30134 Federal Register / Vol. 66, No. 108 / Tuesday, June 5, 2001 / Proposed Rules

Building 85, Room A–614, Denver

Federal Center, Denver, Colorado 80225.

* * * * *

§ 216.21 [Amended]

21. Amend § 216.21 as follows:

(a) In the second sentence, remove the

words ‘‘the Production Accounting and

Auditing System Reporters Handbook’’

and add in their place ‘‘our reporter

handbooks or our Internet web site.’’

(b) In the last sentence, remove the

word ‘‘handbook’’ and add in its place

‘‘handbooks.’’

22. In § 216.40, revise paragraph (d) to

read as follows:

§ 216.40 Assessments for incorrect or late

reports and failure to report.

* * * * *

(d) For purposes of solid minerals

reporting, a report is defined as each

line of information required on the

Solid Minerals Production and Royalty

Report, Form MMS–4430.

* * * * *

Subpart E—Solid Minerals, General

[Reserved]

§§ 216.200—216.204 [Removed]

23. Remove §§ 216.200 through

216.204 and reserve subpart E.

PART 218—COLLECTION OF

ROYALTIES, RENTALS, BONUSES

AND OTHER MONIES DUE THE

FEDERAL GOVERNMENT

24. The authority citation for part 218

continues to read as follows:

Authority: 25 U.S.C. 396 et seq., 396a et

seq., 2101 et seq.; 30 U.S.C. 181 et seq., 351

et seq., 1001 et seq., 1701 et seq.; 31 U.S.C.A.

3335; 43 U.S.C. 1301 et seq., 1331 et seq., and

1801 et seq.

25. In § 218.40, revise paragraph (c) to

read as follows:

§ 218.40 Assessments for incorrect or late

reports and failure to report.

* * * * *

(c) For purposes of assessments

discussed in this section, a report is

defined as follows:

(1) For coal and other solid mineral

leases, a report is each line on the Solid

Minerals Production and Royalty

Report, Form MMS–4430.

(2) For geothermal leases, a report is

each line on the Report of Sales and

Royalty Remittance, Form MMS–2014.

(3) For oil and gas leases, this section

does not apply.

* * * * *

§ 218.51 [Amended]

26. Amend § 218.51 as follows:

a. In paragraph (d)(2) and (d)(3),

remove the name ‘‘Royalty Management

Program’’ and add in its place the name

‘‘Minerals Revenue Management.’’

b. In paragraph (e), remove the name

‘‘Royalty Management Program’’ and

add in its place the name ‘‘Minerals

Revenue Management’’ and remove the

room number ‘‘A–212’’ and add in its

place ‘‘A–614.’’

27. Revise § 218.201 to read as

follows:

§ 218.201 Method of payment.

You must tender all payments in

accordance with § 218.51, except as

follows:

(a) For purposes of this section, report

means the Solid Minerals Production

and Royalty Report, Form MMS–4430,

rather than the Form MMS–2014.

(b) For Form MMS–4430 payments,

include both your customer

identification and your customer

document identification numbers on

your payment document, rather than the

information required under

§ 218.51(f)(1).

(c) For a rental payment that is not

reported on Form MMS–4430, include

the MMS Courtesy Notice when

provided or write your customer

identification number and Governmentassigned lease number on the payment

document, rather than the information

required under § 218.51(f)(4)(iii).

§ 218.203 [Amended]

28. Amend § 218.203 as follows:

a. In paragraph (a), first sentence,

remove the word ‘‘MMS–2014’’ and add

in its place ‘‘MMS–4430.’’

b. In paragraph (b), second sentence,

remove the words ‘‘in the [‘‘]AFS Payor

Handbook—Solid Minerals[’’].’’

c. In paragraph (b), remove the third

sentence, ‘‘See 30 CFR 210.204[.]’’ and

add in its place the sentence ‘‘Call 1–

888–201–6416 for instructions.’’

[FR Doc. 01–14123 Filed 6–4–01; 8:45 am]

BILLING CODE 4310–MR–P

NATIONAL ARCHIVES AND RECORDS

ADMINISTRATION

36 CFR Part 1202

RIN 3095–AA99

Privacy Act; Implementation

AGENCY: National Archives and Records

Administration (NARA).

ACTION: Proposed rule.

SUMMARY: NARA is rewriting our

Privacy Act regulations to update the

procedures for making a Privacy Act

request, and to reflect the President’s

memorandum of June 1, 1998, Plain

Language in Government Writing. This

proposed rule will affect individuals

and entities seeking access or disclosure

of information contained in NARA

Privacy Act systems of records and

subject individuals covered by a NARA

Privacy Act system.

DATES: Comments must be received by

August 6, 2001.

ADDRESSES: Comments must be sent to

Regulation Comments Desk (NPOL),

Room 4100, Policy and

Communications Staff, National

Archives and Records Administration,

8601 Adelphi Road, College Park, MD

20740–6001. They may be faxed to 301–

713–7270. You may also comment via

the Internet to comments@NARA.GOV.

Please submit Internet comments as

an ASCII file avoiding the use of special

characters and any form of encryption.

Please also include ‘‘Attn: 3095–AA99’’

and your name and return mailing

address in your Internet message. If you

do not receive a confirmation from

NARA that we have received your

Internet message, contact the Regulation

Comment Desk at 301–713–7360, ext.

226.

FOR FURTHER INFORMATION CONTACT:

Nancy Allard at telephone number 301–

713–7360, ext. 226, or fax number 301–

713–7270.

SUPPLEMENTARY INFORMATION: As noted

in the SUMMARY, NARA is rewriting its

regulations on implementing the

Privacy Act of 1974, in accordance with

the Presidential Memorandum of June 1,

1998. The proposed rule is written in

plain language. Each section is written

in the question and answer format. This

format not only simplifies the

regulations and its application, but it

personalizes the regulation to the

customer. The proposed rule specifies

how NARA collects, maintains and uses

personal information collected and

maintained by NARA and defunct

agencies under the Privacy Act. The

proposed rule explains the authority

under which NARA collects and

disseminates this information, how a

person can obtain access to such

information, and how to amend or

correct such information.

NARA last amended its Privacy Act

regulations in 1998 (63 FR 70342). In

preparing to rewrite the regulations in

plain language, we reviewed our

policies and procedures. We have also

reviewed all of our Privacy Act systems

of records. As a result of these actions,

we are making several substantive

changes to the regulations. First, NARA

does not forward requests for other

agencies’ records stored in a NARA

record center to the appropriate agency;

therefore, in the proposed rule we tell

the requester that he/she must request

Federal Register / Vol. 66, No. 108 / Tuesday, June 5, 2001 / Proposed Rules 30135

those records from that agency directly.

Second, to strengthen our controls to

prevent improper access to information

protected by the Privacy Act, we are

adding a requirement for subject

individuals to submit a certification

statement or have their signature

notarized when requesting records

about themselves. Finally, we are

exempting an additional NARA Privacy

Act system, NARA 18, General Legal

Files, from access/amendment

provisions of the Act on the basis of the

law enforcement exemption.

This proposed rule is not a significant

regulatory action for the purposes of

Executive Order 12866 and has not been

reviewed by the Office of Management

and Budget. As required by the

Regulatory Flexibility Act, I certify that

this proposed rule will not have a

significant impact on a substantial

number of small entities because it only

affects individuals and entities seeking

access or disclosure of information

contained in NARA Privacy Act systems

of records. This proposed rule does not

have any federalism implications.

List of Subjects in 36 CFR Part 1202

Privacy.

For the reason set forth in the

preamble, NARA proposes to revise part

1202 of title 36, Code of Federal

Regulations, to read as follows:

PART 1202—REGULATIONS

IMPLEMENTING THE PRIVACY ACT OF

1974

Subpart A—General Information About the

Privacy Act

Sec.

1202.1 What does this part cover?

1202.2 What this part does not cover.

1202.4 Definitions.

1202.6 Whom should I contact for Privacy

Act matters at NARA?

1202.8 How does NARA handle records

that are in Government-wide Privacy Act

systems?

1202.10 Does NARA handle access to and

disclosure of records of defunct agencies

in the custody of NARA?

Subpart B—Collecting Information

1202.18 How does NARA collect

information about individuals?

1202.20 What advisory information does

NARA provide before collecting

information from me?

1202.22 Will NARA need my Social

Security Number?

1202.24 Will NARA ever request

information about me from someone

else?

1202.26 Who will make sure that my record

is accurate?

1202.28 What rules do NARA employees

follow in managing personal

information?

1202.30 How does NARA safeguard its

systems of records?

Subpart C—Individual Access to Records

1202.40 How can I gain access to NARA

records about myself?

1202.42 How are requests for access to

medical records handled?

1202.44 How long will it take for NARA to

process my request?

1202.46 In what ways will NARA provide

access?

1202.48 Will I have to pay for copies of

records?

1202.50 Does NARA require prepayment of

fees?

1202.52 How do I pay?

1202.54 On what grounds can NARA deny

my Privacy Act request?

1202.56 How do I appeal a denial of my

Privacy Act request?

1202.58 How are appeals processed?

Subpart D—Disclosure of Records

1202.60 When does NARA disclose a

record in a Privacy Act system of

records?

1202.62 What are the procedures for

disclosure of records to a third party?

1202.64 How do I appeal a denial of

disclosure?

1202.66 How does NARA keep account of

disclosures?

Subpart E—Request To Amend Records

1202.70 Whom should I contact at NARA

to amend records about myself?

1202.72 How does NARA handle requests

to amend records?

1202.74 How will I know if NARA

approved my amendment request?

1202.76 Can NARA deny my request for

amendment?

1202.78 How do I accept an alternative

amendment?

1202.80 How do I appeal the denial of a

request to amend a record?

1202.82 How do I file a Statement of

Disagreement?

1202.84 Can I seek judicial review?

Subpart F—Exemptions

1202.90 What NARA systems of records are

exempt from release under the National

Security Exemption of the Privacy Act?

1202.92 What NARA systems of records are

exempt from release under the Law

Enforcement Exemption of the Privacy

Act?

1202.94 What NARA systems of records are

exempt from release under the

Investigatory Information Material

Exemption of the Privacy Act?

Authority: 5 U.S.C. 552a; 44 U.S.C.

2104(a).

Subpart A—General Information About

the Privacy Act

§ 1202.1 What does this part cover?

(a) This part covers requests under the

Privacy Act (5 U.S.C. 552a) for NARA

operational records and records of

defunct agencies stored in NARA record

centers.

(b) This part explains how NARA

collects, uses and maintains records

about you that are filed by your name

or other personal identifiers and which

are contained in a ‘‘system of records’’

as defined by 5 U.S.C. 552a(a)(5).

(c) This part describes the procedures

to gain access to and contest the

contents of your records, and the

conditions under which NARA

discloses such records to others.

§ 1202.2 What this part does not cover.

This part does not cover:

(a) Records that have been transferred

into the National Archives of the United

States for permanent preservation.

Archival records that are contained in

systems of records that become part of

the National Archives of the United

States are exempt from most provisions

of the Privacy Act (see 5 U.S.C.

552a(l)(2) and (l)(3)). See subchapter C

of this chapter for rules governing

access to these type records.

(b) Records of other agencies that are

stored in NARA record centers on behalf

of that agency are governed by the

Privacy Act rules of the transferring

agency. Send your request for those

records directly to those agencies.

(c) Personnel and medical records

held by the National Personnel Records

Center (NPRC) on behalf of the

Department of Defense and the Office of

Personnel Management. Privacy Act

requests for these records should come

to the NPRC.

§ 1202.4 Definitions.

For the purposes of this part, the term:

(a) Access means a transfer of a

record, a copy of a record, or the

information in a record to the subject

individual, or the review of a record by

the subject individual.

(b) Agency means any executive

department, military department,

Government corporation, Government

controlled corporation, or other

establishment in the executive branch of

the Government (including the

Executive Office of the President), or

any independent regulatory agency.

(c) Defunct agency means an agency

that has ceased to exist, and has no

successor in function.

(d) Defunct agency records means the

records in a Privacy Act system of a

defunct agency that are stored in a

NARA records center.

(e) Disclosure means a transfer by any

means of a record, a copy of a record,

or the information contained in a record

to a recipient other than the subject

individual, or the review of a record by

someone other than the subject

individual.

30136 Federal Register / Vol. 66, No. 108 / Tuesday, June 5, 2001 / Proposed Rules

(f) Individual means a citizen of the

United States or an alien lawfully

admitted for permanent residence.

(g) Maintain includes maintain,

collect, use, or disseminate.

(h) NARA Privacy Act Appeal Official

means the Deputy Archivist of the

United States for appeals of denials of

access to or amendment of records

maintained in a system of records,

except where the system manager is the

Inspector General; then the term means

the Archivist of the United States.

(i) Record means any item, collection,

or grouping of information about an

individual that is maintained by an

agency, including, but not limited to,

his or her education, financial

transactions, medical history and

criminal or employment history, and

that contains his or her name or an

identifying number, symbol, or other

identifying particular assigned to the

individual, such as a fingerprint,

voiceprint, or photograph. For purposes

of this part, ‘‘record’’ does not mean

archival records that have been

transferred to the National Archives of

the United States.

(j) Routine use means, with respect to

the disclosure of a record, the use of that

record for a purpose which is

compatible with the purpose for which

it was collected.

(k) Solicitation means a request by a

NARA employee or contractor that an

individual provide information about

himself or herself.

(l) Statistical record means a record in

a system of records maintained for

statistical research or reporting purposes

only and not used in whole or in part

in making any determination about an

identifiable individual, except as

provided by 13 U.S.C. 8.

(m) Subject individual means the

individual named or discussed in a

record or the individual to whom a

record otherwise pertains.

(n) System manager means the NARA

employee who is responsible for the

maintenance of a system of records and

for the collection, use, and

dissemination of information in that

system of records.

(o) System of records means a group

of records from which information is

retrieved by the name of the individual

or by some identifying number, symbol,

or other identifier assigned to that

individual.

§ 1202.6 Whom should I contact for

Privacy Act matters at NARA?

Contact the NARA Privacy Act

Officer, National Archives and Records

Administration (NGC), Room 3110, 8601

Adelphi Road, College Park, MD 20740–

6001, for guidance in making a Privacy

Act request, or if you need assistance

with an existing request. The Privacy

Act Officer will refer you to the

responsible system manager. Details

about what to include in your Privacy

Act request are discussed in Subpart C

of this part.

§ 1202.8 How does NARA handle records

that are in Government-wide Privacy Act

systems?

Records in the custody of NARA in a

Government-wide Privacy Act system

are the primary responsibility of another

agency, e.g., the Office of Personnel

Management (OPM) or the Office of

Government Ethics (OGE). These

records are governed by the regulations

established by that agency pursuant to

the Privacy Act. NARA provides access

using that agency’s regulations.

§ 1202.10 Does NARA handle access to

and disclosure of records of defunct

agencies in the custody of NARA?

Yes, records of defunct agencies in the

custody of NARA at a NARA record

center are covered by the provisions of

this part.

Subpart B—Collecting Information

§ 1202.18 How does NARA collect

information about individuals?

Any information that is used in

making a determination about your

rights, benefits, or privileges under

NARA programs is collected directly

from you—the subject individual— to

the greatest extent possible.

§ 1202.20 What advisory information does

NARA provide before collecting information

from me?

(a) Before collecting information from

you, NARA will advise you of:

(1) The authority for collecting the

information and whether providing the

information is mandatory or voluntary;

(2) The purpose for which the

information will be used;

(3) The routine uses of the

information; and

(4) The effect on you, if any, of not

providing the information.

(b) NARA ensures that forms used to

record the information that you provide

are in compliance with the Privacy Act

and this part.

§ 1202.22 Will NARA need my Social

Security Number?

(a) Before a NARA employee or NARA

contractor asks you to provide your

social security number (SSN), he or she

will ensure that the disclosure is

required by Federal law or under a

Federal law or regulation adopted before

January 1, 1975.

(b) If you are asked to provide your

SSN, the NARA employee or contractor

must first inform you:

(1) Whether the disclosure is

mandatory or voluntary;

(2) The statute or authority under

which your SSN is solicited; and

(3) How your SSN will be used.

§ 1202.24 Will NARA ever request

information about me from someone else?

NARA will make every effort to gather

information from you directly. When

NARA solicits information about you

from someone else, NARA will explain

to that person the purpose for which the

information will be used.

§ 1202.26 Who will make sure that my

record is accurate?

The system manager ensures that all

records used by NARA to make a

determination about any individual are

maintained with such accuracy,

relevancy, timeliness, and completeness

as is reasonably possible to ensure

fairness to you.

§ 1202.28 What rules do NARA employees

follow in managing personal information?

All NARA employees and contractors

involved in the design, development,

operation or maintenance of any system

of records must review the provisions of

the Privacy Act and the regulations in

this part. NARA employees and

contractors must conduct themselves in

accordance with the rules of conduct

concerning the protection of nonpublic

information in the Standards of Ethical

Conduct for Employees of the Executive

Branch, 5 CFR 2635.703.

§ 1202.30 How does NARA safeguard its

systems of records?

(a) The system manager ensures that

appropriate administrative, technical,

and physical safeguards are established

to ensure the security and

confidentiality of records. In order to

protect against any threats or hazards to

their security or loss of integrity, paper

records are maintained in areas

accessible only to authorized NARA

personnel. Electronic records are

protected in accordance with the

Computer Security Act, OMB Circular

A–11 requiring privacy analysis in

reporting to OMB, and are accessed via

passwords from terminals located in

attended offices. After hours, buildings

have security guards and/or doors are

secured and all entrances are monitored

by electronic surveillance equipment.

(b) The system manager, at his/her

discretion, may designate additional

safeguards similar to or greater than

those described in paragraph (a) of this

section for unusually sensitive records.

Federal Register / Vol. 66, No. 108 / Tuesday, June 5, 2001 / Proposed Rules 30137

(c) The system manager only permits

access to and use of automated or

manual personnel records to persons

whose official duties require such

access, or to you or to a representative

designated by you.

Subpart C—Individual Access to

Records

§ 1202.40 How can I gain access to NARA

records about myself?

(a) If you wish to request access to

information about yourself contained in

a NARA Privacy Act system of records,

you must notify the NARA Privacy Act

Officer, National Archives and Records

Administration, Rm. 3110, 8601

Adelphi Rd., College Park, MD 20740–

6001. If you wish to allow another

person to review or obtain a copy of

your record, you must provide

authorization for that person to obtain

access as part of your request.

(b) Your request must be in writing

and the letter and the envelope must be

marked ‘‘Privacy Act Request.’’ Your

request letter must contain:

(1) The complete name and

identifying number of the NARA system

as published in the Federal Register;

(2) A brief description of the nature,

time, place, and circumstances of your

association with NARA;

(3) Any other information, which you

believe, would help NARA to determine

whether the information about you is

included in the system of records;

(4) If you are authorizing another

individual to have access to your

records, the name of that person; and

(5) A Privacy Act certification of

identity. When you make a request for

access to records about yourself, you

must verify your identity. You must sign

your request and your signature must

either be notarized or submitted by you

under 28 U.S.C. 1746, a law that permits

statements to be made under penalty of

perjury as a substitute for notarization.

While no specific form is required, you

may obtain a Certification of Identity

form for this purpose from the NARA

Privacy Act Officer. The following

information is required:

(i) Your full name;

(ii) An acknowledgment that you

understand the criminal penalty in the

Privacy Act for requesting or obtaining

access to records under false pretenses

(5 U.S.C. 552a(i)(3)); and

(iii) A declaration that your statement

is true and correct under penalty of

perjury (18 U.S.C. 1001).

(c) The procedure for accessing an

accounting of disclosure is identical to

the procedure for access to a record as

set forth in this section.

§ 1202.42 How are requests for access to

medical records handled?

When NARA receives a request for

access to medical records, if NARA

believes that disclosure of medical and/

or psychological information directly to

you could have an adverse effect on

you, you may be asked to designate in

writing a physician or mental health

professional to whom you would like

the records to be disclosed, and

disclosure that otherwise would be

made to you will instead be made to the

designated physician or mental health

professional.

§ 1202.44 How long will it take for NARA to

process my request?

(a) NARA will acknowledge your

request within 10 workdays of its

receipt by NARA and if possible, will

make the records available to you at that

time. If NARA cannot make the records

immediately available, the

acknowledgment will indicate when the

system manager will make the records

available.

(b) If NARA anticipates more than a

10 workday delay in making a record

you requested available, NARA also will

explain in the acknowledgment specific

reasons for the delay.

(c) If your request for access does not

contain sufficient information to permit

the system manager to locate the

records, NARA will request additional

information from you. NARA will have

10 workdays following receipt of the

additional information in which to

make the records available or to

acknowledge receipt of the request and

to indicate when the records will be

available.

§ 1202.46 In what ways will NARA provide

access?

(a) At your request, NARA will

provide you, or a person authorized by

you, a copy of the records by mail or by

making the records available in person

during normal business hours at the

NARA facility where the records are

located. If you are seeking access in

person, the system manager will permit

you to examine the original record, will

provide you with a copy of the records,

or both.

(b) When obtaining access to the

records in person at a NARA facility,

you must provide proof of identification

either by producing at least one piece of

identification bearing a name or

signature and either a photograph or

physical description (e.g., a driver’s

license or employee identification card)

or by signing the Certification of

Identity form described in § 1204.40

(b)(5). NARA reserves the right to ask

you to produce additional pieces of

identification to assure NARA of your

identity. You will also be asked to sign

an acknowledgement that you have been

given access.

§ 1202.48 Will I have to pay for copies of

records?

Yes. However NARA will waive fees

for the first 100 pages copied or when

the cost to collect the fee will exceed the

amount collected. When a fee is

charged, the charge per copy is $0.20

per page if NARA makes the copy or

$0.15 per page if you make the copy on

a NARA self-service copier. Fees for

other reproduction processes are

computed upon request.

§ 1202.50 Does NARA require prepayment

of fees?

If the system manager determines that

the estimated total fee is likely to exceed

$250, NARA will notify you that the

estimated fee must be prepaid before

you can have copies of the records. If

the final fee is less than the amount you

prepaid, NARA will refund the

difference.

§ 1202.52 How do I pay?

You must pay by check or money

order. Make your check or money order

payable to the National Archives and

Records Administration and send it to

the NARA Privacy Act Officer, Room

3110, 8601 Adelphi Road, College Park,

MD 20740–6001.

§ 1202.54 On what grounds can NARA

deny my Privacy Act request?

(a) NARA can deny your Privacy Act

request for records if the records are

maintained in an exempt systems of

records are described in subpart F of

this part.

(b) A system manager may deny your

request for access to your records only

if:

(1) NARA has published rules in the

Federal Register exempting the

pertinent system of records from the

access requirement; and

(2) The record is exempt from

disclosure under the Freedom of

Information Act (FOIA).

(c) Upon receipt of a request for

access to a record which is contained

within an exempt system of records,

NARA will:

(1) Review the record to determine

whether all or part of the record must

be released to the you in accordance

with § 1202.40, notwithstanding the

inclusion of the record within an

exempt system of records; and

(2) Provide access to the record (or

part of the record, if it is not fully

releasable) in accordance with § 1202.46

or notify you that the request has been

denied in whole or in part.

30138 Federal Register / Vol. 66, No. 108 / Tuesday, June 5, 2001 / Proposed Rules

(c) If your request is denied in whole

or in part, NARA’s notice will include

a statement specifying the applicable

Privacy Act and FOIA exemptions and

advising you of the right to appeal the

decision as explained in § 1202.56.

§ 1202.56 How do I appeal a denial of my

Privacy Act request?

(a) If you are denied access in whole

or in part to records pertaining to

yourself, you may file with NARA an

appeal of that denial. Your appeal letter

must be post marked no later than 35

calendar days after the date of the denial

letter from NARA.

(1) Address appeals involving denial

of access to Office of Inspector General

records to NARA Privacy Act Appeal

Official (N), National Archives and

Records Administration, Room 4200,

8601 Adelphi Road, College Park, MD

20740–6001.

(2) Address all other appeals to the

NARA Privacy Act Appeal Official (ND),

National Archives and Records

Administration, Room 4200, 8601

Adelphi Road, College Park, MD 20740–

6001.

(b) All appeals of denial of access to

the NARA Privacy Act Appeal Official

must be in writing. Mark both the

envelope and the appeal ‘‘Privacy Act—

Access Appeal.’’

§ 1202.58 How are appeals processed?

(a) Upon receipt of your appeal, the

NARA Privacy Act Appeal Official will

consult with the system manager, legal

counsel, and such other officials as may

be appropriate. If the NARA Privacy Act

Appeal Official determines that the

records you requested are not exempt

from release, NARA grants you access

and so notifies you.

(b) If the NARA Privacy Act Appeal

Official determines that your appeal

must be rejected, NARA will

immediately notify you in writing of

that determination. This decision is

final and cannot be appealed further

within NARA. NARA’s notification to

you will include:

(1) The reason for the rejection of the

appeal; and

(2) Notice of your right to seek

judicial review of NARA’s final

determination, as described in 36 CFR

1202.84.

(c) NARA will make its final

determination no later than 30

workdays from the date on which

NARA receives your appeal. NARA may

extend this time limit by notifying you

in writing before the expiration of the 30

workdays. This notification will include

an explanation of the reasons for the

time extension.

Subpart D—Disclosure of Records

§ 1202.60 When does NARA disclose a

record in a Privacy Act system of records?

NARA will not disclose any records

in a Privacy Act system of records to

any person or to another agency without

the express written consent of the

subject individual unless the disclosure

is:

(a) To NARA employees who have a

need for the information in the official

performance of their duties;

(b) Required by the provisions of the

Freedom of Information Act, as

amended;

(c) For a routine use that has been

published in a notice in the Federal

Register;

(d) To the Bureau of Census for

purposes of planning or carrying out a

census or survey or related activity

pursuant to title 13 U.S.C.;

(e) To a person who has provided

NARA with advance adequate written

assurance as specified in § 1202.62(a)

that the record will be used solely as a

statistical research or reporting record.

(Personal identifying information is

deleted from the record released for

statistical purposes. The system

manager ensures that the identity of the

individual cannot reasonably be

deduced by combining various

statistical records.)

(f) To the National Archives of the

United States as a record which has

sufficient historical or other value to

warrant its continued preservation by

the United States Government or for

evaluation by the Archivist or the

designee of the Archivist to determine

whether the record has such value;

(g) To another agency or 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 his

or her other designated representative

has made a written request to NARA

specifying the particular portion desired

and the law enforcement activity for

which the record is sought;

(h) To a person showing compelling

circumstances affecting the health or

safety of an individual, and not

necessarily the individual to whom the

record pertains. A disclosure of this

nature is followed by a notification to

the last known address of the subject

individual;

(i) To either House of Congress or to

a committee or subcommittee (joint or of

either House), in the course of the

performance of official legislative

activities;

(j) To the Comptroller General or any

of his authorized representatives in the

course of the performance of the duties

of the General Accounting Office;

(k) Pursuant to the order of a court of

competent jurisdiction; or

(l) To a consumer reporting agency in

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

§ 1202.62 What are the procedures for

disclosure of records to a third party?

(a) To obtain access to records about

a person other than yourself, address the

request to the NARA Privacy Act

Officer, National Archives and Records

Administration, Room 3110, 8601

Adelphi Rd., College Park, MD 20740–

6001. If you are requesting access for

statistical research as described in

§ 1202.60(e), you must submit a written

statement that includes as a minimum:

(1) A statement of the purpose for

requesting the records; and

(2) Certification that the records will

be used only for statistical purposes.

(b) NARA will acknowledge your

request within 10 workdays and will

make a decision within 30 workdays,

unless NARA notifies you that the time

limit must be extended for good cause.

(c) Upon receipt of your request,

NARA will verify your right to obtain

access to documents pursuant to

§ 1202.60. Upon verification, the system

manager will make the requested

records available to you.

(d) If NARA determines that the

disclosure is not permitted under

§ 1202.60, the system manager will deny

your request in writing. NARA will

inform you of the right to submit a

request for review of the denial and a

final determination to the appropriate

NARA Privacy Act Appeal Officer.

§ 1202.64 How do I appeal a denial of

disclosure?

(a) Your request for a review of the

denial of disclosure to records

maintained by the Office of the

Inspector General must be addressed to

the NARA Privacy Act Appeal Officer

(N), National Archives and Records

Administration, Room 4200, 8601

Adelphi Rd., College Park, MD 20740–

6001.

(b) Requests for a review of a denial

of disclosure to all other NARA records

must be addressed to the NARA Privacy

Act Appeal Officer (ND), National

Archives and Records Administration,

Room 4200, 8601 Adelphi Rd., College

Park, MD 20740–6001.

§ 1202.66 How does NARA keep account

of disclosures?

(a) Except for disclosures made to

NARA employees in the course of the

performance of their duties or when

required by the Freedom of Information

Act (see § 1202.60(a) and (b)), NARA

keeps an accurate accounting of each

Federal Register / Vol. 66, No. 108 / Tuesday, June 5, 2001 / Proposed Rules 30139

disclosure and retains it for 5 years after

the disclosure or for the life of the

record, whichever is longer. The

accounting includes the:

(1) Date of disclosure;

(2) Nature, and purpose of each

disclosure; and

(3) Name and address of the person or

agency to which the disclosure is made.

(b) The system manager also

maintains with the accounting of

disclosures:

(1) A full statement of the justification

for the disclosures;

(2) All documentation surrounding

disclosure of a record for statistical or

law enforcement purposes; and

(3) Evidence of written consent by the

subject individual to a disclosure, if

applicable.

(c) Except for the accounting of

disclosures made for a law enforcement

activity (see § 1202.60(g)) or of

disclosures made from exempt systems

(see subpart F of this part), the

accounting of disclosures will be made

available to the subject individual upon

request. Procedures for requesting

access to the accounting of disclosures

are in subpart C.

Subpart E—Request To Amend

Records

§ 1202.70 Whom should I contact at NARA

to amend records about myself?

If you believe that a record that NARA

maintains about you is not accurate,

timely, relevant or complete, you may

request that the record be amended.

Write to the NARA Privacy Act Officer,

Room 3110, 8601 Adelphi Rd, College

Park, MD 20470–6001. Employees of

NARA who desire to amend their

personnel records should write to the

Director, Human Resources Services

Division. You should include as much

information, documentation, or other

evidence as needed to support your

request to amend the pertinent record.

Mark both the envelop and the letter

with the phrase ‘‘Privacy Act—Request

To Amend Record.’’

§ 1202.72 How does NARA handle

requests to amend records?

(a) NARA will acknowledge receipt of

a request to amend a record within 10

workdays. If possible, the

acknowledgment will include the

system manager’s determination either

to amend the record or to deny your

request to amend as provided in

§ 1202.76.

(b) When reviewing a record in

response to your request to amend, the

system manager will assess the

accuracy, relevance, timeliness, and

completeness of the existing record in

light of your proposed amendment to

determine if your request to amend is

justified. If you request the deletion of

information, the system manager also

will review your request and the

existing record to determine whether

the information is relevant and

necessary to accomplish NARA’s

purpose, as required by law or

Executive order.

§ 1202.74 How will I know if NARA

approved my amendment request?

If NARA approves your amendment

request, the system manager will

promptly make the necessary

amendment to the record and will send

a copy of the amended record to you.

NARA will also advise all previous

recipients of the record, using the

accounting of disclosures, that an

amendment has been made and give the

substance of the amendment. Where

practicable, NARA will also send a copy

of the amended record to previous

recipients.

§ 1202.76 Can NARA deny my request for

amendment?

If the system manager denies your

request to amend or determines that the

record should be amended in a manner

other than that requested by you, NARA

will advise you in writing of the

decision. The denial letter will state:

(a) The reasons for the denial of your

amendment request;

(b) Proposed alternative amendments,

if appropriate;

(c) Your right to appeal the denial;

and

(d) The procedures for appealing the

denial.

§ 1202.78 How do I accept an alternative

amendment?

If your request to amend a record is

denied and NARA suggested alternative

amendments, and you agree to those

alternative amendments, you must

notify the Privacy Act Officer who will

then make the necessary amendments in

accordance with § 1202.74.

§ 1202.80 How do I appeal the denial of a

request to amend a record?

(a) If you disagree with a denial of

your request to amend a record, you can

file an appeal of that denial.

(1) Address your appeal of the denial

to amend records signed by a system

manager other than the Inspector

General, to the NARA Privacy Act

Appeal Official (ND), Room 3110, 8601

Adelphi Road, College Park, MD,

20740–6001.

(2) Address the appeal of the denial

to amend records signed by the

Inspector General to the NARA Privacy

Act Appeal Official (N), Room 3110,

8601 Adelphi Road, College Park, MD,

20740–6001.

(3) For current NARA employees if

the denial to amend concerns a record

maintained in the employee’s Official

Personnel Folder or in another

Government-wide system maintained by

NARA on behalf of another agency,

NARA will provide the employee with

name and address of the appropriate

appeal official in that agency.

(b) Appeals to NARA must be in

writing and must be postmarked no later

than 35 calendar days from the date of

the NARA denial of a request to amend.

Your appeal letter and envelope must be

marked ‘‘Privacy Act—Appeal’’.

(c) Upon receipt of an appeal, the

NARA Privacy Act Appeal Official will

consult with the system manager, legal

counsel, and such other officials as may

be appropriate. If the appeal official

determines that the record should be

amended, he or she will instruct the

system manager to amend the record in

accordance with § 1202.74 and will

notify you of that action.

(d) If, after consulting with officials

specified in paragraph (c) of this

section, the NARA Privacy Act Appeal

Official determines that your appeal

should be rejected, the NARA Privacy

Act Appeal Official will notify you in

writing of that determination. This

notice serves as NARA’s final

determination on your request to amend

a record. The letter to you will include:

(1) The reason for the rejection of your

appeal;

(2) Proposed alternative amendments,

if appropriate, which you may accept

(see 36 CFR 1202.78 for the procedure);

(3) Notice of your right to file a

Statement of Disagreement for

distribution in accordance with 36 CFR

1202.82; and

(4) Notice of your right to seek

judicial review of the NARA final

determination, as provided in 36 CFR

1202.84.

(e) The NARA final determination

will be made no later than 30 workdays

from the date on which the appeal is

received by the NARA Privacy Act

Appeal Official. In extraordinary

circumstances, the NARA Privacy Act

Appeal Official may extend this time

limit by notifying you in writing before

the expiration of the 30 workdays. The

notification will include a justification

for the extension of time.

§ 1202.82 How do I file a Statement of

Disagreement?

If you receive a NARA final

determination denying your request to

amend a record, you may file a

Statement of Disagreement with the

appropriate system manager. The

30140 Federal Register / Vol. 66, No. 108 / Tuesday, June 5, 2001 / Proposed Rules

Statement of Disagreement must include

an explanation of why you believe the

record to be inaccurate, irrelevant,

untimely, or incomplete. The system

manager will maintain your Statement

of Disagreement in conjunction with the

pertinent record. The System Manager

will send a copy of the Statement of

Disagreement to any person or agency to

whom the record has been disclosed,

only if the disclosure was subject to the

accounting requirements of § 1202.60.

§ 1202.84 Can I seek judicial review?

Yes, within 2 years of receipt of a

NARA final determination as provided

in § 1202.54 or § 1202.80, you may seek

judicial review of that determination.

You may file a civil action in the

Federal District Court:

(a) In which you reside or have a

principal place of business;

(b) In which the NARA records are

located; or

(c) In the District of Columbia.

Subpart F—Exemptions

§ 1202.90 What NARA systems of records

are exempt from release under the National

Security Exemption of the Privacy Act?

(a) The Investigative Case Files of the

Inspector General (NARA–23) and the

Personnel Security Case Files (NARA–

24) systems of records are eligible for

exemption under 5 U.S.C. 552a(k)(1)

because the records in these systems:

(1) Contain information specifically

authorized under criteria established by

an Executive Order to be kept secret in

the interest of national defense or

foreign policy and

(2) Are in fact properly classified

pursuant to such Executive Order.

(b) The systems described in

paragraph (a) are exempt from

subsections (c)(3), (d), (e)(1), and

(e)(4)(G) and (H) of 5 U.S.C. 552a.

Exemptions from the particular

subsections are justified for the

following reasons:

(1) From subsection (c)(3) because

accounting for each disclosure could

result in the release of properly

classified information which would

compromise the national defense or

disrupt foreign policy.

(2) From the access and amendment

provisions of subsection (d) because

access to the records in these systems of

records could result in the release of

properly classified information which

would compromise the national defense

or disrupt foreign policy. Amendment of

either of these series of records would

interfere with ongoing investigations

and law enforcement or national

security activities and impose an

impossible administrative burden by

requiring investigations to be

continuously reinvestigated.

(3) From subsection (e)(1) because

verification of the accuracy of all

information to the records could result

in the release of properly classified

information which would compromise

the national defense or disrupt foreign

policy.

(4) From subsection (e)(4)(G) and (H)

because these systems are exempt from

the access and amendment provisions of

subsection (d), pursuant to subsection

(k)(1) of the Privacy Act.

§ 1202.92 What NARA systems of records

are exempt from release under the Law

Enforcement Exemption of the Privacy Act?

(a) The General Law Files in the

Office of the General Counsell (NARA–

18) and the Investigative Files of the

Inspector General (NARA–23) systems

of records are eligible for exemption

under 5 U.S.C. 552a(k)(2) because these

record systems contains investigatory

material of actual, potential or alleged

criminal, civil or administrative

violations, compiled for law

enforcement purposes other than within

the scope of subsection (j)(2) of 5 U.S.C.

552a. If you are denied any right,

privilege or benefit that you would

otherwise be entitled by Federal law, or

for which you would otherwise be

eligible, as a result of the record, NARA

will make the record available to you,

except for any information in the record

that would disclose the identity of a

confidential source as described in 5

U.S.C. 552a(k)(2).

(b) The systems described in

paragraph (a) of this section are exempt

from subsections (c)(3), (d), (e)(1) and

(e)(4) (G) and (H), and (f) of 5 U.S.C.

552a. Exemptions from the particular

subsections are justified for the

following reasons:

(1) From subsection (c)(3) because

release of disclosure accounting could

alert the subject of an investigation

about the alleged violations, to the

existence of the investigation and to the

fact that they are being investigated by

the Office of Inspector General (OIG) or

another agency. Release of such

information could provide significant

information concerning the nature of the

investigation, resulting in the tampering

or destruction of evidence, influencing

of witnesses, danger to individuals

involved, and other activities that could

impede or compromise the

investigation.

(2) From the access and amendment

provisions of subsection (d) because

access to the records contained in these

systems of records could inform the

subject of an investigation of an actual

or potential criminal, civil, or

administrative violation, of the

existence of that investigation; of the

nature and scope of the information and

evidence obtained as to his/her

activities; of the identity of confidential

sources, witnesses, and law enforcement

personnel; and of information that may

enable the subject to avoid detection or

apprehension. These factors would

present a serious impediment to

effective law enforcement where they

prevent the successful completion of the

investigation, endanger the physical

safety of confidential sources, witnesses,

and law enforcement personnel, and/or

lead to the improper influencing of

witnesses, the destruction of evidence,

or the fabrication of testimony. In

addition, granting access to such

information could disclose securitysensitive or confidential business

information or information that would

constitute an unwarranted invasion of

the personal privacy of third parties.

The amendment of these records could

allow the subject to avoid detection or

apprehension and interfere with

ongoing investigations and law

enforcement activities.

(3) From subsection (e)(1) because the

application of this provision could

impair investigations and interfere with

the law enforcement responsibilities of

the OIG or another agency for the

following reasons:

(i) It is not possible to detect

relevance or need for specific

information in the early stages of an

investigation, case or matter. After the

information is evaluated, relevance and

necessity may be established.

(ii) During an investigation, the OIG

may obtain information about other

actual or potential criminal, civil or

administrative violations, including

those outside the scope of its

jurisdiction. The OIG should retain this

information, as it may aid in

establishing patterns of inappropriate

activity, and can provide valuable leads

for Federal and other law enforcement

agencies.

(iii) In interviewing individuals or

obtaining other forms of evidence

during an investigation, information

may be supplied to an investigator,

which relates to matters incidental to

the primary purpose of the investigation

but which may relate also to matters

under the investigative jurisdiction of

another agency. Such information

cannot readily be segregated.

(iv) From subsection (e)(4)(G) and (H)

because these systems are exempt from

the access and amendment provisions of

subsection (d), pursuant to subsection

(k)(2) of the Privacy Act.

(v) From subsection (f) because these

systems are exempt from the access and

Federal Register / Vol. 66, No. 108 / Tuesday, June 5, 2001 / Proposed Rules 30141

amendment provisions of subsection

(d), pursuant to subsection (k)(2) of the

Privacy Act.

§ 1202.94 What NARA systems of records

are exempt from release under the

Investigatory Information Material

exemption of the Privacy Act?

(a) The General Law Files (NARA–18)

and the Personnel Security Case Files

(NARA–24) systems of records are

eligible for exemption under 5 U.S.C.

552a(k)(5) because these contain

investigatory material compiled solely

for the purpose of determining

suitability, eligibility, or qualifications

for federal employment or access to

classified information. The only

information exempt under this

provision is that which would disclose

the identity of a confidential source

described in 5 U.S.C. 552a(k)(2).

(b) The systems of records described

in paragraph (a) of this section are

exempt from 5 U.S.C. 552a(d)(1).

Exemption from the particular

subsection is justified as access to

records in the system would reveal the

identity(ies) of the source(s) of

information collected in the course of a

background investigation.

Dated: May 29, 2001.

John W. Carlin,

Archivist of the United States.

[FR Doc. 01–14077 Filed 6–4–01; 8:45 am]

BILLING CODE 7515–01–P

DEPARTMENT OF VETERANS

AFFAIRS

38 CFR Part 46

RIN 2900–AJ76

Policy Regarding Participation in

National Practitioner Data Bank

AGENCY: Department of Veterans Affairs.

ACTION: Proposed rule.

SUMMARY: We propose to amend our

regulations regarding reporting of health

care practitioners to the National

Practitioner Data Bank (NPDB). We

propose to amend the reporting

provisions concerning malpractice

payment reporting by delegating the

underlying decision-making to

malpractice payment review panels; by

delegating the actual reporting authority

to facility directors and the Chief Patient

Care Services Officer; by establishing

new procedures for obtaining

information from affected health care

practitioners and others; and by

establishing medical reporting criteria

for licensed trainees and supervisory

health care professionals. We also

propose to amend the regulations

concerning malpractice payment

reporting and clinical privileges actions

reporting by stating that reporting may

not be the subject of negotiated

settlements and that independent

contractors acting on behalf of the

Department of Veterans Affairs (VA) are

subject to the NPDB reporting

provisions. These amendments appear

to be necessary to make the reporting

process more efficient and fair and to

ensure that reporting is accomplished in

accordance with the statutory

framework.

DATES: Comments must be received on

or before August 6, 2001.

ADDRESSES: Mail or hand-deliver

written comments to: Director, Office of

Regulations Management (02D),

Department of Veterans Affairs, 810

Vermont Ave., NW., Room 1154,

Washington, DC 20420; or fax comments

to (202) 273–9289; or e-mail comments

to OGCRegulations@mail.va.gov.

Comments should indicate that they are

submitted in response to ‘‘RIN: 2900–

AJ76.’’ All written comments received

will be available for public inspection at

the above address in the Office of

Regulations Management, Room 1158,

between the hours of 8 a.m. and 4:30

p.m., Monday through Friday (except

holidays).

FOR FURTHER INFORMATION CONTACT:

Kathryn W. Enchelmayer, Director,

Credentialing and Privileging, Office of

Quality and Performance (10Q), VHA,

Department of Veterans Affairs, 810

Vermont Avenue, NW., Washington, DC

20420; (301) 443–9901 (This is not a

toll-free number).

SUPPLEMENTARY INFORMATION: This

document proposes to amend our

regulations set forth in 38 CFR Part 46

concerning the reporting of physicians,

dentists, and other health care

practitioners to the NPDB. These

regulations concern malpractice

payment reporting and clinical

privileges actions reporting.

With respect to malpractice payment

reporting, the regulations currently

provide that VA will file a report with

the NPDB regarding any payment for the

benefit of a physician, dentist, or other

health care practitioner which was

made as the result of a settlement or

judgment of a claim of medical

malpractice. The regulations also state

that the report will identify the

practitioner for whose benefit the

payment is made. Currently, the

regulations provide for facility directors

to file a report when they affirm a

recommendation from a peer review

body regarding whether payment was

made for the benefit of a practitioner.

Also, currently the regulations provide

that the peer review bodies are to be

appointed by facility directors. We

propose to change the delegation of

authority for making the determinations

of whether payment was made for the

benefit of a practitioner by delegating

this function to malpractice payment

review panels appointed by the Director

of Medical-Legal Affairs. We believe

that this will be a more efficient process

and help ensure independent

decisionmaking. We propose that this

new process be used in all cases for

which a panel is appointed on or after

the effective date of the final rule.

The current regulations further

provide for reporting to the NPDB if it

is determined that payment was made

for the benefit of a practitioner. We

propose to delegate this reporting

authority to the Director of the facility

in which the acts or omissions occurred

and the Chief Patient Care Services

Officer. These are the appropriate

reporting officials within VA. Further,

to help ensure that the reported

practitioner is aware of the reporting,

the reporting official would be required

to send a copy of the report to the

reported practitioner.

For malpractice payment

determinations, the current regulations

provide for review of documents

pertinent to the claim, including, to the

extent practicable, information collected

directly from the individual for whose

benefit payment was made. The

regulations also provide that individuals

under consideration for malpractice

payment reporting are to be given an

opportunity for discussion with the

facility director and any other

individual designated by the facility

director before a reporting

determination is made. We propose to

eliminate the discussion provisions and

otherwise change these procedures as

follows:

• Written notice shall be provided to

the practitioner whose actions are under

review stating that VA is considering

whether to report the practitioner to the

NPDB because of a specified

malpractice payment made, and

providing the practitioner with the

opportunity to submit a written

statement concerning the care that led to

the claim within 30 days of receipt of

the notice. The written notice shall be

hand-delivered to the practitioner

whose actions are under review or sent

return-receipt requested to the last

known address of such practitioner.

• Prior to making a determination, the

malpractice payment review panel will

review documents pertinent to the care

that led to the claim. This may include