[Federal Register Volume 61, Number 237 (Monday, December 9, 1996)]
[Rules and Regulations]
[Pages 64950-64953]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-31162]



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Part II





Department of Justice





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Bureau of Prisons



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28 CFR Part 513, 522, and 540



Release of Information and Unescorted Transfers and Voluntary 
Surrenders Regulations Revision, Final Rules; and Pretrial Inmates 
Correspondence Regulations, Proposed Rule

  Federal Register / Vol. 61, No. 237 / Monday, December, 9, 1996 / 
Rules and Regulations  

[[Page 64950]]



DEPARTMENT OF JUSTICE

Bureau of Prisons

28 CFR Part 513

[BOP-1015-F]
RIN 1120-AA21


Release of Information

AGENCY: Bureau of Prisons, Justice.

ACTION: Final rule.

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SUMMARY: In this document, the Bureau of Prisons (``Bureau'') is 
adopting regulations to consolidate procedures for the release of 
requested records in the possession of the Bureau. These regulations 
have been developed to help ensure the Bureau is in compliance with the 
statutory requirements of the Freedom of Information Act (5 U.S.C. 552) 
and the Privacy Act (5 U.S.C. 552a), and to supplement Department of 
Justice regulations implementing those statutes (28 CFR part 16).

EFFECTIVE DATE: This rule becomes effective January 8, 1997.

ADDRESSES: Rules Unit, Office of General Counsel, Bureau of Prisons, 
Room 754, 320 First Street, NW., Washington, D.C. 20534.

FOR FURTHER INFORMATION CONTACT: Roy M. Nanovic, Office of General 
Counsel, Bureau of Prisons, Telephone (202) 514-6655.

SUPPLEMENTARY INFORMATION: The Bureau of Prisons (``Bureau'') is 
adopting regulations on Release of Information. A proposed rule on this 
subject was published in the Federal Register on June 21, 1996 (at 61 
FR 32258). The new regulations provide instructions to assist all 
requesters in obtaining information through the Freedom of Information 
Act (FOIA) and the Privacy Act (PA). In addition, the new regulations 
are intended to assist an inmate in accessing records at his or her 
institution of confinement without submitting a FOIA/PA request.
    In response to the one comment received, the Bureau is adding to 
the Final Rule a provision describing an informal institution procedure 
for inmates to review certain Bureau Program Statements. Because this 
provision is added as a new Section 513.43 under ``Inmate Requests to 
Institution for Information'', succeeding sections have been renumbered 
accordingly.
    The Bureau of Prisons has determined that this rule is not a 
significant regulatory action for the purpose of Executive Order 12866 
and accordingly, this rule was not reviewed by the Office of Management 
and Budget. After review of the law and regulations, the Director of 
the Bureau of Prisons has certified that this rule, for the purpose of 
the Regulatory Flexibility Act (5 U.S.C. 601 et seq.), does not have a 
significant impact on a substantial number of small entities within the 
meaning of the Act. The economic impact of this rule is limited by the 
fee schedule imposed under Departmental regulations contained in 28 CFR 
16.10.

List of Subjects in 28 CFR Part 513

    Prisoners.
Kathleen M. Hawk,
Director, Bureau of Prisons.
    In consideration of the foregoing, 28 CFR, Chapter V, Subchapter A, 
is amended as follows:

SUBCHAPTER A--GENERAL MANAGEMENT AND ADMINISTRATION

PART 513--ACCESS TO RECORDS

    1. The authority citation for 28 CFR part 513 is revised to read as 
follows:

    Authority: 5 U.S.C. 301, 552, 552a; 13 U.S.C.; 18 U.S.C. 3621, 
3622, 3624, 4001, 4042, 4081, 4082 (Repealed in part as to conduct 
occurring on or after November 1, 1987), 5006-5024 (Repealed October 
12, 1984 as to conduct occurring after that date), 5039; 28 U.S.C. 
509, 510; 31 U.S.C. 3711(f); 5 CFR part 297; 28 CFR 0.95-0.99 and 
parts 16 and 301.

    2. Subpart D, consisting of Secs. 513.30 through 513.68, is added 
to read as follows:

Subpart D--Release of Information

General Provisions and Procedures

Sec.
513.30  Purpose and scope.
513.31  Limitations.
513.32  Guidelines for disclosure.
513.33  Production of records in court.
513.34  Protection of individual privacy--disclosure of records to 
third parties.
513.35  Accounting/nonaccounting of disclosures to third parties.
513.36  Government contractors.

Inmate Requests to Institution for Information

513.40  Inmate access to Inmate Central File.
513.41  Inmate access to Inmate Central File in connection with 
parole hearings.
513.42  Inmate access to medical records.
513.43  Inmate access to certain Bureau Program Statements
513.44  Fees for copies of Inmate Central File and Medical Records.

Privacy Act Requests for Information

513.50  Privacy Act requests by inmates.

Freedom of Information Act Requests for Information

513.60  Freedom of Information Act requests.
513.61  Freedom of Information Act requests by inmates.
513.62  Freedom of Information Act requests by former inmates.
513.63  Freedom of Information Act requests on behalf of an inmate 
or former inmate.
513.64  Acknowledgment of Freedom of Information Act requests.
513.65  Review of documents for Freedom of Information Act requests.
513.66  Denials and appeals of Freedom of Information Act requests.
513.67  Fees for Freedom of Information Act requests.
513.68  Time limits for responses to Freedom of Information Act 
requests.

Subpart D--Release of Information

General Provisions and Procedures


Sec. 513.30  Purpose and scope.

    This subpart establishes procedures for the release of requested 
records in possession of the Federal Bureau of Prisons (``Bureau''). It 
is intended to implement provisions of the Freedom of Information Act 
(FOIA), 5 U.S.C. 552, and the Privacy Act, 5 U.S.C. 552a, and to 
supplement Department of Justice (DOJ) regulations concerning the 
production or disclosure of records or information, 28 CFR part 16.


Sec. 513.31  Limitations.

    (a) Social Security Numbers. As of September 27, 1975, Social 
Security Numbers may not be used in their entirety as a method of 
identification for any Bureau record system, unless such use is 
authorized by statute or by regulation adopted prior to January 1, 
1975.
    (b) Employee records. Access and amendment of employee personnel 
records under the Privacy Act are governed by Office of Personnel 
Management regulations published in 5 CFR part 297 and by Department of 
Justice regulations published in 28 CFR part 16.


Sec. 513.32  Guidelines for disclosure.

    The Bureau provides for the disclosure of agency information 
pursuant to applicable laws, e.g. the Freedom of Information Act (5 
U.S.C. 552), and the Privacy Act (5 U.S.C. 552a).


Sec. 513.33  Production of records in court.

    Bureau records are often sought by subpoena, court order, or other 
court demand, in connection with court proceedings. The Attorney 
General has directed that these records may not be produced in court 
without the approval of the Attorney General or his or her designee. 
The guidelines are set forth in 28 CFR part 16, subpart B.

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Sec. 513.34  Protection of individual privacy--disclosure of records to 
third parties.

    (a) Information that concerns an individual and is contained in a 
system of records maintained by the Bureau shall not be disclosed to 
any person, or to another agency except under the provisions of the 
Privacy Act, 5 U.S.C. 552a, the Freedom of Information Act, 5 U.S.C. 
552, and Departmental regulations.
    (b) Lists of Bureau inmates shall not be disclosed.


Sec. 513.35  Accounting/nonaccounting of disclosures to third parties.

    Accounting/nonaccounting of disclosures to third parties shall be 
made in accordance with Department of Justice regulations contained in 
28 CFR 16.52.


Sec. 513.36  Government contractors.

    (a) No Bureau component may contract for the operation of a record 
system by or on behalf of the Bureau without the express written 
approval of the Director or the Director's designee.
    (b) Any contract which is approved shall contain the standard 
contract requirements promulgated by the General Services 
Administration (GSA) to ensure compliance with the requirements imposed 
by the Privacy Act. The contracting component shall have the 
responsibility to ensure that the contractor complies with the contract 
requirements relating to privacy.

Inmate Requests to Institution for Information


Sec. 513.40  Inmate access to Inmate Central File.

    Inmates are encouraged to use the simple access procedures 
described in this section to review disclosable records maintained in 
his or her Inmate Central File, rather than the FOIA procedures 
described in Secs. 513.60 through 513.68 of this subpart. Disclosable 
records in the Inmate Central File include, but are not limited to, 
documents relating to the inmate's sentence, detainer, participation in 
Bureau programs such as the Inmate Financial Responsibility Program, 
classification data, parole information, mail, visits, property, 
conduct, work, release processing, and general correspondence. This 
information is available without filing a FOIA request. If any 
information is withheld from the inmate, staff will provide the inmate 
with a general description of that information and also will notify the 
inmate that he or she may file a FOIA request.
    (a) Inmate review of his or her Inmate Central File. An inmate may 
at any time request to review all disclosable portions of his or her 
Inmate Central File by submitting a request to a staff member 
designated by the Warden. Staff are to acknowledge the request and 
schedule the inmate, as promptly as is practical, for a review of the 
file at a time which will not disrupt institution operations.
    (b) Procedures for inmate review of his or her Inmate Central File. 
(1) Prior to the inmate's review of the file, staff are to remove the 
Privacy Folder which contains documents withheld from disclosure 
pursuant to Sec. 513.32.
    (2) During the file review, the inmate is to be under direct and 
constant supervision by staff. The staff member monitoring the review 
shall enter the date of the inmate's file review on the Inmate Activity 
Record and initial the entry. Staff shall ask the inmate to initial the 
entry also, and if the inmate refuses to do so, shall enter a notation 
to that effect.
    (3) Staff shall advise the inmate if there are documents withheld 
from disclosure and, if so, shall advise the inmate of the inmate's 
right under the provisions of Sec. 513.61 to make a FOIA request for 
the withheld documents.


Sec. 513.41  Inmate access to Inmate Central File in connection with 
parole hearings.

    A parole-eligible inmate (an inmate who is currently serving a 
sentence for an offense committed prior to November 1, 1987) may review 
disclosable portions of the Inmate Central File prior to the inmate's 
parole hearing, under the general procedures set forth in Sec. 513.40. 
In addition, the following guidelines apply:
    (a) A parole-eligible inmate may request to review his or her 
Inmate Central File by submitting the appropriate Parole Commission 
form. This form ordinarily shall be available to each eligible inmate 
within five work days after a list of eligible inmates is prepared.
    (b) Bureau staff ordinarily shall schedule an eligible inmate for a 
requested Inmate Central File review within seven work days of the 
request after the inmate has been scheduled for a parole hearing. A 
reasonable extension of time is permitted for documents which have been 
provided (prior to the inmate's request) to originating agencies for 
clearance, or which are otherwise not available at the institution.
    (c) A report received from another agency which is determined to be 
nondisclosable (see Sec. 513.40(b)) will be summarized by that agency, 
in accordance with Parole Commission regulations. Bureau staff shall 
place the summary in the appropriate disclosable section of the Inmate 
Central File. The original report (or portion which is summarized in 
another document) will be placed in the portion of the Privacy File for 
Joint Use by the Bureau and the Parole Commission.
    (d) Bureau documents which are determined to be nondisclosable to 
the inmate will be summarized for the inmate's review. A copy of the 
summary will be placed in the disclosable section of the Inmate Central 
File. The document from which the summary is taken will be placed in 
the Joint Use Section of the Privacy Folder. Nondisclosable documents 
not summarized for the inmate's review are not available to the Parole 
Commission and are placed in a nondisclosable section of the Inmate 
Central File.
    (e) When no response regarding disclosure has been received from an 
originating agency in time for inmate review prior to the parole 
hearing, Bureau staff are to inform the Parole Commission Hearing 
Examiner.


Sec. 513.42  Inmate access to medical records.

    (a) Except for the limitations of paragraphs (c) and (d) of this 
section, an inmate may review records from his or her medical file 
(including dental records) by submitting a request to a staff member 
designated by the Warden.
    (b) Laboratory Reports which contain only scientific testing 
results and which contain no staff evaluation or opinion (such as 
Standard Form 514A, Urinalysis) are ordinarily disclosable. Lab results 
of HIV testing may be reviewed by the inmate. However, an inmate may 
not retain a copy of his or her test results while the inmate is 
confined in a Bureau facility or a Community Corrections Center. A copy 
of an inmate's HIV test results may be forwarded to a third party 
outside the institution and chosen by the inmate, provided that the 
inmate gives written authorization for the disclosure.
    (c) Medical records containing subjective evaluations and opinions 
of medical staff relating to the inmate's care and treatment will be 
provided to the inmate only after the staff review required by 
paragraph (d) of this section. These records include, but are not 
limited to, outpatient notes, consultation reports, narrative summaries 
or reports by a specialist, operative reports by the physician, 
summaries by specialists as the result of laboratory analysis, or in-
patient progress reports.
    (d) Prior to release to the inmate, records described in paragraph 
(c) of

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this section shall be reviewed by staff to determine if the release of 
this information would present a harm to either the inmate or other 
individuals. Any records determined not to present a harm will be 
released to the inmate at the conclusion of the review by staff. If any 
records are determined by staff not to be releasable based upon the 
presence of harm, the inmate will be so advised in writing and provided 
the address of the agency component to which the inmate may address a 
formal request for the withheld records. An accounting of any medical 
records will be maintained in the inmate's medical file.


Sec. 513.43  Inmate Access to certain Bureau Program Statements.

    Inmates are encouraged to use the simple local access procedures 
described in this section to review certain Bureau Program Statements, 
rather than the FOIA procedures described in Secs. 513.60 through 
513.68 of this subpart.
    (a) For a current Bureau Program Statement containing rules 
(regulations published in the Federal Register and codified in 28 CFR), 
local access is available through the institution law library.
    (b) For a current Bureau Program Statement not containing rules 
(regulations published in the Federal Register and codified in 28 CFR), 
inmates may request that it be placed in the institution law library. 
Placement of a requested Program Statement in the law library is within 
the discretion of the Warden, based upon local institution conditions.
    (c) Inmates are responsible for the costs of making personal copies 
of any Program Statements maintained in the institution law library. 
For copies of Program Statements obtained under the FOIA procedures 
described in Secs. 513.60 through 513.68 of this subpart, fees will be 
calculated in accordance with 28 CFR 16.10.


Sec. 513.44  Fees for copies of Inmate Central File and Medical 
Records.

    Within a reasonable time after a request, Bureau staff are to 
provide an inmate personal copies of requested disclosable documents 
maintained in the Inmate Central File and Medical Record. Fees for the 
copies are to be calculated in accordance with 28 CFR 16.10.

Privacy Act Requests for Information


Sec. 513.50  Privacy Act requests by inmates.

    Because inmate records are exempt from disclosure under the Privacy 
Act (see 28 CFR 16.97), inmate requests for records under the Privacy 
Act will be processed in accordance with the FOIA. See Secs. 513.61 
through 513.68.

Freedom of Information Act Requests for Information


Sec. 513.60  Freedom of Information Act requests.

    Requests for any Bureau record (including Program Statements and 
Operations Memoranda) ordinarily shall be processed pursuant to the 
Freedom of Information Act, 5 U.S.C. 552. Such a request must be made 
in writing and addressed to the Director, Federal Bureau of Prisons, 
320 First Street, NW., Washington, D.C. 20534. The requester shall 
clearly mark on the face of the letter and the envelope ``FREEDOM OF 
INFORMATION REQUEST,'' and shall clearly describe the records sought. 
See Secs. 513.61 through 513.63 for additional requirements.


Sec. 513.61  Freedom of Information Act requests by inmates.

    (a) Inmates are encouraged to use the simple access procedures 
described in Sec. 513.40 to review disclosable records maintained in 
his or her Inmate Central File.
    (b) An inmate may make a request for access to documents in his or 
her Inmate Central File or Medical File (including documents which have 
been withheld from disclosure during the inmate's review of his or her 
Inmate Central File pursuant to Sec. 513.40) and/or other documents 
concerning the inmate which are not contained in the Inmate Central 
File or Medical File. Staff shall process such a request pursuant to 
the applicable provisions of the Freedom of Information Act, 5 U.S.C. 
552.
    (c) The inmate requester shall clearly mark on the face of the 
letter and on the envelope ``FREEDOM OF INFORMATION ACT REQUEST'', and 
shall clearly describe the records sought, including the approximate 
dates covered by the record. An inmate making such a request must 
provide his or her full name, current address, date and place of birth. 
In addition, if the inmate requests documents to be sent to a third 
party, the inmate must provide with the request an example of his or 
her signature, which must be verified and dated within three (3) months 
of the date of the request.


Sec. 513.62  Freedom of Information Act requests by former inmates

    Former federal inmates may request copies of their Bureau records 
by writing to the Director, Federal Bureau of Prisons, 320 First 
Street, NW., Washington, D.C. 20534. Such requests shall be processed 
pursuant to the provisions of the Freedom of Information Act. The 
request must be clearly marked on the face of the letter and on the 
envelope ``FREEDOM OF INFORMATION ACT REQUEST'', and must describe the 
record sought, including the approximate dates covered by the record. A 
former inmate making such a request must provide his or her full name, 
current address, date and place of birth. In addition, the requester 
must provide with the request an example of his or her signature, which 
must be either notarized or sworn under penalty of perjury, and dated 
within three (3) months of the date of the request.


Sec. 513.63  Freedom of Information requests on behalf of an inmate or 
former inmate.

    A request for records concerning an inmate or former inmate made by 
an authorized representative of that inmate or former inmate will be 
treated as in Sec. 513.61, on receipt of the inmate's or former 
inmate's written authorization. This authorization must be dated within 
three (3) months of the date of the request letter. Identification 
data, as listed in 28 CFR 16.41, must be provided.


Sec. 513.64  Acknowledgement of Freedom of Information Act requests.

    (a) All requests for records under the Freedom of Information Act 
received by the FOI/PA Administrator, Office of General Counsel, will 
be reviewed and may be forwarded to the appropriate Regional Office for 
proper handling. Requests for records located at a Bureau facility 
other than the Central Office or Regional Office may be referred to the 
appropriate staff at that facility for proper handling.
    (b) The requester shall be notified of the status of his or her 
request by the office with final responsibility for processing the 
request.


Sec. 513.65  Review of documents for Freedom of Information Act 
requests.

    If a document is deemed to contain information exempt from 
disclosure, any reasonably segregable portion of the record shall be 
provided to the requester after deletion of the exempt portions. If 
documents, or portions of documents, in an Inmate Central File have 
been determined to be nondisclosable by institution staff but are later 
released by Regional or Central Office staff pursuant to a request 
under this section, appropriate instructions will be given to the 
institution to move those documents, or portions, from the Inmate 
Privacy Folder into the disclosable section of the Inmate Central File.

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Sec. 513.66  Denials and appeals of Freedom of Information Act 
requests.

    If a request made pursuant to the Freedom of Information Act is 
denied in whole or in part, a denial letter must be issued and signed 
by the Director or his or her designee, and shall state the basis for 
denial under Sec. 513.32. The requester who has been denied such access 
shall be advised that he or she may appeal that decision to the Office 
of Information and Privacy, U.S. Department of Justice, Suite 570, Flag 
Building, Washington, D.C. 20530. Both the envelope and the letter of 
appeal itself should be clearly marked: ``Freedom of Information Act 
Appeal.''


Sec. 513.67  Fees for Freedom of Information Act requests.

    Fees for copies of records disclosed under the FOIA, including fees 
for a requester's own records, may be charged in accordance with 
Department of Justice regulations contained in 28 CFR 16.10.


Sec. 513.68  Time limits for responses to Freedom of Information Act 
requests.

    Consistent with sound administrative practice and the provisions of 
28 CFR 16.1, the Bureau strives to comply with the time limits set 
forth in the Freedom of Information Act.

[FR Doc. 96-31162 Filed 12-6-96; 8:45 am]
BILLING CODE 4410-05-P