This section of the FEDERAL REGISTER

contains regulatory documents having general

applicability and legal effect, most of which

are keyed to and codified in the Code of

Federal Regulations, which is published under

50 titles pursuant to 44 U.S.C. 1510.

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the Superintendent of Documents. Prices of

new books are listed in the first FEDERAL

REGISTER issue of each week.

Rules and Regulations Federal Register

15555 

Vol. 77, No. 52 

Friday, March 16, 2012 

SPECIAL INSPECTOR GENERAL FOR 

AFGHANISTAN RECONSTRUCTION 

5 CFR Chapter LXXXIII and Part 9301 

RIN 3460–AA00 

Freedom of Information Act and 

Privacy Act Procedures 

AGENCY: Special Inspector General for 

Afghanistan Reconstruction. 

ACTION: Interim final rule. 

SUMMARY: This interim final rule 

establishes procedures for the public to 

obtain information from the Special 

Inspector General for Afghanistan 

Reconstruction under the Freedom of 

Information Act (FOIA) and the Privacy 

Act of 1974. These procedures will 

facilitate public interaction with SIGAR. 

DATES: This interim final rule is 

effective March 16, 2012. Written 

comments may be submitted by April 

16, 2012. 

ADDRESSES: You may submit comments, 

identified by RIN 3460–AA00 in the 

subject line to Mr. Hugo Teufel, Acting 

General Counsel, Special Inspector 

General for Afghanistan Reconstruction, 

2530 Crystal Drive, Arlington, VA 

22202–3940, email: 

hugo.teufel.civ@mail.mil, phone (703) 

545–5990, fax (703) 601–3804. 

FOR FURTHER INFORMATION CONTACT: Kate 

Gastner, Public Information Manager, at 

(703) 545–5993, email: 

mary.k.gastner.civ@mail.mil. 

SUPPLEMENTARY INFORMATION: 

I. Background 

On January 28, 2008, the President 

signed into law the National Defense 

Authorization Act for Fiscal Year 2008 

(Pub. L. 110–181), which created the 

Special Inspector General for 

Afghanistan Reconstruction (SIGAR). In 

order to establish procedures to 

facilitate public interaction with SIGAR, 

the agency is issuing interim final 

regulations under the FOIA and the 

Privacy Act. 

II. The Interim Final Rule 

This interim final rule establishes 

procedures for SIGAR necessary to 

implement the FOIA (5 U.S.C. 552) and 

the Privacy Act (5 U.S.C. 552a). The 

provisions of this subpart shall apply to 

all components of SIGAR. 

The FOIA provides for the disclosure 

of agency records and information to the 

public, unless that information is 

exempted under delineated statutory 

exemptions under the FOIA. The 

Privacy Act serves to safeguard public 

interest in informational privacy by 

delineating the duties and 

responsibilities of federal agencies that 

collect, store, and disseminate personal 

information about individuals. The 

procedures established here are 

intended to ensure that SIGAR fully 

satisfies its responsibility to the public 

to disclose agency information while 

simultaneously safeguarding individual 

privacy. 

The Privacy Act serves to balance the 

Government’s need to maintain 

information about individuals with the 

rights of individuals to be protected 

against unwarranted invasions of their 

privacy stemming from federal agencies’ 

collection, maintenance, use, and 

disclosure of personal information about 

them. Agencies are required to issue 

regulations outlining the agency’s rules 

and procedures for implementation of 

the Privacy Act and its provisions 

within the agency. This includes 

procedures on how individuals may 

request access to information about 

themselves, request amendment or 

correction of those records, and request 

an accounting of disclosures of their 

records by SIGAR. 

III. Procedural Requirements 

These regulations establish 

procedures under the FOIA and the 

Privacy Act to facilitate the interaction 

of the public with SIGAR. SIGAR’s 

policy of disclosure follows the 

Presidential Memorandum of January 

21, 2009, ‘‘Transparency and 

Openness,’’ 74 FR 4685, and the 

Attorney General’s March 19, 2009 

FOIA policy guidance, advising Federal 

agencies to apply a presumption of 

disclosure in FOIA decision making. 

This Interim Final Rule parallels the 

procedures currently used by other 

agencies to implement the FOIA and the 

Privacy Act. SIGAR has determined that 

good cause exists to publish these 

regulations as an interim final rule. 

These rules establish procedures to 

facilitate SIGAR’s interactions with the 

public and the public’s right to gain 

access to information about SIGAR and 

about themselves that SIGAR maintains. 

The absence of Privacy Act regulations 

could impair the confidentiality and 

privacy rights of those who submit 

sensitive information to SIGAR as well 

as the ability of SIGAR to use that 

information to carry out its statutory 

mission. SIGAR has determined that 

this interim rule should be issued 

without a delayed effective date 

pursuant to 5 U.S.C. 553(d)(3). 

Because no notice of proposed 

rulemaking is required, the provisions 

of the Regulatory Flexibility Act (5 

U.S.C. Chapter 6) do not apply. It has 

been determined that this rulemaking is 

not a significant regulatory action for 

the purposes of Executive Order 12866. 

Accordingly, a regulatory impact 

analysis is not required. 

List of Subjects in 5 CFR Part 9301 

Administrative practice and 

procedure, Freedom of information, 

Privacy. 

Authority and Issuance 

For the reasons set forth above, SIGAR 

establishes 5 CFR Chapter LXXXIII, 

consisting of part 9301 to read as set 

forth below. 

Title 5—Administrative Personnel 

CHAPTER LXXXIII—SPECIAL 

INSPECTOR GENERAL FOR 

AFGHANISTAN RECONSTRUCTION 

PART 9301—DISCLOSURE OF 

RECORDS AND INFORMATION 

Sec. 

Subpart A—Freedom of Information Act 

Procedures for Disclosure of Materials or 

Information 

9301.1 In general. 

9301.2 Authority and functions. 

9301.3 Organization. 

Procedures 

9301.4 Availability of records. 

9301.5 Accessing records without request. 

9301.6 Requesting records. 

Costs 

9301.7 Definitions. 

9301.8 Fees in general. 

9301.9 Fees for categories of requesters. 


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9301.10 Other charges. 

9301.11 Payment and waiver. 

Subpart B—Privacy Act 

9301.12 Purpose and scope. 

9301.13 Rules for determining if an 

individual is the subject of a record. 

9301.14 Requests for access. 

9301.15 Access to the accounting of 

disclosures from records. 

9301.16 Requests for copies of records. 

9301.17 Requests to amend records. 

9301.18 Request for review. 

9301.19 Schedule of fees. 

Subpart A—Freedom of Information 

Act 

Authority: 5 U.S.C. 552; Pub. L. No. 110– 

175, 121 Stat. 2524 (2007); 5 U.S.C. 301 and 

552; Exec. Order 12600, 52 FR 23781, 3 CFR, 

1987 Comp., p. 235; Exec. Order No. 13392, 

70 FR 75373–75377, 3 CFR, 2006 Comp., pp. 

216–200. 

Procedures for Disclosure of Records 

Under the Freedom of Information Act 

§ 9301.1 In general. 

This information is furnished for the 

guidance of the public and in 

compliance with the requirements of the 

Freedom of Information Act (FOIA), 5 

U.S.C. 552, as amended. This subpart 

should be read in conjunction with the 

FOIA. 

§ 9301.2 Authority and functions. 

Section 1229 of the National Defense 

Authorization Act for Fiscal Year 2008, 

Public Law 110–181, established the 

Special Inspector General for 

Afghanistan Reconstruction (SIGAR). 

SIGAR’s mission under Sections 1229 

and 842 of Public Law 110–181, is to 

provide independent oversight of the 

treatment, handling, and expenditure of 

funds appropriated or otherwise made 

available for the reconstruction of 

Afghanistan; detect and deter fraud, 

waste, and abuse of U.S. funds; and 

promote actions to increase program 

economy, efficiency, and effectiveness. 

§ 9301.3 Organization. 

SIGAR maintains its headquarters in 

Arlington, Virginia, and field offices in 

Kabul and elsewhere in Afghanistan. 

Procedures 

§ 9301.4 Availability of records. 

SIGAR’s publicly accessible records 

are available through SIGAR’s 

Electronic Reading Room on its Web 

site. SIGAR also provides records to 

individual requesters in response to 

FOIA requests. SIGAR generally 

withholds predecisional, deliberative 

documents, investigatory materials and 

sensitive policy documents under 5 

U.S.C. 552(b). 

§ 9301.5 Accessing records without 

request. 

Certain SIGAR records, including the 

agency’s Quarterly Report, audit reports, 

testimony, oversight plans, press 

releases and other public issuances, are 

available electronically from SIGAR’s 

homepage at http://www.sigar.mil._ 

SIGAR encourages requesters to visit its 

Web site before making a request for 

records under § 9301.6. 

§ 9301.6 Requesting records. 

(a) Written requests required. For 

records not available as described under 

§ 9301.5, requesters wishing to obtain 

information from SIGAR should submit 

a written request to SIGAR’s FOIA 

Officer. Requests should be addressed to 

FOIA Officer, Office of the Special 

Inspector General for Afghanistan 

Reconstruction, 2530 Crystal Drive, 

Arlington, VA 22202. As there may be 

delays in mail delivery, it is advisable 

to send the request via facsimile to (703) 

601–3804 or by email to 

sigar.pentagon.gencoun.mbx.foia@mail.mil. 

(b) Contents of requests. Requests 

should be as specific as possible and 

should reasonably specify the records 

sought so that the records can be located 

with a reasonable amount of effort. The 

request should identify the desired 

record or describe it, and include 

information such as the date, title or 

name, author, recipient, and subject 

matter of the record, where possible. 

The request should also include a 

statement of the requester’s willingness 

to pay fees, or request a fee waiver. The 

words ‘‘FOIA REQUEST’’ or ‘‘REQUEST 

FOR RECORDS’’ should be clearly 

marked on the cover letter, letter, and/ 

or envelope. 

(c) Response to requests—(1) 

Processing. The FOIA Officer shall 

determine within 20 days (except 

Saturdays, Sundays, and federal 

holidays) after receiving a request for 

records, whether it is appropriate to 

grant or deny the request. The 20-day 

period may be tolled once if the FOIA 

Officer requests information from the 

requestor or if additional time is 

necessary to clarify issues with the 

requestor regarding a fee assessment. 

(i) Request granted. If the FOIA 

Officer decides to grant the request, the 

FOIA Officer shall promptly provide the 

requester written notice of the decision. 

The FOIA Officer shall include with the 

notice both the requested records and a 

copy of the decision. The notice shall 

also describe the procedure for filing an 

appeal. 

(ii) Request denied. If the FOIA 

Officer denies the request, in full or 

part, the FOIA Officer shall provide the 

requester written notice of the denial 

together with the approximate number 

of pages of information withheld and 

the exemption under which the 

information was withheld. The notice 

shall also describe the procedure for 

filing an appeal. 

(2)(i) Expedited processing. At the 

time a requester submits an initial 

request for records the requester may 

ask the FOIA Officer in writing to 

expedite processing of the request. The 

request for expedited processing must 

be accompanied by a written statement, 

which shall state that it is true and 

correct to the best of the requester’s 

knowledge and belief, explaining why 

expedited processing is warranted. The 

FOIA Officer shall generally grant 

requests for expedited processing of 

requests for records, and appeals of 

denials under paragraph (d)(2) of this 

section, whenever the FOIA Officer 

determines that: 

(A) Failure to obtain the requested 

records on an expedited basis could 

reasonably pose a threat to a person’s 

life or physical safety; or 

(B) With respect to a request made by 

a person primarily engaged in 

disseminating information, there is an 

urgency to inform the public about 

Government activity that is the specific 

subject of the FOIA request. 

(ii) The FOIA Officer shall ordinarily 

decide within ten calendar days after 

receiving a request for expedited 

processing whether to grant it and shall 

notify the requester of the decision. If 

the FOIA Officer grants a request for 

expedited processing, the FOIA Officer 

shall process the request as soon as 

practicable. If the FOIA Officer denies a 

request for expedited processing, SIGAR 

shall act expeditiously on any appeal of 

that denial. 

(3) Extension for unusual 

circumstances—(i) In general. If the 

FOIA Officer determines that unusual 

circumstances exist, the FOIA Officer 

may extend for no more than ten days 

(except Saturdays, Sundays and Federal 

holidays) the time limits described in 

paragraph (c)(1) of this section by 

providing written notice of the 

extension to the requester. The FOIA 

Officer shall include with the notice a 

brief statement of the reason for the 

extension and the date the FOIA Officer 

expects to make the determination. 

(ii) Additional procedures. The FOIA 

Officer shall provide written notice to 

the requester if the FOIA Officer decides 

that the determination cannot be made 

within the time limit described in 

paragraph (c)(3)(i) of this section. The 

notice shall afford the requester an 

opportunity to limit the scope of the 

request to the extent necessary for the 


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FOIA Officer to process it within that 

time limit or an opportunity to arrange 

a longer period for processing the 

request. 

(d) Appeals—(1) Initiating appeals. 

Requesters not satisfied with the FOIA 

Officer’s written decision may request 

SIGAR’s FOIA Appellate Authority to 

review the decision. Appeals must be 

delivered in writing within 60 days of 

the date of the decision and shall be 

addressed to the FOIA Appellate 

Authority, Office of Privacy, Records & 

Disclosure, Special Inspector General 

for Afghanistan Reconstruction, 2530 

Crystal Drive, Arlington, VA 22202. As 

there may be delays in mail delivery, it 

is advisable to Fax appeals to (703) 601– 

3804 or email to sigar.pentagon.gencoun.mbx.foia@mail.mil. An appeal 

shall include a statement specifying the 

records that are the subject of the appeal 

and explaining why the Appellate 

Authority should grant the appeal. 

(2) Appeal decisions. The Appellate 

Authority shall ordinarily decide the 

appeal within 20 days (except 

Saturdays, Sundays and federal 

holidays) from the date it receives the 

appeal. If the Appellate Authority 

denies the appeal in full or part, the 

Appellate Authority shall promptly 

notify the requester in writing of the 

Appellate Authority’s decision and the 

provisions for judicial review. If the 

Appellate Authority grants the appeal, 

the FOIA Officer shall notify the 

requester in writing and shall make 

available to the requester copies of the 

releasable records once the requester 

pays any fees that SIGAR assesses under 

§§ 9301.8 through 9301.10. 

Costs 

§ 9301.7 Definitions. 

For purposes of this subpart: 

(a) Commercial use request means a 

request from or on behalf of a person 

who seeks information for a use or 

purpose that furthers the requester’s or 

other person’s commercial, trade, or 

profit interests. 

(b) Direct costs means those costs 

incurred in searching for and 

duplicating (and, in the case of 

commercial use requests, reviewing) 

documents to respond to a FOIA 

request. Direct costs include, for 

example, salaries of employees who 

perform the work and costs of 

conducting large-scale computer 

searches. 

(c) Duplicate means to copy records to 

respond to a FOIA request. Copies can 

take the form of paper, audio-visual 

materials, or electronic records, among 

others. 

(d) Educational institution means a 

preschool, a public or private 

elementary or secondary school, an 

institution of graduate higher education, 

an institution of undergraduate higher 

education, an institution of professional 

education, and an institution of 

vocational education, that operates a 

program or programs of scholarly 

research. 

(e) Non-commercial scientific 

institution means an institution that is 

not operated on a commercial basis and 

that operates solely for the purpose of 

conducting scientific research the 

results of which are not intended to 

promote any particular product or 

industry. 

(f) Representative of the news media 

means any person or entity that gathers 

information of potential interest to a 

segment of the public, uses its editorial 

skills to turn the raw materials into a 

distinct work, and distributes that work 

to an audience. 

(g) Review means to examine a record 

to determine whether any portion of the 

record may be withheld and to process 

a record for disclosure, including by 

redacting it. 

(h) Search for means look for and 

retrieve records covered by a FOIA 

request, including by looking page-bypage or line-by-line to identify 

responsive material within individual 

records. 

§ 9301.8 Fees in general. 

SIGAR shall charge reasonable fees 

that recoup the full allowable direct 

costs it incurs in responding to FOIA 

requests. SIGAR may assess charges for 

time spent searching for records even if 

SIGAR is unable to locate the records or 

if the records are located and 

determined to be exempt from 

disclosure. In general, SIGAR shall 

apply the following fee schedule, 

subject to §§ 9301.9 through 9301.11: 

(a) Manual searches. Time devoted to 

manual searches shall be charged on the 

basis of the salary of the employee(s) 

conducting the search (basic hourly 

rate(s) of pay for the employee). 

(b) Electronic searches. Fees shall 

reflect the direct cost of conducting the 

search. This will include the cost of 

operating the central processing unit for 

that portion of operating time that is 

directly attributable to searching for and 

printing records responsive to the FOIA 

request and operator/programmer salary 

attributable to the search. 

(c) Record reviews. Time devoted to 

reviewing records shall be charged on 

the same basis as under paragraph (a) of 

this section, but shall only be applicable 

to the initial review of records located 

in response to commercial use requests. 

(d) Duplication. Fees for copying 

paper records or for printing electronic 

records shall be assessed at a rate of $.10 

per page. For other types of copies such 

as disks or audio visual tapes, SIGAR 

shall charge the direct cost of producing 

the document(s). If duplication charges 

are expected to exceed $25, the FOIA 

Officer shall notify the requester, unless 

the requester has indicated in advance 

a willingness to pay fees as high as 

those anticipated. If a requester wishes 

to limit costs, the FOIA Officer shall 

provide the requester an opportunity to 

reformulate the request in order to 

reduce costs. If the requester 

reformulates a request, it shall be 

considered a new request and the 20- 

day period described in § 9301.6(c)(1) 

shall be deemed to begin when the 

FOIA Officer receives the revised 

request. 

(e) Advance payments required. 

(1) The FOIA Officer may require a 

requester to make an advance deposit of 

up to the amount of the entire 

anticipated fee before the FOIA Officer 

begins to process the request if: 

(i) The FOIA Officer estimates that the 

fee will exceed $250; or 

(ii) The requester has previously 

failed to pay a fee in a timely fashion. 

(2) When the FOIA Officer requires a 

requester to make an advance payment, 

the 20-day period described in 

§ 9301.6(c)(1) shall begin when the 

FOIA Officer receives the payment. 

(f) No assessment of fee. SIGAR shall 

not charge a fee to any requester if: 

(1) The cost of collecting the fee 

would be equal to or greater than the fee 

itself; or 

(2) SIGAR fails to comply with any 

time limit under the FOIA for 

responding to a request for records 

where no unusual or exceptional 

circumstances apply. 

§ 9301.9 Fees for categories of requesters. 

SIGAR shall assess fees for certain 

categories of requesters as follows: 

(a) Commercial use requesters. In 

responding to commercial use requests, 

SIGAR shall assess fees that recover the 

full direct costs of searching for, 

reviewing and duplicating records. 

(b) Educational institutions. SIGAR 

shall provide records to requesters in 

this category for the cost of duplication 

alone, excluding charges for the first 100 

pages. To qualify for inclusion in this 

fee category, a requester must show that 

the request is authorized by and is made 

under the auspices of a qualifying 

institution and that the records are 

sought to further scholarly research, not 

an individual goal. 

(c) Representatives of the news media. 

SIGAR shall provide records to 

requesters in this category for the cost 


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of duplication alone, excluding charges 

for the first 100 pages. 

(d) All other requesters. SIGAR shall 

charge requesters who do not fall within 

paragraphs (a) through (c) of this section 

fees that recover the full direct cost of 

searching for and duplicating records, 

excluding charges for the first 100 pages 

of reproduction and the first two hours 

of search time. 

§ 9301.10 Other charges. 

SIGAR may apply other charges, 

including the following: 

(a) Special charges. SIGAR shall 

recover the full cost of providing special 

services, such as sending records by an 

overnight delivery service, to the extent 

that SIGAR elects to provide them. 

(b) Interest charges. SIGAR may begin 

assessing interest charges on an unpaid 

bill starting on the 31st day following 

the day on which the FOIA Officer sent 

the billing. Interest shall be charged at 

the rate prescribed in 31 U.S.C. 3717 

and will accrue from the date of billing. 

(c) Aggregating requests. When the 

FOIA Officer reasonably believes that a 

requester or a group of requesters acting 

in concert is attempting to divide a 

request into a series of requests for the 

purpose of avoiding fees, the FOIA 

Officer shall aggregate those requests 

and charge accordingly. 

§ 9301.11 Payment and waiver. 

(a) Remittances. Payment shall be 

made in the form of check or money 

order made payable to the Treasury of 

the United States. At the time the FOIA 

Officer notifies a requestor of the 

applicable fees, the Officer shall inform 

the requestor of where to send the 

payment. 

(b) Waiver. SIGAR may waive all or 

part of any fee provided for in §§ 9301.8 

through 9301.9 when the FOIA Officer 

deems that disclosure of the information 

is in the general public’s interest 

because it is likely to contribute 

significantly to public understanding of 

the operations or activities of the 

Government and is not primarily in the 

commercial interest of the requester. 

Requesters may request a waiver in their 

initial FOIA request letter. Requests for 

a fee waiver should explain how the 

information requested contributes to the 

public’s understanding of the operations 

or activities of the government. In 

determining whether a fee should be 

waived, the FOIA Officer may consider 

whether: 

(1) The subject matter specifically 

concerns identifiable operations or 

activities of the government; 

(2) The information is already in the 

public domain; 

(3) Disclosure of the information 

would contribute to the understanding 

of the public-at-large as opposed to a 

narrow segment of the population; 

(4) Disclosure of the information 

would significantly enhance the 

public’s understanding of the subject 

matter; 

(5) Disclosure of the information 

would further a commercial interest of 

the requester; and 

(6) The public’s interest is greater 

than any commercial interest of the 

requester. 

Subpart B—Privacy Act 

Authority: Privacy Act of 1974, Pub. L. 93– 

579, 88 Stat. 1896, codified at 5 U.S.C. 

552a(f). 

§ 9301.12 Purpose and scope. 

The purpose of this subpart is to 

provide certain safeguards for an 

individual against the invasion of his or 

her personal privacy by SIGAR. This 

subpart is promulgated pursuant to the 

requirements applicable to all federal 

agencies contained in 5 U.S.C. 552a(f). 

§ 9301.13 Rules for determining if an 

individual is the subject of a record. 

(a) Individuals desiring to know if a 

specific system of records maintained 

by SIGAR contains a record pertaining 

to them should address their inquiries 

to the Privacy Officer, Special Inspector 

General for Afghanistan Reconstruction, 

2530 Crystal Drive, Arlington, VA 

22202. As there may be delays in mail 

delivery, it is advisable to send the 

request via facsimile to (703) 601–3804 

or by email to sigar.pentagon.gencoun.mbx.privacy@mail.mil. The 

written inquiry should contain a 

specific reference to the system of 

records maintained by the SIGAR listed 

in the SIGAR Notice of Systems of 

Records, or it should describe the type 

of record in sufficient detail reasonably 

to identify the system of records. Notice 

of SIGAR systems of records subject to 

the Privacy Act will be published in the 

Federal Register, posted on the SIGAR 

public facing Web site, and copies of the 

notices will be available upon request to 

the Privacy Officer when so published. 

A compilation of such notices will also 

be made and published by the Office of 

the Federal Register, in accordance with 

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

(b) At a minimum, the request should 

contain sufficient identifying 

information to allow SIGAR to 

determine if there is a record pertaining 

to the individual making the request in 

a particular system of records. In 

instances when the requester’s 

identification is insufficient to ensure 

disclosure to the individual to whom 

the information pertains in view of the 

sensitivity of the information, SIGAR 

reserves the right to solicit from the 

person requesting access to a record 

additional identifying information. 

(c) Ordinarily the person requesting 

will be informed whether the named 

system of records contains a record 

pertaining to such person within 10 

days of such a request (excluding 

Saturdays, Sundays and legal Federal 

holidays). Such a response will also 

contain or reference the procedures 

which must be followed by the 

individual making the request in order 

to gain access to the record. 

(d) Whenever a response cannot be 

made within the 10 days, the Privacy 

Officer will inform the person making 

the request the reasons for the delay and 

the date on which a response may be 

anticipated. 

§ 9301.14 Requests for access. 

(a) Requirement for written requests. 

An individual desiring to gain access to 

a record pertaining to him or her in a 

system of records maintained by SIGAR 

must submit his or her request in 

writing in accordance with the 

procedures set forth in paragraph (b) of 

this section. Individuals employed by 

the SIGAR may make their requests on 

a regularly scheduled workday (Monday 

through Friday, excluding legal Federal 

holidays) between the hours of 9 a.m. 

and 5:30 p.m. Such requests for access 

by individuals employed by SIGAR 

need not be made in writing. 

(b) Procedures—(1) Content of the 

request. The request for access to a 

record in a system of records shall be 

addressed to the Privacy Officer at the 

address cited above, and shall name the 

system of records or contain a concise 

description of such system of records. 

The request should state that the request 

is pursuant to the Privacy Act of 1974. 

In the absence of such a statement, if the 

request is for a record pertaining to the 

person requesting access which is 

maintained by SIGAR in a system of 

records, the request will be considered 

under both the Privacy Act of 1974 and 

the Freedom of Information Act, 

depending on which would allow 

greater access to the records requested. 

The request should contain necessary 

information to verify the identity of the 

person requesting access (see paragraph 

(b)(2)(vi) of this section). In addition, 

such person should include any other 

information which may assist in the 

rapid identification of the record for 

which access is being requested (e.g., 

maiden name, dates of employment, 

etc.) as well as any other identifying 

information contained in and required 


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by the SIGAR Notice of Systems of 

Records. 

(i) If the request for access follows a 

prior request under § 9301.1, the same 

identifying information need not be 

included in the request for access if a 

reference is made to that prior 

correspondence or a copy of the SIGAR 

response to that request is attached. If 

the individual specifically desires a 

copy of the record, the request should 

so specify under § 9301.4. 

(ii) [Reserved] 

(2) SIGAR action on request. A 

request for access will ordinarily be 

answered within 10 days, except when 

the Privacy Officer determines 

otherwise, in which case the person 

making the request will be informed of 

the reasons for the delay and an 

estimated date by which the request will 

be answered. When the request can be 

answered within 10 days, it shall 

include the following: 

(i) A statement that there is a record 

as requested or a statement that there is 

not a record in the systems of records 

maintained by SIGAR; 

(ii) A statement as to whether access 

will be granted only by providing a copy 

of the record through the mail; or the 

address of the location and the date and 

time at which the record may be 

examined. In the event the person 

requesting access is unable to meet the 

specified date and time, alternative 

arrangements may be made with the 

Privacy Officer; 

(iii) A statement, when appropriate, 

that examination in person will be the 

sole means of granting access only when 

the Privacy Officer has determined that 

it would not unduly impede the right of 

access of the person making the request. 

(iv) The amount of fees charged, if any 

(see §§ 9301.6 and 9301.7). (Fees are 

applicable only to requests for copies); 

(v) The name, title, and telephone 

number of the SIGAR official having 

operational control over the record; and 

(vi) The documentation required by 

SIGAR to verify the identity of the 

person making the request. At a 

minimum, SIGAR verification standards 

include the following: 

(A) Current or former SIGAR 

Employees. Current or former SIGAR 

employees requesting access to a record 

pertaining to them in a system of 

records maintained by SIGAR may, in 

addition to the other requirements of 

this section, and at the sole discretion 

of the official having operational control 

over the record, have his or her identity 

verified by visual observation. If the 

current or former SIGAR employee 

cannot be so identified by the official 

having operational control over the 

records, identification documentation 

will be required. The employee’s 

common access card, annuitant 

identification, driver licenses, or the 

‘‘employee copy’’ of any official 

personnel document in the record are 

examples of acceptable identification 

validation. 

(B) Other than current or former 

SIGAR employees. Individuals other 

than current or former SIGAR 

employees requesting access to a record 

pertaining to them in a system of 

records maintained by SIGAR must 

produce identification documentation of 

the type described in paragraph 

(b)(2)(vi)(A) of this section, prior to 

being granted access. The extent of the 

identification documentation required 

will depend on the type of record for 

which access is requested. In most 

cases, identification verification will be 

accomplished by the presentation of two 

forms of identification. Any additional 

requirements will be specified in the 

system of records notices published by 

SIGAR pursuant to 5 U.S.C. 552a(e)(4). 

(C) Access granted by mail. For 

records to be made accessible by mail, 

the Privacy Officer shall, to the extent 

possible, establish identity by a 

comparison of signatures in situations 

where the data in the record is not so 

sensitive that unauthorized access could 

cause harm or embarrassment to the 

individual to whom they pertain. No 

identification documentation will be 

required for the disclosure to a person 

making a request of information under 

the FOIA, 5 U.S.C. 552. When, in the 

opinion of the Privacy Officer the 

granting of access through the mail 

could reasonably be expected to result 

in harm or embarrassment if disclosed 

to a person other than the individual to 

whom the record pertains, a notarized 

statement of identity or some similar 

assurance of identity will be required. 

(D) Unavailability of identification 

documentation. If an individual is 

unable to produce adequate 

identification documentation the 

individual will be required to sign a 

statement asserting identity and 

acknowledging that knowingly or 

willfully seeking or obtaining access to 

records about another person under 

false pretenses may result in a fine of up 

to $5,000. In addition, depending upon 

the sensitivity of the records to which 

access is sought, the official having 

operational control over the records may 

require such further reasonable 

assurances as may be considered 

appropriate; e.g., statements of other 

individuals who can attest to the 

identity of the person making the 

request. 

(E) Access by the parent of a minor, 

or by a legal guardian. A parent of a 

minor, upon presenting suitable 

personal identification, may act on 

behalf of the minor to gain access to any 

record pertaining to the minor 

maintained by SIGAR in a system of 

records. A legal guardian may similarly 

act on behalf of an individual declared 

to be incompetent due to physical or 

mental incapacity or age by a court of 

competent jurisdiction, upon the 

presentation of the documents 

authorizing the legal guardian to so act, 

and upon suitable personal 

identification of the guardian. 

(F) Granting access when 

accompanied by another individual. 

When an individual requesting access to 

his or her record in a system of records 

maintained by SIGAR wishes to be 

accompanied by another individual 

during the course of the examination of 

the record, the individual making the 

request shall submit to the official 

having operational control of the record, 

a signed statement authorizing that 

person access to the record. 

(G) Granting access to individuals 

other than the subject of the record. 

SIGAR will not disclose any record 

which is contained in a system of 

records by any means of communication 

to any person, or to another agency, 

except pursuant to a written request by, 

or with the prior written consent of, the 

individual to whom the record pertains, 

pursuant to the Privacy Act of 1974. 

(H) Denial of access for inadequate 

identification documentation. If the 

official having operation control over 

the records in a system of records 

maintained by SIGAR determines that 

an individual seeking access has not 

provided sufficient identification 

documentation to permit access, the 

official shall consult with the Privacy 

Officer prior to finally denying the 

individual access. 

(vii) Medical records. The records in 

a system of records which are medical 

records shall be disclosed to the 

individual to whom they pertain in such 

manner and following such procedures 

as the Privacy Officer shall direct. When 

SIGAR in consultation with a physician, 

determines that the disclosure of 

medical information could have an 

adverse effect upon the individual to 

whom it pertains, SIGAR may transmit 

such information to a physician named 

by the individual. 

(viii) Exceptions. Nothing in this 

section shall be construed to entitle an 

individual the right to access to any 

information compiled in reasonable 

anticipation of litigation. 


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15560 Federal Register / Vol. 77, No. 52 / Friday, March 16, 2012 / Rules and Regulations 

§ 9301.15 Access to the accounting of 

disclosures from records. 

Rules governing the granting of access 

to the accounting of disclosures are the 

same as those for granting access to the 

records (including verification of 

identity) outlined in § 9301.14. 

§ 9301.16 Requests for copies of records. 

Rules governing requests for copies of 

records are the same as those for the 

granting of access to the records 

(including verification of identity) 

outlined in § 9301.14. (See also 

§ 9301.19 for rules regarding fees.) 

§ 9301.17 Requests to amend records. 

(a) Requirement for written requests. 

Individuals desiring to amend a record 

that pertains to them in a system of 

records maintained by SIGAR must 

submit their request in writing in 

accordance with the procedures set 

forth herein unless this requirement is 

waived by the official having 

responsibility for the system of records. 

Records not subject to the Privacy Act 

of 1974 will not be amended in 

accordance with these provisions. 

However, individuals who believe that 

such records are inaccurate may bring 

this to the attention of SIGAR. 

(b) Procedures. (1)(i) The request to 

amend a record in a system of records 

shall be addressed to the Privacy 

Officer. Included in the request shall be 

the name of the system and a brief 

description of the record proposed for 

amendment. In the event the request to 

amend the record is the result of the 

individual’s having gained access to the 

record in accordance with the 

provisions concerning access to records 

as set forth in this paragraph, copies of 

previous correspondence between the 

individual and SIGAR will serve in lieu 

of a separate description of the record. 

(ii) When the individual’s identity has 

been previously verified pursuant to 

§ 9301.14(b)(2)(vi), further verification 

of identity is not required as long as the 

communication does not suggest that a 

need for verification has reappeared. If 

the individual’s identity has not been 

previously verified, SIGAR may require 

identification validation as described in 

§ 9301.14(b)(2)(vi). Individuals desiring 

assistance in the preparation of a 

request to amend a record should 

contact the Privacy Officer at the 

address cited above. 

(iii) The exact portion of the record 

the individual seeks to have amended 

should be clearly indicated. If possible, 

the desired proposed alternative 

language should also be set forth, or at 

a minimum, the facts which the 

individual believes are not accurate, 

relevant, timely, or complete should be 

set forth with such particularity as to 

permit SIGAR to understand the basis 

for the request and to make an 

appropriate amendment to the record. 

(iv) The request should also set forth 

the reasons why the individual believes 

his record is not accurate, relevant, 

timely, or complete. In order to avoid 

the retention by SIGAR of personal 

information merely to permit 

verification of records, the burden of 

persuading SIGAR to amend a record 

will be upon the individual. The 

individual must furnish sufficient facts 

or credible documentation to persuade 

the official in charge of the system of the 

inaccuracy, irrelevancy, untimeliness, 

or incompleteness of the record. 

(2) SIGAR action on the request. To 

the extent possible, a decision upon a 

request to amend a record will be made 

within 10 days, excluding Saturdays, 

Sundays, and legal Federal holidays. In 

the event a decision cannot be made 

within this timeframe, the individual 

making the request will be informed 

within 10 days of the expected date for 

a decision. The decision upon a request 

for amendment will include the 

following: 

(i) The decision of SIGAR whether to 

grant in whole, or deny any part of the 

request to amend the record. 

(ii) The reasons for the determination 

for any portion of the request which is 

denied. 

(iii) The name and address of the 

official with whom an appeal of the 

denial may be lodged. 

(iv) The name and address of the 

official designated to assist, as 

necessary, and upon request of, the 

individual making the request in the 

preparation of the appeal. 

(v) A description of the review of the 

appeal within SIGAR (see § 9301.18). 

(vi) A description of any other 

procedures which may be required of 

the individual in order to process the 

appeal. 

§ 9301.18 Request for review. 

(a) Individuals wishing to request a 

review of the decision by SIGAR with 

regard to an initial request to amend a 

record in accordance with the 

provisions of § 9301.17, should submit 

the request for review in writing and, to 

the extent possible, include the 

information specified in § 9301.17(a). 

Individuals desiring assistance in the 

preparation of their request for review 

should contact the Privacy Officer at the 

address provided herein. 

(b) The request for review should 

contain a brief description of the record 

involved or in lieu thereof, copies of the 

correspondence from SIGAR in which 

the request to amend was denied, and 

also should state the reasons why the 

individual believes that the disputed 

information should be amended. The 

request for review should make 

reference to the information furnished 

by the individual in support of his claim 

and the reasons, as required by 

§ 9301.17, set forth by SIGAR in its 

decision denying the amendment. In 

order to avoid the unnecessary retention 

of personal information, SIGAR reserves 

the right to dispose of the material 

concerning the request to amend a 

record if no request for review in 

accordance with this section is received 

by SIGAR within 180 days of the 

mailing by SIGAR of its decision upon 

an initial request. A request for review 

received after the 180-day period may, 

at the discretion of the Privacy Officer, 

be treated as an initial request to amend 

a record. 

(c) The request for review should be 

addressed to the Appellate Authority, 

Office of the Special Inspector General 

for Afghanistan Reconstruction, 2530 

Crystal Drive, Arlington, VA 22202. As 

there may be delays in mail delivery, it 

is advisable to send the request via 

facsimile to (703) 601–3804 or by email 

to sigar.pentagon.gencoun.mbx.privacy@mail.mil. 

(d) Final determinations on requests 

for reviews within SIGAR will be made 

by the Appellate Authority. Additional 

information may be requested by the 

Appellate Authority from the person 

requesting a review if necessary to make 

a determination. 

(e) The Appellate Authority will 

inform the person making the request in 

writing of the decision on the request 

for review within 30 days (excluding 

Saturdays, Sundays and legal Federal 

holidays) from the date of receipt by 

SIGAR of the individual’s request for 

review, unless the Appellate Authority 

extends the 30-day period for good 

cause. The extension and the reasons 

therefore will be sent by SIGAR to the 

individual within the initial 30-day 

period. Included in the notice of a 

decision being reviewed, if the decision 

does not grant in full the request for 

review, will be a description of the steps 

the individual may take to obtain 

judicial review of such a decision, and 

a statement that the individual may file 

a concise statement with SIGAR setting 

forth the individual’s reasons for his 

disagreement with the decision upon 

the request for review. The SIGAR 

Privacy Officer has the authority to 

determine the ‘‘conciseness’’ of the 

statement, taking into account the scope 

of the disagreement and the complexity 

of the issues. Upon the filing of a proper 

concise statement by the individual, any 

subsequent disclosure of the 


srobinson on DSK4SPTVN1PROD with RULES
Federal Register / Vol. 77, No. 52 / Friday, March 16, 2012 / Rules and Regulations 15561 

information in dispute will have the 

information in dispute clearly noted and 

a copy of the concise statement 

furnished, setting forth its reasons for 

not making the requested changes, if 

SIGAR chooses to file such a statement. 

A copy of the individual’s statement, 

and if it chooses, SIGAR’s statement, 

will be sent to any prior transferee of the 

disputed information who is listed on 

the accounting required by 5 U.S.C. 

552a(c). 

§ 9301.19 Schedule of fees. 

(a) Prohibitions against charging fees. 

Individuals will not be charged for: 

(1) The search and review of the 

record; 

(2) Any copies of the record produced 

as a necessary part of the process of 

making the record available for access; 

or 

(3) Any copies of the requested record 

when it has been determined that access 

can only be accomplished by providing 

a copy of the record through the mail. 

(b) Waiver. The Privacy Officer may, 

at no charge, provide copies of a record 

if it is determined that the production 

of the copies is in the interest of the 

Government. 

(c) Fee schedule and method of 

payment. Fees will be charged as 

provided below except as provided in 

paragraphs (a) and (b) of this section. 

(1) Duplication of records. Records 

will be duplicated at a rate of $.10 per 

page for copying of 4 pages or more. 

There is no charge for copying fewer 

pages. 

(2) Where it is anticipated that the 

fees chargeable under this section will 

amount to more than $25, the person 

making the request shall be notified of 

the amount of the anticipated fee or 

such portion thereof as can readily be 

estimated. In instances where the 

estimated fees will greatly exceed $25, 

an advance deposit may be required. 

The notice or request for an advance 

deposit shall extend an offer to the 

person requesting to consult with the 

Privacy Officer in order to reformulate 

the request in a manner which will 

reduce the fees, yet still meet the needs 

of individuals making the request. 

(3) Fees must be paid in full prior to 

issuance of requested copies. In the 

event the person requesting is in arrears 

for previous requests copies will not be 

provided for any subsequent request 

until the arrears have been paid in full. 

(4) Remittances shall be in the form 

either of a personal check or bank draft 

drawn on a bank in the United States, 

or a postal money order. Remittances 

shall be made payable to the order of the 

Treasury of the United States and 

mailed or delivered to the Privacy 

Officer, Office of the Special Inspector 

General for Afghanistan Reconstruction, 

2530 Crystal Drive, Arlington, VA 

22202. 

(5) A receipt for fees paid will be 

given upon request. 

Dated: March 12, 2012. 

Steven J Trent, 

Acting Inspector General, Special Inspector 

General for Afghanistan Reconstruction. 

[FR Doc. 2012–6335 Filed 3–15–12; 8:45 am] 

BILLING CODE 3710–L9–P 

SPECIAL INSPECTOR GENERAL FOR 

AFGHANISTAN RECONSTRUCTION 

5 Part 9302 

RIN 3460–AA02 

Requests for Testimony or the 

Production of Records in a Court or 

Other Proceedings in Which the United 

States Is Not a Party 

AGENCY: Special Inspector General for 

Afghanistan Reconstruction. 

ACTION: Interim final rule. 

SUMMARY: This interim final rule 

establishes procedures for the public to 

obtain the production or disclosure of 

information and documents of Special 

Inspector General for Afghanistan 

Reconstruction (SIGAR) in connection 

with legal proceedings in which neither 

the United States nor the SIGAR is a 

party. It sets forth the procedures used 

when determining whether SIGAR 

employees will be permitted to testify or 

provide records relating to their official 

duties when they are subpoenaed or 

otherwise requested to testify. The rule 

also specifies the criteria that SIGAR 

officials are to use when deciding 

whether to allow an employee to testify 

or provide records. 

DATES: This interim final rule is 

effective March 16, 2012. Written 

comments may be submitted by April 

16, 2012. 

ADDRESSES: Submit written comments 

to Hugo Teufel, Acting General Counsel, 

email: hugo.teufel.civ@mail.mil, Special 

Inspector General for Afghanistan 

Reconstruction, Arlington, Virginia. 

FOR FURTHER INFORMATION CONTACT: 

Hugo Teufel, Acting General Counsel, at 

(703) 703–545–5990, email: 

hugo.teufel.civ@mail.mil. 

SUPPLEMENTARY INFORMATION: 

I. Background 

On January 28, 2008, the President 

signed into law the National Defense 

Authorization Act for Fiscal Year 2008 

(Pub. L. 110–181), which created the 

Special Inspector General for 

Afghanistan Reconstruction (SIGAR). 

Under 5 U.S.C. 301, heads of Executive 

or military departments may prescribe 

regulations governing the conduct of its 

employees and the custody, use, and 

preservation of the department’s 

records, papers, and property. Many 

departments and agencies have 

promulgated such regulations to provide 

procedures for the disclosure of official 

records and information. 

Generally, these are termed Touhy 

regulations, after the Supreme Court’s 

decision in United States ex rel. Touhy 

v. Regan, 340 U.S. 462 (1951). In that 

case, the Supreme Court held that an 

agency employee could not be held in 

contempt for refusing to disclose agency 

records or information when following 

instructions of his or her supervisor 

regarding the disclosure that were 

issued pursuant to agency regulations. 

As such, an agency’s Touhy regulations 

are the instructions agency employees 

are to follow when those employees 

receive requests or demands to testify or 

otherwise disclose agency records or 

information. 

SIGAR’s proposed Touhy regulations 

provide generally that employees of 

SIGAR may not disclose documents or 

information in response to a demand or 

order of a court or any other authority 

without first being authorized by the 

agency to do so. The purpose of these 

regulations is to conserve valuable 

agency resources, protect SIGAR 

employees from becoming enmeshed in 

litigation, and to protect sensitive 

Government information and decision 

making processes within the confines of 

the law. In order to establish procedures 

to facilitate public interaction with 

SIGAR, SIGAR is issuing proposed and 

interim final regulations. 

II. The Interim Final Rule 

This interim final rule establishes 

procedures governing the disclosure of 

information and records in connection 

with court litigation and certain other 

types of proceedings. 

III. Procedural Requirements 

This interim final rule is generally 

similar to the Touhy procedures 

concerning the disclosure of 

information in litigation that have been 

adopted by other agencies. Further, this 

rule relates to agency management and 

personnel. Accordingly, SIGAR has 

determined that notice and public 

procedure thereon are impracticable, 

unnecessary and contrary to the public 

interest pursuant to 5 U.S.C. 

553(b)(3)(B). For the same reasons, 

SIGAR has determined that this interim 

rule should be issued without a delayed 

effective date pursuant to 5 U.S.C. 


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