[Federal Register Volume 66, Number 248 (Thursday, December 27, 2001)]
[Rules and Regulations]
[Pages 66714-66718]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-31533]
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DEFENSE NUCLEAR FACILITIES SAFETY BOARD
10 CFR Part 1707
Testimony by DNFSB Employees and Production of Official Records
in Legal Proceedings
AGENCY: Defense Nuclear Facilities Safety Board (DNFSB).
ACTION: Final rule.
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SUMMARY: The Defense Nuclear Facilities Safety Board (DNFSB) is
implementing procedures governing testimony by DNFSB employees and the
production of official records in legal proceedings. This rule sets
forth procedures that requesters must follow when making demands or
requests to a DNFSB employee to produce official records or information
or to provide testimony relating to official information in connection
with a legal proceeding in which the DNFSB is not a party. This rule
establishes procedures to respond to such demands and requests in an
orderly and consistent manner. This rule, among other benefits,
promotes uniformity in decisions, protects confidential information,
provides guidance to requesters, and reduces the potential for both
inappropriate disclosures of official information and wasteful
allocation of agency resources.
EFFECTIVE DATE: January 28, 2002.
FOR FURTHER INFORMATION CONTACT: Richard A. Azzaro, General Counsel,
Defense Nuclear Facilities Safety Board, 625 Indiana Avenue, NW., Suite
700, Washington, DC 20004-2901, telephone: 202-694-7062; FAX: 202-208-
6518.
SUPPLEMENTARY INFORMATION:
Background
On November 14, 2001, DNFSB published in the Federal Register a
notice of proposed rulemaking proposing to establish procedures
governing testimony by DNFSB employees and the production of official
records in legal proceedings to which DNFSB is not a party (66 FR
57003-57007). This rule establishes a new part 1707 of our regulations,
which sets forth the DNFSB rules for responding to requests for
information, records, or testimony in legal proceedings.
The Defense Nuclear Facilities Safety Board may receive subpoenas
and requests for DNFSB employees to provide evidence in litigation in
which the DNFSB is not a party. These subpoenas and requests may also
be for DNFSB records that are not available to the public under the
Freedom of Information Act. Also, DNFSB could receive subpoenas or
requests for DNFSB employees to appear as witnesses in litigation in
conjunction with a request for nonpublic records.
Responding to such demands and requests could divert DNFSB
resources from their congressionally mandated functions. This
regulation will ensure a more efficient use of DNFSB resources,
minimize the possibility of involving DNFSB in issues unrelated to its
responsibilities, promote uniformity in responding to such requests and
subpoenas, and maintain impartiality of DNFSB in matters that are in
dispute between other parties. It also serves DNFSB's duty to protect
sensitive, confidential, and privileged information and records.
This rule, issued under the authority of 5 U.S.C. 301, is similar
to rules issued by numerous Government agencies and departments.
Section 301 of Title 5, the ``housekeeping statute,'' authorizes the
head of an executive agency to issue ``regulations for the government
of his department, the conduct of its employees, the distribution and
performance of its business, and the custody, use, and preservation of
its records, papers, and property.'' In United States ex rel. Touhy v.
Ragen, 340 U.S. 462 (1951), the Supreme Court upheld the authority of
Federal agencies to establish procedures pursuant to section 301
similar to those established here. Federal courts have consistently
held that a person seeking testimony or records from an agency must
comply with the agency's ``Touhy regulation'' before seeking judicial
enforcement of a subpoena. In addition, under section 2286b of the
enabling statute of the Defense Nuclear Facilities Safety Board, 42
U.S.C. 2286 et seq., the DNFSB has
[[Page 66715]]
authority to promulgate regulations necessary to the efficient
administration of the DNFSB functions.
In the notice of proposed rulemaking published in the Federal
Register on November 14, 2001, the DNFSB requested comments by December
14, 2001. DNFSB received no comments on the proposed rule.
Explanation of Final Rule
This rule establishes DNFSB policies and procedures applicable to
requests for official agency information, records, or testimony in
legal proceedings.
Scope
This rule will prohibit disclosure of nonpublic official records or
testimony by DNFSB employees unless authorization is provided pursuant
to this rule (sections 1707.201 and 1707.203). This rule identifies the
factors that DNFSB will consider in making determinations in response
to such requests and what information requesters must provide (sections
1707.202 and 1707.203). This rule also specifies when the request
should be submitted (section 1707.203), the time period for review
(section 1707.205), potential fees (section 1707.301), and, if a
request is granted, any restrictions that may be placed on the
disclosure of records or the appearance of a DNFSB employee as a
witness (sections 1707.207 and 1707.208).
This rule applies to a broad range of matters in any legal
proceeding in which DNFSB is not a named party. It also applies to
former and current DNFSB employees (as well as DNFSB consultants and
advisors). Former employees are prohibited from testifying about
specific matters for which they had responsibility during their active
employment unless permitted to testify as provided in the proposed
rule. They would not be barred from appearing to testify about general
matters unconnected with the specific matters for which they had
responsibility.
Certification
DNFSB will certify that records in DNFSB's possession as true
copies in order to facilitate their use as evidence.
Fees
We charge a fee for production of records or information and
certification. The fee schedules for duplication are the same as those
established in 10 CFR 1703.107(b)(6) of the Board's regulations, as
appropriate. The charges for witnesses are the same as those provided
by the Federal courts. The fees related to production of records are
the same as those charged under FOIA. The charges for time spent by an
employee to prepare for testimony and for certification of records by
DNFSB are authorized under 31 U.S.C. 9701, which permits an agency to
charge for services or things of value that are provided by the agency.
Procedural Nature of the Regulations
The DNFSB rule is internal to the agency, and is essentially
procedural, not substantive. It does not create a right to obtain
official records or the testimony of a DNFSB employee nor does it
create any additional right or privilege not already available to DNFSB
to deny any demand or request therefor. However, failure to comply with
the procedures in this rule would be a basis for denying a demand or
request submitted to DNFSB.
Regulatory Procedures
Regulatory Flexibility Act
For purposes of the Regulatory Flexibility Act (5 U.S.C. chapter
6), this rule will not have a significant economic impact on a
substantial number of small entities. The rule addresses only the
procedures to be followed in the production or disclosure of DNFSB
materials and information in litigation where DNFSB is not a party.
Accordingly, DNFSB has determined that a Regulatory Flexibility
Analysis is not required.
Unfunded Mandates Reform Act
For purposes of the Unfunded Mandates Reform Act of 1995 (2 U.S.C.
chapter 25, subchapter II), this rule would not significantly or
uniquely affect small governments and would not result in increased
expenditures by State, local, and tribal governments, in the aggregate,
or by the private sector, of $100 million or more (as adjusted for
inflation).
Executive Order 12866
In issuing this regulation, the Defense Nuclear Facilities Safety
Board has adhered to the regulatory philosophy and the applicable
principles of regulation as set forth in section 1 of Executive Order
12866, Regulatory Planning and Review. This rule has not been reviewed
by the Office of Management and Budget under that Executive Order since
it is not a significant regulatory action within the meaning of the
Executive Order.
Executive Order 12988
The Defense Nuclear Facilities Safety Board, has reviewed this
regulation in light of section 3 of Executive Order 12988, Civil
Justice Reform, and certifies that it meets the applicable standards
provided therein.
Paperwork Reduction Act
The Paperwork Reduction Act (44 U.S.C. chapter 35) does not apply
because this regulation does not contain information collection
requirements that require approval by the Office of Management and
Budget. The Defense Nuclear Facilities Safety Board expects the
collection of information that is called for by the regulation would
involve fewer than ten persons each year.
Congressional Review Act
The Defense Nuclear Facilities Safety Board has determined that
this rulemaking does not involve a rule within the meaning of the
Congressional Review Act (5 U.S.C. chapter 8).
List of Subjects in 10 CFR Part 1707
Administrative practice and procedure, Conflict of interests,
Courts, Government employees, Records, Subpoenas, Testimony.
Dated: December 18, 2001.
John T. Conway,
Chairman, Defense Nuclear Facilities Safety Board.
Accordingly, for the reasons set forth in the preamble, the Defense
Nuclear Facilities Safety Board adds a new part 1707 to 10 CFR chapter
XVII to read as follows:
PART 1707--TESTIMONY BY DNFSB EMPLOYEES AND PRODUCTION OF OFFICIAL
RECORDS IN LEGAL PROCEEDINGS
Subpart A--General Provisions
Sec.
1707.101 Scope and purpose.
1707.102 Applicability.
1707.103 Definitions.
Subpart B--Requests for Testimony and Production of Documents
1707.201 General prohibition.
1707.202 Factors DNFSB will consider.
1707.203 Filing requirements for demands or requests for documents
or testimony.
1707.204 Service of subpoenas or requests.
1707.205 Processing demands or requests.
1707.206 Final determination.
1707.207 Restrictions that apply to testimony.
1707.208 Restrictions that apply to released records.
1707.209 Procedure when a decision is not made prior to the time a
response is required.
1707.210 Procedure in the event of an adverse ruling.
Subpart C--Schedule of Fees
1707.301 Fees.
[[Page 66716]]
Subpart D--Penalties
1707.401 Penalties.
Authority: 42 U.S.C. 2286b(c); 44 U.S.C. 3101-3107, 3301-3303a,
3308-3314.
Subpart A--General Provisions
Sec. 1707.101 Scope and purpose.
(a) This part sets forth policies and procedures you must follow
when you submit a demand or request to an employee of the Defense
Nuclear Facilities Safety Board (DNFSB) to produce official records and
information, or provide testimony relating to official information, in
connection with a legal proceeding. You must comply with these
requirements when you request the release or disclosure of official
records and information.
(b) The Defense Nuclear Facilities Safety Board intends these
provisions to:
(1) Promote economy and efficiency in its programs and operations;
(2) Minimize the possibility of involving DNFSB in controversial
issues not related to our functions;
(3) Maintain DNFSB's impartiality among private litigants where
DNFSB is not a named party; and
(4) Protect sensitive, confidential information and the
deliberative processes of DNFSB.
(c) In providing for these requirements, DNFSB does not waive the
sovereign immunity of the United States.
(d) This part provides guidance for the internal operations of
DNFSB. It does not create any right or benefit, substantive or
procedural, that a party may rely upon in any legal proceeding against
the United States.
Sec. 1707.102 Applicability.
This part applies to demands and requests to employees for factual,
opinion, or expert testimony relating to official information, or for
production of official records or information, in legal proceedings
whether or not the United States or the DNFSB is a named party.
However, it does not apply to:
(a) Demands upon or requests for a DNFSB employee to testify as to
facts or events that are unrelated to his or her official duties or
that are unrelated to the functions of DNFSB;
(b) Demands upon or requests for a former DNFSB employee to testify
as to matters in which the former employee was not directly or
materially involved while at the DNFSB;
(c) Requests for the release of records under the Freedom of
Information Act, 5 U.S.C. 552, or the Privacy Act, 5 U.S.C. 552a; and
(d) Congressional demands and requests for testimony or records.
Sec. 1707.103 Definitions.
DNFSB means the Defense Nuclear Facilities Safety Board.
DNFSB employee or employee means:
(1) Any current or former officer or employee of DNFSB;
(2) Any contractor or contractor employee working on behalf of the
DNFSB or who has performed services for DNFSB; and
(3) Any individual who is serving or has served in any advisory
capacity to DNFSB, whether formal or informal.
(4) Provided, that this definition does not include persons who are
no longer employed by DNFSB and who are retained or hired as expert
witnesses or who agree to testify about general matters, matters
available to the public, or matters with which they had no specific
involvement or responsibility during their employment with DNFSB.
Demand means a subpoena, or an order or other demand of a court or
other competent authority, for the production, disclosure, or release
of records or for the appearance and testimony of a DNFSB employee that
is issued in a legal proceeding.
General Counsel means the General Counsel of DNFSB or a person to
whom the General Counsel has delegated authority under this part.
Legal proceeding means any matter before a court of law,
administrative board or tribunal, commission, administrative law judge,
hearing officer, or other body that conducts a legal or administrative
proceeding. Legal proceeding includes all phases of litigation.
Records or official records and information mean:
(1) All documents and materials which are DNFSB agency records
under the Freedom of Information Act, 5 U.S.C. 552;
(2) All other documents and materials contained in DNFSB files; and
(3) All other information or materials acquired by a DNFSB employee
in the performance of his or her official duties or because of his or
her official status.
Request means any formal or informal request, by whatever method,
for the production of records and information or for testimony which
has not been demanded by a court or other competent authority.
Testimony means any written or oral statements, including but not
limited to depositions, answers to interrogatories, affidavits,
declarations, interviews, and statements made by an individual in
connection with a legal proceeding.
Subpart B--Requests for Testimony and Production of Documents
Sec. 1707.201 General prohibition.
No employee may produce official records and information or provide
any testimony relating to official information in response to a demand
or request without the prior, written approval of the General Counsel.
Sec. 1707.202 Factors DNFSB will consider.
The General Counsel, in his or her sole discretion, may grant an
employee permission to testify on matters relating to official
information, or produce official records and information, in response
to a demand or request. Among the relevant factors that the General
Counsel may consider in making this decision are whether:
(a) The purposes of this part are met;
(b) Allowing such testimony or production of records would be
necessary to prevent a miscarriage of justice;
(c) DNFSB has an interest in the decision that may be rendered in
the legal proceeding;
(d) Allowing such testimony or production of records would assist
or hinder DNFSB in performing its statutory duties or use DNFSB
resources where responding to the request will interfere with the
ability of DNFSB employees to do their work;
(e) Allowing such testimony or production of records would be in
the best interest of DNFSB or the United States;
(f) The records or testimony can be obtained from other sources;
(g) The demand or request is unduly burdensome or otherwise
inappropriate under the applicable rules of discovery or the rules of
procedure governing the case or matter in which the demand or request
arose;
(h) Disclosure would violate a statute, executive order or
regulation;
(i) Disclosure would reveal confidential, sensitive, or privileged
information, trade secrets or similar, confidential commercial or
financial information, or otherwise protected information, or would
otherwise be inappropriate for release;
(j) Disclosure would impede or interfere with an ongoing law
enforcement investigation or proceedings;
(k) Disclosure would compromise constitutional rights;
(l) Disclosure would result in DNFSB appearing to favor one
litigant over another;
(m) Disclosure relates to documents that were produced by another
agency;
(n) A substantial Government interest is implicated;
[[Page 66717]]
(o) The demand or request is within the authority of the party
making it; and
(p) The demand or request is sufficiently specific to be answered.
Sec. 1707.203 Filing requirements for demands or requests for
documents or testimony.
You must comply with the following requirements whenever you issue
demands or requests to a DNFSB employee for official records,
information, or testimony.
(a) Your request must be in writing and must be submitted to the
General Counsel. If you serve a subpoena on DNFSB or a DNFSB employee
before submitting a written request and receiving a final
determination, DNFSB will oppose the subpoena on grounds that your
request was not submitted in accordance with this subpart.
(b) Your written request must contain the following information:
(1) The caption of the legal proceeding, docket number, and name
and address of the court or other authority involved;
(2) A copy of the complaint or equivalent document setting forth
the assertions in the case and any other pleading or document necessary
to show relevance of the testimony, records, or information you seek
from the DNFSB;
(3) A list of categories of records sought, a detailed description
of how the information sought is relevant to the issues in the legal
proceeding, and a specific description of the substance of the
testimony or records sought;
(4) A statement as to how the need for the information outweighs
the need to maintain any confidentiality of the information and
outweighs the burden on DNFSB to produce the records or provide
testimony;
(5) A statement indicating that the information sought is not
available from another source, from other persons or entities, or from
the testimony of someone other than a DNFSB employee, such as a
retained expert;
(6) If testimony is requested, the intended use of the testimony, a
general summary of the desired testimony, and a showing that no
document could be provided and used in lieu of testimony;
(7) A description of all prior decisions, orders, or pending
motions in the case that bear upon the relevance of the requested
records or testimony;
(8) The name, address, and telephone number of counsel to each
party in the case; and
(9) An estimate of the amount of time that the requester and other
parties will require with each DNFSB employee for time spent by the
employee to prepare for testimony, in travel, and for attendance in the
legal proceeding.
(c) The Defense Nuclear Facilities Safety Board reserves the right
to require additional information to complete your request where
appropriate.
(d) Your request should be submitted at least 45 days before the
date that records or testimony is required. Requests submitted in less
than 45 days before records or testimony is required must be
accompanied by a written explanation stating the reasons for the late
request and the reasons for expedited processing.
(e) Failure to cooperate in good faith to enable the General
Counsel to make an informed decision may serve as the basis for a
determination not to comply with your request.
Sec. 1707.204 Service of subpoenas or requests.
Subpoenas or requests for official records or information or
testimony must be served on the General Counsel, Defense Nuclear
Facilities Safety Board, 625 Indiana Avenue, NW., Suite 700,
Washington, DC 20004-2901.
Sec. 1707.205 Processing demands or requests.
(a) After service of a demand or request to testify, the General
Counsel will review the demand or request and, in accordance with the
provisions of this subpart, determine whether, or under what
conditions, to authorize the employee to testify on matters relating to
official information and/or produce official records and information.
(b) The Defense Nuclear Facilities Safety Board will process
requests in the order in which they are received. Absent exigent or
unusual circumstances, DNFSB will respond within 45 days from the date
that we receive it. The time for response will depend upon the scope of
the request.
(c) The General Counsel may grant a waiver of any procedure
described by this subpart where a waiver is considered necessary to
promote a significant interest of the DNFSB or the United States or for
other good cause.
Sec. 1707.206 Final determination.
The General Counsel makes the final determination on demands and
requests to employees for production of official records and
information or testimony. All final determinations are within the sole
discretion of the General Counsel. The General Counsel will notify the
requester and the court or other authority of the final determination,
the reasons for the grant or denial of the demand or request, and any
conditions that the General Counsel may impose on the release of
records or information, or on the testimony of a DNFSB employee.
Sec. 1707.207 Restrictions that apply to testimony.
(a) The General Counsel may impose conditions or restrictions on
the testimony of DNFSB employees including, for example, limiting the
areas of testimony or requiring the requester and other parties to the
legal proceeding to agree that the transcript of the testimony will be
kept under seal or will only be used or made available in the
particular legal proceeding for which testimony was requested. The
General Counsel may also require a copy of the transcript of testimony
at the requester's expense.
(b) The DNFSB may offer the employee's written declaration in lieu
of testimony.
(c) If authorized to testify pursuant to this part, an employee may
testify as to facts within his or her personal knowledge, but, unless
specifically authorized to do so by the General Counsel, the employee
shall not:
(1) Disclose classified, privileged, or otherwise protected
information;
(2) Testify as an expert or opinion witness with regard to any
matter arising out of the employee's official duties or the functions
of DNFSB unless testimony is being given on behalf of the United States
(see also 5 CFR 2635.805 for current employees).
Sec. 1707.208 Restrictions that apply to released records.
(a) The General Counsel may impose conditions or restrictions on
the release of official records and information, including the
requirement that parties to the proceeding obtain a protective order or
execute a confidentiality agreement to limit access and any further
disclosure. The terms of the protective order or of a confidentiality
agreement must be acceptable to the General Counsel. In cases where
protective orders or confidentiality agreements have already been
executed, DNFSB may condition the release of official records and
information on an amendment to the existing protective order or
confidentiality agreement.
(b) If the General Counsel so determines, original DNFSB records
may be presented for examination in response to a demand or request,
but they are not to be presented as evidence or otherwise used in a
manner by which they could lose their identity as official DNFSB
records, nor are they to be marked or altered. In lieu of the original
records, certified copies will be
[[Page 66718]]
presented for evidentiary purposes (see 28 U.S.C. 1733).
Sec. 1707.209 Procedure when a decision is not made prior to the time
a response is required.
If a response to a demand or request is required before the General
Counsel can make the determination referred to in Sec. 1707.201, the
General Counsel, when necessary, will provide the court or other
competent authority with a copy of this part, inform the court or other
competent authority that the demand or request is being reviewed, and
seek a stay of the demand or request pending a final determination.
Sec. 1707.210 Procedure in the event of an adverse ruling.
If the court or other competent authority fails to stay the demand,
the employee upon whom the demand is made, unless otherwise advised by
the General Counsel, will appear at the stated time and place, produce
a copy of this part, state that the employee has been advised by
counsel not to provide the requested testimony or produce documents,
and respectfully decline to comply with the demand, citing United
States ex rel. Touhy v. Ragen, 340 U.S. 462 (1951). A written response
may be offered to a request, or to a demand, if permitted by the court
or other competent authority.
Subpart C--Schedule of Fees
Sec. 1707.301 Fees.
(a) Generally. The General Counsel may condition the production of
records or appearance for testimony upon advance payment of a
reasonable estimate of the costs to DNFSB.
(b) Fees for records. Fees for producing records will include fees
for searching, reviewing, and duplicating records, costs of attorney
time spent in reviewing the demand or request, and expenses generated
by materials and equipment used to search for, produce, and copy the
responsive information. Costs for employee time will be calculated on
the basis of the hourly pay of the employee (including all pay,
allowance, and benefits). Fees for duplication will be the same as
those charged by DNFSB in its Freedom of Information Act fee
regulations at 10 CFR part 1703.
(c) Witness fees. Fees for attendance by a witness will include
fees, expenses, and allowances prescribed by the court's rules. If no
such fees are prescribed, witness fees will be determined based upon
the rule of the Federal district court closest to the location where
the witness will appear. Such fees will include cost of time spent by
the witness to prepare for testimony, in travel, and for attendance in
the legal proceeding.
(d) Payment of fees. You must pay witness fees for current DNFSB
employees and any records certification fees by submitting to the
General Counsel a check or money order for the appropriate amount made
payable to the Treasury of the United States. In the case of testimony
by former DNFSB employees, you must pay applicable fees directly to the
former employee in accordance with 28 U.S.C. 1821 or other applicable
statutes.
(e) Certification (authentication) of copies of records. The
Defense Nuclear Facilities Safety Board may certify that records are
true copies in order to facilitate their use as evidence. If you seek
certification, you must request certified copies from DNFSB at least 45
days before the date they will be needed. The request should be sent to
the General Counsel. You will be charged a certification fee of $15.00
for each document certified.
(f) Waiver or reduction of fees. The General Counsel, in his or her
sole discretion, may, upon a showing of reasonable cause, waive or
reduce any fees in connection with the testimony, production, or
certification of records.
(g) De minimis fees. Fees will not be assessed if the total charge
would be $10.00 or less.
Subpart D--Penalties
Sec. 1707.401 Penalties.
(a) An employee who discloses official records or information or
gives testimony relating to official information, except as expressly
authorized by DNFSB or as ordered by a Federal court after DNFSB has
had the opportunity to be heard, may face the penalties provided in 18
U.S.C. 641 and other applicable laws. Additionally, former DNFSB
employees are subject to the restrictions and penalties of 18 U.S.C.
207 and 216.
(b) A current DNFSB employee who testifies or produces official
records and information in violation of this part shall be subject to
disciplinary action.
[FR Doc. 01-31533 Filed 12-26-01; 8:45 am]
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