[Federal Register Volume 77, Number 112 (Monday, June 11, 2012)]
[Rules and Regulations]
[Pages 34179-34186]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-14135]



 ========================================================================
 Rules and Regulations
                                                 Federal Register
 ________________________________________________________________________
 
 This section of the FEDERAL REGISTER contains regulatory documents 
 having general applicability and legal effect, most of which are keyed 
 to and codified in the Code of Federal Regulations, which is published 
 under 50 titles pursuant to 44 U.S.C. 1510.
 
 The Code of Federal Regulations is sold by the Superintendent of Documents. 
 Prices of new books are listed in the first FEDERAL REGISTER issue of each 
 week.
 
 ========================================================================
 

  Federal Register / Vol. 77, No. 112 / Monday, June 11, 2012 / Rules 
and Regulations  

[[Page 34179]]



SPECIAL INSPECTOR GENERAL FOR AFGHANISTAN RECONSTRUCTION

5 CFR Chapter LXXXIII

5 Part 9301

RIN 3460-AA00


Freedom of Information Act and Privacy Act Procedures

AGENCY: Special Inspector General for Afghanistan Reconstruction.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: The Special Inspector General for Afghanistan Reconstruction 
is issuing a final rule, revising its regulations establishing 
procedures for the public to obtain information from the Special 
Inspector General for Afghanistan Reconstruction under the Freedom of 
Information Act (FOIA) and the Privacy Act of 1974. These procedures 
will facilitate public interaction with SIGAR.

DATES: This final rule is effective June 11, 2012.

FOR FURTHER INFORMATION CONTACT: Kate Gastner, Public Information 
Manager, at (703) 545-5993, email: [email protected].

SUPPLEMENTARY INFORMATION:

I. Background

    On January 28, 2008, the President signed into law the National 
Defense Authorization Act for Fiscal Year 2008 (Pub. L. 110-181), which 
created the Special Inspector General for Afghanistan Reconstruction 
(SIGAR). In order to establish procedures to facilitate public 
interaction with SIGAR, the agency is issuing final regulations under 
the FOIA and the Privacy Act.

II. The Final Rule

    This final rule establishes procedures for SIGAR necessary to 
implement the FOIA (5 U.S.C. 552) and the Privacy Act (5 U.S.C. 552a). 
The provisions of this subpart shall apply to all components of SIGAR.
    The FOIA provides for the disclosure of agency records and 
information to the public, unless that information is exempted under 
delineated statutory exemptions under the FOIA. The Privacy Act serves 
to safeguard public interest in informational privacy by delineating 
the duties and responsibilities of federal agencies that collect, 
store, and disseminate personal information about individuals. The 
procedures established here are intended to ensure that SIGAR fully 
satisfies its responsibility to the public to disclose agency 
information while simultaneously safeguarding individual privacy.
    The Privacy Act serves to balance the Government's need to maintain 
information about individuals with the rights of individuals to be 
protected against unwarranted invasions of their privacy stemming from 
federal agencies' collection, maintenance, use, and disclosure of 
personal information about them. Agencies are required to issue 
regulations outlining the agency's rules and procedures for 
implementation of the Privacy Act and its provisions within the agency. 
This includes procedures on how individuals may request access to 
information about themselves, request amendment or correction of those 
records, and request an accounting of disclosures of their records by 
SIGAR.

III. Procedural Requirements

    These regulations establish procedures under the FOIA and the 
Privacy Act to facilitate the interaction of the public with SIGAR. 
SIGAR's policy of disclosure follows the Presidential Memorandum of 
January 21, 2009, ``Transparency and Openness,'' 74 FR 4685, and the 
Attorney General's March 19, 2009 FOIA policy guidance, advising 
Federal agencies to apply a presumption of disclosure in FOIA decision 
making. This Final Rule parallels the procedures currently used by 
other agencies to implement the FOIA and the Privacy Act. SIGAR has 
determined that good cause exists to publish these regulations as a 
final rule. These rules establish procedures to facilitate SIGAR's 
interactions with the public and the public's right to gain access to 
information about SIGAR and about themselves that SIGAR maintains. The 
absence of Privacy Act regulations could impair the confidentiality and 
privacy rights of those who submit sensitive information to SIGAR as 
well as the ability of SIGAR to use that information to carry out its 
statutory mission. SIGAR has determined that this rule should be issued 
without a delayed effective date pursuant to 5 U.S.C. 553(d)(3).
    Because no notice of proposed rulemaking is required, the 
provisions of the Regulatory Flexibility Act (5 U.S.C. Chapter 6) do 
not apply. It has been determined that this rulemaking is not a 
significant regulatory action for the purposes of Executive Order 
12866. Accordingly, a regulatory impact analysis is not required.

Analysis of Public Comments and Final Rule

    SIGAR received two comment letters in response to the Interim final 
rule for SIGAR's FOIA and Privacy Act Regulations (77 FR 15555, March 
16, 2012), one from the federal FOIA ombudsman, and one from a 
nonprofit research and advocacy organization. The commenters raised 
several issues regarding the interim final rule, generally seeking 
clarification of procedures and the expansion of online disclosures.
    Regarding section 9301.1, the federal FOIA ombudsman requested 
SIGAR add language clarifying the intersection between FOIA and the 
Privacy Act. SIGAR believes this clarification is useful to the public 
and SIGAR will adopt the suggested language proposed by the ombudsman.
    Regarding section 9301.4, the federal FOIA ombudsman requested 
SIGAR clarify language regarding types of information withheld in 
response to a FOIA request, suggesting SIGAR provide a description of 
its records rather than track the statutory language of the FOIA 
exemptions. SIGAR will eliminate the sentence describing types of 
information withheld to eliminate confusion. Regarding Attorney General 
Holder's FOIA Memorandum, SIGAR's regulations reflect the essence of 
the memo to make discretionary releases under FOIA. SIGAR is mindful of 
its obligation under the memorandum.
    Regarding section 9301.6(b), the federal FOIA ombudsman suggested 
that the FOIA does not require requesters to indicate that his or her 
request is a

[[Page 34180]]

``FOIA Request'' or a ``Request for Records.'' SIGAR agrees this is not 
included in the statue, however indicating the type of request, but 
labeling the request ``FOIA request,'' moves the request through 
SIGAR's mail system expeditiously. Moreover, the use of ``should'' 
indicates that the language is directory, not mandatory. Accordingly, 
SIGAR does not concur with the comments for subsection (b).
    Regarding section 9301.6(c)(i), the federal FOIA ombudsman 
requested SIGAR clarifying that when SIGAR grants a request and 
provides appeal rights, the requester may appeal the adequacy of the 
search. SIGAR will add the language ``to grant the request, either in-
full or in-part'' to clarify.
    Regarding section 9301.6(c)(ii), the federal FOIA ombudsman 
requested SIGAR provide the requester with a brief description of the 
information SIGAR is withholding if it is possible without revealing 
exempt information. They also suggest SIGAR specifically address the 
new requirements in 5 U.S.C. 552 (b) that agencies shall (1) indicate, 
if technically feasible, the amount of information deleted and the 
exemption under which the deletion is made at the place in the record 
where the deletion is made, and (2) indicate the exemption under which 
a deletion is made on the released portion of the record, unless 
including that indication would harm an interest protected by the 
exemption.
    SIGAR agrees with the recommendation and will include the language 
in this section a requirement for providing brief description of 
withheld information when possible. SIGAR will also include the 
language above in subsection c(ii).
    They also suggest SIGAR includes that in its acknowledgment 
letters, SIGAR will provide an individualized tracking number and an 
estimated date of completion. That suggestion is accordance with FOIA, 
5 U.S.C. 552(a)(7)(A) and (B)(ii). They also suggest including a brief 
description of the subject of the request in the acknowledgment letter. 
This would help requesters as well as the agency keep track of multiple 
pending requests. SIGAR agrees with this comment and will add language 
regarding tracking numbers, estimated dates of completion, and 
descriptions of records to 9301.6c.
    They also suggest adding a new subpart to this section to address 
SIGAR's referral and consultation procedures. In regard to referrals, 
SIGAR include in its procedures that it will notify requesters in 
writing of a referral, including the name of the agency to which the 
request has been referred and the part of the request that has been 
referred, and provide the requester with a point of contact within the 
receiving agency to whom the requester can speak regarding the 
referral. SIGAR will add a new subsection c(iii) to address SIGAR's 
referral and consultation procedures.
    Regarding section 9301.6(d)(1), the federal FOIA ombudsman 
requested that SIGAR use the word ``should'' instead of ``shall'' in 
the last sentence of this section. SIGAR agrees with the suggested 
change.
    Regarding section 9301.6(d)(2), the federal FOIA ombudsman 
requested SIGAR revise the first sentence of this section by deleting 
the word ``ordinarily.'' SIGAR agrees and will remove.
    They also suggests that SIGAR add a new subpart to this section to 
include language in accordance with the 2007 amendments to FOIA (5 
U.S.C. 552 (h)(3)) that SIGAR will work with the Office of Government 
Information Services (OGIS) to resolve disputes between FOIA requesters 
and SIGAR as a non-exclusive alternative to litigation. OGIS suggests 
that SIGAR, in its final appeal determinations, alert FOIA requesters 
to OGIS's services, as recommended by the Department of Justice's 
Office of Information Policy. Specifically, they suggest the following 
language:

    A response to an appeal will advise the requester that the 2007 
FOIA amendments created the Office of Government Information 
Services (OGIS) to offer mediation services to resolve disputes 
between FOIA requesters and Federal agencies as a non-exclusive 
alternative to litigation. A requester may contact OGIS in any of 
the following ways: Office of Government Information Services, 
National Archives and Records Administration, 8601 Adelphi Road, 
College Park, MD 20740, Email: [email protected], Telephone: 202-741-
5770, Facsimile: 202-741-5769, Toll-free: 1-877-684-6448.

    The nonprofit research and advocacy organization also requested 
that SIGAR's regulations include notifying requests of the services 
offered by the Office of Government Information Services (OGIS, 
including mediation as an alternative to litigation. SIGAR agrees with 
the suggested section and proposed language. SIGAR will amend its 
regulations and add subpart 9301.6c(3) for Mediation.
    Regarding section 9301.7, the federal FOIA ombudsman requested 
adding several terms, including fee category and fee waiver, to the 
list of definitions.

    Fee category means one of the three categories that agencies 
place requesters in for the purpose of determining whether a 
requester will be charged fees for search, review and duplication.
    Fee waiver means the waiver or reduction of processing fees if a 
requester can demonstrate that certain statutory standards are 
satisfied.

    SIGAR agrees with the suggested additions. Regarding section 
9301.8, the federal FOIA ombudsman requested SIGAR rework the language 
to reflect statutory language found in 5 U.S.C. 552(a)(6)(A)(I) to 
describe the tolling process for agencies. SIGAR will remove the 
unclear language, but the intent of the language in this section was 
not to incorporate 5 U.S.C. 552 (a)(6)(A)(ii)(I).
    They also suggested SIGAR provide requesters with an estimated 
amount of fees, including a breakdown of the fees for search, review 
and/or duplication. SIGAR will add language reflecting the concerns 
above.
    Regarding section 9301.10, the federal FOIA ombudsman requested 
SIGAR insert a time frame associated with deciding if multiple requests 
should be aggregated. SIGAR will include language regarding time 
frames.
    Regarding section 9301.11, the federal FOIA ombudsman requested 
SIGAR add a new subpart to this section to include the waiver of fees 
generally ``as a matter of administrative discretion.'' SIGAR will 
include the language suggested.
    The nonprofit research and advocacy organization requested that 
SIGAR adopt a policy to (a) proactively disclose information to the 
greatest extent possible and (b) post online responses to all FOIA 
requests, excluding those made jointly under the Privacy Act.
    SIGAR agrees and will add language to 9301.4 to include proactive 
disclosure. SIGAR is currently researching how the agency can implement 
more online posting of FOIA responses.

List of Subjects in 5 CFR Part 9301

    Administrative practice and procedure, Freedom of information, 
Privacy.

    Accordingly, the interim rule amending 5 CFR Chapter LXXXIII part 
9301 which was published at 77 FR 15555 on March 16, 2012, is adopted 
as a final rule with the following change:

TITLE 5--ADMINISTRATIVE PERSONNEL

CHAPTER LXXXIII--SPECIAL INSPECTOR GENERAL FOR AFGHANISTAN 
RECONSTRUCTION

0
1. Part 9301 is revised to read as follows:

PART 9301--DISCLOSURE OF RECORDS AND INFORMATION

[[Page 34181]]

Sec.
Subpart A--Freedom of Information Act

Production or Disclosure of Materials or Information

9301.1 In general.
9301.2 Authority and functions.
9301.3 Organization.
9301.4 Availability of records.
9301.5 Accessing records without request.
9301.6 Requesting records.
9301.7 Definitions.
9301.8 Fees in general.
9301.9 Fees for categories of requesters.
9301.10 Other charges.
9301.11 Payment and waiver.
Subpart B--Privacy Act
9301.12 Purpose and scope.
9301.13 Rules for determining if an individual is the subject of a 
record.
9301.14 Requests for access.
9301.15 Access to the accounting of disclosures from records.
9301.16 Requests for copies of records.
9301.17 Requests to amend records.
9301.18 Request for review.
9301.19 Schedule of fees.

Subpart A--Freedom of Information Act

    Authority:  5 U.S.C. 552; Pub. L. No. 110-175, 121 Stat. 2524 
(2007); 5 U.S.C. 301 and 552; Exec. Order 12600, 52 FR 23781, 3 CFR, 
1987 Comp., p. 235; Exec. Order No. 13392, 70 FR 75373-75377, 3 CFR, 
2006 Comp., pp. 216-200.

Procedures for Disclosure of Records Under the Freedom of Information 
Act


Sec.  9301.1  In general.

    This information is furnished for the guidance of the public and in 
compliance with the requirements of the Freedom of Information Act 
(FOIA), 5 U.S.C. 552, as amended. This subpart should be read in 
conjunction with the FOIA.


Sec.  9301.2  Authority and functions.

    Section 1229 of the National Defense Authorization Act for Fiscal 
Year 2008, Public Law 110-181, established the Special Inspector 
General for Afghanistan Reconstruction (SIGAR). SIGAR's mission under 
Sections 1229 and 842 of Public Law 110-181, is to provide independent 
oversight of the treatment, handling, and expenditure of funds 
appropriated or otherwise made available for the reconstruction of 
Afghanistan; detect and deter fraud, waste, and abuse of U.S. funds; 
and promote actions to increase program economy, efficiency, and 
effectiveness.


Sec.  9301.3  Organization.

    SIGAR maintains its headquarters in Arlington, Virginia, and field 
offices in Kabul and elsewhere in Afghanistan.

Procedures


Sec.  9301.4  Availability of records.

    SIGAR's publicly accessible records are available through SIGAR's 
Electronic Reading Room on its Web site. SIGAR also provides records to 
individual requesters in response to FOIA requests. SIGAR generally 
withholds predecisional, deliberative documents, investigatory 
materials and sensitive policy documents under 5 U.S.C. 552(b).


Sec.  9301.5  Accessing records without request.

    Certain SIGAR records, including the agency's Quarterly Report, 
audit reports, testimony, oversight plans, press releases and other 
public issuances, are available electronically from SIGAR's homepage at 
http://www.sigar.mil. SIGAR encourages requesters to visit its Web site 
before making a request for records under Sec.  9301.6.


Sec.  9301.6  Requesting records.

    (a) Written requests required. For records not available as 
described under Sec.  9301.5, requesters wishing to obtain information 
from SIGAR should submit a written request to SIGAR's FOIA Officer. 
Requests should be addressed to FOIA Officer, Office of the Special 
Inspector General for Afghanistan Reconstruction, 2530 Crystal Drive, 
Arlington, VA 22202. As there may be delays in mail delivery, it is 
advisable to send the request via facsimile to (703) 601-3804 or by 
email to [email protected].
    (b) Contents of requests. Requests should be as specific as 
possible and should reasonably specify the records sought so that the 
records can be located with a reasonable amount of effort. The request 
should identify the desired record or describe it, and include 
information such as the date, title or name, author, recipient, and 
subject matter of the record, where possible. The request should also 
include a statement of the requester's willingness to pay fees, or 
request a fee waiver. The words ``FOIA REQUEST'' or ``REQUEST FOR 
RECORDS'' should be clearly marked on the cover letter, letter, and/or 
envelope.
    (c) Response to requests--(1) Processing. The FOIA Officer shall 
determine within 20 days (except Saturdays, Sundays, and federal 
holidays) after receiving a request for records, whether it is 
appropriate to grant or deny the request. The 20-day period may be 
tolled once if the FOIA Officer requests information from the requestor 
or if additional time is necessary to clarify issues with the requestor 
regarding a fee assessment.
    (i) Request granted. If the FOIA Officer decides to grant the 
request, the FOIA Officer shall promptly provide the requester written 
notice of the decision. The FOIA Officer shall include with the notice 
both the requested records and a copy of the decision. The notice shall 
also describe the procedure for filing an appeal.
    (ii) Request denied. If the FOIA Officer denies the request, in 
full or part, the FOIA Officer shall provide the requester written 
notice of the denial together with the approximate number of pages of 
information withheld and the exemption under which the information was 
withheld. The notice shall also describe the procedure for filing an 
appeal.
    (2)(i) Expedited processing. At the time a requester submits an 
initial request for records the requester may ask the FOIA Officer in 
writing to expedite processing of the request. The request for 
expedited processing must be accompanied by a written statement, which 
shall state that it is true and correct to the best of the requester's 
knowledge and belief, explaining why expedited processing is warranted. 
The FOIA Officer shall generally grant requests for expedited 
processing of requests for records, and appeals of denials under 
paragraph (d)(2) of this section, whenever the FOIA Officer determines 
that:
    (A) Failure to obtain the requested records on an expedited basis 
could reasonably pose a threat to a person's life or physical safety; 
or
    (B) With respect to a request made by a person primarily engaged in 
disseminating information, there is an urgency to inform the public 
about Government activity that is the specific subject of the FOIA 
request.
    (ii) The FOIA Officer shall ordinarily decide within ten calendar 
days after receiving a request for expedited processing whether to 
grant it and shall notify the requester of the decision. If the FOIA 
Officer grants a request for expedited processing, the FOIA Officer 
shall process the request as soon as practicable. If the FOIA Officer 
denies a request for expedited processing, SIGAR shall act 
expeditiously on any appeal of that denial.
    (3) Extension for unusual circumstances--(i) In general. If the 
FOIA Officer determines that unusual circumstances exist, the FOIA 
Officer may extend for no more than ten days (except Saturdays, Sundays 
and Federal holidays) the time limits described in paragraph (c)(1) of 
this section by providing written notice of the

[[Page 34182]]

extension to the requester. The FOIA Officer shall include with the 
notice a brief statement of the reason for the extension and the date 
the FOIA Officer expects to make the determination.
    (ii) Additional procedures. The FOIA Officer shall provide written 
notice to the requester if the FOIA Officer decides that the 
determination cannot be made within the time limit described in 
paragraph (c)(3)(i) of this section. The notice shall afford the 
requester an opportunity to limit the scope of the request to the 
extent necessary for the FOIA Officer to process it within that time 
limit or an opportunity to arrange a longer period for processing the 
request.
    (d) Appeals--(1) Initiating appeals. Requesters not satisfied with 
the FOIA Officer's written decision may request SIGAR's FOIA Appellate 
Authority to review the decision. Appeals must be delivered in writing 
within 60 days of the date of the decision and shall be addressed to 
the FOIA Appellate Authority, Office of Privacy, Records & Disclosure, 
Special Inspector General for Afghanistan Reconstruction, 2530 Crystal 
Drive, Arlington, VA 22202. As there may be delays in mail delivery, it 
is advisable to FAX appeals to (703) 601-3804 or email to 
[email protected]. An appeal shall include a 
statement specifying the records that are the subject of the appeal and 
explaining why the Appellate Authority should grant the appeal.
    (2) Appeal decisions. The Appellate Authority shall ordinarily 
decide the appeal within 20 days (except Saturdays, Sundays and federal 
holidays) from the date it receives the appeal. If the Appellate 
Authority denies the appeal in full or part, the Appellate Authority 
shall promptly notify the requester in writing of the Appellate 
Authority's decision and the provisions for judicial review. If the 
Appellate Authority grants the appeal, the FOIA Officer shall notify 
the requester in writing and shall make available to the requester 
copies of the releasable records once the requester pays any fees that 
SIGAR assesses under Sec. Sec.  9301.8 through 9301.10.

Costs


Sec.  9301.7  Definitions.

    For purposes of this subpart:
    (a) Commercial use request means a request from or on behalf of a 
person who seeks information for a use or purpose that furthers the 
requester's or other person's commercial, trade, or profit interests.
    (b) Direct costs means those costs incurred in searching for and 
duplicating (and, in the case of commercial use requests, reviewing) 
documents to respond to a FOIA request. Direct costs include, for 
example, salaries of employees who perform the work and costs of 
conducting large-scale computer searches.
    (c) Duplicate means to copy records to respond to a FOIA request. 
Copies can take the form of paper, audio-visual materials, or 
electronic records, among others.
    (d) Educational institution means a preschool, a public or private 
elementary or secondary school, an institution of graduate higher 
education, an institution of undergraduate higher education, an 
institution of professional education, and an institution of vocational 
education, that operates a program or programs of scholarly research.
    (e) Non-commercial scientific institution means an institution that 
is not operated on a commercial basis and that operates solely for the 
purpose of conducting scientific research the results of which are not 
intended to promote any particular product or industry.
    (f) Representative of the news media means any person or entity 
that gathers information of potential interest to a segment of the 
public, uses its editorial skills to turn the raw materials into a 
distinct work, and distributes that work to an audience.
    (g) Review means to examine a record to determine whether any 
portion of the record may be withheld and to process a record for 
disclosure, including by redacting it.
    (h) Search for means look for and retrieve records covered by a 
FOIA request, including by looking page-by-page or line-by-line to 
identify responsive material within individual records.


Sec.  9301.8  Fees in general.

    SIGAR shall charge reasonable fees that recoup the full allowable 
direct costs it incurs in responding to FOIA requests. SIGAR may assess 
charges for time spent searching for records even if SIGAR is unable to 
locate the records or if the records are located and determined to be 
exempt from disclosure. In general, SIGAR shall apply the following fee 
schedule, subject to Sec. Sec.  9301.9 through 9301.11:
    (a) Manual searches. Time devoted to manual searches shall be 
charged on the basis of the salary of the employee(s) conducting the 
search (basic hourly rate(s) of pay for the employee).
    (b) Electronic searches. Fees shall reflect the direct cost of 
conducting the search. This will include the cost of operating the 
central processing unit for that portion of operating time that is 
directly attributable to searching for and printing records responsive 
to the FOIA request and operator/programmer salary attributable to the 
search.
    (c) Record reviews. Time devoted to reviewing records shall be 
charged on the same basis as under paragraph (a) of this section, but 
shall only be applicable to the initial review of records located in 
response to commercial use requests.
    (d) Duplication. Fees for copying paper records or for printing 
electronic records shall be assessed at a rate of $.10 per page. For 
other types of copies such as disks or audio visual tapes, SIGAR shall 
charge the direct cost of producing the document(s). If duplication 
charges are expected to exceed $25, the FOIA Officer shall notify the 
requester, unless the requester has indicated in advance a willingness 
to pay fees as high as those anticipated. If a requester wishes to 
limit costs, the FOIA Officer shall provide the requester an 
opportunity to reformulate the request in order to reduce costs. If the 
requester reformulates a request, it shall be considered a new request 
and the 20-day period described in Sec.  9301.6(c)(1) shall be deemed 
to begin when the FOIA Officer receives the revised request.
    (e) Advance payments required. (1) The FOIA Officer may require a 
requester to make an advance deposit of up to the amount of the entire 
anticipated fee before the FOIA Officer begins to process the request 
if:
    (i) The FOIA Officer estimates that the fee will exceed $250; or
    (2) The requester has previously failed to pay a fee in a timely 
fashion.
    (ii) When the FOIA Officer requires a requester to make an advance 
payment, the 20-day period described in Sec.  9301.6(c)(1) shall begin 
when the FOIA Officer receives the payment.
    (f) No assessment of fee. SIGAR shall not charge a fee to any 
requester if:
    (1) The cost of collecting the fee would be equal to or greater 
than the fee itself; or
    (2) SIGAR fails to comply with any time limit under the FOIA for 
responding to a request for records where no unusual or exceptional 
circumstances apply.


Sec.  9301.9   Fees for categories of requesters.

    SIGAR shall assess fees for certain categories of requesters as 
follows:
    (a) Commercial use requesters. In responding to commercial use 
requests, SIGAR shall assess fees that recover the full direct costs of 
searching for, reviewing and duplicating records.

[[Page 34183]]

    (b) Educational institutions. SIGAR shall provide records to 
requesters in this category for the cost of duplication alone, 
excluding charges for the first 100 pages. To qualify for inclusion in 
this fee category, a requester must show that the request is authorized 
by and is made under the auspices of a qualifying institution and that 
the records are sought to further scholarly research, not an individual 
goal.
    (c) Representatives of the news media. SIGAR shall provide records 
to requesters in this category for the cost of duplication alone, 
excluding charges for the first 100 pages.
    (d) All other requesters. SIGAR shall charge requesters who do not 
fall within paragraphs (a) through (c) of this section fees that 
recover the full direct cost of searching for and duplicating records, 
excluding charges for the first 100 pages of reproduction and the first 
two hours of search time.


Sec.  9301.10  Other charges.

    SIGAR may apply other charges, including the following:
    (a) Special charges. SIGAR shall recover the full cost of providing 
special services, such as sending records by an overnight delivery 
service, to the extent that SIGAR elects to provide them.
    (b) Interest charges. SIGAR may begin assessing interest charges on 
an unpaid bill starting on the 31st day following the day on which the 
FOIA Officer sent the billing. Interest shall be charged at the rate 
prescribed in 31 U.S.C. 3717 and will accrue from the date of billing.
    (c) Aggregating requests. When the FOIA Officer reasonably believes 
that a requester or a group of requesters acting in concert is 
attempting to divide a request into a series of requests for the 
purpose of avoiding fees, the FOIA Officer shall aggregate those 
requests and charge accordingly.


Sec.  9301.11  Payment and waiver.

    (a) Remittances. Payment shall be made in the form of check or 
money order made payable to the Treasury of the United States. At the 
time the FOIA Officer notifies a requestor of the applicable fees, the 
Officer shall inform the requestor of where to send the payment.
    (b) Waiver. SIGAR may waive all or part of any fee provided for in 
Sec. Sec.  9301.8 through 9301.9 when the FOIA Officer deems that 
disclosure of the information is in the general public's interest 
because it is likely to contribute significantly to public 
understanding of the operations or activities of the Government and is 
not primarily in the commercial interest of the requester. Requesters 
may request a waiver in their initial FOIA request letter. Requests for 
a fee waiver should explain how the information requested contributes 
to the public's understanding of the operations or activities of the 
government. In determining whether a fee should be waived, the FOIA 
Officer may consider whether:
    (1) The subject matter specifically concerns identifiable 
operations or activities of the government;
    (2) The information is already in the public domain;
    (3) Disclosure of the information would contribute to the 
understanding of the public-at-large as opposed to a narrow segment of 
the population;
    (4) Disclosure of the information would significantly enhance the 
public's understanding of the subject matter;
    (5) Disclosure of the information would further a commercial 
interest of the requester; and
    (6) The public's interest is greater than any commercial interest 
of the requester.

Subpart B--Privacy Act

    Authority: Privacy Act of 1974, Pub. L. No. 93-579, 88 Stat. 
1896, codified at 5 U.S.C. 552a(f) (agency rules).


Sec.  9301.12  Purpose and scope.

    The purpose of this subpart is to provide certain safeguards for an 
individual against the invasion of his or her personal privacy by 
SIGAR. This subpart is promulgated pursuant to the requirements 
applicable to all federal agencies contained in 5 U.S.C. 552a(f).


Sec.  9301.13  Rules for determining if an individual is the subject of 
a record.

    (a) Individuals desiring to know if a specific system of records 
maintained by SIGAR contains a record pertaining to them should address 
their inquiries to the Privacy Officer, Special Inspector General for 
Afghanistan Reconstruction, 2530 Crystal Drive, Arlington, VA 22202. As 
there may be delays in mail delivery, it is advisable to send the 
request via facsimile to (703) 601-3804 or by email to 
[email protected]. The written inquiry 
should contain a specific reference to the system of records maintained 
by the SIGAR listed in the SIGAR Notice of Systems of Records, or it 
should describe the type of record in sufficient detail reasonably to 
identify the system of records. Notice of SIGAR systems of records 
subject to the Privacy Act will be published in the Federal Register, 
posted on the SIGAR public facing Web site, and copies of the notices 
will be available upon request to the Privacy Officer when so 
published. A compilation of such notices will also be made and 
published by the Office of the Federal Register, in accordance with 5 
U.S.C. 552a(f).
    (b) At a minimum, the request should contain sufficient identifying 
information to allow SIGAR to determine if there is a record pertaining 
to the individual making the request in a particular system of records. 
In instances when the requester's identification is insufficient to 
ensure disclosure to the individual to whom the information pertains in 
view of the sensitivity of the information, SIGAR reserves the right to 
solicit from the person requesting access to a record additional 
identifying information.
    (c) Ordinarily the person requesting will be informed whether the 
named system of records contains a record pertaining to such person 
within 10 days of such a request (excluding Saturdays, Sundays and 
legal Federal holidays). Such a response will also contain or reference 
the procedures which must be followed by the individual making the 
request in order to gain access to the record.
    (d) Whenever a response cannot be made within the 10 days, the 
Privacy Officer will inform the person making the request the reasons 
for the delay and the date on which a response may be anticipated.


Sec.  9301.14  Requests for access.

    (a) Requirement for written requests. An individual desiring to 
gain access to a record pertaining to him or her in a system of records 
maintained by SIGAR must submit his or her request in writing in 
accordance with the procedures set forth in paragraph (b) of this 
section. Individuals employed by the SIGAR may make their requests on a 
regularly scheduled workday (Monday through Friday, excluding legal 
Federal holidays) between the hours of 9:00 a.m. and 5:30 p.m. Such 
requests for access by individuals employed by SIGAR need not be made 
in writing.
    (b) Procedures--(1) Content of the request. The request for access 
to a record in a system of records shall be addressed to the Privacy 
Officer at the address cited above, and shall name the system of 
records or contain a concise description of such system of records. The 
request should state that the request is pursuant to the Privacy Act of 
1974. In the absence of such a statement, if the request is for a 
record pertaining to the person requesting access which is maintained 
by SIGAR in a system of records, the request will be considered under 
both the Privacy Act of 1974 and the Freedom of Information Act, 
depending on which would allow

[[Page 34184]]

greater access to the records requested. The request should contain 
necessary information to verify the identity of the person requesting 
access (see paragraph (b)(2)(vi) of this section). In addition, such 
person should include any other information which may assist in the 
rapid identification of the record for which access is being requested 
(e.g., maiden name, dates of employment, etc.) as well as any other 
identifying information contained in and required by the SIGAR Notice 
of Systems of Records.
    (i) If the request for access follows a prior request under Sec.  
9301.1, the same identifying information need not be included in the 
request for access if a reference is made to that prior correspondence 
or a copy of the SIGAR response to that request is attached. If the 
individual specifically desires a copy of the record, the request 
should so specify under Sec.  9301.4.
    (ii) [Reserved]
    (2) SIGAR action on request. A request for access will ordinarily 
be answered within 10 days, except when the Privacy Officer determines 
otherwise, in which case the person making the request will be informed 
of the reasons for the delay and an estimated date by which the request 
will be answered. When the request can be answered within 10 days, it 
shall include the following:
    (i) A statement that there is a record as requested or a statement 
that there is not a record in the systems of records maintained by 
SIGAR;
    (ii) A statement as to whether access will be granted only by 
providing a copy of the record through the mail; or the address of the 
location and the date and time at which the record may be examined. In 
the event the person requesting access is unable to meet the specified 
date and time, alternative arrangements may be made with the Privacy 
Officer;
    (iii) A statement, when appropriate, that examination in person 
will be the sole means of granting access only when the Privacy Officer 
has determined that it would not unduly impede the right of access of 
the person making the request.
    (iv) The amount of fees charged, if any (see Sec. Sec.  9301.6 and 
9301.7). (Fees are applicable only to requests for copies);
    (v) The name, title, and telephone number of the SIGAR official 
having operational control over the record; and
    (vi) The documentation required by SIGAR to verify the identity of 
the person making the request. At a minimum, SIGAR verification 
standards include the following:
    (A) Current or former SIGAR Employees. Current or former SIGAR 
employees requesting access to a record pertaining to them in a system 
of records maintained by SIGAR may, in addition to the other 
requirements of this section, and at the sole discretion of the 
official having operational control over the record, have his or her 
identity verified by visual observation. If the current or former SIGAR 
employee cannot be so identified by the official having operational 
control over the records, identification documentation will be 
required. The employee's common access card, annuitant identification, 
driver licenses, or the ``employee copy'' of any official personnel 
document in the record are examples of acceptable identification 
validation.
    (B) Other than current or former SIGAR employees. Individuals other 
than current or former SIGAR employees requesting access to a record 
pertaining to them in a system of records maintained by SIGAR must 
produce identification documentation of the type described in paragraph 
(b)(2)(vi)(A) of this section, prior to being granted access. The 
extent of the identification documentation required will depend on the 
type of record for which access is requested. In most cases, 
identification verification will be accomplished by the presentation of 
two forms of identification. Any additional requirements will be 
specified in the system of records notices published by SIGAR pursuant 
to 5 U.S.C. 552a(e)(4).
    (C) Access granted by mail. For records to be made accessible by 
mail, the Privacy Officer shall, to the extent possible, establish 
identity by a comparison of signatures in situations where the data in 
the record is not so sensitive that unauthorized access could cause 
harm or embarrassment to the individual to whom they pertain. No 
identification documentation will be required for the disclosure to a 
person making a request of information under the FOIA, 5 U.S.C. 552. 
When, in the opinion of the Privacy Officer the granting of access 
through the mail could reasonably be expected to result in harm or 
embarrassment if disclosed to a person other than the individual to 
whom the record pertains, a notarized statement of identity or some 
similar assurance of identity will be required.
    (D) Unavailability of identification documentation. If an 
individual is unable to produce adequate identification documentation 
the individual will be required to sign a statement asserting identity 
and acknowledging that knowingly or willfully seeking or obtaining 
access to records about another person under false pretenses may result 
in a fine of up to $5,000. In addition, depending upon the sensitivity 
of the records to which access is sought, the official having 
operational control over the records may require such further 
reasonable assurances as may be considered appropriate; e.g., 
statements of other individuals who can attest to the identity of the 
person making the request.
    (E) Access by the parent of a minor, or by a legal guardian. A 
parent of a minor, upon presenting suitable personal identification, 
may act on behalf of the minor to gain access to any record pertaining 
to the minor maintained by SIGAR in a system of records. A legal 
guardian may similarly act on behalf of an individual declared to be 
incompetent due to physical or mental incapacity or age by a court of 
competent jurisdiction, upon the presentation of the documents 
authorizing the legal guardian to so act, and upon suitable personal 
identification of the guardian.
    (F) Granting access when accompanied by another individual. When an 
individual requesting access to his or her record in a system of 
records maintained by SIGAR wishes to be accompanied by another 
individual during the course of the examination of the record, the 
individual making the request shall submit to the official having 
operational control of the record, a signed statement authorizing that 
person access to the record.
    (G) Granting access to individuals other than the subject of the 
record. SIGAR will not disclose any record which is contained in a 
system of records by any means of communication to any person, or to 
another agency, except pursuant to a written request by, or with the 
prior written consent of, the individual to whom the record pertains, 
pursuant to the Privacy Act of 1974.
    (H) Denial of access for inadequate identification documentation. 
If the official having operation control over the records in a system 
of records maintained by SIGAR determines that an individual seeking 
access has not provided sufficient identification documentation to 
permit access, the official shall consult with the Privacy Officer 
prior to finally denying the individual access.
    (vii) Medical records. The records in a system of records which are 
medical records shall be disclosed to the individual to whom they 
pertain in such manner and following such procedures as the Privacy 
Officer shall direct. When SIGAR in consultation with a physician, 
determines that the disclosure of medical information could have an 
adverse effect upon the individual to

[[Page 34185]]

whom it pertains, SIGAR may transmit such information to a physician 
named by the individual.
    (viii) Exceptions. Nothing in this section shall be construed to 
entitle an individual the right to access to any information compiled 
in reasonable anticipation of litigation.


Sec.  9301.15  Access to the accounting of disclosures from records.

    Rules governing the granting of access to the accounting of 
disclosures are the same as those for granting access to the records 
(including verification of identity) outlined in Sec.  9301.14.


Sec.  9301.16  Requests for copies of records.

    Rules governing requests for copies of records are the same as 
those for the granting of access to the records (including verification 
of identity) outlined in Sec.  9301.14. (See also Sec.  9301.19 for 
rules regarding fees.)


Sec.  9301.17  Requests to amend records.

    (a) Requirement for written requests. Individuals desiring to amend 
a record that pertains to them in a system of records maintained by 
SIGAR must submit their request in writing in accordance with the 
procedures set forth herein unless this requirement is waived by the 
official having responsibility for the system of records. Records not 
subject to the Privacy Act of 1974 will not be amended in accordance 
with these provisions. However, individuals who believe that such 
records are inaccurate may bring this to the attention of SIGAR.
    (b) Procedures. (1)(i) The request to amend a record in a system of 
records shall be addressed to the Privacy Officer. Included in the 
request shall be the name of the system and a brief description of the 
record proposed for amendment. In the event the request to amend the 
record is the result of the individual's having gained access to the 
record in accordance with the provisions concerning access to records 
as set forth in this paragraph, copies of previous correspondence 
between the individual and SIGAR will serve in lieu of a separate 
description of the record.
    (ii) When the individual's identity has been previously verified 
pursuant to Sec.  9301.14(b)(2)(vi), further verification of identity 
is not required as long as the communication does not suggest that a 
need for verification has reappeared. If the individual's identity has 
not been previously verified, SIGAR may require identification 
validation as described in Sec.  9301.14(b)(2)(vi). Individuals 
desiring assistance in the preparation of a request to amend a record 
should contact the Privacy Officer at the address cited above.
    (iii) The exact portion of the record the individual seeks to have 
amended should be clearly indicated. If possible, the desired proposed 
alternative language should also be set forth, or at a minimum, the 
facts which the individual believes are not accurate, relevant, timely, 
or complete should be set forth with such particularity as to permit 
SIGAR to understand the basis for the request and to make an 
appropriate amendment to the record.
    (iv) The request should also set forth the reasons why the 
individual believes his record is not accurate, relevant, timely, or 
complete. In order to avoid the retention by SIGAR of personal 
information merely to permit verification of records, the burden of 
persuading SIGAR to amend a record will be upon the individual. The 
individual must furnish sufficient facts or credible documentation to 
persuade the official in charge of the system of the inaccuracy, 
irrelevancy, untimeliness, or incompleteness of the record.
    (2) SIGAR action on the request. To the extent possible, a decision 
upon a request to amend a record will be made within 10 days, excluding 
Saturdays, Sundays and legal Federal holidays. In the event a decision 
cannot be made within this time frame, the individual making the 
request will be informed within 10 days of the expected date for a 
decision. The decision upon a request for amendment will include the 
following:
    (i) The decision of SIGAR whether to grant in whole, or deny any 
part of the request to amend the record.
    (ii) The reasons for the determination for any portion of the 
request which is denied.
    (iii) The name and address of the official with whom an appeal of 
the denial may be lodged.
    (iv) The name and address of the official designated to assist, as 
necessary, and upon request of, the individual making the request in 
the preparation of the appeal.
    (v) A description of the review of the appeal within SIGAR (see 
Sec.  9301.18).
    (vi) A description of any other procedures which may be required of 
the individual in order to process the appeal.


Sec.  9301.18  Request for review.

    (a) Individuals wishing to request a review of the decision by 
SIGAR with regard to an initial request to amend a record in accordance 
with the provisions of Sec.  9301.17, should submit the request for 
review in writing and, to the extent possible, include the information 
specified in Sec.  9301.17(a). Individuals desiring assistance in the 
preparation of their request for review should contact the Privacy 
Officer at the address provided herein.
    (b) The request for review should contain a brief description of 
the record involved or in lieu thereof, copies of the correspondence 
from SIGAR in which the request to amend was denied, and also should 
state the reasons why the individual believes that the disputed 
information should be amended. The request for review should make 
reference to the information furnished by the individual in support of 
his claim and the reasons, as required by Sec.  9301.17, set forth by 
SIGAR in its decision denying the amendment. In order to avoid the 
unnecessary retention of personal information, SIGAR reserves the right 
to dispose of the material concerning the request to amend a record if 
no request for review in accordance with this section is received by 
SIGAR within 180 days of the mailing by SIGAR of its decision upon an 
initial request. A request for review received after the 180 day period 
may, at the discretion of the Privacy Officer, be treated as an initial 
request to amend a record.
    (c) The request for review should be addressed to the Appellate 
Authority, Office of the Special Inspector General for Afghanistan 
Reconstruction, 2530 Crystal Drive, Arlington, VA 22202. As there may 
be delays in mail delivery, it is advisable to send the request via 
facsimile to (703) 601-3804 or by email to [email protected].
    (d) Final determinations on requests for reviews within SIGAR will 
be made by the Appellate Authority. Additional information may be 
requested by the Appellate Authority from the person requesting a 
review if necessary to make a determination.
    (e) The Appellate Authority will inform the person making the 
request in writing of the decision on the request for review within 30 
days (excluding Saturdays, Sundays and legal Federal holidays) from the 
date of receipt by SIGAR of the individual's request for review, unless 
the Appellate Authority extends the 30 day period for good cause. The 
extension and the reasons therefore will be sent by SIGAR to the 
individual within the initial 30 day period. Included in the notice of 
a decision being reviewed, if the decision does not grant in full the 
request for review, will be a description of the steps the individual 
may take to obtain judicial review of such a decision, and a statement 
that the individual may file a concise statement with SIGAR setting 
forth the individual's reasons for his disagreement with the decision 
upon

[[Page 34186]]

the request for review. The SIGAR Privacy Officer has the authority to 
determine the ``conciseness'' of the statement, taking into account the 
scope of the disagreement and the complexity of the issues. Upon the 
filing of a proper concise statement by the individual, any subsequent 
disclosure of the information in dispute will have the information in 
dispute clearly noted and a copy of the concise statement furnished, 
setting forth its reasons for not making the requested changes, if 
SIGAR chooses to file such a statement. A copy of the individual's 
statement, and if it chooses, SIGAR's statement, will be sent to any 
prior transferee of the disputed information who is listed on the 
accounting required by 5 U.S.C. 552a(c).


Sec.  9301.19  Schedule of fees.

    (a) Prohibitions against charging fees. Individuals will not be 
charged for:
    (1) The search and review of the record;
    (2) Any copies of the record produced as a necessary part of the 
process of making the record available for access; or
    (3) Any copies of the requested record when it has been determined 
that access can only be accomplished by providing a copy of the record 
through the mail.
    (b) Waiver. The Privacy Officer may, at no charge, provide copies 
of a record if it is determined that the production of the copies is in 
the interest of the Government.
    (c) Fee schedule and method of payment. Fees will be charged as 
provided below except as provided in paragraphs (a) and (b) of this 
section.
    (1) Duplication of records. Records will be duplicated at a rate of 
$.10 per page for copying of 4 pages or more. There is no charge for 
copying fewer pages.
    (2) Where it is anticipated that the fees chargeable under this 
section will amount to more than $25, the person making the request 
shall be notified of the amount of the anticipated fee or such portion 
thereof as can readily be estimated. In instances where the estimated 
fees will greatly exceed $25, an advance deposit may be required. The 
notice or request for an advance deposit shall extend an offer to the 
person requesting to consult with the Privacy Officer in order to 
reformulate the request in a manner which will reduce the fees, yet 
still meet the needs of individuals making the request.
    (3) Fees must be paid in full prior to issuance of requested 
copies. In the event the person requesting is in arrears for previous 
requests copies will not be provided for any subsequent request until 
the arrears have been paid in full.
    (4) Remittances shall be in the form either of a personal check or 
bank draft drawn on a bank in the United States, or a postal money 
order. Remittances shall be made payable to the order of the Treasury 
of the United States and mailed or delivered to the Privacy Officer, 
Office of the Special Inspector General for Afghanistan Reconstruction, 
2530 Crystal Drive, Arlington, VA 22202.
    (5) A receipt for fees paid will be given upon request.

    Dated: June 6, 2012.
Steven J. Trent,
Acting Inspector General, Special Inspector General for Afghanistan 
Reconstruction.
[FR Doc. 2012-14135 Filed 6-8-12; 8:45 am]
BILLING CODE 3710-L9-P