

procedural regulations under the 

Freedom of Information Act (FOIA) in 

accordance with 5 U.S.C. 552, and 

Public Law 104–231, the Electronic 

Freedom of Information Act 

Amendments of 1996. These proposed 

regulations have been written to 

conform to the statutory provisions in 

the Acts, to expedite the processing of 

FOIA requests received by the Board, 

and to ensure the proper dissemination 

of information to the public. 

DATES: Comments on the proposed rule 

should be submitted no later than 

October 2, 2009. 

ADDRESSES: Comments on this proposed 

rule may be submitted: 

By Mail or Hand Delivery: Office of 

General Counsel, Recovery 

Accountability and Transparency Board, 

1717 Pennsylvania Avenue, NW., Suite 

700, Washington, DC 20006; 

By Fax: (202) 254–7970; or 

By E-mail to the Board: 

comments@ratb.gov. 

All comments on this proposed FOIA 

rule should be clearly identified as 

such. 

FOR FURTHER INFORMATION CONTACT: 

Jennifer Dure, General Counsel, (202) 

254–7900. 

SUPPLEMENTARY INFORMATION: This 

proposed rule is intended to set forth 

the procedures for members of the 

public to request records from the Board 

under both the FOIA and the Electronic 

Freedom of Information Act 

Amendments of 1996. The rule also sets 

forth the procedures that the Board will 

use when responding to such requests. 

It sets up the time frames for responses 

and the current fee schedule for any 

applicable charges for information. The 

rule also supplies information about 

Board materials available to the public 

through the Board’s Web site. 

Executive Order No. 12866 

These proposed regulations do not 

meet the criteria for a significant 

regulatory action under Executive Order 

12866. Thus, review by the Office of 

Management and Budget is not required. 

Regulatory Flexibility Act 

These proposed regulations will not 

have a significant economic impact on 

a substantial number of small entities. 

Therefore, a regulatory flexibility 

analysis as provided by the Regulatory 

Flexibility Act, as amended, is not 

required. 

Paperwork Reduction Act 

These proposed regulations impose 

no additional reporting and 

recordkeeping requirements. Therefore, 

clearance by the Office of Management 

and Budget is not required. 

List of Subjects in 4 CFR Part 201 

Administrative practice and 

procedure; Freedom of Information; 

Reporting and recordkeeping 

requirements. 

Therefore, the Board proposes to 

amend Chapter II of Title 4 of the Code 

of Federal Regulations, as proposed 

elsewhere in this issue of the Federal 

Register, by adding part 201 to read as 

follows: 


sroberts on DSKD5P82C1PROD with PROPOSALS