37180 Federal Register / Vol. 74, No. 143 / Tuesday, July 28, 2009 / Proposed Rules 

the Internet and the new methods of 

communication it affords, there are now 

many new ways that issues are debated 

among candidates. The factors that 

precipitated the filing of the petitions 

may now be viewed much differently by 

some or all of the petitioners. Further, 

the many comments that were received 

from the public may no longer, in the 

view of those commenters, accurately 

represent positions they would now 

advocate to the Commission on the 

issues. Moreover, no formal requests 

have been made by the petitioners in 

recent times to activate the petitions or 

to invoke the jurisdiction of the 

Commission to consider the petitions. 

In view of the passage of time, the 

events which have transpired, as well as 

other factors discussed above, the 

Commission believes that any 

consideration of the issues raised in the 

Wohlford Petition and the News Media 

Petition should be based on newly filed 

petitions. Accordingly, the Commission 

declines to open a new rulemaking and 

will not issue a Notice of Proposed 

Rulemaking in response to either of the 

petitions. The Commission emphasizes 

that its decision not to initiate a 

rulemaking at this time does not 

foreclose the Commission from 

considering future petitions seeking the 

same or similar relief. 

On behalf of the Commission. 

Dated: July 22, 2009. 

Steven T. Walther, 

Chairman, Federal Election Commission. 

[FR Doc. E9–17868 Filed 7–27–09; 8:45 am] 

BILLING CODE 6715–01–P 

DEPARTMENT OF THE INTERIOR 

National Indian Gaming Commission 

25 CFR Part 515 

RIN 3141–AA21 

Privacy Act Procedures 

AGENCY: National Indian Gaming 

Commission, Department of the Interior. 

ACTION: Notice of proposed rulemaking. 

SUMMARY: The purpose of this document 

is to propose to amend the procedures 

followed by the National Indian Gaming 

Commission (Commission) when 

processing a request under the Privacy 

Act of 1974. The proposed amendments 

make the following changes to the 

current regulations. Section 515.3 

changes the address of the Commission, 

provides a list of items to include in 

requests to the Commission, and 

provides the necessary requirements for 

third party requests. Section 515.4 

includes the Commission policy for 

dealing with other agencies and 

designates an individual responsible for 

making initial Privacy Act 

determinations. Section 515.5 explains 

what constitutes an adverse 

determination. Section 515.6 changes 

the time for appeals of adverse 

determinations from 180 days to 30 

days. Section 515.8 details when the 

Commission is required to provide an 

accounting of the records it discloses. 

Finally, Section 515.12 updates the list 

of records that are exempt from 

disclosure under the Privacy Act. 

DATES: Written comments on this 

proposed rule must be received on or 

before September 11, 2009. 

ADDRESSES: Comments may be mailed to 

the National Indian Gaming 

Commission, FOIA/PA Officer, 1441 L 

Street, NW., Suite 9100, Washington, 

DC 20005, delivered to that address 

between 8:30 a.m. and 5:30 p.m., 

Monday through Friday, or faxed to 

(202) 632–7066 (this is not a toll free 

number). Comments may be inspected 

between 9 a.m. and noon and between 

2 p.m. and 5 p.m., Monday through 

Friday, at the above address. Comments 

may also be submitted electronically at 

http://www.regulations.gov or e-mailed 

to pacomments@nigc.gov. 

FOR FURTHER INFORMATION CONTACT: 

Jeannie McCoy at (202) 632–7003 or by 

fax (202) 632–7066 (these numbers are 

not toll free). 

SUPPLEMENTARY INFORMATION: The 

Indian Gaming Regulatory Act (IGRA), 

enacted on October 17, 1988, 

established the National Indian Gaming 

Commission. Congress enacted the 

Privacy Act, Public Law 93–579, 5 

U.S.C. 552a, in 1974. The Commission 

originally adopted Privacy Act 

procedures on January 22, 1993. Now, 

the Commission has decided that the 

procedures need to be updated. 

Regulatory Flexibility Act: The 

Commission certifies that the proposed 

rule will not have a significant 

economic impact on a substantial 

number of small entities under the 

Regulatory Flexibility Act (5 U.S.C. 601 

et seq.). The factual basis for this 

certification is as follows: This rule is 

procedural in nature and will not 

impose substantive requirements that 

would be considered impacts within the 

scope of the Act. For this reason, the 

Commission has concluded that the 

proposed rule will not have a significant 

impact on those small entities subject to 

the rule. 

Unfunded Mandates Reform Act: The 

Commission is an independent 

regulatory agency, and, as such, is not 

subject to the Unfunded Mandates 

Reform Act, 2 U.S.C. 1501 et seq. 

Small Business Regulatory 

Enforcement Fairness Act: The 

proposed rule is not a major rule under 

5 U.S.C. 804(2), the Small Business 

Regulatory Enforcement Fairness Act. 

The proposed rule will not result in an 

annual effect on the economy of more 

than $100 million per year; a major 

increase in costs or prices for 

consumers, individual industries, 

Federal, State, or local government 

agencies, or geographic regions; or 

significant adverse effects on 

competition, employment, investment, 

productivity, innovation, or on the 

ability of U.S. based enterprises. 

Paperwork Reduction Act: The 

proposed rule does not contain any 

information collection requirements for 

which the Office of Management and 

Budget approval under the Paperwork 

Reduction Act (44 U.S.C. 3501–3520) 

would be required. 

National Environmental Policy Act: 

The Commission has determined that 

the proposed rule does not constitute a 

major Federal Action significantly 

affecting the quality of the human 

environment and that no detailed 

statement is required pursuant to the 

National Environmental Policy Act of 

1969. 

List of Subjects in 25 CFR Part 515 

Administrative practice and 

procedure, Privacy, Reporting and 

recordkeeping. 

Accordingly for the reasons set forth 

above, the Commission is proposing to 

revise Part 515 of Title 25 to read as 

follows: 

PART 515—PRIVACY ACT 

PROCEDURES 

Sec. 

515.1 Purpose and scope. 

515.2 Definitions. 

515.3 Request for access to records. 

515.4 Responsibility for responding to 

requests. 

515.5 Responses to requests for access to 

records. 

515.6 Appealing denials of access. 

515.7 Request for amendment or correction 

of records. 

515.8 Requests for an accounting of record 

disclosure. 

515.9 Fees. 

515.10 Penalties. 

515.11 General exemptions [Reserved] 

515.12 Specific exemptions. 

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

§ 515.1 Purpose and scope. 

This part contains the regulations the 

National Indian Gaming Commission 

(Commission) follows in implementing 

the Privacy Act of 1974. These 


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regulations should be read together with 

the Privacy Act, which provides 

additional information about records 

maintained on individuals. These 

regulations apply to all records in 

systems of records maintained by the 

Commission that are retrieved by an 

individual’s name or personal identifier. 

They describe the procedures by which 

individuals may request access to 

records about themselves, request 

amendment or correction of those 

records, and request an accounting of 

disclosures of those records by the 

Commission. The Commission shall also 

process all Privacy Act requests for 

access to records under the Freedom of 

Information Act (FOIA), 5 U.S.C. 552, 

which gives requesters maximum 

disclosure. 

§ 515.2 Definitions. 

For the purposes of this part: 

(a) Individual means a citizen of the 

United States or an alien lawfully 

admitted for permanent residence. 

(b) Maintain means store, collect, use, 

or disseminate. 

(c) Record means any item, collection, 

or grouping of information about an 

individual that is maintained by the 

Commission, including education, 

financial transactions, medical history, 

and criminal or employment history, 

and that contains the individual’s name, 

or identifying number, symbol, or other 

identifier assigned to the individual, 

such as social security number, finger or 

voice print, or photograph. 

(d) System of records means a group 

of any records under the control of the 

Commission from which information is 

retrieved by the name of the individual 

or by some identifying number, symbol, 

or other identifier assigned to the 

individual. 

(e) Routine use means use of a record 

for a purpose that is compatible with the 

purpose for which it was collected. 

(f) Working day means a Federal 

workday that does not include 

Saturdays, Sundays, or Federal 

holidays. 

§ 515.3 Request for access to records. 

(a) How made and addressed. You 

may make a request to the Commission 

for access to records about yourself. 

Your request may be made in writing to 

the Commission at 1441 L Street, NW., 

Suite 9100, Washington, DC 20005, or in 

person during the hours of 9 a.m. to 

noon and 2 p.m. to 5 p.m., Monday 

through Friday. 

(b) Description of records sought. You 

must describe the records sought in 

enough detail to enable Commission 

personnel to locate the system of 

records containing them with a 

reasonable amount of effort. Whenever 

possible, your request should describe 

the records sought, the time periods in 

which you believe they were compiled, 

and the name or identifying number of 

each system of records in which you 

believe they are kept. 

(c) Agreement to pay fees. If you make 

a Privacy Act request for access to 

records it shall be considered an 

agreement by you to pay all applicable 

fees charged under § 515.9, up to 

$25.00. When making a request you may 

specify a willingness to pay a greater or 

lesser amount. 

(d) Verification of identity. When you 

make a request for access to records 

about yourself, you must verify your 

identity. You must state your full name, 

current address, and date and place of 

birth. You must sign your request and 

your signature must either be notarized 

or submitted under 28 U.S.C. 1746, 

which is a law that permits statements 

to be made under penalty of perjury as 

a substitute for notarization. 

(e) Verification of guardianship. 

When you make a request as a parent or 

guardian for records pertaining to 

another individual you must establish: 

(1) The identity of the individual who 

is the subject of the record by stating the 

name, current address, date and place of 

birth of the individual; 

(2) Your own identity, as required in 

paragraph (d) of this section; 

(3) That you are the parent or 

guardian of the individual and proof of 

such relationship by providing a birth 

certificate showing your parentage or a 

court order establishing guardianship. 

(f) Verification in the case of third 

party information requests. If you are 

making a request for records concerning 

an individual on behalf of that 

individual, you must provide a 

statement from the individual verifying 

the identity of the individual as 

provided in paragraph (d) of this 

section. You must also provide a 

statement from the individual certifying 

the individual’s agreement that records 

concerning the individual may be 

released to you. 

§ 515.4 Responsibility for responding to 

requests. 

(a) In general. In determining which 

records are responsive to a request, the 

Commission ordinarily will include 

only records in its possession as of the 

date it begins its search for records. If 

any other date is used, the Commission 

shall inform you of that date. 

(b) Authority to grant or deny 

requests. The officer designated by the 

Chairman of the Commission shall make 

initial determinations either to grant or 

deny in whole or in part access to 

records. 

(c) Consultations and referrals. 

(1) When a requested record has been 

created by another Federal Government 

agency that record shall be referred to 

the originating agency for direct 

response to the requester. The requester 

shall be informed of the referral unless 

otherwise instructed by the originating 

agency. This is not a denial of a Privacy 

Act request and thus no appeal rights 

accrue to the requester. 

(2) When a requested record contains 

information originating with another 

Federal Government agency, the record 

shall be referred to the originating 

agency for review and recommendation 

on disclosure. The originating agency 

shall respond to the Commission with 

its recommendation. The Commission 

shall not release any such record 

without prior consultation with the 

originating agency. 

§ 515.5 Response to requests for access 

to records. 

(a) Acknowledgement of requests. 

Requests for a determination under 

§ 515.3(a) of this part shall be 

acknowledged by the Commission 

within 10 working days after the date on 

which the Commission receives the 

request. 

(b) Grants of requests for access. Once 

the Commission makes a determination 

to grant a request for access in whole or 

in part, it shall notify you in writing, 

informing you of any fees charged for 

the request. Once fees are paid, the 

Commission will release the records to 

you. If a request is made in person, the 

Commission will disclose the records to 

you in a manner not unreasonably 

disruptive of its operations. A written 

record will be made of the disclosure. If 

you are accompanied by another 

individual, you must authorize in 

writing any discussion of the records in 

the presence of the other person. 

(c) Adverse determinations of requests 

for access. If the Commission makes an 

adverse determination denying a request 

for access in any respect, it shall notify 

you of that determination in writing. 

Adverse determinations or denial of 

requests consist of: A determination to 

withhold any requested record in whole 

or in part; a determination that a 

requested record does not exist or 

cannot be located; a determination that 

the requested record is not a record 

subject to the Privacy Act; a 

determination on any disputed fee 

matter; and a denial of request for 

expedited processing. The notification 

letter shall be signed by the Chairman 

of the Commission or the Chairman’s 

designee and include: 


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(1) The name and title of the person 

responsible for the denial; 

(2) A brief statement of the reason(s) 

for the denial, including any Privacy 

Act exemption(s) applied to the denial; 

(3) A statement that the denial may be 

appealed under § 515.6 and a 

description of the requirements of 

§ 515.6. 

§ 515.6 Appealing denials of access. 

(a) Appeals. If your request for access 

has been denied in whole or in part, you 

may appeal the decision to the 

Commission no later than 30 business 

days after the adverse decision is 

rendered. The appeal shall be in writing 

and describe the determination decision 

that is being appealed. Mark both the 

appeal letter and envelope ‘‘Privacy Act 

Appeal.’’ 

(b) Responses to appeals. The 

decision on your appeal will be made in 

writing within 30 business days of 

receipt of the appeal by the 

Commission. For good cause shown, 

however, the Commission may extend 

the 30 business day period. You shall be 

promptly notified of such extension and 

the anticipated date of a decision. A 

decision affirming an adverse 

determination in whole or in part will 

include a brief statement of the reason(s) 

for the determination, including any 

Privacy Act exemption(s) applied, and 

will inform you of the Privacy Act 

provisions for court review of the 

decision. If the adverse determination is 

reversed in whole or in part, you will be 

notified in a written decision and your 

request will be reprocessed in 

accordance with that appeal decision. 

You shall also be advised of your right 

to institute a civil action in a Federal 

district court for judicial review of the 

decision. 

(c) When appeal is required. If you 

wish to seek review by a court of any 

adverse determination or denial of a 

request, you must first appeal it under 

this section. 

§ 515.7 Request for amendment or 

correction of records. 

(a) Amendment. You may make a 

request for an amendment or correction 

to a Commission record about you by 

writing directly to the Privacy Act 

Officer. Your request should identify 

each particular record in question, state 

the amendment or correction that you 

seek, and state why you believe that the 

record is not accurate, relevant, timely, 

or complete. You may include any 

documentation you think would be 

helpful. 

(b) Privacy Act Officer Response. The 

Privacy Act Officer shall, not later than 

10 working days after receipt of a 

request for an amendment or correction 

of a record, acknowledge receipt of your 

request and notify you whether your 

request is granted or denied. If your 

request is granted in whole or in part, 

the Privacy Act Officer shall describe 

the amendment or correction made and 

shall advise you of your right to obtain 

a copy of the amended or corrected 

record. If the request is denied in whole 

or in part, the Privacy Act Officer shall 

send you a letter signed by the 

Chairman of the Commission or the 

Chairman’s designee stating: 

(1) The reason(s) for the denial; and 

(2) The procedure for appeal of the 

denial under paragraph (c) of this 

section, including the name and address 

of the official who will act on your 

appeal. 

(c) Appeals. You may appeal a denial 

of a request for an amendment or 

correction in the same manner as a 

denial of a request for access to records 

in § 515.6. If your appeal is denied, you 

shall be advised of your right to file a 

Statement of Disagreement as described 

in paragraph (d) of this section and of 

your right under the Privacy Act for 

court review of the decision. 

(d) Statement of Disagreement. If your 

appeal under this section is denied in 

whole or in part, you have the right to 

file a Statement of Disagreement that 

states your reason(s) for disagreeing 

with the Commission’s denial of your 

request for an amendment or correction. 

Statements of Disagreement must be 

concise, must clearly identify each part 

of any record that is disputed, and 

should be no longer than one typed page 

for each fact disputed. Your Statement 

of Disagreement shall be placed in the 

system of records in which the disputed 

record is maintained and the record 

shall be marked to indicate a Statement 

of Disagreement has been filed. 

(e) Notification of amendment, 

correction, or disagreement. Within 30 

working days of the amendment or 

correction of the record, the 

Commission shall notify all persons, 

organizations, or agencies to which it 

previously disclosed the record, if an 

accounting of that disclosure was made, 

that the record has been amended or 

corrected. If you filed a Statement of 

Disagreement, the Commission shall 

append a copy of it to the disputed 

record whenever the record is disclosed 

and may also append a concise 

statement of its reason(s) for denying the 

request to amend the record. 

(f) Records not subject to amendment. 

Section 515.12 lists the records that are 

exempt from amendment or correction. 

§ 515.8 Requests for an accounting of 

record disclosure. 

(a) How made and addressed. Except 

where accountings of disclosures are not 

required to be kept (as stated in 

paragraph (b) of this section), you may 

make a request for an accounting of any 

disclosure that has been made by the 

Commission to another person, 

organization, or agency of any record 

about you. This accounting contains the 

date, nature and purpose of each 

disclosure, as well as the name and 

address of the person, organization, or 

agency to which the disclosure was 

made. Your request for an accounting 

should identify each particular record in 

question and should be made in writing 

to the Commission. 

(b) Where accountings are not 

required. The Commission is not 

required to provide an accounting to 

you where they relate to: 

(1) Disclosures for which accountings 

are not required to be kept, such as 

disclosures that are made to employees 

within the agency and disclosures that 

are made under the FOIA; 

(2) Disclosures made to law 

enforcement agencies for authorized law 

enforcement activities in response to 

written requests from those law 

enforcement agencies specifying the law 

enforcement activities for which the 

disclosures are sought; or 

(3) Disclosures made from law 

enforcement systems of records that 

have been exempted from accounting 

requirements. 

(c) Appeals. You may appeal a denial 

of a request for an accounting within 30 

business days after the adverse decision 

is rendered in the same manner as a 

denial of a request for access to records 

in § 515.6 and the same procedures will 

be followed. 

§ 515.9 Fees. 

The Commission shall not charge you 

for the costs of making a search for a 

record or the costs of reviewing the 

record. When the Commission makes a 

copy of a record as a necessary part of 

reviewing the record, the Commission 

shall not charge you for the cost of 

making that copy. Otherwise, the 

Commission may charge a fee sufficient 

to cover the cost of duplicating a copy 

for you. 

§ 515.10 Penalties. 

Any person who makes a false 

statement in connection with any 

request for a record, or an amendment 

thereto, under this part, is subject to the 

penalties prescribed in 18 U.S.C. 494 

and 495. 


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§ 515.11 General exemptions. [Reserved] 

§ 515.12 Specific exemptions. 

(a) The following systems of records 

are exempt from 5 U.S.C. 552a(c)(3), (d), 

(e)(1) and (f): 

(1) Indian Gaming Individuals 

Records System. 

(2) Management Contract Individuals 

Record System. 

(b) The exemptions under paragraph 

(a) of this section apply only to the 

extent that information in these systems 

is subject to exemption under 5 U.S.C. 

552a(k)(2). When compliance would not 

appear to interfere with or adversely 

affect the overall responsibilities of the 

Commission, with respect to licensing 

of key employees and primary 

management officials for employment in 

an Indian gaming operation, the 

applicable exemption may be waived by 

the Commission. 

(c) Exemptions from the particular 

sections are justified for the following 

reasons: 

(1) From 5 U.S.C. 552a(c)(3), because 

making available the accounting of 

disclosures to an individual who is the 

subject of a record could reveal 

investigative interest. This would 

permit the individual to take measures 

to destroy evidence, intimidate potential 

witnesses, or flee the area to avoid the 

investigation. 

(2) From 5 U.S.C. 552a(d), (e)(1), and 

(f) concerning individual access to 

records, when such access could 

compromise classified information 

related to national security, interfere 

with a pending investigation or internal 

inquiry, constitute an unwarranted 

invasion of privacy, reveal a sensitive 

investigative technique, or pose a 

potential threat to the Commission or its 

employees or to law enforcement 

personnel. Additionally, access could 

reveal the identity of a source who 

provided information under an express 

promise of confidentiality. 

(3) From 5 U.S.C. 552a(d)(2), because 

to require the Commission to amend 

information thought to be incorrect, 

irrelevant, or untimely, because of the 

nature of the information collected and 

the length of time it is maintained, 

would create an impossible 

administrative and investigative burden 

by continually forcing the Commission 

to resolve questions of accuracy, 

relevance, timeliness, and 

completeness. 

(4) From 5 U.S.C. 552a(e)(1) because: 

(i) It is not always possible to 

determine relevance or necessity of 

specific information in the early stages 

of an investigation. 

(ii) Relevance and necessity are 

matters of judgment and timing in that 

what appears relevant and necessary 

when collected may be deemed 

unnecessary later. Only after 

information is assessed can its relevance 

and necessity be established. 

(iii) In any investigation the 

Commission may receive information 

concerning violations of law under the 

jurisdiction of another agency. In the 

interest of effective law enforcement 

and under 25 U.S.C. 2716(b), the 

information could be relevant to an 

investigation by the Commission. 

(iv) In the interviewing of individuals 

or obtaining evidence in other ways 

during an investigation, the Commission 

could obtain information that may or 

may not appear relevant at any given 

time; however, the information could be 

relevant to another investigation by the 

Commission. 

Dated: June 21, 2009. 

Philip N. Hogen, 

Chairman. 

Norman DesRosiers, 

Vice Chairman. 

[FR Doc. E9–17745 Filed 7–27–09; 8:45 am] 

BILLING CODE 7565–01–P 

DEPARTMENT OF THE TREASURY 

Office of the Secretary 

31 CFR Part 10 

[REG–113289–08] 

RIN 1545–BH81 

Contingent Fees Under Circular 230 

AGENCY: Office of the Secretary, 

Treasury. 

ACTION: Notice of proposed rulemaking 

and notice of public hearing. 

SUMMARY: This document proposes 

modifications of the regulations 

governing practice before the Internal 

Revenue Service (Circular 230). These 

proposed regulations affect individuals 

who practice before the IRS. The 

proposed amendments modify the rules 

relating to contingent fees under 

Circular 230. This document also 

provides notice of a public hearing on 

the proposed regulations. 

DATES: Written or electronically 

generated comments must be received 

by September 10, 2009. Outlines of 

topics to be discussed at the public 

hearing scheduled for November 20, 

2009 at 10 a.m. must be received by 

September 10, 2009. 

ADDRESSES: Send submissions to: 

CC:PA:LPD:PR (REG–113289–08), room 

5203, Internal Revenue Service, P.O. 

Box 7604, Ben Franklin Station, 

Washington, DC 20044. Submissions 

may be hand delivered Monday through 

Friday between the hours of 8 a.m. and 

4 p.m. to: CC:PA:LPD:PR (REG–113289– 

08), Courier’s Desk, Internal Revenue 

Service, 1111 Constitution Avenue, 

NW., Washington, DC, or sent 

electronically via the Federal 

eRulemaking Portal at http:// 

www.regulations.gov (IRS and REG– 

113289–08). The public hearing will be 

held in Auditorium, Internal Revenue 

Building, 1111 Constitution Avenue, 

NW., Washington DC. 

FOR FURTHER INFORMATION CONTACT: 

Concerning the proposed regulations, 

Amy L. Mielke at (202) 622–4940; 

concerning submissions of comments 

and the public hearing, Regina Johnson 

at (202) 622–7180; (not toll-free 

numbers). 

SUPPLEMENTARY INFORMATION: 

Background 

Section 330 of title 31 of the United 

States Code authorizes the Secretary of 

the Treasury to regulate practice before 

the Treasury Department. The Secretary 

has published the regulations in 

Circular 230 (31 CFR part 10). On 

September 26, 2007, the Treasury 

Department and the IRS published final 

regulations in the Federal Register (72 

FR 54540) modifying rules governing 

the general standards of practice before 

the IRS, including the rules relating to 

contingent fees in § 10.27 of Circular 

230. Section 10.27 of the final 

regulations generally precludes a 

practitioner from charging a contingent 

fee for services rendered in connection 

with any matter before the Internal 

Revenue Service, including the 

preparation or filing of a tax return, 

amended tax return or claim for refund 

or credit. The final regulations, 

however, permit a practitioner to charge 

a contingent fee for services rendered in 

connection with the IRS examination of, 

or challenge to: (i) An original tax 

return, or (ii) an amended return or 

claim for refund or credit when the 

amended return or claim for refund or 

credit was filed within 120 days of the 

taxpayer receiving a written notice of 

the examination of, or a written 

challenge to, the original tax return. The 

final regulations also permit a 

practitioner to charge a contingent fee 

for services rendered in connection with 

a claim for refund or credit of interest 

and penalties assessed by the IRS, and 

for services rendered in connection with 

a judicial proceeding arising under the 

Internal Revenue Code. The final 

amendments to § 10.27 made by the 

final regulations apply to fee 


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