[Title 36 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 1998 Edition]
[From the U.S. Government Printing Office]


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          36



          Parks, Forests, and Public Property




          PART 300 TO END

                         Revised as of July 1, 1998

          CONTAINING
          A CODIFICATION OF DOCUMENTS
          OF GENERAL APPLICABILITY
          AND FUTURE EFFECT
          AS OF JULY 1, 1998

          With Ancillaries
          Published by
          the Office of the Federal Register
          National Archives and Records
          Administration
          as a Special Edition of
          the Federal Register



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                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 1998



               For sale by U.S. Government Printing Office
 Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328



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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 36:

    Chapter III--Corps of Engineers, Department of the Army...       3
    Chapter IV--American Battle Monuments Commission..........      33
    Chapter V--Smithsonian Institution........................      49
    Chapter VI--[Reserved]
    Chapter VII--Library of Congress..........................      59
    Chapter VIII--Advisory Council on Historic Preservation...      91
    Chapter IX--Pennsylvania Avenue Development Corporation...     135
    Chapter X--Presidio Trust.................................     201
    Chapter XI--Architectural and Transportation Barriers 
        Compliance Board......................................     229
    Chapter XII--National Archives and Records Administration.     457
    Chapter XIV--Assassination Records Review Board...........     697

  Finding Aids:
    Material Approved for Incorporation by Reference..........     719
    Table of CFR Titles and Chapters..........................     721
    Alphabetical List of Agencies Appearing in the CFR........     739
    Redesignation Tables......................................     749
    List of CFR Sections Affected.............................     753



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   Cite this Code:  CFR

   To cite the regulations in this volume use title, part and
   section number. Thus,  36 CFR 312.1 refers to title 36, part
   312, section 1.

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                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, July 1, 1998), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 523-4534.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I), and Acts Requiring Publication 
in the Federal Register (Table II). A list of CFR titles, chapters, and 
parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.

[[Page vii]]

    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408.

SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call 202-512-1800, 
M-F, 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2233, 24 hours 
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Customer Service call 202-512-1803.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, The United States 
Government Manual, the Federal Register, Public Laws, Weekly Compilation 
of Presidential Documents and the Privacy Act Compilation are available 
in electronic format at www.access.gpo.gov/nara (``GPO Access''). For 
more information, contact Electronic Information Dissemination Services, 
U.S. Government Printing Office. Phone 202-512-1530, or 888-293-6498 
(toll-free). E-mail, [email protected].
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.nara.gov/fedreg. The NARA 
site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

July 1, 1998.



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                               THIS TITLE

    Title 36--Parks, Forests, and Public Property is composed of three 
volumes. The parts in these volumes are arranged in the following order: 
parts 1 to 199, parts 200 to 299, and part 300 to End. The contents of 
these volumes represent all current regulations codified under this 
title of the CFR as of July 1, 1998.

    Redesignation tables appear in the Finding Aids section of the third 
volume.

    For this volume, Carol Conroy was Chief Editor. The Code of Federal 
Regulations publication program is under the direction of Frances D. 
McDonald, assisted by Alomha S. Morris.

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              TITLE 36--PARKS, FORESTS, AND PUBLIC PROPERTY




                  (This book contains part 300 to End)

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                                                                    Part

Chapter iii--Corps of Engineers, Department of the Army.....         312

Chapter iv--American Battle Monuments Commission............         400

Chapter v--Smithsonian Institution..........................         504

Chapter vi--[Reserved]

Chapter vii--Library of Congress............................         701

Chapter viii--Advisory Council on Historic Preservation.....         800

Chapter ix--Pennsylvania Avenue Development Corporation.....         901


Chapter x--Presidio Trust...................................        1001

Chapter xi-- Architectural and Transportation Barriers 
  Compliance Board..........................................        1120

Chapter xii-- National Archives and Records Administration..        1200

Chapter xiv-- Assassination Records Review Board............        1400


      CHAPTER III--CORPS OF ENGINEERS, DEPARTMENT OF THE ARMY




  --------------------------------------------------------------------
Part                                                                Page
312             Prohibition of discriminatory practices in 
                    water resource development projects.....           5
327             Rules and regulations governing public use 
                    of water resource development projects 
                    administered by the Chief of Engineers..           5
328             Regulation of seaplane operations at civil 
                    works water resource development 
                    projects administered by the Chief of 
                    Engineers...............................          22
330             Regulation of law enforcement services 
                    contracts at civil works water resource 
                    projects administered by the Chief of 
                    Engineers...............................          25
331             Regulations governing the protection, use 
                    and management of the falls of the Ohio 
                    National Wildlife Conservation Area, 
                    Kentucky and Indiana....................          28
332-399  

[Reserved]

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PART 312--PROHIBITION OF DISCRIMINATORY PRACTICES IN WATER RESOURCE DEVELOPMENT PROJECTS--Table of Contents




Sec.
312.1  Areas covered.
312.2  Discriminatory practices prohibited.

    Authority: Sec. 4, 58 Stat. 889, as amended; 16 U.S.C. 460d.



Sec. 312.1  Areas covered.

    The regulation covered in this part shall be applicable to all water 
resource project lands under the supervision of the Secretary of the 
Army not covered in parts 311 and 326, of this title.
[29 FR 9710, July 18, 1964]



Sec. 312.2  Discriminatory practices prohibited.

    All project land and water areas which are open to the public shall 
be available for use and enjoyment by the public without regard to race, 
creed, color or national origin. Each lessee or licensee of a project 
area under lease or license providing for a public or quasi-public use, 
including group camp activities, and each concessionaire of a lessee or 
licensee providing a service to the public including facilities and 
accommodations, shall not discriminate against any person or persons 
because of race, creed, color or national origin in the conduct of its 
operations under the lease, license or concession agreement.
[29 FR 9710, July 18, 1964]



PART 327--RULES AND REGULATIONS GOVERNING PUBLIC USE OF WATER RESOURCE DEVELOPMENT PROJECTS ADMINISTERED BY THE CHIEF OF ENGINEERS--Table of Contents




Sec.
327.0  Applicability.
327.1  Policy.
327.2  Vehicles.
327.3  Vessels.
327.4  Aircraft.
327.5  Swimming.
327.6  Picnicking.
327.7  Camping.
327.8  Hunting, fishing, and trapping.
327.9  Sanitation.
327.10  Fires.
327.11  Control of animals.
327.12  Restrictions.
327.13  Explosives, firearms, other weapons and fireworks.
327.14  Public property.
327.15  Abandonment and impoundment of personal property.
327.16  Lost and found articles.
327.17  Advertisement.
327.18  Commercial activities.
327.19  Permits.
327.20  Unauthorized structures.
327.21  Special events.
327.22  Unauthorized occupation.
327.23  Recreation use fees.
327.24  Interference with Government employees.
327.25  Violations of rules and regulations.
327.26  State and local laws.
327.27--327.29  [Reserved]
327.30  Shoreline Management on Civil Works Projects.
327.31  Shoreline management fee schedule.

    Authority: The Rivers and Harbors Act of 1894, as amended and 
supplemented (33 U.S.C. 1); 16 U.S.C. 460d and 460l-6a.

    Source: 50 FR 35556, Sept. 3, 1985, unless otherwise noted.



Sec. 327.0  Applicability.

    The regulations covered in this part 327 shall be applicable to 
water resource development projects, completed or under construction, 
administered by the Chief of Engineers, and to those portions of jointly 
administered water resource development projects which are under the 
administrative jurisdiction of the Chief of Engineers. All other 
Federal, State and local laws and regulations remain in full force and 
effect where applicable to those water resource development projects.



Sec. 327.1  Policy.

    (a) It is the policy of the Secretary of the Army, acting through 
the Chief of Engineers, to manage the natural, cultural and developed 
resources of each project in the public interest, providing the public 
with safe and healthful recreational opportunities while protecting and 
enhancing these resources.
    (b) Unless otherwise indicated herein, the term District Engineer 
shall include the authorized representatives of the District Engineer.
    (c) The term project or water resource development project refers to 
the water areas of any water resource development project administered 
by the Chief

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of Engineers, without regard to ownership of underlying land, to all 
lands owned in fee by the Federal Government and to all facilities 
therein or thereon of any such water resource development project.
    (d) All water resource development projects open for public use 
shall be available to the public without regard to sex, race, color, 
creed, age, nationality or place of origin. No lessee, licensee, or 
concessionaire providing a service to the public shall discriminate 
against any person because of sex, race, creed, color, age, nationality 
or place of origin in the conduct of the operations under the lease, 
license or concession contract.
    (e) In addition to the regulations in this part 327, all applicable 
Federal, state and local laws and regulations remain in full force and 
effect on project lands or waters which are outgranted by the District 
Engineer by lease, license or other written agreement.
    (f) The regulations in this part 327 shall be deemed to apply to 
those lands and waters which are subject to treaties and Federal laws 
and regulations concerning the rights of Indian Nations and which lands 
and waters are incorporated, in whole or in part, within water resource 
development projects administered by the Chief of Engineers, to the 
extent that the regulations in this part 327 are not inconsistent with 
such treaties and Federal laws and regulations.
    (g) Any violation of any section of this part 327 shall constitute a 
separate violation for each calendar day in which it occurs.
    (h) For the purposes of this part 327, the owner of any unattended 
vehicle, vessel or aircraft as described herein shall be presumed to be 
responsible for its use on project property. Unless proven otherwise, 
such presumption will be sufficient to issue a citation for the 
violation of regulations applicable to the use of such vehicle, vessel 
or aircraft as provided for in Sec. 327.25, Violation of Rules and 
Regulations.



Sec. 327.2  Vehicles.

    (a) This section pertains to all vehicles, including, but not 
limited to, automobiles, trucks, motorcycles, mini-bikes, snowmobiles, 
dune buggies, all-terrain vehicles and trailers, campers, bicycles or 
any other such equipment.
    (b) Vehicles shall not be parked in violation of posted 
restrictions, or in such a manner as to obstruct or impede normal or 
emergency traffic movement or the parking of other vehicles, create a 
safety hazard, or endanger any person, project property or environmental 
feature. Vehicles so parked are subject to removal and impoundment at 
the owner's expense.
    (c) The operation and/or parking of a vehicle off authorized 
roadways is prohibited except at locations and times designated by the 
District Engineer. Taking any vehicle through, around or beyond a 
restrictive sign, recognizable barricade, fence or traffic control 
barrier is prohibited.
    (d) Vehicles shall be operated only in accorance with posted 
regulations and applicable Federal, state and local laws, which shall be 
enforced by authorized enforcement officials.
    (e) No person shall operate any vehicle in a careless, negligent or 
reckless manner so as to endanger any person, project property or 
environmental feature.
    (f) At developed recreation areas, vehicles shall be used only to 
enter or leave the area or individual sites or facilities unless 
otherwise posted.
    (g) Except as authorized by the District Engineer, no person shall 
operate any motorized vehicle without a proper and effective exhaust 
muffler as defined by state and local laws, or with an exhaust muffler 
cutout open, or in any other manner which renders the exhaust muffler 
ineffective in muffling the sound of engine exhaust.



Sec. 327.3  Vessels.

    (a) This section pertains to all vessels or watercraft, including, 
but not limited to, powerboats, cruisers, houseboats, sailboats, 
rowboats, canoes, kayaks, jetskis and any other such equipment capable 
of navigation on water, whether in motion or at rest.
    (b) The placement and/or operation of any vessel or watercraft for a 
fee or profit upon project waters or lands is prohibited except as 
authorized by permit, lease, license, or concession contract with the 
Department of the

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Army. This paragraph (Sec. 327.3(b)) shall not apply to the operation of 
commercial tows or passenger carrying vessels not based at a Corps 
project which utilize project waters as a link in continous transit over 
navigable waters of the United States.
    (c) Vessels or other watercraft may be operated on the project 
waters, except in prohibited or restricted areas, in accordance with 
posted regulations, including buoys, and applicable Federal, state and 
local laws, as regulated by authorized enforcement officials. All 
vessels or watercraft so required by applicable Federal, state and local 
laws shall display an appropriate registration on board whenever the 
vessel is operated on project waters.
    (d) The operation of vessels or other watercraft in a careless, 
negligent or reckless manner so as to endanger any property or person 
(including the operator and/or user(s) of the vessel or watercraft) is 
prohibited.
    (e) All vessels, when in use, shall have safety equipment, including 
personal floatation devices, on board in compliance with U.S. Coast 
Guard boating safety requirements (Coast Guard Pamphlet CG-290; 46 CFR 
parts 25, 30; 33 CFR part 175) and in compliance with boating safety 
laws issued and enforced by the state in which the vessel is being 
operated.
    (f) Unless otherwise permitted by Federal, state or local law, 
vessels or other watercraft, while moored in commercial facilities, 
community or corporate docks, or at any fixed or permanent mooring 
point, may only be used for overnight occupancy when such use is 
incidental to recreational boating. Vessels or other watercraft are not 
to be used as a place of habitation or residence.
    (g) Water skis, parasails, ski-kites and similar devices are 
permitted in nonrestricted areas except that they may not be used in a 
careless, negligent, or reckless manner so as to endanger any property 
or person (including the user and/or operator of the towing vessel).
    (h) All vessels when not in actual use shall be removed from project 
lands and water unless securely moored or stored at designated areas 
approved by the District Engineer. The placing of floating or stationary 
mooring facilities on, adjacent to, or interfering with a buoy, channel 
marker or other navigational aid is prohibited.
    (i) The use at a project of any vessel not constructed or maintained 
in compliance with the standards and requirements established by the 
Federal Safe Boating Act of 1971 (Pub. L 92-75, 85 Stat. 213), or 
promulgated pursuant to such act, is prohibited.
    (j) Except as authorized by the District Engineer, no person shall 
operate any vessel or watercraft without a proper and effective exhaust 
muffler as defined by State and local laws, or with an exhaust muffler 
cutout open, or in any other manner which renders the exhaust muffler 
ineffective in muffling the sound of engine exhaust.



Sec. 327.4  Aircraft.

    (a) This section pertains to all aircraft including, but not limited 
to, airplanes, seaplanes, helicopters, ultralight aircraft, motorized 
hang gliders, hot air balloons, any non-powered flight devices or any 
other such equipment.
    (b) The operation of aircraft on project lands at locations other 
than those designated by the District Engineer is prohibited. This 
provision shall not be applicable to aircraft engaged on official 
business of Federal, state or local governments or law enforcement 
agencies, aircraft used in emergency rescue in accordance with the 
directions of the District Engineer or aircraft forced to land due to 
circumstances beyond the control of the operator.
    (c) No person shall operate any aircraft while on or above project 
waters or project lands in a careless, negligent or reckless manner so 
as to endanger any person or property.
    (d) Nothing in this section (Sec. 327.4) bestows authority to 
deviate from rules and regulations or prescribed standards of the 
appropriate State Aeronautical Agency, or the Federal Aviation 
Administration, including, but not limited to, regulations and standards 
concerning pilot certifications or ratings, and airspace requirements.

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    (e) Except in extreme emergencies threatening human life or serious 
property loss, the air delivery of any person, material or equipment by 
parachute, helicopter or other means onto project lands or waters 
without written permission of the District Engineer is prohibited.
    (f) In addition to the above provisions, seaplanes, as defined 
below, are subject to the following restrictions:
    (1) Such use is limited to aircraft utilized for water landings and 
takeoff, herein called seaplanes, at the risk of the owner, operator and 
passenger(s).
    (2) Seaplane operations contrary to the prohibitions or restrictions 
established by the District Engineer (pursuant to part 328 of title 36) 
are prohibited. The responsibility to ascertain whether seaplane 
operations are prohibited or restricted is incumbent upon the person(s) 
contemplating the use of, or using, such waters.
    (3) All operations of seaplanes while upon project waters shall be 
in accordance with marine rules of the road for power boats or vessels 
and Sec. 327.3 Vessels.
    (4) Seaplanes on project waters and lands in excess of 24 hours 
shall be securely moored at mooring facilities and at locations 
permitted by the District Engineer. Seaplanes may be temporarily moored 
on project waters and lands, except in areas prohibited by the District 
Engineer, for periods less than 24 hours providing that (i) the mooring 
is safe, secure, and accomplished so as not to damage the rights of the 
Government or members of the public and (ii) the operator remains in the 
vicinity of the seaplane and reasonably available to relocate the 
seaplane if necessary.
    (5) Commercial operation of seaplanes from project waters is 
prohibited without written approval of the District Engineer following 
consultation with and necessary clearance from the Federal Aviation 
Administration (FAA) and other appropriate public authorities and 
affected interests.
    (6) Seaplanes may not be operated at Corps projects between sunset 
and sunrise unless adequate lighting and supervision approved by the 
District Engineer are available.



Sec. 327.5  Swimming.

    (a) Swimming, diving, snorkling or scuba diving at one's own risk is 
permitted, except at launching sites, designated mooring points and 
other areas so designated by the District Engineer. Diving or jumping 
from bridges or other structures which cross project waters is 
prohibited.
    (b) An international diving flag must be displayed during underwater 
activities.



Sec. 327.6  Picnicking.

    Picnicking and related day-use activities are permitted, except in 
those areas where prohibited by the District Engineer.



Sec. 327.7  Camping.

    (a) Camping is permitted only at sites and/or areas designated by 
the District Engineer.
    (b) Camping at one or more campsites at any one water resource 
project for a period longer than 14 days during any 30-consecutive-day 
period is prohibited without the written permission of the District 
Engineer.
    (c) The unauthorized placement of camping equipment or other items 
on a campsite and/or personal appearance without overnight occupancy at 
a campsite for the purpose of reserving a designated campsite for future 
occupancy is prohibited.
    (d) The digging or leveling of any ground or the construction of any 
structure without written permission of the District Engineer is 
prohibited.



Sec. 327.8  Hunting, fishing, and trapping.

    Hunting, fishing, and trapping are permitted except in areas where 
prohibited by the District Engineer. All Federal, state and local laws 
governing these activities apply on project lands and waters, as 
regulated by authorized enforcement officials.



Sec. 327.9  Sanitation.

    (a) Garbage, trash, rubbish, litter, or any other waste material or 
waste liquid generated on the project and incidental to authorized 
recreational activities shall be either removed from the project or 
deposited in receptacles

[[Page 9]]

provided for that purpose. The improper disposal of such wastes, human 
and animal waste included, on the project is prohibited.
    (b) It is a violation to bring onto a project any household or 
commercial garbage, trash, rubbish, debris, dead animals or litter of 
any kind for disposal or dumping without the written permission of the 
District Engineer.
    (c) The spilling, pumping or other discharge of contaminants, 
pollutants or other wastes, including, but not limited to, human or 
animal waste, petroleum, industrial and commercial products and by-
products, on project lands or into project waters is prohibited.
    (d) Campers, picnickers, and all other persons using a water 
resource development project shall keep their sites free of trash and 
litter during the period of occupancy and shall remove all personal 
equipment and clean their sites upon departure.
    (e) The discharge or placing of sewage, galley waste, garbage, 
refuse, or pollutants into the project waters from any vessel or 
watercraft is prohibited.



Sec. 327.10  Fires.

    (a) Gasoline and other fuels, except that which is contained in 
storage tanks of vehicles, vessels, camping equipment, or hand portable 
containers designed for such purpose, shall not be carried onto or 
stored on the project without written permission of the District 
Engineer.
    (b) Fires shall be confined to those areas designated by the 
District Engineer, and shall be contained in fireplaces, grills, or 
other facilities designated for this purpose. Fires shall not be left 
unattended and must be completely extinguished prior to departure. The 
burning of materials that produce toxic fumes, including, but not 
limited to, tires, plastic or treated wood products is prohibited.
    (c) Improper disposal of lighted smoking materials, matches or other 
burning material is prohibited.



Sec. 327.11  Control of animals.

    (a) No person shall bring or allow dogs, cats, or other pets into 
developed recreation areas unless penned, caged, on a leash under 6 feet 
in length, or otherwise physically restrained. No person shall allow 
animals to impede or restrict otherwise full and free use of project 
lands and waters by the public. All animals and pets are prohibited in 
swimming beaches. Animals and pets, except properly trained animals 
assisting the handicapped (such as seeing-eye dogs), are prohibited in 
sanitary facilities or other areas so designated by the District 
Engineer. Unclaimed or unattended animals are subject to immediate 
impoundment and removal in accordance with state and local laws.
    (b) Persons bringing or allowing pets in designated public use areas 
shall be responsible for proper removal and disposal, in sanitary 
facilities, of any waste produced by these animals.
    (c) No person shall bring or allow horses, cattle, or other 
livestock in camping, picnicking, swimming or other recreation areas 
except in areas designated by the District Engineer.
    (d) Ranging, grazing, watering or allowing livestock on project 
lands and waters is prohibited except when authorized by lease, license 
or other written agreement with the District Engineer.
    (e) Unauthorized livestock are subject to impoundment and removal in 
accordance with Federal, state and local laws.
    (f) Any animal impounded under the provisions of this section may be 
confined at a location designated by the District Engineer, who may 
assess a reasonable impoundment fee. This fee shall be paid before the 
impounded animal is returned to its owner(s).



Sec. 327.12  Restrictions.

    (a) The District Engineer may establish and post a schedule of 
visiting hours and/or restrictions on the public use of a project or 
portion of a project. The District Engineer may close or restrict the 
use of a project or portion of a project when necessitated by reason of 
public health, public safety, maintenance, or other reasons in the 
public interest. Entering or using a project in a manner which is 
contrary to the schedule of visiting hours, closures or restrictions is 
prohibited.
    (b) Quiet shall be maintained in all public use areas between the 
hours of

[[Page 10]]

10 p.m. and 6 a.m., or those hours designated by the District Engineer. 
Excessive noise during such times which unreasonably disturbs persons is 
prohibited.
    (c) Any act or conduct by any person which interferes with, impedes 
or disrupts the use of the project or impairs the safety of another 
person is prohibited. Individuals who are boisterous, rowdy, disorderly 
or otherwise disturb the peace on project lands or waters may be 
requested to leave the project.
    (d) The operation or use of any audio or other noise producing 
device including, but not limited to, radios, televisions, or musical 
instruments and motorized equipment, including vessels or vehicles, in 
such a manner as to unreasonably annoy or endanger persons at any time 
or exceed state or local laws governing noise levels from motorized 
equipment is prohibited.



Sec. 327.13  Explosives, firearms, other weapons and fireworks.

    The possession of loaded firearms, ammunition, loaded projectile 
firing devices, bows and arrows, crossbows, explosives or explosive 
devices of any kind, including fireworks, is prohibited unless:
    (a) In the possession of a Federal, state or local law enforcement 
officer;
    (b) Being used for hunting or fishing as permitted under Sec. 327.8, 
with devices being unloaded when transported to, from or between hunting 
and fishing sites;
    (c) Being used at authorized shooting ranges; or
    (d) Written permission has been received from the District Engineer.



Sec. 327.14  Public property.

    (a) Destruction, injury, defacement, removal or any alteration of 
public property including, but not limited to, developed facilities, 
natural formations, mineral deposits, historical and archaeological 
features, and vegetative growth, is prohibited except when in accordance 
with written pemission of the District Engineer.
    (b) Cutting or gathering of trees or parts of trees and/or the 
removal of wood from project lands is prohibited without written 
permission of the District Engineer.
    (c) Gathering of dead wood on the ground for use in designated 
recreation areas as firewood is permitted.



Sec. 327.15  Abandonment and impoundment of personal property.

    (a) Personal property of any kind shall not be abandoned, stored or 
left unattended upon project lands or waters. After a period of 24 
hours, or at any time after a posted closure hour in a public use area, 
unattended personal property shall be presumed to be abandoned and may 
be impounded and stored at a storage point designated by the District 
Engineer, who may assess a reasonable impoundment fee. Such fee shall be 
paid before the impounded property is returned to its owner.
    (b) The District Engineer shall, by public or private sale or 
otherwise, dispose of all lost, abandoned or unclaimed personal property 
that comes into Government custody or control. However, property may not 
be disposed of until diligent effort has been made to find the owner, 
heirs, next of kin or legal representative(s). If the owner, heirs, next 
of kin or legal representative(s) are determined but not found, the 
property may not be disposed of until the expiration of 120 days after 
the date when notice, giving the time and place of the intended sale or 
other disposition, has been sent by certified or registered mail to that 
person at the last known address. When diligent efforts to determine the 
owner, heirs, next of kin or legal representative(s) are unsuccessful, 
the property may be disposed of without delay except that if it has a 
fair market value of $25 or more the property may not be disposed of 
until 90 days after the date it is received at the storage point 
designated by the District Engineer. The net proceeds from the sale of 
property shall be covered into the Treasury of the United States as 
miscellaneous receipts.
    (c) Personal property placed on Federal lands or waters adjacent to 
a private residence and/or developments of any private nature for more 
than 24 hours without permssion of the District Engineer shall be 
presumed to have been abandoned and, unless proven otherwise, such 
presumption will be

[[Page 11]]

sufficient to issue a citation as provided for in Sec. 327.25.



Sec. 327.16  Lost and found articles.

    All articles found shall be deposited by the finder at the Resource 
Manager's office or with a ranger. All such articles shall be disposed 
of in accordance with the procedures set forth in Sec. 327.15.



Sec. 327.17  Advertisement.

    Advertising by the use of billboards, signs, markers, audio devices, 
handbills, circulars, posters, or any other means whatsoever, is 
prohibited without written permission of the District Engineer. Vessels 
and vehicles with semipermanent or permanent painted or installed signs 
are exempt as long as they are used for authorized recreational 
activities and comply with all other rules and regulations pertaining to 
vessels and vehicles.



Sec. 327.18  Commercial activities.

    The engaging in or solicitation of business without the express 
written permission of the District Engineer is prohibited.



Sec. 327.19  Permits.

    (a) It shall be a violation of these regulations to refuse to or 
fail to comply with the fee requirements or other terms or conditions of 
any permit issued under the provisions of this part 327.
    (b) Permits for floating structures (issued under the authority of 
Sec. 327.30) of any kind on/in waters of water resources development 
projects, whether or not such waters are deemed navigable waters of the 
United States but where such waters are under the management of the 
Corps of Engineers, shall be issued at the discretion of the District 
Engineer under the authority of this regulation. District Engineers will 
delineate those portions of the navigable waters of the United States 
where this provision is applicable and post notices of this designation 
in the vicinity of the appropriate Resource Manager's office.
    (c) Permits for nonfloating structures (issued under the authority 
of Sec. 327.30) of any kind constructed, placed in or affecting waters 
of water resource development projects where such waters are deemed 
navigable waters of the U.S. shall be issued under the provisions of 
section 10 of the Act approved March 3, 1899 (33 U.S.C. 403). If a 
discharge of dredged or fill material in these waters is involved, a 
permit is required under section 404 of the Clean Water Act (33 U.S.C. 
1344). (See 33 CFR parts 320-330).
    (d) Permits for nonfloating structures (issued under the authority 
of Sec. 327.30) of any kind in waters of water resource development 
projects, where such waters are under the management of the Corps of 
Engineers and where such waters are not deemed navigable waters of the 
United States shall be issued as set forth in paragraph (b) of this 
section. If a discharge of dredged or fill material into any water of 
the United States is involved, a permit is required under Section 404 of 
the Clean Water Act (33 U.S.C. 1344) (See 33 CFR parts 320-330). 
Certification may be required pursuant to section 401 of the Clean Water 
Act (33 U.S.C. 1341).



Sec. 327.20  Unauthorized structures.

    The construction, placement, or existence of any structure 
(including, but not limited to, roads, trails, signs or landscape 
features) of any kind under, upon, in or over the project lands or 
waters is prohibited unless a permit, lease, license or other 
appropriate written agreement has been issued by the District Engineer. 
The design, construction, placement, existence or use of structures in 
violation of the terms of the permit, lease, license or other written 
agreement is prohibited. The government shall not be liable for the loss 
of, or damage to, any private structures, whether authorized or not, 
placed on project lands or waters. Unauthorized structures are subject 
to summary removal or impoundment by the District Engineer.



Sec. 327.21  Special events.

    (a) Special events including, but not limited to, water carnivals, 
boat regattas, music festivals, dramatic presentations or other special 
recreation programs are prohibited unless written permission has been 
granted by the District Engineer. An appropriate fee

[[Page 12]]

may be charged under the authority of Sec. 327.23.
    (b) The public shall not be charged any fee by the sponsor of such 
event unless the District Engineer has approved in writing (and the 
sponsor has properly posted) the proposed schedule of fees. The District 
Engineer shall have authority to revoke permission and require removal 
of any equipment upon failure of the sponsor to comply with terms and 
conditions of the permit/permission or the regulations in this part 327.



Sec. 327.22  Unauthorized occupation.

    (a) Occupying any lands, buildings, vessels or other facilities 
within water resource development projects for the purpose of 
maintaining same as a full- or part-time residence without the written 
permission of the District Engineer is prohibited. The provisions of 
this section shall not apply to the occupation of lands for the purpsose 
of camping, in accordance with the provisions of Sec. 327.7.
    (b) Use of project lands or waters for agricultural purposes is 
prohibited except when in compliance with terms and conditions 
authorized by lease, license or other written agreement issued by the 
District Engineer.



Sec. 327.23  Recreation use fees.

    (a) In accordance with 16 U.S.C. 4601, the Corps of Engineers is 
required to collect special recreation use fees and/or special permit 
fees for the use of specialized sites, facilities, equipment or services 
related to outdoor recreation furnished at Federal expense.
    (b) All use fees shall be fair and equitable and will be based on 
the following criteria (as contained in the Land and Water Conservation 
Fund Act of 1965, Pub. L. 88-578, as amended):

    (1) The direct and indirect amount of Federal expenditure.
    (2) The benefit to the recipient.
    (3) The public policy or interest served.
    (4) The comparable recreation fees charged by other Federal and non-
Federal public agencies and the private sector within the service area 
of the management unit at which the fee is charged.
    (5) The economic and administrative feasibility of fee collection.
    (6) The extent of regular maintenance required.
    (7) Other pertinent factors.

Based upon the above criteria, it shall be the policy of the Chief of 
Engineers to publish in the Federal Register, as a general notice 
document, the established range of fees for specialized sites, 
facilities, equipment or services whenever such fees are adjusted.
    (c) Where such fees are charged, the District Engineer shall insure 
that clear notice of fee requirements is prominently posted at each 
area, and at appropriate locations therein and that the notice be 
included in publications distributed at such areas. Failure to pay 
authorized recreation use fees as established pursuant to Pub. L. 88-
578, 78 Stat. 897, as amended (16 U.S.C. 4601-6a), is prohibited and is 
punishable by a fine of not more than $100.
    (d) Any Golden Age or Golden Access Passport permittee shall be 
entitled, upon presentation of such a permit, to utlilize special 
recreation facilities at a rate of 50 percent off the established use 
fee at federally operated areas.
    (e) At each Corps lake or reservoir where camping is permitted, the 
District Engineer will provide at least one primitive campground, 
containing designated campsites, sanitary facilities and vehicular 
access, where no fees will be charged.



Sec. 327.24  Interference with Government employees.

    (a) It is a Federal crime pursuant to the provisions of sections 
1114 and 111 of title 18 U.S.C., to forcibly assault, resist, oppose, 
impede, intimidate, or interfere with any civilian official or employee 
of the U.S. Army Corps of Engineers engaged in the performance of his or 
her official duties, or on account of the performance of his or her 
official duties. Such actions or interference directed against a Federal 
employee while carrying out these regulations are also a violation of 
these regulations and may be a state crime pursuant to the laws of the 
state where they occur.
    (b) Failure to comply with a lawful order issued by a Federal 
employee acting pursuant to these regulations

[[Page 13]]

shall be considered as interference with that employee while engaged in 
the performance of their official duties. Such interference with a 
Federal employee includes failure to provide a correct name, address or 
other identification upon request of the Federal employee, when that 
employee is authorized by the District Engineer to issue citations in 
the performance of the employees official duties.



Sec. 327.25  Violation of rules and regulations.

    (a) Any person who violates the provisions of these regulations, 
other than for a failure to pay authorized recreation use fees as 
separately provided for in Sec. 327.23, may be punished by a fine of not 
more than $500 or imprisonment for not more than six months or both and 
may be tried and sentenced in accordance with the provisions of section 
3401 of title 18 U.S.C. Persons designated by the District Engineer 
shall have the authority to issue a citation for violation of these 
regulations, requiring the appearance of any person charged with the 
violation to appear before the United States Magistrate within whose 
jurisdiction the affected water resources development project is 
located. (16 U.S.C. 460d).
    (b) Any person who commits an act against any official or employee 
of the U.S. Army Corps of Engineers that is a crime under the provisions 
of section 1114 or section 111 of title 18 U.S.C. or under provisions of 
pertinent state law may be tried and sentenced as further provided in 
Federal or state law, as the case may be.



Sec. 327.26  State and local laws.

    Except as otherwise provided herein or by Federal law or regulation, 
state and local laws and ordinances shall apply on project lands and 
waters. This includes, but is not limited to, state and local laws and 
ordinances governing:
    (a) Operation and use of motor vehicles, vessels, and aircraft;
    (b) Hunting, fishing and trapping;
    (c) Use of firearms or other weapons;
    (d) Civil disobedience and criminal acts; and,
    (e) Littering, sanitation and pollution.

These state and local laws and ordinances are enforced by those state 
and local enforcement agencies established and authorized for that 
purpose.



Secs. 327.27--327.29  [Reserved]



Sec. 327.30  Shoreline Management on Civil Works Projects.

    (a) Purpose. The purpose of this regulation is to provide policy and 
guidance on management of shorelines of Civil Works projects where 36 
CFR part 327 is applicable.
    (b) Applicability. This regulation is applicable to all field 
operating agencies with Civil Works responsibilities except when such 
application would result in an impingement upon existing Indian rights.
    (c) References. (1) Section 4, 1944 Flood Control Act, as amended 
(16 U.S.C. 460d).
    (2) The Rivers and Harbors Act of 1894, as amended and supplemented 
(33 U.S.C. 1)
    (3) Section 10, River and Harbor Act of 1899 (33 U.S.C. 403).
    (4) National Historic Preservation Act of 1966 (Pub. L. 89-665; 80 
Stat. 915) as amended (16 U.S.C. 470 et seq.).
    (5) The National Environmental Policy Act of 1969 (42 U.S.C. 4321, 
et seq.).
    (6) The Clean Water Act (33 U.S.C. 1344, et seq.).
    (7) The Water Resources Development Act of 1986 (Pub. L. 99-662).
    (8) Title 36, chapter III, part 327, Code of Federal Regulations, 
``Rules and Regulations Governing Public Use of Water Resource 
Development Projects Administered by the Chief of Engineers.''
    (9) Executive Order 12088 (13 Oct. 78).
    (10) 33 CFR parts 320-330, ``Regulatory Programs of the Corps of 
Engineers.''
    (11) ER 1130-2-400, ``Management of Natural Resources and Outdoor 
Recreation at Civil Works Water Resource Projects.''
    (12) EM 385-1-1, ``Safety and Health Requirements Manual.''
    (d) Policy. (1) It is the policy of the Chief of Engineers to 
protect and manage shorelines of all Civil Works water resource 
development projects under Corps jurisdiction in a manner which will 
promote the safe and healthful use of these shorelines by the public 
while maintaining environmental safeguards

[[Page 14]]

to ensure a quality resource for use by the public. The objectives of 
all management actions will be to achieve a balance between permitted 
private uses and resource protection for general public use. Public 
pedestrian access to and exit from these shorelines shall be preserved. 
For projects or portions of projects where Federal real estate interest 
is limited to easement title only, management actions will be 
appropriate within the limits of the estate acquired.
    (2) Private shoreline uses may be authorized in designated areas 
consistent with approved use allocations specified in Shoreline 
Management Plans. Except to honor written commitments made prior to 
publication of this regulation, private shoreline uses are not allowed 
on water resource projects where construction was initiated after 
December 13, 1974, or on water resource projects where no private 
shoreline uses existed as of that date. Any existing permitted 
facilities on these projects will be grandfathered until the facilities 
fail to meet the criteria set forth in Sec. 327.30(h).
    (3) A Shoreline Management Plan, as described in Sec. 327.30(e), 
will be prepared for each Corps project where private shoreline use is 
allowed. This plan will honor past written commitments. The plan will be 
reviewed at least once every five years and revised as necessary. 
Shoreline uses that do not interfere with authorized project purposes, 
public safety concerns, violate local norms or result in significant 
environmental effects should be allowed unless the public participation 
process identifies problems in these areas. If sufficient demand exists, 
consideration should be given to revising the shoreline allocations 
(e.g. increases/decreases). Maximum public participation will be 
encouraged as set forth in Sec. 327.30(e)(6). Except to honor written 
commitments made prior to the publication of this regulation, shoreline 
management plans are not required for those projects where construction 
was initiated after December 13, 1974, or on projects not having private 
shoreline use as of that date. In that case, a statement of policy will 
be developed by the district commander to present the shoreline 
management policy. This policy statement will be subject to the approval 
of the division commander. For projects where two or more agencies have 
jurisdiction, the plan will be cooperatively prepared with the Corps as 
coordinator.
    (4) Where commercial or other public launching and/or moorage 
facilities are not available within a reasonable distance, group owned 
mooring facilities may be allowed in Limited Development Areas to limit 
the proliferation of individual facilities. Generally only one permit 
will be necessary for a group owned mooring facility with that entity, 
if incorporated, or with one person from the organization designated as 
the permittee and responsible for all moorage spaces within the 
facility. No charge may be made for use of any permitted facility by 
others nor shall any commercial activity be engaged in thereon.
    (5) The issuance of a private shoreline use permit does not convey 
any real estate or personal property rights or exclusive use rights to 
the permit holder. The public's right of access and use of the permit 
area must be maintained and preserved. Owners of permitted facilities 
may take necessary precautions to protect their property from theft, 
vandalism or trespass, but may in no way preclude the public right of 
pedestrian or vessel access to the water surface or public land adjacent 
to the facility.
    (6) Shoreline Use Permits will only be issued to individuals or 
groups with legal right of access to public lands.
    (e) Shoreline Management Plan--
    (1) General. The policies outlined in Sec. 327.30(d) will be 
implemented through preparation of Shoreline Management Plans, where 
private shoreline use is allowed.
    (2) Preparation. A Shoreline Management Plan is prepared as part of 
the Operational Management Plan. A moratorium on accepting applications 
for new permits may be placed in effect from the time an announcement of 
creation of a plan or formal revision of a plan is made until the action 
is completed.
    (3) Approval. Approval of Shoreline Management Plans rests with 
division commanders. After approval, one copy of each project Shoreline 
Management

[[Page 15]]

Plan will be forwarded to HQUSACE (CECW-ON) WASH DC 20314-1000. Copies 
of the approved plan will also be made available to the public.
    (4) Scope and Format. The Shoreline Management Plan will consist of 
a map showing the shoreline allocated to the uses listed in 
Sec. 327.30(e)(6), related rules and regulations, a discussion of what 
areas are open or closed to specific activities and facilities, how to 
apply for permits and other information pertinent to the Corps 
management of the shoreline. The plan will be prepared in sufficient 
detail to ensure that it is clear to the public what uses are and are 
not allowed on the shoreline of the project and why. A process will be 
developed and presented in the Shoreline Management Plan that prescribes 
a procedure for review of activities requested but not specifically 
addressed by the Shoreline Management Plan.
    (5) Shoreline Allocation. The entire shoreline will be allocated 
within the classifications below and delineated on a map. Any action, 
within the context of this rule, which gives a special privilege to an 
individual or group of individuals on land or water at a Corps project, 
that precludes use of those lands and waters by the general public, is 
considered to be private shoreline use. Shoreline allocations cover that 
land and/or water extending from the edge of the water and waterward 
with the exception of allocations for the purpose of vegetation 
modification which extends landward to the project boundary. These 
allocations should complement, but certainly not contradict, the land 
classifications in the project master plan. A map of sufficient size and 
scale to clearly display the shoreline allocations will be conspicuously 
displayed or readily available for viewing in the project administration 
office and will serve as the authoritative reference. Reduced or smaller 
scale maps may be developed for public dissemination but the information 
contained on these must be identical to that contained on the display 
map in the project administration office. No changes will be made to 
these maps except through the formal update process. District commanders 
may add specific constraints and identify areas having unique 
characteristics during the plan preparation, review, or updating process 
in addition to the allocation classifications described below.
    (i) Limited Development Areas. Limited Development Areas are those 
areas in which private facilities and/or activities may be allowed 
consistent with Sec. 327.30(h) and appendix A. Modification of 
vegetation by individuals may be allowed only following the issuance of 
a permit in accordance with appendix A. Potential low and high water 
conditions and underwater topography should be carefully evaluated 
before shoreline is allocated as Limited Development Area.
    (ii) Public Recreation Areas. Public Recreation Areas are those 
areas designated for commercial concessionaire facilities, Federal, 
state or other similar public use. No private shoreline use facilities 
and/or activities will be permitted within or near designated or 
developed public recreation areas. The term ``near'' depends on the 
terrain, road system, and other local conditions, so actual distances 
must be established on a case by case basis in each project Shoreline 
Management Plan. No modification of land forms or vegetation by private 
individuals or groups of individuals is permitted in public recreation 
areas.
    (iii) Protected Shoreline Areas. Protected Shoreline Areas are those 
areas designated to maintain or restore aesthetic, fish and wildlife, 
cultural, or other environmental values. Shoreline may also be so 
designated to prevent development in areas that are subject to excessive 
siltation, erosion, rapid dewatering, or exposure to high wind, wave, or 
current action and/or in areas in which development would interfere with 
navigation. No Shoreline Use Permits for floating or fixed recreation 
facilities will be allowed in protected areas. Some modification of 
vegetation by private individuals, such as clearing a narrow meandering 
path to the water, or limited mowing, may be allowed only following the 
issuance of a permit if the resource manager determines that the 
activity will not adversely impact the environment or physical 
characteristics for which the area was designated as protected. In 
making this determination the effect

[[Page 16]]

on water quality will also be considered.
    (iv) Prohibited Access Areas. Prohibited Access Areas are those in 
which public access is not allowed or is restricted for health, safety 
or security reasons. These could include hazardous areas near dams, 
spillways, hydro-electric power stations, work areas, water intake 
structures, etc. No shoreline use permits will be issued in Prohibited 
Access Areas.
    (6) Public Participation. District commanders will ensure public 
participation to the maximum practicable extent in Shoreline Management 
Plan formulation, preparation and subsequent revisions. This may be 
accomplished by public meetings, group workshops, open houses or other 
public involvement techniques. When master plan updates and preparation 
of the Shoreline Management Plans are concurrent, public participation 
may be combined and should consider all aspects of both plans, including 
shoreline allocation classifications. Public participation will begin 
during the initial formulation stage and must be broad-based to cover 
all aspects of public interest. The key to successful implementation is 
an early and continual public relations program. Projects with 
significant numbers of permits should consider developing computerized 
programs to facilitate exchange of information with permittees and to 
improve program efficiency. Special care will be taken to advise citizen 
and conservation organizations; Federal, state and local natural 
resource management agencies; Indian Tribes; the media; commercial 
concessionaires; congressional liaisons; adjacent landowners and other 
concerned entities during the formulation of Shoreline Management Plans 
and subsequent revisions. Notices shall be published prior to public 
meetings to assure maximum public awareness. Public notices shall be 
issued by the district commander allowing for a minimum of 30 days for 
receipt of written public comment in regard to the proposed Shoreline 
Management Plan or any major revision thereto.
    (7) Periodic Review. Shoreline Management Plans will be reviewed 
periodically, but no less often than every five years, by the district 
commander to determine the need for update. If sufficient controversy or 
demand exists, consideration should be given, consistent with other 
factors, to a process of reevaluation of the shoreline allocations and 
the plan. When changes to the Shoreline Management Plan are needed, the 
plan will be formally updated through the public participation process. 
Cumulative environmental impacts of permit actions and the possibility 
of preparing or revising project NEPA documentation will be considered. 
District commanders may make minor revisions to the Shoreline Management 
Plan when the revisions are consistent with policy and funds for a 
complete plan update are not available. The amount and type of public 
involvement needed for such revision is at the discretion of the 
district commander.
    (f) Instruments for Shoreline Use. Instruments used to authorize 
private shoreline use facilities, activities or development are as 
follows:
    (1) Shoreline Use Permits. (i) Shoreline Use Permits are issued and 
enforced in accordance with provisions of 36 CFR 327.19.
    (ii) Shoreline Use Permits are required for private structures/
activities of any kind (except boats) in waters of Civil Works projects 
whether or not such waters are deemed navigable and where such waters 
are under the primary jurisdiction of the Secretary of the Army and 
under the management of the Corps of Engineers.
    (iii) Shoreline Use Permits are required for non-floating structures 
on waters deemed commercially non-navigable, when such waters are under 
management of the Corps of Engineers.
    (iv) Shoreline Use Permits are also required for land vegetation 
modification activities which do not involve disruption to land form.
    (v) Permits should be issued for a term of five years. To reduce 
administration costs, one year permits should be issued only when the 
location or nature of the activity requires annual reissuance.
    (vi) Shoreline Use Permits for erosion control may be issued for the 
life or period of continual ownership of the structure by the permittee 
and his/her legal spouse.

[[Page 17]]

    (2) Department of the Army Permits. Dredging, construction of fixed 
structures, including fills and combination fixed-floating structures 
and the discharge of dredged or fill material in waters of the United 
States will be evaluated under authority of section 10, River and Harbor 
Act of 1899 (33 U.S.C. 403) and section 404 of the Clean Water Act (33 
U.S.C. 1344). Permits will be issued where appropriate.
    (3) Real Estate Instruments. Commercial development activities and 
activities which involve grading, cuts, fills, or other changes in land 
form, or establishment of appropriate land-based support facilities 
required for private floating facilities, will continue to be covered by 
a lease, license or other legal grant issued through the appropriate 
real estate element. Shoreline Management Plans should identify the 
types of activities that require real estate instruments and indicate 
the general process for obtaining same. Shoreline Use Permits are not 
required for facilities or activities covered by a real estate 
instrument.
    (g) Transfer of Permits. Shoreline Use Permits are non-transferable. 
They become null and void upon sale or transfer of the permitted 
facility or the death of the permittee and his/her legal spouse.
    (h) Existing Facilities Now Under Permit. Implementation of a 
Shoreline Management Plan shall consider existing permitted facilities 
and prior written Corps commitments implicit in their issuance. 
Facilities or activities permitted under special provisions should be 
identified in a way that will set them apart from other facilities or 
activities.
    (1) Section 6 of Pub. L. 97-140 provides that no lawfully installed 
dock or appurtenant structures shall be required to be removed prior to 
December 31, 1989, from any Federal water resources reservoir or lake 
project administered by the Secretary of the Army, acting through the 
Chief of Engineers, on which it was located on December 29, 1981, if 
such property is maintained in usable condition, and does not occasion a 
threat to life or property.
    (2) In accordance with section 1134(d) of Pub. L. 99-662, any 
houseboat, boathouse, floating cabin or lawfully installed dock or 
appurtenant structures in place under a valid shoreline use permit as of 
November 17, 1986, cannot be forced to be removed from any Federal water 
resources project or lake administered by the Secretary of the Army on 
or after December 31, 1989, if it meets the three conditions below 
except where necessary for immediate use for public purposes or higher 
public use or for a navigation or flood control project.
    (i) Such property is maintained in a usable and safe condition,
    (ii) Such property does not occasion a threat to life or property, 
and
    (iii) The holder of the permit is in substantial compliance with the 
existing permit.
    (3) All such floating facilities and appurtenances will be formally 
recognized in an appropriate Shoreline Management Plan. New permits for 
these permitted facilities will be issued to new owners. If the holder 
of the permit fails to comply with the terms of the permit, it may be 
revoked and the holder required to remove the structure, in accordance 
with the terms of the permit as to notice, time, and appeal.
    (i) Facility Maintenance. Permitted facilities must be operated, 
used and maintained by the permittee in a safe, healthful condition at 
all times. If determined to be unsafe, the resource manager will 
establish together with the permittee a schedule, based on the 
seriousness of the safety deficiency, for correcting the deficiency or 
having it removed, at the permittee's expense. The applicable safety and 
health prescriptions in EM 385-1-1 should be used as a guide.
    (j) Density of Development. The density of private floating and 
fixed recreation facilities will be established in the Shoreline 
Management Plan for all portions of Limited Development areas consistent 
with ecological and aesthetic characteristics and prior written 
commitments. The facility density in Limited Development Areas should, 
if feasible, be determined prior to the development of adjacent private 
property. The density of facilities will not be more than 50 per cent of 
the Limited Development Area in which they are

[[Page 18]]

located. Density will be measured by determining the linear feet of 
shoreline as compared to the width of the facilities in the water plus 
associated moorage arrangements which restrict the full unobstructed use 
of that portion of the shoreline. When a Limited Development Area or a 
portion of a Limited Development area reaches maximum density, notice 
should be given to the public and facility owners in that area that no 
additional facilities will be allowed. In all cases, sufficient open 
area will be maintained for safe maneuvering of watercraft. Docks should 
not extend out from the shore more than one-third of the width of a cove 
at normal recreation or multipurpose pool. In those cases where current 
density of development exceeds the density level established in the 
Shoreline Management Plan, the density will be reduced to the prescribed 
level through attrition.
    (k) Permit Fees. Fees associated with the Shoreline Use Permits 
shall be paid prior to issuing the permit in accordance with the 
provisions of Sec. 327.30(c)(1). The fee schedule will be published 
separately.

Appendix A to Sec. 327.30--Guidelines for Granting Shoreline Use Permits

                               1. General

    a. Decisions regarding permits for private floating recreation 
facilities will consider the operating objectives and physical 
characteristics of each project. In developing Shoreline Management 
Plans, district commanders will give consideration to the effects of 
added private boat storage facilities on commercial concessions for that 
purpose. Consistent with established policies, new commercial 
concessions may be alternatives to additional limited development 
shoreline.
    b. Permits for individually or group owned shoreline use facilities 
may be granted only in Limited Development Areas when the sites are not 
near commercial marine services and such use will not despoil the 
shoreline nor inhibit public use or enjoyment thereof. The installation 
and use of such facilities will not be in conflict with the preservation 
of the natural characteristics of the shoreline nor will they result in 
significant environmental damage. Charges will be made for Shoreline Use 
Permits in accordance with the separately published fee schedule.
    c. Permits may be granted within Limited Development Areas for ski 
jumps, floats, boat moorage facilities, duck blinds, and other private 
floating recreation facilities when they will not create a safety hazard 
and inhibit public use or enjoyment of project waters or shoreline. A 
Corps permit is not required for temporary ice fishing shelters or duck 
blinds when they are regulated by a state program. When the facility or 
activity is authorized by a shoreline use permit, a separate real estate 
instrument is generally not required.
    d. Group owned boat mooring facilities may be permitted in Limited 
Development Areas where practicable (e.g. where physically feasible in 
terms of access, water depths, wind protection, etc.).

                2. Applications for Shoreline Use Permits

    a. Applications for private Shoreline Use Permits will be reviewed 
with full consideration of the policies set forth in this and referenced 
regulations, and the Shoreline Management Plan. Fees associated with the 
Shoreline Use Permit shall be paid prior to issuing the permit. Plans 
and specifications of the proposed facility shall be submitted and 
approved prior to the start of construction. Submissions should include 
engineering details, structural design, anchorage method, and 
construction materials; the type, size, location and ownership of the 
facility; expected duration of use; and an indication of willingness to 
abide by the applicable regulations and terms and conditions of the 
permit. Permit applications shall also identify and locate any land-
based support facilities and any specific safety considerations.
    b. Permits will be issued by the district commander or his/her 
authorized representative on ENG Form 4264-R (Application for Shoreline 
Use Permit) (appendix B). Computer generated forms may be substituted 
for ENG Form 4264-R provided all information is included. The computer 
generated form will be designated, ``ENG Form 4264-R-E, Oct 87 
(Electronic generation approved by USACE, Oct 87)''.
    c. The following are guides to issuance of Shoreline Use Permits:
    (1) Use of boat mooring facilities, including piers and boat 
(shelters) houses, will be limited to vessel or watercraft mooring and 
storage of gear essential to vessel or watercraft operation.
    (2) Private floating recreation facilities, including boat mooring 
facilities shall not be constructed or used for human habitation or in a 
manner which gives the appearance of converting Federal public property 
on which the facility is located to private, exclusive use. New docks 
with enclosed sides (i.e. boathouses) are prohibited.
    (3) No private floating facility will exceed the minimum size 
required to moor the owner's boat or boats plus the minimum size 
required for an enclosed storage locker of oars, life preservers and 
other items essential to

[[Page 19]]

watercraft operation. Specific size limitations may be established in 
the project Shoreline Management Plan.
    (4) All private floating recreation facilities including boat 
mooring facilities will be constructed in accordance with plans and 
specifications, approved by the resource manager, or a written 
certification from a licensed engineer, stating the facility is 
structurally safe will accompany the initial submission of the plans and 
specifications.
    (5) Procedures regarding permits for individual facilities shall 
also apply to permits for non-commercial group mooring facilities.
    (6) Facilities attached to the shore shall be securely anchored by 
means of moorings which do not obstruct the free use of the shoreline, 
nor damage vegetation or other natural features. Anchoring to vegetation 
is prohibited.
    (7) Electrical service and equipment leading to or on private 
mooring facilities must not pose a safety hazard nor conflict with other 
recreational use. Electrical installations must be weatherproof and meet 
all current applicable electrical codes and regulations. The facility 
must be equipped with quick disconnect fittings mounted above the flood 
pool elevation. All electrical installations must conform to the 
National Electric Code and all state, and local codes and regulations. 
In those states where electricians are licensed, registered, or 
otherwise certified, a copy of the electrical certification must be 
provided to the resource manager before a Shoreline Use Permit can be 
issued or renewed. The resource manager will require immediate removal 
or disconnection of any electrical service or equipment that is not 
certified (if appropriate), does not meet code, or is not safely 
maintained. All new electrical lines will be installed underground. This 
will require a separate real estate instrument for the service right-of-
way. Existing overhead lines will be allowed, as long as they meet all 
applicable electrical codes, regulations and above guidelines, to 
include compatibility and safety related to fluctuating water levels.
    (8) Private floating recreation facilities will not be placed so as 
to interfere with any authorized project purposes, including navigation, 
or create a safety or health hazard.
    (9) The district commander or his/her authorized representative may 
place special conditions on the permit when deemed necessary. Requests 
for waivers of shoreline management plan permit conditions based on 
health conditions will be reviewed on a case by case basis by the 
Operations Manager. Efforts will be made to reduce onerous requirements 
when a limiting health condition is obvious or when an applicant 
provides a doctor's certification of need for conditions which are not 
obvious.
    (10) Vegetation modification, including but not limited to, cutting, 
pruning, chemical manipulation, removal or seeding by private 
individuals is allowed only in those areas designated as Limited 
Development Areas or Protected Shoreline Areas. An existing (as of July 
1, 1987) vegetation modification permit, within a shoreline allocation 
which normally would not allow vegetation modification, should be 
grandfathered. Permittees will not create the appearance of private 
ownership of public lands.
    (11) The term of a permit for vegetation modification will be for 
five years. Where possible, such permits will be consolidated with other 
shoreline management permits into a single permit. The district 
commander is authorized to issue vegetation modification permits of less 
than five years for one-time requests or to aid in the consolidation of 
shoreline management permits.
    (12) When issued a permit for vegetative modification, the permittee 
will delineate the government property line, as surveyed and marked by 
the government, in a clear but unobtrusive manner approved by the 
district commander and in accordance with the project Shoreline 
Management Plan and the conditions of the permit. Other adjoining owners 
may also delineate the common boundary subject to these same conditions. 
This delineation may include, but is not limited to, boundary plantings 
and fencing. The delineation will be accomplished at no cost to the 
government.
    (13) No permit will be issued for vegetation modification in 
Protected Shoreline Areas until the environmental impacts of the 
proposed modification are assesed by the resource manager and it has 
been determined that no significant adverse impacts will result. The 
effects of the proposed modification on water quality will also be 
considered in making this determination.
    (14) The original of the completed permit application is to be 
retained by the permittee. A duplicate will be retained in the resource 
manager's office.

                          3. Permit Revocation

    Permits may be revoked by the district commander when it is 
determined that the public interest requires such revocation or when the 
permittee fails to comply with terms and conditions of the permit, the 
Shoreline Management Plan, or of this regulation. Permits for duck 
blinds and ice fishing shelters will be issued to cover a period not to 
exceed 30 days prior to and 30 days after the season.

                        4. Removal of Facilities

    Facilities not removed when specified in the permit or when 
requested after termination or revocation of the permit will be treated 
as unauthorized structures pursuant to 36 CFR 327.20.

[[Page 20]]

                       5. Posting of Permit Number

    Each district will procure 5" x 8" or larger printed permit tags of 
light metal or plastic for posting. The permit display tag shall be 
posted on the facility and/or on the land area covered by the permit, so 
that it can be visually checked, with ease in accordance with 
instructions provided by the resource manager. Facilities or activities 
permitted under special provisions should be identified in a way that 
will set apart from other facilities or activities.

    Appendix B to Sec. 327.30--Application for Shoreline Use Permit 
                               [Reserved]

       Appendix C to Sec. 327.30--Shoreline Use Permit Conditions

    1. This permit is granted solely to the applicant for the purpose 
described on the attached permit.
    2. The permittee agrees to and does hereby release and agree to save 
and hold the Government harmless from any and all causes of action, 
suits at law or equity, or claims or demands or from any liability of 
any nature whatsoever for or on account of any damages to persons or 
property, including a permitted facility, growing out of the ownership, 
construction, operation or maintenance by the permittee of the permitted 
facilities and/or activities.
    3. Ownership, construction, operation, use and maintenance of a 
permitted facility are subject to the Government's navigation servitude.
    4. No attempt shall be made by the permittee to forbid the full and 
free use by the public of all public waters and/or lands at or adjacent 
to the permitted facility or to unreasonably interfere with any 
authorized project purposes, including navigation in connection with the 
ownership, construction, operation or maintenance of a permitted 
facility and/or activity.
    5. The permittee agrees that if subsequent operations by the 
Government require an alteration in the location of a permitted facility 
and/or activity or if in the opinion of the district commander a 
permitted facility and/or activity shall cause unreasonable obstruction 
to navigation or that the public interest so requires, the permittee 
shall be required, upon written notice from the district commander to 
remove, alter, or relocate the permitted facility, without expense to 
the Government.
    6. The Government shall in no case be liable for any damage or 
injury to a permitted facility which may be caused by or result from 
subsequent operations undertaken by the Government for the improvement 
of navigation or for other lawful purposes, and no claims or right to 
compensation shall accrue from any such damage. This includes any damage 
that may occur to private property if a facility is removed for 
noncompliance with the conditions of the permit.
    7. Ownership, construction, operation, use and maintenance of a 
permitted facility and/or activity are subject to all applicable 
Federal, state and local laws and regulations. Failure to abide by these 
applicable laws and regulations may be cause for revocation of the 
permit.
    8. This permit does not convey any property rights either in real 
estate or material; and does not authorize any injury to private 
property or invasion of private rights or any infringement of Federal, 
state or local laws or regulations, nor does it obviate the necessity of 
obtaining state or local assent required by law for the construction, 
operation, use or maintenance of a permitted facility and/or activity.
    9. The permittee agrees to construct the facility within the time 
limit agreed to on the permit issuance date. The permit shall become 
null and void if construction is not completed within that period. 
Further, the permittee agrees to operate and maintain any permitted 
facility and/or activity in a manner so as to provide safety, minimize 
any adverse impact on fish and wildlife habitat, natural, environmental, 
or cultural resources values and in a manner so as to minimize the 
degradation of water quality.
    10. The permittee shall remove a permitted facility within 30 days, 
at his/her expense, and restore the waterway and lands to a condition 
accepted by the resource manager upon termination or revocation of this 
permit or if the permittee ceases to use, operate or maintain a 
permitted facility and/or activity. If the permittee fails to comply to 
the satisfaction of the resource manager, the district commander may 
remove the facility by contract or otherwise and the permittee agrees to 
pay all costs incurred thereof.
    11. The use of a permitted boat dock facility shall be limited to 
the mooring of the permittee's vessel or watercraft and the storage, in 
enclosed locker facilities, of his/her gear essential to the operation 
of such vessel or watercraft.
    12. Neither a permitted facility nor any houseboat, cabin cruiser, 
or other vessel moored thereto shall be used as a place of habitation or 
as a full or part-time residence or in any manner which gives the 
appearance of converting the public property, on which the facility is 
located, to private use.
    13. Facilities granted under this permit will not be leased, rented, 
sub-let or provided to others by any means of engaging in commercial 
activity(s) by the permittee or his/her agent for monetary gain. This 
does not preclude the permittee from selling total ownership to the 
facility.

[[Page 21]]

    14. Floats and the flotation material for all docks and boat mooring 
buoys shall be fabricated of materials manufactured for marine use. The 
float and its flotation material shall be 100% warranted for a minimum 
of 8 years against sinking, becoming waterlogged, cracking, peeling, 
fragmenting, or losing beads. All floats shall resist puncture and 
penetration and shall not be subject to damage by animals under normal 
conditions for the area. All floats and the flotation material used in 
them shall be fire resistant. Any float which is within 40 feet of a 
line carrying fuel shall be 100% impervious to water and fuel. The use 
of new or recycled plastic or metal drums or non-compartmentalized air 
containers for encasement or floats is prohibited. Existing floats are 
authorized until it or its flotation material is no longer serviceable, 
at which time it shall be replaced with a float that meets the 
conditions listed above. For any floats installed after the effective 
date of this specification, repair or replacement shall be required when 
it or its flotation material no longer performs its designated function 
or it fails to meet the specifications for which it was originally 
warranted.
    15. Permitted facilities and activities are subject to periodic 
inspection by authorized Corps representatives. The resource manager 
will notify the permittee of any deficiencies and together establish a 
schedule for their correction. No deviation or changes from approved 
plans will be allowed without prior written approval of the resource 
manager.
    16. Floating facilities shall be securely attached to the shore in 
accordance with the approved plans by means of moorings which do not 
obstruct general public use of the shoreline or adversely affect the 
natural terrain or vegetation. Anchoring to vegetation is prohibited.
    17. The permit display tag shall be posted on the permitted facility 
and/or on the land areas covered by the permit so that it can be 
visually checked with ease in accordance with instructions provided by 
the resource manager.
    18. No vegetation other than that prescribed in the permit will be 
damaged, destroyed or removed. No vegetation of any kind will be 
planted, other than that specifically prescribed in the permit.
    19. No change in land form such as grading, excavation or filling is 
authorized by this permit.
    20. This permit is non-transferable. Upon the sale or other transfer 
of the permitted facility or the death of the permittee and his/her 
legal spouse, this permit is null and void.
    21. By 30 days written notice, mailed to the permittee by certified 
letter, the district commander may revoke this permit whenever the 
public interest necessitates such revocation or when the permittee fails 
to comply with any permit condition or term. The revocation notice shall 
specify the reasons for such action. If the permittee requests a hearing 
in writing to the district commander through the resource manager within 
the 30-day period, the district commander shall grant such hearing at 
the earliest opportunity. In no event shall the hearing date be more 
than 60 days from the date of the hearing request. Following the 
hearing, a written decision will be rendered and a copy mailed to the 
permittee by certified letter.
    22. Notwithstanding the conditions cited in condition 21 above, if 
in the opinion of the district commander, emergency circumstances 
dictate otherwise, the district commander may summarily revoke the 
permit.
    23. When vegetation modification on these lands is accomplished by 
chemical means, the program will be in accordance with appropriate 
Federal, state and local laws, rules and regulations.
    24. The resource manager or his/her authorized representative shall 
be allowed to cross the permittee's property, as necessary to inspect 
facilities and/or activities under permit.
    25. When vegetation modification is allowed, the permittee will 
delineate the government property line in a clear, but unobtrusive 
manner approved by the resource manager and in accordance with the 
project Shoreline Management Plan.
    26. If the ownership of a permitted facility is sold or transferred, 
the permittee or new owner will notify the Resource Manager of the 
action prior to finalization. The new owner must apply for a Shoreline 
Use Permit within 14 days or remove the facility and restore the use 
area within 30 days from the date of ownership transfer.
    27. If permitted facilities are removed for storage or extensive 
maintenance, the resource manager may require all portions of the 
facility be removed from public property.

              Appendix D to Sec. 327.30--Permit [Reserved]

[55 FR 30697, July 27, 1990, as amended at 57 FR 21895, May 26, 1992; 57 
FR 29220, July 1, 1992; 63 FR 35828, July 1, 1998]

    Effective Date Note 1: The amendment to Sec. 327.30 revising the 
last sentence of paragraph (k), published at 56 FR 29587, June 28, 1991, 
was deferred indefinitely. See 56 FR 49706, Oct. 1, 1991. The 
administrative charges contained in Sec. 327.30, Shoreline Management on 
Civil Works Projects, published in the July 1, 1991 edition of the Code 
of Federal Regulations will remain in effect. Any future decisions 
affecting this regulation will be published in the Federal Register

[[Page 22]]

at a later date by the Corps of Engineers, Department of the Army. For 
the convenience of the user, the rule published on June 28, 1991, at FR 
page 29587, is set forth as follows:

Sec. 327.30  Shoreline Management on Civil Works Projects.

                                * * * * *

    (k) * * * The Fee Schedule is published in Sec. 327.31.

    Effective Date Note 2: At 63 FR 35828, July 1, 1998, Appendix A to 
Sec. 327.30 was amended by revising paragraph 2c(9), and Appendix C to 
Sec. 327.30 was amended by revising paragraph 14, effective Aug. 17, 
1998. For the convenience of the user, the superseded text follows:

Sec. 327.30  Shoreline Management on Civil Works Projects.

                                * * * * *

Appendix A to Sec. 327.30--Guidelines for Granting Shoreline Use Permits

                                * * * * *

    2. * * *
    c. * * *

    (9) The district commander of his/her authorized representative may 
place special conditions on the permit when deemed necessary.

                                * * * * *

       Appendix C to Sec. 327.30--Shoreline Use Permit Conditions

                                * * * * *

    14. On all new docks and boat mooring buoys, floatation shall be of 
materials which will not become waterlogged (not over 1\1/2\ percent by 
volume ASTM), is resistant to damage by animals, and will not sink or 
contaminate the water if punctured. No metal covered or injected drum 
floatation will be allowed. Foam bead floatation that is not subject to 
deterioration through loss of beads, meets the above criteria, and has a 
minimum density of 1.2 lb/cu ft. is authorized. Foam bead floatation 
with a density of 1.0 lb/cu ft. but does not otherwise meet the above 
criteria is authorized provided it is encased in an approved protective 
coating which enables it to meet the specifications above. An approved 
coating is defined as warranted by the manufacturer for a period of a 
least eight years against cracking, peeling, sloughing and deterioration 
from ultra violet rays, while retaining its resiliency against ice and 
bumps by watercraft. Existing floatation will be authorized until it has 
severely deteriorated and is no longer serviceable or capable of 
supporting the structure, at which time it should be replaced with 
approved floatation.

                                * * * * *



Sec. 327.31  Shoreline management fee schedule.

    A charge will be made for Shoreline Use Permits to help defray 
expenses associated with issuance and administration of the permits. As 
permits become eligible for renewal after July 1, 1976, a charge of $10 
for each new permit and a $5 annual fee for inspection of floating 
facilities will be made. There will be no annual inspection fee for 
permits for vegetative modification on Shoreline areas. In all cases the 
total administrative charge will be collected initially at the time of 
permit issuance rather than on a piecemeal annual basis.
[56 FR 61163, Dec. 2, 1991; 56 FR 65190, Dec. 16, 1991]



PART 328--REGULATION OF SEAPLANE OPERATIONS AT CIVIL WORKS WATER RESOURCE DEVELOPMENT PROJECTS ADMINISTERED BY THE CHIEF OF ENGINEERS--Table of Contents




Sec.
328.1  Purpose.
328.2  Applicability.
328.3  References.
328.4  Policy.
328.5  Guidelines for seaplane use of project waters.
328.6  Procedures.
328.7  Other authorities.

    Authority: Sec. 4 of the Act of Dec. 22, 1944, 58 Stat. 889, as 
amended, (16 U.S.C. 460d).

    Source: 42 FR 59076, Nov. 15, 1977, unless otherwise noted.



Sec. 328.1  Purpose.

    This regulation, in connection with the modification of the present 
prohibition of seaplane operations by the amendment to Sec. 327.4 of 
title 36 of the Code of Federal Regulations, is designed to provide 
uniform policies and criteria for designating Corps projects, or 
portions thereof, at which seaplane

[[Page 23]]

operations are prohibited or restricted; and to continue to protect the 
integrity and all authorized uses of such projects and the safety of 
users of such projects. As used in this regulation, projects or Corps 
projects means water resources development projects administered by the 
Chief of Engineers.



Sec. 328.2  Applicability.

    This regulation is applicable to all Field Operating Agencies having 
Civil Works responsibilities.



Sec. 328.3  References.

    (a) Title 36 CFR, part 327, Rules and Regulations Governing Public 
Use of Water Resource Development Projects Administered by the Chief of 
Engineers (38 FR 7552, March 23, 1973).
    (b) ER 1105-2-507.
    (c) ER 1130-2-400.
    (d) ER 1145-2-301.
    (e) ER 1145-2-303.
    (f) ER 1165-2-400.
    (g) ER 405-2-800 Series.



Sec. 328.4  Policy.

    (a) The objective of Corps of Engineers resources management is to 
maximize public enjoyment and use of the lands, waters, forests, and 
associated recreational resources, consistent with their aesthetic and 
biological values. Such management includes efforts to preserve and 
enhance the environmental amenities that are the source of the 
recreational value associated with the project and to allow such other 
new and innovative uses of the projects that are not detrimental 
thereto.
    (b) Seaplane operations at water resource development projects 
administered by the Chief of Engineers may involve hazards including, 
but not limited to, conflicting recreational activities, floating 
debris, and underwater hazards, which may be accentuated by the normal 
fluctutations of water levels.
    (c) Seaplane operations may be prohibited or restricted at such 
water resource development projects, or portions thereof, for a variety 
of management reasons. Prohibiting or restricting seaplane operations in 
certain portions within a project in no way implies that safety hazards 
to seaplane operations or to other recreation users may not exist in 
other portions of such project.
    (d) The operation of a seaplane at Corps projects is at the risk of 
the plane's owner, operator, and passenger(s). The responsibility to 
ascertain whether seaplane operations are permitted, prohibited or 
restricted at such projects, and portions thereof, is incumbent upon the 
person(s) contemplating the use of, or using, such waters.



Sec. 328.5  Guidelines for seaplane use of project waters.

    (a) All operations of the aircraft while upon the water shall be in 
accordance with the marine rules of the road for power boats or vessels.
    (b) Seaplanes on project waters and lands in excess of 24 hours 
shall be securely moored at mooring facilities and at locations 
permitted by the District Engineer. Seaplanes may be temporarily moored 
on project waters and lands, except in areas prohibited by the District 
Engineer, for periods less than 24 hours providing that--
    (1) The mooring is safe, secure, and accomplished so as not to 
damage the rights of the government or members of the public and
    (2) The operator remains in the vicinity of the seaplane and 
reasonably available to relocate the seaplane if necessary.
    (c) No commercial operation of seaplanes from project waters will be 
allowed without written approval of the District Engineer following 
consultation with and the necessary clearance from the Federal Aviation 
Administration (FAA) and other appropriate public authorities and 
affected interests.
    (d) Seaplanes may not be operated at Corps projects between sunset 
and sunrise unless adequate lighting and supervision are available.
    (e) Requests for public commercial facilities in support of 
seaplanes will be handled under normal concession policies.
    (f) Permits for floating and nonfloating structures of any kind, in, 
on, or affecting project waters, under the management of the Resource 
Manager, including waters under lease, license or other outgrant 
agreement, shall be

[[Page 24]]

handled in accordance with the lakeshore management plan or policy 
statement for the project involved, Sec. 327.19 of title 36, Code of 
Federal Regulations and, where required by statute or regulation, 
section 10 of the River and Harbor Act (approved March 3, 1899) and 
section 404 of the Federal Water Pollution Control Act of 1972 (Pub. L. 
92-500).
    (g) Appropriate signs should be employed to inform users of 
projects, or portions thereof, where seaplane operations are permitted.



Sec. 328.6  Procedures.

    (a) In order to protect the integrity and all authorized uses of 
Corps projects and the safety of all users of the lake projects, the 
District Engineer shall:
    (1) Examine and investigate each Corps project within his district 
which a seaplane operator could conceivably attempt to use for seaplane 
operations, and determine those projects, or portions thereof, in which 
seaplane operations should be prohibited.
    (2) Establish such restrictions on seaplane operations as he deems 
necessary or desirable in accordance with these regulations for other 
areas. Seaplane takeoff and landing maneuvers within specified distances 
of the shoreline, bridges, causeways, water utility crossings, dams, and 
similar structures should be prohibited.
    (3) Prior to concluding any such examination and investigation, 
consult with the FAA, appropriate State aeronautical agency, lessee or 
licensee of outgranted lands, the Coast Guard, and state boating law 
administrators, and use his best efforts to consult with other 
interested or affected public authorities and private interests for 
their guidance, particularly for those projects which are regularly used 
by the public for recreational purposes or are located in the vicinity 
of actively used airports, air fields, or densely populated areas. News 
releases, public notice, and congressional liaison should be used. 
Public hearings are encouraged.
    (4) In making his investigation, examination, and determination, 
consider environmental factors in accordance with the National 
Environmental Policy Act of 1969 (NEPA), Pub. L. 91-190--particularly 
should he consider the impact that seaplane operations may have on the 
safety at the project, aquatic, fish and wildlife, noise levels, 
recreation, and air and water quality. Prior to concluding such 
investigation and examination, he shall prepare an environmental impact 
assessment (EIA) and, if necessary, an environmental impact statement 
(EIS) assessing the environmental impacts of permitting seaplanes to 
operate at the projects, or portions thereof, in his district.
    (5) Place on Corps maps, brochures and otherwise adequately apprise 
the public and interested agencies of projects, or portions thereof, 
where seaplane operations are prohibited or restricted. Each map, 
brochure, or other notice should clearly indicate that operation of a 
seaplane at Corps projects is at the risk of the plane's owner, 
operator, and/or passenger(s).
    (6) Notify the FAA by letter of projects, or portions thereof, where 
seaplane operations are prohibited or restricted. The letter should use 
the words ``seaplane operations prohibited,'' or ``seaplane operations 
restricted,'' describe the geographical location of such areas as 
precisely as possible, describe any restrictions, include a telephone 
number for FAA to contact the District, and be sent to: Federal Aviation 
Administration, Area Traffic Service, Flight Services Division (AAT-
432), 800 Independence Avenue SW., Washington, DC 20591.
    (b) The removal of the present prohibition on seaplane operations 
will be effective one year from the date of publication of these 
regulations. The District Engineer should complete the examination, 
investigation, determination and notification to the FAA of projects, or 
portions thereof, where seaplane operations are prohibited or 
restricted, within one year from the date of this regulation. The 
District Engineer may extend the present prohibition for up to one 
additional year if he cannot complete his examination, investigation, 
determination, and notification within one year. In such event, he 
should notify the FAA by letter and publish other appropriate notices. 
Any

[[Page 25]]

further extension of time will require the approval of the Chief of 
Engineers.
    (c) After he has completed his examination, investigation, 
determination and notification of the FAA of projects, or portions 
thereof where seaplane operations will be prohibited or restricted, The 
District Engineer should periodically reevaluate his determination as 
additional operational data becomes available. He may modify, delete, or 
add projects, or portions thereof, where seaplane operations are 
prohibited or restricted. Except where immediate action is required, he 
should consult with appropriate public authorities and private interests 
for their guidance with regard to such actions. Notification of these 
actions shall be forwarded to the FAA as indicated in paragraph (a)(6) 
of this section.



Sec. 328.7  Other authorities.

    Nothing in the preceding provisions bestows authority to deviate 
from rules and regulations or prescribed standards of the State 
Aeronautical Agency, Federal Aviation Administration, Coast Guard, or 
other appropriate Federal, state, or local authority.



PART 330--REGULATION OF LAW ENFORCEMENT SERVICES CONTRACTS AT CIVIL WORKS WATER RESOURCE PROJECTS ADMINISTERED BY THE CHIEF OF ENGINEERS--Table of Contents




Sec.
330.1  Purpose.
330.2  Applicability.
330.3  References.
330.4  General.
330.5  Policy.
330.6  Criteria.
330.7  Funding.
330.8  Annual report.

    Authority: Sec. 120 of the Water Resource Development Act of 1976, 
90 Stat. 2917.

    Source: 42 FR 61986, Dec. 8, 1977, unless otherwise noted.



Sec. 330.1  Purpose.

    This regulation provides policy and guidance for the establishment 
and management of the contract law enforcement program including 
preparation of and management of contracts ensuing from this program.



Sec. 330.2  Applicability.

    This regulation is applicable to all field operating agencies having 
responsibilities for Civil Works water resource development projects.



Sec. 330.3  References.

    (a) Section 4 of the Flood Control Act of 1944, as amended (16 
U.S.C. 460d).
    (b) Section 234 of the River and Harbor and Flood Control Act of 
1970 (Pub. L. 91-611, 84 Stat. 1818).
    (c) Section 120 of the Water Resource Development Act of 1976 (Pub. 
L. 94-587, 90 Stat. 2917).
    (d) 36 CFR chapter III.
    (e) ER 190-2-3.
    (f) ER 190-3-4.



Sec. 330.4  General.

    (a) Section 120(a) of reference Sec. 330.3(c) authorizes the 
Secretary of the Army, acting through the Chief of Engineers, to 
contract with States and their political subdivisions for the purpose of 
obtaining increased law enforcement services at water resource 
development projects under the jurisdiction of the Secretary of the Army 
to meet needs during peak visitation periods.
    (b) Further, section 120(b) of the Act authorizes a maximum 
appropriation of up to $6,000,000 per fiscal year for the fiscal years 
ending 30 September 1978 and 30 September 1979, to carry out section 
120(a).



Sec. 330.5  Policy.

    (a) It is the policy of the Corps of Engineers to provide, to the 
extent of its authorities, a safe and healthful environment for public 
use of lands and waters at Civil Works water resource development 
projects. To insure this safe and healthful environment, and to augment 
the citation authorities granted to the Corps of Engineers by reference 
Sec. 330.3(b), District Engineers, subject to the authority of the 
Division Engineers, as set out below, are hereby delegated the authority 
to contract with States or their political subdivisions to obtain 
increased law enforcement services at Civil Works water resource 
development projects. Division Engineers are hereby delegated the 
authority to approve any minor deviations from this

[[Page 26]]

regulation except that any substantial deviations from the policies 
expressed within this regulation will require the prior approval of the 
Chief of Engineers or his authorized representative. Any required 
approval for deviation shall be made prior to the execution of the 
contract. When fiscal year 1978 and fiscal year 1979 work allowances are 
issued, instructions will be furnished on reporting requirements and the 
control of expenditures.
    (b) Contracts for law enforcement services, as authorized in 
Sec. 330.5(a), shall be subject to the terms and conditions as provided 
for within this regulation and in accordance with standard contracting 
and accounting procedures applicable to the Corps of Engineers.
    (c) This regulation is not intended to diminish or otherwise limit 
the existing law enforcement responsibilities of the State or local law 
enforcement agencies.
    (d) Contract law enforcement personnel shall not be given Federal 
citation authority for enforcement of regulations contained in title 36 
of the Code of Federal Regulations, Chapter III nor shall they be 
empowered to enforce such regulations. These regulations shall remain 
the responsibility of the Corps of Engineers.
    (e) Contracts for increased law enforcement shall be for those 
projects or portions of projects that are operated and maintained by the 
Corps of Engineers. Law enforcement services will not be provided under 
this program to those outgrant areas operated and maintained by a non-
Federal sponsor.



Sec. 330.6  Criteria.

    (a) In order to provide reimbursement for law enforcement services 
supplied by a State or local law enforcement agency, a contract must be 
executed and approved in accordance with this regulation prior to the 
provisions of such services.
    (b) The authorized contract law enforcement program extends only to 
30 September 1979. Law enforcement services acquired by contract under 
this program shall be limited to those increased law enforcement 
services required to meet the needs of the public during peak visitation 
periods. Accordingly, the contract period shall not extend beyond the 
dates of 1 April through 30 September inclusive, and in no event shall 
the contract be written for more than 120 days within that time period. 
The contract may provide for an option to renew for a similar, 
additional period not to exceed 120-day period in Fiscal Year 1979. Any 
exceptions to this criteria must be approved by the Chief of Engineers 
or his authorized representative.
    (c) Contracts shall be consummated only with those public law 
enforcement agencies legally empowered to enforce State and local 
criminal and civil laws within their respective political jurisdictions. 
In light of this requirement and the authority cited in Sec. 330.3(c), 
it is recognized that sole source negotiations may necessarily be 
utilized in the procurement of these services. In negotiating law 
enforcement contracts with these agencies the District Engineer must 
determine the reasonableness of the price for the law enforcement 
services offered under the contract. Such a determination shall be made 
prior to execution of the contract, in accordance with the applicable 
Contract Cost Principles and Procedures as set out in ASPR, section 15, 
part 7, and as subject to the policies contained in this regulation. 
Such a determination shall be contained in the official contract file 
and must accompany any requests for deviations from the Division 
Engineer or Chief of Engineers as provided for in Sec. 330.5(a) of this 
regulation. Contract law enforcement personnel must meet all the 
qualifications, including minimal law enforcement training, required by 
State and local laws and regulations.
    (d) The contractor shall provide all personnel, equipment and 
supplies which are required to provide the increased law enforcement 
services contracted for by the District Engineer. The Corps of Engineers 
shall not reimburse the contractor for the purchase of any equipment or 
supplies desired by the contractor for use under this program. However, 
the Corps of Engineers shall reimburse the contractor for the reasonable 
costs incurred by him in the rental or use of such equipment which is 
allocated to the work performed by him under the contract. Such use 
shall include:

[[Page 27]]

    (1) A depreciation or use allowance for such equipment as determined 
by the service life evaluation system used by the contractor, and (2) 
the costs of necessary maintenance, repair, and upkeep of the property 
which neither adds to the permanent value of the property nor 
appreciably prolongs its intended life, but keeps it at an efficient 
operating condition.
    (e) Reimbursement for law enforcement services shall be considered 
only for increased law enforcement services to meet needs during peak 
visitation periods. Each District Engineer shall evaluate and establish 
a normal law enforcement service standard for each contract situation 
and include such standard in the plan of operation to be developed in 
accordance with Sec. 330.6(h). Each District Engineer shall evaluate the 
existing law enforcement services now being provided by State or local 
law enforcement agencies at those water resources projects or recreation 
areas where it is anticipated that law enforcement service contracts may 
be executed, and determine the scope including the type and amount, of 
law enforcement service which exceeds the normal law enforcement 
standard, and which will become eligible for reimbursement under the 
contract. Normally, requests by the District Engineer or his authorized 
representative for emergency or unanticipated law enforcement assistance 
will be considered nonreimbursable. Increased law enforcement services, 
eligible for reimbursement under the terms of the contract, shall be 
those regularly scheduled patrols or surveillance in excess of the 
normal law enforcement standard presently being provided by the 
contractor.
    (f) An appropriate orientation program will be given by Corps 
personnel to all contract law enforcement personnel assigned to Corps 
projects. The purpose of this orientation will be to familiarize the 
contract law enforcement personnel with the policies and procedures of 
the Corps of Engineers, and to familiarize Corps personnel with the 
functions and duties of the State or local law enforcement agency. The 
Corps of Engineers shall reimburse the contractor for the cost per man 
hour as set out in Sec. 330.6(h)(4) for attending the orientation 
program.
    (g) The contractor shall be required to keep a record of the 
services provided to the District under the terms and conditions of the 
contract in accordance with the criteria established in the plan of 
operation required in Sec. 330.6(h).
    (h) The District Engineer, in cooperation with the Contractor, shall 
prepare a Plan of Operation for the Provision of law enforcement 
services as an attachment to the contract. The Plan of Operation shall 
contain, but not necessarily be limited to, the following information:
    (1) Identify, by name and location, the project or projects and 
specific areas (recreation and others) that require law enforcement 
services.
    (2) Describe the normal law enforcement services to be provided by 
the Contractor without reimbursement by the Government (see 
Sec. 330.6(e)). Identify time of day, number of hours-per-day number of 
days-per-week, and the number of patrols.
    (3) Describe the increased law enforcement services to be provided 
by the Contractor under the contract. Identify the time-of-day, number 
of hours-per-day, number of days-per-week, number of patrols, manpower 
per patrol, and effective starting and ending dates.
    (4) Identify the cost-per-man-hour for the provision of reimbursable 
law enforcement services, and identify the costs for utilization and 
operation, maintenance and repair of such equipment as allocated for use 
under the contract. (See Sec. 330.6(d).)
    (5) The District Engineer and the Contractor should designate 
specific individuals to issue or receive requests for reimbursable law 
enforcement services under the contract.
    (6) Describe the billing procedures to be utilized for the increased 
law enforcement services. The Contractor shall provide, at a minimum, 
the total charges, the number of hours involved, and starting and ending 
dates of the billing period.
    (7) The Contractor shall prepare a Daily Law Enforcement Log (see 
Sec. 330.6(g) for the law enforcement services rendered as specified in

[[Page 28]]

Sec. 330.6(h)(3)). These logs shall be compiled by the Contractor and 
submitted to the District Engineer or his designated representative on a 
regular basis throughout the life of the contract. It is intended by 
this reporting requirement to minimize the paperwork burden on behalf of 
the Contractor while, at the same time, providing assurance to the 
Government with an adequate information base on which to administer the 
law enforcement services being provided under the contract. Any 
requirement for additional information to be contained in these reports 
due to unique or special circumstances encountered in negotiating a Plan 
of Operation with a particular law enforcement jurisdiction must receive 
the prior approval of the Division Engineer.



Sec. 330.7  Funding.

    (a) Section 330.3(c) sets forth the maximum authorized funds for law 
enforcement contracting in FY 1978 and FY 1979. The Division funding 
levels for FY 1978 are based on information as previously submitted.
    (b) The FY 1979 funding request for law enforcement contracting will 
be submitted as part of the FY 1979 budget submittal.



Sec. 330.8  Annual report.

    (RCS-DAEN-CWO-53) The Division Engineer will submit a consolidated 
annual report to reach HQDA (DAEN-CWO-R) WASH DC 20314 not later than 30 
October. This requirement expires 30 October 1979. The report will 
contain the following:
    (a) Districts reporting.
    (b) Number assigned each contract.
    (c) Name of projects covered under each contract.
    (d) Number of man-hours of increased law enforcement services 
provided under each contract.
    (e) Total contract cost.
    (f) Cost per man-hour for each contract.
    (g) Corps of Engineers administrative or overhead costs associated 
with each contract.
    (h) Number of arrests and type of offense committed, i.e., assault, 
burglary, auto theft, etc.
    (i) The Division Engineers assessment of the effects of the contract 
law enforcement program and recommendation.



PART 331--REGULATIONS GOVERNING THE PROTECTION, USE AND MANAGEMENT OF THE FALLS OF THE OHIO NATIONAL WILDLIFE CONSERVATION AREA, KENTUCKY AND INDIANA--Table of Contents




Sec.
331.1  Applicability and scope.
331.2  Policy.
331.3  Hunting and trapping.
331.4  Fishing.
331.5  Explosives and fireworks.
331.6  Public property.
331.7  Sanitation.
331.8  Picnicking.
331.9  Camping.
331.10  Swimming.
331.11  Special events.
331.12  Vehicles.
331.13  Vessels.
331.14  Aircraft.
331.15  Fires.
331.16  Interference with government employees.
331.17  Minerals.
331.18  Restrictions.
331.19  Commercial activities.
331.20  Advertisement.
331.21  Unauthorized structures.
331.22  Abandonment of personal property.
331.23  Control of animals.
331.24  Permits.
331.25  Violation of regulations.

    Authority: Pub. L. 97-137.

    Source: 48 FR 40720, Sept. 9, 1983, unless otherwise noted.



Sec. 331.1  Applicability and scope.

    (a) The regulations contained in this part apply to those lands and 
waters within the established boundary of the Falls of the Ohio National 
Wildlife Conservation Area (WCA). Included in this boundary, which was 
published in the Federal Register of August 12, 1982, are publicly and 
privately owned lands, waters and improvements. The Federal Government, 
acting through the Corps of Engineers, will acquire such rights to 
privately-owned properties in the WCA as are necessary to carry out the 
purposes of title II, Pub. L. 97-137. The regulations prescribed herein 
are for the use, management and protection of the resources of the

[[Page 29]]

WCA and all persons entering, using or visiting within the boundaries of 
the WCA are subject to these regulations. All other applicable Federal, 
State and local laws and regulations remain in full force and effect. 
The District Engineer, US Army Corps of Engineers, exercises non-
exclusive jurisdiction over the lands and waters of the WCA and enforces 
these regulations.
    (b) The WCA boundary encompasses an existing hydroelectric 
generating station and the McAlpine Locks and Dam, operating navigation 
structures which are part of the authorized Ohio River Navigation 
System. The continued operation and maintenance of this system take 
precedence over the purposes of the WCA, except that such operation and 
maintenance will be consistent with the basic purpose of the WCA as 
regards prohibition of hunting, vandalism, and dumping of refuse. 
Management of the WCA to achieve its intended purposes will, to the 
extent practicable, be accomplished in a manner consistent and 
compatible with continued generation of electricity and navigation on 
the Ohio River, including operation and maintenance of the McAlpine 
Locks and Dam and the Louisville Repair Station and material storage 
areas located on Shippingport Island.



Sec. 331.2  Policy.

    (a) It is the policy of the Secretary of the Army, acting through 
the Chief of Engineers, to manage the natural and cultural resources of 
the WCA in the public interest, providing the public with safe and 
healthful recreational opportunities while protecting and enhancing 
these resources.
    (b) Unless otherwise indicated herein, the term District Engineer 
shall include the authorized representatives of the District Engineer.
    (c) The WCA shall be available to the public without regard to sex, 
race, color, creed or national origin. No lessee, licensee or 
concessionaire providing a service to the public shall discriminate 
against any person because of sex, race, creed, color, or national 
origin in the conduct of the operations under the lease, license, or 
concession contract.



Sec. 331.3  Hunting and trapping.

    Unless authorized in writing by the District Engineer:
    (a) The hunting, trapping, catching, molesting, killing, or having 
in possession any wild animal or bird, or taking the eggs of any such 
bird, is prohibited.
    (b) Possession of equipment (including, but not limited to, 
firearms, ammunition, traps, projectile firing devices including bow and 
arrow) which could be used for hunting, trapping, or the taking of 
wildlife, is prohibited.



Sec. 331.4  Fishing.

    Unless otherwise authorized in writing by the District Engineer:
    (a) Fishing is only permitted in accordance with the laws and 
regulations of the State within whose exterior boundaries that portion 
of the WCA is located, and such laws and regulations which are now or 
may hereafter be in effect are hereby adopted as part of these 
regulations.
    (b) Fishing by means of the use of drugs, poisons, explosives, bow 
and arrow or electricity is prohibited.
    (c) Commercial fishing and fishing with gill nets, trammel nets, 
hoop nets, bow and arrow or trot lines is prohibited.



Sec. 331.5  Explosives and fireworks.

    Unless otherwise authorized in writing by the District Engineer.
    (a) The possession or use of fireworks is prohibited.
    (b) The possession or use of explosives is prohibited.



Sec. 331.6  Public property.

    Unless otherwise authorized in writing by the District Engineer, the 
destruction, injury, defacement, removal, or any alteration of public 
property including, but not limited to natural formations, 
paleontological features, historical and archaeological features and 
vegetative growth is prohibited. Any such destruction, removal, or 
alteration of public property shall be in accordance with the conditions 
of any permission granted.

[[Page 30]]



Sec. 331.7  Sanitation.

    (a) Garbage, trash, rubbish, litter, or any other waste material or 
waste liquid generated on the WCA shall be removed from the area or 
deposited in receptacles provided for that purpose. The improper 
disposal of such wastes within the boundaries of the WCA is prohibited.
    (b) The use of refuse containers for the disposal of refuse not 
generated on the WCA is prohibited.
    (c) It is a violation to bring any material onto the WCA for the 
purpose of disposal.
    (d) The discharge or placing of sewage, galley waste, garbage, 
refuse or pollutants into the WCA waters from any vessel or watercraft 
is prohibited.



Sec. 331.8  Picnicking.

    (a) Picnicking is permitted only in designated areas.
    (b) Picnickers shall remove all personal equipment and clean their 
sites upon departure.



Sec. 331.9  Camping.

    Camping is not permitted within the WCA.



Sec. 331.10  Swimming.

    Swimming is prohibited unless authorized in writing by the District 
Engineer.



Sec. 331.11  Special events.

    (a) Special events including, but not limited to, water carnivals, 
boat regattas, music festivals, dramatic presentations, or other special 
recreation programs are prohibited unless written permission has been 
granted by the District Engineer.
    (b) The public shall not be charged any fee by the sponsor of such 
permitted event unless the District Engineer has approved in writing the 
proposed schedule of fees. The District Engineer shall have authority to 
revoke permission and require removal of any equipment upon failure of 
the sponsor to comply with terms and conditions of the permit/
permission. Any violation shall constitute a separate violation for each 
calendar day in which it occurs.



Sec. 331.12  Vehicles.

    (a) The use of a vehicle off roadways is prohibited except as may be 
authorized by the District Engineer.
    (b) Vehicles shall not be parked in violation of any posted 
restriction, or in such a manner as to endanger any Federal property to 
include natural features. The owner of any vehicle parked in violation 
of this section shall be presumed to have parked it, and unless rebutted 
such presumption will be sufficient to sustain a conviction as provided 
for in Sec. 331.25.
    (c) Vehicles shall be operated in accordance with all posted 
regulations.
    (d) Driving or operating any vehicle in a careless, negligent, or 
reckless manner, heedlessly or in willful disregard for the safety of 
other persons, or in such manner as to endanger any property or 
environmental feature, or without due care or at a speed greater than is 
reasonable and prudent under prevailing conditions with regard to 
traffic, weather, road, light and surface conditions, is prohibited.
    (e) This section pertains to all vehicles, including, but not 
limited to, automobiles, trucks, motorcycles, minibikes, trail bikes, 
snowmobiles, dune buggies, all terrain vehicles, bicycles, trailers, 
campers, or any other such equipment.
    (f) Except as authorized by the District Engineer, no person shall 
operate any motorized vehicle without a proper and effective exhaust 
muffler, or with an exhaust muffler cutout open, or in any other manner 
which renders the exhaust muffler ineffective in muffling the sound of 
engine exhaust.



Sec. 331.13  Vessels.

    (a) Vessels or other watercraft may be operated in the WCA waters 
except in prohibited or restricted areas in accordance with posted 
regulations and applicable Federal, State and local laws.
    (b) All vessels when not in actual use shall be removed from the WCA 
unless securely moored at mooring facilities approved by the District 
Engineer. The placing of floating or stationary mooring facilities to, 
or interfering with, a buoy, channel marker, or other navigational aid 
is prohibited.

[[Page 31]]

    (c) The operation of vessels or other watercraft in a careless, 
negligent, or reckless manner so as to endanger any property (including 
the operator and/or user(s) of the vessel or watercraft) is prohibited.



Sec. 331.14  Aircraft.

    (a) The operation of aircraft on WCA lands and waters is prohibited, 
unless authorized in writing by the District Engineer.
    (b) Except in extreme emergencies threatening human life or serious 
property loss, the air delivery of any person or thing by parachute, 
helicopter, or other means onto project lands or waters without written 
permission of the District Engineer is prohibited.
    (c) The provisions of this section shall not be applicable to 
aircraft engaged on official business of the Federal Government or used 
in emergency rescue in accordance with the directions of the District 
Engineer.



Sec. 331.15  Fires.

    Open fires are prohibited unless confined to fireplaces, grills, or 
other facilities designed for this purpose as designated by the District 
Engineer. Fires shall not be left unattended and must be completely 
extinguished prior to departure.



Sec. 331.16  Interference with government employees.

    Interference with any Government employee in the conduct of his or 
her official duties pertaining to the administration of these 
regulations is prohibited. It is a violation to fail to comply with a 
lawful order directed by any Government employee or to knowingly give 
any false, fictitious, or fraudulent report or other information to any 
government employee in the performance of his or her official duties 
pertaining to the administration of these regulations.



Sec. 331.17  Minerals.

    All activities in connection with prospecting, exploration, 
development, mining or other removal or the processing of mineral 
resources and all uses reasonably incident thereto are prohibited.



Sec. 331.18  Restrictions.

    The District Engineer may establish and post a schedule of visiting 
hours and/or restrictions on the public use of a portion or portions of 
the WCA. The District Engineer may close or restrict the use of the WCA 
or portion of the WCA when necessitated by reason of public health, 
public safety, security, maintenance, or other reasons in the public 
interest. Entering or using the project in a manner which is contrary to 
the schedule of visiting hours, closure or restrictions is prohibited.



Sec. 331.19  Commercial activities.

    Unless otherwise authorized in writing by the District Engineer, the 
engaging in or solicitation of business or money is prohibited.



Sec. 331.20  Advertisement.

    Unless otherwise authorized in writing by the District Engineer, 
advertising by the use of billboards, signs, markers, audio devices, or 
any other means whatsoever including handbills, circulars, and posters 
is prohibited. Vessels or vehicles with semipermanent or permanently 
installed signs are exempt if being used for authorized recreational 
activities or special events and in compliance with all other rules and 
regulations pertaining to vessels and vehicles.



Sec. 331.21  Unauthorized structures.

    The construction, placing, or continued existence of any structure 
of any kind under, upon, in, or over WCA lands or waters is prohibited 
unless a permit, lease, license, or other appropriate written agreement 
therefor has been issued by the District Engineer. Structures not so 
authorized are subject to summary removal or impoundment by the District 
Engineer. The design, construction, placing, existence, or use of 
structures in violation of the terms of the permit, lease, license, or 
other written agreement therefor is prohibited.



Sec. 331.22  Abandonment of personal property.

    (a) Personal property of any kind left unattended upon WCA lands or 
waters

[[Page 32]]

for a period of 24 hours shall be considered abandoned and may be 
impounded and stored at a storage point designated by the District 
Engineer who may assess a reasonable impoundment fee. Such fee shall be 
paid before the impounded property is returned to its owner.
    (b) If abandoned property is not claimed by its owner within 3 
months after the date it is received at the storage point designated by 
the District Engineer, it may be disposed of by public or private sale 
or by other means determined by the District Engineer. Any net proceeds 
from the sale of property shall be conveyed unto the Treasury of the 
United States as miscellaneous receipts.



Sec. 331.23  Control of animals.

    (a) No person shall bring or allow horses, cattle, or other 
livestock in the WCA.
    (b) No person shall bring dogs, cats, or other pets into the WCA 
unless penned, caged, or on a leash under 6 feet in length, or otherwise 
under physical restraint at all times. Unclaimed or unattended animals 
are subject to immediate impoundment and removal in accordance with 
State and local laws.



Sec. 331.24  Permits.

    It shall be a violation of these regulations to refuse to or fail to 
comply with the terms or conditions of any permit isued by the District 
Engineer.



Sec. 331.25  Violation of regulations.

    Anyone violating the provisions of this regulation shall be subject 
to a fine of not more than $500 or imprisonment for not more than 6 
months, or both. All persons designated by the Chief of Engineers, U.S. 
Army Corps of Engineers, for that purpose shall have the authority to 
issue a citation for the violation of these regulations, requiring the 
appearance of any person charged with violation to appear before the 
U.S. Magistrate within whose jurisdiction the violation occurred.



PARTS 332--399  [RESERVED]




[[Page 33]]



         CHAPTER IV--AMERICAN BATTLE MONUMENTS COMMISSION




  --------------------------------------------------------------------
Part                                                                Page
400             Employee responsibilities and conduct.......          35
401             Procedures..................................          36
402             Erection of war memorials in foreign 
                    countries by American citizens, States, 
                    municipalities, or associations.........          37
403             Erection of memorial monuments, buildings, 
                    and headstones in American cemeteries 
                    located outside the United States and 
                    its Territories and possessions.........          37
404             Procedures and guidelines for compliance 
                    with the Freedom of Information Act.....          37
405             Schedule of fees for search and duplication 
                    of records..............................          41
406             Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by American Battle 
                    Monuments Commission....................          41
407-499

  [Reserved]

[[Page 35]]



PART 400--EMPLOYEE RESPONSIBILITIES AND CONDUCT--Table of Contents




Sec.
400.735-1  Adoption of regulations.
400.735-2  Review of statements of employment and financial interests.
400.735-3  Disciplinary and other remedial action.
400.735-4  Gifts, entertainment, and favors.
400.735-5  Outside employment and other activity.
400.735-6  Specific provisions of agency regulations governing special 
          Government employees.
400.735-7  Statements of employment and financial interests.
400.735-8  Supplementary statements.

    Authority: E.O. 11222, 30 FR 6469, 3 CFR 1965 Supp.; 5 CFR 735.101 
et seq.

    Source: 33 FR 15379, Oct. 17, 1968, unless otherwise noted.



Sec. 400.735-1  Adoption of regulations.

    Pursuant to 5 CFR 735.104(f), the American Battle Monuments 
Commission (referred to hereinafter as the agency) hereby adopts the 
following sections of part 735 of title 5, Code of Federal Regulations: 
Secs. 735.101, 735.102, 735.201a, 735.202 (a), (d), (e), (f), 735.210, 
735.302, 735.303(a), 735.304, 735.305(a), 735.403(a), 735.404, 735.405, 
735.407--735.411, 735.412 (b) and (d). These adopted sections are 
modified and supplemented as set forth in this part.



Sec. 400.735-2  Review of statements of employment and financial interests.

    Each statement of employment and financial interests submitted under 
this part shall be reviewed by the Officer in Charge, U.S. Office, 
except those of the Officer in Charge, U.S. Office, and the Secretary, 
American Battle Monuments Commission. The statement of the Officer in 
Charge, U.S. Office, shall be reviewed by the Secretary of the American 
Battle Monuments Commission. The statement of the Secretary, American 
Battle Monuments Commission, shall be reviewed by the Chairman of the 
Agency. When a review indicates a conflict between the interests of an 
employee or special Government employee of the agency and the 
performance of his services for the Government, the reviewer shall have 
the indicated conflict brought to the attention of the employee or 
special Government employee, grant the employee or special Government 
employee an opportunity to explain the indicated conflict, and attempt 
to resolve the indicated conflict. If the indicated conflict cannot be 
resolved, the reviewer shall forward a written report on the indicated 
conflict to the Chairman, American Battle Monuments Commission, through 
the counselor for the agency designated under 5 CFR 735.105(a).



Sec. 400.735-3  Disciplinary and other remedial action.

    An employee or special Government employee of the agency who 
violates any of the regulations in this part or adopted under 
Sec. 400.735-1 may be disciplined. The disciplinary action may be in 
addition to any penalty prescribed by law for the violation. In addition 
to or in lieu of disciplinary action, remedial action to end conflicts 
or appearance of conflicts of interest may include but is not limited 
to:
    (a) Changes in assigned duties;
    (b) Divestment by the employee or special Government employee of his 
conflicting interest; or
    (c) Disqualification for a particular assignment.



Sec. 400.735-4  Gifts, entertainment, and favors.

    The agency authorizes the exceptions to 5 CFR 735.202(a) set forth 
in 5 CFR 735.202(b) (1)-(4).



Sec. 400.735-5  Outside employment and other activity.

    An employee of the agency may engage in outside employment or other 
outside activity not incompatible with the full and proper discharge of 
the duties and responsibilities of his Government employment. An 
employee who engages in outside employment shall report that fact in 
writing to his supervisor.

[[Page 36]]



Sec. 400.735-6  Specific provisions of agency regulations governing special Government employees.

    (a) Special Government employees of the agency shall adhere to the 
standards of conduct applicable to employees as set forth in this part 
and adopted under Sec. 400.735-1, except 5 CFR 735.203(b).
    (b) Special Government employees of the agency may teach, lecture, 
or write in a manner not inconsistent with 5 CFR 735.203(c).
    (c) Pursuant to 5 CFR 735.305(b), the agency authorizes the same 
exceptions concerning gifts, entertainment, and favors for special 
Government employees as are authorized for employees by Sec. 400.735-4.



Sec. 400.735-7  Statements of employment and financial interests.

    (a) In addition to the employees required to submit statements of 
employment and financial interests under 5 CFR 735.403(a), employees in 
the following named positions shall submit statements of employment and 
financial interests:
    (1) Secretary;
    (2) Officer in Charge, U.S. Office;
    (3) Officer in Charge, European Office;
    (4) Chief Maintenance Division, European Office;
    (5) Chief Purchasing and Contracting Branch, European Office;
    (6) Officer in Charge, Mediterranean Office;
    (7) Superintendent, Manila American Cemetery.
    (b) Each statement of employment and financial interests required by 
this section shall be submitted to:

American Battle Monuments Commission 2018 Munitions Building, 
Washington, DC 20360. Attention: Officer in Charge.


Statements shall be submitted in double sealed envelopes, and the inner 
envelope shall be annotated with the words: ``Statement of Employment 
and Financial Interests--Attention: Officer in Charge.''
    (c) An employee who believes that his position has been improperly 
included in this section as one requiring the submission of a statement 
of employment and financial interests may obtain a review of his 
complaint under the agency's grievance procedure.



Sec. 400.735-8  Supplementary statements.

    Notwithstanding the filing of the annual supplementary statement 
required by 5 CFR 735.406, each employee shall at all times avoid 
acquiring a financial interest that could result, or taking an action 
that would result, in a violation of the conflicts-of-interest 
provisions of section 208 of title 18 U.S.C. or the regulations in this 
part or adopted under Sec. 400.735-1.



PART 401--PROCEDURES--Table of Contents




    Authority: Sec. 3, 70 Stat. 640, 641; 5 U.S.C. 132 note, 36 U.S.C. 
123-125; E.O. 6614, E.O. 9704, 11 FR 2675, 3 CFR 1949-53 Comp., p. 519, 
E.O. 10057, 10087, 14 FR 2585, 7287, 3 CFR 1949-1953 Comp., pp. 269, 
285.



Sec. 401.1  Erection of war memorials outside continental limits of United States.

    Federal Government agencies, American citizens, States, 
municipalities, or associations desiring to erect war memorials outside 
the continental limits of the United States should proceed as follows:
    (a) Submit general idea of the memorial to the American Battle 
Monuments Commission, with a request for the tentative allocation of the 
site desired.
    (b) When site is provisionally allocated, prepare and submit the 
design of the memorial, together with the inscription, for approval. The 
design of the memorial will then be referred, in accordance with law, by 
the Commission to the National Commission of Fine Arts for its approval.
    (c) After a site is allocated and the design and inscription are 
approved, the American Battle Monuments Commission will, if the sponsors 
so desire, consult with the foreign government concerning the question 
of securing approval for the erection of the memorial.
    (d) When the approval of the foreign government is obtained, the 
Commission will cooperate, if the sponsors so desire, in obtaining the 
ground and erection of the memorial. Such cooperation may include 
construction of

[[Page 37]]

the memorial by the Commission, using funds provided by the sponsors, in 
which case user charges will be made in accordance with general 
Government policy.
[35 FR 19666, Dec. 29, 1970]



PART 402--ERECTION OF WAR MEMORIALS IN FOREIGN COUNTRIES BY AMERICAN CITIZENS, STATES, MUNICIPALITIES, OR ASSOCIATIONS--Table of Contents




    Authority: Sec. 3, 70 Stat. 640, 641; 5 U.S.C. 132 note, 36 U.S.C. 
123, 125; E.O. 6614, E.O. 9704, 11 FR 2675, 3 CFR 1943-1948 Comp., p. 
519, E.O. 10057, 10087, 14 FR 2585, 7287, 3 CFR, 1949-1953 Comp., pp. 
269, 285.



Sec. 402.1  Restrictions on erection.

    (a) No administrative agency of the United States shall give 
assistance to American citizens, States, municipalities, or associations 
in erecting any war memorial outside the continental United States 
unless the plan has been approved in accordance with Sec. 401.1 above.
    (b) It is the opinion of the Commission that no battlefield memorial 
should be erected to any unit smaller than a division or comparable unit 
or to an individual, unless the services of such unit or individual 
clearly were of such distinguished character as to warrant a separate 
memorial.
    (c) It is the opinion of the Commission that, as a general rule, 
memorials should be erected to organizations rather than to troops from 
a particular locality of the United States.
    (d) The policy of the Commission is to approve plans for memorials 
in foreign countries only in cases in which the sponsors make adequate 
and permanent arrangements for their maintenance. If the sponsors so 
desire, the Commission will maintain such memorials, including those 
previously existing which it deems worthy of preservation, using funds 
provided by the sponsors; in such cases it will make user charges in 
accordance with general Government policy.
[35 FR 19666, Dec. 29, 1970]



PART 403--ERECTION OF MEMORIAL MONUMENTS, BUILDINGS, AND HEADSTONES IN AMERICAN CEMETERIES LOCATED OUTSIDE THE UNITED STATES AND ITS TERRITORIES AND POSSESSIONS--Table of Contents




    Authority: Sec. 3, 70 Stat. 641; 36 U.S.C. 123; E.O. 6614, Feb. 26, 
1934; E.O. 9704, 3 CFR, 1943-1948 Comp., 519; E.O. 10057, 10087, 3 CFR 
1949-1953 Comp., pp. 269, 285.



Sec. 403.1  Restrictions on erection.

    (a) No memorial monuments or buildings shall be placed in these 
cemeteries unless the design and site have been approved by the American 
Battle Monuments Commission. No steps toward the erection of any 
memorial monument or building in these cemeteries should be taken until 
the idea has first been approved by the American Battle Monuments 
Commission.
    (b) There shall be no variation in the types of headstones 
officially adopted for use in American cemeteries located outside the 
United States and its Territories and possessions.
[13 FR 6812, Nov. 19, 1948, as amended at 23 FR 9780, Dec. 19, 1958]



PART 404--PROCEDURES AND GUIDELINES FOR COMPLIANCE WITH THE FREEDOM OF INFORMATION ACT--Table of Contents




Sec.
404.1  Purpose.
404.2  General policy.
404.3  Response to requests.
404.4  Denial of access.
404.5  Appeals.
404.6  Fees to be charged.
404.7  Assessment and collection of fees.
404.8  Categories of requesters.
404.9  Waiver of fees.
404.10  Maintenance of statistics.

    Authority: 5 U.S.C. 552.

    Source: 53 FR 120, Jan. 5, 1988, unless otherwise noted.



Sec. 404.1  Purpose.

    These guidelines prescribe procedures to obtain information and 
records of the American Battle Monuments Commission under the Freedom of 
Information Act of 1986, 5 U.S.C. 552(a)(4)(A)(i).

[[Page 38]]

This act requires each agency to promulgate regulations that specify the 
schedule of fees for processing FOIA requests and the guidelines when 
fees may be waived. It applies only to records and information of the 
Commission which are in the Commission's custody.



Sec. 404.2  General policy.

    Public requests for information from the records of the American 
Battle Monuments Commission should be sent to the Freedom of Information 
Representative, American Battle Monuments Commission, Room 5127, Casimir 
Pulaski Building, 20 Massachusetts Ave., NW., Washington, DC 20314. They 
may also be sent to its field offices at the addresses listed below:
    (a) Officer-in-Charge, European Office, American Battle Monuments 
Commission, APO New York 09777.
    (b) Officer-in-Charge, Mediterranean Office, American Battle 
Monuments Commission, APO New York 09794.
    (c) Superintendent, Manila American Cemetery, FPO San Francisco 
96528.
    (d) Superintendent, Corozal American Cemetery, The American Battle 
Monuments Commission, Attn: AFZU-AG-CRB, Drawer #38, APO Miami, FL 
34004-5000.
    (e) Superintendent, Mexico City National Cemetery, American Battle 
Monuments Commission, c/o U.S. Embassy, Mexico, P.O. Box 3087, Laredo, 
TX 78044-3087.



Sec. 404.3  Response to requests.

    (a) Except for records and information exempted from disclosure by 5 
U.S.C. 552(a)(1), all records of the Commission or in its custody are 
available to any person who requests them.
    (b) Requests for information from the public will be honored within 
ten working days unless the confidentiality of such information is 
protected by law, or when it is necessary to search and/or collect 
records in separate offices or another office of the Commission, which 
would usually require more than ten working days.
    (c) Whenever information cannot be dispatched within ten work days 
after receipt of request, an interim reply will be sent informing the 
requester of the status of the request.
    (d) The records of the ABMC may be examined and copied between the 
hours of 8:00 a.m. and 3:30 p.m., Monday through Friday under the 
supervision of the Freedom of Information representative.



Sec. 404.4  Denial of access.

    (a) Letters denying confidential information will be dispatched 
within ten working days of receipt of the request and will be signed by 
one of the below listed personnel:
    (1) Officer-in-Charge, ABMC European Office.
    (2) Officer-in-Charge, ABMC Mediterranean Office.
    (3) Directors, ABMC Washington Office.
    (4) Secretary, ABMC.
    (b) Letters denying access to information will:
    (1) Provide the requester with the reason for denial,
    (2) Inform the requester of his or her right to appeal the denial 
within 30 days,
    (3) Give the name of the official to whom the appeal may be sent.
    (c) If an unusual circumstance delays a decision concerning access 
to information, the requester will be informed of the delay within ten 
working days of the request's initial receipt. In no case will the 
decision be delayed more than 20 working days from initial receipt of 
the request.
    (d) A copy of each denial of information will be furnished to the 
Secretary, ABMC at the time of its dispatch.



Sec. 404.5  Appeals.

    (a) The Secretary is the appellate authority for all denials except 
those which he authors. The Chairman is the appellate authority for 
denials authored by the Secretary.
    (b) The requester will be informed of the decision on his or her 
appeal within 20 working days after its receipt. If the denial is 
upheld, the requester will be advised that there are provisions for 
judicial review of such decisions under the Freedom of Information Act.
    (c) In the event a court finds that the American Battle Monuments 
Commission has arbitrarily and capriciously withheld information from 
the public and a subsequent Office of Personnel

[[Page 39]]

Management investigation finds agency personnel responsible, these 
personnel will be subject to disciplinary action by the American Battle 
Monuments Commission.



Sec. 404.6  Fees to be charged.

    While most information will be furnished promptly at no cost as a 
service to the general public, fees will be charged if the cost of 
search and duplication warrants. In those instances where ABMC deems it 
necessary to charge a fee, ABMC shall use the most efficient and least 
costly methods to comply with requests for documents, drawings, 
photographs, and any other materials made available under the FOIA. The 
Freedom of Information Representative shall charge the fees stated in 
paragraphs (a) through (g) of this section. The Freedom of Information 
Representative shall, however, waive the fees in the circumstances 
stated in Sec. 404.9. The specific fees which ABMC shall charge the 
requester when so required by the FOIA are as follows:
    (a) Manual searches of records. $9.00 per hour for clerical 
personnel; $15.00 per hour for supervisory personnel.
    (b) Computer searches for records. Fees for searches of computerized 
records shall be the actual cost to the Commission but shall not exceed 
$12.00 per hour. This fee includes machine time and that of the operator 
and clerical personnel. The fee for computer printouts shall be $.40 per 
page. The word ``page'' refers to paper copies of standard computer 
size, which normally are 11 x 15 inches.
    (c) Copying fee. The machine copy fee for each page up to 8\1/2\ x 
14 shall be $.25 per page. Copying fees shall not be charged for the 
first 100 pages of copies unless the copies are requested for commercial 
purposes.
    (d) $2.00 for each 8 x 10 inch black and white photograph.
    (e) $3.00 for each 8 x 10 inch color photograph.
    (f) $1.75 per cemetery booklet.
    (g) $1.50 per lithograph.



Sec. 404.7  Assessment and collection of fees.

    (a) Assessment of fees. (1) ABMC shall assess interest charges on an 
unpaid bill starting on the 31st day following the day on which the 
billing was dispatched. Once the fee has been received by ABMC, even if 
not processed, accrual of interest will cease. Interest will be at the 
rate prescribed in section 3717 of title 31 U.S.C. and will accrue from 
the date billing is sent.
    (2) Charges for unsuccessful searches. If ABMC estimates that 
charges for an unsuccessful search may exceed $10.00, it shall so inform 
the requester unless the requester has indicated in advance a 
willingness to pay fees as high as those anticipated. Such notice shall 
offer the requester the opportunity to confer with agency personnel with 
the object of reformulating the request to meet the requester's needs at 
a lower cost. Dispatch of such a notice shall temporarily suspend the 
ten day period for response by ABMC until a reply is received from the 
requester.
    (3) Aggregating requests. Except for requests that are for a 
commercial use, ABMC shall not charge for the first two hours of search 
time or for the first 100 pages of reproduction. However, a requester 
may not file multiple requests at the same time, each seeking portions 
of a document or documents, solely in order to avoid payment of fees. 
When ABMC believes that a group of requesters are acting in concert and 
attempting to divide a request into a series of requests for the purpose 
of evading the assessment of fees, ABMC shall aggregate any such 
requests and charge accordingly. One element to be considered is the 
time period in which the requests have been made. Before aggregating 
requests from more than one requester, ABMC must be reasonably certain 
that the requesters are acting specifically to avoid payment of fees. In 
no case shall ABMC aggregate multiple requests on unrelated subjects 
from one requester.
    (4) Advance payments. ABMC shall not require payment for fees before 
work has commenced or continued on a request unless:
    (i) ABMC estimates that the charges may exceed $25.00. In such an 
event, ABMC shall notify the requester of the estimated cost and may 
require an advance payment of an amount up to the full amount of 
estimated charges; or
    (ii) A requester has previously failed to pay a fee within 30 days 
of the date

[[Page 40]]

of billing. In this event, ABMC shall require the requester to pay the 
full amount owed plus any applicable interest and make an advance 
payment of the full amount of the estimated fee before ABMC begins to 
process a new request or a pending request from that requester.
    (iii) When ABMC acts under paragraph (a)(4)(i) or (ii) of this 
section, the administrative time limits prescribed in Sec. 404.3 will 
begin only after ABMC has received fee payments described above.
    (5) Form of payment. Remittances shall be in the form of a personal 
check or bank draft drawn on any bank in the United States, a postal 
money order, or cash. Remittances shall be made payable to the American 
Battle Monuments Commission.
    (6) ABMC will not defray cost sending records by special methods 
such as express mail or for transportation of personnel.
    (b) Restrictions on assessing fees. With the exception of requesters 
seeking documents for commercial use, section (a)(4)(A)(iv) of the 
Freedom of Information Act, as amended, requires ABMC to provide the 
first 100 pages of duplication and the first two hours of search time 
without charge. ABMC shall not charge fees to any requester, including 
commercial use requesters, if the cost of collecting a fee would be 
equal to or greater than the fee itself. ABMC will not begin to assess 
fees until it has first provided the free search and reproduction 
authorized.



Sec. 404.8  Categories of requesters.

    There are four categories of FOIA requesters: Commercial; 
educational and noncommerical scientific institutions; representatives 
of the news media; and all others. The fees to be charges each of these 
categories of requesters are as follows:
    (a) Commerical. When ABMC receives a request for documents for 
commerical use, it shall assess charges that recover the full direct 
costs of searching for, reviewing for release, and duplicating the 
records sought. Commercial requesters are not entitled to two hours of 
free search time or 100 free pages of reproduction. ABMC shall recover 
the cost of searching for the records even if ultimately there is no 
disclosure of records. Requesters must provide a reasonable description 
of the records sought.
    (b) Educational and non-commerical scientific institutions. ABMC 
shall provide documents to educational and non-commercial scientific 
institutions for the cost of reproduction alone, except there will be no 
charge for the first 100 pages of duplication. To be eligible for 
inclusion in this category, requesters must show that the request is 
authorized by and under the auspices of a qualifying institution and 
that the records are not being sought for a commercial use, but are 
sought in furtherance of scholarly (if the request is from an 
educational institution) or scientific (if the request is from a non-
commercial scientific institution) research. Requesters must provide a 
reasonable description of the records being sought;
    (c) Representatives of the news media. ABMC shall provide documents 
to requesters who are representatives of the news media for the cost of 
reproduction alone, except there will be no charge for the first 100 
pages. A request for records supporting the news-dissemination function 
of the requester shall not be considered commerical use. Requesters must 
provide a reasonable description of the records sought;
    (d) All other requesters. ABMC shall charge requesters who do not 
fit into any of the above categories fees that recover the full 
reasonable costs of direct search and reproduction records responsive to 
the request, except that the first 100 pages of reproduction and the 
first two hours of search time shall be furnished without charge. 
Requesters must provide reasonable description of the records sought.



Sec. 404.9  Waiver of fees.

    The Freedom of Information Representative shall waive all fees 
assessed under 404, if the following two conditions are satisfied: 
Disclosure of the information is in the public interest as it is likely 
to contribute significantly to public understanding of the operations or 
activities of the government; and disclosure is not primarily in the 
commercial interest of the requester. The Freedom of Information

[[Page 41]]

Representative shall afford the requester the opportunity to show that 
he satisfies these two conditions. Under the above standards should ABMC 
refuse to waive a request for information and the requester petition for 
a waiver, the senior Freedom of Information Representative will make the 
determination.



Sec. 404.10  Maintenance of statistics.

    (a) The Freedom of Information Representative shall maintain record 
of:
    (1) The total amount of fees collected by ABMC under this part;
    (2) The number of denials of requests for records or information 
made under this part and the reason for each;
    (3) The number of appeals from such denials, together with the 
results of such appeals, and the reasons for the action upon each appeal 
that results in a denial of information or documents;
    (4) The name and title or position of each person responsible for 
each denial of records and the number of instances of each;
    (5) The results of each proceeding conducted under 5 U.S.C. 
552(a)(4)(F), including a report of the disciplinary action against the 
official or employee primarily responsible for improperly withholding 
records, or an explanation of why disciplinary action was not taken;
    (6) A copy of every rule made by this agency affecting or 
implementing 5 U.S.C. 552;
    (7) A copy of the fee schedule for copies of records and documents 
requested under this part; and
    (8) All other information that indicates efforts to administer fully 
the letter and spirit of the Freedom of Information Act and the above 
rules.
    (b) The Freedom of Information Act Representative shall annually, 
within 60 days following the close of each calendar year, prepare a 
report covering each of the categories of records to be maintained in 
accordance with the foregoing and submit the same to the Speaker of the 
House of Representatives and the President of the Senate for referral to 
the appropriate committees of the Congress.



PART 405--SCHEDULE OF FEES FOR SEARCH AND DUPLICATION OF RECORDS--Table of Contents




Sec.
405.1  General.
405.2  Schedule.

    Authority: 5 U.S.C. 552, as amended.



Sec. 405.1  General.

    (a) While most information will be furnished promptly at no cost as 
a service to the general public, fees will be charged if the cost of 
search and duplication warrants.
    (b) When a fee is to be charged, the individual requesting the 
information will be informed of the fee, and no work will be performed 
until he or she has agreed to pay it.
[40 FR 7304, Feb. 19, 1975]



Sec. 405.2  Schedule.

    Fees which may be charged by this Commission for search and 
duplication of records are as follows:
    (a) Duplication fees: (1) $2.00 for first 6 pages, 5 cents per page 
thereafter for photocopying.
    (2) $1.50 per 8 x 10 inch black and white print of photographs.
    (3) $2.50 per 8 x 10 inch color print of photographs.
    (b) Search fees: (1) $8.00 per hour to search records for specific 
documents.
    (2) $215.00 for selective extracts from Commission computer tapes.
    (3) Transportation costs of personnel and records arising from 
searches for requested information.
[40 FR 7304, Feb. 19, 1975]



PART 406--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY AMERICAN BATTLE MONUMENTS COMMISSION--Table of Contents




Sec.
406.101  Purpose.
406.102  Application.
406.103  Definitions.
406.104--406.109  [Reserved]
406.110  Self-evaluation.
406.111  Notice.
406.112--406.129  [Reserved]

[[Page 42]]

406.130  General prohibitions against discrimination.
406.131--406.139  [Reserved]
406.140  Employment.
406.141--406.148  [Reserved]
406.149  Program accessibility: Discrimination prohibited.
406.150  Program accessibility: Existing facilities.
406.151  Program accessibility: New construction and alterations.
406.152--406.159  [Reserved]
406.160  Communications.
406.161--406.169  [Reserved]
406.170  Compliance procedures.
406.171--406.999  [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 51 FR 4577, Feb. 5, 1986, unless otherwise noted.



Sec. 406.101  Purpose.

    This part effectuates section 119 of the Rehabilitation, 
Comprehensive Services, and Developmental Disabilities Amendments of 
1978, which amended section 504 of the Rehabilitation Act of 1973 to 
prohibit discrimination on the basis of handicap in programs or 
activities conducted by Executive agencies or the United States Postal 
Service.



Sec. 406.102  Application.

    This part applies to all programs or activities conducted by the 
agency.



Sec. 406.103  Definitions.

    For purposes of this part, the term--
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, Brailled materials, 
audio recordings, telecommunications devices and other similar services 
and devices. Auxiliary aids useful for persons with impaired hearing 
include telephone handset amplifiers, telephones compatible with hearing 
aids, telecommunication devices for deaf persons (TDD's), interpreters, 
notetakers, written materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one of more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, and drug addition and 
alcholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or

[[Page 43]]

physical impairment that substantially limits one or more major life 
activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in subparagraph (1) of 
this definition but is treated by the agency as having such an 
impairment.
    Qualified handicapped person means--
    (1) With respect to any agency program or activity under which a 
person is required to perform services or to achieve a level of 
accomplishment, a handicapped person who meets the essential eligibility 
requirements and who can achieve the purpose of the program or activity 
without modifications in the program or activity that the agency can 
demonstrate would result in a fundamental alteration in its nature; or
    (2) With respect to any other program or activity, a handicapped 
person who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity.
    (3) Qualified handicapped person is defined for purposes of 
employment in 29 CFR 1613.702(f), which is made applicable to this part 
by Sec. 406.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), 
and the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used 
in this part, section 504 applies only to programs or activities 
conducted by Executive agencies and not to federally assisted programs.
[51 FR 4577, Feb. 5, 1986; 51 FR 7543, Mar. 5, 1986]



Secs. 406.104--406.109  [Reserved]



Sec. 406.110  Self-evaluation.

    (a) The agency shall, by April 9, 1987, evaluate its current 
policies and practices, and the effects thereof, that do not or may not 
meet the requirements of this part, and, to the extent modification of 
any such policies and practices is required, the agency shall proceed to 
make the necessary modifications.
    (b) The agency shall provide an opportunity to interested persons, 
including handicapped persons or organizations representing handicapped 
persons, to participate in the self-evaluation process by submitting 
comments (both oral and written).
    (c) The agency shall, until three years following the completion of 
the self-evaluation, maintain on file and make available for public 
inspections:
    (1) A description of areas examined and any problems identified, and
    (2) A description of any modifications made.



Sec. 406.111  Notice.

    The agency shall make available to employees, applicants, 
participants, beneficiaries, and other interested persons such 
information regarding the provisions of this part and its applicability 
to the programs or activities conducted by the agency, and make such 
information available to them in such manner as the head of the agency 
finds necessary to apprise such persons of the protections against 
discrimination assured them by section 504 and this regulation.



Secs. 406.112--406.129  [Reserved]



Sec. 406.130  General prohibitions against discrimination.

    (a) No qualified handicapped person shall, on the basis of handicap, 
be excluded from participation in, be denied the benefits of, or 
otherwise be subjected to discrimination under any program or activity 
conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--

[[Page 44]]

    (i) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualfied handicapped person an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified handicapped person with an aid, benefit, 
or service that is not as effective in affording equal opportunity to 
obtain the same result, to gain the same benefit, or to reach the same 
level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
handicapped persons or to any class of handicapped persons than is 
provided to others unless such action is necessary to provide qualified 
handicapped persons with aid, benefits, or services that are as 
effective as those provided to others;
    (v) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or
    (vi) Otherwise limit a qualified handicapped person in the enjoyment 
of any right, privilege, advantage, or opportunity enjoyed by others 
receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified handicapped person the 
opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to handicapped persons.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination under any program or activity 
conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to handicapped persons.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified handicapped persons to 
discrimination on the basis of handicap.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive order to a different 
class of handicapped persons is not prohibited by this part.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified handicapped 
persons.



Secs. 406.131--406.139  [Reserved]



Sec. 406.140  Employment.

    No qualified handicapped person shall, on the basis of handicap, be 
subjected to discrimination in employment under any program or activity 
conducted by the agency. The definitions, requirements, and procedures 
of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791), as 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613, shall apply to employment in federally conducted programs or 
activities.



Secs. 406.141--406.148  [Reserved]



Sec. 406.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec. 406.150, no qualified 
handicapped person shall, because the agency's facilities are 
inaccessible to or unusable by handicapped persons, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec. 406.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the

[[Page 45]]

program or activity, when viewed in its entirety, is readily accessible 
to and usable by handicapped persons. This paragraph does not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by handicapped persons; or
    (2) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec. 406.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that would not result in 
such an alteration or such burdens but would nevertheless ensure that 
handicapped persons receive the benefits and services of the program or 
activity.
    (b) Methods. The agency may comply with the requirements of this 
section through such means as redesign of equipment, reassignment of 
services to accessible buildings, assignment of aides to beneficiaries, 
home visits, delivery of services at alternate accessible sites, 
alteration of existing facilities and construction of new facilities, 
use of accessible rolling stock, or any other methods that result in 
making its programs or activities readily accessible to and usable by 
handicapped persons. The agency is nor required to make structural 
changes in existing facilities where other methods are effective in 
achieving compliance with this section. The agency, in making 
alterations to existing buildings, shall meet accessibility requirements 
to the extent compelled by the Architectural Barriers Act of 1968, as 
amended (42 U.S.C. 4151-4157), and any regulations implementing it. In 
choosing among available methods for meeting the requirements of this 
section, the agency shall give priority to those methods that offer 
programs and activities to qualified handicapped persons in the most 
integrated setting appropriate.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by June 6, 1986, except that 
where structural changes in facilities are undertaken, such changes 
shall be made by April 7, 1989, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by October 7, 1986, a transition plan setting 
forth the steps necessary to complete such changes. The agency shall 
provide an opportunity to interested persons, including handicapped 
persons or organizations representing handicapped persons, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.
[51 FR 4577, Feb. 5, 1986; 51 FR 7543, Mar. 5, 1986]



Sec. 406.151  Program accessibility: New construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of the agency

[[Page 46]]

shall be designed, constructed, or altered so as to be readily 
accessible to and usable by handicapped persons. The definitions, 
requirements, and standards of the Architectural Barriers Act (42 U.S.C. 
4151-4157), as established in 41 CFR 101-19.600 to 101-19.607, apply to 
buildings covered by this section.



Secs. 406.152--406.159  [Reserved]



Sec. 406.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
handicapped person.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf persons (TDD's) or 
equally effective telecommunication systems shall be used.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec. 406.160 would result 
in such alteration or burdens. The decision that compliance would result 
in such alteration or burdens must be made by the agency head or his or 
her designee after considering all agency resources available for use in 
the funding and operation of the conducted program or activity, and must 
be accompanied by a written statement of the reasons for reaching that 
conclusion. If an action required to comply with this section would 
result in such an alteration or such burdens, the agency shall take any 
other action that would not result in such an alteration or such burdens 
but would nevertheless ensure that, to the maximum extent possible, 
handicapped persons receive the benefits and services of the program or 
activity.



Secs. 406.161--406.169  [Reserved]



Sec. 406.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The Director, Personnel and Administration shall be responsible 
for coordinating implementation of this section. Complaints may be sent 
to the Director, Personnel and Administration, American Battle Monuments 
Commission, Room 5127, Pulaski Building, 20 Massachusetts Ave., NW., 
Washington, DC 20314.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.

[[Page 47]]

    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the 
Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not readily 
accessible to and usable by handicapped persons.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found;
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec. 406.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.
[51 FR 4577, Feb. 5, 1986, as amended at 51 FR 4577, Feb. 5, 1986]



Secs. 406.171--406.999  [Reserved]



PARTS 407--499 [RESERVED]




[[Page 49]]



                   CHAPTER V--SMITHSONIAN INSTITUTION




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Part                                                                Page
504             Rules and regulations governing Smithsonian 
                    Institution buildings and grounds.......          51
520             Rules and regulations governing the 
                    buildings and grounds of the National 
                    Zoological Park of the Smithsonian 
                    Institution.............................          53
530             Claims against the Smithsonian Institution 
                    including the National Gallery of Art, 
                    the John F. Kennedy Center for the 
                    Performing Arts and the Woodrow Wilson 
                    International Center for Scholars.......          55
531-599

[Reserved]

[[Page 51]]



PART 504--RULES AND REGULATIONS GOVERNING SMITHSONIAN INSTITUTION BUILDINGS AND GROUNDS--Table of Contents




Sec.
504.1  General.
504.2  Recording presence.
504.3  Preservation of property.
504.4  Conformity with signs and emergency directions.
504.5  Nuisances.
504.6  Gambling.
504.7  Intoxicating beverages and narcotics.
504.8  Soliciting, vending, debt collection, and distribution of 
          handbills.
504.9  Placards, signs, banners and flags.
504.10  Dogs and other animals.
504.11  Photographs for news, advertising, or commercial purposes.
504.12  Items to be checked.
504.13  Vehicular and pedestrian traffic.
504.14  Weapons and explosives.
504.15  Nondiscrimination.
504.16  Penalties.

    Authority: Secs. 1-9, 65 Stat. 634, as amended, secs. 1-4, 78 Stat. 
365; 40 U.S.C. 193n-193w.

    Source: 33 FR 6656, May 1, 1968, unless otherwise noted.



Sec. 504.1  General.

    These rules and regulations apply to all buildings and grounds of 
the Smithsonian Institution, as defined in section 3, 78 Stat. 366; 40 
U.S.C. 193v(1) (A) and (C), and to all persons entering in or on such 
buildings and grounds, hereinafter referred to as the premises



Sec. 504.2  Recording presence.

    Except as otherwise ordered, Smithsonian buildings shall be closed 
to the public after normal visiting hours. Such buildings, or portions 
thereof, shall also be closed to the public in emergency situations and 
at such other times as may be necessary for the orderly conduct of 
business. Whenever the buildings are closed to the public for any 
reason, visitors will immediately leave the premises upon being 
requested by a guard or other authorized individuals. Admission to such 
premises during periods when closed to the public will be limited to 
authorized individuals who will be required to register and identify 
themselves when requested by guards or other authorized individuals.



Sec. 504.3  Preservation of property.

    It is unlawful willfully to destroy, damage, or remove property or 
any part thereof. Any parcels, portfolios, bags, or containers of any 
kind may be required to be opened and the contents identified prior to 
removal from the premises. In order to remove any property from the 
premises, a properly completed property pass signed by an authorized 
official of the Smithsonian Institution may be required prior to 
removal.



Sec. 504.4  Conformity with signs and emergency directions.

    Persons in or on the premises shall comply with official signs of a 
prohibitory or directory nature and with the directions of authorized 
individuals.



Sec. 504.5  Nuisances.

    The use of loud, abusive, or otherwise improper language; 
unwarranted loitering, sleeping or assembly; the creation of any hazard 
to persons or things; improper disposal of rubbish; spitting, prurient 
prying; the commission of any obscene or indecent act, or any other 
unseemly or disorderly conduct on the premises; throwing articles of any 
kind from or within a building; or climbing upon any part of a building 
is prohibited.



Sec. 504.6  Gambling.

    Participating in games for money or other personal property or the 
operation of gambling devices, the conduct of a lottery or pool, or the 
selling or purchasing of numbers tickets in or on the premises is 
prohibited.



Sec. 504.7  Intoxicating beverages and narcotics.

    Entering the premises or the operating of a motor vehicle thereon by 
a person under the influence of any intoxicating beverage or narcotic 
drug or the use of such drug in or on the premises is prohibited. 
Consumption of intoxicating beverages on the premises is prohibited 
unless officially authorized.

[[Page 52]]



Sec. 504.8  Soliciting, vending, debt collection, and distribution of handbills

    The soliciting of alms and contributions, commercial soliciting and 
vending of all kinds, the display or distribution of commercial 
advertising, or the collecting of private debts, in or on the premises 
is prohibited. This rule does not apply to national or local drives for 
funds for welfare, health, and other purposes sponsored or approved by 
the Smithsonian Institution concessions, or personal notices posted by 
employees on authorized bulletin boards. Distribution of material such 
as pamphlets, handbills, and flyers is prohibited without prior approval 
of authorized individuals.



Sec. 504.9  Placards, signs, banners and flags.

    The displaying or carrying of placards, signs, banners, or flags is 
prohibited unless officially authorized.



Sec. 504.10  Dogs and other animals.

    Dogs and other animals, except seeing-eye dogs, shall not be brought 
upon the premises for other than official purposes.



Sec. 504.11  Photographs for news, advertising, or commercial purposes.

    No photographs for advertising or any other commercial purpose may 
be taken on the premises unless officially authorized.



Sec. 504.12  Items to be checked.

    Umbrellas, canes (not needed to assist in walking), or other objects 
capable of inflicting damage to property or exhibits may be required to 
be checked in buildings where checking facilities are provided.



Sec. 504.13  Vehicular and pedestrian traffic.

    (a) Drivers of all vehicles in or on the premises shall drive in a 
careful and safe manner at all times and shall comply with the signals 
and directions of the guards and all posted traffic signs.
    (b) The blocking of entrances, driveways, walks, loading platforms, 
or fire hydrants in or on property is prohibited. Parking without 
authority, or parking in unauthorized locations or in locations reserved 
for other persons or contrary to the direction of posted signs, is 
prohibited. This paragraph may be supplemented from time to time by the 
issuance and posting of such additional traffic and parking directives 
as may be required, and such directives shall have the same force and 
effect as if made a part thereof.



Sec. 504.14  Weapons and explosives.

    No person while on the premises shall carry firearms, other 
dangerous or deadly weapons, or explosives, either openly or concealed, 
except for official purposes.



Sec. 504.15  Nondiscrimination.

    There shall be no discrimination by segregation or otherwise against 
any person or persons because of race, religion, color, or national 
origin in furnishing or by refusing to furnish to such person or persons 
the use of any facility of a public nature, including all services, 
privileges, accommodations, and activities provided thereby on the 
premises.



Sec. 504.16  Penalties.

    Section 6 of the Smithsonian Institution Special Policing Statute, 
Act of October 24, 1951, 65 Stat. 635, 40 U.S.C. 193(s) states that:

    Whoever violates any provision of sections 193o-193q of this Title, 
or any regulation prescribed under section 193r of this Title, shall be 
fined not more than $100 or imprisoned not more than sixty days, or 
both, prosecution for such offenses to be had in the District of 
Columbia Court of General Sessions, upon information by the U.S. 
attorney or any of his assistants: Provided, That in any case where, in 
the commission of such offense, property is damaged in an amount 
exceeding $100, the amount of the fine for the offense may be not more 
than $5,000, the period of imprisonment for the offense may be not more 
than 5 years and prosecution shall be had in the U.S. District Court for 
the District of Columbia by indictment, or if the defendant, after he 
has been advised of the nature of the charge and of his rights, waives 
in open court prosecution by indictment, by information by the U.S. 
attorney or any of his assistants.

[[Page 53]]



PART 520--RULES AND REGULATIONS GOVERNING THE BUILDINGS AND GROUNDS OF THE NATIONAL ZOOLOGICAL PARK OF THE SMITHSONIAN INSTITUTION--Table of Contents




Sec.
520.1  General.
520.2  Recording presence.
520.3  Preservation of property.
520.4  Protection of zoo animals.
520.5  Conformity with signs and emergency directions.
520.6  Nuisances.
520.7  Gambling.
520.8  Intoxicating beverages and narcotics.
520.9  Soliciting, vending, debt collection, and distribution of 
          handbills.
520.10  Placards, signs, banners, and flags.
520.11  Dogs and other animals.
520.12  Photographs for news, advertising, or commercial purposes.
520.13  Items to be checked.
520.14  Vehicular and pedestrian traffic.
520.15  Weapons and explosives.
520.16  Nondiscrimination.
520.17  Lost and found.
520.18  Penalties.

    Authority: Secs. 1-9, 65 Stat. 634, as amended, secs. 1-4, 78 Stat. 
365; 40 U.S.C. 193n-193w.

    Source: 33 FR 17175, Nov. 20, 1968, unless otherwise noted.



Sec. 520.1  General.

    The rules and regulations in this part apply to all buildings and 
grounds of the National Zoological Park of the Smithsonian Institution, 
as defined in sec. 3, 78 Stat. 366; 40 U.S.C. 193v(1)(B), and to all 
persons entering in or on such buildings and grounds, hereinafter 
referred to as the premises.



Sec. 520.2  Recording presence.

    Except as otherwise ordered, National Zoological Park buildings and 
grounds shall be closed to the public after posted visiting hours. Such 
buildings and grounds, or portions thereof, shall be also closed to the 
public in emergency situations and at such other times as may be 
necessary for the orderly conduct of business. Whenever the buildings 
and grounds or portions thereof are closed to the public for any reason, 
visitors will immediately leave the premises upon being requested by a 
police officer or other authorized individual. Admission to such 
premises during periods when closed to the public will be limited to 
authorized individuals who will be required to register and identify 
themselves when requested by police officers or other authorized 
individuals.



Sec. 520.3  Preservation of property.

    It is unlawful willfully to destroy, damage, or remove property or 
any part thereof. Any parcels, portfolios, bags, or containers of any 
kind may be required to be opened and the contents identified prior to 
removal from the premises. In order to remove any property from the 
premises, a properly completed property pass signed by an authorized 
official of the National Zoological Park may be required prior to 
removal.



Sec. 520.4  Protection of zoo animals.

    Except for official purposes, no person shall:
    (a) Kill, injure, or disturb any exhibit or research animal by any 
means except to secure personal safety;
    (b) Pet, attempt to pet, handle, move, or remove exhibit or research 
animals;
    (c) Feed exhibit or research animals, except in strict accordance 
with authorized signs;
    (d) Catch, attempt to catch, trap, remove, or kill any free roaming 
animals inhabiting the premises;
    (e) Go over, under, between, or otherwise cross any guardrail, 
fence, moat, wall, or any other safety barrier; or to seat, stand, or 
hold children over any of the above-mentioned barriers;
    (f) Throw or toss rocks, or any other missiles into, from, or while 
on premises;
    (g) Bring strollers, baby carriages, or other conveyances, except 
wheel chairs, into exhibit buildings and public restrooms;
    (h) Engage in ball games, or any athletic activity, except in places 
as may be officially designated for such purposes;
    (i) Smoke or carry lighted cigarettes, cigars, or pipes into exhibit 
buildings, or to have a fire of any kind on the premises; or
    (j) Damage, deface, pick, or remove any herb, shrub, bush, tree, or 
turf, or portion thereof, on the premises.

[[Page 54]]



Sec. 520.5  Conformity with signs and emergency directions.

    Persons in or on the premises shall comply with official signs of a 
prohibitory or directory nature and with the directions of authorized 
individuals.



Sec. 520.6  Nuisances.

    The use of loud, abusive, or otherwise improper language; 
unwarranted loitering, sleeping or assembly; the creation of any hazard 
to persons or things; improper disposal of rubbish; spitting; prurient 
prying; the commission of any obscene or indecent act, or any other 
unseemly or disorderly conduct on the premises; throwing articles of any 
kind on the premises, or climbing upon any part of the building is 
prohibited.



Sec. 520.7  Gambling.

    Participating in games for money or other personal property or the 
operation of gambling devices, the conduct of a lottery or pool, or the 
selling or purchasing of numbers tickets in or on the premises is 
prohibited.



Sec. 520.8  Intoxicating beverages and narcotics.

    Entering the premises or the operating of a motor vehicle thereon by 
a person under the influence of any intoxicating beverage or narcotic 
drug or the use of such drug in or on the premises is prohibited. 
Consumption of intoxicating beverages on the premises is prohibited, 
unless officially authorized.



Sec. 520.9  Soliciting, vending, debt collection, and distribution of handbills.

    The soliciting of alms and contributions, commercial soliciting and 
vending of all kinds, the display or distribution of commercial 
advertising or the collecting of private debts, in or on the premises is 
prohibited. This rule does not apply to national or local drives for 
funds for welfare, health, and other purposes sponsored or approved by 
the National Zoological Park, concessions, or personal notices posted by 
employees on authorized bulletin boards. Distribution of material such 
as pamphlets, handbills, and flyers is prohibited without prior approval 
of authorized individuals.



Sec. 520.10  Placards, signs, banners, and flags.

    The displaying or carrying of placards, signs, banners, or flags is 
prohibited unless officially authorized.



Sec. 520.11  Dogs and other animals.

    Dogs and other animals, except seeing-eye dogs, shall not be brought 
upon the premises for other than official purposes unless confined to 
automobiles.



Sec. 520.12  Photographs for news, advertising, or commercial purposes.

    No photographs for advertising or any other commercial purpose may 
be taken on the premises unless officially authorized.



Sec. 520.13  Items to be checked.

    Umbrellas, canes (not needed to assist in walking), or other objects 
capable of inflicting damage to property or exhibits may be required to 
be checked at the police station where checking facilities are provided.



Sec. 520.14  Vehicular and pedestrian traffic.

    (a) Drivers of all vehicles in or on the premises shall drive in a 
careful and safe manner at all times and shall comply with the signals 
and directions of the police and all posted traffic signs.
    (b) The blocking of entrances, driveways, walks, loading platforms, 
or fire hydrants in or on property is prohibited. Parking without 
authority, or parking in unauthorized locations or in locations reserved 
for other persons or contrary to the direction of posted signs, is 
prohibited. This paragraph may be supplemented from time to time by the 
issuance and posting of such additional traffic and parking directives 
as may be required, and such directives shall have the same force and 
effect as if made a part thereof.



Sec. 520.15  Weapons and explosives.

    No person while on the premises shall carry firearms, other 
dangerous or deadly weapons, or explosives, either openly or concealed, 
except for official purposes, nor shall any person discharge or set off 
any firework or explosive of any nature on the premises.

[[Page 55]]



Sec. 520.16  Nondiscrimination.

    There shall be no discrimination by segregation or otherwise against 
any person or persons because of race, religion, color, or national 
origin in furnishing or by refusing to furnish to such person or persons 
the use of any facility of a public nature, including all services, 
privileges, accommodations, and activities provided thereby on the 
premises.



Sec. 520.17  Lost and found.

    (a) Lost articles or money which are found in areas covered by this 
part shall be immediately referred to the police station. Proper records 
shall be kept at Police Headquarters of the receipt and disposition of 
such articles. If an article or money found on park areas and referred 
to Zoo Police Headquarters is not claimed by the owner within a period 
of 60 days, it shall be returned to the finder and appropriate receipt 
obtained; except that in the case of National Zoological Park employees, 
articles or money turned in which are not claimed by the owner within 60 
days shall be considered as abandoned to the Smithsonian Institution. 
Such articles or money shall be transferred to the Treasurer of the 
Smithsonian Institution, who shall make suitable disposition of articles 
and remit all proceeds of such disposition and all unclaimed money into 
the unrestricted funds of the Smithsonian Institution.
    (b) The abandonment of any personal property in any of the park 
areas is prohibited.



Sec. 520.18  Penalties.

    Section 6 of the Smithsonian Institution Special Policing Statute, 
Act of October 24, 1951, 65 Stat. 635, 40 U.S.C. 193 (s) states that:

    Whoever violates any provision of sections 193o-193q of this title, 
or any regulation prescribed under section 193r of this Title, shall be 
fined not more than $100 or imprisoned not more than 60 days, or both, 
prosecution for such offenses to be had in the District of Columbia 
Court of General Sessions, upon information by the United States 
attorney or any of his assistants: Provided, That in any case where, in 
the commission of such offense, property is damaged in an amount 
exceeding $100, the amount of the fine for the offense may be not more 
than $5,000, the period of imprisonment for the offense may be not more 
than 5 years and prosecution shall be had in the U.S. District Court for 
the District of Columbia by indictment, or if the defendant, after he 
has been advised of the nature of the charge and of his rights, waives 
in open court prosecution by indictment, by information by the U.S. 
attorney or any of his assistants.



 PART 530--CLAIMS AGAINST THE SMITHSONIAN INSTITUTION INCLUDING THE NATIONAL GALLERY OF ART, THE JOHN F. KENNEDY CENTER FOR THE PERFORMING ARTS AND THE WOODROW 

WILSON INTERNATIONAL CENTER FOR SCHOLARS--Table of Contents




    Authority: 20 U.S.C. 41, et seq.



Sec. 530.1  Tort claims.

    The Smithsonian Institution (which encompasses the National Gallery 
of Art, the John F. Kennedy Center for the Performing Arts and the 
Woodrow Wilson International Center for Scholars) falls within the 
purview of the Federal Tort Claims Act. Internal procedures for 
implementing the Act follow the current general guidance issued by the 
U.S. Department of Justice in 28 CFR part 14. Information on specific 
claims procedures can be obtained as follows:

    (a) Smithsonian Institution: Office of the General Counsel, 
Smithsonian Institution, Washington, DC 20560.
    (b) National Gallery of Art: Administrator, National Gallery of Art, 
Washington, DC 20565.
    (c) John F. Kennedy Center for the Performing Arts: Director of 
Operations, John F. Kennedy Center for the Performing Arts, Washington, 
DC 20566.
    (d) Woodrow Wilson International Center for Scholars: Assistant 
Director for Administration, Woodrow Wilson International Center for 
Scholars, Smithsonian Institution, Washington, DC 20560.
[49 FR 9421, Mar. 13, 1984]



PARTS 531--599 [RESERVED]




[[Page 57]]



                          CHAPTER VI [RESERVED]




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                ............................................

[[Page 59]]



                    CHAPTER VII--LIBRARY OF CONGRESS




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Part                                                                Page
701             Procedures and services.....................          61
702             Conduct on Library premises.................          76
703             Availability of Library of Congress records.          80
704             National Film Registry of the Library of 
                    Congress................................          84
705             Financial Administration....................          87
706-799

  [Reserved]

  Editorial Note: The regulations in this chapter VII were formerly 
codified in 44 CFR chapter V.

[[Page 61]]



PART 701--PROCEDURES AND SERVICES--Table of Contents




Sec.
701.1  Application for employment.
701.2  Access to Library buildings.
701.3  Removal of materials from the Library buildings.
701.4  Information about the Library.
701.5  The Library's reading rooms and public use thereof.
701.6  Service of the general collections.
701.7  Reference and bibliographic assistance.
701.8  Assignment of special research facilities.
701.9  Loans of library materials.
701.10  Loans of library materials for blind and other physically 
          handicapped persons.
701.11  Lending of materials from the Library for exhibition.
701.12  Photoduplication service.
701.13  Service of African and Middle Eastern materials.
701.14  Service of Asian materials.
701.15  Service of European materials.
701.16  Service of folklife materials.
701.17  Service of Hispanic materials.
701.18  Service of legal materials.
701.19  Service of local history and genealogical materials.
701.20  Service of manuscript materials.
701.21  Service of maps and cartographic materials.
701.22  Service of microfilmed materials.
701.23  Service of motion picture and television materials.
701.24  Service of music materials.
701.25  Service of prints and photographs.
701.26  Service of rare books and special collections.
701.27  Service of scientific and technical materials.
701.28  Service of serial materials.
701.29  Service of sound recordings.
701.30  Cataloging distribution.
701.31  Library of Congress publications.
701.32  Offers of materials for purchase.
701.33  Acquisition of library materials by non-purchase means and 
          disposition of surplus library materials.
701.34  Contracting officers.
701.35  Policy on the authorized use of the Library name, seal, or logo.
701.36  Use of the Seal of the Library of Congress and the Library of 
          Congress Trust Fund Board.

    Authority: 2 U.S.C. 136; 18 U.S.C. 1017.



Sec. 701.1  Application for employment.

    The Library of Congress is an Excepted Service Legislative Branch 
agency. As such, it has its own independent merit system, and applicants 
do not need Civil Service status to apply for its positions. The Library 
has a wide range of clerical, technical, and professional positions (the 
latter being primarily oriented to library operations such as 
processing, cataloging, and reference, but with some positions in non-
librarian occupations such as computer, subject area and research 
analyst specialists). The Library's Employment Office is located in Room 
LM-107, James Madison Building, First Street and Independence Avenue, 
SE., Washington, DC 20540. Information about current employment needs 
and the procedure for application may be obtained by either visiting 
this office (Monday-Friday, 8:30 a.m. to 4:30 p.m.), calling during 
these hours at (202) 287-JOBS, or writing to the above address. A 24-
hour recording of general information is available at (202) 287-5295.
[46 FR 48660, Oct. 2, 1981]



Sec. 701.2  Access to Library buildings.

    (a) In accordance with the Library's general policy, persons other 
than staff members may be admitted to the Library buildings and to the 
various areas therein that are open to the public during the announced 
hours of public opening. Such persons may be admitted to other areas 
within the buildings and at other times only in accordance with 
established access regulations.
    (b) Persons having legitimate business in buildings closed to the 
public may be admitted after identification by responsible officials in 
the building or by authority as evidenced by a building access pass 
issued by the Associate Librarian for Management.
[35 FR 10588, June 30, 1970. Redesignated at 38 FR 27049, Sept. 28, 
1973, and amended at 46 FR 48660, Oct. 2, 1981]



Sec. 701.3  Removal of materials from the Library buildings.

    No material may be removed from the Library buildings without the 
proper stamp, pass, or other authorization as prescribed by regulations 
established by The Librarian of Congress. All property including, but 
not limited to, suitcases, briefcases, handbags, large envelopes, 
packages, and office

[[Page 62]]

equipment may be inspected upon leaving Library buildings in order to 
prevent the improper removal of property belonging to the U.S. 
Government.
[51 FR 22073, June 18, 1986]



Sec. 701.4  Information about the Library.

    Information about the activities, program, services, organization, 
and history of the Library of Congress is provided by the Information 
Office, which has primary responsibility for responding, or for 
arranging for other divisions of the Library to respond, to inquiries on 
these subjects from the public and from representatives of public-
information media. Such information is provided through publications and 
through individual response by telephone, by mail, and in personal 
conference. For convenience of the public, the office administers 
information counters in the James Madison and Thomas Jefferson 
Buildings; its staff answers visitors' inquiries about the Library but 
does not provide reference service for readers wishing to use the 
Library's collections. Free publications about the Library and some 
price publications and facsimiles of famous documents are available at 
this counter.
[35 FR 10588, June 30, 1970. Redesignated at 38 FR 27049, Sept. 28, 
1973, and amended at 51 FR 22073, June 18, 1986]



Sec. 701.5  The Library's reading rooms and public use thereof.

    (a) All members of the public wishing to use materials from the 
Library's collections first must obtain a User Card. The Library will 
issue User Cards, in accordance with established access regulations, to 
those persons who present a valid photo identification card containing 
their name and current address. The Library-issued User Card will 
include the name, digitized photograph, and signature of the user. It 
must be presented when requesting materials housed in the book stacks or 
other non-public areas or upon request of a Library staff member. In 
accordance with Library regulations which prescribe the conditions of 
reader registration and use of Library materials, presentation of a User 
Card may be required for entry into certain reading rooms. The Library 
will maintain the information found on the User Cards, including the 
digitized photograph and other pertinent information, in an automated 
file for collections security purposes. Access to the automated file 
shall be limited to only those Library staff whose official duties 
require access. The automated file shall be physically separated and 
accessible only from inside the Library.
    (b) Materials in the general classified collections of the Library 
are serviced in the Main and Local History and Genealogy reading rooms 
(Thomas Jefferson Building), and the Science and Social Science reading 
rooms (John Adams Building). Special collections, as explained further 
in subsequent sections, are serviced in the following reading rooms; 
Archive of Folk Culture, European, Microform, and Rare Book and Special 
Collections (Thomas Jefferson Building), African and Middle East and 
Asian (Adams Building), and Geography and Map, Law Library, Manuscript, 
Motion Picture and Television, Newspaper and Current Periodical, 
Performing Arts, Prints and Photographs, and Recorded Sound Reference 
Center (James Madison Memorial Building). Reference and bibliographic 
assistance is provided by the staff on duty in the reading rooms, to the 
extent necessary to supplement the reader's prior use of library 
resources elsewhere and/or to facilitate use of the Library's 
collections.
[51 FR 22073, June 18, 1986, as amended at 60 FR 34853, July 5, 1995]



Sec. 701.6  Service of the general collections.

    (a) Requests for materials in the general classified collections are 
submitted by readers on forms provided for that purpose. Available 
materials so requested are located and delivered to readers by the 
staff. Subject to specified limitations, materials may be reserved for 
continued use. Access to the bookstacks is permitted only under 
regulations established by the Librarian of Congress.
    (b) Definitions.
    (1) Security means administration of continuing, effective controls 
in areas where materials are housed for the purpose of preprocessing or 
processing, storage, access, or use. These controls

[[Page 63]]

are designed to safeguard against theft, loss, misplacement, or damage 
from improper use or vandalism and may vary as appropriate to the 
quality, monetary value, replaceability, fragility, or other special or 
unusual conditions relating to the materials concerned.
    (2) Library material means:
    (i) Items in all formats (including, but not limited to, books and 
pamphlets; documents; manuscripts; maps; microfiche, microfilms, and 
other microforms; motion pictures, photographs, posters, prints, 
drawings, videotapes, and other visual materials; newspapers and 
periodicals; recorded discs, tapes, or audio/video/digital materials in 
other formats) either in the collections of the Library of Congress or 
acquired for and in process for the Library's collections;
    (ii) Objects such as musical instruments, printing blocks, copper 
engraving plates, paintings, and scrolls, and
    (iii) Control files, which are manual or automated files essential 
to the physical or intellectual access to Library materials, such as 
catalogs, computer tapes, finding aids, and shelflists. These include 
items that are acquired as an integral part of Library materials and are 
accessioned into the collections with them permanent inventory records, 
public catalogs, and other finding aids.
    (3) Security-controlled environment means, but is not limited to: 
general and special reading rooms and research facilities where 
materials are issued under controlled circumstances for use of readers; 
the bookstacks and other storage facilities where materials are housed 
when not in use; and work areas where materials are held temporarily for 
processing.
    (c) General policy for use of Library materials. Materials retrieved 
for readers' use shall be used only in assigned reading rooms or 
research facilities. Use elsewhere in Library buildings requires 
specific authorization from designated staff members of the custodial 
unit. Use of materials assigned to reference collections shall be in 
accordance with established regulations. To minimize the risk of theft, 
loss, or damage when the materials are removed from designated storage 
areas, the conditions of availability and use will vary as appropriate 
to the quality of materials, their monetary value, replaceability, 
format, physical condition, and the purpose for which they are to be 
circulated--reader use within the Library, exhibits, preservation, 
photoduplication, or loan outside the Library. Unless otherwise 
specified by Library regulations, and/or legal or contractual 
obligations, the conditions and procedures for use of materials, 
including duplication, either inside or outside of the Library 
buildings, shall be determined by or in consultation with the unit head 
responsible for the custody of the material used.
    (1) Any material removed from the security-controlled environment of 
a reading room or storage area, and meeting the established criteria 
must be charged as an internal or external loan through the Loan 
Division, in accordance with established loan regulations. The security 
of in-process material, and special collections material not meeting the 
criteria of these regulations, is the responsibility of the division 
chief or equivalent Library officer with physical control of the 
material. That division shall determine whether or not a Loan Division 
internal charge must be created when an item is removed for use. If a 
Loan Division record is not created, the division shall create and 
maintain a local record until the item is returned.
    (2) When the period of use is completed, all materials shall be 
returned immediately to the custodial unit to be placed in designated 
shelf or other locations in assigned storage areas. Charge records for 
the returned materials shall be removed from the charge files.
    (d) Penalties. Readers who violate established conditions and/or 
procedures for using material are subject to penalties to be determined 
by or in consultation with the unit head responsible for the custody of 
the material used.
    (1) When a reader violates a condition and/or procedure for using 
material, the division chief or head of the unit where the infraction 
occurred may, upon written notification, deny further access to the 
material, or to the unit in which it is housed, to be determined by

[[Page 64]]

the nature of the infraction and the material involved.
    (2) Within five workdays of receipt of such notification, the reader 
may make a written request, including the reasons for such request to 
the Associate Librarian for that service unit, or his/her designee, for 
a reconsideration of said notification.
    (3) The Associate Librarian for that service unit, or his/her 
designee, shall respond within five workdays of receipt of such request 
for reconsideration and may rescind, modify, or reaffirm said 
notification, as appropriate.
    (4) Repeated violations of established conditions and/or procedures 
for using material may result in denial of further access to the 
premises and further use of the Library's facilities or revocation of 
the reader's User Card, in accordance with established access 
regulations.
    (5) Mutilation or theft of Library property also may result in 
criminal prosecution, as set forth in 18 U.S.C. 641, 1361, and 2071; and 
22 D.C. Code 3106.
    (6) In certain emergency situations requiring prompt action, the 
division chief or head of the unit where the infraction occurred 
immediately may deny further access to the material or unit prior to 
making written notification action. In such cases, the reader shall be 
notified, in writing, within three days of the action taken and the 
reasons therefor. The reader then may request reconsideration.
    (7) A copy of any written notification delivered pursuant to this 
part shall be forwarded to the Captain, Library Police, the service 
unit, and the Director, Integrated Support Services, for retention.
[35 FR 10588, June 30, 1970. Redesignated at 38 FR 27049, Sept. 28, 
1973, and amended at 51 FR 22073, June 18, 1986; 60 FR 34853, July 5, 
1995]



Sec. 701.7  Reference and bibliographic assistance.

    (a) Reference and bibliographic services provided in response to 
requests from readers and requests received by telephone and by mail are 
governed by policies and regulations established by the Librarian of 
Congress.
    (b) Readers requiring reference and bibliographic assistance in the 
general collections and aid in the use of the catalogs may request help 
from the staff on duty in the general reading rooms. Requests for such 
assistance in special collections are referred to the appropriate 
specialized division and reading rooms.
    (c) Reference inquiries and requests for service which cannot be 
satisfied by other libraries or scholarly institutions nearer the 
inquirer may be submitted to the Library of Congress, which will respond 
to them insofar and on such conditions as available staff and facilities 
permit.
[35 FR 10588, June 30, 1970. Redesignated at 38 FR 27049, Sept. 28, 
1973, and amended at 46 FR 48661, Oct. 2, 1981]



Sec. 701.8  Assignment of special research facilities.

    (a) Study shelves. Individually-assigned reserve shelves are 
available adjacent to several reading rooms for the use of researchers 
whose work requires access to the same materials over an extended period 
of time. Shelves are assigned to applicants for a specific period 
through the Research Facilities Office, Humanities and Social Sciences 
Division. Shelves must be renewed at designated intervals.
    (b) Study desks. A limited number of study desks are available for 
the use of researchers engaged in full-time research projects involving 
extensive use of materials requiring larger amounts of material drawn 
from the Library's collections, more work space, greater physical 
security, and/or a more private environment than might be possible in a 
reading room. Study desk areas shall not be used as a primary office 
from which the project undertaken is operated, nor as a business 
location. Study desks are initially assigned for a period not to exceed 
one year, with the assignment and termination dates determined by the 
Head of the Main Reading Room Section, Humanities and Social Sciences 
Division. The assignment of a study desk beyond the first year may be 
made by the Chief of the Humanities and Social Sciences Division for a 
maximum of two years from the first assignment when there is a 
demonstrated need for the continuation of the assignment. Assignments 
beyond two years require an exception

[[Page 65]]

to this part and shall be specifically authorized by the Associate 
Librarian for Library Services. Any researcher who demonstrates a 
continuing need for a facility beyond an expiration date may reapply, 
but priority will be given to applicants on the waiting list who meet 
the specific criteria.
    (c) Congressional use of study rooms. Rooms 225A-225E in the James 
Madison Building are available for the exclusive use of Members of 
Congress and Committees for official research that requires use of the 
Library's collections or files in the Congressional Research Service. 
Assignment of study rooms shall be made in accordance with the 
Resolution of the Joint Committee on the Library of September 12, 1959, 
which states: ``* * * occupancy of study rooms assigned to Members 
should not be delegated to others than members of their own office staff 
who are paid no less than 20 hours per week from U.S. Government funds 
and at a rate of not less than the minimum salary of a GS-3 clerk-typist 
* * *, and that Members should not request assignments of rooms for 
themselves merely for the purpose of sponsoring the work of private 
individuals and non-Government groups. * * *'' Rooms are assigned for 
one year or the life of the project, whichever is less, with the 
assignment and termination dates determined by the Director of the 
Congressional Relations Office.
[62 FR 64280, Dec. 5, 1997]



Sec. 701.9  Loans of library materials.

    The Library of Congress is not a public circulating library and no 
material in its collections may be taken from the Library buildings 
except upon approval by the Chief of the Loan Division. Members of 
Congress, heads of executive departments, and other statutory borrowers, 
however, have the privilege of withdrawing books by virtue of their 
office. Subject to regulations and conditions established by The 
Librarian of Congress, special permission to withdraw materials may be 
given to congressional staff. Applications for such privilege are acted 
upon by the Chief of the Loan Division, who is responsible for the 
interpretation and enforcement of the regulations governing loans. 
Except for Members of Congress, heads of executive departments, and 
others authorized by the Librarian to have materials assembled and 
delivered to them, persons having the borrowing privilege must present 
materials to be borrowed to the Loan Division for recording and for 
issuance of a door pass. Borrowers must present the materials for 
inspection to the guards on duty at the exits to the Library buildings. 
Materials are issued on interlibrary loan to other libraries within and 
outside the District of Columbia under regulations established by the 
Librarian of Congress. Applications from established libraries for such 
loans, and requests for information about interlibrary loans and loan 
service, generally, should be directed to the Chief of the Loan 
Division.
[35 FR 10588, June 30, 1970. Redesignated at 38 FR 27049, Sept. 28, 
1973, and amended at 46 FR 48661, Oct. 2, 1981; 51 FR 22073, June 18, 
1986]



Sec. 701.10  Loans of library materials for blind and other physically handicapped persons.

    (a) Program. In connection with the Library's program of service 
under the Act of March 3, 1931 (46 Stat. 1487), as amended, its National 
Library Service for the Blind and Physically Handicapped provides books 
in raised characters (braille), on sound reproduction recordings, or in 
any other form, under regulations established by the Librarian of 
Congress. The National Library Service also provides and maintains 
reproducers for such sound reproduction recordings for the use of blind 
and other physically handicapped residents of the United States, 
including the several States, Territories, Insular Possessions, and the 
District of Columbia, and American citizens temporarily domiciled 
abroad.
    (b) Eligibility criteria. (1) The following persons are eligible for 
such service:
    (i) Blind persons whose visual acuity, as determined by competent 
authority, is 20/200 or less in the better eye with correcting glasses, 
or whose widest diameter if visual field subtends an angular distance no 
greater than 20 degrees.

[[Page 66]]

    (ii) Persons whose visual disability, with correction and regardless 
of optical measurement, is certified by competent authority as 
preventing the reading of standard printed material.
    (iii) Persons certified by competent authority as unable to read or 
unable to use standard printed material as a result of physical 
limitations.
    (iv) Persons certified by competent authority as having a reading 
disability resulting from organic dysfunction and of sufficient severity 
to prevent their reading printed material in a normal manner.
    (2) In connection with eligibility for loan services ``competent 
authority'' is defined as follows:
    (i) In cases of blindness, visual disability, or physical 
limitations ``competent authority'' is defined to include doctors of 
medicine, doctors of osteopathy, ophthalmologists, optometrists, 
registered nurses, therapists, professional staff of hospitals, 
institutions, and public or welfare agencies (e.g., social workers, case 
workers, counselors, rehabilitation teachers, and superintendents). In 
the absence of any of these, certification may be made by professional 
librarians or by any persons whose competence under specific 
circumstances is acceptable to the Library of Congress.
    (ii) In the case of reading disability from organic dysfunction, 
competent authority is defined as doctors of medicine who may consult 
with colleagues in associated disciplines.
    (c) Loans through regional libraries. Sound reproducers are lent to 
individuals and appropriate centers through agencies, libraries, and 
other organizations designated by the Librarian of Congress to service 
specific geographic areas, to certify eligibility of prospective 
readers, and to arrange for maintenance and repair of reproducers. 
Libraries designated by the Librarian of Congress serve as local or 
regional centers for the direct loan of such books, reproducers, or 
other specialized material to eligible readers in specific geographic 
areas. They share in the certification of prospective readers, and 
utilize all available channels of communication to acquaint the public 
within their jurisdiction with all aspects of the program.
    (d) National collections. The Librarian of Congress, through the 
National Library Service for the Blind and Physically Handicapped, 
defines regions and determines the need for new regional libraries in 
cooperation with other libraries or agencies whose activities are 
primarily concerned with the blind and physically handicapped. It serves 
as the center from which books, recordings, sound reproducers, and other 
specialized materials are lent to eligible blind and physically 
handicapped readers who may be temporarily domiciled outside the 
jurisdictions enumerated by the Act. It maintains a special collection 
of books in raised characters and on sound reproduction recordings not 
housed in regional libraries and makes these materials available to 
eligible borrowers on interlibrary loan.
    (e) Institutions. The reading materials and sound reproducers for 
the use of blind and physically handicapped persons may be loaned to 
individuals who qualify, to institutions such as nursing homes and 
hospitals, and to schools for the blind or physically handicapped for 
the use of such persons only. The reading materials and sound 
reproducers may also be used in public or private schools where 
handicapped students are enrolled; however, the students in public or 
private schools must be certified as eligible on an individual basis and 
must be the direct and only recipients of the materials and equipment.
    (f) Musical scores. The National Library Service also maintains a 
library of musical scores, instructional texts, and other specialized 
materials for the use of the blind and other physically handicapped 
residents of the United States and its possessions in furthering their 
educational, vocational, and cultural opportunities in the field of 
music. Such scores, texts, and materials are made available on a loan 
basis under regulations developed by the Librarian of Congress in 
consultation with persons, organizations, and agencies engaged in work 
for the blind and for other physically handicapped persons.
    (g) Veterans. In the lending of such books, recordings, reproducers, 
musical scores, instructional texts, and other specialized materials, 
preference shall be at all times given to the needs of the

[[Page 67]]

blind and other physically handicapped persons who have been honorably 
discharged from the Armed Forces of the United States.
    (h) Inquiries for information relative to the prescribed procedures 
and regulations governing such loans and requests for loans should be 
addressed to: Director, National Library Service for the Blind and 
Physically Handicapped, Library of Congress, Washington, DC 20542.
[39 FR 20203, June 7, 1974, as amended at 46 FR 48661, Oct. 2, 1981]



Sec. 701.11  Lending of materials from the Library for exhibition.

    Subject to special conditions and procedures determined by the 
Library, certain materials in the Library's collections are available 
for loan to recognized institutions, such as libraries and museums, with 
established exhibition programs and with staffs proficient in handling 
the particular material requested. This service is subject to 
limitations in terms of the character of the materials and the 
availability of staff to prepare materials for shipment. Each request 
for loan is judged on its particular merits, i.e., type of institution 
and program for which loan is proposed in relation to the importance and 
value, both monetary and intrinsic, of the material requested and the 
probability of its being replaceable in the event of loss. 
Communications concerning the lending of materials for exhibition should 
be addressed to the Exhibits Officer, Library of Congress, Washington, 
DC 20540.
[35 FR 10588, June 30, 1970. Redesignated at 38 FR 27049, Sept. 28, 
1973]



Sec. 701.12  Photoduplication service.

    Photocopies of materials in the Library's general and special 
collections may be obtained from the Library's Photoduplication Service 
at prevailing rates and subject to prescribed contract provisions, 
provided that they are not subject to copyright or other restrictions, 
or provided that permission to copy has been obtained. Order forms for 
photocopies may be secured from the Photoduplication Service, Library of 
Congress, Washington, DC 20540.
[35 FR 10588, June 30, 1970. Redesignated at 38 FR 27049, Sept. 28, 
1973]



Sec. 701.13  Service of African and Middle Eastern materials.

    (a) Services to readers in the African and Middle Eastern Division 
are provided in accordance with prescribed conditions of use of 
materials in the custody of the division: materials written or printed 
in Arabic, Hebrew, Persian, Turkish, Yiddish, etc.
    (b) Readers requiring reference and bibliographic assistance in the 
general areas of African and Middle Eastern studies are assisted in the 
African and Middle Eastern Division's three component sections: African, 
Hebraic, and Near East, each of which maintains a reference collection 
and pertinent bibliographic tools. Reference service on special 
materials of interest to African and Middle Eastern studies (except law) 
is provided by the divisions holding such materials, as identified in 
Sec. 701.5. In the fields of science and technology, reference and 
bibliographic services are provided by the Science and Technology 
Division.
[51 FR 22073, June 18, 1986]



Sec. 701.14  Service of Asian materials.

    (a) Services to readers in the Asian Division are provided in 
accordance with prescribed conditions of use of materials in the custody 
of the division: materials written or printed in Bengali, Burmese, 
Chinese, Hindi, Indonesian, Japanese, Korean, Thai, Urdu, Vietnamese, 
etc.
    (b) Readers requiring reference and bibliographic assistance in the 
general areas of Asian studies are assisted in the Asian Division's 
three component sections. Reference service on special materials of 
interest to Asian studies (except law) is provided by the divisions 
holding such materials, as identified in Sec. 701.5. In the fields of 
science and technology, reference and bibliographic services are 
provided by the Science and Technology Division.
[51 FR 22073, June 18, 1986]

[[Page 68]]



Sec. 701.15  Service of European materials.

    (a) Services to readers in the European Division are provided in 
accordance with prescribed conditions of use of the materials in the 
custody of the European Division: Unbound serials and newspapers, (with 
the exception of those assigned to the Law Library), written or printed 
in any of the Slavic languages and in Estonian, Latvian, and Lithuanian. 
Readers requesting reference and bibliographic assistance on European 
materials classified in the general collections are assisted by staff on 
duty in the general reading rooms, or in the European Reading Room, 
which maintains a reference collection and pertinent informational 
files.
    (b) The professional staff of the European Division renders 
reference and bibliographic services pertaining to the cultural, 
political, social, and economic life of Albania, Austria, Belgium, 
Bulgaria, Cyprus, Czechosloviakia, Denmark, Estonia, Finland, France, 
the German Democratic Republic, the Federal Republic of Germany, Greece, 
Hungary, Iceland, Italy, Latvia, Liechtenstein, Lithuania, Luxembourg, 
Monaco, The Netherlands, Norway, Poland, Romania, San Marino, the Soviet 
Union, Sweden, Switzerland, the Vatican City, and Yugoslavia. Reference 
service on special materials of interest to European studies (except 
law) is provided by the divisions holding such materials, as identified 
in Sec. 701.5. In the fields of science and technology, reference and 
bibliographic services are provided by the Science and Technology 
Division.
[51 FR 22073, June 18, 1986]



Sec. 701.16  Service of folklife materials.

    (a) The American Folklife Center renders specialized reference, 
bibliographic and consulting services pertaining to ``preserving and 
presenting'' folk cultural traditions in the United States. The Center 
is not a grant-giving agency but concentrates on varied services to the 
field--coordination of folk cultural activities, local, state, Federal 
and at the Library of Congress; field projects, technical and consultant 
services; research and archival service; and publications, exhibits and 
live presentations designed to disseminate ideas and materials 
pertaining to American folk culture.
    (b) The Center's Archive of Folk Song provides reference and 
referral services concerning folklife and ethnomusicology by telephone, 
through correspondence, and directly to readers in the Archive's Reading 
Room on the Library's pertinent collection of books, periodicals, 
recordings, manuscripts, etc. Printed descriptions of the Archive's 
published reference and findings aids, recordings, intern program, and 
other services, are available from the Archive of Folk Culture, Library 
of Congress, Washington, DC 20540.
[46 FR 48663, Oct. 2, 1981, as amended at 51 FR 22073, June 18, 1986]



Sec. 701.17  Service of Hispanic materials.

    (a) Readers requesting reference and bibliographic assistance on 
hispanic materials classified in the general collections may consult 
staff on duty in the general reading rooms, or in the Hispanic Reading 
Room, which maintains a reference collection and pertinent informational 
files.
    (b) The professional staff of the Hispanic Division renders 
reference and bibliographic services pertaining to the cultural, 
political, social and economic life of Spain, Portugal, and the 
countries of Latin America and the Caribbean, as well as for materials 
pertaining to the social and cultural life of Hispanics in the United 
States. Reference service on special materials of interest to Hispanic 
studies (except law) is provided by the divisions holding such 
materials, as identified in Sec. 701.5. In the fields of science and 
technology, reference and bibliographic services are provided by the 
Science and Technology Division.
[51 FR 22074, June 18, 1986]



Sec. 701.18  Service of legal materials.

    (a) Legal materials are served in the reading room of the Law 
Library in the James Madison Building. Those volumes which are not on 
the open shelves may be obtained for reading room use by filling out and 
presenting to a reference assistant a slip provided for the purpose.

[[Page 69]]

    (b) The collections of the Law Library are available in part, for 
use outside the Library for a limited period, to authorized borrowers in 
Washington, DC, and through interlibrary loan to the general public 
residing in other parts of the country, in conformity with Loan Division 
procedures. Books which are lent for use outside of the Law Library must 
be charged in the Law Library. Books which are lent for use outside the 
Library building must be charged in the Loan Division, where a formal 
charge is made and a door pass is issued.
[46 FR 48662, Oct. 2, 1981]



Sec. 701.19  Service of local history and genealogical materials.

    Readers requesting reference and bibliographic assistance on 
materials in local history and genealogy may consult the staff in the 
Local History and Genealogy Room.
[46 FR 48662, Oct. 2, 1981]



Sec. 701.20  Service of manuscript materials.

    (a) Services to readers in the Manuscript Reading Room are provided 
in accordance with prescribed conditions of reader registration and use 
of the materials in the custody of the Manuscript Division. The use of 
such materials is restricted to the Manuscript Reading Room.
    (b) The professional staff of the Manuscript Division renders 
reference and bibliographic services pertaining to its collections by 
telephone, through correspondence, and directly to adult readers in the 
Manuscript Reading Room.
[51 FR 22074, June 18, 1986]



Sec. 701.21  Service of maps and cartographic materials.

    (a) Services to readers in the Geography and Map Reading Room are 
provided in accordance with prescribed conditions of reader registration 
and use of the maps, atlases and globes in the custody of the Geography 
and Map Division. The use of such materials is restricted to the 
Geography and Map Reading Room.
    (b) The professional staff of the Geography and Map Division renders 
reference and bibliographic services pertaining to its collections by 
telephone, through correspondence, and directly to adult readers in the 
Geography and Map Reading Room.
[51 FR 22074, June 18, 1986]



Sec. 701.22  Service of microfilmed materials.

    (a) Service to readers in the Microform Reading Room is provided in 
accordance with prescribed conditions governing the use of microfilm and 
microprint material in the custody of the Microform Reading Room. 
Investigators may requisition inkprint materials from other collections 
of the Library for use in the Microform Reading Room, but such requests 
will be subject to limitations consistent with the care and service of 
the collections, and with regard for service to readers in other reading 
rooms.
    (b) Other units have custody of microfilmed materials, such as 
manuscripts, newspapers, music, law, and orientalia, and render service 
on these materials.
[46 FR 48662, Oct. 2, 1981]



Sec. 701.23  Service of motion picture and television materials.

    (a) Services to readers in the Motion Picture and Television Reading 
Room are provided in accordance with prescribed conditions of reader 
registration and use of the motion picture film, and videotape materials 
in the custody of the Motion Picture, Broadcasting and Recorded Sound 
Division. The use of such materials is restricted to the Motion Picture 
and Television Reading Room.
    (b) The professional staff of the Motion Picture, Broadcasting and 
Recorded Sound Division renders reference and filmographic services 
pertaining to its collections by telephone, through correspondence and 
directly to adult readers in the Motion Picture and Television Reading 
Room.
[51 FR 22074, June 18, 1986]



Sec. 701.24  Service of music materials.

    (a) Services to readers in the Performing Arts Reading Room are 
provided in accordance with prescribed conditions of reader registration 
and

[[Page 70]]

use of the music materials in the custody of the Music Division. The use 
of such materials is restricted to the Performing Arts Reading Room.
    (b) The professional staff of the Music Division renders reference 
and bibliographic services pertaining to its collections, by telephone, 
through correspondence and directly to adult readers in Performing Arts 
Reading Room (see also Sec. 701.29).
[51 FR 22074, June 18, 1986]



Sec. 701.25  Service of prints and photographs.

    (a) Services to readers in the Prints and Photographs Reading Room 
are provided in accordance with prescribed conditions of reader 
registration and use of the collections of fine and historical prints, 
drawings, photographs, posters, and architectural drawings and 
photographs, in the custody of the Prints and Photographs Division. The 
use of such materials is restricted to the Prints and Photographs 
Reading Room.
    (b) The professional staff of the Prints and Photographs Division 
renders reference and bibliographic services pertaining to its 
collections, by telephone, through correspondence and directly to adult 
readers in the Prints and Photographs Reading Room.
[51 FR 22074, June 18, 1986]



Sec. 701.26  Service of rare books and special collections.

    (a) Services to readers in the Rare Book and Special Collections 
Reading Room are provided in accordance with prescribed conditions of 
reader registration and use of the materials in the custody of the Rare 
Book and Special Collections Division. The use of such materials is 
restricted to the Rare Book and Special Collections Reading Room.
    (b) The professional staff of the Rare Book and Special Collections 
Division renders reference and bibliographic services pertaining to its 
collections by telephone, through correspondence, and directly to adult 
readers in the Rare Book and Special Collections Reading Room.
    (c) Service to readers of the rare books in the custody of the Law 
Library and the Music Division are subject to similar regulations.
[51 FR 22074, June 18, 1986]



Sec. 701.27  Service of scientific and technical materials.

    (a) Readers requesting reference and bibliographic assistance in 
science and technology may consult the staff on duty in the Science 
Reading Room. Inquiries are referred when necessary to subject 
specialists in the Science and Technology Division. A special collection 
of technical reports is available in the Science Reading Room. Materials 
on science in the Library's subject-classified collections are also 
served in the Library's other general reading rooms.
    (b) In answering requests for referral service, the Resources 
Analysis Section of the General Reading Rooms Division compiles names, 
addresses, telephone numbers, and brief descriptions of appropriate 
information resources, which may include professional societies, 
university research bureaus and institutes, Federal and State agencies, 
industrial laboratories, museums, testing stations, and individual 
experts as well as more traditional sources of information, such as 
technical libraries, information and document centers, and abstracting 
and indexing services.
[51 FR 22074, June 18, 1986]



Sec. 701.28  Service of serial materials.

    (a) Services to readers in the Newspaper and Current Periodical 
Reading Room are provided in accordance with prescribed conditions of 
use of the collections of current and unbound periodicals, bound, 
unbound and microfilmed newspapers, Government documents, ephemera, etc. 
not assigned to other divisions, in the custody of the Serial and 
Government Publications Division. The use of such materials is 
restricted to the Newspaper and Current Periodical Reading Room.
    (b) The professional staff of the Serial and Government Publications 
Division renders reference and bibliographic services pertaining to its 
collections as well as to the government publications in the general 
classified

[[Page 71]]

collections, by telephone, through correspondence and directly to adult 
readers in the Newspaper and Current Periodical Reading Room.
[51 FR 22074, June 18, 1986]



Sec. 701.29  Service of sound recordings.

    (a) Services to readers in the Recorded Sound Reference Center in 
the Performing Arts Reading Room are provided in accordance with 
prescribed conditions of reader registration and use of the sound 
recordings of all kinds (except recordings for the blind) in the custody 
of the Motion Picture, Broadcasting and Recorded Sound Division. The use 
of such materials, for serious research only, is restricted to the 
Performing Arts Reading Room and appointments to use them must be sought 
in advance by application to the Motion Picture, Broadcasting and 
Recorded Sound Division.
    (b) The professional staff of the Recorded Sound Reference Center 
renders reference and discographic services pertaining to the 
collections, by telephone, through correspondence, and directly to adult 
readers in the Performing Arts Reading Room.
    (c) Reference and information pertaining to folk music and 
ethnomusicology are available from the Archive of Folk Culture, American 
Folklife Center.
    (d) A list of recordings of poetry and folk music issued by the 
Library of Congress and available for a sale may be obtained from the 
Public Services Coordinator, Motion Picture, Broadcasting and Recorded 
Sound Division, Library of Congress, Washington, DC 20540.
[51 FR 22075, June 18, 1986]



Sec. 701.30  Cataloging distribution.

    Bibliographic products and services are produced and supplied to the 
Library of Congress and other libraries by the Cataloging Distribution 
Service. The Service sells bibliographic data in the form of printed 
cards, machine-readable tapes (MARC), book catalogs, microfiche catalogs 
and technical publications to libraries, learned societies, professional 
institutions, government agencies, private institutions, and cooperative 
and commercial processing centers. Information may be obtained from the 
Cataloging Distribution Service, Library of Congress.
[51 FR 22075, June 18, 1986]



Sec. 701.31  Library of Congress publications.

    Publications of the Library include guides to its collections and 
services, catalogs of materials in the Library of Congress and other 
libraries, lists and descriptions of serials and monographs received, 
registers of personal papers of American public figures, bibliographies, 
facsimiles of rare items in its collections, exhibit catalogs, annual 
reports, acquisitions reports, and various other issuances relating to 
the Library and its programs. Most of the Library's publications are 
sold by the Superintendent of Documents, Government Printing Office, 
Washington, DC 20402. A complete list of available publications, Library 
of Congress Publications in Print, is distributed free by the Central 
Services Division, Library of Congress, Washington, DC 20540.
[46 FR 48663, Oct. 2, 1981, as amended at 51 FR 22075, June 18, 1986]



Sec. 701.32  Offers of materials for purchase.

    The Library solicits offers of library materials (including books, 
periodicals, pamphlets, manuscripts, maps, views, music, recordings, 
motion pictures, photographs, posters, prints, etc.). Lists or catalogs 
offering materials should specify author, title, place of publication, 
date of publication, whether or not copyrighted, edition note, series 
note, and number of pages or volumes. Each item must be priced. All 
offers of materials and all other correspondence concerning the 
acquisition by purchase of materials for the Library's collections 
(including invoices, statements, and questions concerning payment for 
material purchased by the Library) should be addressed to the Library of 
Congress, Order Division, Washington, DC 20504. Materials should be sent 
``on approval'' unless specifically requested by the Order Division.
[51 FR 22075, June 18, 1986; 51 FR 23537, June 30, 1986]

[[Page 72]]



Sec. 701.33  Acquisition of library materials by non-purchase means and disposition of surplus library materials.

    (a) Acquisition of non-purchase materials. The Exchange and Gift 
Division has responsibility for the Library's acquisition of materials 
by non-purchase means, including exchange, gift and transfer, and other 
government sources.
    (1) Exchanges. Official exchanges, numbering about one hundred 
agreements, are maintained between the Library and official agencies or 
institutions designated in other countries to send and receive official 
documents. Agreements for official exchanges stem from multilateral 
treaties, Executive Agreements, and informal agreements. Sets of U.S. 
official publications are supplied under these agreements. In addition 
to official exchanges, general (or non-official) exchanges negotiated on 
an informal basis are conducted with government agencies at all levels, 
universities, colleges, museums, libraries, learned organizations and 
international organizations. (Currently about 15,000 non-official 
exchanges are in effect throughout the world). The Library sends to 
these exchange partners selections from its duplicates or current U.S. 
Government publications. By law (44 U.S.C. 1718 and 1719) the Library is 
authorized to requisition for use on international exchange up to 125 
copies of each U.S. Government publication issued by the Government 
Printing Office.
    (2) Gift. The Library solicits gifts from individuals, businesses, 
foundations, and other organizations throughout the world, including 
unions, political parties, chambers of commerce, religious groups, etc., 
that do not enter into exchanges or offer their publications for regular 
sale. The Library also actively solicits material for its special 
collections which it would not usually be in a position to purchase, 
including personal papers, music manuscripts, sound recordings, rare 
books, fine prints and photographs, etc.
    (3) Government source. In addition to the documents provided by the 
Superintendent of Documents for international exchange, the Library is 
entitled under 44 U.S.C. 1718 to requisition up to 25 copies of each 
publication issued by the Government Printing Office for use in its own 
collections. Other laws provide the Library with books for the blind and 
with publications deposited for copyright. Under a variety of 
arrangements the Exchange and Gift Division also acquires the official 
publications of the states, territories, and possessions of the United 
States for listing in its accessions list, the Monthly Checklist of 
State Publications, and for inclusion in its collections.
    (4) Transfer. Libraries and other agencies of the Federal Government 
are encouraged to send to the Library for disposition soft or hard-bound 
books that are surplus to their needs in the following categories: (1) 
Novels and (2) Reference works (e.g. encyclopedias, directories, guides, 
such as Encyclopedia of Associations, The World of Learning, The 
Stateman's Yearbook, Books in Print, etc.) not older than three years. 
And not older than five years in: (1) Humanities (art, music, belles 
letters etc.); (2) History and area studies; (3) Social sciences 
(economics, politics, etc.); (4) Education; and (5) Science 
(agriculture, medicine, computer science, mathematics, physics, etc.). 
Such transferred materials are needed to fill gaps in the Library's 
holdings, for exchanges, to transfer to other Federal agencies, and to 
make available through the Surplus Books Program to qualified 
recipients. The Library's Exchange and Gift Division (E&G) requests 
notification at the earliest possible date of any government libraries 
that are scheduled to close or be substantially reduced. The Library 
also requests that shipments of 1,000 pounds or more be cleared with E&G 
in advance. The Library does not accept bound and unbound serials. 
Federal agencies should dispose of surplus serials, and other surplus 
library materials not specified above, in accordance with their agency's 
regulations governing the disposal of surplus materials.
    (b) Disposition of surplus books. The Exchange and Gift Division has 
available at all times surplus books not needed by the Library for its 
own uses. These materials are made available for selection on exchange 
by eligible institutions, organizations, book dealers,

[[Page 73]]

and collections, and by donation to educational institutions (tax-
supported or non-profit schools, school systems, colleges, universities, 
museums, and public libraries), non-profit tax-exempt organizations 
(section 501 of IRS Code) and public bodies (agencies of local, state, 
or national governments) in the United States. A public library is 
defined as ``a library that serves free all residents of a community, 
district, state, or region, and receives its financial support in whole 
or in part from public funds.''
    (c) Inquiries concerning the programs relating to the acquisition of 
materials for the collections of the Library by non-purchase methods and 
the disposition of surplus materials should be addressed to: Chief, 
Exchange and Gift Division, Library of Congress, Washington, DC 20540.
[46 FR 35088, July 7, 1981. Redesignated at 46 FR 48663, Oct. 2, 1981, 
and amended at 51 FR 22075, June 18, 1986; 61 FR 49262, Sept. 19, 1996]



Sec. 701.34  Contracting officers.

    Incumbents of the following positions are authorized to contract for 
materials and services on behalf of the Library of Congress and to 
execute contracts in the areas as specified below. The Librarian of 
Congress may further delegate contracting authority in specific 
situations.

------------------------------------------------------------------------
                                                 Area of contracting
             Library officers                         authority
------------------------------------------------------------------------
The Librarian of Congress.................  All areas.
The Deputy Librarian of Congress..........  All areas.
The Associate Librarian of Congress.......  All areas.
Associate Librarian for Management........  All areas except materials
                                             for the Library's
                                             collections.
Director, Congressional Research Service    Agreements to procure
 (CRS).                                      experts or consultants
                                             (including stenographic
                                             reporters) pursuant to 2
                                             U.S.C. 166(h)(2).
Assistant Librarian for Research Services.  Performance fees for
                                             readings, lectures,
                                             dramatic fees, and the
                                             Council of Scholars.
Director, Library Environment Resources     Rental/space agreements with
 Office.                                     Government agencies.
Director, Acquisitions and Overseas         Agreements for bibliographic
 Operations, Processing Services.            services.
Director, National Library for the Blind    Collection materials for the
 and Physically Handicapped.                 Library's blind and
                                             physically handicapped
                                             program.
Director of Publishing....................  Agreements directly related
                                             to publications of the
                                             Publishing Office.
Chief, Procurement and Supply Division....  All areas except materials
                                             for the Library's
                                             collections.
Chief and Assistant Chief, Order Division.  Purchased materials for the
                                             Library's collections.
Chief and Assistant Chief, Exchange and     Agreements involving all non-
 Gift Division.                              purchase materials for the
                                             Library's collections
                                             (exchanges, gifts,
                                             deposits, and so forth).
Chief, Financial Management Office, and     Interagency agreements,
 Budget Officer.                             entertainment, performance
                                             of services by the Library
                                             and interdepartmental
                                             charges.
Chief, Manuscript Division................  Agreements involving the
                                             Library's literature
                                             programs (nonappropriated
                                             funds).
Chief, Music Division.....................  Agreements involving the
                                             Library's music programs
                                             (nonappropriated funds).
Exhibits Officer..........................  Agreements involving loans
                                             of exhibits.
Staff Training and Development Officer....  Training agreements with
                                             educational institutions.
------------------------------------------------------------------------

[52 FR 34383, Sept. 11, 1987]



Sec. 701.35  Policy on the authorized use of the Library name, seal, or logo.

    (a) Purpose. The purpose of this part is three-fold:
    (1) To assure that the Library of Congress is properly and 
appropriately identified and credited as a source of materials in 
publications.
    (2) To assure that the name or logo of the Library of Congress, or 
any unit thereof, is used only with the prior approval of the Librarian 
of Congress or his designee; and
    (3) To assure that the seal of the Library of Congress is used only 
on official documents or publications of the Library.
    (b) Definitions. (1) For the purposes of this part, publication 
means any tangible expression of words or thoughts in any form or 
format, including print, sound recording, television, optical disc, 
software, online delivery, or other technology now known or hereinafter 
created. It includes the whole range of tangible products from simple 
signs, posters, pamphlets, and brochures to books, television 
productions, and movies.

[[Page 74]]

    (2) Internal Library publication means a publication over which any 
unit of the Library has complete or substantial control or 
responsibility.
    (3) Cooperative publications are those in which the Library is a 
partner with the publisher by terms of a cooperative publishing 
agreement.
    (4) Commercial publications are those known or likely to involve 
subsequent mass distribution, whether by a for-profit or not-for-profit 
organization or individual, which involve a cooperative agreement. A 
commercial publication can also include a significant number of LC 
references and is also approved by the LC office that entered into a 
formal agreement. Noncommercial publications are those which are 
produced by non-commercial entities.
    (5) Internet sites are those on-line entities, both commercial and 
non-commercial, that have links to the Library's site.
    (6) Library logo refers to any official symbol of the Library or any 
entity thereof and includes any design officially approved by the 
Librarian of Congress for use by Library officials.
    (7) Seal refers to any statutorily recognized seal.
    (c) Credit and recognition policy. (1) The name ``Library of 
Congress,'' or any abbreviation or subset such as ``Copyright Office'' 
or ``Congressional Research Service,'' thereof, is used officially to 
represent the Library of Congress and its programs, projects, functions, 
activities, or elements thereof. The use of the Library's name, 
explicitly or implicitly to endorse a product or service, or materials 
in any publication is prohibited, except as provided for in this part.
    (2) The Library of Congress seal symbolizes the Library's authority 
and standing as an official agency of the U.S. Government. As such, it 
shall be displayed only on official documents or publications of the 
Library. The seal of the Library of Congress Trust Fund Board shall be 
affixed to documents of that body as prescribed by the Librarian of 
Congress. The seal of the National Film Preservation Board shall be 
affixed to documents of that body as prescribed by the Librarian of 
Congress. Procedures governing the use of any Library of Congress logo 
or symbol are set out below.
    (3) Questions regarding the appropriateness of the use of any 
Library logos or symbols, or the use of the Library's name, shall be 
referred to the Public Affairs Officer.
    (4) Internal Publications. Each internal Library publication shall 
include a copy of an official Library logo in a position, format, and 
location suitable to the particular media involved. The logo may be 
alone or in addition to an approved unit or activity logo, but shall be 
no less prominent than any other logo used, except in the cases of the 
Copyright Office, the Congressional Research Service, and the Center for 
the Book. Other exceptions to this policy may be made only if a written 
request is approved by the Executive Committee member under whose 
jurisdiction the publication falls.
    (5) Cooperative Ventures. (i) Individual, commercial enterprises or 
non-commercial entities with whom the Library has a cooperative 
agreement to engage in cooperative efforts shall be instructed regarding 
Library policy on credit, recognition, and endorsement by the officer or 
manager with whom they are dealing.
    (ii) Ordinarily, the Library logo should appear in an appropriate 
and suitable location on all cooperative publications. The Library 
requires that a credit line accompany reproductions of images from its 
collections and reflect the nature of the relationship such as 
``published in association with * * *''.
    (iii) The size, location, and other attributes of the logo and 
credit line should be positioned in such a way that they do not imply 
Library endorsement of the publication unless such endorsement is 
expressly intended by the Library, as would be the case in cooperative 
activities. Use of the Library name or logo in any context suggesting an 
explicit or implicit endorsement may be approved in only those instances 
where the Library has sufficient control over the publication to make 
changes necessary to reflect Library expertise.
    (iv) Library officers working on cooperative projects shall notify 
all collaborators of Library policy in writing

[[Page 75]]

if the collaboration is arranged through an exchange of correspondence. 
All uses of the Library of Congress's name, seal or logo on promotional 
materials must be approved by the Public Affairs Officer, in 
consultation with the Office of the General Counsel, in advance. A 
statement of Library policy shall be incorporated into the agreement if 
the terms of the collaboration are embodied in any written instrument, 
such as a contract or letter of understanding. The statement could read 
as follows:

    NAME OF PARTNER recognizes the great value, prestige and goodwill 
associated with the name, ``Library of Congress'' and any logo 
pertaining thereto. NAME OF PARTNER agrees not to knowingly harm, 
misuse, or bring into disrepute the name or logo of the Library of 
Congress, and further to assist the Library, as it may reasonably 
request, in preserving all rights, integrity and dignity associated with 
its name. Subject to the Library's prior written approval over all 
aspects of the use and presentation of the Library's name and logo, the 
NAME OF PARTNER may use the name of the Library of Congress in 
connection with publication, distribution, packaging, advertising, 
publicity and promotion of the ____, produced as a result of this 
Agreement. The Library will have fifteen (15) business days from receipt 
of NAME OF PARTNER'S written request to approve or deny with comment 
such requests for use of its name or logo.

    (5) Noncommercial Users. Library officers assisting individuals who 
are noncommercial users of Library resources shall encourage them to 
extend the customary professional courtesy of acknowledging their 
sources in publications, including films, television, and radio, and to 
use approved credit lines.
    (6) Each product acquired for resale by the Library that involves 
new labeling or packaging shall bear a Library logo and shall contain 
information describing the relevance of the item to the Library or its 
collections. Items not involving new packaging shall be accompanied by a 
printed description of the Library and its mission, with Library logo, 
as well as the rationale for operating a gift shop program in a 
statement such as, ``Proceeds from gift shop sales are used to support 
the Library collections and to further the Library's educational 
mission.''
    (7) Electronic Users. Links to other sites from the Library of 
Congress's site should adhere to the Appropriate Use Policy for External 
Linking in the Internet Policies and Procedures Handbook. Requests for 
such linkage must be submitted to the Public Affairs Office for review 
and approval.
    (8) Office Systems Services shall make available copies of the 
Library seal or logo in a variety of sizes and formats, including 
digital versions, if use has been approved by the Public Affairs 
Officer, in consultation with the Office of General Counsel.
    (9) Each service unit head shall be responsible for devising the 
most appropriate way to carry out and enforce this policy in 
consultation with the General Counsel and the Public Affairs Officer.
    (e) Prohibitions and Enforcement. (1) All violations, or suspected 
violations, of this part, shall be reported to the Office of the General 
Counsel as soon as they become known. Whoever, except as permitted by 
laws of the U.S., or with the written permission of the Librarian of 
Congress or his designee, falsely advertises or otherwise represents by 
any device whatsoever that his or its business, product, or service has 
been in any way endorsed, authorized, or approved by the Library of 
Congress shall be subject to criminal penalties pursuant to law.
    (2) Whenever the General Counsel has determined that any person or 
organization is engaged in or about to engage in an act or practice that 
constitutes or will constitute conduct prohibited by this part or a 
violation of any requirement of this part, the General Counsel shall 
take whatever steps are necessary, including seeking the assistance of 
the U.S. Department of Justice, to enforce the provisions of the 
applicable statutes and to seek all means of redress authorized by law, 
including both civil and criminal penalties.
[63 FR 8854, Feb. 23, 1998]



Sec. 701.36  Use of the Seal of the Library of Congress and the Library of Congress Trust Fund Board.

    (a) The Seal is the official emblem of the Library of Congress and 
its use is therefore permitted only on official documents or 
publications of the Library.

[[Page 76]]

    (b) The Seal may be used on Library publications, leaflets, 
brochures, letterhead, or other printed matter prepared as official 
documents of the Library.
    (c) The embossed Seal shall be used primarily to authenticate 
contracts, agreements, certifications, and other documents signed by The 
Librarian, or his/her designated representative(s).
    (d) With the approval of The Associate Librarian of Congress, the 
Seal may be used in cooperative programs in which the Library officially 
engages with other organization(s).
    (e) Any other use shall be approved in advance by The Associate 
Librarian of Congress.
    (f) The official Seal of the Library of Congress Trust Fund Board 
shall be affixed to documents of that body as prescribed by The 
Librarian of Congress.
    (g) Any person or organization that uses the Library Seal or the 
Seal of the Library of Congress Trust Fund Board in a manner other than 
as authorized by the provisions of this section shall be subject to the 
criminal provisions of 18 U.S.C. 1017.
[49 FR 8607, Mar. 8, 1984]



PART 702--CONDUCT ON LIBRARY PREMISES--Table of Contents




Sec.
702.1  Applicability.
702.2  Access to Library buildings and collections.
702.3  Conduct on Library premises.
702.4  Demonstrations.
702.5  Photographs.
702.6  Gambling.
702.7  Alcoholic beverages and controlled substances.
702.8  Weapons and explosives.
702.9  Use and carrying of food and beverages in Library buildings.
702.10  Inspection of property.
702.11  Protection of property.
702.12  Smoking In Library buildings.
702.13  Space for meetings and special events.
702.14  Soliciting, vending, debt collection, and distribution of 
          handbills.
702.15  Penalties.

    Authority: Sec. 1, 29 Stat. 544, 546; 2 U.S.C. 136.



Sec. 702.1  Applicability.

    The rules and regulations in this part apply to all Federal property 
under the charge and control of the Librarian of Congress and to all 
persons entering in or on such property.
[35 FR 19019, Dec. 16, 1970. Redesignated at 38 FR 27049, Sept. 28, 
1973]



Sec. 702.2  Access to Library buildings and collections.

    Admittance and movement of visitors in Library buildings will be 
restricted to the areas providing facilities and services to the public 
during announced hours of public opening. Persons having legitimate 
business in areas closed to the public may be admitted after 
identification by responsible officials in the building or by authority 
as evidenced by a building access pass issued by the Associate Librarian 
for Management.
[35 FR 19019, Dec. 16, 1970. Redesignated at 38 FR 27049, Sept. 28, 
1973, and amended at 46 FR 48663, Oct. 2, 1981]



Sec. 702.3  Conduct on Library premises.

    (a) All persons using the premises shall conduct themselves in such 
manner as not to affect detrimentally the peace, tranquility, and good 
order of the Library. Such persons shall:
    (1) Use areas that are open to them only at the times those areas 
are open to them and only for the purposes for which those areas are 
intended;
    (2) Comply with any lawful order of the police or of other 
authorized individuals; and
    (3) Comply with official signs of a restrictive or directory nature.
    (b) All persons using the premises shall refrain from:
    (1) Creating any hazard to persons or property, such as by fighting 
or by throwing or deliberately dropping any breakable article, such as 
glass, pottery, or any sharp article, or stones or other missiles;
    (2) Using Library facilities for living accommodation purposes, such 
as unauthorized bathing, sleeping, or storage of personal belongings, 
regardless of the specific intent of the individual;
    (3) Engaging in inordinately loud or noisy activities;
    (4) Disposing of rubbish other than in receptacles provided for that 
purpose;
    (5) Throwing articles of any kind from or at a Library building or 
appurtenance;

[[Page 77]]

    (6) Committing any obscene or indecent act such as prurient prying, 
indecent exposure, and soliciting for illegal purposes;
    (7) Removing, defacing, damaging, or in any other way so misusing a 
statue, seat, wall, fountain, or other architectural feature or any 
tree, shrub, plant, or turf;
    (8) Stepping upon or climbing upon any statue, fountain, or other 
ornamental architectural feature or any tree, shrub, or plant;
    (9) Bathing or swimming in any fountain;
    (10) Painting, marking or writing on, or posting or otherwise 
affixing any handbill or sign upon any part of a Library building or 
appurtenance, except on bulletin boards installed for that purpose and 
with the appropriate authorization;
    (11) Bringing any animal onto Library buildings and turf other than 
dogs trained to assist hearing or visually impaired persons;
    (12) Threatening the physical well-being of an individual; and
    (13) Unreasonably obstructing reading rooms, food service 
facilities, entrances, foyers, lobbies, corridors, offices, elevators, 
stairways, or parking lots in such manner as to impede or disrupt the 
performance of official duties by the Library staff or to prevent 
Library patrons from using or viewing the collections.
    (c) Public reading rooms, research facilities, and catalog rooms are 
designated as nonpublic forums. As such, they shall be used only for 
quiet scholarly research or educational purposes requiring use of 
Library materials. All persons using these areas shall comply with the 
rules in effect in the various public reading rooms, shall avoid 
disturbing other readers, and shall refrain from, but not limited to,
    (1) Eating, drinking, or smoking in areas where these activities are 
expressly prohibited;
    (2) Using loud language or making disruptive noises;
    (3) Using any musical instrument or device, loudspeaker, sound 
amplifier, or other similar machine or device for the production or 
reproduction of sound, except for devices to assist hearing or visually 
impaired persons, without authorization;
    (4) Interfering by offensive personal hygiene with the use of the 
area by other persons;
    (5) Spitting, defecating, urinating, or similar disruptive 
activities;
    (6) Intentionally abusing the furniture or furnishings in the area;
    (7) Intentionally damaging any item from the collections of the 
Library of Congress or any item of Library property;
    (8) Using computing terminals for purposes other than searching or 
training persons to search the Library's data bases or those under 
contract to the Library, or misusing the terminals by intentional 
improper or obstructive searching; and
    (9) Using the Library's photocopy machines for purposes other than 
copying Library materials whenever other persons are waiting in line.
[52 FR 672, Jan. 8, 1987]



Sec. 702.4  Demonstrations.

    (a) Library buildings and grounds are designated as limited public 
forums, except for those areas designated as nonpublic forums. However, 
only Library grounds (defined in 2 U.S.C. 167j), not buildings, may be 
utilized for demonstrations, including assembling, marching, picketing, 
or rallying. In addition, as the need for the determination of other 
matters arises, The Librarian will determine what additional First 
Amendment activities may not be permitted in a limited public forum. In 
making such determination, The Librarian will consider only whether the 
intended activity is incompatible with the primary purpose and intended 
use of that area.
    (b) The only areas of the Library grounds that are designated for 
use for demonstrations are the following:
    (1) Thomas Jefferson Building: The Neptune Plaza and the interior 
sidewalks on the north and south sides of the building;
    (2) John Adams Building: The plaza in front of the south entrance to 
the building; and
    (3) James Madison Building: The portion of Independence Plaza 
between the pylons that demarcate the driveway and Independence Avenue, 
and the

[[Page 78]]

western and eastern ends of the plaza beyond the ramps for the 
handicapped.
    (c) Persons seeking to use such designated areas for the purpose of 
demonstrations shall first secure written permission from the Associate 
Librarian for Management. An application for such permission shall be 
filed with the Library Support Services Office no later than three 
workdays before the time of the proposed demonstration. Permission to 
demonstrate shall be based upon--
    (1) The availability of the requested location and
    (2) The likelihood that the demonstration will not interfere with 
Library operations or exceed city noise limitations as defined by 
District of Columbia regulations (26 D.C. Reg. 229 and 24 D.C. Reg. 
293).
    (d) No person(s) having permission to demonstrate pursuant to this 
Regulation shall at any time block either the entrances to or exits from 
the Library buildings nor shall such person(s) harass, intimidate, or 
otherwise interfere with the use of the Library's facilities by persons 
not participating in the demonstration.
[52 FR 672, Jan. 8, 1987]



Sec. 702.5  Photographs.

    Photographs for advertising or commercial purposes may be taken only 
with the permission of the Library's Information Officer. Cameras and 
other photographic equipment may be carried on the premises, but their 
use in certain areas may be restricted by rules or posted signs. Persons 
using still, motion picture, or video cameras with flash attachments or 
lights or with tripods or other stationary equipment shall obtain the 
prior permission of the Library's Information Officer.
[52 FR 672, Jan. 8, 1987]



Sec. 702.6  Gambling.

    Participation in any illegal gambling, such as the operation of 
gambling devices, the conduct of an illegal pool or lottery, or the 
unauthorized sale or purchase of numbers or lottery tickets, on the 
premises is prohibited.
[52 FR 673, Jan. 8, 1987]



Sec. 702.7  Alcoholic beverages and controlled substances.

    (a) The use of alcoholic beverages on the premises is prohibited 
except on official occasions for which advance written approval has been 
given by the Associate Librarian for Management and except for 
concessionaires to whom Library management has granted permission to 
sell alcoholic beverages on the premises.
    (b) The illegal use or possession of controlled substances on the 
premises is prohibited.
[52 FR 673, Jan. 8, 1987]



Sec. 702.8  Weapons and explosives.

    Except where duly authorized by law, and in the performance of law 
enforcement functions, no person shall carry firearms, other dangerous 
or deadly weapons, or explosives, either openly or concealed, while on 
the premises.
[52 FR 673, Jan. 8, 1987]



Sec. 702.9  Use and carrying of food and beverages in Library buildings.

    Consumption of food and beverages in Library buildings is prohibited 
except at point of purchase or other authorized eating places. Under no 
circumstances may food or beverages be carried to the bookstacks or 
other areas where there exists significant risk to Library materials or 
property or where there may result a detraction from the dignity or 
efficiency of public service.
[35 FR 19019, Dec. 16, 1970. Redesignated at 38 FR 27049, Sept. 28, 1973 
and 52 FR 672, Jan. 8, 1987]



Sec. 702.10  Inspection of property.

    (a) Individuals entering Library buildings do so with the 
understanding that all property in their possession including, but not 
limited to, suitcases, briefcases, large envelopes, packages, and office 
equipment may be inspected.
    (b) Upon entering the Library buildings privately owned office 
machines including but not limited to typewriters, computing machines, 
stenotype machines, and dictating machines, shall be registered at the 
guard's desk at the entrance to buildings for the purpose of controlling 
such equipment.

[[Page 79]]

    (c) In the discharge of official duties, Library officials are 
authorized to inspect Government-owned or furnished property assigned to 
readers and the general public for their use, such as cabinets, lockers, 
and desks. Unauthorized property or contraband found in the possession 
of members of the Library staff, readers, or the general public as a 
result of such inspections will be subject to confiscation by Library 
officials.
[35 FR 19019, Dec. 16, 1970. Redesignated at 38 FR 27049, Sept. 28, 1973 
and 52 FR 672, Jan. 8, 1987]



Sec. 702.11  Protection of property.

    (a) Any person who shall steal, wrongfully deface, injure, mutilate, 
tear, or destroy library materials, or any portion thereof, shall be 
punished by a fine of not more than $2,000 or imprisoned not more than 3 
years, or both (18 U.S.C. 641; 18 U.S.C. 1361; 18 U.S.C. 2071; and 22 
D.C. Code 3106).
    (b) Any person who embezzles, steals, purloins, or, without 
authority, disposes of anything of value of the United States, or 
willfully injures or commits any depredation against any Government 
property shall be punished by a fine of not more than $10,000 or 
imprisoned not more than 10 years, or both; but if the value of such 
property does not exceed the sum of $100, he shall be fined not more 
than $1,000 or imprisoned not more than 1 year, or both. (18 U.S.C. 641 
and 18 U.S.C. 1361.)
[35 FR 19019, Dec. 16, 1970. Redesignated at 38 FR 27049, Sept. 28, 
1973, and amended at 46 FR 48664, Oct. 2, 1981; further redesignated at 
52 FR 672, Jan. 8, 1987]



Sec. 702.12  Smoking in Library buildings.

    Smoking in Library buildings is prohibited except in those areas 
specifically designated for this purpose.
[35 FR 19019, Dec. 16, 1970. Redesignated at 38 FR 27049, Sept. 28, 1973 
and 52 FR 672, Jan. 8, 1987]



Sec. 702.13  Space for meetings and special events.

    The use of ``meeting places'' in the Library shall be limited to 
official staff functions, or functions sponsored by the Library. The 
Library's facilities are not available for meetings, performances or 
special events that: (a) Involve any organization practicing or 
promoting discrimination based upon race, religion, color, sex, age, 
marital status, handicap, national origin, or political affiliation; (b) 
have a partisan political, sectarian, or similar nature or purpose; (c) 
are sponsored by profit-making organizations that promote commercial 
enterprises or commodities.
[46 FR 48664, Oct. 2, 1981. Redesignated at 52 FR 672, Jan. 8, 1987]



Sec. 702.14  Soliciting, vending, debt collection, and distribution of handbills.

    (a) The soliciting of alms and contributions, commercial soliciting 
and vending of all kinds, the display or distribution of commercial 
advertising, the offering or exposing of any article for sale, or the 
collecting of private debts on the grounds or within the buildings of 
the Library is prohibted. This rule does not apply to national or local 
drive for funds for welfare, health, or other purposes sponsored or 
approved by The Librarian of Congress, nor does it apply to authorized 
concessions, vending devices in approved areas, or as specifically 
allowed by the Associate Librarian for Management.
    (b) Distribution of material such as pamphlets, handbills, and 
flyers is prohibited without prior approval of the Associate Librarian 
for Management.
    (c) Peddlers and solicitors will not be permitted to enter Library 
buildings unless they have a specific appointment, and they will not be 
permitted to canvass Library buildings.
[52 FR 673, Jan. 8, 1987]



Sec. 702.15  Penalties.

    (a) Persons violating provisions of 2 U.S.C. 167a to 167e, 
inclusive, regulations promulgated pursuant to 2 U.S.C. 167f, this 
Regulation, or other applicable Federal laws relating to the Library's 
property, including its collections, are subject to removal from the 
premises, to arrest, and to any additional penalties prescribed by law. 
In instances of mutilation or theft of Library materials or other 
Library property, prosecution by appropriate authorities shall be in 
accordance with

[[Page 80]]

the provisions of the statutes cited in Sec. 702.11.
    (b) Upon written notification by the Associate Librarian for 
Management, disruptive persons may be denied further access to the 
premises and may be prohibited from further use of the Library's 
facilities.
    (1) Within three workdays of receipt of such notification, an 
affected individual may make a written request, including the reasons 
for such a request, to the Associate Librarian for Management for a 
reconsideration of said notification.
    (2) The Associate Librarian for Management shall respond within 
three workdays of receipt of such request for reconsideration and may, 
at his or her option, rescind, modify, or reaffirm said notification.
[52 FR 673, Jan. 8, 1987]



PART 703--AVAILABILITY OF LIBRARY OF CONGRESS RECORDS--Table of Contents




Sec.
703.1  Policy.
703.2  Administration responsibilities.
703.3  Definitions.
703.4  Records exempt from disclosure.
703.5  Procedures for access to copying of records.
703.6  Public reading facility.
703.7  Fees and charges.

Appendix A to Part 703--Fees and Charges for Services Provided to 
          Requestors of Records

    Authority:  2 U.S.C. 136.

    Source: 62 FR 50254, Sept. 25, 1997, unless otherwise noted.



Sec. 703.1  Policy.

    (a) Subject to limitations set out in this part, Library of Congress 
records shall be available as hereinafter provided and shall be 
furnished as promptly as possible within the Library to any member of 
the public at appropriate places and times and for an appropriate fee, 
if any.
    (b) The Library shall not provide records from its files that 
originate in another federal agency or non-federal organization to 
persons who may not be entitled to obtain the records from the 
originator. In such instances, the Library shall refer requesters to the 
agency or organization that originated the records.
    (c) In order to avoid disruption of work in progress, and in the 
interests of fairness to those who might be adversely affected by the 
release of information which has not been fully reviewed to assure its 
accuracy and completeness, it is the policy of the Library not to 
provide records which are part of on-going reviews or other current 
projects. In response to such requests, the Library will inform the 
requester of the estimated completion date of the review or project so 
that the requester may then ask for the records. At that time, the 
Library may release the records unless the same are exempt from 
disclosure as identified in Sec. 703.4.



Sec. 703.2  Administration responsibilities.

    The administration of this part shall be the responsibility of the 
Chief, Office Systems Services (OSS), Library of Congress, 101 
Independence Avenue, S.E., Washington, DC 20540-9440, and to that end, 
the Chief may promulgate such supplemental rules or guidelines as may be 
necessary.



Sec. 703.3  Definitions.

    (a) Records includes all books, papers, maps, photographs, reports, 
and other documentary materials, exclusive of materials in the Library's 
collections, regardless of physical form or characteristics, made or 
received and under the control of the Library in pursuance of law or in 
connection with the transaction of public business, and retained, or 
appropriate for retention, by the Library as evidence of the 
organization, functions, policies, decisions, procedures, operations, or 
other activities of the government or because of the informational value 
of data contained therein. The term refers only to such items in being 
and under the control of the Library. It does not include the compiling 
or procuring of a record, nor does the term include objects or articles, 
such as furniture, paintings, sculpture, three-dimensional models, 
structures, vehicles, and equipment.
    (b) Identifiable means a reasonably specific description of a 
particular record sought, such as the date of the

[[Page 81]]

record, subject matter, agency or person involved, etc. which will 
permit location or retrieval of the record.
    (c) Records available to the public means records which may be 
examined or copied or of which copies may be obtained, in accordance 
with this part, by the public or representatives of the press regardless 
of interest and without specific justification.
    (d) Disclose or disclosure means making available for examination or 
copying, or furnishing a copy.
    (e) Person includes an individual, partnership, corporation, 
association, or public or private organization other than a federal 
agency.



Sec. 703.4  Records exempt from disclosure.

    (a) The public disclosure of Library records provided for by this 
part does not apply to records, or any parts thereof, within any of the 
categories set out below. Unless precluded by law, the Chief, OSS, 
nevertheless may release records within these categories, except for 
Congressional correspondence and other materials identified in 
Sec. 703.4 (b)(1), after first consulting with the General Counsel.
    (b) Records exempt from disclosure under these regulations are the 
following:
    (1) Congressional correspondence and other materials relating to 
work performed in response to or in anticipation of Congressional 
requests, unless authorized for release by officials of the Congress.
    (2) Materials specifically authorized under criteria established by 
Executive Order to be withheld from public disclosure in the interest of 
national defense or foreign policy and that are properly classified 
pursuant to Executive Orders.
    (3) Records related solely to the internal personnel rules and 
practices of the Library. This category includes, in addition to 
internal matters of personnel administration, internal rules and 
practices which cannot be disclosed without prejudice to the effective 
performance of a Library function, such as guidelines and procedures 
used by auditors, investigators, or examiners in the Office of the 
Inspector General.
    (4) Records specifically exempted from disclosure by statute, 
provided that such statute:
    (i) Requires that the matters be withheld from the public in such a 
manner as to leave no discretion on the issue; or
    (ii) Establishes particular criteria for withholding or refers to 
particular types of matters to be withheld.
    (5) Records containing trade secrets and commercial or financial 
information obtained from a person as privileged or confidential. This 
exemption may include, but is not limited to, business sales statistics, 
inventories, customer lists, scientific or manufacturing processes or 
development information.
    (6) Personnel and medical files and similar files the disclosure of 
which could constitute a clearly unwarranted invasion of personal 
privacy. This exemption includes all private or personal information 
contained in files compiled to evaluate candidates for security 
clearances.
    (7) Materials and information contained in investigative or other 
records compiled for law enforcement purposes.
    (8) Materials and information contained in files prepared in 
connection with government litigation and adjudicative proceedings, 
except for those portions of such files which are available by law to 
persons in litigation with the Library.
    (9) Records having information contained in or related to 
examination, operation, or condition reports prepared by, on behalf of, 
or for the use of an agency responsible for the regulation or 
supervision of financial institutions.
    (10) Inter-agency or intra-agency memoranda, letters or other 
materials that are part of the deliberative process, the premature 
disclosure of which would inhibit internal communications or be 
detrimental to a Library function (e.g., case files in the Manuscript 
Division).
    (11) Records containing information customarily subject to 
protection as privileged in a court or other proceedings such as 
information protected by the doctor-patient, attorney work product, or 
attorney-client privilege.
    (12) Information submitted by a person to the Library in confidence 
or

[[Page 82]]

which the Library has obligated itself not to disclose such as 
information received by the Office of the Inspector General through its 
hotline.
    (13) Materials related to specific patron use of the Library's 
collections, resources, or facilities either on site or off site. This 
exemption includes:
    (i) Reader records. Library records which identify readers by name, 
such as registration records, reading room logs or registers, telephone 
inquiry logs, and charge slips, if retained for administrative purposes.
    (ii) Use records. Users of the Library are entitled to privacy with 
respect to their presence and use of the Library's facilities and 
resources. Records pertaining to the use of the Library and of Library 
collections and subjects of inquiry are confidential and are not to be 
disclosed either to other readers, to members of the staff who are not 
authorized, or to other inquirers including officials of law 
enforcement, intelligence, or investigative agencies, except pursuant to 
court order or administratively by order of The Librarian of Congress.
    (c) Any reasonably segregable portion of a record shall be provided 
to anyone requesting such records after deletion of the portions which 
are exempt under this section. A portion of a record shall be considered 
reasonably segregable when segregation can produce an intelligible 
record which is not distorted out of context, does not contradict the 
record being withheld, and can reasonably provide all relevant 
information.



Sec. 703.5  Procedure for access to and copying of records.

    (a) A request to inspect or obtain a copy of an identifiable record 
of the Library of Congress shall be submitted in writing to the Chief, 
OSS, Library of Congress, 101 Independence Avenue, S.E., Washington, DC 
20540-9440, who shall promptly record and process the request.
    (b) Requests for records shall be specific and shall identify the 
precise records or materials that are desired by name, date, number, or 
other identifying data sufficient to allow the OSS staff to locate, 
retrieve, and prepare the record for inspection or copying and to delete 
exempted matter where appropriate to do so. Blanket or generalized 
requests (such as ``all matters relating to'' a general subject) shall 
not be honored and shall be returned to the requester.
    (c) Records shall be available for inspection and copying in person 
during business hours.
    (d) Records in media other than print (e.g., microforms and machine-
readable media) shall be available for inspection in the medium in which 
they exist. Copies of records in machine-readable media shall be made in 
media determined by the Chief, OSS.
    (e) Library staff shall respond to requests with reasonable 
dispatch. Use of a record by the Library or Library employees, however, 
shall take precedence over any request. Under no circumstances shall 
official records be removed from Library control without the written 
authorization of The Librarian.
    (f) The Chief, OSS, shall make the initial determination on whether:
    (1) The record described in a request can be identified and located 
pursuant to a reasonable search; and
    (2) The record (or portions thereof) may be made available or 
withheld from disclosure under the provisions of this part. In making 
the initial determinations, the Chief shall consult with any unit in the 
Library having a continuing substantial interest in the record 
requested. Where the Chief finds no valid objection or doubt as to the 
propriety of making the requested record available, the Chief shall 
honor the request upon payment of prescribed fees, if any are required 
by Sec. 703.7.
    (g) If the Chief, OSS, determines that a requested record should be 
withheld, the Chief shall inform the requester in writing that the 
request has been denied; shall identify the material withheld; and shall 
explain the basis for the denial. The Chief shall inform the requester 
that further consideration of the denied request may be obtained by a 
letter to the General Counsel setting out the basis for the belief that 
the denial of the request was unwarranted.
    (h) The General Counsel shall make the final determination on any 
request for reconsideration and shall notify the

[[Page 83]]

requester in writing of that determination. The decision of the General 
Counsel shall be the final administrative review within the Library.
    (1) If the General Counsel's decision reverses in whole or in part 
the initial determination by the Chief, OSS, the Chief shall make the 
requested record, or parts thereof, available to the requester, subject 
to the provisions of Sec. 703.7.
    (2) If the General Counsel's decision sustains in whole or in part 
the initial determination by the Chief, OSS, the General Counsel shall 
explain the basis on which the record, or portions thereof, will not be 
made available.



Sec. 703.6  Public reading facility.

    (a) The Chief, OSS, shall maintain a reading facility for the public 
inspection and copying of Library records. This facility shall be open 
to the public from 8:30 a.m. to 4:30 p.m., except Saturdays, Sundays, 
holidays, and such other times as the Library shall be closed to the 
public.
    (b) The General Counsel shall advise the Chief, OSS, of the records 
to be available in the public reading facility following consultation 
with the Library managers who may be concerned.



Sec. 703.7  Fees and charges.

    (a) The Library will charge no fees for:
    (1) Access to or copies of records under the provisions of this part 
when the direct search and reproduction costs are less than $10.
    (2) Records requested which are not found or which are determined to 
be exempt under the provisions of this part.
    (3) Staff time spent in resolving any legal or policy questions 
pertaining to a request.
    (4) Copies of records, including those certified as true copies, 
that are furnished for official use to any officer or employee of the 
federal government.
    (5) Copies of pertinent records furnished to a party having a direct 
and immediate interest in a matter pending before the Library, when 
furnishing such copies is necessary or desirable to the performance of a 
Library function.
    (b) When the costs for services are $10 or more, the Chief, OSS, 
shall assess and collect the fees and charges set out in the appendix to 
this part for the direct costs of search and reproduction of records 
available to the public.
    (c) The Chief, Office Systems Services, is authorized to waive fees 
and charges, in whole or in part, where it is determined that the public 
interest is best served to do so, because waiver 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. Persons seeking a waiver or reduction of fees may be required 
to submit a written statement setting forth the intended purpose for 
which the records are requested or otherwise indicate how disclosure 
will primarily benefit the public and, in appropriate cases, explain why 
the volume of records requested is necessary. Determinations made 
pursuant to the authority set out herein are solely within the 
discretion of the Chief, OSS.
    (d) Fees and charges for services identified in the appendix to this 
part shall be paid in full by the requester before the records are 
delivered. Payment shall be made in U.S. funds by personal check, money 
order, or bank draft made payable to the Library of Congress. The Chief, 
OSS, shall remit all fees collected to the Director, Financial Services, 
who shall cause the same to be credited to appropriate accounts or 
deposited with the U.S. Treasury as miscellaneous receipts.
    (e) The Chief, OSS, shall notify a requester and may require an 
advance deposit where the anticipated fees will exceed $50.

   Appendix A to Part 703--Fees and Charges for Services Provided to 
                          Requesters of Records

    (a) Searches.
    (1) There is no charge for searches of less than one hour.
    (2) Fees charged for searches of one hour or more are based on 
prevailing rates.
    Currently, those charges are:

Personnel searches (clerical)--$15 per hour
Personnel searches (professional)--$25 per hour
Reproduction costs--$.50 per page
Shipping and mailing fees--variable


[[Page 84]]


    (3) In situations involving the use of computers to locate and 
extract the requested information, charges will be based on the direct 
cost to the Library, including labor, material, and computer time.
    (b) Duplication of Records. Fees charged for the duplication of 
records shall be according to the prevailing rates established by the 
Library's Photoduplication Service, or in the case of machine media 
duplication, by the Resources Management Staff, Information Technology 
Services.
    (c) Certifications. The fee charges for certification of a record as 
authentic or a true copy shall be $10.00 for each certificate.
    (d) Other Charges. When no specific fee has been established for a 
service required to meet the request for records, the Chief, Office 
Systems Services, shall establish an appropriate fee based on direct 
costs in accordance with the Office of Management and Budget Circular 
No. A-25.



PART 704--NATIONAL FILM REGISTRY OF THE LIBRARY OF CONGRESS--Table of Contents




  Subpart A--Films Selected for Inclusion in the National Film Registry

Sec.
704.10  Criteria for the selection of films for inclusion in the 
          National Film Registry.
704.11  Procedures for the public to recommend films for inclusion in 
          the National Film Registry.
704.20  Films selected for inclusion in the National Film Registry in 
          the Library of Congress for 1989.
704.21  Films selected for inclusion in the National Film Registry in 
          the Library of Congress for 1990.
704.22  Films selected for inclusion in the National Film Registry in 
          the Library of Congress for 1991.
704.23  Films selected for inclusion in the National Film Registry in 
          the Library of Congress for 1992.
704.24  Films selected for inclusion in the National Film Registry in 
          the Library of Congress for 1993.

                          Subpart B [Reserved]

    Authority: Public Law 102-307, 106 Stat. 267 (2 U.S.C. 179).



  Subpart A--Films Selected for Inclusion in the National Film Registry



Sec. 704.10  Criteria for the selection of films for inclusion in the National Film Registry.

    (a) All of the films nominated for inclusion in the National Film 
Registry should reflect the mission of the National Film Registry in the 
Library of Congress, found in section 202 of the National Film 
Preservation Act of 1992 (Pub. L. 102-307), of ``maintaining and 
preserving films that are culturally, historically or aesthetically 
significant.''
    (b) In accordance with the intent of Congress, all of the guidelines 
for the selection of films in the National Film Registry are intended to 
be read broadly, so that as many films as possible will be eligible for 
inclusion in the National Film Registry.
    (c) For the purposes of film selection, the term ``film'' means a 
``motion picture'' as defined in the U.S. copyright law, except, that 
the term ``film'' does not include any work not originally fixed on film 
stock, such as a work fixed on videotape or laser disks. ``Motion 
pictures'' are defined in the copyright law as: ``audiovisual works 
consisting of a series of related images which, when shown in 
succession, impart an impression of motion, together with accompanying 
sounds, if any.'' 17 U.S.C. 101.
    (d) Films should not be considered for inclusion in the National 
Film Registry if no element or copy of the film exists. While the 
Librarian intends to promote the goals of film preservation and 
restoration provided for in the Act, no film will be denied inclusion in 
the National Film Registry because that film has already been preserved 
or restored.
    (e) No film is eligible for inclusion in the National Film Registry 
until 10 years after such film's first publication. ``Publication'' is 
defined in the copyright act as: ``the distribution of copies or 
phonorecords of a work to the public by sale or other transfer of 
ownership, or by rental, lease, or lending. The offering to distribute 
copies or phonorecords to a group of persons for purposes of further 
distribution, public

[[Page 85]]

performance, or public display, constitutes publication. A public 
performance or display of a work does not of itself constitute 
publication.'' 17 U.S.C. 101.
[58 FR 30708, May 27, 1993]



Sec. 704.11  Procedures for the public to recommend films for inclusion in the National Film Registry.

    (a) The public shall be informed of all open meetings of the 
National Film Preservation Board.
    (b) A mailing address within the Library of Congress will be 
maintained to allow the public to make nominations of films to the 
Librarian and the National Film Preservation Board. All nominations 
should include the film title, and any other relevant information 
necessary to prevent confusion with similarly named titles.
    (c) Materials will be available to congressional offices and members 
of the Board to make information available to the public regarding 
nominations of films. Materials will also be made available for 
distribution to libraries, movie theaters, and through the guilds and 
societies representing directors, producers, screenwriters, actors, 
cinematographers, film critics, film preservation organizations and 
representatives of academic institutions with film study programs, in 
order to encourage broad participation from the general public. 
Nominations received by the Librarian, will be forwarded to the Board to 
assist in the film selection process.
    (d) All nominations for inclusion of films in the National Film 
Registry must be submitted in writing to the Librarian of Congress no 
later than March 30th of each year. All nominations should be mailed to: 
National Film Registry, Library of Congress, Washington, DC 20540.
[58 FR 30709, May 27, 1993]



Sec. 704.20  Films selected for inclusion in the National Film Registry in the Library of Congress for 1989.

    (a) The Librarian of Congress, Dr. James H. Billington, after 
consultation with the National Film Preservation Board registers these 
films in the National Film registry within the Library of Congress for 
1989:

    (1) The Best Years Of Our Lives (1946)
    (2) Casablanca (1942)
    (3) Citizen Kane (1941)
    (4) The Crowd (1928)
    (5) Dr. Strangelove (or, How I Learned To Stop Worrying And Love the 
Bomb) (1964)
    (6) The General (1927)
    (7) Gone With The Wind (1939)
    (8) The Grapes Of Wrath (1940)
    (9) High Noon (1952)
    (10) Intolerance (1916)
    (11) The Learning Tree (1969)
    (12) The Maltese Falcon (1941)
    (13) Mr. Smith Goes to Washington (1939)
    (14) Modern Times (1936)
    (15) Nanook Of The North (1922)
    (16) On The Waterfront (1954)
    (17) The Searchers (1956)
    (18) Singin' In The Rain (1952)
    (19) Snow White And The Seven Dwarfs (1937)
    (20) Some Like it Hot (1959)
    (21) Star Wars (1977)
    (22) Sunrise (1927)
    (23) Sunset Boulevard (1950)
    (24) Vertigo (1958)
    (25) The Wizard Of Oz (1939)

    (b) In keeping with section 3(c) of the Act, 2 U.S.C. 178b, the 
Librarian will endeavor to obtain an archival quality copy for each of 
these twenty-five films for the National Film Board Collection in the 
Library of Congress.
[55 FR 32570, Aug. 9, 1990]



Sec. 704.21  Films selected for inclusion in the National Film Registry in the Library of Congress for 1990.

    (a) The Librarian of Congress, Dr. James H. Billington, after 
consultation with the National Film Preservation Board registers these 
films in the National Film Registry within the Library of Congress for 
1990:

    (1) All About Eve (1950)
    (2) All Quiet On the Western Front (1930)
    (3) Bringing Up Baby (1938)
    (4) Dodsworth (1936)
    (5) Duck Soup (1933)
    (6) Fantasia (1940)
    (7) The Freshman (1925)
    (8) The Godfather (1972)
    (9) The Great Train Robbery (1903)
    (10) Harlan County, U.S.A. (1976)
    (11) How Green Was My Valley (1941)
    (12) It's A Wonderful Life (1946)
    (13) Killer Of Sheep (1977)
    (14) Love Me Tonight (1932)
    (15) Meshes Of the Afternoon (1943)
    (16) Ninotchka (1939)
    (17) Primary (1960)
    (18) Raging Bull (1980)
    (19) Rebel Without A Cause (1955)

[[Page 86]]

    (20) Red River (1948)
    (21) The River (1937)
    (22) Sullivan's Travels (1941)
    (23) Top Hat (1935)
    (24) The Treasure Of The Sierra Madre (1948)
    (25) A Woman Under The Influence (1974)

    (b) In keeping with section 3(c) of the Act (2 U.S.C. 178b), the 
Librarian will endeavor to obtain an archival quality copy for each of 
these twenty-five films for the National Film Board Collection in the 
Library of Congress.
[55 FR 52845, Dec. 24, 1990]



Sec. 704.22  Films Selected for Inclusion in the National Film Registry in the Library of Congress for 1991.

    (a) The Librarian of Congress, Dr. James H. Billington, after 
consultation with the National Film Preservation Board registers these 
films in the National Film Registry within the Library of Congress for 
1991:

    (1) 2001: A Space Odyssey (1968)
    (2) Battle Of San Pietro, The (1945)
    (3) Blood Of Jesus, The (1941)
    (4) Chinatown (1974)
    (5) City Lights (1931)
    (6) David Holzman's Diary (1968)
    (7) Frankenstein (1931)
    (8) Gertie The Dinosaur (1914)
    (9) Gigi (1958)
    (10) Greed (1924)
    (11) High School (1968)
    (12) I Am A Fugitive From A Chain Gang (1932)
    (13) Italian, The (1915)
    (14) King Kong (1933)
    (15) Lawrence Of Arabia (1962)
    (16) Magnificent Ambersons, The (1942)
    (17) My Darling Clementine (1946)
    (18) Out Of The Past (1947)
    (19) Place In The Sun, A (1951)
    (20) Poor Little Rich Girl (1917)
    (21) Prisoner of Zenda, The (1937)
    (22) Shadow Of A Doubt (1943)
    (23) Sherlock, Jr. (1924)
    (24) Tevye (1939)
    (25) Trouble In Paradise (1932)

    (b) In keeping with section 3(c) of the Act, 2 U.S.C. 178b, the 
Librarian will endeavor to obtain an archival quality copy for each of 
these twenty-five films for the National Film Board Collection in the 
Library of Congress.
[56 FR 49414, Sept. 30, 1991]



Sec. 704.23  Films Selected for Inclusion in the National Film Registry in the Library of Congress for 1992.

    (a) The Librarian of Congress, Dr. James H. Billington, after 
consultation with the National Film Preservation Board, registers these 
films in the National Film Registry within the Library of Congress for 
1992:

1. Adam's Rib (1949)
2. Annie Hall (1977)
3. The Bank Dick (1940)
4. Big Business (1929)
5. The Big Parade (1925)
6. The Birth of a Nation (1915)
7. Bonnie and Clyde (1967)
8. Carmen Jones (1954)
9. Castro Street (1966)
10. Detour (1946)
11. Dog Star Man (1964)
12. Double Indemnity (1944)
13. Footlight Parade (1933)
14. The Gold Rush (1925)
15. Letter From an Unknown Woman (1948)
16. Morocco (1930)
17. Nashville (1975)
18. The Night of the Hunter (1955)
19. Paths of Glory (1957)
20. Psycho (1960)
21. Ride the High Country (1962)
22. Salesman (1969)
23. Salt of the Earth (1954)
24. What's Opera, Doc? (1957)
25. Within Our Gates (1920)

    (b) In keeping with section 206(a) of the Act, 2 U.S.C. 179d(a), the 
Librarian shall endeavor to obtain an archival quality copy for each of 
these twenty-five films for the National Film Registry Collection of the 
Library of Congress.
[59 FR 35034, July 8, 1994]



Sec. 704.24  Films Selected for Inclusion in the National Film Registry in the Library of Congress for 1993.

    (a) The Librarian of Congress, Dr. James H. Billington, after 
consultation with the National Film Preservation Board, registers these 
films in the National Film Registry within the Library of Congress for 
1993:

1. An American in Paris (1951)
2. Badlands (1973)
3. The Black Pirate (1926)
4. Blade Runner (1982)
5. Cat People (1942)
6. The Cheat (1915)
7. Chulas Fronteras (1976)
8. Eaux D'Artifice (1953)
9. The Godfather, Part II (1974)

[[Page 87]]

10. His Girl Friday (1940)
11. It Happened One Night (1934)
12. Lassie Come Home (1943)
13. Magical Maestro (1952)
14. March of Time: Inside Nazi Germany--1938 (1938)
15. A Night at the Opera (1935)
16. Nothing But a Man (1964)
17. One Flew Over the Cuckoo's Nest (1975)
18. Point of Order (1964)
19. Shadows (1959)
20. Shane (1953)
21. Sweet Smell of Success (1957)
22. Touch of Evil (1958)
23. Where Are My Children? (1916)
24. The Wind (1928)
25. Yankee Doodle Dandy (1942)

    (b) In keeping with section 206(a) of the Act, 2 U.S.C. 179d(a), the 
Librarian shall endeavor to obtain an archival quality copy for each of 
these twenty-five films for the National Film Registry Collection of the 
Library of Congress.
[59 FR 35035, July 8, 1994]



                          Subpart B [Reserved]



PART 705--FINANCIAL ADMINISTRATION--Table of Contents




    Authority: 5 U.S.C. 5514 and 5 CFR 550.1101.



Sec. 705.1  Salary offset

    (a) Purpose. This part describes the rights of current and former 
staff members in the collection of debts owed to the Federal Government 
by them and sets out the procedures for collecting debts through 
deductions from their pay following due process.
    (b) Definitions.--(1) Debt is an amount owed to the U.S. Government 
from insured or guaranteed loans, fees, leases, rents, royalties, 
services, sales of real or personal property, overpayments, penalties, 
damages, interest, fines and forfeitures (except those arising under the 
Uniform Code of Military Justice), and all other similar sources.
    (2) Disposable pay, for purposes of this part, means that part of 
current basic pay, special pay, incentive pay, retirement pay, retainer 
pay, or other authorized pay remaining after the deduction of any amount 
required by law to be withheld, such as Federal taxes, retirement, 
court-ordered payments, and FICA.
    (3) Staff member refers to current and former employees who owe 
debts to the Library and/or other Federal Government agencies.
    (c) Procedures.--(1) Notification of indebtedness. The Director of 
Human Resources, or designee, shall notify the staff member, in writing, 
of the individual's indebtedness to the Library and the intention of the 
Library to collect this debt by deductions from the individual's pay. 
This notice shall be given not less than 30 days before any deduction is 
made. This notice shall state, at a minimum:
    (i) The Library's determination that a debt is owed, including the 
origin, nature, and amount of the debt;
    (ii) The Library's intention to collect the debt by means of 
deduction from the staff member's disposable pay account;
    (iii) The amount, frequency, proposed beginning date, and duration 
of the intended deductions;
    (iv) An explanation of the Library's policy concerning interest, 
penalties, and administrative costs, including a statement that such 
assessments must be made unless excused;
    (v) The staff member's right to inspect and to copy Government 
records relating to the debt or, if he or she or his or her 
representative cannot personally inspect the records, to request and 
receive a copy of such records;
    (vi) If not previously provided, the opportunity (under terms 
agreeable to the Library) to establish a schedule for the voluntary 
repayment of the debt or to enter into a written agreement to establish 
a schedule for the repayment of the debt in lieu of offset (the 
agreement must be in writing, signed by both the staff member and the 
Library, and documented in the Library's files);
    (vii) The staff member's right to a hearing conducted by an official 
arranged for or engaged by the Library (an administrative law judge or, 
alternatively, a hearing official not under the control of the Librarian 
of Congress) if a petition is filed as prescribed by the Library;
    (viii) The method and time period for petitioning for a hearing;
    (ix) That the timely filing of a petition for hearing will stay the 
commencement of collection proceedings;

[[Page 88]]

    (x) That a final decision on the hearing, if one is requested, will 
be issued at the earliest practicable date, but not later than 60 days 
after the filing of the petition requesting the hearing unless the staff 
member requests and the hearing official grants a delay in the 
proceedings;
    (xi) That any knowingly false or frivolous statements, 
representations, or evidence may subject the staff member to
    (A) Disciplinary procedures appropriate under Library of Congress 
Regulation 2020-3, or any other applicable regulations or statutes,
    (B) Penalties under the False Claim Act, Section 3729 of Title 31, 
U.S. Code, or any other applicable statutory authority, or
    (C) Criminal penalties under Sections 286, 287, 1001, and 1002 of 
Title 18, U.S. Code, or any other applicable statutory authority;
    (xii) Any other rights and remedies available to the staff member 
under statutes or regulations governing the program for which the 
collection is being made;
    (xiii) Unless there are applicable contractual or statutory 
provisions to the contrary, that amounts paid on or deducted for the 
debt which are later waived or found not owed to the United States will 
be promptly refunded to the staff member;
    (xiv) That if the staff member elects not to contest the 
determination of indebtedness or the amount or the terms of a repayment 
schedule, the staff member may still wish to exercise the right to 
request a waiver of the collection of the indebtedness pursuant to the 
provisions of Library of Congress Regulation 1556, Claims (if the amount 
of the indebtedness exceeds $1,500, the staff member should be advised 
that a final determination must be made by the Comptroller General of 
the United States); and
    (xv) That any involuntary payments already made or withheld from 
salary of any portion of the indebtedness will not be construed as a 
waiver by the staff member of any rights that he or she may have under 
this part.
    (2) Amount of deduction. If possible, the debt shall be collected in 
one lump sum. If multiple deductions are necessary, however, the amount 
deducted from a staff member's pay for any single period will not exceed 
15 percent of disposable pay, except that a greater percentage may be 
deducted upon the written consent of the individual involved. The staff 
member may enter into a written agreement for a repayment schedule 
different from that proposed so long as the terms are approved by the 
Library. If the individual retires or resigns or if his or her 
employment otherwise ends before collection of the amount of the 
indebtedness is completed, deduction shall be made from subsequent 
payments of any nature due the individual.
    (3) Petitions for hearing. (i) To elect a hearing, the staff member 
must notify the Director, Human Resources, no later than 15 days after 
the receipt of the notification of indebtedness. A timely filing of a 
petition for hearing will stay any further commencement of collection 
proceedings. A final decision on the hearing will be issued at the 
earliest practicable date, but not later than 60 days after the filing 
of petition, unless the individual requests and the hearing official 
grants a delay in the proceedings.
    (ii) The petition or statement must be signed by the staff member 
and must fully identify and explain with reasonable specificity all the 
facts, evidence, and witnesses, if any, which he or she believes 
supports his or her position.
    (iii) Petitions for hearings made later than 15 days after the 
receipt of the notification of indebtedness will be accepted provided 
the staff member can show that the delay was because of circumstances 
beyond his or her control or because of failure to receive notice of the 
time limit (unless otherwise aware of it).
    (4) Form of hearings and final decisions. (i) The staff member shall 
be provided an appropriate hearing as decided by the hearing official, 
based on the nature of the transactions giving rise to the debt. The 
hearing official shall be guided by the procedures set out in 4 CFR 
102.3(c) in deciding on the type of hearing to provide.
    (ii) A written decision will be provided to the staff member and 
must, at a minimum, state the fact(s) purported

[[Page 89]]

to support the nature and origin of the alleged debt; the hearing 
official's analysis, findings, and conclusions, in light of the hearing, 
as to the staff member's or the Library's grounds; the amount and 
validity of the alleged debt; and, where applicable, the repayment 
schedule.
    (d) Creditor agency is not the Library of Congress. When the Library 
receives from a creditor agency a debt claim properly certified in 
accordance with 5 CFR 550.1108(a), deductions shall be scheduled to 
begin at the next officially established pay interval. The Director, 
Human Resources, shall provide the employee with written notice stating 
that the Library has received a certified debt claim from the creditor 
agency (including the amount) and written notice of the date deductions 
from salary will commence and of the amount of such deductions. When the 
Library receives an incomplete debt claim from a creditor agency, the 
Director, Human Resources, shall return the debt claim with a written 
notice that procedures under 5 U.S.C. 5514 must be followed and a 
properly determined debt claim received before action will be taken to 
collect from the employee's pay account.
    (e) Exclusions and exceptions. (1) This part does not apply to debts 
where collection of the debt is explicitly provided for or prohibited by 
another statute, or to debts of $1 or less, which, it is hereby 
determined, is not cost effective to attempt to collect (65 Comp. Gen. 
843, September 29, 1986).
    (2) An exception to the entitlement of notice, hearings, written 
responses, and final decisions provided for under paragraph (c) of this 
section is made for overpayments arising out of an employee's election 
of coverage or a change in coverage under a Federal benefits program 
requiring periodic deductions from pay, if the amount to be recovered 
was accumulated over four pay periods or less.
[59 FR 38367, July 28, 1994]



PARTS 706--799  [RESERVED]




[[Page 91]]



      CHAPTER VIII--ADVISORY COUNCIL ON HISTORIC PRESERVATION




  --------------------------------------------------------------------
Part                                                                Page
800             Protection of historic and cultural 
                    properties..............................          93
801             Historic preservation requirements of the 
                    Urban Development Action Grant Program..         105
805             Procedures for implementation of National 
                    Environmental Policy Act................         118
810             Freedom of Information Act regulations......         120
811             Conflicts of interest.......................         122
812             Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the Advisory 
                    Council on Historic Preservation........         126
813-899

  [Reserved]

[[Page 93]]



PART 800--PROTECTION OF HISTORIC AND CULTURAL PROPERTIES--Table of Contents




                    Subpart A--Background and Policy

Sec.
800.1  Authorities, purposes, and participants.
800.2  Definitions.

                   Subpart B--The Section 106 Process

800.3  General.
800.4  Identifying historic properties.
800.5  Assessing effects.
800.6  Affording the Council an opportunity to comment.
800.7  Agreements with States for section 106 reviews.
800.8  Documentation requirements.
800.9  Criteria of effect and adverse effect.

                      Subpart C--Special Provisions

800.10  Protecting National Historic Landmarks.
800.11  Properties discovered during implementation of an undertaking.
800.12  Emergency undertakings.
800.13  Programmatic Agreements.
800.14  Coordination with other authorities.
800.15  Counterpart regulations.

    Authority: Pub. L. 89-665, 80 Stat. 915 (16 U.S.C. 470), as amended, 
84 Stat. 204 (1970), 87 Stat. 139 (1973), 90 Stat. 1320 (1976), 92 Stat. 
3467 (1978): E.O. 11593, 3 CFR 1971 Comp., p. 154.

    Source: 51 FR 31118, Sept. 2, 1986, unless otherwise noted.



                    Subpart A--Background and Policy



Sec. 800.1  Authorities, purposes, and participants.

    (a) Authorities. Section 106 of the National Historic Preservation 
Act requires a Federal agency head with jurisdiction over a Federal, 
federally assisted, or federally licensed undertaking to take into 
account the effects of the agency's undertaking on properties included 
in or eligible for the National Register of Historic Places and, prior 
to approval of an undertaking, to afford the Advisory Council on 
Historic Preservation a reasonable opportunity to comment on the 
undertaking. Section 110(f) of the Act requires that Federal agency 
heads, to the maximum extent possible, undertake such planning and 
actions as may be necessary to minimize harm to any National Historic 
Landmark that may be directly and adversely affected by an undertaking 
and, prior to approval of such undertaking, afford the Council a 
reasonable opportunity to comment. These regulations define the process 
used by a Federal agency to meet these responsibilities, commonly called 
the section 106 process.
    (b) Purposes of the section 106 process. The Council seeks through 
the section 106 process to accommodate historic preservation concerns 
with the needs of Federal undertakings. It is designed to identify 
potential conflicts between the two and to help resolve such conflicts 
in the public interest. The Council encourages this accommodation 
through consultation among the Agency Official, the State Historic 
Preservation Officer, and other interested persons during the early 
stages of planning. The Council regards the consultation process as an 
effective means for reconciling the interests of the consulting parties. 
Integration of the section 106 process into the normal administrative 
process used by agencies for project planning ensures early, systematic 
consideration of historic preservation issues. To this end, the Council 
encourages agencies to examine their administrative processes to see 
that they provide adequately for the efficient identification and 
consideration of historic properties, that they provide for 
participation by the State Historic Preservation Officer and others 
interested in historic preservation, that they provide for timely 
requests for Council comment, and that they promote cost-effective 
implementation of the section 106 process. When impediments are found to 
exist in the agency's administrative process, the agency is encouraged 
to consult with the Council to develop special section 106 procedures 
suited to the agency's needs.
    (c) Participants in the section 106 process--(1) Consulting parties. 
Consulting parties are the primary participants in the section 106 
process whose responsibilities are defined by these regulations. 
Consulting parties may include:

[[Page 94]]

    (i) Agency Official. The Agency Official with jurisdiction over an 
undertaking has legal responsibility for complying with section 106. It 
is the responsibility of the Agency Official to identify and evaluate 
affected historic properties, assess an undertaking's effect upon them, 
and afford the Council its comment opportunity. The Agency Official may 
use the services of grantees, applicants, consultants, or designees to 
prepare the necessary information and analyses, but remains responsible 
for section 106 compliance. The Agency Official should involve 
applicants for Federal assistance or approval in the section 106 process 
as appropriate in the manner set forth below.
    (ii) State Historic Preservation Officer. The State Historic 
Preservation Officer coordinates State participation in the 
implementation of the National Historic Preservation Act and is a key 
participant in the section 106 process. The role of the State Historic 
Preservation Officer is to consult with and assist the Agency Official 
when identifying historic properties, assessing effects upon them, and 
considering alternatives to avoid or reduce those effects. The State 
Historic Preservation Officer reflects the interests of the State and 
its citizens in the preservation of their cultural heritage and helps 
the Agency Official identify those persons interested in an undertaking 
and its effects upon historic properties. When the State Historic 
Preservation Officer declines to participate or does not respond within 
30 days to a written request for participation, the Agency Official 
shall consult with the Council, without the State Historic Preservation 
Officer, to complete the section 106 process. The State Historic 
Preservation Officer may assume primary responsibility for reviewing 
Federal undertakings in the State by agreement with the Council as 
prescribed in Sec. 800.7 of these regulations.
    (iii) Council. The Council is responsible for commenting to the 
Agency Official on an undertaking that affects historic properties. The 
official authorized to carry out the Council's responsibilities under 
each provision of the regulations is set forth in a separate, internal 
delegation of authority.
    (2) Interested persons. Interested persons are those organizations 
and individuals that are concerned with the effects of an undertaking on 
historic properties. Certain provisions in these regulations require 
that particular interested persons be invited to become consulting 
parties under certain circumstances. In addition, whenever the Agency 
Official, the State Historic Preservation Officer, and the Council, if 
participating, agree that active participation of an interested person 
will advance the objectives of section 106, they may invite that person 
to become a consulting party. Interested persons may include:
    (i) Local governments. Local governments are encouraged to take an 
active role in the section 106 process when undertakings affect historic 
properties within their jurisdiction. When a local government has legal 
responsibility for section 106 compliance under programs such as the 
Community Development Block Grant Program, participation as a consulting 
party is required. When no such legal responsibility exists, the extent 
of local government participation is at the discretion of local 
government officials. If the State Historic Preservation Officer, the 
appropriate local government, and the Council agree, a local government 
whose historic preservation program has been certified pursuant to 
section 101(c)(1) of the Act may assume any of the duties that are given 
to the State Historic Preservation Officer by these regulations or that 
originate from agreements concluded under these regulations.
    (ii) Applicants for Federal assistance, permits, and licenses. When 
the undertaking subject to review under section 106 is proposed by an 
applicant for Federal assistance or for a Federal permit or license, the 
applicant may choose to participate in the section 106 process in the 
manner prescribed in these regulations.
    (iii) Indian tribes. The Agency Official, the State Historic 
Preservation Officer, and the Council should be sensitive to the special 
concerns of Indian tribes in historic preservation issues, which often 
extend beyond Indian lands to other historic properties. When an

[[Page 95]]

undertaking will affect Indian lands, the Agency Official shall invite 
the governing body of the responsible tribe to be a consulting party and 
to concur in any agreement. When an Indian tribe has established formal 
procedures relating to historic preservation, the Agency Official, State 
Historic Preservation Officer, and Council shall, to the extent 
feasible, carry out responsibilities under these regulations consistent 
with such procedures. An Indian tribe may participate in activities 
under these regulations in lieu of the State Historic Preservation 
Officer with respect to undertakings affecting its lands, provided the 
Indian tribe so requests, the State Historic Preservation Officer 
concurs, and the Council finds that the Indian tribe's procedures meet 
the purposes of these regulations. When an undertaking may affect 
properties of historic value to an Indian tribe on non-Indian lands, the 
consulting parties shall afford such tribe the opportunity to 
participate as interested persons. Traditional cultural leaders and 
other Native Americans are considered to be interested persons with 
respect to undertakings that may affect historic properties of 
significance to such persons.
    (iv) The public. The Council values the views of the public on 
historic preservation questions and encourages maximum public 
participation in the section 106 process. The Agency Official, in the 
manner described below, and the State Historic Preservation Officer 
should seek and consider the views of the public when taking steps to 
identify historic properties, evaluate effects, and develop 
alternatives. Public participation in the section 106 process may be 
fully coordinated with, and satisfied by, public participation programs 
carried out by Agency Officials under the authority of the National 
Environmental Policy Act and other pertinent statutes. Notice to the 
public under these statutes should adquately inform the public of 
preservation issues in order to elicit public views on such issues that 
can then be considered and resolved, when possible, in decisionmaking. 
Members of the public with interests in an undertaking and its effects 
on historic properties should be given reasonable opportunity to have an 
active role in the section 106 process.



Sec. 800.2  Definitions.

    (a) Act means the National Historic Preservation Act of 1966, as 
amended, 16 U.S.C. 470-470w-6.
    (b) Agency Official means the Federal agency head or a designee with 
authority over a specific undertaking, including any State or local 
government official who has been delegated legal responsibility for 
compliance with section 106 and section 110(f) in accordance with law.
    (c) Area of potential effects means the geographic area or areas 
within which an undertaking may cause changes in the character or use of 
historic properties, if any such properties exist.
    (d) Council means the Advisory Council on Historic Preservation or a 
Council member or employee designated to act for the Council.
    (e) Historic property means any prehistoric or historic district, 
site, building, structure, or object included in, or eligible for 
inclusion in, the National Register. This term includes, for the 
purposes of these regulations, artifacts, records, and remains that are 
related to and located within such properties. The term eligible for 
inclusion in the National Register includes both properties formally 
determined as such by the Secretary of the Interior and all other 
properties that meet National Register listing criteria.
    (f) Indian lands means all lands under the jurisdiction or control 
of an Indian tribe.
    (g) Indian tribe means the governing body of any Indian tribe, band, 
nation, or other group that is recognized as an Indian tribe by the 
Secretary of the Interior and for which the United States holds land in 
trust or restricted status for that entity or its members. Such term 
also includes any Native village corporation, regional corporation, and 
Native Group established pursuant to the Alaska Native Claims Settlement 
Act, 43 U.S.C. 1701, et seq.
    (h) Interested person means those organizations and individuals that 
are concerned with the effects of an undertaking on historic properties.
    (i) Local government means a city, county, parish, township, 
municipality,

[[Page 96]]

borough, or other general purpose political subdivision of a State.
    (j) National Historic Landmark means a historic property that the 
Secretary of the Interior has designated a National Historic Landmark.
    (k) National Register means the National Register of Historic Places 
maintained by the Secretary of the Interior.
    (l) National Register Criteria means the criteria established by the 
Secretary of the Interior for use in evaluating the eligibility of 
properties for the National Register (36 CFR part 60).
    (m) Secretary means the Secretary of the Interior.
    (n) State Historic Preservation Officer means the official appointed 
or designated pursuant to section 101(b)(1) of the Act to administer the 
State historic preservation program or a representative designated to 
act for the State Historic Preservation Officer.
    (o) Undertaking means any project, activity, or program that can 
result in changes in the character or use of historic properties, if any 
such historic properties are located in the area of potential effects. 
The project, activity, or program must be under the direct or indirect 
jurisdiction of a Federal agency or licensed or assisted by a Federal 
agency. Undertakings include new and continuing projects, activities, or 
programs and any of their elements not previously considered under 
section 106.



                   Subpart B--The Section 106 Process



Sec. 800.3  General.

    (a) Scope. The procedure in this subpart guides Agency Officials, 
State Historic Preservation Officers, and the Council in the conduct of 
the section 106 process. Alternative methods of meeting section 106 
obligations are found in Sec. 800.7, governing review of undertakings in 
States that have entered into agreements with the Council for section 
106 purposes, and Sec. 800.13, governing Programmatic Agreements with 
Federal agencies that pertain to specific programs or activities. Under 
each of these methods, the Council encourages Federal agencies to reach 
agreement on developing alternatives or measures to avoid or reduce 
effects on historic properties that meet both the needs of the 
undertaking and preservation concerns.
    (b) Flexible application. The Council recognizes that the procedures 
for the Agency Official set forth in these regulations may be 
implemented by the Agency Official in a flexible manner relfecting 
differing program requirements, as long as the purposes of section 106 
of the Act and these regulations are met.
    (c) Timing. Section 106 requires the Agency Official to complete the 
section 106 process prior to the approval of the expenditure of any 
Federal funds on the undertaking or prior to the issuance of any license 
or permit. The Council does not interpret this language to bar an Agency 
Official from expending funds on or authorizing nondestructive planning 
activities preparatory to an undertaking before complying with section 
106, or to prohibit phased compliance at different stages in planning. 
The Agency Official should ensure that the section 106 process is 
initiated early in the planning stages of the undertaking, when the 
widest feasible range of alternatives is open for consideration. The 
Agency Official should establish a schedule for completing the section 
106 process that is consistent with the planning and approval schedule 
for the undertaking.



Sec. 800.4  Identifying historic properties.

    (a) Assessing information needs. (1) Following a determination by 
the Agency Official that a proposed project, activity, or program 
constitutes an undertaking and after establishing the undertaking's area 
of potential effects, the Agency Official shall:
    (i) Review existing information on historic properties potentially 
affected by the undertaking, including any data concerning the 
likelihood that undentified historic properties exist in the area of 
potential effects;
    (ii) Request the views of the State Historic Preservation Officer on 
further actions to identify historic properties that may be affected; 
and
    (iii) Seek information in acordance with agency planning processes 
from

[[Page 97]]

local governments, Indian tribes, public and private organizations, and 
other parties likely to have knowledge of or concerns with historic 
properties in the area.
    (2) Based on this assessment, the Agency Official should determine 
any need for further actions, such as field surveys and predictive 
modeling, to identify historic properties.
    (b) Locating historic properties. In consultation with the State 
Historic Preservation Officer, the Agency Official shall make a 
reasonable and good faith effort to identify historic properties that 
may be affected by the undertaking and gather sufficient information to 
evaluate the eligibility of these properties for the National Register. 
Efforts to identify historic properties should follow the Secretary's 
``Standards and Guidelines for Archeology and Historic Preservation'' 
(48 FR 44716) and agency programs to meet the requirements of section 
110(a)(2) of the Act.
    (c) Evaluating historical significance. (1) In consultation with the 
State Historic Preservation Officer and following the Secretary's 
Standards and Guidelines for Evaluation, the Agency Official shall apply 
the National Register Criteria to properties that may be affected by the 
undertaking and that have not been previously evaluated for National 
Register eligibility. The passage of time or changing perceptions of 
significance may justify reevaluation of properties that were previously 
determined to be eligible or ineligible.
    (2) If the Agency Official and the State Historic Preservation 
Officer agree that a property is eligible under the criteria, the 
property shall be considered eligible for the National Register for 
section 106 purposes.
    (3) If the Agency Official and the State Historic Preservation 
Officer agree that the criteria are not met, the property shall be 
considered not eligible for the National Register for section 106 
purposes.
    (4) If the Agency Official and the State Historic Preservation 
Officer do not agree, or if the Council or the Secretary so request, the 
Agency Official shall obtain a determination from the Secretary of the 
Interior pursuant to the applicable National Park Service regulations.
    (5) If the State Historic Preservation Officer does not provide 
views, then the State Historic Preservation Officer is presumed to agree 
with the Agency Official's determination for the purpose of this 
subsection.
    (d) When no historic properties are found. If the Agency Official 
determines in accordance with Sec. 800.4 paragraphs (a) through (c) that 
there are no historic properties that may be affected by the 
undertaking, the Agency Official shall provide documentation of this 
finding to the State Historic Preservation Officer. The Agency Official 
should notify interested persons and parties known to be interested in 
the undertaking and its possible effects on historic properties and make 
the documentation available to the public. In these circumstances, the 
Agency Official is not required to take further steps in the section 106 
process.
    (e) When historic properties are found. If there are historic 
properties that the undertaking may affect, the Agency official shall 
assess the effects in accordance with Sec. 800.5.



Sec. 800.5  Assessing effects.

    (a) Applying the Criteria of Effect. In consultation with the State 
Historic Preservation Officer, the Agency Official shall apply the 
Criteria of Effect (Sec. 800.9(a)) to historic properties that may be 
affected, giving consideration to the views, if any, of interested 
persons.
    (b) When no effect is found. If the Agency Official finds the 
undertaking will have no effect on historic properties, the Agency 
Official shall notify the State Historic Preservation Officer and 
interested persons who have made their concerns known to the Agency 
Official and document the findings, which shall be available for public 
inspection. Unless the State Historic Preservation Officer objects 
within 15 days of receiving such notice, the Agency Official is not 
required to take any further steps in the section 106 process. If the 
State Historic Preservation Officer files a timely objection, then the 
procedures described in Sec. 800.5(c) are followed.

[[Page 98]]

    (c) When an effect is found. If an effect on historic properties is 
found, the Agency Official, in consultation with the State Historic 
Preservation Officer, shall apply the Criteria of Adverse Effect 
(Sec. 800.9(b)) to determine whether the effect of the undertaking 
should be considered adverse.
    (d) When the effect is not considered adverse. (1) If the Agency 
Official finds the effect is not adverse, the Agency Official shall:
    (i) Obtain the State Historic Preservation Officer's concurrence 
with the finding and notify and submit to the Council summary 
documentation, which shall be available for public inspection; or
    (ii) Submit the finding with necessary documentation (Sec. 800.8(a)) 
to the Council for a 30-day review period and notify the State Historic 
Preservation Officer.
    (2) If the Council does not object to the finding of the Agency 
Official within 30 days of receipt of notice, or if the Council objects 
but proposes changes that the Agency Official accepts, the Agency 
Official is not required to take any further steps in the section 106 
process other than to comply with any agreement with the State Historic 
Preservation Officer or Council concerning the undertaking. If the 
Council objects and the Agency Official does not agree with changes 
proposed by the Council, then the effect shall be considered as adverse.
    (e) When the effect is adverse. If an adverse effect on historic 
properties is found, the Agency Official shall notify the Council and 
shall consult with the State Historic Preservation Officer to seek ways 
to avoid or reduce the effects on historic properties. Either the Agency 
Official or the State Historic Preservation Officer may request the 
Council to participate. The Council may participate in the consultation 
without such a request.
    (1) Involving interested persons. Interested persons shall be 
invited to participate as consulting parties as follows when they so 
request:
    (i) The head of a local government when the undertaking may affect 
historic properties within the local government's jurisdiction;
    (ii) The representative of an Indian tribe in accordance with 
Sec. 800.1(c)(2)(iii);
    (iii) Applicants for or holders of grants, permits, or licenses, and 
owners of affected lands; and
    (iv) Other interested persons when jointly determined appropriate by 
the Agency Official, the State Historic Preservation Officer, and the 
Council, if participating.
    (2) Documentation. The Agency Official shall provide each of the 
consulting parties with the documentation set forth in Sec. 800.8(b) and 
such other documentation as may be developed in the course of 
consultation.
    (3) Informing the public. The Agency Official shall provide an 
adequate opportunity for members of the public to receive information 
and express their views. The Agency Official is encouraged to use 
existing agency public involvement procedures to provide this 
opportunity. The Agency Official, State Historic Preservation Officer, 
or the Council may meet with interested members of the public or conduct 
a public information meeting for this purpose.
    (4) Agreement. If the Agency Official and the State Historic 
Preservation Officer agree upon how the effects will be taken into 
account, they shall execute a Memorandum of Agreement. When the Council 
participates in the consultation, it shall execute the Memorandum of 
Agreement along with the Agency Official and the State Historic 
Preservation Officer. When the Council has not participated in 
consultation, the Memorandum of Agreement shall be submitted to the 
Council for comment in accordance with Sec. 800.6(a). As appropriate, 
the Agency Official, the State Historic Preservation Officer, and the 
Council, if participating, may agree to invite other consulting parties 
to concur in the agreement.
    (5) Amendments. The Agency Official, the State Historic Preservation 
Officer, and the Council, if it was a signatory to the original 
agreement, may subsequently agree to an amendment to the Memorandum of 
Agreement. When the Council is not a party to the Memorandum of 
Agreement, or the Agency Official and the State Historic Preservation 
Officer cannot agree on changes to

[[Page 99]]

the Memorandum of Agreement, the proposed changes shall be submitted to 
the Council for comment in accordance with Sec. 800.6.
    (6) Ending consultation. The Council encourages Agency Officials and 
State Historic Preservation Officers to utilize the consultation process 
to the fullest extent practicable. After initiating consultation to seek 
ways to reduce or avoid effects on historic properties, State Historic 
Preservation Officer, the Agency Official, or the Council, at its 
discretion, may state that further consultation will not be productive 
and thereby terminate the consultation process. The Agency Official 
shall then request the Council's comments in accordance with 
Sec. 800.6(b) and notify all other consulting parties of its requests.



Sec. 800.6  Affording the Council an opportunity to comment.

    (a) Review of a Memorandum of Agreement. (1) When an Agency Official 
submits a Memorandum of Agreement accompanied by the documentation 
specified in Sec. 800.8 (b) and (c), the Council shall have 30 days from 
receipt to review it. Before this review period ends, the Council shall:
    (i) Accept the Memorandum of Agreement, which concludes the section 
106 process, and informs all consulting parties; or
    (ii) Advise the Agency Official of changes to the Memorandum of 
Agreement that would make it acceptable; subsequent agreement by the 
Agency Official, the State Historic Preservation Officer, and the 
Council concludes the section 106 process; or
    (iii) Decide to comment on the undertaking, in which case the 
Council shall provide its comments within 60 days of receiving the 
Agency Official's submission, unless the Agency Official agrees 
otherwise.
    (2) If the Agency Official, the State Historic Preservation Officer, 
and the Council do not reach agreement in accordance with 
Sec. 800.6(a)(1)(ii), the Agency Official shall notify the Council, 
which shall provide its comments within 30 days of receipt of notice.
    (b) Comment when there is no agreement. (1) When no Memorandum of 
Agreement is submitted, the Agency Official shall request Council 
comment and provide the documentation specified in Sec. 800.8(d). When 
requested by the Agency Official, the Council shall provide its comments 
within 60 days of receipt of the Agency Official's request and the 
specified documentation.
    (2) The Agency Official shall make a good faith effort to provide 
reasonably available additional information concerning the undertaking 
and shall assist the Council in arranging an onsite inspection and 
public meeting when requested by the Council.
    (3) The Council shall provide its comments to the head of the agency 
requesting comment. Copies shall be provided to the State Historic 
Preservation Officer, interested persons, and others as appropriate.
    (c) Response to Council comment. (1) When a Memorandum of Agreement 
becomes final in accordance with Sec. 800.6(a)(1) (i) or (ii), the 
Agency Official shall carry out the undertaking in accordance with the 
terms of the agreement. This evidences fulfillment of the agency's 
section 106 responsibilities. Failure to carry out the terms of a 
Memorandum of Agreement requires the Agency Official to resubmit the 
undertaking to the Council for comment in accordance with Sec. 800.6.
    (2) When the Council had commented pursuant to Sec. 800.6(b), the 
Agency Official shall consider the Council's comments in reaching a 
final decision on the proposed undertaking. The Agency Official shall 
report the decision to the Council, and if possible, should do so prior 
to initiating the undertaking.
    (d) Foreclosure of the Council's opportunity to comment. (1) The 
Council may advise an Agency Official that it considers the agency has 
not provided the Council a reasonable opportunity to comment. The 
decision to so advise the Agency Official will be reached by a majority 
vote of the Council or by a majority vote of a panel consisting of three 
or more Council members with the concurrence of the Chairman.
    (2) The Agency Official will be given notice and a reasonable 
opportunity to respond prior to a proposed Council determination that 
the agency has foreclosed the Council's opportunity to comment.

[[Page 100]]

    (e) Public requests to the Council. (1) When requested by any 
person, the Council shall consider an Agency Official's finding under 
Secs. 800.4(b), 800.4(c), 800.4(d), or 800.5(b), and, within 30 days of 
receipt of the request, advise the Agency Official, the State Historic 
Preservation Officer, and the person making the request of its views of 
the Agency Official's finding.
    (2) In light of the Council views, the Agency Official should 
reconsider the finding. However, an inquiry to the Council will not 
suspend action on an undertaking.
    (3) When the finding concerns the eligibility of a property for the 
National Register, the Council shall refer the matter to the Secretary.
[51 FR 31118, Sept. 2, 1986; 52 FR 25376, July 7, 1987]



Sec. 800.7  Agreements with States for section 106 reviews.

    (a) Establishment of State agreements. (1) Any State Historic 
Preservation Officer may enter into an agreement with the Council to 
substitute a State review process for the procedures set forth in these 
regulations, provided that:
    (i) The State historic preservation program has been approved by the 
Secretary pursuant to section 101(b)(1) of the Act; and
    (ii) The Council, after analysis of the State's review process and 
consideration of the views of Federal and State agencies, local 
governments, Indian tribes, and the public, determines that the State 
review process is at least as effective as, and no more burdensome than, 
the procedures set forth in these regulations in meeting the 
requirements of section 106.
    (2) The Council, in analyzing a State's review process pursuant to 
Sec. 800.7(a)(1)(ii), shall:
    (i) Review relevant State laws, Executive orders, internal 
directives, standards, and guidelines;
    (ii) Review the organization of the State's review process;
    (iii) Solicit and consider the comments of Federal and State 
agencies, local governments, Indian tribes, and the public;
    (iv) Review the results of program reviews carried out by the 
Secretary; and
    (v) Review the record of State participation in the section 106 
process.
    (3) The Council will enter into an agreement with a State under this 
section only upon determining, at minimum, that the State has a 
demonstrated record of performance in the section 106 process and the 
capability to administer a comparable process at the State level.
    (4) A State agreement shall be developed through consultation 
between the State Historic Preservation Officer and the Council and 
concurred in by the Secretary before submission to the Council for 
approval. The Council may invite affected Federal and State agencies, 
local governments, Indian tribes, and other interested persons to 
participate in this consultation. The agreement shall:
    (i) Specify the historic preservation review process employed in the 
State, showing that this process is at least as effective as, and no 
more burdensome than, that set forth in these regulations;
    (ii) Establish special provisions for participation of local 
governments or Indian tribes in the review of undertakings falling 
within their jurisdiction, when appropriate;
    (iii) Establish procedures for public participation in the State 
review process;
    (iv) Provide for Council review of actions taken under its terms, 
and for appeal of such actions to the Council; and
    (v) Be certified by the Secretary as consistent with the Secretary's 
Standards and Guidelines for Archaeology and Historic Preservation.
    (5) Upon concluding a State agreement, the Council shall publish 
notice of its execution in the Federal Register and make copies of the 
State agreement available to all Federal agencies.
    (b) Review of undertakings when a State agreement is in effect. (1) 
When a State agreement under Sec. 800.7(a) is in effect, an Agency 
Official may elect to comply with the State review process in lieu of 
compliance with these regulations.
    (2) At any time during review of an undertaking under a State 
agreement, an Agency Official may terminate such

[[Page 101]]

review and comply instead with Secs. 800.4 through 800.6 of these 
regulations.
    (3) At any time during review of an undertaking under a State 
agreement, the Council may participate. Participants are encouraged to 
draw upon the Council's expertise as appropriate.
    (c) Monitoring and termination of State agreements. (1) The Council 
shall monitor activities carried out under State agreements, in 
coordination with the Secretary of the Interior's approval of State 
programs under section 101(b)(1) of the Act. The Council may request 
that the Secretary monitor such activities on its behalf.
    (2) The Council may terminate a State agreement after consultation 
with the State Historic Preservation Officer and the Secretary.
    (3) A State agreement may be terminated by the State Historic 
Preservation Officer.
    (4) When a State agreement is terminated pursuant to Sec. 800.7(c) 
(2) and (3), such termination shall have no effect on undertakings for 
which review under the agreement was complete or in progress at the time 
the termination occurred.



Sec. 800.8  Documentation requirements.

    (a) Finding of no adverse effect. The purpose of this documentation 
is to provide sufficient information to explain how the Agency Official 
reached the finding of no adverse effect. The required documentation is 
as follows:
    (1) A description of the undertaking, including photographs, maps, 
and drawings, as necessary;
    (2) A description of historic properties that may be affected by the 
undertaking;
    (3) A description of the efforts used to identify historic 
properties;
    (4) A statement of how and why the criteria of adverse effect were 
found inapplicable; and
    (5) The views of the State Historic Preservation Officer, affected 
local governments, Indian tribes, Federal agencies, and the public, if 
any were provided, as well as a description of the means employed to 
solicit those views.
    (b) Finding of adverse effect. The required documentation is as 
follows:
    (1) A description of the undertaking, including photographs, maps, 
and drawings, as necessary;
    (2) A description of the efforts to identify historic properties;
    (3) A description of the affected historic properties, using 
materials already compiled during the evaluation of significance, as 
appropriate; and
    (4) A description of the undertaking's effects on historic 
properties.
    (c) Memorandum of Agreement. When a memorandum is submitted for 
review in accordance with Sec. 800.6(a)(1), the documentation, in 
addition to that specified in Sec. 800.8(b), shall also include a 
description and evaluation of any proposed mitigation measures or 
alternatives that were considered to deal with the undertaking's effects 
and a summary of the views of the State Historic Preservation Officer 
and any interested persons.
    (d) Requests for comment when there is no agreement. The purpose of 
this documentation is to provide the Council with sufficient information 
to make an independent review of the undertaking's effects on historic 
properties as the basis for informed and meaningful comments to the 
Agency Official. The required documentation is as follows:
    (1) A description of the undertaking, with photographs, maps, and 
drawings, as necessary;
    (2) A description of the efforts to identify historic properties;
    (3) A description of the affected historic properties, with 
information on the significant characteristics of each property;
    (4) A description of the effects of the undertaking on historic 
properties and the basis for the determinations;
    (5) A description and evaluation of any alternatives or mitigation 
measures that the Agency Official proposes for dealing with the 
undertaking's effects;
    (6) A description of any alternatives or mitigation measures that 
were considered but not chosen and the reasons for their rejection;
    (7) Documentation of consultation with the State Historic 
Preservation Officer regarding the identification and

[[Page 102]]

evaluation of historic properties, assessment of effect, and any 
consideration of alternatives or mitigation measures;
    (8) A description of the Agency Official's efforts to obtain and 
consider the views of affected local governments, Indian tribes, and 
other interested persons;
    (9) The planning and approval schedule for the undertaking; and
    (10) Copies or summaries of any written views submitted to the 
Agency Official concerning the effects of the undertaking on historic 
properties and alternatives to reduce or avoid those effects.



Sec. 800.9  Criteria of effect and adverse effect.

    (a) An undertaking has an effect on a historic property when the 
undertaking may alter characteristics of the property that may qualify 
the property for inclusion in the National Register. For the purpose of 
determining effect, alteration to features of a property's location, 
setting, or use may be relevant depending on a property's significant 
characteristics and should be considered.
    (b) An undertaking is considered to have an adverse effect when the 
effect on a historic property may diminish the integrity of the 
property's location, design, setting, materials, workmanship, feeling, 
or association. Adverse effects on historic properties include, but are 
not limited to:
    (1) Physical destruction, damage, or alteration of all or part of 
the property;
    (2) Isolation of the property from or alteration of the character of 
the property's setting when that character contributes to the property's 
qualification for the National Register;
    (3) Introduction of visual, audible, or atmospheric elements that 
are out of character with the property or alter its setting;
    (4) Neglect of a property resulting in its deterioration or 
destruction; and
    (5) Transfer, lease, or sale of the property.
    (c) Effects of an undertaking that would otherwise be found to be 
adverse may be considered as being not adverse for the purpose of these 
regulations:
    (1) When the historic property is of value only for its potential 
contribution to archeological, historical, or architectural research, 
and when such value can be substantially preserved through the conduct 
of appropriate research, and such research is conducted in accordance 
with applicable professional standards and guidelines;
    (2) When the undertaking is limited to the rehabilitation of 
buildings and structures and is conducted in a manner that preserves the 
historical and architectural value of affected historic property through 
conformance with the Secretary's ``Standards for Rehabilitation and 
Guidelines for Rehabilitating Historic Buildings'', or
    (3) When the undertaking is limited to the transfer, lease, or sale 
of a historic property, and adequate restrictions or conditions are 
included to ensure preservation of the property's significant historic 
features.



                      Subpart C--Special Provisions



Sec. 800.10  Protecting National Historic Landmarks.

    Section 110(f) of the Act requires that the Agency Official, to the 
maximum extent possible, undertake such planning and actions as may be 
necessary to minimize harm to any National Historic Landmark that may be 
directly and adversely affected by an undertaking. When commenting on 
such undertakings, the Council shall use the process set forth in 
Secs. 800.4 through 800.6 and give special consideration to protecting 
National Historic Landmarks as follows:
    (a) Any consultation conducted under Sec. 800.5(e) shall include the 
Council;
    (b) The Council may request the Secretary under section 213 of the 
Act to provide a report to the Council detailing the significance of the 
property, describing the effects of the undertaking on the property, and 
recommending measures to avoid, minimize, or mitigate adverse effects; 
and
    (c) The Council shall report its comments, including Memoranda of 
Agreement, to the President, the Congress, the Secretary, and the head 
of the

[[Page 103]]

agency responsible for the undertaking.
[51 FR 31118, Sept. 2, 1986; 52 FR 25376, July 7, 1987]



Sec. 800.11  Properties discovered during implementation of an undertaking.

    (a) Planning for discoveries. When the Agency Official's 
identification efforts in accordance with Sec. 800.4 indicate that 
historic properties are likely to be discovered during implementation of 
an undertaking, the Agency Official is encouraged to develop a plan for 
the treatment of such properties if discovered and include this plan in 
any documentation prepared to comply with Sec. 800.5.
    (b) Federal agency responsibilities. (1) When an Agency Official has 
completed the section 106 process and prepared a plan in accordance with 
Sec. 800.11(a), the Agency Official shall satisfy the requirements of 
section 106 concerning properties discovered during implementation of an 
undertaking by following the plan.
    (2) When an Agency Official has completed the section 106 process 
without preparing a plan in accordance with Sec. 800.11(a) and finds 
after beginning to carry out the undertaking that the undertaking will 
affect a previously unidentified property that may be eligible for 
inclusion in the National Register, or affect a known historic property 
in an unanticipated manner, the Agency Official shall afford the Council 
an opportunity to comment by choosing one of the following courses of 
action:
    (i) Comply with Sec. 800.6;
    (ii) Develop and implement actions that take into account the 
effects of the undertaking on the property to the extent feasible and 
the comments from the State Historic Preservation Officer and the 
Council pursuant to Sec. 800.11(c); or
    (iii) If the property is principally of archeological value and 
subject to the requirements of the Archeological and Historic 
Preservation Act, 16 U.S.C. 469(a)-(c), comply with that Act and 
implementing regulations instead of these regulations.
    (3) Section 106 and these regulations do not require the Agency 
Official to stop work on the undertaking. However, depending on the 
nature of the property and the undertaking's apparent effects on it, the 
Agency Official should make reasonable efforts to avoid or minimize harm 
to the property until the requirements of this section are met.
    (c) Council comments. (1) When comments are requested pursuant to 
Sec. 800.11(b)(2)(i), the Council will provide its comments in a time 
consistent with the Agency Official's schedule, regardless of longer 
time periods allowed by these regulations for Council review.
    (2) When an Agency Official elects to comply with 
Sec. 800.11(b)(2)(ii), the Agency Official shall notify the State 
Historic Preservation Officer and the Council at the earliest possible 
time, describe the actions proposed to take effects into account, and 
request the Council's comments. The Council shall provide interim 
comments to the Agency Official within 48 hours of the request and final 
comments to the Agency Official within 30 days of the request.
    (3) When an Agency Official complies with Sec. 800.11(b)(2)(iii), 
the Agency Official shall provide the State Historic Preservation 
Officer an opportunity to comment on the work undertaken and provide the 
Council with a report on the work after it is undertaken.
    (d) Other considerations. (1) When a newly discovered property has 
not previously been included in or determined eligible for the National 
Register, the Agency Official may assume the property to be eligible for 
purposes of section 106.
    (2) When a discovery occurs and compliance with this section is 
necessary on lands under the jurisdiction of an Indian tribe, the Agency 
Official shall consult with the Indian tribe during implementation of 
this section's requirements.



Sec. 800.12  Emergency undertakings.

    (a) When a Federal agency head proposes an emergency action and 
elects to waive historic preservation responsibilities in accordance 
with 36 CFR 78.3, the Agency Official may comply with the requirements 
of 36 CFR part 78 in lieu of these regulations. An Agency Official 
should develop plans

[[Page 104]]

for taking historic properties into account during emergency operations. 
At the request of the Agency Official, the Council will assist in the 
development of such plans.
    (b) When an Agency Official proposes an emergency undertaking as an 
essential and immediate response to a disaster declared by the President 
or the appropriate Governor, and Sec. 800.12(a) does not apply, the 
Agency Official may satisfy section 106 by notifying the Council and the 
appropriate State Historic Preservation Officer of the emergency 
undertaking and affording them an opportunity to comment within seven 
days if the Agency Official considers that circumstances permit.
    (c) For the purposes of activities assisted under title I of the 
Housing and Community Development Act of 1974, as amended, 
Sec. 800.12(b) also applies to an imminent threat to public health or 
safety as a result of natural disaster or emergency declared by a local 
government's chief executive officer or legislative body, provided that 
if the Council or the State Historic Preservation Officer objects, the 
Agency Official shall comply with Secs. 800.4 through 800.6.
    (d) This section does not apply to undertakings that will not be 
implemented within 30 days after the disaster or emergency. Such 
undertakings shall be reviewed in accordance with Secs. 800.4 through 
800.6.
[51 FR 31118, Sept. 2, 1986; 52 FR 25376, July 7, 1987]



Sec. 800.13  Programmatic Agreements.

    (a) Application. An Agency Official may elect to fulfill an agency's 
section 106 responsibilities for a particular program, a large or 
complex project, or a class of undertakings that would otherwise require 
numerous individual requests for comments through a Programmatic 
Agreement. Programmatic Agreements are appropriate for programs or 
projects:
    (1) When effects on historic properties are similar and repetitive 
or are multi-State or national in scope;
    (2) When effects on historic properties cannot be fully determined 
prior to approval;
    (3) When non-Federal parties are delegated major decisionmaking 
responsibilities;
    (4) That involve development of regional or land-management plans; 
or
    (5) That involve routine management activities at Federal 
installations.
    (b) Consultation process. The Council and the Agency Official shall 
consult to develop a Programmatic Agreement. When a particular State is 
affected, the appropriate State Historic Preservation Officer shall be a 
consulting party. When the agreement involves issues national in scope, 
the President of the National Conference of State Historic Preservation 
Officers or a designated representative shall be invited to be a 
consulting party by the Council. The Council and the Agency Official may 
agree to invite other Federal agencies or others to be consulting 
parties or to participate, as appropriate.
    (c) Public involvement. The Council, with the assistance of the 
Agency Official, shall arrange for public notice and involvement 
appropriate to the subject matter and the scope of the program. Views 
from affected units of State and local government, Indian tribes, 
industries, and organizations will be invited.
    (d) Execution of the Programmatic Agreement. After consideration of 
any comments received and reaching final agreement, the Council and the 
Agency Official shall execute the agreement. Other consulting parties 
may sign the Programmatic Agreement as appropriate.
    (e) Effect of the Programmatic Agreement. An approved Programmatic 
Agreement satisfies the Agency's section 106 responsibilities for all 
individual undertakings carried out in accordance with the agreement 
until it expires or is terminated.
    (f) Notice. The Council shall publish notice of an approved 
Programmatic Agreement in the Federal Register and make copies readily 
available to the public.
    (g) Failure to carry out a Programmatic Agreement. If the terms of a 
Programmatic Agreement are not carried out or if such an agreement is 
terminated, the Agency Official shall comply with Secs. 800.4 through 
800.6 with regard to individual undertakings covered by the agreement.

[[Page 105]]



Sec. 800.14  Coordination with other authorities.

    To the extent feasible, Agency Officials, State Historic 
Preservation Officers, and the Council should encourage coordination of 
implementation of these regulations with the steps taken to satisfy 
other historic preservation and environmental authorities by:
    (a) Integrating compliance with these regulations with the processes 
of environmental review carried out pursuant to the National 
Environmental Policy Act, and coordinating any studies needed to comply 
with these regulations with studies of related natural and social 
aspects;
    (b) Designing determinations and agreements to satisfy the terms not 
only of section 106 and these regulations, but also of the requirements 
of such other historic preservation authorities as the Archeological and 
Historic Preservation Act, the Archeological Resources Protection Act, 
section 110 of the National Historic Preservation Act, and section 4(f) 
of the Department of Transportation Act, as applicable, so that a single 
document can be used for the purposes of all such authorities;
    (c) Designing and executing studies, surveys, and other information-
gathering activities for planning and undertaking so that the resulting 
information and data is adequate to meet the requirements of all 
applicable Federal historic preservation authorities; and
    (d) Using established agency public involvement processes to elicit 
the views of the concerned public with regard to an undertaking and its 
effects on historic properties.



Sec. 800.15  Counterpart regulations.

    In consultation with the Council, agencies may develop counterpart 
regulations to carry out the section 106 process. When concurred in by 
the Council, such counterpart regulations shall stand in place of these 
regulations for the purposes of the agency's compliance with section 
106.



PART 801--HISTORIC PRESERVATION REQUIREMENTS OF THE URBAN DEVELOPMENT ACTION GRANT PROGRAM--Table of Contents




Sec.
801.1  Purpose and authorities.
801.2  Definitions.
801.3  Applicant responsibilities.
801.4  Council comments.
801.5  State Historic Preservation Officer responsibilities.
801.6  Coordination with requirements under the National Environmental 
          Policy Act (42 U.S.C. 4321 et seq.).
801.7  Information requirements.
801.8  Public participation.


Appendix 1 to Part 801--Identification of Properties: General
Appendix 2 to Part 801--Special Procedures for Identification and 
          Consideration of Archeological Properties in an Urban Context

    Authority: Pub. L. 89-665, 80 Stat. 915 (16 U.S.C. 470); Pub. L. 94-
422, 90 Stat. 1320 (16 U.S.C. 470(i)); Pub. L. 96-399, 94 Stat. 1619 (42 
U.S.C. 5320).

    Source: 46 FR 42428, Aug. 20, 1981, unless otherwise noted.



Sec. 801.1  Purpose and authorities.

    (a) These regulations are required by section 110(c) of the Housing 
and Community Development Act of 1980 (HCDA) (42 U.S.C. 5320) and apply 
only to projects proposed to be funded by the Department of Housing and 
Urban Development (HUD) under the Urban Development Action Grant (UDAG) 
Program authorized by title I of the Housing and Community Development 
Act of 1974, as amended (42 U.S.C. 5301). These regulations establish an 
expedited process for obtaining the comments of the Council specifically 
for the UDAG program and, except as specifically provided, substitute 
for the Council's regulations for the ``Protection of Historic and 
Cultural Properties'' (36 CFR part 800).
    (b) Section 110(c) of the HCDA of 1980 requires UDAG applicants to: 
(1) Identify all properties, if any, which are included in the National 
Register of Historic Places and which will be affected

[[Page 106]]

by the project for which the application is made; (2) identify all other 
properties, if any, which will be affected by such project and which, as 
determined by the applicant, may meet the Criteria established by the 
Secretary of the Interior for inclusion in the National Register (36 CFR 
60.6); and (3) provide a description of the effect, as determined by the 
applicant, of the project on properties identified pursuant to (1) and 
(2). If the applicant determines that such properties are affected, the 
Act requires that the information developed by the applicant must be 
forwarded to the appropriate State Historic Preservation Officer (SHPO) 
for review and to the Secretary of the Interior for a determination as 
to whether the affected properties are eligible for inclusion in the 
National Register.
    (c) Section 106 of the National Historic Preservation Act of 1966, 
as amended (16 U.S.C. 470), requires the head of any Federal agency with 
jurisdiction over a Federal, federally assisted or federally licensed 
undertaking that affects a property included in or eligible for 
inclusion in the National Register of Historic Places to take into 
account the effect of the undertaking on such property and afford the 
Council a reasonable opportunity to comment. Under the UDAG program, 
applicants assume the status of a Federal agency for purposes of 
complying with section 106.



Sec. 801.2  Definitions.

    The terms defined in 36 CFR 800.2 shall be used in conjunction with 
this regulation. Furthermore, as used in these regulations:
    (a) Urban Development Action Grant (UDAG) Program means the program 
of the Department of Housing and Urban Development (HUD) authorized by 
title I of the Housing and Community Development Act (HCDA) of 1977 (42 
U.S.C. 5318) to assist revitalization efforts in distressed cities and 
urban counties which require increased public and private investment.
    (b) Applicant means cities and urban counties or Pocket of Poverty 
Communities which meet the criteria at 24 CFR 570.453. Except as 
specifically provided below, applicants, rather than the Secretary of 
HUD, must comply with these regulations.
    (c) Project means a commercial, industrial, and/or neighborhood 
project supported by the UDAG program of the Department of HUD, as 
defined in 24 CFR 570.451(g). A project includes the group of integrally 
related public and private activities described in the grant application 
which are to be carried out to meet the objectives of the action grant 
program and consists of all action grant funded activities together with 
all non-action grant funded activities. A project is an undertaking as 
defined in 36 CFR 800.2(c).
    (d) State Historic Preservation Officer Review Period is a 45 day 
period provided to the appropriate State Historic Preservation Officer 
by section 110(c) of the Housing and Community Development Act (HCDA) of 
1980 for comment on the formal submission by the applicant of data on 
properties listed in the National Register or which may meet the 
Criteria and which will be affected by the proposed UDAG project. This 
period does not include any period during which the applicant seeks 
information from the State Historic Preservation Officer to assist the 
applicant in identifying properties, determining whether a property 
meets the Criteria for listing in the National Register of Historic 
Places and determining whether such property is affected by the project.
    (e) Secretary of the Interior Determination Period is a 45 day 
period provided by section 110(c) of the HCDA of 1980 for a 
determination as to whether the identified properties are eligible for 
inclusion in the National Register.



Sec. 801.3  Applicant responsibilities.

    As early as possible before the applicant makes a final decision 
concerning a project and in any event prior to taking any action that 
would foreclose alternatives or the Council's ability to comment, the 
applicant should take the following steps to comply with the 
requirements of section 106 of the National Historic Preservation Act 
and section 110 of the HCDA of 1980.

In order to facilitate the commenting process the applicant should 
forward to

[[Page 107]]

the Council information on the proposed project at the earliest 
practicable time if it appears that National Register properties or 
properties which meet the Criteria for inclusion will be affected. This 
will allow the Council to assist the applicant in expeditiously meeting 
its historic preservation requirements and facilitate the development of 
the Council's comments.
    (a) Information required. It is the primary responsibility of the 
applicant requesting Council comments to conduct the appropriate studies 
and to provide the information necessary for a review of the effect a 
proposed project may have on a National Register property or a property 
which meets the Criteria, as well as the information necessary for 
adequate consideration of modifications or alterations to the proposed 
project that could avoid, mitigate, or minimize any adverse effects. It 
is the responsibility of the applicant to provide the information 
specified in Sec. 801.7, to make an informed and reasonable evaluation 
of whether a property meets the National Register Criteria (36 CFR 60.6) 
and to determine the effect of a proposed undertaking on a National 
Register property or property which meets the Criteria.
    (b) Identification of properties. Section 110 of the HCDA of 1980 
makes UDAG applicants responsible for the identification of National 
Register properties and properties which may meet the Criteria for 
listing in the National Register that may be affected by the project. An 
appendix to these regulations sets forth guidance to applicants in 
meeting their identification responsibilities but does not set a fixed 
or inflexible standard for such efforts. Meeting this responsibility 
requires the applicant to make an earnest effort to identify and 
evaluate potentially affected historic properties by:
    (1) Consulting the National Register of Historic Places to determine 
whether the project's impact area includes such properties;
    (2) Obtaining, prior to initiating the State Historic Preservation 
Officer Review Period, relevant information that the State Historic 
Preservation Officer may have available concerning historic properties, 
if any are known, in the project's impact area;
    (3) Utilizing local plans, surveys, and inventories of historic 
properties prepared by the locality or a recognized State or local 
historic authority;
    (4) Utilizing other sources of information or advice the applicant 
deems appropriate;
    (5) Conducting an on-the-ground inspection of the project's impact 
area by qualified personnel to identify properties which may meet the 
Criteria for evaluation taking into consideration the views of the State 
Historic Preservation Officer as to the need for and methodology of such 
inspections;
    (6) Applying the Department of the Interior Criteria for Evaluation 
(36 CFR 60.6) to properties within the project's impact area.
    (c) Evaluation of effect. Applicants are required by section 110(a) 
of the HCDA of 1980 to include in their applications a description of 
the effect of a proposed UDAG project on any National Register property 
and or any property which may meet the Criteria.
    (1) Criteria of Effect and Adverse Effect. The following criteria, 
similar to those set forth in 36 CFR 800.3, shall be used to determine 
whether a project has an effect or an adverse effect.
    (i) Criteria of effect. The effect of a project on a National 
Register or eligible property is evaluated in the context of the 
historical, architectural, archeological, or cultural significance 
possessed by the property. A project shall be considered to have an 
effect whenever any condition of the project causes or may cause any 
change, beneficial or adverse, in the quality of the historical, 
architectural, archeological, or cultural characteristics that qualify 
the property to meet the Criteria of the National Register. An effect 
occurs when a project changes the integrity of location, design, 
setting, materials, workmanship, feeling or association of the property 
that contributes to its significance in accordance with the National 
Register Criteria. An effect may be direct or indirect. Direct effects 
are caused by the project and occur at the same time and place. Indirect 
effects include those caused by the undertaking that are later in time 
or farther removed in distance, but are still reasonably foreseeable. 
Such effects involve development of the project site around

[[Page 108]]

historic properties so as to affect the access to, use of, or 
significance of those properties.
    (ii) Criteria of adverse effect. Adverse effects on National 
Register properties or properties which meet the Criteria may occur 
under conditions which include but are not limited to:
    (A) Destruction or alteration of all or part of a property;
    (B) Isolation from or alteration of the property's surrounding 
environment;
    (C) Introduction of visual, audible, or atmospheric elements that 
are out of character with the property or alter its setting;
    (D) Neglect of a property resulting in its deterioration or 
destruction;
    (iii) Special considerations. If rehabilitation is a project 
activity, such components of the project may be considered to have no 
adverse effect and need not be referred to the Council if they are 
undertaken in accordance with the Secretary of the Interior's Standards 
for Historic Preservation Projects (U.S. Department of the Interior, 
Heritage Conservation and Recreation Service, Washington, DC, 1979) and 
the State Historic Preservation Officer concurs in the proposed 
activity. Additionally, the following types of project components or 
elements will be considered to not normally adversely affect properties 
listed in the National Register or which meet the Criteria.
    (A) Insulation (except for the use of granular or liquid injected 
foam insulation in exterior walls or other vertical surfaces);
    (B) Caulking;
    (C) Weatherstripping;
    (D) Replacement of Heating, Ventilating and Air Conditioning (HVAC) 
equipment, provided that such equipment is not historic and that 
replacement equipment is screened from public view and that the State 
Historic Preservation Officer and the applicant agree the equipment will 
not affect those qualities of the property which qualify it to meet the 
36 CFR 60.6 Criteria;
    (E) In-kind refenestration (for example, replacement of deteriorated 
windows of a similar configuration, color and material);
    (F) Lowering of ceilings, provided the ceilings will not be visible 
from outside of the building or from an interior public space and that 
the State Historic Preservation Officer and the applicant agree it will 
not affect a quality which qualified the building to meet the 36 CFR 
60.6 Criteria;
    (G) Replacement in-kind of substantially deteriorated material, 
provided that the State Historic Preservation Officer and the applicant 
agree;
    (H) Installation of machinery, equipment, furnishings, fixtures, 
etc., in the interior of existing buildings, provided that the State 
Historic Preservation Officer and the applicant agree such installations 
will not affect a quality which qualified the building to meet the 36 
CFR 60.6 Criteria.
    (I) Site improvements such as sidewalk paving and landscaping, 
provided that the State Historic Preservation Officer and the applicant 
agree that the site improvement will not affect those qualities of the 
property which qualify it to meet the 36 CFR 60.6 Criteria.
    (iv) Special considerations for archeological sites. Under certain 
conditions, alteration of land containing archeological resources in the 
project area may have no adverse effect on those resources. Procedures 
for determining whether such conditions exist were published by the 
Council in the Federal Register on November 26, 1980 (45 FR 78808), as 
part X of the ``Executive Director's Procedures for Review of Proposals 
for Treatment of Archeological Properties.'' Because the identification 
of archeological sites in an urban context, and consideration of 
appropriate treatment methods, present special problems, further 
guidance is provided in Appendix 2.
    (2) Determinations of Effect. Prior to submitting an application to 
HUD, the applicant shall apply the Criteria of Effect and Adverse Effect 
to all properties which are listed in the National Register or which may 
meet the Criteria in the area of the project's potential environmental 
impact. The determination of the Secretary of the Interior shall be 
final with respect to properties which are eligible for listing in the 
National Register. The Council will not comment on affected properties

[[Page 109]]

which are not either listed in or eligible for listing in the National 
Register. In order to facilitate the process, information to be 
requested from the State Historic Preservation Officer under 
Sec. 801.3(b)(2) should include advice on applying the Criteria of 
Effect and Adverse Effect provided that this period shall not be 
included in the 45 day State Historic Preservation Officer Review 
Period. Special attention should be paid to indirect effects, such as 
changes in land use, traffic patterns, street activity, population 
density and growth rate. While some aspects of a project may have little 
potential to adversely affect the significant qualities of a historic 
property, other project components may meet the Criteria of Effect and 
Adverse Effect. If any aspect of the project results in an effect 
determination, further evaluation of the effect shall be undertaken in 
accordance with these regulations. The resulting determination regarding 
the effect shall be included in the application.
    (i) No effect. If the applicant determines that the project will 
have no effect on any National Register property and/or property which 
meets the Criteria, the project requires no further review by the 
Council unless a timely objection is made by the Executive Director. An 
objection may be made by the Executive Director at any time during the 
UDAG application process prior to the expiration of the period for 
receiving objections to HUD's release of funds as specified in 24 CFR 
58.31. The manner in which the Executive Director shall make an 
objection is set forth in Sec. 801.4(a).
    (ii) Determinations of no adverse effect. If the applicant finds 
there is an effect on the property but it is not adverse, the applicant 
after receiving the comments of the State Historic Preservation Officer 
during the State Historic Preservation Officer Review Period shall 
forward adequate documentation (see Sec. 801.7(a)) of the Determination, 
including the written comments of the State Historic Preservation 
Officer, if available, to the Executive Director for review in 
accordance with Sec. 801.4.
    (iii) Adverse effect determination. If the applicant finds the 
effect to be adverse or if the Executive Director objects to an 
applicant's no adverse effect determination pursuant to Sec. 801.4(a), 
the applicant shall proceed with the consultation process in accordance 
with Sec. 801.4(b).



Sec. 801.4  Council comments.

    The following subsections specify how the Council will respond to an 
applicant's request for the Council's comments required to satisfy the 
applicant's responsibilities under section 106 of the Act and section 
110 of the HCDA of 1980. When appropriate, an applicant may waive the 
Council time periods specified in these regulations.
    (a) Executive Director's Objection to No Effect Determination. If 
the Executive Director has reason to question an applicant's 
determination of no effect, he shall notify the applicant and HUD. If 
the Executive Director does not object within 15 days of such 
notification, the project may proceed. If the Executive Director 
objects, he shall specify whether or not the project will have an 
adverse effect on National Register property and/or property which meets 
the Criteria. Normally, the Executive Director will object to a 
determination of no effect when the record does not support the 
applicant's determination (see Sec. 801.7(a)). The applicant must then 
comply with the provisions of subsection (b) if the Executive Director 
determines that the project will have no adverse effect or subsection 
(c) if the Executive Director has determined that the project will have 
an adverse effect.
    (b) Response to Determinations of No Adverse Effect. (1) Upon 
receipt of a Determination of No Adverse Effect from an applicant, the 
Executive Director will review the Determination and supporting 
documentation required by Sec. 801.7(a). Failure to provide the required 
information at the time the applicant requests Council comments will 
delay the process. The Executive Director will respond to the applicant 
within 15 days after receipt of the information required in 
Sec. 801.7(a). Unless the Executive Director objects to the 
Determination within 15 days after receipt, the applicant will be 
considered to have satisfied its responsibilities under section 106 of 
the Act and these regulations and no further Council review is required.

[[Page 110]]

    (2) If the Executive Director objects to a Determination of No 
Adverse Effect, the consultation process pursuant to Sec. 801.4(c) shall 
be initiated.
    (c) Consultation process. If any aspect of the project is found to 
have adverse effects on National Register property or property which has 
been determined by the applicant or the Secretary of the Interior to 
meet the Criteria, the applicant, the State Historic Preservation 
Officer and the Executive Director shall consult to consider feasible 
and prudent alternatives to the project that could avoid, mitigate, or 
minimize the adverse effect on the affected property.
    (1) Parties. The applicant, the State Historic Preservation Officer 
and the Executive Director shall be the consulting parties. The 
Department of HUD, other representatives of national, State, or local 
units of government, other parties in interest, and public and private 
organizations, may be invited by the consulting parties to participate 
in the consultation process.
    (2) Timing. The consulting parties shall have a total of 45 days 
from the receipt by the Executive Director of the information required 
in Sec. 801.7(a) to agree upon feasible and prudent alternatives to 
avoid, mitigate, or minimize any adverse effects of the project. Failure 
of an applicant to provide the information required in Sec. 801.7(b) 
will delay the beginning of the time period specified above.
    (3) Information requirements. The applicant shall provide copies of 
the information required in Sec. 801.7(b) to the consulting parties at 
the initiation of the consultation process and make it readily available 
for public inspection.
    (4) Public meeting. An onsite inspection and a Public Information 
Meeting may be held in accordance with the provisions of 36 CFR 
800.6(b). Public hearings or meetings conducted by the applicant in the 
preparation of the application may, as specified below, substitute for 
such Public Information Meetings. Upon request of the applicant, the 
Executive Director may find that such public meetings have been adequate 
to consider the effect of the project on National Register properties or 
properties which meet the Criteria, and no further Public Information 
Meeting is required.
    (5) Consideration of alternatives. During the consultation period, 
the consulting parties shall, in accordance with the policies set forth 
in 36 CFR 800.6(b) (4) and (5), review the proposed project to determine 
whether there are prudent and feasible alternatives to avoid or 
satisfactorily mitigate adverse effect. If they agree on such 
alternatives, they shall execute a Memorandum of Agreement in accordance 
with Sec. 801.4(c) specifying how the undertaking will proceed to avoid 
or mitigate the adverse effect.
    (6) Acceptance of adverse effect. If the consulting parties 
determine that there are no feasible and prudent alternatives that could 
avoid or satisfactorily mitigate the adverse effects and agree that it 
is in the public interest to proceed with the proposed project they 
shall execute a Memorandum of Agreement in accordance with Sec. 801.4(c) 
acknowledging this determination and specifying any recording, salvage, 
or other measures associated with acceptance of the adverse effects that 
shall be taken before the project proceeds.
    (7) Failure to agree. Upon the failure of the consulting parties to 
agree upon the terms for a Memorandum of Agreement within the specified 
time period, or upon notice of a failure to agree by any consulting 
party to the Executive Director, the Executive Director within 15 days 
shall recommend to the Chairman whether the matter should be scheduled 
for consideration at a Council meeting. If the Executive Director 
recommends that the Council not consider the matter, he shall 
simultaneously notify all Council members and provide them copies of the 
preliminary case report and the recommendation to the Chairman. The 
applicant and the State Historic Preservation Officer shall be notified 
in writing of the Executive Director's recommendation.
    (d) Memorandum of Agreement--(1) Preparation of Memorandum of 
Agreement. It shall be the responsibility of the Executive Director to 
prepare each Memorandum of Agreement required under this part. As 
appropriate, other parties may be invited by the consulting parties to 
be signatories to the

[[Page 111]]

Agreement or otherwise indicate their concurrence with the Agreement. In 
order to facilitate the process, the applicant may provide the Executive 
Director a draft for a Memorandum of Agreement. At the applicant's 
option, such draft may be prepared at the time the applicant makes its 
determinations that properties listed in the National Register or which 
may meet the Criteria for listing in the National Register may be 
adversely affected. The applicant must provide the State Historic 
Preservation Officer an opportunity to concur in or comment on its draft 
Agreement.
    (2) Review of Memorandum of Agreement. Upon receipt of an executed 
Memorandum of Agreement, the Chairman shall institute a 15 day review 
period. Unless the Chairman notifies the applicant that the matter has 
been placed on the agenda for consideration at a Council meeting, the 
Agreement shall become final when ratified by the Chairman or upon the 
expiration of the 15 day review period with no action taken. Copies will 
be provided to signatories. A copy of the Memorandum of Agreement should 
be included in any Environmental Assessment or Environmental Impact 
Statement prepared pursuant to the National Environmental Policy Act.
    (3) Effect of Memorandum of Agreement. (i) Agreements duly executed 
in accordance with these regulations shall constitute the comments of 
the Council and shall evidence satisfaction of the applicant's 
responsibilities for the proposed project under section 106 of the Act 
and these regulations.
    (ii) If the Council has commented on an application that is not 
approved by HUD and a subsequent UDAG application is made for the same 
project, the project need not be referred to the Council again unless 
there is a significant amendment to the project which would alter the 
effect of the project on previously considered properties or result in 
effects on additional National Register properties or properties which 
meet the Criteria.
    (iii) Failure to carry out the terms of a Memorandum of Agreement 
requires that the applicant again request the Council's comments in 
accordance with these regulations. In such instances, until the Council 
issues its comments under these regulations the applicant shall not take 
or sanction any action or make any irreversible or irretrievable 
commitment that could result in an adverse effect with respect to 
National Register properties or properties which are eligible for 
inclusion in the National Register covered by the Agreement or that 
would foreclose the Council's consideration of modifications or 
alternatives to the proposed project that could avoid or mitigate the 
adverse effect.
    (4) Amendment of a Memorandum of Agreement. Amendments to the 
Agreement may be made as specified in 36 CFR 800.6(c)(4).
    (5) Report on Memorandum of Agreement. Within 90 days after carrying 
out the terms of the Agreement, the applicant shall report to all 
signatories on the actions taken.
    (e) Council Meetings. Council meetings to consider a project will be 
conducted in accordance with the policies set forth in 36 CFR 800.6(d).
    (1) Response to recommendation concerning consideration at Council 
meeting. Upon receipt of a recommendation from the Executive Director 
concerning consideration of a proposed project at a Council meeting, the 
Chairman shall determine whether or not the project will be considered. 
The Chairman shall make a decision within 15 days of receipt of the 
recommendation of the Executive Director. In reaching a decision the 
Chairman shall consider any comments from Council members. If three 
members of the Council object within the 15 day period to the Executive 
Director's recommendation, the project shall be scheduled for 
consideration at a Council or panel meeting. Unless the matter is 
scheduled for consideration by the Council the Chairman shall notify the 
applicant, the Department of HUD, the State Historic Preservation 
Officer and other parties known to be interested of the decision not to 
consider the matter. Such notice shall be evidence of satisfaction of 
the applicant's responsibilities for the proposed project under section 
106 of the Act and these regulations.

[[Page 112]]

    (2) Decision to consider the project. When the Council will consider 
a proposed project at a meeting, the Chairman shall either designate 
five members as a panel to hear the matter on behalf of the full Council 
or schedule the matter for consideration by the full Council. In either 
case, the meeting shall take place within 30 days of the Chairman's 
decision to consider the project, unless the applicant agrees to a 
longer time.
    (i) A panel shall consist of three non-Federal members, one as 
Chairman, and two Federal members. The Department of HUD may not be a 
member of such panel.
    (ii) Prior to any panel or full Council consideration of a matter, 
the Chairman will notify the applicant and the State Historic 
Preservation Officer and other interested parties of the date on which 
the project will be considered. The Executive Director, the applicant, 
the Department of HUD, and the State Historic Preservation Officer shall 
prepare reports in accordance with Sec. 801.7(b). Reports from the 
applicant and the State Historic Preservation Officer must be received 
by the Executive Director at least 7 days before any meeting.
    (3) Notice of Council meetings. At least 7 days notice of all 
meetings held pursuant to this section shall be given by publication in 
the Federal Register. The Council shall provide a copy of the notice by 
mail to the applicant, the State Historic Preservation Officer, and the 
Department of Housing and Urban Development. The Council will inform the 
public of the meeting through appropriate local media.
    (4) Statements to the Council. An agenda shall provide for oral 
statements from the Executive Director; the applicant; the Department of 
HUD; parties in interest; the Secretary of the Interior; the State 
Historic Preservation Officer; representatives of national, State, or 
local units of government; and interested public and private 
organizations and individuals. Parties wishing to make oral remarks 
should notify the Executive Director at least two days in advance of the 
meeting. Parties wishing to have their written statements distributed to 
Council members prior to the meeting should send copies of the 
statements to the Executive Director at least 5 days in advance.
    (5) Comments of the Council. The written comments of the Council 
will be issued within 7 days after a meeting. Comments by a panel shall 
be considered the comments of the full Council. Comments shall be made 
to the applicant requesting comment and to the Department of HUD. 
Immediately after the comments are made to the applicant and the 
Department of HUD, the comments of the Council will be forwarded to the 
President and the Congress as a special report under authority of 
section 202(b) of the Act and a notice of availability will be published 
in the Federal Register. The comments of the Council shall be made 
available to the State Historic Preservation Officer, other parties in 
interest, and the public upon receipt of the comments by the applicant. 
The applicant should include the comments of the Council in any final 
Environmental Impact Statement prepared pursuant to the National 
Environmental Policy Act.
    (6) Action in response to Council comments. The comments of the 
Council shall be taken into account in reaching a final decision on the 
proposed project. When a final decision regarding the proposed project 
is reached by the applicant and the Department of HUD, they shall submit 
written reports to the Council describing the actions taken by them and 
other parties in response to the Council's comments and the impact that 
such actions will have on the affected National Register properties or 
properties eligible for inclusion in the National Register. Receipt of 
this report by the Chairman shall be evidence that the applicant has 
satisfied its responsibilities for the proposed project under section 
106 of the Act and these regulations. The Council may issue a final 
report to the President and the Congress under authority of section 
202(b) of the Act describing the actions taken in response to the 
Council's comments including recommendations for changes in Federal 
policy and programs, as appropriate.
    (f) Suspense of Action. Until the Council issues its comments under 
these

[[Page 113]]

regulations and during the State Historic Preservation Officer Review 
Period and the determination period of the Secretary of the Interior, 
good faith consultation shall preclude the applicant from taking or 
sanctioning any action or making any irreversible or irretrievable 
commitment that could result in an adverse effect on a National Register 
property or property which may meet the Criteria or that would foreclose 
the consideration of modifications or alternatives to the proposed 
project that could avoid, mitigate, or minimize such adverse effects. In 
no case shall UDAG funds be used for physical activities on the project 
site until the Council comments have been completed. Normal planning and 
processing of applications short of actual commitment of funds to the 
project may proceed.
    (g) Lead Agency. If the project proposed by the applicant involves 
one or more Federal agencies, they may agree on a single lead agency to 
meet the requirements of section 106 of the National Historic 
Preservation Act and section 110 of the Housing and Community 
Development Act of 1980 and notify the Executive Director. If the 
applicant is the designated lead agency, these regulations shall be 
followed. If a Federal agency is designated lead agency, the process in 
36 CFR part 800 shall be used.
    (h) Compliance by a Federal Agency. An applicant may make a finding 
that it proposes to accept a Federal agency's compliance with section 
106 of the Act and 36 CFR 800 where its review of the Federal agency's 
findings indicate that:
    (1) The project is identical with an undertaking reviewed by the 
Council under 36 CFR part 800; and
    (2) The project and its impacts are included within the area of 
potential environmental impact described by the Federal agency;

The applicant shall notify the State Historic Preservation Officer and 
the Executive Director of its finding of compliance with section 106 of 
the Act and 36 CFR part 800 and provide a copy of the Federal agency's 
document where the finding occurs. Unless the Executive Director objects 
within 10 days of receipt of such notice the Council need not be 
afforded further opportunity for comment. If the Executive Director 
objects to the finding of the applicant, the applicant shall comply with 
Sec. 801.4.



Sec. 801.5  State Historic Preservation Officer responsibilities.

    (a) The State Historic Preservation Officer shall have standing to 
participate in the review process established by section 110(c) of the 
HCDA of 1980 whenever it concerns a project located within the State 
Historic Preservation Officer's jurisdiction by the following means: 
providing, within 30 days, information requested by an applicant under 
Sec. 801.3(b); responding, within 45 days, to submittal of a 
determination by the applicant under section 110 of the HCDA of 1980 
that National Register property or property which meets the Criteria may 
be affected by the proposed project; participating in a Memorandum of 
Agreement that the applicant or the Executive Director may prepare under 
this part; and participating in a panel or full Council meeting that may 
be held pursuant to these regulations. Pursuant to section 110(c) of the 
HCDA of 1980, the State Historic Preservation Officer has a maximum 
period of 45 days in which to formally comment on an applicant's 
determination that the project may affect a property that is listed in 
the National Register or which may meet the Criteria for listing in the 
National Register. This period does not include the time during which 
the applicant seeks information from the State Historic Preservation 
Officer for determining whether a property meets the Criteria for 
listing in the National Register and whether such property is affected 
by the project.
    (b) The failure of a State Historic Preservation Officer to 
participate in any required steps of the process set forth in this part 
shall not prohibit the Executive Director and the applicant from 
concluding the section 106 process, including the execution of a 
Memorandum of Agreement.

[[Page 114]]



Sec. 801.6  Coordination with requirements under the National Environmental Policy Act (42 U.S.C. 4321 et seq.).

    The National Historic Preservation Act and the National 
Environmental Policy Act create separate and distinct responsibilities. 
The National Historic Preservation Act applies to those aspects of a 
project which may affect National Register properties and those which 
are eligible for listing in the National Register. The requirements for 
the National Environmental Policy Act apply to the effect that the 
project will have on the human environment. To the extent that the 
applicant finds it practicable to do so, the requirements of these two 
statutes should be integrated. Some projects, for reasons other than the 
effects on historic properties, may require an Environmental Impact 
Statement (EIS) subject to the time requirements for a draft and final 
EIS, in which case the applicant may choose to separately relate to the 
State Historic Preservation Officer, the Department of the Interior, and 
the Council for purposes of section 110(c) of the HCDA of 1980. In that 
event, information in the draft EIS should indicate that compliance with 
section 106 and these regulations is underway and the final EIS should 
reflect the results of this process. Applicants are directed to 36 CFR 
800.9, which describes in detail the manner in which the requirements of 
these two acts should be integrated and applies to all UDAG applicants 
under these regulations.

In those instances in which an Environmental Impact Statement will be 
prepared for the project, the applicant should consider phasing 
compliance with these procedures and the preparation of the Statement.



Sec. 801.7  Information requirements.

    (a) Information To Be Retained by Applicants Determining No Effect. 
(1) Recommended Documentation for a Determination of No Effect. Adequate 
documentation of a Determination of No Effect pursuant to 
Sec. 801.3(c)(2)(i) should include the following:
    (i) A general discussion and chronology of the proposed project;
    (ii) A description of the proposed project including, as 
appropriate, photographs, maps, drawings, and specifications;
    (iii) A statement that no National Register property or property 
which meets the Criteria exist in the project area, or a brief statement 
explaining why the Criteria of Effect (See Sec. 801.3(c)) was found 
inapplicable;
    (iv) Evidence of consultation with the State Historic Preservation 
Officer concerning the Determination of No Effect; and
    (v) Evidence of efforts to inform the public concerning the 
Determination of No Effect.
    (2) The information requirements set forth in this section are meant 
to serve as guidance for applicants in preparing No Effect 
Determinations. The information should be retained by the applicant, 
incorporated into any environmental reports or documents prepared 
concerning the project, and provided to the Executive Director only in 
the event of an objection to the applicant's determination.
    (b) Reports to the Council. In order to adequately assess the impact 
of a proposed project on National Register and eligible properties, it 
is necessary for the Council to be provided certain information. For the 
purposes of developing Council comments on UDAG projects the following 
information is required. Generally, to the extent that relevant portions 
of a UDAG application meet the requirements set forth below it will be 
sufficient for the purposes of Council review and comment.
    (1) Documentation for Determination of No Adverse Effect. Adequate 
documentation of a Determination of No Adverse Effect pursuant to 
Sec. 801.3(c)(1) should include the following:
    (i) A general discussion and chronology of the proposed project;
    (ii) A description of the proposed project including, as 
appropriate, photographs, maps, drawings and specifications;
    (iii) A copy of the National Register form or a copy of the 
Determination of Eligibility documentation for each property that will 
be affected by the project including a description of each property's 
physical appearance and significance;
    (iv) A brief statement explaining why each of the Criteria of 
Adverse Effect

[[Page 115]]

(See Sec. 801.3(c)(1)) was found inapplicable;
    (v) Written views of the State Historic Preservation Officer 
concerning the Determination of No Adverse Effect, if available; and,
    (vi) An estimate of the cost of the project including the amount of 
the UDAG grant and a description of any other Federal involvement.
    (2) Preliminary Case Reports. Preliminary Case Reports should be 
submitted with a request for comments pursuant to Sec. 801.4(b) and 
should include the following information:
    (i) A general discussion and chronology of the proposed project;
    (ii) The status of the project in the HUD approval process:
    (iii) The status of the project in the National Environmental Policy 
Act compliance process and the target date for completion of all the 
applicant's environmental responsibilities;
    (iv) A description of the proposed project including as appropriate, 
photographs, maps, drawings and specifications;
    (v) A copy of the National Register form or a copy of the 
Determination of Eligibility documentation for each property that will 
be affected by the project including a description of each property's 
physical appearance and significance;
    (vi) A brief statement explaining why any of the Criteria of Adverse 
Effect (See Sec. 801.3(c)(1)(b)) apply;
    (vii) Written views of the State Historic Preservation Officer 
concerning the effect on the property, if available;
    (viii) The views of Federal agencies, State and local governments, 
and other groups or individuals when known as obtained through the OMB 
Circular A-95 process or the environmental review process, public 
hearings or other applicant processes;
    (ix) A description and analysis of alternatives that would avoid the 
adverse effects;
    (x) A description and analysis of alternatives that would mitigate 
the adverse effects; and,
    (xi) An estimate of the cost of the project including the amount of 
the UDAG grant and a description of any other Federal involvement.
    (c) Reports for Council Meetings. Consideration of a proposed 
project by the full Council or a panel pursuant to Sec. 801.4(b) is 
based upon reports from the Executive Director, the State Historic 
Preservation Officer and Secretary of the Interior. Requirements for 
these reports are specified in 36 CFR 800.13(c). Additionally, reports 
from the applicant and the Department of HUD are required by these 
regulations. The requirements for these reports consist of the 
following:
    (1) Report of the Applicant. The report from the applicant 
requesting comments shall include a copy of the relevant portions of the 
UDAG application; a general discussion and chronology of the proposed 
project; an account of the steps taken to comply with the National 
Environmental Policy Act (NEPA); any relevant supporting documentation 
in studies that the applicant has completed; an evaluation of the effect 
of the project upon the property or properties, with particular 
reference to the impact on the historical, architectural, archeological, 
and cultural values; steps taken or proposed by the applicant to avoid 
or mitigate adverse effects of the project; a thorough discussion of 
alternate courses of action; and an analysis comparing the advantages 
resulting from the project with the disadvantages resulting from the 
adverse effects on National Register or eligible properties.
    (2) Report of the Secretary of Housing and Urban Development. The 
report from the Secretary shall include the status of the application in 
the UDAG approval process, past involvement of the Department with the 
applicant and the proposed project or land area for the proposed 
project, and information on how the applicant has met other requirements 
of the Department for the proposed project.



Sec. 801.8  Public participation.

    (a) The Council encourages maximum public participation in the 
process established by these regulations. Particularly important, with 
respect to the UDAG program, is participation by the citizens of 
neighborhoods directly or indirectly affected by projects, and by groups 
concerned with historic and cultural preservation.

[[Page 116]]

    (b) The applicant, in preparing and following its citizen 
participation plan called for by 24 CFR 570.456(c)(11)(i)(A), should 
ensure that adequate provision is made for participation by citizens and 
organizations having interests in historic preservation and in the 
historic and cultural values represented in affected neighborhoods. 24 
CFR 570.431(c) sets forth criteria for citizen participation plans. 
These should be carefully considered with specific reference to ensuring 
that local concerns relevant to historic preservation are fully 
identified, and that citizens are provided with full and accurate 
information about each project and its effects on historic properties. 
The applicant should ensure that potentially concerned citizens and 
organizations are fully involved in the identification of properties 
which may meet the National Register Criteria, and that they are fully 
informed, in a timely manner, of determinations of No Effect, No Adverse 
Effect, and Adverse Effect, and of the progress of the consultation 
process. Applicants are referred to 36 CFR 800.15 for Council guidelines 
for public participation.
    (c) The Council welcomes the views of the public, especially those 
groups which may be affected by the proposed project, during its 
evaluation of the applicant's determination of effect, and will solicit 
the participation of the public in Council and panel meetings held to 
consider projects.

     Appendix 1 to Part 801-- Identification of Properties: General

                             A. Introduction

    Because of the high probability of locating properties which are 
listed in the National Register or which meet the Criteria for listing 
in many older city downtowns, this appendix is designed to serve as 
guidance for UDAG applicants in identifying such properties. This 
appendix sets forth guidance for applicants and does not set a fixed or 
inflexible standard for identification efforts.

           B. Role of the State Historic Preservation Officer

    In any effort to locate National Register properties or properties 
which meet the Criteria, the State Historic Preservation Officer is a 
key source of information and advice. The State Historic Preservation 
Officer will be of vital assistance to the applicant. The State Historic 
Preservation Officer can provide information on known properties and on 
studies which have taken place in and around the project area. Early 
contact should be made with the State Historic Preservation Officer for 
recommendations about how to identify historic properties. For UDAG 
projects, identification of National Register properties and properties 
which meet the Criteria is the responsibility of the applicant. The 
extent of the identification effort should be made with the advice of 
the State Historic Preservation Officer. The State Historic Preservation 
Officer can be a knowledgeable source of information regarding cases 
wherein the need for a survey of historic properties is appropriate, 
recommended type and method of a survey and the boundaries of any such 
survey. Due consideration should be given to the nature of the project 
and its impacts, the likelihood of historic properties being affected 
and the state of existing knowledge regarding historic properties in the 
area of the project's potential environmental impact.

                       C. Levels of Identification

    1. The area of the project's potential environmental impact consists 
of two distinct subareas: that which will be disturbed directly 
(generally the construction site and its immediate environs) and that 
which will experience indirect effects. Within the area of indirect 
impact, impacts will be induced as a result of carrying the project out. 
Historic and cultural properties subject to effect must be identified in 
both subareas, and the level of effort necessary in each may vary. The 
level of effort needed is also affected by the stage of planning and the 
quality of pre-existing information. Obviously, if the area of potential 
environmental impact has already been fully and intensively studied 
before project planning begins, there is no need to duplicate this 
effort. The State Historic Preservation Officer should be contacted for 
information on previous studies. If the area has not been previously 
intensively studied, identification efforts generally fall into three 
levels:
    a. Overview Study: This level of study is normally conducted as a 
part of general planning and is useful at an early stage in project 
formulation. It is designed to obtain a general understanding of an 
area's historic and cultural properties in consultation with the State 
Historic Preservation Officer, by:
    (1) Assessing the extent to which the area has been previously 
subjected to study;
    (2) Locating properties previously recorded;
    (3) Assessing the probability that properties eligible for the 
National Register will be found if the area is closely inspected, and
    (4) Determining the need, if any, for further investigation.


[[Page 117]]


An overview study includes study of pertinent records (local histories, 
building inventories, architectural reports, archeological survey 
reports, etc.), and usually some minor on-the-ground inspection.
    b. Identification Study: An identification study attempts to 
specifically identify and record all properties in an area that may meet 
the criteria for listing in the National Register. In conducting the 
study, the applicant should seek the advice of the State Historic 
Preservation Officer regarding pertinent background data. A thorough on-
the-ground inspection of the subject area by qualified personnel should 
be undertaken. For very large areas, or areas with uncertain boundaries, 
such a study may focus on representative sample areas, from which 
generalizations may be made about the whole.
    c. Definition and Evaluation Study: If an overview and/or an 
identification study have indicated the presence or probable presence of 
properties that may meet the National Register Criteria but has not 
documented them sufficiently to allow a determination to be made about 
their eligibility, a definition and evaluation study is necessary. Such 
a study is directed at specific potentially eligible properties or at 
areas known or suspected to contain such properties. It includes an 
intensive on-the-ground inspection and related studies as necessary, 
conducted by qualified personnel, and provides sufficient information to 
apply the National Register's ``Criteria for Evaluation'' (36 CFR 60.6).
    2. An overview study will normally be needed to provide basic 
information for planning in the area of potential environmental impact. 
Unless this study indicates clearly that no further identification 
efforts are needed (e.g., by demonstrating that the entire area has 
already been intensively inspected with negative results, or by 
demonstrating that no potentially significant buildings have ever been 
built there and there is virtually no potential for archeological 
resources), and identification study will probably be needed within the 
area of potential environmental impact. This study may show that there 
are no potentially eligible properties within the area, or may show that 
only a few such properties exist and document them sufficiently to 
permit a determination of eligibility to be made in accordance with 36 
CFR part 60. Alternatively, the study may indicate that potentially 
eligible properties exist in the area, but may not document them to the 
standards of 36 CFR part 60. Should this occur, a definition and 
evaluation study is necessary for those properties falling within the 
project's area of direct effect and for those properties subject to 
indirect effects. If a property falls within the general area of 
indirect effect, but no indirect effects are actually anticipated on the 
property in question, a definition and evaluation study will normally be 
superfluous.

   Appendix 2 to Part 801-- Special Procedures for Identification and 
      Consideration of Archeological Properties in an Urban Context

    A. Archeological sites in urban contexts are often difficult to 
identify and evaluate in advance of construction because they are sealed 
beneath modern buildings and structures. Prehistoric and historic sites 
within cities may be important both to science and to an understanding 
of each city's history, however, and should be considered in project 
planning. Special methods can be used to ensure effective and efficient 
consideration and treatment of archeological sites in UDAG projects.
    1. If it is not practical to physically determine the existence or 
nonexistence of archeological sites in the project area, the probability 
or improbability of their existence can be determined, in most cases, 
through study of:
    a. Information on the pre-urban natural environment, which would 
have had an effect on the location of prehistoric sites;
    b. Information from surrounding areas and general literature 
concerning the location of prehistoric sites;
    c. State and local historic property registers or inventories;
    d. Archeological survey reports;
    e. Historic maps, atlases, tax records, photographs, and other 
sources of information on the locations of earlier structures;
    f. Information on discoveries of prehistoric or historic material 
during previous construction, land levelling, or excavation, and
    g. Some minor on-the-ground inspection.
    2. Should the study of sources such as those listed in section 
(1)(a) above reveal that the following conditions exist, it should be 
concluded that a significant likelihood exists that archeological sites 
which meet the National Register Criteria exist on the project site:
    a. Discoveries of prehistoric or historic material remains have been 
reliably reported on or immediately adjacent to the project site, and 
these are determined by the State Historic Preservation Officer or other 
archeological authority to meet the Criteria for the National Register 
because of their potential value for public interpretation or the study 
of significant scientific or historical research problems; or
    b. Historical or ethnographic data, or discoveries of material, 
indicate that a property of potential cultural value to the community or 
some segment of the community (e.g., a cemetery) lies or lay within the 
project site; or
    c. The pre-urbanization environment of the project site would have 
been conducive to prehistoric occupation, or historic buildings or 
occupation sites are documented to have existed within the project site 
in earlier

[[Page 118]]

times, and such sites or buildings are determined by the State Historic 
Preservation Officer or other archeological authority to meet the 
Criteria of the National Register because of their potential value for 
public interpretation or the study of significant scientific or 
historical research questions, and
    d. The recent history of the project site has not included extensive 
and intensive ground disturbance (grading, blasting, cellar digging, 
etc.) in the location, or extending to the depth at which the remains of 
significant sites, buildings, or other features would be expected.
    B. Where review of sources of information such as those listed in 
section (1)(a) above reveals no significant likelihood that 
archeological resources which meet the National Register Criteria exist 
on the project site, no further review is required with respect to 
archeology provided the State Historic Preservation Officer concurs.
    C. Where review of sources of information such as those listed in 
section (1)(a) above, reveals that archeological resources which meet 
the National Register Criteria are likely to exist on the project site, 
but these resources are so deeply buried that the project will not 
intrude upon them, or they are in a portion of the project site that 
will not be disturbed, a determination of ``No Effect'' is appropriate 
in accordance with Sec. 801.3(c)(2)(i).
    D. Where review of sources of information such as those listed in 
section (1)(a) above, reveals that archeological resources which meet 
the Criteria exist or are likely to exist on the project site, and that 
the project is likely to disturb them, a determination of ``No Adverse 
Effect'' may be made in accordance with Sec. 801.3(c)(2)(ii) if:
    1. The applicant and/or developer is committed to fund a 
professionally supervised and planned pre-construction testing program, 
and to modification of the project in consultation with the State 
Historic Preservation Officer to protect or incorporate within the 
project the archeological resources discovered with a minimum of damage 
to them, or if:
    2. The applicant and/or developer is committed to fund a 
professionally supervised and planned archeological salvage program, 
coordinated with site clearing and construction, following the standards 
of the Secretary of the Interior issued pursuant to the Archeological 
and Historic Preservation Act (16 U.S.C. 469) and the applicant finds 
that this program negates the adverse effect, in accordance with the 
standards set forth in section X of the Council's ``Supplementary 
Guidance for Review of Proposals for Treatment of Archeological 
Properties'' (45 FR 78808).
    E. When archeological sites included in the National Register or 
which meet the Criteria are found to exist on the project site or in the 
area of the project's environmental impact, and where the project is 
likely to disturb such resources, and where the adverse effect of such 
disturbance cannot be negated by archeological salvage, a determination 
of ``Adverse Effect'' is appropriate in accordance with 
Sec. 801.3(a)(2)(iii).



PART 805--PROCEDURES FOR IMPLEMENTATION OF NATIONAL ENVIRONMENTAL POLICY ACT--Table of Contents




Sec.
805.1  Background.
805.2  Purpose.
805.3  Applicability.
805.4  Ensuring environmental documents are actually considered in 
          Council decisionmaking.
805.5  Typical classes of action.
805.6  Interagency cooperation.
805.7  Environmental information.

    Authority: Pub. L. 89-665, 80 Stat. 915 (16 U.S.C. 470), as amended, 
84 Stat. 204 (1970), 87 Stat. 139 (1973), 90 Stat. 1320 (1976), 92 Stat. 
3467 (1978); E.O. 11593, 3 CFR 1971 Comp., p. 154; President's 
Memorandum on Environmental Quality and Water Resources Management, July 
12, 1978.

    Source: 45 FR 4353, Jan. 22, 1980, unless otherwise noted.



Sec. 805.1  Background.

    (a) The National Environmental Policy Act (NEPA) of 1969 (42 U.S.C. 
4321 et seq.) establishes national policies and goals for the protection 
of the environment. Section 102(2) of NEPA contains certain procedural 
requirements directed toward the attainment of such goals. In 
particular, all Federal agencies are required to give appropriate 
consideration to the environmental effects of their proposed actions in 
their decisionmaking and to prepare detailed environmental statements on 
recommendations or reports on proposals for legislation and other major 
Federal actions significantly affecting the quality of the human 
environment.
    (b) Executive Order 11991 of May 24, 1977, directed the Council on 
Environmental Quality (CEQ) to issue regulations to implement the 
procedural provisions of NEPA. Accordingly, CEQ issued final NEPA 
regulations (40 CFR parts 1500-1508) on November 29, 1978, which are 
binding on all Federal agencies as of July 30, 1979. These regulations 
provide that each Federal agency shall as necessary adopt implementing

[[Page 119]]

procedures to supplement the regulations. Section 1507.3(b) of the NEPA 
regulations identifies those sections of the regulations which must be 
addressed in agency procedures.



Sec. 805.2  Purpose.

    The purpose of this part is to establish Council procedures that 
supplement the NEPA regulations and provide for the implementation of 
those provisions identified in Sec. 1507.3(b) of the regulations (40 CFR 
1507.3(b)).



Sec. 805.3  Applicability.

    (a) These procedures apply to actions of the full Council and the 
Council staff acting on behalf of the full Council.
    (b) The following actions are covered by these procedures:
    (1) Recommendations for legislation.
    (2) Regulations implementing section 106 of the National Historic 
Preservation Act (NHPA).
    (3) Procedures implementing other authorities.
    (4) Policy recommendations that do not require implementation by 
another Federal agency.
    (c) In accordance with Sec. 1508.4 of the NEPA regulations (40 CFR 
1508.4), Council comments on Federal, federally assisted and federally 
licensed undertakings provided pursuant to section 106 of the NHPA and 
36 CFR part 800 are categorically excluded from these procedures. This 
exclusion is justified because Federal agencies seeking the Council's 
comments under section 106 have the responsibility for complying with 
NEPA on the action they propose. The Council's role is advisory and its 
comments are to be considered in the agency decisionmaking process. 
Coordination between the section 106 and the NEPA processes is set forth 
in 36 CFR 800.9.



Sec. 805.4  Ensuring environmental documents are actually considered in Council decisionmaking.

    (a) Section 1505.1 of the NEPA regulations (40 CFR 1505.1) contains 
requirements to ensure adequate consideration of environmental documents 
in agency decisionmaking. To implement these requirements the Council 
shall:
    (1) Consider all relevant environmental documents in evaluating 
proposals for action;
    (2) Ensure that all relevant environmental documents, comments, and 
responses accompany the proposal through internal Council review 
processes;
    (3) Consider only those alternatives encompassed by the range of 
alternatives discussed in the relevant environmental documents when 
evaluating proposals for the Council action; and,
    (4) Where an environmental impact statement (EIS) has been prepared 
consider the specific alternative analyzed in the EIS when evaluating 
the proposal which is the subject of the EIS.
    (b) For each of the Council's principal activities covered by NEPA, 
the following chart identifies the point at which the NEPA process 
begins, the point at which it ends, and the key officials required to 
consider environmental documents in their decisionmaking.

----------------------------------------------------------------------------------------------------------------
                                                                                          Key officials required
               Activity                 Start of NEPA process      Completion of NEPA          to consider
                                                                        process          environmental documents
----------------------------------------------------------------------------------------------------------------
Recommendations for legislation......  During staff             Prior to submission to   Executive Director and
                                        formulation of           Congress or OMB.         full Council, as
                                        proposal.                                         appropriate.
Regulations and procedures...........  Prior to publication of  Prior to publication of  Executive Director and
                                        draft regulations in     final regulations in     full Council as
                                        Federal Register.        Federal Register.        appropriate.
Policy recommendations...............  During staff             Prior to adoption by     Executive Director and
                                        formulation of           full Council or          full Council, as
                                        proposal.                Executive Director.      appropriate.
----------------------------------------------------------------------------------------------------------------



Sec. 805.5  Typical classes of action.

    (a) Section 1507.3(c)(2) (40 CFR 1507.3(c)(2)) in conjunction with 
Sec. 1508.4 requires agencies to establish three typical classes of 
action for similar treatment under NEPA: actions normally requiring EIS; 
actions normally requiring assessments but not necessarily EISs; and 
actions normally not requiring assessments or EISs. Each of

[[Page 120]]

the covered categories of Council actions generally falls within the 
second category, normally requiring an assessment but not necessarily an 
EIS.
    (b) The Council shall independently determine whether an EIS or an 
environmental assessment is required where:
    (1) A proposal for Council action is not covered by one of the 
typical classes of action above; or
    (2) For actions which are covered, the presence of extraordinary 
circumstances indicates that some other level of environmental review 
may be appropriate.



Sec. 805.6  Interagency cooperation.

    The Council shall consult with appropriate Federal and non-Federal 
agencies and with interested private persons and organizations when it 
is considering actions involving such parties and requiring 
environmental assessments. Where other Federal agencies are involved in 
the proposed action, the Council shall cooperate in the required 
environmental assessment and the preparation of necessary environmental 
documents. Where appropriate as determined by the nature and extent of 
Council involvement in the proposed action, the Council shall assume the 
status of lead agency.



Sec. 805.7  Environmental information.

    Interested persons may contact the Executive Director for 
information regarding the Council's compliance with NEPA.



PART 810--FREEDOM OF INFORMATION ACT REGULATIONS--Table of Contents




Sec.
810.1  Purpose and scope.
810.2  Procedure for requesting information.
810.3  Action on requests.
810.4  Appeals.
810.5  Fees.
810.6  Exemptions.

    Authority: Pub. L. 89-665, 80 Stat. 915 (16 U.S.C. 470) as amended 
by Pub. L. 91-243, Pub. L. 93-54, Pub. L. 94-422, Pub. L. 94-458, Pub. 
L. 96-199, Pub. L. 96-244, Pub. L. 96-515.

    Source: 46 FR 45334, Sept. 11, 1981, unless otherwise noted.



Sec. 810.1  Purpose and scope.

    This subpart contains the regulations of the Advisory Council on 
Historic Preservation implementing the Freedom of Information Act (5 
U.S.C. 552). Procedures for obtaining the records covered by the Act are 
established in these regulations. Persons seeking information or records 
of the Council are encouraged to consult first with the staff of the 
Council before filing a formal request under the Act pursuant to these 
regulations. The informal exchange of information is encouraged wherever 
possible.



Sec. 810.2  Procedure for requesting information.

    (a) Requests for information or records not available through 
informal channels shall be directed to the Administrative Officer, 
Advisory Council on Historic Preservation, 1522 K Street NW., 
Washington, DC 20005. All such requests should be clearly marked 
``FREEDOM OF INFORMATION REQUEST'' in order to ensure timely processing. 
Requests that are not so marked will be honored, but will be deemed not 
to have been received by the Council, for purposes of computing the 
response time, until the date on which they are identified by a member 
of the Council staff as being a request pursuant to the Freedom of 
Information Act.
    (b) Requests should describe the records sought in sufficient detail 
to allow Council staff to locate them with a reasonable amount of 
effort. Thus, where possible, specific information, including dates, 
geographic location of cases, and parties involved, should be supplied.
    (c) A request for all records falling within a reasonably specific 
category shall be regarded as conforming to the statutory requirement 
that records be reasonably described if the records can be identified by 
any process that is not unreasonably burdensome or disruptive of Council 
operations.
    (d) If a request is denied on the ground that it does not reasonably 
describe the records sought, the denial shall specify the reasons why 
the request was denied and shall extend to the requester an opportunity 
to confer

[[Page 121]]

with Council staff in order to reformulate the request in sufficient 
detail to allow the records to be produced.



Sec. 810.3  Action on requests.

    (a) Once a requested record has been identified, the Administrative 
Officer shall notify the requester of a date and location where the 
records may be examined or of the fact that copies are available. The 
notification shall also advise the requester of any applicable fees 
under Sec. 810.5.
    (b) A reply denying a request shall be in writing, signed by the 
Administrative Officer and shall include:
    (1) Reference to the specific exemption under the Act which 
authorizes the denial of the record, a brief explanation of how the 
exemption applies to the record requested, and a brief statement of why 
a discretionary release is not appropriate; and,
    (2) A statement that the denial may be appealed under Sec. 810.4 
within 30 days by writing to the Executive Director, Advisory Council on 
Historic Preservation, 1522 K Street NW., Washington, DC 20005.
    (c) The requirements of Sec. 810.3 (b)(1) and (2) do not apply to 
requests denied on the ground that they are not described with 
reasonable specificity and consequently cannot be identified.
    (d) Within 10 working days from receipt of a request, the 
Administrative Officer shall determine whether to grant or deny the 
request and shall promptly notify the requester of the decision. In 
certain unusual circumstances specified below, the time for 
determinations on requests may be extended up to a total of 10 
additional working days. The requester shall be notified in writing of 
any extension and of the reason for it, as well as of the data on which 
a determination will be made. Unusual circumstances include:
    (1) The need to search for and collect records from field offices or 
other establishments that are separate from the Washington office of the 
Council;
    (2) The need to search for, collect, and examine a voluminous amount 
of material which is sought in a request; or,
    (3) The need for consultation with another agency having substantial 
interest in the subject matter of the request.

If no determination has been made by the end of the 10-day period or the 
end of the last extension, the requester may deem his request denied and 
may exercise a right of appeal in accordance with Sec. 810.4.



Sec. 810.4  Appeals.

    (a) When a request has been denied, the requester may, within 30 
days of receipt of the denial, appeal the denial to the Executive 
Director of the Council. Appeals to the Executive Director shall be in 
writing, shall be addressed to the Executive Director, Advisory Council 
on Historic Preservation, 1522 K Street NW., Washington, DC 20005, and 
shall be clearly marked ``FREEDOM OF INFORMATION APPEAL.'' Requests that 
are not so marked will be honored, but will be deemed not to have been 
received by the Council, for purposes of computing the response time, 
until the date on which they are identified by a member of the Council 
staff as being an appeal pursuant to the Freedom of Information Act.
    (b) The appeal will be acted on within 20 working days of receipt. A 
written decision shall be issued. Where the decision upholds an initial 
denial of information, the decision shall include a reference to the 
specific exemption in the Freedom of Information Act which authorizes 
withholding the information, a brief explanation of how the exemption 
applies to the record withheld, and a brief statement of why a 
discretionary release is not appropriate. The decision shall also inform 
the requester of the right to seek judicial review in the U.S. District 
Court where the requester resides or has his principal place of 
business, or in which the agency records are situated, or in the 
District of Columbia.
    (c) If no decision has been issued within 20 working days, the 
requester is deemed to have exhausted his administrative remedies.



Sec. 810.5  Fees.

    (a) Fees shall be charged according to the schedules contained in 
paragraph (b) of this section unless it is determined that the requested 
information

[[Page 122]]

will be of primary benefit to the general public rather than to the 
requester. In that case, fees may be waived. Fees shall not be charged 
where they would amount to less than $3.00.
    (b) The following charges shall be assessed:
    (1) Copies of documents--$0.10 per page.
    (2) Clerical searches--$1.00 for each one quarter hour in excess of 
the first quarter hour spent by clerical personnel in searching for 
requested records.
    (3) Professional searches--$2.00 for each one quarter hour in excess 
of the first quarter hour spent by professional or managerial personnel 
in determining which records are covered by a request or other tasks 
that cannot be performed by clerical personnel.
    (c) Where it is anticipated that fees may amount to more than 
$25.00, the requester shall be advised of the anticipated amount of the 
fee and his consent obtained before the request is processed. The time 
limits for processing the request under Sec. 810.3 shall not begin to 
run until the requester's written agreement to pay the fees has been 
received. In the discretion of the Administrative Officer, advance 
payment of fees may be required before requested records are made 
available.
    (d) Payment should be made by check or money order payable to the 
Advisory Council on Historic Preservation.



Sec. 810.6  Exemptions.

    (a) The Freedom of Information Act exempts from disclosure nine 
categories of records which are described in 5 U.S.C. 552(b).
    (b) When a request encompasses records which would be of concern to 
or which have been created primarily by another Federal agency, the 
record will be made available by the Council only if the document was 
created primarily to meet the requirements of the Council's regulations 
implementing section 106 of the National Historic Preservation Act or 
other provisions of law administered primarily by the Council. If the 
record consists primarily of materials submitted by State or local 
governments, private individuals, organizations, or corporations, to 
another Federal agency in fulfillment of requirements for receiving 
assistance, permits, licenses, or approvals from the agency, the Council 
may refer the request to that agency. The requester shall be notified in 
writing of the referral.



PART 811--CONFLICTS OF INTEREST--Table of Contents




Sec.
811.1  General provisions.
811.2  Scope.
811.3  Financial interests.
811.4  Outside work and activities.
811.5  Gifts, entertainment and favors.
811.6  Other conflicts.
811.7  Statements of employment and financial interest.
811.8  Review and analysis of statements.
811.9  Procedures for resolving conflicts of interest--members.
811.10  Procedures for resolving conflicts of interest--employees.
811.11  Definitions.

    Authority: E.O. 11222; 5 CFR parts 734, 735, and 738; Pub. L. 95-521 
Ethics In Government Act, (5 U.S.C. 301).

    Source: 47 FR 25520, June 14, 1982, unless otherwise noted.



Sec. 811.1  General provisions.

    (a) Purpose. These regulations set forth Council policies and 
identify principle laws and regulations that relate to member and 
employee conflict of interest responsibilities. The regulations are 
applicable to all members of the Council and their designees, both ex 
officio and appointed, and to all specified employees of the Council.
    (b) General policy. Members and employees of the Council are 
expected to maintain high standards of honesty, integrity, impartiality, 
and conduct to ensure the proper performance of government business and 
the continual trust and confidence of citizens in their government. It 
is the intent of these regulations that members and employees avoid any 
action that might result in or create the appearance of (1) using public 
office for private gain; (2) giving preferential treatment to any 
organization or person; (3) impeding government efficiency or economy; 
(4) losing complete independence or impartiality of action; (5) making a 
government decision outside official channels; or (6) affecting 
adversely the confidence of

[[Page 123]]

the public in the integrity of the government.
    (c) Member and employee responsibility. It is the responsibility of 
members and employees to familiarize themselves and comply with these 
regulations.



Sec. 811.2  Scope.

    (a) Content. These regulations prescribe policies and procedures for 
the avoidance of conflicts of interests in connection with members' or 
employees' Council positions or in the discharge of their official 
Council responsibilities, and set out the requirements for reporting and 
reviewing financial interests and outside employment.
    (b) Types of requirements. Members and employees have a duty to 
avoid apparent or actual conflicts of interest pursuant to two 
authorities. First, 18 U.S.C. 203, 205, 208 and 209 impose criminal 
sanctions on officers and employees of the Federal government, including 
special government employees, who participate in certain official 
activities where they have a conflicting personal financial interest. 
Second, Executive Order 11222 prescribes standards of ethical conduct 
for government officers and employees and special government employees 
and requires officers and employees and special government employees 
occupying certain government positions to report all financial interests 
and outside employment and certain affiliations. These authorities have 
the common objective of assuring that government officers and employees 
conduct government business free from the constraints that conflicting 
interests might present.
    (c)(1)(i) Members of the Council fall into three groups: Special 
government employees, officers or employees of the Executive Branch, and 
officers and employees of the Legislative Branch.
    (ii) Special government employees, as defined by 18 U.S.C. 202, are 
those Council members who have been appointed or designated to perform 
for fewer than 130 days per year. Included in this category for purposes 
of these regulations are all private members, the mayor, the governor, 
the Chairman of the National Trust for Historic Preservation, and the 
President of the National Conference of State Historic Preservation 
Officers.
    (iii) The Secretaries of Interior and Agriculture and their 
designees and the heads of the four other agencies of the United States 
appointed by the President and their designees are officers and 
employees of the Executive Branch.
    (iv) The Architect of the Capitol is an officer or employee of the 
Legislative Branch who is appointed by the President.
    (2) For purposes of these regulations, unless otherwise specified, 
all members of the Council and their designees shall be referred to as 
members regardless of their classification under other authorities.
    (3) All Council staff members are referred to as employees.



Sec. 811.3  Financial interests.

    (a) Policy. A personal financial interest may create an actual or 
apparent conflict of interest. This section sets forth standards of 
conduct to avoid such conflicts.
    (b) Restrictions--Members and Employees. No member or employee 
shall--
    (1) Have a direct or indirect financial interest that conflicts 
substantially or appears to conflict substantially with the member's or 
employee's Council duties and responsibilities; or
    (2) Engage, directly or indirectly, in financial transactions 
resulting from, or primarily relying on, information obtained through 
the member's or employee's Council membership or employment.



Sec. 811.4  Outside work and activities.

    (a) Policy. Under certain circumstances, outside work or activities 
may create an actual or apparent conflict of interest. In general, 
outside work or activities are permitted to the extent that they do not 
prevent employees from devoting their primary interests, talents, and 
energies to the accomplishment of their work for the Council or tend to 
create a conflict or appearance of conflict between the private 
interests of members or employees and their Council responsibilities.
    (b) Restrictions--Members who are heads of Federal agencies and 
their designees and the Architect of the Capitol and his designee: (1) 
It shall not be considered to be a conflict of interest for members who 
are the heads of Federal

[[Page 124]]

agencies or their designees or for the Architect of the Capitol or his 
designee to engage in the performance of their statutory duties under 
other provisions of law. The Council may adopt procedures for dealing 
with instances where an undertaking proposed or sponsored by a member's 
agency or by the Architect of the Capitol comes before the Council.
    (2) Members who are the heads of Federal agencies and their 
designees and the Architect of the Capitol and his designee may not 
engage in outside activities not compatible with the full and proper 
discharge of the members' official duties and responsibilities as 
members of the Council.
    (3) Members who are the heads of Federal agencies and their 
designees shall abide by the conflict of interest regulations of their 
own agencies except when they are acting in their official capacities as 
Council members.
    (c) Restrictions--other Members: Members not covered by paragraph 
(b) of this section shall not:
    (1) Engage in outside activities not compatible with the full and 
proper discharge of the member's official duties and responsibilities as 
a member of the Council;
    (2) Perform outside work or engage in outside activities (i) that 
are of such a nature that they may be reasonably construed by the public 
to be the official acts of the Council, (ii) that involve the use of 
Council facilities, equipment, and supplies of any kind, or (iii) that 
involve the use for private gain of official Council information not 
available to the public;
    (3) Receive any salary or anything of monetary value from a private 
source as compensation for services to the Council (18 U.S.C. 209); or
    (4) Use the member's Council employment to coerce a person to 
provide financial benefit to the member or another person.
    (d) Restrictions-Employees: No employee shall--
    (1) Engage in outside employment or other outside activity not 
compatible with the full and proper discharge of the duties and 
responsibilities of the employee's Council employment; or
    (2) Engage in any activity prohibited by paragraphs (c) (2), (3), 
and (4) of this section.



Sec. 811.5  Gifts, entertainment and favors.

    Members or employees shall not solicit or accept, directly or 
indirectly, any gift, gratuity, favor, entertainment, loan, or any other 
thing of monetary value from a person who has, or is seeking to obtain, 
business or financial relations with the Council or has interests that 
may be substantially affected by the performance or nonperformance of 
Council duties. The Council adopts the exceptions to this prohibition 
set forth in 5 CFR 735.202 (b) (1) through (4).



Sec. 811.6  Other conflicts.

    (a) Use of Council property. No member or employee shall use or 
allow the use of Council property for other than officially approved 
activities.
    (b) Use of Council membership. No member who is a special government 
employee under Sec. 811.2(c) shall use his Council membership for a 
purpose that is, or gives the appearance of being, motivated by the 
desire for private gain for the member or another person.
    (c) Misuse of information. No member or employee shall use for 
private gain or allow the use of inside information which has not been 
made available to the public. Inside information is information obtained 
through or in connection with the member's Council membership or the 
employees' Council employment.
    (d) Indebtedness; gambling, betting and lotteries; conduct 
prejudicial to the Council; miscellaneous provisions. Members and 
employees shall be bound by the terms of 5 CFR 735.207 through 735.210.
    (e) Post-employment conflicts. Members and employees shall comply 
with the terms of 5 CFR part 737 regarding post-employment conflicts of 
interest.



Sec. 811.7  Statements of employment and financial interest.

    (a) General. All employees who are classified at GS-13 or above or 
at comparable pay levels and all members shall file a Statement of 
Employment and Financial Interest.

[[Page 125]]

    (b) When to file. Each member or employee required to file a 
Statement of Employment and Financial Interest shall file such a 
Statement with the Ethics Counselor at the time of entrance on duty as a 
new member or employee, or within thirty days after the Ethics Counselor 
notifies a member or employee of the need to file such a Statement.
    (c) Members who have filed elsewhere. A member who has filed a 
Statement of Employment and Financial Interest under 2 U.S.C. 701, et 
seq. or 5 U.S.C. App. sec. 201, et seq., may satisfy these regulations 
by submitting that Statement to the Ethics Counselor.
    (d) What to report. (1) Statements of Employment and Financial 
Interest shall be made on Department of the Interior forms DI-212 and 
DI-213, unless otherwise specified in these regulations. Employees and 
Federal members shall use form DI-212 and all private members shall use 
form DI-213. The Executive Director shall use SF 278. Federal members 
who have filed SF 278 or another equivalent form may use those forms. 
Forms DI-212, DI-213 and SF 278 are available from the Ethics Counselor.
    (2) Members and employees shall disclose all employment, outside 
activities or financial interests that relate to, or appear to relate 
to, the member's or employee's work at the Council.
    (3) Members and employees must file a supplementary Statement of 
Employment and Financial Interests if pertinent information arises or is 
discovered after any Statement is filed.
    (4) If any information required to be included on a Statement of 
Employment and Financial Interests or supplementary Statement is not 
known to the member or employee but is known to another person, the 
member or the employee shall request that other person to submit to the 
Ethics Counselor information on the member's or employee's behalf.
    (e) Confidentiality of member's and employee's statements. (1) 
Except for Statements filed pursuant to 2 U.S.C. 701, et seq., or 5 
U.S.C. App. 201, et seq., and submitted to the Council under paragraph 
(c) of this section, and except for the Statement of the Executive 
Director, each Statement of Employment and Financial Interest will be 
held in confidence. The Ethics Counselor is responsible for maintaining 
the Statements in strict confidence. Members and employees having access 
to Statements shall not allow information to be disclosed from 
Statements except to those individuals who must have access in order to 
carry out responsibilities assigned by these regulations or specific 
law.
    (2) Statements of Employment and Financial Interest will be retained 
by the Ethics Counselor. All Statements shall be destroyed two years 
after a member or employee leaves a position in which a Statement is 
required or two years after the member or employee leaves the Council, 
whichever is earlier.



Sec. 811.8  Review and analysis of statements.

    (a) Review by Ethics Counselor. Each Statement of Employment and 
Financial Statement shall be reviewed by the Ethics Counselor to ensure 
that the member or employee is in compliance with these regulations. The 
Ethics Counselor will exercise judgment and reasonableness in reviewing 
Statements, but will be alert to potential, actual, or apparent 
conflicts which may be indicated.
    (b) Determination of conflict and referral for resolution. If a 
member's or employee's Statement of Employment and Financial Interest 
reflects a potential, actual, or apparent conflict, the Ethics Counselor 
shall endeavor to resolve the matter informally with the member or 
employee. If a member's conflict cannot be resolved, the Ethics 
Counselor shall refer the member's Statement and a report of efforts 
made to determine and resolve the conflict to the Chairman of the 
Council for appropriate action. If an employee's conflict cannot be 
resolved, the Ethics Counselor shall refer the employee's Statement and 
a report of efforts made to determine and resolve the conflict to the 
Executive Director for appropriate action.
    (c) Opportunity to provide information. At all stages in the review 
process,

[[Page 126]]

members and employees shall be provided full opportunity to offer 
information and explanation prior to any final determination.



Sec. 811.9  Procedures for resolving conflicts of interest--members.

    (a) Remedial action. (1) Members shall disqualify themselves from 
participating in any Council proceeding involving any matter in which 
they have a potential, actual, or apparent conflict of interest. In lieu 
of disqualification, members may divest themselves of the interest, 
establish a blind trust, or otherwise eliminate the conflict of 
interest.
    (2) Members with unresolved conflicts of interest may be 
disqualified by the Chairman.
    (b) Chairman's authority. The Chairman of the Council is authorized 
to take whatever remedial action authorized by these regulations that is 
appropriate to protect the integrity of the Council.



Sec. 811.10  Procedures for resolving conflicts of interest--employees.

    (a) Remedial action. Violations of these regulations by an employee 
may be cause for mandatory remedial action. If the Executive Director 
decides that remedial action is required, the Executive Director shall 
initiate immediate action to eliminate the conflict or apparent conflict 
of interest within a reasonable time. Remedial action may include 
reassignment or restriction of the employee, diverstiture of the 
interest, establishment of a blind trust, or other means by which the 
conflict or apparent conflict is eliminated.
    (b) Disciplinary action. Employees who refuse to comply with an 
order for remedial action shall be considered to be in violation of 
these regulations and may be subject to disciplinary action, including 
suspension or removal from their positions.
    (c) The Executive Director's authority and decision. The Executive 
Director is authorized to order resolution of conflict of interest 
situations and the Executive Director's decision regarding remedial 
action shall be final.



Sec. 811.11  Definitions.

    (a) Apparent conflict. A situation where a reasonable member of the 
public could suppose a member or employee to be in conflict, even though 
the member or employee might not be.
    (b) Conflict or actual conflict. A situation where a member's or 
employee's duties or responsibilities at the Council are or will be 
affected or influenced by the member's or employee's financial interest 
or outside employment of activities.
    (c) Direct interest. Ownership or part ownership of lands, stocks, 
bonds, or other holdings by a member or employee in the member's or 
employee's name. Direct interest includes the holdings of a spouse and 
minor child and the holdings of other relatives, including in-laws, who 
live in the member's or employee's home.
    (d) Indirect interest. Ownership or part ownership of land, stocks, 
bonds, or other holdings by a member or employee in the name of another 
person where the member or employee reaps the benefits of the ownership. 
An indirect interest is considered to be a direct interest for purposes 
of these regulations.
    (e) Outside work and activities. All gainful employment and other 
activities other than the performance of official duties.
    (f) Potential conflict. A situation where a conflict or an apparent 
conflict is likely to occur in the future.



PART 812--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE ADVISORY COUNCIL ON HISTORIC PRESERVATION--Table of Contents




Sec.
812.101  Purpose.
812.102  Application.
812.103  Definitions.
812.104--812.109  [Reserved]
812.110  Self-evaluation.
812.111  Notice.
812.112--812.129  [Reserved]
812.130  General prohibitions against discrimination.
812.131--812.139  [Reserved]
812.140  Employment.

[[Page 127]]

812.141--812.148  [Reserved]
812.149  Program accessibility: Discrimination prohibited.
812.150  Program accessibility: Existing facilities.
812.151  Program accessibility: New construction and alterations.
812.152--812.159  [Reserved]
812.160  Communications.
812.161--812.169  [Reserved]
812.170  Compliance procedures.
812.171--812.999  [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 51 FR 22896, June 23, 1986, unless otherwise noted.



Sec. 812.101  Purpose.

    This part effectuates section 119 of the Rehabilitation, 
Comprehensive Services, and Developmental Disabilities Amendments of 
1978, which amended section 504 of the Rehabilitation Act of 1973 to 
prohibit discrimination on the basis of handicap in programs or 
activities conducted by Executive agencies or the United States Postal 
Service.



Sec. 812.102  Application.

    This part applies to all programs or activities conducted by the 
agency.



Sec. 812.103  Definitions.

    For purposes of this part, the term--
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, brailled materials, 
audio recordings, telecommunications devices and other similar services 
and devices. Auxiliary aids useful for persons with impaired hearing 
include telephone handset amplifiers, telephones compatible with hearing 
aids, telecommunication devices for deaf persons (TDD's), interpreters, 
notetakers, written materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, and drug addiction and 
alocoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--

[[Page 128]]

    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in paragraph (1) of this 
definition but is treated by the agency as having such an impairment.
    Historic preservation programs means programs conducted by the 
agency that have preservation of historic properties as a primary 
purpose.
    Historic properties means those properties that are listed or 
eligible for listing in the National Register of Historic Places or 
properties designated as historic under a statute of the appropriate 
State or local government body.
    Qualified handicapped person means--
    (1) With respect to preschool, elementary, or secondary education 
services provided by the agency, a handicapped person who is a member of 
a class of persons otherwise entitled by statute, regulation, or agency 
policy to receive education services from the agency.
    (2) With respect to any other agency program or activity under which 
a person is required to perform services or to achieve a level of 
accomplishment, a handicapped person who meets the essential eligibility 
requirements and who can acheive the purpose of the program or activity 
without modifications in the program or activity that the agency can 
demonstrate would result in a fundamental alteration in its nature;
    (3) With respect to any other program or activity, a handicapped 
person who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity; 
and
    (4) Qualified handicapped person is defined for purposes of 
employment in 29 CFR 1613.702(f), which is made applicable to this part 
by Sec. 812.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), 
and the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used 
in this part, section 504 applies only to programs or activities 
conducted by Executive agencies and not to federally assisted programs.
    Substantial impairment means a significant loss of the integrity of 
finished materials, design quality, or special character resulting from 
a permanent alteration.



Secs. 812.104--812.109  [Reserved]



Sec. 812.110  Self-evaluation.

    (a) The agency shall, by August 24, 1987, evaluate its current 
policies and practices, and the effects thereof, that do not or may not 
meet the requirements of this part, and, to the extent modification of 
any such policies and practices is required, the agency shall proceed to 
make the necessary modifications.
    (b) The agency shall provide an opportunity to interested persons, 
including handicapped persons or organizations representing handicapped 
persons, to participate in the self-evaluation process by submitting 
comments (both oral and written).
    (c) The agency shall, until three years following the completion of 
the self-evaluation, maintain on file and make available for public 
inspection:
    (1) A description of areas examined and any problems identified, and
    (2) A description of any modifications made.



Sec. 812.111  Notice.

    The agency shall make available to employees, applicants, 
participants, beneficiaries, and other interested persons such 
information regarding the provisions of this part and its applicability 
to the programs or activities conducted by the agency, and make such 
information available to them in such manner as the head of the agency 
finds necessary to apprise such persons of the protections against 
discrimination assured them by section 504 and this regulation.

[[Page 129]]



Secs. 812.112--812.129  [Reserved]



Sec. 812.130  General prohibitions against discrimination.

    (a) No qualified handicapped person shall, on the basis of handicap, 
be excluded from participation in, be denied the benefits of, or 
otherwise be subjected to discrimination under any program or activity 
conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--
    (i) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified handicapped person an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified handicapped person with an aid, benefit, 
or service that is not as effective in affording equal opportunity to 
obtain the same result, to gain the same benefit, or to reach the same 
level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
handicapped persons or to any class of handicapped persons than is 
provided to others unless such action is necessary to provide qualified 
handicapped persons with aid, benefits, or services that are as 
effective as those provided to others;
    (v) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or
    (vi) Otherwise limit a qualified handicapped person in the enjoyment 
of any right, privilege, advantage, or opportunity enjoyed by others 
receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified handicapped person the 
opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangments, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to handicapped persons.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination under any program or activity 
conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to handicapped persons.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified handicapped persons to 
discrimination on the basis of handicap.
    (6) The agency may not administer a licensing or certification 
program in a manner that subjects qualified handicapped persons to 
discrimination on the basis of handicap, nor may the agency establish 
requirements for the programs or activites of licensees or certified 
entities that subject qualified handicapped persons to discrimination on 
the basis of handicap. However, the programs or activities of entities 
that are licensed or certified by the agency are not, themselves, 
covered by this part.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive order to a different 
class of handicapped persons is not prohibited by this part.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified handicapped 
persons.

[[Page 130]]



Secs. 812.131--812.139  [Reserved]



Sec. 812.140  Employment.

    No qualified handicapped person shall, on the basis of handicap, be 
subjected to discrimination in employment under any program or activity 
conducted by the agency. The definitions, requirements, and procedures 
of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791), as 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613, shall apply to employment in federally conducted programs or 
activities.



Secs. 812.141--812.148  [Reserved]



Sec. 812.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec. 812.150, no qualified 
handicapped person shall, because the agency's facilities are 
inaccessible to or unusable by handicapped persons, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec. 812.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by handicapped persons. This paragraph does 
not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by handicapped persons;
    (2) In the case of historic preservation programs, require the 
agency to take any action that would result in a substantial impairment 
of significant historic features of an historic property; or
    (3) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec. 812.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that would not result in 
such an alteration or such burdens but would nevertheless ensure that 
handicapped persons receive the benefits and services of the program or 
activity.
    (b) Methods--(1) General. The agency may comply with the 
requirements of this section through such means as redesign of 
equipment, reassignment of services to accessible buildings, assignment 
of aides to beneficiaries, home visits, delivery of services at 
alternate accessible sites, alteration of existing facilities and 
construction of new facilities, use of accessible rolling stock, or any 
other methods that result in making its programs or activities readily 
accessible to and usable by handicapped persons. The agency is not 
required to make structural changes in existing facilities where other 
methods are effective in achieving compliance with this section. The 
agency, in making alterations to existing buildings, shall meet 
accessibility requirements to the extent compelled by the Architectural 
Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), and any 
regulations implementing it. In choosing among available methods for 
meeting the requirements of this section, the agency shall give priority 
to those methods that offer programs and activities to qualified 
handicapped persons in the most integrated setting appropriate.
    (2) Historic preservation programs. In meeting the requirements of 
Sec. 812.150(a) in historic preservation programs, the agency shall give 
priority to methods that provide physical access to handicapped persons. 
In cases where a physical alteration to an historic property is not 
required because of Sec. 812.150(a)(2)

[[Page 131]]

or (a)(3), alternative methods of achieving program accessibility 
include--
    (i) Using audio-visual materials and devices to depict those 
portions of an historic property that cannot otherwise be made 
accessible;
    (ii) Assigning persons to guide handicapped persons into or through 
portions of historic properties that cannot otherwise be made 
accessible; or
    (iii) Adopting other innovative methods.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by October 21, 1986, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by August 22, 1989, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by February 23, 1987, a transition plan setting 
forth the steps necessary to complete such changes. The agency shall 
provide an opportunity to interested persons, including handicapped 
persons or organizations representing handicapped persons, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.



Sec. 812.151  Program accessibility: New construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of the agency shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
handicapped persons. The definitions, requirements, and standards of the 
Architectural Barriers Act (42 U.S.C. 4151-4157), as established in 41 
CFR 101-19.600 to 101-19.607, apply to buildings covered by this 
section.



Secs. 812.152--812.159  [Reserved]



Sec. 812.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
handicapped person.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf person (TDD's) or 
equally effective telecommunication systems shall be used.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and adminstrative 
burdens. In

[[Page 132]]

those circumstances where agency personnel believe that the proposed 
action would fundamentally alter the program or activity or would result 
in undue financial and administrative burdens, the agency has the burden 
of proving that compliance with Sec. 812.160 would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action required to comply with this section would 
result in such an alteration or such burdens, the agency shall take any 
other action that would not result in such an alteration or such burdens 
but would nevertheless ensure that, to the maximum extent possible, 
handicapped persons receive the benefits and services of the program or 
activity.



Secs. 812.161--812.169  [Reserved]



Sec. 812.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The General Counsel shall be responsible for coordinating 
implementation of this section. Complaints may be sent to the General 
Counsel, Advisory Council on Historic Preservation, 1100 Pennsylvania 
Avenue, NW., Washington, DC 20004.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the 
Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not readily 
accessible to and usable by handicapped persons.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec. 812.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.
[51 FR 22896, June 23, 1986, as amended at 51 FR 22893, June 23, 1986]

[[Page 133]]



Secs. 812.171--812.999  [Reserved]



PARTS 813--899  [RESERVED]




[[Page 135]]



         CHAPTER IX--PENNSYLVANIA AVENUE DEVELOPMENT CORPORATION




  --------------------------------------------------------------------
Part                                                                Page
901             Bylaws of the Corporation...................         137
902             Freedom of Information Act..................         140
903             Privacy Act.................................         154
904             Uniform relocation assistance and real 
                    property acquisition for Federal and 
                    federally assisted programs.............         160
905             Standards of conduct........................         160
906             Affirmative action policy and procedure.....         168
907             Environmental quality.......................         174
908             Policy and procedures to facilitate the 
                    retention of displaced businesses and 
                    residents in the Pennsylvania Avenue 
                    Development Area........................         180
909             Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the Pennsylvania 
                    Avenue Development Corporation..........         185
910             General guidelines and uniform standards for 
                    urban planning and design of development 
                    within the Pennsylvania Avenue 
                    Development Area........................         191
911-999  

[Reserved]

  Note: Public Law 104-99, which incorporated the terms of the 
Department of the Interior and Related Agencies Appropriations Act, 1996 
(H.R. 1977), as passed by the House of Representatives on December 13, 
1995, provides that the Pennsylvania Avenue Development Corporation 
terminates as of April 1, 1996. H.R. 1977 provides that ``any 
regulations prescribed by the [Pennsylvania Avenue Development] 
Corporation in connection with the Pennsylvania Avenue Development 
Corporation Act of 1972 (40 U.S.C. 871-885) and the Federal Triangle 
Development Act (40 U.S.C. 1101-1109) shall continue in effect until 
suspended by regulations prescribed by the Administrator of the General 
Services Administration.'' Accordingly, the authority to administer the 
regulations in 36 CFR Chapter IX is transferred to the General Services 
Administration. See the Pennsylvania Avenue Development Corporation 
document, ``Transfer of Responsibilities and Effectiveness of PADC 
Regulations After PADC Termination'', published at 61 FR 11308, March 
20, 1996.

[[Page 137]]



PART 901--BYLAWS OF THE CORPORATION--Table of Contents




Sec.
901.1  Title and office.
901.2  Establishment.
901.3  Board of directors.
901.4  Officers.
901.5  Annual report.
901.6  Seal.
901.7  Amendments.

    Authority: Sec. 6(5), Pub. L. 92-578, 88 Stat. 1270(5) (40 U.S.C. 
875(5)).

    Source: 40 FR 41524, Sept. 8, 1975, unless otherwise noted.



Sec. 901.1  Title and office.

    (a) Title. The name of the Corporation is the Pennsylvania Avenue 
Development Corporation.
    (b) Office. The office of the Corporation shall be in the city of 
Washington, District of Columbia.



Sec. 901.2  Establishment.

    (a) Creation. The Corporation, a wholly owned instrumentality of the 
United States subject to the Government Corporation Control Act (31 
U.S.C. 841 et seq.), was established by the Pennsylvania Avenue 
Development Corporation Act of 1972 (Pub. L. 92-578, 86 Stat. 1266 (40 
U.S.C. 871 et seq.)), as amended, hereinafter referred to as the Act.
    (b) Purposes. The purposes for which this Corporation was 
established are those stated and promulgated by Congress in the Act.



Sec. 901.3  Board of directors.

    (a) Powers and responsibilities. The business, property and affairs 
of the Corporation shall be managed and controlled by the Board of 
Directors, and all powers specified in the Act are vested in them. The 
Board may, at its discretion and as hereinafter provided, delegate 
authority necessary to carry on the ordinary operations of the 
Corporation to officers and staff of the Corporation.
    (b) Composition; number; selection; terms of office. The Board of 
Directors shall be comprised of fifteen voting members and eight 
nonvoting members. The powers and management of the Corporation shall 
reside with the fifteen voting members, and the procedures of the Board 
shall be determined by them.
    (1) The fifteen voting members shall include the seven government 
agency representatives specified in subsection 3(c) of the Act (or, 
their designees), and eight individuals meeting the qualifications of 
that subsection, appointed by the President of the United States from 
private life, at least four of whom shall be residents and registered 
voters of the District of Columbia.
    (2) The Chairman and Vice Chairman shall be designated by the 
President of the United States from among those members appointed from 
private life.
    (3) Upon his appointment, the Chairman shall invite the eight 
representatives designated in subsection 3(g) of the Act to serve as 
non-voting members of the Board of Directors.
    (4) Each member of the Board of Directors appointed from private 
life shall serve a term of six years from the expiration of his 
predecessor's term; except that the terms of the Directors first taking 
office shall begin on October 27, 1972 and shall expire as designated at 
the time of appointment. A Director may continue to serve until his 
successor has qualified.
    (5) A Director appointed from private life wishing to resign shall 
submit a letter of resignation to the President of the United States, 
and his resignation shall become effective upon the date of the 
President's acceptance thereof.
    (6) A Director, appointed to fill a vacancy occurring prior to the 
expiration of the term for which his predecessor was appointed, shall 
serve for the remainder of such term.
    (c) Meetings. (1) The Board of Directors shall meet and keep its 
records at the office of the Corporation.
    (2) Meetings of the Board of Directors shall be held at the call of 
the Chairman, but not less often than once every three months. The 
Chairman shall also call a meeting at the written request of any five 
voting members.
    (3) The Chairman shall direct the Secretary to give the members of 
the Board notice of each meeting, either personally, or by mail, or by 
telegram, stating the time, the place and the agenda for the meeting. 
Notice by telephone shall be personal notice. Any Director may waive, in 
writing, notice as

[[Page 138]]

to himself, whether before or after the time of the meeting, and the 
presence of a Director at any meeting shall constitute a waiver of 
notice of that meeting. Notice, in whatever form, shall be given so that 
a Director will have received it five working days prior to the time of 
the meeting.
    (4) Unless otherwise limited by the notice thereof, any and all 
Corporation business may be transacted at any meeting.
    (5) The Chairman shall preside at meetings of the Board of 
Directors, or the Vice Chairman in the absence of the Chairman. In the 
event of the absence of both the Chairman and the Vice Chairman, the 
Directors present at the meeting shall designate a Presiding Officer.
    (d) Quorum. The presence of a majority of the number of voting 
Directors serving at the time of a meeting of the Board shall constitute 
a quorum for the transaction of business at such meeting of the Board. 
The act of a majority of the voting Directors at any meeting at which 
there is a quorum shall be an act of the Board of Directors. If there 
shall be less than a quorum at any meeting, a majority of the voting 
Directors present may adjourn the meeting until such time as a quorum 
can practically and reasonably be obtained.
    (e) Directors serving in stead. Each member of the Board of 
Directors specified in paragraphs (1) through (7) of subsection 3(c) of 
the Act, if unable to serve in person, may designate up to two officials 
from his agency or department to serve on the Board in his stead. Such 
designation shall be effected by a letter of appointment, from the 
Director specified in the Act, received by the Chairman prior to or at a 
meeting of the Board of Directors. If two officials are so designated, 
then the Director specified in the Act shall identify one as the First 
Designee and the other as the Second Designee. The Second Designee may 
only serve as a Director if the First Designee is not in attendance at a 
meeting of the Board of Directors. An official designated to serve in 
stead shall serve as the voting Director of the represented agency until 
the Chairman receives written notice from the Director specified in the 
Act, or his successor, that the designation is rescinded.
    (f) Vote by proxy. Voting members of the Board of Directors unable 
to attend a meeting may vote by proxy on resolutions which have been 
printed in the agenda in advance for the meeting.
    (1) A Director unable to attend a meeting of the Board may submit a 
vote to be cast by the Presiding Officer by means of a written signed 
statement of his vote and the resolution to which it pertains together 
with any statement bearing on the matter the Director wishes to have 
read. The proxy vote shall be submitted to the Chairman with a separate 
signed copy to the Secretary, to be received not later than the close of 
business of the day prior to the date fixed for the meeting.
    (2) The Presiding Officer shall cast proxy votes received by the 
Chairman in the following manner:
    (i) Upon the close of discussion on a resolution for which there has 
been submitted one or more valid proxy votes, the Presiding Officer 
shall announce that he holds proxy vote(s) from named Director(s), and 
shall read any explanatory statements submitted by the Director(s) 
voting by proxy;
    (ii) The Presiding Officer shall take the vote of the Directors 
present and then declare the proxy votes in hand;
    (iii) The Secretary shall orally verify the validity of the votes 
submitted to be cast by proxy, and shall record them with the votes cast 
by the Directors present on the resolution.
    (3) Proxy votes shall not be utilized to effect the presence of a 
quorum.
    (g) Compensation of Directors. Members of the Board of Directors 
shall be compensated in the manner provided in section 3 of the Act.
    (h) Approval of annual budget. Upon completion by the staff of a 
draft annual budget request, the Chairman shall call a meeting of the 
Board of Directors for its review and consideration. Upon approval by 
the Board of the draft budget request, it may be submitted to the Office 
of Management and Budget.
[40 FR 41524, Sept. 8, 1975, as amended at 48 FR 20903, May 10, 1983]

[[Page 139]]



Sec. 901.4  Officers.

    (a) General provisions. The corporate officers of the Corporation 
shall consist of a President, an Executive Director, two Assistant 
Directors, a Secretary (who shall be appointed by the Chairman from 
among the staff of the Corporation), and such other officers as the 
Board of Directors may from time-to-time appoint. Any corporate officer 
elected or appointed by the Board of Directors may be removed at any 
time, with or without cause, by the affirmative vote of a majority of 
the Board of Directors.
    (b)(1) Powers and duties of the President. The Chairman of the Board 
of Directors shall be the President and chief executive officer of the 
Corporation and shall have the general powers and duties of supervision 
and management usually vested in the office of a president of a 
corporation. The President shall see that all resolutions and policies 
of the Board are carried into effect, and shall have power to execute 
contracts, leases, agreements, and other documents necessary for the 
operation of the Corporation.
    (2) Assumption of powers and duties by Vice Chairman. In the event 
that the position of Chairman becomes vacant, the Vice Chairman shall 
promptly notify the President of the United States in writing to that 
effect and upon giving such notice, shall assume the Chairman's powers 
and duties as President and Chief Executive Officer of the Corporation, 
including specific powers and duties delegated to the Chairman by the 
Board of Directors. Such assumption of the Chairman's powers and duties 
shall cease upon the appointment or designation of a new Chairman or 
Acting Chairman by the President of the United States. The Vice Chairman 
shall also assume the powers and duties of the Chairman in the event of 
the latter's incapacity, if the Chairman so requests in writing, or if a 
majority of the voting members of the Board of Directors finds by 
resolution that the Chairman is unable to exercise the powers and duties 
of his office. Such assumption of the Chairman's powers and duties shall 
cease upon the Vice Chairman's receipt of a letter from the Chairman 
stating that he or she is able to resume the exercise of the powers and 
duties of his office.
    (c) Appointment of certain officers. The Board of Directors shall 
appoint an Executive Director and two Assistant Directors, who may be 
appointed and compensated without regard to the provisions of title 5 
U.S.C. governing appointments in the competitive service and chapter 51 
and subchapter IV of chapter 53 of title 5 U.S.C. Between meetings of 
the Board of Directors the Chairman may make appointments to the 
foregoing positions, when they become vacant by resignation or 
otherwise. However, the Chairman shall move to have such interim 
appointments confirmed at the next meeting of the Board. The Chairman 
shall have power to increase or decrease the salaries of the officers 
appointed under this section.
    (d) Powers and duties of the Executive Director. The Executive 
Director shall be the chief of the Corporation's staff and shall have 
general powers of supervision and management over the administration of 
the Corporation. The Executive Director shall have power to:
    (1) Execute contracts, agreements, and other documents necessary for 
planning and design work and for ordinary operations of the Corporation.
    (2) Hire staff (including temporary or intermittent experts and 
consultants).
    (3) Procure space, equipment, supplies, and obtain interagency and 
commercial support services.
    (4) Direct and manage the day-to-day operations and work of the 
Corporation.
    (5) Supervise planning and development activities of the Corporation 
in accordance with the development plan and resolutions of the Board of 
Directors.
    (6) Perform such other duties and exercise such powers as the 
President and Board of Directors may prescribe.
    (e) Powers and duties of the Assistant Director/Legal. The Assistant 
Director/Legal shall be the General Counsel of the Corporation, advising 
the Board of Directors and the staff on all legal matters affecting the 
functioning of the Corporation. He shall:
    (1) Coordinate with the Department of Justice in assuring that the 
interests of the Corporation are represented

[[Page 140]]

in any litigation arising from its authorities or actions.
    (2) Advise the Board of Directors and the staff of statutory or 
regulatory requirements, and assure compliance therewith.
    (3) Prepare or review all contracts, agreements or other documents 
of a legal nature.
    (4) Prepare or review all draft legislation, regulations, official 
notices and other legal publications.
    (5) Perform such other duties as may be prescribed by the Board of 
Directors, the President, or the Executive Director.
    (f) Powers and duties of the Assistant Director/Development. The 
Assistant Director/Development shall advise the Board of Directors, 
officers and staff of the Corporation on all development activities to 
accomplish the goals of the development plan. He shall:
    (1) Manage development activities in accordance with the development 
plan.
    (2) Function as a key management official performing a wide range of 
duties required to accomplish the rebuilding of Pennsylvania Avenue.
    (3) Provide managerial responsibility for the work of all project 
managers and consultants relating to development projects.
    (4) Coordinate the tasks of other staff professionals as required 
for accomplishment of projects.
    (5) Be liaison between the Corporation and other governmental 
agencies that review projects in the development area.
    (6) Perform such other duties as may be prescribed by the Board of 
Directors, the President, or the Executive Director.
    (g) Powers and Duties of the Secretary. The Secretary, to be 
appointed by the Chairman from among the Corporation's staff, shall give 
notice of all meetings of the Board of Directors and record and keep the 
minutes thereof, keep in safe custody the seal of the Corporation, and 
shall affix the same to any instrument requiring it. When so affixed, 
the seal shall be attested by the signature of the Secretary. The 
Secretary shall also perform such other duties as may be prescribed by 
the Board of Directors, the President, or the Executive Director.
[40 FR 41524, Sept. 8, 1975, as amended at 47 FR 34536, Aug. 10, 1982]



Sec. 901.5  Annual report.

    The Executive Director shall prepare annually a comprehensive and 
detailed report of the Corporation's operations, activities, and 
accomplishments for the review of the Board of Directors. Upon approval 
by the Board, the Chairman shall transmit the report in January of each 
year to the President of the United States and to the Congress.



Sec. 901.6  Seal.

    The Corporation may adopt a corporate seal which shall have the name 
of the Corporation and year of incorporation printed upon it. The seal 
may be used by causing it or a facsimile thereof to be impressed, 
affixed, or reproduced.



Sec. 901.7  Amendments.

    These bylaws may be altered, amended, or repealed by the Board of 
Directors at any meeting, if notice of the proposed alteration, 
amendment, or repeal is contained in the notice of the meeting.



PART 902--FREEDOM OF INFORMATION ACT--Table of Contents




                   Subpart A--Applicability and Policy

Sec.
902.01  Purpose and applicability.
902.02  Statement of policy.
902.03  Definitions.

                    Subpart B--General Administration

902.10  Delegation of administration of this part.
902.11  How records may be requested.
902.12  Maintenance of statistics; annual report to Congress.
902.13  Indexes of Corporation records.
902.14  Deletion of nondiscloseable information from requested records.
902.15  Protection of records.

             Subpart C--Publication in the Federal Register

902.20  Applicability.
902.21  Publication in the Federal Register shall be constructive notice 
          of information that affects the public.

[[Page 141]]

Subpart D--Availability of Records Not Published in the Federal Register

902.30  Applicability.
902.31  Access, inspection and copying.

         Subpart E--Availability of Reasonably Described Records

902.40  Applicability.
902.41  Public access to reasonably described records.
902.42  Request for records of concern to more than one government 
          organization.

     Subpart F--Exemptions From Public Access to Corporation Records

902.50  Applicability.
902.51  Records relating to matters that are required by Executive order 
          to be kept secret.
902.52  Records related solely to internal personnel rules and 
          practices.
902.53  Records exempted from disclosure by statute.
902.54  Trade secrets and commercial or financial information that is 
          privileged or confidential.
902.55  Intragovernmental exchanges.
902.56  Protection of personal privacy.
902.57  Investigatory files compiled for law enforcement purposes.
902.58  Reports of financial institutions.
902.59  Geological and geophysical information.

                       Subpart G--Time Limitations

902.60  Initial determination.
902.61  Final determination.
902.62  Extension of time limits.

  Subpart H--Procedures for Administrative Appeal of Decisions Not To 
                            Disclose Records

902.70  General.
902.71  Forms for appeal.
902.72  Time limitations on filing an appeal.
902.73  Where to appeal.
902.74  Agency decision.

                             Subpart I--Fees

902.80  General.
902.81  Payment of fees.
902.82  Fee schedule.
902.83  Waiver or reduction of fees.

    Authority: 5 U.S.C. 552; 52 FR 10012-10019 (March 27, 1987); E.O. 
12600, 52 FR 23781 (June 23, 1987).

    Source: 41 FR 43143, Sept. 30, 1976, unless otherwise noted.



                   Subpart A--Applicability and Policy



Sec. 902.01  Purpose and applicability.

    This part contains regulations of the Corporation implementing 5 
U.S.C. 552, as amended. It informs the public about where and how the 
Corporation's records may be obtained. The following provisions are 
applicable to all records of the Corporation in existence at the time a 
request for records is made. The regulations establish fee schedules 
applicable to the search and copying of requested records. This part 
identifies the officials having authority to act on requests and 
prescribes the procedures to appeal decisions which initially deny 
disclosure. Indexes maintained to reflect all records subject to this 
part are available for public inspection and copying as provided herein.



Sec. 902.02  Statement of policy.

    In keeping with the spirit of the Freedom of Information Act, 5 
U.S.C. 552, the policy of the Corporation is one of full and responsible 
disclosure of its records to the public. Therefore, all records of the 
Corporation, unless otherwise exempted under subpart F of this part, are 
declared to be available for public inspection and copying. Each officer 
and employee of the Corporation is directed to cooperate to this end and 
shall make records available to the public with reasonable promptness. A 
record may not be withheld from the public solely because its release 
might suggest administrative error or embarrass an officer or employee 
of the Corporation.



Sec. 902.03  Definitions.

    As used in this part--
    (a) Act means section 552 of title 5 U.S.C., as amended, Pub. L. 90-
23, 81 Stat. 54, June 5, 1967; as amended, Pub. L. 93-502, 88 Stat. 
1561, November 11, 1974. Pub. L. 90-23 repealed and superseded Pub. L. 
89-487, 80 Stat. 250. July 4, 1966, sometimes referred to as the Freedom 
of Information Act or Public Information Act.
    (b) Chairman means the Chairman of the Corporation's Board of 
Directors and President of the Corporation.

[[Page 142]]

    (c) Corporation means the Pennsylvania Avenue Development 
Corporation, including the Board of Directors, Executive Officers, 
Corporation staff, and any subordinate organizational units operating 
under the Pennsylvania Avenue Development Corporation Act of 1972, Pub. 
L. 92-578, 86 Stat. 1266 (40 U.S.C. 871 et seq.), as amended.
    (d) Person means person as defined in 5 U.S.C. 551(2).
    (e) Records means any and all writing, drawings, maps, recordings, 
tapes, films, slides, photographs, or other documentary materials by 
which information is preserved.
    (f) Submitter means any person or entity that provides or has 
provided information to the Corporation or about which the Corporation 
possess records subject to Exemption 4 of the Freedom of Information 
Act.
    (g) Workday means a calendar day excluding Saturday, Sunday and 
Federal holidays, office hours being 9 a.m. to 5 p.m.
[41 FR 43143, Sept. 30, 1976, as amended at 53 FR 10374, Mar. 31, 1988]



                    Subpart B--General Administration



Sec. 902.10  Delegation of administration of this part.

    Except as provided in subpart H of this part, authority to 
administer this part is delegated to the Administrative Officer, who 
shall act upon all requests for access to records which are received by 
the Corporation from any person citing the Act.
[41 FR 43143, Sept. 30, 1976, as amended at 48 FR 17354, Apr. 22, 1983]



Sec. 902.11  How records may be requested.

    In accordance with Sec. 902.41 of subpart E of this part all 
requests for records shall be made to the Administrative Officer, 
Pennsylvania Avenue Development Corporation, 1331 Pennsylvania Avenue, 
NW, Suite 1220 North, Washington, DC 20004.
[41 FR 43143, Sept. 30, 1976, as amended at 48 FR 17354, Apr. 22, 1983; 
50 FR 45824, Nov. 4, 1985]



Sec. 902.12  Maintenance of statistics; annual report to Congress.

    (a) The Administrative Officer shall maintain records of:
    (1) The fees collected by the Corporation for making records 
available under this part;
    (2) The number of denials of requests for records made under this 
part, and the reasons for each denial;
    (3) The number of appeals arising from denials, the result of each 
appeal, and the reasons for the action upon each appeal that results in 
a denial of information;
    (4) The names and titles or positions of each person responsible for 
each denial of records requested under this part, and the number of 
instances of participation for each person;
    (5) The results of each proceeding conducted pursuant to subsection 
552(a)(4)(f) of title 5, U.S.C., including a report of the disciplinary 
action against the official or employee who was primarily responsible 
for improperly withholding records or an explanation of why disciplinary 
action was not taken;
    (6) Every rule made by the Corporation affecting or implementing the 
Act;
    (7) The fee schedule listing fees for search and duplication of 
records pursuant to request under the Act; and
    (8) All other information which indicates efforts to administer 
fully the letter and spirit of the Act.
    (b) The Administrative Officer shall annually prepare a report 
accounting for each item in paragraph (a) of this section for the prior 
calendar year. On or before March 1st of each year, the report shall be 
submitted to the Speaker of the House of Representatives and the 
President of the Senate for referral to the appropriate committees of 
Congress.
[41 FR 43143, Sept. 30, 1976, as amended at 48 FR 17354, Apr. 22, 1983]



Sec. 902.13  Indexes of Corporation records.

    (a) The Administrative Officer shall be responsible for maintenance, 
publication, distribution and availability for inspection and copying of 
the current indexes and supplements which are required by 5 U.S.C. 
(a)(2). Such indexes

[[Page 143]]

shall be published promptly on a quarterly basis unless the Chairman 
determines by order published in the Federal Register that the 
pubication would be unnecessary and impractical.
    (b) The index of materials under this subpart covers all materials 
issued, adopted, or promulgated after July 4, 1967 by the Corporation. 
However, earlier materials may be included in the index to the extent 
practicable. Each index contains instruction for its use.
[41 FR 43143, Sept. 30, 1976, as amended at 48 FR 17354, Apr. 22, 1983]



Sec. 902.14  Deletion of nondiscloseable information from requested records.

    Whenever a requested record contains information which falls within 
one of the exempted categories of subpart F of this part, identifying 
details shall be deleted from the record before it is made available for 
public inspection and copying. When a requested record contains both 
discloseable and nondiscloseable information, only that portion which is 
reasonably segregable after deletion of the nondiscloseable portions, 
will be released. If the information in the discloseable portion is 
readily available from another source and that source is made known to 
the person making the request, the Corporation need not disclose the 
requested record. In all cases where a deletion is made, an explanation 
of the deletion shall be attached to the record made available for 
inspection, distribution, or copying. Appeal of deletions shall be made 
in accordance with subpart H of this part.



Sec. 902.15  Protection of records.

    (a) No person may, without permission of the Administrative Officer, 
remove from the Corporation's offices any record made available to him 
for inspection or copying. In addition, no person may steal, alter, 
multilate, obliterate, or destroy, in whole or in part, such a record.
    (b) Section 641 of title 18 U.S.C. provides, in pertinent part, as 
follows:

    (1) Whoever * * * steals, purloins, knowingly converts to his use or 
the use of any other or without authority sells, conveys or disposes of 
any record * * * or thing of value shall be fined not more than $10,000 
or imprisoned not more than 10 years or both; but if the value of such 
property does not exceed the sum of $100, he shall be fined not more 
than $1,000 or imprisoned not more than one year or both. * * *

    (c) Section 2071 of title 18 U.S.C. provides, in pertinent part, as 
follows:

    (1) Whoever willfully and unlawfully conceals, removes, multilates, 
obliterates, or destroys, or attempts to do so, or with intent to do so 
takes and carries away any record, proceeding, map, book, paper 
document, or other thing, filed or deposited * * * in any public office, 
or with any * * * public officer of the United States, shall be fined 
not more than $2,000 or imprisoned not more than 3 years, or both.
[41 FR 43143, Sept. 30, 1976, as amended at 48 FR 17354, Apr. 22, 1983]



             Subpart C--Publication in the Federal Register



Sec. 902.20  Applicability.

    Subject to the exemptions in subpart F of this part, the 
Corporation, for the guidance of the public, shall submit to the 
Director of the Federal Register for publication--
    (a) Descriptions of the Corporation's organization and functional 
responsibilities and the designation of places at which the public may 
secure information, obtain forms and applications, make submittals or 
requests, or obtain decisions:
    (b) Statements of the general course and method by which the 
Corporation's functions are channeled and determined, including the 
nature and requirements of all formal and informal procedures available;
    (c) Rules of procedure, descriptions of forms available, and 
instructions as to the scope and contents of all papers, reports, or 
examinations;
    (d) Substantive rules of general applicability adopted as authorized 
by law, and statements of general policy or interpretations of general 
applicability; and,
    (e) Each amendment, revision, or repeal of the foregoing.

[[Page 144]]



Sec. 902.21  Publication in the Federal Register shall be constructive notice of information that affects the public.

    (a) All material described in Sec. 902.20 shall be published in the 
Federal Register. For the purpose of this section, material that is 
reasonably available to the class of persons affected by it is 
considered to be published in the Federal Register when it is 
incorporated by reference with the approval of the Director of the 
Federal Register.
    (b) Publication in the Federal Register of all relevant information 
shall be considered constructive notice of information that affects the 
public, except that no person shall be required to resort to or be 
adversely affected by any matter which is required to be published in 
the Federal Register and is not so published unless such person has 
actual and timely notice of the terms of the unpublished matter.



Subpart D--Availability of Records Not Published in the Federal Register



Sec. 902.30  Applicability.

    (a) This subpart implements section 552(a)(2) of title 5 U.S.C., as 
amended by 88 Stat. 1561 (1974). It prescribes the rules governing the 
availability for public inspection and copying of the following:
    (1) Final opinions or orders (including concurring and dissenting 
opinions, if any) made in the adjudication of cases;
    (2) Statements of policy or interpretations which have been adopted 
under the authority of the Corporation's enabling act, including 
statements of policy or interpretation concerning a particular factual 
situation. If they can reasonably be expected to have precedential value 
in any case involving a member of the public in a similar situation, and 
have not been published in the Federal Register.
    (3) Administrative staff manuals or instructions to the staff of the 
Corporation which affects any member of the public. Included within this 
category are manuals or instructions which prescribe the manner or 
performance of any activity by any person. Excepted from this category 
are staff manuals or instructions to staff concerning internal operating 
rules, practices, guidelines and procedures for Corporation negotiators 
and inspectors, the release of which would substantially impair the 
effective performance of their duties.
    (4) Documents and materials offered for sale under the auspices of 
the Corporation.
    (5) Any index of materials which is required to be maintained by the 
Corporation under Sec. 902.13.
    (b) Records listed in paragraph (a) of this section, which the 
Corporation does not make available for public inspection and copying, 
or that are not indexed as required by Sec. 902.13, may not be cited, 
relied upon, or used as a precedent by the Corporation to adversely 
affect any person, unless the person against whom it is cited, relied 
upon, or used, has had actual and timely notice of that material.
    (c) This subpart shall not apply to information published in the 
Federal Register or that is a reasonably described record covered by 
subpart E of this part.



Sec. 902.31  Access, inspection and copying.

    (a) Records listed in Sec. 902.30(a), are available for inspection 
and copying by any person at the Corporation's office, 1331 Pennsylvania 
Avenue, NW., Suite 1220 North, Washington, DC 20004. Facilities for 
inspection and copying shall be open to the public every workday.
    (b) Records listed in Sec. 902.30(a), that are published and offered 
for sale, shall be indexed as required under Sec. 902.13, and shall be 
available for public inspection. Records offered for sale will not be 
copied by the Corporation for the requester without the approval of the 
Administrative Officer.
    (c) Records listed in Sec. 902.30(a) are subject to subpart F of 
this part and access may be restricted by the Corporation in accordance 
with that subpart. A refusal to disclose may be appealed by the 
requester under the provisions of subpart H of this part.
[41 FR 43143, Sept. 30, 1976, as amended at 48 FR 17354, Apr. 22, 1983; 
50 FR 45824, Nov. 4, 1985]

[[Page 145]]



         Subpart E--Availability of Reasonably Described Records



Sec. 902.40  Applicability.

    This subpart implements section 552(a)(3) of title 5 U.S.C., as 
amended, and prescribes regulations governing public inspection and 
copying of reasonably described records in the Corporation's custody. 
This subpart shall not apply to material which is covered by subparts C 
and D of this part, and records exempted under subpart F of this part.



Sec. 902.41  Public access to reasonably described records.

    (a) Any person desiring access to a record covered by this subpart 
may make request for records and copies either in person on any workday 
at the Corporation's office, or by written request. In either instance, 
the requester must comply with the following provisions;
    (1) A written request must be made for the record;
    (2) The request must indicate that it is being made under the 
Freedom of Information Act (section 552 of title 5 U.S.C.); and
    (3) The request must be addressed to the attention of the 
Administrative Officer, as provided in Sec. 902.11.
    (b) Each request for a record should reasonably describe the 
particular record sought. The request should specify, to the extent 
possible, the subject matter of the record, the date when it was made, 
the place where it was made and the person who made it. If the 
description is insufficient to process the request, the Public 
Information offices shall promptly notify the person making the request 
and solicit further information. The Administrative Officer may assist 
the person in perfecting the request.
    (c) Requests made in person at the Corporation's office during 
regular working hours (9 a.m. to 5 p.m., Monday through Friday, except 
Federal holidays) shall be processed as provided in subpart G of this 
part. The Corporation shall provide adequate inspection and copying 
facilities. Original records may be copied, but may not be released from 
the custody of the Corporation. Upon payment of the appropriate fee, 
copies will be provided to the requester by mail or in person.
    (d) Every effort will be made to make a record in use by the staff 
of the Corporation available when requested, and availability may be 
deferred only to the extent necessary to avoid serious interference with 
the business of the Corporation.
    (e) Notwithstanding paragraphs (a) through (d) of this section, 
informational materials and services, such as press releases, and 
similar materials prepared by the Corporation, shall be made available 
upon written or oral request. These services are considered as part of 
any informational program of the Government and are readily made 
available to the public. There is no fee for individual copies of such 
materials as long as they are in supply. In addition, the Corporation 
will continue to respond, without charge, to routine oral or written 
inquiries that do not involve direct access to records of the 
Corporation.
[41 FR 43143, Sept. 30, 1976, as amended at 48 FR 17354, Apr. 22, 1983]



Sec. 902.42  Request for records of concern to more than one government organization.

    (a) If the release of a record covered by this subpart would be of 
concern to both the Corporation and another Federal agency, the record 
will be made available only after consultation with the other agency 
concerned. Records of another agency in the Corporation's possession 
will not be disclosed without the approval of the other agency.
    (b) If the release of a record covered by this subpart would be of 
concern to both the Corporation and to a foreign, state or local 
government, the record will be made available by the Corporation only 
after consultation with the other interested foreign state or local 
government. Records of a foreign, state or local government will not be 
disclosed without the approval of the government concerned.

[[Page 146]]



     Subpart F--Exemptions From Public Access to Corporation Records



Sec. 902.50  Applicability.

    (a) This subpart implements section 552(b) of title 5 U.S.C., which 
exempts certain records from public inspection under section 552(a). 
This subpart applies to records requested under subparts D and E of this 
part. The Corporation may, however, release a record authorized to be 
withheld under Secs. 902.52 through 902.59 unless it determines that the 
release of that record would be inconsistent with a purpose of the 
aforementioned sections. Examples given in Secs. 902.52 through 902.59 
of records included within a particular statutory exemption are not 
necessarily illustrative of all types of records covered by the 
exemption. Any reasonably segregable portion of a record withheld under 
this subpart shall be provided to a requester, after deletion of the 
portions which are exempt under this subpart.
    (b) This subpart does not authorize withholding of information or 
limit the availability of records to the public, except as specifically 
stated. This subpart is not authority to withhold information from 
Congress.



Sec. 902.51  Records relating to matters that are required by Executive order to be kept secret.

    Records relating to matters that are specifically authorized under 
criteria established by an Executive order to be kept secret in the 
interest of national defense or foreign policy, include those within the 
scope of the following, and any further amendment of any of them, but 
only to the extent that the records are in fact properly classified 
pursuant to such Executive order:
    (a) Executive Order 11652 of March 8, 1972 (3 CFR 1974 Comp. p. 
339);
    (b) Executive Order 10865 of February 20, 1960 (3 CFR 1959-1963 
Comp. p. 398); and
    (c) Executive Order 10104 of February 1, 1950 (3 CFR 1949-1953 
Comp., p. 298).

These records may not be made available for public inspection.



Sec. 902.52  Records related solely to internal personnel rules and practices.

    (a) Records related solely to internal personnel rules and practices 
that are within the statutory exemption include memoranda pertaining to 
personnel matters such as staffing policies, and policies and procedures 
for the hiring, training, promotion, demotion, and discharge of 
employees, and management plans, records, or proposals related to labor-
management relationships.
    (b) The purpose of this section is to authorize the protection of 
any record related to internal personnel rules and practices dealing 
with the relations between the Corporation and its employees.



Sec. 902.53  Records exempted from disclosure by statute.

    (a) Records relating to matters that are specifically exempted by 
statute from disclosure may not be made available for public inspection. 
For example: section 1905 of title 18 U.S.C., protecting trade secrets, 
processes, and certain economic and other data obtained by examination 
or investigation, or from reports.
    (b) The purpose of this section is to preserve the effectiveness of 
statutes of the kind cited as an example, in accordance with their 
terms.



Sec. 902.54  Trade secrets and commercial or financial information that is privileged or confidential.

    (a) Trade secrets and commercial or financial information that are 
privileged and for which confidentiality is requested by the person 
possessing such privilege are within the statutory exemption. This 
includes the following:
    (1) Commercial or financial information not customarily released to 
the public, furnished and accepted in confidence or disclosure of which 
could reasonably be expected to cause substantial competitive harm, or 
both;
    (2) Statements of financial interest furnished by officers and 
employees of the Corporation;
    (3) Commercial, technical, and financial information furnished by 
any person in connection with an application for a loan or a loan 
guarantee;

[[Page 147]]

    (4) Commercial or financial information customarily subjected to an 
attorney-client or similar evidentiary privilege; or,
    (5) Materials in which the Corporation has a property right such as 
designs, drawings, and other data and reports acquired in connection 
with any research project, inside or outside of the Corporation, or any 
grant or contract.
    (b) The purpose of this section is to authorize the protection of 
trade secrets and commercial or financial records that are customarily 
privileged or are appropriately given to the Corporation in confidence. 
It assures the confidentiality of trade secrets and commercial or 
financial information obtained by the Corporation through questionnaires 
and required reports to the extent that the information would not 
customarily be made public by the person from whom it was obtained. In 
any case in which the Corporation has obligated itself not to disclose 
trade secrets and commercial or financial information it receives, this 
section indicates the Corporation's intention to honor that obligation 
to the extent permitted by law. In addition, this section recognizes 
that certain materials, such as research data and materials, formulae, 
designs, and architectural drawings, have significance not as records 
but as items of property acquired, in many cases at public expense. In 
any case in which similar proprietary material in private hands would be 
held in confidence, material covered in this section may be held in 
confidence.
    (c)(1) In general. For commercial or financial information furnished 
to the Corporation on or after March 30, 1988, the Corporation shall 
require the submitter to designate, at the time the information is 
furnished or within a reasonable time thereafter, any information the 
submitter considers confidential or privileged. Commercial or financial 
information provided to the Corporation shall not be disclosed pursuant 
to a Freedom of Information Act request except in accordance with this 
paragraph.
    (2) Notice to submitters. The Corporation shall provide a submitter 
with prompt written notice of a request encompassing its commercial or 
financial information whenever required under paragraph (c)(3) of this 
section, and except as is provided in paragraph (c)(7) of this section. 
Such written notice shall either describe the exact nature of the 
information requested or provide copies of the records or portions 
thereof containing the information. Concurrently with its notice to a 
submitter, the Corporation shall inform a requestor in writing that the 
submitter is afforded a reasonable period within which to object to 
disclosure and that the 10 workday initial determination period provided 
for in 36 CFR 902.60 may therefore be extended.
    (3) When notice is required. (i) For information submitted to the 
Corporation prior to March 30, 1988, the Corporation shall provide a 
submitter with notice of a request whenever:
    (A) The information is less than ten years old;
    (B) The information is subject to prior express commitment of 
confidentiality given by the Corporation to the submitter; or
    (C) The Corporation has reason to believe that disclosure of the 
information may result in substantial competitive harm to the submitter.
    (ii) For information submitted to the Corporation on or after March 
30, 1988, the Corporation shall provide a submitter with notice of a 
request whenever:
    (A) The submitter has in good faith designated the information as 
confidential, or
    (B) The Corporation has reason to believe that disclosure of the 
information may result in substantial competitive harm to the submitter.

Notice of a request for information falling within the former category 
shall be required for a period of not more than ten years after the date 
of submission unless the submitter requests, and provides acceptable 
justification for, a specific notice period of greater duration. The 
submitter's claim of confidentiality should be supported by a statement 
or certification by an officer or authorized representative that the 
information in question is in fact confidential and has not been 
disclosed to the public.

[[Page 148]]

    (4) Opportunity to object to disclosure. Through the notice 
described in paragraph (c)(2) of this section, the Corporation shall 
afford a submitter a reasonable period within which to provide the 
Corporation with a detailed statement of any objection to disclosure. 
Such statement shall specify all grounds for withholding any of the 
information under any exemption of the Freedom of Information Act and, 
in the case of Exemption 4, shall demonstrate why the information is 
contended to be privileged or confidential. Information provided by a 
submitter pursuant to this paragraph may itself be subject to disclosure 
under the Freedom of Information Act.
    (5) Notice of intent to disclose. The Corporation shall consider 
carefully a submitter's objections and specific grounds for 
nondisclosure prior to determining whether to disclose information. 
Whenever the Corporation decides to disclose information over the 
objection of a submitter, the Corporation shall forward to the submitter 
a written notice which shall include:
    (i) A statement of the reasons for which the submitter's disclosure 
objections were not sustained;
    (ii) A description of the information to be disclosed; and
    (iii) A specified disclosure date.

Such notice of intent to disclose shall be forwarded a reasonable number 
of days, as circumstances permit, prior to the specified date upon which 
disclosure is intended. A copy of such disclosure notice shall be 
forwarded to the requester at the same time.
    (6) Notice of lawsuit. Whenever a requester brings suit seeking to 
compel disclosure of information covered by paragraph (c) of this 
section, the Corporation shall promptly notify the submitter.
    (7) Exceptions to notice requirements. The notice requirements of 
this section shall not apply if:
    (i) The Corporation determines that the information should not be 
disclosed;
    (ii) The information lawfully has been published or otherwise made 
available to the public;
    (iii) Disclosure of the information is required by law (other than 5 
U.S.C. 552); or
    (iv) The designation made by the submitter in accordance with 
paragraphs (c)(1) and (c)(3)(ii) of this section appears obviously 
frivolous; except that, in such case, the Corporation shall provide the 
submitter with written notice of any final decision to disclose 
information within a reasonable number of days prior to a specified 
disclosure date.
[41 FR 43143, Sept. 30, 1976, as amended at 53 FR 10374, Mar. 31, 1988]



Sec. 902.55  Intragovernmental exchanges.

    (a) Any record prepared by a Government officer or employee 
(including those prepared by a consultant or advisory body) for internal 
Government use is within the statutory exemption to the extent that it 
contains--
    (1) Opinions, advice, deliberations, or recommendations made in the 
course of developing official action by the Government, but not actually 
made a part of that official action, or
    (2) Information concerning any pending proceeding or similar matter 
including any claim or other dispute to be resolved before a court of 
law, administrative board, hearing officer, or contracting officer.
    (b) This section has two distinct purposes. One is to protect the 
full and frank exchange of ideas, views, and opinions necessary for the 
effective functioning of the Government and to afford this protection 
both before and after any action is taken. This judicially recognized 
privilege of protection against disclosure in litigation or elsewhere is 
intended to assure that these resources will be fully and readily 
available to those officials upon whom the responsibility rests to take 
official and final Corporation action. However, the action itself, any 
memoranda made part of that action, and the facts on which it is based 
are not within this protection. The other purpose is to protect against 
the premature disclosure of material that is in the development stage if 
premature disclosure would be detrimental to the authorized and 
appropriate purposes for which the material is being used, or if, 
because of its tentative nature, the material is likely to be revised or 
modified before it is officially presented to the public.

[[Page 149]]

    (c) Examples of records covered by this section include minutes to 
the extent they contain matter described in paragraph (a) of this 
section; staff papers containing advice, opinions, suggestions, or 
exchanges of views, preliminary to final agency decision or action; 
budgetary planning and programming information; advance information on 
such things as proposed plans to procure, lease, or otherwise hire and 
dispose of materials, real estate, or facilities, documents exchanged 
preparatory to anticipated legal proceedings; material intended for 
public release at a specified future time, if premature disclosure would 
be detrimental to orderly processes of the Corporation; records of 
inspection, investigations, and surveys pertaining to internal 
management of the Department; and matters that would not be routinely 
disclosed under disclosure procedures in litigation and which are likely 
to be the subject of litigation. However, if such a record also contains 
factual information, that information must be made available under 
subpart E of this part unless the facts are so inextricably intertwined 
with deliverative or policymaking processes, that they cannot be 
separated without disclosing those processes.



Sec. 902.56  Protection of personal privacy.

    (a) Any of the following personnel, medical, or similar records is 
within the statutory exemption if its disclosure would harm the 
individual concerned or be a clearly unwarranted invasion of his 
personal privacy:
    (1) Personnel and background records personal to any officer or 
employee of the Corporation, or other person, including his home 
address;
    (2) Medical histories and medical records concerning individuals, 
including applicants for licenses; or
    (3) Any other detailed record containing personal information 
identifiable with a particular person.
    (b) The purpose of this section is to provide a proper balance 
between the protection of personal privacy and the preservation of the 
public's rights to Corporation information by authorizing the protection 
of information that, if released, might unjustifiably invade an 
individual's personal privacy.



Sec. 902.57  Investigatory files compiled for law enforcement purposes.

    (a) Files compiled by the Corporation for law enforcement purposes, 
including the enforcement of the regulations of the Corporation, are 
within the statutory exemption to the extent that production of such 
records would:
    (1) Interfere with enforcement proceedings;
    (2) Deprive a person of a right to a fair trial or an impartial 
adjudication;
    (3) Constitute an unwarranted invasion of personal privacy;
    (4) Disclose the identity of a confidential source and in the case 
of a record compiled by a criminal law enforcement authority in the 
courts of a criminal investigation, or by an agency conducting a lawful 
national security intelligence investigation, confidential information 
furnished only by the confidential source;
    (5) Disclose investigative techniques and procedures; or,
    (6) Endanger the life or physical safety of law enforcement 
personnel.
    (b) The purpose of this section is to protect from disclosure the 
law enforcement files of the Corporation including files prepared in 
connection with related litigation and adjudicative proceedings. It 
includes the enforcement not only of criminal statutes but all kinds of 
laws.



Sec. 902.58  Reports of financial institutions.

    Any material contained in or related to any examination, operating, 
or condition report prepared by, on behalf of, or for the use of, any 
agency responsible for the regulation or supervision of financial 
institutions is within the statutory exemption.



Sec. 902.59  Geological and geophysical information.

    Any geological or geophysical information and data (including maps) 
concerning wells is within the statutory exemption.

[[Page 150]]



                       Subpart G--Time Limitations



Sec. 902.60  Initial determination.

    (a) An initial determination whether or not to release a record 
requested under subparts D and E of this part shall be made by the 
Public Information Offices within 10 workdays after the receipt of a 
request which complies with Sec. 902.21. Failure of the requester to 
comply with those provisions may toll the running of the 10 day period 
until the request is identified as one being made under the Act. This 
time limit may be extended by up to 10 workdays in accordance with 
Sec. 902.62.
    (b) Upon making initial determination, the Administrative Officer 
shall immediately notify the person making the request as to its 
disposition. If the determination is made to release the requested 
record, the Administrative Officer shall make the record promptly 
available. If the determination is to deny the release of the requested 
record, the Public Information Officer shall immediately notify the 
requester of the denial and shall provide the following information.
    (1) The reason for the determination, including a reference to the 
appropriate exemption provided in subpart F of this part;
    (2) The right of the request or to appeal the determination as 
provided in subpart H of this part; and
    (3) The name and position of each person responsible for the denial 
of the request.
[41 FR 43143, Sept. 30, 1976, as amended at 48 FR 17354, Apr. 22, 1983]



Sec. 902.61  Final determination.

    A determination with respect to any appeal made pursuant to subpart 
H of this part will be made within twenty work days after the date of 
receipt of the appeal. The time limit provided may be extended by up to 
10 workdays in accordance with Sec. 902.62.



Sec. 902.62  Extension of time limits.

    (a) In unusual circumstances, the time limits prescribed in 
Secs. 902.60 and 902.61 may be extended by written notice to the person 
making the request. The notice shall set forth the reasons for the 
extension and the date on which a determination is expected to be 
dispatched. Under no circumstances shall the notice specify a date that 
would result in an extension for more than 10 workdays.
    (b) As used in this section, unusual circumstances means (but only 
to the extent reasonably necessary to the proper processing of the 
particular request):
    (1) The need to search for, collect and appropriately examine a 
voluminous amount of separate and distinct records which are demanded in 
a single request;
    (2) The need to search for and collect the requested records from 
field facilities or other establishments that are separate from the 
office processing the request; or
    (3) The need for consultation, which shall be conducted with all 
practicable speed, with another agency having a substantial interest in 
the determination of the request or among two or more components of the 
agency having substantial subject matter interest therein.
    (c) Any person having made a request for records under this part 
shall have exhausted his administrative remedies with respect to such 
request, if the Corporation fails to comply with the applicable time 
limitations set forth in this subject.



  Subpart H--Procedures for Administrative Appeal of Decisions Not To 
                            Disclose Records



Sec. 902.70  General.

    Within the time limitations of subpart G of this part, if the 
Administrative Officer makes a determination not to disclose a record 
requested under subparts D and E of this part, he shall furnish a 
written statement of the reasons for that determination to the person 
making the request. The statement shall indicate the name(s) and 
title(s) of each person responsible for the denial of the request, and 
the availability of an appeal with the Corporation. Any person whose 
request for a record has

[[Page 151]]

been denied may submit a written appeal to the Corporation requesting 
reconsideration of the decision.
[41 FR 43143, Sept. 30, 1976, as amended at 48 FR 17354, Apr. 22, 1983]



Sec. 902.71  Forms for appeal.

    Although no particular written form is prescribed for on appeal, the 
letter or similar written statement appealing a denial of a record shall 
contain a description of the record requested, the name and position of 
the official who denied the request, the reason(s) given for the denial, 
and other pertinent facts and statements deemed appropriate by the 
appellant. The Corporation may request additional details if the 
information submitted is insufficient to support an appeal.



Sec. 902.72  Time limitations on filing an appeal.

    An appeal must be submitted in writing within thirty days from the 
date of receipt of the initial written denial and must contain the 
information requested in Sec. 902.71.



Sec. 902.73  Where to appeal.

    An appeal shall be addressed to the Chairman of the Board of 
Directors, Pennsylvania Avenue Development Corporation, 1331 
Pennsylvania Avenue, NW., Suite 1220 North, Washington, DC 20004.
[41 FR 43143, Sept. 30, 1976, as amended at 50 FR 45824, Nov. 4, 1985]



Sec. 902.74  Agency decision.

    (a) The Chairman shall have sole authority to act on an appeal, 
which seeks to reverse an initial decision denying disclosure of a 
record. He shall review each appeal and provide the appellant and other 
interested parties with a written notice of his decision. The decision 
of the Chairman as to the availability of the record is administratively 
final.
    (b) If the decision of the Chairman sustains the refusal to 
disclose, the notice of decision shall set forth the reasons for the 
refusal, including the specific exemptions from disclosure under the Act 
that are the bases of the decision not to disclose. The notice shall 
further advise the appellant that judicial review is available on 
complaint to the appropriate District Court of the United States, as 
provided in section 552(a)(4)(B) of title 5 U.S.C.
    (c) As set out in Sec. 902.61, the final decision on appeal shall be 
made within 20 workdays after the receipt of the appeal. An extension of 
this limitation is authorized as prescribed under Sec. 902.62.



                             Subpart I--Fees



Sec. 902.80  General.

    (a) This subpart prescribes fees for services performed by the 
Corporation under subparts D and E of this part. This subpart shall only 
apply to the services described herein. The fees for the service listed 
reflect the actual cost of the work involved in compiling requested 
record and copying, if necessary.
    (b) A fee shall not be charged for time spent in resolving legal or 
policy issues.
[41 FR 43143, Sept. 30, 1976, as amended at 52 FR 26677, July 16, 1987]



Sec. 902.81  Payment of fees.

    The fees prescribed in this part may be paid in cash or by check, 
draft, or postal money order made payable to the Pennsylvania Avenue 
Development Corporation.
[52 FR 26677, July 16, 1987]



Sec. 902.82  Fee schedule.

    (a) Definitions. For purposes of this section--
    (1) A commercial use request is a request from or on behalf of one 
who seeks information for a use or purpose that furthers the commercial, 
trade, or profit interests of the requester or the person on whose 
behalf the request is made. In determining whether a requester properly 
belongs in this category, the Corporation will determine the use to 
which the requester will put the records sought. Where the Corporation 
has reasonable cause to doubt the use to which a requester will put the 
records sought, or where that use is not clear from the request itself, 
the Corporation will seek additional clarification before assigning the 
request to a specific category.

[[Page 152]]

    (2) Direct costs means those expenditures the Corporation actually 
incurs in searching for and duplicating (and in the case of commercial 
requesters, reviewing) records to respond to an FOIA request. Direct 
costs include, for example, the salary of the employee performing work 
(the basic rate of pay for the employee plus 16 percent of that rate to 
cover benefits) and the cost of operating duplicating machinery. Not 
included in direct costs are overhead expenses such as costs of space, 
and heating or lighting the facility in which the records are stored.
    (3) Duplication means the process of making a copy of a record 
necessary to respond to an FOIA request. Such copies can take the form 
of paper copy, microform, audio-visual materials, or machine-readable 
documentation (e.g., magnetic tape or disk), among others. The copy 
provided must be in a form that is reasonably usable by requesters.
    (4) 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, which operates a program or programs of scholarly research.
    (5) Non-commercial scientific institution means an institution that 
is not operated on a commercial basis, within the meaning of paragraph 
(a)(1) of this section and that is operated solely for the purpose of 
conducting scientific research, the results of which are not intended to 
promote any particular product or industry.
    (6) Representative of the new media means any person actively 
gathering news for an entity that is organized and operated to publish 
or broadcast news to the public. The term news means information that is 
about current events or that would be of current interest to the public. 
Examples of new media entities include television or radio stations 
broadcasting to the public at large, and publishers of periodicals (but 
only in those instances when they can qualify as disseminators of news) 
who make their products available for purchase or subscription by the 
general public. These examples are not intended to be all-inclusive. 
Moreover, as traditional methods of news delivery evolve (e.g., 
electronic dissemination of newspapers through telecommunications 
services), such alternative media would be included in this category. 
Freelance journalists may be regarded as working for a news organization 
if they can demonstrate a solid basis for expecting publication through 
that organization, even though not actually employed by it. A 
publication contract would be the clearest proof, but the Corporation 
may also look to the past publication record of a requester in making 
this determination.
    (7) Review means the process of examining records located in 
response to a request that is for a commercial use (see paragraph (a)(1) 
of this section) to determine whether any portion of any record located 
is permitted to be withheld. It also includes processing any records for 
disclosure, e.g., doing all that is necessary to excise them and 
otherwise prepare them for release. Review does not include time spent 
resolving general legal or policy issues regarding the application of 
exemptions.
    (8) Search includes all time spent looking for material that is 
responsive to a request, including page-by-page or line-by-line 
identification of material within records. A line-by-line search will 
not be conducted when merely duplicating an entire record would be the 
less expensive and quicker method of complying with the request. Search 
does not include review of material to determine whether the material is 
exempt from disclosure (see paragraph (a)(7) of this section). Searches 
may be done manually or by computer using existing programming.
    (b) The following provisions shall apply with respect to services 
rendered to the public in processing requests for disclosure of the 
Corporation's records under this part:
    (1) Fee for duplication of records: $0.25 per page. When the 
Corporation estimates that duplication charges are likely to exceed 
$25.00, it will notify the requester of the estimated amount of fees, 
unless the requester has indicated in advance his willingness to pay 
fees as high as those anticipated. The

[[Page 153]]

Corporation will offer the requester the opportunity to confer with the 
Corporation's staff in order to reformulate the request to meet the 
requester's needs at a lower cost.
    (2) Search and review fees. (i) Searches for records by clerical 
personnel: $7.00 per hour, including the time spent searching for and 
copying any records.
    (ii) Search for and review of records by professional and 
supervisory personnel: $11.50 per hour spent searching for any record or 
reviewing any record to determine whether it may be disclosed, including 
time spent in copying any record.
    (iii) Except for requests seeking records for a commercial use, the 
Corporation will provide the first 100 pages of duplication and the 
first two hours of search time without charge. The word pages means 
paper copies of a standard size, either 8\1/2\" by 11" or 14" by 14".
    (3) Duplication of architectural drawings, maps, and similar 
materials: (per copy) $10.00.
    (4) Reproduction of 35 mm slides: (per copy) $1.00.
    (5) Reproduction of enlarged, black and white photographs: (per 
copy) $10.00.
    (6) Reproduction of enlarged color photographs: (per copy) $17.00.
    (7) Certification and validation fee: $1.75 for each certification 
or validation of a copy of any record.
    (8) Categories of FOIA requesters and fees to be charged--(i) 
Commercial use requesters. When the Corporation receives a request for 
records for commercial use, it will assess charges to recover the full 
direct costs of searching for, reviewing for release, and duplicating 
the records sought. Requesters must reasonably describe the records 
sought.
    (ii) Educational and non-commercial scientific institution 
requesters. The Corporation shall provide copies of records to 
requesters in this category for the cost of reproduction alone, 
excluding charges for the first 100 pages. To be eligible for inclusion 
in this category, requesters must show that the request is being made as 
authorized by and under the auspices of a qualifying institution and 
that the records are not sought for a commercial use but are sought in 
furtherance of scholarly (if the request is from an educational 
institution) or scientific (if the request is from a non-commercial 
scientific institution) research. Requesters must reasonably describe 
the records sought.
    (iii) Requesters who are representatives of the news media. The 
Corporation shall provide documents to requesters in this category for 
the cost of reproduction alone, excluding charges for the first 100 
pages. To be eligible for inclusion in this category, a requester must 
meet the criteria in the definition of representative of the news media 
in paragraph (a)(6) of this section, and his or her request must not be 
made for a commercial use. In reference to this class of requester, a 
request for records supporting the news dissemination function of the 
requester shall not be considered to be a request that is for a 
commercial use. Requestors must reasonably describe the records sought.
    (iv) All other requesters. The Corporation will charge requesters 
who do not fit into any of the categories above fees which recover the 
full reasonable direct cost of searching for and reproducing records 
that are responsive to the request, except that the first 100 pages of 
reproduction and the first two hours of search time shall be furnished 
without charge. Requests from record subjects for records about 
themselves filed in the Corporation's systems of records will be treated 
under the fee provisions of the Privacy Act of 1974 which permit fees 
only for reproduction. Requesters must reasonably describe the records 
sought.
    (9) Interest. In the event a requester fails to remit payment of 
fees charged for processing a request under this part within 30 days 
from the date such fees were billed, interest on such fees may be 
assessed beginning on the 31st day after the billing date at the rate 
prescribed in section 3717 of title 31 U.S.C., and will accrue from the 
date of the billing.
    (10) Unsuccessful searches. Except as provided in paragraph 
(b)(8)(iv) of this section, the cost of searching for a requested record 
shall be charged even if the search fails to locate such record or it is 
determined that the record is exempt from disclosure.
    (11) Aggregating requests. A requester must not file multiple 
requests at the same time, each seeking portions of a

[[Page 154]]

record or records, solely in order to avoid payment of fees. When the 
Corporation reasonably believes that a requester, or a group of 
requesters acting in concert, is attempting to break a request down into 
a series of requests for the purpose of evading the assessment of fees, 
the Corporation may aggregate any such requests and charge accordingly.
    (12) Advance payments. The Corporation will not require a requester 
to make an advance payment, i.e., payment before work is commenced or 
continued on a request unless:
    (i) The Corporation estimates or determines that allowable charges 
that a requester may be required to pay are likely to exceed $250; or
    (ii) If a requester has previously failed to make timely payments 
(i.e., within 30 days of billing date) of fees charged under this part, 
the requester may be required to pay the full amount owed plus any 
applicable interest accrued thereon or demonstrate that he has, in fact, 
paid the fee, and to make an advance payment of the full amount of the 
estimated fee before the Corporation begins to process a new request or 
a pending request from this requester.
    (iii) With regard to any request coming within paragraphs (b)(12) 
(i) and (ii) of this section, the administrative time limits set forth 
in Secs. 902.60, 902.61, and 902.62 of this part will begin to run only 
after the Corporation has received the requisite fee payments.
    (iv) Non-payment. In the event of nonpayment of billed charges for 
disclosure of records, the provisions of the Debt Collection Act of 1982 
(Pub. L. 97-365), including disclosure to consumer credit reporting 
agencies and referral to collection agencies, where appropriate, may be 
utilized to obtain payment.
[52 FR 26677, July 16, 1987]



Sec. 902.83  Waiver or reduction of fees.

    Fees otherwise chargeable in connection with a request for 
disclosure of a record shall be waived or reduced where:
    (a) Disclosure of the information is in the public 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; or
    (b) The costs of routine collection and processing of the fee are 
likely to equal or exceed the amount of the fee.
[52 FR 26679, July 16, 1987]



PART 903--PRIVACY ACT--Table of Contents




Sec.
903.1  Purpose and scope.
903.2  Definitions.
903.3  Procedures for notification of records pertaining to individuals.
903.4  Requests for access to records.
903.5  Response to request for access.
903.6  Appeal of initial denial of access.
903.7  Requests for amendment of record.
903.8  Review of request for amendment of record.
903.9  Appeal of initial adverse determination of request for amendment 
          of record.
903.10  Disclosure of records to persons or agencies.
903.11  Routine uses of records maintained in the system of records.
903.12  Fees for furnishing and reproducing records.
903.13  Penalties.

    Authority: 5 U.S.C. 552a; 40 U.S.C. 870.

    Source: 42 FR 5973, Feb. 1, 1977, unless otherwise noted.



Sec. 903.1  Purpose and scope.

    The purpose of this part is to enable the Pennsylvania Avenue 
Development Corporation to implement the Privacy Act of 1974, and in 
particular the provisions of 5 U.S.C. 552a, as added by the Act. The Act 
was designed to insure that personal information about individuals 
collected by Federal agencies be limited to that which is legally 
authorized and necessary, and that the information is maintained in a 
manner which precludes unwarranted intrusions upon individual privacy. 
The regulations in this part establish, and make public, procedures 
whereby an individual can:
    (a) Request notification of whether or not the Corporation maintains 
or has disclosed a record pertaining to him or her,
    (b) Request access to such a record or an accounting of its 
disclosure,
    (c) Request that the record be amended, and

[[Page 155]]

    (d) Appeal any initial adverse determination of a request to amend a 
record.



Sec. 903.2  Definitions.

    As used in this part:
    (a) Agency means agency as defined in 5 U.S.C. 552(e).
    (b) Corporation means the Pennsylvania Avenue Development 
Corporation.
    (c) Workday shall be a day excluding a Saturday, Sunday or legal 
holiday.
    (d) Individual means a citizen of the United States or an alien 
lawfully admitted for permanent residence.
    (e) Maintain includes maintain, collect, use, or disseminate.
    (f) Record means any items, collection, or grouping of information 
about an individual that is maintained by an agency, including, but not 
limited to, his or her education, financial transactions, medical 
history, and criminal or employment history and that contains his or her 
name, or the identifying number, symbol or other identifying particular 
assigned to the individual, such as a finger or voice print or a 
photograph.
    (g) The term system of records means a group of records under the 
control of an agency from which information is retrieved by the name of 
the individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual.
    (h) The term statistical record means a record in a system of 
records maintained for statistical research or reporting purposes only 
and not used in whole or in part in making any determination about an 
identifiable individual except as provided by section 8 of title 13 
U.S.C.
    (i) The term routine use means, with respect to the disclosure of a 
record, the use of such record for a purpose which is compatible with 
the purpose for which it was collected.



Sec. 903.3  Procedures for notification of records pertaining to individuals.

    (a) An individual making a written or oral request under the Privacy 
Act (5 U.S.C. 522a) shall be informed of any Corporation systems of 
records which pertain to the individual, if the request contains a 
reasonable identification of the appropriate systems of records as 
described in the notice published in the Federal Register.
    (b) Requests may be made in person between the hours of 9:00 a.m. 
and 5:00 p.m. Monday through Friday, (except legal holidays). The 
request should be addressed to the Privacy Protection Officer, 
Pennsylvania Avenue Development Corporation, 1331 Pennsylvania Avenue, 
NW., Suite 1220 North, Washington, DC 20004. The Privacy Protection 
Officer of the Corporation will require adequate personal identification 
before processing the request. If a request is made in writing it must 
be under the signature of the requesting individual and include the 
individual's address, date of birth, and an additional proof of 
identification, such as a photocopy of a driver's license or similar 
document bearing the individual's signature. A notarized, signed 
statement is acceptable to verify the identity of the individual 
involved without additional proof.
[42 FR 5973, Feb. 1, 1977, as amended at 50 FR 45824, Nov. 4, 1985]



Sec. 903.4  Requests for access to records.

    (a) Except as otherwise provided by law or regulation, an 
individual, upon request made in person or delivered in writing may gain 
access to his or her record or to any information pertaining to him or 
her which is contained in a system of records maintained by the 
Corporation, and to review the record and have a copy made of all or any 
portion thereof in a form comprehensible to him or her. An individual 
seeking access to a Corporation record may be accompanied by a person of 
his or her choosing. However, the Corporation will require a written 
statement from the individual authorizing discussion of his or her 
record in the accompanying person's presence.
    (b) A request under paragraph (a) of this section shall be directed 
to the Privacy Protection Officer at the place, times and in the manner 
prescribed in Sec. 903.3(a) and (b). The request should include the 
following information:
    (1) The name of the individual;
    (2) If made in writing, the information required under 
Sec. 903.3(b);

[[Page 156]]

    (3) A description of system or systems of records which contain the 
record to which access is requested;
    (4) The approximate dates covered by the record; and,
    (5) A suggested date and time when the individual would like to view 
the record.
    (c) Requests which do not contain information sufficient to identify 
the record requested will be returned promptly to the requester, with a 
notice indicating that information is lacking. Individuals making 
requests in person will be informed of any deficiency in the 
specification of records or identification at the time that the request 
is made. The Privacy Protection Officer of the Corporation will require 
adequate personal identification before processing a request made in 
person.



Sec. 903.5  Response to request for access.

    (a) Within 10 days of receipt of a request made under Sec. 903.4 the 
Privacy Protection Officer shall determine whether access to the record 
is available under the Privacy Act and shall notify the requesting 
individual in person or in writing of that determination.
    (b) Notices granting access shall inform the individual when and 
where the requested record may be seen, how copies may be obtained, and 
of any anticipated fees or charges which may be incurred under 
Sec. 903.11. Access shall be provided within 30 days of receipt of the 
request unless the Corporation, for good cause shown, is unable to 
provide prompt access, in which case the individual shall be informed in 
writing within the 30 days as to the cause for delay and when it is 
anticipated that access will be granted.
    (c) Notices denying access shall state the reasons for the denial, 
and advise the individual that the decision may be appealed in 
accordance with the procedures set forth in Sec. 903.6.



Sec. 903.6  Appeal of initial denial of access.

    (a) After receiving notification of an initial denial of access to a 
record, an individual may request a review and reconsideration of the 
request by the Executive Director of the Corporation, or an officer of 
the Corporation designated by him, but other than the Privacy Protection 
Officer. Appeals for review shall be in writing, addressed to the 
Executive Director, Pennsylvania Avenue Development Corporation, 1331 
Pennsylvania Avenue, NW., Suite 1220 North, Washington, DC 20004. The 
appeal shall identify the record as in the original request, shall 
indicate the date of the original request and the date of the initial 
denial, and shall indicate the expressed basis for the denial.
    (b) Not later than 30 days after receipt of an appeal, the Executive 
Director, or an officer of the Corporation designated by him, will 
complete review of the appeal and the initial denial and either:
    (1) Determine that the appeal should be granted, and notify the 
individual in writing to that effect; or,
    (2) Determine that the appeal should be denied because the 
information requested is exempt from disclosure. If the reviewing 
official denies the appeal, he or she shall advise the individual in 
writing of the decision and the reasons for reaching it, and that the 
denial of the appeal is a final agency action entitling the individual 
to seek judicial review in the appropriate district court of the United 
States as provided in 5 U.S.C. 552a(g).
[42 FR 5973, Feb. 1, 1977, as amended at 50 FR 45824, Nov. 4, 1985]



Sec. 903.7  Requests for amendment of record.

    (a) An individual may request amendment of a Corporation record 
pertaining to him or to her, if the individual believes that the record 
contains information which is not accurate, relevant, timely, or 
complete. The request shall be in writing, whether presented in person 
or by mail, shall state with specificity the record sought to be 
amended, and shall propose wording of the correction or amendment 
sought. The request shall be directed to the Privacy Protection Officer 
at the place, times, and in the manner specified in Sec. 903.3 (a) and 
(b). Assistance in preparing a request to amend a record, or to appeal 
an initial adverse determination under Sec. 903.3(a), may be obtained 
from the Privacy Officer, Pennsylvania Avenue

[[Page 157]]

Development Corporation, 1331 Pennsylvania Avenue, NW., Suite 1220 
North, Washington, DC 20004.
    (b) Not later than 10 days after the date of receipt of a request 
the Privacy Protection Officer will acknowledge it in writing. The 
acknowledgement will clearly describe the request, and if a 
determination has not already been made, will advise the individual when 
he or she may expect to be advised of action taken on the request. For 
requests presented in person, written acknowledgement will be provided 
at the time when the request is presented. No separate acknowledgement 
of receipt will be issued if the request can be reviewed and the 
individual advised of the results of the review within the 10 day 
period.
[42 FR 5973, Feb. 1, 1977, as amended at 50 FR 45824, Nov. 4, 1985]



Sec. 903.8  Review of request for amendment of record.

    (a) Upon receipt of a request for amendment of a record the Privacy 
Protection Officer will promptly review the record and: Either:
    (1) Amend any portion thereof which the individual believes is not 
accurate, relevant, timely, or complete; or
    (2) Inform the individual of refusal to amend the record in 
accordance with the request. In reviewing a record pursuant to a request 
to amend it, the Corporation will assess the accuracy, relevance, 
timeliness and completeness of the record in terms of the criteria 
established in 5 U.S.C. 522a(e)(5). In reviewing a record in response to 
a request to amend it by deleting information, the Corporation will 
ascertain whether or not the information is relevant and necessary to 
accomplish a purpose of the Corporation required to be accomplished by 
statute or by executive order of the President, as prescribed by 5 
U.S.C. 522a(e)(1).
    (b) The Corporation shall take the action specified in paragraph (a) 
of this section within 30 days of receipt of a request for amendment of 
a record, unless unusual circumstances preclude completion of the action 
within that time. If the expected completion date for the action, as 
indicated in the acknowledgement provided pursuant to Sec. 903.5 cannot 
be met, the individual shall be advised of the delay and of a revised 
date when action is expected to be completed. If necessary for an 
accurate review of the record, the Corporation will seek, and the 
individual will supply, additional information in support of his or her 
request for amending the record.
    (c) If the Corporation agrees with all or any portion of an 
individual's request to amend a record, the Corporation will so advise 
the individual in writing, and amend the record to the extent agreed to 
by the Corporation. Where an accounting of disclosures has been kept, 
the Corporation will advise all previous recipients of the record of the 
fact that the amendment was made and the substance of the amendment.
    (d) If the Corporation disagrees with all or any portion of an 
individual's request to amend a record, the Corporation shall:
    (1) Advise the individual of its adverse determination and the 
reasons therefor, including the criteria used by the Corporation in 
conducting the review;
    (2) Inform the individual that he or she may request a review of the 
adverse determination by the Executive Director of the Corporation, or 
by an officer of the Corporation designated by the Executive Director; 
and,
    (3) Advise the individual of the procedures for requesting such a 
review including the name and address of the official to whom the 
request should be directed.
    (e) If the Corporation is apprised by another agency of any 
corrections or other amendments made to a record contained in the 
Corporation's system of records, the Corporation will promptly amend its 
record and advise in writing all previous recipients of the record of 
the fact that the amendment was made and the substance of the amendment.



Sec. 903.9  Appeal of initial adverse determination of request for amendment of record.

    (a) After receipt by an individual of notice of an adverse 
determination by the Privacy Protection Officer concerning a request to 
amend a record, the individual may, within 60 working

[[Page 158]]

days after the date of receipt of the notice, appeal the determination 
by seeking a review by the Executive Director of the Corporation, or by 
an officer of the Corporation designated by him. The appeal shall be in 
writing, mailed or delivered to the Executive Director, Pennsylvania 
Avenue Development Corporation, 1331 Pennsylvania Avenue, NW, Suite 1220 
North, Washington, DC 20004. The appeal shall identify the record in the 
same manner as it was identified in the original request, shall indicate 
the dates of the original request and of the adverse determination and 
shall indicate the expressed basis for that determination. In addition, 
the appeal shall state briefly the reasons why the adverse determination 
should be reversed.
    (b) Not later than 30 days after receipt of an appeal, the Executive 
Director, or an officer of the Corporation designated by him, will 
complete a review of the appeal and the initial determination, and 
either: (1) Determine that the appeal should be granted, take the 
appropriate action with respect to the record in question, and notify 
the individual accordingly; or, (2) determine that the appeal should be 
denied.
    (c) The reviewing official may, at his or her option, request from 
the individual such additional information as is deemed necessary to 
properly conduct the review. If additional time is required, the 
Executive Director may, for good cause shown, extend the period for 
action beyond the 30 days specified above. The individual will then be 
informed in writing of the delay and the reasons therefor, and of the 
approximate date on which action is expected to be completed.
    (d) If the reviewing official denies the appeal, he or she shall 
advise the individual in writing:
    (1) Of the decision and the reasons for reaching it;
    (2) That the denial of the appeal is a final agency action entitling 
the individual to seek judicial review in the appropriate district court 
of the United States, as provided in 5 U.S.C. 552a(g); and,
    (3) That the individual may file with the Corporation a concise 
statement setting forth the reasons for his or her disagreement with the 
refusal of the Corporation to amend the record in question.
    (e) Any individual having received notices of a denial of an appeal 
to amend a record may file a statement of disagreement with the 
Executive Director not later than 60 working days from the date of 
receipt of the notice. Such statements shall ordinarily not exceed one 
page in length, and the Corporation reserves the right to reject 
statements of excessive length. Upon receipt of a proper and timely 
statement of disagrement, the Corporation will clearly annotate the 
record in question to indicate the portion of the record which is in 
dispute. In any subsequent disclosure containing information about which 
the individual has filed a statement of disagreement, the Corporation 
will provide a copy of the statement together with the record to which 
it pertains. In addition, prior recipients of the disputed record will 
be provided with a copy of statements of disagreement to the extent that 
an accounting of disclosures was maintained. If the Corporation deems it 
apropriate, it may also include in any disclosure its own concise 
statement of the reasons for not making the amendments requested.
[42 FR 5973, Feb. 1, 1977, as amended at 50 FR 45824, Nov. 4, 1985]



Sec. 903.10  Disclosure of records to persons or agencies.

    (a) The Corporation 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:
    (1) Pursuant to a written request by, or with the prior written 
consent of, the individual to whom the record pertains;
    (2) To those officers and employees of the Corporation who have a 
need for the record in the performance of their duties;
    (3) When required under 5 U.S.C. 522 (The Freedom of Information 
Act); or
    (4) Pursuant to the conditions of disclosure contained in 5 U.S.C. 
552a(b)(3) through 5 U.S.C. 522a(b)(11).
    (b) The Privacy Protection Officer of the Corporation shall keep an 
accounting of each disclosure made pursuant to paragraph (a)(4) of this 
section, in

[[Page 159]]

accordance with 5 U.S.C. 552a(c). Except for disclosures made pursuant 
to 5 U.S.C. 552a(b)(7), the Privacy Protection Officer shall make the 
accounting kept under this paragraph available to an individual to whom 
the record pertains, upon his or her request. An individual requesting 
an accounting of disclosures should do so at the place, times and in the 
manner specified in Sec. 903.3 (a) and (b).



Sec. 903.11  Routine uses of records maintained in the system of records.

    (a) It shall be a routine use of the records in this system of 
records to disclose them to the Department of Justice when:
    (1) The Corporation, or any component thereof; or
    (2) Any employee of the Corporation in his or her official capacity; 
or
    (3) Any employee of the Corporation in his or her individual 
capacity where the Department of Justice has agreed to represent the 
employee; or
    (4) The United States, where the Corporation determines that 
litigation is likely to affect the Corporation or any of its components, 
is a party to litigation or an interest in such litigation, and the use 
of such records by the Department of Justice is deemed by the 
Corporation to be relevant and necessary to the litigation, provided, 
however, that in each case, the Corporation determines that disclosure 
of the records to the Department of Justice is a use of the information 
contained in the records that is compatible with the purpose for which 
the records were collected.
    (b) It shall be a routine use of records maintained by the 
Corporation to disclose them in a proceeding before a court or 
adjudicative body before which the Corporation is authorized to appear, 
when:
    (1) The Corporation, or any component thereof; or
    (2) Any employee of the Corporation is his or her individual 
capacity;
    (3) Any employee of the agency in his or her individual capacity 
where the Department of Justice has agreed to represent the employee; or
    (4) The United States, where the Corporation determines that 
litigation is likely to affect the Corporation or any of its components 
is a party to litigation or has an interest in such litigation and the 
Corporation determines that use of such records is relevant and 
necessary to the litigation, provided, however, that, in each case, the 
Corporation determines that disclosure of the records to the Department 
of Justice is a use of the information contained in the records that is 
compatible with the purpose for which the records were collected.
[52 FR 34384, Sept. 11, 1987; 52 FR 39224, Oct. 21, 1987]



Sec. 903.12  Fees for furnishing and reproducing records.

    (a) Individuals will not be charged a fee 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;
    (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. The Privacy Protection Officer may provide additional 
copies of any record without charge when it is determined that it is in 
the interest of the Government to do so.
    (b) Except as provided in paragraph (a) of this section, fees will 
be charged for the duplication of records at a rate of 10 cents per 
page. If it is anticipated that the total fee chargeable to an 
individual under this subpart will exceed $25, the Corporation shall 
promptly notify the requester of the anticipated cost. An advance 
deposit equal to 50% of the anticipated total fee will be required 
unless waived by the Privacy Protection Officer. In notifying the 
requester of the anticipated fee, the Privacy Protection Officer shall 
extend an offer to the requester to consult so that the request might be 
reformulated in a manner which will reduce the fee, yet still meet the 
needs of the requester.
    (c) Fees must be paid in full prior to delivery of the requested 
copies. Remittances may be in the form of cash, personal check, bank 
draft or a postal money order. Remittances, other than

[[Page 160]]

cash shall be made payable to the Treasurer of the United States.
[42 FR 5973, Feb. 1, 1977. Redesignated at 52 FR 34384, Sept. 11, 1987; 
52 FR 39224, Oct. 21, 1987]



Sec. 903.13  Penalties.

    The provision of 5 U.S.C. 552a(i), as added by section 3 of the 
Privacy Act, make it a misdemeanor subject to a maximum fine of $5,000, 
to knowingly and willfully request or obtain any record concerning an 
individual from an agency under false pretenses. Similar penalties 
attach for violations by agency officers and employees of the Privacy 
Act or regulations established thereunder.
[42 FR 5973, Feb. 1, 1977. Redesignated at 52 FR 34384, Sept. 11, 1987; 
52 FR 39224, Oct. 21, 1987]



PART 904--UNIFORM RELOCATION ASSISTANCE AND REAL PROPERTY ACQUISITION FOR FEDERAL AND FEDERALLY ASSISTED PROGRAMS--Table of Contents




    Authority: Sec. 213, Uniform Relocation Assistance and Real Property 
Acquisition Policies Act of 1970, Pub. L. 91-646, 84 Stat. 1894 (42 
U.S.C. 4601) as amended by the Surface Transportation and Uniform 
Relocation Assistance Act of 1987, title IV of Pub. L. 100-17, 101 Stat. 
246-256 (42 U.S.C. 4601 note).



Sec. 904.1  Uniform relocation assistance and real property acquisition.

    Regulations and procedures for complying with the Uniform Relocation 
Assistance and Real Property Acquisition Policies Act of 1970 (Pub. L. 
91-646, 84 Stat. 1894, 42 U.S.C. 4601), as amended by the Surface 
Transportation and Uniform Relocation Assistance Act of 1987 (title IV 
of Pub. L. 100-17, 101 Stat. 246-255, 42 U.S.C. 4601 note) are set forth 
in 49 CFR part 24.
[52 FR 48022, Dec. 17, 1987 and 54 FR 8912, Mar. 2, 1989]



PART 905--STANDARDS OF CONDUCT--Table of Contents




                      Subpart A--General Provisions

Sec.
905.735-101  Principles and purpose.
905.735-102  Adoption of regulations.
905.735-103  Definitions.
905.735-104  Applicability.
905.735-105  Designation of counselor.
905.735-106  Notification to employees and special Government employees.
905.735-107  Review of statements of employment and financial interests.
905.735-108  Remedial and disciplinary action.

          Subpart B--Conduct and Responsibilities of Employees

905.735-201  General standards of conduct.
905.735-202  Gifts, entertainment, and favors.
905.735-203  Outside employment and other activity.
905.735-204  Disclosure of information.
905.735-205  Purchase of Government-owned property.

 Subpart C--Conduct and Responsibilities of Special Government Employees

905.735-301  General standards of conduct.

    Subpart D--Special Standards Applicable to Certain Board Members

905.735-401  Standards.
905.735-402  Advice and determination.

       Subpart E--Statements of Employment and Financial Interests

905.735-501  Form and content of statements.
905.735-502  Statements of employment and financial interests by 
          employees.
905.735-503  Statements of employment and financial interests by special 
          Government employees.
905.735-504  Procedures for obtaining statements.
905.735-505  Confidentiality of statements.

Subpart F--Conduct and Responsibilities of Former Employees--Enforcement

905.737-101  Applicable provisions of law.
905.737-102  Enforcement proceedings.

    Authority: 40 U.S.C. 875, unless otherwise noted.

    Source: 43 FR 60902, Dec. 29, 1978, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 905.735-101  Principles and purpose.

    In order to assure that the business of the Pennsylvania Avenue 
Development Corporation is conducted effectively, objectively, and 
without improper influence or appearance thereof, all employees and 
special Government

[[Page 161]]

employees must observe unquestionable standards of integrity and 
conduct. Employees and special Government employees shall not engage in 
criminal, infamous, dishonest, immoral, or disgraceful conduct or other 
conduct prejudicial to the Government. All employees and special 
Government employees must avoid conflicts of private interest with their 
public duties and responsibilities. They must consider the propriety of 
any action in relation to general ethical standards of the highest 
order, so that public confidence in the integrity of the Government will 
not be impaired. Certain standards are set by law. Others are set by 
regulation and by policy. This part incorporates by reference applicable 
general standards of conduct and prescribes additional necessary 
elements. Taken together, this part constitutes the Corporation's 
regulations on this subject. Failure to observe any of the regulations 
in this part is cause for remedial action.



Sec. 905.735-102  Adoption of regulations.

    Under the authority of 5 CFR 735.104(f), the Corporation adopts the 
following sections of the Civil Service Commission regulations on 
``Employee Responsibilities and Conduct'' found in part 735 of title 5, 
Code of Federal Regulations: Secs. 735.202 (a), (d), (e), (f) through 
735.210; 735.302; 735.303(a); 735.304; 735.305(a); 735.306; 735.404 
through 735.411; and 735.412 (b) and (d).
[43 FR 60902, Dec. 29, 1978, as amended at 45 FR 15927, Mar. 12, 1980]



Sec. 905.735-103  Definitions.

    As used in this part:
    (a) Board Member means any member of the Board of Directors of the 
Pennsylvania Avenue Development Corporation, appointed or serving under 
section 3, Pub. L. 92-578, 86 Stat. 1267 (40 U.S.C. 872).
    (b) Chairman means the Chairman of the Board of Directors and 
President of the Corporation.
    (c) Conflict means the subordination of public responsibilities to 
private interests, and includes the appearance of such subordination.
    (d) Consultant means an individual who serves as an advisor to an 
officer or division of the Corporation, as distinguished from an officer 
or employee who carries out the agency's duties and responsibilities. He 
gives his views or opinions on problems or questions presented him by 
the Corporation, but he neither performs nor supervises performance of 
operating functions. Ordinarily, he is expert in the field in which he 
advises, but he need not be a specialist. His expertness may lie in his 
possession of a high order of broad administrative, professional, or 
technical experience indicating that his ability and knowledge make his 
advice distinctively valuable to the agency. (Chapter 304, Federal 
Personnel Manual).
    (e) Corporation means the Pennsylvania Avenue Development 
Corporation, created by the Pennsylvania Avenue Development Corporation 
Act of 1972, Pub. L. 92-578, 86 Stat. 1266 (40 U.S.C. 871).
    (f) Employee means an officer or employee of the Corporation, but 
does not include a special Government employee as defined herein. The 
term includes those Board Members who are determined to be officers or 
employees of the executive or legislative branches of the United States 
or of the District of Columbia. The term does not include elected 
officials.
    (g) Executive order means Executive Order 11222 of May 8, 1965.
    (h) Expert means a person with excellent qualifications and a high 
degree of attainment in a professional, scientific, technical, or other 
field. His knowledge and mastery of the principles, practices, problems, 
methods, and techniques of his field of activity, or of a specialized 
area in the field, are clearly superior to those usually possessed by 
ordinarily competent individuals in that activity. His attainment is 
such that he usually is regarded as an authority or as a practitioner of 
unusual competence and skill by other persons in the profession, 
occupation, or activity. (Chapter 304, Federal Personnel Manual.)
    (i) Head of the agency means the Chairman.
    (j) Person means an individual, a corporation, a company, an 
association, a firm, a partnership, a society, a joint stock company, or 
any other institution or organization.

[[Page 162]]

    (k) Special Government Employee means an officer or employee of the 
Corporation who is retained, designated, appointed or employed to 
perform, with or without compensation, for not more than 130 days during 
any period of 365 consecutive days, temporary duties either on a full 
time or intermittent basis (18 U.S.C. 202(a)). The term includes those 
Board Members who are appointed from private life and required to file a 
statement of financial interests with the Chairman of the Civil Service 
Commission pursuant to part IV of the Executive order, or who are 
determined to be special government employees of the executive or 
legislative branches of the United States or the District of Columbia.



Sec. 905.735-104  Applicability.

    This part applies to each employee and to each special Government 
employee of the Corporation as defined herein and supplements the 
Executive order and part 735 of title 5, Code of Federal Regulations, 
promulgated by the Civil Service Commission on employee responsibilities 
and conduct.



Sec. 905.735-105  Designation of counselor.

    In accordance with 5 CFR 735.105(a), the General Counsel of the 
Corporation is designated to be Ethics Counselor and shall serve as the 
Corporation's liaison with the Civil Service Commission for matters 
covered in this part.



Sec. 905.735-106  Notification to employees and special Government employees.

    (a) At the time these regulations are published, or amended, and not 
less often than once annually thereafter, the Corporation shall furnish 
each employee and special Government employees with a copy of the 
regulations. The Administrative Officer shall insure that each newly 
hired employee and special Government employee is given a copy of these 
regulations prior to or at the time of entry on duty.
    (b) All employees and special Government employees will be advised 
by the Corporation of the availability of counseling regarding the 
provisions of this part.



Sec. 905.735-107  Review of statements of employment and financial interests.

    The Ethics Counselor of the Corporation shall review each statement 
of employment and financial interests submitted under Sec. 905.735-402 
or Sec. 905.735-403, except his own and those statements of special 
Government employees who file with the Chairman of the Civil Service 
Commission. When review discloses a conflict between the interests of an 
employee or special Government employee of the Corporation and the 
performance of his services for the Corporation, the Ethics Counselor 
shall bring the conflict to the attention of the employee or special 
Government employee, grant the individual an opportunity to explain the 
conflict, and attempt to resolve it. If the conflict cannot be resolved, 
the Ethics Counselor shall forward a written report on the conflict to 
the Chairman, recommending appropriate action. The Chairman shall review 
the report, solicit an explanation from the individual, and seek 
resolution of the conflict.



Sec. 905.735-108  Remedial and disciplinary action.

    (a) In addition to any penalties prescribed by law, the Chairman, 
after review and consideration of any explanation given by an employee 
or special Government employee concerning a conflict of interest, may 
institute appropriate remedial action to resolve or otherwise eliminate 
the conflict. Appropriate remedial action may include, but is not 
limited to:
    (1) Divestment by the employee or the special Government employee of 
the conflicting interest;
    (2) Disqualification of the individual from a particular assignment;
    (3) Changes in the assigned duties of the individual; or
    (4) Disciplinary action.
    (b) Where the situation warrants some form of disciplinary action, 
the Chairman may choose from a wide range including a warning or 
reprimand, suspension, reduction in grade or pay, or termination of 
employment. The disciplinary action selected should reflect the 
character and degree of the offense which demands such action and

[[Page 163]]

should be reasonable in light of that offense.
    (c) Remedial action, whether disciplinary or otherwise, shall be 
effected in accordance with applicable laws, Executive orders, and 
regulations.



          Subpart B--Conduct and Responsibilities of Employees



Sec. 905.735-201  General standards of conduct.

    (a) All employees shall conduct themselves on the job so as to 
efficiently discharge the work of the Corporation. Courtesy, 
consideration, and promptness are to be observed in dealing with the 
public, Congress, and other governmental agencies.
    (b) All employees shall conduct themselves off the job so as not to 
reflect adversely upon the Corporation or the Federal service.
    (c) Employee conduct shall exemplify the highest standards of 
integrity. Employees shall avoid any action, whether or not specifically 
prohibited by this part, which might result in, or create the appearance 
of:
    (1) Using public office for private gain;
    (2) Giving preferential treatment to any person;
    (3) Impeding Government efficiency or economy;
    (4) Losing complete independence or impartiality;
    (5) Making a Government decision outside official channels; or
    (6) Affecting adversely the confidence of the public in the 
integrity of the Government.



Sec. 905.735-202  Gifts, entertainment, and favors.

    Pursuant to paragraph (b) of 5 CFR 735.202, the following exceptions 
to the restriction of paragraph (a) of that section are authorized. 
Employees may:
    (a) Accept gifts and other things of value under circumstances which 
arise from an obvious family or personal relationship(s) (such as 
between the parents, children, or spouse of the employee and the 
employee), when the circumstances make it clear that it is those 
relationships rather than the business of the persons concerned which 
are the motivating factors;
    (b) Accept food and refreshments of nominal value on infrequent 
occasions in the ordinary course of a luncheon, dinner, or other 
meeting, or on an inspection tour where an employee may properly be in 
attendance;
    (c) Accept loans from banks or other financial institutions on 
customary terms to finance proper and usual activities of employees, 
such as home purchase;
    (d) Accept unsolicited advertising or promotional materials, such as 
pens, pencils, note pads, calendars and other items of nominal intrinsic 
value;
    (e) Participating without payment in privately funded activities in 
the Washington metropolitan area if: (1) An invitation is addressed to 
the Chairman or Executive Director of the Corporation and approved by 
either of them; (2) no provision for individual payment is readily 
available; and (3) the activities are limited to ceremonies of interest 
to both the local community and the Corporation (such as ground 
breakings or openings), or are sponsored or encouraged by the Federal or 
District Government as a matter of policy; and,
    (f) Participate in widely attended lunches, dinners, and similar 
gatherings sponsored by industrial, commercial, technical and 
professional associations, or groups, for discussion of matters of 
interest both to the Corporation and the public. Participation by an 
employee at the host's expense is appropriate if the host is an 
association or group and not an individual.



Sec. 905.735-203  Outside employment and other activity.

    As provided in 5 CFR 735.203, an employee of the Corporation may 
engage in outside employment or other outside activity not incompatible 
with the full and proper discharge of the duties and responsibilities of 
his Government employment. An employee who proposes to engage in outside 
employment shall report that fact in writing to his supervisor prior to 
undertaking such employment.



Sec. 905.735-204  Disclosure of information.

    (a) Every employee who is involved in the development, maintenance 
or

[[Page 164]]

use of Corporation records containing information about individuals 
shall familiarize himself with the requirements and penalties of the 
Privacy Act of 1974 (5 U.S.C. 552a) and Corporation regulations (36 CFR 
part 903) promulgated thereunder concerning the utilization of and 
access to such records.
    (b) Every employee is directed to cooperate to the fullest extent 
possible in discharging the requirement of the Freedom of Information 
Act (5 U.S.C. 522) and Corporation regulations promulgated thereunder 
(36 CFR part 902). Every effort should be made to furnish service with 
reasonable promptness to persons who seek access to Corporation records 
and information.



Sec. 905.735-205  Purchase of Government-owned property.

    Employees of the Corporation and members of their immediate families 
may purchase Government-owned personal property when it is offered for 
sale by the General Services Administration or any Federal agency other 
than the Corporation (41 CFR 101-45.302).



 Subpart C--Conduct and Responsibilities of Special Government Employees



Sec. 905.735-301  General standards of conduct.

    (a) Special Government employees of the Corporation shall adhere to 
applicable regulations adopted under Sec. 904.735-102, except 5 CFR 
735.203(b). In addition, the standards of conduct set forth in 
Secs. 905.735-201, 905.735-204, and 905.735-205 shall apply to special 
Government employees.
    (b) Special Government employees of the Corporation may teach, 
lecture, or write consistent with the provisions of 5 CFR 735.203(c).
    (c) Pursuant to 5 CFR 735.305(b), the provisions concerning gifts, 
entertainment, and favors set forth in Sec. 905.735-202 are hereby made 
applicable to special Government employees.



    Subpart D--Special Standards Applicable to Certain Board Members



Sec. 905.735-401  Standards.

    Section 3(c)(8) of the Pennsylvania Avenue Development Corporation 
Act of 1972, Pub. L. 92-578, 86 Stat. 1267 (40 U.S.C. 872(c)(8)) 
specifies that the eight members appointed to the Board by the President 
from private life, at least four of whom shall be residents of the 
District of Columbia, ``shall have knowledge and experience in one or 
more fields of history, architecture, city planning, retailing, real 
estate, construction or government.'' As a result of these prerequisites 
for appointment of a private member to the Board of Directors, conflicts 
could arise for these Board Members as the Corporation proceeds with 
various development activities. Accordingly, Board Members should 
perform their responsibilities for the operation and management of the 
Corporation consistent with these regulations, and other applicable 
Federal laws and regulations, and consistent with the highest level of 
fiduciary responsibility.



Sec. 905.735-402  Advice and determination.

    The Corporation's Ethics Counselor is readily available for 
consultation when a Board Member seeks advice as to the appropriateness 
of his actions in light of this part, the Executive order, or title 18 
U.S.C., chapter 11. A Board Member has an affirmative duty to advise the 
Ethics Counselor of any potential conflict of interest which may arise 
with the individual's participation in any particular matter before the 
Corporation. If advised to do so, the Board Member should submit to the 
Chairman for determination the question of whether or not the conflict 
will disqualify the Board Member from participating in the action to be 
taken by the Corporation. Under the authority delegated to the Chairman 
pursuant to 18 U.S.C. 208(b), the Chairman may find that the Board 
Member need not be disqualified from participating in the particular 
matter, if:

[[Page 165]]

    (a) The Board Member makes a full disclosure of the financial 
interest; and
    (b) The Chairman furnishes him with a written determination in 
advance of the action that the interest is not so substantial as to be 
deemed likely to affect the integrity of the services which the 
Government may expect from the Board Member. Requests for similar 
determinations for conflicts posed by the financial interests of the 
Chairman himself shall be submitted to the Chairman of the Civil Service 
Commission.



       Subpart E--Statements of Employment and Financial Interests



Sec. 905.735-501  Form and content of statements.

    Statements of employment and financial interests required to be 
submitted under this subpart by employees and special Government 
employees shall contain the information required in the formats 
prescribed by the Civil Service Commission in the Federal Personnel 
Manual.



Sec. 905.735-502  Statements of employment and financial interests by employees.

    (a) Employees of the Corporation in the following named positions 
shall prepare and submit statements of employment and financial 
interests:
    (1) Executive Director;
    (2) Assistant Director Legal--General Counsel;
    (3) Assistant Director/Finance;
    (4) Development Director;
    (5) Secretary of the Corporation Administrative Officer;
    (6) Construction Manager;
    (7) Senior Architect/Planner;
    (8) Chief, Real Estate Operations;
    (9) Any Contracting Officer of the Corporation; and
    (10) Any employee classified as a GS-13 or above whose duties and 
responsibilities are such that the ethics counselor determines a 
statement should be filed.
    (b) Each statement of employment and financial interests required by 
this section, except that of the General Counsel, shall be submitted to 
the Ethics Counselor, Office of the General Counsel, Pennsylvania Avenue 
Development Corporation, 1331 Pennsylvania Avenue, NW., Suite 1220 
North, Washington, DC 20004. The General Counsel, as Ethics Counselor, 
shall submit his statement directly to the Chairman for review.
    (c) An employee who believes that his position has been improperly 
included in this section as one requiring the submission of a statement 
of employment and financial interests may obtain a review of this 
determination upon a written request to the Chairman.
[43 FR 60902, Dec. 29, 1978, as amended at 50 FR 45824, Nov. 4, 1985]



Sec. 905.735-503  Statements of employment and financial interests by special Government employees.

    All special Government employees shall submit a statement of 
employment and financial interest prior to beginning employment or 
service with the Corporation. Each statement shall be submitted to the 
Ethics Counselor, Office of the General Counsel, Pennsylvania Avenue 
Development Corporation, 1331 Pennsylvania Avenue, NW., Suite 1220 
North, Washington, D.C. 20004, except that the statements of Board 
Members appointed from private life shall be filed with the U.S. Civil 
Service Commission.
[43 FR 60902, Dec. 29, 1978, as amended at 50 FR 45824, Nov. 4, 1985]



Sec. 905.735-504  Procedures for obtaining statements.

    (a) Upon the adopting of the regulations of this part, the Ethics 
Counselor shall deliver to the incumbent of each position named in 
Sec. 905.735-402 and to each special Government employee, two copies of 
the appropriate form for filing a statement of employment and financial 
interests. An enclosure with the forms shall advise that:
    (1) The original of the completed form must be returned in a sealed 
envelope, marked ``Personal--In Confidence,'' to the Ethics Counselor 
within the time specified by the Ethics Counselor;
    (2) The services of the ethics counselor are available to advise and 
assist in preparation of the statement;
    (3) Any additions or deletions to the information furnished must be 
reported

[[Page 166]]

in a supplementary statement at the end of the calendar quarter in which 
the change occurs; or in the case of a special Government employee, at 
the time the change occurs; and
    (4) No later than June 30 of each year, all special Government 
employees and employees required to file under Sec. 905.735-402(a) shall 
file an annual supplementary statement to update the information 
previously filed.
    (b) The Administrative Officer shall be responsible for assuring 
that a completed statement of employment and financial interests is 
obtained from each special Government employee prior to the beginning of 
employment or service with the Corporation. The Administrative Officer 
shall promptly forward the statements to the Ethics Counselor for 
review.



Sec. 905.735-505  Confidentiality of statements.

    The Ethics Counselor shall hold in confidence each statement of 
employment and financial interests, and each supplementary statement 
within his control. Access to or disclosure of information contained in 
these statements shall not be allowed, except as the Commission or the 
Ethics Counselor determine for good cause shown, consistent with the 
Privacy Act of 1974 (5 U.S.C. 552a), and the regulations and pertinent 
notices of systems of records prepared by the Civil Service Commission 
and the Corporation in accordance with that Act.



Subpart F--Conduct and Responsibilities of Former Employees--Enforcement

    Authority: 18 U.S.C. 207(j); sec. 6(5), Pub. L. 92-578, 86 Stat. 
1270 (40 U.S.C. 875)(5).



Sec. 905.737-101  Applicable provisions of law.

    Former employees of the Corporation must abide by the provisions of 
18 U.S.C. 207 and 5 CFR 737.1 through 737.25, which bar certain acts by 
former Government employees that may reasonably give the appearance of 
making unfair use of prior Government employment and affiliations. 
Violation of those provisions will give rise to Corporation enforcement 
proceedings as provided in Sec. 905.737-102, and may also result in 
criminal sanctions, as provided in 18 U.S.C. 207.
[48 FR 38233, Aug. 23, 1984]



Sec. 905.737-102  Enforcement proceedings.

    (a) Delegation. The Chairman of the Corporation may delegate his or 
her authority under this subpart.
    (b) Initiation of disciplinary hearing. (1) Information regarding a 
possible violation of 18 U.S.C. 207 or 5 CFR part 737 should be 
communicated to the Chairman. The Chairman shall promptly initiate an 
investigation to determine whether there is reasonable cause to believe 
that a violation has occurred.
    (2) On receipt of information regarding a possible violation of 18 
U.S.C. 207, and after determining that such information appears 
substantiated, the Chairman of the Corporation shall expeditiously 
provide such information, along with any comments or regulations of the 
Corporation, to the Director of the Office of Government Ethics and to 
the Criminal Division, Department of Justice. The Corporation shall 
coordinate any investigation with the Department of Justice to avoid 
prejudicing criminal proceedings, unless the Department of Justice 
communicates to the Corporation that it does not intend to initiate 
criminal prosecution.
    (3) Whenever the Corporation has determined after appropriate 
review, that there is reasonable cause to believe that a former employee 
has violated 18 U.S.C. 207 or 5 CFR part 737, it shall initiate a 
disciplinary proceeding by providing the former employee with notice as 
defined in paragraph (c) of this section.
    (4) At each stage of any investigation or proceeding under this 
section, the Chairman shall take whatever steps are necessary to protect 
the privacy of the former employee. Only those individuals participating 
in an investigation or hearing shall have access to information 
collected by the Corporation pursuant to its investigation of the 
alleged violation.
    (c) Adequate notice. (1) The Corporation shall provide the former 
employee with adequate notice of its intention to

[[Page 167]]

institute a proceeding and an opportunity for a hearing.
    (2) Notice to the former employee must include:
    (i) A statement of the allegations (and the basis thereof) 
sufficiently detailed to enable the former employee to prepare an 
adequate defense;
    (ii) Notification of the right to a hearing;
    (iii) An explanation of the method by which a hearing may be 
requested; and
    (iv) Notification that if a hearing is not requested within thirty 
days of receipt of notice, the Corporation will issue a final decision 
finding the alleged violations to have occurred.
    (3) Failure to request a hearing within thirty days of the receipt 
of notice will be deemed an admission of the allegations contained in 
the notice and will entitle the Corporation to issue a final decision 
finding the alleged violations to have occurred.
    (d) Presiding official. (1) The presiding official at proceedings 
under this subpart shall be the Chairman, or an individual to whom the 
Chairman has delegated authority to make an initial decision 
(hereinafter referred to as examiner).
    (2) An examiner shall be an employee of the Corporation who is 
familiar with the relevant provisions of law and who is otherwise 
qualified to carry out the duties of that position. He or she shall be 
impartial. No individual who has participated in any manner in the 
decision to initiate the proceedings may serve as an examiner.
    (e) Time, date and place. (1) The hearing shall be conducted at a 
reasonable time, date, and place.
    (2) On setting a hearing date, the presiding official shall give due 
regard to the former employee's need for:
    (i) Adequate time to prepare a defense properly; and
    (ii) An expeditious resolution of allegations that may be damaging 
to his or her reputation.
    (f) Hearing rights. A hearing shall include the following rights:
    (1) To represent oneself or to be represented by counsel;
    (2) To introduce and examine witnesses and to submit physical 
evidence;
    (3) To confront and cross-examine adverse witnesses;
    (4) To present oral argument; and
    (5) To receive a transcript or recording of the proceedings, on 
request.
    (g) Burden of proof. In any hearing under this subpart, the 
Corporation has the burden of proof and must establish substantial 
evidence of a violation.
    (h) Hearing decision. (1) The presiding official shall make a 
determination exclusively on matters of record in the proceeding, and 
shall set forth in the decision all findings of fact and conclusions of 
law relevant to the matters at issue. If the hearing is conducted by the 
Chairman, the resulting written determination shall be an initial 
decision.
    (2) Within thirty days of the date of an initial decision, either 
party may appeal the decision to the Chairman. The Chairman shall base 
his or her decision on such appeal solely on the record of the 
proceedings on those portions thereof cited by the parties to limit the 
issues.
    (3) If the Chairman modifies or reverses the initial decision, he or 
she shall specify such findings of fact and conclusions of law as are 
different from those of the examiner.
    (4) If no appeal is taken from an initial decision within thirty 
days, the initial decision shall become a final decision.
    (i) Sanctions. The Chairman shall take appropriate action in the 
case of any individual who is found to be in violation of 18 U.S.C. 207 
or 5 CFR part 737 after a final decision by:
    (1) Prohibiting the individual from making, on behalf of any other 
person except the United States, any formal or informal appearance 
before, or, with the intent to influence, any oral or written 
communication to, the Corporation on any matter of business for a period 
not to exceed five years, which may be accomplished by directing 
employees of the Corporation to refuse to participate in any such 
appearance or to accept any such communication; or
    (2) Taking other appropriate disciplinary action.
    (j) Judicial review. Any person found by the Corporation to have 
participated in a violation of 18 U.S.C. 207 or

[[Page 168]]

5 CFR part 737 may seek judicial review of the determination in an 
appropriate United States District Court.
[48 FR 38233, Aug. 23, 1984]



PART 906--AFFIRMATIVE ACTION POLICY AND PROCEDURE--Table of Contents




                     Subpart A--Development Program

Sec.
906.1  Purpose and policy.
906.2  Definitions.
906.3  Procedures.
906.4  Formulation of affirmative action plan.
906.5  Administration of affirmative action plan.
906.6  Implementation.
906.7  Incentives.
906.8  Review and monitoring.
906.9  Voluntary compliance.
906.10  Confidentiality.

                          Subpart B [Reserved]

Exhibit A to Part 906--Suggested Minimum Guidelines and Goals
Exhibit B to Part 906--Guidelines for Establishing Strategy To Implement 
          Affirmative Action Personnel Plan

    Authority: Pennsylvania Avenue Development Corporation Act of 1972, 
as amended, sec. 6(6), Pub. L. 92-578, 86 Stat. 1270 (40 U.S.C. 875(6)); 
E.O. 11625 (36 FR 19967) Oct. 14, 1971; title VII Civil Rights Act of 
1964 (42 U.S.C. 2000e-2); Rehabilitation, Comprehensive Services, and 
Developmental Disabilities Amendments of 1978, secs. 119, 122(d)(2), 
Pub. L. 95-602, 92 Stat. 2982, 2987 (29 U.S.C. 794); E.O. 12138 (44 FR 
29637) May 22, 1979.

    Source: 44 FR 37226, June 26, 1979, unless otherwise noted.



                     Subpart A--Development Program



Sec. 906.1  Purpose and policy.

    (a) One of the objectives stated in the Congressionally approved 
Pennsylvania Avenue Plan--1974 is insuring that minority businesses, 
investors, and workers have an opportunity to share in the benefits that 
will occur as a result of redevelopment. Accordingly, the Corporation 
will take affirmative action to assure full minority participation in 
activities and benefits that result from implementation of The 
Pennsylvania Avenue Plan--1974.
    (b) It is the policy of the Pennsylvania Avenue Development 
Corporation to foster a progessive Affirmative Action Program that 
affords minorities, women, handicapped persons, and Vietnam era veterans 
a fair and meaningful share in the opportunities generated by the 
development activities of the Corporation.
    (c) It is mandatory for developers who respond to a solicitation for 
proposals made by the Corporation to comply with the rules stated in 
subpart A of part 906.
    (d) It is mandatory for developers who receive property interests of 
ten percent (10%) or more of the area of a development parcel from the 
Corporation to comply with the rules stated in subpart A of part 906.
    (e) The Corporation will encourage any entity not described in 
paragraphs (c) and (d) of this section to comply with the requirements 
set forth in this subpart A of part 906.



Sec. 906.2  Definitions.

    As used in this part:
    (a) Affirmative Action Plan means a plan which at a minimum 
includes:
    (1) A statement of the affirmative action policy of the development 
team and a list of the names of the members of the development team 
including equity investors, and identification of minority owned 
businesses and investors;
    (2) A contracting and purchasing plan;
    (3) A leasing plan;
    (4) A personnel plan;
    (5) An equity investment plan;
    (6) The goals, timetables and strategy for achieving the goals of 
the developer;
    (7) A list of specific, quantifiable committed opportunities; and
    (8) Designation of an Affirmative Action Officer.
    (b) Committed Opportunity means an opportunity set aside and 
committed for the sole involvement of a woman, minority group member, 
Vietnam era veteran, handicapped person, or minority owned business, 
including opportunities for training and equity investment.
    (c) Contracting and purchasing plan means a plan for the subject 
project which at a minimun includes the following:

[[Page 169]]

    (1) A list of all minority enterprises and minority owned businesses 
that are involved in the development proposal or its implementation;
    (2) An analysis of the types of contracts and purchases that will be 
required by the development team in order to implement the development 
through and including operation of the completed development;
    (3) A list of goals and timetables by category of purchase or 
contract for involvement of minority owned businesses in the development 
process;
    (4) Strategy for achieving the goals established; and
    (5) A list of committed opportunities for the involvement of 
minority owned businesses in the development process.
    (d) Developer means a person partnership, company, corporation, 
association, or other entity that develops a new structure on a site or 
substantially renovates a structure on a site within the Corporation's 
development area where the site either: (1) Has been offered to the 
public by the Corporation for development, or (2) the Corporation has 
transferred real property rights that equal or exceed ten percent (10%) 
of the area of the development parcel.
    (e) Development parcel is an area of land established by the 
Corporation to be a minimum developable site under The Pennsylvania 
Avenue Plan--1974, as amended, and The Planning and Design Objectives, 
Controls, and Standards of the Corporation (36 CFR part 920 et seq.).
    (f) Development team means the group that submits a proposal to 
develop a parcel including developers, architects, engineers, lawyers, 
financial institutions, insurance companies, and others who help 
formulate, develop, and otherwise make a proposal to the Corporation.
    (g) Equity Investment Plan means a plan for the subject project 
which at a minimum includes the following:
    (1) A statement as to whether or not equity investment has been or 
will be solicited to implement the subject project;
    (2) A statement as to whether or not a joint venture has been or 
will be formed to implement the subject project;
    (3) If equity investment has been solicited or if a joint venture 
has been formed, a statement of the efforts made to involve members of 
minority groups and women when these opportunities were offered;
    (4) If equity investment will be solicited, or a joint venture will 
be formed, a plan to involve members of minority groups and women when 
these opportunities are offered, including a list of committed 
opportunities;
    (5) A list of goals and a timetable for securing participation of 
members of minority groups and women in equity investment and joint 
venture.
    (h) Handicapped person means any person who: (1) Has a physical or 
mental impairment that substantially limits one or more of the person's 
major life activities, (2) has a record of such impairment.
    (i) Leasing plan means a plan for the subject project which at a 
mimimum includes the following:
    (1) A retail plan showing the types of retail businesses to be 
included in the project and a plan for the types of uses for the balance 
of the development;
    (2) Goals and methods for inclusion of minority enterprises as 
tenants in the project;
    (3) Committed opportunities for leasing to minority enterprises.
    (j) Minority Enterprise means any enterprise that is either a 
minority owned business or a not for profit or non-profit organization 
(as defined in 26 U.S.C. 501(c)(3) or (c)(6)) and also fulfills one or 
more of the following criteria:
    (1) The Board of Directors or equivalent policy making body is 
comprised of members, a majority of whom are minorities or women and the 
chief executive officer of the organization is a minority group member 
or a woman; or
    (2) The objectives of the organization as described in its charter 
are substantially directed toward the betterment of minorities or women.
    (k) Minority group member means any person residing in the United 
States who is Negro, Hispanic, Oriental, Native American, Eskimo, or 
Aleut, as defined below:
    (1) Negro--is an individual of the Negro race of African origin;

[[Page 170]]

    (2) Hispanic--is an individual who is descended from and was raised 
in or participates in the culture of Spain, Portugal, or Latin America, 
or who has at least one parent who speaks Spanish or Portuguese as part 
of their native culture;
    (3) Oriental--is an individual of a culture, origin, or parentage 
traceable to the areas south of the Soviet Union, East of Iran, 
inclusive of the islands adjacent thereto, located in the Pacific 
including, but limited to, Taiwan, Indonesia, Japan, Hawaii, and the 
Philippines, together with the islands of Polynesia;
    (4) Native American--is an individual having origins in any of the 
original people of North America, who is recognized as an Indian by 
either a tribe, tribal organization, or suitable authority in the 
community. For purposes of this section a suitable authority in the 
community may be an educational institution, a religious organization, 
or a state or Federal agency.
    (5) Eskimo--is an individual having origins in any of the original 
peoples of Alaska;
    (6) Aleut--is an individual having origins in any of the original 
peoples of the Aleutian Islands.
    (l) Minority owned business means a business that is:
    (1) A sole proprietorship owned by a minority group member or a 
woman;
    (2) A business entity at least 50 percent of which is owned by 
minority group members or women;
    (3) A publicly owned business at least 51 percent of the stock of 
which is owned by minority group members or women;
    (4) A certified minority owned business as evidenced by a 
certificate satisfactory to the Corporation's Affirmative Action 
Officer, and signed by the owner or the executive officer of the 
minority owned business.

For purposes of this definition, ownership means that the risk of gain 
or loss and the amount of control exercised must be equivalent to the 
ownership percentage.
    (m) Personnel plan means a plan for the subject project which at a 
minimum includes the following:
    (1) An analysis of participation of minority group members, women, 
Vietnam era veterans, and handicapped persons in the development project 
including an evaluation by category of employment, i.e., professional 
and managerial, skilled, semi-skilled, trainee, and other, and the 
number of employees in each category;
    (2) An analysis of the salaries of minority group members, women, 
handicapped persons, and Vietnam era veterans showing the relative 
position of these employees with those not covered by the Affirmative 
Action Plan;
    (3) Goals and timetables for employment by category and salary level 
of minorities, women, Vietnam era veterans, and handicapped persons 
employed for the development parcel;
    (4) Strategy for achieving the goals established (see Exhibit B);
    (5) A list of committed opportunities for the employment of minority 
group members, women, Vietnam era veterans, and handicapped persons.
    (n) Vietnam era veteran means a person who:
    (1) Served on active duty for a period of more than 180 days, any 
part of which occurred during the Vietnam era, and was discharged or 
released therefrom with other than a dishonorable discharge; or
    (2) Was discharged or released from active duty for a service-
connected disability if any part of such active duty was performed 
during the Vietnam era.



Sec. 906.3  Procedures.

    (a) Affirmative Action Plans must be submitted to the Corporation at 
the following times:
    (1) At the time a response is submitted to the Corporation's 
solicitation for proposals, the response must include an Affirmative 
Action Plan;
    (2) If a property right exceeding 10 percent of the area of the 
development parcel is made available by the Corporation, but without the 
Corporation having made a solicitation for proposals, the developer must 
submit an Affirmative Action Plan within 30 days after the start of 
negotiations with the Corporation.
    (b) Affirmative Action Plans will be reviewed as follows:

[[Page 171]]

    (1) Each Affirmative Action Plan submitted to the Corporation will 
be reviewed by the Corporation's Affirmative Action Officer, or his 
designee.
    (2) In the case of a developer who responds to a solicitation for 
proposals, the Affirmative Action Plan will be reviewed by the 
Affirmative Action Officer, and if the Plan is in substantial compliance 
with the goals set forth in Exhibit A, the Plan and the recommendation 
of the Affirmative Action Officer will be submitted to the Chairman of 
the Board for approval prior to the Board's final selection.
    (3) In the case of a developer who receives 10 percent or more of 
the area of a development parcel from the Corporation, the Affirmative 
Action Plan will be reviewed by the Corporation's Affirmative Action 
Officer, and if the Plan is in substantial compliance with the goals set 
forth in Exhibit A, the Plan and the recommendation of the Affirmative 
Action Officer will be submitted to the Chairman of the Board for 
approval within 15 days of submission.
    (4) The Chairman may approve any Affirmative Action Plan that is not 
in substantial compliance with the goals set forth in Exhibit A, but for 
which the developer has documented a genuine effort to meet the goals of 
the regulations and complied with the spirit of the Corporation's 
policy.
    (5) The Chairman may, in his discretion, submit any Affirmative 
Action Plan to the Board of Directors for approval, if there is not 
substantial compliance with the goals set forth in Exhibit A.
    (6) The review of the Affirmative Action Plan will determine 
conformity with The Pennsylvania Avenue Plan--1974, the policy of the 
Corporation's Board of Directors, and the regulations and guidelines set 
forth in this subpart A, part 906.
    (c) Revisions: (1) The Corporation may require a developer at any 
time prior to approval of the Affirmative Action Plan to revise the Plan 
for compliance with the requirements of this subpart.
    (2) Each developer required to comply with this subpart must submit 
for approval an up-dated Affirmative Action Plan at the commencement of 
construction, at the commencement of occupancy, and at the commencement 
of operation or management of any portion of the facility by the 
developer or a related entity. Each revision of the Affirmative Action 
Plan must address all the requirements set forth in Sec. 906.4.
    (3) The Corporation's Affirmative Action Officer will review all 
revisions submitted to the Corporation. If the revision is a substantial 
change from the originally approved Plan, the review procedures set 
forth in paragraph (b) of this section will be applicable. If the 
revision submitted is not a substantial change from the originally 
approved Plan, the Corporation's Affirmative Action Officer may approve 
the revision.



Sec. 906.4  Formulation of affirmative action plan.

    (a) The developer, in formulating the Affirmative Action Plan, 
should consider all phases of development from establishment of the 
development team to operation and management of the development project 
including each component of the project (e.g., hotel, retail, office, 
residential). The developer should also consider the personnel profile 
of project contractors, subcontractors.
    (b) For each phase and each component, the developer should give 
consideration to creating business and employment opportunities and 
committed opportunities in the following:
    (1) Equity participation;
    (2) Professional and technical services such as legal, 
architectural, engineering, and financial;
    (3) Purchasing materials and supplies in connection with 
construction and operation;
    (4) Contracting for construction, operation, and maintenance; and,
    (5) Financing, including construction and permanent financing, and 
other financial and banking services.



Sec. 906.5  Administration of affirmative action plan.

    (a) The developer shall appoint an Affirmative Action Officer, and 
for projects exceeding $10 million in cost,

[[Page 172]]

the person appointed must have affirmative action as a primary 
responsibility.
    (b) The developer shall report to the Corporation periodically its 
progress in meeting the goals and timetables in its Affirmative Action 
Plan with respect to its contracting and purchasing plan, leasing plan, 
and committed opportunities. In meeting the reporting requirements the 
developer shall:
    (1) Count an individual only once for reporting purposes;
    (2) Count an individual in the first appropriate category as 
follows:
    (i) Minority Group Member;
    (ii) Handicapped Person;
    (iii) Woman;
    (iv) Vietnam Era Veteran;
    (3) Report the dollar amount of contracts and purchases from 
minority owned businesses including subcontracts;
    (4) In the event 10 percent or more of the dollar amount of a 
contract, subcontract, or purchase from a minority owned business is 
performed by other than a minority owned business, the developer shall 
report only the dollar amount performed by the minority owned business.



Sec. 906.6  Implementation.

    (a) Each developer's Affirmative Action Plan will be incorporated 
into the real estate agreement between the developer and the 
Corporation.
    (b) Each developer shall include a clause requiring a contracting 
and purchasing plan and a personnel plan in any contract exceeding 
$500,000.
    (c) Each developer should consider including a clause requiring a 
contracting and purchasing plan and a personnel plan in any contract 
less than $500,000.
    (d) In order that the Corporation may be of assistance, and to the 
extent practical, the developer shall notify the Corporation's 
Affirmative Action Officer of any failure to meet the approved 
Affirmative Action Plan.
    (e) The Corporation, at the request of the developer, shall provide 
the developer with assistance for meeting the goals set forth in the 
Affirmative Action Plan. Such assistance may be provided in the form of 
lists of minority enterprises, sources for recruiting and advertising, 
as well as other available information.



Sec. 906.7  Incentives.

    (a) At the request of the developer, the Corporation may agree to 
deferral of a portion of rental, not to exceed 50 percent, during 
construction and during the first year of operation following 
construction of any phase of the development project. Allowable rent 
deferral during the construction phase will be two percent of the total 
base rent for each one percent of the value of all construction 
contracts which have been awarded to Minority Owned Businesses, not to 
exceed 50 percent. Rent deferral during the first year of operation 
following construction of any phase of the development project will be 
four percent for each one percent of total equity owned by minority 
group members, minority owned businesses, and women.
    (b) Following review of Affirmative Action reports submitted to the 
Corporation pursuant to Sec. 906.5(b), the Corporation will determine 
the developer's compliance with the goals set forth in the approved 
Affirmative Action Plan. Compliance with the goals established in the 
Plan will be measured by adding the percentages reported including 
overages in each category and dividing that by the number of categories 
covered in the Plan.
    (c) If 75 percent compliance is not achieved during any rent 
deferral period, the Corporation will afford the developer 120 days to 
achieve at least that level of compliance. If, at the end of that 120 
day period, 75 percent compliance is not achieved, all rental deferral, 
together with interest, will be due and payable to the Corporation on 
the 10th day following receipt of written notice that payment of the 
deferred rent has been accelerated.



Sec. 906.8  Review and monitoring.

    The Corporation, either by its employees, consultants, or other 
government agency, shall analyze and monitor compliance with the 
developer's approved Affirmative Action Plan. The Corporation shall rely 
on the reports submitted by the developer. However:

[[Page 173]]

    (a) Further investigation by the Corporation may be undertaken if 
problems are brought to the attention of the Corporation through any 
reliable source, or if any formal complaints are filed against the 
developer that relate to performance of the Affirmative Action Plan; and
    (b) The Corporation reserves the right to audit the records of the 
developer that pertain to any report submitted to the Corporation.



Sec. 906.9  Voluntary compliance.

    The Corporation will encourage any individual or entity not 
described in Sec. 906.1(c) or (d) to submit and adopt an Affirmative 
Action Plan on any development project for which the Corporation's 
review and approval is required to determine conformity of the 
development project with the The Pennsylvania Avenue Plan--1974. Any 
such Affirmative Action Plan should accompany the development plans.



Sec. 906.10  Confidentiality.

    All information submitted to the Corporation pursuant to this 
subpart A will be kept confidential, except as availability to the 
public may be required by the Freedom of Information Act.



                          Subpart B [Reserved]

      Exhibit A to Part 906--Suggested Minimum Guidelines and Goals

    The following are suggested for consideration by developers in 
formulation of minimum affirmative action goals for the development 
parcel:
    (a) Equity participation--10 percent participation by minority group 
members, women, and minority owned businesses as investors in ownership 
of the development parcel.
    (b) Contracts for professional and technical services--20 percent of 
the dollar value of the contracts to minority owned businesses.
    (c) Persons providing professional or technical services--20 percent 
should be minority group members, women, handicapped persons, or Vietnam 
era veterans.
    (d) Construction contracting--15 percent of the total dollar value 
to minority owned businesses. (In order to accomplish this goal, the 
developer must require that any prime contractor show at least 15 
percent minority subcontractors unless the prime contractor is a 
minority contractor.)
    (e) Construction employment should comply with the Washington Plan 
as a minimum.
    (f) Purchasing--20 percent of the dollar value of all purchases of 
materials and supplies to minority owned businesses.
    (g) Hotel employment--20 percent of all hotel employees, 15 percent 
of all personnel earning an excess of $2,000 a month (in 1978 dollars), 
and 60 percent of trainees for hotel positions should be minority group 
members, women, handicapped persons, or Vietnam era veterans.
    (h) Leasing of space--15 percent of the retail space should be 
targeted for minority enterprises.
    (i) Committed opportunities--should be created for professional, 
technical, construction, hotel, or other type operations where the 
representation of minority group members, women, or handicapped persons 
in a field is inconsistent with the demographic profile of the 
Washington metropolitan area.

Exhibit B to Part 906--Guidelines for Establishing Strategy to Implement 
                    Affirmative Action Personnel Plan

    The following are suggested as the types of activities to be 
considered in the development of strategies for the affirmative action 
personnel plan:
    (1) ``Vigorous'' searching for qualified minority and women 
applicants for job openings in professional and managerial positions, 
often including recruitment visits to educational institutions with 
large minority or female enrollments.
    (2) Wide dissemination of affirmative action policy in 
advertisements and employment literature.
    (3) Utilization of minority media in recruitment advertisements.
    (4) Notification of job openings to minority community organizations 
and associations.
    (5) Listing of all employment openings with compensation of under 
$20,000 per year at a local office of the State Employment Service (or 
union hiring hall when union labor is required).
    (6) Periodic review of minority, female, Vietnam era veteran, and 
handcapped employees to identify underutilized and unutilized skills and 
knowledge as well as opportunities for reassignment.
    (7) Utilization of merit promotion and on-the-job training programs 
to create career ladders or otherwise qualify minority, female, Vietnam 
era veteran, and handicapped employees for advancement.

[[Page 174]]



PART 907--ENVIRONMENTAL QUALITY--Table of Contents




Sec.
907.1  Policy.
907.2  Purpose.
907.3  Definitions.
907.4  Designation of responsible Corporation official.
907.5  Specific responsibilities of designated Corporation official.
907.6  Major decision points.
907.7  Determination of requirement for EIS.
907.8  Actions that normally require an EIS.
907.9  Preparation of an EIS.
907.10  Categorical exclusions.
907.11  Actions that normally require an environmental assessment.
907.12  Preparation of an environmental assessment.
907.13  Public involvement.
907.14  Corporation decision making procedures.
907.15  Approval of private development proposals.
907.16  Actions where lead Agency designation is necessary.

Appendix A to Part 907

    Authority: 40 U.S.C. 875(8); 42 U.S.C. 4321.

    Source: 47 FR 8768, Mar. 2, 1982, unless otherwise noted.



Sec. 907.1  Policy.

    The Pennsylvania Avenue Development Corporation's policy is to:
    (a) Use all practical means, consistent with the Corporation's 
statutory authority, available resources, and national policy, to 
protect and enhance the quality of the human environment;
    (b) Ensure that environmental factors and concerns are given 
appropriate consideration in decisions and actions by the Corporation;
    (c) Use systematic and timely approaches which will ensure the 
integrated use of the natural and social sciences and environmental 
design arts in planning and decision making which may have an impact on 
the human environment;
    (d) Develop and utilize ecological and other environmental 
information in the planning and development of projects implementing the 
Plan;
    (e) Invite the cooperation and encourage the participation, where 
appropriate, of Federal, District of Columbia, and regional authorities 
and the public in Corporation planning and decision-making processes, 
which affect the quality of the human environment; and
    (f) Minimize any possible adverse effects of Corporation decisions 
and actions upon the quality of the human environment.



Sec. 907.2  Purpose.

    These regulations are prepared to supplement Council on 
Environmental Quality Regulations for implementing the procedural 
provisions of the National Environmental Policy Act of 1969, as amended, 
and describe how the Pennsylvania Avenue Development Corporation intends 
to consider environmental factors and concerns in the Corporation's 
decision making process.



Sec. 907.3  Definitions.

    (a) CEQ Regulations means the regulations for implementing the 
procedural provisions of the National Environmental Policy Act of 1969 
as promulgated by the Council on Environmental Quality, Executive Office 
of the President, appearing at 40 CFR parts 1500-1509 (43 FR 55978-
56007) and to which this part is a supplement.
    (b) The Act of October 27, 1972 or Act means the Pennsylvania Avenue 
Development Corporation Act of 1972, Pub. L. 92-578, October 27, 1972, 
86 Stat. 1266 (40 U.S.C. 871).
    (c) The Plan means the Pennsylvania Avenue Plan--1974, prepared by 
the Pennsylvania Avenue Development Corporation pursuant to the Act of 
October 27, 1972.
    (d) The Corporation means the Pennsylvania Avenue Development 
Corporation, a wholly owned government corporation of the United States 
created by the Act of October 27, 1972.
    (e) Board of Directors means the governing body of the Corporation 
in which the powers and management of the Corporation are vested by the 
Act of October 27, 1972.
    (f) EIS means an environmental impact statement as defined in 
Sec. 1508.11 of the CEQ Regulations.
    (g) Final EIS means The Final Environmental Impact Statement, dated 
September 1974, prepared by the Corporation on The Pennsylvania Avenue 
Plan--1974.
    (h) Development Area means the area under the Corporation's 
jurisdiction as

[[Page 175]]

specified in section 2(f) of the Act of October 27, 1972 and for which 
The Plan has been prepared and will be implemented by the Corporation.
    (i) Decision Maker means the Board of Directors, unless a delegation 
to the Chairman, a member or committee of the Board of Directors, or the 
Executive Director has been made by the Bylaws of the Corporation, a 
resolution of the Board of Directors, or an appropriate written 
delegation of authority.
    (j) Private Developer means an individual, firm, joint venture, or 
other entity other than the Corporation which seeks to construct, 
reconstruct, rehabilitate, or restore real property within the 
development area.
    (k) Other terms used in this part are defined in 40 CFR part 1508 of 
the CEQ Regulations.



Sec. 907.4  Designation of responsible Corporation official.

    The Development Director is the Corporation official responsible for 
implementation and operation of the Corporation's policies and 
procedures on environmental quality and control.



Sec. 907.5  Specific responsibilities of designated Corporation official.

    (a) Coordinate the formulation and revision of Corporation policies 
and procedures on matters pertaining to environmental protection and 
enhancement.
    (b) Establish and maintain working relationships with relevant 
government agencies concerned with environmental matters.
    (c) Develop procedures within the Corporation's planning and 
decision-making processes to ensure that environmental factors are 
properly considered in all proposals and decisions in accordance with 
this part.
    (d) Develop, monitor, and review the Corporation's implementation of 
standards, procedures, and working relationships for protection and 
enhancement of environmental quality and compliance with applicable laws 
and regulations.
    (e) Monitor processes to ensure that the Corporation's procedures 
regarding consideration of environmental quality are achieving their 
intended purposes.
    (f) Advise the Board of Directors, officers, and employees of the 
Corporation of technical and management requirements of environmental 
analysis, of appropriate expertise available, and, with the assistance 
of the Office of the General Counsel, of relevant legal developments.
    (g) Monitor the consideration and documentation of the environmental 
aspects of the Corporation's planning and decisionmaking processes by 
appropriate officers and employees of the Corporation.
    (h) Ensure that all environmental assessments and, where required, 
all EIS's are prepared in accordance with the appropriate regulations 
adopted by the Council on Environmental Quality and the Corporation, and 
are submitted with all proposed legislation.
    (i) Consolidate and transmit to appropriate parties the 
Corporation's comments on EIS's and other environmental reports prepared 
by other agencies.
    (j) Acquire information and prepare appropriate reports on 
environmental matters required of the Corporation. Information 
collection activities will be conducted in accordance with the Paperwork 
Reduction Act of 1980 and approval of OMB will be obtained prior to 
commencing such activities.
    (k) Coordinate Corporation efforts to make available to other 
parties information and advice on the Corporation's policies for 
protecting and enhancing the quality of the environment.



Sec. 907.6  Major decision points.

    (a) The possible environmental effects of a proposed action or 
project must be considered along with technical, economic, and other 
factors throughout the decisionmaking process. For most Corporation 
projects there are three distinct stages in the decision making process:
    (1) Conceptual or preliminary stage;
    (2) Detailed planning or final approval stage;
    (3) Implementation stage.
    (b) Environmental review will be integrated into the decision making 
process of the Corporation as follows:

[[Page 176]]

    (1) During the conceptual or preliminary approval study stage, the 
responsible Corporation official shall determine whether the proposed 
action or project is one which is categorically excluded, requires an 
environmental assessment or an EIS.
    (2) Prior to proceeding from the conceptual or preliminary approval 
stage to the detailed planning or final approval stage, an environmental 
assessment and the determination as to whether an EIS is required must 
be completed.
    (3) An EIS, if determined necessary, must be completed and 
circulated prior to the decision to proceed from the detailed planning 
stage to implementation.



Sec. 907.7  Determination of requirement for EIS.

    Determining whether to prepare an environmental impact statement is 
the first step in applying the NEPA process. In deciding whether to 
prepare an environmental impact statement, the responsible Corporation 
official will determine whether the proposal is one that:
    (a) Normally requires an environmental impact statement.
    (b) Normally does not require either an environmental impact 
statement or an environmental assessment (categorical exclusion).
    (c) Normally requires an environmental assessment, but not 
necessarily an environmental impact statement.



Sec. 907.8  Actions that normally require an EIS.

    PADC shall perform or have performed an environmental assessment to 
determine if a proposal requires an environmental impact statement. 
However, it may be readily apparent that a proposed action will have a 
significant impact on the environment; in such cases, an environmental 
assessment is not required and PADC will immediately begin to prepare or 
have prepared the environmental impact statement. To assist in 
determining if a proposal or action normally requires the preparation of 
an environmental impact statement, the following criteria and categories 
of action are provided.
    (a) Criteria. Criteria used to determine whether or not actions or 
proposals may significantly affect the environment and therefore require 
an environmental impact statement are described in 40 CFR 1508.27 of the 
CEQ Regulations and as follows:
    (1) Buildings or facades designated for retention in the Plan will 
be adversely affected by the proposal or action.
    (2) Traffic generated by the proposal or action would represent a 
substantial increase over the traffic projections assessed in the Final 
EIS in the average daily traffic volume on avenues and streets within 
the Development Area or its environs;
    (3) Air quality in the Development Area and its environs would be 
substantially affected by the proposal or action based upon the District 
of Columbia's adopted standard for hydrocarbons and carbon monoxide;
    (4) Solid waste disposal generated by a project of the Corporation 
or of a developer who is constructing, reconstructing, or rehabilitating 
that project, would have an adverse effect on the capacity of the 
relevant solid waste disposal facility and compliance with ``Solid Waste 
Management Guidelines'' of the U.S. Environmental Protection Agency and 
related local and regional controls;
    (5) Public utilities have insufficient capacity to provide reliable 
service to a project within the Development Area; and
    (6) A project will be inconsistent with major elements of the Zoning 
Regulations of the District of Columbia as they are applicable to the 
Development Area.
    (b) Categories of action. The following categories of action 
normally require an environmental impact statement:
    (1) Amendments or supplements to the Plan that constitute a 
``substantial change'' to the Plan as defined in 40 U.S.C. 874(c) of the 
Act.
    (2) Acquisition or disposal of real property by the Corporation not 
related to any specific decision, plan, or program adopted by the Board 
of Directors of the Corporation for which an environmental assessment or 
an assessment and an EIS has been prepared.

[[Page 177]]

    (3) Legislative proposals made to Congress.
    (4) Funding and/or construction by the Corporation or its agents or 
representatives of any building, if that activity is not consistent with 
the Plan and the Final EIS.



Sec. 907.9  Preparation of an EIS.

    (a) Notice of intent. When PADC decides to prepare an environmental 
impact statement, it shall publish a notice of intent in the Federal 
Register in accordance with 40 CFR 1501.7 and 1508.22 of the CEQ 
Regulations.
    (b) Preparation. After determining that an environmental impact 
statement will be prepared and publishing the notice of intent, PADC 
will begin to prepare or have prepared the environmental impact 
statement. Procedures for preparing the environmental impact statement 
are set forth in 40 CFR part 1502, CEQ Regulations.
    (c) Supplemental environmental impact statements. PADC may 
supplement a draft or final environmental impact statement at any time. 
PADC shall prepare a supplement to either the draft or final 
environmental impact statement when (1) substantial changes are proposed 
to an action contained in the draft or final EIS that are relevant to 
environmental concerns or there are significant new circumstances or 
information relevant to environmental concerns and bearing on the 
proposed action or its impacts; or (2) actions are proposed which relate 
or are similar to other action(s) taken or proposed and that together 
will have a cumulatively significantly impact on the environment.



Sec. 907.10  Categorical exclusion.

    The CEQ Regulations provide for the categorical exclusion (40 CFR 
1508.4) of actions that do not individually or cumulatively have a 
significant effect on the human environment. Therefore, neither an 
environmental assessment nor an environmental impact statement is 
required for such actions.
    (a) Criteria. Criteria used to determine those categories of action 
that normally do not require either an environmental impact statement or 
an environmental assessment include:
    (1) The action or proposal is consistent with the Plan or the Act, 
and the environmental effects have been previously analyzed in the Final 
EIS, a supplement thereto, or in an environmental assessment or an EIS 
previously prepared; or
    (2) The total estimated cost directly attributable to the action or 
proposal does not exceed $500,000; or
    (3) The action or proposal is related solely to internal 
administrative operations of the Corporation.
    (b) List of categorical exclusions. Categories of action, identified 
in appendix A (attached) have been determined by PADC to have no 
significant effect on the human environment and are therefore 
categorically excluded from the preparation of environmental impact 
statements and environmental assessments.
    (c) Changes to the list of categorical exclusion. (1) The PADC List 
of Categorical Exclusion will be continually reviewed and refined as 
additional categories are identified and as experience is gained in the 
categorical exclusion process.
    (2) Additional categories of exclusion identified will be submitted 
to the Chairman of the Board of Directors for review and approval, and 
for amendments to this part, following public comment and review by the 
Council on Environmental Quality.



Sec. 907.11  Actions that normally require an environmental assessment.

    If a proposal or action is not one that normally requires an 
environmental impact statement, and does not qualify for categorical 
exclusion, PADC will prepare or have prepared an environmental 
assessment.
    (a) Criteria. Criteria used to determine those categories of action 
that normally require an environmental assessment, but not necessarily 
an environmental impact statement, include:
    (1) Potential for minor degradation of environmental quality;
    (2) Potential for cumulative impact on environmental quality; and
    (3) Potential for impact on protected resources.
    (b) Categories of action. The following categories of action 
normally require

[[Page 178]]

the preparation of an environmental assessment.
    (1) Amendments to the Plan that do not constitute a ``substantial 
change'' to the Plan.
    (2) Regulations promulgated by the Corporation that have significant 
environmental impact on the public or persons residing in the 
development area including businesses.
    (3) Development proposals submitted to the Corporation by private 
developers that are consistent with the Plan and General Guidelines 
prepared by the Corporation.
    (4) Activities related to the Public Improvements Program of the 
Corporation for which no previous environmental assessment or EIS has 
been prepared.
    (5) Contracts, work authorizations, and master agreements related to 
and implementing programs, policies, and proposals not categorically 
excluded and for which no environmental assessments or for which no 
environmental assessment and EIS have been previously prepared.
    (6) Street closures and other rearrangements of public space which 
were not covered in the Plan or the Final EIS.
    (7) Acquisition/disposal of personal property by the Corporation not 
related to any specific decision, plan, or program adopted by the Board 
of Directors of the Corporation for which an environmental assessment or 
an environmental assessment and an EIS is required to be prepared.
    (8) Proposed construction of any public building within the 
development area by any executive agency of the United States 
Government, any agency or department of the District of Columbia 
Government, or any other public or quasi-public entity.



Sec. 907.12  Preparation of an environmental assessment.

    (a) When to prepare. PADC will begin the preparation of an 
environmental assessment as early as possible after it is determined by 
the responsible corporation official to be required. PADC may prepare an 
environmental assessment at any time to assist planning and decision-
making.
    (b) Content and format. An environmental assessment is a concise 
public document used to determine whether to prepare an environmental 
impact statement. An environmental assessment aids in complying with the 
Act when no environmental impact statement is necessary, and it 
facilitates the preparation of an environmental impact statement, if one 
is necessary. The environmental assessment shall contain brief 
discussions of the following topics:
    (1) Purpose and need for the proposed action.
    (2) Description of the proposed action.
    (3) Alternatives considered, including the No Action alternative.
    (4) Environmental effects of the proposed action and alternative 
actions.
    (5) Listing of agencies, organizations or persons consulted.
    (6) In preparation of the environmental assessment, the most 
important or significant environmental consequences and effects on the 
areas listed below should be addressed. Only those areas which are 
specifically relevant to the particular proposal should be addressed. 
Those areas should be addressed in as much detail as is necessary to 
allow an analysis of the alternatives and the proposal. The areas to be 
considered are the following:
    (i) Natural/ecological features (such as floodplain, wetlands, 
coastal zones, wildlife refuges, and endangered species);
    (ii) Air quality;
    (iii) Sound levels;
    (iv) Water supply, wastewater treatment and water runoff;
    (v) Energy requirements and conservation;
    (vi) Solid waste;
    (vii) Transportation;
    (viii) Community facilities and services;
    (ix) Social and economic;
    (x) Historic and aesthetic; and
    (xi) Other relevant factors.
    (c) Finding of no significant impact. If PADC completes an 
environmental assessment and determines that an environmental impact 
statement is not required, then PADC shall prepare a finding of no 
significant impact. The finding of no significant impact shall be

[[Page 179]]

made available to the public by PADC as specified in 40 CFR 1506.6 of 
the CEQ Regulations.



Sec. 907.13  Public involvement.

    Interested persons may obtain information concerning any pending EIS 
or any other element of the environmental review process of the 
Corporation by contacting the Public Information Officer of the 
Corporation, 1331 Pennsylvania Avenue, NW, Suite 1220 North, Washington, 
DC 20004, telephone (202) 566-1218.
[47 FR 8768, Mar. 2, 1982, as amended at 50 FR 45824, Nov. 4, 1985]



Sec. 907.14  Corporation decision making procedures.

    To ensure that at major decision making points all relevant 
environmental concerns are considered by the Decision Maker, the 
following procedures are established.
    (a) An environmental document, i.e., the EIS, Environmental 
Assessment, Finding of No Signficant Impact, or Notice of Intent, in 
addition to being prepared at the earliest point in the decision making 
process, shall accompany the relevant proposal or action through the 
Corporation's decision making process to ensure adequate consideration 
of environmental factors.
    (b) The decision maker shall consider in its decision making process 
only those decision alternatives discussed in the relevant environmental 
documents. Also, where an EIS has been prepared, the decision maker 
shall consider all alternatives described in the EIS. A written record 
of the consideration of alternatives during the decision making process 
shall be maintained.
    (c) Any environmental document prepared for a proposal or action 
shall be made part of the record of any formal rulemaking by the 
Corporation.



Sec. 907.15  Approval of private development proposals.

    (a) Each development proposal submitted by a private developer to 
the Corporation for its approval, unless categorically excluded, shall 
require, at a minimum, an environmental assessment.
    (b) The Board of Directors may not take any approval action on a 
submitted development proposal of a private developer until such time as 
the appropriate environmental review has been prepared and submitted to 
the Board of Directors.
    (c) At a minimum, and as part of any submission made by a private 
developer to the Board of Directors for its approval, a private 
developer shall make available data and materials concerning the 
development proposal sufficient to permit the Corporation to carry out 
its responsibilities on environmental review. When requested, the 
developer shall provide additional information that the Corporation 
believes is necessary to permit it to satisfy its environmental review 
functions.
    (d) As part of a development proposal submission, a private 
developer may submit an environmental assessment on its development 
proposal.
    (e) Where the responsible Corporation official determines that the 
preparation of an EIS is required, the EIS shall be prepared in 
accordance with part 1502 of the CEQ Regulations. The responsible 
Corporation official may set time limits for environmental review 
appropriate to each development proposal, consistent with CEQ 
Regulations 40 CFR 1601.8 and 1506.10.
    (f) The responsible Corporation official shall at the earliest 
possible time ensure that the Corporation commences its environmental 
review on a proposed development project and shall provide to a private 
developer any policies or information deemed appropriate in order to 
permit effective and timely review by the Corporation of a development 
proposal once it is submitted to the Board of Directors for approval. 
The official shall designate, for the benefit of the developer, staff 
members of the Corporation to advise the developer with regard to 
information that may be required in order to accomplish the 
Corporation's environmental review.



Sec. 907.16  Actions where lead Agency designation is necessary.

    (a) Consistent with CEQ Regulations, Sec. 1501.5, where a proposed 
action by the Corporation involves one or more other

[[Page 180]]

Federal agencies, or where a group of actions by the Corporation and one 
or more other Federal agencies are directly related to each other 
because of their functional interdependence or geographical proximity, 
the Corporation will seek designation as lead agency for those actions 
that directly relate to implementation of the Plan and those actions 
that relate solely to the Development Area.
    (b) For an action that qualifies as one for which the Corporation 
will seek designation as lead agency, the Corporation will promptly 
consult with the appropriate Federal agencies such as the National 
Capital Planning Commission, the Department of the Interior, and the 
General Services Administration to establish lead agency and cooperating 
agency designations.

                         Appendix A to Part 907

    (a) Specific Corporation actions categorically excluded from the 
requirements for environmental assessment and an EIS are:
    (i) Personnel actions;
    (ii) Administrative actions and operations directly related to the 
operation of the Corporation (e.g., purchase of furnishings, services, 
and space acquisition for the Corporation offices);
    (iii) Property management actions related to routine maintenance, 
operation, upkeep, etc., of real property owned by the Corporation;
    (iv) Review of permit applications relating to minor development 
activities in the Development Area (sign approval, interior renovations, 
minor exterior changes to facade, etc.);
    (v) Promulgation of development general and square guidelines that 
implement the Plan as covered by the Final EIS;
    (vi) Contracts, work authorizations, procurement actions directly 
related to and implementing proposals, programs, and master agreements 
for which an environmental assessment or an environmental assessment and 
an EIS have been prepared, or which are related to administrative 
operation of the agency;
    (vii) Acquisition/disposal by lease, easement, or sale of real and 
personal property owned by the Corporation subsequent to and 
implementing a prior decision of the Board of Directors for which an 
environmental assessment or an assessment and an EIS were prepared;
    (viii) Activities directly related to and implementing the Public 
Improvements Program of the Corporation approved by the Board of 
Directors, and which are covered by a previously prepared environmental 
assessment or an environmental assessment and an EIS;
    (ix) Demolition actions preparatory for development by the 
Corporation, other public agencies, or private developers subsequent to 
approval of development proposals made by the Board of Directors;
    (x) Development proposal identical to the requirements of the Plan 
and which was included in an EIS previously prepared.
    (b) An action which falls into one of the above categories may still 
require the preparation of an EIS or environmental assessment if the 
designated corporation official determines it meets the criteria stated 
in Sec. 907.8(a) or involves extraordinary circumstances that may have a 
significant environmental effect.



PART 908--POLICY AND PROCEDURES TO FACILITATE THE RETENTION OF DISPLACED BUSINESSES AND RESIDENTS IN THE PENNSYLVANIA AVENUE DEVELOPMENT AREA--Table of Contents




                           Subpart A--General

Sec.
908.1  Policy.
908.2  Purpose.
908.3  Definitions.

                Subpart B--Preferential Right To Relocate

908.10  Criteria for Qualified Persons.
908.11  List of Qualified Persons.
908.12  Retention on the List of Qualified Persons.
908.13  Rights of Qualified Persons.
908.14  Requirements placed on developers that have acquired or leased 
          real property from the Corporation.
908.15  Requirements placed on developers that have not acquired or 
          leased real property from the Corporation.

                          Subpart C [Reserved]

                       Subpart D--Review Procedure

908.30  Request for review.
908.31  Time for filing request for review.
908.32  Review procedures.
908.33  Final determination.

    Authority: 40 U.S.C. 874(e); 40 U.S.C. 875(8); 40 U.S.C. 877(d).

    Source: 48 FR 55459, Dec. 13, 1983, unless otherwise noted.

[[Page 181]]



                           Subpart A--General



Sec. 908.1  Policy.

    One of the goals of The Pennsylvania Avenue Plan--1974, as amended, 
(The Plan) is the reduction of hardships experienced by businesses and 
residents within the development area of the Pennsylvania Avenue 
Development Corporation (the Corporation) when they are displaced as a 
result of implementation of The Plan. It is the policy of the 
Corporation to provide displaced businesses and residents with a 
preferential opportunity to relocate within the development area so that 
they may share in the benefits brought to the area by the implementation 
of The Plan. This rule shall not be construed to affect the eligibility, 
rights or responsibilities of persons who may be entitled to benefits 
provided under the Uniform Relocation Assistance and Real Property 
Acquisition Policies Act of 1970 as implemented by the Corporation (36 
CFR part 904).



Sec. 908.2  Purpose.

    The purpose of this rule is to:
    (a) Provide a meaningful opportunity to businesses displaced by the 
Corporation's program to return to, or remain in, the Development Area;
    (b) Establish procedures and requirements for displaced occupants by 
which they may establish and later exercise their preferential right to 
return to the Development Area;
    (c) Establish procedures which the Corporation and private 
Developers must follow in providing Qualified Persons with the 
opportunity to obtain their preferential right to return to the 
Development Area.



Sec. 908.3  Definitions.

    The following definitions shall apply to this part:
    (a) Developer means a Person or team of Persons that has received 
preliminary approval for a development proposal or has been designated 
by the Corporation as Developer pursuant to a development competition.
    (b) Development Area means the area described in section 2 (f) of 
Pub. L. 92-578, October 27, 1972, as amended (40 U.S.C. 871 (f)), and 
for which the Plan has been prepared and will be implemented by the 
Corporation.
    (c) List means the List of Qualified Persons maintained by the 
Corporation as provided in Sec. 908.11(a) of this rule.
    (d) Newly developed space means any leaseable part of a new building 
in the Development Area upon which construction was commenced after 
October 27, 1972 or an existing building in the Development Area which 
after October 27, 1972 underwent substantial remodeling, renovation, 
conversion, rebuilding, enlargement, extension or major structural 
improvement, but not including ordinary maintenance or remodeling or 
changes necessary to continue occupancy.
    (e) Person means a partnership, company, corporation, or association 
as well as an individual or family, but does not include a department, 
agency, or instrumentality of any Federal, state, or local government.
    (f) Previous location means the space from which the Eligible Person 
was or is being displaced as a result of the Corporation's or 
Developer's acquisition of real property, or as a result of receiving a 
written order to vacate from the Corporation.



                Subpart B--Preferential Right To Relocate



Sec. 908.10  Criteria of Qualified Person.

    Qualified Person is either
    (a) A Person whose place of business or residence was located in the 
Development Area and was displaced from its location by:
    (1) The Corporation in connection with the acquisition of fee title, 
or a lesser interest, in the real property containing such business or 
residence; or
    (2) A Developer in implementing a development project in accordance 
with the Plan; or
    (b) A Person whose place of business or residence is located in the 
Development Area and who has received notice of initiation of 
negotiations by the Corporation for purchase of the real property 
containing such business or residence.

[[Page 182]]



Sec. 908.11  List of Qualified Persons.

    (a) The Corporation shall develop and maintain a List of Qualified 
Persons who meet the criteria of Qualified Person as defined in 
Sec. 908.10 and who ask to be placed on that list.
    (b) The Corporation shall notify each occupant displaced by 
development provided an address is available to the Corporation, of this 
policy and the procedures to be followed for placement on the List.
    (c) A person who wishes to be included on the List shall notify the 
Corporation in writing to that effect. The notice to the Corporation 
shall include:
    (1) The address of the Previous Location;
    (2) A short statement indicating the nature of the Qualified 
Person's occupancy;
    (3) The amounts and type of space occupied prior to displacement;
    (4) A description of any specialized equipment or unusual 
requirements for occupancy; and
    (5) A copy of the notice to vacate from the Developer or notice of 
initiation of negotiations from the Corporation if either of these was 
received by the Qualified Person.
    (d) The Corporation shall:
    (1) Review the information furnished by the Person including any 
notice;
    (2) Request additional information, if necessary to make a 
determination of the Person's qualifications;
    (3) Determine whether the Person is qualified to be listed, and if 
so place the Person on the list; and
    (4) Notify the Person of its determination.
    (e) The Corporation urges that any Person who wishes to be placed on 
the List request such placement as soon as the Person meets the criteria 
for Qualified Person established in Sec. 908.10, and all Persons are 
encouraged to do so no later than one year of the time the Person is 
displaced in order to increase the opportunity to obtain Newly Developed 
Space. However, no Person shall be denied placement on the List because 
such placement was not requested within one year of displacement.



Sec. 908.12  Retention on the List of Qualified Persons.

    (a) Once placed on the List, the Corporation shall keep a Person on 
the List until:
    (1) The Corporation receives a written request from the Qualified 
Person to be removed from the List;
    (2) The Qualified Person is relocated into or has a binding lease 
commitment for Newly Developed Space;
    (3) The Qualified Person sells, transfers, or merges its interest in 
the displaced business, unless after such change in ownership Qualified 
Persons have at least fifty-one percent of the interest in the resulting 
business; or
    (4) The Corporation receives a mailing returned from the Post Office 
that the Person is not located at the known address and left no 
forwarding address, provided that the Corporation shall reinstate any 
such removed name if the Person provides the Corporation with a current 
address; or
    (5) The Corporation ceases operations upon completion of the Plan.
    (b) A Qualified person relocated into newly developed space, may 
only again be placed on the List:
    (1) If another branch of its business is subsequently displaced from 
space within the Development Area which is not Newly Developed Space; 
and
    (2) If all requirements of Sec. 908.10 of the rule are met with 
regard to the subsequent displacement.



Sec. 908.13  Rights of Qualified Persons.

    (a) As provided in Secs. 908.14(c) and 908.15(b), each Qualified 
Person on the List shall receive notices of opportunities to occupy 
Newly Developed Space as opportunities become available.
    (b) As provided in Secs. 908.14(d) and 908.15(c), each Qualified 
Person on the List shall be notified of any subsequent changes in the 
leasing plan which are, in the Corporation's opinion, major.
    (c) Each Qualified Person on the List, who is interested in 
negotiating for occupancy of Newly Developed Space shall, within two 
weeks after receiving notice of a tenanting opportunity, provide written 
notice of its interest in the tenanting opportunity to the Developer, 
and furnish a copy of the written notice to the Corporation.

[[Page 183]]

    (d) Each Qualified Person on the List who provides a written notice 
of interest shall have ninety days following the Developer's receipt of 
the notice of interest for exclusive negotiations with the Developer for 
occupancy of the Developer's Newly Developed Space. During the ninety 
day period the Developer, subject to Secs. 908.14 and 908.15 of this 
rule, shall not negotiate tenanting opportunities for the same Newly 
Developed Space requested by the Qualified Person with other than 
Qualified Persons.
    (e) A Qualified Person's opportunity to occupy Newly Developed Space 
shall not be limited to the square on which its previous location was 
situated but extends throughout the Development Area. Similarly, no 
Qualified Person has an absolute right to return to the square where 
previous location was situated.
    (f) A Qualified Person's opportunity to occupy space may be 
exercised in the Development Area at any time during the Corporation's 
existence, but such opportunity may only be exercised within Newly 
Developed Space.
    (g) A Qualified Person has one opportunity to occupy Newly Developed 
Space for each location in the Development Area from which it is 
displaced.
    (h) The Corporation cannot assure any Qualified Person that it will 
be relocated to Newly Developed Space.



Sec. 908.14  Requirements placed on developers that have acquired or leased real property from the Corporation.

    Developers who have acquired or leased real property from the 
Corporation shall:
    (a) Notify the Corporation, within six months of the approval of the 
Developer's building permit, of its leasing plan and when it intends to 
begin seeking tenants. The Developer shall include at least the 
following in its leasing plan:
    (1) The mix of uses and estimated square footage for each use;
    (2) The rentals to be charged by type of use and location;
    (3) The terms and conditions to be included in the leases, including 
financial participation;
    (4) The selection criteria to be used by either the Developer or its 
agents; and
    (5) The projected completion and occupancy dates.
    (b) Notify the Corporation of any changes in the Developer's leasing 
plan.
    (c) Send registered letters to all Qualified Persons on the List 
notifying them that the developer is seeking tenants and advising them 
that they have two weeks to provide the developer with written notice of 
their interest and ninety days thereafter for exclusive negotiations. 
This letter shall include a description of the mix of uses in the 
project, the rentals to be charged by type of use and location, the 
terms and conditions to be included in leases, the projected completion 
and occupancy dates, and the selection criteria to be used to choose 
tenants. The Developer will furnish the Corporation with an enumeration 
of the Qualified Persons it has notified and a copy of the letter and 
any attachments sent.
    (d) Notify in writing each Qualified Person whom the Developer has 
previously contacted of changes in the Developer's leasing plan which 
the Corporation determines are major.
    (e) Provide a ninety day period for exclusive negotiations with 
Qualified Persons, said period to commence with the timely receipt by 
the Developer of the written notice of interest from the Qualified 
Person. During this period the Developers shall:
    (1) Negotiate tenanting opportunities only with Qualified Persons 
who have notified the Developer of their interest in the opportunity;
    (2) Not seek other potential tenants or negotiate agreements to 
occupy the Newly Developed Space requested by Qualified Persons with 
anyone other than those Qualified Persons who have timely notified the 
Developer of their interest in the opportunity, except that a Developer 
may negotiate agreements with equity partners in the project who will 
become tenants or with prime tenants; and
    (3) Negotiate in good faith with interested Qualified Persons and 
seek to accommodate them as tenants.
    (f) Report to the Corporation at the conclusion of the ninety day 
period of

[[Page 184]]

exclusive negotiations concerning the results of its efforts. In 
particular the developer shall:
    (1) State the number of responses which it received from Qualified 
Persons;
    (2) State the number of Qualified Persons with whom it has reached 
agreement and the name of each;
    (3) State the number of Qualified Persons with whom it is still 
negotiating and the name of each; and
    (4) Describe the Developer's negotiations with each Qualified Person 
including a summary of each communication between the Developer and each 
Qualified Person with whom agreement has not been reached, the 
Developer's best offer to each Qualified Person, the best offer of each 
Qualified Person to the Developer, and the specific reasons why any 
Qualified Persons did not meet the selection criteria.
    (g) Report to the Corporation quarterly thereafter until the project 
is fully leased or there are no more Qualified Persons interested in 
leasing space, whichever first occurs, concerning the results of its 
nogotiations with Qualified Persons. In particular the Developer shall 
state:
    (1) The number of Qualified Persons with whom it has reached 
agreement and the name of each;
    (2) The percentage of square feet of total leasable space which it 
has leased to Qualified Persons; and
    (3) A description of the Developer's negotiations with each 
Qualified Person including a summary of each communication between the 
Developer and each Qualified Person with whom agreement has not been 
reached, the Developer's best offer to each Qualified Person, the best 
offer of each Qualified Person to the Developer, and the specific reason 
why the Developer determines any Qualified Person did not meet its 
selection criteria.



Sec. 908.15  Requirements placed on developers that have not acquired or leased real property from the Corporation.

    The Corporation shall encourage Developers that do not acquire or 
lease real property from the Corporation to lease to Qualified Persons.
    (a) While reviewing the Developer's preliminary or final plans, the 
Corporation shall explore the tenanting opportunities proposed by the 
Developer and furnish the Developer with the List.
    (b) The Corporation shall notify those Qualified Persons on the List 
who appear to be prospective tenants for the available tenanting 
opportunities of this tenanting opportunity. To the extent that such 
information is available to the Corporation, these notices shall specify 
the mix of uses in the project, the rentals to be charged by type of use 
and location, the terms and conditions to be included in the leases, the 
projected completion and occupancy dates and the selection criteria to 
be used in choosing tenants.
    (c) The Corporation shall notify in writing each Qualified Person 
whom it has previously contacted of changes in the Developer's plan 
provided the Corporation is informed of the changes and determines the 
changes are major.
    (d) The Corporation shall request that the Developer make every 
effort to lease space to Persons on the List and to report to the 
Corporation the names of those Qualified Persons who have reached an 
agreement with the Developer.



                          Subpart C [Reserved]



                       Subpart D--Review Procedure



Sec. 908.30  Request for review.

    (a) Any Person aggrieved by a determination concerning placement or 
retention on the List or any other right under subpart B of this rule, 
may request that the determination be reviewed.
    (b) The applicant's request for review, shall be in writing, shall 
state the reasons for requesting review, and shall describe the relief 
sought (including all information the aggrieved person believes to be 
relevant). The applicant's written request shall be sent to the Director 
of Real Estate, Pennsylvania Avenue Development Corporation, 1331 
Pennsylvania Avenue, NW., Suite 1220 North, Washington, DC 20004.
[48 FR 55459, Dec. 13, 1983, as amended at 50 FR 45824, Nov. 4, 1985]

[[Page 185]]



Sec. 908.31  Time for filing request for review.

    Any person who files a request for review must do so within one year 
of the date of the determination for which review is sought.



Sec. 908.32  Review procedures.

    (a) Upon receipt of a request for review, the Director of Real 
Estate shall compile all pertinent records maintained on the aggrieved 
person's application, including the following:
    (1) Information on which the original determination was based, 
including applicable regulations;
    (2) Information submitted by the applicant including the request for 
review and any information submitted in support of the application;
    (3) Any additional information the Director of Real Estate considers 
relevant to a full and fair review of the application and which he 
obtains by request, investigation or research.
    (b) The Director of Real Estate shall submit the complete file 
together with a summary of the facts and issues involved in the 
application to the Chairman of the Board of Directors of the Corporation 
or his or her designee (Chairman or designee) within 30 days of receipt 
of the request for review.
    (c) The Chairman may either review the application or designate one 
or more persons from the Board of Directors or from outside the 
Corporation to review the claim. During review the Chairman or 
designee(s) may consult with the Corporation's Office of General Counsel 
to obtain advice on legal issues arising from the claim.



Sec. 908.33  Final determination.

    (a) The Chairman or designee(s) shall make a final determination on 
the claim within 45 days of receipt of the file from the Director of 
Real Estate. The final determination shall be in the form of Findings of 
Fact and Conclusions of Law and shall be sent to the aggrieved person 
and to the Director of Real Estate.
    (b) If the applicant is determined to have been aggrieved, the 
Director of Real Estate shall promptly take appropriate action in 
accordance with the final determination.
    (c) A notice of the right to judicial review shall be sent to the 
aggrieved person with the final determination.



PART 909--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE PENNSYLVANIA AVENUE DEVELOPMENT CORPORATION--Table of Contents




Sec.
909.101  Purpose.
909.102  Application.
909.103  Definitions.
909.104--909.109  [Reserved]
909.110  Self-evaluation.
909.111  Notice.
909.112--909.129  [Reserved]
909.130  General prohibitions against discrimination.
909.131--909.139  [Reserved]
909.140  Employment.
909.141--909.148  [Reserved]
909.149  Program accessibility: Discrimination prohibited.
909.150  Program accessibility: Existing facilities.
909.151  Program accessibility: New construction and alterations.
909.152--909.159  [Reserved]
909.160  Communications.
909.161--909.169  [Reserved]
909.170  Compliance procedures.
909.171--909.999  [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 51 FR 22896, June 23, 1986, unless otherwise noted.



Sec. 909.101  Purpose.

    This part effectuates section 119 of the Rehabilitation, 
Comprehensive Services, and Developmental Disabilities Amendments of 
1978, which amended section 504 of the Rehabilitation Act of 1973 to 
prohibit discrimination on the basis of handicap in programs or 
activities conducted by Executive agencies or the United States Postal 
Service.



Sec. 909.102  Application.

    This part applies to all programs or activities conducted by the 
agency.



Sec. 909.103  Definitions.

    For purposes of this part, the term--
    Assistant Attorney General means the Assistant Attorney General, 
Civil

[[Page 186]]

Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, brailled materials, 
audio recordings, telecommunications devices and other similar services 
and devices. Auxiliary aids useful for persons with impaired hearing 
include telephone handset amplifiers, telephones compatible with hearing 
aids, telecommunication devices for deaf persons (TDD's), interpreters, 
notetakers, written materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, and drug addiction and 
alocoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in paragraph (1) of this 
definition but is treated by the agency as having such an impairment.
    Historic preservation programs means programs conducted by the 
agency that have preservation of historic properties as a primary 
purpose.
    Historic properties means those properties that are listed or 
eligible for listing in the National Register of Historic Places or 
properties designated as historic under a statute of the appropriate 
State or local government body.
    Qualified handicapped person means--
    (1) With respect to preschool, elementary, or secondary education 
services provided by the agency, a handicapped person who is a member of 
a class of persons otherwise entitled by statute, regulation, or agency 
policy to receive education services from the agency.
    (2) With respect to any other agency program or activity under which 
a person is required to perform services or

[[Page 187]]

to achieve a level of accomplishment, a handicapped person who meets the 
essential eligibility requirements and who can acheive the purpose of 
the program or activity without modifications in the program or activity 
that the agency can demonstrate would result in a fundamental alteration 
in its nature;
    (3) With respect to any other program or activity, a handicapped 
person who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity; 
and
    (4) Qualified handicapped person is defined for purposes of 
employment in 29 CFR 1613.702(f), which is made applicable to this part 
by Sec. 909.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), 
and the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used 
in this part, section 504 applies only to programs or activities 
conducted by Executive agencies and not to federally assisted programs.
    Substantial impairment means a significant loss of the integrity of 
finished materials, design quality, or special character resulting from 
a permanent alteration.



Secs. 909.104--909.109  [Reserved]



Sec. 909.110  Self-evaluation.

    (a) The agency shall, by August 24, 1987, evaluate its current 
policies and practices, and the effects thereof, that do not or may not 
meet the requirements of this part, and, to the extent modification of 
any such policies and practices is required, the agency shall proceed to 
make the necessary modifications.
    (b) The agency shall provide an opportunity to interested persons, 
including handicapped persons or organizations representing handicapped 
persons, to participate in the self-evaluation process by submitting 
comments (both oral and written).
    (c) The agency shall, until three years following the completion of 
the self-evaluation, maintain on file and make available for public 
inspection:
    (1) A description of areas examined and any problems identified, and
    (2) A description of any modifications made.



Sec. 909.111  Notice.

    The agency shall make available to employees, applicants, 
participants, beneficiaries, and other interested persons such 
information regarding the provisions of this part and its applicability 
to the programs or activities conducted by the agency, and make such 
information available to them in such manner as the head of the agency 
finds necessary to apprise such persons of the protections against 
discrimination assured them by section 504 and this regulation.



Secs. 909.112--909.129  [Reserved]



Sec. 909.130  General prohibitions against discrimination.

    (a) No qualified handicapped person shall, on the basis of handicap, 
be excluded from participation in, be denied the benefits of, or 
otherwise be subjected to discrimination under any program or activity 
conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--
    (i) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified handicapped person an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified handicapped person with an aid, benefit, 
or service that is not as effective in affording equal opportunity to 
obtain the same result, to gain the same benefit, or to reach the same 
level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
handicapped persons or to any class of handicapped persons than is 
provided to others unless such action is necessary to provide

[[Page 188]]

qualified handicapped persons with aid, benefits, or services that are 
as effective as those provided to others;
    (v) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or
    (vi) Otherwise limit a qualified handicapped person in the enjoyment 
of any right, privilege, advantage, or opportunity enjoyed by others 
receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified handicapped person the 
opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangments, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to handicapped persons.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination under any program or activity 
conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to handicapped persons.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified handicapped persons to 
discrimination on the basis of handicap.
    (6) The agency may not administer a licensing or certification 
program in a manner that subjects qualified handicapped persons to 
discrimination on the basis of handicap, nor may the agency establish 
requirements for the programs or activites of licensees or certified 
entities that subject qualified handicapped persons to discrimination on 
the basis of handicap. However, the programs or activities of entities 
that are licensed or certified by the agency are not, themselves, 
covered by this part.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive order to a different 
class of handicapped persons is not prohibited by this part.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified handicapped 
persons.



Secs. 909.131--909.139  [Reserved]



Sec. 909.140  Employment.

    No qualified handicapped person shall, on the basis of handicap, be 
subjected to discrimination in employment under any program or activity 
conducted by the agency. The definitions, requirements, and procedures 
of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791), as 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613, shall apply to employment in federally conducted programs or 
activities.



Secs. 909.141--909.148  [Reserved]



Sec. 909.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec. 909.150, no qualified 
handicapped person shall, because the agency's facilities are 
inaccessible to or unusable by handicapped persons, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec. 909.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by handicapped persons. This paragraph does 
not--

[[Page 189]]

    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by handicapped persons;
    (2) In the case of historic preservation programs, require the 
agency to take any action that would result in a substantial impairment 
of significant historic features of an historic property; or
    (3) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec. 909.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that would not result in 
such an alteration or such burdens but would nevertheless ensure that 
handicapped persons receive the benefits and services of the program or 
activity.
    (b) Methods--(1) General. The agency may comply with the 
requirements of this section through such means as redesign of 
equipment, reassignment of services to accessible buildings, assignment 
of aides to beneficiaries, home visits, delivery of services at 
alternate accessible sites, alteration of existing facilities and 
construction of new facilities, use of accessible rolling stock, or any 
other methods that result in making its programs or activities readily 
accessible to and usable by handicapped persons. The agency is not 
required to make structural changes in existing facilities where other 
methods are effective in achieving compliance with this section. The 
agency, in making alterations to existing buildings, shall meet 
accessibility requirements to the extent compelled by the Architectural 
Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), and any 
regulations implementing it. In choosing among available methods for 
meeting the requirements of this section, the agency shall give priority 
to those methods that offer programs and activities to qualified 
handicapped persons in the most integrated setting appropriate.
    (2) Historic preservation programs. In meeting the requirements of 
Sec. 909.150(a) in historic preservation programs, the agency shall give 
priority to methods that provide physical access to handicapped persons. 
In cases where a physical alteration to an historic property is not 
required because of Sec. 909.150(a)(2) or (a)(3), alternative methods of 
achieving program accessibility include--
    (i) Using audio-visual materials and devices to depict those 
portions of an historic property that cannot otherwise be made 
accessible;
    (ii) Assigning persons to guide handicapped persons into or through 
portions of historic properties that cannot otherwise be made 
accessible; or
    (iii) Adopting other innovative methods.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by October 21, 1986, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by August 22, 1989, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by February 23, 1987, a transition plan setting 
forth the steps necessary to complete such changes. The agency shall 
provide an opportunity to interested persons, including handicapped 
persons or organizations representing handicapped persons, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--

[[Page 190]]

    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.



Sec. 909.151  Program accessibility: New construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of the agency shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
handicapped persons. The definitions, requirements, and standards of the 
Architectural Barriers Act (42 U.S.C. 4151-4157), as established in 41 
CFR 101-19.600 to 101-19.607, apply to buildings covered by this 
section.



Secs. 909.152--909.159  [Reserved]



Sec. 909.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
handicapped person.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf person (TDD's) or 
equally effective telecommunication systems shall be used.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and adminstrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec. 909.160 would result 
in such alteration or burdens. The decision that compliance would result 
in such alteration or burdens must be made by the agency head or his or 
her designee after considering all agency resources available for use in 
the funding and operation of the conducted program or activity, and must 
be accompanied by a written statement of the reasons for reaching that 
conclusion. If an action required to comply with this section would 
result in such an alteration or such burdens, the agency shall take any 
other action that would not result in such an alteration or such burdens 
but would nevertheless ensure that, to the maximum extent possible, 
handicapped persons receive the benefits and services of the program or 
activity.



Secs. 909.161--909.169  [Reserved]



Sec. 909.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section

[[Page 191]]

504 with respect to employment according to the procedures established 
by the Equal Employment Opportunity Commission in 29 CFR part 1613 
pursuant to section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 
791).
    (c) The Executive Director shall be responsible for coordinating 
implementation of this section. Complaints may be sent to the General 
Counsel, Pennsylvania Avenue Development Corporaton, 1331 Pennsylvania 
Avenue, NW., Suite 1220 North, Washington, DC 20004-1730.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the 
Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not readily 
accessible to and usable by handicapped persons.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec. 909.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.
[51 FR 22894, 22896, June 23, 1986, as amended at 51 FR 22894, June 23, 
1986]



Secs. 909.171--909.999  [Reserved]



PART 910--GENERAL GUIDELINES AND UNIFORM STANDARDS FOR URBAN PLANNING AND DESIGN OF DEVELOPMENT WITHIN THE PENNSYLVANIA AVENUE DEVELOPMENT AREA--Table of Contents




                           Subpart A--General

Sec.
910.1  Policy.
910.2  Purpose.
910.3  Program administration.

              Subpart B--Urban Planning and Design Concerns

910.10  General.
910.11  Comprehensive urban planning and design.
910.12  Development density.
910.13  Urban design of Washington, DC.
910.14  Historic preservation.
910.15  New development design.
910.16  Land use.
910.17  Pedestrian circulation system.
910.18  Vehicular circulation and storage systems.

    Subpart C--Standards Uniformly Applicable to the Development Area

910.30  General.
910.31  High architectural quality.
910.32  Historic preservation.
910.33  Off-street parking.
910.34  Accommodations for the physically handicapped.
910.35  Fine arts.

[[Page 192]]

910.36  Energy conservation.
910.37  Fire and life safety.
910.38  Building exterior illumination.

                      Subpart D--Glossary of Terms

910.50  General.
910.51  Access.
910.52  Buildable area.
910.53  Building restriction line.
910.54  Build-to height.
910.55  Build-to line.
910.56  Coordinated planning area.
910.57  Curb-cut.
910.58  Development.
910.59  Development parcel.
910.60  Gross floor area.
910.61  Height of development.
910.62  The Plan.
910.63  Rehabilitation.
910.64  Replication.
910.65  Restoration.
910.66  Sidewalk setback.
910.67  Square guidelines.
910.68  Storefront.
910.69  Structural bay.
910.70  Vault.
910.71  Weather protection.

    Authority: Sec. 6(8) Pennsylvania Avenue Development Corporation Act 
of 1972 (40 U.S.C. 875(8)).

    Source: 48 FR 36642, Aug. 23, 1982, unless otherwise noted.



                           Subpart A--General



Sec. 910.1  Policy.

    (a) The Pennsylvania Avenue Development Corporation Act of 1972, 
Pub. L. 92-578, October 27, 1972, (the Act), (40 U.S.C. 871 et seq.) 
established the Pennsylvania Avenue Development Corporation (the 
Corporation) with jurisdiction over the Pennsylvania Avenue Development 
Area (Development Area). The Development Area is generally described as 
an area in Washington DC, bounded by Pennsylvania Avenue, NW., on the 
south, East Executive Drive on the west, 3rd Street, NW., on the east, 
and E and F Streets, NW., on the north.
    (b) Prior to creation of the Corporation, the deterioration of the 
Development Area had an adverse impact upon the physical, economic, and 
social life of Washington, DC. The Corporation was created as the 
vehicle to develop, maintain, and use the Development Area in a manner 
suitable to its ceremonial, physical, and historic relationship to the 
legislative and executive branches of the Federal government, to the 
governmental buildings, monuments, memorials, and parks in and adjacent 
to that area, and to the downtown commercial core of Washington, DC. The 
Corporation was directed to prepare a development plan for the 
Development Area and to submit that plan to the United States Congress. 
Congress accepted that plan and directed its implementation by the 
Corporation. The Corporation through a broad range of statutory powers 
has begun this implementation process.
    (c) The Pennsylvania Avenue Plan--1974, as amended (the Plan) is a 
blueprint for social, economic, and architectural rejuvenation of the 
Development Area. Its goal is to make the Development Area once again a 
relevant and contributing element of Washington, DC. With the 
implementation of the Plan, the Development Area will become a showpiece 
of the Nation's Capital, proudly displaying the successful joint efforts 
of the Corporation, other Federal and District of Columbia government 
agencies, and private entrepreneurs.
    (d) The Plan, containing the goals and objectives for development, 
is supplemented by various adopted policies and programs of the 
Corporation. The Plan, in conjunction with these policies and programs, 
represents the basis upon which the development and rejuvenation of the 
Development Area will proceed, whether publicly or privately inspired 
and accomplished. These policies and programs amplify, elaborate, and 
refine the planning and urban design concepts expressed in the Plan.



Sec. 910.2  Purpose.

    (a) Implementation of the Plan occurs through two component actions: 
public improvements construction and square development. Public 
improvements construction consists of implementation by the Corporation 
of the Public Improvements Program which is a comprehensive plan for the 
design and construction of public amenities in public spaces and 
selected thoroughfares within the Development Area. This program 
outlines the details of roadway and sidewalk improvements, public space 
configuration, and pedestrian amenities. Square development consists of 
design and construction of

[[Page 193]]

development projects primarily on city blocks, known as squares, within 
the Development Area. These development projects are generally pursued 
by private entrepreneurs with varying degrees of participation and 
involvement by the Corporation, through such means as land assemblage 
and leasing.
    (b) This part 910, together with the Square Guidelines applicable to 
the coordinated planning area, pertains solely to square development and 
specifies the controlling mechanism for implementation of the Plan 
required by Chapter Six of the Plan.



Sec. 910.3  Program administration.

    (a) This part 910, together with Square Guidelines, described below, 
provides interested parties with the urban planning and design 
information sufficient to understand and participate in the process of 
square development within the Development Area.
    (1) This part 910, General Guidelines and Uniform Standards for 
Urban Planning and Design of Development, sets forth the general 
planning and design goals and objectives which govern the implementation 
of the Plan, specifies standards which are uniformly applicable to all 
developments throughout the Development Area, and provides a glossary of 
defined terms applicable to this part as well as Square Guidelines.
    (2) Square Guidelines specifies detailed urban planning and design 
requirements and recommendations which are applicable to each particular 
coordinated planning area, a coordinated planning area being a square, a 
portion of a square, or a combination of squares. These requirements and 
recommendations set forth intentions and refinements of the Plan in 
light of the identified Planning and Design Concerns specified in 
subpart B of this part 910. Each set of Square Guidelines is adopted by 
the Board of Directors, issued by the Chairman, and is available, upon 
request, at the Corporation's office.
    (3) Square Guidelines are developed in the context of the existing 
environment. Several provisions in the Square Guidelines are, therefore, 
established on the basis of certain assumptions in terms of existing 
buildings, a particular traffic pattern and roadway configuration, a 
market condition for a particular land use, etc. In the event of a major 
change or casualty which would render it impossible or impracticable to 
meet certain requirements of Square Guidelines, the Corporation would 
expect to develop and issue up-to-date Square Guidelines. This statement 
does not, of course, preclude the Corporation from issuing amendments to 
Square Guidelines from time to time on any other basis.
    (b) Pursuant to section 7(b) of the Act, each proposal for 
development within the Development Area must be submitted to the 
Corporation to determine its consistency with the Plan. The 
Corporation's adopted development policy, entitled ``Development 
Policies and Procedures,'' sets forth the process for this 
determination. In determining whether a development proposal is 
consistent with the Plan, the Corporation shall review the proposal 
against all adopted Corporation programs, policies, and regulations, 
including:
    (1) This part 910.
    (2) Square Guidelines.
    (3) Development Policies and Procedures.
    (4) Historic Preservation Plan.
    (5) Energy Guidelines.
    (6) Side Street Improvements Program.
    (7) Policy on Environmental Quality and Control (36 CFR part 907).
    (8) Pennsylvania Avenue Lighting Plan.
    (9) Public Improvements Program.
    (10) Affirmative Action Policy and Procedure (36 CFR part 906).
    (11) Policy and Procedures to Facilitate Successful Relocation of 
Businesses and Residents within the Pennsylvania Avenue Development 
Area.
    (12) All other programs, policies, and regulations that may be 
approved and adopted by the Board of Directors from time to time.
    (c) Pursuant to the Act, Federal and District of Columbia agencies 
and departments may exercise such existing authority and lawful powers 
over urban planning and design features of development as are consistent 
with the Plan. No department or agency may release, modify, or depart 
from any feature of the Plan without the prior approval of the 
Corporation.

[[Page 194]]



              Subpart B--Urban Planning and Design Concerns



Sec. 910.10  General.

    To facilitate review of each development proposal in light of the 
identified urban planning and design goals of the Plan, the following 
urban planning and design concerns will be the basis upon which the 
evaluation of such proposals will be made. These concerns are also more 
specifically reflected in subpart C of this Rule, and in the 
requirements and recommendations in Square Guidelines.
    (a) Comprehensive planning and design;
    (b) Development density;
    (c) Urban design of Washington, DC;
    (d) Historic preservation;
    (e) New development design;
    (f) Land use;
    (g) Pedestrian circulation sytems; and
    (h) Vehicular circulation and storage systems.



Sec. 910.11  Comprehensive urban planning and design.

    (a) All new development is conceived as an integral part of its 
surroundings, which include the remainder of the Development Area, the 
Mall, the Federal Triangle, and the District's downtown, and should 
support Pennsylvania Avenue's function as a bridge between the 
monumental Federal core to the south and the District's downtown to the 
north.
    (b) All development shall be planned and designed to accommodate the 
requirements and needs of historic preservation, affirmative action, 
business relocation, and other concerns which will affect the overall 
planning and design of a development.
    (c) The design of any development shall take into account the Plan's 
proposed future treatment of buildings, squares, and pedestrian spaces 
in the immediate surrounding area.
    (d) The design of any development shall be coordinated with the 
massing, architectural design, servicing, pedestrian amenities, and uses 
of nearby development as prescribed under the Plan.
    (e) Any development adjacent to F Street, NW. shall be accomplished 
in a manner that will strengthen F Street as a retail core of 
Washington, DC.
    (f) Any development along Pennsylvania Avenue shall be designed so 
as to support the transformation of the Avenue into an attractive and 
pleasant place for residents and visitors alike, offering pleasant 
places to stroll, rest, sit and talk, eat, and shop.
    (g) All development within a coordinated planning area shall, to the 
maximum extent possible, be integrated with regard to the off-street 
loading and servicing, pedestrian features.



Sec. 910.12  Development density.

    (a) Land would be developed to the fullest extent appropriate in 
terms of uses, economics, and design so that the city's economic life 
and tax base can be enhanced.
    (b) New development shall be designed to achieve maximum development 
density within the building envelope delineated by specific height 
restrictions, but shall also establish a compatible and appropriate 
scale for historic preservation, residential and other uses, and other 
urban design elements.
    (c) Development density is limited by the Zoning Regulations of the 
District of Columbia and may be further restricted by the Corporation in 
specific coordinated planning areas, provided that any lower density 
would be economically feasible. Generally, the Plan is structured to 
create high density development west of the FBI and lower density 
development east of the FBI.
    (d) The density of new development should bring new economic life--
jobs, shopping, and business opportunities--to Pennsylvania Avenue, 
while also reinforcing existing activity both on the Avenue and in the 
adjacent downtown, both within and beyond the Development Area.



Sec. 910.13  Urban design of Washington, DC.

    (a) Pennsylvania Avenue's unique role as the physical and symbolic 
link between the White House and the U.S. Capitol should be reinforced 
by new development along it.
    (b) To reinforce and enrich the legacy of the L'Enfant Plan, the 
primary function of new development in the Development Area is to define 
open spaces and

[[Page 195]]

plazas, or to reinforce vistas along major streets and thoroughfares.



Sec. 910.14  Historic preservation.

    (a) The Development Area is located almost entirely within the 
Pennsylvania Avenue National Historic Site, which was established to 
preserve the exceptional values of Pennsylvania Avenue and its environs 
in commemorating or illustrating the history of the United States. The 
Pennsylvania Avenue Area achieves national historic significance because 
of both its ceremonial role in the life of the nation and its social and 
economic role in the life of the residents of Washington for more than a 
century.
    (b) The Historic Preservation Plan of the Corporation sets forth the 
adopted policy of the Corporation on historic preservation and 
development within the Development Area must be consistent with this 
policy.
    (c) New construction adjacent to historic structures will be 
required to take into account the qualities of the adjacent structures 
(with regard to height, scale, proportion, rhythm, texture, materials, 
architectural detail, and the amount of variety among the structures 
with respect to these qualities as well as style and date of erection) 
to ensure that these structures maintain their historic or architectural 
integrity, but will not necessarily be required to conform to them.
    (d) Wholly new construction and new construction in conjunction with 
preservation will, where appropriate, take into account the historic 
buildings to remain, aiming for the highest quality of contemporary 
design, consistent with the goals and objectives of the Historic 
Preservation Plan.



Sec. 910.15  New development design.

    (a) All new development shall represent the best contemporary 
architectural and urban planning concepts.
    (b) Where new development includes or relates to historic or 
architecturally meritorious buildings which are to be preserved, the 
design of the new development should be aimed at retaining as much of 
the significant fabric of the Development Area as is possible consistent 
with the goals of the Plan.



Sec. 910.16  Land use.

    (a) Development within the Development Area shall provide, and 
stimulate in neighboring areas, more lively and varied shopping, 
cultural, entertainment, and residential opportunities, as well as high 
quality office uses.
    (b) That portion of the Development Area west of the FBI Building is 
designated for commercial development, primarily office and hotel uses 
with attendant retail and service uses. That portion of the Development 
Area east of the FBI Building is designated for development with 
residential uses, office, institutional and entertainment uses supported 
by service and retail uses.
    (c) The kinds of uses and their location within the Development Area 
shall be directly related to creating a lively atmosphere and to 
promoting an active street life throughout the day, evening, and 
weekend.
    (d) Introduction or expansion of retail uses shall be encouraged as 
both reinforcement of existing retail uses and creation of new retail 
activities.
    (e) While recognized as important to the commercial life of any 
inner city, uses that do not generate lively activities are discouraged 
from locating along those street fronts within the Development Area 
which are considered major pedestrian thoroughfares.



Sec. 910.17  Pedestrian circulation system.

    (a) An efficient, pleasant, and stimulating pedestrian circulation 
system shall be developed to link the components of the Development Area 
with the Mall and the city's downtown.
    (b) Pedestrian circulation systems shall be designed to provide 
pedestrian comfort and convenience, to create more linear footage of 
storefront, to encourage recognition of the location of various METRO 
stops or other mass transit locations, and to link various historic and 
architecturally significant buildings, sites, and monuments which are 
scattered throughout and beyond the Historic Site.
    (c) Curb cuts across the north sidewalk areas of Pennsylvania Avenue 
shall be prohibited in order to reinforce its importance as the major 
pedestrian thoroughfare of the Development Area.

[[Page 196]]



Sec. 910.18  Vehicular circulation and storage systems.

    (a) Improvement of the existing vehicular storage and circulation 
system is necessary in order to create the balanced transportation 
system called for in the Plan, which recognizes the need to maintain air 
quality, to encourage the use of mass transit, and to provide sufficient 
off-street parking and loading to make development economically viable.
    (b) The general policies of the Corporation are as follows:
    (1) To reduce impedance to traffic movement created by service 
vehicles by requiring well-integrated off-street loading facilities in 
terms of location of loading berths and access points on a block-by-
block basis;
    (2) To control the number of vehicles in the Development Area by 
limiting the number of parking spaces per development; and
    (3) To encourage the use of public transportation by linking new 
development to transit stops through the system of pedestrian ways.



    Subpart C--Standards Uniformly Applicable to the Development Area



Sec. 910.30  General.

    In addition to the specific requirements and recommendations 
contained in Square Guidelines for the applicable coordinated planning 
area, the Standards set forth in this subpart C are uniformly applicable 
to any development within the Development Area.



Sec. 910.31  High architectural quality.

    Development must maintain a uniformly high standard of architecture, 
representative of the best contemporary design and planning concepts. 
Great care and sensitivity must be shown in the architectural treatment 
of new buildings, particularly in terms of massing, facade design 
(including materials, composition, and detailing), the ground floor and 
sidewalk pedestrian environment, interior public spaces, and provisions 
for pedestrian and vehicular access. Special design considerations for 
each coordinated planning area are set forth in Square Guidelines.



Sec. 910.32  Historic preservation.

    Rehabilitation of buildings within the Development Area, which, 
according to the Plan and the Historic Preservation Plan of the 
Corporation, are specified for preservation, shall be acomplished (a) in 
accordance with the Secretary of the Interior's ``Standards for Historic 
Preservation Projects': (36 CFR part 68), and (b) consultation with the 
State Historic Preservation Officer for the District of Columbia.



Sec. 910.33  Off-street parking.

    (a) Off-street parking as a principal use is prohibited, although 
off-street parking as an accessory use in a development (such as a 
below-grade parking garage) is permitted.
    (b) All parking spaces shall be located below grade level.
    (c) The minimum number of parking spaces shall be provided in 
accordance with DC Zoning Regulations.
    (d) The maximum number of parking spaces permitted by PADC for a 
development may not exceed the aggregate of the number of spaces allowed 
for each use within the development. The schedule of limitations for 
parking spaces is as follows:
    (1) Hotel: One parking space for each four sleeping rooms or suites;
    (2) Places of public assemblage other than hotels: (i.e., arena, 
armory, theater, auditorium, community center, convention center, 
concert hall, etc.) one parking space for each ten seats of occupancy 
capacity for the first 10,000 seats plus one for each 20 seats above 
10,000: Provided, that where seats are not fixed, each seven square feet 
of gross floor area usable for seating shall be considered one seat;
    (3) Retail, trade, and service establishments: one parking space for 
each 750 square feet of gross floor area;
    (4) Residential: One parking space for each 1.2 units;
    (5) Offices: One parking space for each 1,800 square feet of gross 
floor area.

[[Page 197]]



Sec. 910.34  Accommodations for the physically handicapped.

    (a) Every development shall incorporate features which will make the 
development accessible by the physically handicapped. The standards in 
the ``American Standard Specifications for Making Buildings and 
Facilities Accessible to, and Usable by the Physically Handicapped,'' 
published by the American National Standards Institute, Inc. (ANSI A 
117.1-1961 (1971)), are recommended.
    (b) Where a development includes a historic structure, the Advisory 
Council on Historic Preservation's policy, ``Supplementary Guidance--
Handicapped Access to Historic Properties,'' (45 FR 9757, Feb. 13, 
1980), should be observed.



Sec. 910.35  Fine arts.

    Fine arts, including sculpture, paintings, decorative windows, bas-
reliefs, ornamental fountains, murals, tapestries, and the like, should 
be included in each development. PADC encourages commissions for 
original works of art which are appropriate for the development. For 
information and guidance, a reasonable expenditure for fine arts is 
deemed to be one half of one percent of the total construction cost of 
the development.



Sec. 910.36  Energy conservation.

    All new development shall be designed to be economical in energy 
consumption. The Energy Guidelines of the Corporation, and the District 
of Columbia Energy Conservation Code Act of 1979 and its implementing 
regulations set forth the appropriate standards to be observed.



Sec. 910.37  Fire and life safety.

    As a complementary action to satisfying required District of 
Columbia codes related to fire safety, it is highly recommended that all 
new development be guided by standards of the NFPA Codes for fire and 
life safety and that all buildings be equipped with an approved 
sprinkler system.



Sec. 910.38  Building exterior illumination.

    Exterior illumination of a building shall be in conformance with the 
standards specified in the Pennsylvania Avenue Lighting Plan of the 
Corporation.



                      Subpart D--Glossary of Terms



Sec. 910.50  General.

    The definitions appearing in this Glossary of Terms are applicable 
to this part 910 and to the Square Guidelines. In addition, definitions 
appearing in section 1201 of the Zoning Regulations of the District of 
Columbia are also applicable. Where a conflict between this subpart and 
section 1201 of the Zoning Regulations arises in terminology or 
interpretation, this subpart shall be controlling.



Sec. 910.51  Access.

    Access, when used in reference to parking or loading, means both 
ingress and egress.



Sec. 910.52  Buildable area.

    Buildable area means that portion of the established development 
parcel which can be devoted to buildings and structures. Generally, this 
area is bounded by any applicable building restriction lines, right-of-
way lines and development parcel lines. It shall be the buildable area 
of a development parcel rather than ``lot,'' as it is established in the 
DC Zoning Regulations, that will be utilized to establish the maximum 
gross floor area of a development within specified portions of the 
Development Area.



Sec. 910.53  Building restriction line.

    Building restriction line means a line beyond which an exterior wall 
of any building of a development may not be constructed or project, 
except that architectural articulation, minor architectural 
embellishments, and subsurface projections are permitted.



Sec. 910.54  Build-to height.

    Build-to height means a specified minimum height of development to 
which the exterior wall of a building in a development must rise. Minor 
deviations from the build-to height for architectural embellishments and 
articulations of the cornice and roof level are permitted, unless 
otherwise prohibited by the applicable Square Guidelines or the

[[Page 198]]

District of Columbia's codes and regulations.



Sec. 910.55  Build-to line.

    Build-to line means a line with which the exterior wall of a 
building in a development is required to coincide. Minor deviations from 
the build-to line for such architectural features as weather protection, 
recesses, niches, ornamental projections, entrance bays, or other 
articulations of the facade are permitted, unless otherwise prohibited 
by the applicable Square Guidelines or the District of Columbia's codes 
and regulations.



Sec. 910.56  Coordinated planning area.

    Coordinated planning area means a Square, portion of a Square, or 
group of Squares that is composed of one or more development parcels and 
is treated as a unit under Square Guidelines in order to achieve 
comprehensive planning and design.



Sec. 910.57  Curb-cut.

    Curb-cut means that portion of the curb and sidewalk over which 
vehicular access is allowed. The number of access lanes for each curb-
cut shall be specified in each set of Square Guidelines.



Sec. 910.58  Development.

    Development means a structure, including a building, planned unit 
development, or project resulting from the process of planning, land 
acquisition, demolition, construction, or rehabilitation consistent with 
the objectives and goals of the Plan.



Sec. 910.59  Development parcel.

    Development parcel means an area of land established by the 
Corporation to be a minimum site on which a development may occur under 
the Plan and any applicable Square Guidelines adopted by the 
Corporation. A development parcel does not need to be under the 
ownership of a single individual or entity. A proposal for a development 
parcel may be formulated by any number of individuals or entities, so 
long as it accommodates the needs and requirements of affirmative 
action, historic preservation and other policies of the Corporation, and 
at the same time responds to the goals of comprehensive planning and 
design for that particular coordinated planning area.



Sec. 910.60  Gross floor area.

    Gross floor area is defined in section 1201, Zoning Regulations of 
the District of Columbia and generally means the sum of the gross 
horizontal areas of the several floors from the ground floor up of all 
buildings of a development occurring on a lot. Gross floor area shall be 
measured from the exterior faces of exterior walls and from the center 
line of walls separating two buildings.



Sec. 910.61  Height of development.

    Height of development means the vertical distance measured from a 
specified point at the curb level to the highest point of the roof or 
parapet of the development, whichever is higher, exclusive of all roof 
structures except as otherwise specified.



Sec. 910.62  The Plan.

    The Plan means The Pennsylvania Avenue Plan--1974, as amended, and 
prepared pursuant to Pub. L. 92-578, 86 Stat. 1266 (40 U.S.C. 871), and 
the document which sets forth the development concepts upon which this 
part 910 and Square Guidelines are based.



Sec. 910.63  Rehabilitation.

    Rehabilitation means the process of adapting improvements on real 
property to make possible an efficient contemporary use achieved by 
means of a combination of construction, repair, or alteration, as well 
as restoration and replication of those portions and features of the 
property that are significant to its historic, architectural, and 
cultural values, consistent with the goals and objectives of the Plan.



Sec. 910.64  Replication.

    Replication means the process of using modern methods and materials 
to reproduce the exact form and details of a vanished building, 
structure, object, or portion thereof, as it appeared at a particular 
period of time, and consistent with the objectives and goals of the 
Plan.

[[Page 199]]



Sec. 910.65  Restoration.

    Restoration means the process of accurately recovering the form and 
details of a property as they appeared at a particular period of time by 
means of removal of later work and the replacement of missing original 
work, consistent with the objectives and goals of the Plan.



Sec. 910.66  Sidewalk setback.

    Sidewalk setback means that area between a building restriction line 
and the right-of-way of a street into which projections except 
architectural articulations, minor architectural embellishments, and 
subsurface structures, are prohibited. The area is to be dedicated to 
open space activities related to the public improvements program of the 
Pennsylvania Avenue Development Corporation. Subsurface structures may 
intrude into the area if they are in compliance with the Square 
Guidelines.



Sec. 910.67  Square guidelines.

    Square Guidelines establish the Corporation's specific intent with 
regard to design and development objectives relative to each individual 
coordinated planning area.



Sec. 910.68  Storefront.

    Storefront means the street level frontage relating to a single 
establishment.



Sec. 910.69  Structural bay.

    Structural bay means the distance or span from one vertical 
structural member fronting on a street to the immediately adjacent 
vertical structural member fronting on the same street.



Sec. 910.70  Vault.

    A vault means an enclosure of space beneath the surface of the 
public space or sidewalk setback, except that the term vault shall not 
include public utility structures.



Sec. 910.71  Weather protection.

    Weather protection means a seasonal or permanent shelter to protect 
pedestrians from sun or precipitation, consisting of arcades, canopies, 
awnings, or other coverings.



PARTS 911--999  [RESERVED]




[[Page 201]]



                        CHAPTER X--PRESIDIO TRUST




  --------------------------------------------------------------------
Part                                                                Page
1001            General provisions..........................         203
1002            Resource protection, public use and 
                    recreation..............................         208
1004            Vehicles and traffic safety.................         221
1005            Commercial and private operations...........         225

[[Page 203]]



PART 1001--GENERAL PROVISIONS--Table of Contents




Sec.
1001.1  Purpose.
1001.2  Applicability and scope.
1001.3  Penalties.
1001.4  Definitions.
1001.5  Closures and public use limits.
1001.6  Permits.
1001.7  Public notice.
1001.8  Information collection.
1001.10  Symbolic signs.

    Authority:  Pub. L. 104-333, 110 Stat. 4097 (16 U.S.C. 460bb note).

    Source: 63 FR 35697, June 30, 1998, unless otherwise noted.



Sec. 1001.1  Purpose.

    (a) The regulations in this chapter provide for the proper use, 
management, government and protection of persons, property and natural 
and cultural resources within the area under the jurisdiction of the 
Presidio Trust.
    (b) The regulations in this chapter will be utilized to fulfill the 
statutory purposes of the Presidio Trust Act.



Sec. 1001.2  Applicability and scope.

    (a) The regulations contained in this chapter apply to all persons 
entering, using, visiting, or otherwise within the boundaries of 
federally owned lands and waters administered by the Presidio Trust.
    (b) The regulations contained in Parts 1002, 1004 and 1005 of this 
chapter shall not be construed to prohibit administrative activities 
conducted by the Presidio Trust, or its agents, in accordance with 
approved policies of the Presidio Trust, or in emergency operations 
involving threats to life, property, or resources of the area 
administered by the Presidio Trust.
    (c) The regulations in this chapter are intended to treat a 
mobility-impaired person using a manual or motorized wheelchair as a 
pedestrian and are not intended to restrict the activities of such a 
person beyond the degree that the activities of a pedestrian are 
restricted by the same regulations.



Sec. 1001.3  Penalties.

    A person convicted of violating a provision of the regulations 
contained in Parts 1001, 1002, 1004 and 1005 of this chapter, within the 
area administered by the Presidio Trust, shall be punished by a fine as 
provided by law, or by imprisonment not exceeding 6 months, or both, and 
shall be adjudged to pay all costs of the proceedings.



Sec. 1001.4  Definitions.

    The following definitions shall apply to this chapter, unless 
modified by the definitions for a specific part or regulation:
    Abandonment means the voluntary relinquishment of property with no 
intent to retain possession.
    Administrative activities means those activities conducted under the 
authority of the Presidio Trust for the purpose of safeguarding persons 
or property, implementing management plans and policies developed in 
accordance and consistent with the regulations in this chapter, or 
repairing or maintaining government facilities.
    Airboat means a vessel that is supported by the buoyancy of its hull 
and powered by a propeller or fan above the waterline. This definition 
should not be construed to mean a ``hovercraft,'' that is supported by a 
fan-generated air cushion.
    Aircraft means a device that is used or intended to be used for 
human flight in the air, including powerless flight.
    Archeological resource means material remains of past human life or 
activities that are of archeological interest and are at least 50 years 
of age. This term includes, but shall not be limited to, objects made or 
used by humans, such as pottery, basketry, bottles, weapons, weapon 
projectiles, tools, structures or portions of structures, pit houses, 
rock paintings, rock carvings, intaglios, or any portion or piece of the 
foregoing items, and the physical site, location or context in which 
they are found, or human skeletal materials or graves.
    Authorized emergency vehicle means a vehicle in official use for 
emergency purposes by a Federal agency or an emergency vehicle as 
defined by State law.
    Authorized person means an employee or agent of the Presidio Trust 
with delegated authority to enforce the provisions of this chapter.
    Bicycle means every device propelled solely by human power upon 
which a

[[Page 204]]

person or persons may ride on land, having one, two, or more wheels, 
except a manual wheelchair.
    Board means the Board of Directors of the Presidio Trust or its 
designee.
    Boundary means the limits of lands or waters administered by the 
Presidio Trust as specified by Congress, or denoted by presidential 
proclamation, or recorded in the records of a state or political 
subdivision in accordance with applicable law, or published pursuant to 
law, or otherwise published or posted by the Presidio Trust.
    Camping means the erecting of a tent or shelter of natural or 
synthetic material, preparing a sleeping bag or other bedding material 
for use, parking of a motor vehicle, motor home or trailer, or mooring 
of a vessel for the apparent purpose of overnight occupancy.
    Carry means to wear, bear, or have on or about the person.
    Controlled substance means a drug or other substance, or immediate 
precursor, included in schedules I, II, III, IV, or V of part B of the 
Controlled Substance Act (21 U.S.C. 812) or a drug or substance added to 
these schedules pursuant to the terms of the Act.
    Cultural resource means material remains of past human life or 
activities that are of significant cultural interest and are less than 
50 years of age. This term includes, but shall not be limited to, 
objects made or used by humans, such as pottery, basketry, bottles, 
weapons, weapon projectiles, tools, structures or portions of 
structures, or any portion or piece of the foregoing items, and the 
physical site, location, or context in which they are found, or human 
skeletal materials or graves.
    Developed area means roads, parking areas, picnic areas, 
campgrounds, or other structures, facilities or lands located within 
development and historic zones depicted on the land management and use 
map for the area administered by the Presidio Trust.
    Downed aircraft means an aircraft that cannot become airborne as a 
result of mechanical failure, fire, or accident.
    Executive Director means the Executive Director of the Presidio 
Trust or his or her designee.
    Firearm means a loaded or unloaded pistol, rifle, shotgun or other 
weapon which is designed to, or may be readily converted to, expel a 
projectile by the ignition of a propellant.
    Fish means any member of the subclasses Agnatha, Chondrichthyes, or 
Osteichthyes, or any mollusk or crustacean found in salt water.
    Fishing means taking or attempting to take fish.
    Hunting means taking or attempting to take wildlife, except 
trapping.
    Legislative jurisdiction means lands and waters under the exclusive 
or concurrent jurisdiction of the United States.
    Manual wheelchair means a device that is propelled by human power, 
designed for and used by a mobility-impaired person.
    Motor vehicle means every vehicle that is self-propelled and every 
vehicle that is propelled by electric power, but not operated on rails 
or upon water, except a snowmobile and a motorized wheelchair.
    Motorcycle means every motor vehicle having a seat for the use of 
the rider and designed to travel on not more than three wheels in 
contact with the ground, but excluding a tractor.
    Motorized wheelchair means a self-propelled wheeled device, designed 
solely for and used by a mobility-impaired person for locomotion, that 
is both capable of and suitable for use in indoor pedestrian areas.
    Net means a seine, weir, net wire, fish trap, or other implement 
designed to entrap fish, except a hand-held landing net used to retrieve 
fish taken by hook and line.
    Nondeveloped area means all lands and waters within the area 
administered by the Presidio Trust other than developed areas.
    Operator means a person who operates, drives, controls, otherwise 
has charge of or is in actual physical control of a mechanical mode of 
transportation or any other mechanical equipment.
    Pack animal means horses, burros, mules or other hoofed mammals when 
designated as pack animals by the Executive Director.
    Permit means a written authorization to engage in uses or activities 
that are otherwise prohibited, restricted, or regulated.

[[Page 205]]

    Person means an individual, firm, corporation, society, association, 
partnership, or private or public body.
    Pet means a dog, cat or any animal that has been domesticated.
    Possession means exercising direct physical control or dominion, 
with or without ownership, over property, or archeological, cultural or 
natural resources.
    Practitioner means a physician, dentist, veterinarian, scientific 
investigator, pharmacy, hospital or other person licensed, registered or 
otherwise permitted by the United States or the jurisdiction in which 
such person practices to distribute or possess a controlled substance in 
the course of professional practice.
    Presidio Trust and Trust mean the wholly-owned federal government 
corporation created by the Presidio Trust Act.
    Presidio Trust Act means Title I of Public Law 104-333, 110 Stat. 
4097, as the same may be amended.
    Presidio Trust road means the main-traveled surface of a roadway 
open to motor vehicles, owned, controlled or otherwise administered by 
the Presidio Trust.
    Printed matter means message-bearing textual printed material such 
as books, pamphlets, magazines and leaflets and does not include other 
forms of merchandise, such as posters, coffee mugs, sunglasses, audio or 
videotapes, T-shirts, hats, ties, shorts and other clothing articles.
    Public use limit means the number of persons; number and type of 
animals; amount, size and type of equipment, vessels, mechanical modes 
of conveyance, or food/beverage containers allowed to enter, be brought 
into, remain in, or be used within a designated geographic area or 
facility; or the length of time a designated geographic area or facility 
may be occupied.
    Refuse means trash, garbage, rubbish, waste papers, bottles or cans, 
debris, litter, oil, solvents, liquid waste, or other discarded 
materials.
    Services means, but is not limited to, meals and lodging, labor, 
professional services, transportation, admission to exhibits, use of 
telephone or other utilities, or any act for which payment is 
customarily received.
    Smoking means the carrying of lighted cigarettes, cigars or pipes, 
or the intentional and direct inhalation of smoke from these objects.
    Snowmobile means a self-propelled vehicle intended for travel 
primarily on snow, having a curb weight of not more than 1000 pounds 
(450 kg), driven by a track or tracks in contact with the snow, and 
steered by a ski or skis in contact with the snow.
    State means a State, territory, or possession of the United States.
    State law means the applicable and nonconflicting laws, statutes, 
regulations, ordinances, infractions and codes of the State(s) and 
political subdivision(s) within whose exterior boundaries the area 
administered by the Presidio Trust or a portion thereof is located.
    Take or taking means to pursue, hunt, harass, harm, shoot, trap, 
net, capture, collect, kill, wound, or attempt to do any of the 
aforementioned.
    Traffic means pedestrians, ridden or herded animals, vehicles and 
other conveyances, either singly or together while using any road, 
trail, street or other thoroughfare for purpose of travel.
    Traffic control device means a sign, signal, marking or other device 
placed or erected by, or with the concurrence of, the Executive Director 
for the purpose of regulating, warning, guiding or otherwise controlling 
traffic or regulating the parking of vehicles.
    Trap means a snare, trap, mesh, wire or other implement, object or 
mechanical device designed to entrap or kill animals other than fish.
    Trapping means taking or attempting to take wildlife with a trap.
    Underway means when a vessel is not at anchor, moored, made fast to 
the shore or docking facility, or aground.
    Unloaded, as applied to weapons and firearms, means that:
    (1) There is no unexpended shell, cartridge, or projectile in any 
chamber or cylinder of a firearm or in a clip or magazine inserted in or 
attached to a firearm;
    (2) A muzzle-loading weapon does not contain gun powder in the pan, 
or the percussion cap is not in place; and
    (3) Bows, crossbows, spear guns or any implement capable of 
discharging

[[Page 206]]

a missile or similar device by means of a loading or discharging 
mechanism, when that loading or discharging mechanism is not charged or 
drawn.
    Vehicle means every device in, upon, or by which a person or 
property is or may be transported or drawn on land, except snowmobiles 
and devices moved by human power or used exclusively upon stationary 
rails or track.
    Vessel means every type or description of craft, other than a 
seaplane on the water, used or capable of being used as a means of 
transportation on water, including a buoyant device permitting or 
capable of free flotation.
    Weapon means a firearm, compressed gas or spring-powered pistol or 
rifle, bow and arrow, crossbow, blowgun, speargun, hand-thrown spear, 
slingshot, irritant gas device, explosive device, or any other implement 
designed to discharge missiles, and includes a weapon the possession of 
which is prohibited under the laws of the State in which the area 
administered by the Presidio Trust or portion thereof is located.
    Wildlife means any member of the animal kingdom and includes a part, 
product, egg or offspring thereof, or the dead body or part thereof, 
except fish.



Sec. 1001.5  Closures and public use limits.

    (a) Consistent with applicable legislation and Federal 
administrative policies, and based upon a determination that such action 
is necessary for the maintenance of public health and safety, protection 
of environmental or scenic values, protection of natural or cultural 
resources, aid to scientific research, implementation of management 
responsibilities, equitable allocation and use of facilities, or the 
avoidance of conflict among visitor use activities, the Board may:
    (1) Establish, for all or a portion of the area administered by the 
Presidio Trust, a reasonable schedule of visiting hours, impose public 
use limits, or close all or a portion of the area administered by the 
Presidio Trust to all public use or to a specific use or activity.
    (2) Designate areas for a specific use or activity, or impose 
conditions or restrictions on a use or activity.
    (3) Terminate a restriction, limit, closure, designation, condition, 
or visiting hour restriction imposed under paragraph (a)(1) or (2) of 
this section.
    (b) Except in emergency situations, a closure, designation, use or 
activity restriction or condition, or the termination or relaxation of 
such, which is of a nature, magnitude and duration that will result in a 
significant alteration in the public use pattern of the area 
administered by the Presidio Trust, adversely affect the natural, 
aesthetic, scenic or cultural values of the area administered by the 
Presidio Trust, require a long-term or significant modification in the 
resource management objectives of the area administered by the Presidio 
Trust, or is of a highly controversial nature, shall be published as 
rulemaking in the Federal Register.
    (c) Except in emergency situations, prior to implementing or 
terminating a restriction, condition, public use limit or closure, the 
Board shall prepare a written determination justifying the action. That 
determination shall set forth the reason(s) the restriction, condition, 
public use limit or closure authorized by paragraph (a) of this section 
has been established, and an explanation of why less restrictive 
measures will not suffice, or in the case of a termination of a 
restriction, condition, public use limit or closure previously 
established under paragraph (a) of this section, a determination as to 
why the restriction is no longer necessary and a finding that the 
termination will not adversely impact resources of the area administered 
by the Presidio Trust. This determination shall be available to the 
public upon request.
    (d) To implement a public use limit, the Board may establish a 
permit, registration, or reservation system. Permits shall be issued in 
accordance with the criteria and procedures of Sec. 1001.6.
    (e) Except in emergency situations, the public will be informed of 
closures, designations, and use or activity restrictions or conditions, 
visiting hours, public use limits, public use limit procedures, and the 
termination or relaxation of such, in accordance with Sec. 1001.7.
    (f) Violating a closure, designation, use or activity restriction or 
condition,

[[Page 207]]

schedule of visiting hours, or public use limit is prohibited.



Sec. 1001.6  Permits.

    (a) When authorized by regulations set forth in this chapter, the 
Executive Director may issue a permit to authorize an otherwise 
prohibited or restricted activity or impose a public use limit. The 
activity authorized by a permit shall be consistent with applicable 
legislation, Federal regulations and administrative policies, and based 
upon a determination that public health and safety, environmental or 
scenic values, natural or cultural resources, scientific research, 
implementation of management responsibilities, proper allocation and use 
of facilities, or the avoidance of conflict among visitor use activities 
will not be adversely impacted.
    (b) Except as otherwise provided, application for a permit shall be 
submitted to the Executive Director during normal business hours.
    (c) The public will be informed of the existence of a permit 
requirement in accordance with Sec. 1001.7.
    (d) Unless otherwise provided for by the regulations in this 
chapter, the Executive Director shall deny a permit that has been 
properly applied for only upon a determination that the designated 
capacity for an area or facility would be exceeded; or that one or more 
of the factors set forth in paragraph (a) of this section would be 
adversely impacted. The basis for denial shall be provided to the 
applicant upon request.
    (e) The Executive Director shall include in a permit the terms and 
conditions that the Executive Director deems necessary to protect 
resources of the area administered by the Presidio Trust or public 
safety and may also include terms or conditions established pursuant to 
the authority of any other section of this chapter.
    (f) A compilation of those activities requiring a permit shall be 
maintained by the Executive Director and available to the public upon 
request.
    (g) The following are prohibited:
    (1) Engaging in an activity subject to a permit requirement imposed 
pursuant to this section without obtaining a permit; or
    (2) Violating a term or condition of a permit issued pursuant to 
this section.
    (h) Violating a term or condition of a permit issued pursuant to 
this section may also result in the suspension or revocation of the 
permit by the Executive Director.



Sec. 1001.7  Public notice.

    (a) Whenever the authority of Sec. 1001.5(a) is invoked to restrict 
or control a public use or activity, to relax or revoke an existing 
restriction or control, to designate all or a portion of the area 
administered by the Presidio Trust as open or closed, or to require a 
permit to implement a public use limit, the public shall be notified by 
one or more of the following methods:
    (1) Signs posted at conspicuous locations, such as normal points of 
entry and reasonable intervals along the boundary of the affected 
locale.
    (2) Maps available in the office of the Presidio Trust and other 
places convenient to the public.
    (3) Publication in a newspaper of general circulation in the 
affected area.
    (4) Other appropriate methods, such as the removal of closure signs, 
use of electronic media, brochures, maps and handouts.
    (b) In addition to the above-described notification procedures, the 
Board shall compile in writing all the designations, closures, permit 
requirements and other restrictions imposed under discretionary 
authority. This compilation shall be updated annually and made available 
to the public upon request.



Sec. 1001.8  Information collection.

    The information collection requirements contained in 36 CFR 1001.5, 
1002.5, 1002.10, 1002.12, 1002.17, 1002.33, 1002.38, 1002.50, 1002.51, 
1002.52, 1002.60, 1002.61, 1002.62, 1004.4 and 1004.11 have been 
approved by the Office of Management and Budget under 44 U.S.C. 3501 et 
seq., and assigned clearance number 1024-0026. This information is being 
collected to provide the Executive Director data necessary to issue 
permits for special uses of the area administered by the Presidio Trust 
and to obtain notification of accidents that occur within the area 
administered by the Presidio Trust. This information will be used to 
grant administrative benefits

[[Page 208]]

and to facilitate prompt emergency response to accidents. In 36 CFR 
1002.33 and 1004.4, the obligation to respond is mandatory; in all other 
sections the obligation to respond is required in order to obtain a 
benefit.



Sec. 1001.10  Symbolic signs.

    (a) The signs pictured in 36 CFR 1.10 provide general information 
and regulatory guidance in the area administered by the Presidio Trust. 
Certain of the signs designate activities that are either allowed or 
prohibited. Activities symbolized by a sign bearing a slash mark are 
prohibited.
    (b) The use of other types of signs not herein depicted is not 
precluded.



PART 1002--RESOURCE PROTECTION, PUBLIC USE AND RECREATION--Table of Contents




Sec.
1002.1  Preservation of natural, cultural and archeological resources.
1002.2  Wildlife protection.
1002.3  Fishing.
1002.4  Weapons, traps and nets.
1002.5  Research specimens.
1002.10  Camping and food storage.
1002.11  Picnicking.
1002.12  Audio disturbances.
1002.13  Fires.
1002.14  Sanitation and refuse.
1002.15  Pets.
1002.16  Horses and pack animals.
1002.17  Aircraft and air delivery.
1002.18  Snowmobiles.
1002.19  Winter activities.
1002.20  Skating, skateboards and similar devices.
1002.21  Smoking.
1002.22  Property.
1002.23  Recreation fees.
1002.30  Misappropriation of property and services.
1002.31  Trespassing, tampering and vandalism.
1002.32  Interfering with agency functions.
1002.33  Report of injury or damage.
1002.34  Disorderly conduct.
1002.35  Alcoholic beverages and controlled substances.
1002.36  Gambling.
1002.37  Noncommercial soliciting.
1002.38  Explosives.
1002.50  Special events.
1002.51  Public assemblies, meetings.
1002.52  Sale or distribution of printed matter.
1002.60  Livestock use and agriculture.
1002.61  Residing on Federal lands.
1002.62  Memorialization.
1002.63  Boating and water use activities.

    Authority:  Pub. L. 104-333, 110 Stat. 4097 (16 U.S.C. 460bb note).

    Source: 63 FR 35700, June 30, 1998, unless otherwise noted.



Sec. 1002.1  Preservation of natural, cultural and archeological resources.

    (a) Except as otherwise provided in this chapter, the following is 
prohibited:
    (1) Possessing, destroying, injuring, defacing, removing, digging, 
or disturbing from its natural state:
    (i) Living or dead wildlife or fish, or the parts or products 
thereof, such as antlers or nests.
    (ii) Plants or the parts or products thereof.
    (iii) Nonfossilized and fossilized paleontological specimens, 
cultural or archeological resources, or the parts thereof.
    (iv) A mineral resource or cave formation or the parts thereof.
    (2) Introducing wildlife, fish or plants, including their 
reproductive bodies, into an ecosystem within the area administered by 
the Presidio Trust.
    (3) Tossing, throwing or rolling rocks or other items inside caves 
or caverns, into valleys, canyons, or caverns, down hillsides or 
mountainsides, or into thermal features.
    (4) Using or possessing wood gathered from within the area 
administered by the Presidio Trust: Provided, however, that the Board 
may designate areas where dead wood on the ground may be collected for 
use as fuel for campfires within the area administered by the Presidio 
Trust.
    (5) Walking on, climbing, entering, ascending, descending, or 
traversing an archeological or cultural resource, monument, or statue, 
except in designated areas and under conditions established by the 
Board.
    (6) Possessing, destroying, injuring, defacing, removing, digging, 
or disturbing a structure or its furnishing or fixtures, or other 
cultural or archeological resources.
    (7) Possessing or using a mineral or metal detector, magnetometer, 
side

[[Page 209]]

scan sonar, other metal detecting device, or subbottom profiler. This 
paragraph does not apply to:
    (i) A device broken down and stored or packed to prevent its use 
while in the area administered by the Presidio Trust.
    (ii) Electronic equipment used primarily for the navigation and safe 
operation of boats and aircraft.
    (iii) Mineral or metal detectors, magnetometers, or subbottom 
profilers used for authorized scientific, mining, or administrative 
activities.
    (b) The Board may restrict hiking or pedestrian use to a designated 
trail or walkway system pursuant to Sec. Sec. 1001.5 and 1001.7 of this 
chapter. Leaving a trail or walkway to shortcut between portions of the 
same trail or walkway, or to shortcut to an adjacent trail or walkway in 
violation of designated restrictions is prohibited.
    (c)(1) The Board may designate certain fruits, berries, nuts, or 
unoccupied seashells which may be gathered by hand for personal use or 
consumption upon a written determination that the gathering or 
consumption will not adversely affect wildlife, the reproductive 
potential of a plant species, or otherwise adversely affect the 
resources of the area administered by the Presidio Trust.
    (2) The Board may:
    (i) Limit the size and quantity of the natural products that may be 
gathered or possessed for this purpose; or
    (ii) Limit the location where natural products may be gathered; or
    (iii) Restrict the possession and consumption of natural products to 
the area administered by the Presidio Trust.
    (3) The following are prohibited:
    (i) Gathering or possessing undesignated natural products.
    (ii) Gathering or possessing natural products in violation of the 
size or quantity limits designated by the Board.
    (iii) Unauthorized removal of natural products from the area 
administered by the Presidio Trust.
    (iv) Gathering natural products outside of designated areas.
    (v) Sale or commercial use of natural products.
    (d) This section shall not be construed as authorizing the taking, 
use or possession of fish, wildlife or plants for ceremonial or 
religious purposes, except where specifically authorized by Federal 
statutory law, treaty rights, or in accordance with Sec. 1002.2 or 
Sec. 1002.3.



Sec. 1002.2  Wildlife protection.

    (a) The following are prohibited:
    (1) The taking of wildlife.
    (2) The feeding, touching, teasing, frightening or intentional 
disturbing of wildlife nesting, breeding or other activities.
    (3) Possessing unlawfully taken wildlife or portions thereof.
    (b) Hunting and trapping. Hunting and trapping are prohibited within 
the area administered by the Presidio Trust.
    (c) The Board may establish conditions and procedures for 
transporting lawfully taken wildlife through the area administered by 
the Presidio Trust. Violation of these conditions and procedures is 
prohibited.
    (d) The Board may designate all or portions of the area administered 
by the Presidio Trust as closed to the viewing of wildlife with an 
artificial light. Use of an artificial light for purposes of viewing 
wildlife in closed areas is prohibited.
    (e) The regulations contained in this section apply, regardless of 
land ownership, on all lands and waters within the boundaries of the 
area administered by the Presidio Trust that are under the legislative 
jurisdiction of the United States.



Sec. 1002.3  Fishing.

    Fishing is prohibited within the area administered by the Presidio 
Trust.



Sec. 1002.4  Weapons, traps and nets.

    (a)(1) Except as otherwise provided in this section, the following 
are prohibited:
    (i) Possessing a weapon, trap or net.
    (ii) Carrying a weapon, trap or net.
    (iii) Using a weapon, trap or net.
    (2) Weapons, traps or nets may be carried, possessed or used:
    (i) At designated times and locations in the area administered by 
the Presidio Trust where:
    (A) The taking of wildlife is authorized by law in accordance with 
Sec. 1002.2;

[[Page 210]]

    (B) The taking of fish is authorized by law in accordance with 
Sec. 1002.3.
    (ii) Within a residential dwelling. For purposes of this paragraph 
only, the term ``residential dwelling'' means a fixed housing structure 
which is either the principal residence of its occupants, or is occupied 
on a regular and recurring basis by its occupants as an alternate 
residence or vacation home.
    (3) Traps, nets and unloaded weapons may be possessed within a 
temporary lodging or mechanical mode of conveyance when such implements 
are rendered temporarily inoperable or are packed, cased or stored in a 
manner that will prevent their ready use.
    (b) Carrying or possessing a loaded weapon in a motor vehicle, 
vessel or other mode of transportation is prohibited, except that 
carrying or possessing a loaded weapon in a vessel is allowed when such 
vessel is not being propelled by machinery and is used as a shooting 
platform in accordance with Federal and State law.
    (c) The use of a weapon, trap or net in a manner that endangers 
persons or property is prohibited.
    (d) Authorized Federal, State and local law enforcement officers may 
carry firearms in the performance of their official duties.
    (e) The carrying or possessing of a weapon, trap or net in violation 
of applicable Federal and State laws is prohibited.
    (f) The regulations contained in this section apply, regardless of 
land ownership, on all lands and waters within the boundaries of the 
area administered by the Presidio Trust that are under the legislative 
jurisdiction of the United States.



Sec. 1002.5  Research specimens.

    (a) Taking plants, fish, wildlife, rocks or minerals except in 
accordance with other regulations of this chapter or pursuant to the 
terms and conditions of a specimen collection permit, is prohibited.
    (b) A specimen collection permit may be issued only to an official 
representative of a reputable scientific or educational institution or a 
State or Federal agency for the purpose of research, baseline 
inventories, monitoring, impact analysis, group study, or museum display 
when the Executive Director determines that the collection is necessary 
to the stated scientific or resource management goals of the institution 
or agency and that all applicable Federal and State permits have been 
acquired, and that the intended use of the specimens and their final 
disposal is in accordance with applicable law and Federal administrative 
policies. A permit shall not be issued if removal of the specimen would 
result in damage to other natural or cultural resources, affect 
adversely environmental or scenic values, or if the specimen is readily 
available outside of the area administered by the Presidio Trust.
    (c) A permit to take an endangered or threatened species listed 
pursuant to the Endangered Species Act, or similarly identified by the 
States, shall not be issued unless the species cannot be obtained 
outside of the area administered by the Presidio Trust and the primary 
purpose of the collection is to enhance the protection or management of 
the species.
    (d) A permit authorizing the killing of plants, fish or wildlife may 
be issued only when the Executive Director approves a written research 
proposal and determines that the collection will not be inconsistent 
with the purposes of the Presidio Trust Act and has the potential for 
conserving and perpetuating the species subject to collection.
    (e) Specimen collection permits shall contain the following 
conditions:
    (1) Specimens placed in displays or collections will bear official 
National Park Service museum labels and their catalog numbers will be 
registered in the National Park Service National Catalog.
    (2) Specimens and data derived from consumed specimens will be made 
available to the public and reports and publications resulting from a 
research specimen collection permit shall be filed with the Executive 
Director.
    (f) Violation of the terms and conditions of a permit issued in 
accordance with this section is prohibited and may result in the 
suspension or revocation of the permit.

[[Page 211]]



Sec. 1002.10  Camping and food storage.

    (a) The Board may require permits, designate sites or areas, and 
establish conditions for camping.
    (b) The following are prohibited:
    (1) Digging or leveling the ground at a campsite.
    (2) Leaving camping equipment, site alterations, or refuse after 
departing from the campsite.
    (3) Camping within 25 feet of a water hydrant or main road, or 
within 100 feet of a flowing stream, river or body of water, except as 
designated.
    (4) Creating or sustaining unreasonable noise between the hours of 
10:00 p.m. and 6:00 a.m., considering the nature and purpose of the 
actor's conduct, impact on visitors or tenants, location, and other 
factors which would govern the conduct of a reasonably prudent person 
under the circumstances.
    (5) The installation of permanent camping facilities.
    (6) Displaying wildlife carcasses or other remains or parts thereof.
    (7) Connecting to a utility system, except as designated.
    (8) Failing to obtain a permit, where required.
    (9) Violating conditions which may be established by the Board.
    (10) Camping outside of designated sites or areas.
    (c) Violation of the terms and conditions of a permit issued in 
accordance with this section is prohibited and may result in the 
suspension or revocation of the permit.
    (d) Food storage. The Board may designate all or a portion of the 
area administered by the Presidio Trust where food, lawfully taken fish 
or wildlife, garbage, and equipment used to cook or store food must be 
kept sealed in a vehicle, or in a camping unit that is constructed of 
solid, non-pliable material, or suspended at least 10 feet above the 
ground and 4 feet horizontally from a post, tree trunk, or other object, 
or shall be stored as otherwise designated. Violation of this 
restriction is prohibited. This restriction does not apply to food that 
is being transported, consumed, or prepared for consumption.



Sec. 1002.11  Picnicking.

    Picnicking is allowed, except in designated areas closed in 
accordance with Sec. 1001.5 of this chapter. The Board may establish 
conditions for picnicking in areas where picnicking is allowed. 
Picnicking in violation of established conditions is prohibited.



Sec. 1002.12  Audio disturbances.

    (a) The following are prohibited:
    (1) Operating motorized equipment or machinery such as an electric 
generating plant, motor vehicle, motorized toy, or an audio device, such 
as a radio, television set, tape deck or musical instrument, in a manner 
that exceeds a noise level of 60 decibels measured on the A-weighted 
scale at 50 feet; or that, if below that level, nevertheless makes noise 
which is unreasonable, considering the nature and purpose of the actor's 
conduct, location, time of day or night, purposes of the Presidio Trust 
Act, impact on visitors or tenants, and other factors that would govern 
the conduct of a reasonably prudent person under the circumstances.
    (2) In developed areas, operating a power saw, except pursuant to 
the terms and conditions of a permit.
    (3) In nondeveloped areas, operating any type of portable motor or 
engine, or device powered by a portable motor or engine, except pursuant 
to the terms and conditions of a permit.
    (4) Operating a public address system, except in connection with a 
public gathering or special event for which a permit has been issued 
pursuant to Sec. 1002.50 or Sec. 1002.51.
    (b) Violation of the terms and conditions of a permit issued in 
accordance with this section is prohibited and may result in the 
suspension or revocation of the permit.



Sec. 1002.13  Fires.

    (a) The following are prohibited:
    (1) Lighting or maintaining a fire, except in designated areas or 
receptacles and under conditions that may be established by the Board.
    (2) Using stoves or lanterns in violation of established 
restrictions.
    (3) Lighting, tending, or using a fire, stove or lantern in a manner 
that threatens, causes damage to, or results

[[Page 212]]

in the burning of property, real property or resources of the area 
administered by the Presidio Trust, or creates a public safety hazard.
    (4) Leaving a fire unattended.
    (5) Throwing or discarding lighted or smoldering material in a 
manner that threatens, causes damage to, or results in the burning of 
property or resources of the area administered by the Presidio Trust, or 
creates a public safety hazard.
    (b) Fires shall be extinguished upon termination of use and in 
accordance with such conditions as may be established by the Board. 
Violation of these conditions is prohibited.
    (c) During periods of high fire danger, the Executive Director may 
close all or a portion of the area administered by the Presidio Trust to 
the lighting or maintaining of a fire.
    (d) The regulations contained in this section apply, regardless of 
land ownership, on all lands and waters within the boundaries of the 
area administered by the Presidio Trust that are under the legislative 
jurisdiction of the United States.



Sec. 1002.14  Sanitation and refuse.

    (a) The following are prohibited:
    (1) Disposing of refuse in other than refuse receptacles.
    (2) Using government refuse receptacles or other refuse facilities 
for dumping household, commercial, or industrial refuse, brought as such 
from private or municipal property, except in accordance with conditions 
established by the Executive Director.
    (3) Depositing refuse in the plumbing fixtures or vaults of a toilet 
facility.
    (4) Draining refuse from a trailer or other vehicle, except in 
facilities provided for such purpose.
    (5) Bathing, or washing food, clothing, dishes, or other property at 
public water outlets, fixtures or pools, except at those designated for 
such purpose.
    (6) Polluting or contaminating waters or water courses within the 
area administered by the Presidio Trust.
    (7) Disposing of fish remains on land, or in waters within 200 feet 
of boat docks or designated swimming beaches, or within developed areas, 
except as otherwise designated.
    (8) In developed areas, the disposal of human body waste, except at 
designated locations or in fixtures provided for that purpose.
    (9) In nondeveloped areas, the disposal of human body waste within 
100 feet of a water source, high water mark of a body of water, or a 
campsite, or within sight of a trail, except as otherwise designated.
    (b) The Board may establish conditions concerning the disposal, 
containerization, or carryout of human body waste. Violation of these 
conditions is prohibited.



Sec. 1002.15  Pets.

    (a) The following are prohibited:
    (1) Possessing a pet in a public building, public transportation 
vehicle, or location designated as a swimming beach, or any structure or 
area closed to the possession of pets by the Board. This paragraph shall 
not apply to guide dogs accompanying visually impaired persons or 
hearing ear dogs accompanying hearing-impaired persons.
    (2) Failing to crate, cage, restrain on a leash which shall not 
exceed six feet in length, or otherwise physically confine a pet at all 
times.
    (3) Leaving a pet unattended and tied to an object, except in 
designated areas or under conditions which may be established by the 
Board.
    (4) Allowing a pet to make noise that is unreasonable considering 
location, time of day or night, impact on visitors or tenants, and other 
relevant factors, or that frightens wildlife by barking, howling, or 
making other noise.
    (5) Failing to comply with pet excrement disposal conditions which 
may be established by the Board.
    (b) Pets or feral animals that are running-at-large and observed by 
an authorized person in the act of killing, injuring or molesting 
humans, livestock, or wildlife may be destroyed if necessary for public 
safety or protection of wildlife, livestock, or other resources of the 
area administered by the Presidio Trust.
    (c) Pets running-at-large may be impounded, and the owner may be 
charged reasonable fees for kennel or boarding costs, feed, veterinarian 
fees, transportation costs, and disposal. An

[[Page 213]]

impounded pet may be put up for adoption or otherwise disposed of after 
being held for 72 hours from the time the owner was notified of capture 
or 72 hours from the time of capture if the owner is unknown.
    (d) Pets may be kept by residents of the area administered by the 
Presidio Trust consistent with the provisions of this section and in 
accordance with conditions which may be established by the Board. 
Violation of these conditions is prohibited.
    (e) This section does not apply to dogs used by authorized Federal, 
State and local law enforcement officers in the performance of their 
official duties.



Sec. 1002.16  Horses and pack animals.

    The following are prohibited:
    (a) The use of animals other than those designated as ``pack 
animals'' for purposes of transporting equipment.
    (b) The use of horses or pack animals outside of trails, routes or 
areas designated for their use.
    (c) The use of horses or pack animals on a Presidio Trust road, 
except where such travel is necessary to cross to or from designated 
trails, or areas, or privately owned property, and no alternative trails 
or routes have been designated; or when the road has been closed to 
motor vehicles.
    (d) Free-trailing or loose-herding of horses or pack animals on 
trails, except as designated.
    (e) Allowing horses or pack animals to proceed in excess of a slow 
walk when passing in the immediate vicinity of persons on foot or 
bicycle.
    (f) Obstructing a trail, or making an unreasonable noise or gesture, 
considering the nature and purpose of the actor's conduct, and other 
factors that would govern the conduct of a reasonably prudent person, 
while horses or pack animals are passing.
    (g) Violation of conditions which may be established by the Board 
concerning the use of horses or pack animals.



Sec. 1002.17  Aircraft and air delivery.

    (a) Delivering or retrieving a person or object by parachute, 
helicopter, or other airborne means, except in emergencies involving 
public safety or serious property loss, or pursuant to the terms and 
conditions of a permit, is prohibited.
    (b) The provisions of this section, other than paragraph (c) of this 
section, shall not be applicable to official business of the Federal 
government, or emergency rescues in accordance with the directions of 
the Executive Director, or to landings due to circumstances beyond the 
control of the operator.
    (c)(1) Except as provided in paragraph (c)(3) of this section, the 
owners of a downed aircraft shall remove the aircraft and all component 
parts thereof in accordance with procedures established by the Executive 
Director. In establishing removal procedures, the Executive Director is 
authorized to establish a reasonable date by which aircraft removal 
operations must be complete; determine times and means of access to and 
from the downed aircraft; and specify the manner or method of removal.
    (2) Failure to comply with procedures and conditions established 
under paragraph (c)(1) of this section is prohibited.
    (3) The Executive Director may waive the requirements of paragraph 
(c)(1) of this section or prohibit the removal of downed aircraft, upon 
a determination that the removal of downed aircraft would constitute an 
unacceptable risk to human life; the removal of a downed aircraft would 
result in extensive resource damage; or the removal of a downed aircraft 
is impracticable or impossible.
    (d) The use of aircraft shall be in accordance with regulations of 
the Federal Aviation Administration as found in 14 CFR chapter I.
    (e) The operation or use of hovercraft is prohibited.
    (f) Violation of the terms and conditions of a permit issued in 
accordance with this section is prohibited and may result in the 
suspension or revocation of the permit.
    (g) The use of devices designed to carry persons through the air in 
powerless flight is allowed at times and locations designated by the 
Board, pursuant to the terms and conditions of a permit.

[[Page 214]]



Sec. 1002.18  Snowmobiles.

    The use of snowmobiles is prohibited.



Sec. 1002.19  Winter activities.

    (a) Skiing, snowshoeing, ice skating, sledding, innertubing, 
tobogganing and similar winter sports are prohibited on Presidio Trust 
roads and in parking areas open to motor vehicle traffic, except as 
otherwise designated.
    (b) The towing of persons on skis, sleds, or other sliding devices 
by motor vehicle or snowmobile is prohibited, except in designated areas 
or routes.
    (c) Failure to abide by area designations or activity restrictions 
established under this section is prohibited.



Sec. 1002.20  Skating, skateboards and similar devices.

    Using roller skates, skateboards, roller skis, coasting vehicles, or 
similar devices is prohibited, except in designated areas.



Sec. 1002.21  Smoking.

    (a) The Board may designate a portion of the area administered by 
the Presidio Trust, or all or a portion of a building, structure or 
facility as closed to smoking when necessary to protect resources, 
reduce the risk of fire, or prevent conflicts among visitor use 
activities. Smoking in an area or location so designated is prohibited.
    (b) Smoking is prohibited within all caves and caverns.



Sec. 1002.22  Property.

    (a) The following are prohibited:
    (1) Abandoning property.
    (2) Leaving property unattended for longer than 24 hours, except in 
locations where longer time periods have been designated or in 
accordance with coBoard.
    (3) Failing to turn in found property to the Executive Director as 
soon as practicable.
    (b) Impoundment of property. (1) Property determined to be left 
unattended in excess of an allowed period of time may be impounded by 
the Executive Director.
    (2) Unattended property that interferes with visitor safety or 
orderly management of the area administered by the Presidio Trust, or 
that presents a threat to resources of the area administered by the 
Presidio Trust may be impounded by the Executive Director at any time.
    (3) Found or impounded property shall be inventoried to determine 
ownership and safeguard personal property.
    (4) The owner of record is responsible and liable for charges to the 
person who has removed, stored, or otherwise disposed of property 
impounded pursuant to this section; or the Executive Director may assess 
the owner reasonable fees for the impoundment and storage of property 
impounded pursuant to this section.
    (c) Disposition of property. (1) Unattended property impounded 
pursuant to this section shall be deemed to be abandoned unless claimed 
by the owner or an authorized representative thereof within 60 days. The 
60-day period shall begin when the rightful owner of the property has 
been notified, if the owner can be identified, or from the time the 
property was placed in the Executive Director's custody, if the owner 
cannot be identified.
    (2) Unclaimed, found property shall be stored for a minimum period 
of 60 days and, unless claimed by the owner or an authorized 
representative thereof, may be claimed by the finder, provided that the 
finder is not an employee of the Presidio Trust. Found property not 
claimed by the owner or an authorized representative or the finder shall 
be deemed abandoned.
    (3) Abandoned property shall be disposed of in accordance with law.
    (4) Property, including real property, located within the area 
administered by the Presidio Trust and owned by a deceased person, shall 
be disposed of in accordance with the laws of the State within whose 
exterior boundaries the property is located.
    (d) The regulations contained in paragraphs (a)(2), (b) and (c) of 
this section apply, regardless of land ownership, on all lands and 
waters within the boundaries of the area administered by the Presidio 
Trust that are under the legislative jurisdiction of the United States.



Sec. 1002.23  Recreation fees.

    (a) Recreation fees shall be charged in the area administered by the 
Presidio Trust to the same extent that

[[Page 215]]

recreation fees have been established for the Golden Gate National 
Recreation Area in accordance with 36 CFR part 71.
    (b) Entering designated entrance fee areas or using specialized 
sites, facilities, equipment or services, or participating in group 
activities, recreation events, or other specialized recreation uses for 
which recreation fees have been established without paying the required 
fees and possessing the applicable permits is prohibited. Violation of 
the terms and conditions of a permit issued in accordance with this 
section is prohibited and may result in the suspension or revocation of 
the permit.
    (c) The Executive Director may, when in the public interest, 
prescribe periods during which the collection of recreation fees shall 
be suspended.



Sec. 1002.30  Misappropriation of property and services.

    (a) The following are prohibited:
    (1) Obtaining or exercising unlawful possession over the property of 
another with the purpose to deprive the owner of the property.
    (2) Obtaining property or services offered for sale or compensation 
without making payment or offering to pay.
    (3) Obtaining property or services offered for sale or compensation 
by means of deception or a statement of past, present or future fact 
that is instrumental in causing the wrongful transfer of property or 
services, or using stolen, forged, expired, revoked or fraudulently 
obtained credit cards or paying with negotiable paper on which payment 
is refused.
    (4) Concealing unpurchased merchandise on or about the person 
without the knowledge or consent of the seller or paying less than 
purchase price by deception.
    (5) Acquiring or possessing the property of another, with knowledge 
or reason to believe that the property is stolen.
    (b) The regulations contained in this section apply, regardless of 
land ownership, on all lands and waters within the boundaries of the 
area administered by the Presidio Trust that are under the legislative 
jurisdiction of the United States.



Sec. 1002.31  Trespassing, tampering and vandalism.

    (a) The following are prohibited:
    (1) Trespassing. Trespassing, entering or remaining in or upon 
property or real property not open to the public, except with the 
express invitation or consent of the person having lawful control of the 
property or real property.
    (2) Tampering. Tampering or attempting to tamper with property or 
real property, or moving, manipulating or setting in motion any of the 
parts thereof, except when such property is under one's lawful control 
or possession.
    (3) Vandalism. Destroying, injuring, defacing, or damaging property 
or real property.
    (b) The regulations contained in this section apply, regardless of 
land ownership, on all lands and waters within the boundaries of the 
area administered by the Presidio Trust that are under the legislative 
jurisdiction of the United States.



Sec. 1002.32  Interfering with agency functions.

    (a) The following are prohibited:
    (1) Interference. Threatening, resisting, intimidating, or 
intentionally interfering with a government employee or agent engaged in 
an official duty, or on account of the performance of an official duty.
    (2) Lawful order. Violating the lawful order of a government 
employee or agent authorized to maintain order and control public access 
and movement during fire fighting operations, search and rescue 
operations, wildlife management operations involving animals that pose a 
threat to public safety, law enforcement actions, and emergency 
operations that involve a threat to public safety or resources of the 
area administered by the Presidio Trust, or other activities where the 
control of public movement and activities is necessary to maintain order 
and public safety.
    (3) False information. Knowingly giving a false or fictitious report 
or other false information to an authorized person investigating an 
accident or violation of law or regulation, or on an application for a 
permit.

[[Page 216]]

    (4) False Report. Knowingly giving a false report for the purpose of 
misleading a government employee or agent in the conduct of official 
duties, or making a false report that causes a response by the United 
States to a fictitious event.
    (b) The regulations contained in this section apply, regardless of 
land ownership, on all lands and waters within the boundaries of the 
area administered by the Presidio Trust that are under the legislative 
jurisdiction of the United States.



Sec. 1002.33  Report of injury or damage.

    (a) A person involved in an incident resulting in personal injury or 
property damage exceeding $300, other than an accident reportable under 
Sec. 1004.4 of this chapter, shall report the incident to the Executive 
Director as soon as possible. This notification does not satisfy 
reporting requirements imposed by applicable State law.
    (b) Failure to report an incident in accordance with paragraph (a) 
of this section is prohibited.



Sec. 1002.34  Disorderly conduct.

    (a) A person commits disorderly conduct when, with intent to cause 
public alarm, nuisance, jeopardy or violence, or knowingly or recklessly 
creating a risk thereof, such person commits any of the following 
prohibited acts:
    (1) Engages in fighting or threatening, or in violent behavior.
    (2) Uses language, an utterance, or gesture, or engages in a display 
or act that is obscene, physically threatening or menacing, or done in a 
manner that is likely to inflict injury or incite an immediate breach of 
the peace.
    (3) Makes noise that is unreasonable, considering the nature and 
purpose of the actor's conduct, location, time of day or night, and 
other factors that would govern the conduct of a reasonably prudent 
person under the circumstances.
    (4) Creates or maintains a hazardous or physically offensive 
condition.
    (b) The regulations contained in this section apply, regardless of 
land ownership, on all lands and waters within the boundaries of the 
area administered by the Presidio Trust that are under the legislative 
jurisdiction of the United States.



Sec. 1002.35  Alcoholic beverages and controlled substances.

    (a) Alcoholic beverages. (1) The use and possession of alcoholic 
beverages within the area administered by the Presidio Trust is allowed 
in accordance with the provisions of this section.
    (2) The following are prohibited:
    (i) The sale or gift of an alcoholic beverage to a person under 21 
years of age, except where allowed by State law. In a State where a 
lower minimum age is established, that age limit will apply for purposes 
of this paragraph.
    (ii) The possession of an alcoholic beverage by a person under 21 
years of age, except where allowed by State law. In a State where a 
lower minimum age is established, that age will apply for purposes of 
this paragraph.
    (3)(i) The Board may close all or a portion of a public use area or 
public facility within the area administered by the Presidio Trust to 
the consumption of alcoholic beverages and/or to the possession of a 
bottle, can or other receptacle containing an alcoholic beverage that is 
open, or that has been opened, or whose seal is broken or the contents 
of which have been partially removed. Provided however, that such a 
closure may only be implemented following a determination made by the 
Board that:
    (A) The consumption of an alcoholic beverage or the possession of an 
open container of an alcoholic beverage would be inappropriate 
considering other uses of the location and the purpose for which it is 
maintained or established; or
    (B) Incidents of aberrant behavior related to the consumption of 
alcoholic beverages are of such magnitude that the diligent application 
of the authorities in this section and Sec. Sec. 1001.5 and 1002.34 of 
this chapter, over a reasonable time period, does not alleviate the 
problem.
    (ii) A closure imposed by the Board does not apply to an open 
container of an alcoholic beverage that is stored in compliance with the 
provisions of Sec. 1004.14 of this chapter.
    (iii) Violating a closure imposed pursuant to this section is 
prohibited.

[[Page 217]]

    (b) Controlled substances. The following are prohibited:
    (1) The delivery of a controlled substance, except when distribution 
is made by a practitioner in accordance with applicable law. For the 
purposes of this paragraph, delivery means the actual, attempted or 
constructive transfer of a controlled substance whether or not there 
exists an agency relationship.
    (2) The possession of a controlled substance, unless such substance 
was obtained by the possessor directly, or pursuant to a valid 
prescription or order, from a practitioner acting in the course of 
professional practice or otherwise allowed by Federal or State law.
    (c) Presence within the area administered by the Presidio Trust when 
under the influence of alcohol or a controlled substance to a degree 
that may endanger oneself or another person, or damage property or 
resources of the area administered by the Presidio Trust, is prohibited.



Sec. 1002.36  Gambling.

    (a) Gambling in any form, or the operation of gambling devices, is 
prohibited.
    (b) This regulation applies, regardless of land ownership, on all 
lands and waters within the boundaries of the area administered by the 
Presidio Trust that are under the legislative jurisdiction of the United 
States.



Sec. 1002.37  Noncommercial soliciting.

    Soliciting or demanding gifts, money, goods or services is 
prohibited, except pursuant to the terms and conditions of a permit that 
has been issued under Sec. 1002.50, Sec. 1002.51 or Sec. 1002.52.



Sec. 1002.38  Explosives.

    (a) Using, possessing, storing, or transporting explosives, blasting 
agents or explosive materials is prohibited, except pursuant to the 
terms and conditions of a permit. When permitted, the use, possession, 
storage and transportation shall be in accordance with applicable 
Federal and State laws.
    (b) Using or possessing fireworks and firecrackers is prohibited, 
except pursuant to the terms and conditions of a permit or in designated 
areas under such conditions as the Board may establish, and in 
accordance with applicable State law.
    (c) Violation of the conditions established by the Board or of the 
terms and conditions of a permit issued in accordance with this section 
is prohibited and may result in the suspension or revocation of the 
permit.



Sec. 1002.50  Special events.

    (a) Sports events, pageants, regattas, public spectator attractions, 
entertainments, ceremonies, and similar events are allowed: Provided, 
however, There is a meaningful association between the area administered 
by the Presidio Trust and the events, and the observance contributes to 
visitor understanding of the significance of the area administered by 
the Presidio Trust, and a permit therefore has been issued by the 
Executive Director. A permit shall be denied if such activities would:
    (1) Cause injury or damage to resources of the area administered by 
the Presidio Trust; or
    (2) Be contrary to the purposes of the Presidio Trust Act; or
    (3) Unreasonably interfere with interpretive, visitor service, or 
other program activities, or with the administrative activities of the 
Presidio Trust or the National Park Service; or
    (4) Substantially impair the operation of public use facilities or 
services of Presidio Trust concessioners or contractors; or
    (5) Present a clear and present danger to the public health and 
safety; or
    (6) Result in significant conflict with other existing uses.
    (b) An application for such a permit shall set forth the name of the 
applicant, the date, time, duration, nature and place of the proposed 
event, an estimate of the number of persons expected to attend, a 
statement of equipment and facilities to be used, and any other 
information required by the Executive Director. The application shall be 
submitted so as to reach the Executive Director at least 72 hours in 
advance of the proposed event.
    (c) As a condition of permit issuance, the Executive Director may 
require:
    (1) The filing of a bond payable to the Presidio Trust, in an amount 
adequate to cover costs such as restoration, rehabilitation, and cleanup 
of the area

[[Page 218]]

used, and other costs resulting from the special event. In lieu of a 
bond, a permittee may elect to deposit cash equal to the amount of the 
required bond.
    (2) In addition to the requirements of paragraph (c)(1) of this 
section, the acquisition of liability insurance in which the United 
States is named as co-insured in an amount sufficient to protect the 
United States.
    (d) The permit may contain such conditions as are reasonably 
consistent with protection and use of the area administered by the 
Presidio Trust for the purposes of the Presidio Trust Act. It may also 
contain reasonable limitations on the equipment used and the time and 
area within which the event is allowed.
    (e) Violation of the terms and conditions of a permit issued in 
accordance with this section is prohibited and may result in the 
suspension or revocation of the permit.



Sec. 1002.51  Public assemblies, meetings.

    (a) Public assemblies, meetings, gatherings, demonstrations, parades 
and other public expressions of views are allowed within the area 
administered by the Presidio Trust, provided a permit therefore has been 
issued by the Executive Director.
    (b) An application for such a permit shall set forth the name of the 
applicant; the date, time, duration, nature and place of the proposed 
event; an estimate of the number of persons expected to attend; a 
statement of equipment and facilities to be used and any other 
information required by the permit application form.
    (c) The Executive Director shall, without unreasonable delay, issue 
a permit on proper application unless:
    (1) A prior application for a permit for the same time and place has 
been made that has been or will be granted and the activities authorized 
by that permit do not reasonably allow multiple occupancy of that 
particular area; or
    (2) It reasonably appears that the event will present a clear and 
present danger to the public health or safety; or
    (3) The event is of such nature or duration that it cannot 
reasonably be accommodated in the particular location applied for, 
considering such things as damage to resources or facilities of the area 
administered by the Presidio Trust, impairment of a protected area's 
atmosphere of peace and tranquillity, interference with program 
activities, or impairment of public use facilities.
    (d) If a permit is denied, the applicant shall be so informed in 
writing, with the reason(s) for the denial set forth.
    (e) The Board shall designate on a map, that shall be available in 
the office of the Presidio Trust, the locations available for public 
assemblies. Locations may be designated as not available only if such 
activities would:
    (1) Cause injury or damage to resources of the area administered by 
the Presidio Trust; or
    (2) Unreasonably impair the atmosphere of peace and tranquillity 
maintained in wilderness, natural, historic or commemorative zones; or
    (3) Unreasonably interfere with interpretive, visitor service, or 
other program activities, or with the administrative activities of the 
Presidio Trust or the National Park Service; or
    (4) Substantially impair the operation of public use facilities or 
services of Presidio Trust concessioners or contractors; or
    (5) Present a clear and present danger to the public health and 
safety.
    (f) The permit may contain such conditions as are reasonably 
consistent with protection and use of the area administered by the 
Presidio Trust for the purposes of the Presidio Trust Act. It may also 
contain reasonable limitations on the equipment used and the time and 
area within which the event is allowed.
    (g) No permit shall be issued for a period in excess of 7 days, 
provided that permits may be extended for like periods, upon a new 
application, unless another applicant has requested use of the same 
location and multiple occupancy of that location is not reasonably 
possible.
    (h) It is prohibited for persons engaged in activities covered under 
this section to obstruct or impede pedestrians or vehicles, or harass 
visitors with physical contact.

[[Page 219]]

    (i) A permit may be revoked under any of those conditions, as listed 
in paragraph (c) of this section, that constitute grounds for denial of 
a permit, or for violation of the terms and conditions of the permit. 
Such a revocation shall be made in writing, with the reason(s) for 
revocation clearly set forth, except under emergency circumstances, when 
an immediate verbal revocation or suspension may be made to be followed 
by written confirmation within 72 hours.
    (j) Violation of the terms and conditions of a permit issued in 
accordance with this section may result in the suspension or revocation 
of the permit.



Sec. 1002.52  Sale or distribution of printed matter.

    (a) The sale or distribution of printed matter is allowed within the 
area administered by the Presidio Trust, provided that a permit to do so 
has been issued by the Executive Director, and provided further that the 
printed matter is not solely commercial advertising.
    (b) An application for such a permit shall set forth the name of the 
applicant; the name of the organization (if any); the date, time, 
duration, and location of the proposed sale or distribution; the number 
of participants; and any other information required by the permit 
application form.
    (c) The Executive Director shall, without unreasonable delay, issue 
a permit on proper application unless:
    (1) A prior application for a permit for the same time and location 
has been made that has been or will be granted and the activities 
authorized by that permit do not reasonably allow multiple occupancy of 
the particular area; or
    (2) It reasonably appears that the sale or distribution will present 
a clear and present danger to the public health and safety; or
    (3) The number of persons engaged in the sale or distribution 
exceeds the number that can reasonably be accommodated in the particular 
location applied for, considering such things as damage to resources or 
facilities of the area administered by the Presidio Trust, impairment of 
a protected area's atmosphere of peace and tranquillity, interference 
with program activities, or impairment of public use facilities; or
    (4) The location applied for has not been designated as available 
for the sale or distribution of printed matter; or
    (5) The activity would constitute a violation of an applicable law 
or regulation.
    (d) If a permit is denied, the applicant shall be so informed in 
writing, with the reason(s) for the denial set forth.
    (e) The Board shall designate on a map, which shall be available for 
inspection in the office of the Presidio Trust, the locations within the 
area administered by the Presidio Trust that are available for the sale 
or distribution of printed matter. Locations may be designated as not 
available only if the sale or distribution of printed matter would:
    (1) Cause injury or damage to resources of the area administered by 
the Presidio Trust; or
    (2) Unreasonably impair the atmosphere of peace and tranquillity 
maintained in wilderness, natural, historic, or commemorative zones; or
    (3) Unreasonably interfere with interpretive, visitor service, or 
other program activities, or with the administrative activities of the 
Presidio Trust or the National Park Service; or
    (4) Substantially impair the operation of public use facilities or 
services of Presidio Trust concessioners or contractors; or
    (5) Present a clear and present damage to the public health and 
safety.
    (f) The permit may contain such conditions as are reasonably 
consistent with protection and use of the area administered by the 
Presidio Trust for the purposes of the Presidio Trust Act.
    (g) No permit shall be issued for a period in excess of 14 
consecutive days, provided that permits may be extended for like 
periods, upon a new application, unless another applicant has requested 
use of the same location and multiple occupancy of that location is not 
reasonably possible.
    (h) It is prohibited for persons engaged in the sale or distribution 
of printed matter under this section to

[[Page 220]]

obstruct or impede pedestrians or vehicles, harass visitors with 
physical contact or persistent demands, misrepresent the purposes or 
affiliations of those engaged in the sale or distribution, or 
misrepresent whether the printed matter is available without cost or 
donation.
    (i) A permit may be revoked under any of those conditions, as listed 
in paragraph (c) of this section, that constitute grounds for denial of 
a permit, or for violation of the terms and conditions of the permit. 
Such a revocation shall be made in writing, with the reason(s) for 
revocation clearly set forth, except under emergency circumstances, when 
an immediate verbal revocation or suspension may be made, to be followed 
by written confirmation within 72 hours.
    (j) Violation of the terms and conditions of a permit issued in 
accordance with this section may result in the suspension or revocation 
of the permit.



Sec. 1002.60  Livestock use and agriculture.

    (a) The running-at-large, herding, driving across, allowing on, 
pasturing or grazing of livestock of any kind within the area 
administered by the Presidio Trust or the use of such area for 
agricultural purposes is prohibited, except:
    (1) As specifically authorized by Federal statutory law; or
    (2) As required under a reservation of use rights arising from 
acquisition of a tract of land; or
    (3) As designated, when conducted as a necessary and integral part 
of a recreational activity or required in order to maintain a historic 
scene.
    (b) Activities authorized pursuant to any of the exceptions provided 
for in paragraph (a) of this section shall be allowed only pursuant to 
the terms and conditions of a license, permit or lease. Violation of the 
terms and conditions of a license, permit or lease issued in accordance 
with this paragraph is prohibited and may result in the suspension or 
revocation of the license, permit, or lease.
    (c) Impounding of livestock. (1) Livestock trespassing within the 
area administered by the Presidio Trust may be impounded by the 
Executive Director and, if not claimed by the owner within the periods 
specified in this paragraph, shall be disposed of in accordance with 
applicable Federal and State law.
    (2) In the absence of applicable Federal or State law, the livestock 
shall be disposed of in the following manner:
    (i) If the owner is known, prompt written notice of impoundment will 
be served, and in the event of the owner's failure to remove the 
impounded livestock within five (5) days from delivery of such notice, 
it will be disposed of in accordance with this paragraph.
    (ii) If the owner is unknown, disposal of the livestock shall not be 
made until at least fifteen (15) days have elapsed from the date that a 
notice of impoundment is originally published in a newspaper of general 
circulation in the county in which the trespass occurs or, if no such 
newspaper exists, notification is provided by other appropriate means.
    (iii) The owner may redeem the livestock by submitting proof of 
ownership and paying all expenses of the United States for capturing, 
advertising, pasturing, feeding, impounding, and the amount of damage to 
public property injured or destroyed as a result of the trespass.
    (iv) In determining the claim of the government in a livestock 
trespass, the value of forage consumed shall be computed at the 
commercial rates prevailing in the locality for the class of livestock 
found in trespass. The claim shall include the pro rata salary of 
employees for the time spent and the expenses incurred as a result of 
the investigation, reporting, and settlement or prosecution of the 
claim.
    (v) If livestock impounded under this paragraph is offered at public 
sale and no bid is received, or if the highest bid received is less than 
the amount of the claim of the United States or of the officer's 
appraised value of the livestock, whichever is the lesser amount, such 
livestock, may be sold at private sale for the highest amount 
obtainable, condemned and destroyed, or converted to the use of the 
United States.



Sec. 1002.61  Residing on Federal lands.

    (a) Residing within the area administered by the Presidio Trust, 
other than

[[Page 221]]

on privately owned lands, except pursuant to the terms and conditions of 
a permit, lease or contract, is prohibited.
    (b) Violation of the terms and conditions of a permit issued in 
accordance with this section is prohibited and may result in the 
suspension or revocation of the permit.



Sec. 1002.62  Memorialization.

    (a) The installation of a monument, memorial, tablet, structure, or 
other commemorative installation within the area administered by the 
Presidio Trust without the authorization of the Board is prohibited.
    (b) The scattering of human ashes from cremation is prohibited, 
except pursuant to the terms and conditions of a permit, or in 
designated areas according to conditions which may be established by the 
Board.
    (c) Failure to abide by area designations and established conditions 
is prohibited.
    (d) Violation of the terms and conditions of a permit issued in 
accordance with this section is prohibited and may result in the 
suspension or revocation of the permit.



Sec. 1002.63  Boating and water use activities.

    Swimming, boating and the use of any water vessel are prohibited 
within the area administered by the Presidio Trust.



PART 1004--VEHICLES AND TRAFFIC SAFETY--Table of Contents




Sec.
1004.1  Applicability and scope.
1004.2  State law applicable.
1004.3  Authorized emergency vehicles.
1004.4  Report of motor vehicle accident.
1004.10  Travel on Presidio Trust roads and designated routes.
1004.11  Load, weight and size limits.
1004.12  Traffic control devices.
1004.13  Obstructing traffic.
1004.14  Open container of alcoholic beverage.
1004.15  Safety belts.
1004.20  Right of way.
1004.21  Speed limits.
1004.22  Unsafe operation.
1004.23  Operating under the influence of alcohol or drugs.
1004.30  Bicycles.
1004.31  Hitchhiking.

    Authority:  Pub. L. 104-333, 110 Stat. 4097 (16 U.S.C. 460bb note).

    Source: 63 FR 35708, June 30, 1998, unless otherwise noted.



Sec. 1004.1  Applicability and scope.

    The applicability of the regulations in this part is described in 
Sec. 1001.2 of this chapter. The regulations in this part also apply, 
regardless of land ownership, on all roadways and parking areas within 
the boundaries of the area administered by the Presidio Trust that are 
open to public traffic and that are under the legislative jurisdiction 
of the United States.



Sec. 1004.2  State law applicable.

    (a) Unless specifically addressed by regulations in this chapter, 
traffic and the use of vehicles within the boundaries of the area 
administered by the Presidio Trust are governed by State law. State law 
that is now or may later be in effect is adopted and made a part of the 
regulations in this part.
    (b) Violating a provision of State law is prohibited.



Sec. 1004.3  Authorized emergency vehicles.

    (a) The operator of an authorized emergency vehicle, when responding 
to an emergency or when pursuing or apprehending an actual or suspected 
violator of the law, may:
    (1) Disregard traffic control devices;
    (2) Exceed the speed limit; and
    (3) Obstruct traffic.
    (b) The provisions of paragraph (a) of this section do not relieve 
the operator from the duty to operate with due regard for the safety of 
persons and property.



Sec. 1004.4  Report of motor vehicle accident.

    (a) The operator of a motor vehicle involved in an accident 
resulting in property damage, personal injury or death shall report the 
accident to the Executive Director as soon as practicable, but within 24 
hours of the accident. If the operator is physically incapable of 
reporting the accident, an occupant of the vehicle shall report the 
accident to the Executive Director.

[[Page 222]]

    (b) A person shall not tow or move a vehicle that has been involved 
in an accident without first notifying the Executive Director unless the 
position of the vehicle constitutes a hazard or prior notification is 
not practicable, in which case notification shall be made before the 
vehicle is removed from the area administered by the Presidio Trust.
    (c) Failure to comply with a reporting requirement specified in 
paragraph (a) or (b) of this section is prohibited.
    (d) The notification requirements imposed by this section do not 
relieve the operator and occupants of a motor vehicle involved in an 
accident of the responsibility to satisfy reporting requirements imposed 
by State law.



Sec. 1004.10  Travel on Presidio Trust roads and designated routes.

    (a) Operating a motor vehicle is prohibited except on Presidio Trust 
roads and in parking areas.
    (b) The following are prohibited:
    (1) Operating a motor vehicle not equipped with pneumatic tires, 
except that a track-laying motor vehicle or a motor vehicle equipped 
with a similar traction device may be operated on a route designated for 
these vehicles by the Board.
    (2) Operating a motor vehicle in a manner that causes unreasonable 
damage to the surface of a Presidio Trust road or route.



Sec. 1004.11  Load, weight and size limits.

    (a) Vehicle load, weight and size limits established by State law 
apply to a vehicle operated on a Presidio Trust road. However, the Board 
may designate more restrictive limits when appropriate for traffic 
safety or protection of the road surface. The Board may require a permit 
and establish conditions for the operation of a vehicle exceeding 
designated limits.
    (b) The following are prohibited:
    (1) Operating a vehicle that exceeds a load, weight or size limit 
designated by the Board.
    (2) Failing to obtain a permit when required.
    (3) Violating a term or condition of a permit.
    (4) Operating a motor vehicle with an auxiliary detachable side 
mirror that extends more than 10 inches beyond the side fender line 
except when the motor vehicle is towing a second vehicle.
    (c) Violating a term or condition of a permit may also result in the 
suspension or revocation of the permit by the Executive Director.



Sec. 1004.12  Traffic control devices.

    Failure to comply with the directions of a traffic control device is 
prohibited unless otherwise directed by the Executive Director.



Sec. 1004.13  Obstructing traffic.

    The following are prohibited:
    (a) Stopping or parking a vehicle upon a Presidio Trust road, except 
as authorized by the Executive Director, or in the event of an accident 
or other condition beyond the control of the operator.
    (b) Operating a vehicle so slowly as to interfere with the normal 
flow of traffic.



Sec. 1004.14  Open container of alcoholic beverage.

    (a) Each person within a motor vehicle is responsible for complying 
with the provisions of this section that pertain to carrying an open 
container. The operator of a motor vehicle is the person responsible for 
complying with the provisions of this section that pertain to the 
storage of an open container.
    (b) Carrying or storing a bottle, can or other receptacle containing 
an alcoholic beverage that is open, or has been opened, or whose seal is 
broken or the contents of which have been partially removed, within a 
motor vehicle in the area administered by the Presidio Trust is 
prohibited.
    (c) This section does not apply to:
    (1) An open container stored in the trunk of a motor vehicle or, if 
a motor vehicle is not equipped with a trunk, to an open container 
stored in some other portion of the motor vehicle designed for the 
storage of luggage and not normally occupied by or readily accessible to 
the operator or passengers; or
    (2) An open container stored in the living quarters of a motor home 
or camper; or
    (3) Unless otherwise prohibited, an open container carried or stored 
in a motor vehicle parked at an authorized

[[Page 223]]

campsite where the motor vehicle's occupant(s) are camping.
    (d) For the purpose of paragraph (c)(1) of this section, a utility 
compartment or glove compartment is deemed to be readily accessible to 
the operator and passengers of a motor vehicle.



Sec. 1004.15  Safety belts.

    (a) Each operator and passenger occupying any seating position of a 
motor vehicle in the area administered by the Presidio Trust will have 
the safety belt or child restraint system properly fastened at all times 
when the vehicle is in motion. The safety belt and child restraint 
system will conform to applicable United States Department of 
Transportation standards.
    (b) This section does not apply to an occupant in a seat that was 
not originally equipped by the manufacturer with a safety belt nor does 
it apply to a person who can demonstrate that a medical condition 
prevents restraint by a safety belt or other occupant restraining 
device.



Sec. 1004.20  Right of way.

    An operator of a motor vehicle shall yield the right of way to 
pedestrians, saddle and pack animals and vehicles drawn by animals. 
Failure to yield the right of way is prohibited.



Sec. 1004.21  Speed limits.

    (a) Speed limits in the area administered by the Presidio Trust are 
as follows:
    (1) 15 miles per hour: within all school zones, campgrounds, picnic 
areas, parking areas, utility areas, business or residential areas, 
other places of public assemblage and at emergency scenes.
    (2) 25 miles per hour: upon sections of Presidio Trust road under 
repair or construction.
    (3) 45 miles per hour: upon all other Presidio Trust roads.
    (b) The Board may designate a different speed limit upon any 
Presidio Trust road when a speed limit set forth in paragraph (a) of 
this section is determined to be unreasonable, unsafe or inconsistent 
with the purposes of the Presidio Trust Act. Speed limits shall be 
posted by using standard traffic control devices.
    (c) Operating a vehicle at a speed in excess of the speed limit is 
prohibited.
    (d) An authorized person may utilize radiomicrowaves or other 
electrical devices to determine the speed of a vehicle on a Presidio 
Trust road. Signs indicating that vehicle speed is determined by the use 
of radiomicrowaves or other electrical devices are not required.



Sec. 1004.22  Unsafe operation.

    (a) The elements of this section constitute offenses that are less 
serious than reckless driving. The offense of reckless driving is 
defined by State law and violations are prosecuted pursuant to the 
provisions of Sec. 1004.2.
    (b) The following are prohibited:
    (1) Operating a motor vehicle without due care or at a speed greater 
than that which is reasonable and prudent considering wildlife, traffic, 
weather, road and light conditions and road character.
    (2) Operating a motor vehicle in a manner which unnecessarily causes 
its tires to squeal, skid or break free of the road surface.
    (3) Failing to maintain that degree of control of a motor vehicle 
necessary to avoid danger to persons, property or wildlife.
    (4) Operating a motor vehicle while allowing a person to ride:
    (i) On or within any vehicle, trailer or other mode of conveyance 
towed behind the motor vehicle unless specifically designed for carrying 
passengers while being towed; or
    (ii) On any exterior portion of the motor vehicle not designed or 
intended for the use of a passenger. This restriction does not apply to 
a person seated on the floor of a truck bed equipped with sides, unless 
prohibited by State law.



Sec. 1004.23  Operating under the influence of alcohol or drugs.

    (a) Operating or being in actual physical control of a motor vehicle 
is prohibited while:
    (1) Under the influence of alcohol, or a drug, or drugs, or any 
combination thereof, to a degree that renders the operator incapable of 
safe operation; or
    (2) The alcohol concentration in the operator's blood or breath is 
0.10 grams

[[Page 224]]

or more of alcohol per 100 milliliters of blood or 0.10 grams or more of 
alcohol per 210 liters of breath. Provided however, that if State law 
that applies to operating a motor vehicle while under the influence of 
alcohol establishes more restrictive limits of alcohol concentration in 
the operator's blood or breath, those limits supersede the limits 
specified in this paragraph.
    (b) The provisions of paragraph (a) of this section also apply to an 
operator who is or has been legally entitled to use alcohol or another 
drug.
    (c) Tests. (1) At the request or direction of an authorized person 
who has probable cause to believe that an operator of a motor vehicle 
within the area administered by the Presidio Trust has violated a 
provision of paragraph (a) of this section, the operator shall submit to 
one or more tests of the blood, breath, saliva or urine for the purpose 
of determining blood alcohol and drug content.
    (2) Refusal by an operator to submit to a test is prohibited and 
proof of refusal may be admissible in any related judicial proceeding.
    (3) Any test or tests for the presence of alcohol and drugs shall be 
determined by and administered at the direction of an authorized person.
    (4) Any test shall be conducted by using accepted scientific methods 
and equipment of proven accuracy and reliability operated by personnel 
certified in its use.
    (d) Presumptive levels. (1) The results of chemical or other 
quantitative tests are intended to supplement the elements of probable 
cause used as the basis for the arrest of an operator charged with a 
violation of paragraph (a)(1) of this section. If the alcohol 
concentration in the operator's blood or breath at the time of testing 
is less than alcohol concentrations specified in paragraph (a)(2) of 
this section, this fact does not give rise to any presumption that the 
operator is or is not under the influence of alcohol.
    (2) The provisions of paragraph (d)(1) of this section are not 
intended to limit the introduction of any other competent evidence 
bearing upon the question of whether the operator, at the time of the 
alleged violation, was under the influence of alcohol, or a drug, or 
drugs, or any combination thereof.



Sec. 1004.30  Bicycles.

    (a) The use of a bicycle is prohibited except on Presidio Trust 
roads, in parking areas and on routes designated for bicycle use; 
provided, however, that the Board may close any Presidio Trust road or 
parking area to bicycle use pursuant to the criteria and procedures of 
Secs. 1001.5 and 1001.7 of this chapter. Routes may only be designated 
for bicycle use based on a written determination that such use is 
consistent with the protection of natural, scenic and aesthetic values, 
safety considerations and management objectives and will not disturb 
wildlife or the resources of the area administered by the Presidio 
Trust.
    (b) Designated bicycle routes. The use of a bicycle is permitted in 
non-developed areas, as follows:
    (1) Bicycle use is permitted on routes which have been designated by 
the Board as bicycle routes by the posting of signs, and as designated 
on maps which are available in the office of the Presidio Trust and 
other places convenient to the public.
    (2) Bicycle speed limits are as follows:
    (i) 15 miles per hour: Upon all designated routes within the area 
administered by the Presidio Trust.
    (ii) 5 miles per hour: On blind curves and when passing other trail 
users.
    (3) The following are prohibited:
    (i) The possession of a bicycle on routes not designated as open to 
bicycle use.
    (ii) Operating a bicycle on designated bicycle routes between sunset 
and sunrise without exhibiting on the bicycle or on the operator an 
activated white light that is visible from a distance of at least 500 
feet to the front and with a red light or reflector visible from at 
least 200 feet to the rear.
    (c) A person operating a bicycle is subject to all sections of this 
part that apply to an operator of a motor vehicle, except Secs. 1004.4, 
1004.10, 1004.11 and 1004.14.
    (d) The following are prohibited:
    (1) Possessing a bicycle in a wilderness area established by Federal 
statute.

[[Page 225]]

    (2) Operating a bicycle during periods of low visibility, or while 
traveling through a tunnel, or between sunset and sunrise, without 
exhibiting on the operator or bicycle a white light or reflector that is 
visible from a distance of at least 500 feet to the front and with a red 
light or reflector visible from at least 200 feet to the rear.
    (3) Operating a bicycle abreast of another bicycle except where 
authorized by the Executive Director.
    (4) Operating a bicycle while consuming an alcoholic beverage or 
carrying in hand an open container of an alcoholic beverage.



Sec. 1004.31  Hitchhiking.

    Hitchhiking or soliciting transportation is prohibited except in 
designated areas and under conditions established by the Board.



PART 1005--COMMERCIAL AND PRIVATE OPERATIONS--Table of Contents




Sec.
1005.1  Advertisements.
1005.2  Alcoholic beverages; sale of intoxicants.
1005.3  Business operations.
1005.4  Commercial passenger-carrying motor vehicles.
1005.5  Commercial photography.
1005.6  Commercial vehicles.
1005.7  Construction of buildings or other facilities.
1005.8  Discrimination in employment practices.
1005.9  Discrimination in furnishing public accommodations and 
          transportation services.
1005.10-1005.12  [Reserved]
1005.13  Nuisances.
1005.14  Prospecting, mining, and mineral leasing.

    Authority:  Pub. L. 104-333, 110 Stat. 4097 (16 U.S.C. 460bb note).

    Source: 63 FR 35710, June 30, 1998, unless otherwise noted.



Sec. 1005.1  Advertisements.

    Commercial notices or advertisements shall not be displayed, posted, 
or distributed within the area administered by the Presidio Trust unless 
prior written permission has been given by the Executive Director. Such 
permission may be granted only if the notice or advertisement is of 
goods, services, or facilities available within the area administered by 
the Presidio Trust and such notices and advertisements are found by the 
Executive Director to be desirable and necessary for the convenience and 
guidance of the public.



Sec. 1005.2  Alcoholic beverages; sale of intoxicants.

    The sale of alcoholic, spirituous, vinous, or fermented liquor, 
containing more than 1 percent of alcohol by weight, shall conform with 
all applicable Federal, State, and local laws and regulations. (See also 
Sec. 1002.35 of this chapter.)



Sec. 1005.3  Business operations.

    Engaging in or soliciting any business in the area administered by 
the Presidio Trust, except in accordance with the provisions of a 
permit, contract, or other written agreement with the United States, is 
prohibited.



Sec. 1005.4  Commercial passenger-carrying motor vehicles.

    Passenger-carrying motor vehicles that are so large as to require 
special escort in order to proceed safely over Presidio Trust roads, or 
which in the judgment of the Executive Director are beyond the carrying 
capacity or safety factor of the roads, will not be permitted in the 
area administered by the Presidio Trust, except that, where they may 
satisfactorily enter and travel to the Presidio Trust headquarters they 
may be parked there during the period of stay.



Sec. 1005.5  Commercial photography.

    (a) Motion pictures, television. Before any motion picture may be 
filmed or any television production or sound track may be made, which 
involves the use of professional casts, settings, or crews, by any 
person other than bona fide newsreel or news television personnel, 
written permission must first be obtained from the Executive Director, 
in accordance with the following:
    (1) Permit required. No picture may be filmed, and no television 
production or sound track made on any area administered by the Presidio 
Trust, by any person other than amateur or bona fide newsreel and news 
television photographers and soundmen, unless written

[[Page 226]]

permission has been obtained from the Presidio Trust. Applications for 
permission should be submitted to the Executive Director.
    (2) Fees; bonds. (i) No fees will be charged for the making of 
motion pictures, television productions or sound tracks on areas 
administered by the Presidio Trust. The regular general admission and 
other fees currently in effect in any area under the jurisdiction of the 
Presidio Trust are not affected by this paragraph.
    (ii) A bond shall be furnished, or deposit made in cash or by 
certified check, in an amount to be set by the official in charge of the 
area to insure full compliance with all of the conditions prescribed in 
paragraph (a)(4) of this section.
    (3) Approval of application. Permission to make a motion picture, 
television production or sound track on areas administered by the 
Presidio Trust will be granted by the Executive Director in his 
discretion and on acceptance by the applicant of the conditions set 
forth in paragraph (a)(4) of this section.
    (4) Form of application. The following form is prescribed for an 
application for permission to make a motion picture, television 
production, or sound track on areas administered by the Presidio Trust:

 Date___________________________________________________________________
    To the Executive Director of the Presidio Trust:
    Permission is requested to make, in the area administered by the 
Presidio Trust, a

 _______________________________________________________________________
    The scope of the filming (or production or recording) and the manner 
and extent thereof will be as follows:

 _______________________________________________________________________

________________________________________________________________________

    Weather conditions permitting, work will commence on approximately 
______________ and will be completed on approximately ______________. 
(An additional sheet should be used if necessary.)
    The undersigned accepts and will comply with the following 
conditions:
    Utmost care will be exercised to see that no natural features are 
injured, and after completion of the work the area will, as required by 
the official in charge, either be cleaned up and restored to its prior 
condition or left, after clean-up, in a condition satisfactory to the 
official in charge.
    Credit will be given to the Presidio Trust through the use of an 
appropriate title or announcement, unless there is issued by the 
official in charge of the area a written statement that no such courtesy 
credit is desired.
    Pictures will be taken of wildlife only when such wildlife will be 
shown in its natural state or under approved management conditions if 
such wildlife is confined.
    Any special instructions received from the official in charge of the 
area will be complied with.
    Any additional information relating to the privilege applied for by 
this application will be furnished upon request of the official in 
charge.

 _______________________________________________________________________
    (Applicant)

 For____________________________________________________________________
        (Company)

 Bond Requirement $_____________________________________________________

    Approved:

 _______________________________________________________________________
        (Date)

 _______________________________________________________________________
        (Title)

    (b) Still photography. The taking of photographs of any vehicle, or 
other articles of commerce or models for the purpose of commercial 
advertising without a written permit from the Executive Director is 
prohibited.



Sec. 1005.6  Commercial vehicles.

    (a) The term ``Commercial vehicle'' as used in this section shall 
include, but not be limited to trucks, station wagons, pickups, 
passenger cars or other vehicles when used in transporting movable 
property for a fee or profit, either as a direct charge to another 
person, or otherwise, or used as an incident to providing services to 
another person, or used in connection with any business.
    (b) The use of government roads within the area administered by the 
Presidio Trust by commercial vehicles, when such use is in no way 
connected with the operation of the area administered by the Presidio 
Trust, is prohibited, except that in emergencies the Executive Director 
may grant permission to use Presidio Trust roads.
    (c) The Executive Director shall issue permits for commercial 
vehicles used on Presidio Trust roads when such use is necessary for 
access to private lands situated within or adjacent to the area 
administered by the Presidio Trust, to which access is otherwise not 
available.

[[Page 227]]



Sec. 1005.7  Construction of buildings or other facilities.

    Constructing or attempting to construct a building, or other 
structure, boat dock, road, trail, path, or other way, telephone line, 
telegraph line, power line, or any other private or public utility, 
upon, across, over, through, or under any area administered by the 
Presidio Trust, except in accordance with the provisions of a valid 
permit, contract, or other written agreement with the United States, is 
prohibited.



Sec. 1005.8  Discrimination in employment practices.

    (a) The proprietor, owner, or operator of any hotel, inn, lodge or 
other facility or accommodation offered to or enjoyed by the general 
public within the area administered by the Presidio Trust is prohibited 
from discriminating against any employee or maintaining any employment 
practice which discriminates because of race, creed, color, ancestry, 
sex, age, disabling condition, or national origin in connection with any 
activity provided for or permitted by contract with or permit from the 
Government or by derivative subcontract or sublease. As used in this 
section, the term ``employment'' includes, but is not limited to, 
employment, upgrading, demotion, or transfer; recruitment, or 
recruitment advertising; layoffs or termination; rates of pay or other 
forms of compensation; and selection for training including 
apprenticeship.
    (b) Each such proprietor, owner or operator shall post either the 
following notice or notices supplied in accordance with Executive Order 
11246 at such locations as will ensure that the notice and its contents 
will be conspicuous to any person seeking employment:

                                 Notice

    This is a facility operated in an area under the jurisdiction of the 
Presidio Trust. No discrimination in employment practices on the basis 
of race, creed, color, ancestry, sex, age, disabling condition, or 
national origin is permitted in this facility. Violations of this 
prohibition are punishable by fine, imprisonment, or both. Complaints or 
violations of this prohibition should be addressed to the Executive 
Director, The Presidio Trust, P.O. Box 29052, San Francisco, CA 94129-
0052.

    (c) The regulations contained in this section apply, regardless of 
land ownership, on all lands and waters within the boundaries of the 
area administered by the Presidio Trust that are under the legislative 
jurisdiction of the United States.



Sec. 1005.9  Discrimination in furnishing public accommodations and transportation services.

    (a) The proprietor, owner or operator and the employees of any 
hotel, inn, lodge, or other facility or accommodation offered to or 
enjoyed by the general public within the area administered by the 
Presidio Trust and, while using such area, any commercial passenger-
carrying motor vehicle service and its employees, are prohibited from:
    (1) Publicizing the facilities, accommodations or any activity 
conducted therein in any manner that would directly or inferentially 
reflect upon or question the acceptability of any person or persons 
because of race, creed, color, ancestry, sex, age, disabling condition, 
or national origin; or
    (2) Discriminating by segregation or otherwise against any person or 
persons because of race, creed, color, ancestry, sex, age, disabling 
condition, or national origin in furnishing or refusing to furnish such 
person or persons any accommodation, facility, service, or privilege 
offered to or enjoyed by the general public.
    (b) Each such proprietor, owner, or operator shall post the 
following notice at such locations as will insure that the notice and 
its contents will be conspicuous to any person seeking accommodations, 
facilities, services, or privileges:

                                 Notice

    This is a facility operated in an area under the jurisdiction of the 
Presidio Trust. No discrimination by segregation or other means in the 
furnishing of accommodations, facilities, services, or privileges on the 
basis of race, creed, color, ancestry, sex, age, disabling condition or 
national origin is permitted in the use of this facility. Violations of 
this prohibition are punishable by fine, imprisonment, or both. 
Complaints of violations of this prohibition should be addressed to the 
Executive Director, The Presidio Trust, P.O. Box 29052, San Francisco, 
CA 94129-0052.


[[Page 228]]


    (c) The regulations contained in this section apply, regardless of 
land ownership, on all lands and waters within the boundaries of the 
area administered by the Presidio Trust that are under the legislative 
jurisdiction of the United States.



Secs. 1005.10-1005.12  [Reserved]



Sec. 1005.13  Nuisances.

    The creation or maintenance of a nuisance upon the federally owned 
lands of the area administered by the Presidio Trust or upon any private 
lands within the boundaries of the area administered by the Presidio 
Trust under the exclusive legislative jurisdiction of the United States 
is prohibited.



Sec. 1005.14  Prospecting, mining, and mineral leasing.

    Prospecting, mining, and the location of mining claims under the 
general mining laws and leasing under the mineral leasing laws are 
prohibited in the area administered by the Presidio Trust except as 
authorized by law.

[[Page 229]]



 CHAPTER XI--ARCHITECTURAL AND TRANSPORTATION BARRIERS COMPLIANCE BOARD




  --------------------------------------------------------------------
Part                                                                Page
1120            Public availability of information..........         231
1121            Privacy Act implementation..................         245
1150            Practice and procedures for compliance 
                    hearings................................         247
1151            Bylaws......................................         260
1152            Employee responsibilities and conduct.......         264
1154            Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the 
                    Architectural and Transportation 
                    Barriers Compliance Board...............         272
1190            Minimum guidelines and requirements for 
                    accessible design.......................         278
1191            Americans with Disabilities Act (ADA) 
                    accessibility guidelines for buildings 
                    and facilities..........................         292
1192            Americans with Disabilities Act (ADA) 
                    accessibility guidelines for 
                    transportation vehicles.................         402
1193            Telecommunications Act accessibility 
                    guidelines..............................         436
1194-1199

  [Reserved]

[[Page 231]]



PART 1120--PUBLIC AVAILABILITY OF INFORMATION--Table of Contents




                           Subpart A--General

Sec.
1120.1  Purpose and scope of this part.
1120.2  Definitions.
1120.3  Existing records.

                    Subpart B--Published Information

1120.5  Information published in the Federal Register.
1120.6  Information in A&TBCB publications.

    Subpart C--Records Available for Public Inspection and Copying, 
                     Documents Published and Indexed

1120.11  Records available for inspection.
1120.12  Indexes to certain records.
1120.13  Effect of nonavailability.

               Subpart D--Information Available on Request

1120.21  Policy on disclosure of records.
1120.22  Requests to which this subpart applies.
1120.23  Where requests for agency records must be filed.
1120.24  Misdirected written requests; oral requests.
1120.25  Form of requests.
1120.26  Deficient descriptions.
1120.31  A&TBCB receipt of requests; responsibilities of Freedom of 
          Information Officer.
1120.32  A&TBCB action on requests.
1120.33  Time allowed for initial action on requests.
1120.34  Initial denials of requests.
1120.36  Appeals from initial denials.
1120.37  A&TBCB action on appeals.
1120.38  Time allowed for action on appeals.
1120.41  Exempt documents.
1120.42  Release of exempt documents.

           Subpart E--Copies of Records and Fees for Services

1120.51  Charges for services, generally.
1120.52  Computerized records.
1120.53  Payment of fees.

    Authority: 5 U.S.C. 552, the Freedom of Information Act, as amended.

    Source: 45 FR 80976, Dec. 8, 1980, unless otherwise noted.



                           Subpart A--General



Sec. 1120.1  Purpose and scope of this part.

    This part contains the general rules of the Architectural and 
Transportation Barriers Compliance Board for public access to Board 
records. These regulations implement 5 U.S.C. 552, the Freedom of 
Information Act, as amended, and the policy of the Board. It is the 
Board's policy to disseminate information on matters of interest to the 
public and to disclose on request all information contained in records 
in its custody insofar as is compatible with the discharge of its 
responsibilities and consistent with the law. This part sets forth 
generally the categories of records accessible to the public, the types 
of records subject to prohibitions or restrictions on disclosure, and 
the places and procedures to obtain information from records in the 
custody of the A&TBCB.



Sec. 1120.2  Definitions.

    For the purposes of this part:
    (a) A&TBCB or Board means the Architectural and Transportation 
Barriers Compliance Board.
    (b) A&TBCB record or record means any document, writing, photograph, 
sound or magnetic recording, drawing or other similar thing by which 
information has been preserved, from which the information can be 
retrieved and copied, and which is, was, or is alleged to be under the 
control of the A&TBCB.
    (1) The term includes--
    (i) Informal writings such as handwritten notes and drafts;
    (ii) Information preserved in a form which must be translated or 
deciphered by machine in order to be intelligible to humans;
    (iii) Records which were created or acquired by the A&TBCB, its 
members, its employees, its members' employees, or persons acting on 
behalf of its members, by use of A&TBCB funds or in the course of 
transacting official business for the A&TBCB.
    (2) The term does not include--
    (i) Materials which are legally owned by an A&TBCB member, employee, 
or

[[Page 232]]

member's employee or representative in his or her purely personal 
capacity; and
    (ii) Materials published by non-Federal organizations which are 
readily available to the public, such as books, journals, standards, and 
periodicals available through reference libraries, even if such 
materials are in the A&TBCB's possession.
    (c) The terms agency, person, party, rule, rulemaking, order, and 
adjudication have the meanings given in 5 U.S.C. 551, except where the 
context demonstrates that a different meaning is intended, and except 
that for purposes of the Freedom of Information Act the term agency as 
defined in 5 U.S.C. 551 includes any executive department, military 
department, Government corporation, Government controlled corporation, 
the United States Postal Service, or other establishment in the 
executive branch of the Government (including the Executive Office of 
the President) or any independent regulatory agency.
    (d) A government record under the control of the A&TBCB means that 
the record is subject to the free disposition of the A&TBCB. This 
includes keeping the record available for governmental use as required 
and protecting, preserving, and exercising such control over it as may 
be necessary for that purpose. Control of a record is not synonymous 
with, and does not require, actual physical possession of the record.
    (e) Request means a request to inspect or obtain a copy of one or 
more records.
    (f) Requestor means any person who submits a request to the A&TBCB.
    (g) Public member means a member appointed by the President from 
among members of the general public.
    (h) Direct Costs means those expenditures which an agency actually 
incurs in searching for and duplicating (and in the case of commercial 
requesters, reviewing) documents to respond to a FOIA request. Direct 
costs include, for example, the salary of the employee performing work 
(the basic rate of pay for the employee plus 16 percent of that rate to 
cover benefits) and the cost of operating duplicating machinery. Not 
included in direct costs are overhead expenses such as costs of space, 
and heating or lighting the facility in which the records are stored.
    (i) Search includes all time spent looking for material that is 
responsive to a request, including page-by-page or line-by-line 
identification of material within documents. Agencies should ensure that 
searching for material is done in the most efficient and least expensive 
manner so as to minimize costs for both the agency and the requester. 
For example, agencies should not engage in line-by-line search when 
merely duplicating an entire document would prove the less expensive and 
quicker method of complying with a request. Search should be 
distinguished, moreover, from review of material in order to determine 
whether the material is exempt from disclosure (see paragraph (k) of 
this section). Searches may be done manually or by computer using 
existing programming.
    (j) Duplication refers to the process of making a copy of a document 
necessary to respond to an FOIA request. Such copies can take the form 
of paper copy, microform, audio-visual materials, or machine readable 
documentation (e.g., magnetic tape or disk), among others. The copy 
provided must be in a form that is reasonably usable by requesters.
    (k) Review refers to the process of examining documents located in 
response to a request that is for a commercial use (see paragraph (l) of 
this section) to determine whether any portion of any document located 
is permitted to be withheld. It also includes processing any documents 
for disclosure, e.g., doing all that is necessary to excise them and 
otherwise prepare them for release. Review does not include time spent 
resolving general legal or policy issues regarding the application of 
exemptions.
    (l) Commercial Use Request refers to a request from or on behalf of 
one who seeks information for a use or purpose that furthers the 
commercial, trade, or profit interests of the requester or the person on 
whose behalf the request is made. In determining whether a requester 
properly belongs in this category, agencies must determine the use to 
which a requester will put the documents requested. Moreover, where an 
agency has reasonable cause to doubt

[[Page 233]]

the use to which a requester will put the records sought, or where that 
use is not clear from the request itself, agencies should seek 
additional clarification before assigning the request to a specific 
category.
    (m) Educational Institution refers to a preschoool, 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, which operates a program or programs of scholarly research.
    (n) Non-Commercial Scientific Institution refers to an institution 
that is not operated on a commercial basis as that term is referenced in 
paragraph (l) of this section, and which is operated solely for the 
purpose of conducting scientific research the results of which are not 
intended to promote any particular product or industry.
    (o) Representative of the News Media refers to any person actively 
gathering news for an entity that is organized and operated to publish 
or broadcast news to the public. The term news means information that is 
about current events or that would be of current interest to the public. 
Examples of news media entities include television or radio stations 
broadcasting to the public at large, and publishers of periodicals (but 
only in those instances when they can qualify as disseminators of news) 
who make their products available for purchase or subscription by the 
general public. These examples are not intended to be all-inclusive.

Moreover, as traditional methods of news delivery evolve (e.g., 
electronic dissemination of newspapers through telecommunications 
services), such alternative media would be included in this category. In 
the case of freelance journalists, they may be regarded as working for a 
news organization if they can demonstrate a solid basis for expecting 
publication through that organization, even though not actually employed 
by it. A publication contract would be the clearest proof, but agencies 
may also look to the past publication record of a requester in making 
this determination.
[45 FR 80976, Dec. 8, 1980, as amended at 52 FR 43195, Nov. 10, 1987; 55 
FR 2519, Jan. 25, 1990]



Sec. 1120.3  Existing records.

    All existing A&TBCB records are subject to routine destruction 
according to standard record retention schedules.



                    Subpart B--Published Information



Sec. 1120.5  Information published in the Federal Register.

    (a) General. In accordance with the provisions of 5 U.S.C. 
552(a)(1), basic information concerning the organization, operations, 
functions, substantive and procedural rules and regulations, officials, 
office locations, and allocation of responsibilities for functions and 
programs of the A&TBCB is published in the Federal Register for the 
guidance of the public. This information includes--
    (1) Description of the A&TBCB's organization and the established 
places at which, the employees from whom, and the methods whereby the 
public may obtain information, make submittals or requests, or obtain 
decisions;
    (2) Statements of the general course and method by which the 
A&TBCB's functions are channeled and determined, including the nature 
and requirements of all formal and informal procedures available;
    (3) Rules of procedure, descriptions of forms available or the 
places at which forms may be obtained, and instructions as to the scope 
and contents of all papers, reports, or examinations;
    (4) Substantive rules of general applicability adopted as authorized 
by law, and statements of general policy or interpretations of general 
applicability formulated and adopted by the A&TBCB, and
    (5) Each amendment, revision, or repeal of the foregoing. Indexes to 
the Federal Register are published in each daily issue and compiled 
currently on a monthly, quarterly, and annual basis. Copies of the 
Federal Register and its indexes are available in many libraries and may 
be purchased from the Superintendent of Documents, Government Printing 
Office,

[[Page 234]]

Washington, DC 20402. No formal request to examine documents in the 
Federal Register is necessary to inspect them at the place where they 
are kept. Materials incorporated by reference in the Federal Register 
are available for inspection in A&TBCB offices.
    (b) Code of Federal Regulations. Title 36 of the Code of Federal 
Regulations, which is republished and updated annually, contains a 
compilation of documents published by the A&TBCB in the Federal Register 
which set forth substantive and procedural rules and regulations of the 
A&TBCB and statements of general policy or interpretations of general 
applicability formulated and adopted by the Board. Copies of the Code of 
Federal Regulations are available in many libraries and may be purchased 
from the Superintendent of Documents. Reference copies maintained in 
offices of the A&TBCB are available for examination without formal 
request.
    (c) Effect of nonpublication. Except to the extent that a person has 
actual and timely notice of its terms, no person may in any manner be 
required to resort to, or be adversely affected by, any procedure or 
matter required to be published in the Federal Register, but not so 
published. For the purposes of this paragraph, material that is 
reasonably available to the class of persons affected by it is 
considered to be published in the Federal Register if it has been 
incorporated by reference in the Federal Register with the approval of 
the Director of the Federal Register.



Sec. 1120.6  Information in A&TBCB publications.

    (a) General. Copies of information material shall be available upon 
oral or written request so long as an adequate supply exists. These 
informational materials include press releases, pamphlets, and other 
materials ordinarily made available to the public without cost as part 
of a public information program, and reprints of individual parts of the 
Code of Federal Regulations or Federal Register relating to programs 
affecting substantial segments of the general public. Copies of 
informational publications of the A&TBCB which may be purchased from the 
Superintendent of Documents may be inspected in those offices of the 
A&TBCB in which reference copies are available. Compliance with the 
formal procedures provided in this part for obtaining access to A&TBCB 
records is not necessary for access to the materials described in this 
paragraph.
    (b) Published indexes. The informational publications available from 
the A&TBCB may include indexes to materials published or contained in 
its records. They will include the current indexes required by the 
Freedom of Information Act to be maintained and made available for 
inspecting and copying, except as otherwise provided by published order, 
as noted below. These indexes provide identifying information for the 
public as to--
    (1) Final opinions and orders made in the adjudication of cases;
    (2) Statements of policy and interpretations adopted but not 
published in the Federal Register; and
    (3) Administrative staff manuals and instructions to staff that 
affect a member of the public.

As promptly as possible after adoption of this part, these indexes will 
be made available to members of the public. Thereafter, updated indexes 
or supplements shall be published at least quarterly. However, the Board 
may determine by order published in the Federal Register that 
publication of an index is unnecessary and impracticable. In that case 
the Board shall provide copies of the index on request at a cost not to 
exceed the direct cost of duplication.



    Subpart C--Records Available for Public Inspection and Copying, 
                     Documents Published and Indexed



Sec. 1120.11  Records available for inspection.

    Except for those categories of materials listed in paragraph (a) of 
this section, paragraphs (a) (1) through (9) of Sec. 1120.41 the 
following materials are available for public inspection and copying 
during normal business hours at the Washington office of the A&TBCB:

[[Page 235]]

    (a) Final opinions and orders made in the adjudication of cases;
    (b) Statements of policy and interpretations which have been adopted 
under the authority of the A&TBCB and are not published in the Federal 
Register;
    (c) Administrative staff manuals and instructions to staff that 
affect a member of the public;
    (d) A record of the final votes of each member of the Board in every 
Board proceeding;
    (e) Current indexes providing identifying information for the public 
as to the materials made available under paragraphs (a) through (d) of 
this section.
    (f) All papers and documents made a part of the official record in 
administrative proceedings conducted by the A&TBCB in connection with 
the issuance, amendment, or revocation of rules and regulations or 
determinations having general applicability or legal effect with respect 
to members of the public or a class of the public.
    (g) After a final order is issued in any adjudicative proceeding 
conducted by the A&TBCB, all papers and documents made a part of the 
official record of the proceeding. (The official docket is kept in the 
office of the administrative law judge hearing the case until a final 
order is issued.)



Sec. 1120.12  Indexes to certain records.

    Current indexes are normally available to the public in published 
form as provided in Sec. 1120.11. These indexes, whether or not 
published, are made available for inspection and copying on request. If 
published copies of a particular index are at any time not available or 
if publication of the index has been determined to be unnecessary and 
impracticable by order published in the Federal Register, copies of the 
index will be furnished on request. (See Sec. 1120.6(b), Published 
indexes.)



Sec. 1120.13  Effect of nonavailability.

    Any material listed in paragraph (a) of this section that is not 
indexed as required by Sec. 1120.11(e) and Sec. 1120.12, may not be 
cited, relied on, or used as precedent by the Board to adversely affect 
any member of the public unless the person against whom it is cited, 
relied on, or used has had actual and timely notice of the material.



              Subpart D--Information Available Upon Request



Sec. 1120.21  Policy on disclosure of records.

    (a) It is the policy of the A&TBCB to make information available to 
the public to the greatest extent possible in keeping with the spirit of 
the Freedom of Information Act. Therefore, all records of the A&TBCB, 
except those that the A&TBCB specifically determines must not be 
disclosed in the national interest, for the protection of private 
rights, or for the efficient conduct of public business to the extent 
permitted by the Freedom of Information Act, are declared to be 
available for public inspection and copying as provided in this part. 
Each member and employee of the A&TBCB is directed to cooperate to this 
end and to make records available to the public promptly and to the 
fullest extent consistent with this policy. A record may not be withheld 
from the public solely because its release might suggest administrative 
error or embarrass a member or employee of the A&TBCB.
    (b) Subject to Sec. 1120.51, any nonexempt A&TBCB record is 
available to the public upon request regardless of whether the requestor 
shows any justification or need for the record.
    (c) An A&TBCB office may waive the procedures on this subpart in 
favor of the requestor, for reasons of the public interest, simplicity, 
or speed.
    (d) If a requested record contains both exempt and nonexempt 
material, the nonexempt material shall be disclosed, after the exempt 
material has been deleted in accordance with Sec. 1120.42.



Sec. 1120.22  Requests to which this subpart applies.

    (a) This subpart applies to any written request (other than a 
request made by another Federal agency) received by the A&TBCB, whether 
or not the request cites the Freedom of Information Act, 5 U.S.C. 552, 
except with respect to records for which a less formal disclosure 
procedure is provided specifically in this part.

[[Page 236]]

    (b) Any written request to the A&TBCB for existing records prepared 
by the A&TBCB for routine public distribution, e.g., pamphlets, copies 
of speeches, press releases, and educational materials, shall be 
honored. No individual determination under Sec. 1120.32 is necessary in 
these cases, since preparation of the materials for routine public 
distribution itself constitutes that a determination that the records 
are available to the public.
    (c) This subpart applies only to records that exist at the time the 
request for information is made. (See Sec. 1120.3, Existing records.)



Sec. 1120.23  Where requests for agency records must be filed.

    A written request for records must be filed with the A&TBCB Freedom 
of Information Officer, Suite 501, 1111 18th Street NW., Washington, DC 
20036. Requests may be mailed to that address or filed in person at that 
address during the A&TBCB's normal business hours.
[45 FR 80976, Dec. 8, 1980, as amended at 55 FR 2520, Jan. 25, 1990]



Sec. 1120.24  Misdirected written requests; oral requests.

    (a) The A&TBCB cannot assure that a timely for satisfactory response 
under this subpart will be given to written requests that are addressed 
to A&TBCB offices, members, or employees other than the Freedom of 
Information Officer listed in Sec. 1120.23. Any A&TBCB member or 
employee who receives a written request for inspection or disclosure of 
A&TBCB records must promptly forward a copy of the request to the 
Freedom of Information Officer, by the fastest practicable means, and 
must, if appropriate, commence action under Sec. 1120.32.
    (b) While A&TBCB members and employees will attempt in good faith to 
comply with oral requests for inspection or disclosure of A&TBCB 
records, by telephone or otherwise, these requests are not required to 
be processed in accordance with this subpart.



Sec. 1120.25  Form of requests.

    A request must be in writing, must reasonably describe the records 
sought in a way that will permit their identification and location, and 
must be addressed to the address set forth in Sec. 1120.23, but 
otherwise need not be in any particular form. Each request under the 
Freedom of Information Act should be clearly and prominently identified 
by a legend on the first page, such as ``Freedom of Information Act 
Request.'' The envelope in which the request is sent should be 
prominently marked with the letters ``FOIA.'' It is helpful, but not 
necessary, for the requestor to include his or her phone number and the 
reason for the request. A request may state the maximum amount of fees 
which the requester is willing to pay. Under Sec. 1120.33(d), the 
failure to state willingness to pay fees as high as are anticipated by 
the A&TBCB will delay running of the time limit and delay processing of 
the request, if the responsible official anticipates that the fees 
chargeable may exceed $250.00.
[45 FR 80976, Dec. 8, 1980, as amended at 52 FR 43195, Nov. 10, 1987]



Sec. 1120.26  Deficient descriptions.

    (a) If the description of the records sought in the request is not 
sufficient to allow the A&TBCB to identify and locate the requested 
records, the office taking action under Sec. 1120.32 must notify the 
requestor (by telephone when practicable) that the request cannot be 
further processed until additional information is furnished.
    (b) The A&TBCB must make every reasonable effort to assist the 
requestor in formulating his or her request. If a request is described 
in general terms (e.g., all records having to do with a certain area), 
the A&TBCB office taking action under Sec. 1120.32 may communicate with 
the requestor (by telephone when practicable) with a view toward 
reducing the administrative burden of processing a broad request and 
minimizing the fee payable by the requestor. Such attempts must not be 
used as a means to discourage requests, but rather as a means to help 
identify with more specificity the records actually sought.

[[Page 237]]



Sec. 1120.31  A&TBCB receipt of requests; responsibilities of Freedom of Information Officer.

    (a) Upon receipt of a written request, the Freedom of Information 
Officer must mark the request with the date of receipt and must attach 
to the request a control slip indicating the Request Identification 
Number and other pertinent administrative information. The Freedom of 
Information Officer must immediately forward the request and control 
slip to the A&TBCB office which the FOIA Officer believes to be 
responsible for maintaining the records requested. The Freedom of 
Information Officer must retain a full copy of the request and control 
slip and must monitor the handling of the request to ensure a timely 
response.
    (b) The Freedom of Information Officer must maintain a file 
concerning each request received. The file must contain a copy of the 
request, initial and appeal determinations, and other pertinent 
correspondence and records.
    (c) The Freedom of Information Officer must collect and maintain the 
information necessary to compile the reports required by 5 U.S.C. 
552(d).



Sec. 1120.32  A&TBCB action on requests.

    (a) The FOIA Officer is delegated the authority to issue initial 
determinations concerning records which he or she believes are in the 
custody of a Board member, an employee of a member's agency, or an 
employee of a public member. When the FOIA Officer receives such a 
request, he or she shall forward it to the member, employee of a member 
agency, or employee of a public member whom the FOIA Officer believes to 
have custody of the records, requesting the records. The person to whom 
the request is forwarded shall, within three days of receipt of the FOIA 
Officer's request, either furnish the records requested to the FOIA 
Officer or inform the FOIA Officer of the time when they will be 
furnished. The FOIA Officer shall then determine whether or not to 
disclose the documents. For purposes of such requests and their 
processing under this subpart, the FOIA Officer is considered the office 
handling the requests.
    (b) Heads of staff offices are delegated the authority to issue 
initial determinations, other records which are in their respective 
custody.
    (c) Whenever an A&TBCB office receives a request forwarded by the 
FOIA Officer, the office should:
    (1) Take action under Sec. 1120.26, if required, to obtain a better 
description of the records requested;
    (2) Locate the records as promptly as possible, or determine that:
    (i) The records are not known to exist; or
    (ii) They are located at another A&TBCB office; or
    (iii) They are located at another Federal agency and not possessed 
by the A&TBCB.
    (3) When appropriate, take action under Sec. 1120.53(b) to obtain 
payment or assurance of payment;
    (4) Determine which of the requested records legally must be 
withheld, and why (see Sec. 1120.42(b), Release of exempt documents);
    (5) Of the requested records which are exempt from mandatory 
disclosure but which legally may be disclosed (see Sec. 1120.42(a)), 
determine which records will be withheld, and why;
    (6) Issue an initial determination within the allowed period (see 
Sec. 1120.31), specifying (individually or by category) which records 
will be disclosed and which will be withheld, and signed by a person 
authorized to issue the determination under paragraph (a) of this 
section (see Sec. 1120.33, Initial denials of requests);
    (7) Furnish the Freedom of Information Officer a copy of the 
determination; and
    (8) If the determination denies a request, furnish the Freedom of 
Information Officer the name of the A&TBCB member(s) or employee(s) 
having custody of the records and maintain the records in a manner 
permitting their prompt forwarding to the General Counsel upon request 
if an appeal from the initial denial is filed. (See also Sec. 1120.34.)
    (d) If it appears that some or all of the requested records are not 
in the possession of the A&TBCB office which has been assigned 
responsibility for responding to the request but may be in the 
possession of some A&TBCB office, the responding office must so inform

[[Page 238]]

the Freedom of Information officer immediately.
    (e) An initial determination to disclose documents must provide the 
requested documents or provide the opportunity to inspect and/or obtain 
copies of the documents.



Sec. 1120.33  Time allowed for initial action on requests.

    (a) Except as otherwise provided in this section, as soon as 
possible and not later than the tenth working day after the day on which 
the Freedom of Information Officer receives a request for records, the 
A&TBCB office responsible for responding to the request must issue a 
written determination to the requestor stating which of the requested 
records, will, and which will not, be released and the reason for any 
denial of a request.
    (b) The period of 10 working days is measured from the date the 
request is first received and logged in by the Freedom of Information 
Officer.
    (c) There is excluded from the period of 10 working days (or any 
extension) any time which elapses between the date that a requestor is 
notified by the A&TBCB under Sec. 1120.26 that his or her request does 
not reasonably identify the records sought, and the date that the 
requestor furnishes a reasonable identification.
    (d) There is excluded from the period of 10 working days (or any 
extension) any time which elapses between the date that a requestor is 
notified by an A&TBCB office under Sec. 1120.53(b) that prepayment of 
fees is required, and the date that the requestor pays (or makes 
suitable arrangements to pay) the charges.
    (e) The A&TBCB office taking action under Sec. 1120.31 may extend 
the basic 10-day period established under paragraph (a) of this section 
by a period not to exceed 10 additional working days if--
    (1) The office notifies the Freedom of Information Officer;
    (2) The office notifies the requestor in writing within the basic 
10-day period stating the reasons for the extension and the date by 
which the office expects to be able to issue a determination;
    (3) The extension is reasonably necessary to properly process the 
particular request; and
    (4) One or more of the following unusual circumstances require the 
extension:
    (i) There is a need to search for and collect the requested records 
from field facilities or other establishments that are separate from the 
office processing the request;
    (ii) There is a need to search for, collect, and/or appropriately 
examine a voluminous amount of separate and distinct records which are 
demanded in a single request; or
    (iii) There is need for consultation with another agency having a 
substantial interest in the determination of the request or among two or 
more components of the A&TBCB. The office must conduct the consultation 
with all practicable speed.
    (f) Should the A&TBCB fail to issue a determination within the 10-
day period or any authorized extension as to an initial request, or 
during the period for consideration of an appeal, the requestor shall be 
deemed to have exhausted his or her administrative remedies with respect 
to such.

In the latter situation, the requestor may commence an action in an 
appropriate Federal district court to obtain the records.



Sec. 1120.34  Initial denials of requests.

    (a) An initial denial of a request may be issued only for the 
following reasons:
    (1) The record is not under the A&TBCB's control;
    (2) The record has been published in the Federal Register or is 
otherwise published and available for sale;
    (3) A statutory provision, provision of this part, or court order 
requires that the information not be disclosed;
    (4) The record is exempt from mandatory disclosure under 5 U.S.C. 
552(b) and the responding office has decided not to disclose it under 
Secs. 1120.41 and 1120.42;
    (5) The record is believed to be in the A&TBCB's custody but has not 
yet been located. (See paragraph (f) of this section.)
    (b) Each initial denial of a request shall--

[[Page 239]]

    (1) Be written, signed, and dated;
    (2) Contain a reference to the Request Identification Number;
    (3) Identify the records that are being withheld (individually or, 
if the denial covers a large number of similar records, by described 
category); and
    (4) State the basis for denial of each record of category of records 
or any reasonably segregable portion(s) thereof being withheld.
    (c) If the issuance of the determination to deny a request was 
directed by some A&TBCB officer or employee other than the person 
signing the determination letter, that other person's identity and 
position must be stated in the determination letter.
    (d) Each initial determination which denies, in whole or in part, a 
request for one or more existing, located A&TBCB records must state that 
the requestor may appeal the initial denial by sending a written appeal 
to the address shown in Sec. 1120.23 within 30 days of receipt of the 
determination. (See Sec. 1120.36.)
    (e) A determination is deemed issued on the date the determination 
letter is placed in A&TBCB mailing channels for first class mailing to 
the requestor, delivered to the U.S. Postal Service for mailing, or 
personally delivered to the requestor, whichever date first occurs.
    (f) When a request must be denied because the record has not yet 
been located (although it is believed to be in the A&TBCB's possession), 
the A&TBCB office responsible for maintaining the record must continue 
to search diligently until it is located or it appears that the record 
does not exist or is not in the A&TBCB's possession, and must 
periodically inform the requestor of the office's progress.



Sec. 1120.36  Appeals from initial denials.

    (a) Any person whose request has been denied in whole or in part by 
an initial determination may appeal that denial by addressing a written 
appeal to the address shown in Sec. 1120.23.
    (b) Any appeal must be mailed or filed in person at the address 
shown in Sec. 1120.23--
    (1) In the case of a denial of an entire request, generally not 
later than 30 calendar days after the date the requestor received the 
initial determination on the request; or
    (2) In the case of a partial denial, generally not later than 30 
calendar days after the requestor receives all records being made 
available pursuant to the initial determination.

An appeal which does not meet the requirements of this paragraph may be 
treated either as a timely appeal or as a new request, at the option of 
the Freedom of Information Officer.
    (c) The appeal letter must contain--
    (1) A reference to the Request Identification Number (RIN);
    (2) The date of the initial determination;
    (3) The name and address of the person who issued the initial 
denial;
    (4) A statement of which of the records to which access was denied 
are the subjects of the appeal; and
    (5) If the applicant wishes, such facts and legal or other 
authorities as he or she considers appropriate.



Sec. 1120.37  A&TBCB action on appeals.

    (a) The General Counsel must make one of the following legal 
determinations in connection with every appeal from the initial denial 
of a request for an existing, located record:
    (1) The record must be disclosed;
    (2) The record must not be disclosed because a statute or a 
provision of this part so requires; or
    (3) The record is exempt from mandatory disclosure but legally may 
be disclosed as a matter of agency discretion.
    (b) Whenever the General Counsel has determined under paragraph 
(a)(3) of this section that a record is exempt from mandatory disclosure 
but legally may be disclosed, the matter must be referred to the 
Executive Director. If the Executive Director determines that an 
important purpose would be served by withholding the record, the General 
Counsel shall issue a determination denying the appeal. If the Executive 
Director determines that no important purpose would be served by 
withholding the record, the General Counsel must disclose the record.
    (c) The General Counsel may delegate his or her authority under this 
section to any other attorney employed by the A&TBCB in connection

[[Page 240]]

with any cateogory of appeals or any individual appeals.
    (d) A determination denying an appeal from an initial denial must--
    (1) Be in writing;
    (2) State which of the exemptions in 5 U.S.C. 552(b) apply to each 
requested existing record;
    (3) State the reason(s) for denial of the appeal;
    (4) State the name and position of each A&TBCB officer or employee 
who directed that the appeal be denied; and
    (5) State that the person whose request was denied may obtain de 
novo judicial review of the denial by complaint filed with the district 
court of the United States in the district in which the complainant 
resides, or in which the agency records are situated, or in the District 
of Columbia, pursuant to 5 U.S.C. 552(a)(4).



Sec. 1120.38  Time allowed for action on appeals.

    (a) Except as otherwise provided in this section, as soon as 
possible and not later than the twentieth working day after the day on 
which the Freedom of Information Officer receives an appeal from an 
initial denial of a request for records, the General Counsel shall issue 
a written determination stating which of the requested records (as to 
which appeal was made) will and which will not be disclosed.
    (b) The period of 20 working days shall be measured from the date an 
appeal is first received by the Freedom of Information Officer.
    (c) The General Counsel may extend the basic 20-day period 
established under paragraph (a) of this section by a period not to 
exceed 10 additional working days if--
    (1) He or she notifies the Freedom of Information Officer;
    (2) He or she notifies the requestor in writing within the basic 20-
day period stating the reasons for the extension and the date by which 
he or she expects to be able to issue a determination;
    (3) The extension is reasonably necessary to properly process the 
particular request; and
    (4) One or more of the following unusual circumstances require the 
extension:
    (i) There is a need to search for and collect the records from field 
facilities or other establishments that are separated from the office 
processing the appeal;
    (ii) There is a need to search for, collect, and/or appropriately 
examine a voluminous amount of separate and distinct records which are 
demanded in a single request; or
    (iii) There is a need for consultation with another agency or among 
two or more components of the A&TBCB. The General Counsel must conduct 
the consultation with all practicable speed.
    (d) No extension of the 20-day period may be issued under paragraph 
(c) of this section which would cause the total of all such extensions 
and of any extensions issued under Sec. 1120.33(c) to exceed 10 working 
days.



Sec. 1120.41  Exempt documents.

    (a) Generally, 5 U.S.C. 552(b) establishes nine exclusive categories 
of matters which are exempt from the mandatory disclosure requirements 
of 5 U.S.C. 552(a). No request under 5 U.S.C. 552 for an existing, 
located, unpublished record in the A&TBCB's control may be denied by any 
A&TBCB office or employee unless the record contains (or its disclosure 
would reveal) matters that are--
    (1) Specifically authorized under criteria established by an 
Executive order to be kept secret in the interest of national defense or 
foreign policy and which are in fact properly classified pursuant to the 
Executive order;
    (2) Related solely to the internal personnel rules and practices of 
an agency;
    (3) Specifically exempted from disclosure by statute;
    (4) Trade secrets and commercial or financial information obtained 
from a person and privileged or confidential;
    (5) Interagency or intra-agency memorandums or letters which would 
not be available by law to a party other than an agency in litigation 
with the agency;
    (6) Personnel and medical files and similar files the disclosure of 
which would constitute a clearly unwarranted invasion of personal 
privacy;
    (7) Investigatory records compiled for law enforcement purposes, but 
only to

[[Page 241]]

the extent that the production of such records would--
    (i) Interfere with enforcement proceedings;
    (ii) Deprive a person of a right to a fair trial or an impartial 
adjudication;
    (iii) Constitute an unwarranted invasion of personal privacy;
    (iv) Disclose the identity of a confidential source and, in the case 
of a record compiled by a criminal law enforcement authority in the 
course of a criminal investigation or by an agency conducting a lawful 
national security intelligence investigation, confidential information 
furnished only by the confidential source;
    (v) Disclose investigative techniques and procedures; or
    (vi) Endanger the life or physical safety of law enforcement 
personnel;
    (8) Contained in or related to examination, operating, or condition 
reports prepared by, on behalf of, or for the use of an agency 
responsible for the regulation or supervision of financial institutions; 
or
    (9) Geological and geophysical information and data, including maps, 
concerning wells.
    (b) The fact that the applicability of an exemption permits the 
withholding of a requested record (or portion of a record) does not 
necessarily mean that the record must or should be withheld. (See 
Sec. 1120.42 Release of exempt documents.)



Sec. 1120.42  Release of exempt documents.

    (a) An A&TBCB office may, in its discretion, release requested 
records despite the applicability of one or more of the exemptions 
listed in Sec. 1120.41 (a)(2), (5), or (7). Disclosure of such records 
is encouraged if no important purpose would be served by withholding the 
records.
    (b) Though the policy of the A&TBCB is to honor all requests, as 
indicated in Sec. 1120.21(a), there are circumstances when the A&TBCB 
will not disclose a record if one or more of the FOIA exemptions applies 
to the record. The exemptions usually in such circumstances are 
exemptions (2), (3), (4), (6), (8) and (9). In these cases, where the 
A&TBCB has withheld a requested record, or portions thereof, the A&TBCB 
will disclose the exempted record when ordered to do so by a Federal 
court or in exceptional circumstances under appropriate restrictions 
with the approval of the Office of General Counsel.



           Subpart E--Copies of Records and Fees for Services



Sec. 1120.51  Charges for services, generally.

    (a) It shall be the policy of the ATBCB to comply with requests for 
documents made under the FOIA using the most efficient and least costly 
methods available. Requesters will be charged fees, in accordance with 
the administrative provisions and fee schedule set forth below, for 
searching for, reviewing (in the case of commercial use requesters 
only), and duplicating requested records.
    (b) Categories of requesters. For the purpose of standard FOIA fee 
assessment, the four categories of requesters are: Commercial use 
requesters; educational and non-commercial scientific institution 
requesters; requesters who are representatives of the news media; and, 
all other requesters (see Sec. 1120.2 (l) through (o), Definitions).
    (c) Levels of fees. Levels of fees prescribed for each category of 
requester are as follows:
    (1) Commercial Use Requesters--When the ATBCB receives a request for 
documents which appears to be a request for commercial use, the Board 
may assess charges in accordance with the fee schedule set forth below, 
which recover the full direct costs of searching for, reviewing for 
release, and duplicating the records sought. Costs for time spent 
reviewing records to determine whether they are exempt from mandatory 
disclosure applies to the initial review only. No fees will be assessed 
for reviewing records, at the administrative appeal level, of the 
exemptions already applied.
    (2) Educational and Non-Commercial Scientific Institution 
Requesters--The ATBCB shall provide documents to requesters in this 
category for the cost of reproduction alone, in accordance with the fee 
schedule set forth below, excluding charges for the first 100 pages of 
reproduced documents.

[[Page 242]]

    (i) To be eligible for inclusion in this category, requesters must 
demonstrate the request is being made under the auspices of a qualifying 
institution and that the records are not sought for a commercial use, 
but are sought in furtherance of scholarly (if the request is from an 
educational institution) or scientific (it the request is from a non-
commercial scientific institution) research.
    (ii) Requesters eligible for free search must reasonably describe 
the records sought.
    (3) Requesters Who Are Representatives of the News Media--The ATBCB 
shall provide documents to requesters in this category for the cost of 
reproduction alone, in accordance with the fee schedule set forth below, 
excluding charges for the first 100 pages of reproduced documents.
    (4) All Other Requestors--The ATBCB shall charge requestors who do 
not fit into any of the categories described above, fees which recover 
the full direct cost of searching for and reproducing records that are 
responsive to the request, except that the first two hours of search 
time and the first 100 pages of reproduction shall be furnished without 
charge.
    (d) Schedule of FOIA fees.
    (1) Record search (ATBCB employees)--$14.00 per hour
    (2) Document review (ATBCB employees)--$20.00 per hour
    (3) Duplication of documents (paper copy of paper original)--$.20 
per page
    (e) No charge shall be made:
    (1) If the costs of routine collection and processing of the fee are 
likely to equal or exceed the amount of the fee;
    (2) For any request made by an individual or group of individuals 
falling into the categories listed at paragraph (b) of this section, and 
described in paragraph (c) of this section, (excepting commercial use 
requests) the first two hours of search time and first 100 pages of 
duplication;
    (3) For the cost of preparing or reviewing letters of response to a 
request or appeal;
    (4) For responding to a request for one copy of the official 
personnel record of the requestor;
    (5) For furnishing records requested by either House of Congress, or 
by duly authorized committee or subcommittee or Congress, unless the 
records are requested for the benefit of an individual Member of 
Congress or for a constituent;
    (6) For furnishing records requested by and for the official use of 
other Federal agencies; or
    (7) For furnishing records needed by an A&TBCB contractor or grantee 
to perform the work required by the A&TBCB contract or grant.
    (f) Requestors may be charged for unsuccessful or unproductive 
searches or for searches when records located are determined to be 
exempt from disclosure.
    (g) Where the ATBCB reasonably believes that a requestor or group of 
requestors is attempting to break a request down into a series of 
requests for the purpose of evading the assessment of fees, the ATBCB 
shall aggregate any such requests and charge accordingly.
[55 FR 2520, Jan. 25, 1990]



Sec. 1120.52  Computerized records.

    (a) Information available in whole or in part in computerized form 
which is disclosable under the Freedom of Information Act is available 
to the public as follows:
    (1) When there is an existing printout from the computer which 
permits copying the printout, the material will be made available at the 
per page rate stated in Sec. 1120.51(a) for each 8\1/2\ by 11 inch page.
    (2) When there is not an existing printout of information 
disclosable under the Freedom of Information Act, a printout shall be 
made if the applicant pays the cost to the A&TBCB as stated in paragraph 
(a)(3) of this section.
    (3) Obtaining information from computerized records frequently 
involves a minimum computer time cost of approximately $100 per request. 
Multiple requests involving the same subject may cost less per request. 
Services of personnel in the nature of a search shall be charged for at 
rates prescribed in Sec. 1120.51(a). A charge shall be made for the 
computer time involved based upon the prevailing level of costs to 
Government organizations and upon the particular types of computer and 
associated equipment and the amounts

[[Page 243]]

of time on such equipment that are utilized. A charge shall also be made 
for any substantial amounts of special supplies or materials used to 
contain, present, or make available the output of computers based upon 
the prevailing levels of costs to Government organizations and upon the 
type and amount of the supplies and materials that are used.
    (b) Information in the Board's computerized records which could be 
produced only by additional programming of the computer, thus producing 
information not previously in being, is not required to be furnished 
under the Freedom of Information Act. In view of the usually heavy 
workloads of the computers used by the Board, such a service cannot 
ordinarily be offered to the public.



Sec. 1120.53  Payment of fees.

    (a) Method of payment. All fee payments shall be in the form of a 
check or money order payable to the order of the ``U.S. Architectural 
and Transportation Barriers Compliance Board'' and shall be sent 
(accompanied by a reference to the pertinent Request Indentification 
Number(s)) to the address in Sec. 1120.23.
    (b) Charging interest. The ATBCB may charge interest to those 
requestors failing to pay fees assessed in accordance with the 
procedures described in Sec. 1120.51. Interest charges, computed at the 
rate prescribed in section 3717 of title 31 U.S.C.A., will be assessed 
on the full amount billed starting on the 31st day following the day on 
which the bill was sent.
    (c) Advance payment or assurance of payment.
    (1) When an ATBCB office determines or estimates that the allowable 
charges a requestor may be required to pay are likely to exceed $250.00, 
the ATBCB may require the requestor to make an advance payment or 
arrangements to pay the entire fee before continuing to process the 
request. The ATBCB shall promptly inform the requestor (by telephone, if 
practicable) of the need to make an advance payment or arrangements to 
pay the fee. That office need not search for, review, duplicate, or 
disclose records in response to any request by that requestor until he 
or she pays, or makes acceptable arrangements to pay, the total amount 
of fees due (or estimated to become due) under this subpart.
    (2) Where a requestor has previously failed to pay a fee charged in 
a timely fashion, the ATBCB may require the requestor to pay the full 
amount owed, plus any applicable interest, as provided in paragraph (b) 
of this section, and to make an advance payment of the full amount of 
the estimated fee before any new or pending requests will be processed 
from that requestor.
    (3) In those instances described in paragraphs (c)(1) and (2) of 
this section, the administrative time limits prescribed in 
Sec. 1120.33(d) will begin only after the ATBCB has received all fee 
payments due or acceptable arrangements have been made to pay all fee 
payments due.
    (d) Effect of the Debt Collection Act of 1982 (Pub. L. 97-365). 
Requestors are advised that the ATBCB shall use the authorities of the 
Debt Collection Act of 1982, including disclosure to consumer reporting 
agencies and use of collection agencies, where appropriate, to encourage 
repayment of debts arising from freedom of information act requests.
    (e) Waiver or reduction of fees.
    (1) Records responsive to a request under 5 U.S.C. 552 shall be 
furnished without charge or at a charge reduced below that establsihed 
under paragraph (d) of Sec. 1120.51 where the Freedom of Information 
Officer determines, based upon information provided by a requestor in 
support of a fee waiver request or otherwise made known to the Freedom 
of Information Officer, that disclosure of the requested information is 
in the public 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 
requestor. Requests for a waiver or reduction of fees shall be 
considered on a case-by-case basis.
    (2) In order to determine whether the first fee waiver requirement 
is met--i.e., that disclosure of the requested information is in the 
public interest because it is likely to contribute significantly to 
public understanding of the

[[Page 244]]

operations or activities of the government--Freedom of Information 
Officer shall consider the following four factors in sequence:
    (i) The subject of the request: Whether the subject of the requested 
records concerns ``the operations or activities of the government.'' The 
subject matter of the requested records, in the context of the request, 
must specifically concern identifiable operations or activities of the 
federal government--with a connection that is direct and clear, not 
remote or attenuated. Furthermore, the records must be sought for their 
informative value with respect to those government operations or 
activities; a request for access to records for their intrinsic 
informational content alone will not satisfy this threshold 
consideration.
    (ii) The informative value of the information to be disclosed: 
Whether the disclosure is ``likely to contribute'' to an understanding 
of government operations or activities. The disclosable portions of the 
requested records must be meaningfully informative on specific 
government operations or activities in order to hold potential for 
contributing to increase public understanding of those operations and 
activities. The disclosure of information that already is in the public 
domain, in either a duplicative or a substantially identical form, would 
not be likely to contribute to such understanding, as nothing new would 
be added to the public record.
    (iii) The contribution to an understanding of the subject by the 
public likely to result from disclosure: Whether disclosure of the 
requested information will contribute to ``public understanding.'' The 
disclosure must contribute to the understanding of the public at large, 
as opposed to the individual understanding of the requestor or a narrow 
segment of interested persons. A requestor's identity and 
qualifications--e.g., expertise in the subject area and ability and 
intention to effectively convey information to the general public--
should be considered. It reasonably may be presumed that a 
representative of the news media (as defined in Sec. 1120.2(o)) who has 
access to the means of public dissemination readily will be able to 
satisfy this consideration. Requests from libraries or other record 
repositories (or requestors who intend merely to disseminate information 
to such institutions) shall be analyzed, like those of other requestors 
to identify a particular person who represents that he actually will use 
the requested information in scholarly or other analytic work and then 
disseminate it to the general public.
    (iv) The significance of the contribution to public understanding: 
Whether the disclosure is likely to contribute ``significantly'' to 
public understanding of government operations or activities. The 
public's understanding of the subject matter in question, as compared to 
the level of public understanding existing prior to the disclosure, must 
be likely to be enhanced by the disclosure to a significant extent. 
Freedom of Information Officer shall not make separate value judgments 
as to whether information, even though it in fact would contribute 
significantly to public understanding of the operations or activities of 
the government, is ``important'' enough to be made public.
    (3) In order to determine whether the second fee waiver requirement 
is met--i.e., that disclosure of the requested information is not 
primarily in the commercial interest of the requestor--the Freedom of 
Information Officer shall consider the following two factors in 
sequence:
    (i) The existence and magnitude of a commercial interest: Whether 
the requestor has a commercial interest that would be furthered by the 
requested disclosure. The Freedom of Information Officer shall consider 
all commercial interests of the requester (with reference to the 
definition of ``commercial use'' in Sec. 1120.2(l)) or any person on 
whose behalf the requestor may be acting, but shall consider only those 
interests which would be furthered by the requested disclosure. In 
assessing the magnitude of identified commercial interests, 
consideration shall be given to the role that such FOIA-disclosed 
information plays with respect to those commercial interests, as well as 
to the extent to which FOIA disclosures serve those interests overall. 
Requestors shall be given a reasonable opportunity

[[Page 245]]

in the administrative process to provide information bearing upon this 
consideration.
    (ii) The primary interest in disclosure: Whether the magnitude of 
the identified commercial interest of the requestor is sufficiently 
large, in comparison with the public interest in disclosure, that 
disclosure is ``primarily in the commercial interest of the requestor.'' 
A fee waiver or reduction is warranted only where, once the ``public 
interest'' standard set out in paragraph (e)(2) of this section is 
satisfied, that public interest can fairly be regarded as greater in 
magnitude than that of the requestor's commercial interest in 
disclosure. The Freedom of Information Officer shall ordinarily presume 
that where a news media requestor has satisfied the ``public interest'' 
standard, that will be the interest primarily served by disclosure to 
that requestor. Disclosure to data brokers or others who compile and 
market government information for direct economic return shall not be 
presumed to primarily serve ``public interest.''
    (4) Where only a portion of the requested records satisfies both of 
the requirements for a waiver or reduction of fees under this paragraph, 
a waiver or reduction shall be granted only as to that portion.
    (5) Requests for the waiver or reduction of fees shall address each 
of the factors listed in paragraphs (e) (2) and (3) of this section, as 
they apply to each record request. One hundred pages of reproduction 
shall be furnished without charge.
    (6) A request for reduction or waiver of fees shall be addressed to 
the Freedom of Information Officer at the address shown in Sec. 1120.23. 
The ATBCB office which is responding to the request for records shall 
initially determine whether the fee shall be reduced or waived and shall 
so inform the requestor. The initial determination may be appealed by 
letter addressed to the address shown in Sec. 1120.23. The General 
Counsel or his or her designee shall decide such appeals.
[45 FR 80976, Dec. 8, 1980, as amended at 52 FR 43196, Nov. 10, 1987; 55 
FR 2521, Jan. 25, 1990]



PART 1121--PRIVACY ACT IMPLEMENTATION--Table of Contents




Sec.
1121.1  Purpose and scope.
1121.2  Definitions.
1121.3  Procedures for requests pertaining to individuals' records in a 
          records system.
1121.4  Times, places, and requirements for the identification of the 
          individual making a request.
1121.5  Access to requested information to the individual.
1121.6  Request for correction or amendment to the record.
1121.7  Agency review of request for correction or amendment of the 
          record.
1121.8  Appeal of an initial adverse agency detemination on correction 
          or amendment of the record.
1121.9  Notification of dispute.
1121.10  Disclosure of record to a person other than the individual to 
          whom the record pertains.
1121.11  Accounting of disclosures.
1121.12  Fees.

    Authority: 5 U.S.C. 552a; Pub. L. 93-579.

    Source: 50 FR 3905, Jan. 29, 1985, unless otherwise noted.



Sec. 1121.1  Purpose and scope.

    The purposes of these regulations are to:
    (a) Establish a procedure by which an individual can determine if 
the Architectural and Transportation Barriers Compliance Board, 
hereafter known as the Board or ATBCB, maintains a system of records 
which includes a record pertaining to the individual; and
    (b) Establish a procedure by which an individual can gain access to 
a record pertaining to him or her for the purpose of review, amendment 
and/or correction.



Sec. 1121.2  Definitions.

    For the purpose of these regulations--
    (a) The term individual means a citizen of the United States or an 
alien lawfully admitted for permanent residence.
    (b) The term maintain includes maintain, collect, use or 
disseminate.
    (c) The term record means any item, collection or grouping of 
information about an individual that is maintained by the Board, 
including, but not limited to, his or her employment history, payroll 
information, and financial

[[Page 246]]

transactions and that contains his or her name, or the identifying 
number, symbol, or other identifying particular assigned to the 
individual, such as social security number.
    (d) The term system of records means a group of any records under 
control of the Board from which information is retrieved by the name of 
the individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual.
    (e) The term routine use means, with respect to the disclosure of a 
record, the use of such record for a purpose which is compatible with 
the purpose for which it was collected.
    (f) The term authorized representative means a person who acts on an 
individual's behalf for purposes of these regulations, pursuant to 
written, signed instructions from the individual.



Sec. 1121.3  Procedures for requests pertaining to individuals' records in a records system.

    An individual or authorized representative shall submit a written 
request to the Administrative Officer to determine if a system of 
records named by the individual contains a record pertaining to the 
individual. The individual or authorized representative shall submit a 
written request to the Executive Director of the ATBCB which states the 
individual's desire to review his or her record.



Sec. 1121.4  Times, places, and requirements for the identification of the individual making a request.

    An individual or authorized representative making a request to the 
Administrative Officer of the ATBCB pursuant to Sec. 1121.3 shall 
present the request at the ATBCB offices, 330 C Street, SW., Room 1010, 
Washington, DC 20202, on any business day between the hours of 9 a.m. 
and 5:30 p.m. The individual or authorized representative submitting the 
request should present himself or herself at the ATBCB's offices with a 
form of identification which will permit the ATBCB to verify that the 
individual is the same individual as contained in the record requested. 
An authorized representative shall present a written document 
authorizing access. The document must be signed by the individual.



Sec. 1121.5  Access to requested information to the individual.

    Upon verification of identity the Board shall disclose to the 
individual or authorized representative the information contained in the 
record which pertains to that individual. Nothing in this section shall 
allow an individual access to any information compiled in reasonable 
anticipation of a civil action or proceeding.



Sec. 1121.6  Request for correction or amendment to the record.

    The individual or authorized representative should submit a request 
to the Administrative Officer which states the individual's desire to 
correct or to amend his or her record. This request is to be made in 
accord with provisions of Sec. 1121.4.



Sec. 1121.7  Agency review of request for correction or amendment of the record.

    Within ten working days of the receipt of the request to correct or 
to amend the record, the Administrative Officer will acknowledge in 
writing such receipt and promptly either--
    (a) Make any correction or amendment of any portion thereof which 
the individual believes is not accurate, relevant, timely, or complete; 
or
    (b) Inform the individual or authorized representative of his or her 
refusal to correct or to amend the record in accordance with the 
request, the reason for the refusal and the procedures established by 
the Board for the individual to request a review of that refusal.



Sec. 1121.8  Appeal of an initial adverse agency determination on correction or amendment of the record.

    An individual who disagrees with the refusal of the Administrative 
Officer to correct or to amend his or her record may submit a request 
for a review of such refusal to the Executive Director, ATBCB, 330 C 
Street, SW., Room 1010, Washington, DC 20202. The Executive Director 
will, not later than thirty (30) working days from the date on which the 
individual requests such review, complete such review and make final

[[Page 247]]

determination, unless, for good cause shown, the Executive Director 
extends such thirty-day period. If, after his or her review, the 
Executive Director also refuses to correct or to amend the record in 
accordance with the request, the Board shall permit the individual or 
authorized representative to file with the Executive Director a concise 
statement setting forth the reasons for his or her disagreement with the 
refusal of the Executive Director and shall notify the individual or 
authorized representative that he or she may seek judicial review of the 
Executive Director's determination under 5 U.S.C. 552a(g)(1)(A).



Sec. 1121.9  Notification of dispute.

    In any disclosure pursuant to Sec. 1121.10 containing information 
about which the individual has previously filed a statement of 
disagreement under Sec. 1121.8, the Board shall clearly note any portion 
of the record which is disputed and provide copies of the statement and, 
if the Executive Director deems it appropriate, copies of a concise 
statement of the reasons of the Executive Director for not making the 
amendments requested.



Sec. 1121.10  Disclosure of record to a person other than the individual to whom the record pertains.

    The Board will not disclose a record to any individual or agency 
other than the individual to whom the record pertains, except to an 
authorized representative, unless the disclosure has been listed as a 
``routine use'' in the Board's notices of its systems of records, or 
falls within one of the special disclosure situations listed in the 
Privacy Act of 1974 (5 U.S.C. 552a(b)).



Sec. 1121.11  Accounting of disclosures.

    (a) The Board shall, except for disclosure made under sections 
(b)(1) and (b)(2) of the Privacy Act of 1974 (5 U.S.C. 552a) keep an 
accurate accounting of--
    (1) The date, nature and purpose of each disclosure of a record to 
any person or another agency made pursuant to Sec. 1121.10; and
    (2) The name and address of the person or agency to whom the 
disclosure is made.
    (b) This accounting shall be retained for at least five years or the 
life of the record, whichever is longer, after the disclosure for which 
the accounting is made;
    (c) The Board shall make this accounting available to the individual 
named in the record at his or her request, except for disclosures made 
under section (b)(7) of the Privacy Act of 1974 (5 U.S.C. 552a).
    (d) The Board shall inform any person or other agency to whom 
disclosure has been made pursuant to Sec. 1121.10 about any correction 
or notation of dispute made by the Board.



Sec. 1121.12  Fees.

    If an individual or authorized representative requests copies of his 
or her record, he or she shall be charged ten cents per page, excluding 
the cost of any search for review of the record, in advance of receipt 
of the pages.



PART 1150--PRACTICE AND PROCEDURES FOR COMPLIANCE HEARINGS--Table of Contents




                     Subpart A--General Information

Sec.
1150.1  Purpose.
1150.2  Applicability: Buildings and facilities subject to guidelines 
          and standards.
1150.3  Policy of amicable resolution.
1150.4  Definitions.
1150.5  Scope and interpretation of rules.
1150.6  Suspension of rules.

             Subpart B--Parties, Complainants, Participants

1150.11  Parties.
1150.12  Complainants.
1150.13  Participation on petition.
1150.14  Appearance.

    Subpart C--Form, Execution, Service and Filing of Documents for 
                        Proceedings on Citations

1150.21  Form of documents to be filed.
1150.22  Signature of documents.
1150.23  Filing and service.
1150.24  [Reserved]
1150.25  Date of service.
1150.26  Certificate of service.

                             Subpart D--Time

1150.31  Computation.
1150.32  Extension of time or postponement.

[[Page 248]]

     Subpart E--Proceedings Prior to Hearings; Pleadings and Motions

1150.41  Informal resolution.
1150.42  Citations.
1150.43  Answers.
1150.44  Amendments.
1150.45  Request for hearing.
1150.46  Motions.
1150.47  Disposition of motions and petitions.
1150.48  PER: Citation, answer, amendment.

             Subpart F--Responsibilities and Duties of Judge

1150.51  Who presides.
1150.52  Authority of judge.
1150.53  Disqualification of judge.

             Subpart G--Prehearing Conferences and Discovery

1150.61  Prehearing conference.
1150.62  Exhibits.
1150.63  Discovery.

                      Subpart H--Hearing Procedures

1150.71  Briefs.
1150.72  Purpose of hearing.
1150.73  Testimony.
1150.74  Exclusion of evidence.
1150.75  Objections.
1150.76  Exceptions.
1150.77  Official notice.
1150.78  Public documents.
1150.79  Offer of proof.
1150.80  Affidavits.
1150.81  Consolidated or joint hearing.
1150.82  PER proceedings.

                          Subpart I--The Record

1150.91  Record for decision.
1150.92  Official transcript.

              Subpart J--Posthearing Procedures; Decisions

1150.101  Posthearing briefs; proposed findings.
1150.102  Decision.
1150.103  PER: Posthearing briefs, decision.
1150.104  Judicial review.
1150.105  Court enforcement.

                   Subpart K--Miscellaneous Provisions

1150.111  Ex parte communications.
1150.112  Post-order proceedings.
1150.113  Amicable resolution.
1150.114  Effect of partial invalidity.

    Authority: 29 U.S.C. 792, as amended.

    Source: 45 FR 78474, Nov. 25, 1980, unless otherwise noted.



                     Subpart A--General Information



Sec. 1150.1  Purpose.

    Purpose. The purpose of the regulations in this part is to implement 
section 502(b)(1) of the Rehabilitation Act of 1973, Pub. L. 93-112, 29 
U.S.C. 792, as amended by the Rehabilitation, Comprehensive Services, 
and Developmental Disabilities Amendments of 1978, Pub. L. 95-602, 
section 118, 92 Stat. 2979, by establishing rules of procedure for 
public hearings which ensure compliance with standards issued under the 
Architectural Barriers Act of 1968, Pub. L. 90-480, as amended, 42 
U.S.C. 4151 et seq. (including standards of the U.S. Postal Service).



Sec. 1150.2  Applicability: Buildings and facilities subject to guidelines and standards.

    (a) Definitions. As used in this section, the term:
    Constructed or altered on behalf of the United States means acquired 
by the United States through lease-purchase arrangement, constructed or 
altered for purchase by the United States, or constructed or altered for 
the use of the United States.
    Primarily for use by able-bodied military personnel means expected 
to be occupied, used, or visited principally by military service 
personnel. Examples of buildings so intended are barracks, officers' 
quarters, and closed messes.
    Privately owned residential structure means a single or multi-family 
dwelling not owned by a unit or subunit of Federal, state, or local 
government.
    (b) Buildings and facilities covered. Except as provided in 
paragraph (c) of this section, the standards issued under the 
Architectural Barriers Act of 1968, Pub. L. 90-480, as amended, 42 
U.S.C. 4151 et seq. (including standards of the United States Postal 
Service) apply to any building or facility--
    (1) The intended use for which either--
    (i) Will require that such building or facility be accessible to the 
public, or
    (ii) May result in employment or residence therein of physically 
handicapped persons; and
    (2) Which is--
    (i) To be constructed or altered by or on behalf of the United 
States;

[[Page 249]]

    (ii) To be leased in whole or in part by the United States--
    (A) After August 12, 1968, and before January 1, 1977, after 
construction or alteration in accordance with plans and specifications 
of the United States; or
    (B) On or after January 1, 1977, including any renewal of a lease 
entered into before January 1, 1977, which renewal is on or after such 
date;
    (iii) To be financed in whole or in part by a grant or loan made by 
the United States after August 12, 1968, if the building or facility may 
be subject to standards for design, construction, or alteration issued 
under the law authorizing the grant or loan; or
    (iv) To be constructed under the authority of the National Capital 
Transportation Act of 1960, the National Capital Transportation Act of 
1965, or title III of the Washington Metropolitan Area Transit 
Regulation Compact.
    (c) Buildings and facilities not covered. The standards do not apply 
to--
    (1) Any privately owned residential structure, unless it is leased 
by the Federal government on or after January 1, 1977, for subsidized 
housing programs; or
    (2) Any building or facility on a military installation designed and 
constructed primarily for use by military personnel.
    (d) Any covered building or facility, as provided in this section, 
which is designed, constructed, or altered after the effective date of a 
standard issued which is applicable to the building or facility, shall 
be designed, constructed, altered, or leased in accordance with the 
standard. For purposes of this section, any design, construction, 
alteration or lease for which bids or offers are received before the 
effective date of an applicable standard, in response to an invitation 
for bids or request for proposals, is not subject to that standard.



Sec. 1150.3  Policy of amicable resolution.

    The policy of the Architectural and Transportation Barriers 
Compliance Board is to maximize the accessibility and usability of 
buildings, and facilities through amicable means. To this end, the 
Architectural and Transportation Barriers Compliance Board encourages 
voluntary and informal resolution of all complaints.



Sec. 1150.4  Definitions.

    A&TBCB means the Architectural and Transportation Barriers 
Compliance Board.
    Agency means Federal department, agency, or instrumentality as 
defined in sections 551(1) and 701(b)(1) of title 5 U.S.C., or an agency 
official authorized to represent the agency. It includes any executive 
department or independent establishment in the Executive Branch of the 
government, including wholly owned government corporations, and any 
establishment in the legislative or judicial branch of the government, 
except the Senate, the House of Representatives, and the Architect of 
the Capitol and any activities under his direction.
    Alteration means any change in a building or facility or its 
permanent fixtures or equipment. It includes, but is not limited to, 
remodeling, renovation, rehabilitation, reconstruction, changes or 
rearrangement in structural parts, and extraordinary repairs. It does 
not include normal maintenance, reroofing, interior decoration, or 
changes to mechanical systems.
    Architectural Barriers Act means the Architectural Barriers Act of 
1968, Pub. L. 90-480, as amended, 42 U.S.C. 4151 et seq.
    Building or facility means all or any portion of buildings, 
structures, equipment, roads, walks, parking lots, parks, sites, or 
other real property or interest in such property.
    Chair means the Chair of the A&TBCB.
    Complaint means any written notice of an alleged violation, whether 
from an individual or organization, or other written information 
reasonably indicating to the Executive Director a violation of the 
standard.
    Construction means any section of a new building or an addition to 
an existing building.
    Day means calendar day.
    Executive Director means the A&TBCB Executive Director.
    Extraordinary repair means the replacement or renewal of any element 
of an existing building or facility for purposes other than normal 
maintenance.

[[Page 250]]

    Judge means an Administrative Law Judge appointed by the A&TBCB and 
assigned to the case in accordance with either section 3105 or 3314 of 
title 5 U.S.C.
    PER means Provisional Expedited Relief.
    Respondent means a party answering the citation, including PER 
Citation.
    Section 502 of the Rehabilitation Act means section 502 of the 
Rehabilitation Act of 1973, Pub. L. 93-112, 29 U.S.C. 792, as amended.
    Standard means any standard for accessibility and usability 
prescribed under the Architectural Barriers Act.
[53 FR 39473, Oct. 7, 1988]



Sec. 1150.5  Scope and interpretation of rules.

    (a) These rules shall govern all compliance proceedings held before 
a judge and all alleged violations coming to the Executive Director as a 
complaint.
    (b) In the absence of a specific provision in these rules, procedure 
shall be in accordance with the Administrative Procedure Act, subchapter 
II of chapter 5 and chapter 7, of title 5 U.S.C., and the Federal Rules 
of Civil Procedure, in that order.
    (c) These rules and regulations shall be liberally construed to 
effectuate the purposes and provisions of the Architectural Barriers Act 
and section 502 of the Rehabilitation Act.
    (d) The rules shall be applied to secure fairness in administration 
and elimination of unjustifiable expense and delay and to ascertain the 
truth.
    (e) Words importing the singular number may extend and be applied to 
a plural and vice versa.



Sec. 1150.6  Suspension of rules.

    Upon notice to all parties, the judge, with respect to matters 
pending before him/her, may modify or waive any rule in these 
regulations upon determination that no party will be unduly prejudiced 
and that the end of justice will be served.



             Subpart B--Parties, Complainants, Participants



Sec. 1150.11  Parties.

    (a) The term parties includes (1) any agency, state or local body, 
or other person named as a respondent in a notice of hearing or 
opportunity for hearing, (2) the Executive Director and (3) any person 
named as a party by order of the judge.
    (b) The Executive Director has the sole authority to initiate 
proceedings by issuing a citation under Sec. 1150.42, on the basis of 
(1) a complaint from any person or (2) alleged violations coming to his/
her attention through any means.



Sec. 1150.12  Complainants.

    (a) Any person may submit a complaint to the A&TBCB alleging that a 
building or facility does not comply with applicable standards issued 
under the Architectural Barriers Act. Complaints must be in writing and 
should be sent to: Executive Director, Architectural and Transportation 
Barriers Compliance Board, 1111 18th Street, Suite 501, Washington, DC 
20036-3894.

A complaint form is available at the above address. Complaints may, but 
need not, contain (1) the complainant's name and where he/she may be 
reached, (2) the facility or building and, if known, the funding agency, 
and (3) a brief description of the barriers. A complaint form is 
available at the above address.
    (b) The A&TBCB shall hold in confidence the identity of all persons 
submitting complaints unless the person submits a written authorization 
otherwise.
    (c) The A&TBCB shall give or mail to the complainant a copy of these 
regulations.
    (d) A complainant is not a party to the proceedings as a matter of 
course, but may petition the judge to participate under Sec. 1150.13.
    (e) The A&TBCB shall send the complainant a copy of the final order 
issued by the judge. The complainant

[[Page 251]]

has standing to obtain judicial review of that order.
[53 FR 39473, Oct. 7, 1988]



Sec. 1150.13  Participation on petition.

    (a) By petitioning the judge, any person may be permitted to 
participate in the proceedings when he/she claims an interest in the 
proceedings and may contribute materially to their proper disposition. A 
complainant shall be permitted to participate in the proceeding when he/
she petitions the judge.
    (b) The judge may, in his/her discretion, determine the extent of 
participation of petitioners, including as an intervening party or 
participant. The judge may, in his/her discretion, limit participation 
to submitting documents and briefs, or permit the introduction of 
evidence and questioning of witnesses.



Sec. 1150.14  Appearance.

    (a) A party may appear in person or by counsel or other 
representative and participate fully in any proceedings. An agency, 
state or local body, corporation or other association, may appear by any 
of its officers or by any employee it authorizes to appear on its 
behalf.
    (b) A representative of a party or participant shall be deemed to 
control all matters respecting the interest of such party or participant 
in the proceedings.
    (c) This section shall not be construed to require any 
representative to be an attorney-at-law.
    (d) Withdrawal of appearance of any representative is effective when 
a written notice of withdrawal is filed and served on all parties and 
participants.



    Subpart C--Form, Execution, Service and Filing of Documents for 
                        Proceedings on Citations



Sec. 1150.21  Form of documents to be filed.

    Documents to be filed under the rules in this part shall be dated, 
the original signed in ink, shall show the docket number and title of 
the proceeding and shall show the title, if any, and address of the 
signatory. Copies need not be signed; however, the name of the person 
signing the original, but not necessarily his/her signature, shall be 
reproduced. Documents shall be legible and shall not be more than 8\1/2\ 
inches wide.



Sec. 1150.22  Signature of documents.

    The signature of a party, authorized officer, employee or attorney 
constitutes a certification that he/she has read the document, that to 
the best of his/her knowledge, information, and belief there is a good 
ground to support it, and that it is not interposed for delay. If a 
document is not signed or is signed with intent to defeat the purpose of 
this section, it may be stricken as sham and false and the proceeding 
may proceed as though the document had not been filed.



Sec. 1150.23  Filing and service.

    (a) General. All notices, written motions, requests, petitions, 
memoranda, pleadings, briefs, decisions, and correspondence to the 
judge, from a party or a participant or vice versa, relating to a 
proceeding after its commencement shall be filed and served on all 
parties and participants.
    (b) Filing. Parties shall submit for filing the original and two 
copies of documents, exhibits, and transcripts of testimony. Filings 
shall be made in person or by mail, with the hearing clerk at the 
address stated in the notice of hearing or notice of opportunity for 
hearing, during regular business hours. Regular business hours are every 
Monday through Friday (Federal legal holidays excepted) from 9 a.m. to 
5:30 p.m. Standard or Daylight Savings Time, whichever is effective in 
the city where the office of the judge is located at the time.
    (c) Service. Service of one copy shall be made on each party and 
participant by personal delivery or by certified mail, return receipt 
requested, properly addressed with postage prepaid. When a party or 
participant has appeared by attorney or other representative, service 
upon the attorney or representative is deemed service upon the party or 
participant.

[[Page 252]]



Sec. 1150.24  [Reserved]



Sec. 1150.25  Date of service.

    The date of service shall be the day when the matter is deposited in 
United States mail or is delivered in person, except that the date of 
service of the initial notice of hearing or opportunity for hearing 
shall be the date of its delivery, or the date that its attempted 
delivery is refused.



Sec. 1150.26  Certificate of service.

    The original of every document filed and required to be served upon 
parties to a proceeding shall be endorsed with a certificate of service 
signed by the party making service or by his/her attorney or 
representative, stating that such service has been made, the date of 
service, and the manner of service, whether by mail or personal 
delivery.



                             Subpart D--Time



Sec. 1150.31  Computation.

    In computing any period of time under these rules or in any order 
issued under them, the time begins with the day following the act, 
event, or default, and includes the last day of the period, unless it is 
a Saturday, Sunday, or Federal legal holiday, in which event it includes 
the next following business day. When the period of time prescribed or 
allowed is less than seven (7) days, intermediate Saturdays, Sundays, 
and Federal legal holidays shall be excluded from the computation.



Sec. 1150.32  Extension of time or postponement.

    (a) Requests for extension of time shall be addressed to the judge 
and served on all parties and participants. Requests should set forth 
the reasons for the application.
    (b) If made promptly, answers to requests for extension of time are 
permitted.
    (c) The judge may grant the extension upon a showing of good cause 
by the applicant.



     Subpart E--Proceedings Prior to Hearings; Pleadings and Motions



Sec. 1150.41  Informal resolution.

    (a) The A&TBCB immediately shall send copies of complaints to all 
interested agencies and persons. In addition, the A&TBCB shall apprise 
any person who might become a party to compliance proceedings of the 
alleged instances of noncompliance and afford him/her a reasonable 
opportunity to respond or submit pertinent documents.
    (b) The Executive Director or his/her designee shall seek the 
cooperation of persons and agencies in obtaining compliance and shall 
provide assistance and guidance to help them comply voluntarily.
    (c) Upon request of the Executive Director, interested agencies or 
persons, including, but not limited to, occupant agencies, recipients of 
assistance, and lessors, shall submit to the Executive Director or his/
her designee timely, complete, and accurate reports concerning the 
particular complaint. Reports shall be completed at such times, and in 
such form containing all information as the Executive Director or his/
her designee may prescribe.
    (d) The Executive Director, or his/her designee, shall have access 
during normal business hours to books, records, accounts and other 
sources of information and facilities as may be pertinent to ascertain 
compliance. Considerations of privacy or confidentiality asserted by an 
agency or person may not bar the Executive Director from evaluating such 
materials or seeking to enforce compliance. The Executive Director may 
seek a protective order authorizing the use of allegedly confidential 
materials on terms and conditions specified by the judge.
    (e) Complaints should be resolved informally and expeditiously, by 
the interested persons or agencies. If compliance with the applicable 
standards is not achieved informally or an impasse concerning the 
allegations of compliance or noncompliance is reached, the Executive 
Director will review the matter, including previous attempts by agencies 
to resolve the complaint, and

[[Page 253]]

take actions including, but not limited to, surveying and investigating 
buildings, monitoring compliance programs of agencies, furnishing 
technical assistance, such as standard interpretation, to agencies, and 
obtaining assurances, certifications, and plans of action as may be 
necessary to ensure compliance.
    (f) All actions to informally resolve complaints under paragraphs 
(a) through (e) of this section shall be completed within one hundred 
eighty (180) days after receipt of the complaint by all affected 
agencies and persons. A complaint shall be deemed informally resolved if 
the person or agencies responsible for the alleged violation either:
    (1) Demonstrates to the Executive Director that no violation has 
occurred, or
    (2) Corrects the violation, or
    (3) Agrees in writing to implement specific compliance action within 
a definite time agreed to by the Executive Director, or
    (4) Are timely implementing a plan for compliance agreed to by the 
Executive Director.

No later than ten (10) days after the determination of the one hundred 
eighty (180) day period, the Executive Director shall either issue a 
citation under Sec. 1150.42, or determine in writing that a citation 
will not be issued at that time and the reasons that it is considered 
unnecessary.
    (g) A determination not to issue a citation shall be served in 
accordance with Sec. 1150.23 on all interested agencies and persons upon 
whom a citation would have been served if it had been issued. Except as 
otherwise provided in paragraph (i) of this section, the failure of the 
Executive Director to take action within the ten (10) day period after 
termination of the one hundred eighty (180) day informal resolution 
period shall not preclude the Executive Director from taking action 
thereafter.
    (h) Nothing in paragraphs (a) through (g) of this section shall be 
construed as precluding the Executive Director before the termination of 
the one hundred eighty (180) day informal resolution period from:
    (1) Issuing a citation if it is reasonably clear that informal 
resolution cannot be achieved within that time, or
    (2) Determining not to issue a citation if it is reasonably clear 
that compliance can be achieved or that issuance of a citation is not 
otherwise warranted.
    (i) At any time after the expiration of one hundred ninety (190) 
days after receipt of the complaint by all affected agencies and 
persons, any person or agency receiving a copy of the complaint, or the 
complainant, may serve a written request on the Executive Director to 
issue a citation or determination not to proceed within thirty (30) 
days. If the Executive Director fails to serve a written response within 
thirty (30) days of receipt of such a request, the complaint shall be 
deemed closed.
[53 FR 39474, Oct. 7, 1988]



Sec. 1150.42  Citations.

    (a) If there appears to be a failure or threatened failure to comply 
with a relevant standard, and the noncompliance or threatened 
noncompliance cannot be corrected or resolved by informal means under 
Sec. 1150.41, the Executive Director on behalf of the A&TBCB may issue a 
written citation, requesting the ordering of relief necessary to ensure 
compliance with the standards or guidelines and requirements. The relief 
may include the suspension or withholding of funds and/or specific 
corrective action.
    (b) The citation shall be served upon all interested parties, as 
appropriate, including but not limited to the complainant, the agency 
having custody, control, or use of the building or facility, and the 
agency funding by contract, grant, or loan, the allegedly noncomplying 
building or facility.
    (c) The citation shall contain:
    (1) A concise jurisdictional statement reciting the provisions of 
section 502 of the Rehabilitation Act and Architectural Barriers Act 
under which the requested action may be taken, (2) a short and plain 
basis for requesting the imposition of the sanctions, (3) a statement 
either that within fifteen (15) days a hearing date will be set or that 
the agency or affected parties may request a hearing within fifteen (15) 
days from service of the citation, and (4) a

[[Page 254]]

list of all pertinent documents necessary for the judge to make a 
decision on the alleged noncompliance, including but not limited to, 
contracts, invitations for bids, specifications, contract or grant 
drawings, and correspondence.
    (d) The Executive Director shall file copies of all pertinent 
documents listed in the citation simultaneously with filing the 
citation.



Sec. 1150.43  Answers.

    (a) Answers shall be filed by respondents within fifteen (15) days 
after receipt of a citation.
    (b) The answer shall admit or deny specifically and in detail, 
matters set forth in each allegation of the citation. If the respondent 
is without knowledge, the answer shall so state and such statement shall 
be deemed a denial. Matters not specifically denied shall be deemed 
admitted. Failure to file a timely answer shall constitute an admission 
of all facts recited in the citation.
    (c) Answers shall contain a list of additional pertinent documents 
not listed in the citation when respondent reasonably believes these 
documents are necessary for the judge to make a decision. Copies of the 
listed documents shall be filed with the answer.
    (d) Answers may also contain a request for a hearing under 
Sec. 1150.45.



Sec. 1150.44  Amendments.

    (a) The Executive Director may amend the citation as a matter of 
course before an answer is filed. A respondent may amend its answer once 
as a matter of course, but not later than five (5) days after the filing 
of the original answer. Other amendments of the citation or the answer 
shall be made only by leave of judge.
    (b) An amended citation shall be answered within five (5) days of 
its service, or within the time for filing an answer to the original 
citation, whichever is longer.



Sec. 1150.45  Request for hearing.

    When a citation does not state that a hearing will be scheduled, the 
respondent, either in a separate paragraph of the answer, or in a 
separate document, may request a hearing. Failure of a respondent to 
request a hearing within fifteen (15) days from service of the citation 
shall be deemed a waiver of the right to a hearing and shall constitute 
consent to the making of a decision on the basis of available 
information.



Sec. 1150.46  Motions.

    (a) Motions and petitions shall state the relief sought, the 
authority relied upon, and the facts alleged.
    (b) If made before or after the hearing, these matters shall be in 
writing. If made at the hearing, they may be stated orally or the judge 
may require that they be reduced to writing and filed and served on all 
parties.
    (c) Except as otherwise ordered by judge, responses to a written 
motion or petition shall be filed within ten (10) days after the motion 
or petition is served. An immediate oral response may be made to an oral 
motion. All oral arguments on motions will be at the discretion of the 
judge.
    (d) A reply to a response may be filed within within five (5) days 
after the response is served. The reply shall address only the contents 
of the response.



Sec. 1150.47  Disposition of motions and petitions.

    The judge may not sustain or grant a written motion or petition 
prior to expiration of the time for filing responses, but may overrule 
or deny such motion or petition without awaiting response, Providing 
however, That prehearing conferences, hearings, and decisions need not 
be delayed pending disposition of motions or petitions. All motions and 
petitions may be ruled upon immediately after reply. Motions and 
petitions not disposed of in separate rulings or in decisions will be 
deemed denied.



Sec. 1150.48  PER: Citation, answer, amendment.

    (a) Unless otherwise specified, other relevant sections shall apply 
to PER proceedings.
    (b) In addition to all other forms of relief requested, the citation 
shall request PER when it appears to the Executive Director that 
immediate and irreparable harm from noncompliance with the standard is 
occurring or is about to occur. Citations requesting

[[Page 255]]

PER shall recite specific facts and include the affidavit or the 
notarized complaint upon which the PER request is based. Citations 
requesting PER shall recite that a hearing regarding PER has been 
scheduled to take place eight (8) days after receipt of the citation. 
Citations requesting PER may be filed without prejudice to proceedings 
in which PER is not requested and without prejudice to further 
proceedings if PER is denied. The time and place of hearing fixed in the 
citation shall be reasonable and shall be subject to change for cause.
    (c) Answers to citations requesting PER shall be in the form of all 
answers, as set forth in Sec. 1150.43, and must be filed within four (4) 
days after receipt of the citation. Answers shall recite in detail, by 
affidavit or by notarized answer, why the PER requested should not be 
granted.
    (d) When a citation contains both a request for relief to ensure 
compliance with a standard and a request for PER, an answer to the PER 
request shall be filed in accordance with paragraph (c) of this section 
and an answer to a request for other relief shall be filed in accordance 
with Sec. 1150.43.
    (e) Citations and answers in PER proceedings may not be amended 
prior to hearing. Citations and answers in PER proceedings may be 
amended at the hearing with the permission of the judge.



             Subpart F--Responsibilities and Duties of Judge



Sec. 1150.51  Who presides.

    (a) A judge assigned to the case under section 3105 or 3344 of title 
5 U.S.C. (formerly section 11 of the Administrative Procedure Act), 
shall preside over the taking of evidence in any hearing to which these 
rules of procedure apply.
    (b) The A&TBCB shall, in writing, promptly notify all parties and 
participants of the assignment of the judge. This notice may fix the 
time and place of hearing.
    (c) Pending his/her assignment, the responsibilities, duties, and 
authorities of the judge under these regulations shall be executed by 
the A&TBCB, through the Chair or another member of the A&TBCB designated 
by the Chair. A Board member shall not serve in this capacity in any 
proceeding relating to the member, his/her Federal agency, or 
organization of which he/she is otherwise interested.
[53 FR 39474, Oct. 7, 1988]



Sec. 1150.52  Authority of judge.

    The judge shall have the duty to conduct a fair hearing, to take all 
necessary action to avoid delay, and maintain order. He/she shall have 
all powers necessary to effect these ends, including (but not limited 
to) the power to:
    (a) Arrange and issue notice of the date, time, and place of 
hearings previously set.
    (b) Hold conferences to settle, simplify, or fix the issues in 
proceedings, or to consider other matters that may aid in the 
expeditious disposition of the proceedings.
    (c) Require parties and participants to state their position with 
respect to the various issues in the proceedings.
    (d) Administer oaths and affirmations.
    (e) Rule on motions, and other procedural items on matters pending 
before him/her.
    (f) Regulate the course of the hearing and conduct of counsel.
    (g) Examine witnesses and direct witnesses to testify.
    (h) Receive, rule on, exclude or limit evidence.
    (i) Fix time for filing motions, petitions, briefs, or other items 
in matters pending before him/her.
    (j) Issue decisions.
    (k) Take any action authorized by the rules in this part or the 
provisions of sections 551 through 559 of title 5 U.S.C. (the 
Administrative Procedure Act).
[45 FR 78474, Nov. 25, 1980. Redesignated at 53 FR 39474, Oct. 7, 1988]



Sec. 1150.53  Disqualification of judge.

    (a) A judge shall disqualify himself/herself whenever in his/her 
opinion it is improper for him/her to preside at the proceedings.
    (b) At any time following appointment of the judge and before the 
filing of the decision, any party may request the judge to withdraw on 
grounds of

[[Page 256]]

personal bias or prejudice either against it or in favor of any adverse 
party, by promptly filing with him/her an affidavit setting forth in 
detail the alleged grounds for disqualification.
    (c) If, in the opinion of the judge, the affidavit referred to in 
paragraph (b) of this section is filed with due diligence and is 
sufficient on its face, the judge shall promptly disqualify himself/
herself.
    (d) If the judge does not disqualify himself/herself, he/she shall 
so rule upon the record, stating the grounds for his/her ruling. Then, 
he/she shall proceed with the hearing, or, if the hearing has closed, 
he/she shall proceed with the issuance of the decision.
[45 FR 78474, Nov. 25, 1980. Redesignated at 53 FR 39474, Oct. 7, 1988]



             Subpart G--Prehearing Conferences and Discovery



Sec. 1150.61  Prehearing conference.

    (a) At any time before a hearing, the judge on his/her own motion or 
on motion of a party, may direct the parties or their representative to 
exchange information or to participate in a prehearing conference for 
the purpose of considering matters which tend to simplify the issues or 
expedite the proceedings.
    (b) The judge may issue a prehearing order which includes the 
agreements reached by the parties. Such order shall be served upon all 
parties and participants and shall be a part of the record.



Sec. 1150.62  Exhibits.

    (a) Proposed exhibits shall be exhanged at the prehearing 
conference, or otherwise prior to the hearing if the judge so requires. 
Proposed exhibits not so exchanged may be denied admission as evidence.
    (b) The authenticity of all proposed exhibits will be deemed 
admitted unless written objection to them is filed prior to the hearing 
or unless good cause is shown at the hearing for failure to file such 
written objection.



Sec. 1150.63  Discovery.

    (a) Parties are encouraged to engage in voluntary discovery 
procedures. For good cause shown under appropriate circumstances, but 
not as a matter of course, the judge may entertain motions for 
permission for discovery and issue orders including orders--(1) to 
submit testimony upon oral examination or written interrogatories before 
an officer authorized to administer oaths, (2) to permit service of 
written interrogatories upon the opposing party, (3) to produce and 
permit inspection of designated documents, and (4) to permit service 
upon the opposing parties of a request for the admission of specified 
facts.
    (b) Motions for discovery shall be granted only to the extent and 
upon such terms as the judge in his/her discretion considers to be 
consistent with and essential to the objective of securing a just and 
inexpensive determination of the merits of the citation without 
unnecessary delay.
    (c) In connection with any discovery procedure, the judge may make 
any order which justice requires to protect a party or person from 
annoyance, embarrassment, oppression or undue burden or expense, 
including limitations on the scope, method, time and place for 
discovery, and provisions for protecting the secrecy of confidential 
information or documents. If any party fails to comply with a discovery 
order of the judge, without an excuse or explanation satisfactory to the 
judge, the judge may decide the fact or issue relating to the material 
requested to be produced, or the subject matter of the probable 
testimony, in accordance with claims of the other party in interest or 
in accordance with the other evidence available to the judge, or make 
such other ruling as he/she determines just and proper.



                      Subpart H--Hearing Procedures



Sec. 1150.71  Briefs.

    The judge may require parties and participants to file written 
statements of position before the hearing begins. The judge may also 
require the parties to submit trial briefs.



Sec. 1150.72  Purpose of hearing.

    Hearings for the receipt of evidence will be held only in cases 
where issues

[[Page 257]]

of fact must be resolved. Where it appears from the citation, the 
answer, stipulations, or other documents in the record, that there are 
no matters of material fact in dispute, the judge may enter an order so 
finding, vacating the hearing date, if one has been set, and fixing the 
time for filing briefs.



Sec. 1150.73  Testimony.

    (a) Formal rules of evidence shall not apply, but rules or 
principles designed to assure production of the most probative evidence 
available do apply. Testimony shall be given orally under oath or 
affirmation; but the judge, in his/her discretion, may require or permit 
the direct testimony of any witness to be prepared in writing and served 
on all parties in advance of the hearing. Such testimony may be adopted 
by the witness at the hearing and filed as part of the record.
    (b) All witnesses shall be available for cross-examination and, at 
the discretion of the judge, may be cross-examined without regard to the 
scope of direct examination as to any matter which is relevant and 
material to the proceeding.
    (c) When testimony is taken by deposition, an opportunity shall be 
given, with appropriate notice, for all parties to cross-examine the 
witness. Objections to any testimony or evidence presented shall be 
deemed waived unless raised at the time of the deposition.
    (d) Witnesses appearing before the judge shall be paid the same fees 
and mileage that are paid witnesses in the courts of the United States. 
Witnesses whose depositions are taken and the persons taking the same 
shall be entitled to the same fees as are paid for like services in the 
courts of the United States. Witness fees and mileage shall be paid by 
the party requesting the witness to appear, and the person taking a 
deposition shall be paid by the party requesting the taking of the 
deposition.



Sec. 1150.74  Exclusion of evidence.

    The judge may exclude evidence which is immaterial, irrelevant, 
unreliable, or unduly repetitious.



Sec. 1150.75  Objections.

    Objections to evidence or testimony shall be timely and may briefly 
state the grounds.



Sec. 1150.76  Exceptions.

    Exceptions to rulings of the judge are unnecessary. It is sufficient 
that a party at the time the ruling of the judge is sought, makes known 
the action which he/she desires the judge to take, or his/her objection 
to an action taken, and his/her grounds for it.



Sec. 1150.77  Official notice.

    Where official notice is taken or is to be taken of a material fact 
not appearing in the evidence of record, any party on timely request, 
shall be afforded an opportunity to question the propriety of taking 
notice or to rebut the fact noticed.



Sec. 1150.78  Public documents.

    When a party or paticipant offers, in whole or in part, a public 
document, such as an official report, decision, opinion, or published 
scientific or economic statistical data issued by any of the executive 
departments, or their subdivisions, legislative agencies or committees 
or administrative agencies of the Federal government (including 
government-owned corporations), or a similar document issued by a State 
or local government or their agencies, and such document (or part 
thereof) has been shown by the offeror to be reasonably available to the 
public, such document need not be produced or marked for identification, 
but may be offered for official notice, as a public document by 
specifying the document or its relevant part.



Sec. 1150.79  Offer of proof.

    An offer of proof made in connection with an objection taken to a 
ruling of the judge rejecting or excluding proffered oral testimony 
shall consist of a statement of the substance of the evidence which 
counsel contends would be adduced by such testimony. If the excluded 
evidence consists of evidence in documentary or written form or refers 
to documents or records, a copy of the

[[Page 258]]

evidence shall be marked for identification and shall accompany the 
record as the offer of proof.



Sec. 1150.80  Affidavits.

    An affidavit is not inadmissible as such. Unless the judge fixes 
other time periods, affidavits shall be filed and served on the parties 
not later than fifteen (15) days prior to the hearing. Not less than 
seven (7) days prior to hearing, a party may file and serve written 
objections to any affidavit on the ground that he/she believes it 
necessary to test the truth of its assertions at hearing. In such event 
the assertions objected to will not be received in evidence unless the 
affiant is made available for cross-examination, or the judge determines 
that cross-examination is not necessary for the full and true disclosure 
of facts referred to in such assertions. Not withstanding any objection, 
however, affidavits may be considered in the case of any respondent who 
waives a hearing.



Sec. 1150.81  Consolidated or joint hearing.

    In cases in which the same or related facts are asserted to 
constitute noncompliance with standards or guidelines and requirements, 
the judge may order all related cases consolidated and may make other 
orders concerning the proceedings as will be consistent with the 
objective of securing a just and inexpensive determination of the case 
without unnecessary delay.



Sec. 1150.82  PER proceedings.

    (a) In proceedings in which a citation, or part of one, seeking PER 
has been filed, the judge shall make necessary rulings with respect to 
time for filing of pleadings, the conduct of the hearing, and to all 
other matters. He/she shall do all other things necessary to complete 
the proceeding in the minimum time consistent with the objective of 
securing an expeditious, just and inexpensive determination of the case. 
The times for actions set forth in these rules shall be followed unless 
otherwise ordered by the judge.
    (b) The judge shall determine the terms and conditions for orders of 
PER. These orders must be consistent with preserving the rights of all 
parties so as to permit the timely processing of the citation, or part 
of it, not requesting PER, as well as consistent with the provisions and 
objectives of the Architectural Barriers Act and section 502 of the 
Rehabilitation Act. In issuing an order for PER, the judge shall make 
the following specific findings of fact and conclusions of law--
    (1) The Executive Director is likely to succeed on the merits of the 
proceedings;
    (2) The threatened injury or violation outweighs the threatened harm 
to the respondent if PER is granted; and
    (3) Granting PER is in the public interest.
    (c) The judge may dismiss any citation or part of a citation seeking 
PER when the judge finds that the timely processing of a citation not 
requesting PER will adequately ensure the objectives of section 502 of 
the Rehabilitation Act and that immediate and irreparable harm caused by 
noncompliance with the standards or guidelines and requirements is not 
occurring or about to occur.



                          Subpart I--The Record



Sec. 1150.91  Record for decision.

    The transcript of testimony, exhibits and all papers, documents and 
requests filed in the proceeding, including briefs and proposed findings 
and conclusions, shall constitute the record for decision.



Sec. 1150.92  Official transcript.

    The official transcripts of testimony, and any exhibits, briefs, or 
memoranda of law filed with them, shall be filed with the judge. 
Transcripts of testimony in hearings may be obtained from the official 
reporter by the parties and the public at rates not to exceed the 
maximum rates fixed by the contract between the A&TBCB and the reporter. 
Upon notice to all parties, the judge may authorize corrections to the 
transcript as are necessary to reflect accurately the testimony.

[[Page 259]]



              Subpart J--Posthearing Procedures; Decisions



Sec. 1150.101  Posthearing briefs; proposed findings.

    The judge shall fix the terms, including time, for filing post-
hearing statements of position or briefs, which may contain proposed 
findings of fact and conclusions of law. The judge may fix a reasonable 
time for such filing, but this period shall not exceed thirty (30) days 
from the receipt by the parties of the transcript of the hearing.



Sec. 1150.102  Decision.

    (a) The judge shall issue a decision within thirty (30) days after 
the hearing ends or, when the parties submit posthearing briefs, within 
thirty (30) days after the filing of the briefs.
    (b) The decision shall contain (1) all findings of fact and 
conclusions of law regarding all material issues of fact and law 
presented in the record, (2) the reasons for each finding of fact and 
conclusion of law, and (3) other provisions which effectuate the 
purposes of the Architectural Barriers Act and section 502 of the 
Rehabilitation Act. The decision may direct the parties to take specific 
action or may order the suspension or withholding of Federal funds.
    (c) The decision shall be served on all parties and participants to 
the proceedings.



Sec. 1150.103 PER:  Posthearing briefs, decision.

    (a) No briefs or posthearing statements of position shall be 
required in proceedings seeking PER unless specifically ordered by the 
judge.
    (b) In proceedings seeking PER the decision may be given orally at 
the close of the hearing and shall be made in writing within three (3) 
days after the hearing.



Sec. 1150.104  Judicial review.

    Any complainant or participant in a proceeding may obtain judicial 
review of a final order issued in a compliance proceeding.



Sec. 1150.105  Court enforcement.

    The Executive Director, at the direction of the Board, shall bring a 
civil action in any appropriate United States district court to enforce, 
in whole or in part, any final compliance order. No member of the A&TBCB 
shall participate in any decision of the A&TBCB concerning a proceeding 
relating to the member, his/her Federal agency, or organization to which 
he/she is a member or in which he/she is otherwise interested.



                   Subpart K--Miscellaneous Provisions



Sec. 1150.111  Ex parte communications.

    (a) No party, participant or other person having an interest in the 
case shall make or cause to be made an ex parte communication to the 
judge with respect to the case.
    (b) A request for information directed to the judge which merely 
inquiries about the status of a proceeding without discussing issues or 
expressing points of view is not deemed an ex parte communication. 
Communications with respect to minor procedural matters or inquires or 
emergency requests for extensions of time are not deemed ex parte 
communications prohibited by paragraph (a) of this section. Where 
feasible, however, such communications should be by letter, with copies 
delivered to all parties. Ex parte communications between a party or 
participant and the Executive Director with respect to securing 
compliance are not prohibited.
    (c) In the event an ex parte communication occurs, the judge shall 
issue orders and take action as fairness requires. A prohibited 
communication in writing received by the judge shall be made public by 
placing it in the correspondence file of the docket in the case and will 
not be considered as part of the record for decision. If the prohibited 
communication is received orally, a memorandum setting forth its 
substance shall be made and filed in the correspondence section of the 
docket in the case. A person referred to in this memorandum may file a 
comment for inclusion in the docket if he/she considers the memorandum 
to be incorrect.



Sec. 1150.112  Post-order proceedings.

    (a) Any party adversely affected by the compliance order issued by a 
judge

[[Page 260]]

may make a motion to the judge to have such order vacated upon a showing 
that the building or facility complies with the order.
    (b) Notice of motions and copies of all pleadings shall be served on 
all parties and participants to the original proceeding. Responses to 
the motion to vacate shall be filed within ten (10) days after receipt 
of the motion unless the judge for good cause shown grants additional 
time to respond.
    (c) Oral arguments on the motion may be ordered by the judge. The 
judge shall fix the terms of the argument so that they are consistent 
with the objective of securing a prompt, just, and inexpensive 
determination of the motion.
    (d) Within ten (10) days after receipt of all answers to the motion, 
the judge shall issue his/her decision in accordance with Sec. 1150.102 
(b) and (c).



Sec. 1150.113  Amicable resolution.

    (a) Amicable resolution is encouraged at any stage of proceedings 
where such resolution is consistent with the provisions and objectives 
of the Architectural Barriers Act and section 502 of the Rehabilitation 
Act.
    (b) Agreements to amicably resolve pending proceedings shall be 
submitted by the parties and shall be accompanied by an appropriate 
proposed order.
    (c) The Executive Director is authorized to resolve any proceeding 
on behalf of the A&TBCB unless otherwise specifically directed by the 
A&TBCB and afterwards may file appropriate stipulations or notice that 
the proceeding is discontinued.



Sec. 1150.114  Effect of partial invalidity.

    If any section, subsection, paragraph, sentence, clause or phrase of 
these regulations is declared invalid for any reason, the remaining 
portions of these regulations that are severable from the invalid part 
shall remain in full force and effect. If a part of these regulations is 
invalid in one or more of its applications, the part shall remain in 
effect in all valid applications that are severable from the invalid 
applications.



PART 1151--BYLAWS--Table of Contents




Sec.
1151.1  Establishment.
1151.2  Authority.
1151.3  Officers.
1151.4  Delegations.
1151.5  Board meetings.
1151.6  Committees.
1151.7  Amendments to the bylaws.

    Authority:  29 U.S.C. 792.

    Source: 63 FR 1924, Jan. 13, 1998, unless otherwise noted.



Sec. 1151.1  Establishment.

    The Architectural and Transportation Barriers Compliance Board was 
established pursuant to section 502 of the Rehabilitation Act of 1973, 
as amended. The agency is also known and often referred to as the 
``Access Board'' or simply the ``Board.''



Sec. 1151.2  Authority.

    The Board shall have the authority and responsibilities as set forth 
in section 502 of the Rehabilitation Act of 1973 (29 U.S.C. 792); 
section 504 of the Americans with Disabilities Act of 1990 (42 U.S.C. 
12204); and section 225(e) of the Telecommunications Act of 1996 (47 
U.S.C. 255(e)).



Sec. 1151.3  Officers.

    (a) Board. The Board is the governing body of the agency.
    (b) Chair, Vice-Chair. The head of the agency is the Chair of the 
Board and, in his or her absence or disqualification, the Vice-Chair of 
the Board. As head of the agency, the Chair represents the Board 
whenever an applicable Federal statute or regulation imposes a duty or 
grants a right or authority to the head of the agency and has the 
authority to act in all matters relating to the operation of the Board. 
The Chair may delegate any such duties and responsibilities by written 
delegation of authority. The Chair supervises the Executive Director and 
evaluates his or her performance and approves performance evaluations of 
employees who report directly to the Executive Director. The authority 
to supervise, evaluate and approve performance evaluations of the 
Executive Director and those employees who report directly to the 
Executive Director may

[[Page 261]]

only be delegated to the Vice-Chair of the Board.
    (c) Election, term. The Chair and the Vice-Chair of the Board shall 
be elected by a majority of the membership of the Board (as fixed by 
statute) and serve for terms of one year. Elections shall be held as 
soon as possible upon completion of the one year term of the Chair and 
Vice-Chair. If no new Chair or Vice-Chair has been elected at the end of 
the one-year term, the incumbents shall continue to serve in that 
capacity until a successor Chair or Vice-Chair has been elected. When 
the Chair is a public member, the Vice-Chair shall be a Federal member; 
and when the Chair is a Federal member, the Vice-Chair shall be a public 
member. Upon the expiration of the term as Chair of a Federal member, 
the subsequent Chair shall be a public member; and vice versa.
    (d) Executive Director. The Executive Director is nominated by the 
Chair and confirmed by the Board. The Executive Director provides 
administrative leadership, and supervision and management of staff 
activities in carrying out the policies and decisions of the Board under 
the direction and supervision of the Chair. The Executive Director has 
the authority to execute contracts, agreements and other documents 
necessary for the operation of the Board; hire, fire and promote staff 
(including temporary or intermittent experts and consultants); procure 
space, equipment and supplies; and obtain interagency and commercial 
support services. The Executive Director directs compliance and 
enforcement activities in accordance with the procedures set forth in 36 
CFR part 1150, including issuing citations and determinations not to 
proceed, conducting negotiations for compliance, entering into 
agreements for voluntary compliance and performing all other actions 
authorized by law pertaining to compliance and enforcement not otherwise 
reserved to the Board.
    (e) General Counsel. The General Counsel is nominated by the Chair 
and confirmed by the Board. The General Counsel is responsible to the 
Board under the supervision of the Executive Director.



Sec. 1151.4  Delegations.

    (a) Executive Committee. The Board may delegate to the Executive 
Committee authority to implement its decisions by a majority vote of the 
members present at a meeting and any proxies. To the extent permitted by 
law, the Board may delegate to the Executive Committee any other of its 
authorities by two-thirds vote of the members present at a meeting and 
any proxies. A separate delegation is necessary for each action the 
Board desires the Executive Committee to implement.
    (b) Other. To the extent permitted by law, the Board may delegate 
other duties to its officers or committees by a vote of two-thirds of 
the members present at a meeting and any proxies.
    (c) Redelegation. Unless expressly prohibited in the original 
delegation, an officer or committee may redelegate authority.



Sec. 1151.5  Board meetings.

    (a) Number. The Chair shall schedule five regular meetings of the 
Board each year. In addition, the Board shall schedule one Board 
sponsored public event.
    (b) Timing. Regular meetings of the Board and at least one Board 
sponsored event shall ordinarily be held on the Wednesday following the 
second Tuesday of every other month. The Chair may reschedule a regular 
meeting of the Board to another date, no more than one month earlier or 
later than the regularly scheduled date.
    (c) Agenda. The Chair establishes the agenda for the meetings. 
Members or committees shall forward submissions for agenda items to the 
Chair. Except for items concerning the adoption, amendment or recision 
of the bylaws in this part, an item may be placed before the Board for 
consideration without the approval of the Chair upon a two-thirds vote 
of the members present at a Board meeting and any proxies to suspend the 
rules of order. Items concerning the adoption, amendment or recision of 
the bylaws in this part may be placed on a future Board agenda without 
the approval of the Chair upon a vote of two-thirds of the membership of 
the Board (as fixed by statute).

[[Page 262]]

    (d) Notice. The Chair shall provide a written notice of scheduled 
Board meetings, including the agenda and supporting materials for the 
meeting, to each Board member at least ten (10) work days prior to the 
meeting. The ten (10) days notice requirement may be waived upon a two-
thirds vote by the members present at the Board meeting and any proxies 
to suspend the rules of order.
    (e) Cancellation. The Chair may cancel a regular meeting of the 
Board by giving written notice of the cancellation at least ten (10) 
work days prior to the meeting where practical.
    (f) Special meetings. The Chair may call special meetings of the 
Board to deal with important matters arising between regular meetings 
which require action by the Board prior to the next regular meeting. 
Voting and discussion shall be limited to the subject matter which 
necessitated the call of the special meeting. All Board members shall 
receive reasonable advance notice of the time, place, and purpose of the 
special meeting.
    (g) Record. The Executive Director shall maintain a permanent record 
of the minutes of the meeting and attendance. The Board shall approve 
the final minutes after all corrections and additions have been 
incorporated.
    (h) Rules for Board meetings. Meetings of the Board shall be held in 
accordance with Robert's Rules of Order, except as otherwise prescribed 
in the bylaws in this part.
    (i) Quorum. (1) A quorum shall be the majority of the membership of 
the Board (as fixed by statute). At least half of the members required 
for a quorum shall be public members.
    (2) Proxies shall not be counted for purposes of establishing a 
quorum.
    (3) If a quorum is not present, a meeting shall be held only for the 
purpose of discussion and no vote may be taken.
    (j) Voting. (1) Only Board members may vote.
    (2) Except as otherwise prescribed in the bylaws in this part, a 
majority vote of the members present and any proxies is necessary for 
action by the Board.
    (3) The presiding officer shall have the same right to vote as any 
other member.
    (4) Any member may give his or her directed or undirected proxy to 
any other Board member, present at the meeting. Proxies shall be given 
in writing and submitted to the Chair prior to or at the meeting. A 
directed proxy shall be voided as to a specific issue if the question on 
which the vote is eventually taken differs from the question to which 
the proxy is directed.
    (5) The Board may act on items of business between meetings by 
notational voting. At the request of the Chair, the Executive Director 
shall send a written ballot to each Board member describing each item 
submitted for notational voting. If any Board member requests discussion 
on an item, the ballots shall not be counted and the Chair shall place 
the item on the next Board meeting agenda for discussion and voting.
    (k) Telecommunications. A member of the Board shall be considered 
present at a meeting when he or she participates in person or by 
conference telephone or similar communication equipment which enables 
all persons participating in the meeting to communicate with each other.



Sec. 1151.6  Committees.

    (a) Executive Committee--(1) Establishment. The Board shall have an 
Executive Committee to serve as a leadership and coordinating committee. 
The Executive Committee acts on behalf of the Board in between regularly 
scheduled Board meetings as necessary and as authorized by delegation of 
the Board. In addition, the Executive Committee has the following duties 
and responsibilities:
    (i) To review and consider recommendations and proposals from the 
various subject matter committees;
    (ii) To review and make recommendations to the Board to amend or 
approve the Board's bylaws; and
    (iii) To request and review all committee charters.
    (2) Chair. The Vice-Chair of the Board shall serve as Chair of the 
Executive Committee.
    (3) Membership. The Executive Committee shall be composed of a 
minimum of six members, three Federal and three public members, which 
shall include the Chair and the Vice-Chair of

[[Page 263]]

the Board, the chairs of each of the subject matter committees, and two 
at large members. The two at large members shall balance the number of 
Federal and public members and shall be elected by the Board after the 
election of the Chair and Vice-Chair of the Board and the chairs of the 
subject matter committees. In the event that the Board should establish 
three or more subject matter committees, additional at-large members 
shall be elected as necessary to balance the Federal and public 
membership of the committee.
    (4) Quorum. A quorum in the Executive Committee shall be a majority 
of the membership, present at the meeting. In the absence of their 
Federal member, the liaison may count toward a quorum. If a quorum is 
not present, a meeting can be held only for the purpose of discussion 
and no vote may be taken.
    (5) Voting. (i) The presiding officer shall have the same right to 
vote as any other member.
    (ii) On matters subject to Board review, liaisons are permitted to 
vote in the absence of their Federal member. A majority vote of the 
members (or liaisons) present at the meeting and any directed or 
undirected proxies is necessary for action by the committee.
    (iii) On matters of final action, not subject to Board review, a 
majority vote of the membership of the committee, present at the meeting 
or by directed proxy, is necessary for action by the committee. In the 
absence of their Federal member, liaisons are permitted to cast a 
directed proxy only.
    (b) Subject matter committees--(1) Establishment. The Board may 
establish or dissolve subject matter committees by a two-thirds vote of 
the members present and any proxies.
    (2) Chair. The Chair of a subject matter committee shall be elected 
by the Board after the election of the Chair and Vice-Chair of the Board 
and shall serve as a member of the Board's Executive Committee.
    (3) Membership. Each subject matter committee shall be comprised of 
a minimum of seven, and a maximum of nine, members. Except for the Chair 
of the committee who is elected by the Board, the members of the 
committee shall be appointed by the Chair of the Board. Members shall 
serve a term of one year corresponding to that of the Chair of the 
Board, and continue their duties until their successors have been 
appointed.
    (4) Quorum. A quorum shall be a majority of the actual membership of 
the committee. A liaison may represent the Federal member for purposes 
of a quorum. If a quorum is not present, a meeting shall be held only 
for the purpose of discussion and no vote may be taken.
    (5) Voting. Directed or undirected proxies are permitted. In the 
absence of their Federal member, liaisons are permitted to vote on all 
matters which are subject to review by the full Board. The presiding 
officer shall have the same right to vote as any other member. A 
majority vote of the members (or liaisons) present at the meeting and 
any directed or undirected proxies is necessary for action by the 
committee.
    (c) Special committees. The Chair, the Board, the Executive 
Committee or a subject matter committee may appoint a special committee 
to carry out a specific task. A special committee shall dissolve upon 
completion of its task or when dissolved by its creator. A special 
committee shall be governed by the same rules and procedures applicable 
to subject matter committees unless other rules or procedures are 
approved by the creator of the committee.
    (d) Telecommunications. A member of a committee shall be considered 
present at a meeting when he or she participates in person or by 
conference telephone or similar communication equipment which enables 
all persons participating in the meeting to communicate with each other.
    (e) Charter. With the exception of a Committee of the Whole, each 
committee shall establish a charter and may establish any additional 
procedures provided that they do not conflict with the provisions of the 
bylaws in this part.
    (f) Procedure. Committee meetings shall be held in accordance with 
Robert's Rules of Order, except as otherwise prescribed in the bylaws in 
this part or committee charters.
    (g) Records. Committees shall maintain written records of the 
meetings.

[[Page 264]]



Sec. 1151.7  Amendments to the bylaws.

    In order to amend the bylaws in this part, a vote of two-thirds of 
the membership of the Board (as fixed by statute) at the time the vote 
is taken shall be required. The Board shall not suspend the rules in 
taking any action concerning adoption, amendment or recision of the 
bylaws in this part except that by vote of two-thirds of the membership 
of the Board (as fixed by statute), an item concerning the adoption, 
amendment or recision of the bylaws in this part may be placed on an 
agenda for Board consideration at a future meeting.



PART 1152--EMPLOYEE RESPONSIBILITIES AND CONDUCT--Table of Contents




                      Subpart A--General Provisions

Sec.
1152.735-101  Purpose.
1152.735-102  Definitions.
1152.735-103  Designated Agency Ethics Official.
1152.735-104  Disciplinary and other remedial action.

 Subpart B--Ethical and Other Conduct and Responsibilities of Employees

1152.735-201  Proscribed actions.
1152.735-202  Gifts, entertainment, and favors.
1152.735-203  Outside employment and other activity.
1152.735-204  Financial interests.
1152.735-205  Use of Government property.
1152.735-206  Misuse of information.
1152.735-207  Indebtedness.
1152.735-208  Gambling, betting, and lotteries.
1152.735-209  General conduct prejudicial to the Government.
1152.735-210  Miscellaneous statutory provisions.

  Subpart C--Ethical and Other Conduct and Responsibilities of Special 
                          Government Employees

1152.735-301  Use of Government employment.
1152.735-302  Use of inside information.
1152.735-303  Coercion.
1152.735-304  Gifts, entertainment, and favors.
1152.735-305  Miscellaneous statutory provisions.

       Subpart D--Statements of Employment and Financial Interests

1152.735-401  Reviewing statements and reporting conflicts of interest.
1152.735-402  Employees required to submit statements.
1152.735-403  Employee's complaint on filing requirement.
1152.735-404  Employees not required to submit statements.
1152.735-405  Content of statements.
1152.735-406  Time and place for submission of employees' statement.
1152.735-407  Supplementary statement.
1152.735-408  Interests of employees' relatives.
1152.735-409  Information not known by employees.
1152.735-410  Information not required.
1152.735-411  Confidentiality of employees' statements.
1152.735-412  Effect of employees' statements on other requirements.
1152.735-413  Specific provisions for Public members and special 
          Government employees.

    Authority: E.O. 12674; 5 CFR part 735.

    Source: 44 FR 52200, Sept. 7, 1979, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 1152.735-101  Purpose.

    The maintenance of unusually high standards of honesty, integrity, 
impartiality, and conduct by Government employees and special Government 
employees is essential to assure the proper performance of the 
Government business and the maintenance of confidence by citizens in 
their Government. The avoidance of misconduct and conflicts of interest 
on the part of Government employees and special Government employees 
through informed judgment is indispensable to the maintenance of these 
standards. To accord with these concepts, this part sets forth the 
Board's regulations prescribing standards of conduct and 
responsibilities, and governing statements reporting employment and 
financial interests for employees and special Government employees.



Sec. 1152.735-102  Definitions.

    (a) Board means the Architectural and Transportation Barriers 
Compliance Board.

[[Page 265]]

    (b) Chair means the Chair of the Architectural and Transportation 
Barriers Compliance Board.
    (c) Employee means an officer or employee of the Board but does not 
include a special Government employee.
    (d) Federal member means a member of the Board who is the head of a 
federal agency or a designee as specified in 29 U.S.C. 792(a)(1)(B).
    (e) Person means an individual, a corporation, a company, an 
association, a firm, a partnership, a society, a joint stock company, or 
any other organization or institution.
    (f) Public member means a member of the Board appointed by the 
President from among members of the general public.
    (g) Special Government employee means a ``special Government 
employee,'' as defined in section 202 of title 18 U.S.C., that is, one 
appointed or employed to serve, with or without compensation, for not 
more than 130 days during any period of 365 days on a full-time or 
intermittent basis.
[44 FR 52200, Sept. 7, 1979, as amended at 56 FR 958, Jan. 10, 1991]



Sec. 1152.735-103  Designated Agency Ethics Official.

    (a) The Chair shall designate in writing an agency ethics official 
and an alternate agency ethics official to serve in an acting capacity 
in the absence of the primary Designated Agency Ethics Official.
    (b) The Designated Agency Ethics Official shall coordinate and 
manage the agency's ethics program, including:
    (1) Serving as liaison with the Office of Government Ethics;
    (2) Reviewing financial disclosure reports;
    (3) Conducting ethics education and training programs;
    (4) Monitoring administrative actions and sanctions; and
    (5) Providing counsel and guidance on matters relating to ethical 
conduct to employees seeking advice on questions of conflicts of 
interest and other matters covered by this part.
    (c) The Designated Agency Ethics Official may delegate any of the 
duties in paragraph (b) of this section to a deputy agency ethics 
official.
[56 FR 958, Jan. 10, 1991]



Sec. 1152.735-104  Disciplinary and other remedial action.

    Violations of the regulations in this part by an employee may be 
cause for appropriate disciplinary action which may be in addition to 
any penalty prescribed by law.
[44 FR 52200, Sept. 7, 1979. Redesignated and amended at 56 FR 958, Jan. 
10, 1991]



 Subpart B--Ethical and Other Conduct and Responsibilities of Employees



Sec. 1152.735-201  Proscribed actions.

    An employee shall avoid any action, whether or not specifically 
prohibited by this subpart, which might result in, or create the 
appearance of:
    (a) Using public office for private gain;
    (b) Giving preferential treatment to any person;
    (c) Impeding Government efficiency or economy;
    (d) Losing complete independence or impartiality;
    (e) Making a Government decision outside official channels; or
    (f) Affecting adversely the confidence of the public in the 
integrity of the Government.



Sec. 1152.735-202  Gifts, entertainment, and favors.

    (a) Except as provided in paragraphs (b) and (f) of this section, an 
employee shall not solicit or accept, directly or indirectly any gift, 
gratuity, favor, entertainment, loan, or any other thing of monetary 
value, from a person who:
    (1) Has, or is seeking to obtain, contractual or other business or 
financial relations with his/her agency;
    (2) Conducts operations or activities that are regulated by his/her 
agency; or
    (3) Has interests that may be substantially affected by the 
performance or nonperformance of his/her official duty.
    (b) The prohibitions of paragraph (a) of this section do not apply 
in the following cases:
    (1) Obvious family or personal relationships, such as those between 
the parents, children, or spouse of the employee and the employee, when 
the circumstances make it clear that it is

[[Page 266]]

those relationships rather than the business of the persons concerned 
which are the motivating factors;
    (2) Acceptance of food and refreshments of nominal value on 
infrequent occasions in the ordinary course of a luncheon or dinner 
meeting or other meeting or on an inspection tour where an employee may 
properly be in attendance;
    (3) The acceptance of loans from banks or other financial 
institutions on customary terms to finance proper and usual activities 
of employees, such as home mortgage loans; and
    (4) The acceptance of unsolicited advertising or promotional 
material, such as pens, pencils, note pads, calendars, and other items 
of nominal intrinsic value.
    (c) [Reserved]
    (d) An employee shall not solicit a contribution from another 
employee for a gift to an official superior, make a donation as a gift 
to an official superior, or accept a gift from an employee receiving 
less pay than himself/herself (5 U.S.C. 7351). However, this paragraph 
does not prohibit a voluntary gift of nominal value or donation in a 
nominal amount made on a special occasion such as marriage, illness, or 
retirement.
    (e) An employee shall not accept a gift, present, decoration, or 
other thing from a foreign government unless authorized by Congress as 
provided by the Constitution and in section 7342 of title 5 U.S.C.
    (f) Neither this section nor Sec. 1152.735-203 precludes an employee 
from receipt of bona fide reimbursement, unless prohibited by law, for 
expenses of travel and such other necessary subsistence as is compatible 
with this part for which no Government payment or reimbursement is made. 
However, this paragraph does not allow an employee to be reimbursed, or 
payment to be made on his/her behalf, for excessive personal living 
expenses, gifts, entertainment, or other personal benefits, nor does it 
allow an employee to be reimbursed by a person for travel on official 
business under agency orders when reimbursement is proscribed by 
Decision B-128527 of the Comptroller General dated March 7, 1967 (46 
Comp. Gen. 689).



Sec. 1152.735-203  Outside employment and other activity.

    (a) An employee shall not engage in outside employment or other 
outside activity not compatible with the full and proper discharge of 
the duties and responsibilities of his/her Government employment. 
Incompatible activities include but are not limited to:
    (1) Acceptance of a fee, compensation, gift, payment of expense, or 
any other thing of monetary value in circumstances in which acceptance 
may result in, or create the appearance of, conflicts of interest; or
    (2) Outside employment which tends to impair his/her mental or 
physical capacity to perform his/her Government duties and 
responsibilities in an acceptable manner.
    (b) An employee shall not receive any salary or anything of monetary 
value from a private source as compensation for his/her services to the 
Government (18 U.S.C. 209).
    (c) Employees are encouraged to engage in teaching, lecturing, and 
writing that is not prohibited by law, the Executive order, Office of 
Personnel Management or Office of Government Ethics regulations, or this 
part. However, an employee shall not, either for or without 
compensation, engage in teaching, lecturing, or writing, including 
teaching, lecturing or writing for the purpose of the special 
preparation of a person or class of persons for an examination of the 
Office of Personnel Management or Board of Examiners for the Foreign 
Service, that depends on information obtained as a result of his/her 
Government employment, except when that information has been made 
available to the general public or will be made available on request, or 
when the Chair or his/her designee gives written authorization for use 
of nonpublic information on the basis that the use is in the public 
interest. In addition, an employee who is a Presidential appointee 
covered by section 401(a) of the order shall not receive compensation or 
anything of monetary value for any consultation, lecture, discussion, 
writing, or appearance the subject matter of which is devoted 
substantially to the responsibilities, programs, or operations of his/
her agency,

[[Page 267]]

or which draws substantially on official data or ideas which have not 
become part of the body of public information.
    (d) [Reserved]
    (e) This section does not preclude an employee from:
    (1) [Reserved]
    (2) Participation in the activities of national or State political 
parties not proscribed by law.
    (3) Participation in the affairs of or acceptance of an award for a 
meritorious public contribution or achievement given by a charitable, 
religious, professional, social, fraternal, nonprofit educational and 
recreational, public service, or civic organization.
[44 FR 52200, Sept. 7, 1979, as amended at 56 FR 958, Jan. 10, 1991]



Sec. 1152.735-204  Financial interests.

    (a) An employee shall not have a direct or indirect financial 
interest that conflicts substantially, or appears to conflict 
substantially, with his/her Government duties and responsibilities.
    (b) An employee shall not engage in, directly or indirectly, a 
financial transaction as a result of, or primarily relying on, 
information obtained through his/her Government employment.
    (c) This section does not preclude an employee from having a 
financial interest or engaging in financial transactions to the same 
extent as a private citizen not employed by the Government so long as it 
is not prohibited by law, Executive Order, Office of Personnel 
Management or Office of Government Ethics regulations, or this part.
    (d) The following financial or economic interests described below 
are hereby exempted from the prohibition of 18 U.S.C. 208(a) as being 
too remote or too inconsequential to affect the integrity of an 
employee's services in a matter: The stock, bond or policy holdings of 
an employee in a mutual fund, investment company, bank or insurance 
company which owns an interest in an entity involved in the matter, 
provided that in the case of a mutual fund, investment company or bank 
the fair value of such stock or bond holding does not exceed 1 percent 
of the value of the reported assets of the mutual fund, investment 
company, or bank.
[56 FR 958, Jan. 10, 1991]



Sec. 1152.735-205  Use of Government property.

    An employee shall not directly or indirectly use, or allow the use 
of Government property of any kind, including property leased to the 
Government, for other than officially approved activities. An employee 
has a positive duty to protect and conserve Government property, 
including equipment, supplies, and other property entrusted or issued to 
him/her.



Sec. 1152.735-206  Misuse of information.

    For the purpose of furthering a private interest, an employee shall 
not, except as provided in Sec. 1152.735-203(c), directly or indirectly 
use, or allow the use of, official information obtained through or in 
connection with his/her Government employment which has not been made 
available to the general public.



Sec. 1152.735-207  Indebtedness.

    An employee shall pay each just financial obligation in a proper and 
timely manner, especially one imposed by law such as Federal, State or 
local taxes. For the purpose of this section, a just financial 
obligation means one acknowledged by the employee or reduced to judgment 
by a court or one imposed by law such as Federal, State or local taxes, 
and in a proper and timely manner means in a manner which the agency 
determines does not, under the circumstances, reflect adversely on the 
Government as his/her employer. In the event of dispute between an 
employee and an alleged creditor, this section does not require an 
agency to determine the validity or amount of the disputed debt.



Sec. 1152.735-208  Gambling, betting, and lotteries.

    An employee shall not participate while on Government-owned or 
leased property or while on duty for the Government, in any gambling 
activity including the operation of a gambling device, in conducting a 
lottery or pool, in a game for money or property, or in selling or 
purchasing a numbers slip or

[[Page 268]]

ticket. However, this section does not preclude activities:
    (a) Necessitated by an employee's law enforcement duties; or
    (b) Under section 3 of Executive Order 10927, namely solicitations 
conducted by organizations composed of employees among their own members 
for organizational support or for benefit or welfare funds for their 
members, or similar Board-approved activities.



Sec. 1152.735-209  General conduct prejudicial to the Government.

    An employee shall not engage in criminal, infamous, dishonest, 
immoral, or notoriously disgraceful conduct, or other conduct 
prejudicial to the Government.
[56 FR 959, Jan. 10, 1991]



Sec. 1152.735-210  Miscellaneous statutory provisions.

    Each employee shall acquaint himself/herself with each statute that 
relates to his/her ethical and other conduct as an employee of the Board 
and of the Government. The attention of each employee is directed to the 
following statutory provisions:
    (a) House Concurrent Resolution 175, 85th Congress, 2d session, 72 
Stat. B12, the ``Code of Ethics for Government Service''.
    (b) Chapter II of title 18 U.S.C., relating to bribery, graft, and 
conflicts of interest, as appropriate to the employees concerned.
    (c) The prohibition against lobbying with appropriated funds (18 
U.S.C. 1913).
    (d) The prohibitions against disloyalty and striking (5 U.S.C. 7311, 
18 U.S.C. 1918).
    (e) The provision relating to honoraria for speeches (2 U.S.C. 441 
(i)).
    (f) The prohibitions against (1) the disclosure of classified 
information (18 U.S.C. 798, 50 U.S.C. 783); and (2) the disclosure of 
confidential information (18 U.S.C. 1905).
    (g) The provision relating to the habitual use of intoxicants to 
excess (5 U.S.C. 7352).
    (h) The prohibition against the misuse of Government vehicle (31 
U.S.C. 638a(c)).
    (i) The prohibition against the misuse of the franking privilege (18 
U.S.C. 1719).
    (j) The prohibition against the use of deceit in an examination of 
personnel action in connection with Government employment (18 U.S.C. 
1917).
    (k) The prohibition against fraud or false statements in a 
Government matter (18 U.S.C. 1001).
    (l) The prohibition against mutilating or destroying a public record 
(18 U.S.C. 2071).
    (m) The prohibition against counterfeiting and forging 
transportation requests (18 U.S.C. 508).
    (n) The prohibitions against (1) embezzlement of government, money 
or property (18 U.S.C. 641); (2) failing to account for public money (18 
U.S.C. 643); and (3) embezzlement of the money or property of another 
person in the possession of an employee by reason of his/her employment 
(18 U.S.C. 654).
    (o) The prohibition against unauthorized use of documents relating 
to claims from or by the Government (18 U.S.C. 285).
    (p) The prohibitions against political activities in subchapter III 
of chapter 73 of title 5 U.S.C. and 18 U.S.C. 602, 603, 607, and 608.
    (q) The prohibition against an employee acting as the agent of a 
foreign principal registered under the Foreign Agents Registration Act 
(18 U.S.C. 219).
[44 FR 52200, Sept. 7, 1979, as amended at 56 FR 959 Jan. 10, 1991]



  Subpart C--Ethical and Other Conduct and Responsibilities of Special 
                          Government Employees



Sec. 1152.735-301  Use of Government employment.

    A special Government employee shall not use his/her Government 
employment for a purpose that is, or gives the appearance of being, 
motivated by the desire for private gain for himself/herself or another 
person, particularly one with whom he/she has family business, or 
financial ties.

[[Page 269]]



Sec. 1152.735-302  Use of inside information.

    (a) A special Government employee shall not use inside information 
obtained as a result of his/her Government employment for private gain 
for himself or another person either by direct action on his/her part or 
by counsel, recommendation, or suggestion to another person, 
particularly one with whom he/she has family, business, or financial 
ties. For the purpose of this section, inside information means 
information obtained under Government authority which has not become 
part of the body of public information.
    (b) Special Government employees may teach, lecture, or write in a 
manner consistent with the provisions of Sec. 1152.735-203(c).



Sec. 1152.735-303  Coercion

    A special Government employee shall not use his/her Government 
employment to coerce, or give the appearance of coercing, a person to 
provide financial benefit to himself/herself or another person, 
particularly one with whom he/she has family, business, or financial 
ties.



Sec. 1152.735-304  Gifts, entertainment, and favors.

    (a) Except as provided in paragraph (b) of this section, a special 
Government employee, while so employed or in connection with such 
employment, shall not receive or solicit from a person having business 
with the agency anything of value as a gift, gratuity, loan, 
entertainment, or favor for himself/herself or another person, 
particularly one with whom he/she has family, business, or financial 
ties.
    (b) The exceptions of Sec. 1152.735-202(b) which are applicable to 
employees, are also applicable to special Government employees.



Sec. 1152.735-305  Miscellaneous statutory provisions.

    Each special Government employee shall acquaint himself/herself with 
each statute that relates to his/her ethical and other conduct as a 
special Government employee of his/her agency and of the Government. The 
attention of each special Government employee is directed to those 
statutory provisions listed in Sec. 1152.735-210 that are applicable to 
special Government employees.



       Subpart D--Statements of Employment and Financial Interests



Sec. 1152.735-401  Reviewing statements and reporting conflicts of interest.

    (a) Financial statements of all employees shall be filed with the 
Designated Agency Ethics Official. The Designated Agency Ethics Official 
shall review statements of employment and financial interests submitted 
under this part.
    (b) When a statement submitted under this part or information from 
other sources indicates a conflict between the interests of an employee 
or special Government employee and the performance of his/her service 
for the Government, the employee, or special Government employee 
concerned shall be provided an opportunity to explain the conflict or 
appearance of conflict.
    (c) When after explanation by the employee or special Government 
employee involved, the conflict or appearance of conflict is not 
resolved by the Designated Agency Ethics Official, the information 
concerning the conflict or appearance of conflict shall be reported to 
the Chair for appropriate administrative action.
    (d) When after consideration of the explanation of the employee or 
special Government employee, the Chair decides that remedial action is 
required, he/she shall take immediate action to end the conflicts or 
appearance of conflicts of interest.
    (e) Remedial action, whether disciplinary or otherwise, shall be 
effected in accordance with any applicable laws, Executive orders and 
regulations and may include, but is not limited to:
    (1) Changes in assigned duties;
    (2) Divestment by the employee or special Government employee of 
his/her conflicting interest;
    (3) Disciplinary action; or
    (4) Disqualification for a particular assignment.
[56 FR 959, Jan. 10, 1991]

[[Page 270]]



Sec. 1152.735-402  Employees required to submit statements.

    Except as provided in Sec. 1152.735-404, the following categories of 
employees shall submit statements of employment and financial interest:
    (a) Employees classified at GS-13 or above who are in positions 
identified by the Chair as positions the incumbents of which are 
responsible for making a Government decision or taking a Government 
action in regard to:
    (1) Contracting or procurement;
    (2) Administering or monitoring grants or subsidies;
    (3) Regulating or auditing private or other non-Federal enterprise; 
or
    (4) Other activities where the decision or action has an economic 
impact on the interest of any non-Federal enterprise.
    (b) Employees classified at GS-13 or above who are in positions 
which the Chair has determined have duties and responsibilities which 
require the incumbent to report employment and financial interests in 
order to avoid involvement in a possible conflicts-of-interests 
situation and carry out the purpose of law, Executive order, Office of 
Personnel Management and Office of Government Ethics regulations and 
this part.
    (c) Employees classified below GS-13 who are in positions which 
otherwise meet the criteria in paragraph (b) or (c) of this section. 
These positions have been approved by the Chair and the Office of 
Government Ethics as exceptions that are essential to protect the 
integrity of the Government and avoid employees involvement in a 
possible conflict-of-interest situation.
[56 FR 959, Jan. 10, 1991]



Sec. 1152.735-403  Employee's complaint on filing requirement.

    Employees have the opportunity for review through the Board's 
grievance procedures of a complaint by an employee that his/her position 
has been improperly included under these regulations as one requiring 
the submission of a statement of employment and financial interests.
[44 FR 52200, Sept. 7, 1979. Redesignated at 56 FR 959, Jan. 10, 1991]



Sec. 1152.735-404  Employees not required to submit statements.

    (a) Employees in positions that meet the criteria in Sec. 1152.735-
402(b) may be excluded from the reporting requirement when the Chair 
determines that:
    (1) The duties of a position are such that the likelihood of the 
incumbent's involvement in a conflict-of-interest situation is remote;
    (2) The duties of a position are at such a level of responsibility 
that the submission of a statement of employment and financial interests 
is not necessary because of the degree of supervision and review over 
the incumbent or the inconsequential effect on the integrity of the 
Government;
    (3) The use of an alternative procedure approved by the Board is 
adequate to prevent possible conflicts of interest.
    (b) Federal members and the Designated Agency Ethics Official are 
subject to separate reporting requirements under the Ethics in 
Government Act of 1978, Pub. L. 95-521. The Designated Agency Ethics 
Official shall obtain and review a copy of the financial statement filed 
by Federal members with their respective agency. The Office of 
Government Ethics will review the financial statement filed by the 
Designated Agency Ethics Official.
[56 FR 959, Jan. 10, 1991]



Sec. 1152.735-405  Content of statements.

    A statement of employment and financial interest required pursuant 
to this subpart shall contain, at a minimum, the information required by 
the formats prescribed by the Office of Personnel Management in the 
Federal Personnel Manual.
[56 FR 960, Jan. 10, 1991]



Sec. 1152.735-406  Time and place for submission of employees' statement.

    An employee required to submit a statement of employment and 
financial interest pursuant to Sec. 1152.735-402 shall submit that 
statement to the Designated Agency Ethics Official not later than:
    (a) Ninety days after the effective date of this part if employed on 
or before that effective date; or

[[Page 271]]

    (b) Thirty days after his/her entrance on duty, but not earlier than 
90 days after the effective date, if appointed after that effective 
date.
[56 FR 960, Jan. 10, 1991]



Sec. 1152.735-407  Supplementary statement.

    (a) Changes in, or additions to, the information contained in an 
employee's statement shall be reported to the Designated Agency Ethics 
Official in a supplementary statement as of May 15 each year. If no 
changes or additions occur, a negative report is required.
    (b) Notwithstanding the filing of the annual report required by this 
section, each employee shall at all times avoid acquiring a financial 
interest or engaging in outside employment or other activity that could 
result, or taking an action that would result, in a violation of the 
conflict-of-interest provisions of section 208 of title 18 U.S.C., or 
subpart B of this part.
[44 FR 52200, Sept. 7, 1979. Redesignated and amended at 56 FR 959-960, 
Jan. 10, 1991]



Sec. 1152.735-408  Interests of employees' relatives.

    The interest of a spouse, minor child, or other member of an 
employee's immediate household is considered to be an interest of the 
employee. For the purpose of this section, member of an employee's 
immediate household means those blood relations who are residents of the 
employees household.
[56 FR 960, Jan. 10, 1991]



Sec. 1152.735-409  Information not known by employees.

    If any information required to be included on a statement or 
supplementary statement, including holdings placed in trust, is not 
known to the employee but is known to another person, the employee shall 
request that other person to submit information in his/her behalf.
[44 FR 52200, Sept. 7, 1979. Redesignated at 56 FR 959, Jan. 10, 1991]



Sec. 1152.735-410  Information not required.

    This subpart does not require an employee to report information 
relating to his/her connection with, or interest in, a professional 
society or a charitable, religious, social, fraternal, recreational, 
public service, civic, or political organization or a similar 
organization not conducted as a business enterprise. For the purpose of 
this section, educational and other institutions doing research and 
development or related work involving grants of money from or contracts 
with the Government are deemed ``business enterprises'' and are required 
to be included in an employee's statement.
[44 FR 52200, Sept. 7, 1979. Redesignated at 56 FR 959, Jan. 10, 1991]



Sec. 1152.735-411  Confidentiality of employees' statements.

    (a) Each statement of employment and financial interest, and each 
supplementary statement, shall be kept confidential.
    (b) The Designated Agency Ethics Official is responsible for 
maintaining the statements in confidence and shall not allow access to, 
or allow information to be disclosed from, a statement except to carry 
out the purpose of this part.
    (c) Information from a statement may not be disclosed except as the 
Office of Government Ethics or the Chair may determine for good cause 
shown.
[56 FR 960, Jan. 10, 1991]



Sec. 1152.735-412  Effect of employee's statements on other requirements.

    The statements and supplementary statements required of employees 
pursuant to this part are in addition to, and not in substitution for, 
or in derogation of, any similar requirement imposed by law, order, or 
regulation. The submission of a statement or supplementary statement by 
an employee does not permit him/her or any other person to participate 
in a matter in which his/her or the other person's participation is 
prohibited by law, order, or regulation.
[44 FR 52200, Sept. 7, 1979. Redesignated at 56 FR 959, Jan. 10, 1991]



Sec. 1152.735-413  Specific provisions for Public members and special Government employees.

    (a) Except as provided in paragraph (c) of this section, each Public 
member

[[Page 272]]

and special Government employee shall submit to the Designated Agency 
Ethics Official for review and custody a statement of employment and 
financial interest which shall contain a listing of all--
    (1) Other employment; and
    (2) Financial interests in a partnership, organization or entity 
which have an interest in obtaining, or has obtained, a grant or 
contract from the Board or which is a party to a complaint pending 
before the Board.
    (b) The provisions of Secs. 1152.735-409 through 1152.735-412 are 
applicable to a Public member and special Government employee who is 
required to file a statement.
    (c) The Chair or his/her designee may waive the provisions of this 
section for the submission of a statement in the case of a special 
Government employee who is not a consultant or an expert when the Board 
finds that the duties of the position held by that special Government 
employee are of a nature and at such level or responsibility that the 
submission of the statement by the incumbent is not necessary to protect 
the integrity of the Government. For the purpose of this paragraph, 
consultant and expert have the meanings given those terms by chapter 304 
of the Federal Personnel Manual, but do not include:
    (1) A physician, dentist, or allied medical specialist whose 
services are procured to provide care and service to patients; or
    (2) A veterinarian whose services are procured to provide care and 
service to animals.
    (3) A specialist appointed for intermittent confidential 
intelligence consultation of brief duration.
    (d) A statement of employment and financial interest required to be 
submitted under this section shall be submitted not later than the time 
of employment of the special Government employee. Each Public member and 
special Government employee shall keep his/her statement current 
throughout his/her employment with the Board by the submission of 
supplementary statements to be filed no later than May 15th of each 
year. If no changes or additions occur, a negative report is required.
[56 FR 960, Jan. 10, 1991]



   PART 1154--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE ARCHITECTURAL AND TRANSPORTATION BARRIERS

COMPLIANCE BOARD--Table of Contents




Sec.
1154.101  Purpose.
1154.102  Application.
1154.103  Definitions.
1154.104--1154.109  [Reserved]
1154.110  Self-evaluation.
1154.111  Notice.
1154.112--1154.129  [Reserved]
1154.130  General prohibitions against discrimination.
1154.131--1154.139  [Reserved]
1154.140  Employment.
1154.141--1154.148  [Reserved]
1154.149  Program accessibility: Discrimination prohibited.
1154.150  Program accessibility: Existing facilities.
1154.151  Program accessibility: New construction and alterations.
1154.152--1154.159  [Reserved]
1154.160  Communications.
1154.161--1154.169  [Reserved]
1154.170  Compliance procedures.

    Authority: 29 U.S.C. 794.

    Source: 52 FR 16380, May 5, 1987, unless otherwise noted.



Sec. 1154.101  Purpose.

    The purpose of this part is to effectuate section 119 of the 
Rehabilitation, Comprehensive Service, and Developmental Disabilities 
Amendments of 1978, which amended section 504 of the Rehabilitation Act 
of 1973 to prohibit discrimination on the basis of handicap in programs 
or activities conducted by Executive agencies or the United States 
Postal Service.



Sec. 1154.102  Application.

    This part applies to all programs or activities conducted by the 
agency.



Sec. 1154.103  Definitions.

    For purposes of this part, the term--
    Agency means the Architectural and Transportation Barriers 
Compliance Board.

[[Page 273]]

    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means service or devices that enable persons with 
impaired sensory, manual, and/or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, Brailled materials, 
audio recordings, telecommunications devices and other similar services 
and devices. Auxiliary aids useful for persons with impaired hearing 
include telephones handset amplifiers, telephone compatible with hearing 
aids, telecommunication devices for deaf persons (TDD's), interpreters, 
notetakers, written materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discriminations.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, and drug addiction and 
alcoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment thaqt substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in subparagraph (1) of 
this definition but is treated by the agency as having such an 
impairment.
    Qualified handicapped person means--
    (1) With respect to any agency program or activity under which a 
person is required to perform services or to achieve a level of 
accomplishment, a handicapped person who meets the essential eligibility 
requirements and who can achieve the purpose of the program or activity 
without modifications in the program or activity that the agency can 
demonstrate would result in a fundamantal alteration in its nature; and
    (2) With respect to any other program or activity, a handicapped 
person who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity.

[[Page 274]]

    (3) Qualified Handicapped Person is defined for purposes of 
employment in 29 CFR 1613.702(f) which is made applicable to this part 
by Sec. 1154.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), 
and the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used 
in this part, section 504 applies only to programs or activities 
conducted by Executive agencies and not to federally assisted programs.



Secs. 1154.104--1154.109  [Reserved]



Sec. 1154.110  Self-evaluation.

    (a) By July 6, 1988, the agency shall evaluate its current policies 
and practices, and the effects thereof, that do not or may not meet the 
requirements of this part, and, to the extent modification of any such 
policies and practices is required, the agency shall proceed to make the 
necessary modifications.
    (b) The agency shall provide an opportunity to interested persons, 
including handicapped persons or organizations representing handicapped 
persons, to participate in the self-evaluation process by submitting 
comments (both oral and written).
    (c) The agency shall, for all least three years following completion 
of the evaluation required under paragraph (a) of this section, maintain 
on file and make available for public inspection--
    (1) A description of areas examined and any problems identified; and
    (2) A description of any modifications made.



Sec. 1154.111  Notice.

    The agency shall make available to employees, applicants, 
participants, beneficiaries, and other interested persons such 
information regarding the provisions of this part and its applicability 
to the programs or activities conducted by the agency, and made such 
information available to them in such manner as the agency head finds 
necessary to apprise effectively such persons of the protections against 
discrimination assured them by section 504 and this regulation.



Secs. 1154.112--1154.129  [Reserved]



Sec. 1154.130  General prohibitions against discrimination.

    (a) No qualified handicapped person shall, on the basis of handicap, 
be excluded from participation in, be denied the benefits of, or 
otherwise be subjected to discrimination under any program or activity 
conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--
    (i) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified handicapped person an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified handicapped person with an aid, benefit, 
or service that is not as effective in affording equal opportunity to 
obtain the same result, to gain the same benefit, or to reach the same 
level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or servcies to 
handicapped persons or to any class of handicapped persons than is 
provided to others unless such action is necessary to provide qualified 
handicapped persons with aid, benefits, or services that are as 
effective as those provided to others;
    (v) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or
    (vi) Otherwise limit a qualified handicapped person in the enjoyment 
of any right, privilege, advantage, or opportunity enjoyed by others 
receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified handicapped person the 
opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate of 
different programs or activities.

[[Page 275]]

    (3) The agency may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to handicapped persons.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination under any program or activity 
conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to handicapped persons.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified handicapped persons to 
discrimination on the basis of handicap.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive order to a different 
class of handicapped persons is not prohibited by this part.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified handicapped 
persons.



Secs. 1154.131--1154.139  [Reserved]



Sec. 1154.140  Employment.

    No qualified handicapped person shall, on the basis of handicap, be 
subjected to discrimination in employment under any program or activity 
conducted by the agency. The definitions, requirements, and procedures 
of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791), as 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613, shall apply to employment in federally-conducted programs or 
activities.



Secs. 1154.141--1154.148  [Reserved]



Sec. 1154.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec. 1154.150, no qualified 
handicapped person shall, because the agency's facilities are 
inaccessible to or unusable by handicapped persons, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec. 1154.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by handicapped persons. This paragraph does 
not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by handicapped persons; or
    (2) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec. 1154.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his/her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that would not result in 
such an alteration or such burdens but would nevertheless ensure that

[[Page 276]]

handicapped persons receive the benefits and services of the program or 
activity.
    (b) Methods. The agency may comply with the requirements of this 
section through such means as redesign of equipment, reassignment of 
services to accessible buildings, assignment of aides to beneficiaries, 
home visits, delivery of services at alternate accessible sites, 
alteration of existing facilities and construction of new facilities, 
use of accessible rolling stock, or any other methods that result in 
making its programs or activities readily accessible to and usable by 
handicapped persons. The agency is not required to make structural 
changes in existing facilities where other methods are effective in 
achieving compliance with this section. The agency, in making 
alterations to existing buildings, shall meet accessibility requirements 
to the extent compelled by the Architectural Barriers Act of 1968, as 
amended (42 U.S.C. 4151-4157), and any regulations implementing it. In 
choosing among available methods for meeting the requirements of this 
section, the agency shall give priority to those methods that offer 
programs and activities to qualfied handicapped persons in the most 
integrated setting appropriate.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by September 4, 1987 except 
that where structural changes in facilities are undertaken, such changes 
shall be made by July 6, 1990, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop by January 6, 1988, a transition plan setting forth 
the steps necessary to complete such changes. The agency shall provide 
an opportunity to interested persons, including handicapped persons or 
organizations representing handicapped persons, to participate in the 
development of the transition plan by submitting comments (both oral and 
written). A copy of the transition plan shall be made available for 
public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementatin of the plan.



Sec. 1154.151  Program accessibility: New construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of the agency shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
handicapped persons. The definitions, requirements and standards of the 
Architectural Barriers Act (42 U.S.C. 4151-4157), as established in 41 
CFR 101-19.600 to 101-19.607, apply to buildings covered by this 
section.



Secs. 1154.152--1154.159  [Reserved]



Sec. 1154.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, the program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
handicapped person.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants, beneficiaries, 
and members of the public by telephone, telecommunications devices for 
deaf persons (TDD's) or equally effective

[[Page 277]]

telecommunication systems shall be used.
    (b) The agency shall ensure that interested person, including 
persons with impaired vision, speech or hearing, can obtain information 
as to the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens.

In those circumstances where agency personnel believe that the proposed 
action would fundamentally alter the program or activity or would result 
in undue financial and administrative burdens, the agency has the burden 
of proving that compliance with Sec. 1154.160 would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his/her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action required to comply with this section would 
result in such an alteration or such burdens, the agency shall take any 
other action that would not result in such an alteration or such burdens 
but would nevertheless ensure that, to the maximum extent possible, 
handicapped persons receive the benefits and services of the program or 
activity.
[52 FR 16380, May 5, 1987, as amended at 53 FR 24265, June 28, 1988]



Secs. 1154.161--1154.169  [Reserved]



Sec. 1154.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) Responsiblity for implementation and operation of this section 
shall be vested in the Equal Employment Opportunity Director.
    (d) Complaints may be delivered or mailed to the Equal Employment 
Opportunity Director, ATBCB, 330 C Street, SW., Rm. 1010, Washington, DC 
20202.
    (e) The agency shall accept and investigate all complete complaints 
over which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (f) If the Equal Employment Opportunity Director receives a 
complaint that is not complete, he or she shall notify the complainant, 
within 30 days of receipt of the incomplete complaint, that additional 
information is needed. If the complainant fails to complete the 
complaint within 30 days of receipt of this notice, the Equal Employment 
Opportunity Director shall dismiss the complaint without prejudice, and 
shall notify the complainant of such dismissal.
    (g) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (h) The agency shall notify the Director of the Compliance and 
Enforcement Division of any complaint alleging that a building or 
facility is not readily accessible to and usable by handicapped persons. 
The Director of the Compliance and Enforcement Division shall determine 
whether or not the building or facility is subject to the Architectural 
Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), or section 502 
of the Rehabilitation Act of 1973, as amended (29 U.S.C. 792).

[[Page 278]]

    (i) Within 180 days of the receipt of a complete complaint over 
which it has jurisdiction, the agency shall notify the complainant of 
the results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (j) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec. 1154.170(g). The agency may 
extend this time for good cause.
    (k) Timely appeals shall be accepted and processed by the head of 
the agency.
    (l) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he/she shall have 60 days from the date of receipt 
of the additional information to make his/her determination on the 
appeal.
    (m) The time limits cited in paragraphs (i) and (l) of this section 
may be extended with the permission of the Assistant Attorney General.
    (n) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.



PART 1190--MINIMUM GUIDELINES AND REQUIREMENTS FOR ACCESSIBLE DESIGN--Table of Contents




                           Subpart A--General

Sec.
1190.1  Purpose.
1190.2  Applicability: Buildings and facilities subject to guidelines 
          and standards.
1190.3  Definitions.
1190.4  Issuance of Architectural Barriers Act standards by standard-
          setting agencies.
1190.5  Guidelines: Other uses.
1190.6  Interpretation of guidelines.
1190.7  Severability.

                            Subpart B--Scope

1190.30  Scope. [Reserved]
1190.31  Accessible buildings and facilities: New construction.
1190.32  Accessible buildings and facilities: Additions.
1190.33  Accessible buildings and facilities: Alterations.
1190.34  Accessible buildings and facilities: Leased.

                     Subpart C--Technical Provisions

1190.40  Technical specifications.
1190.50  Exceptions.

        Subpart D--Special Building or Facility Types or Elements

1190.60  Special building or facility types.

    Authority: Sec. 502(b), Rehabilitation Act of 1973 (29 U.S.C. 
792(b)(7)), as amended by the Rehabilitation, Comprehensive Services, 
and Developmental Disabilities Amendments of 1978 (sec. 119, Pub. L. 
602, 92 Stat. 2982, and the Rehabilitation Act Amendments of 1986 (Pub. 
L. 99-506, 100 Stat. 1801).

    Source: 47 FR 33864, Aug. 4, 1982, unless otherwise noted.



                           Subpart A--General



Sec. 1190.1  Purpose.

    The purpose of this part is to implement section 502(b)(7) of the 
Rehabilitation Act of 1973 (29 U.S.C. 792(b)(7)), as amended, which 
requires the Architectural and Transportation Barriers Compliance Board 
to establish minimum guidelines and requirements for standards issued 
under the Architectural Barriers Act of 1968 (42 U.S.C. 4151 et seq.), 
as amended. This part and the standards to be based on it are intended 
to ensure that certain buildings and facilities financed with Federal 
funds are designed, constructed, or altered so as to be readily 
accessible to, and usable by, physically handicapped persons.



Sec. 1190.2  Applicability: Building and facilities subject to guidelines and standards

    (a) Definitions. As used in this section, the term:
    (1) Constructed or altered on behalf of the United States means 
constructed or altered for purchase by the United States, or constructed 
or altered for the use of the United States.
    (2) Primarily for use by able-bodied military personnel means 
expected to be occupied, used, or visited principally by

[[Page 279]]

military service personnel. Examples of buildings so intended are 
barracks, officers' quarters, and closed messes.
    (3) Privately owned residential structures means a single or 
multifamily dwelling not owned by a unit or subunit of Federal, state, 
or local government.
    (b) Buildings and facilities covered. Except as provided in 
paragraph (c) of this section, the standards to be issued by the 
standard-setting agencies in conformance with these minimum guidelines 
and requirements apply as provided in paragraph (d) of this section to 
any building or facility--
    (1) The intended use for which either--
    (i) Will require that such building or facility be accessible to the 
public, or
    (ii) May result in employment or residence therein of physically 
handicapped persons; and
    (2) Which is--
    (i) To be constructed or altered by or on behalf of the United 
States;
    (ii) To be leased in whole or in part by the United States after 
August 12, 1968, and before January 1, 1977, after construction or 
alteration in accordance with plans and specifications of the United 
States;
    (iii) To be leased in whole or in part by the United States on or 
after January 1, 1977;
    (iv) To be financed in whole or in part by a grant or loan made by 
the United States after August 12, 1968, if the building or facility may 
be subject to standards for design, construction, or alteration issued 
under the law authorizing the grant or loan; or
    (v) To be constructed under the authority of the National Capital 
Transportation Act of 1960, the National Capital Transportation Act of 
1965, or Title III of the Washington Metropolitan Area Transit 
Regulation Compact.
    (c) Buildings and facilities not covered. The guidelines and 
requirements and the standards do not apply to--
    (1) Any privately owned residential structure, unless it is leased 
by the Federal government on or after January 1, 1977, for subsidized 
housing programs; or
    (2) Any building or facility on a military installation designed and 
constructed primarily for use by able-bodied military personnel.
    (d) Application and effective date of standards. Any covered 
building or facility, as provided in this section, which is designed, 
constructed, or altered after the effective date of a standard issued in 
conformance with this guideline which is applicable to the building or 
facility, shall be designed, constructed, or altered in accordance with 
the standard. Any other building or facility covered by the 
Architectural Barriers Act, if and when required by law, shall comply 
with such standards issued in conformance with this part as are 
appropriate.
[47 FR 33864, Aug. 4, 1982, as amended at 54 FR 5444, Feb. 3, 1989]



Sec. 1190.3  Definitions.

    As used in this part, the term:
    ATBCB means the Architectural and Transportation Barriers Compliance 
Board.
    Access aisle means a pedestrian space between elements such as 
parking spaces, seating, and desks.
    Accessible means in compliance with the specifications and 
requirements of any applicable standard issued by a standard-setting 
agency in conformance with this part. Accessible describes a site, 
building, facility, or portion thereof that complies with these 
requirements, and that can be approached, entered, and used by 
physically handicapped persons. Accessible elements and spaces of a 
building or facility including doors provided adjacent to a turnstile or 
a revolving door, shall be subject to the same use patterns as other 
elements and spaces of the building or facility.
    Accessible route means a continuous unobstructed path connecting 
accessible elements and spaces in a building or facility and complying 
with the space and reach requirements of any standard issued by a 
standard-setting agency in conformance with this part. (Interior 
accessible routes may include but are not limited to corridors, floors, 
ramps, elevators, lifts, and clear floor space at fixtures. Exterior 
accessible routes may include but are not limited to parking access 
aisles, curb ramps, walks, ramps, and lifts.)

[[Page 280]]

    Accessible space means a space that complies with any standard 
issued by a standard-setting agency in conformance with this part.
    Adaptability means the capability of certain building spaces and 
elements, such as kitchen counters, sinks and grab bars, to be altered 
or added to so as to accommodate the needs of persons with or without 
disabilities, or to accommodate the needs of persons with different 
types or degrees of disability.
    Addition means an expansion, extension, or increase in the gross 
floor area of a building or facility.
    Agency means a Federal department, agency or instrumentality, as 
defined in sections 551(1) and 701(b)(1) of title 5, United States Code, 
or an official authorized to represent an agency.
    Alteration means any change in a building or facility or its 
permanent fixtures or equipment. It includes, but is not limited to, 
remodeling, renovation, rehabilitation, reconstruction, changes or 
rearrangement in structural parts, and extraordinary repairs. It does 
not include normal maintenance, reroofing, interior decoration, or 
changes to mechanical systems.
    Architectural Barriers Act means the Architectural Barriers Act of 
1968, Pub. L. 90-480, as amended, 42 U.S.C. 4151 et seq.
    Assembly area means a room or space accommodating fifty or more 
individuals for religious, recreational, educational, political, social, 
or amusement purposes, or for the consumption of food and drink, and 
including all connected rooms or spaces with a common means of egress 
and ingress. Such areas as conference and meeting rooms accommodating 
fewer than fifty individuals are not considered assembly areas.
    Automatic door means a door--
    (1) Used for human passage and
    (2) Equipped with a power-operated mechanism and controls that open 
and close the door upon receipt of a momentary actuating signal.
    Building or facility means all or any portion of buildings, 
structures, equipment, roads, walks, parking lots, parks, sites, or 
other real property or interest in such property.
    Circulation path means an exterior or interior way of passage from 
one place to another for pedestrians, including, but not limited to, 
walks, hallways, courtyards, stairways, and stair landings.
    Clear means unobstructed.
    Common use areas means those interior and exterior rooms, spaces or 
elements that are made available for the use of a restricted group of 
people (for example, residents of an apartment building, the occupants 
of an office building, or the guests of such residents or occupants).
    Construction means any erection of a new building or of an addition 
to an existing building or facility.
    Cross slope means the slope that is perpendicular to the direction 
of travel (see running slope).
    Curb ramp means a short ramp cutting through a curb or built up to 
it.
    Detectable means perceptible by one or more of the senses.
    Detectable warning means a standardized surface texture applied to 
or built into walking surfaces or other elements to warn visually 
impaired people of hazards in the path of travel.
    Dwelling unit means a single unit of residence that provides a 
kitchen or food preparation area, in addition to rooms and spaces for 
living, bathing, sleeping, and the like.

A single family home is a dwelling unit, and dwelling units are to be 
found in such housing types as townhouses and apartment buildings.
    Egress or means of egress means a continuous and unobstructed way of 
exit travel from any point in a building or facility to an exterior walk 
or out of a fire zone. It includes all intervening rooms, spaces, or 
elements.
    Element means an architectural or mechanical component of a 
building, facility, space, or site, e.g., telephone, curb ramp, door, 
drinking fountain, seating, water closet.
    Entrance means any access point to a building or portion of a 
building or facility used for the purpose of entering. An entrance 
includes the approach walk, the vertical access leading to the entrance 
platform, the entrance platform itself, vestibules if provided, the 
entry door(s) or gate(s), and the hardware of the entry door(s) or 
gate(s). The principal entrance of a building or

[[Page 281]]

facility is the main door through which most people enter.
    Essential features means those elements and spaces that make a 
building or facility usable by, or serve the needs of, its occupants or 
users. Essential features include but are not limited to entrances, 
toilet rooms, and accessible routes. Essential features do not include 
those spaces that house the major activities for which the building or 
facility is intended, such as classrooms and offices.
    Exception means a special provision in this part or in a standard 
which indicates an acceptable alternative, under specified 
circumstances, to a requirement stated directly above the exception.
    Extraordinary repair means the replacement or renewal of any element 
of an existing building or facility for purposes other than normal 
maintenance.
    Full and fair cash value is calculated for the estimated date on 
which work will commence on a project and means--
    (1) The assessed valuation of a building or facility as recorded in 
the assessor's office of the municipality and as equalized at one 
hundred percent (100%) valuation--

    (Note: The one hundred percent (100%) equalized assessed value shall 
be based upon the state's most recent determination of the particular 
city's or town's assessment ratio.


    Example: Town X has an assessment ratio of forty percent (40%), and 
the particular building in question is assessed at $200,000.00. To 
determine the equalized assessed value of this building, divide 
$200,000.00 by .40, and the equalized assessed value equals 
$500,000.00.);

    (2) The replacement cost; or
    (3) The fair market value.
    Guidelines and requirements means this part.
    Housing means a building, facility, or portion thereof, excluding 
inpatient health care facilities, that contains one or more dwelling 
units or sleeping accommodations. Housing may include, but is not 
limited to, one-family and two-family dwellings, multifamily dwellings, 
group homes, hotels, motels, dormitories, and mobile homes.
    Marked crossing means a crosswalk or other identified path intended 
for pedestrian use in crossing a vehicular way.
    Multifamily housing means a project containing five or more dwelling 
units.
    Operable part means a part of equipment or an appliance used to 
insert or withdraw objects, to activate or deactivate equipment, or to 
adjust the equipment (e.g., coin slot, push button, handle).
    Physically handicapped person means an individual who has a physical 
impairment, including impaired sensory, manual, or speaking abilities, 
which results in a functional limitation in access to and use of a 
building or facility.
    Power-assisted door means a door--
    (1) Used for human passage; and
    (2) With a mechanism that helps to open the door, or relieve the 
opening resistance of a door, upon the activation of a switch or a 
continued force applied to the door itself.
    Public use means any interior and exterior rooms or spaces made 
available to the general public. Public use may be provided at a 
building or facility that is privately or publicly owned.
    Ramp means a walking surface that has a running slope greater than 
1:20.
    Reconstruction means the act or process of reproducing by new 
construction the exact form and detail of a vanished building, 
structure, or object, or a part thereof, as it appeared at a specific 
period of time.
    Restoration means the act or process of accurately recovering the 
form and details of a property and its setting as it appeared at a 
particular period of time by means of the removal of later works or by 
replacement of missing earlier work.
    Running slope means the slope that is parallel to the direction of 
travel (see cross slope).
    Section 502 of the Rehabilitation Act or section 502 means section 
502 of the Rehabilitation Act of 1973, Pub. L. 93-112, 29 U.S.C. 792, as 
amended.
    Service entrance means an entrance intended primarily for delivery 
or service.
    Shall denotes a mandatory requirement.
    Signage means the display of written, symbolic, tactile, or 
pictorial information.
    Site means a parcel of land bounded by a property line or a 
designated portion of a public right-of-way.

[[Page 282]]

    Site improvements means landscaping, paving for pedestrian and 
vehicular ways, outdoor lighting, recreational facilities, and similar 
site additions.
    Sleeping accommodations means rooms in which people sleep (for 
example, dormitory and hotel or motel guest rooms).
    Space means a definable area, e.g., toilet room, hall, assembly 
area, parking area, entrance, storage room, alcove, courtyard, or lobby.
    Standard means any standard for accessibility issued under the 
Architectural Barriers Act.
    Standard-setting agency means one of the four agencies required to 
issue standards under the Architectural Barriers Act, i.e., the General 
Services Administration, the Department of Housing and Urban 
Development, the Department of Defense, and the United States Postal 
Service.
    Structural impracticability means having little likelihood of being 
accomplished without removing or altering a load-bearing structural 
member and/or incurring an increased cost of 50 percent or more of the 
value of the element of the building or facility involved.
    Tactile means perceptible through the sense of touch.
    Temporary means elements are not permanent (i.e., installed for less 
than six months) and are not required for safety reasons.
    Walk means an exterior pathway or space with a prepared surface 
intended for pedestrian use and having a slope of 1:20 or less. It 
includes general pedestrian areas such as plazas and courts.
[47 FR 33864, Aug. 4, 1982, as amended at 54 FR 5444, Feb. 3, 1989]



Sec. 1190.4  Issuance of Architectural Barriers Act standards by standard-setting agencies.

    (a) These guidelines and requirements are the minimum guidelines and 
requirements for standards issued under the Architectural Barriers Act 
by the Administrator of General Services, Secretary of Housing and Urban 
Development, Secretary of Defense, and Postmaster General.
    (b) Standards which conform to or exceed the provisions of the 
guidelines shall be deemed in compliance with the guidelines and 
requirements.
    (c) Each standard-setting agency is encouraged to issue standards 
which follow the format of these guidelines and requirements. However, 
standards which differ in format from these guidelines and requirements 
but are otherwise consistent with the guidelines and requirements shall 
be deemed in compliance with these guidelines and requirements.



Sec. 1190.5  Guidelines: Other uses.

    These minimum guidelines and requirements and those standards 
published by the four standard-setting agencies under the Architectural 
Barriers Act of 1968, as amended, may be used by other governmental and 
non-governmental entities, along with other sources, to develop their 
own standards.



Sec. 1190.6  Interpretation of guidelines.

    (a) These guidelines and requirements shall be liberally construed 
to carry out the purposes and provisions of the Architectural Barriers 
Act and section 502 of the Rehabilitation Act.
    (b) Words importing the singular number may extend and be applied to 
the plural and vice versa. However, unless otherwise specified in the 
guidelines and requirements, each element or space of a particular 
building or facility shall comply with the guidelines and requirements.
    (c) Use of the imperative mood, e.g., ``provide,'' means the 
provision is mandatory. This form is being used to avoid wordiness and 
monotony but means the same as if the word ``shall'' had been included.
    (d) The provisions in the minimum guidelines and requirements are 
based upon adult dimensions and anthropometrics.
    (e) Dimensions that are not marked ``minimum'' or ``maximum'' are 
absolute, unless otherwise indicated in the text or captions. All 
dimensions are subject to conventional building tolerances for field 
conditions.



Sec. 1190.7  Severability.

    If any section, subsection, paragraph, sentence, clause, or phrase 
of these guidelines and requirements is declared

[[Page 283]]

invalid for any reason, the remaining portions of these guidelines and 
requirements that are severable from the invalid part shall remain in 
full force and effect. If a part of these guidelines and requirements is 
invalid in one or more of its applications, the part shall remain in 
effect in all valid applications that are severable from the invalid 
applications.
[47 FR 33864, Aug. 4, 1982. Redesignated at 54 FR 5444, Feb. 3, 1989]



                            Subpart B--Scope



Sec. 1190.30  Scope.  [Reserved]



Sec. 1190.31  Accessible buildings and facilities: New construction.

    Except as otherwise provided in this part, all new construction of 
buildings and facilities shall comply with the minimum requirements set 
forth below. The citations beginning with ``ANSI'' in the provisions 
which follow refer to the sections of the American National Standard, 
ANSI Al17.1-1986, ``Providing Accessibility and Usability for Physically 
Handicapped People'' by the American National Standards Institute, Inc. 
This incorporation by reference was approved by the Director of the 
Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. 
Copies may be obtained from the American National Standards Institute, 
Inc., 1430 Broadway, New York, NY 10018. Copies may be inspected at the 
office of the U.S. Architectural and Transportation Barriers Compliance 
Board, 1111 18th Street, NW., Suite 501, Washington, DC or at the Office 
of the Federal Register, 800 North Capitol Street, NW., suite 700, 
Washington,DC.
    (a) Accessible route. At least one accessible route shall comply 
with ANSI A117.1-1986, section 4.3, Accessible Routes (Incorporated by 
reference, see this paragraph (a).)
    (1) Required accessible route(s) shall connect an accessible 
building entrance with:
    (i) Transportation facilities located within the property line of a 
given site, including passenger loading zones, public transportation 
facilities, taxi stands, and parking;
    (ii) Public streets and sidewalks;
    (iii) Other accessible buildings, facilities, elements, and spaces 
that are on the same site; and
    (iv) All accessible spaces, rooms, and elements within the building 
or facility.
    (2) Where fire code provisions require more than one means of egress 
from any space or room, then more than one accessible means of egress 
complying with ANSI A117.1-1986, section 4.3.10 shall be provided for 
handicapped people and shall be arranged so as to be readily accessible 
from all accessible rooms and spaces (Incorporated by reference, see 
Sec. 1190.3l(a).)
    (b) Parking and passenger loading zones.
    (1) If any parking is provided, for employees or visitors, or both, 
each such parking area shall comply with ANSI A117.1-1986 section 4.6 
Parking Spaces and Passenger Loading Zones (Incorporated by reference, 
see paragraph (a) of this section), and the following table:

------------------------------------------------------------------------
                                   Required minimum number of accessible
       Total parking in lot                        spaces
------------------------------------------------------------------------
1 to 25..........................  1.
26 to 50.........................  2.
51 to 75.........................  3.
76 to 100........................  4.
101 to 150.......................  5.
151 to 200.......................  6.
201 to 300.......................  7.
301 to 400.......................  8.
401 to 500.......................  9.
501 to 1,000.....................  2 pct of total.
Over 1,000.......................  20 plus 1 for each 100 over 1,000.
------------------------------------------------------------------------


Passenger loading zones shall provide an access aisle at least 60 in 
(1525 mm) wide and 20 ft (60 mm) long adjacent and parallel to the 
vehicle pull-up space. If there are curbs between the access aisle and 
the vehicle pull-up space, then a curb ramp complying with ANSI A117.1-
1986, section 4.7 shall be provided. A minimum vertical clearance of 114 
in (3.45 m) shall be provided at accessible passenger loading zones and 
along vehicle access routes to such areas from site entrances.
    (i) Exception: The total number of accessible parking spaces may be 
distributed among parking lots, if greater accessibility is achieved.
    (ii) Exception: This paragraph does not apply to parking provided 
for official government vehicles owned or

[[Page 284]]

leased by the government and used exclusively for government purposes.

Parking spaces for side lift vans are accessible parking spaces and may 
be used to meet the requirements of this paragraph.
    (2) If passenger loading zones are provided, at least one passenger 
loading zone shall comply with ANSI A117.1-1986 section 4.6 Parking 
Spaces and Passenger Loading Zones (Incorporated by reference, see 
paragraph (a) of this section).
    (c) Ramps and curb ramps. If there is an abrupt level or grade 
change, if the slope is greater than 1:20, and if no other means of 
accessible vertical access is provided, a ramp or curb ramp shall be 
provided. If a ramp or curb ramp is provided, it shall comply with ANSI 
A117.1-1986, section 4.7 Curb Ramps or 4.8 Ramps, as appropriate 
(Incorporated by reference, see paragraph (a) of this section.).
    (d) Stairs. Except as provided in paragraph (f)(1) of this section, 
stairs connecting levels that are not connected by an elevator shall 
comply with ANSI A117.1-1986, section 4.9, Stairs. (Incorporated by 
reference, see paragraph (a) of this section.)
    (e) Handrails. Handrails shall be provided at each ramp and 
staircase as required in ANSI A117.1-1986, sections 4.8 Ramps and 4.9 
Stairs, respectively. (Incorporated by reference, see paragraph (a) of 
this section.)
    (f) Elevators. One passenger elevator complying with ANSI A117.1-
1986, section 4.10, Elevators (incorporated by reference, see paragraph 
(a) of this section) shall serve each level in all multi-story buildings 
and facilities. If more than one elevator is provided, each elevator 
shall comply with ANSI A117.1-1986, section 4.10, Elevators 
(incorporated by reference, see paragraph (a) of this section). All 
elevator control buttons shall be at least \3/4\ in (19mm) in their 
smallest dimension. They shall be raised or flush.
    (1) Exception. Elevator pits, elevator penthouses, mechanical rooms, 
piping, or equipment catwalks are excepted from this requirement.
    (2) Exception. Ramps or platform lifts complying with ANSI A117.1-
1986, section 4.8 Ramps and ANSI A117.1-1986, section 4.11 Platform 
Lifts (incorporated by reference, see paragraph (a) of this section), 
respectively, may be used in lieu of an elevator.
    (g) Platform lifts. If the slope is greater than 1:20, and if no 
other means of accessible vertical access is provided, a platform lift 
may be provided if there is an abrupt level or grade change. If a 
platform lift is provided, it shall comply with ANSI A117.1-1986, 
section 4.11 Platform Lifts (incorporation by reference, see paragraph 
(a) of this section), and should facilitate unassisted entry and exit 
from the lift.
    (h) Entrances. At least one principal entrance at each grade floor 
level to a building or facility shall comply with ANSI A117.1-1986, 
section 4.14, Entrances (incorporated by reference, see paragraph (a) of 
this section). When a building or facility has entrances which normally 
serve any of the following functions: transportation facilities, 
passenger loading zones, accessible parking facilities, taxi stands, 
public streets and sidewalks, accessible interior vertical access, then 
at least one of the entrances serving each such function shall comply 
with ANSI A117.1-1986, section 4.14, Entrances (incorporated by 
reference, see paragraph (a) of this section). Because entrances also 
serve as exits, particularly in cases of emergency, the proximity of 
such accessible entrances and exits to all parts of the building is 
essential. It is preferable that all or most entrances and exits be 
accessible. One entrance may serve more than one function.
    (i) Doors. (1) At each accessible entrance to a building or 
facility, at least one door shall comply with ANSI A117.1-1986, section 
4.13, Doors (incorporated by reference, see paragraph (a) of this 
section).
    (2) Within a building or facility, at least one door at each 
accessible entrance to the accessible space shall comply with ANSI 
A117.1-1986, section 4.13, Doors (incorporated by reference, see 
paragraph (a) of this section).
    (3) Each door required by ANSI A117.1-1986, section 4.3.10, Egress 
(incorporated by reference, see paragraph (a) of this section), shall 
comply with ANSI A117.1-1986, section 4.13, Doors (incorporated by 
reference, see paragraph (a) of this section).

[[Page 285]]

    (4) Each door that is an element of an accessible route shall comply 
with ANSI A117.1-1986, section 4.13, Doors (incorporated by reference, 
see paragraph (a) of this section).
    (j) Windows. If operable windows are provided, they shall comply 
with ANSI A117.1-1986, section 4.12 Windows. (Incorporated by reference, 
see paragraph (a) of this section.)''
    (k) Toilet and bathing facilities. If toilet and bathing facilities 
are provided, then each public and common use toilet room shall comply 
with ANSI A117.1-1986, section 4.22, Toilet Rooms, Bathrooms, Bathing 
Facilities and Shower Rooms (incorporated by reference, see paragraph 
(a) of this section. Other toilet rooms shall be adaptable. If bathing 
facilities are provided, then each public and common use bathing 
facility shall comply with ANSI A117.1-1986, section 4.22. In each such 
facility where any of the fixtures and accessories specified in ANSI 
A117.1-1986, section 4.16, Water Closets; ANSI A117.1-1986, section 
4.17, Toilet Stalls; ANSI A117.1-1986, section 4.18, Urinals; ANSI 
A117.1-1986, section 4.19, Lavatories, Sinks and Mirrors; ANSI A117.1-
1986, section 4.20, Bathtubs; and ANSI A117.1-1986, section 4.21, Shower 
Stalls, are provided, at least one accessible fixture and accessory of 
each type provided shall comply with the provisions in the subsection 
applicable to that fixture or accessory. The size and arrangement of 
toilet stalls shall comply with ANSI Fig. 30(a). Toilet stalls with a 
minimum depth of 56 in (1420 mm) (see ANSI Fig. 30(a)) shall have wall-
mounted closets. If the depth of toilet stalls is increased at least 3 
in (75 mm), then a floor mounted water closet may be used. Arrangements 
shown for toilet stalls may be reversed to allow either a left-hand or 
right-hand approach. Installation of a fixed shower head may be 
permitted in lieu of an adjustable height or hand-held shower head in 
unmonitored facilities where vandalism is a concern. Curbs in shower 
stalls that are 36 in by 36 in (915 mm by 915 mm) shall have a maximum 
height of \1/2\ in (13 mm). Bathrooms in dwelling units required to be 
accessible shall comply with ANSI A117.1-1986, section 4.32.4, 
Bathrooms. For special use situations, refer to Subpart E, Special 
Building or Facility Types or Elements.

    (l) Drinking fountains and water coolers. If drinking fountains or 
water coolers are provided, approximately 50% of those provided on each 
floor shall comply with ANSI A117.1-1986, section 4.15, Drinking 
Fountains and Water Coolers, (incorporated by reference, see paragraph 
(a) of this section), and shall be dispersed throughout the floor. If 
only one drinking fountain or water cooler is provided on any floor, it 
shall comply with ANSI A117.1-1986, section 4.15. It is preferred that 
if only one drinking fountain or water cooler is provided on any floor, 
then it should have two levels with the lower level complying with ANSI 
A117.1-1986, section 4.15.
    (m) Controls and operating mechanisms. If controls and operating 
mechanisms are provided in accessible spaces, along accessible routes or 
as parts of accessible elements, each shall comply with ANSI A117.1-
1986, section 4.25, Controls and Operating Mechanisms. (Incorporated by 
reference, see paragraph (a) of this section.)
    (n) Alarms. If alarm systems are provided, each shall comply with 
ANSI A117.1-1986, section 4.26, Alarms (incorporated by reference, see 
paragraph (a) of this section). In facilities with sleeping 
accommodations, the sleeping accommodations required to be accessible 
shall have an alarm system complying with ANSI A117.1-1986, section 
4.26.4, Auxiliary Alarms. Emergency warning systems in health care 
facilities may be modified to suit standard health care alarm design 
practice.
    (o) Detectable warnings. Detectable warnings complying with ANSI 
A117.1-1986, section 4.27.3, Tactile Warnings on Doors to Hazardous 
Areas (incorporated by reference, see paragraph (a) of this section), 
shall be provided on the hardware of all doors leading to hazardous 
areas. Such warnings shall not be used at emergency exit doors. 
Detectable warnings are not required at locations other than doors to 
hazardous areas by this part. If detectable warnings are provided, the 
specifications at ANSI A117.1-1986, section 4.27 may be used as 
guidance.


[[Page 286]]


    Note: The ATBCB has funded research in the area of detectable 
tactile surface treatments. The research findings were inconclusive and, 
therefore, recommended no mandatory requirements at this time. Further 
information is being developed through additional research on detectable 
materials and fact-finding on current applications, particularly on 
transit platforms. Technical assistance materials including information 
about additional detectable cues (sound and resiliency) not discussed in 
ANSI are available from the ATBCB, 1111 18th Street, NW, Suite 501, 
Washington, DC 20036, (202) 653-7834 (voice or TDD).

    (p) Signage. Signage shall comply with ANSI A117.1-1986, section 
4.28, Signage (incorporated by reference, see paragraph (a) of this 
section). Permanent signage that identifies rooms and spaces shall also 
comply with ANSI A117.1-1986, section 4.28.4. Exception: The provisions 
of ANSI A117.1-1986, section 4.28.4 are not mandatory for temporary 
information on room and space signage, such as current occupant's name, 
provided the permanent room or space identification complies with ANSI 
A117.1-1986, section 4.28.4.
    (q) Telephones. (1) If public telephones are provided, then 
accessible public telephones shall comply with ANSI A117.1-1986, section 
4.29, Telephones (incorporated by reference, see paragraph (a) of this 
section), and the following table:

------------------------------------------------------------------------
                                                Number of telephones
  Number of public telephones provided on     required to be accessible
                each floor                               \1\
------------------------------------------------------------------------
One or more single unit installations.....  One per floor.
One bank \2\..............................  One per floor.
Two or more banks \2\.....................  One per bank. Accessible
                                             unit may be installed as a
                                             single unit in proximity
                                             (either visible or with
                                             signage) to bank. At least
                                             one public telephone per
                                             floor shall meet the
                                             requirements for a forward
                                             reach telephone.\3\
------------------------------------------------------------------------
\1\ Additional public telephones may be installed at any height;
  however, the installation of accessible telephones is strongly
  recommended. Unless otherwise specified, accessible telephones may be
  either forward reach or side reach telephones.
\2\ A bank consists of two or more adjacent public telephones usually
  installed as a unit.
\3\ Exception for exterior installations only: If dial-tone-first
  service is not available, then a side reach telephone may be installed
  instead of the required forward reach telephone (i.e., one telephone
  in proximity to each bank shall meet the requirements of ANSI A117.1-
  1986, section 4.29, Telephones (incorporated by reference, see
  paragraph (a) of this section)).

    (2) At least one of the public telephones complying with ANSI 
A117.1-1986, section 4.29, Telephones (incorporated by reference, see 
paragraph (a) of this section), shall be equipped with a volume control. 
The installation of additional volume controls is encouraged and these 
may be installed on any public telephone provided.
    (3) Signage. [Reserved]
    (r) Seating, tables, and work surfaces. If fixed seating, tables, 
and work surfaces are provided, at least 5 percent but always at least 
one of each element shall comply with ANSI A117.1-1986, section 4.30, 
Seating, Tables and Work Surfaces. (Incorporated by reference, see 
paragraph (a) of this section.)
    (s) Assembly areas, conference, or meeting rooms. (1) If assembly 
areas are provided, accessible viewing positions shall comply with ANSI 
A117.1-1986, section 4.31, Auditorium and Assembly Areas (incorporated 
by reference, see paragraph (a) of this section), and the following 
table:

------------------------------------------------------------------------
    Capacity of assembly area           Number of viewing positions
------------------------------------------------------------------------
50 to 75.........................  3.
76 to 100........................  4.
101 to 150.......................  5.
151 to 200.......................  6.
201 to 300.......................  7.
301 to 400.......................  8.
401 to 500.......................  9.
501 to 1,000.....................  2 pct of total.
Over 1,000.......................  20 plus 1 for each 100 over 1,000.
------------------------------------------------------------------------


Accessible viewing positions may be clustered in bleachers, balconies, 
and other areas that have sight lines requiring slopes greater than 5 
percent or to permit equivalent accessible viewing positions to be 
located on levels having accessible egress.

    (2) Assembly areas with audio-amplification systems shall have a 
listening system complying with ANSI A117.1-1986, section 4.31, to 
assist a reasonable number of people but no fewer than two, with severe 
hearing loss. For assembly areas without amplification systems and for 
spaces used primarily as meeting and conference rooms, a permanently 
installed or portable listening system shall be provided. This 
requirement may be satisfied by use of a portable system that requires 
little or no installation. If portable systems are used for conference 
and meeting rooms, the system may serve more than one room.

[[Page 287]]

    (3) If performing areas are provided, accessible routes shall comply 
with ANSI A117.1-1986, section 4.3, Accessible Routes, to performing 
areas, including but not limited to stages, arena floors, dressing 
rooms, locker rooms, and other rooms and spaces required for use of the 
assembly area. (ANSI 4.33.5)
    (i) Exception. In alteration work where it is structurally 
impracticable to alter all performing areas to be on an accessible 
route, at least one of each type shall be made accessible. (ANSI 4.33.6* 
and 4.33.7*)
    (ii) [Reserved]
    (t) Storage. If storage facilities such as cabinets, shelves, 
closets and drawers are provided in accessible spaces for occupant use, 
at least one storage facility of each type provided shall comply with 
ANSI A117.1-1986, section 4.23, Storage. (Incorporated by reference, see 
paragraph (a) of this section.) Additional storage may be provided 
outside of the dimensions provided in ANSI A117.1-1986, section 4.23, 
Storage. (Incorporated by reference, see paragraph (a) of this section.)
    (u) Housing. Accessible housing shall:
    (1) Comply with the requirements of this section as it applies to 
public use and common use areas and areas where handicapped persons may 
be employed, except as follows:
    (i) Elevators: Where provided, elevators shall comply with ANSI 
A117.1-1986, section 4.10 (incorporated by reference, see paragraph (a) 
of this section). All elevator control buttons shall be at least \3/4\ 
in (19 mm) in their smallest dimension. They shall be raised or flush. 
Elevators or other accessible means of vertical movement are not 
required in residential facilities when:
    (A) No accessible dwelling units are located above or below the 
accessible grade level; and
    (B) At least one of each type of common area and amenity provided 
for use of residents and visitors is available at the accessible grade 
level.
    (ii) Entrances: Entrances complying with ANSI 4.14 shall be provided 
as necessary to achieve access to and egress from buildings and 
facilities. EXCEPTION: In projects consisting of one-to-four family 
dwellings where accessible entrances would be extraordinarily costly due 
to site conditions or local code restrictions, accessible entrances are 
required only to those buildings containing accessible dwelling units.
    (iii) Common Areas: At least one of each type of common area and 
amenity in each project shall be accessible and shall be located on an 
accessible route to any accessible dwelling unit.
    (2) Provide dwelling units or sleeping accommodations complying with 
ANSI 4.32, Dwelling Units, in accordance with the following table:

------------------------------------------------------------------------
                Facilities                          Application
------------------------------------------------------------------------
Hotels, motels, boarding houses..........  5 percent of the total units,
                                            or at least one, whichever
                                            is greater.
Multifamily housing (including apartment   5 percent of the total, or at
 houses) Federally assisted.                least one unit, whichever is
                                            greater in multifamily
                                            housing projects.
Federally owned..........................  5 percent of the total, or at
                                            least one unit, whichever is
                                            greater in multifamily
                                            housing projects.
Dormitories..............................  5 percent of the total, or at
                                            least one unit whichever is
                                            greater.
One and two family dwelling Federally      5 percent of the total, or at
 assisted, rental.                          least one unit, whichever is
                                            greater, in multifamily
                                            housing projects.
Federally assisted homeownership.........  To be determined by home
                                            buyer.
Federally owned..........................  5 percent of the total, or at
                                            least one unit, whichever is
                                            greater in multifamily
                                            housing projects.
------------------------------------------------------------------------

    (v) Health care facilities. Accessible health care facilities shall:
    (1) Comply with the requirements of this section, as it applies to 
public use and common use areas and areas where handicapped persons may 
be employed; and
    (2) Provide patient rooms and patient toilet rooms complying with 
Part 6 of UFAS in accordance with the following table:

------------------------------------------------------------------------
                Facilities                           Application
------------------------------------------------------------------------
Long term care facilities (including        At least 50 percent of
 skilled nursing facilities, intermediate    patient toilets and
 care facilities, bed and care, and          bedrooms.
 nursing homes).
Outpatient facilities.....................  All patient toilets and
                                             bedrooms.
Hospital:
  General purpose hospital................  At least 10 percent of
                                             patient toilets and
                                             bedrooms.
  Special purpose hospital (hospitals that  All patient toilets and
   treat conditions that affect mobility).   bedrooms.
------------------------------------------------------------------------

[47 FR 33864, Aug. 4, 1982. Redesignated and amended at 54 FR 5444, Feb. 
3, 1989; 54 FR 34977, Aug. 23, 1989]

[[Page 288]]



Sec. 1190.32  Accessible buildings and facilities: Additions.

    Each addition to an existing building or facility shall comply with 
Sec. 1190.31, New construction, except as follows:
    (a) Entrances. If a new addition to a building or facility does not 
have an entrance, then at least one entrance in the existing building or 
facility shall comply with ANSI A117.1-1986, section 4.14, Entrances. 
(The citations beginning with ``ANSI'' in this section refer to the 
sections of the American National Standard, ANSI A117.1-1986, 
``Providing Accessibility and Usability for Physically Handicapped 
People'' by the American National Standards Institute, Inc. which has 
been approved for incorporation by reference as set forth in 
Sec. 1190.31(a).
    (b) Accessible route. If the only accessible entrance to the 
addition is located in the existing building or facility, then at least 
one accessible route shall comply with ANSI A117.1-1986, section 4.3, 
Accessible Route (incorporated by reference, see Sec. 1190.31(a)), and 
shall provide access through the existing building or facility to all 
rooms, elements, and spaces in the new addition.
    (c) Toilet and bathing facilities. If there are no toilet rooms and 
bathing facilities in the addition and these facilities are provided in 
the existing building, then at least one toilet and bathing facility in 
the existing building shall comply with ANSI A117.1-1986, section 4.22, 
Toilet Rooms, Bathrooms, Bathing Facilities and Shower Rooms. 
(Incorporated by reference, see Sec. 1190.31(a).).
    (d) Elements, spaces, and common areas. If elements, spaces, or 
common areas are located in the existing building and they are not 
provided in the addition, consideration should be given to making those 
elements, spaces, and common areas accessible in the existing building.
    (e) Exception. Mechanical rooms, storage areas, and other such minor 
additions which normally are not frequented by the public or employees 
of the facility are excepted from paragraphs (a), (b), (c) and (d) of 
this section.
[47 FR 33864, Aug. 4, 1982. Redesignated and amended at 54 FR 5444, 
5446, Feb. 3, 1989]



Sec. 1190.33  Accessible buildings and facilities: Alterations.

    (a) General. Alterations to existing buildings or facilities shall 
comply with the following:
    (1) If existing elements, spaces, essential features, or common 
areas are altered, then each such altered element, space, feature, or 
area shall comply with the applicable provisions of Sec. 1190.31, 
Accessible buildings and facilities: New construction, except as noted 
in paragraph (a)(2) of this section.
    (2) Exceptions to the requirements for (a)(1) of this section for 
existing buildings or facilities are:
    (i) Stairs. Full extension of stair handrails shall not be required 
in alterations where such extensions would be hazardous or impossible 
due to plan configuration.
    (ii) Elevators. (A) If a safety door edge is provided in existing 
automatic elevators, then the automatic door reopening devices may be 
omitted (see ANSI A117.1-1986 section 4.10.6). (The citations beginning 
with ``ANSI'' in this section refer to the sections of the American 
National Standard, ANSI A117.1-1986, ``Providing Accessibility and 
Usability for Physically Handicapped People'' by the American National 
Standards Institute, Inc. which has been approved for incorporation by 
reference as set forth in Sec. 1190.31(a).
    (B) Where existing shaft or structural elements prohibit strict 
compliance with ANSI A117.1-1986, section 4.10.9 (incorporated by 
reference, see Sec. 1190.31(a)), then the minimum floor area dimensions 
may be reduced by the minimum amount necessary, but in no case shall 
they be less than 48 in by 48 in (1220 mm by 1220 mm).
    (iii) Doors. (A) Where existing elements prohibit strict compliance 
with the clearance requirements of ANSI 4.13.5, a projection of 5/8 in 
(16 mm) maximum will be permitted for the latch side door stop. (The 
citations beginning with ``ANSI'' in this section refer to the sections 
of the American National Standard, ANSl A117.1-1986, ``Providing 
Accessibility and Usability for Physically Handicapped People'' by the 
American National Standards Institute, Inc. which has been approved

[[Page 289]]

for incorporation by reference as set forth in Sec. 1190.31(a).)
    (B) If existing thresholds measure \3/4\ in (19 mm) high or less, 
and are beveled or modified to provide a beveled edge on each side, then 
they may be retained.
    (iv) Toilet rooms. Where alterations to existing facilities make 
strict compliance with ANSI A117.1-1986, sections 4.22 and 4.23 
(incorporated by reference, see Sec. 1190.31(a)) structurally 
impracticable, the addition of one ``unisex'' toilet per floor 
containing one water closet complying with ANSI A117.1-1986, section 
4.16 and one lavatory complying with ANSI A117.1-1986, section 4.19, 
located adjacent to existing toilet facilities, will be acceptable in 
lieu of making existing toilet facilities for each sex accessible.
    (v) Assembly areas. (A) In alterations where it is structurally 
impracticable to disperse seating throughout the assembly area, seating 
may be located in collected areas as structurally feasible. Seating 
shall adjoin an accessible route that also serves as a means of 
emergency egress.
    (B) In alterations where it is structurally impracticable to alter 
all performing areas to be on an accessible route, then at least one of 
each type shall be made accessible.
    (3) If power-driven vertical access equipment (e.g., escalator) is 
planned or installed where none existed previously, or if new stairs 
(other than stairs installed to meet emergency exit requirements) 
requiring major structural changes are planned or installed where none 
existed previously, then a means of accessible vertical access shall be 
provided that complies with ANSI A117.1-1986, section 4.8, Ramps; ANSI 
A117.1-1986, section 4.10, Elevators; or ANSI A117.1-1986, section 4.11, 
Platform Lifts (incorporated by reference, see Sec. 1190.31(a)) except 
to the extent where it is structurally impracticable in transit 
facilities. All elevator control buttons shall be at least \3/4\ in (19 
mm) in their smallest dimension. They shall be raised or flush.
    (4) If alterations of single elements, when considered together, 
amount to an alteration of a space of a building or facility, the entire 
space shall be made accessible.
    (b) Where a building or facility is vacated and it is totally 
altered, then it shall comply with Sec. 1190.31 Accessible buildings and 
facilities: New construction, except to the extent where it is 
structurally impracticable.
    (c) Where substantial alteration occurs to a building or facility, 
then each element or space that is altered or added shall comply with 
the applicable provisions of Sec. 1190.31, Accessible buildings and 
facilities: New construction, except to the extent where it is 
structurally impracticable and the altered building or facility shall 
contain:
    (1) At least one accessible route complying with ANSI A1l7.1-1986, 
section 4.3, Accessible Routes (incorporated by reference, see 
Sec. 1190.31(a)), and paragraph (a) of this section;
    (2) At least one accessible entrance complying with ANSI A117.1-
1986, section 4.14, Entrances (incorporated by reference, see 
Sec. 1190.31(a).). If additional accessible entrances are altered, then 
they shall comply with paragraph (a)(1) of this section; and
    (3) The following toilet facilities, whichever number is greater:
    (i) At least one toilet facility for each sex in the altered 
building complying with ANSI A117.1-1986, section 4.22, Toilet Rooms, 
Bathrooms, Bathing Facilities, and Shower Rooms (incorporated by 
reference, see Sec. 1190.31(a));
    (ii) At least one toilet facility for each sex on each substantially 
altered floor, where such facilities are provided, complying with ANSI 
A117.1-1986, section 4.22, Toilet Rooms, Bathrooms, Bathing Facilities, 
and Shower Rooms (incorporated by reference, see Sec. 1190.31(a));

In making the determination as to what constitutes ``substantial 
alteration,'' the agency issuing standards for the facility shall 
consider the total cost of all alterations (including but not limited to 
electrical, mechanical, plumbing, and structural changes) for a building 
or facility within any twelve (12) month period. For guidance in 
implementing this provision, an alteration to any building or facility 
is to be considered substantial if the total cost for this twelve month 
period amounts to 50% or more of the full and

[[Page 290]]

fair cash value of the building as defined at Sec. 1190.3.
    (4) Exception. If the cost of the elements and spaces required by 
paragraphs (c) (1), (2), and (3) of this section, exceeds 15% of the 
total cost of all other alterations, then a schedule may be established 
by the standard-setting and/or funding agency to provide the required 
improvements within a 5 year period.
    (5) Exception. If the alteration is limited solely to the 
electrical, mechanical, or plumbing system and does not involve the 
alteration of any elements and spaces required to be accessible under 
part 1190, then paragraph (c) of this section, does not apply.
    (6) Exception. Consideration shall be given to providing accessible 
elements and spaces in each altered building or facility complying with:
    (i) ANSI A117.1-1986, sections 4.6, Parking Spaces and Passenger 
Loading Zones, as modified by Sec. 1190.31(s)(1);
    (ii) ANSI A117.1-1986, section 4.15, Drinking Fountains and Water 
Coolers;
    (iii) ANSI A117.1-1986, section 4.23, Storage;
    (iv) ANSI A117.1-1986, section 4.26, Alarms;
    (v) ANSI A117.1-1986, section 4.29, Telephones;
    (vi) ANSI A117.1-1986, section 4.30, Seating, Tables and Work 
Surfaces;
    (vii) ANSI 4.31, Auditorium and Assembly Areas, as modified by 
Sec. 1190.31(s)(1). (Incorporated by reference, see Sec. 1190.31(a).)
    (7) Exception: Mechanical rooms and other spaces which normally are 
not frequented by the public or employees of the facility or which by 
nature of their use are not required by the Architectural Barriers Act 
to be accessible are excepted from paragraphs (c) (1), (2), and (3) of 
this section.
[47 FR 33864, Aug. 4, 1982. Redesignated and amended at 54 FR 5444, 
5446, Feb. 3, 1989]



Sec. 1190.34  Accessible buildings and facilities: Leased.

    (a) Buildings or facilities or portions thereof leased by the 
Federal Government shall comply with Sec. 1190.31, New construction, or 
shall incorporate the features listed in Sec. 1190.33(c), Alterations. 
Where both types of buildings are available for leasing, reasonable 
preference must be given to buildings or facilities complying with 
Sec. 1190.31, New construction.
    (b) If space complying with paragraph (a) of this section is not 
available, space may be leased only if the space meets, or is altered to 
meet, the following conditions:
    (1) At least one accessible route is provided from an accessible 
entrance complying with Sec. 1190.120, Entrances, to those areas in 
which the principal activities for which the building or facility was 
leased are conducted. Separate accessible routes may be provided to 
areas serving different groups of users (e.g., the public, employees).
    (2) The accessible route shall comply with the requirements of 
Sec. 1190.50, Walks, floors, and accessible routes, and provide access 
to whatever accessible facilities are either required or provided, such 
as accessible toilets.
    (i) Toilet facilities, to the extent required for the ready intended 
use of the building or facility, shall be provided as follows--
    (A) Where more than one toilet for each sex is provided in a 
building or facility, at least one toilet facility which complies with 
Sec. 1190.150, Toilet and bathing facilities, shall be provided for each 
sex on each floor having toilets; or
    (B) In a building or facility providing only one toilet for each 
sex, either one unisex toilet or one toilet for each sex complying with 
Sec. 1190.150 shall be provided; or
    (C) In a building or facility where only one toilet is provided, one 
unisex toilet complying with Sec. 1190.150 shall be provided.
    (ii) Parking facilities, if a parking area is included within the 
lease, shall be provided complying with Sec. 1190.60, Parking and 
passenger loading zones, to the extent feasible.
    (3) Where an agency determines that an area does not require the 
provision of toilets or parking facilities for the users or occupants of 
that area, nothing in this section shall be construed to require the 
provision of any such facilities.
    (4) Consideration shall be given to providing accessible elements 
and spaces in each altered building or facility complying with:

[[Page 291]]

    (i) Section 1190.160 Drinking fountains and water coolers;
    (ii) Section 1190.180 Alarms;
    (iii) Section 1190.210 Telephones;
    (iv) Section 1190.220 Seating, tables, and work surfaces;
    (v) Section 1190.230 Assembly areas; and
    (vi) Section 1190.240 Storage.
    (c) If space leased in accordance with the requirements of paragraph 
(a) or (b) of this section is subsequently altered, then the alterations 
shall comply with the requirements of Sec. 1190.33, Alterations.
    (d) If space leased in accordance with the requirements of paragraph 
(a) or (b) of this section is increased by construction of an addition, 
the addition shall comply with Sec. 1190.32, Additions, to the extent it 
is leased by the Federal Government.
    (e) If leased space at the time of leasing meets past or present 
state or local codes or the recommended standards of the American 
National Standards Institute (ANSI) A117.1 for accessibility to 
physically handicapped people, and provides the features required by 
this section, the space may be used as is or altered to comply with the 
technical requirements of paragraph (a) or (b) of this section.
    (f) Once leased space in an existing building is accessible or is 
made accessible hereunder, no new accessibility alterations shall be 
required under this subpart except where alterations or additions are 
made to the building which are covered by paragraphs (c) and (d) of this 
section.
    (g) Exceptions. (1) If no space complying with paragraph (a) or (b) 
of this section is available for leasing, space as available may be 
leased without alterations:
    (i) If the lease is necessary for officials servicing natural or 
human-made disasters on an emergency basis;
    (ii) If the space is used on an intermittent basis; or
    (iii) If the occupancy of the space is for no more than twelve 
months. If delays occur during the twelve months, the short-term lease 
may be extended for no more than an additional 12 months.
    (2) Mechanical rooms and other spaces which normally are not 
frequented by the public or employees with handicaps of the occupant 
agency or which by nature of their use are not required to be accessible 
are excepted from this section.
[53 FR 35510, Sept. 14, 1988. Redesignated at 54 FR 5444, Feb. 3, 1989]



                     Subpart C--Technical Provisions



Sec. 1190.40  Technical specifications.

    Features, elements and spaces required to be accessible by 
Sec. 1190.31, Sec. 1190.32, or Sec. 1190.33 shall meet the technical 
requirements specified in the provisions of sections 4.2 through 4.32 of 
ANSI A117.1-1986, ``American National Standard for Buildings and 
Facilities--Providing Accessibility and Usability for Physically 
Handicapped People,'' which is incorporated herein by reference, except 
as noted herein. This incorporation by reference was approved by the 
Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 
1 CFR part 51. Copies may be obtained from the American National 
Standards Institute, Inc., 1430 Broadway, New York, NY 10018. Copies may 
be inspected at the office of the U.S. Architectural and Transportation 
Barriers Compliance Board, 1111 18th Street, NW., Suite 501, Washington, 
DC or at the Office of the Federal Register, 800 North Capitol Street, 
NW., suite 700, Washington, DC.
[54 FR 5447, Feb. 3, 1989]



Sec. 1190.50  Exceptions.

    (a) In addition to ANSI A117.1-1986, section 4.10 (incorporated by 
reference, see Sec. 1190.31(a)), Elevators, the following requirement is 
added: Hall call buttons provided under ANSI A117.1-1986, section 4.10.3 
shall be raised or flush.
    (b) Under ANSI A117.1-1986, section 4.7 (incorporated by reference, 
see Sec. 1190.31(a)), Curb Ramps, and ANSI 117.1-1986, section 4.7.7, 
Warning Textures, and ANSI 117.1-1986, section 4.7.12, Uncurbed 
Intersections, shall not apply.
    (c) In addition to ANSI A117.1-1986, section 4.28, Signage 
(incorporated by reference, see Sec. 1190.31(a)), there is added the 
requirement that interior tactile signage identifying rooms and spaces 
be located alongside the door on

[[Page 292]]

the latch side and be mounted at a height between 54 in and 66 in (1370 
mm and 1675 mm) above the finished floor.
[54 FR 5447, Feb. 3, 1989]



        Subpart D--Special Building or Facility Types or Elements



Sec. 1190.60  Special building or facility types.

    The requirements specified in the Uniform Federal Accessibility 
Standards (UFAS) in sections 5, Restaurants and Cafeterias; 6, Health 
Care; 7, Mercantile; 8, Libraries; and 9, Postal Facilities, are deemed 
to satisfy minimum guidelines and requirements of the ATBCB for 
accessibility standards for those building and facility types.
[54 FR 5448, Feb. 3, 1989]



PART 1191--AMERICANS WITH DISABILITIES ACT (ADA) ACCESSIBILITY GUIDELINES FOR BUILDINGS AND FACILITIES--Table of Contents




1191.1  Accessibility guidelines.
1191.2  Temporary suspension of certain detectable warning requirements.


Appendix A to Part 1191--Americans With Disabilities Act (ADA) 
          Accessibility Guidelines for Buildings and Facilities

    Authority: 42 U.S.C. 12204.

    Source: 56 FR 35453, July 26, 1991, unless otherwise noted.



Sec. 1191.1  Accessibility guidelines.

    The accessibility guidelines for buildings and facilities for 
purposes of the Americans with Disabilities Act are found in the 
appendix to this part. The guidelines are issued to assist the 
Department of Justice and Department of Transportation to establish 
accessibility standards to implement the legislation.
[56 FR 45518, Sept. 6, 1991]



Sec. 1191.2  Temporary suspension of certain detectable warning requirements.

    The detectable warning requirements contained in Secs.  4.7.7, 
4.29.5, and 4.29.6 of Appendix A to this part are suspended temporarily 
until July 26, 1998.
[61 FR 39324, July 29, 1996]

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[56 FR 35453, July 26, 1991, as amended at 56 FR 45517, 45520, and 
45526, Sept. 6, 1991, 57 FR 1393, 1396, Jan. 14, 1992; 58 FR 38206, July 
15, 1993; 59 FR 31744, June 20, 1994; 63 FR 2016, 2071, Jan. 13, 1998]

[[Page 402]]



PART 1192--AMERICANS WITH DISABILITIES ACT (ADA) ACCESSIBILITY GUIDELINES FOR TRANSPORTATION VEHICLES--Table of Contents




                           Subpart A--General

Sec.
1192.1  Purpose.
1192.2  Equivalent facilitation.
1192.3  Definitions.
1192.4  Miscellaneous instructions.

                   Subpart B--Buses, Vans and Systems

1192.21  General.
1192.23  Mobility aid accessibility.
1192.25  Doors, steps and thresholds.
1192.27  Priority seating signs.
1192.29  Interior circulation, handrails and stanchions.
1192.31  Lighting.
1192.33  Fare box.
1192.35  Public information system.
1192.37  Stop request.
1192.39  Destination and route signs.

               Subpart C--Rapid Rail Vehicles and Systems

1192.51  General.
1192.53  Doorways.
1192.55  Priority seating signs.
1192.57  Interior circulation, handrails and stanchions.
1192.59  Floor surfaces.
1192.61  Public information system.
1192.63  Between-car barriers.

               Subpart D--Light Rail Vehicles and Systems

1192.71  General.
1192.73  Doorways.
1192.75  Priority seating signs.
1192.77  Interior circulation, handrails and stanchions.
1192.79  Floors, steps and thresholds.
1192.81  Lighting.
1192.83  Mobility aid accessibility.
1192.85  Between-car barriers.
1192.87  Public information system.

                Subpart E--Commuter Rail Cars and Systems

1192.91  General.
1192.93  Doorways.
1192.95  Mobility aid accessibility.
1192.97  Interior circulation, handrails and stanchions.
1192.99  Floors, steps and thresholds.
1192.101  Lighting.
1192.103  Public information system.
1192.105  Priority seating signs.
1192.107  Restrooms.
1192.109  Between-car barriers.

               Subpart F--Intercity Rail Cars and Systems

1192.111  General.
1192.113  Doorways.
1192.115  Interior circulation, handrails and stanchions.
1192.117  Floors, steps and thresholds.
1192.119  Lighting.
1192.121  Public information system.
1192.123  Restrooms.
1192.125  Mobility aid accessibility.
1192.127  Sleeping compartments.

               Subpart G--Over-the-Road Buses and Systems

1192.151  General.
1192.153  Doors, steps and thresholds.
1192.155  Interior circulation, handrails and stanchions.
1192.157  Lighting.
1192.159  Mobility aid accessibility. [Reserved]

                  Subpart H--Other Vehicles and Systems

1192.171  General.
1192.173  Automated guideway transit vehicles and systems.
1192.175  High-speed rail cars, monorails and systems.
1192.177  Ferries, excursion boats and other vessels. [Reserved]
1192.179  Trams, similar vehicles and systems.

Figures in Part 1192

Appendix to Part 1192--Advisory Guidance

    Authority: Americans With Disabilities Act of 1990, Pub. L. 101-336, 
104 Stat. 370 (42 U.S.C. 12204).

    Source: 56 FR 45558, Sept. 6, 1991, unless otherwise noted.



                           Subpart A--General



Sec. 1192.1  Purpose.

    This part provides minimum guidelines and requirements for 
accessibility standards to be issued by the Department of Transportation 
in 49 CFR part 37 for transportation vehicles required to be accessible 
by the Americans with Disabilities Act (ADA) of 1990 (42 U.S.C. 12101 et 
seq).



Sec. 1192.2  Equivalent facilitation.

    Departures from particular technical and scoping requirements of 
these guidelines by use of other designs and technologies are permitted 
where the alternative designs and technologies used will provide 
substantially equivalent or greater access to and usability

[[Page 403]]

of the vehicle. Departures are to be considered on a case-by-case basis 
by the Department of Transportation under the procedure set forth in 49 
CFR 37.7.



Sec. 1192.3  Definitions.

    Accessible means, with respect to vehicles covered by this part, 
compliance with the provisions of this part.
    Automated guideway transit (AGT) system means a fixed-guideway 
transportation system which operates with automated (driverless) 
individual vehicles or multi-car trains. Service may be on a fixed 
schedule or in response to a passenger-activated call button. Such 
systems using small, slow moving vehicles, often operated in airports 
and amusement parks, are sometimes called people movers.
    Bus means any of several types of self-propelled vehicles, other 
than an over-the-road bus, generally rubber tired, intended for use on 
city streets, highways, and busways, including but not limited to 
minibuses, forty- and thirty-foot transit buses, articulated buses, 
double-deck buses, and electric powered trolley buses, used to provide 
designated or specified public transportation services. Self-propelled, 
rubber tire vehicles designed to look like antique or vintage trolleys 
or streetcars are considered buses.
    Common wheelchairs and mobility aids means belonging to a class of 
three or four wheeled devices, usable indoors, designed for and used by 
persons with mobility impairments which do not exceed 30 inches in width 
and 48 inches in length, measured 2 inches above the ground, and do not 
weigh more than 600 pounds when occupied.
    Commuter rail car means a rail passenger car obtained by a commuter 
authority (as defined by 49 CFR 37.3) for use in commuter rail 
transportation.
    Commuter rail transportation means short-haul rail passenger service 
operating in metropolitan and suburban areas, operated by a commuter 
authority, whether within or across the geographical boundaries of a 
state, usually characterized by reduced fare, multiple ride, and 
commutation tickets and by morning and evening peak period operations. 
This term does not include light or rapid rail transportation.
    Demand responsive system means any system of transporting 
individuals, including the provision of designated public transportation 
service by public entities and the provision of transportation service 
by private entities, including but not limited to specified public 
transportation service, which is not a fixed route system.
    Designated public transportation means transportation provided by a 
public entity (other than public school transportation) by bus, rail, or 
other conveyance (other than transportation by aircraft or intercity or 
commuter rail transportation) that provides the general public with 
general or special service, including charter service, on a regular and 
continuing basis.
    Fixed route system means a system of transporting individuals (other 
than by aircraft), including the provision of designated public 
transportation service by public entities and the provision of 
transportation service by private entities, including but not limited to 
specified public transportation service, on which a vehicle is operated 
along a prescribed route according to a fixed schedule.
    High speed rail means an intercity-type rail service which operates 
primarily on a dedicated guideway or track not used, for the most part, 
by freight, including, but not limited to, trains on welded rail, 
magnetically levitated (maglev) vehicles on a special guideway, or other 
advanced technology vehicles, designed to travel at speeds in excess of 
those possible on other types of railroads.
    Intercity rail passenger car means a rail car intended for use by 
revenue passengers obtained by the National Railroad Passenger 
Corporation (Amtrak) for use in intercity rail transportation.
    Intercity rail transportation means transportation provided by 
Amtrak.
    Light rail means a streetcar-type vehicle railway operated on city 
streets, semi-private rights-of-way, or exclusive private rights-of-way. 
Service may be provided by step-entry vehicles or by level-boarding.
    New vehicle means a vehicle which is offered for sale or lease after 
manufacture without any prior use.

[[Page 404]]

    Over-the-road bus means a vehicle characterized by an elevated 
passenger deck located over a baggage compartment.
    Rapid rail means a subway-type transit vehicle railway operated on 
exclusive private rights-of-way with high-level platform stations. Rapid 
rail may also operate on elevated or at-grade level track separated from 
other traffic.
    Remanufactured vehicle means a vehicle which has been structurally 
restored and has had new or rebuilt major components installed to extend 
its service life.
    Specified public transportation means transportation by bus, rail, 
or any other conveyance (other than aircraft) provided by a private 
entity to the general public, with general or special service (including 
charter service) on a regular and continuing basis.
    Tram means any of several types of motor vehicles consisting of a 
tractor unit, with or without passenger accommodations, and one or more 
passenger trailer units, including but not limited to vehicles providing 
shuttle service to remote parking areas, between hotels and other public 
accommodations, and between and within amusement parks and other 
recreation areas.
    Used vehicle means a vehicle with prior use.



Sec. 1192.4  Miscellaneous instructions.

    (a) Dimensional conventions. Dimensions that are not noted as 
minimum or maximum are absolute.
    (b) Dimensional tolerances. All dimensions are subject to 
conventional engineering tolerances for material properties and field 
conditions, including normal anticipated wear not exceeding accepted 
industry-wide standards and practices.
    (c) Notes. The text of these guidelines does not contain notes or 
footnotes. Additional information, explanations, and advisory materials 
are located in the appendix.
    (d) General terminology. The terms used in this part shall have the 
following meanings:
    (1) Comply with means meet one or more specification of these 
guidelines.
    (2) If or if * * * then denotes a specification that applies only 
when the conditions described are present.
    (3) May denotes an option or alternative.
    (4) Shall denotes a mandatory specification or requirement.
    (5) Should denotes an advisory specification or recommendation and 
is used only in the appendix to this part.



                   Subpart B--Buses, Vans and Systems



Sec. 1192.21  General.

    (a) New, used or remanufactured buses and vans (except over-the-road 
buses covered by subpart G of this part), to be considered accessible by 
regulations issued by the Department of Transportation in 49 CFR part 
37, shall comply with the applicable provisions of this subpart.
    (b) If portions of the vehicle are modified in a way that affects or 
could affect accessibility, each such portion shall comply, to the 
extent practicable, with the applicable provisions of this subpart. This 
provision does not require that inaccessible buses be retrofitted with 
lifts, ramps or other boarding devices.



Sec. 1192.23  Mobility aid accessibility.

    (a) General. All vehicles covered by this subpart shall provide a 
level-change mechanism or boarding device (e.g., lift or ramp) complying 
with paragraph (b) or (c) of this section and sufficient clearances to 
permit a wheelchair or other mobility aid user to reach a securement 
location. At least two securement locations and devices, complying with 
paragraph (d) of this section, shall be provided on vehicles in excess 
of 22 feet in length; at least one securement location and device, 
complying with paragraph (d) of this section, shall be provided on 
vehicles 22 feet in length or less.
    (b) Vehicle lift--(1) Design load. The design load of the lift shall 
be at least 600 pounds. Working parts, such as cables, pulleys, and 
shafts, which can be expected to wear, and upon which the lift depends 
for support of the load, shall have a safety factor of at least six, 
based on the ultimate strength of the material. Nonworking parts, such

[[Page 405]]

as platform, frame, and attachment hardware which would not be expected 
to wear, shall have a safety factor of at least three, based on the 
ultimate strength of the material.
    (2) Controls--(i) Requirements. The controls shall be interlocked 
with the vehicle brakes, transmission, or door, or shall provide other 
appropriate mechanisms or systems, to ensure that the vehicle cannot be 
moved when the lift is not stowed and so the lift cannot be deployed 
unless the interlocks or systems are engaged. The lift shall deploy to 
all levels (i.e., ground, curb, and intermediate positions) normally 
encountered in the operating environment. Where provided, each control 
for deploying, lowering, raising, and stowing the lift and lowering the 
roll-off barrier shall be of a momentary contact type requiring 
continuous manual pressure by the operator and shall not allow improper 
lift sequencing when the lift platform is occupied. The controls shall 
allow reversal of the lift operation sequence, such as raising or 
lowering a platform that is part way down, without allowing an occupied 
platform to fold or retract into the stowed position.
    (ii) Exception. Where the lift is designed to deploy with its long 
dimension parallel to the vehicle axis and which pivots into or out of 
the vehicle while occupied (i.e., rotary lift), the requirements of this 
paragraph prohibiting the lift from being stowed while occupied shall 
not apply if the stowed position is within the passenger compartment and 
the lift is intended to be stowed while occupied.
    (3) Emergency operation. The lift shall incorporate an emergency 
method of deploying, lowering to ground level with a lift occupant, and 
raising and stowing the empty lift if the power to the lift fails. No 
emergency method, manual or otherwise, shall be capable of being 
operated in a manner that could be hazardous to the lift occupant or to 
the operator when operated according to manufacturer's instructions, and 
shall not permit the platform to be stowed or folded when occupied, 
unless the lift is a rotary lift and is intended to be stowed while 
occupied.
    (4) Power or equipment failure. Platforms stowed in a vertical 
position, and deployed platforms when occupied, shall have provisions to 
prevent their deploying, falling, or folding any faster than 12 inches/
second or their dropping of an occupant in the event of a single failure 
of any load carrying component.
    (5) Platform barriers. The lift platform shall be equipped with 
barriers to prevent any of the wheels of a wheelchair or mobility aid 
from rolling off the platform during its operation. A movable barrier or 
inherent design feature shall prevent a wheelchair or mobility aid from 
rolling off the edge closest to the vehicle until the platform is in its 
fully raised position. Each side of the lift platform which extends 
beyond the vehicle in its raised position shall have a barrier a minimum 
1\1/2\ inches high. Such barriers shall not interfere with maneuvering 
into or out of the aisle. The loading-edge barrier (outer barrier) which 
functions as a loading ramp when the lift is at ground level, shall be 
sufficient when raised or closed, or a supplementary system shall be 
provided, to prevent a power wheelchair or mobility aid from riding over 
or defeating it. The outer barrier of the lift shall automatically raise 
or close, or a supplementary system shall automatically engage, and 
remain raised, closed, or engaged at all times that the platform is more 
than 3 inches above the roadway or sidewalk and the platform is 
occupied. Alternatively, a barrier or system may be raised, lowered, 
opened, closed, engaged, or disengaged by the lift operator, provided an 
interlock or inherent design feature prevents the lift from rising 
unless the barrier is raised or closed or the supplementary system is 
engaged.
    (6) Platform surface. The platform surface shall be free of any 
protrusions over \1/4\ inch high and shall be slip resistant. The 
platform shall have a minimum clear width of 28\1/2\ inches at the 
platform, a minimum clear width of 30 inches measured from 2 inches 
above the platform surface to 30 inches above the platform, and a 
minimum clear length of 48 inches measured from 2 inches above the 
surface of the platform to 30 inches above the surface of the platform. 
(See Fig. 1)
    (7) Platform gaps. Any openings between the platform surface and the

[[Page 406]]

raised barriers shall not exceed \5/8\ inch in width. When the platform 
is at vehicle floor height with the inner barrier (if applicable) down 
or retracted, gaps between the forward lift platform edge and the 
vehicle floor shall not exceed \1/2\ inch horizontally and \5/8\ inch 
vertically. Platforms on semi-automatic lifts may have a hand hold not 
exceeding 1\1/2\ inches by 4\1/2\ inches located between the edge 
barriers.
    (8) Platform entrance ramp. The entrance ramp, or loading-edge 
barrier used as a ramp, shall not exceed a slope of 1:8, measured on 
level ground, for a maximum rise of 3 inches, and the transition from 
roadway or sidewalk to ramp may be vertical without edge treatment up to 
\1/4\ inch. Thresholds between \1/4\ inch and \1/2\ inch high shall be 
beveled with a slope no greater than 1:2.
    (9) Platform deflection. The lift platform (not including the 
entrance ramp) shall not deflect more than 3 degrees (exclusive of 
vehicle roll or pitch) in any direction between its unloaded position 
and its position when loaded with 600 pounds applied through a 26 inch 
by 26 inch test pallet at the centroid of the platform.
    (10) Platform movement. No part of the platform shall move at a rate 
exceeding 6 inches/second during lowering and lifting an occupant, and 
shall not exceed 12 inches/second during deploying or stowing. This 
requirement does not apply to the deployment or stowage cycles of lifts 
that are manually deployed or stowed. The maximum platform horizontal 
and vertical acceleration when occupied shall be 0.3g.
    (11) Boarding direction. The lift shall permit both inboard and 
outboard facing of wheelchair and mobility aid users.
    (12) Use by standees. Lifts shall accommodate persons using walkers, 
crutches, canes or braces or who otherwise have difficulty using steps. 
The platform may be marked to indicate a preferred standing position.
    (13) Handrails. Platforms on lifts shall be equipped with handrails 
on two sides, which move in tandem with the lift, and which shall be 
graspable and provide support to standees throughout the entire lift 
operation. Handrails shall have a usable component at least 8 inches 
long with the lowest portion a minimum 30 inches above the platform and 
the highest portion a maximum 80 inches above the platform. The 
handrails shall be capable of withstanding a force of 100 pounds 
concentrated at any point on the handrail without permanent deformation 
of the rail or its supporting structure. The handrail shall have a 
cross-sectional diameter between 1\1/4\ inches and 1\1/2\ inches or 
shall provide an equivalent grasping surface, and have eased edges with 
corner radii of not less than \1/8\ inch. Handrails shall be placed to 
provide a minimum 1\1/2\ inches knuckle clearance from the nearest 
adjacent surface. Handrails shall not interfere with wheelchair or 
mobility aid maneuverability when entering or leaving the vehicle.
    (c) Vehicle ramp--(1) Design load. Ramps 30 inches or longer shall 
support a load of 600 pounds, placed at the centroid of the ramp 
distributed over an area of 26 inches by 26 inches, with a safety factor 
of at least 3 based on the ultimate strength of the material. Ramps 
shorter than 30 inches shall support a load of 300 pounds.
    (2) Ramp surface. The ramp surface shall be continuous and slip 
resistant; shall not have protrusions from the surface greater than \1/
4\ inch high; shall have a clear width of 30 inches; and shall 
accommodate both four-wheel and three-wheel mobility aids.
    (3) Ramp threshold. The transition from roadway or sidewalk and the 
transition from vehicle floor to the ramp may be vertical without edge 
treatment up to \1/4\ inch. Changes in level between \1/4\ inch and \1/
2\ inch shall be beveled with a slope no greater than 1:2.
    (4) Ramp barriers. Each side of the ramp shall have barriers at 
least 2 inches high to prevent mobility aid wheels from slipping off.
    (5) Slope. Ramps shall have the least slope practicable and shall 
not exceed 1:4 when deployed to ground level. If the height of the 
vehicle floor from which the ramp is deployed is 3 inches or less above 
a 6-inch curb, a maximum slope of 1:4 is permitted; if the height of the 
vehicle floor from which the ramp is deployed is 6 inches or less, but 
greater than 3 inches, above a 6-inch

[[Page 407]]

curb, a maximum slope of 1:6 is permitted; if the height of the vehicle 
floor from which the ramp is deployed is 9 inches or less, but greater 
than 6 inches, above a 6-inch curb, a maximum slope of 1:8 is permitted; 
if the height of the vehicle floor from which the ramp is deployed is 
greater than 9 inches above a 6-inch curb, a slope of 1:12 shall be 
achieved. Folding or telescoping ramps are permitted provided they meet 
all structural requirements of this section.
    (6) Attachment. When in use for boarding or alighting, the ramp 
shall be firmly attached to the vehicle so that it is not subject to 
displacement when loading or unloading a heavy power mobility aid and 
that no gap between vehicle and ramp exceeds \5/8\ inch.
    (7) Stowage. A compartment, securement system, or other appropriate 
method shall be provided to ensure that stowed ramps, including portable 
ramps stowed in the passenger area, do not impinge on a passenger's 
wheelchair or mobility aid or pose any hazard to passengers in the event 
of a sudden stop or maneuver.
    (8) Handrails. If provided, handrails shall allow persons with 
disabilities to grasp them from outside the vehicle while starting to 
board, and to continue to use them throughout the boarding process, and 
shall have the top between 30 inches and 38 inches above the ramp 
surface. The handrails shall be capable of withstanding a force of 100 
pounds concentrated at any point on the handrail without permanent 
deformation of the rail or its supporting structure. The handrail shall 
have a cross-sectional diameter between 1\1/4\ inches and 1\1/2\ inches 
or shall provide an equivalent grasping surface, and have eased edges 
with corner radii of not less than \1/8\ inch. Handrails shall not 
interfere with wheelchair or mobility aid maneuverability when entering 
or leaving the vehicle.
    (d) Securement devices--(1) Design load. Securement systems on 
vehicles with GVWRs of 30,000 pounds or above, and their attachments to 
such vehicles, shall restrain a force in the forward longitudinal 
direction of up to 2,000 pounds per securement leg or clamping mechanism 
and a minimum of 4,000 pounds for each mobility aid. Securement systems 
on vehicles with GVWRs of up to 30,000 pounds, and their attachments to 
such vehicles, shall restrain a force in the forward longitudinal 
direction of up to 2,500 pounds per securement leg or clamping mechanism 
and a minimum of 5,000 pounds for each mobility aid.
    (2) Location and size. The securernent system shall be placed as 
near to the accessible entrance as practicable and shall have a clear 
floor area of 30 inches by 48 inches. Such space shall adjoin, and may 
overlap, an access path. Not more than 6 inches of the required clear 
floor space may be accommodated for footrests under another seat 
provided there is a minimum of 9 inches from the floor to the lowest 
part of the seat overhanging the space. Securement areas may have fold-
down seats to accommodate other passengers when a wheelchair or mobility 
aid is not occupying the area, provided the seats, when folded up, do 
not obstruct the clear floor space required. (See Fig. 2)
    (3) Mobility aids accommodated. The securement system shall secure 
common wheelchairs and mobility aids and shall either be automatic or 
easily attached by a person familiar with the system and mobility aid 
and having average dexterity.
    (4) Orientation. In vehicles in excess of 22 feet in length, at 
least one securement device or system required by paragraph (a) of this 
section shall secure the wheelchair or mobility aid facing toward the 
front of the vehicle. In vehicles 22 feet in length or less, the 
required securement device may secure the wheelchair or mobility aid 
either facing toward the front of the vehicle or rearward. Additional 
securement devices or systems shall secure the wheelchair or mobility 
aid facing forward or rearward. Where the wheelchair or mobility aid is 
secured facing the rear of the vehicle, a padded barrier shall be 
provided. The padded barrier shall extend from a height of 38 inches 
from the vehicle floor to a height of 56 inches from the vehicle floor 
with a width of 18 inches, laterally centered immediately in back of the 
seated individual. Such barriers need not be solid provided equivalent 
protection is afforded.

[[Page 408]]

    (5) Movement. When the wheelchair or mobility aid is secured in 
accordance with manufacturer's instructions, the securement system shall 
limit the movement of an occupied wheelchair or mobility aid to no more 
than 2 inches in any direction under normal vehicle operating 
conditions.
    (6) Stowage. When not being used for securement, or when the 
securement area can be used by standees, the securement system shall not 
interfere with passenger movement, shall not present any hazardous 
condition, shall be reasonably protected from vandalism, and shall be 
readily accessed when needed for use.
    (7) Seat belt and shoulder harness. For each wheelchair or mobility 
aid securement device provided, a passenger seat belt and shoulder 
harness, complying with all applicable provisions of 49 CFR part 571, 
shall also be provided for use by wheelchair or mobility aid users. Such 
seat belts and shoulder harnesses shall not be used in lieu of a device 
which secures the wheelchair or mobility aid itself.



Sec. 1192.25  Doors, steps and thresholds.

    (a) Slip resistance. All aisles, steps, floor areas where people 
walk and floors in securement locations shall have slip-resistant 
surfaces.
    (b) Contrast. All step edges, thresholds, and the boarding edge of 
ramps or lift platforms shall have a band of color(s) running the full 
width of the step or edge which contrasts from the step tread and riser, 
or lift or ramp surface, either light-on-dark or dark-on-light.
    (c) Door height. For vehicles in excess of 22 feet in length, the 
overhead clearance between the top of the door opening and the raised 
lift platform, or highest point of a ramp, shall be a minimum of 68 
inches. For vehicles of 22 feet in length or less, the overhead 
clearance between the top of the door opening and the raised lift 
platform, or highest point of a ramp, shall be a minimum of 56 inches.



Sec. 1192.27  Priority seating signs.

    (a) Each vehicle shall contain sign(s) which indicate that seats in 
the front of the vehicle are priority seats for persons with 
disabilities, and that other passengers should make such seats available 
to those who wish to use them. At least one set of forward-facing seats 
shall be so designated.
    (b) Each securement location shall have a sign designating it as 
such.
    (c) Characters on signs required by paragraphs (a) and (b) of this 
section shall have a width-to-height ratio between 3:5 and 1:1 and a 
stroke width-to-height ratio between 1:5 and 1:10, with a minimum 
character height (using an upper case ``X'') of \5/8\ inch, with 
``wide'' spacing (generally, the space between letters shall be \1/16\ 
the height of upper case letters), and shall contrast with the 
background either light-on-dark or dark-on-light.



Sec. 1192.29  Interior circulation, handrails and stanchions.

    (a) Interior handrails and stanchions shall permit sufficient 
turning and maneuvering space for wheelchairs and other mobility aids to 
reach a securement location from the lift or ramp.
    (b) Handrails and stanchions shall be provided in the entrance to 
the vehicle in a configuration which allows persons with disabilities to 
grasp such assists from outside the vehicle while starting to board, and 
to continue using such assists throughout the boarding and fare 
collection process. Handrails shall have a cross-sectional diameter 
between 1\1/4\ inches and 1\1/2\ inches or shall provide an equivalent 
grasping surface, and have eased edges with corner radii of not less 
than \1/8\ inch. Handrails shall be placed to provide a minimum 1\1/2\ 
inches knuckle clearance from the nearest adjacent surface. Where on-
board fare collection devices are used on vehicles in excess of 22 feet 
in length, a horizontal passenger assist shall be located across the 
front of the vehicle and shall prevent passengers from sustaining 
injuries on the fare collection device or windshield in the event of a 
sudden deceleration. Without restricting the vestibule space, the assist 
shall provide support for a boarding passenger from the front door 
through the boarding procedure. Passengers shall be able to lean against 
the assist for security while paying fares.
    (c) For vehicles in excess of 22 feet in length, overhead 
handrail(s) shall be

[[Page 409]]

provided which shall be continuous except for a gap at the rear doorway.
    (d) Handrails and stanchions shall be sufficient to permit safe 
boarding, on-board circulation, seating and standing assistance, and 
alighting by persons with disabilities.
    (e) For vehicles in excess of 22 feet in length with front-door 
lifts or ramps, vertical stanchions immediately behind the driver shall 
either terminate at the lower edge of the aisle-facing seats, if 
applicable, or be ``dog-legged'' so that the floor attachment does not 
impede or interfere with wheelchair footrests. If the driver seat 
platform must be passed by a wheelchair or mobility aid user entering 
the vehicle, the platform, to the maximum extent practicable, shall not 
extend into the aisle or vestibule beyond the wheel housing.
    (f) For vehicles in excess of 22 feet in length, the minimum 
interior height along the path from the lift to the securement location 
shall be 68 inches. For vehicles of 22 feet in length or less, the 
minimum interior height from lift to securement location shall be 56 
inches.



Sec. 1192.31  Lighting.

    (a) Any stepwell or doorway immediately adjacent to the driver shall 
have, when the door is open, at least 2 foot-candles of illumination 
measured on the step tread or lift platform.
    (b) Other stepwells and doorways, including doorways in which lifts 
or ramps are installed, shall have, at all times, at least 2 foot-
candles of illumination measured on the step tread, or lift or ramp, 
when deployed at the vehicle floor level.
    (c) The vehicle doorways, including doorways in which lifts or ramps 
are installed, shall have outside light(s) which, when the door is open, 
provide at least 1 foot-candle of illumination on the street surface for 
a distance of 3 feet perpendicular to all points on the bottom step 
tread outer edge. Such light(s) shall be located below window level and 
shielded to protect the eyes of entering and exiting passengers.



Sec. 1192.33  Fare box.

    Where provided, the farebox shall be located as far forward as 
practicable and shall not obstruct traffic in the vestibule, especially 
wheelchairs or mobility aids.



Sec. 1192.35  Public information system.

    (a) Vehicles in excess of 22 feet in length, used in multiple-stop, 
fixed-route service, shall be equipped with a public address system 
permitting the driver, or recorded or digitized human speech messages, 
to announce stops and provide other passenger information within the 
vehicle.
    (b) [Reserved]



Sec. 1192.37  Stop request.

    (a) Where passengers may board or alight at multiple stops at their 
option, vehicles in excess of 22 feet in length shall provide controls 
adjacent to the securement location for requesting stops and which 
alerts the driver that a mobility aid user wishes to disembark. Such a 
system shall provide auditory and visual indications that the request 
has been made.
    (b) Controls required by paragraph (a) of this section shall be 
mounted no higher than 48 inches and no lower than 15 inches above the 
floor, shall be operable with one hand and shall not require tight 
grasping, pinching, or twisting of the wrist. The force required to 
activate controls shall be no greater than 5 lbf (22.2 N).



Sec. 1192.39  Destination and route signs.

    (a) Where destination or route information is displayed on the 
exterior of a vehicle, each vehicle shall have illuminated signs on the 
front and boarding side of the vehicle.
    (b) Characters on signs required by paragraph (a) of this section 
shall have a width-to-height ratio between 3:5 and 1:1 and a stroke 
width-to-height ratio between 1:5 and 1:10, with a minimum character 
height (using an upper case ``X'') of 1 inch for signs on the boarding 
side and a minimum character height of 2 inches for front ``headsigns'', 
with ``wide'' spacing (generally, the space between letters shall be \1/
16\ the height of upper case letters), and shall contrast with the 
background, either dark-on-light or light-on-dark.

[[Page 410]]



               Subpart C--Rapid Rail Vehicles and Systems



Sec. 1192.51  General.

    (a) New, used and remanufactured rapid rail vehicles, to be 
considered accessible by regulations issued by the Department of 
Transportation in 49 CFR part 37, shall comply with this subpart.
    (b) If portions of the vehicle are modified in a way that affects or 
could affect accessibility, each such portion shall comply, to the 
extent practicable, with the applicable provisions of this subpart. This 
provision does not require that inaccessible vehicles be retrofitted 
with lifts, ramps or other boarding devices.
    (c) Existing vehicles which are retrofitted to comply with the 
``one-car-per-train rule'' of 49 CFR 37.93 shall comply with 
Secs. 1192.55, 1192.57(b), 1192.59 and shall have, in new and key 
stations, at least one door complying with Sec. 1192.53(a)(1), (b) and 
(d). Removal of seats is not required. Vehicles previously designed and 
manufactured in accordance with the accessibility requirements of 49 CFR 
part 609 or Department of Transportation regulations implementing 
section 504 of the Rehabilitation Act of 1973 that were in effect before 
October 7, 1991, and which can be entered and used from stations in 
which they are to be operated, may be used to satisfy the requirements 
of 49 CFR 37.93.



Sec. 1192.53  Doorways.

    (a) Clear width. (1) Passenger doorways on vehicle sides shall have 
clear openings at least 32 inches wide when open.
    (2) If doorways connecting adjoining cars in a multi-car train are 
provided, and if such doorway is connected by an aisle with a minimum 
clear width of 30 inches to one or more spaces where wheelchair or 
mobility aid users can be accommodated, then such doorway shall have a 
minimum clear opening of 30 inches to permit wheelchair and mobility aid 
users to be evacuated to an adjoining vehicle in an emergency.
    (b) Signage. The International Symbol of Accessibility shall be 
displayed on the exterior of accessible vehicles operating on an 
accessible and rapid rail system unless all vehicles area accessible and 
are not marked by the access symbol. (See Fig. 6)
    (c) Signals. Auditory and visual warning signals shall be provided 
to alert passengers of closing doors.
    (d) Coordination with boarding platform--(1) Requirements. Where new 
vehicles will operate in new stations, the design of vehicles shall be 
coordinated with the boarding platform design such that the horizontal 
gap between each vehicle door at rest and the platform shall be no 
greater than 3 inches and the height of the vehicle floor shall be 
within plus or minus \5/8\ inch of the platform height under all normal 
passenger load conditions. Vertical alignment may be accomplished by 
vehicle air suspension or other suitable means of meeting the 
requirement.
    (2) Exception. New vehicles operating in existing stations may have 
a floor height within plus or minus 1\1/2\ inches of the platform 
height. At key stations, the horizontal gap between at least one door of 
each such vehicle and the platform shall be no greater than 3 inches.
    (3) Exception. Retrofitted vehicles shall be coordinated with the 
platform in new and key stations such that the horizontal gap shall be 
no greater than 4 inches and the height of the vehicle floor, under 50% 
passenger load, shall be within plus or minus 2 inches of the platform 
height.



Sec. 1192.55  Priority seating signs.

    (a) Each vehicle shall contain sign(s) which indicate that certain 
seats are priority seats for persons with disabilities, and that other 
passengers should make such seats available to those who wish to use 
them.
    (b) Characters on signs required by paragraph (a) of this section 
shall have a width-to-height ratio between 3:5 and 1:1 and a stroke 
width-to-height ratio between 1:5 and 1:10, with a minimum character 
height (using an upper case ``X'') of \5/8\ inch, with ``Wide'' spacing 
(generally, the space between letters shall be \1/16\ the height of 
upper case letters), and shall contrast with the background, either 
light-on-dark or dark-on-light.

[[Page 411]]



Sec. 1192.57  Interior circulation, handrails and stanchions.

    (a) Handrails and stanchions shall be provided to assist safe 
boarding, on-board circulation, seating and standing assistance, and 
alighting by persons with disabilities.
    (b) Handrails, stanchions, and seats shall allow a route at least 32 
inches wide so that at least two wheelchair or mobility aid users can 
enter the vehicle and position the wheelchairs or mobility aids in 
areas, each having a minimum clear space of 48 inches by 30 inches, 
which do not unduly restrict movement of other passengers. Space to 
accommodate wheelchairs and mobility aids may be provided within the 
normal area used by standees and designation of specific spaces is not 
required. Particular attention shall be given to ensuring maximum 
maneuverability immediately inside doors. Ample vertical stanchions from 
ceiling to seat-back rails shall be provided. Vertical stanchions from 
ceiling to floor shall not interfere with wheelchair or mobility aid 
user circulation and shall be kept to a minimum in the vicinity of 
doors.
    (c) The diameter or width of the gripping surface of handrails and 
stanchions shall be 1\1/4\ inches to 1\1/2\ inches or provide an 
equivalent gripping surface and shall provide a minimum 1\1/2\ inches 
knuckle clearance from the nearest adjacent surface.



Sec. 1192.59  Floor surfaces.

    Floor surfaces on aisles, places for standees, and areas where 
wheelchair and mobility aid users are to be accommodated shall be slip-
resistant.



Sec. 1192.61  Public information system.

    (a)(1) Requirements. Each vehicle shall be equipped with a public 
address system permitting transportation system personnel, or recorded 
or digitized human speech messages, to announce stations and provide 
other passenger information. Alternative systems or devices which 
provide equivalent access are also permitted. Each vehicle operating in 
stations having more than one line or route shall have an external 
public address system to permit transportation system personnel, or 
recorded or digitized human speech messages, to announce train, route, 
or line identification information.
    (2) Exception. Where station announcement systems provide 
information on arriving trains, an external train speaker is not 
required.
    (b) [Reserved]



Sec. 1192.63  Between-car barriers.

    (a) Requirement. Suitable devices or systems shall be provided to 
prevent, deter or warn individuals from inadvertently stepping off the 
platform between cars. Acceptable solutions include, but are not limited 
to, pantograph gates, chains, motion detectors or similar devices.
    (b) Exception. Between-car barriers are not required where platform 
screens are provided which close off the platform edge and open only 
when trains are correctly aligned with the doors.



               Subpart D--Light Rail Vehicles and Systems



Sec. 1192.71  General.

    (a) New, used and remanufactured light rail vehicles, to be 
considered accessible by regulations issued by the Department of 
Transportation in 49 CFR part 37, shall comply with this subpart.
    (b)(1) Vehicles intended to be operated solely in light rail systems 
confined entirely to a dedicated right-of-way, and for which all 
stations or stops are designed and constructed for revenue service after 
the effective date of standards for design and construction issued 
pursuant to subpart C of 49 CFR part 37, shall provide level boarding 
and shall comply with Secs. 1192.73(d)(1) and 1192.85.
    (2) Vehicles designed for, and operated on, pedestrian malls, city 
streets, or other areas where level boarding is not practicable shall 
provide wayside or car-borne lifts, mini-high platforms, or other means 
of access in compliance with Sec. 1192.83 (b) or (c).
    (c) If portions of the vehicle are modified in a way that affects or 
could affect accessibility, each such portion shall comply, to the 
extent practicable, with the applicable provisions of this

[[Page 412]]

subpart. This provision does not require that inaccessible vehicles be 
retrofitted with lifts, ramps or other boarding devices.
    (d) Existing vehicles retrofitted to comply with the ``one-car-per-
train rule'' at 49 CFR 37.93 shall comply with Secs. 1192.75, 
1192.77(c), 1192.79(a) and 1192.83(a) and shall have, in new and key 
stations, at least one door which complies with Sec. 1192.73 (a)(1), (b) 
and (d). Vehicles previously designed and manufactured in accordance 
with the accessibility requirements of 49 CFR part 609 or Department of 
Transportation regulations implementing section 504 of the 
Rehabilitation Act of 1973 that were in effect before October 7, 1991, 
and which can be entered and used from stations in which they are to be 
operated, may be used to satisfy the requirements of 49 CFR 37.93.



Sec. 1192.73  Doorways.

    (a) Clear width. (1) All passenger doorways on vehicle sides shall 
have minimum clear openings of 32 inches when open.
    (2) If doorways connecting adjoining cars in a multi-car train are 
provided, and if such doorway is connected by an aisle with a minimum 
clear width of 30 inches to one or more spaces where wheelchair or 
mobility aid users can be accommodated, then such doorway shall have a 
minimum clear opening of 30 inches to permit wheelchair and mobility aid 
users to be evacuated to an adjoining vehicle in an emergency.
    (b) Signage. The International Symbol of Accessibility shall be 
displayed on the exterior of each vehicle operating on an accessible 
light rail system unless all vehicles are accessible and are not marked 
by the access symbol (See Fig. 6).
    (c) Signals. Auditory and visual warning signals shall be provided 
to alert passengers of closing doors.
    (d) Coordination with boarding platform--(1) Requirements. The 
design of level-entry vehicles shall be coordinated with the boarding 
platform or mini-high platform design so that the horizontal gap between 
a vehicle at rest and the platform shall be no greater than 3 inches and 
the height of the vehicle floor shall be within plus or minus \5/8\ inch 
of the platform height. Vertical alignment may be accomplished by 
vehicle air suspension, automatic ramps or lifts, or any combination.
    (2) Exception. New vehicles operating in existing stations may have 
a floor height within plus or minus 1\1/2\ inches of the platform 
height. At key stations, the horizontal gap between at least one door of 
each such vehicle and the platform shall be no greater than 3 inches.
    (3) Exception. Retrofitted vehicles shall be coordinated with the 
platform in new and key stations such that the horizontal gap shall be 
no greater than 4 inches and the height of the vehicle floor, under 50% 
passenger load, shall be within plus or minus 2 inches of the platform 
height.
    (4) Exception. Where it is not operationally or structurally 
practicable to meet the horizontal or vertical requirements of 
paragraphs (d) (1), (2) or (3) of this section, platform or vehicle 
devices complying with Sec. 1192.83(b) or platform or vehicle mounted 
ramps or bridge plates complying with Sec. 1192.83(c) shall be provided.



Sec. 1192.75  Priority seating signs.

    (a) Each vehicle shall contain sign(s) which indicate that certain 
seats are priority seats for persons with disabilities, and that other 
passengers should make such seats available to those who wish to use 
them.
    (b) Where designated wheelchair or mobility aid seating locations 
are provided, signs shall indicate the location and advise other 
passengers of the need to permit wheelchair and mobility aid users to 
occupy them.
    (c) Characters on signs required by paragraph (a) or (b) of this 
section shall have a width-to-height ratio between 3:5 and 1:1 and a 
stroke width-to-height ratio between 1:5 and 1:10, with a minimum 
character height (using an upper case ``X'') of \5/8\ inch, with 
``wide'' spacing (generally, the space between letters shall be \1/16\ 
the height of upper case letters), and shall contrast with the 
background, either light-on-dark or dark-on-light.

[[Page 413]]



Sec. 1192.77  Interior circulation, handrails and stanchions.

    (a) Handrails and stanchions shall be sufficient to permit safe 
boarding, on-board circulation, seating and standing assistance, and 
alighting by persons with disabilities.
    (b) At entrances equipped with steps, handrails and stanchions shall 
be provided in the entrance to the vehicle in a configuration which 
allows passengers to grasp such assists from outside the vehicle while 
starting to board, and to continue using such handrails or stanchions 
throughout the boarding process. Handrails shall have a cross-sectional 
diameter between 1\1/4\ inches and 1\1/2\ inches or shall provide an 
equivalent grasping surface, and have eased edges with corner radii of 
not less than \1/8\ inch. Handrails shall be placed to provide a minimum 
1\1/2\ inches knuckle clearance from the nearest adjacent surface. Where 
on-board fare collection devices are used, a horizontal passenger assist 
shall be located between boarding passengers and the fare collection 
device and shall prevent passengers from sustaining injuries on the fare 
collection device or windshield in the event of a sudden deceleration. 
Without restricting the vestibule space, the assist shall provide 
support for a boarding passenger from the door through the boarding 
procedure. Passengers shall be able to lean against the assist for 
security while paying fares.
    (c) At all doors on level-entry vehicles, and at each entrance 
accessible by lift, ramp, bridge plate or other suitable means, 
handrails, stanchions, passenger seats, vehicle driver seat platforms, 
and fare boxes, if applicable, shall be located so as to allow a route 
at least 32 inches wide so that at least two wheelchair or mobility aid 
users can enter the vehicle and position the wheelchairs or mobility 
aids in areas, each having a minimum clear space of 48 inches by 30 
inches, which do not unduly restrict movement of other passengers. Space 
to accommodate wheelchairs and mobility aids may be provided within the 
normal area used by standees and designation of specific spaces is not 
required. Particular attention shall be given to ensuring maximum 
maneuverability immediately inside doors. Ample vertical stanchions from 
ceiling to seat-back rails shall be provided. Vertical stanchions from 
ceiling to floor shall not interfere with wheelchair or mobility aid 
circulation and shall be kept to a minimum in the vicinity of accessible 
doors.



Sec. 1192.79  Floors, steps and thresholds.

    (a) Floor surfaces on aisles, step treads, places for standees, and 
areas where wheelchair and mobility aid users are to be accommodated 
shall be slip-resistant.
    (b) All thresholds and step edges shall have a band of color(s) 
running the full width of the step or threshold which contrasts from the 
step tread and riser or adjacent floor, either light-on-dark or dark-on-
light.



Sec. 1192.81  Lighting.

    (a) Any stepwell or doorway with a lift, ramp or bridge plate 
immediately adjacent to the driver shall have, when the door is open, at 
least 2 footcandles of illumination measured on the step tread or lift 
platform.
    (b) Other stepwells, and doorways with lifts, ramps or bridge 
plates, shall have, at all times, at least 2 footcandles of illumination 
measured on the step tread or lift or ramp, when deployed at the vehicle 
floor level.
    (c) The doorways of vehicles not operating at lighted station 
platforms shall have outside lights which provide at least 1 footcandle 
of illumination on the station platform or street surface for a distance 
of 3 feet perpendicular to all points on the bottom step tread. Such 
lights shall be located below window level and shielded to protect the 
eyes of entering and exiting passengers.



Sec. 1192.83  Mobility aid accessibility.

    (a)(1) General. All new light rail vehicles, other than level entry 
vehicles, covered by this subpart shall provide a level-change mechanism 
or boarding device (e.g., lift, ramp or bridge plate) complying with 
either paragraph (b) or (c) of this section and sufficient clearances to 
permit at least two wheelchair or mobility aid users to reach areas, 
each with a minimum clear floor space of 48 inches by 30 inches, which 
do not unduly restrict passenger flow. Space

[[Page 414]]

to accommodate wheelchairs and mobility aids may be provided within the 
normal area used by standees and designation of specific spaces is not 
required.
    (2) Exception. If lifts, ramps or bridge plates meeting the 
requirements of this section are provided on station platforms or other 
stops, or mini-high platforms complying with Sec. 1192.73(d) are 
provided, at stations or stops required to be accessible by 49 CFR part 
37, the vehicle is not required to be equipped with a car-borne device. 
Where each new vehicle is compatible with a single platform-mounted 
access system or device, additional systems or devices are not required 
for each vehicle provided that the single device could be used to 
provide access to each new vehicle if passengers using wheelchairs or 
mobility aids could not be accommodated on a single vehicle.
    (b) Vehicle lift--(1) Design load. The design load of the lift shall 
be at least 600 pounds. Working parts, such as cables, pulleys, and 
shafts, which can be expected to wear, and upon which the lift depends 
for support of the load, shall have a safety factor of at least six, 
based on the ultimate strength of the material. Nonworking parts, such 
as platform, frame, and attachment hardware which would not be expected 
to wear, shall have a safety factor of at least three, based on the 
ultimate strength of the material.
    (2) Controls--(i) Requirements. The controls shall be interlocked 
with the vehicle brakes, propulsion system, or door, or shall provide 
other appropriate mechanisms or systems, to ensure that the vehicle 
cannot be moved when the lift is not stowed and so the lift cannot be 
deployed unless the interlocks or systems are engaged. The lift shall 
deploy to all levels (i.e., ground, curb, and intermediate positions) 
normally encountered in the operating environment. Where provided, each 
control for deploying, lowering, raising, and stowing the lift and 
lowering the roll-off barrier shall be of a momentary contact type 
requiring continuous manual pressure by the operator and shall not allow 
improper lift sequencing when the lift platform is occupied. The 
controls shall allow reversal of the lift operation sequence, such as 
raising or lowering a platform that is part way down, without allowing 
an occupied platform to fold or retract into the stowed position.
    (ii) Exception. Where physical or safety constraints prevent the 
deployment at some stops of a lift having its long dimension 
perpendicular to the vehicle axis, the transportation entity may specify 
a lift which is designed to deploy with its long dimension parallel to 
the vehicle axis and which pivots into or out of the vehicle while 
occupied (i.e., ``rotary lift''). The requirements of paragraph 
(b)(2)(i) of this section prohibiting the lift from being stowed while 
occupied shall not apply to a lift design of this type if the stowed 
position is within the passenger compartment and the lift is intended to 
be stowed while occupied.
    (iii) Exception. The brake or propulsion system interlocks 
requirement does not apply to a station platform mounted lift provided 
that a mechanical, electrical or other system operates to ensure that 
vehicles do not move when the lift is in use.
    (3) Emergency operation. The lift shall incorporate an emergency 
method of deploying, lowering to ground level with a lift occupant, and 
raising and stowing the empty lift if the power to the lift fails. No 
emergency method, manual or otherwise, shall be capable of being 
operated in a manner that could be hazardous to the lift occupant or to 
the operator when operated according to manufacturer's instructions, and 
shall not permit the platform to be stowed or folded when occupied, 
unless the lift is a rotary lift intended to be stowed while occupied.
    (4) Power or equipment failure. Lift platforms stowed in a vertical 
position, and deployed platforms when occupied, shall have provisions to 
prevent their deploying, falling, or folding any faster than 12 inches/
second or their dropping of an occupant in the event of a single failure 
of any load carrying component.
    (5) Platform barriers. The lift platform shall be equipped with 
barriers to prevent any of the wheels of a wheelchair or mobility aid 
from rolling off the lift during its operation. A movable barrier or 
inherent design feature shall prevent a wheelchair or mobility aid from

[[Page 415]]

rolling off the edge closest to the vehicle until the lift is in its 
fully raised position. Each side of the lift platform which extends 
beyond the vehicle in its raised position shall have a barrier a minimum 
1\1/2\ inches high. Such barriers shall not interfere with maneuvering 
into or out of the aisle. The loading-edge barrier (outer barrier) which 
functions as a loading ramp when the lift is at ground level, shall be 
sufficient when raised or closed, or a supplementary system shall be 
provided, to prevent a power wheelchair or mobility aid from riding over 
or defeating it. The outer barrier of the lift shall automatically rise 
or close, or a supplementary system shall automatically engage, and 
remain raised, closed, or engaged at all times that the lift is more 
than 3 inches above the station platform or roadway and the lift is 
occupied. Alternatively, a barrier or system may be raised, lowered, 
opened, closed, engaged or disengaged by the lift operator provided an 
interlock or inherent design feature prevents the lift from rising 
unless the barrier is raised or closed or the supplementary system is 
engaged.
    (6) Platform surface. The lift platform surface shall be free of any 
protrusions over \1/4\ inch high and shall be slip resistant. The lift 
platform shall have a minimum clear width of 28\1/2\ inches at the 
platform, a minimum clear width of 30 inches measured from 2 inches 
above the lift platform surface to 30 inches above the surface, and a 
minimum clear length of 48 inches measured from 2 inches above the 
surface of the platform to 30 inches above the surface. (See Fig. 1)
    (7) Platform gaps. Any openings between the lift platform surface 
and the raised barriers shall not exceed \5/8\ inch wide. When the lift 
is at vehicle floor height with the inner barrier (if applicable) down 
or retracted, gaps between the forward lift platform edge and vehicle 
floor shall not exceed \1/2\ inch horizontally and \5/8\ inch 
vertically. Platforms on semiautomatic lifts may have a hand hold not 
exceeding 1\1/2\ inches by 4\1/2\ inches located between the edge 
barriers.
    (8) Platform entrance ramp. The entrance ramp, or loading-edge 
barrier used as a ramp, shall not exceed a slope of 1:8 measured on 
level ground, for a maximum rise of 3 inches, and the transition from 
the station platform or roadway to ramp may be vertical without edge 
treatment up to \1/4\ inch. Thresholds between \1/4\ inch and \1/2\ inch 
high shall be beveled with a slope no greater than 1:2.
    (9) Platform deflection. The lift platform (not including the 
entrance ramp) shall not deflect more than 3 degrees (exclusive of 
vehicle roll) in any direction between its unloaded position and its 
position when loaded with 600 pounds applied through a 26 inch by 26 
inch test pallet at the centroid of the lift platform.
    (10) Platform movement. No part of the platform shall move at a rate 
exceeding 6 inches/second during lowering and lifting an occupant, and 
shall not exceed 12 inches/second during deploying or stowing. This 
requirement does not apply to the deployment or stowage cycles of lifts 
that are manually deployed or stowed. The maximum platform horizontal 
and vertical acceleration when occupied shall be 0.3g.
    (11) Boarding direction. The lift shall permit both inboard and 
outboard facing of wheelchairs and mobility aids.
    (12) Use by standees. Lifts shall accommodate persons using walkers, 
crutches, canes or braces or who otherwise have difficulty using steps. 
The lift may be marked to indicate a preferred standing position.
    (13) Handrails. Platforms on lifts shall be equipped with handrails, 
on two sides, which move in tandem with the lift which shall be 
graspable and provide support to standees throughout the entire lift 
operation. Handrails shall have a usable component at least 8 inches 
long with the lowest portion a minimum 30 inches above the platform and 
the highest portion a maximum 38 inches above the platform. The 
handrails shall be capable of withstanding a force of 100 pounds 
concentrated at any point on the handrail without permanent deformation 
of the rail or its supporting structure. Handrails shall have a cross-
sectional diameter between 1\1/4\ inches and 1\1/2\ inches or shall 
provide an equivalent grasping surface, and have eased edges with corner 
radii of not less than \1/8\ inch. Handrails shall be placed to provide 
a minimum 1\1/2\ inches

[[Page 416]]

knuckle clearance from the nearest adjacent surface. Handrails shall not 
interfere with wheelchair or mobility aid maneuverability when entering 
or leaving the vehicle.
    (c) Vehicle ramp or bridge plate--(1) Design load. Ramps or bridge 
plates 30 inches or longer shall support a load of 600 pounds, placed at 
the centroid of the ramp or bridge plate distributed over an area of 26 
inches by 26 inches, with a safety factor of at least 3 based on the 
ultimate strength of the material. Ramps or bridge plates shorter than 
30 inches shall support a load of 300 pounds.
    (2) Ramp surface. The ramp or bridge plate surface shall be 
continuous and slip resistant, shall not have protrusions from the 
surface greater than \1/4\ inch, shall have a clear width of 30 inches, 
and shall accommodate both four-wheel and three-wheel mobility aids.
    (3) Ramp threshold. The transition from roadway or station platform 
and the transition from vehicle floor to the ramp or bridge plate may be 
vertical without edge treatment up to \1/4\ inch. Changes in level 
between \1/4\ inch and \1/2\ inch shall be beveled with a slope no 
greater than 1:2.
    (4) Ramp barriers. Each side of the ramp or bridge plate shall have 
barriers at least 2 inches high to prevent mobility aid wheels from 
slipping off.
    (5) Slope. Ramps or bridge plates shall have the least slope 
practicable. If the height of the vehicle floor, under 50% passenger 
load, from which the ramp is deployed is 3 inches or less above the 
station platform a maximum slope of 1:4 is permitted; if the height of 
the vehicle floor, under 50% passenger load, from which the ramp is 
deployed is 6 inches or less, but more than 3 inches, above the station 
platform a maximum slope of 1:6 is permitted; if the height of the 
vehicle floor, under 50% passenger load, from which the ramp is deployed 
is 9 inches or less, but more than 6 inches, above the station platform 
a maximum slope of 1:8 is permitted; if the height of the vehicle floor, 
under 50% passenger load, from which the ramp is deployed is greater 
than 9 inches above the station platform a slope of 1:12 shall be 
achieved. Folding or telescoping ramps are permitted provided they meet 
all structural requirements of this section.
    (6) Attachment--(i) Requirement. When in use for boarding or 
alighting, the ramp or bridge plate shall be attached to the vehicle, or 
otherwise prevented from moving such that it is not subject to 
displacement when loading or unloading a heavy power mobility aid and 
that any gaps between vehicle and ramp or bridge plate, and station 
platform and ramp or bridge plate, shall not exceed \5/8\ inch.
    (ii) Exception. Ramps or bridge plates which are attached to, and 
deployed from, station platforms are permitted in lieu of vehicle 
devices provided they meet the displacement requirements of paragraph 
(c)(6)(i) of this section.
    (7) Stowage. A compartment, securement system, or other appropriate 
method shall be provided to ensure that stowed ramps or bridge plates, 
including portable ramps or bridge plates stowed in the passenger area, 
do not impinge on a passenger's wheelchair or mobility aid or pose any 
hazard to passengers in the event of a sudden stop.
    (8) Handrails. If provided, handrails shall allow persons with 
disabilities to grasp them from outside the vehicle while starting to 
board, and to continue to use them throughout the boarding process, and 
shall have the top between 30 inches and 38 inches above the ramp 
surface. The handrails shall be capable of withstanding a force of 100 
pounds concentrated at any point on the handrail without permanent 
deformation of the rail or its supporting structure. The handrail shall 
have a cross-sectional diameter between 1\1/4\ inches and 1\1/2\ inches 
or shall provide an equivalent grasping surface, and have eased edges 
with corner radii of not less than \1/8\ inch. Handrails shall not 
interfere with wheelchair or mobility aid maneuverability when entering 
or leaving the vehicle.



Sec. 1192.85  Between-car barriers.

    Where vehicles operate in a high-platform, level-boarding mode, 
devices or systems shall be provided to prevent, deter or warn 
individuals from inadvertently stepping off the platform

[[Page 417]]

between cars. Appropriate devices include, but are not limited to, 
pantograph gates, chains, motion detectors or other suitable devices.



Sec. 1192.87  Public information system.

    (a) Each vehicle shall be equipped with an interior public address 
system permitting transportation system personnel, or recorded or 
digitized human speech messages, to announce stations and provide other 
passenger information. Alternative systems or devices which provide 
equivalent access are also permitted.
    (b) [Reserved]



                Subpart E--Commuter Rail Cars and Systems



Sec. 1192.91  General.

    (a) New, used and remanufactured commuter rail cars, to be 
considered accessible by regulations issued by the Department of 
Transportation in 49 CFR part 37, shall comply with this subpart.
    (b) If portions of the car are modified in such a way that it 
affects or could affect accessibility, each such portion shall comply, 
to the extent practicable, with the applicable provisions of this 
subpart. This provision does not require that inaccessible cars be 
retrofitted with lifts, ramps or other boarding devices.
    (c)(1) Commuter rail cars shall comply with Secs. 1192.93(d) and 
1192.109 for level boarding wherever structurally and operationally 
practicable.
    (2) Where level boarding is not structurally or operationally 
practicable, commuter rail cars shall comply with Sec. 1192.95.
    (d) Existing vehicles retrofitted to comply with the ``one-car-per-
train rule'' at 49 CFR 37.93 shall comply with Secs. 1192.93(e), 
1192.95(a) and 1192.107 and shall have, in new and key stations, at 
least one door on each side from which passengers board which complies 
with Sec. 1192.93(d). Vehicles previously designed and manufactured in 
accordance with the program accessibility requirements of section 504 of 
the Rehabilitation Act of 1973, or implementing regulations issued by 
the Department of Transportation that were in effect before October 7, 
1991, and which can be entered and used from stations in which they are 
to be operated, may be used to satisfy the requirements of 49 CFR 37.93.



Sec. 1192.93  Doorways.

    (a) Clear width. (1) At least one door on each side of the car from 
which passengers board opening onto station platforms and at least one 
adjacent doorway into the passenger coach compartment, if provided, 
shall have a minimum clear opening of 32 inches.
    (2) If doorways connecting adjoining cars in a multi-car train are 
provided, and if such doorway is connected by an aisle with a minimum 
clear width of 30 inches to one or more spaces where wheelchair or 
mobility aid users can be accommodated, then such doorway shall have, to 
the maximum extent practicable in accordance with the regulations issued 
under the Federal Railroad Safety Act of 1970 (49 CFR parts 229 and 
231), a clear opening of 30 inches.
    (b) Passageways. A route at least 32 inches wide shall be provided 
from doors required to be accessible by paragraph (a)(1) of this section 
to seating locations complying with Sec. 1192.95(d). In cars where such 
doorways require passage through a vestibule, such vestibule shall have 
a minimum width of 42 inches. (See Fig. 3)
    (c) Signals. If doors to the platform close automatically or from a 
remote location, auditory and visual warning signals shall be provided 
to alert passengers of closing doors.
    (d) Coordination with boarding platform--(1) Requirements. Cars 
operating in stations with high platforms, or mini-high platforms, shall 
be coordinated with the boarding platform design such that the 
horizontal gap between a car at rest and the platform shall be no 
greater than 3 inches and the height of the car floor shall be within 
plus or minus \5/8\ inch of the platform height. Vertical alignment may 
be accomplished by car air suspension, platform lifts or other devices, 
or any combination.
    (2) Exception. New vehicles operating in existing stations may have 
a floor height within plus or minus 1\1/2\ inches of the platform 
height. At key stations, the horizontal gap between at

[[Page 418]]

least one accessible door of each such vehicle and the platform shall be 
no greater than 3 inches.
    (3) Exception. Where platform set-backs do not allow the horizontal 
gap or vertical alignment specified in paragraph (d) (1) or (2) of this 
section, car, platform or portable lifts complying with Sec. 1192.95(b), 
or car or platform ramps or bridge plates, complying with 
Sec. 1192.95(c), shall be provided.
    (4) Exception. Retrofitted vehicles shall be coordinated with the 
platform in new and key stations such that the horizontal gap shall be 
no greater than 4 inches and the height of the vehicle floor, under 50% 
passenger load, shall be within plus or minus 2 inches of the platform 
height.
    (e) Signage. The International Symbol of Accessibility shall be 
displayed on the exterior of all doors complying with this section 
unless all cars are accessible and are not marked by the access symbol 
(See Fig. 6). Appropriate signage shall also indicate which accessible 
doors are adjacent to an accessible restroom, if applicable.



Sec. 1192.95  Mobility aid accessibility.

    (a)(1) General. All new commuter rail cars, other than level entry 
cars, covered by this subpart shall provide a level-change mechanism or 
boarding device (e.g., lift, ramp or bridge plate) complying with either 
paragraph (b) or (c) of this section; sufficient clearances to permit a 
wheelchair or mobility aid user to reach a seating location; and at 
least two wheelchair or mobility aid seating locations complying with 
paragraph (d) of this section.
    (2) Exception. If portable or platform lifts, ramps or bridge plates 
meeting the applicable requirements of this section are provided on 
station platforms or other stops, or mini-high platforms complying with 
Sec. 1192.93(d) are provided, at stations or stops required to be 
accessible by 49 CFR part 37, the car is not required to be equipped 
with a car-borne device. Where each new car is compatible with a single 
platform-mounted access system or device, additional systems or devices 
are not required for each car provided that the single device could be 
used to provide access to each new car if passengers using wheelchairs 
or mobility aids could not be accommodated on a single car.
    (b) Car Lift--(1) Design load. The design load of the lift shall be 
at least 600 pounds. Working parts, such as cables, pulleys, and shafts, 
which can be expected to wear, and upon which the lift depends for 
support of the load, shall have a safety factor of at least six, based 
on the ultimate strength of the material. Nonworking parts, such as 
platform, frame, and attachment hardware which would not be expected to 
wear, shall have a safety factor of at least three, based on the 
ultimate strength of the material.
    (2) Controls--(i) Requirements. The controls shall be interlocked 
with the car brakes, propulsion system, or door, or shall provide other 
appropriate mechanisms or systems, to ensure that the car cannot be 
moved when the lift is not stowed and so the lift cannot be deployed 
unless the interlocks or systems are engaged. The lift shall deploy to 
all platform levels normally encountered in the operating environment. 
Where provided, each control for deploying, lowering, raising, and 
stowing the lift and lowering the roll-off barrier shall be of a 
momentary contact type requiring continuous manual pressure by the 
operator and shall not allow improper lift sequencing when the lift 
platform is occupied. The controls shall allow reversal of the lift 
operation sequence, such as raising or lowering a platform that is part 
way down, without allowing an occupied platform to fold or retract into 
the stowed position.
    (ii) Exception. Where physical or safety constraints prevent the 
deployment at some stops of a lift having its long dimension 
perpendicular to the car axis, the transportation entity may specify a 
lift which is designed to deploy with its long dimension parallel to the 
car axis and which pivots into or out of the car while occupied (i.e., 
``rotary lift''). The requirements of paragraph (b)(2)(i) of this 
section prohibiting the lift from being stowed while occupied shall not 
apply to a lift design of this type if the stowed position is within the 
passenger compartment and the lift is intended to be stowed while 
occupied.

[[Page 419]]

    (iii) Exception. The brake or propulsion system interlock 
requirement does not apply to a platform mounted or portable lift 
provided that a mechanical, electrical or other system operates to 
ensure that cars do not move when the lift is in use.
    (3) Emergency operation. The lift shall incorporate an emergency 
method of deploying, lowering to ground or platform level with a lift 
occupant, and raising and stowing the empty lift if the power to the 
lift fails. No emergency method, manual or otherwise, shall be capable 
of being operated in a manner that could be hazardous to the lift 
occupant or to the operator when operated according to manufacturer's 
instructions, and shall not permit the platform to be stowed or folded 
when occupied, unless the lift is a rotary lift intended to be stowed 
while occupied.
    (4) Power or equipment failure. Platforms stowed in a vertical 
position, and deployed platforms when occupied, shall have provisions to 
prevent their deploying, falling, or folding any faster than 12 inches/
second or their dropping of an occupant in the event of a single failure 
of any load carrying component.
    (5) Platform barriers. The lift platform shall be equipped with 
barriers to prevent any of the wheels of a wheelchair or mobility aid 
from rolling off the lift during its operation. A movable barrier or 
inherent design feature shall prevent a wheelchair or mobility aid from 
rolling off the edge closest to the car until the lift is in its fully 
raised position. Each side of the lift platform which, in its raised 
position, extends beyond the car shall have a barrier a minimum 1\1/2\ 
inches high. Such barriers shall not interfere with maneuvering into or 
out of the car. The loading-edge barrier (outer barrier) which functions 
as a loading ramp when the lift is at ground or station platform level, 
shall be sufficient when raised or closed, or a supplementary system 
shall be provided, to prevent a power wheelchair or mobility aid from 
riding over or defeating it. The outer barrier of the lift shall 
automatically rise or close, or a supplementary system shall 
automatically engage, and remain raised, closed, or engaged at all times 
that the lift platform is more than 3 inches above the station platform 
and the lift is occupied. Alternatively, a barrier or system may be 
raised, lowered, opened, closed, engaged or disengaged by the lift 
operator provided an interlock or inherent design feature prevents the 
lift from rising unless the barrier is raised or closed or the 
supplementary system is engaged.
    (6) Platform surface. The lift platform surface shall be free of any 
protrusions over \1/4\ inch high and shall be slip resistant. The lift 
platform shall have a minimum clear width of 28\1/2\ inches at the 
platform, a minimum clear width of 30 inches measured from 2 inches 
above the lift platform surface to 30 inches above the surface, and a 
minimum clear length of 48 inches measured from 2 inches above the 
surface of the platform to 30 inches above the surface. (See Fig. 1)
    (7) Platform gaps. Any openings between the lift platform surface 
and the raised barriers shall not exceed \5/8\ inch wide. When the lift 
is at car floor height with the inner barrier down (if applicable) or 
retracted, gaps between the forward lift platform edge and car floor 
shall not exceed \1/2\ inch horizontally and \5/8\ inch vertically. 
Platforms on semi-automatic lifts may have a hand hold not exceeding 
1\1/2\ inches by 4\1/2\ inches located between the edge barriers.
    (8) Platform entrance ramp. The entrance ramp, or loading-edge 
barrier used as a ramp, shall not exceed a slope of 1:8, when measured 
on level ground, for a maximum rise of 3 inches, and the transition from 
station platform to ramp may be vertical without edge treatment up to 
\1/4\ inch. Thresholds between \1/4\ inch and \1/2\ inch high shall be 
beveled with a slope no greater than 1:2.
    (9) Platform deflection. The lift platform (not including the 
entrance ramp) shall not deflect more than 3 degrees (exclusive of 
vehicle roll) in any direction between its unloaded position and its 
position when loaded with 600 pounds applied through a 26 inch by 26 
inch test pallet at the centroid of the lift platform.
    (10) Platform movement. No part of the platform shall move at a rate 
exceeding 6 inches/second during lowering and

[[Page 420]]

lifting an occupant, and shall not exceed 12 inches/second during 
deploying or stowing. This requirement does not apply to the deployment 
or stowage cycles of lifts that are manually deployed or stowed. The 
maximum platform horizontal and vertical acceleration when occupied 
shall be 0.3g.
    (11) Boarding direction. The lift shall permit both inboard and 
outboard facing of wheelchairs and mobility aids.
    (12) Use by standees. Lifts shall accommodate persons using walkers, 
crutches, canes or braces or who otherwise have difficulty using steps. 
The lift may be marked to indicate a preferred standing position.
    (13) Handrails. Platforms on lifts shall be equipped with handrails, 
on two sides, which move in tandem with the lift which shall be 
graspable and provide support to standees throughout the entire lift 
operation. Handrails shall have a usable component at least 8 inches 
long with the lowest portion a minimum 30 inches above the platform and 
the highest portion a maximum 38 inches above the platform. The 
handrails shall be capable of withstanding a force of 100 pounds 
concentrated at any point on the handrail without permanent deformation 
of the rail or its supporting structure. The handrail shall have a 
cross-sectional diameter between 1\1/4\ inches and 1\1/2\ inches or 
shall provide an equivalent grasping surface, and have eased edges with 
corner radii of not less than \1/8\ inch. Handrails shall be placed to 
provide a minimum 1\1/2\ inches knuckle clearance from the nearest 
adjacent surface. Handrails shall not interfere with wheelchair or 
mobility aid maneuverability when entering or leaving the car.
    (c) Car ramp or bridge plate--(1) Design load. Ramps or bridge 
plates 30 inches or longer shall support a load of 600 pounds, placed at 
the centroid of the ramp or bridge plate distributed over an area of 26 
inches by 26 inches, with a safety factor of at least 3 based on the 
ultimate strength of the material. Ramps or bridge plates shorter than 
30 inches shall support a load of 300 pounds.
    (2) Ramp surface. The ramp or bridge plate surface shall be 
continuous and slip resistant, shall not have protrusions from the 
surface greater than \1/4\ inch high, shall have a clear width of 30 
inches and shall accommodate both four-wheel and three-wheel mobility 
aids.
    (3) Ramp threshold. The transition from station platform to the ramp 
or bridge plate and the transition from car floor to the ramp or bridge 
plate may be vertical without edge treatment up to \1/4\ inch. Changes 
in level between \1/4\ inch and \1/2\ inch shall be beveled with a slope 
no greater than 1:2.
    (4) Ramp barriers. Each side of the ramp or bridge plate shall have 
barriers at least 2 inches high to prevent mobility aid wheels from 
slipping off.
    (5) Slope. Ramps or bridge plates shall have the least slope 
practicable. If the height of the vehicle floor, under 50% passenger 
load, from which the ramp is deployed is 3 inches or less above the 
station platform a maximum slope of 1:4 is permitted; if the height of 
the vehicle floor, under 50% passenger load, from which the ramp is 
deployed is 6 inches or less, but more than 3 inches, above the station 
platform a maximum slope of 1:6 is permitted; if the height of the 
vehicle floor, under 50% passenger load, from which the ramp is deployed 
is 9 inches or less, but more than 6 inches, above the station platform 
a maximum slope of 1:8 is permitted; if the height of the vehicle floor, 
under 50% passenger load, from which the ramp is deployed is greater 
than 9 inches above the station platform a slope of 1:12 shall be 
achieved. Folding or telescoping ramps are permitted provided they meet 
all structural requirements of this section.
    (6) Attachment--(i) Requirement. When in use for boarding or 
alighting, the ramp or bridge plate shall be attached to the vehicle, or 
otherwise prevented from moving such that it is not subject to 
displacement when loading or unloading a heavy power mobility aid and 
that any gaps between vehicle and ramp or bridge plates, and station 
platform and ramp or bridge plate, shall not exceed \5/8\ inch.
    (ii) Exception. Ramps or bridge plates which are attached to, and 
deployed from, station platforms are permitted in lieu of car devices 
provided they meet the displacement requirements of paragraph (c)(6)(i) 
of this section.

[[Page 421]]

    (7) Stowage. A compartment, securement system, or other appropriate 
method shall be provided to ensure that stowed ramps or bridge plates, 
including portable ramps or bridge plates stowed in the passenger area, 
do not impinge on a passenger's wheelchair or mobility aid or pose any 
hazard to passengers in the event of a sudden stop.
    (8) Handrails. If provided, handrails shall allow persons with 
disabilities to grasp them from outside the car while starting to board, 
and to continue to use them throughout the boarding process, and shall 
have the top between 30 inches and 38 inches above the ramp surface. The 
handrails shall be capable of withstanding a force of 100 pounds 
concentrated at any point on the handrail without permanent deformation 
of the rail or its supporting structure. The handrail shall have a 
cross-sectional diameter between 1\1/4\ inches and 1\1/2\ inches or 
shall provide an equivalent grasping surface, and have eased edges with 
corner radii of not less than \1/8\ inch. Handrails shall not interfere 
with wheelchair or mobility aid maneuverability when entering or leaving 
the car.
    (d) Mobility aid seating location. Spaces for persons who wish to 
remain in their wheelchairs or mobility aids shall have a minimum clear 
floor space 48 inches by 30 inches. Such spaces shall adjoin, and may 
overlap, an accessible path. Not more than 6 inches of the required 
clear floor space may be accommodated for footrests under another seat 
provided there is a minimum of 9 inches from the floor to the lowest 
part of the seat overhanging the space. Seating spaces may have fold-
down or removable seats to accommodate other passengers when a 
wheelchair or mobility aid user is not occupying the area, provided the 
seats, when folded up, do not obstruct the clear floor space required. 
(See Fig. 2)



Sec. 1192.97  Interior circulation, handrails and stanchions.

    (a) Where provided, handrails or stanchions within the passenger 
compartment shall be placed to permit sufficient turning and maneuvering 
space for wheelchairs and other mobility aids to reach a seating 
location, complying with Sec. 1192.95(d), from an accessible entrance. 
The diameter or width of the gripping surface of interior handrails and 
stanchions shall be 1\1/4\ inches to 1\1/2\ inches or shall provide an 
equivalent gripping surface. Handrails shall be placed to provide a 
minimum 1\1/2\ inches knuckle clearance from the nearest adjacent 
surface.
    (b) Where provided, handrails or stanchions shall be sufficient to 
permit safe boarding, on-board circulation, seating and standing 
assistance, and alighting by persons with disabilities.
    (c) At entrances equipped with steps, handrails or stanchions shall 
be provided in the entrance to the car in a configuration which allows 
passengers to grasp such assists from outside the car while starting to 
board, and to continue using such assists throughout the boarding 
process, to the extent permitted by 49 CFR part 231.



Sec. 1192.99  Floors, steps and thresholds.

    (a) Floor surfaces on aisles, step treads, places for standees, and 
areas where wheelchair and mobility aid users are to be accommodated 
shall be slip-resistant.
    (b) All thresholds and step edges shall have a band of color(s) 
running the full width of the step or threshold which contrasts from the 
step tread and riser or adjacent floor, either light-on-dark or dark-on-
light.



Sec. 1192.101  Lighting.

    (a) Any stepwell or doorway with a lift, ramp or bridge plate shall 
have, when the door is open, at least 2 footcandles of illumination 
measured on the step tread, ramp, bridge plate, or lift platform.
    (b) The doorways of cars not operating at lighted station platforms 
shall have outside lights which, when the door is open, provide at least 
1 footcandle of illumination on the station platform surface for a 
distance of 3 feet perpendicular to all points on the bottom step tread 
edge. Such lights shall be shielded to protect the eyes of entering and 
exiting passengers.



Sec. 1192.103  Public information system.

    (a) Each car shall be equipped with an interior public address 
system permitting transportation system personnel, or recorded or 
digitized human

[[Page 422]]

speech messages, to announce stations and provide other passenger 
information. Alternative systems or devices which provide equivalent 
access are also permitted.
    (b) [Reserved]



Sec. 1192.105  Priority seating signs.

    (a) Each car shall contain sign(s) which indicate that certain seats 
are priority seats for persons with disabilities and that other 
passengers should make such seats available to those who wish to use 
them.
    (b) Characters on signs required by paragraph (a) shall have a 
width-to-height ratio between 3:5 and 1:1 and a stroke width-to-height 
ratio between 1:5 and 1:10, with a minimum character height (using an 
upper case ``X'') of \5/8\ inch, with ``wide'' spacing (generally, the 
space between letters shall be \1/16\ the height of upper case letters), 
and shall contrast with the background either light-on-dark or dark-on-
light.



Sec. 1192.107  Restrooms.

    (a) If a restroom is provided for the general public, it shall be 
designed so as to allow a person using a wheelchair or mobility aid to 
enter and use such restroom as specified in paragraphs (a) (1) through 
(5) of this section.
    (1) The minimum clear floor area shall be 35 inches by 60 inches. 
Permanently installed fixtures may overlap this area a maximum of 6 
inches, if the lowest portion of the fixture is a minimum of 9 inches 
above the floor, and may overlap a maximum of 19 inches, if the lowest 
portion of the fixture is a minimum of 29 inches above the floor, 
provided such fixtures do not interfere with access to the water closet. 
Fold-down or retractable seats or shelves may overlap the clear floor 
space at a lower height provided they can be easily folded up or moved 
out of the way.
    (2) The height of the water closet shall be 17 inches to 19 inches 
measured to the top of the toilet seat. Seats shall not be sprung to 
return to a lifted position.
    (3) A grab bar at least 24 inches long shall be mounted behind the 
water closet, and a horizontal grab bar at least 40 inches long shall be 
mounted on at least one side wall, with one end not more than 12 inches 
from the back wall, at a height between 33 inches and 36 inches above 
the floor.
    (4) Faucets and flush controls shall be operable with one hand and 
shall not require tight grasping, pinching, or twisting of the wrist. 
The force required to activate controls shall be no greater than 5 lbf 
(22.2 N). Controls for flush valves shall be mounted no more than 44 
inches above the floor.
    (5) Doorways on the end of the enclosure, opposite the water closet, 
shall have a minimum clear opening width of 32 inches. Doorways on the 
side wall shall have a minimum clear opening width of 39 inches. Door 
latches and hardware shall be operable with one hand and shall not 
require tight grasping, pinching, or twisting of the wrist.
    (b) Restrooms required to be accessible shall be in close proximity 
to at least one seating location for persons using mobility aids and 
shall be connected to such a space by an unobstructed path having a 
minimum width of 32 inches.



Sec. 1192.109  Between-car barriers.

    Where vehicles operate in a high-platform, level-boarding mode, and 
where between-car bellows are not provided, devices or systems shall be 
provided to prevent, deter or warn individuals from inadvertently 
stepping off the platform between cars. Appropriate devices include, but 
are not limited to, pantograph gates, chains, motion detectors or other 
suitable devices.



               Subpart F--Intercity Rail Cars and Systems



Sec. 1192.111  General.

    (a) New, used and remanufactured intercity rail cars, to be 
considered accessible by regulations issued by the Department of 
Transportation in 49 CFR part 37, shall comply with this subpart to the 
extent required for each type of car as specified below.
    (1) Single-level rail passenger coaches and food service cars (other 
than single-level dining cars) shall comply with Secs. 1192.113 through 
1192.123. Compliance with Sec. 1192.125 shall be required only to the 
extent necessary to meet the requirements of paragraph (d) of this 
section.

[[Page 423]]

    (2) Single-level dining and lounge cars shall have at least one 
connecting doorway complying with Sec. 1192.113(a)(2), connected to a 
car accessible to persons using wheelchairs or mobility aids, and at 
least one space complying with Sec. 1192.125(d) (2) and (3), to provide 
table service to a person who wishes to remain in his or her wheelchair, 
and space to fold and store a wheelchair for a person who wishes to 
transfer to an existing seat.
    (3) Bi-level dining cars shall comply with Secs. 1192.113(a)(2), 
1192.115(b), 1192.117(a), and 1192.121.
    (4) Bi-level lounge cars shall have doors on the lower level, on 
each side of the car from which passengers board, complying with 
Sec. 1192.113, a restroom complying with Sec. 1192.123, and at least one 
space complying with Sec. 1192.125(d) (2) and (3) to provide table 
service to a person who wishes to remain in his or her wheelchair and 
space to fold and store a wheelchair for a person who wishes to transfer 
to an existing seat.
    (5) Restrooms complying with Sec. 1192.123 shall be provided in 
single-level rail passenger coaches and food service cars adjacent to 
the accessible seating locations required by paragraph (d) of this 
section. Accessible restrooms are required in dining and lounge cars 
only if restrooms are provided for other passengers.
    (6) Sleeper cars shall comply with Secs. 1192.113 (b) through (d), 
1192.115 through 1192.121, and 1192.125, and have at least one 
compartment which can be entered and used by a person using a wheelchair 
or mobility aid and complying with Sec. 1192.127.
    (b)(1) If physically and operationally practicable, intercity rail 
cars shall comply with Sec. 1192.113(d) for level boarding.
    (2) Where level boarding is not structurally or operationally 
practicable, intercity rail cars shall comply with Sec. 1192.125.
    (c) If portions of the car are modified in a way that affects or 
could affect accessibility, each such portion shall comply, to the 
extent practicable, with the applicable provisions of this subpart. This 
provision does not require that inaccessible cars be retrofitted with 
lifts, ramps or other boarding devices.
    (d) Passenger coaches or food service cars shall have the number of 
spaces complying with Sec. 1192.125(d)(2) and the number of spaces 
complying with Sec. 1192.125(d)(3), as required by 49 CFR 37.91.
    (e) Existing cars retrofitted to meet the seating requirements of 49 
CFR 37.91 shall comply with Secs. 1192.113(e), 1192.123, 1192.125(d) and 
shall have at least one door on each side from which passengers board 
complying with Sec. 1192.113(d). Existing cars designed and manufactured 
to be accessible in accordance with Department of Transportation 
regulations implementing section 504 of the Rehabilitation Act of 1973 
that were in effect before October 7,1991, shall comply with 
Sec. 1192.125(a).



Sec. 1192.113  Doorways.

    (a) Clear width. (1) At least one doorway, on each side of the car 
from which passengers board, of each car required to be accessible by 
Sec. 1192.111(a) and where the spaces required by Sec. 1192.111(d) are 
located, and at least one adjacent doorway into coach passenger 
compartments shall have a minimum clear opening width of 32 inches.
    (2) Doorways at ends of cars connecting two adjacent cars, to the 
maximum extent practicable in accordance with regulations issued under 
the Federal Railroad Safety Act of 1970 (49 CFR parts 229 and 231), 
shall have a clear opening width of 32 inches to permit wheelchair and 
mobility aid users to enter into a single-level dining car, if 
available.
    (b) Passaway. Doorways required to be accessible by paragraph (a) of 
this section shall permit access by persons using mobility aids and 
shall have an unobstructed passageway at least 32 inches wide leading to 
an accessible sleeping compartment complying with Sec. 1192.127 or 
seating locations complying with Sec. 1192.125(d). In cars where such 
doorways require passage through a vestibule, such vestibule shall have 
a minimum width of 42 inches. (see Fig. 4)
    (c) Signals. If doors to the platform close automatically or from a 
remote location, auditory and visual warning signals shall be provided 
to alert passengers of closing doors.

[[Page 424]]

    (d) Coordination with boarding platforms--(1) Requirements. Cars 
which provide level-boarding in stations with high platforms shall be 
coordinated with the boarding platform or mini-high platform design such 
that the horizontal gap between a car at rest and the platform shall be 
no greater than 3 inches and the height of the car floor shall be within 
plus or minus \5/8\ inch of the platform height. Vertical alignment may 
be accomplished by car air suspension, platform lifts or other devices, 
or any combination.
    (2) Exception. New cars operating in existing stations may have a 
floor height within plus or minus 1\1/2\ inches of the platform height.
    (3) Exception. Where platform set-backs do not allow the horizontal 
gap or vertical alignment specified in paragraph (d) (1) or (2) of this 
section, platform or portable lifts complying with Sec. 1192.125(b), or 
car or platform bridge plates, complying with Sec. 1192.125(c), may be 
provided.
    (4) Exception. Retrofitted vehicles shall be coordinated with the 
platform in existing stations such that the horizontal gap shall be no 
greater than 4 inches and the height of the vehicle floor, under 50% 
passenger load, shall be within plus or minus 2 inches of the platform 
height.
    (e) Signage. The International Symbol of Accessibility shall be 
displayed on the exterior of all doors complying with this section 
unless all cars and doors are accessible and are not marked by the 
access symbol (see Fig. 6). Appropriate signage shall also indicate 
which accessible doors are adjacent to an accessible restroom, if 
applicable.



Sec. 1192.115  Interior circulation, handrails and stanchions.

    (a) Where provided, handrails or stanchions within the passenger 
compartment shall be placed to permit sufficient turning and maneuvering 
space for wheelchairs and other mobility aids to reach a seating 
location, complying with Sec. 1192.125(d), from an accessible entrance. 
The diameter or width of the gripping surface of interior handrails and 
stanchions shall be 1\1/4\ inches to 1\1/2\ inches or shall provide an 
equivalent gripping surface. Handrails shall be placed to provide a 
minimum 1\1/2\ inches knuckle clearance from the nearest adjacent 
surface.
    (b) Where provided, handrails and stanchions shall be sufficient to 
permit safe boarding, on-board circulation, seating and standing 
assistance, and alighting by persons with disabilities.
    (c) At entrances equipped with steps, handrails or stanchions shall 
be provided in the entrance to the car in a configuration which allows 
passengers to grasp such assists from outside the car while starting to 
board, and to continue using such assists throughout the boarding 
process, to the extent permitted by 49 CFR part 231.



Sec. 1192.117  Floors, steps and thresholds.

    (a) Floor surfaces on aisles, step treads and areas where wheelchair 
and mobility aid users are to be accommodated shall be slip-resistant.
    (b) All step edges and thresholds shall have a band of color(s) 
running the full width of the step or threshold which contrasts from the 
step tread and riser or adjacent floor, either light-on-dark or dark-on-
light.



Sec. 1192.119  Lighting.

    (a) Any stepwell, or doorway with a lift, ramp or bridge plate, 
shall have, when the door is open, at least 2 footcandles of 
illumination measured on the step tread, ramp, bridge plate or lift 
platform.
    (b) The doorways of cars not operating at lighted station platforms 
shall have outside lights which, when the door is open, provide at least 
1 footcandle of illumination on the station platform surface for a 
distance of 3 feet perpendicular to all points on the bottom step tread 
edge. Such lights shall be shielded to protect the eyes of entering and 
exiting passengers.



Sec. 1192.121  Public information system.

    (a) Each car shall be equipped with a public address system 
permitting transportation system personnel, or recorded or digitized 
human speech messages, to announce stations and provide other passenger 
information. Alternative systems or devices which provide equivalent 
access are also permitted.
    (b) [Reserved]

[[Page 425]]



Sec. 1192.123  Restrooms.

    (a) If a restroom is provided for the general public, and an 
accessible restroom is required by Sec. 1192.111 (a) and (e), it shall 
be designed so as to allow a person using a wheelchair or mobility aid 
to enter and use such restroom as specified in paragraphs (a) (1) 
through (5) of this section.
    (1) The minimum clear floor area shall be 35 inches by 60 inches. 
Permanently installed fixtures may overlap this area a maximum of 6 
inches, if the lowest portion of the fixture is a minimum of 9 inches 
above the floor, and may overlap a maximum of 19 inches, if the lowest 
portion of the fixture is a minimum of 29 inches above the floor. 
Fixtures shall not interfere with access to and use of the water closet. 
Fold-down or retractable seats or shelves may overlap the clear floor 
space at a lower height provided they can be easily folded up or moved 
out of the way.
    (2) The height of the water closet shall be 17 inches to 19 inches 
measured to the top of the toilet seat. Seats shall not be sprung to 
return to a lifted position.
    (3) A grab bar at least 24 inches long shall be mounted behind the 
water closet, and a horizontal grab bar at least 40 inches long shall be 
mounted on at least one side wall, with one end not more than 12 inches 
from the back wall, at a height between 33 inches and 36 inches above 
the floor.
    (4) Faucets and flush controls shall be operable with one hand and 
shall not require tight grasping, pinching, or twisting of the wrist. 
The force required to activate controls shall be no greater than 5 lbf 
(22.2 N). Controls for flush valves shall be mounted no more than 44 
inches above the floor.
    (5) Doorways on the end of the enclosure, opposite the water closet, 
shall have a minimum clear opening width of 32 inches. Doorways on the 
side wall shall have a minimum clear opening width of 39 inches. Door 
latches and hardware shall be operable with one hand and shall not 
require tight grasping, pinching, or twisting of the wrist.
    (b) Restrooms required to be accessible shall be in close proximity 
to at least one seating location for persons using mobility aids 
complying with Sec. 1192.125(d) and shall be connected to such a space 
by an unobstructed path having a minimum width of 32 inches.



Sec. 1192.125  Mobility aid accessibility.

    (a)(1) General. All intercity rail cars, other than level entry 
cars, required to be accessible by Sec. 1192.111 (a) and (e) of this 
subpart shall provide a level-change mechanism or boarding device (e.g., 
lift, ramp or bridge plate) complying with either paragraph (b) or (c) 
of this section and sufficient clearances to permit a wheelchair or 
other mobility aid user to reach a seating location complying with 
paragraph (d) of this section.
    (2) Exception. If portable or platform lifts, ramps or bridge plates 
meeting the applicable requirements of this section are provided on 
station platforms or other stops, or mini-high platforms complying with 
Sec. 1192.113(d) are provided, at stations or stops required to be 
accessible by 49 CFR part 37, the car is not required to be equipped 
with a car-borne device.
    (b) Car Lift--(1) Design load. The design load of the lift shall be 
at least 600 pounds. Working parts, such as cables, pulleys, and shafts, 
which can be expected to wear, and upon which the lift depends for 
support of the load, shall have a safety factor of at least six, based 
on the ultimate strength of the material. Nonworking parts, such as 
platform, frame, and attachment hardware which would not be expected to 
wear, shall have a safety factor of at least three, based on the 
ultimate strength of the material.
    (2) Controls--(i) Requirements. The controls shall be interlocked 
with the car brakes, propulsion system, or door, or shall provide other 
appropriate mechanisms or systems, to ensure that the car cannot be 
moved when the lift is not stowed and so the lift cannot be deployed 
unless the interlocks or systems are engaged. The lift shall deploy to 
all platform levels normally encountered in the operating environment. 
Where provided, each control for deploying, lowering, raising, and 
stowing the lift and lowering the roll-off barrier shall be of a 
momentary contact type requiring continuous manual pressure by the 
operator and shall not allow improper lift sequencing when

[[Page 426]]

the lift platform is occupied. The controls shall allow reversal of the 
lift operation sequence, such as raising or lowering a platform that is 
part way down, without allowing an occupied platform to fold or retract 
into the stowed position.
    (ii) Exception. Where physical or safety constraints prevent the 
deployment at some stops of a lift having its long dimension 
perpendicular to the car axis, the transportation entity may specify a 
lift which is designed to deploy with its long dimension parallel to the 
car axis and which pivots into or out of the car while occupied (i.e., 
``rotary lift''). The requirements of paragraph (b)(2)(i) of this 
section prohibiting the lift from being stowed while occupied shall not 
apply to a lift design of this type if the stowed position is within the 
passenger compartment and the lift is intended to be stowed while 
occupied.
    (iii) Exception. The brake or propulsion system interlocks 
requirement does not apply to platform mounted or portable lifts 
provided that a mechanical, electrical or other system operates to 
ensure that cars do not move when the lift is in use.
    (3) Emergency operation. The lift shall incorporate an emergency 
method of deploying, lowering to ground or station platform level with a 
lift occupant, and raising and stowing the empty lift if the power to 
the lift fails. No emergency method, manual or otherwise, shall be 
capable of being operated in a manner that could be hazardous to the 
lift occupant or to the operator when operated according to 
manufacturer's instructions, and shall not permit the platform to be 
stowed or folded when occupied, unless the lift is a rotary lift and is 
intended to be stowed while occupied.
    (4) Power or equipment failure. Platforms stowed in a vertical 
position, and deployed platforms when occupied, shall have provisions to 
prevent their deploying, failing, or folding any faster than 12 inches/
second or their dropping of an occupant in the event of a single failure 
of any load carrying component.
    (5) Platform barriers. The lift platform shall be equipped with 
barriers to prevent any of the wheels of a wheelchair or mobility aid 
from rolling off the lift during its operation. A movable barrier or 
inherent design feature shall prevent a wheelchair or mobility aid from 
rolling off the edge closest to the car until the lift is in its fully 
raised position. Each side of the lift platform which, in its raised 
position, extends beyond the car shall have a barrier a minimum 1\1/2\ 
inches high. Such barriers shall not interfere with maneuvering into or 
out of the car. The loading-edge barrier (outer barrier) which functions 
as a loading ramp when the lift is at ground or station platform level, 
shall be sufficient when raised or closed, or a supplementary system 
shall be provided, to prevent a power wheelchair or mobility aid from 
riding over or defeating it. The outer barrier of the lift shall 
automatically rise or close, or a supplementary system shall 
automatically engage, and remain raised, closed, or engaged at all times 
that the lift platform is more than 3 inches above the station platform 
and the lift is occupied. Alternatively, a barrier or system may be 
raised, lowered, opened, closed, engaged or disengaged by the lift 
operator provided an interlock or inherent design feature prevents the 
lift from rising unless the barrier is raised or closed or the 
supplementary system is engaged.
    (6) Platform surface. The lift platform surface shall be free of any 
protrusions over \1/4\ inch high and shall be slip resistant. The lift 
platform shall have a minimum clear width of 28\1/2\ inches at the 
platform, a minimum clear width of 30 inches measured from 2 inches 
above the lift platform surface to 30 inches above the surface, and a 
minimum clear length of 48 inches measured from 2 inches above the 
surface of the platform to 30 inches above the surface. (See Fig. 1.)
    (7) Platform gaps. Any openings between the lift platform surface 
and the raised barriers shall not exceed \5/8\ inch wide. When the lift 
is at car floor height with the inner barrier (if applicable) down or 
retracted, gaps between the forward lift platform edge and car floor 
shall not exceed \1/2\ inch horizontally and \5/8\ inch vertically. 
Platforms on semi-automatic lifts may have a hand hold not exceeding 
1\1/2\

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inches by 4\1/2\ inches located between the edge barriers.
    (8) Platform entrance ramp. The entrance ramp, or loading-edge 
barrier used as a ramp, shall not exceed a slope of 1:8, when measured 
on level ground, for a maximum rise of 3 inches, and the transition from 
station platform to ramp may be vertical without edge treatment up to 
\1/4\ inch. Thresholds between \1/4\ inch and \1/2\ inch high shall be 
beveled with a slope no greater than 1:2.
    (9) Platform deflection. The lift platform (not including the 
entrance ramp) shall not deflect more than 3 degrees (exclusive of car 
roll) in any direction between its unloaded position and its position 
when loaded with 600 pounds applied through a 26 inch by 26 inch test 
pallet at the centroid of the lift platform.
    (10) Platform movement. No part of the platform shall move at a rate 
exceeding 6 inches/second during lowering and lifting an occupant, and 
shall not exceed 12 inches/second during deploying or stowing. This 
requirement does not apply to the deployment or stowage cycles of lifts 
that are manually deployed or stowed. The maximum platform horizontal 
and vertical acceleration when occupied shall be 0.3g.
    (11) Boarding direction. The lift shall permit both inboard and 
outboard facing of wheelchairs and mobility aids.
    (12) Use by standees. Lifts shall accommodate persons using walkers, 
crutches, canes or braces or who otherwise have difficulty using steps. 
The lift may be marked to indicate a preferred standing position.
    (13) Handrails. Platforms on lifts shall be equipped with handrails, 
on two sides, which move in tandem with the lift, and which shall be 
graspable and provide support to standees throughout the entire lift 
operation. Handrails shall have a usable component at least 8 inches 
long with the lowest portion a minimum 30 inches above the platform and 
the highest portion a maximum 38 inches above the platform. The 
handrails shall be capable of withstanding a force of 100 pounds 
concentrated at any point on the handrail without permanent deformation 
of the rail or its supporting structure. The handrail shall have a 
cross-sectional diameter between 1\1/4\ inches and 1\1/2\ inches or 
shall provide an equivalent grasping surface, and have eased edges with 
corner radii of not less than \1/8\ inch. Handrails shall be placed to 
provide a minimum 1\1/2\ inches knuckle clearance from the nearest 
adjacent surface. Handrails shall not interfere with wheelchair or 
mobility aid maneuverability when entering or leaving the car.
    (c) Car ramp or bridge plate--(1) Design load. Ramps or bridge 
plates 30 inches or longer shall support a load of 600 pounds, placed at 
the centroid of the ramp or bridge plate distributed over an area of 26 
inches by 26 inches, with a safety factor of at least 3 based on the 
ultimate strength of the material. Ramps or bridge plates shorter than 
30 inches shall support a load of 300 pounds.
    (2) Ramp surface. The ramp or bridge plate surface shall be 
continuous and slip resistant, shall not have protrusions from the 
surface greater than \1/4\ inch high, shall have a clear width of 30 
inches and shall accommodate both four-wheel and three-wheel mobility 
aids.
    (3) Ramp threshold. The transition from station platform to the ramp 
or bridge plate and the transition from car floor to the ramp or bridge 
plate may be vertical without edge treatment up to \1/4\ inch. Changes 
in level between \1/4\ inch and \1/2\ inch shall be beveled with a slope 
no greater than 1:2.
    (4) Ramp barriers. Each side of the ramp or bridge plate shall have 
barriers at least 2 inches high to prevent mobility aid wheels from 
slipping off.
    (5) Slope. Ramps or bridge plates shall have the least slope 
practicable. If the height of the vehicle floor, under 50% passenger 
load, from which the ramp is deployed is 3 inches or less above the 
station platform a maximum slope of 1:4 is permitted; if the height of 
the vehicle floor, under 50% passenger load, from which the ramp is 
deployed is 6 inches or less, but more than 3 inches, above the station 
platform a maximum slope of 1:6 is permitted; if the height of the 
vehicle floor, under 50% passenger load, from which the ramp is deployed 
is 9 inches or less, but more

[[Page 428]]

than 6 inches, above the station platform a maximum slope of 1:8 is 
permitted; if the height of the vehicle floor, under 50% passenger load, 
from which the ramp is deployed is greater than 9 inches above the 
station platform a slope of 1:12 shall be achieved. Folding or 
telescoping ramps are permitted provided they meet all structural 
requirements of this section.
    (6) Attachment--(i) Requirement. When in use for boarding or 
alighting, the ramp or bridge plate shall be attached to the vehicle, or 
otherwise prevented from moving such that it is not subject to 
displacement when loading or unloading a heavy power mobility aid and 
that any gaps between vehicle and ramp or bridge plate, and station 
platform and ramp or bridge plate, shall not exceed \5/8\ inch.
    (ii) Exception. Ramps or bridge plates which are attached to, and 
deployed from, station platforms are permitted in lieu of car devices 
provided they meet the displacement requirements of paragraph (c)(6)(i) 
of this section.
    (7) Stowage. A compartment, securement system, or other appropriate 
method shall be provided to ensure that stowed ramps or bridge plates, 
including portable ramps or bridge plates stowed in the passenger area, 
do not impinge on a passenger's wheelchair or mobility aid or pose any 
hazard to passengers in the event of a sudden stop.
    (8) Handrails. If provided, handrails shall allow persons with 
disabilities to grasp them from outside the car while starting to board, 
and to continue to use them throughout the boarding process, and shall 
have the top between 30 inches and 38 inches above the ramp surface. The 
handrails shall be capable of withstanding a force of 100 pounds 
concentrated at any point on the handrail without permanent deformation 
of the rail or its supporting structure. The handrail shall have a 
cross-sectional diameter between 1\1/4\ inches and 1\1/2\ inches or 
shall provide an equivalent grasping surface, and have eased edges with 
corner radii of not less than \1/8\ inch. Handrails shall not interfere 
with wheelchair or mobility aid maneuverability when entering or leaving 
the car.
    (d) Seating--(1) Requirements. All intercity rail cars required to 
be accessible by Sec. 1192.111 (a) and (e) of this subpart shall provide 
at least one, but not more than two, mobility aid seating location(s) 
complying with paragraph (d)(2) of this section; and at least one, but 
not more than two, seating location(s) complying with paragraph (d)(3) 
of this section which adjoin or overlap an accessible route with a 
minimum clear width of 32 inches.
    (2) Wheelchair or mobility aid spaces. Spaces for persons who wish 
to remain in their wheelchairs or mobility aids shall have a minimum 
clear floor area 48 inches by 30 inches. Such space may have fold-down 
or removable seats for use when not occupied by a wheelchair or mobility 
aid user. (See Fig. 2)
    (3) Other spaces. Spaces for individuals who wish to transfer shall 
include a regular coach seat or dining car booth or table seat and space 
to fold and store the passenger's wheelchair.



Sec. 1192.127  Sleeping compartments.

    (a) Sleeping compartments required to be accessible shall be 
designed so as to allow a person using a wheelchair or mobility aid to 
enter, maneuver within and approach and use each element within such 
compartment. (See Fig. 5.)
    (b) Each accessible compartment shall contain a restroom complying 
with Sec. 1192.123(a) which can be entered directly from such 
compartment.
    (c) Controls and operating mechanisms (e.g., heating and air 
conditioning controls, lighting controls, call buttons, electrical 
outlets, etc.) shall be mounted no more than 48 inches, and no less than 
15 inches, above the floor and shall have a clear floor area directly in 
front a minimum of 30 inches by 48 inches. Controls and operating 
mechanisms shall be operable with one hand and shall not require tight 
grasping, pinching, or twisting of the wrist.



               Subpart G--Over-the-Road Buses and Systems



Sec. 1192.151  General.

    (a) New, used and remanufactured over-the-road buses, to be 
considered accessible by regulations issued by the Department of 
Transportation in 49 CFR part 37, shall comply with this subpart.

[[Page 429]]

    (b) Over-the-road buses covered by 49 CFR 37.7(c) shall comply with 
Sec. 1192.23 and this subpart.



Sec. 1192.153  Doors, steps and thresholds.

    (a) Floor surfaces on aisles, step treads and areas where wheelchair 
and mobility aid users are to be accommodated shall be slip-resistant.
    (b) All step edges shall have a band of color(s) running the full 
width of the step which contrasts from the step tread and riser, either 
dark-on-light or light-on-dark.
    (c) To the maximum extent practicable, doors shall have a minimum 
clear width when open of 30 inches, but in no case less than 27 inches.



Sec. 1192.155  Interior circulation, handrails and stanchions.

    (a) Handrails and stanchions shall be provided in the entrance to 
the vehicle in a configuration which allows passengers to grasp such 
assists from outside the vehicle while starting to board, and to 
continue using such handrails or stanchions throughout the boarding 
process. Handrails shall have a cross-sectional diameter between 1\1/4\ 
inches and 1\1/2\ inches or shall provide an equivalent grasping 
surface, and have eased edges with corner radii of not less than \1/8\ 
inch. Handrails shall be placed to provide a minimum 1\1/2\ inches 
knuckle clearance from the nearest adjacent surface. Where on-board fare 
collection devices are used, a horizontal passenger assist shall be 
located between boarding passengers and the fare collection device and 
shall prevent passengers from sustaining injuries on the fare collection 
device or windshield in the event of a sudden deceleration. Without 
restricting the vestibule space, the assist shall provide support for a 
boarding passenger from the door through the boarding procedure. 
Passengers shall be able to lean against the assist for security while 
paying fares.
    (b) Where provided within passenger compartments, handrails or 
stanchions shall be sufficient to permit safe on-board circulation, 
seating and standing assistance, and alighting by persons with 
disabilities.



Sec. 1192.157  Lighting.

    (a) Any stepwell or doorway immediately adjacent to the driver shall 
have, when the door is open, at least 2 foot-candles of illumination 
measured on the step tread.
    (b) The vehicle doorway shall have outside light(s) which, when the 
door is open, provide at least 1 foot-candle of illumination on the 
street surface for a distance of 3 feet perpendicular to all points on 
the bottom step tread outer edge. Such light(s) shall be located below 
window level and shielded to protect the eyes of entering and exiting 
passengers.



Sec. 1192.159  Mobility aid accessibility. [Reserved]



                  Subpart H--Other Vehicles and Systems



Sec. 1192.171  General.

    (a) New, used and remanufactured vehicles and conveyances for 
systems not covered by other subparts of this part, to be considered 
accessible by regulations issued by the Department of Transportation in 
49 CFR part 37, shall comply with this subpart.
    (b) If portions of the vehicle or conveyance are modified in a way 
that affects or could affect accessibility, each such portion shall 
comply, to the extent practicable, with the applicable provisions of 
this subpart. This provision does not require that inaccessible vehicles 
be retrofitted with lifts, ramps or other boarding devices.
    (c) Requirements for vehicles and systems not covered by this part 
shall be determined on a case-by-case basis by the Department of 
Transportation in consultation with the U.S. Architectural and 
Transportation Barriers Compliance Board (Access Board).



Sec. 1192.173  Automated guideway transit vehicles and systems.

    (a) Automated Guideway Transit (AGT) vehicles and systems, sometimes 
called ``people movers'', operated in airports and other areas where AGT 
vehicles travel at slow speed, shall comply with the provisions of 
Secs. 1192.53 (a) through (c), and 1192.55 through 1192.61 for rapid 
rail vehicles and systems.

[[Page 430]]

    (b) Where the vehicle covered by paragraph (a) of this section will 
operate in an accessible station, the design of vehicles shall be 
coordinated with the boarding platform design such that the horizontal 
gap between a vehicle door at rest and the platform shall be no greater 
than 1 inch and the height of the vehicle floor shall be within plus or 
minus \1/2\ inch of the platform height under all normal passenger load 
conditions. Vertical alignment may be accomplished by vehicle air 
suspension or other suitable means of meeting the requirement.
    (c) In stations where open platforms are not protected by platform 
screens, a suitable device or system shall be provided to prevent, deter 
or warn individuals from stepping off the platform between cars. 
Acceptable devices include, but are not limited to, pantograph gates, 
chains, motion detectors or other appropriate devices.
    (d) Light rail and rapid rail AGT vehicles and systems shall comply 
with subparts D and C of this part, respectively.



Sec. 1192.175  High-speed rail cars, monorails and systems.

    (a) All cars for high-speed rail systems, including but not limited 
to those using ``maglev'' or high speed steel-wheel-on-steel-rail 
technology, and monorail systems operating primarily on dedicated rail 
(i.e., not used by freight trains) or guideway, in which stations are 
constructed in accordance with subpart C of 49 CFR part 37, shall be 
designed for high-platform, level boarding and shall comply with 
Sec. 1192.111(a) for each type of car which is similar to intercity 
rail, Secs. 1192.111(d), 1192.113 (a) through (c) and (e), 1192.115 (a) 
and (b), 1192.117 (a) and (b), 1192.121 through 1192.123, 1192.125(d), 
and 1192.127 (if applicable). The design of cars shall be coordinated 
with the boarding platform design such that the horizontal gap between a 
car door at rest and the platform shall be no greater than 3 inches and 
the height of the car floor shall be within plus or minus \5/8\ inch of 
the platform height under all normal passenger load conditions. Vertical 
alignment may be accomplished by car air suspension or other suitable 
means of meeting the requirement. All doorways shall have, when the door 
is open, at least 2 foot-candles of illumination measured on the door 
threshold.
    (b) All other high-speed rail cars shall comply with the similar 
provisions of subpart F of this part.



Sec. 1192.177  Ferries, excursion boats and other vessels. [Reserved]



Sec. 1192.179  Trams, similar vehicles and systems.

    (a) New and used trams consisting of a tractor unit, with or without 
passenger accommodations, and one or more passenger trailer units, 
including but not limited to vehicles providing shuttle service to 
remote parking areas, between hotels and other public accommodations, 
and between and within amusement parks and other recreation areas, shall 
comply with this section. For purposes of determining applicability of 
49 CFR 37.101, 37.103, or 37.105, the capacity of such a vehicle or 
``train'' shall consist of the total combined seating capacity of all 
units, plus the driver, prior to any modification for accessibility.
    (b) Each tractor unit which accommodates passengers and each trailer 
unit shall comply with Secs. 1192.25 and 1192.29. In addition, each such 
unit shall comply with Sec. 1192.23 (b) or (c) and shall provide at 
least one space for wheelchair or mobility aid users complying with 
Sec. 1192.23(d) unless the complete operating unit consisting of tractor 
and one or more trailers can already accommodate at least two wheelchair 
or mobility aid users.

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                Appendix to Part 1192--Advisory Guidance

    This appendix contains materials of an advisory nature and provides 
additional information that should help the reader to understand the 
minimum requirements of the guidelines or to design vehicles for greater 
accessibility. Each entry is applicable to all subparts of this part 
except where noted. Nothing in this appendix shall in any way obviate 
any obligation to comply with the requirements of the guidelines 
themselves.

  I. Slip Resistant Surfaces--Aisles, Steps, Floor Areas Where People 
    Walk, Floor Areas in Securement Locations, Lift Platforms, Ramps

    Slip resistance is based on the frictional force necessary to keep a 
shoe heel or crutch tip from slipping on a walking surface under 
conditions likely to be found on the surface. While the dynamic 
coefficient of friction during walking varies in a complex and non-
uniform way, the static coefficient of friction, which can be measured 
in several ways, provides a close approximation of the slip resistance 
of a surface. Contrary to popular belief, some slippage is necessary to 
walking, especially for persons with restricted gaits; a

[[Page 435]]

truly ``non-slip'' surface could not be negotiated.
    The Occupational Safety and Health Administration recommends that 
walking surfaces have a static coefficient of friction of 0.5. A 
research project sponsored by the Architectural and Transportation 
Barriers Compliance Board (Access Board) conducted tests with persons 
with disabilities and concluded that a higher coefficient of friction 
was needed by such persons. A static coefficient of friction of 0.6 is 
recommended for steps, floors, and lift platforms and 0.8 for ramps.
    The coefficient of friction varies considerably due to the presence 
of contaminants, water, floor finishes, and other factors not under the 
control of transit providers and may be difficult to measure. 
Nevertheless, many common materials suitable for flooring are now 
labeled with information on the static coefficient of friction. While it 
may not be possible to compare one product directly with another, or to 
guarantee a constant measure, transit operators or vehicle designers and 
manufacturers are encouraged to specify materials with appropriate 
values. As more products include information on slip resistance, 
improved uniformity in measurement and specification is likely. The 
Access Board's advisory guidelines on Slip Resistant Surfaces provides 
additional information on this subject.

           II. Color Contrast--Step Edges, Lift Platform Edges

    The material used to provide contrast should contrast by at least 
70%. Contrast in percent is determined by:

Contrast=[(B1-B2)/B1] x 100

where B1=light reflectance value (LRV) of the lighter area
and B2=light reflectance value (LRV) of the darker area.

Note that in any application both white and black are never absolute; 
thus, B1 never equals 100 and B2 is always greater 
than 0.

                      III. Handrails and Stanchions

    In addition to the requirements for handrails and stanchions for 
rapid, light, and commuter rail vehicles, consideration should be given 
to the proximity of handrails or stanchions to the area in which 
wheelchair or mobility aid users may position themselves. When 
identifying the clear floor space where a wheelchair or mobility aid 
user can be accommodated, it is suggested that at least one such area be 
adjacent or in close proximity to a handrail or stanchion. Of course, 
such a handrail or stanchion cannot encroach upon the required 32 inch 
width required for the doorway or the route leading to the clear floor 
space which must be at least 30 by 48 inches in size.

              IV. Priority Seating Signs and Other Signage

                         A. Finish and Contrast

    The characters and background of signs should be eggshell, matte, or 
other non-glare finish. An eggshell finish (11 to 19 degree gloss on 60 
degree glossimeter) is recommended. Characters and symbols should 
contrast with their background--either light characters on a dark 
background or dark characters on a light background. Research indicates 
that signs are more legible for persons with low vision when characters 
contrast with their background by at least 70 percent. Contrast in 
percent is determined by:
Contrast=[(B1-B2)/B1] x 100

where B1=light reflectance value (LRV) of the lighter area
and B2=light reflectance value (LRV) of the darker area.
Note that in any application both white and black are never absolute; 
thus, B1 never equals 100 and B2 is always greater 
than 0.
    The greatest readability is usually achieved through the use of 
light-colored characters or symbols on a dark background.

                     B. Destination and Route Signs

    The following specifications, which are required for buses 
(Sec. 1192.39), are recommended for other types of vehicles, 
particularly light rail vehicles, where appropriate.
    1.Where destination or route information is displayed on the 
exterior of a vehicle, each vehicle should have illuminated signs on the 
front and boarding side of the vehicle.
    2. Characters on signs covered by paragraph IV.B.1 of this appendix 
should have a width-to-height ratio between 3:5 and 1:1 and a stroke 
width-to-height ratio between 1:5 and 1:10, with a minimum character 
height (using an upper case ``X'') of 1 inch for signs on the boarding 
side and a minimum character height of 2 inches for front ``headsigns'', 
with ``wide'' spacing (generally, the space between letters shall be \1/
16\ the height of upper case letters), and should contrast with the 
background, either dark-on-light or light-on-dark, or as recommended 
above.

                  C. Designation of Accessible Vehicles

    The International Symbol of Accessibility should be displayed as 
shown in Figure 6.

                      V. Public Information Systems

    There is currently no requirement that vehicles be equipped with an 
information system which is capable of providing the same or equivalent 
information to persons with hearing loss. While the Department of 
Transportation assesses available and soon-to-be available technology 
during a study to be conducted during Fiscal Year 1992, entities

[[Page 436]]

are encouraged to employ whatever services, signage or alternative 
systems or devices that provide equivalent access and are available. Two 
possible types of devices are visual display systems and listening 
systems. However, it should be noted that while visual display systems 
accommodate persons who are deaf or are hearing impaired, assistive 
listening systems aid only those with a partial loss of hearing.

                        A. Visual Display Systems

    Announcements may be provided in a visual format by the use of 
electronic message boards or video monitors.
    Electronic message boards using a light emitting diode (LED) or 
``flip-dot'' display are currently provided in some transit stations and 
terminals and may be usable in vehicles. These devices may be used to 
provide real time or pre-programmed messages; however, real time message 
displays require the availability of an employee for keyboard entry of 
the information to be announced.
    Video monitor systems, such as visual paging systems provided in 
some airports (e.g., Baltimore-Washington International Airport), are 
another alternative. The Architectural and Transportation Barriers 
Compliance Board (Access Board) can provide technical assistance and 
information on these systems (``Airport TDD Access: Two Case Studies,'' 
(1990)).

                     B. Assistive Listening Systems

    Assistive listening systems (ALS) are intended to augment standard 
public address and audio systems by providing signals which can be 
received directly by persons with special receivers or their own hearing 
aids and which eliminate or filter background noise. Magnetic induction 
loops, infra-red and radio frequency systems are types of listening 
systems which are appropriate for various applications.
    An assistive listening-system appropriate for transit vehicles, 
where a group of persons or where the specific individuals are not known 
in advance, may be different from the system appropriate for a 
particular individual provided as an auxiliary aid or as part of a 
reasonable accommodation. The appropriate device for an individual is 
the type that individual can use, whereas the appropriate system for a 
station or vehicle will necessarily be geared toward the ``average'' or 
aggregate needs of various individuals. Earphone jacks with variable 
volume controls can benefit only people who have slight hearing loss and 
do not help people who use hearing aids. At the present time, magnetic 
induction loops are the most feasible type of listening system for 
people who use hearing aids equipped with ``T-coils'', but people 
without hearing aids or those with hearing aids not equipped with 
inductive pick-ups cannot use them without special receivers. Radio 
frequency systems can be extremely effective and inexpensive. People 
without hearing aids can use them, but people with hearing aids need a 
special receiver to use them as they are presently designed. If hearing 
aids had a jack to allow a by-pass of microphones, then radio frequency 
systems would be suitable for people with and without hearing aids. Some 
listening systems may be subject to interference from other equipment 
and feedback from hearing aids of people who are using the systems. Such 
interference can be controlled by careful engineering design that 
anticipates feedback sources in the surrounding area.
    The Architectural and Transportation Barriers Compliance Board 
(Access Board) has published a pamphlet on Assistive Listening Systems 
which lists demonstration centers across the country where technical 
assistance can be obtained in selecting and installing appropriate 
systems. The state of New York has also adopted a detailed technical 
specification which may be useful.



PART 1193--TELECOMMUNICATIONS ACT ACCESSIBILITY GUIDELINES--Table of Contents






                           Subpart A--General

Sec.
1193.1  Purpose.
1193.2  Scoping.
1193.3  Definitions.

                     Subpart B--General Requirements

1193.21  Accessibility, usability, and compatibility.
1193.23  Product design, development, and evaluation.

         Subpart C--Requirements for Accessibility and Usability

1193.31  Accessibility and usability.
1193.33  Information, documentation, and training.
1193.35  Redundancy and selectability. [Reserved]
1193.37  Information pass through.
1193.39  Prohibited reduction of accessibility, usability, and 
          compatibility.
1193.41  Input, control, and mechanical functions.
1193.43  Output, display, and control functions.

 Subpart D--Requirements for Compatibility With Peripheral Devices and 
                 Specialized Customer Premises Equipment

1193.51  Compatibility.

[[Page 437]]


Appendix to Part 1193--Advisory Guidance

    Authority:  47 U.S.C. 255(e).

    Source: 63 FR 5630, Feb. 3, 1998, unless otherwise noted.



                           Subpart A--General



Sec. 1193.1  Purpose.

    This part provides requirements for accessibility, usability, and 
compatibility of telecommunications equipment and customer premises 
equipment covered by the Telecommunications Act of 1996 (47 U.S.C. 255).



Sec. 1193.2  Scoping.

    This part provides requirements for accessibility, usability, and 
compatibility of new products and existing products which undergo 
substantial change or upgrade, or for which new releases are 
distributed. This part does not apply to minor or insubstantial changes 
to existing products that do not affect functionality.



Sec. 1193.3  Definitions.

    Terms used in this part shall have the specified meaning unless 
otherwise stated. Words, terms and phrases used in the singular include 
the plural, and use of the plural includes the singular.
    Accessible. Telecommunications equipment or customer premises 
equipment which comply with the requirements of subpart C of this part.
    Alternate formats. Alternate formats may include, but are not 
limited to, Braille, ASCII text, large print, and audio cassette 
recording.
    Alternate modes. Different means of providing information to users 
of products including product documentation and information about the 
status or operation of controls. Examples of alternate modes may 
include, but are not limited to, voice, fax, relay service, TTY, 
Internet posting, captioning, text-to-speech synthesis, and video 
description.
    Compatible. Telecommunications equipment or customer premises 
equipment which comply with the requirements of subpart D of this part.
    Customer premises equipment. Equipment employed on the premises of a 
person (other than a carrier) to originate, route, or terminate 
telecommunications.
    Manufacturer. A manufacturer of telecommunications equipment or 
customer premises equipment that sells to the public or to vendors that 
sell to the public; a final assembler.
    Peripheral devices. Devices employed in connection with 
telecommunications equipment or customer premises equipment to 
translate, enhance, or otherwise transform telecommunications into a 
form accessible to individuals with disabilities.
    Product. Telecommunications equipment or customer premises 
equipment.
    Readily achievable. Easily accomplishable and able to be carried out 
without much difficulty or expense.
    Specialized customer premises equipment. Equipment, employed on the 
premises of a person (other than a carrier) to originate, route, or 
terminate telecommunications, which is commonly used by individuals with 
disabilities to achieve access.
    Telecommunications. The transmission, between or among points 
specified by the user, of information of the user's choosing, without 
change in the form or content of the information as sent and received.
    Telecommunications equipment. Equipment, other than customer 
premises equipment, used by a carrier to provide telecommunications 
services, and includes software integral to such equipment (including 
upgrades).
    Telecommunications service. The offering of telecommunications for a 
fee directly to the public, or to such classes of users as to be 
effectively available directly to the public, regardless of the 
facilities used.
    TTY. An abbreviation for teletypewriter. Machinery or equipment that 
employs interactive text based communications through the transmission 
of coded signals across the standard telephone network. TTYs can 
include, for example, devices known as TDDs (telecommunication display 
devices or telecommunication devices for deaf persons) or computers with 
special modems. TTYs are also called text telephones.
    Usable. Means that individuals with disabilities have access to the 
full functionality and documentation for

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the product, including instructions, product information (including 
accessible feature information), documentation, and technical support 
functionally equivalent to that provided to individuals without 
disabilities.



                     Subpart B--General Requirements



Sec. 1193.21  Accessibility, usability, and compatibility.

    Where readily achievable, telecommunications equipment and customer 
premises equipment shall comply with the requirements of subpart C of 
this part. Where it is not readily achievable to comply with subpart C 
of this part, telecommunications equipment and customer premises 
equipment shall comply with the requirements of subpart D of this part, 
if readily achievable.



Sec. 1193.23  Product design, development, and evaluation.

    (a) Manufacturers shall evaluate the accessibility, usability, and 
compatibility of telecommunications equipment and customer premises 
equipment and shall incorporate such evaluation throughout product 
design, development, and fabrication, as early and consistently as 
possible. Manufacturers shall identify barriers to accessibility and 
usability as part of such a product design and development process.
    (b) In developing such a process, manufacturers shall consider the 
following factors, as the manufacturer deems appropriate:
    (1) Where market research is undertaken, including individuals with 
disabilities in target populations of such research;
    (2) Where product design, testing, pilot demonstrations, and product 
trials are conducted, including individuals with disabilities in such 
activities;
    (3) Working cooperatively with appropriate disability-related 
organizations; and
    (4) Making reasonable efforts to validate any unproven access 
solutions through testing with individuals with disabilities or with 
appropriate disability-related organizations that have established 
expertise with individuals with disabilities.



         Subpart C--Requirements for Accessibility and Usability



Sec. 1193.31  Accessibility and usability.

    When required by Sec. 1193.21, telecommunications equipment and 
customer premises equipment shall be accessible to and usable by 
individuals with disabilities and shall comply with Secs. 1193.33 
through 1193.43 as applicable.



Sec. 1193.33  Information, documentation, and training.

    (a) Manufacturers shall ensure access to information and 
documentation it provides to its customers. Such information and 
documentation includes user guides, installation guides for end-user 
installable devices, and product support communications, regarding both 
the product in general and the accessibility features of the product. 
Manufacturers shall take such other steps as necessary including:
    (1) Providing a description of the accessibility and compatibility 
features of the product upon request, including, as needed, in alternate 
formats or alternate modes at no additional charge;
    (2) Providing end-user product documentation in alternate formats or 
alternate modes upon request at no additional charge; and
    (3) Ensuring usable customer support and technical support in the 
call centers and service centers which support their products at no 
additional charge.
    (b) Manufacturers shall include in general product information the 
contact method for obtaining the information required by paragraph (a) 
of this section.
    (c) Where manufacturers provide employee training, they shall ensure 
it is appropriate to an employee's function. In developing, or 
incorporating existing training programs, consideration shall be given 
to the following factors:
    (1) Accessibility requirements of individuals with disabilities;
    (2) Means of communicating with individuals with disabilities;
    (3) Commonly used adaptive technology used with the manufacturer's 
products;
    (4) Designing for accessibility; and
    (5) Solutions for accessibility and compatibility.

[[Page 439]]



Sec. 1193.35  Redundancy and selectability.[Reserved]



Sec. 1193.37  Information pass through.

    Telecommunications equipment and customer premises equipment shall 
pass through cross-manufacturer, non-proprietary, industry-standard 
codes, translation protocols, formats or other information necessary to 
provide telecommunications in an accessible format. In particular, 
signal compression technologies shall not remove information needed for 
access or shall restore it upon decompression.



Sec. 1193.39  Prohibited reduction of accessibility, usability, and compatibility.

    (a) No change shall be undertaken which decreases or has the effect 
of decreasing the net accessibility, usability, or compatibility of 
telecommunications equipment or customer premises equipment.
    (b) Exception: Discontinuation of a product shall not be prohibited.



Sec. 1193.41  Input, control, and mechanical functions.

    Input, control, and mechanical functions shall be locatable, 
identifiable, and operable in accordance with each of the following, 
assessed independently:
    (a) Operable without vision. Provide at least one mode that does not 
require user vision.
    (b) Operable with low vision and limited or no hearing. Provide at 
least one mode that permits operation by users with visual acuity 
between 20/70 and 20/200, without relying on audio output.
    (c) Operable with little or no color perception. Provide at least 
one mode that does not require user color perception.
    (d) Operable without hearing. Provide at least one mode that does 
not require user auditory perception.
    (e) Operable with limited manual dexterity. Provide at least one 
mode that does not require user fine motor control or simultaneous 
actions.
    (f) Operable with limited reach and strength. Provide at least one 
mode that is operable with user limited reach and strength.
    (g) Operable without time-dependent controls. Provide at least one 
mode that does not require a response time. Alternatively, a response 
time may be required if it can be by-passed or adjusted by the user over 
a wide range.
    (h) Operable without speech. Provide at least one mode that does not 
require user speech.
    (i) Operable with limited cognitive skills. Provide at least one 
mode that minimizes the cognitive, memory, language, and learning skills 
required of the user.



Sec. 1193.43  Output, display, and control functions.

    All information necessary to operate and use the product, including 
but not limited to, text, static or dynamic images, icons, labels, 
sounds, or incidental operating cues, shall comply with each of the 
following, assessed independently:
    (a) Availability of visual information. Provide visual information 
through at least one mode in auditory form.
    (b) Availability of visual information for low vision users. Provide 
visual information through at least one mode to users with visual acuity 
between 20/70 and 20/200 without relying on audio.
    (c) Access to moving text. Provide moving text in at least one 
static presentation mode at the option of the user.
    (d) Availability of auditory information. Provide auditory 
information through at least one mode in visual form and, where 
appropriate, in tactile form.
    (e) Availability of auditory information for people who are hard of 
hearing. Provide audio or acoustic information, including any auditory 
feedback tones that are important for the use of the product, through at 
least one mode in enhanced auditory fashion (i.e., increased 
amplification, increased signal-to-noise ratio, or combination). For 
transmitted voice signals, provide a gain adjustable up to a minimum of 
20 dB. For incremental volume control, provide at least one intermediate 
step of 12 dB of gain.
    (f) Prevention of visually-induced seizures. Visual displays and 
indicators shall minimize visual flicker that might induce seizures in 
people with photosensitive epilepsy.
    (g) Availability of audio cutoff. Where a product delivers audio 
output through an external speaker, provide

[[Page 440]]

an industry standard connector for headphones or personal listening 
devices (e.g., phone-like handset or earcup) which cuts off the 
speaker(s) when used.
    (h) Non-interference with hearing technologies. Reduce interference 
to hearing technologies (including hearing aids, cochlear implants, and 
assistive listening devices) to the lowest possible level that allows a 
user to utilize the product.
    (i) Hearing aid coupling. Where a product delivers output by an 
audio transducer which is normally held up to the ear, provide a means 
for effective wireless coupling to hearing aids.



 Subpart D--Requirements for Compatibility With Peripheral Devices and 
                 Specialized Customer Premises Equipment



Sec. 1193.51  Compatibility.

    When required by subpart B of this part, telecommunications 
equipment and customer premises equipment shall be compatible with 
peripheral devices and specialized customer premises equipment commonly 
used by individuals with disabilities to achieve accessibility, and 
shall comply with the following provisions, as applicable:
    (a) External electronic access to all information and control 
mechanisms. Information needed for the operation of products (including 
output, alerts, icons, on-line help, and documentation) shall be 
available in a standard electronic text format on a cross-industry 
standard port and all input to and control of a product shall allow for 
real time operation by electronic text input into a cross-industry 
standard external port and in cross-industry standard format. The cross-
industry standard port shall not require manipulation of a connector by 
the user.
    (b) Connection point for external audio processing devices. Products 
providing auditory output shall provide the auditory signal at a 
standard signal level through an industry standard connector.
    (c) Compatibility of controls with prosthetics. Touchscreen and 
touch-operated controls shall be operable without requiring body contact 
or close body proximity.
    (d) TTY connectability. Products which provide a function allowing 
voice communication and which do not themselves provide a TTY 
functionality shall provide a standard non-acoustic connection point for 
TTYs. It shall also be possible for the user to easily turn any 
microphone on and off to allow the user to intermix speech with TTY use.
    (e) TTY signal compatibility. Products, including those providing 
voice communication functionality, shall support use of all cross-
manufacturer non-proprietary standard signals used by TTYs.

                Appendix to Part 1193--Advisory Guidance

                              Introduction

    1. This appendix provides examples of strategies and notes to assist 
in understanding the guidelines and are a source of ideas for alternate 
strategies for achieving accessibility. These strategies and notes are 
not mandatory. A manufacturer is not required to incorporate all of 
these examples or any specific example. Manufacturers are free to use 
these or other strategies in addressing the guidelines. The examples 
listed here are not comprehensive, nor does adopting or incorporating 
them guarantee an accessible product. They are meant to provide a useful 
starting point for evaluating the accessibility of a product or 
conceptual design and are not intended to inhibit innovation. For a more 
complete list of all of the published strategies to date, as well as for 
further information and links to on-going discussions, the reader is 
referred to the National Institute on Disability and Rehabilitation 
Research's Rehabilitation Engineering Center on Access to 
Telecommunications System's strategies Web site (http://trace.wisc.edu/
world/telecomm/).
    2. This appendix is organized to correspond to the sections and 
paragraphs of the guidelines in this part to which the explanatory 
material relates. This appendix does not contain explanatory material 
for every section and paragraph of the guidelines in this part.

                           Subpart A--General

                       Section 1193.3  Definitions

                           Readily Achievable

    1. Section 255 defines ``readily achievable'' as having the same 
meaning as in the Americans with Disabilities Act (ADA). However, the 
ADA applies the term to the removal of barriers in existing public 
accommodations. Not all of the factors cited in the ADA or the 
Department of Justice (DOJ) implementing

[[Page 441]]

regulations (July 26, 1991) are easy to translate to the 
telecommunications context where the term applies to telecommunications 
equipment and customer premises equipment which is designed, developed 
and fabricated after February 8, 1996, the effective date of the 
Telecommunications Act of 1996.
    2. It may not be readily achievable to make every product accessible 
or compatible. Depending on the design, technology, or several other 
factors, it may be determined that providing accessibility to all 
products in a product line is not readily achievable. The guidelines do 
not require accessibility or compatibility when that determination has 
been made, and it is up to the manufacturer to make it. However, the 
assessment as to whether it is or is not readily achievable cannot be 
bypassed simply because another product is already accessible. For this 
purpose, two products are considered to be different if they have 
different functions or features. Products which differ only 
cosmetically, where such differences do not affect functionality, are 
not considered separate products.
    3. Below is a list of factors provided as interim guidance to 
manufacturers to assist them in making readily achievable assessments. 
The factors are derived from the ADA itself and the DOJ regulations and 
are presented in the order in which they appear in those sources. 
Ultimately, the priority or weight of these factors is a compliance 
issue, under the jurisdiction of the Federal Communications Commission 
(FCC). Factors applicable to a determination of whether an action is 
readily achievable include: the nature and cost of the action needed to 
provide accessibility or compatibility; the overall resources of the 
manufacturer, including financial resources, technical expertise, 
component supply sources, equipment, or personnel; the overall financial 
resources of any parent corporation or entity, only to the extent such 
resources are available to the manufacturer; and whether the 
accessibility solution results in a fundamental alteration of the 
product.
    a. One factor in making readily achievable assessments is the nature 
and cost of the action needed to provide accessibility or compatibility. 
The term readily achievable means that an action is ``easily 
accomplishable and able to be carried out without much difficulty or 
expense.'' The nature of the action or solution involves how easy it is 
to accomplish, including the availability of technology and expertise, 
and the ability to incorporate the solution into the production process. 
Obviously, knowing about an accessibility solution, even in detail, does 
not mean it is readily achievable for a specific manufacturer to 
implement it immediately. Even if it only requires substituting a 
different, compatible part, the new part must be ordered and integrated 
into the manufacturing process. A more extreme implementation might 
require re-tooling or redesign. On the other hand, a given solution 
might be so similar to the current design, development and fabrication 
process that it is readily achievable to implement it virtually 
overnight.
    b. Another factor in making readily achievable assessments is the 
overall resources of the manufacturer, including financial resources, 
technical expertise, component supply sources, equipment, or personnel. 
The monetary resources of a manufacturer are obviously a factor in 
determining whether an action is readily achievable, but it may be 
appropriate to consider other resources, as well. For example, a company 
might have ample financial resources and, at first glance, appear to 
have no reason for not including a particular accessibility feature in a 
given product. However, it might be that the company lacks personnel 
with experience in software development, for example, needed to 
implement the design solution. One might reason that, if the financial 
resources are available, the company should hire the appropriate 
personnel, but, if it does, it may no longer have the financial 
resources to implement the design solution. One would expect that the 
company would develop the technical expertise over time and that 
eventually the access solution might become readily achievable.
    c. Another factor in making readily achievable assessments is the 
overall financial resources of any parent corporation or entity, only to 
the extent such resources are available to the manufacturer. Both the 
ADA statutory definition of readily achievable and the DOJ regulations 
define the resources of a parent company as a factor. However, such 
resources are considered only to the extent those resources are 
available to the subsidiary. If, for example, the subsidiary is 
responsible for product design but the parent company is responsible for 
overall marketing, it may be appropriate to expect the parent company to 
address some of the marketing goals. If, on the other hand, the 
resources of a parent company are not available to the subsidiary, they 
may not be relevant. This determination would be made on a case-by-case 
basis.
    d. A fourth factor in making readily achievable assessments is 
whether the accessibility solution results in a fundamental alteration 
of the product. This factor, derived by extension from the ``undue 
burden'' criteria of the ADA, takes into consideration the effect adding 
an accessibility feature might have on a given product. For example, it 
may not be readily achievable to add a large display for low vision 
users to a small pager designed to fit in a pocket, because making the 
device significantly larger would be a fundamental alteration of the 
device. On

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the other hand, adding a voice output may not involve a fundamental 
alteration and would serve both blind and low vision users. In addition, 
adding an infrared port might be readily achievable and would allow a 
large-display peripheral device to be coupled to it. Of course 
fundamental alteration means a change in the fundamental characteristic 
of the product, not merely a cosmetic or esthetic change.

                     Subpart B--General Requirements

       Section 1193.23  Product Design, Development and Evaluation

                              Paragraph (a)

    1. This section requires manufacturers to evaluate the 
accessibility, usability, and compatibility of telecommunications 
equipment and customer premises equipment and incorporate such 
evaluation throughout product design, development, and fabrication, as 
early and consistently as possible. Manufacturers must develop a process 
to ensure that products are designed, developed and fabricated to be 
accessible whenever it is readily achievable. Since what is readily 
achievable will vary according to the stage of development (i.e., some 
things will be readily achievable in the design phase which may not be 
in later phases), barriers to accessibility and usability must be 
identified throughout product design and development, from 
conceptualization to production. Moreover, usability can be seriously 
affected even after production, if information is not provided in an 
effective manner.
    2. The details of such an evaluation process will vary from one 
company to the next, so this section does not specify its structure or 
specific content. Instead, this section sets forth a series of factors 
that a manufacturer must consider in developing such a process. How, and 
to what extent, each of the factors is incorporated in a specific 
process is up to the manufacturer.
    3. Different manufacturers, or even the same manufacturer at 
different times, have the flexibility to tailor any such plan to its own 
particular needs. This section does not prescribe any particular plan or 
content. It does not require that such a process be submitted to any 
entity or that it even be in writing. The requirement is outcome-
oriented, and a process could range from purely conceptual to formally 
documented, as suits the manufacturer.
    4. The goal is for designers to be aware of access and incorporate 
such considerations in the conceptualization of new products. When an 
idea is just beginning to take shape, a designer would ask, ``How would 
a blind person use this product? How would a deaf person use it?'' The 
sooner a manufacturer makes its design team cognizant of design issues 
for achieving accessibility; and proven solutions for accessibility and 
compatibility, the easier this process will be.

                            Paragraph (b)(1)

                             Market Research

    1. The guidelines do not require market research, testing or 
consultation, only that they be considered and incorporated to the 
extent deemed appropriate for a given manufacturer. If a manufacturer 
has a large marketing effort, involving surveys and focus groups, it may 
be appropriate to include persons with disabilities in such groups. On 
the other hand, some small companies do not do any real marketing, per 
se, but may just notice that a product made by XYZ Corporation is 
selling well and, based on this ``marketing survey'' it decides it can 
make a cheaper one. Clearly, ``involvement'' of persons with 
disabilities is not appropriate in this case.
    2. A manufacturer must consider how it could include individuals 
with disabilities in target populations of market research. It is 
important to realize that any target population for which a manufacturer 
might wish to focus a product contains individuals with disabilities, 
whether it is teenagers, single parents, women between the ages of 25 
and 40, or any other subgroup, no matter how narrowly defined. Any 
market research which excludes individuals with disabilities will be 
deficient.

                            Paragraph (b)(2)

    Product Design, Testing, Pilot Demonstrations, and Product Trials

    1. Including individuals with disabilities in product design, 
testing, pilot demonstrations, and product trials will encourage 
appropriate design solutions to accessibility barriers. In addition, 
such involvement may result in designs which have an appeal to a broader 
market.

                            Paragraph (b)(3)

 Working Cooperatively With Appropriate Disability-Related Organizations

    1. Working cooperatively with appropriate disability-related 
organizations is one of the factors that manufacturers must consider in 
their product design and development process. The primary reason for 
working cooperatively is to exchange relevant information. This is a 
two-way process since the manufacturer will get information on barriers 
to the use of its products, and may also be alerted to possible sources 
for solutions. The process will also serve to inform individuals with 
disabilities about what is readily achievable. In addition, 
manufacturers will have a conduit to a source of subjects for market 
research and product trials.

[[Page 443]]

    2. Manufacturers should consult with representatives from a cross-
section of disability groups, particularly individuals whose 
disabilities affect hearing, vision, movement, manipulation, speech, and 
interpretation of information.
    3. Because of the complex interrelationship between equipment and 
services in providing accessibility to telecommunications products, 
coordination and cooperation between manufacturers and service providers 
will be beneficial. Involving service providers in the product 
development process will encourage appropriate design solutions to 
accessibility barriers and permit the exchange of relevant information.

                            Paragraph (b)(4)

     Making Reasonable Efforts to Validate Unproven Access Solutions

    1. Manufacturers must consider how they can make reasonable efforts 
to validate any unproven access solutions through testing with 
individuals with disabilities or with appropriate disability-related 
organizations that have established expertise with individuals with 
disabilities. It is important to obtain input from persons or 
organizations with established expertise to ensure that input is not 
based merely on individual preferences or limited experience.
    2. This input should be sought from representatives from a cross-
section of disability groups, particularly individuals whose 
disabilities affect hearing, vision, movement, manipulation, speech, and 
interpretation of information.

         Subpart C--Requirements for Accessibility and Usability

        Section 1193.33  Information, Documentation, and Training

                              Paragraph (a)

    1. This section requires that manufacturers provide access to 
information and documentation. The information and documentation 
includes user guides, installation guides, and product support 
communications, regarding both the product in general and the 
accessibility features of the product. Information and documentation 
should be provided to people with disabilities at no additional charge. 
Alternate formats or alternate modes of this information is also 
required to be available. Manufacturers should also encourage 
distributors of their products to establish information dissemination 
and technical support programs similar to those established by the 
manufacturer.

                  Alternate Formats and Alternate Modes

    1. Alternate formats may include, but are not limited to, Braille, 
ASCII text, large print, and audio cassette recording. Alternate modes 
may include, but are not limited to, voice, fax, relay service, TTY, 
Internet posting, captioning, text-to-speech synthesis, and video 
description.
    2. In considering how to best provide product information to people 
with disabilities, it is essential that information be provided in an 
alternate format or mode that is usable by the person needing the 
information. For example, some individuals who are blind might require a 
manual in Braille to understand and use the product effectively. Other 
persons who are blind may prefer this information on a computer disk. 
Persons with limited reading skills may need this information recorded 
on audio cassette tape so they can listen to the manual. Still other 
persons with low vision may be able to read the text version of the 
manual if it is provided in a larger font. Likewise, if a tutorial video 
is provided, persons who are deaf may require a captioned version so 
that they will understand how to use the product effectively. Finally, 
individuals who rely on TTYs will need direct TTY access to a customer 
service line so they can ask questions about a product like everyone 
else.
    3. This portion of the appendix explains how to provide information 
in alternate formats (Braille, ASCII text, large print, audio cassette) 
to persons with disabilities.1
---------------------------------------------------------------------------


    \1\ This information was provided by the American Foundation for the 
Blind.
---------------------------------------------------------------------------

                                 Braille

    4. Some persons who are blind rely on the use of Braille in order to 
obtain information that is typically provided in print. These persons 
may need Braille because of the nature of their disability (such as 
persons who are deaf-blind) or because of the complexity of the 
material. Most large urban areas have companies or organizations which 
can translate printed material to Braille. On the other hand, 
manufacturers may wish to consider producing Braille documents ``in 
house'' using a personal computer, Braille translation software, and a 
Braille printer. The disadvantage is the difficulty in ensuring quality 
control and accuracy. Software programs exist which can translate common 
word processing formats directly into Braille, but they are not always 
error free, especially if the document contains special characters, 
jargon, graphics, or charts. Since the typical office worker will not be 
able to proofread a Braille document, the initial apparent cost saving 
may be quickly lost by having to re-do documents. The Braille 
translation software costs approximately $500 and most Braille printers 
sold range from $2,000 to $5,000, however some Braille printers, 
depending on the speed and other features, do cost more. Depending on 
the quality of Braille to be generated, a Braille

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printer in the $4,000 range should be adequate for most users. By using 
automatic translation software, individuals who do not have knowledge of 
Braille or who have limited computer skills may be able to produce 
simple Braille documents without much trouble. If the document is of a 
complex format, however, such as a text box over multiple columns, a 
sophisticated knowledge of Braille translation software and formatting 
will be required.

                             Electronic Text

    5. People who are blind or have low vision and who have access to 
computers may be able to use documents in electronic form. Electronic 
text must be provided in ASCII or a properly formatted word processor 
file. Using electronic text allows this information to be transmitted 
through e-mail or other on-line telecommunications. Blind or low vision 
persons who have access to a personal computer can then read the 
document using synthetic speech, an electronic Braille display, a large 
print computer monitor, or they can produce a hard copy in large print 
or Braille.
    6. Documents prepared for electronic transmission should be in 
ASCII. Documents supplied on disk should also be provided in either 
ASCII or a word processor format usable by the customer. Word processing 
documents should be properly formatted before distribution or conversion 
to ASCII. To be correctly formatted, the document should be in Courier 
10 point size and formatted for an 80 character line. Tables should be 
converted to plain text. Graphics or text boxes should be deleted and 
explained or described in text format. This will allow the reader to 
understand all of the documentation being presented. Replace bullets 
() with ``*'' or ``-'' and convert other extended ASCII 
characters into text. When converting a document into ASCII or word 
processor formats, it is important to utilize the appropriate ``tab 
key'' and ``centering key'' rather than using the space bar. This is 
necessary because Braille translation software relies on the proper use 
of commands to automate the formatting of a Braille document.

                               Large Print

    7. Persons with low vision may require documentation to be provided 
in large print. Large print documents can easily be produced using a 
scalable font from any good word processing program and a standard laser 
printer. Using the document enlargement option on a photocopier will 
usually yield unsatisfactory results.
    8. To obtain the best results follow these guidelines:
    a. It is preferable to use paper that is standard 8\1/2\ x 11 
inches. Larger paper may be used, but care should be taken that a 
document does not become too bulky, thus making it difficult to read. 
Always use 1 inch margins. Lines longer than 6\1/3\ inches will not 
track well for individuals who must use a magnifier.
    b. The best contrast with the least glare is achieved on very pale 
yellow or cream-colored non-glossy paper, such as paper that is used for 
photocopying purposes. To produce a more aesthetic looking document, an 
off-white paper may be used and will still give good contrast while 
producing less glare than white. Do not use dark colors and shades of 
red. Double-sided copying (if print does not bleed through) will produce 
a less bulky document.
    c. Remove formatting codes that can make reading more difficult. For 
example, centered or indented text could be difficult to track because 
only a few words will fit on a line. All text should begin at the left 
margin. Use only left margin justification to maintain uniform spacing 
across lines. Right margin justification can produce uneven spacing 
between letters and words. Use 1\1/4\ (1.25) line spacing; do not double 
space. Replace tabs with two spaces. Page numbering should be at the top 
or bottom left. Avoid columns. If columns are absolutely necessary, use 
minimum space between columns. Use dot leaders for tabular material. For 
those individuals who are able to read graphics (via the use of a 
magnifier or other assistive device) graphics should be included, but 
placed on a separate page from the text. For those individuals with low 
vision who are unable to read graphics, tables, and charts this material 
must be removed from the document and an accurate description of this 
material should be included in a text format.
    d. There is no standard typeface or point size. For more universal 
access, use 18 point type; anything larger could make text too choppy to 
read comfortably. Use a good strong bold typeface. Do not use italics, 
fine, or fancy typefaces. Do not use compressed typefaces; there should 
be normal ``white space'' between characters.
    e. Use upper and lowercase letters.
    f. Using these instructions, one page of print (11-12 point type) 
will equal approximately three pages of large print (14-18 point) 
depending on the density of the text.

                           Cassette Recordings

    9. Some persons who are blind or who have learning disabilities may 
require documentation on audio cassettes. Audio materials can be 
produced commercially or in-house. Agencies sometimes record material 
in-house and purchase a high speed tape duplicator ($1,000-2,000) which 
is used to make cassette copies from the master. The cost of a 
duplicator can be higher depending upon the number of copies produced on 
a single run, and whether the duplicator can produce standard speed

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two-sided copies or half-speed four-sided copies. Although unit costs 
can be reduced by using the four-track, half-speed format, this will 
require the reader to use a specially designed playback machine. Tapes 
should be produced with ``tone indexing'' to allow a user to skip back 
and forth from one section to another. By following a few simple 
guidelines for selecting readers and creating recordings, most 
organizations will be able to successfully record most simple documents.
    10. Further guidance in making cassette recordings includes:
    a. The reader should be proficient in the language being recorded.
    b. The reader should be familiar with the subject. Someone who is 
somewhat familiar with the technical aspects of a product but who can 
explain functions in ordinary language would be a logical person to 
record an audio cassette.
    c. The reader should have good diction. Recording should be done in 
a conversational tone and at a conversational pace; neither too slow nor 
too fast.
    d. The reader should be familiar with the material to minimize 
stumbling and hesitation.
    e. The reader should not editorialize. When recording a document, it 
should be read in full. Graphic and pictorial information available to 
sighted readers should be described in the narrated text. Tables and 
charts whose contents are not already contained in text should be 
converted into text and included in the recording.
    f. The reader should spell difficult or unusual words and words of 
foreign origin.
    g. At the beginning of the tape, identify the reader, i.e., ``This 
document is being read by John Smith.''
    h. On each side of the tape, identify the document and the page 
number where the reader is continuing, i.e., ``tape 2, side 1, Guide to 
Barrier Free Meetings, continuing on page 75.''
    i. For blind users, all cassettes should be labeled in Braille so 
that they can easily be referenced in the appropriate order.

                             Alternate Modes

    11. Information is provided increasingly through a variety of means 
including television advertisements, Internet postings, information 
seminars, and telephone. This portion of the appendix explains how to 
provide information in some alternate modes (captioning, video 
description, Internet postings, relay service, and TTY).

                               Captioning

    12. When manufacturers of telecommunications equipment or customer 
premises equipment provide videos with their products (such as tutorials 
or information explaining various components of a product) the video 
should be available with captioning. Closed captioning refers to 
assistive technology designed to provide access to television for 
persons with hearing disabilities that is visible only through the use 
of a decoder. Open captions are visible at all times. Captioning is 
similar to subtitles in that the audio portion of a television program 
is displayed as printed words on the television screen. Captions should 
be carefully placed to identify speakers, on-and off-screen sound 
effects, music and laughter. Increased captioning was made possible 
because of the Television Decoder Circuitry Act which requires all 
television sets sold in the United States with screens 13 inches or 
larger to have built-in decoder circuitry.
    13. Although captioning technology was developed specifically to 
make television and video presentations accessible to deaf and hard of 
hearing people, there has been widespread interest in using this 
technology to provide similar access to meetings, classroom teaching, 
and conferences. For meetings, video-conferences, information seminars, 
and the like, real-time captioning is sometimes provided. Real-time 
captioning uses a stenographic machine connected to a computer with 
translation software. The output is then displayed on a monitor or 
projected on a screen.

                            Video Description

    14. Just as manufacturers of telecommunications equipment and 
customer premises equipment need to make their videos accessible to 
persons who are deaf or hard of hearing, they must also be accessible to 
persons who are blind or have low vision. This process is known as video 
description. Video description may either be a separate audio track that 
can be played simultaneously with the regular audio portion of the video 
material (adding description during pauses in the regular audio), or it 
can be added to (or ``mixed'' with) an existing soundtrack. The latter 
is the technique used for videotapes.

                            Internet Postings

    15. The fastest growing way to obtain information about a product is 
through use of the Internet, and specifically the World Wide Web. 
However, many Internet users with disabilities have difficulty obtaining 
this information if it is not correctly formatted. This section provides 
information on how to make a World Wide Web site more accessible to 
persons with disabilities 2. Because of its

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structure, the Web provides tremendous power and flexibility in 
presenting information in multiple formats (text, audio, video, and 
graphic). However, the features that provide power and elegance for some 
users present potential barriers for people with sensory disabilities. 
The indiscriminate use of graphic images and video restrict access for 
people who are blind or have low vision. Use of audio and non-captioned 
video restrict access for people who are deaf or hard of hearing.
---------------------------------------------------------------------------


    \2\ This information is based on the document ``Writing HTML 
Documents and Implementing Accessibility for the World Wide Web'' by 
Paul Fountaine, Center for Information Technology Accommodation, General 
Services Administration. For further information, see http:// 
www.gsa.gov/coca.
---------------------------------------------------------------------------

    16. The level of accessibility of the information on the Web is 
dependent on the format of the information, the transmission media, and 
the display system. Many of the issues related to the transmission media 
and the display system cannot be affected by the general user. On the 
other hand, anyone creating information for a Web server has control of 
the accessibility of the information. Careful design and coding of 
information will provide access to all people without compromising the 
power and elegance of the Web site.
    17. A few suggestions are:
    a. Every graphic image should have associated text. This will enable 
a person using a character-based program, such as Lynx, to understand 
the material being presented in the graphical format. It also allows 
anyone who does not want to wait for graphics to load to have quick 
access to the information on the site.
    b. Provide text transcriptions or descriptions for all audio output. 
This will enable people who are deaf or hard of hearing to have access 
to this information, as well as individuals who do not have sound cards.
    c. Make any link text descriptive, but not verbose. For example, 
words like ``this'', ``here'', and ``click'' do not convey enough 
information about the nature of the link, especially to people who are 
blind. Link text should consist of substantive, descriptive words which 
can be quickly reviewed by the user. Conversely, link text which is too 
long bogs down efficient browsing.
    d. Provide alternate mechanisms for on-line forms. Forms are not 
supported by all browsers. Therefore, it is important to provide the 
user with an opportunity to select alternate methods to access such 
forms.
    e. All Web pages should be tested using multiple viewers. At a 
minimum, pages should be tested with the latest version of Lynx to 
ensure that they can be used with screen reader software.

                 Telecommunications Relay Services (TRS)

    18. By using telecommunications relay services (TRS), it has now 
become easier for persons with hearing and speech disabilities to 
communicate by the telephone. TRS links TTY users with those who do not 
have a TTY and use standard telephones. With TRS, a TTY user 
communicates with another person with the help of a communications 
assistant who is able to talk on the telephone and then communicate by 
typing the message verbatim, to the TTY user. The communications 
assistant also reads the message typed by the TTY user, or the TTY user 
may speak for him or herself using voice carry over.
    19. There are now TRS programs in every state. Although TRS is very 
valuable, it does have limitations. For example, relay calls take 
longer, since they always involve a third party, and typing words takes 
longer than speaking words.

                         Text Telephones (TTYs)

    20. A TTY also provides direct two-way typed conversations. The cost 
of these devices begins at approximately $200 and they can be operated 
by anyone who can type.
    21. The following information is excerpted from the brochure ``Using 
a TTY'' which is available free of charge from the Access Board:
    a. If the TTY line is also used for incoming voice calls, be sure 
the person who answers the phone knows how to recognize and answer a TTY 
call. You will usually hear silence, a high-pitched, electronic beeping 
sound, or a pre-recorded voice message when it is a TTY call. If there 
is silence, assume it is a TTY call.
    b. TTYs should be placed near a standard telephone so there is 
minimal delay in answering incoming TTY calls.
    c. To initiate a TTY call, place the telephone headset in the 
acoustic cups of the TTY adapter. If the TTY unit is directly connected 
to the phone line, there is no need to put the telephone headset in the 
acoustic cups. Turn the TTY on. Make sure there is a dial tone by 
checking for a steady light on the TTY status indicator.
    d. Dial the number and watch the status indicator light to see if 
the dialed number is ringing. The ring will make a long slow flash or 
two short flashes with a pause in between. If the line is busy, you will 
see short, continuous flashes on the indicator light. When the phone is 
answered, you will see an irregular light signal as the phone is picked 
up and placed in the cradle. If you are calling a combination TTY and 
voice number, tap the space bar several times to help the person on the 
other end identify this as a TTY call.
    e. The person who answers the call is the first to type. Answer the 
phone as you would by voice, then type ``GA''.

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    f. ``GA'' means ``I'm done, go ahead and type''. ``HD'' means hold. 
``GA or SK'' means ``Is there anything more, I'm done''. ``SK'' means 
stop keying. This is how you show that the conversation is ended and 
that you will hang up. It is polite to type good-bye, thank you for 
calling, or some other closing remark before you type ``SK''. Stay on 
the line until both parties type SKSK.
    22. Because of the amount of time it takes to send and receive 
messages, it is important to remember that short words and sentences are 
desired by both parties. With some TTY calls it is often not possible to 
interrupt when the other person is typing. If you get a garbled message 
in all numbers or mixed numbers and letters, tap the space bar and see 
if the message clears up. If not, when the person stops typing, you 
should type, ``Message garbled, please repeat.'' If the garbled messages 
continue, this may mean that one of the TTYs is not working properly, 
there is background noise causing interference, or that you may have a 
bad connection. In this case you should say something like, ``Let's hang 
up and I'll call you back.''
    23. The typical TTY message will include many abbreviations and 
jargon. The message may also include misspelled words because, if the 
meaning is clear, many callers will not bother to correct spelling since 
it takes more time. Also, some TTY users communicate in American sign 
language, a language with its own grammar and syntax. English may be a 
second language. Extend the same patience and courtesy to TTY callers as 
you do to all others.

                              Paragraph (b)

    1. This paragraph requires manufacturers to supply a point of 
contact for obtaining information about accessibility features of the 
product and how to obtain documents in alternate formats. This could be 
the name of a specific person, a department or an office. Supplying a 
telephone number, and preferably a separate TTY number, is the most 
universal method. Web site and e-mail addresses are also desirable, but 
should not substitute for a telephone number since many more people have 
access to a telephone than have e-mail or Internet access. Of course, 
the means for requesting additional accessibility information must, 
itself, be accessible.
    2. Automated voice response systems are not usable by deaf and hard 
of hearing persons. An approach to consider is to augment an automated 
voice response system with an automated TTY response system that also 
detects whether a caller is using voice or TTY.
    3. The phone number should be prominently displayed in product 
literature. Ideally, it should be displayed on the outside of the 
package so that a potential buyer can obtain information about the 
accessibility before purchase. In addition, manufacturers should 
acquaint their distributors with this information so that they can 
assist customers with disabilities, such as a blind person unable to 
read the package information.

                              Paragraph (c)

    1. This paragraph requires manufacturers to consider including 
information on accessibility in training a manufacturer provides to its 
staff. For example, if technical support staff are trained on how to 
provide good technical support, such a program should be expanded to 
include information on accessibility features of the manufacturer's 
products and peripheral devices that are compatible with them. Such 
staff should also have basic information on how to handle TTY and relay 
calls. Personnel who deal directly with the public, including market 
researchers, should be trained in basic disability ``etiquette.''

        Section 1193.35  Redundancy and Selectability [Reserved]

    1. Although this section is reserved, manufacturers of 
telecommunications equipment and customer premises equipment are 
encouraged to provide redundancy such that input and output functions 
are available in more than one mode.
    2. Alternate input and output modes should be selectable by the 
user.
    3. Products should incorporate multiple modes for input and output 
functions so the user is able to select the desired mode.
    a. Since there is no single interface design that accommodates all 
disabilities, accessibility is likely to be accomplished through various 
product designs which emphasize interface flexibility to maximize user 
configurability and multiple, alternative and redundant modalities of 
input and output.
    b. Selectability is especially important where an accessibility 
feature for one group of individuals with disabilities may conflict with 
an accessibility feature for another. This potential problem could be 
solved by allowing the user to switch one of the features on and off. 
For example, a conflict may arise between captioning (provided for 
persons who are deaf or hard of hearing) and a large font size (provided 
for persons with low vision). The resulting caption would either be so 
large that it obscures the screen or need to be scrolled or displayed in 
segments for a very short period of time.
    c. It may not be readily achievable to provide all input and output 
functions in a single product or to permit all functions to be 
selectable. For example, switching requires control mechanisms which 
must be accessible and it may be more practical to have multiple modes 
running simultaneously. Whenever possible, it is preferable for the

[[Page 448]]

user to be able to turn on or off a particular mode.
    4. Some experiments with smart cards are showing promise for 
enhancing accessibility. Instead of providing additional buttons or menu 
items to select appropriate input and output modes, basic user 
information can be stored on a smart card that triggers a custom 
configuration. For example, insertion of a particular card can cause a 
device to increase the font size on a display screen or activate speech 
output. Another might activate a feature to increase volume output, 
lengthen the response time between sequential operations, or allow two 
keys to be pressed sequentially instead of simultaneously. This 
technology, which depends on the issuance of a customized card to a 
particular individual, would allow redundancy and selectability without 
adding additional controls which would complicate the operation. As more 
and more functions are provided by software rather than hardware, this 
option may be more readily achievable.
    5. The increasing use of ``plug-ins'' allow a product to be 
customized to the user's needs. Plug-ins function somewhat like 
peripheral devices to provide accessibility and there is no fundamental 
problem in using plug-ins to provide access, as long as the 
accessibility plug-ins are provided with the product. For example, at 
least one computer operating system comes packaged with accessibility 
enhancements which a user can install if wanted. In addition, modems are 
typically sold with bundled software that provides the customer premises 
equipment functionality. A compatible screen reader program, for 
example, could be bundled with it. At least one software company has 
developed a generalized set of accessibility tools designed to be 
bundled with a variety of software products to provide access. As yet, 
such developments are not fully mature; most products are still 
installed by providing on-screen visual prompts, not accompanied by 
meaningful sounds.

       Section 1193.41  Input, Controls, and Mechanical Functions

                              Paragraph (a)

                         Operable Without Vision

    1. Individuals who are blind or have low vision cannot locate or 
identify controls, latches, or input slits by sight or operate controls 
that require sight. Products should be manufactured to be usable 
independently by these individuals. For example, individuals who cannot 
see must use either touch or sound to locate and identify controls. If a 
product uses a flat, smooth touch screen or touch membrane, the user 
without vision will not be able to locate the controls without auditory 
or tactile cues.
    2. Once the controls have been located, the user must be able to 
identify the various functions of the controls. Having located and 
identified the controls, individuals must be able to operate them.
    3. Below are some examples of ways to make products accessible to 
persons with visual disabilities:
    a. If buttons are used on a product, make them discrete buttons 
which can be felt and located by touch. If a flat membrane is used for a 
keyboard, provide a raised edge around the control areas or buttons to 
make it possible to locate the keys by touch. Once an individual locates 
the different controls, he or she needs to identify what the keys are. 
If there is a standard number pad arrangement, putting a nib on the 
``5'' key may be all that is necessary for identifying the numbers. On a 
QWERTY keyboard, putting a tactile nib on the ``F'' and ``J'' keys 
allows touch typists to easily locate their hands on the key.
    b. Provide distinct shapes for keys to indicate their function or 
make it easy to tell them apart. Provide Braille labels for keys and 
controls for those who read Braille to determine the function and use of 
controls.
    c. Provide large raised letters for short labels on large objects. 
Where it is not possible to use raised large letters, a voice mode 
selection could be incorporated that announces keys when pressed, but 
does not activate them. This would allow people to turn on the voice 
mode long enough to explore and locate the item they are interested in, 
then release the voice mode and press the control. If it is an 
adjustable control, voice confirmation of the status may also be 
important.
    d. Provide tactile indication on a plug which is not a self-
orienting plug. Wireless connections, which eliminate the need to orient 
or insert connectors, also solve the problem.
    e. Avoid buttons that are activated when touched to allow an 
individual to explore the controls to find the desired button. If touch-
activated controls cannot be avoided (for example, on a touch screen), 
provide an alternate mode where a confirm button is used to confirm 
selections (for example, items are read when touched, and activated when 
the confirm button is pressed). All actions should be reversible, or 
require confirmation before executing non-reversible actions.
    f. Once controls have been located and users know what the functions 
are, they must be operable. Some types of controls, including mouse 
devices, track balls, dials without markings or stops, and push-button 
controls with only one state, where the position or setting is indicated 
only by a visual cue, will not be usable by persons who are blind or 
have low vision. Providing a rotational or linear stop and tactile or 
audio detents is a useful strategy. Another is to provide keyboard or 
push-button access to the functions. If the product has an audio

[[Page 449]]

system and microprocessor, use audio feedback of the setting. For simple 
products, tactile markings may be sufficient.
    g. Controls may also be shaped so that they can easily be read by 
touch (e.g., a twist knob shaped like a pie wedge). For keys which do 
not have any physical travel, some type of audio or tactile feedback 
should be provided so that the individual knows when the key has been 
activated. A two-state key (on/off) should be physically different in 
each position (e.g., a toggle switch or a push-in/pop-out switch), so 
the person can tell what state the key is in by feeling it.
    h. If an optional voice mode is provided for operating a product, a 
simple ``query'' mode can also be provided, which allows an individual 
to find out the function and state of a switch without actually 
activating it. In some cases, there may be design considerations which 
make the optimal mode for a sighted person inaccessible to someone 
without vision (e.g., use of a touch screen or mouse). In these cases, a 
primary strategy may be to provide a closely linked parallel method for 
efficiently achieving the same results (e.g., keyboard access) if there 
is a keyboard, or ``SpeedList'' access for touch screens.

                              Paragraph (b)

           Operable With Low Vision and Limited or No Hearing

    1. Individuals with low vision often also have hearing disabilities, 
especially older individuals. These persons cannot rely solely on audio 
access modes commonly used by people who are blind. Tactile strategies 
are still quite useful, although many older persons may not be familiar 
with Braille. The objective, therefore, is to maximize the number of 
people who can use their residual vision, combined with tactile senses, 
to operate a product.
    2. Strategies for addressing this provision may include the 
following: a. Make the information on the product easier to see. Use 
high-contrast print symbols and visual indicators, minimize glare on the 
display and control surfaces, provide adequate lighting, position 
controls near the items they control to make them easy to find, and use 
Arabic instead of Roman numerals.
    b. The type-face and type-spacing used can greatly affect 
legibility. The spacing between letters should be approximately 1/16 the 
height of uppercase letters and the spacing should be uniform from one 
label to the next. Also, symbols can sometimes be used which are much 
more legible and understandable than fine print.
    c. Where the display is dynamic, provide a means for the user to 
enlarge the display and to ``freeze'' it. In addition to making it 
easier to see, there are strategies which can be used to reduce the need 
to see things clearly in order to operate them.
    d. A judicious use of color-coding, always redundant with other 
cues, is extremely helpful to persons with low vision. These cues should 
follow standard conventions, and can be used to reduce the need to read 
labels (or read labels more than the first time). In addition, all of 
the tactile strategies discussed under section 1193.41 (a) can also be 
used here.

                              Paragraph (c)

               Operable With Little or No Color Perception

    1. Many people are unable to distinguish between certain color 
combinations. Others are unable to see color at all.
    2. Strategies for addressing this provision include:
    a. Eliminate the need for a person see color to operate the product. 
This does not eliminate the use of color completely but rather requires 
that any information essential to the operation of a product also be 
conveyed in some other fashion.
    b. Avoid color pairs such as red/green and blue/yellow, that are 
indistinguishable by people with limited color perception.
    c. Provide colors with different hues and intensity so that colored 
objects can be distinguished even on a black and white screen by their 
different appearance. Depending upon the product, the manufacturer may 
also be able to allow users to adjust colors to match their preferences 
and visual abilities.
    d. Avoid colors with a low luminance.

                              Paragraph (d)

                        Operable Without Hearing

    1. Individuals who are deaf or hard of hearing cannot locate or 
identify controls that require hearing. Products that provide only audio 
prompts cannot be used by individuals who are deaf or hard of hearing. 
For example, a voice-based interactive product that can be controlled 
only by listening to menu items and then pressing buttons is not 
accessible. By addressing the output issues under section 1193.43(d) 
many accessibility problems that affect input under this section can be 
solved.
    2. Some strategies include:
    a. Text versions of audio prompts could be provided which are 
synchronized with the audio so that the timing is the same.
    b. If prompts are provided visually and no speech or vocalization is 
required, most problems associated with locating, identifying, and 
operating controls without hearing will be solved.

[[Page 450]]

                              Paragraph (e)

                 Operable With Limited Manual Dexterity

    1. Individuals may have difficulty manipulating controls on products 
for any number of reasons. Though these disabilities may vary widely, 
these persons have difficulty grasping, pinching, or twisting objects 
and often have difficulty with finer motor coordination. Some persons 
may use a headstick, mouthstick, or artificial limb.
    2. Below are some strategies which will assist in designing products 
which will meet the needs of these persons:
    a. Provide larger buttons and controls, or buttons which are more 
widely spaced, to reduce the likelihood that a user will accidentally 
activate an adjacent control.
    b. Provide guard bars between the buttons or near the buttons so 
that accidental movements would hit the guard bars rather than 
accidentally bumping switches.
    c. Provide an optional mode where buttons must be depressed for a 
longer period of time (e.g., SlowKeys) before they would accept input to 
help separate between inadvertent motions or bumps and desired 
activation.
    d. Where two buttons must be depressed simultaneously, provide an 
option to allow them to be activated sequentially (e.g., StickiKeys).
    e. Avoid buttons which are activated merely by touch, such as 
capacitance switches. Where that is difficult to do (e.g., with 
touchscreens), provide a ``confirm'' button which an individual can use 
to confirm that the item touched is the desired one. Also, make all 
actions reversible, or request confirmation before initiating non-
reversible actions.
    f. Avoid latches, controls, or key combinations which require 
simultaneous activation of two or more buttons, or latches. Also, avoid 
very small controls or controls which require rotation of the wrist or 
pinching and twisting. Where this is not possible, provide alternate 
means for achieving the same functions.
    g. Controls which have non-slip surfaces and those that can be 
operated with the side of the hand, elbow or pencil can be used to 
minimize physical activity required. In some cases, rotary controls can 
be used if they can be operated without grasping and twisting (e.g., a 
thin pie slice shape control or an edge control). Providing a concave 
top on buttons makes them easier to use.
    h. Make it easier to insert cards or connectors by providing a bevel 
around the slot or connector, or use cards or connectors which can be 
inserted in any orientation or which self-center or self-align. Placing 
the slot or connector on the front and near a ledge or open space allows 
individuals to brace their hands or arms to make use of the slot or 
connector easier.
    i. For some designs, controls which pose problems for individuals 
with disabilities may be the most efficient, logical or effective 
mechanism for a majority of users. In these cases, provide alternate 
strategies for achieving the same functions, but which do not require 
fine manipulation. Speech input or voice recognition could be provided 
as an alternate input, although it should not be the only input 
technique.

                              Paragraph (f)

                Operable With Limited Reach and Strength

    1. Some individuals may have difficulty operating systems which 
require reach or strength. The most straight-forward solution to this 
problem is to place the controls where they can be easily reached with 
minimal changes to body position. Many products also have controls 
located on different parts of the product.
    2. When this is the case, the following strategies may be used:
    a. Allow the functions to be controlled from the keyboard, which is 
located directly in front of the user.
    b. Allow voice recognition to be used as an option. This provides 
input flexibility, but should never be the only means for achieving a 
function.
    c. Provide a remote control option that moves all of the controls 
for the product together on a unit that can be positioned optimally for 
the individual. This allows the individual to operate the product 
without having to move to it. If this strategy is used, a standard 
communication format would be important to allow the use of alternate 
remote controls for those who cannot use the standard remote control.
    d. Reduce the force needed to operate controls or latches and avoid 
the need for sustained pressure or activity (e.g., use guards rather 
than increased strength requirements to avoid accidental activation of 
crucial switches).
    e. Provide arm or wrist rests or supports, create short cuts that 
reduce the number of actions needed, or completely eliminate the need to 
operate controls wherever possible by having automatic adjustments.
    f. Section 4.34.3 of the Americans with Disabilities Act 
Accessibility Guidelines (ADAAG) also contains specific information 
concerning reach ranges. ADAAG gives specific guidance concerning access 
to the built environment. Section 4.34.3 indicates the reach ranges for 
a front or parallel approach to equipment for individuals using a 
wheelchair. This information may prove useful for those 
telecommunications manufacturers whose equipment is stationary, such as 
an information kiosk.

[[Page 451]]

                              Paragraph (g)

                Operable Without Time-Dependent Controls

    1. Many persons find it very difficult to operate time-dependent 
controls.
    2. Some strategies which address this problem include:
    a. Avoid any timed-out situations or provide instances where the 
user must respond to a question or moving display in a set amount of 
time or at a specific time (e.g., a rotating display).
    b. Where timed responses are required or appropriate, allow the user 
to adjust them or set the amount of time allotted to complete a given 
task. Warn users that time is running out and allow them to secure 
extended time.
    c. If the standard mode of operation would be awkward or 
inefficient, then provide an alternate mode of operation that offers the 
same functions.

                              Paragraph (h)

                         Operable Without Speech

    1. Many individuals cannot speak or speak clearly. Products which 
require speech in order to operate them should also provide an alternate 
way to achieve the same function.
    2. Some strategies to achieve this include:
    a. Provide an alternate mechanism for achieving all of the functions 
which are controlled by speech. If a product includes speech 
identification or verification, provide an alternate mechanism for this 
function as well.
    b. Include individuals who are deaf or who have speech disabilities 
in the subject populations that are used to develop voice recognition 
algorithms, so that the algorithms will better accommodate a wider range 
of speech patterns.

                              Paragraph (i)

                 Operable With Limited Cognitive Skills

    1. Many individuals have reduced cognitive abilities, including 
reduced memory, sequence tracking, and reading skills. This does not 
necessarily prevent these persons from using a telecommunications 
product or feature.
    2. The following strategies are extensions of techniques for making 
products easier for everyone to learn and use:
    a. Use standard colors and shapes and group similar functions 
together. On products which have some controls that are used by everyone 
and other controls which would only be used by advanced users, it is 
generally good practice to separate the two, putting the more advanced 
features behind a door or under a separate menu item.
    b. Products which read the contents of the display aloud, or 
controls which announce their settings, are easier for individuals who 
have difficulty reading.
    c. Design products that are self-adjusting to eliminate additional 
controls which must be learned, and reduce the visual clutter.
    d. On products which have sign-in procedures, allow user settings to 
be associated with them when they sign in or insert their identification 
card. The system can then autoconfigure to them. Some new ``smart 
cards'' are being designed with user preferences encoded on the card.
    e. Where a complex series of steps is required, provide cuing to 
help lead the person through the process. It is also helpful to provide 
an ``undo'' or back up function, so that any mistakes can be easily 
corrected. Most people will find this function helpful.
    f. Where functions are not reversible, request some type of 
confirmation from the user before proceeding. On labels and 
instructions, it is helpful to use short and simple phrases or 
sentences. Avoid abbreviations wherever possible. Eliminate the need to 
respond within a certain time or to read text within a certain time.

        Section 1193.43  Output, Displays, and Control Functions

                              Paragraph (a)

                   Availability of Visual Information

    1. Just as persons with visual or cognitive disabilities need to be 
able to operate the input, controls, and mechanical functions of a 
product, they must also have access to the output functions.
    2. The following are strategies for addressing this provision:
    a. Provide speech output of all displayed text and labels. For 
information which is presented in non-text form (e.g., a picture or 
graphic), provide a verbal description unless the graphic is just 
decorative. When speech output is provided, allow for the spoken message 
to be repeated if the message is very long. Also, if the information 
being provided is personal in nature, it is recommended that headphones 
be provided in order to assure privacy. A message for stepping through 
menus is also helpful.
    b. Providing Braille labels for controls is an extremely effective 
mechanism for those individuals who read Braille.
    c. Large raised print can also be used but is generally restricted 
to rather large objects due to the size of the letters.

                              Paragraph (b)

         Availability of Visual Information for Low Vision Users

    1. Individuals with low vision often also have hearing disabilities, 
especially older individuals. These persons cannot rely solely on audio 
access modes commonly used by

[[Page 452]]

people who are blind. Tactile strategies are still quite useful. Many 
people who have low vision can use their vision to access visually 
presented information on a product.
    2. Strategies for meeting this provision involve:
    a. Provide larger, higher contrast text and graphics. Individuals 
with 20/200 vision can see lettering if they get close to it, unless it 
is very small or has very poor contrast. Although 14 or 18 point type is 
recommended for visual displays, it is usually not possible to put this 
size text on small products.
    b. Make the lettering as large and high contrast as possible to 
maximize the number of people who can use the product.
    c. On displays where the font size can be varied, allow the user to 
increase the font size, even if it means that the user must pan or move 
in order to see the full display.

                              Paragraph (c)

                          Access to Moving Text

    1. Moving text can be an access problem because individuals with low 
vision, or other disabilities may find it difficult or impossible to 
track moving text with their eyes.
    2. Strategies to address this requirement may include the following:
    a. Provide a mechanism for freezing the text. Thus, persons could 
read the stationary text and obtain the same information.
    b. Provide scrolling to display one full line at a time, with a 
pause before the next line replaces it.
    c. Provide the same information in another type of display which 
does not move. The right-to-left scrolling text on a TTY does not 
usually present a problem because it can be controlled by asking the 
sender to type slower or pause at specified intervals.

                              Paragraph (d)

                  Availability of Auditory Information

    1. Individuals who have hearing disabilities are unable to receive 
auditory output, or mechanical and other sounds that are emitted by a 
product. These sounds are often important for the safe or effective 
operation of the product. Therefore, information which is presented 
auditorial should be available to all users.
    2. Some strategies to achieve this include the following:
    a. Provide a visual or tactile signal that will attract the person's 
attention and alert the user to a call, page, or other message, or to 
warn the user of significant mechanical difficulties in the product.
    b. In portable products, a tactile signal such as vibration is often 
more effective than a visual signal because a visual signal may be 
missed. An auxiliary vibrating signaler might be effective if it is not 
readily achievable or effective to build vibration into a portable 
product.
    c. For stationary products, a prominent visual indicator in the 
field of vision (e.g., a screen flash for a computer, or a flashing 
light for a telephone) is effective. To inform the user of the status of 
a process (e.g., line status on a telephone call, power on, saving to 
disk, or disconnected), text messages may be used. It is also desirable 
to have an image or light that is activated whenever acoustic energy is 
present on a telephone line.
    d. Speech messages should be portrayed simultaneously in text form 
and displayed where easily seen by the user. Such captions should 
usually be verbatim and displayed long enough to be easily read. If the 
product provides speech messages and the user must respond to those 
messages (e.g., interactive voice response and voice mail), a TTY 
accessible method of accessing the product could be provided.
    e. TTY to TTY long distance and message unit calls from pay 
telephones are often not possible because an operator says how much 
money must be deposited. Technology exists to have this information 
displayed on the telephone and a test installation is currently 
operating at the Butler plaza on the Pennsylvania Turnpike. In addition, 
if the product provides interactive communication using speech and 
video, it would be helpful to provide a method and channel for allowing 
non-speech communication (e.g., text conversation) in parallel with the 
video.
    f. Certain operations of products make sounds that give status 
information, although these sounds are not programmed signals. Examples 
include the whir of an operating disk drive and the click of a key being 
pushed. Where sounds of this type provide information important for 
operating the product, such as a ``beep'' when a key is activated, 
provide a light or other visual confirmation of activation.

                              Paragraph (e)

 Availability of Auditory Information for People Who Are Hard of Hearing

    1. People who are hard of hearing but not deaf can often use their 
hearing to access auditory information on a product.
    2. Strategies for addressing this requirement may include the 
following:
    a. Improve the signal to noise ratio by making the volume 
adjustable, between 18-25 dB, increasing the maximum undistorted volume, 
and minimizing background noise by such methods as better coupling 
between the signal source and the user.
    b. Alerting tones are most likely to be heard if they involve 
multiple tones, separated in frequency, which contrast with the 
environment.
    c. Occasionally, varying tones may be preferred for attracting 
attention. If speech is

[[Page 453]]

used, it is best to test its intelligibility with individuals who are 
hard of hearing to maximize its clarity and ease of understanding. 
Provide the ability for the user to have any messages repeated or to 
repeat the message if no response is received from the user.
    d. For essential auditory information, the information might be 
repeated and an acknowledgment from the user requested.
    e. The intelligibility of the output can also be maximized by the 
location of the speakers and by keeping the speakers away from noise 
sources. However, visual displays are often more desirable than loud 
prompts or alerts, because the latter reduce privacy and can annoy 
others unless the amplified signal is isolated by means of a headphone, 
induction coupling, direct plug-in to a hearing aid, or other methods.
    f. The use of a telephone handset or earcup which can be held up to 
the ear can improve intelligibility without disturbing others in the 
area. If a handset or earcup is used, making it compatible with a 
hearing aid allows users to directly couple the auditory signal to their 
hearing aids. If the microphone in the handset is not being used, 
turning it off will also reduce the amount of background noise which the 
person hears in the earpiece. Providing a headphone jack also allows 
individuals to plug in headphones, induction loops, or amplifiers which 
they may use to hear better.

                              Paragraph (f)

                 Prevention of Visually-Induced Seizures

    1. Individuals with photo-sensitive epilepsy can have a seizure 
triggered by displays which flicker or flash, particularly if the flash 
has a high intensity and within certain frequency ranges.
    2. Strategies to address this requirement involve reducing or 
eliminating screen flicker or image flashing to the extent possible. In 
particular, the rates of 2 Hz or lower or 70 Hz or higher are 
recommended. This recommendation reflects current research data on 
people with photosensitive epilepsy which indicates that the peak 
sensitivity for these individuals is 20 Hz and that the sensitivity then 
drops off in both directions.
    3. The chance of triggering seizures can also be reduced by avoiding 
very bright flashes which occupy a large part of the visual field 
(particularly in the center of the visual field) in order to minimize 
the impact on the visual cortex.

                              Paragraph (g)

                      Availability of Audio Cutoff

    1. Individuals using the audio access mode, as well as those using a 
product with the volume turned up, need a way to limit the range of 
audio broadcast.
    2. If an audio headphone jack is provided, a cut-off switch can be 
included in the jack so that insertion of the jack would cut off the 
speaker. If a telephone-like handset is used, the external speakers can 
be turned off when the handset is removed from the cradle.

                              Paragraph (h)

               Non-Interference With Hearing Technologies

    1. Individuals who are hard of hearing use hearing aids and other 
assistive listening devices but these devices cannot be used if a 
telecommunications product introduces noise into the listening aids 
because of stray electromagnetic interference.
    2. Strategies for reducing this interference (as well as improving 
hearing aid immunity) are being researched. The most desirable strategy 
is to avoid the root causes of interference when a product is initially 
designed. If the root sources of interference cannot be removed, then 
shielding, placement of components to avoid hearing aid interference, 
and field-canceling techniques may be effective. Standards are being 
developed to limit interference to acceptable levels, but complete 
elimination for some technologies may not yet be practical.
    3. In April 1996, the American National Standards Institute (ANSI) 
established a task group (ANSI C63) under its subcommittee on medical 
devices to develop standards to measure hearing aid compatibility and 
accessibility to digital wireless telecommunications. The C63.19 task 
group is continuing to develop its standard, C63.19-199X, American 
National Standard for Methods of Measurement for Hearing Aid 
Compatibility with Wireless Communications Devices. When the standard is 
completed, the Board intends to reference it in this appendix.

                              Paragraph (i)

                          Hearing Aid Coupling

    1. Many individuals who are hard of hearing use hearing aids with a 
T-coil (or telecoil) feature to allow them to listen to audio output of 
products without picking up background noise and to avoid problems with 
feedback, signal attenuation or degradation.
    2. The Hearing Aid Compatibility (HAC) Act defines a telephone as 
hearing aid compatible if it provides internal means for effective use 
with hearing aids and meets established technical standards for hearing 
aid compatibility.
    3. The technical standards for HAC telephones are specified in ANSI/
EIA-504-1989, ``Magnetic Field Intensity Criteria for Telephone 
Compatibility with Hearing Aids,'' ANSI/TIA/EIA-504-1-1994, ``An 
Addendum to EIA-504,'' which adds the HAC requirements, and the FCC 
regulations at 47 CFR 68.317 (a).
    4. A good strategy for addressing this requirement for any product 
held up to the ear

[[Page 454]]

would be to meet these same technical requirements. If not readily 
achievable to provide built-in telecoil compatibility, other means of 
providing the electro-magnetic signal is the next strategy to be 
considered.

Subpart D `` Requirements for Compatibility With Peripheral Devices and 
                 Specialized Customer Premises Equipment

                     Section 1193.51  Compatibility

                              Paragraph (a)

  External Electronic Access to All Information and Control Mechanisms

    1. Some individuals with severe or multiple disabilities are unable 
to use the built-in displays and control mechanisms on a product.
    2. The two most common forms of manipulation-free connections are an 
infrared connection or a radio frequency connection point. Currently, 
the Infrared Data Association (IrDA) infrared connection point is the 
most universally used approach.
    3. The Infrared Data Association together with dominant market 
players in the cellular and paging industries, Ericsson, Matsushita/
Panasonic, Motorola, NEC, Nokia, NTT DoCoMo, Puma, and TU-KA Phone 
Kansai, announced on April 25, 1997 a proposed set of standards that 
will empower wireless communication devices, such as cellular phones, 
pagers and personal computers to transfer useful information over short 
distances using IrDA infrared data communication ports. Because the 
proposed standard is designed to be scalable, it is easy-to-adopt by a 
wide range of wireless devices from pagers to more enhanced 
communications tools such as smart phones. (See http://www.irda.org).
    4. Adding an infrared connector to the serial port of a peripheral 
device or specialized customer premises equipment will make these 
products more compatible with each other and with customer premises 
equipment.
    5. An infrared link can provide a mechanism for providing access to 
smaller, more advanced telecommunication devices and provide a safety 
net for products which are unable to incorporate other technologies. 
There is a joint international effort to develop a Universal Remote 
Console Communication (URCC) protocol which would achieve this 
functionality. (See http://trace.wisc.edu/world/urc/).

                              Paragraph (b)

         Connection Point for External Audio Processing Devices

    1. Individuals using audio peripheral devices such as amplifiers, 
telecoil adapters, or direct-connection into a hearing aid need a 
standard, noise free way to tap into the audio generated by a product.
    2. Individuals who cannot hear well can often use products if they 
can isolate and enhance the audio output. For example, they could plug 
in a headphone which makes the audio louder and helps shut out 
background noise; they might feed the signal through an amplifier to 
make it louder, or through filters or frequency shifters to make it 
better fit their audio profile. If they are wearing a hearing aid, they 
may directly connect their hearing aid to the audio signal or plug in a 
small audio loop which allows them to couple the audio signal through 
their hearing aid's built-in T-coil.
    3. Devices which can process the information and provide visual and/
or tactile output are also possible. The most common strategy for 
achieving this requirement is the use of a standard 9 mm miniature plug-
in jack, common to virtually every personal tape player or radio. For 
small products, a subminiature phone jack could be used.

                              Paragraph (c)

               Compatibility of Controls With Prosthetics

    1. Individuals who have artificial hands or use headsticks or 
mouthsticks to operate products have difficulty with capacitive or heat-
operated controls which require contact with a person's body rather than 
a tool. Individuals who wear prosthetics are unable to operate some 
types of products because they either require motions that cannot easily 
be made with a prosthetic hand, or because products are designed which 
require touch of the human skin to operate them (e.g., capacitive 
touchscreen kiosks), making it impossible for individuals with 
artificial arms or hands to operate, except perhaps with their nose or 
chin. Some individuals who do not have the use of their arms use either 
a headstick or a mouthstick to operate products. Controls and mechanisms 
which require a grasping and twisting motion should be avoided.

                              Paragraph (d)

                           TTY Connectability

    1. Acoustic coupling is subject to interference from ambient noise, 
as many handsets do not provide an adequate seal with TTYs. Therefore, 
alternate (non-acoustic) connections are needed. Control of the 
microphone is needed for situations such as pay-phone usage, where 
ambient noise picked up by the mouthpiece often garbles the signal. For 
the use of voice carry-over, where the person can speak but not hear, 
the user needs to be able to turn the microphone on to speak and off to 
allow them to receive the TTY text replies.

[[Page 455]]

    2. A TTY can be connected to and used with any telecommunications 
product supporting speech communication without requiring purchase of a 
special adapter, and the user is able to intermix speech and clear TTY 
communication. The most common approach today is to provide an RJ-11 
jack. On very small products, where there may not be room for this large 
jack, a miniature or subminiature phone-jack wired as a ``headset'' jack 
(with both speaker and microphone connections) could be used as an 
alternate approach. In either case, a mechanism for turning the phone 
mouthpiece (microphone) on and off would reduce garbling in noisy 
environments, while allowing the user to speak into the microphone when 
desired (to conduct conversations with mixed voice and TTY). For 
equipment that combines voice communications, displays, keyboards and 
data communication functions, it is desirable to build in direct TTY 
capability.

                              Paragraph (e)

                        TTY Signal Compatibility

    1. Some telecommunications systems compress the audio signal in such 
a manner that standard signals used by a TTY is distorted or attenuated 
preventing successful TTY communication over the system. A TTY can be 
used with any product providing voice communication function.
    2. The de facto standard of domestic TTYs is Baudot which has been 
defined in ITU-T Recommendation V.18. Although the V.18 standard has 
been adopted, products are not yet available which meet its 
requirements.
    3. This provision can be addressed by ensuring that the tones used 
can travel through the phones compression circuits undistorted. It is 
even more desirable to provide undistorted connectivity to the telephone 
line in the frequency range of 390 Hz to 2300 Hz (ITU-T Recommendation 
V.18), as this range covers all of the TTY protocols known throughout 
the world. Although it may not be achievable with current technology, an 
alternate strategy might be to recognize the tones, transmit them as 
codes, and resynthesize them at the other end. In addition, it should be 
possible for individuals using TTYs to conduct conversations with mixed 
voice and TTY, and to control all aspects of the product and receive any 
messages generated by the product.



PARTS 1194--1199  [RESERVED]




[[Page 457]]



        CHAPTER XII--NATIONAL ARCHIVES AND RECORDS ADMINISTRATION




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

                       SUBCHAPTER A--GENERAL RULES
Part                                                                Page
1200            Official seals..............................         459
1202            Regulations implementing the Privacy Act of 
                    1974....................................         460
1206            National Historical Publications and Records 
                    Commission..............................         471
1207            Uniform administrative requirements for 
                    grants and cooperative agreements to 
                    state and local governments.............         478
1208            Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the National 
                    Archives and Records Administration.....         506
1209            Governmentwide debarment and suspension 
                    (nonprocurement) and governmentwide 
                    requirements for drug-free workplace 
                    (grants)................................         512
1210            Uniform administrative requirements for 
                    grants and agreements with institutions 
                    of higher education, hospitals, and 
                    other non-profit organizations..........         531
                    SUBCHAPTER B--RECORDS MANAGEMENT
1220            Federal records; general....................         556
1222            Creation and maintenance of Federal records.         562
1228            Disposition of Federal records..............         568
1230            Micrographic records management.............         597
1232            Audiovisual records management..............         604
1234            Electronic records management...............         608
1236            Management of vital records.................         615
1238            Program assistance..........................         618
                SUBCHAPTER C--PUBLIC AVAILABILITY AND USE
1250            Public availability of NARA administrative 
                    records and informational materials.....         619

[[Page 458]]

1252            Public use of records, donated historical 
                    materials, and facilities; general......         628
1253            Location of records and hours of use........         629
1254            Availability of records and donated 
                    historical materials....................         631
1256            Restrictions on the use of records..........         651
1258            Fees........................................         656
                     SUBCHAPTER D--DECLASSIFICATION
1260            Declassification of and public access to 
                    national security information...........         660
                   SUBCHAPTER E--PRESIDENTIAL RECORDS
1270            Presidential records........................         666
               SUBCHAPTER F--NIXON PRESIDENTIAL MATERIALS
1275            Preservation and protection of and access to 
                    the Presidential historical materials of 
                    the Nixon Administration................         671
                      SUBCHAPTER G--NARA FACILITIES
1280            Public use of facilities....................         688
1284            Exhibits....................................         695
1285-1299

[Reserved]

[[Page 459]]



                       SUBCHAPTER A--GENERAL RULES





PART 1200--OFFICIAL SEALS--Table of Contents




Sec.
1200.1  Definitions.
1200.2  Description and design.
1200.4  Authority to affix seals.
1200.6  Use of the seals.

    Authority: 44 U.S.C. 2104(e), 2116(b), 2302.

    Source: 50 FR 27196, July 1, 1985, unless otherwise noted.



Sec. 1200.1  Definitions.

    For the purposes of this part--
    Embossing seal means a display of the form and content of the 
official seal made on a die so that the seal can be embossed on paper or 
other medium.
    NARA means all organizational units of the National Archives and 
Records Administration.
    Official seal means the original(s) of the seal showing the exact 
form, content and color.
    Replica or reproduction means a copy of the official seal displaying 
the form, content and color.



Sec. 1200.2  Description and design.

    (a) National Archives and Records Administration seal. The design is 
illustrated below and described as follows:
    Centered on a disc with a double-line border a solid line rendition 
of an heraldic eagle displayed holding in its left talon thirteen 
arrows, in its right talon a branch of olive, bearing on its breast a 
representation of the shield of the United States and displayed above 
its head a partially unrolled scroll inscribed with the words LITTERA 
SCRIPTA MANET one above the other; all within the circumscription 
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION, with the date 1985 at 
bottom center.
[GRAPHIC] [TIFF OMITTED] TC29OC91.136

    (b) National Archives seal. The design is illustrated below and 
described as in paragraph (a) of this section, encircled by the 
circumscription THE NATIONAL ARCHIVES OF THE UNITED STATES, with the 
date 1934 at the bottom center.
[GRAPHIC] [TIFF OMITTED] TC29OC91.134

    (c) National Archives Trust Fund Board seal. The design is 
illustrated below and described as in paragraph (a) of

[[Page 460]]

this section, encircled by the circumscription NATIONAL ARCHIVES TRUST 
FUND BOARD, with the date 1941 at the bottom center.
[GRAPHIC] [TIFF OMITTED] TC29OC91.135



Sec. 1200.4  Authority to affix seals.

    The Archivist of the United States and the Archivist's designees are 
authorized to affix the official seals, embossing seals, replicas and 
reproductions to appropriate documents, certifications and other 
material for all purposes authorized by this part.



Sec. 1200.6  Use of the seals.

    (a) The seals are the official emblems of NARA and their use is 
therefore permitted only as provided in this part.
    (b) Use by any person or organization outside NARA may be made only 
with prior written approval by NARA.
    (c) Requests by any person or organization outside NARA for 
permission to use the seals must be made in writing to the Archivist of 
the United States, National Archives (N), Washington, DC 20408, and must 
specify, in detail, the exact use to be made. Any permission granted 
applies only to the specific use for which it was granted and is not to 
be construed as permission for any other use.
    (d) Use of the NARA and the National Archives of the United States 
seals shall be primarily for informational purposes and for 
authentication of documents. The National Archives Trust Fund Board seal 
shall be used only for Trust Fund documents and publications. The seals 
may not be used on any article or in any manner which may discredit the 
seals or reflect unfavorably upon NARA or which implies NARA endorsement 
of commercial products or services, or of the user's policies or 
activities.
    (e) Falsely making, forging, counterfeiting, mutilating, or altering 
the official seals, replicas, reproductions or embossing seals, or 
knowingly using or possessing with fraudulent intent any altered seal is 
punishable under section 506 of title 18, United States Code.
    (f) Any person using the official seals, replicas, reproductions, or 
embossing seals in a manner inconsistent with the provisions of this 
part is subject to the provisions of 18 U.S.C. 1017, which provides 
penalties for the wrongful use of an official seal, and to other 
provisions of law as applicable.



PART 1202--REGULATIONS IMPLEMENTING THE PRIVACY ACT OF 1974--Table of Contents




Sec.
1202.1  Scope of part.
1202.2  Purpose.
1202.4  Definitions.

                        Subpart A--General Policy

1202.10  Collection and use.
1202.12  Standards of accuracy.
1202.14  Rules of conduct.
1202.16  Safeguarding systems of records.
1202.18  Inconsistent issuances of NARA superseded.
1202.20  Records of other agencies.
1202.22  Subpoenas and other legal demands.

                    Subpart B--Disclosure of Records

1202.30  Conditions of disclosure.
1202.32  Procedures for disclosure.
1202.34  Accounting of disclosures.

                 Subpart C--Individual Access to Records

1202.40  Forms of request.
1202.42  Special requirements for medical records.
1202.44  Granting access.
1202.46  Denials of access.
1202.48  Appeal of denial of access within NARA.
1202.50  Records available at a fee.
1202.52  Prepayment of fees over $25.
1202.54  Form of payment.

[[Page 461]]

                  Subpart D--Requests to Amend Records

1202.60  Submission of requests to amend records.
1202.62  Review of requests to amend records.
1202.64  Approval of requests to amend.
1202.66  Denial of requests to amend.
1202.68  Agreement to alternative amendments.
1202.70  Appeal of denial of request to amend a record.
1202.72  Statements of disagreement.
1202.74  Judicial review.

 Subpart E--Report on New Systems of Records and Alteration of Existing 
                                 Systems

1202.80  Reporting requirement.
1202.82  Federal Register notice of establishment of new system or 
          alteration of existing system.
1202.84  Effective date of new system of records or alteration of an 
          existing system of records.

                          Subpart F--Exemptions

1202.90  Specific exemptions.

                   Subpart G--Assistance and Referrals

1202.100  Requests for assistance and referrals.

    Authority: 44 U.S.C. 2104(a); 5 U.S.C. 552a.

    Source: 50 FR 27197, July 1, 1985, unless otherwise noted.



Sec. 1202.1  Scope of part.

    This part sets forth policies and procedures concerning the 
collection, use, and dissemination of records maintained by NARA which 
are subject to the provisions of the Privacy Act of 1974, 5 U.S.C. 552a. 
These policies and procedures govern only those records as defined in 
Sec. 1202.4. Policies and procedures governing the disclosure and 
availability of NARA administrative records in general are in part 1250 
of this chapter. This part also covers exemptions from disclosure of 
personal information; procedures for guidance of subject individuals in 
obtaining information and inspecting and disagreeing with the content of 
records; accounting for disclosures of information; special requirements 
for medical records; and fees.



Sec. 1202.2  Purpose.

    This part implements the provisions of 5 U.S.C. 552a, popularly 
known as the ``Privacy Act of 1974'' (hereinafter referred to as the 
Act). This part prescribes procedures for notifying an individual of 
NARA systems of records which may contain a record pertaining to him or 
her, procedures for gaining access and contesting the contents of such 
records, and other procedures for carrying out the provisions of the 
Act.



Sec. 1202.4  Definitions.

    For the purposes of this part 1202:
    Access means a transfer of a record, a copy of a record, or the 
information in a record to the subject individual, or the review of a 
record by the subject individual.
    Agency means agency as defined in 5 U.S.C. 552(e).
    Disclosure means a transfer of a record, a copy of a record, or the 
information contained in a record to a recipient other than the subject 
individual, or the review of a record by someone other than the subject 
individual.
    Individual means a citizen of the United States or an alien lawfully 
admitted for permanent residence.
    Maintain includes maintain, collect, use, and disseminate.
    NARA Privacy Act appeal official means the Deputy Archivist of the 
United States for appeals of denials of access to or amendment of 
records maintained in a system of records, except where the system 
manager is the Inspector General or the Archivist of the United States. 
The term means the Archivist of the United States for appeals of denial 
of access to or amendment of records in systems of records maintained by 
the Inspector General.
    Record means any item, collection, or grouping of information about 
an individual that is maintained by an agency, including, but not 
limited to, his or her education, financial transactions, medical 
history and criminal or employment history and that contains his or her 
name or an identifying number, symbol, or other identifying particular 
assigned to the individual, such as a fingerprint, voiceprint, or 
photograph.
    Routine use means, with respect to the disclosure of a record, the 
use of that record for a purpose which is compatible with the purpose 
for which it was collected.

[[Page 462]]

    Solicitation means a request by a NARA officer or employee that an 
individual provide information about himself or herself.
    Statistical record means a record in a system of records maintained 
for statistical research or reporting purposes only and not used in 
whole or in part in making any determination about an identifiable 
individual, except as provided by 13 U.S.C. 8.
    Subject individual means the individual named or discussed in a 
record or the individual to whom a record otherwise pertains.
    System manager means the NARA employee who is responsible for the 
maintenance of a system of records and for the collection, use, and 
dissemination of information therein.
    System of records means a group of any records under the control of 
an agency from which information is retrieved by the name of the 
individual or by some identifying number, symbol, or other identifier 
assigned to that individual.
[50 FR 27197, July 1, 1985, as amended at 54 FR 32067, Aug. 4, 1989]



                        Subpart A--General Policy



Sec. 1202.10  Collection and use.

    (a) General. Any information used in whole or in part in making a 
determination about an individual's rights, benefits, or privileges 
under NARA programs will be collected directly from the subject 
individual to the extent practicable. The system manager also shall 
ensure that information collected is used only in conformance with the 
provisions of the Act and these regulations.
    (b) Solicitation of information. System managers shall ensure that 
at the time information is solicited the solicited individual is 
informed of the authority for collecting that information, whether 
providing the information is mandatory or voluntary, the purposes for 
which the information will be used, the routine uses of the information, 
and the effects on the individual, if any, of not providing the 
information. The Assistant Archivist for Management and Administration 
shall ensure that forms used to solicit information are in compliance 
with the Act and these regulations.
    (c) Solicitation of social security number. Before a NARA employee 
requests an individual to disclose his or her social security number, 
the officer or employee shall ensure that either:
    (1) The disclosure is required by Federal law, or;
    (2) The disclosure was required under a Federal law or regulation 
adopted before January 1, 1975, to verify the identity of an individual, 
and the social security number will become a part of a system of records 
in existence and operating before January 1, 1975.

If solicitation of the social security number is authorized under 
paragraph (c)(1) or (2) of this section, the NARA employee who requests 
an individual to disclose his or her social security number shall first 
inform that individual whether that disclosure is mandatory or 
voluntary, by what statutory or other authority the number is solicited, 
and the uses that will be made of it.
    (d) Soliciting information from third parties. A NARA employee shall 
inform third parties who are requested to provide information about 
another individual of the purposes for which the information will be 
used.



Sec. 1202.12  Standards of accuracy.

    The system manager shall ensure that all records which are used by 
NARA to make a determination about any individual are maintained with 
such accuracy, relevance, timeliness, and completeness as is reasonably 
necessary to ensure fairness to the individual.



Sec. 1202.14  Rules of conduct.

    All NARA employees involved in the design, development, operation, 
or maintenance of any system of records, or in maintaining any record, 
shall review the provisions of 5 U.S.C. 552a and the regulations in this 
part, and shall conduct himself or herself in accordance with the rules 
of conduct concerning the protection of personal information in the NARA 
Standards of Conduct.

[[Page 463]]



Sec. 1202.16  Safeguarding systems of records.

    The system manager shall ensure that appropriate administrative, 
technical, and physical safeguards are established to ensure the 
security and confidentiality of records and to protect against any 
anticipated threats or hazards to their security or integrity which 
could result in substantial harm, embarrassment, inconvenience, or 
unfairness to any individual on whom information is maintained. 
Personnel information contained in both manual and automated systems of 
records shall be protected by implementing the following safeguards:
    (a) Official personnel folders, authorized personnel operating or 
work folders, and other records of personnel actions effected during a 
NARA employee's Federal service or affecting the employee's status and 
service, including information on experience, education, training, 
special qualifications and skills, performance appraisals, and conduct, 
shall be stored in a lockable metal filing cabinet when not in use by an 
authorized person. A system manager may employ an alternative storage 
system providing that it furnishes an equivalent degree of physical 
security as storage in a lockable metal filing cabinet.
    (b) System managers, at their discretion, may designate additional 
records of unusual sensitivity which require safeguards similar to those 
described in paragraph (a) of this section.
    (c) System managers shall permit access to and use of automated or 
manual personnel records only to persons whose official duties require 
such access, or to subject individuals or their representatives as 
provided by this part.



Sec. 1202.18  Inconsistent issuances of NARA superseded.

    Any policies and procedures in any NARA issuance which are 
inconsistent with the policies and procedures in this part are 
superseded to the extent of that inconsistency.



Sec. 1202.20  Records of other agencies.

    (a) Other agencies' records managed and administered by NARA. Rules 
governing the maintenance of systems of records of agencies other than 
NARA which are located in the National Archives of the United States and 
Federal Records Centers are in subchapter C of this chapter.
    (b) Current records of other agencies. If NARA receives a request 
for access to records which are the primary responsibility of another 
agency, but which are maintained by or in the temporary possession of 
NARA on behalf of that agency, NARA shall refer the request to the 
agency concerned for appropriate action. NARA shall advise the requester 
that the request has been forwarded to the responsible agency. Records 
in the custody of NARA which are the primary responsibility of the U.S. 
Office of Personnel Management (OPM) are governed by the OPM rules 
promulgated pursuant to the Act.



Sec. 1202.22  Subpoenas and other legal demands.

    Access to NARA systems of records by subpoena or other legal process 
shall be in accordance with the provisions of part 1250 of this chapter 
for administrative records and part 1254 of this chapter for accessioned 
records, FRC records, and donated historical materials.



                    Subpart B--Disclosure of Records



Sec. 1202.30  Conditions of disclosure.

    No NARA employee may disclose any record to any person or to another 
agency without the express written consent of the subject individual 
unless the disclosure is:
    (a) To NARA employees who have a need for the information in the 
official performance of their duties;
    (b) Required by the provisions of the Freedom of Information Act;
    (c) For a routine use as published in a notice in the Federal 
Register;
    (d) To the Bureau of the Census for uses pursuant to title 13 
U.S.C.;
    (e) To a recipient who has provided NARA with advance adequate 
written assurance that the record will be used solely as a statistical 
research or reporting record. The record shall be transferred in a form 
that is not individually identifiable. The written statement shall 
include as a minimum:

[[Page 464]]

    (1) A statement of the purpose for requesting the records; and
    (2) Certification that the records will be used only for statistical 
purposes; these written statements shall be maintained as records. In 
addition to deleting personal identifying information from records 
released for statistical purposes, the system manager shall ensure that 
the identity of the individual cannot reasonably be deduced by combining 
various statistical records.);
    (f) To the National Archives of the United States as a record which 
has sufficient historical or other value to warrant its continued 
preservation by the United States Government;
    (g) To another agency or instrumentality of any governmental 
jurisdiction within or under the control of the United States for a 
civil or criminal law enforcement activity, if the activity is 
authorized by law, and if the head of the agency or instrumentality or 
his or her other designated representative has made a written request to 
NARA specifying the particular portion desired and the law enforcement 
activity for which the record is sought;
    (h) To a person showing compelling circumstances affecting the 
health or safety of an individual, not necessarily the individual to 
whom the record pertains (upon such disclosure, a notification must be 
sent to the last known address of the subject individual);
    (i) To either House of Congress or to a subcommittee or committee 
(joint or of either House, to the extent that the subject matter falls 
within its jurisdiction);
    (j) To the Comptroller General or any of his authorized 
representatives in the course of the performance of the duties of the 
General Accounting Office;
    (k) To a consumer reporting agency in accordance with section 
3711(f) of title 31; or
    (l) Pursuant to the order of a court of competent jurisdiction.



Sec. 1202.32  Procedures for disclosure.

    (a) Address all requests for disclosure of records pertaining to a 
third party to the NARA Privacy Act Officer (NAA), National Archives and 
Records Administration, Washington, DC 20408. Upon receipt of such 
request, NARA shall verify the right of the requester to obtain 
disclosure pursuant to Sec. 1202.30. Upon verification, the system 
manager shall make the requested records available. NARA shall 
acknowledge requests within 10 workdays and shall make a decision within 
30 workdays, unless NARA notifies the requester that the time limit must 
be extended for good cause.
    (b) If NARA determines that the disclosure is not permitted under 
Sec. 1202.30, the Assistant Archivist for Management and Administration 
or the Inspector General (for records for which the Inspector General is 
the system manager) shall deny the request in writing. The requester 
shall be informed of the right to submit a request for review and final 
determination to the appropriate NARA Privacy Act Appeal Officer.
    (1) Requests for review involving records for which the Inspector 
General is the system manager shall be addressed to the NARA Privacy Act 
Appeal Officer (N), National Archives and Records Administration, 
Washington, DC 20408.
    (2) Requests for review involving all other records shall be 
addressed to the NARA Privacy Act Appeal Officer (ND), National Archives 
and Records Administration, Washington, DC 20408.
[57 FR 22430, May 28, 1992]



Sec. 1202.34  Accounting of disclosures.

    (a) Except for disclosures made pursuant to Sec. 1202.30(a) and (b), 
an accurate accounting of each disclosure shall be made and retained for 
5 years after the disclosure or for the life of the record, whichever is 
longer. The accounting shall include the date, nature, and purpose of 
each disclosure, and the name and address of the person or agency to 
whom the disclosure is made.
    (b) The system manager also shall maintain in conjunction with the 
accounting of disclosures:
    (1) A full statement of the justification for the disclosures;
    (2) All documentation surrounding disclosure of a record for 
statistical or law enforcement purposes; and
    (3) Evidence of written consent by the subject individual to a 
disclosure.

[[Page 465]]

    (c) Except for the accounting of disclosures made to agencies or 
instrumentalities in law enforcement activities in accordance with 
Sec. 1202.30 or of disclosures made from exempt systems (see subpart F 
of this part), the accounting of disclosures shall be made available to 
the individual upon request. Procedures for requesting access to the 
accounting are in subpart C of this part.



                 Subpart C--Individual Access to Records



Sec. 1202.40  Forms of requests.

    (a) Individuals seeking access to their records or to any 
information pertaining to themselves which is contained in a system of 
records should notify the system manager or applicable NARA official at 
the address indicated in the Federal Register notice describing the 
pertinent system of records.
    (b) The request shall be in writing and shall bear the legend 
``Privacy Act Request'' both on the request letter and on the envelope. 
The request letter shall contain:
    (1) The complete name and identifying number of the NARA system as 
published in the Federal Register;
    (2) The full name and address of the subject individual;
    (3) A brief description of the nature, time, place, and 
circumstances of the individual's association with NARA; and
    (4) Any other information which the individual believes would help 
the system manager to determine whether the information about the 
individual is included in the system of records.

The system manager or other NARA official shall answer or acknowledge 
the request within 10 workdays of its receipt by NARA.
    (c) System managers at their discretion, may accept oral requests 
for access to a NARA system of records, subject to verification of 
identity.



Sec. 1202.42  Special requirements for medical records.

    (a) A system manager who receives a request from an individual for 
access to those official medical records which belong to the Office of 
Personnel Management and are described in chapter 339 of the Federal 
Personnel Manual (medical records which are otherwise filed in the 
Official Personnel Folder), shall refer the pertinent system of records 
to a Federal Medical Officer for review and determination in accordance 
with this section. If no Federal medical officer is available to make 
the determination required by this section, the system manager shall 
refer the request and the medical reports concerned to the Office of 
Personnel Management for a determination.
    (b) If, in the opinion of a Federal Medical Officer, medical records 
requested by the subject individual indicate a condition about which a 
prudent physician would hesitate to inform a person suffering from such 
a condition of its exact nature and probable outcome, the system manager 
shall not release the medical information to the subject individual nor 
to any person other than a physician designated in writing by the 
subject individual, his or her guardian, or conservator.
    (c) If, in the opinion of a Federal medical officer, the medical 
information does not indicate the presence of any condition which would 
cause a prudent physician to hesitate to inform a person suffering from 
such a condition of its exact nature and probable outcome, the system 
manager shall release the information to the subject individual or to 
any person, firm, or organization which the individual authorizes in 
writing to receive it.



Sec. 1202.44  Granting access.

    (a) Upon receipt of a request for access to non-exempt records, the 
system manager shall make such records available to the subject 
individual or shall acknowledge the request within 10 workdays of its 
receipt by NARA. The acknowledgment shall indicate when the system 
manager will make the records available.
    (b) If the system manager anticipates more than a 10-day delay in 
making a record available, he or she also shall include in the 
acknowledgment specific reasons for the delay.
    (c) If a subject individual's request for access does not contain 
sufficient information to permit the system manager to locate the 
records, the system

[[Page 466]]

manager shall request additional information from the individual and 
shall have 10 workdays following receipt of the additional information 
in which to make the records available or to acknowledge receipt of the 
request and to indicate when the records will be available.
    (d) Records will be made available for authorized access during 
normal business hours at the NARA offices where the records are located. 
Requesters should be prepared to identify themselves by signature (i.e., 
to sign the access log on the date of access and to produce other 
identification verifying the signature).
    (e) Upon request, a system manager shall permit a subject individual 
to examine the original of a non-exempt record, shall provide the 
individual with a copy of the record, or both. Fees shall be charged 
only for copies requested by the individual and not for copies provided 
to the individual for the convenience of NARA.
    (f) Subject individuals may request to pick up a record in person or 
to receive it by mail, directed to the name and address provided by the 
individuals in their request. A system manager shall not make a record 
available to a third party for delivery to the subject individual, 
except for medical records as outlined in Sec. 1202.42.
    (g) Subject individuals who wish to have a person of their choosing 
review, accompany them in reviewing, or obtain a copy of a record must, 
prior to the disclosure of their record, sign a statement authorizing 
the disclosure. The system manager shall maintain this statement with 
the record.
    (h) The procedure for access to an accounting of disclosures is 
identical to the procedure for access to a record as set forth in this 
section.



Sec. 1202.46  Denials of access.

    (a) A system manager may deny a subject individual access to his or 
her record only on the grounds that NARA has published rules in the 
Federal Register exempting the pertinent system of records from the 
access requirement. Exempt systems of records are described in subpart F 
of this part.
    (b) Upon receipt of a request for access to a record which the 
system manager believes is contained within an exempt system of records, 
he or she shall forward the request to the Assistant Archivist for 
Management and Administration. The system manager shall append to the 
request an explanation of the determination that the requested record is 
contained within an exempt system of records and a recommendation that 
the request be denied or granted.
    (c) If the system manager is the Assistant Archivist for Management 
and Administration, that person shall retain the responsibility for 
denying or granting the request.
    (d) If the system manager is the Inspector General, that person 
shall retain the responsibility for denying or granting the request.
    (e) The Assistant Archivist for Management and Administration shall, 
in consultation with legal counsel and such other officials as deemed 
appropriate, determine if the requested record is in fact contained 
within an exempt system of records and:
    (1) If the record is not contained within an exempt system of 
records, the Assistant Archivist for Management and Administration shall 
notify the system manager to grant the request in accordance with 
Sec. 1202.44, or
    (2) If the record is contained within an exempt system of records, 
the Assistant Archivist for Management and Administration shall:
    (i) Notify the requester that the request is denied, including a 
statement justifying the denial and advising the requester of the right 
to judicial review of that decision as provided in Sec. 1202.74; or
    (ii) Notify the system manager to make the record available to the 
requester in accordance with Sec. 1202.44, notwithstanding the inclusion 
of the record within an exempt system of records.
[50 FR 27197, July 1, 1985, as amended at 54 FR 32067, Aug. 4, 1989]



Sec. 1202.48  Appeal of denial of access within NARA.

    (a) Requesters denied access in whole or part to records pertaining 
to them, exclusive of those records for which the system manager is the 
Archivist of the

[[Page 467]]

United States, may file with NARA an appeal of that denial.
    (1) Appeals involving records for which the Inspector General is the 
system manager should be addressed to NARA Privacy Act Appeal Official 
(N), National Archives and Records Administration, Washington, DC 20408.
    (2) All other appeals should be addressed to NARA Privacy Act Appeal 
Official (ND), National Archives and Records Administration, Washington, 
DC 20408.
    (b) Each appeal to the NARA Privacy Act appeal official shall be in 
writing. The appeal should bear the legend ``Privacy Act--Access 
Appeal,'' on both the face of the letter and the envelope.
    (c) Upon receipt of an appeal, the NARA Privacy Act appeal official 
shall consult with the system manager, the official who made the denial, 
legal counsel, and such other officials as may be appropriate. If the 
NARA Privacy Act appeal official, in consultation with these officials, 
determines that the request for access should be granted because the 
subject records are not exempt, the NARA Privacy Act appeal official 
shall immediately either instruct the system manager in writing to grant 
access to the record in accordance with Sec. 1202.44 or shall grant 
access and shall notify the requester of that action.
    (d) If the NARA Privacy Act appeal official, in consultation with 
the officials specified in paragraph (c) of this section, determines 
that the appeal should be rejected, the NARA Privacy Act appeal official 
immediately shall notify the requester in writing of that determination. 
This action shall constitute NARA's final determination on the request 
for access to the record and shall include:
    (1) The reason for the rejection of the appeal; and
    (2) Notice of the requester's right to seek judicial review of 
NARA's final determination, as provided in Sec. 1202.74.
    (e) The final NARA determination will be made no later than 30 
workdays from the date on which the appeal is received by the NARA 
Privacy Act appeal official. The NARA Privacy Act appeal official may 
extend this time limit by notifying the requester in writing before the 
expiration of the 30 workdays. The NARA Privacy Act appeal official's 
notification shall include an explanation of the reasons for the 
extension of time.
    (f) Denial of access by the Archivist to records for which the 
Archivist is the system manager shall constitute the NARA final 
determination in such instances. Requesters shall be given notice of 
their right to seek judicial review of the determination, as provided in 
Sec. 1202.74.
[50 FR 27197, July 1, 1985, as amended at 54 FR 32067, Aug. 4, 1989]



Sec. 1202.50  Records available at a fee.

    The system manager shall provide one electrostatic copy of a record 
to a requester at a fee of $0.20 per page if NARA makes the copy or 
$0.10 per page if the requester makes the copy on a NARA self-service 
copier.
[53 FR 12150, Apr. 13, 1988]



Sec. 1202.52  Prepayment of fees over $25.

    If the system manager determines that the estimated total fee is 
likely to exceed $25, the system manager shall notify the individual 
that the estimated fee must be prepaid prior to NARA's making the 
records available. NARA will remit any excess amount paid by the 
individual or bill the individual for an additional amount if there is a 
variation between the final fee charged and the amount prepaid.



Sec. 1202.54  Form of payment.

    Payment shall be by check or money order payable to the National 
Archives and Records Administration and shall be addressed to the system 
manager.
[53 FR 12150, Apr. 13, 1988]



                  Subpart D--Requests To Amend Records



Sec. 1202.60  Submission of requests to amend records.

    Subject individuals who desire to amend any record containing 
personal information about themselves should write to the NARA system 
manager specified in the pertinent Federal Register notice concerning 
NARA's systems of records. A current NARA

[[Page 468]]

employee who desires to amend personnel records should write to the 
Director of Personnel, National Archives (NAP), Washington, DC 20408. 
Each request shall include evidence of and justification for the need to 
amend the pertinent record. Each request should bear the legend 
``Privacy Act--Request To Amend Record'' prominently marked on both the 
face of the request letter and the envelope.



Sec. 1202.62  Review of requests to amend records.

    (a) The system manager shall acknowledge receipt of a request to 
amend a record within 10 workdays. If possible, the acknowledgment 
should include the system manager's determination either to amend the 
record or to deny the request to amend as provided in Sec. 1202.66.
    (b) When reviewing a record in response to a request to amend, the 
system manager shall assess the accuracy, relevance, timeliness, and 
completeness of the existing record in light of the proposed amendment. 
The system manager shall determine whether the amendment is justified. 
With respect to a request to delete information, the system manager also 
shall review the request and existing record to determine whether the 
information is relevant and necessary to accomplish an agency purpose 
required to be accomplished by law or Executive order.



Sec. 1202.64  Approval of requests to amend.

    If the system manager determines that amendment of a record is 
proper in accordance with the request to amend, he or she promptly shall 
make the necessary amendment to the record and shall send a copy of the 
amended record to the subject individual. Where an accounting of 
disclosure has been maintained, the system manager shall advise all 
previous recipients of the record of the fact that an amendment has been 
made and give the substance of the amendment. Where practicable, the 
system manager shall send a copy of the amended record to previous 
recipients. The system manager shall advise the Assistant Archivist for 
Management and Administration that a request to amend has been approved.



Sec. 1202.66  Denial of requests to amend.

    (a) Except where the system manager is the Inspector General, if the 
system manager determines that an amendment of a record is improper or 
that the record should be amended in a manner other than that requested 
by an individual, the request to amend and the system manager's 
determinations and recommendations shall be referred to the Assistant 
Archivist for Management and Administration. If the system manager is 
the Inspector General, that person shall retain the responsibility for 
granting or denying the request to amend.
    (b) If the Assistant Archivist for Management and Administration, 
after reviewing the request to amend a record, determines to amend the 
record in accordance with the request, the Assistant Archivist promptly 
shall return the request to the system manager with instructions to make 
the requested amendments in accordance with Sec. 1202.64.
    (c) If the Assistant Archivist for Management and Administration, 
after reviewing the request to amend a record, determines not to amend 
the record in accordance with the request, the Assistant Archivist 
promptly shall advise the requester in writing of the decision. The 
denial letter shall state the reasons for the denial of the request to 
amend; include proposed alternative amendments, if appropriate; state 
the requester's right to appeal the denial of the request to amend; and 
state the procedure for appealing.
[50 FR 27197, July 1, 1985, as amended at 54 FR 32068, Aug. 4, 1989]



Sec. 1202.68  Agreement to alternative amendments.

    If the denial of a request to amend a record includes proposed 
alternative amendments, and if the requester agrees to accept them, the 
requester shall notify the NARA official who signed the denial letter. 
That official shall immediately instruct the system manager to make the 
necessary amendments in accordance with Sec. 1202.64.
[54 FR 32068, Aug. 4, 1989]

[[Page 469]]



Sec. 1202.70  Appeal of denial of request to amend a record.

    (a) A requester who disagrees with a denial of a request to amend a 
record may file an appeal of that denial.
    (1) If the denial was signed by the Assistant Archivist for 
Management and Administration, the requester shall address the appeal to 
the NARA Privacy Act Appeal Official (ND), Washington, DC 20408.
    (2) If the denial was signed by the Inspector General, the requester 
shall address the appeal to the NARA Privacy Act Appeal Official (N), 
Washington, DC 20408.
    (3) If the requester is an employee of NARA and the denial to amend 
involves a record maintained in the employee's Official Personnel 
Folder, as described in chapter 293 of the Federal Personnel Manual, the 
appeal should be addressed to the Assistant Director, Workforce 
Information Office, Compliance and Investigations Group, Office of 
Personnel Management, 1900 E Street, NW., Washington, DC 20415.
    (b) Each appeal to the NARA Privacy Act appeal official shall be in 
writing and must be received no later than 30 calendar days from the 
date of the requester's receipt of a denial of a request to amend a 
record. The appeal shall bear the legend ``Privacy Act--Appeal,'' both 
on the face of the letter and the envelope.
    (c) Upon receipt of an appeal, the NARA Privacy Act appeal official 
shall consult with the system manager, the official who made the denial, 
legal counsel, and such other officials as may be appropriate. If the 
NARA Privacy Act appeal official, in consultation with these officials, 
determines that the record should be amended as requested, he or she 
immediately shall instruct the system manager to amend the record in 
accordance with Sec. 1202.64 and shall notify the requester of that 
action.
    (d) If the NARA Privacy Act appeal official, in consultation with 
the officials specified in paragraph (c) of this section, determines 
that the appeal should be rejected, the NARA Privacy Act appeal official 
immediately shall notify the requester in writing of that determination. 
This action shall constitute the NARA final determination on the request 
to amend the record and shall include:
    (1) The reasons for the rejection of the appeal;
    (2) Proposed alternative amendments, if appropriate, which the 
requester subsequently may accept in accordance with Sec. 1202.68;
    (3) Notice of the requester's right to file a Statement of 
Disagreement for distribution in accordance with Sec. 1202.72; and
    (4) Notice of the requester's right to seek judicial review of the 
NARA final determination, as provided in Sec. 1202.74.
    (e) The NARA final determination shall be made no later than 30 
workdays from the date on which the appeal is received by the NARA 
Privacy Act appeal official. In extraordinary circumstances, the NARA 
Privacy Act appeal official may extend this time limit by notifying the 
requester in writing before the expiration of the 30 workdays. The NARA 
Privacy Act appeal official's notification shall include a justification 
for the extension of time.
[50 FR 27197, July 1, 1985, as amended at 54 FR 32068, Aug. 4, 1989]



Sec. 1202.72  Statements of disagreement.

    Upon receipt of a NARA final determination denying a request to 
amend a record, the requester may file a Statement of Disagreement with 
the appropriate system manager. The Statement of Disagreement shall 
include an explanation of why the requester believes the record to be 
inaccurate, irrelevant, untimely, or incomplete. The system manager 
shall maintain the Statement of Disagreement in conjunction with the 
pertinent record and shall include a copy of the Statement of 
Disagreement in any disclosure of the pertinent record. The system 
manager shall provide a copy of the Statement of Disagreement to any 
person or agency to whom the record has been disclosed only if the 
disclosure was subject to the accounting requirements of Sec. 1202.34.



Sec. 1202.74  Judicial review.

    Within 2 years of receipt of a NARA final determination as provided 
in Sec. 1202.48 or Sec. 1202.70, a requester may seek judicial review of 
that determination. A civil action must be filed in the

[[Page 470]]

Federal District Court in which the requester resides or has his or her 
principal place of business or in which the NARA records are situated, 
or in the District of Columbia.



 Subpart E--Report on New Systems of Records and Alteration of Existing 
                                 Systems



Sec. 1202.80  Reporting requirement.

    (a) Prior to the establishment of a new NARA system of records or 
the alteration of an existing NARA system of records, the system manager 
shall notify the Assistant Archivist for Management and Administration 
of the proposed new system or alteration. The system manager shall 
include with the notification a complete description and justification 
for each system of records that the system manager proposes to establish 
or alter. If the Assistant Archivist for Management and Administration 
determines that the establishment or alteration of a system of records 
is in the best interest of the Government, the Assistant Archivist for 
Management and Administration will submit, no later than 60 calendar 
days prior to the establishment or alteration of a system of records, a 
report of the proposal to the President of the Senate, the Speaker of 
the House of Representatives, and the Director of the Office of 
Management and Budget for their evaluation of the probable or potential 
effect of the proposal on the privacy and other personal or property 
rights of individuals.
    (b) The reports required by this regulation are exempt from reports 
control.



Sec. 1202.82  Federal Register notice of establishment of new system or alteration of existing system.

    The NARA Assistant Archivist for Management and Administration shall 
publish in the Federal Register a notice of the proposed establishment 
or alteration of a system of records when:
    (a) Notice is received that the Senate, the House of 
Representatives, and the Office of Management and Budget do not object 
to the establishment of a new system of records or to the alteration of 
an existing system of records, or
    (b) No fewer than 30 calendar days have elapsed from the date of 
submission of the proposal to the Senate, the House of Representatives, 
and the Office of Management and Budget without receipt by NARA of an 
objection to the proposal.



Sec. 1202.84  Effective date of new systems of records or alteration of an existing system of records.

    Systems of records proposed to be established or altered in 
accordance with this subpart shall be effective no sooner than 30 
calendar days from the publication of the notice required by 
Sec. 1202.82.



                          Subpart F--Exemptions



Sec. 1202.90  Specific exemptions.

    (a) The following NARA systems of records are exempt from 
subsections (c)(3); (d); (e)(1); (e)(4) (G), (H), and (I); and (f) of 
the Privacy Act of 1974;
    (1) Investigation Case Files, NARA-23.
    (2) Personnel Security Case Files, NARA-24.
    (b) These systems of records are exempt:
    (1) To the extent that the systems consist of investigatory material 
compiled for law enforcement purposes; however, if any subject 
individual is denied any right, privilege, or benefit to which the 
individual would otherwise be eligible, as a result of the maintenance 
of such material, such material shall be provided to such individual, 
except to the extent that the disclosure of such material would reveal 
the indentity of a source who furnished information to the Government 
under an express promise that the identity of the source would be held 
in confidence, or, prior to the effective date of this section, under an 
implied promise that the identity of the source would be held in 
confidence; and
    (2) To the extent the systems of records consist of investigatory 
material compiled solely for the purpose of determining suitability, 
eligibility, or qualification for Federal civilian employment, military 
service, Federal contracts, or access to classified information, but 
only to the extent that the

[[Page 471]]

disclosure of such material would reveal the identity of a source who 
furnished information to the Government under an express promise that 
the identity of the source would be held in confidence.
    (c) These NARA systems of records have been exempted to maintain the 
efficacy and integrity of investigations conducted pursuant to NARA's 
responsibilities in the areas of Federal employment, Government 
contracts, and access to security classified information.



                   Subpart G--Assistance and Referrals



Sec. 1202.100  Requests for assistance and referrals.

    Requests for assistance and referral to the responsible system 
manager or other NARA employee charged with implementing these 
regulations should be made to the NARA Privacy Act Officer (NAA), 
National Archives and Records Administration, Washington, DC 20408.
[57 FR 22430, May 28, 1992]



PART 1206--NATIONAL HISTORICAL PUBLICATIONS AND RECORDS COMMISSION--Table of Contents




                           Subpart A--General

Sec.
1206.1  Scope of part.
1206.2  Definitions.
1206.4  Purpose of the Commission.
1206.6  The Commission's Grant Program.
1206.7  Organization.

                     Subpart B--Publications Program

1206.10  General.
1206.12  Scope and purpose.
1206.16  Project requirements.
1206.18  Subsidies for printing costs.
1206.20  Microform publication standards.

                       Subpart C--Records Program

1206.30  General.
1206.32  Scope and purpose.
1206.36  State historical records coordinator.
1206.37  Deputy State historical records coordinator.
1206.38  State historical records advisory board.

                       Subpart D--Grant Procedures

1206.50  Types of grants.
1206.52  Grant limitations.
1206.54  Who may apply.
1206.56  When to apply.
1206.58  How to apply.
1206.66  Review and evaluation of grant proposals.
1206.68  Grant administration responsibilities.
1206.70  Grant instrument.
1206.78  Grant reports.
1206.79  Audits.
1206.80  Safety precautions.
1206.82  Acknowledgement.
1206.94  Compliance with Governmentwide requirements.

    Authority: 44 U.S.C. 2104(a); 44 U.S.C. 2501-2506.

    Source: 42 FR 56123, Oct. 21, 1977, unless otherwise noted. 
Redesignated at 50 FR 15723, Apr. 19, 1985.



                           Subpart A--General



Sec. 1206.1  Scope of part.

    This part prescribes the procedures and rules governing the 
operation of the grant program of the National Historical Publications 
and Records Commission.
[61 FR 5656, Feb. 13, 1996]



Sec. 1206.2  Definitions.

    (a) The term Commission means the National Historical Publications 
and Records Commission or the Chairman of the Commission or the 
Executive Director of the Commission, acting on the Commission's behalf.
    (b) The term historical records means record material having 
permanent or enduring value regardless of physical form or 
characteristics, including but not limited to manuscripts, personal 
papers, official records, maps, and audiovisual materials.
    (c) In Secs. 1206.36 and 1206.38, the term State means all 50 States 
of the Union, plus the District of Columbia, Puerto Rico, the U.S. 
Virgin Islands, Guam, American Samoa, Northern Mariana Islands, and the 
Trust Territories of the Pacific.
    (d) In Sec. 1206.36(a), the term State-funded agency means any 
historical or archival agency that receives a regular State 
appropriation.

[[Page 472]]

    (e) The term State projects means records projects directed by 
organizations operating within and involving records or activities 
within one State. Records or activities of such projects will typically 
be under the administrative control of the organization applying for the 
grant. The records or activities need not relate to the history of the 
State.
    (f) The term regional projects means records projects involving 
records or activities in more than one State in a region. Regional 
projects include those undertaken by regional archival groups or 
consortia.
    (g) The term national projects means records projects involving 
records or activities in several regions, in widely separated States, or 
that have an international component. In general, the location of the 
records and/or the site of grant-funded activities will determine the 
category of submission.
[42 FR 56123, Oct. 21, 1977. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and amended at 55 FR 21542, May 25, 1990; 61 FR 5656, Feb. 13, 1996]



Sec. 1206.4  Purpose of the Commission.

    The National Historical Publications and Records Commission makes 
plans, estimates, and recommendations regarding the preservation and use 
of historical records that may be important for an understanding and 
appreciation of the history of the United States. It also cooperates 
with and encourages appropriate Federal, State, and local agencies and 
nongovernmental institutions in collecting and preserving and, when it 
considers it desirable, in editing and publishing the records of 
outstanding citizens, groups, or institutions and other important 
documents. On recommendation of the Commission, the Archivist of the 
United States makes grants to State and local agencies and to non-profit 
organizations and institutions and to individuals in support of these 
programs.
[55 FR 21542, May 25, 1990]



Sec. 1206.6  The Commission's Grant Program.

    The Commission operates primarily through a grant program supporting 
publications projects (subpart B) and records projects (subpart C). 
Fellowships for individuals in archival administration and documentary 
editing are also offered, as well as an annual institute for the editing 
of historical documents.
[61 FR 5657, Feb. 13, 1996]



Sec. 1206.7  Organization.

    The Executive Director, Program Director, and the staff of the 
Commission administer the publications and records grants under the 
guidance of the Commission and the immediate administrative direction of 
its chairman, the Archivist of the United States.
[61 FR 5657, Feb. 13, 1996]



                     Subpart B--Publications Program

    Source: 55 FR 21542, May 25, 1990, unless otherwise noted.



Sec. 1206.10  General.

    This subpart describes the scope, purpose, and operation of that 
part of the grant program relating to publications projects and 
prescribes requirements applicable to printed, microform, and electronic 
publication projects. Grant application and administration procedures 
are given in subpart D of this part.
[61 FR 5657, Feb. 13, 1996]



Sec. 1206.12  Scope and purpose.

    Publications projects are intended to ensure the dissemination and 
accessibility of documentary source material important to the study and 
understanding of U.S. history. Projects should therefore be based upon 
material of widespread interest among scholars, students, and informed 
citizens. Documents should have historical value and interest that 
transcend local and State boundaries.
[61 FR 5657, Feb. 13, 1996]



Sec. 1206.16  Project requirements.

    (a) Each publications project shall include either the papers of a 
U.S. leader in a significant phase of life in the United States or 
documents relating to some outstanding event or to some topic or theme 
of national significance in U.S. history. These projects shall

[[Page 473]]

consist of collecting, compiling, editing, and publishing, either 
selectively or comprehensively, the papers or documents. Publication may 
be in the form of printed, microform, or electronic editions. Electronic 
formats for publication of documentary sources will be considered only 
when suitable preservation of the data can be assured. Three copies of 
each book publication should be deposited with the National Historical 
Publications and Records Commission (NHPRC), Washington, DC 20408. These 
copies may be included as part of the five complimentary copies to be 
sent by presses receiving subvention grants.
    (b) For microform projects, the grantee shall make positive prints 
and all finding aids available to institutions, scholars, or students 
through interlibrary loan and for purchase. Five complimentary copies of 
guides and indexes produced by the projects shall be sent to the 
Commission.
[61 FR 5657, Feb. 13, 1996]



Sec. 1206.18  Subsidies for printing costs.

    (a) The Commission will consider grant applications from university 
and other nonprofit presses for the subvention of part of the costs of 
manufacturing and disseminating volumes that have been formally endorsed 
by the Commission. Grants not exceeding $10,000 per volume ($3,000 for 
reprints) are awarded upon recommendation of the Commission to promote 
the availability of Commission-supported documentary editions.
    (b) The granting of a subvention shall be used to encourage the 
highest standards in the production of volumes, particularly the quality 
of paper and ink.
    (c) The Commission shall receive five complimentary copies of each 
published volume for which a subvention grant is made.
[55 FR 21542, May 25, 1990, as amended at 61 FR 5657, Feb. 13, 1996]



Sec. 1206.20  Microform publication standards.

    Technical standards for NHPRC-sponsored microform projects are 
stated in the brochure ``National Historical Publications and Records 
Commission: Microform Guidelines,'' which will be supplied to applicants 
upon request and to grantee institutions at the time a grant is made for 
a microform project.
[61 FR 5657, Feb. 13, 1996]



                       Subpart C--Records Program

    Source: 55 FR 21543, May 25, 1990, unless otherwise noted.



Sec. 1206.30  General.

    This subpart describes the scope, purpose, and operation of that 
part of the grant program relating to records projects. Grant 
application and administration procedures are given in subpart D of this 
part.
[61 FR 5657, Feb. 13, 1996]



Sec. 1206.32  Scope and purpose.

    Through its support for records projects, the National Historical 
Publications and Records Commission encourages a greater effort at all 
levels of government and by private organizations to preserve and make 
available for use those records, generated in every facet of life, that 
further an understanding and appreciation of U.S. history. In the public 
sector, these historical records document significant activities of 
State, county, municipal, and other units of government. In the private 
sector, historical records include manuscripts, personal papers, and 
family or corporate archives that are maintained by a variety of general 
repositories as well as materials in special collections relating to 
particular fields of study, including the arts, business, education, 
ethnic and minority groups, immigration, labor, politics, professional 
services, religion, science, urban affairs, and women. In addition to 
recommending the supporting of projects relating directly to a body of 
records, the Commission may also recommend support for projects to 
advance the state of the art, to promote cooperative efforts among 
institutions and organizations, and to improve the knowledge, 
performance, and professional skills of those who work with historical 
records.
[61 FR 5657, Feb. 13, 1996]

[[Page 474]]



Sec. 1206.36  State historical records coordinator.

    (a) The governor of each State desiring to participate fully in the 
program shall appoint a State historical records coordinator 
(coordinator), who shall be the full-time professional official in 
charge of the State archival program or agency. If the State has another 
state-funded historical agency or agencies with archival and/or records 
responsibilities, the official(s) in charge of at least one of these 
shall be a member of the State historical records advisory board 
(board). The coordinator is appointed to a minimum four-year term, but 
may continue to serve until replaced by the governor or until 
resignation. The coordinator shall serve as chair of the board and shall 
be the central coordinating officer for the historical records grant 
program in the State. The person appointed will not be deemed to be an 
official or employee of the Federal Government and will receive no 
Federal compensation for such service. The pamphlet ``Guidelines for 
State Historical Records Coordinators and State Historical Records 
Advisory Boards,'' which is available from the Commission and from State 
historical records coordinators, provides further information on the 
role of the coordinator.
    (b) In the event of the resignation of the coordinator or other 
inability to serve, a deputy coordinator, if one has been designated, 
will serve as acting State coordinator until the governor makes an 
appointment. In the absence of a deputy coordinator, the NHPRC will 
recognize an acting coordinator, selected by the state board, who shall 
serve until the governor appoints a coordinator in order to conduct the 
necessary business of the board.
[61 FR 5657, Feb. 13, 1996]



Sec. 1206.37  Deputy State historical records coordinator.

    A deputy State historical records coordinator may be designated to 
assist in carrying out the duties and responsibilities of the 
coordinator and to serve as an acting coordinator at the coordinator's 
direction or upon the coordinator's resignation or other inability to 
serve.



Sec. 1206.38  State historical records advisory board.

    (a) Each State desiring to participate in the program shall define 
an appointment process and appoint a State historical records advisory 
board consisting of at least seven members, including the State 
historical records coordinator, who chairs the board, unless otherwise 
specified in state statute. The coordinator shall provide the Commission 
with a description of the appointment process. A majority of the members 
shall have recognized experience in the administration of government 
records, historical records, or archives. The board should be as broadly 
representative as possible of the public and private archives, records 
offices, and research institutions and organizations in the State. Board 
members will not be deemed to be officials or employees of the Federal 
Government and will receive no Federal compensation for their service on 
the board. They are appointed for three years with the possibility of 
renewal; and preferably terms are staggered so that one-third of the 
board is newly appointed or reappointed each year. If the board is not 
established in State law, members' terms continue until replacements are 
appointed. The board may adopt standards for attendance and may declare 
membership positions open if those standards are not met.
    (b) The board is the central advisory body for historical records 
planning and for Commission-funded projects developed and carried out 
within the State. The board serves as a coordinating body to facilitate 
cooperation among historical records repositories and other information 
agencies within the state and as a state-level review body for grant 
proposals as defined in the Commission's guidelines. Specifically, the 
board may perform such duties as sponsoring and publishing surveys of 
the conditions and needs of historical records in the State; soliciting 
or developing proposals for projects to be carried out in the State with 
NHPRC grants; reviewing proposals by institutions in the State and 
making recommendations about these to the Commission; developing, 
revising, and submitting to the Commission State priorities for 
historical records

[[Page 475]]

projects following guidelines developed by the Commission; promoting an 
understanding of the role and value of historical records; acting in an 
advisory capacity to the state archives and other statewide archival or 
records agencies; and reviewing, through reports and otherwise, the 
operation and progress of projects in the State financed by NHPRC 
grants.
[61 FR 5658, Feb. 13, 1996]



                       Subpart D--Grant Procedures

    Source: 55 FR 21544, May 25, 1990, unless otherwise noted.



Sec. 1206.50  Types of grants.

    (a) General. The Archivist of the United States, after considering 
the advice and recommendations of the Commission, may make three types 
of NHPRC grants: Outright grants, matching grants, and combined grants.
    (b) Outright grants. An application for an outright grant requests 
an NHPRC grant for the entire cost of a project, minus the share of the 
cost borne by the applicant. The maximum possible cost sharing is 
encouraged in every proposal, and the level of cost sharing will be an 
important factor in the Commission's recommendation on most types of 
proposals.
    (c) Matching grants. An application for a matching grant should be 
made when an applicant has prospects of securing financial support from 
a third party or, in the case of a State or local government agency, 
funds from the institution's own appropriation source are provided 
expressly for the project proposed in the application. Upon Commission 
approval of a matching grant request, the applicant shall present 
written documentation certifying that matching funds have been provided 
for the project by the non-Federal source. In the case of a State or 
local government agency, the matching requirement may also be met 
through matching funds from the State or local government, provided that 
it can be demonstrated to the Commission's satisfaction that the 
matching amount has been provided above and beyond funds previously 
allocated or planned for the agency's budget and that the funds are set 
aside exclusively to support the project proposed for an NHPRC grant. 
Applicants need not, however, have money in hand to make a matching 
grant request; they need only assure the Commission that they have 
reasonable prospects of obtaining the needed amounts.
    (d) Combined grants. A combined grant comprises both outright funds 
and matching funds. When the funds an applicant can raise plus the 
equivalent amount of an NHPRC grant do not equal the required budget, 
the difference is requested in outright funds. For example, if the 
applicant needs $75,000 and is able to raise $25,000 in gifts or in a 
new appropriation for the project, a combined grant of $25,000 outright 
and $25,000 in matching funds for a total of $50,000 should be requested 
from the Commission. Rules governing the release of matching funds in 
matching grants also govern the release of matching funds in combined 
grants.
[55 FR 21544, May 25, 1990, as amended at 61 FR 5658, Feb. 13, 1996]



Sec. 1206.52  Grant limitations.

    Grant limitations are described in the grant program guidelines 
pamphlet, available on request from the Commission.
[61 FR 5658, Feb. 13, 1996]



Sec. 1206.54  Who may apply.

    The Commission will consider applications from State and local 
government agencies, nonprofit organizations and institutions, Federally 
acknowledged or state-recognized Native American tribes or groups, and, 
under certain conditions, from individuals. Proposals for State projects 
falling under the Commission's goals, ``To Assure the Preservation of 
the Nation's Documentary Heritage through State Collaborative Efforts'' 
and ``To Achieve Progress in the Preservation and Use of Original Source 
Material,'' as defined in the grant program guidelines, will be accepted 
only from applicants in States in which a State historical records 
coordinator and a State historical records advisory board are currently 
appointed. This requirement

[[Page 476]]

does not apply to regional or national projects.
[61 FR 5658, Feb. 13, 1996]



Sec. 1206.56  When to apply.

    Grant proposals are considered during Commission meetings held three 
times during the year. For current application deadlines contact the 
grant program staff or State historical records coordinators (for 
records grant proposals). Some State boards have established pre-
submission review deadlines for records proposals; further information 
is available from State coordinators.
[61 FR 5658, Feb. 13, 1996]



Sec. 1206.58  How to apply.

    (a) Contact with NHPRC staff. The Commission encourages applicants 
to discuss proposals through correspondence, by phone, or in person with 
Commission staff and/or, in the case of records proposals, with the 
appropriate State historical records coordinator before the proposal is 
submitted and at all stages of development of the proposal.
    (b) Application forms. Applicants for NHPRC grants shall use 
Standard Form 424, Application for Federal Assistance, and NA Form 
17001, Budget Form (OMB Control Number 3095-0004). Applicants for 
subvention grants also submit the NHPRC subvention grant application 
(OMB Control Number 3095-0021), and applicants for archival 
administration fellowship host institution grants submit a special 
application (OMB Control Number 3095-0015). Applicants for NHPRC-
sponsored fellowships complete the appropriate fellowship application 
(OMB Control Numbers 3095-0011, 3095-0012, or 3095-0014). Copies of 
these applications and forms are available from the commission. Project 
proposals and related correspondence should be sent to the National 
Historical Publications and Records Commission (NHPRC), Washington, DC 
20408.
    (c) Assurances and certifications. All grant applications to the 
Commission must include the following assurances and certifications 
signed by an authorized representative of the applicant institution, or 
in the case of an individual applicant, by that individual: Standard 
Form 424B, Assurances: Non-Construction Programs; the Certification 
Regarding Debarment, Suspension, and Other Responsibility Matters 
specified in part 1209, appendix B; the Certification Regarding Drug-
free Workplace Requirements specified in part 1209, appendix C, of this 
chapter; and, if the application requests more than $100,000 in Federal 
funds, a signed Certification for Grants, Loans, or Cooperative 
Agreements in Excess of $100,000 (certification regarding lobbying). 
Assurance and certification language is included in the program 
pamphlet.
    (d) Program guidelines pamphlet. Supplementary information for 
applicants is contained in the pamphlet, ``Program Guidelines: 
Applications and Grants,'' which is available from the Commission upon 
request. The pamphlet is also available from State historical records 
coordinators. This pamphlet includes copies of the application form and 
certifications, guidelines on the preparation of project budgets and 
program narrative statements, and other guidance on applying for and 
administering NHPRC grants. OMB Control Number 3095-0013 has been 
assigned to this information collection.
[55 FR 21544, May 25, 1990, as amended at 61 FR 5658, Feb. 13, 1996]



Sec. 1206.66  Review and evaluation of grant proposals.

    (a) Records grant proposals. For records grant proposals, State 
historical records advisory boards review and evaluate proposals for 
State projects and forward recommendations for action to the Commission. 
Boards may decide that certain proposals are incomplete or require 
further development; in these instances proposals may be returned to the 
applicant by the board with a recommendation for revision and 
resubmission in a future funding cycle. The Commission staff shall be 
informed of the recommendations. All records grant proposals for which 
recommendations for Commission action are received from State boards and 
regional, national, and State board-sponsored proposals received 
directly by the Commission are reviewed by the Commission staff for 
completeness,

[[Page 477]]

conformity with application requirements and relevance to the objectives 
of the grant program. Regional and national proposals and proposals 
submitted by boards on their own behalf may also be referred by the 
Commission staff to selected State historical records coordinators, 
members of boards, or others for appropriate review and evaluation of 
the projects. Following review and evaluation, proposals are referred to 
the Commission at regular meetings.
    (b) Publications grant proposals. The Commission staff reviews 
publications grant proposals for completeness, conformity with 
application requirements, and relevance to the objectives of the grant 
program. Proposals are sent to specialists in American history and 
documentary editing for review and recommendations. The recommendations 
are considered by the full Commission at regular meetings.
    (c) Subvention grant applications. The Commission staff reviews 
subvention grant applications to ensure their adherence to established 
technical standards for the production of printed volumes, particular in 
the quality of paper and ink. Staff recommendations are considered by 
the full Commission at regular meetings.
[55 FR 21544, May 25, 1990, as amended at 61 FR 5659, Feb. 13, 1996]



Sec. 1206.68  Grant administration responsibilities.

    Primary responsibility for the administration of grants is shared by 
the grantee institution and the project director designated by the 
institution. In the case of grants made to individuals, the individual 
named as project director has primary responsibility for the 
administration of the grant. Grants shall be administered in conformance 
with either the regulations in part 1210 of this chapter or, in the case 
of State and local governments, with the regulations in part 1207 of 
this chapter. All grants shall be in conformance with part 1209 of this 
chapter.
    (a) Changes in the grant project:
    (1) Extension of the grant period. Requests for extension of the 
grant period must be made before the end of the grant period and must be 
signed by the grantee institution's authorized representative as 
indicated on the grant application form (SF 424). No extensions will be 
allowed unless grantees are up-to-date in their submission of financial 
and narrative reports.
    (2) Rebudgeting. To meet unanticipated program needs, grantees may 
adjust the amounts allocated to existing budget lines for both grant 
funds and cost sharing and may transfer grant funds among existing 
NHPRC-funded direct cost categories that appear in the final project 
budget approved by the Commission at the time of the grant award. Cost-
sharing funds may also be shifted among existing cost-sharing 
categories. For grants where the NHPRC's award is less than $100,000, 
grantees may make these transfers without NHPRC approval. When 
Commission grant awards are for $100,000 or more, grantees must obtain 
prior approval from the NHPRC when cumulative transfers among direct 
cost categories total more than 10 percent of the total project budget 
(i.e., grant funds plus other funds). In addition, the Program Director 
of the Commission may approve the use of NHPRC grant funds for new cost 
categories for which Commission funds were not provided in the final 
approved budget where such action seems appropriate for the fulfillment 
of the original purposes of the grant and where the amount of funds 
involved does not exceed 10 percent of the amount of the award or 
$5,000, whichever is less. Requests to establish these new cost 
categories must be made in writing and signed by the grantee 
institution's authorized representative. Requests that exceed this limit 
are subject to approval by the full Commission.
    (3) Other changes requiring prior approval. Prior written approval 
from the Commission must be obtained for financial or programmatic 
changes in all cases involving the following: revision of the scope or 
objectives of the project; change of the project director or other key 
project personnel who have been specifically named in the grant 
application or award or related correspondence; and, contracting out, 
subgranting, or otherwise obtaining the services of a third party to 
perform activities central to the purposes of the

[[Page 478]]

grant, unless specified in the grant proposal.
    (b) Submission of requests for changes. All requests for approval of 
budget or programmatic changes must be submitted in the form of a letter 
signed by the grantee institution's authorized representative for the 
grant and addressed to the Program Director. A written response signed 
by the Program Director of the Commission will constitute approval for 
the changes.
[61 FR 5659, Feb. 13, 1996]



Sec. 1206.70  Grant instrument.

    The grant award instrument is a letter from the Archivist of the 
United States to the grantee. The letter and attachments specify terms 
of the grant.



Sec. 1206.78  Grant reports.

    (a) Financial status reports and narrative progress reports are 
required for all grants. Standard Form 269, Financial Status Report, 
shall be used for all financial reports. The pamphlet, ``Program 
Guidelines: Applications and Grants,'' which is provided to each grantee 
and is available from the Commission on request, specifies the content 
of the narrative progress reports (OMB Control Number 3095-0013).
    (b) Financial reports are due annually 30 days after the end of each 
reporting period. Narrative progress reports are due 30 days after the 
end of each six-month period. Final financial and narrative reports are 
due within 90 days after the expiration or termination of the grant 
period. Grants with a duration of six months or less require a final 
report only. Additional rules on financial and performance reports are 
found in Secs. 1210.51 and 1210.52 or Secs. 1207.40 and 1207.41 of this 
chapter, as appropriate.
[61 FR 5659, Feb. 13, 1996]



Sec. 1206.79  Audits.

    Grantees are responsible for obtaining audits in accordance with 
either the Single Audit Act of 1984 (31 U.S.C. 7501-7), for which audit 
requirements have been set forth in Office of Management and Budget 
(OMB) Circular A-128, ``Audits of State and Local Governments,'' or 
requirements established under OMB Circular A-133, ``Audits of 
Institutions of Higher Education and Other Nonprofit Organizations,'' as 
appropriate. Copies are available from the Commission office or from 
OMB. The grantee is responsible for ensuring that the NHPRC receives a 
copy of the audit report for any audit performed during the grant period 
or for three years thereafter. A reasonable portion of grant funds, as 
defined in the OMB Circular, may be used to comply with audit 
requirements. The Commission prefers that the grantee assume such costs 
as institutional cost sharing.
[61 FR 5660, Feb. 13, 1996]



Sec. 1206.80  Safety precautions.

    NARA and the Commission cannot assume any liability for accidents, 
illnesses, or claims arising out of any work undertaken with the 
assistance of the grant.



Sec. 1206.82  Acknowledgment.

    Grantee institutions, grant directors, or grant staff personnel may 
publish results of any work supported by an NHPRC grant without review 
by the Commission. Publications or other products resulting from the 
project, shall, however, acknowledge the assistance of the NHPRC grant.



Sec. 1206.94  Compliance with Governmentwide requirements.

    In addition to the grant application and grant administration 
requirements outlined in this part 1206, grantees are responsible for 
complying with applicable Governmentwide requirements contained in part 
1210 or part 1207 of this chapter, as appropriate, and part 1209 of this 
chapter.
[61 FR 5660, Feb. 13, 1996]



PART 1207--UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS--Table of Contents




                           Subpart A--General

Sec.
1207.1  Purpose and scope of this part.
1207.2  Scope of subpart.
1207.3  Definitions.

[[Page 479]]

1207.4  Applicability.
1207.5  Effect on other issuances.
1207.6  Additions and exceptions.

                    Subpart B--Pre-Award Requirements

1207.10  Forms for applying for grants.
1207.11  State plans.
1207.12  Special grant or subgrant conditions for ``high-risk'' 
          grantees.

                   Subpart C--Post-Award Requirements

                        Financial Administration

1207.20  Standards for financial management systems.
1207.21  Payment.
1207.22  Allowable costs.
1207.23  Period of availability of funds.
1207.24  Matching or cost sharing.
1207.25  Program income.
1207.26  Non-Federal audit.

                    Changes, Property, and Subawards

1207.30  Changes.
1207.31  Real property.
1207.32  Equipment.
1207.33  Supplies.
1207.34  Copyrights.
1207.35  Subawards to debarred and suspended parties.
1207.36  Procurement.
1207.37  Subgrants.

              Reports, Records, Retention, and Enforcement

1207.40  Monitoring and reporting program performance.
1207.41  Financial reporting.
1207.42  Retention and access requirements for records.
1207.43  Enforcement.
1207.44  Termination for convenience.

                 Subpart D--After-the-Grant Requirements

1207.50  Closeout.
1207.51  Later disallowances and adjustments.
1207.52  Collection of amounts due.

                   Subpart E--Entitlement  [Reserved]

    Authority: 44 U.S.C. 2104(a); 44 U.S.C. 2501-2506.

    Source: 53 FR 8072, 8087, Mar. 11, 1988, unless otherwise noted.



                           Subpart A--General



Sec. 1207.1  Purpose and scope of this part.

    This part establishes uniform administrative rules for Federal 
grants and cooperative agreements and subawards to State, local and 
Indian tribal governments.



Sec. 1207.2  Scope of subpart.

    This subpart contains general rules pertaining to this part and 
procedures for control of exceptions from this part.



Sec. 1207.3  Definitions.

    As used in this part:
    Accrued expenditures mean the charges incurred by the grantee during 
a given period requiring the provision of funds for: (1) Goods and other 
tangible property received; (2) services performed by employees, 
contractors, subgrantees, subcontractors, and other payees; and (3) 
other amounts becoming owed under programs for which no current services 
or performance is required, such as annuities, insurance claims, and 
other benefit payments.
    Accrued income means the sum of: (1) Earnings during a given period 
from services performed by the grantee and goods and other tangible 
property delivered to purchasers, and (2) amounts becoming owed to the 
grantee for which no current services or performance is required by the 
grantee.
    Acquisition cost of an item of purchased equipment means the net 
invoice unit price of the property including the cost of modifications, 
attachments, accessories, or auxiliary apparatus necessary to make the 
property usable for the purpose for which it was acquired. Other charges 
such as the cost of installation, transportation, taxes, duty or 
protective in-transit insurance, shall be included or excluded from the 
unit acquisition cost in accordance with the grantee's regular 
accounting practices.
    Administrative requirements mean those matters common to grants in 
general, such as financial management, kinds and frequency of reports, 
and retention of records. These are distinguished from programmatic 
requirements, which concern matters that can be treated only on a 
program-by-program or grant-by-grant basis, such as kinds of activities 
that can be supported by grants under a particular program.
    Awarding agency means (1) with respect to a grant, the Federal 
agency,

[[Page 480]]

and (2) with respect to a subgrant, the party that awarded the subgrant.
    Cash contributions means the grantee's cash outlay, including the 
outlay of money contributed to the grantee or subgrantee by other public 
agencies and institutions, and private organizations and individuals. 
When authorized by Federal legislation, Federal funds received from 
other assistance agreements may be considered as grantee or subgrantee 
cash contributions.
    Contract means (except as used in the definitions for grant and 
subgrant in this section and except where qualified by Federal) a 
procurement contract under a grant or subgrant, and means a procurement 
subcontract under a contract.
    Cost sharing or matching means the value of the third party in-kind 
contributions and the portion of the costs of a federally assisted 
project or program not borne by the Federal Government.
    Cost-type contract means a contract or subcontract under a grant in 
which the contractor or subcontractor is paid on the basis of the costs 
it incurs, with or without a fee.
    Equipment means tangible, nonexpendable, personal property having a 
useful life of more than one year and an acquisition cost of $5,000 or 
more per unit. A grantee may use its own definition of equipment 
provided that such definition would at least include all equipment 
defined above.
    Expenditure report means: (1) For nonconstruction grants, the SF-269 
``Financial Status Report'' (or other equivalent report); (2) for 
construction grants, the SF-271 ``Outlay Report and Request for 
Reimbursement'' (or other equivalent report).
    Federally recognized Indian tribal government means the governing 
body or a governmental agency of any Indian tribe, band, nation, or 
other organized group or community (including any Native village as 
defined in section 3 of the Alaska Native Claims Settlement Act, 85 Stat 
688) certified by the Secretary of the Interior as eligible for the 
special programs and services provided by him through the Bureau of 
Indian Affairs.
    Government means a State or local government or a federally 
recognized Indian tribal government.
    Grant means an award of financial assistance, including cooperative 
agreements, in the form of money, or property in lieu of money, by the 
Federal Government to an eligible grantee. The term does not include 
technical assistance which provides services instead of money, or other 
assistance in the form of revenue sharing, loans, loan guarantees, 
interest subsidies, insurance, or direct appropriations. Also, the term 
does not include assistance, such as a fellowship or other lump sum 
award, which the grantee is not required to account for.
    Grantee means the government to which a grant is awarded and which 
is accountable for the use of the funds provided. The grantee is the 
entire legal entity even if only a particular component of the entity is 
designated in the grant award document.
    Local government means a county, municipality, city, town, township, 
local public authority (including any public and Indian housing agency 
under the United States Housing Act of 1937) school district, special 
district, intrastate district, council of governments (whether or not 
incorporated as a nonprofit corporation under state law), any other 
regional or interstate government entity, or any agency or 
instrumentality of a local government.
    Obligations means the amounts of orders placed, contracts and 
subgrants awarded, goods and services received, and similar transactions 
during a given period that will require payment by the grantee during 
the same or a future period.
    OMB means the United States Office of Management and Budget.
    Outlays (expenditures) mean charges made to the project or program. 
They may be reported on a cash or accrual basis. For reports prepared on 
a cash basis, outlays are the sum of actual cash disbursement for direct 
charges for goods and services, the amount of indirect expense incurred, 
the value of in-kind contributions applied, and the amount of cash 
advances and payments made to contractors and subgrantees. For reports 
prepared on an accrued expenditure basis, outlays are the sum of

[[Page 481]]

actual cash disbursements, the amount of indirect expense incurred, the 
value of inkind contributions applied, and the new increase (or 
decrease) in the amounts owed by the grantee for goods and other 
property received, for services performed by employees, contractors, 
subgrantees, subcontractors, and other payees, and other amounts 
becoming owed under programs for which no current services or 
performance are required, such as annuities, insurance claims, and other 
benefit payments.
    Percentage of completion method refers to a system under which 
payments are made for construction work according to the percentage of 
completion of the work, rather than to the grantee's cost incurred.
    Prior approval means documentation evidencing consent prior to 
incurring specific cost.
    Real property means land, including land improvements, structures 
and appurtenances thereto, excluding movable machinery and equipment.
    Share, when referring to the awarding agency's portion of real 
property, equipment or supplies, means the same percentage as the 
awarding agency's portion of the acquiring party's total costs under the 
grant to which the acquisition costs under the grant to which the 
acquisition cost of the property was charged. Only costs are to be 
counted--not the value of third-party in-kind contributions.
    State means any of the several States of the United States, the 
District of Columbia, the Commonwealth of Puerto Rico, any territory or 
possession of the United States, or any agency or instrumentality of a 
State exclusive of local governments. The term does not include any 
public and Indian housing agency under United States Housing Act of 
1937.
    Subgrant means an award of financial assistance in the form of 
money, or property in lieu of money, made under a grant by a grantee to 
an eligible subgrantee. The term includes financial assistance when 
provided by contractual legal agreement, but does not include 
procurement purchases, nor does it include any form of assistance which 
is excluded from the definition of grant in this part.
    Subgrantee means the government or other legal entity to which a 
subgrant is awarded and which is accountable to the grantee for the use 
of the funds provided.
    Supplies means all tangible personal property other than equipment 
as defined in this part.
    Suspension means depending on the context, either (1) temporary 
withdrawal of the authority to obligate grant funds pending corrective 
action by the grantee or subgrantee or a decision to terminate the 
grant, or (2) an action taken by a suspending official in accordance 
with agency regulations implementing E.O. 12549 to immediately exclude a 
person from participating in grant transactions for a period, pending 
completion of an investigation and such legal or debarment proceedings 
as may ensue.
    Termination means permanent withdrawal of the authority to obligate 
previously-awarded grant funds before that authority would otherwise 
expire. It also means the voluntary relinquishment of that authority by 
the grantee or subgrantee. Termination does not include: (1) Withdrawal 
of funds awarded on the basis of the grantee's underestimate of the 
unobligated balance in a prior period; (2) withdrawal of the unobligated 
balance as of the expiration of a grant; (3) refusal to extend a grant 
or award additional funds, to make a competing or noncompeting 
continuation, renewal, extension, or supplemental award; or (4) voiding 
of a grant upon determination that the award was obtained fraudulently, 
or was otherwise illegal or invalid from inception.
    Terms of a grant or subgrant mean all requirements of the grant or 
subgrant, whether in statute, regulations, or the award document.
    Third party in-kind contributions mean property or services which 
benefit a federally assisted project or program and which are 
contributed by non-Federal third parties without charge to the grantee, 
or a cost-type contractor under the grant agreement.
    Unliquidated obligations for reports prepared on a cash basis mean 
the amount of obligations incurred by the grantee that has not been 
paid. For reports prepared on an accrued expenditure basis, they 
represent the amount

[[Page 482]]

of obligations incurred by the grantee for which an outlay has not been 
recorded.
    Unobligated balance means the portion of the funds authorized by the 
Federal agency that has not been obligated by the grantee and is 
determined by deducting the cumulative obligations from the cumulative 
funds authorized.



Sec. 1207.4  Applicability.

    (a) General. Subparts A through D of this part apply to all grants 
and subgrants to governments, except where inconsistent with Federal 
statutes or with regulations authorized in accordance with the exception 
provision of Sec. 1207.6, or:
    (1) Grants and subgrants to State and local institutions of higher 
education or State and local hospitals.
    (2) The block grants authorized by the Omnibus Budget Reconciliation 
Act of 1981 (Community Services; Preventive Health and Health Services; 
Alcohol, Drug Abuse, and Mental Health Services; Maternal and Child 
Health Services; Social Services; Low-Income Home Energy Assistance; 
States' Program of Community Development Block Grants for Small Cities; 
and Elementary and Secondary Education other than programs administered 
by the Secretary of Education under title V, subtitle D, chapter 2, 
section 583--the Secretary's discretionary grant program) and titles I-
III of the Job Training Partnership Act of 1982 and under the Public 
Health Services Act (section 1921), Alcohol and Drug Abuse Treatment and 
Rehabilitation Block Grant and part C of title V, Mental Health Service 
for the Homeless Block Grant).
    (3) Entitlement grants to carry out the following programs of the 
Social Security Act:
    (i) Aid to Needy Families with Dependent Children (title IV-A of the 
Act, not including the Work Incentive Program (WIN) authorized by 
section 402(a)19(G); HHS grants for WIN are subject to this part);
    (ii) Child Support Enforcement and Establishment of Paternity (title 
IV-D of the Act);
    (iii) Foster Care and Adoption Assistance (title IV-E of the Act);
    (iv) Aid to the Aged, Blind, and Disabled (titles I, X, XIV, and 
XVI-AABD of the Act); and
    (v) Medical Assistance (Medicaid) (title XIX of the Act) not 
including the State Medicaid Fraud Control program authorized by section 
1903(a)(6)(B).
    (4) Entitlement grants under the following programs of The National 
School Lunch Act:
    (i) School Lunch (section 4 of the Act),
    (ii) Commodity Assistance (section 6 of the Act),
    (iii) Special Meal Assistance (section 11 of the Act),
    (iv) Summer Food Service for Children (section 13 of the Act), and
    (v) Child Care Food Program (section 17 of the Act).
    (5) Entitlement grants under the following programs of The Child 
Nutrition Act of 1966:
    (i) Special Milk (section 3 of the Act), and
    (ii) School Breakfast (section 4 of the Act).
    (6) Entitlement grants for State Administrative expenses under The 
Food Stamp Act of 1977 (section 16 of the Act).
    (7) A grant for an experimental, pilot, or demonstration project 
that is also supported by a grant listed in paragraph (a)(3) of this 
section;
    (8) Grant funds awarded under subsection 412(e) of the Immigration 
and Nationality Act (8 U.S.C. 1522(e)) and subsection 501(a) of the 
Refugee Education Assistance Act of 1980 (Pub. L. 96-422, 94 Stat. 
1809), for cash assistance, medical assistance, and supplemental 
security income benefits to refugees and entrants and the administrative 
costs of providing the assistance and benefits;
    (9) Grants to local education agencies under 20 U.S.C. 236 through 
241-1(a), and 242 through 244 (portions of the Impact Aid program), 
except for 20 U.S.C. 238(d)(2)(c) and 240(f) (Entitlement Increase for 
Handicapped Children); and
    (10) Payments under the Veterans Administration's State Home Per 
Diem Program (38 U.S.C. 641(a)).
    (b) Entitlement programs. Entitlement programs enumerated above in 
Sec. 1207.4(a) (3) through (8) are subject to subpart E.

[[Page 483]]



Sec. 1207.5  Effect on other issuances.

    All other grants administration provisions of codified program 
regulations, program manuals, handbooks and other nonregulatory 
materials which are inconsistent with this part are superseded, except 
to the extent they are required by statute, or authorized in accordance 
with the exception provision in Sec. 1207.6.



Sec. 1207.6  Additions and exceptions

    (a) For classes of grants and grantees subject to this part, Federal 
agencies may not impose additional administrative requirements except in 
codified regulations published in the Federal Register.
    (b) Exceptions for classes of grants or grantees may be authorized 
only by OMB.
    (c) Exceptions on a case-by-case basis and for subgrantees may be 
authorized by the affected Federal agencies.



                    Subpart B--Pre-Award Requirements



Sec. 1207.10  Forms for applying for grants.

    (a) Scope. (1) This section prescribes forms and instructions to be 
used by governmental organizations (except hospitals and institutions of 
higher education operated by a government) in applying for grants. This 
section is not applicable, however, to formula grant programs which do 
not require applicants to apply for funds on a project basis.
    (2) This section applies only to applications to Federal agencies 
for grants, and is not required to be applied by grantees in dealing 
with applicants for subgrants. However, grantees are encouraged to avoid 
more detailed or burdensome application requirements for subgrants.
    (b) Authorized forms and instructions for governmental 
organizations. (1) In applying for grants, applicants shall only use 
standard application forms or those prescribed by the granting agency 
with the approval of OMB under the Paperwork Reduction Act of 1980.
    (2) Applicants are not required to submit more than the original and 
two copies of preapplications or applications.
    (3) Applicants must follow all applicable instructions that bear OMB 
clearance numbers. Federal agencies may specify and describe the 
programs, functions, or activities that will be used to plan, budget, 
and evaluate the work under a grant. Other supplementary instructions 
may be issued only with the approval of OMB to the extent required under 
the Paperwork Reduction Act of 1980. For any standard form, except the 
SF-424 facesheet, Federal agencies may shade out or instruct the 
applicant to disregard any line item that is not needed.
    (4) When a grantee applies for additional funding (such as a 
continuation or supplemental award) or amends a previously submitted 
application, only the affected pages need be submitted. Previously 
submitted pages with information that is still current need not be 
resubmitted.



Sec. 1207.11  State plans.

    (a) Scope. The statutes for some programs require States to submit 
plans before receiving grants. Under regulations implementing Executive 
Order 12372, ``Intergovernmental Review of Federal Programs,'' States 
are allowed to simplify, consolidate and substitute plans. This section 
contains additional provisions for plans that are subject to regulations 
implementing the Executive order.
    (b) Requirements. A State need meet only Federal administrative or 
programmatic requirements for a plan that are in statutes or codified 
regulations.
    (c) Assurances. In each plan the State will include an assurance 
that the State shall comply with all applicable Federal statutes and 
regulations in effect with respect to the periods for which it receives 
grant funding. For this assurance and other assurances required in the 
plan, the State may:
    (1) Cite by number the statutory or regulatory provisions requiring 
the assurances and affirm that it gives the assurances required by those 
provisions,
    (2) Repeat the assurance language in the statutes or regulations, or

[[Page 484]]

    (3) Develop its own language to the extent permitted by law.
    (d) Amendments. A State will amend a plan whenever necessary to 
reflect: (1) New or revised Federal statutes or regulations or (2) a 
material change in any State law, organization, policy, or State agency 
operation. The State will obtain approval for the amendment and its 
effective date but need submit for approval only the amended portions of 
the plan.



Sec. 1207.12  Special grant or subgrant conditions for ``high-risk'' grantees.

    (a) A grantee or subgrantee may be considered ``high risk'' if an 
awarding agency determines that a grantee or subgrantee:
    (1) Has a history of unsatisfactory performance, or
    (2) Is not financially stable, or
    (3) Has a management system which does not meet the management 
standards set forth in this part, or
    (4) Has not conformed to terms and conditions of previous awards, or
    (5) Is otherwise not responsible; and if the awarding agency 
determines that an award will be made, special conditions and/or 
restrictions shall correspond to the high risk condition and shall be 
included in the award.
    (b) Special conditions or restrictions may include:
    (1) Payment on a reimbursement basis;
    (2) Withholding authority to proceed to the next phase until receipt 
of evidence of acceptable performance within a given funding period;
    (3) Requiring additional, more detailed financial reports;
    (4) Additional project monitoring;
    (5) Requiring the grante or subgrantee to obtain technical or 
management assistance; or
    (6) Establishing additional prior approvals.
    (c) If an awarding agency decides to impose such conditions, the 
awarding official will notify the grantee or subgrantee as early as 
possible, in writing, of:
    (1) The nature of the special conditions/restrictions;
    (2) The reason(s) for imposing them;
    (3) The corrective actions which must be taken before they will be 
removed and the time allowed for completing the corrective actions and
    (4) The method of requesting reconsideration of the conditions/
restrictions imposed.



                   Subpart C--Post-Award Requirements

                        Financial Administration



Sec. 1207.20  Standards for financial management systems.

    (a) A State must expand and account for grant funds in accordance 
with State laws and procedures for expending and accounting for its own 
funds. Fiscal control and accounting procedures of the State, as well as 
its subgrantees and cost-type contractors, must be sufficient to--
    (1) Permit preparation of reports required by this part and the 
statutes authorizing the grant, and
    (2) Permit the tracing of funds to a level of expenditures adequate 
to establish that such funds have not been used in violation of the 
restrictions and prohibitions of applicable statutes.
    (b) The financial management systems of other grantees and 
subgrantees must meet the following standards:
    (1) Financial reporting. Accurate, current, and complete disclosure 
of the financial results of financially assisted activities must be made 
in accordance with the financial reporting requirements of the grant or 
subgrant.
    (2) Accounting records. Grantees and subgrantees must maintain 
records which adequately identify the source and application of funds 
provided for financially-assisted activities. These records must contain 
information pertaining to grant or subgrant awards and authorizations, 
obligations, unobligated balances, assets, liabilities, outlays or 
expenditures, and income.
    (3) Internal control. Effective control and accountability must be 
maintained for all grant and subgrant cash, real and personal property, 
and other assets. Grantees and subgrantees must adequately safeguard all 
such property and must assure that it is used solely for authorized 
purposes.
    (4) Budget control. Actual expenditures or outlays must be compared 
with budgeted amounts for each grant

[[Page 485]]

or subgrant. Financial information must be related to performance or 
productivity data, including the development of unit cost information 
whenever appropriate or specifically required in the grant or subgrant 
agreement. If unit cost data are required, estimates based on available 
documentation will be accepted whenever possible.
    (5) Allowable cost. Applicable OMB cost principles, agency program 
regulations, and the terms of grant and subgrant agreements will be 
followed in determining the reasonableness, allowability, and 
allocability of costs.
    (6) Source documentation. Accounting records must be supported by 
such source documentation as cancelled checks, paid bills, payrolls, 
time and attendance records, contract and subgrant award documents, etc.
    (7) Cash management. Procedures for minimizing the time elapsing 
between the transfer of funds from the U.S. Treasury and disbursement by 
grantees and subgrantees must be followed whenever advance payment 
procedures are used. Grantees must establish reasonable procedures to 
ensure the receipt of reports on subgrantees' cash balances and cash 
disbursements in sufficient time to enable them to prepare complete and 
accurate cash transactions reports to the awarding agency. When advances 
are made by letter-of-credit or electronic transfer of funds methods, 
the grantee must make drawdowns as close as possible to the time of 
making disbursements. Grantees must monitor cash drawdowns by their 
subgrantees to assure that they conform substantially to the same 
standards of timing and amount as apply to advances to the grantees.
    (c) An awarding agency may review the adequacy of the financial 
management system of any applicant for financial assistance as part of a 
preaward review or at any time subsequent to award.



Sec. 1207.21  Payment.

    (a) Scope. This section prescribes the basic standard and the 
methods under which a Federal agency will make payments to grantees, and 
grantees will make payments to subgrantees and contractors.
    (b) Basic standard. Methods and procedures for payment shall 
minimize the time elapsing between the transfer of funds and 
disbursement by the grantee or subgrantee, in accordance with Treasury 
regulations at 31 CFR part 205.
    (c) Advances. Grantees and subgrantees shall be paid in advance, 
provided they maintain or demonstrate the willingness and ability to 
maintain procedures to minimize the time elapsing between the transfer 
of the funds and their disbursement by the grantee or subgrantee.
    (d) Reimbursement. Reimbursement shall be the preferred method when 
the requirements in paragraph (c) of this section are not met. Grantees 
and subgrantees may also be paid by reimbursement for any construction 
grant. Except as otherwise specified in regulation, Federal agencies 
shall not use the percentage of completion method to pay construction 
grants. The grantee or subgrantee may use that method to pay its 
construction contractor, and if it does, the awarding agency's payments 
to the grantee or subgrantee will be based on the grantee's or 
subgrantee's actual rate of disbursement.
    (e) Working capital advances. If a grantee cannot meet the criteria 
for advance payments described in paragraph (c) of this section, and the 
Federal agency has determined that reimbursement is not feasible because 
the grantee lacks sufficient working capital, the awarding agency may 
provide cash or a working capital advance basis. Under this procedure 
the awarding agency shall advance cash to the grantee to cover its 
estimated disbursement needs for an initial period generally geared to 
the grantee's disbursing cycle. Thereafter, the awarding agency shall 
reimburse the grantee for its actual cash disbursements. The working 
capital advance method of payment shall not be used by grantees or 
subgrantees if the reason for using such method is the unwillingness or 
inability of the grantee to provide timely advances to the subgrantee to 
meet the subgrantee's actual cash disbursements.
    (f) Effect of program income, refunds, and audit recoveries on 
payment. (1)

[[Page 486]]

Grantees and subgrantees shall disburse repayments to and interest 
earned on a revolving fund before requesting additional cash payments 
for the same activity.
    (2) Except as provided in paragraph (f)(1) of this section, grantees 
and subgrantees shall disburse program income, rebates, refunds, 
contract settlements, audit recoveries and interest earned on such funds 
before requesting additional cash payments.
    (g) Withholding payments. (1) Unless otherwise required by Federal 
statute, awarding agencies shall not withhold payments for proper 
charges incurred by grantees or subgrantees unless--
    (i) The grantee or subgrantee has failed to comply with grant award 
conditions or
    (ii) The grantee or subgrantee is indebted to the United States.
    (2) Cash withheld for failure to comply with grant award condition, 
but without suspension of the grant, shall be released to the grantee 
upon subsequent compliance. When a grant is suspended, payment 
adjustments will be made in accordance with Sec. 1207.43(c).
    (3) A Federal agency shall not make payment to grantees for amounts 
that are withheld by grantees or subgrantees from payment to contractors 
to assure satisfactory completion of work. Payments shall be made by the 
Federal agency when the grantees or subgrantees actually disburse the 
withheld funds to the contractors or to escrow accounts established to 
assure satisfactory completion of work.
    (h) Cash depositories. (1) Consistent with the national goal of 
expanding the opportunities for minority business enterprises, grantees 
and subgrantees are encouraged to use minority banks (a bank which is 
owned at least 50 percent by minority group members). A list of minority 
owned banks can be obtained from the Minority Business Development 
Agency, Department of Commerce, Washington, DC 20230.
    (2) A grantee or subgrantee shall maintain a separate bank account 
only when required by Federal-State agreement.
    (i) Interest earned on advances. Except for interest earned on 
advances of funds exempt under the Intergovernmental Cooperation Act (31 
U.S.C. 6501 et seq.) and the Indian Self-Determination Act (23 U.S.C. 
450), grantees and subgrantees shall promptly, but at least quarterly, 
remit interest earned on advances to the Federal agency. The grantee or 
subgrantee may keep interest amounts up to $100 per year for 
administrative expenses.



Sec. 1207.22  Allowable costs.

    (a) Limitation on use of funds. Grant funds may be used only for:
    (1) The allowable costs of the grantees, subgrantees and cost-type 
contractors, including allowable costs in the form of payments to fixed-
price contractors; and
    (2) Reasonable fees or profit to cost-type contractors but not any 
fee or profit (or other increment above allowable costs) to the grantee 
or subgrantee.
    (b) Applicable cost principles. For each kind of organization, there 
is a set of Federal principles for determining allowable costs. 
Allowable costs will be determined in accordance with the cost 
principles applicable to the organization incurring the costs. The 
following chart lists the kinds of organizations and the applicable cost 
principles.

------------------------------------------------------------------------
           For the costs of a--                Use the principles in--
------------------------------------------------------------------------
State, local or Indian tribal government..  OMB Circular A-87.
Private nonprofit organization other than   OMB Circular A-122.
 an (1) institution of higher education,
 (2) hospital, or (3) organization named
 in OMB Circular A-122 as not subject to
 that circular.
Educational institutions..................  OMB Circular A-21.
For-profit organization other than a        48 CFR part 31. Contract
 hospital and an organization named in OBM   Cost Principles and
 Circular A-122 as not subject to that       Procedures, or uniform cost
 circular.                                   accounting standards that
                                             comply with cost principles
                                             acceptable to the Federal
                                             agency.
------------------------------------------------------------------------



Sec. 1207.23  Period of availability of funds.

    (a) General. Where a funding period is specified, a grantee may 
charge to the award only costs resulting from obligations of the funding 
period unless carryover of unobligated balances is permitted, in which 
case the carryover balances may be charged for costs resulting from 
obligations of the subsequent funding period.

[[Page 487]]

    (b) Liquidation of obligations. A grantee must liquidate all 
obligations incurred under the award not later than 90 days after the 
end of the funding period (or as specified in a program regulation) to 
coincide with the submission of the annual Financial Status Report (SF-
269). The Federal agency may extend this deadline at the request of the 
grantee.



Sec. 1207.24  Matching or cost sharing.

    (a) Basic rule: Costs and contributions acceptable. With the 
qualifications and exceptions listed in paragraph (b) of this section, a 
matching or cost sharing requirement may be satisfied by either or both 
of the following:
    (1) Allowable costs incurred by the grantee, subgrantee or a cost-
type contractor under the assistance agreement. This includes allowable 
costs borne by non-Federal grants or by others cash donations from non-
Federal third parties.
    (2) The value of third party in-kind contributions applicable to the 
period to which the cost sharing or matching requirements applies.
    (b) Qualifications and exceptions--(1) Costs borne by other Federal 
grant agreements. Except as provided by Federal statute, a cost sharing 
or matching requirement may not be met by costs borne by another Federal 
grant. This prohibition does not apply to income earned by a grantee or 
subgrantee from a contract awarded under another Federal grant.
    (2) General revenue sharing. For the purpose of this section, 
general revenue sharing funds distributed under 31 U.S.C. 6702 are not 
considered Federal grant funds.
    (3) Cost or contributions counted towards other Federal costs-
sharing requirements. Neither costs nor the values of third party in-
kind contributions may count towards satisfying a cost sharing or 
matching requirement of a grant agreement if they have been or will be 
counted towards satisfying a cost sharing or matching requirement of 
another Federal grant agreement, a Federal procurement contract, or any 
other award of Federal funds.
    (4) Costs financed by program income. Costs financed by program 
income, as defined in Sec. 1207.25, shall not count towards satisfying a 
cost sharing or matching requirement unless they are expressly permitted 
in the terms of the assistance agreement. (This use of general program 
income is described in Sec. 1207.25(g).)
    (5) Services or property financed by income earned by contractors. 
Contractors under a grant may earn income from the activities carried 
out under the contract in addition to the amounts earned from the party 
awarding the contract. No costs of services or property supported by 
this income may count toward satisfying a cost sharing or matching 
requirement unless other provisions of the grant agreement expressly 
permit this kind of income to be used to meet the requirement.
    (6) Records. Costs and third party in-kind contributions counting 
towards satisfying a cost sharing or matching requirement must be 
verifiable from the records of grantees and subgrantee or cost-type 
contractors. These records must show how the value placed on third party 
in-kind contributions was derived. To the extent feasible, volunteer 
services will be supported by the same methods that the organization 
uses to support the allocability of regular personnel costs.
    (7) Special standards for third party in-kind contributions. (i) 
Third party in-kind contributions count towards satisfying a cost 
sharing or matching requirement only where, if the party receiving the 
contributions were to pay for them, the payments would be allowable 
costs.
    (ii) Some third party in-kind contributions are goods and services 
that, if the grantee, subgrantee, or contractor receiving the 
contribution had to pay for them, the payments would have been an 
indirect costs. Costs sharing or matching credit for such contributions 
shall be given only if the grantee, subgrantee, or contractor has 
established, along with its regular indirect cost rate, a special rate 
for allocating to individual projects or programs the value of the 
contributions.
    (iii) A third party in-kind contribution to a fixed-price contract 
may count towards satisfying a cost sharing or matching requirement only 
if it results in:

[[Page 488]]

    (A) An increase in the services or property provided under the 
contract (without additional cost to the grantee or subgrantee) or
    (B) A cost savings to the grantee or subgrantee.
    (iv) The values placed on third party in-kind contributions for cost 
sharing or matching purposes will conform to the rules in the succeeding 
sections of this part. If a third party in-kind contribution is a type 
not treated in those sections, the value placed upon it shall be fair 
and reasonable.
    (c) Valuation of donated services--(1) Volunteer services. Unpaid 
services provided to a grantee or subgrantee by individuals will be 
valued at rates consistent with those ordinarily paid for similar work 
in the grantee's or subgrantee's organization. If the grantee or 
subgrantee does not have employees performing similar work, the rates 
will be consistent with those ordinarily paid by other employers for 
similar work in the same labor market. In either case, a reasonable 
amount for fringe benefits may be included in the valuation.
    (2) Employees of other organizations. When an employer other than a 
grantee, subgrantee, or cost-type contractor furnishes free of charge 
the services of an employee in the employee's normal line of work, the 
services will be valued at the employee's regular rate of pay exclusive 
of the employee's fringe benefits and overhead costs. If the services 
are in a different line of work, paragraph (c)(1) of this section 
applies.
    (d) Valuation of third party donated supplies and loaned equipment 
or space. (1) If a third party donates supplies, the contribution will 
be valued at the market value of the supplies at the time of donation.
    (2) If a third party donates the use of equipment or space in a 
building but retains title, the contribution will be valued at the fair 
rental rate of the equipment or space.
    (e) Valuation of third party donated equipment, buildings, and land. 
If a third party donates equipment, buildings, or land, and title passes 
to a grantee or subgrantee, the treatment of the donated property will 
depend upon the purpose of the grant or subgrant, as follows:
    (1) Awards for capital expenditures. If the purpose of the grant or 
subgrant is to assist the grantee or subgrantee in the acquisition of 
property, the market value of that property at the time of donation may 
be counted as cost sharing or matching,
    (2) Other awards. If assisting in the acquisition of property is not 
the purpose of the grant or subgrant, paragraphs (e)(2)(i) and (ii) of 
this section apply:
    (i) If approval is obtained from the awarding agency, the market 
value at the time of donation of the donated equipment or buildings and 
the fair rental rate of the donated land may be counted as cost sharing 
or matching. In the case of a subgrant, the terms of the grant agreement 
may require that the approval be obtained from the Federal agency as 
well as the grantee. In all cases, the approval may be given only if a 
purchase of the equipment or rental of the land would be approved as an 
allowable direct cost. If any part of the donated property was acquired 
with Federal funds, only the non-federal share of the property may be 
counted as cost-sharing or matching.
    (ii) If approval is not obtained under paragraph (e)(2)(i) of this 
section, no amount may be counted for donated land, and only 
depreciation or use allowances may be counted for donated equipment and 
buildings. The depreciation or use allowances for this property are not 
treated as third party in-kind contributions. Instead, they are treated 
as costs incurred by the grantee or subgrantee. They are computed and 
allocated (usually as indirect costs) in accordance with the cost 
principles specified in Sec. 1207.22, in the same way as depreciation or 
use allowances for purchased equipment and buildings. The amount of 
depreciation or use allowances for donated equipment and buildings is 
based on the property's market value at the time it was donated.
    (f) Valuation of grantee or subgrantee donated real property for 
construction/acquisition. If a grantee or subgrantee donates real 
property for a construction or facilities acquisition project, the 
current market value of that property may be counted as cost sharing or 
matching. If any part of the donated property was acquired with Federal

[[Page 489]]

funds, only the non-federal share of the property may be counted as cost 
sharing or matching.
    (g) Appraisal of real property. In some cases under paragraphs (d), 
(e) and (f) of this section, it will be necessary to establish the 
market value of land or a building or the fair rental rate of land or of 
space in a building. In these cases, the Federal agency may require the 
market value or fair rental value be set by an independent appraiser, 
and that the value or rate be certified by the grantee. This requirement 
will also be imposed by the grantee on subgrantees.



Sec. 1207.25  Program income.

    (a) General. Grantees are encouraged to earn income to defray 
program costs. Program income includes income from fees for services 
performed, from the use or rental of real or personal property acquired 
with grant funds, from the sale of commodities or items fabricated under 
a grant agreement, and from payments of principal and interest on loans 
made with grant funds. Except as otherwise provided in regulations of 
the Federal agency, program income does not include interest on grant 
funds, rebates, credits, discounts, refunds, etc. and interest earned on 
any of them.
    (b) Definition of program income. Program income means gross income 
received by the grantee or subgrantee directly generated by a grant 
supported activity, or earned only as a result of the grant agreement 
during the grant period. ``During the grant period'' is the time between 
the effective date of the award and the ending date of the award 
reflected in the final financial report.
    (c) Cost of generating program income. If authorized by Federal 
regulations or the grant agreement, costs incident to the generation of 
program income may be deducted from gross income to determine program 
income.
    (d) Governmental revenues. Taxes, special assessments, levies, 
fines, and other such revenues raised by a grantee or subgrantee are not 
program income unless the revenues are specifically identified in the 
grant agreement or Federal agency regulations as program income.
    (e) Royalties. Income from royalties and license fees for 
copyrighted material, patents, and inventions developed by a grantee or 
subgrantee is program income only if the revenues are specifically 
identified in the grant agreement or Federal agency regulations as 
program income. (See Sec. 1207.34.)
    (f) Property. Proceeds from the sale of real property or equipment 
will be handled in accordance with the requirements of Secs. 1207.31 and 
1207.32.
    (g) Use of program income. Program income shall be deducted from 
outlays which may be both Federal and non-Federal as described below, 
unless the Federal agency regulations or the grant agreement specify 
another alternative (or a combination of the alternatives). In 
specifying alternatives, the Federal agency may distinguish between 
income earned by the grantee and income earned by subgrantees and 
between the sources, kinds, or amounts of income. When Federal agencies 
authorize the alternatives in paragraphs (g) (2) and (3) of this 
section, program income in excess of any limits stipulated shall also be 
deducted from outlays.
    (1) Deduction. Ordinarily program income shall be deducted from 
total allowable costs to determine the net allowable costs. Program 
income shall be used for current costs unless the Federal agency 
authorizes otherwise. Program income which the grantee did not 
anticipate at the time of the award shall be used to reduce the Federal 
agency and grantee contributions rather than to increase the funds 
committed to the project.
    (2) Addition. When authorized, program income may be added to the 
funds committed to the grant agreement by the Federal agency and the 
grantee. The program income shall be used for the purposes and under the 
conditions of the grant agreement.
    (3) Cost sharing or matching. When authorized, program income may be 
used to meet the cost sharing or matching requirement of the grant 
agreement. The amount of the Federal grant award remains the same.
    (h) Income after the award period. There are no Federal requirements 
governing the disposition of program income earned after the end of the 
award

[[Page 490]]

period (i.e., until the ending date of the final financial report, see 
paragraph (a) of this section), unless the terms of the agreement or the 
Federal agency regulations provide otherwise.



Sec. 1207.26  Non-Federal audit.

    (a) Basic rule. Grantees and subgrantees are responsible for 
obtaining audits in accordance with the Single Audit Act Amendments of 
1996 (31 U.S.C. 7501-7507) and revised OMB Circular A-133, ``Audits of 
States, Local Governments, and Non-Profit Organizations.'' The audits 
shall be made by an independent auditor in accordance with generally 
accepted government auditing standards covering financial audits.
    (b) Subgrantees. State or local governments, as those terms are 
defined for purposes of the Single Audit Act Amendments of 1996, that 
provide Federal awards to a subgrantee, which expends $300,000 or more 
(or other amount as specified by OMB) in Federal awards in a fiscal 
year, shall:
    (1) Determine whether State or local subgrantees have met the audit 
requirements of the Act and whether subgrantees covered by OMB Circular 
A-110, ``Uniform Administrative Requirements for Grants and Agreements 
with Institutions of Higher Education, Hospitals, and Other Non-Profit 
Organizations,'' have met the audit requirements of the Act. Commercial 
contractors (private for-profit and private and governmental 
organizations) providing goods and services to State and local 
governments are not required to have a single audit performed. State and 
local governments should use their own procedures to ensure that the 
contractor has complied with laws and regulations affecting the 
expenditure of Federal funds;
    (2) Determine whether the subgrantee spent Federal assistance funds 
provided in accordance with applicable laws and regulations. This may be 
accomplished by reviewing an audit of the subgrantee made in accordance 
with the Act, Circular A-110, or through other means (e.g., program 
reviews) if the subgrantee has not had such an audit;
    (3) Ensure that appropriate corrective action is taken within six 
months after receipt of the audit report in instance of noncompliance 
with Federal laws and regulations;
    (4) Consider whether subgrantee audits necessitate adjustment of the 
grantee's own records; and
    (5) Require each subgrantee to permit independent auditors to have 
access to the records and financial statements.
    (c) Auditor selection. In arranging for audit services, Sec. 1207.36 
shall be followed.
[53 FR 8072, 8087, Mar. 11, 1988, as amended at 62 FR 45939, 45943, Aug. 
29, 1997]

                    Changes, Property, and Subawards



Sec. 1207.30  Changes.

    (a) General. Grantees and subgrantees are permitted to rebudget 
within the approved direct cost budget to meet unanticipated 
requirements and may make limited program changes to the approved 
project. However, unless waived by the awarding agency, certain types of 
post-award changes in budgets and projects shall require the prior 
written approval of the awarding agency.
    (b) Relation to cost principles. The applicable cost principles (see 
Sec. 1207.22) contain requirements for prior approval of certain types 
of costs. Except where waived, those requirements apply to all grants 
and subgrants even if paragraphs (c) through (f) of this section do not.
    (c) Budget changes--(1) Nonconstruction projects. Except as stated 
in other regulations or an award document, grantees or subgrantees shall 
obtain the prior approval of the awarding agency whenever any of the 
following changes is anticipated under a nonconstruction award:
    (i) Any revision which would result in the need for additional 
funding.
    (ii) Unless waived by the awarding agency, cumulative transfers 
among direct cost categories, or, if applicable, among separately 
budgeted programs, projects, functions, or activities which exceed or 
are expected to exceed ten percent of the current total approved budget, 
whenever the awarding agency's share exceeds $100,000.
    (iii) Transfer of funds allotted for training allowances (i.e., from 
direct

[[Page 491]]

payments to trainees to other expense categories).
    (2) Construction projects. Grantees and subgrantees shall obtain 
prior written approval for any budget revision which would result in the 
need for additional funds.
    (3) Combined construction and nonconstruction projects. When a grant 
or subgrant provides funding for both construction and nonconstruction 
activities, the grantee or subgrantee must obtain prior written approval 
from the awarding agency before making any fund or budget transfer from 
nonconstruction to construction or vice versa.
    (d) Programmatic changes. Grantees or subgrantees must obtain the 
prior approval of the awarding agency whenever any of the following 
actions is anticipated:
    (1) Any revision of the scope or objectives of the project 
(regardless of whether there is an associated budget revision requiring 
prior approval).
    (2) Need to extend the period of availability of funds.
    (3) Changes in key persons in cases where specified in an 
application or a grant award. In research projects, a change in the 
project director or principal investigator shall always require approval 
unless waived by the awarding agency.
    (4) Under nonconstruction projects, contracting out, subgranting (if 
authorized by law) or otherwise obtaining the services of a third party 
to perform activities which are central to the purposes of the award. 
This approval requirement is in addition to the approval requirements of 
Sec. 1207.36 but does not apply to the procurement of equipment, 
supplies, and general support services.
    (e) Additional prior approval requirements. The awarding agency may 
not require prior approval for any budget revision which is not 
described in paragraph (c) of this section.
    (f) Requesting prior approval. (1) A request for prior approval of 
any budget revision will be in the same budget formal the grantee used 
in its application and shall be accompanied by a narrative justification 
for the proposed revision.
    (2) A request for a prior approval under the applicable Federal cost 
principles (see Sec. 1207.22) may be made by letter.
    (3) A request by a subgrantee for prior approval will be addressed 
in writing to the grantee. The grantee will promptly review such request 
and shall approve or disapprove the request in writing. A grantee will 
not approve any budget or project revision which is inconsistent with 
the purpose or terms and conditions of the Federal grant to the grantee. 
If the revision, requested by the subgrantee would result in a change to 
the grantee's approved project which requires Federal prior approval, 
the grantee will obtain the Federal agency's approval before approving 
the subgrantee's request.



Sec. 1207.31  Real property.

    (a) Title. Subject to the obligations and conditions set forth in 
this section, title to real property acquired under a grant or subgrant 
will vest upon acquisition in the grantee or subgrantee respectively.
    (b) Use. Except as otherwise provided by Federal statutes, real 
property will be used for the originally authorized purposes as long as 
needed for that purposes, and the grantee or subgrantee shall not 
dispose of or encumber its title or other interests.
    (c) Disposition. When real property is no longer needed for the 
originally authorized purpose, the grantee or subgrantee will request 
disposition instructions from the awarding agency. The instructions will 
provide for one of the following alternatives:
    (1) Retention of title. Retain title after compensating the awarding 
agency. The amount paid to the awarding agency will be computed by 
applying the awarding agency's percentage of participation in the cost 
of the original purchase to the fair market value of the property. 
However, in those situations where a grantee or subgrantee is disposing 
of real property acquired with grant funds and acquiring replacement 
real property under the same program, the net proceeds from the 
disposition may be used as an offset to the cost of the replacement 
property.
    (2) Sale of property. Sell the property and compensate the awarding 
agency.

[[Page 492]]

The amount due to the awarding agency will be calculated by applying the 
awarding agency's percentage of participation in the cost of the 
original purchase to the proceeds of the sale after deduction of any 
actual and reasonable selling and fixing-up expenses. If the grant is 
still active, the net proceeds from sale may be offset against the 
original cost of the property. When a grantee or subgrantee is directed 
to sell property, sales procedures shall be followed that provide for 
competition to the extent practicable and result in the highest possible 
return.
    (3) Transfer of title. Transfer title to the awarding agency or to a 
third-party designated/approved by the awarding agency. The grantee or 
subgrantee shall be paid an amount calculated by applying the grantee or 
subgrantee's percentage of participation in the purchase of the real 
property to the current fair market value of the property.



Sec. 1207.32  Equipment.

    (a) Title. Subject to the obligations and conditions set forth in 
this section, title to equipment acquired under a grant or subgrant will 
vest upon acquisition in the grantee or subgrantee respectively.
    (b) States. A State will use, manage, and dispose of equipment 
acquired under a grant by the State in accordance with State laws and 
procedures. Other grantees and subgrantees will follow paragraphs (c) 
through (e) of this section.
    (c) Use. (1) Equipment shall be used by the grantee or subgrantee in 
the program or project for which it was acquired as long as needed, 
whether or not the project or program continues to be supported by 
Federal funds. When no longer needed for the original program or 
project, the equipment may be used in other activities currently or 
previously supported by a Federal agency.
    (2) The grantee or subgrantee shall also make equipment available 
for use on other projects or programs currently or previously supported 
by the Federal Government, providing such use will not interfere with 
the work on the projects or program for which it was originally 
acquired. First preference for other use shall be given to other 
programs or projects supported by the awarding agency. User fees should 
be considered if appropriate.
    (3) Notwithstanding the encouragement in Sec. 1207.25(a) to earn 
program income, the grantee or subgrantee must not use equipment 
acquired with grant funds to provide services for a fee to compete 
unfairly with private companies that provide equivalent services, unless 
specifically permitted or contemplated by Federal statute.
    (4) When acquiring replacement equipment, the grantee or subgrantee 
may use the equipment to be replaced as a trade-in or sell the property 
and use the proceeds to offset the cost of the replacement property, 
subject to the approval of the awarding agency.
    (d) Management requirements. Procedures for managing equipment 
(including replacement equipment), whether acquired in whole or in part 
with grant funds, until disposition takes place will, as a minimum, meet 
the following requirements:
    (1) Property records must be maintained that include a description 
of the property, a serial number or other identification number, the 
source of property, who holds title, the acquisition date, and cost of 
the property, percentage of Federal participation in the cost of the 
property, the location, use and condition of the property, and any 
ultimate disposition data including the date of disposal and sale price 
of the property.
    (2) A physical inventory of the property must be taken and the 
results reconciled with the property records at least once every two 
years.
    (3) A control system must be developed to ensure adequate safeguards 
to prevent loss, damage, or theft of the property. Any loss, damage, or 
theft shall be investigated.
    (4) Adequate maintenance procedures must be developed to keep the 
property in good condition.
    (5) If the grantee or subgrantee is authorized or required to sell 
the property, proper sales procedures must be established to ensure the 
highest possible return.
    (e) Disposition. When original or replacement equipment acquired 
under a grant or subgrant is no longer needed

[[Page 493]]

for the original project or program or for other activities currently or 
previously supported by a Federal agency, disposition of the equipment 
will be made as follows:
    (1) Items of equipment with a current per-unit fair market value of 
less than $5,000 may be retained, sold or otherwise disposed of with no 
further obligation to the awarding agency.
    (2) Items of equipment with a current per unit fair market value in 
excess of $5,000 may be retained or sold and the awarding agency shall 
have a right to an amount calculated by multiplying the current market 
value or proceeds from sale by the awarding agency's share of the 
equipment.
    (3) In cases where a grantee or subgrantee fails to take appropriate 
disposition actions, the awarding agency may direct the grantee or 
subgrantee to take excess and disposition actions.
    (f) Federal equipment. In the event a grantee or subgrantee is 
provided federally-owned equipment:
    (1) Title will remain vested in the Federal Government.
    (2) Grantees or subgrantees will manage the equipment in accordance 
with Federal agency rules and procedures, and submit an annual inventory 
listing.
    (3) When the equipment is no longer needed, the grantee or 
subgrantee will request disposition instructions from the Federal 
agency.
    (g) Right to transfer title. The Federal awarding agency may reserve 
the right to transfer title to the Federal Government or a third part 
named by the awarding agency when such a third party is otherwise 
eligible under existing statutes. Such transfers shall be subject to the 
following standards:
    (1) The property shall be identified in the grant or otherwise made 
known to the grantee in writing.
    (2) The Federal awarding agency shall issue disposition instruction 
within 120 calendar days after the end of the Federal support of the 
project for which it was acquired. If the Federal awarding agency fails 
to issue disposition instructions within the 120 calendar-day period the 
grantee shall follow Sec. 1207.32(e).
    (3) When title to equipment is transferred, the grantee shall be 
paid an amount calculated by applying the percentage of participation in 
the purchase to the current fair market value of the property.



Sec. 1207.33  Supplies.

    (a) Title. Title to supplies acquired under a grant or subgrant will 
vest, upon acquisition, in the grantee or subgrantee respectively.
    (b) Disposition. If there is a residual inventory of unused supplies 
exceeding $5,000 in total aggregate fair market value upon termination 
or completion of the award, and if the supplies are not needed for any 
other federally sponsored programs or projects, the grantee or 
subgrantee shall compensate the awarding agency for its share.



Sec. 1207.34  Copyrights.

    The Federal awarding agency reserves a royalty-free, nonexclusive, 
and irrevocable license to reproduce, publish or otherwise use, and to 
authorize others to use, for Federal Government purposes:
    (a) The copyright in any work developed under a grant, subgrant, or 
contract under a grant or subgrant; and
    (b) Any rights of copyright to which a grantee, subgrantee or a 
contractor purchases ownership with grant support.



Sec. 1207.35  Subawards to debarred and suspended parties.

    Grantees and subgrantees must not make any award or permit any award 
(subgrant or contract) at any tier to any party which is debarred or 
suspended or is otherwise excluded from or ineligible for participation 
in Federal assistance programs under Executive Order 12549, ``Debarment 
and Suspension.''



Sec. 1207.36  Procurement.

    (a) States. When procuring property and services under a grant, a 
State will follow the same policies and procedures it uses for 
procurements from its non-Federal funds. The State will ensure that 
every purchase order or other contract includes any clauses required by 
Federal statutes and executive orders and their implementing 
regulations. Other grantees and subgrantees will

[[Page 494]]

follow paragraphs (b) through (i) in this section.
    (b) Procurement standards. (1) Grantees and subgrantees will use 
their own procurement procedures which reflect applicable State and 
local laws and regulations, provided that the procurements conform to 
applicable Federal law and the standards identified in this section.
    (2) Grantees and subgrantees will maintain a contract administration 
system which ensures that contractors perform in accordance with the 
terms, conditions, and specifications of their contracts or purchase 
orders.
    (3) Grantees and subgrantees will maintain a written code of 
standards of conduct governing the performance of their employees 
engaged in the award and administration of contracts. No employee, 
officer or agent of the grantee or subgrantee shall participate in 
selection, or in the award or administration of a contract supported by 
Federal funds if a conflict of interest, real or apparent, would be 
involved. Such a conflict would arise when:
    (i) The employee, officer or agent,
    (ii) Any member of his immediate family,
    (iii) His or her partner, or
    (iv) An organization which employs, or is about to employ, any of 
the above, has a financial or other interest in the firm selected for 
award. The grantee's or subgrantee's officers, employees or agents will 
neither solicit nor accept gratuities, favors or anything of monetary 
value from contractors, potential contractors, or parties to 
subagreements. Grantee and subgrantees may set minimum rules where the 
financial interest is not substantial or the gift is an unsolicited item 
of nominal intrinsic value. To the extent permitted by State or local 
law or regulations, such standards or conduct will provide for 
penalties, sanctions, or other disciplinary actions for violations of 
such standards by the grantee's and subgrantee's officers, employees, or 
agents, or by contractors or their agents. The awarding agency may in 
regulation provide additional prohibitions relative to real, apparent, 
or potential conflicts of interest.
    (4) Grantee and subgrantee procedures will provide for a review of 
proposed procurements to avoid purchase of unnecessary or duplicative 
items. Consideration should be given to consolidating or breaking out 
procurements to obtain a more economical purchase. Where appropriate, an 
analysis will be made of lease versus purchase alternatives, and any 
other appropriate analysis to determine the most economical approach.
    (5) To foster greater economy and efficiency, grantees and 
subgrantees are encouraged to enter into State and local 
intergovernmental agreements for procurement or use of common goods and 
services.
    (6) Grantees and subgrantees are encouraged to use Federal excess 
and surplus property in lieu of purchasing new equipment and property 
whenever such use is feasible and reduces project costs.
    (7) Grantees and subgrantees are encouraged to use value engineering 
clauses in contracts for construction projects of sufficient size to 
offer reasonable opportunities for cost reductions. Value engineering is 
a systematic and creative anaylsis of each contract item or task to 
ensure that its essential function is provided at the overall lower 
cost.
    (8) Grantees and subgrantees will make awards only to responsible 
contractors possessing the ability to perform successfully under the 
terms and conditions of a proposed procurement. Consideration will be 
given to such matters as contractor integrity, compliance with public 
policy, record of past performance, and financial and technical 
resources.
    (9) Grantees and subgrantees will maintain records sufficient to 
detail the significant history of a procurement. These records will 
include, but are not necessarily limited to the following: rationale for 
the method of procurement, selection of contract type, contractor 
selection or rejection, and the basis for the contract price.
    (10) Grantees and subgrantees will use time and material type 
contracts only--
    (i) After a determination that no other contract is suitable, and
    (ii) If the contract includes a ceiling price that the contractor 
exceeds at its own risk.

[[Page 495]]

    (11) Grantees and subgrantees alone will be responsible, in 
accordance with good administrative practice and sound business 
judgment, for the settlement of all contractual and administrative 
issues arising out of procurements. These issues include, but are not 
limited to source evaluation, protests, disputes, and claims. These 
standards do not relieve the grantee or subgrantee of any contractual 
responsibilities under its contracts. Federal agencies will not 
substitute their judgment for that of the grantee or subgrantee unless 
the matter is primarily a Federal concern. Violations of law will be 
referred to the local, State, or Federal authority having proper 
jurisdiction.
    (12) Grantees and subgrantees will have protest procedures to handle 
and resolve disputes relating to their procurements and shall in all 
instances disclose information regarding the protest to the awarding 
agency. A protestor must exhaust all administrative remedies with the 
grantee and subgrantee before pursuing a protest with the Federal 
agency. Reviews of protests by the Federal agency will be limited to:
    (i) Violations of Federal law or regulations and the standards of 
this section (violations of State or local law will be under the 
jurisdiction of State or local authorities) and
    (ii) Violations of the grantee's or subgrantee's protest procedures 
for failure to review a complaint or protest. Protests received by the 
Federal agency other than those specified above will be referred to the 
grantee or subgrantee.
    (c) Competition. (1) All procurement transactions will be conducted 
in a manner providing full and open competition consistent with the 
standards of Sec. 1207.36. Some of the situations considered to be 
restrictive of competition include but are not limited to:
    (i) Placing unreasonable requirements on firms in order for them to 
qualify to do business,
    (ii) Requiring unnecessary experience and excessive bonding,
    (iii) Noncompetitive pricing practices between firms or between 
affiliated companies,
    (iv) Noncompetitive awards to consultants that are on retainer 
contracts,
    (v) Organizational conflicts of interest,
    (vi) Specifying only a ``brand name'' product instead of allowing 
``an equal'' product to be offered and describing the performance of 
other relevant requirements of the procurement, and
    (vii) Any arbitrary action in the procurement process.
    (2) Grantees and subgrantees will conduct procurements in a manner 
that prohibits the use of statutorily or administratively imposed in-
State or local geographical preferences in the evaluation of bids or 
proposals, except in those cases where applicable Federal statutes 
expressly mandate or encourage geographic preference. Nothing in this 
section preempts State licensing laws. When contracting for 
architectural and engineering (A/E) services, geographic location may be 
a selection criteria provided its application leaves an appropriate 
number of qualified firms, given the nature and size of the project, to 
compete for the contract.
    (3) Grantees will have written selection procedures for procurement 
transactions. These procedures will ensure that all solicitations:
    (i) Incorporate a clear and accurate description of the technical 
requirements for the material, product, or service to be procured. Such 
description shall not, in competitive procurements, contain features 
which unduly restrict competition. The description may include a 
statement of the qualitative nature of the material, product or service 
to be procured, and when necessary, shall set forth those minimum 
essential characteristics and standards to which it must conform if it 
is to satisfy its intended use. Detailed product specifications should 
be avoided if at all possible. When it is impractical or uneconomical to 
make a clear and accurate description of the technical requirements, a 
``brand name or equal'' description may be used as a means to define the 
performance or other salient requirements of a procurement. The specific 
features of the named brand which must be met by offerors shall be 
clearly stated; and
    (ii) Identify all requirements which the offerors must fulfill and 
all other factors to be used in evaluating bids or proposals.

[[Page 496]]

    (4) Grantees and subgrantees will ensure that all prequalified lists 
of persons, firms, or products which are used in acquiring goods and 
services are current and include enough qualified sources to ensure 
maximum open and free competition. Also, grantees and subgrantees will 
not preclude potential bidders from qualifying during the solicitation 
period.
    (d) Methods of procurement to be followed--(1) Procurement by small 
purchase procedures. Small purchase procedures are those relatively 
simple and informal procurement methods for securing services, supplies, 
or other property that do not cost more than the simplified acquisition 
threshold fixed at 41 U.S.C. 403(11) (currently set at $100,000). If 
small purchase procedures are used, price or rate quotations shall be 
obtained from an adequate number of qualified sources.
    (2) Procurement by sealed bids (formal advertising). Bids are 
publicly solicited and a firm-fixed-price contract (lump sum or unit 
price) is awarded to the responsible bidder whose bid, conforming with 
all the material terms and conditions of the invitation for bids, is the 
lowest in price. The sealed bid method is the preferred method for 
procuring construction, if the conditions in Sec. 1207.36(d)(2)(i) 
apply.
    (i) In order for sealed bidding to be feasible, the following 
conditions should be present:
    (A) A complete, adequate, and realistic specification or purchase 
description is available;
    (B) Two or more responsible bidders are willing and able to compete 
effectively and for the business; and
    (C) The procurement lends itself to a firm fixed price contract and 
the selection of the successful bidder can be made principally on the 
basis of price.
    (ii) If sealed bids are used, the following requirements apply:
    (A) The invitation for bids will be publicly advertised and bids 
shall be solicited from an adequate number of known suppliers, providing 
them sufficient time prior to the date set for opening the bids;
    (B) The invitation for bids, which will include any specifications 
and pertinent attachments, shall define the items or services in order 
for the bidder to properly respond;
    (C) All bids will be publicly opened at the time and place 
prescribed in the invitation for bids;
    (D) A firm fixed-price contract award will be made in writing to the 
lowest responsive and responsible bidder. Where specified in bidding 
documents, factors such as discounts, transportation cost, and life 
cycle costs shall be considered in determining which bid is lowest. 
Payment discounts will only be used to determine the low bid when prior 
experience indicates that such discounts are usually taken advantage of; 
and
    (E) Any or all bids may be rejected if there is a sound documented 
reason.
    (3) Procurement by competitive proposals. The technique of 
competitive proposals is normally conducted with more than one source 
submitting an offer, and either a fixed-price or cost-reimbursement type 
contract is awarded. It is generally used when conditions are not 
appropriate for the use of sealed bids. If this method is used, the 
following requirements apply:
    (i) Requests for proposals will be publicized and identify all 
evaluation factors and their relative importance. Any response to 
publicized requests for proposals shall be honored to the maximum extent 
practical;
    (ii) Proposals will be solicited from an adequate number of 
qualified sources;
    (iii) Grantees and subgrantees will have a method for conducting 
technical evaluations of the proposals received and for selecting 
awardees;
    (iv) Awards will be made to the responsible firm whose proposal is 
most advantageous to the program, with price and other factors 
considered; and
    (v) Grantees and subgrantees may use competitive proposal procedures 
for qualifications-based procurement of architectural/engineering (A/E) 
professional services whereby competitors' qualifications are evaluated 
and the most qualified competitor is selected, subject to negotiation of 
fair and reasonable compensation. The method, where price is not used as 
a selection factor, can only be used in procurement of A/E professional 
services. It cannot be used to purchase other types

[[Page 497]]

of services though A/E firms are a potential source to perform the 
proposed effort.
    (4) Procurement by noncompetitive proposals is procurement through 
solicitation of a proposal from only one source, or after solicitation 
of a number of sources, competition is determined inadequate.
    (i) Procurement by noncompetitive proposals may be used only when 
the award of a contract is infeasible under small purchase procedures, 
sealed bids or competitive proposals and one of the following 
circumstances applies:
    (A) The item is available only from a single source;
    (B) The public exigency or emergency for the requirement will not 
permit a delay resulting from competitive solicitation;
    (C) The awarding agency authorizes noncompetitive proposals; or
    (D) After solicitation of a number of sources, competition is 
determined inadequate.
    (ii) Cost analysis, i.e., verifying the proposed cost data, the 
projections of the data, and the evaluation of the specific elements of 
costs and profits, is required.
    (iii) Grantees and subgrantees may be required to submit the 
proposed procurement to the awarding agency for pre-award review in 
accordance with paragraph (g) of this section.
    (e) Contracting with small and minority firms, women's business 
enterprise and labor surplus area firms. (1) The grantee and subgrantee 
will take all necessary affirmative steps to assure that minority firms, 
women's business enterprises, and labor surplus area firms are used when 
possible.
    (2) Affirmative steps shall include:
    (i) Placing qualified small and minority businesses and women's 
business enterprises on solicitation lists;
    (ii) Assuring that small and minority businesses, and women's 
business enterprises are solicited whenever they are potential sources;
    (iii) Dividing total requirements, when economically feasible, into 
smaller tasks or quantities to permit maximum participation by small and 
minority business, and women's business enterprises;
    (iv) Establishing delivery schedules, where the requirement permits, 
which encourage participation by small and minority business, and 
women's business enterprises;
    (v) Using the services and assistance of the Small Business 
Administration, and the Minority Business Development Agency of the 
Department of Commerce; and
    (vi) Requiring the prime contractor, if subcontracts are to be let, 
to take the affirmative steps listed in paragraphs (e)(2)(i) through (v) 
of this section.
    (f) Contract cost and price. (1) Grantees and subgrantees must 
perform a cost or price analysis in connection with every procurement 
action including contract modifications. The method and degree of 
analysis is dependent on the facts surrounding the particular 
procurement situation, but as a starting point, grantees must make 
independent estimates before receiving bids or proposals. A cost 
analysis must be performed when the offeror is required to submit the 
elements of his estimated cost, e.g., under professional, consulting, 
and architectural engineering services contracts. A cost analysis will 
be necessary when adequate price competition is lacking, and for sole 
source procurements, including contract modifications or change orders, 
unless price resonableness can be established on the basis of a catalog 
or market price of a commercial product sold in substantial quantities 
to the general public or based on prices set by law or regulation. A 
price analysis will be used in all other instances to determine the 
reasonableness of the proposed contract price.
    (2) Grantees and subgrantees will negotiate profit as a separate 
element of the price for each contract in which there is no price 
competition and in all cases where cost analysis is performed. To 
establish a fair and reasonable profit, consideration will be given to 
the complexity of the work to be performed, the risk borne by the 
contractor, the contractor's investment, the amount of subcontracting, 
the quality of its record of past performance, and industry profit rates 
in the surrounding geographical area for similar work.

[[Page 498]]

    (3) Costs or prices based on estimated costs for contracts under 
grants will be allowable only to the extent that costs incurred or cost 
estimates included in negotiated prices are consistent with Federal cost 
principles (see Sec. 1207.22). Grantees may reference their own cost 
principles that comply with the applicable Federal cost principles.
    (4) The cost plus a percentage of cost and percentage of 
construction cost methods of contracting shall not be used.
    (g) Awarding agency review. (1) Grantees and subgrantees must make 
available, upon request of the awarding agency, technical specifications 
on proposed procurements where the awarding agency believes such review 
is needed to ensure that the item and/or service specified is the one 
being proposed for purchase. This review generally will take place prior 
to the time the specification is incorporated into a solicitation 
document. However, if the grantee or subgrantee desires to have the 
review accomplished after a solicitation has been developed, the 
awarding agency may still review the specifications, with such review 
usually limited to the technical aspects of the proposed purchase.
    (2) Grantees and subgrantees must on request make available for 
awarding agency pre-award review procurement documents, such as requests 
for proposals or invitations for bids, independent cost estimates, etc. 
when:
    (i) A grantee's or subgrantee's procurement procedures or operation 
fails to comply with the procurement standards in this section; or
    (ii) The procurement is expected to exceed the simplified 
acquisition threshold and is to be awarded without competition or only 
one bid or offer is received in response to a solicitation; or
    (iii) The procurement, which is expected to exceed the simplified 
acquisition threshold, specifies a ``brand name'' product; or
    (iv) The proposed award is more than the simplified acquisition 
threshold and is to be awarded to other than the apparent low bidder 
under a sealed bid procurement; or
    (v) A proposed contract modification changes the scope of a contract 
or increases the contract amount by more than the simplified acquisition 
threshold.
    (3) A grantee or subgrantee will be exempt from the pre-award review 
in paragraph (g)(2) of this section if the awarding agency determines 
that its procurement systems comply with the standards of this section.
    (i) A grantee or subgrantee may request that its procurement system 
be reviewed by the awarding agency to determine whether its system meets 
these standards in order for its system to be certified. Generally, 
these reviews shall occur where there is a continuous high-dollar 
funding, and third-party contracts are awarded on a regular basis.
    (ii) A grantee or subgrantee may self-certify its procurement 
system. Such self-certification shall not limit the awarding agency's 
right to survey the system. Under a self-certification procedure, 
awarding agencies may wish to rely on written assurances from the 
grantee or subgrantee that it is complying with these standards. A 
grantee or subgrantee will cite specific procedures, regulations, 
standards, etc., as being in compliance with these requirements and have 
its system available for review.
    (h) Bonding requirements. For construction or facility improvement 
contracts or subcontracts exceeding the simplified acquisition 
threshold, the awarding agency may accept the bonding policy and 
requirements of the grantee or subgrantee provided the awarding agency 
has made a determination that the awarding agency's interest is 
adequately protected. If such a determination has not been made, the 
minimum requirements shall be as follows:
    (1) A bid guarantee from each bidder equivalent to five percent of 
the bid price. The ``bid guarantee'' shall consist of a firm commitment 
such as a bid bond, certified check, or other negotiable instrument 
accompanying a bid as assurance that the bidder will, upon acceptance of 
his bid, execute such contractual documents as may be required within 
the time specified.
    (2) A performance bond on the part of the contractor for 100 percent 
of the contract price. A ``performance bond'' is

[[Page 499]]

one executed in connection with a contract to secure fulfillment of all 
the contractor's obligations under such contract.
    (3) A payment bond on the part of the contractor for 100 percent of 
the contract price. A ``payment bond'' is one executed in connection 
with a contract to assure payment as required by law of all persons 
supplying labor and material in the execution of the work provided for 
in the contract.
    (i) Contract provisions. A grantee's and subgrantee's contracts must 
contain provisions in paragraph (i) of this section. Federal agencies 
are permitted to require changes, remedies, changed conditions, access 
and records retention, suspension of work, and other clauses approved by 
the Office of Federal Procurement Policy.
    (1) Administrative, contractual, or legal remedies in instances 
where contractors violate or breach contract terms, and provide for such 
sanctions and penalties as may be appropriate. (Contracts more than the 
simplified acquisition threshold)
    (2) Termination for cause and for convenience by the grantee or 
subgrantee including the manner by which it will be effected and the 
basis for settlement. (All contracts in excess of $10,000)
    (3) Compliance with Executive Order 11246 of September 24, 1965, 
entitled ``Equal Employment Opportunity,'' as amended by Executive Order 
11375 of October 13, 1967, and as supplemented in Department of Labor 
regulations (41 CFR chapter 60). (All construction contracts awarded in 
excess of $10,000 by grantees and their contractors or subgrantees)
    (4) Compliance with the Copeland ``Anti-Kickback'' Act (18 U.S.C. 
874) as supplemented in Department of Labor regulations (29 CFR Part 3). 
(All contracts and subgrants for construction or repair)
    (5) Compliance with the Davis-Bacon Act (40 U.S.C. 276a to 276a-7) 
as supplemented by Department of Labor regulations (29 CFR Part 5). 
(Construction contracts in excess of $2000 awarded by grantees and 
subgrantees when required by Federal grant program legislation)
    (6) Compliance with Sections 103 and 107 of the Contract Work Hours 
and Safety Standards Act (40 U.S.C. 327-330) as supplemented by 
Department of Labor regulations (29 CFR Part 5). (Construction contracts 
awarded by grantees and subgrantees in excess of $2000, and in excess of 
$2500 for other contracts which involve the employment of mechanics or 
laborers)
    (7) Notice of awarding agency requirements and regulations 
pertaining to reporting.
    (8) Notice of awarding agency requirements and regulations 
pertaining to patent rights with respect to any discovery or invention 
which arises or is developed in the course of or under such contract.
    (9) Awarding agency requirements and regulations pertaining to 
copyrights and rights in data.
    (10) Access by the grantee, the subgrantee, the Federal grantor 
agency, the Comptroller General of the United States, or any of their 
duly authorized representatives to any books, documents, papers, and 
records of the contractor which are directly pertinent to that specific 
contract for the purpose of making audit, examination, excerpts, and 
transcriptions.
    (11) Retention of all required records for three years after 
grantees or subgrantees make final payments and all other pending 
matters are closed.
    (12) Compliance with all applicable standards, orders, or 
requirements issued under section 306 of the Clean Air Act (42 U.S.C. 
1857(h)), section 508 of the Clean Water Act (33 U.S.C. 1368), Executive 
Order 11738, and Environmental Protection Agency regulations (40 CFR 
part 15). (Contracts, subcontracts, and subgrants of amounts in excess 
of $100,000)
    (13) Mandatory standards and policies relating to energy efficiency 
which are contained in the state energy conservation plan issued in 
compliance with the Energy Policy and Conservation Act (Pub. L. 94-163, 
89 Stat. 871).
[53 FR 8072, Mar. 11, 1988, as amended at 60 FR 19639, 19643, Apr. 19, 
1995]



Sec. 1207.37  Subgrants.

    (a) States. States shall follow state law and procedures when 
awarding and administering subgrants (whether on a

[[Page 500]]

cost reimbursement or fixed amount basis) of financial assistance to 
local and Indian tribal governments. States shall:
    (1) Ensure that every subgrant includes any clauses required by 
Federal statute and executive orders and their implementing regulations;
    (2) Ensure that subgrantees are aware of requirements imposed upon 
them by Federal statute and regulation;
    (3) Ensure that a provision for compliance with Sec. 1207.42 is 
placed in every cost reimbursement subgrant; and
    (4) Conform any advances of grant funds to subgrantees substantially 
to the same standards of timing and amount that apply to cash advances 
by Federal agencies.
    (b) All other grantees. All other grantees shall follow the 
provisions of this part which are applicable to awarding agencies when 
awarding and administering subgrants (whether on a cost reimbursement or 
fixed amount basis) of financial assistance to local and Indian tribal 
governments. Grantees shall:
    (1) Ensure that every subgrant includes a provision for compliance 
with this part;
    (2) Ensure that every subgrant includes any clauses required by 
Federal statute and executive orders and their implementing regulations; 
and
    (3) Ensure that subgrantees are aware of requirements imposed upon 
them by Federal statutes and regulations.
    (c) Exceptions. By their own terms, certain provisions of this part 
do not apply to the award and administration of subgrants:
    (1) Section 1207.10;
    (2) Section 1207.11;
    (3) The letter-of-credit procedures specified in Treasury 
Regulations at 31 CFR part 205, cited in Sec. 1207.21; and
    (4) Section 1207.50.

              Reports, Records, Retention, and Enforcement



Sec. 1207.40  Monitoring and reporting program performance.

    (a) Monitoring by grantees. Grantees are responsible for managing 
the day-to-day operations of grant and subgrant supported activities. 
Grantees must monitor grant and subgrant supported activities to assure 
compliance with applicable Federal requirements and that performance 
goals are being achieved. Grantee monitoring must cover each program, 
function or activity.
    (b) Nonconstruction performance reports. The Federal agency may, if 
it decides that performance information available from subsequent 
applications contains sufficient information to meet its programmatic 
needs, require the grantee to submit a performance report only upon 
expiration or termination of grant support. Unless waived by the Federal 
agency this report will be due on the same date as the final Financial 
Status Report.
    (1) Grantees shall submit annual performance reports unless the 
awarding agency requires quarterly or semi-annual reports. However, 
performance reports will not be required more frequently than quarterly. 
Annual reports shall be due 90 days after the grant year, quarterly or 
semi-annual reports shall be due 30 days after the reporting period. The 
final performance report will be due 90 days after the expiration or 
termination of grant support. If a justified request is submitted by a 
grantee, the Federal agency may extend the due date for any performance 
report. Additionally, requirements for unnecessary performance reports 
may be waived by the Federal agency.
    (2) Performance reports will contain, for each grant, brief 
information on the following:
    (i) A comparison of actual accomplishments to the objectives 
established for the period. Where the output of the project can be 
quantified, a computation of the cost per unit of output may be required 
if that information will be useful.
    (ii) The reasons for slippage if established objectives were not 
met.
    (iii) Additional pertinent information including, when appropriate, 
analysis and explanation of cost overruns or high unit costs.
    (3) Grantees will not be required to submit more than the original 
and two copies of performance reports.

[[Page 501]]

    (4) Grantees will adhere to the standards in this section in 
prescribing performance reporting requirements for subgrantees.
    (c) Construction performance reports. For the most part, on-site 
technical inspections and certified percentage-of-completion data are 
relied on heavily by Federal agencies to monitor progress under 
construction grants and subgrants. The Federal agency will require 
additional formal performance reports only when considered necessary, 
and never more frequently than quarterly.
    (d) Significant developments. Events may occur between the scheduled 
performance reporting dates which have significant impact upon the grant 
or subgrant supported activity. In such cases, the grantee must inform 
the Federal agency as soon as the following types of conditions become 
known:
    (1) Problems, delays, or adverse conditions which will materially 
impair the ability to meet the objective of the award. This disclosure 
must include a statement of the action taken, or contemplated, and any 
assistance needed to resolve the situation.
    (2) Favorable developments which enable meeting time schedules and 
objectives sooner or at less cost than anticipated or producing more 
beneficial results than originally planned.
    (e) Federal agencies may make site visits as warranted by program 
needs.
    (f) Waivers, extensions. (1) Federal agencies may waive any 
performance report required by this part if not needed.
    (2) The grantee may waive any performance report from a subgrantee 
when not needed. The grantee may extend the due date for any performance 
report from a subgrantee if the grantee will still be able to meet its 
performance reporting obligations to the Federal agency.



Sec. 1207.41  Financial reporting.

    (a) General. (1) Except as provided in paragraphs (a)(2) and (5) of 
this section, grantees will use only the forms specified in paragraphs 
(a) through (e) of this section, and such supplementary or other forms 
as may from time to time be authorized by OMB, for:
    (i) Submitting financial reports to Federal agencies, or
    (ii) Requesting advances or reimbursements when letters of credit 
are not used.
    (2) Grantees need not apply the forms prescribed in this section in 
dealing with their subgrantees. However, grantees shall not impose more 
burdensome requirements on subgrantees.
    (3) Grantees shall follow all applicable standard and supplemental 
Federal agency instructions approved by OMB to the extend required under 
the Paperwork Reduction Act of 1980 for use in connection with forms 
specified in paragraphs (b) through (e) of this section. Federal 
agencies may issue substantive supplementary instructions only with the 
approval of OMB. Federal agencies may shade out or instruct the grantee 
to disregard any line item that the Federal agency finds unnecessary for 
its decisionmaking purposes.
    (4) Grantees will not be required to submit more than the original 
and two copies of forms required under this part.
    (5) Federal agencies may provide computer outputs to grantees to 
expedite or contribute to the accuracy of reporting. Federal agencies 
may accept the required information from grantees in machine usable 
format or computer printouts instead of prescribed forms.
    (6) Federal agencies may waive any report required by this section 
if not needed.
    (7) Federal agencies may extend the due date of any financial report 
upon receiving a justified request from a grantee.
    (b) Financial Status Report--(1) Form. Grantees will use Standard 
Form 269 or 269A, Financial Status Report, to report the status of funds 
for all nonconstruction grants and for construction grants when required 
in accordance with Sec. 1207.41(e)(2)(iii).
    (2) Accounting basis. Each grantee will report program outlays and 
program income on a cash or accrual basis as prescribed by the awarding 
agency. If the Federal agency requires accrual information and the 
grantee's accounting records are not normally kept on the accural basis, 
the grantee shall not be

[[Page 502]]

required to convert its accounting system but shall develop such accrual 
information through and analysis of the documentation on hand.
    (3) Frequency. The Federal agency may prescribe the frequency of the 
report for each project or program. However, the report will not be 
required more frequently than quarterly. If the Federal agency does not 
specify the frequency of the report, it will be submitted annually. A 
final report will be required upon expiration or termination of grant 
support.
    (4) Due date. When reports are required on a quarterly or semiannual 
basis, they will be due 30 days after the reporting period. When 
required on an annual basis, they will be due 90 days after the grant 
year. Final reports will be due 90 days after the expiration or 
termination of grant support.
    (c) Federal Cash Transactions Report--(1) Form. (i) For grants paid 
by letter or credit, Treasury check advances or electronic transfer of 
funds, the grantee will submit the Standard Form 272, Federal Cash 
Transactions Report, and when necessary, its continuation sheet, 
Standard Form 272a, unless the terms of the award exempt the grantee 
from this requirement.
    (ii) These reports will be used by the Federal agency to monitor 
cash advanced to grantees and to obtain disbursement or outlay 
information for each grant from grantees. The format of the report may 
be adapted as appropriate when reporting is to be accomplished with the 
assistance of automatic data processing equipment provided that the 
information to be submitted is not changed in substance.
    (2) Forecasts of Federal cash requirements. Forecasts of Federal 
cash requirements may be required in the ``Remarks'' section of the 
report.
    (3) Cash in hands of subgrantees. When considered necessary and 
feasible by the Federal agency, grantees may be required to report the 
amount of cash advances in excess of three days' needs in the hands of 
their subgrantees or contractors and to provide short narrative 
explanations of actions taken by the grantee to reduce the excess 
balances.
    (4) Frequency and due date. Grantees must submit the report no later 
than 15 working days following the end of each quarter. However, where 
an advance either by letter of credit or electronic transfer of funds is 
authorized at an annualized rate of one million dollars or more, the 
Federal agency may require the report to be submitted within 15 working 
days following the end of each month.
    (d) Request for advance or reimbursement--(1) Advance payments. 
Requests for Treasury check advance payments will be submitted on 
Standard Form 270, Request for Advance or Reimbursement. (This form will 
not be used for drawdowns under a letter of credit, electronic funds 
transfer or when Treasury check advance payments are made to the grantee 
automatically on a predetermined basis.)
    (2) Reimbursements. Requests for reimbursement under nonconstruction 
grants will also be submitted on Standard Form 270. (For reimbursement 
requests under construction grants, see paragraph (e)(1) of this 
section.)
    (3) The frequency for submitting payment requests is treated in 
Sec. 1207.41(b)(3).
    (e) Outlay report and request for reimbursement for construction 
programs--(1) Grants that support construction activities paid by 
reimbursement method. (i) Requests for reimbursement under construction 
grants will be submitted on Standard Form 271, Outlay Report and Request 
for Reimbursement for Construction Programs. Federal agencies may, 
however, prescribe the Request for Advance or Reimbursement form, 
specified in Sec. 1207.41(d), instead of this form.
    (ii) The frequency for submitting reimbursement requests is treated 
in Sec. 1207.41(b)(3).
    (2) Grants that support construction activities paid by letter of 
credit, electronic funds transfer or Treasury check advance. (i) When a 
construction grant is paid by letter of credit, electronic funds 
transfer or Treasury check advances, the grantee will report its outlays 
to the Federal agency using Standard Form 271, Outlay Report and Request 
for Reimbursement for Construction Programs. The Federal agency will 
provide any necessary special instruction. However, frequency and

[[Page 503]]

due date shall be governed by Sec. 1207.41(b)(3) and (4).
    (ii) When a construction grant is paid by Treasury check advances 
based on periodic requests from the grantee, the advances will be 
requested on the form specified in Sec. 1207.41(d).
    (iii) The Federal agency may substitute the Financial Status Report 
specified in Sec. 1207.41(b) for the Outlay Report and Request for 
Reimbursement for Construction Programs.
    (3) Accounting basis. The accounting basis for the Outlay Report and 
Request for Reimbursement for Construction Programs shall be governed by 
Sec. 1207.41(b)(2).



Sec. 1207.42  Retention and access requirements for records.

    (a) Applicability. (1) This section applies to all financial and 
programmatic records, supporting documents, statistical records, and 
other records of grantees or subgrantees which are:
    (i) Required to be maintained by the terms of this part, program 
regulations or the grant agreement, or
    (ii) Otherwise reasonably considered as pertinent to program 
regulations or the grant agreement.
    (2) This section does not apply to records maintained by contractors 
or subcontractors. For a requirement to place a provision concerning 
records in certain kinds of contracts, see Sec. 1207.36(i)(10).
    (b) Length of retention period. (1) Except as otherwise provided, 
records must be retained for three years from the starting date 
specified in paragraph (c) of this section.
    (2) If any litigation, claim, negotiation, audit or other action 
involving the records has been started before the expiration of the 3-
year period, the records must be retained until completion of the action 
and resolution of all issues which arise from it, or until the end of 
the regular 3-year period, whichever is later.
    (3) To avoid duplicate recordkeeping, awarding agencies may make 
special arrangements with grantees and subgrantees to retain any records 
which are continuously needed for joint use. The awarding agency will 
request transfer of records to its custody when it determines that the 
records possess long-term retention value. When the records are 
transferred to or maintained by the Federal agency, the 3-year retention 
requirement is not applicable to the grantee or subgrantee.
    (c) Starting date of retention period--(1) General. When grant 
support is continued or renewed at annual or other intervals, the 
retention period for the records of each funding period starts on the 
day the grantee or subgrantee submits to the awarding agency its single 
or last expenditure report for that period. However, if grant support is 
continued or renewed quarterly, the retention period for each year's 
records starts on the day the grantee submits its expenditure report for 
the last quarter of the Federal fiscal year. In all other cases, the 
retention period starts on the day the grantee submits its final 
expenditure report. If an expenditure report has been waived, the 
retention period starts on the day the report would have been due.
    (2) Real property and equipment records. The retention period for 
real property and equipment records starts from the date of the 
disposition or replacement or transfer at the direction of the awarding 
agency.
    (3) Records for income transactions after grant or subgrant support. 
In some cases grantees must report income after the period of grant 
support. Where there is such a requirement, the retention period for the 
records pertaining to the earning of the income starts from the end of 
the grantee's fiscal year in which the income is earned.
    (4) Indirect cost rate proposals, cost allocations plans, etc. This 
paragraph applies to the following types of documents, and their 
supporting records: indirect cost rate computations or proposals, cost 
allocation plans, and any similar accounting computations of the rate at 
which a particular group of costs is chargeable (such as computer usage 
chargeback rates or composite fringe benefit rates).
    (i) If submitted for negotiation. If the proposal, plan, or other 
computation is required to be submitted to the Federal Government (or to 
the grantee) to form the basis for negotiation of the rate, then the 3-
year retention period for its supporting records starts from the date of 
such submission.

[[Page 504]]

    (ii) If not submitted for negotiation. If the proposal, plan, or 
other computation is not required to be submitted to the Federal 
Government (or to the grantee) for negotiation purposes, then the 3-year 
retention period for the proposal plan, or computation and its 
supporting records starts from end of the fiscal year (or other 
accounting period) covered by the proposal, plan, or other computation.
    (d) Substitution of microfilm. Copies made by microfilming, 
photocopying, or similar methods may be substituted for the original 
records.
    (e) Access to records--(1) Records of grantees and subgrantees. The 
awarding agency and the Comptroller General of the United States, or any 
of their authorized representatives, shall have the right of access to 
any pertinent books, documents, papers, or other records of grantees and 
subgrantees which are pertinent to the grant, in order to make audits, 
examinations, excerpts, and transcripts.
    (2) Expiration of right of access. The rights of access in this 
section must not be limited to the required retention period but shall 
last as long as the records are retained.
    (f) Restrictions on public access. The Federal Freedom of 
Information Act (5 U.S.C. 552) does not apply to records Unless required 
by Federal, State, or local law, grantees and subgrantees are not 
required to permit public access to their records.



Sec. 1207.43  Enforcement.

    (a) Remedies for noncompliance. If a grantee or subgrantee 
materially fails to comply with any term of an award, whether stated in 
a Federal statute or regulation, an assurance, in a State plan or 
application, a notice of award, or elsewhere, the awarding agency may 
take one or more of the following actions, as appropriate in the 
circumstances:
    (1) Temporarily withhold cash payments pending correction of the 
deficiency by the grantee or subgrantee or more severe enforcement 
action by the awarding agency,
    (2) Disallow (that is, deny both use of funds and matching credit 
for) all or part of the cost of the activity or action not in 
compliance,
    (3) Wholly or partly suspend or terminate the current award for the 
grantee's or subgrantee's program,
    (4) Withhold further awards for the program, or
    (5) Take other remedies that may be legally available.
    (b) Hearings, appeals. In taking an enforcement action, the awarding 
agency will provide the grantee or subgrantee an opportunity for such 
hearing, appeal, or other administrative proceeding to which the grantee 
or subgrantee is entitled under any statute or regulation applicable to 
the action involved.
    (c) Effects of suspension and termination. Costs of grantee or 
subgrantee resulting from obligations incurred by the grantee or 
subgrantee during a suspension or after termination of an award are not 
allowable unless the awarding agency expressly authorizes them in the 
notice of suspension or termination or subsequently. Other grantee or 
subgrantee costs during suspension or after termination which are 
necessary and not reasonably avoidable are allowable if:
    (1) The costs result from obligations which were properly incurred 
by the grantee or subgrantee before the effective date of suspension or 
termination, are not in anticipation of it, and, in the case of a 
termination, are noncancellable, and,
    (2) The costs would be allowable if the award were not suspended or 
expired normally at the end of the funding period in which the 
termination takes effect.
    (d) Relationship to debarment and suspension. The enforcement 
remedies identified in this section, including suspension and 
termination, do not preclude grantee or subgrantee from being subject to 
``Debarment and Suspension'' under E.O. 12549 (see Sec. 1207.35).



Sec. 1207.44  Termination for convenience.

    Except as provided in Sec. 1207.43 awards may be terminated in whole 
or in part only as follows:
    (a) By the awarding agency with the consent of the grantee or 
subgrantee in which case the two parties shall agree upon the 
termination conditions, including the effective date and in the case of 
partial termination, the portion to be terminated, or

[[Page 505]]

    (b) By the grantee or subgrantee upon written notification to the 
awarding agency, setting forth the reasons for such termination, the 
effective date, and in the case of partial termination, the portion to 
be terminated. However, if, in the case of a partial termination, the 
awarding agency determines that the remaining portion of the award will 
not accomplish the purposes for which the award was made, the awarding 
agency may terminate the award in its entirety under either Sec. 1207.43 
or paragraph (a) of this section.



                 Subpart D--After-The-Grant Requirements



Sec. 1207.50  Closeout.

    (a) General. The Federal agency will close out the award when it 
determines that all applicable administrative actions and all required 
work of the grant has been completed.
    (b) Reports. Within 90 days after the expiration or termination of 
the grant, the grantee must submit all financial, performance, and other 
reports required as a condition of the grant. Upon request by the 
grantee, Federal agencies may extend this timeframe. These may include 
but are not limited to:
    (1) Final performance or progress report.
    (2) Financial Status Report (SF 269) or Outlay Report and Request 
for Reimbursement for Construction Programs (SF-271) (as applicable).
    (3) Final request for payment (SF-270) (if applicable).
    (4) Invention disclosure (if applicable).
    (5) Federally-owned property report:

In accordance with Sec. 1207.32(f), a grantee must submit an inventory 
of all federally owned property (as distinct from property acquired with 
grant funds) for which it is accountable and request disposition 
instructions from the Federal agency of property no longer needed.
    (c) Cost adjustment. The Federal agency will, within 90 days after 
receipt of reports in paragraph (b) of this section, make upward or 
downward adjustments to the allowable costs.
    (d) Cash adjustments. (1) The Federal agency will make prompt 
payment to the grantee for allowable reimbursable costs.
    (2) The grantee must immediately refund to the Federal agency any 
balance of unobligated (unencumbered) cash advanced that is not 
authorized to be retained for use on other grants.



Sec. 1207.51  Later disallowances and adjustments.

    The closeout of a grant does not affect:
    (a) The Federal agency's right to disallow costs and recover funds 
on the basis of a later audit or other review;
    (b) The grantee's obligation to return any funds due as a result of 
later refunds, corrections, or other transactions;
    (c) Records retention as required in Sec. 1207.42;
    (d) Property management requirements in Secs. 1207.31 and 1207.32; 
and
    (e) Audit requirements in Sec. 1207.26.



Sec. 1207.52  Collection of amounts due.

    (a) Any funds paid to a grantee in excess of the amount to which the 
grantee is finally determined to be entitled under the terms of the 
award constitute a debt to the Federal Government. If not paid within a 
reasonable period after demand, the Federal agency may reduce the debt 
by:
    (1) Making an adminstrative offset against other requests for 
reimbursements,
    (2) Withholding advance payments otherwise due to the grantee, or
    (3) Other action permitted by law.
    (b) Except where otherwise provided by statutes or regulations, the 
Federal agency will charge interest on an overdue debt in accordance 
with the Federal Claims Collection Standards (4 CFR chapter II). The 
date from which interest is computed is not extended by litigation or 
the filing of any form of appeal.

[[Page 506]]



                    Subpart E--Entitlement [Reserved]



PART 1208--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE NATIONAL ARCHIVES AND RECORDS ADMINISTRATION--Table of Contents




Sec.
1208.101  Purpose.
1208.102  Application.
1208.103  Definitions.
1208.104--1208.109  [Reserved]
1208.110  Self-evaluation.
1208.111  Notice.
1208.112--1208.129  [Reserved]
1208.130  General prohibitions against discrimination.
1208.131--1208.139  [Reserved]
1208.140  Employment.
1208.141--1208.148  [Reserved]
1208.149  Program accessibility: Discrimination prohibited.
1208.150  Program accessibility: Existing facilities.
1208.151  Program accessibility: New construction and alterations.
1208.152--1208.159  [Reserved]
1208.160  Communications.
1208.161--1208.169  [Reserved]
1208.170  Compliance procedures.
1208.171--1208.999  [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 53 FR 25884, 25885, July 8, 1988, unless otherwise noted.



Sec. 1208.101  Purpose.

    The purpose of this regulation is to effectuate section 119 of the 
Rehabilitation, Comprehensive Services, and Developmental Disabilities 
Amendments of 1978, which amended section 504 of the Rehabilitation Act 
of 1973 to prohibit discrimination on the basis of handicap in programs 
or activities conducted by Executive agencies or the United States 
Postal Service.



Sec. 1208.102  Application.

    This regulation (Secs. 1208.101-1208.170) applies to all programs or 
activities conducted by the agency, except for programs or activities 
conducted outside the United States that do not involve individuals with 
handicaps in the United States.



Sec. 1208.103  Definitions.

    For purposes of this regulation, the term--
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, Brailled materials, 
audio recordings, and other similar services and devices. Auxiliary aids 
useful for persons with impaired hearing include telephone handset 
amplifiers, telephones compatible with hearing aids, telecommunication 
devices for deaf persons (TDD's), interpreters, notetakers, written 
materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Historic preservation programs means programs conducted by the 
agency that have preservation of historic properties as a primary 
purpose.
    Historic properties means those properties that are listed or 
eligible for listing in the National Register of Historic Places or 
properties designated as historic under a statute of the appropriate 
State or local government body.
    Individual with handicaps means any person who has a physical or 
mental impairment that substantially limits one or more major life 
activities, has a record of such an impairment, or is regarded as having 
such an impairment.

[[Page 507]]

    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, and drug addiction and 
alcoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in paragraph (i) of this 
definition but is treated by the agency as having such an impairment.
    Qualified individual with handicaps means--
    (1) With respect to preschool, elementary, or secondary education 
services provided by the agency, an individual with handicaps who is a 
member of a class of persons otherwise entitled by statute, regulation, 
or agency policy to receive education services from the agency;
    (2) With respect to any other agency program or activity under which 
a person is required to perform services or to achieve a level of 
accomplishment, an individual with handicaps who meets the essential 
eligibility requirements and who can achieve the purpose of the program 
or activity without modifications in the program or activity that the 
agency can demonstrate would result in a fundamental alteration in its 
nature;
    (3) With respect to any other program or activity, an individual 
with handicaps who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity; 
and
    (4) Qualified handicapped person as that term is defined for 
purposes of employment in 29 CFR 1613.702(f), which is made applicable 
to this regulation by Sec. 1208.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617); 
the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955); and the 
Rehabilitation Act Amendments of 1986 (Pub. L. 99-506, 100 Stat. 1810). 
As used in this regulation, section 504 applies only to programs or 
activities conducted by Executive agencies and not to federally assisted 
programs.
    Substantial impairment means a significant loss of the integrity of 
finished materials, design quality, or special character resulting from 
a permanent alteration.



Secs. 1208.104--1208.109  [Reserved]



Sec. 1208.110  Self-evaluation.

    (a) The agency shall, by September 6, 1989, evaluate its current 
policies and practices, and the effects thereof, that do not or may not 
meet the requirements of this regulation and, to the extent modification 
of any such policies and practices is required, the agency shall proceed 
to make the necessary modifications.

[[Page 508]]

    (b) The agency shall provide an opportunity to interested persons, 
including individuals with handicaps or organizations representing 
individuals with handicaps, to participate in the self-evaluation 
process by submitting comments (both oral and written).
    (c) The agency shall, for at least three years following completion 
of the self-evaluation, maintain on file and make available for public 
inspection:
    (1) A description of areas examined and any problems identified; and
    (2) A description of any modifications made.



Sec. 1208.111  Notice.

    The agency shall make available to employees, applicants, 
participants, beneficiaries, and other interested persons such 
information regarding the provisions of this regulation and its 
applicability to the programs or activities conducted by the agency, and 
make such information available to them in such manner as the head of 
the agency finds necessary to apprise such persons of the protections 
against discrimination assured them by section 504 and this regulation.



Secs. 1208.112--1208.129  [Reserved]



Sec. 1208.130  General prohibitions against discrimination.

    (a) No qualified individual with handicaps shall, on the basis of 
handicap, be excluded from participation in, be denied the benefits of, 
or otherwise be subjected to discrimination under any program or 
activity conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--
    (i) Deny a qualified individual with handicaps the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified individual with handicaps an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified individual with handicaps with an aid, 
benefit, or service that is not as effective in affording equal 
opportunity to obtain the same result, to gain the same benefit, or to 
reach the same level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
individuals with handicaps or to any class of individuals with handicaps 
than is provided to others unless such action is necessary to provide 
qualified individuals with handicaps with aid, benefits, or services 
that are as effective as those provided to others;
    (v) Deny a qualified individual with handicaps the opportunity to 
participate as a member of planning or advisory boards;
    (vi) Otherwise limit a qualified individual with handicaps in the 
enjoyment of any right, privilege, advantage, or opportunity enjoyed by 
others receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified individual with handicaps 
the opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified individuals with handicaps to discrimination 
on the basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to individuals with handicaps.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude individuals with handicaps from, deny them the benefits 
of, or otherwise subject them to discrimination under any program or 
activity conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to individuals with 
handicaps.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified individuals with handicaps to 
discrimination on the basis of handicap.

[[Page 509]]

    (6) The agency may not administer a licensing or certification 
program in a manner that subjects qualified individuals with handicaps 
to discrimination on the basis of handicap, nor may the agency establish 
requirements for the programs or activities of licensees or certified 
entities that subject qualified individuals with handicaps to 
discrimination on the basis of handicap. However, the programs or 
activities of entities that are licensed or certified by the agency are 
not, themselves, covered by this regulation.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to individuals 
with handicaps or the exclusion of a specific class of individuals with 
handicaps from a program limited by Federal statute or Executive order 
to a different class of individuals with handicaps is not prohibited by 
this regulation.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified individuals 
with handicaps.



Secs. 1208.131--1208.139  [Reserved]



Sec. 1208.140  Employment.

    No qualified individual with handicaps shall, on the basis of 
handicap, be subject to discrimination in employment under any program 
or activity conducted by the agency. The definitions, requirements, and 
procedures of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 
791), as established by the Equal Employment Opportunity Commission in 
29 CFR part 1613, shall apply to employment in federally conducted 
programs or activities.



Sec. 1208.141--1208.148  [Reserved]



Sec. 1208.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec. 1208.150, no qualified 
individual with handicaps shall, because the agency's facilities are 
inaccessible to or unusable by individuals with handicaps, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec. 1208.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by individuals with handicaps. This paragraph 
does not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by individuals with handicaps;
    (2) In the case of historic preservation programs, require the 
agency to take any action that would result in a substantial impairment 
of significant historic features of an historic property; or
    (3) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec. 1208.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that would not result in 
such an alteration or such burdens but would nevertheless ensure that 
individuals with handicaps receive the benefits and services of the 
program or activity.
    (b) Methods--(1) General. The agency may comply with the 
requirements of this section through such means as redesign of 
equipment, reassignment of services to accessible buildings, assignment 
of aides to beneficiaries, home visits, delivery of services at 
alternate accessible sites, alteration of existing facilities and 
construction of new facilities, use of accessible rolling stock,

[[Page 510]]

or any other methods that result in making its programs or activities 
readily accessible to and usable by individuals with handicaps. The 
agency is not required to make structural changes in existing facilities 
where other methods are effective in achieving compliance with this 
section. The agency, in making alterations to existing buildings, shall 
meet accessibility requirements to the extent compelled by the 
Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), 
and any regulations implementing it. In choosing among available methods 
for meeting the requirements of this section, the agency shall give 
priority to those methods that offer programs and activities to 
qualified individuals with handicaps in the most integrated setting 
appropriate.
    (2) Historic preservation programs. In meeting the requirements of 
Sec. 1208.150(a) in historic preservation programs, the agency shall 
give priority to methods that provide physical access to individuals 
with handicaps. In cases where a physical alteration to an historic 
property is not required because of Sec. 1208.150(a)(2) or (3), 
alternative methods of achieving program accessibility include--
    (i) Using audio-visual materials and devices to depict those 
portions of an historic property that cannot otherwise be made 
accessible;
    (ii) Assigning persons to guide individuals with handicaps into or 
through portions of historic properties that cannot otherwise be made 
accessible; or
    (iii) Adopting other innovative methods.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by November 7, 1988, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by September 6, 1991, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by March 6, 1989, a transition plan setting forth 
the steps necessary to complete such changes. The agency shall provide 
an opportunity to interested persons, including individuals with 
handicaps or organizations representing individuals with handicaps, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to individuals 
with handicaps;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.



Sec. 1208.151  Program accessibility: New construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of the agency shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
individuals with handicaps. The definitions, requirements, and standards 
of the Architectural Barriers Act (42 U.S.C. 4151-4157), as established 
in 41 CFR 101-19.600 to 101-19.607, apply to buildings covered by this 
section.



Secs. 1208.152--1208.159  [Reserved]



Sec. 1208.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford an individual with handicaps an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall

[[Page 511]]

give primary consideration to the requests of the individual with 
handicaps.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf persons (TDD's) or 
equally effective telecommunication systems shall be used to communicate 
with persons with impaired hearing.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec. 1208.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the agency head or 
his or her designee after considering all agency resources available for 
use in the funding and operation of the conducted program or activity 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, individuals with handicaps receive the benefits and 
services of the program or activity.



Secs. 1208.161--1208.169  [Reserved]



Sec. 1208.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs and activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The Assistant Archivist for Management and Administration shall 
be responsible for coordinating implementation of this section. 
Compliants may be sent to National Archives and Records Administration 
(NA), Washington, DC 20408.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate Government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), is not readily accessible to 
and usable by individuals with handicaps.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.

[[Page 512]]

    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec. 1208.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.
[53 FR 25884, 25885, July 8, 1988, as amended at 53 FR 25884, July 8, 
1988]



Secs. 1208.171--1208.999  [Reserved]



PART 1209--GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) AND GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE WORKPLACE (GRANTS)--Table of Contents




                           Subpart A--General

Sec.
1209.100  Purpose.
1209.105  Definitions.
1209.110  Coverage.
1209.115  Policy.

                       Subpart B--Effect of Action

1209.200  Debarment or suspension.
1209.205  Ineligible persons.
1209.210  Voluntary exclusion.
1209.215  Exception provision.
1209.220  Continuation of covered transactions.
1209.225  Failure to adhere to restrictions.

                          Subpart C--Debarment

1209.300  General.
1209.305  Causes for debarment.
1209.310  Procedures.
1209.311  Investigation and referral.
1209.312  Notice of proposed debarment.
1209.313  Opportunity to contest proposed debarment.
1209.314  Debarring official's decision.
1209.315  Settlement and voluntary exclusion.
1209.320  Period of debarment.
1209.325  Scope of debarment.

                          Subpart D--Suspension

1209.400  General.
1209.405  Causes for suspension.
1209.410  Procedures.
1209.411  Notice of suspension.
1209.412  Opportunity to contest suspension.
1209.413  Suspending official's decision.
1209.415  Period of suspension.
1209.420  Scope of suspension.

       Subpart E--Responsibilities of GSA, Agency and Participants

1209.500  GSA responsibilities.
1209.505  NARA responsibilities.
1209.510  Participant's responsibilities.

          Subpart F--Drug-Free Workplace Requirements (Grants)

1209.600  Purpose.
1209.605  Definitions.
1209.610  Coverage.
1209.615  Grounds for suspension of payments, suspension or termination 
          of grants, or suspension or debarment.
1209.620  Effect of violation.
1209.625  Exception provision.
1209.630  Certification requirements and procedures.
1209.635  Reporting of and employee sanctions for convictions of 
          criminal drug offenses.


Appendix A to Part 1209--Certification Regarding Debarment, Suspension, 
          and Other Responsibility Matters--Primary Covered Transactions
Appendix B to Part 1209--Certification Regarding Debarment, Suspension, 
          Ineligibility and Voluntary Exclusion--Lower Tier Covered 
          Transactions
Appendix C to Part 1209--Certification Regarding Drug-Free Workplace 
          Requirements

    Authority: E.O. 12549; sec. 5151-5160 of the Drug-Free Workplace Act 
of 1988 (Pub. L. 100-690, title V, subtitle D; 41 U.S.C. 701 et seq.); 
44 U.S.C. 2104(a).

    Source: 53 FR 19193, 19194, 19204, May 26, 1988, unless otherwise 
noted.


[[Page 513]]



    Cross Reference: See also Office of Management and Budget notice 
published at 55 FR 21679, May 25, 1990, and 60 FR 33036, June 26, 1995.



                           Subpart A--General



Sec. 1209.100  Purpose.

    (a) Executive Order (E.O.) 12549 provides that, to the extent 
permitted by law, Executive departments and agencies shall participate 
in a governmentwide system for nonprocurement debarment and suspension. 
A person who is debarred or suspended shall be excluded from Federal 
financial and nonfinancial assistance and benefits under Federal 
programs and activities. Debarment or suspension of a participant in a 
program by one agency shall have governmentwide effect.
    (b) These regulations implement section 3 of E.O. 12549 and the 
guidelines promulgated by the Office of Management and Budget under 
section 6 of the E.O. by:
    (1) Prescribing the programs and activities that are covered by the 
governmentwide system;
    (2) Prescribing the governmentwide criteria and governmentwide 
minimum due process procedures that each agency shall use;
    (3) Providing for the listing of debarred and suspended 
participants, participants declared ineligible (see definition of 
``ineligible'' in Sec. 1209.105), and participants who have voluntarily 
excluded themselves from participation in covered transactions;
    (4) Setting forth the consequences of a debarment, suspension, 
determination of ineligibility, or voluntary exclusion; and
    (5) Offering such other guidance as necessary for the effective 
implementation and administration of the governmentwide system.
    (c) These regulations also implement Executive Order 12689 (3 CFR, 
1989 Comp., p. 235) and 31 U.S.C. 6101 note (Public Law 103-355, sec. 
2455, 108 Stat. 3327) by--
    (1) Providing for the inclusion in the List of Parties Excluded from 
Federal Procurement and Nonprocurement Programs all persons proposed for 
debarment, debarred or suspended under the Federal Acquisition 
Regulation, 48 CFR Part 9, subpart 9.4; persons against which 
governmentwide exclusions have been entered under this part; and persons 
determined to be ineligible; and
    (2) Setting forth the consequences of a debarment, suspension, 
determination of ineligibility, or voluntary exclusion.
    (d) Although these regulations cover the listing of ineligible 
participants and the effect of such listing, they do not prescribe 
policies and procedures governing declarations of ineligibility.
[60 FR 33040, 33058, June 26, 1995]



Sec. 1209.105  Definitions.

    The following definitions apply to this part:
    Adequate evidence. Information sufficient to support the reasonable 
belief that a particular act or omission has occurred.
    Affiliate. Persons are affiliates of each other if, directly or 
indirectly, either one controls or has the power to control the other, 
or, a third person controls or has the power to control both. Indicia of 
control include, but are not limited to: interlocking management or 
ownership, identity of interests among family members, shared facilities 
and equipment, common use of employees, or a business entity organized 
following the suspension or debarment of a person which has the same or 
similar management, ownership, or principal employees as the suspended, 
debarred, ineligible, or voluntarily excluded person.
    Agency. Any executive department, military department or defense 
agency or other agency of the executive branch, excluding the 
independent regulatory agencies.
    Civil judgment. The disposition of a civil action by any court of 
competent jurisdiction, whether entered by verdict, decision, 
settlement, stipulation, or otherwise creating a civil liability for the 
wrongful acts complained of; or a final determination of liability under 
the Program Fraud Civil Remedies Act of 1988 (31 U.S.C. 3801-3812).
    Conviction. A judgment or conviction of a criminal offense by any 
court of competent jurisdiction, whether entered upon a verdict or a 
plea, including a plea of nolo contendere.

[[Page 514]]

    Debarment. An action taken by a debarring official in accordance 
with these regulations to exclude a person from participating in covered 
transactions. A person so excluded is ``debarred.''
    Debarring official. An official authorized to impose debarment. The 
debarring official is either:
    (1) The agency head, or
    (2) An official designated by the agency head.
    Indictment. Indictment for a criminal offense. An information or 
other filing by competent authority charging a criminal offense shall be 
given the same effect as an indictment.
    Ineligible. Excluded from participation in Federal nonprocurement 
programs pursuant to a determination of ineligibility under statutory, 
executive order, or regulatory authority, other than Executive Order 
12549 and its agency implementing regulations; for exemple, excluded 
pursuant to the Davis-Bacon Act and its implementing regulations, the 
equal employment opportunity acts and executive orders, or the 
environmental protection acts and executive orders. A person is 
ineligible where the determination of ineligibility affects such 
person's eligibility to participate in more than one covered 
transaction.
    Legal proceedings. Any criminal proceeding or any civil judicial 
proceeding to which the Federal Government or a State or local 
government or quasi-governmental authority is a party. The term includes 
appeals from such proceedings.
    List of Parties Excluded from Federal Procurement and Nonprocurement 
Programs. A list compiled, maintained and distributed by the General 
Services Administration (GSA) containing the names and other information 
about persons who have been debarred, suspended, or voluntarily excluded 
under Executive Orders 12549 and 12689 and these regulations or 48 CFR 
part 9, subpart 9.4, persons who have been proposed for debarment under 
48 CFR part 9, subpart 9.4, and those persons who have been determined 
to be ineligible.
    Notice. A written communication served in person or sent by 
certified mail, return receipt requested, or its equivalent, to the last 
known address of a party, its identified counsel, its agent for service 
of process, or any partner, officer, director, owner, or joint venturer 
of the party. Notice, if undeliverable, shall be considered to have been 
received by the addressee five days after being properly sent to the 
last address known by the agency.
    Participant. Any person who submits a proposal for, enters into, or 
reasonably may be expected to enter into a covered transaction. This 
term also includes any person who acts on behalf of or is authorized to 
commit a participant in a covered transaction as an agent or 
representative of another participant.
    Person. Any individual, corporation, partnership, association, unit 
of government or legal entity, however organized, except: foreign 
governments or foreign governmental entities, public international 
organizations, foreign government owned (in whole or in part) or 
controlled entities, and entities consisting wholly or partially of 
foreign governments or foreign governmental entities.
    Preponderance of the evidence. Proof by information that, compared 
with that opposing it, leads to the conclusion that the fact at issue is 
more probably true than not.
    Principal. Officer, director, owner, partner, key employee, or other 
person within a participant with primary management or supervisory 
responsibilities; or a person who has a critical influence on or 
substantive control over a covered transaction, whether or not employed 
by the participant. Persons who have a critical influence on or 
substantive control over a covered transaction are:
    (1) Principal investigators.
    Proposal. A solicited or unsolicited bid, application, request, 
invitation to consider or similar communication by or on behalf of a 
person seeking to participate or to receive a benefit, directly or 
indirectly, in or under a covered transaction.
    Respondent. A person against whom a debarment or suspension action 
has been initiated.
    State. Any of the States of the United States, the District of 
Columbia, the Commonwealth of Puerto Rico, any territory or possession 
of the United

[[Page 515]]

States, or any agency of a State, exclusive of institutions of higher 
education, hospitals, and units of local government. A State 
instrumentality will be considered part of the State government if it 
has a written determination from a State government that such State 
considers that instrumentality to be an agency of the State government.
    Suspending official. An official authorized to impose suspension. 
The suspending official is either:
    (1) The agency head, or
    (2) An official designated by the agency head.
    Suspension. An action taken by a suspending official in accordance 
with these regulations that immediately excludes a person from 
participating in covered transactions for a temporary period, pending 
completion of an investigation and such legal, debarment, or Program 
Fraud Civil Remedies Act proceedings as may ensue. A person so excluded 
is ``suspended.''
    Voluntary exclusion or voluntarily excluded. A status of 
nonparticipation or limited participation in covered transactions 
assumed by a person pursuant to the terms of a settlement.
    NARA. National Archives and Records Administration.
[53 FR 19193, 19194, 19204, May 26, 1988, as amended at 60 FR 33040, 
33058, June 26, 1995]



Sec. 1209.110  Coverage.

    (a) These regulations apply to all persons who have participated, 
are currently participating or may reasonably be expected to participate 
in transactions under Federal nonprocurement programs. For purposes of 
these regulations such transactions will be referred to as ``covered 
transactions.''
    (1) Covered transaction. For purposes of these regulations, a 
covered transaction is a primary covered transaction or a lower tier 
covered transaction. Covered transactions at any tier need not involve 
the transfer of Federal funds.
    (i) Primary covered transaction. Except as noted in paragraph (a)(2) 
of this section, a primary covered transaction is any nonprocurement 
transaction between an agency and a person, regardless of type, 
including: grants, cooperative agreements, scholarships, fellowships, 
contracts of assistance, loans, loan guarantees, subsidies, insurance, 
payments for specified use, donation agreements and any other 
nonprocurement transactions between a Federal agency and a person. 
Primary covered transactions also include those transactions specially 
designated by the U.S. Department of Housing and Urban Development in 
such agency's regulations governing debarment and suspension.
    (ii) Lower tier covered transaction. A lower tier covered 
transaction is:
    (A) Any transaction between a participant and a person other than a 
procurement contract for goods or services, regardless of type, under a 
primary covered transaction.
    (B) Any procurement contract for goods or services between a 
participant and a person, regardless of type, expected to equal or 
exceed the Federal procurement small purchase threshold fixed at 10 
U.S.C. 2304(g) and 41 U.S.C. 253(g) (currently $25,000) under a primary 
covered transaction.
    (C) Any procurement contract for goods or services between a 
participant and a person under a covered transaction, regardless of 
amount, under which that person will have a critical influence on or 
substantive control over that covered transaction. Such persons are:
    (1) Principal investigators.
    (2) Providers of federally-required audit services.
    (2) Exceptions. The following transactions are not covered:
    (i) Statutory entitlements or mandatory awards (but not subtier 
awards thereunder which are not themselves mandatory), including 
deposited funds insured by the Federal Government;
    (ii) Direct awards to foreign governments or public international 
organizations, or transactions with foreign governments or foreign 
governmental entities, public international organizations, foreign 
government owned (in whole or in part) or controlled entities, entities 
consisting wholly or partially of foreign governments or foreign 
governmental entities;
    (iii) Benefits to an individual as a personal entitlement without 
regard to the individual's present responsibility

[[Page 516]]

(but benefits received in an individual's business capacity are not 
excepted);
    (iv) Federal employment;
    (v) Transactions pursuant to national or agency-recognized 
emergencies or disasters;
    (vi) Incidental benefits derived from ordinary governmental 
operations; and
    (vii) Other transactions where the application of these regulations 
would be prohibited by law.
    (b) Relationship to other sections. This section describes the types 
of transactions to which a debarment or suspension under the regulations 
will apply. Subpart B, ``Effect of Action,'' Sec. 1209.200, ``Debarment 
or suspension,'' sets forth the consequences of a debarment or 
suspension. Those consequences would obtain only with respect to 
participants and principals in the covered transactions and activities 
described in Sec. 1209.110(a). Sections 1209.325, ``Scope of 
debarment,'' and 1209.420, ``Scope of suspension,'' govern the extent to 
which a specific participant or organizational elements of a participant 
would be automatically included within a debarment or suspension action, 
and the conditions under which affiliates or persons associated with a 
participant may also be brought within the scope of the action.
    (c) Relationship to Federal procurement activities. In accordance 
with E.O. 12689 and section 2455 of Public Law 103-355, any debarment, 
suspension, proposed debarment or other governmentwide exclusion 
initiated under the Federal Acquisition Regulation (FAR) on or after 
August 25, 1995 shall be recognized by and effective for Executive 
Branch agencies and participants as an exclusion under this regulation. 
Similarly, any debarment, suspension or other governmentwide exclusion 
initiated under this regulation on or after August 25, 1995 shall be 
recognized by and effective for those agencies as a debarment or 
suspension under the FAR.
[53 FR 19193, 19194, 19204, May 26, 1988, as amended at 60 FR 33041, 
33058, June 26, 1995]



Sec. 1209.115  Policy.

    (a) In order to protect the public interest, it is the policy of the 
Federal Government to conduct business only with responsible persons. 
Debarment and suspension are discretionary actions that, taken in 
accordance with Executive Order 12549 and these regulations, are 
appropriate means to implement this policy.
    (b) Debarment and suspension are serious actions which shall be used 
only in the public interest and for the Federal Government's protection 
and not for purposes of punishment. Agencies may impose debarment or 
suspension for the causes and in accordance with the procedures set 
forth in these regulations.
    (c) When more than one agency has an interest in the proposed 
debarment or suspension of a person, consideration shall be given to 
designating one agency as the lead agency for making the decision. 
Agencies are encouraged to establish methods and procedures for 
coordinating their debarment or suspension actions.



                       Subpart B--Effect of Action



Sec. 1209.200  Debarment or suspension.

    (a) Primary covered transactions. Except to the extent prohibited by 
law, persons who are debarred or suspended shall be excluded from 
primary covered transactions as either participants or principals 
throughout the Executive Branch of the Federal Government for the period 
of their debarment, suspension, or the period they are proposed for 
debarment under 48 CFR part 9, subpart 9.4. Accordingly, no agency shall 
enter into primary covered transactions with such excluded persons 
during such period, except as permitted pursuant to Sec. 1209.215.
    (b) Lower tier covered transactions. Except to the extent prohibited 
by law, persons who have been proposed for debarment under 48 CFR part 
9, subpart 9.4, debarred or suspended shall be excluded from 
participating as either participants or principals in all lower tier 
covered transactions (see Sec. 1209.110(a)(1)(ii)) for the period of 
their exclusion.
    (c) Exceptions. Debarment or suspension does not affect a person's 
eligibility for--
    (1) Statutory entitlements or mandatory awards (but not subtier 
awards thereunder which are not themselves mandatory), including 
deposited funds insured by the Federal Government;

[[Page 517]]

    (2) Direct awards to foreign governments or public international 
organizations, or transactions with foreign governments or foreign 
governmental entities, public international organizations, foreign 
government owned (in whole or in part) or controlled entities, and 
entities consisting wholly or partially of foreign governments or 
foreign governmental entities;
    (3) Benefits to an individual as a personal entitlement without 
regard to the individual's present responsibility (but benefits received 
in an individual's business capacity are not excepted);
    (4) Federal employment;
    (5) Transactions pursuant to national or agency-recognized 
emergencies or disasters;
    (6) Incidental benefits derived from ordinary governmental 
operations; and
    (7) Other transactions where the application of these regulations 
would be prohibited by law.
[60 FR 33041, 33058, June 26, 1995]



Sec. 1209.205  Ineligible persons.

    Persons who are ineligible, as defined in Sec. 1209.105(i), are 
excluded in accordance with the applicable statutory, executive order, 
or regulatory authority.



Sec. 1209.210  Voluntary exclusion.

    Persons who accept voluntary exclusions under Sec. 1209.315 are 
excluded in accordance with the terms of their settlements. NARA shall, 
and participants may, contact the original action agency to ascertain 
the extent of the exclusion.



Sec. 1209.215  Exception provision.

    NARA may grant an exception permitting a debarred, suspended, or 
voluntarily excluded person, or a person proposed for debarment under 48 
CFR part 9, subpart 9.4, to participate in a particular covered 
transaction upon a written determination by the agency head or an 
authorized designee stating the reason(s) for deviating from the 
Presidential policy established by Executive Order 12549 and 
Sec. 1209.200. However, in accordance with the President's stated 
intention in the Executive Order, exceptions shall be granted only 
infrequently. Exceptions shall be reported in accordance with 
Sec. 1209.505(a).
[60 FR 33041, 33058, June 26, 1995]



Sec. 1209.220  Continuation of covered transactions.

    (a) Notwithstanding the debarment, suspension, proposed debarment 
under 48 CFR part 9, subpart 9.4, determination of ineligibility, or 
voluntary exclusion of any person by an agency, agencies and 
participants may continue covered transactions in existence at the time 
the person was debarred, suspended, proposed for debarment under 48 CFR 
part 9, subpart 9.4, declared ineligible, or voluntarily excluded. A 
decision as to the type of termination action, if any, to be taken 
should be made only after thorough review to ensure the propriety of the 
proposed action.
    (b) Agencies and participants shall not renew or extend covered 
transactions (other than no-cost time extensions) with any person who is 
debarred, suspended, proposed for debarment under 48 CFR part 9, subpart 
9.4, ineligible or voluntary excluded, except as provided in 
Sec. 1209.215.
[60 FR 33041, 33058, June 26, 1995]



Sec. 1209.225  Failure to adhere to restrictions.

    (a) Except as permitted under Sec. 1209.215 or Sec. 1209.220, a 
participant shall not knowingly do business under a covered transaction 
with a person who is--
    (1) Debarred or suspended;
    (2) Proposed for debarment under 48 CFR part 9, subpart 9.4; or
    (3) Ineligible for or voluntarily excluded from the covered 
transaction.
    (b) Violation of the restriction under paragraph (a) of this section 
may result in disallowance of costs, annulment or termination of award, 
issuance of a stop work order, debarment or suspension, or other 
remedies as appropriate.
    (c) A participant may rely upon the certification of a prospective 
participant in a lower tier covered transaction that it and its 
principals are not debarred, suspended, proposed for debarment under 48 
CFR part 9, subpart 9.4, ineligible, or voluntarily excluded

[[Page 518]]

from the covered transaction (See Appendix B of these regulations), 
unless it knows that the certification is erroneous. An agency has the 
burden of proof that a participant did knowingly do business with a 
person that filed an erroneous certification.
[60 FR 33041, 33058, June 26, 1995]



                          Subpart C--Debarment



Sec. 1209.300  General.

    The debarring official may debar a person for any of the causes in 
Sec. 1209.305, using procedures established in Secs. 1209.310 through 
1209.314. The existence of a cause for debarment, however, does not 
necessarily require that the person be debarred; the seriousness of the 
person's acts or omissions and any mitigating factors shall be 
considered in making any debarment decision.



Sec. 1209.305  Causes for debarment.

    Debarment may be imposed in accordance with the provisions of 
Secs. 1209.300 through 1209.314 for:
    (a) Conviction of or civil judgment for:
    (1) Commission of fraud or a criminal offense in connection with 
obtaining, attempting to obtain, or performing a public or private 
agreement or transaction;
    (2) Violation of Federal or State antitrust statutes, including 
those proscribing price fixing between competitors, allocation of 
customers between competitors, and bid rigging;
    (3) Commission of embezzlement, theft, forgery, bribery, 
falsification or destruction of records, making false statements, 
receiving stolen property, making false claims, or obstruction of 
justice; or
    (4) Commission of any other offense indicating a lack of business 
integrity or business honesty that seriously and directly affects the 
present responsibility of a person.
    (b) Violation of the terms of a public agreement or transaction so 
serious as to affect the integrity of an agency program, such as:
    (1) A willful failure to perform in accordance with the terms of one 
or more public agreements or transactions;
    (2) A history of failure to perform or of unsatisfactory performance 
of one or more public agreements or transactions; or
    (3) A willful violation of a statutory or regulatory provision or 
requirement applicable to a public agreement or transaction.
    (c) Any of the following causes:
    (1) A nonprocurement debarment by any Federal agency taken before 
October 1, 1988, the effective date of these regulations, or a 
procurement debarment by any Federal agency taken pursuant to 48 CFR 
subpart 9.4;
    (2) Knowingly doing business with a debarred, suspended, ineligible, 
or voluntarily excluded person, in connection with a covered 
transaction, except as permitted in Sec. 1209.215 or Sec. 1209.220;
    (3) Failure to pay a single substantial debt, or a number of 
outstanding debts (including disallowed costs and overpayments, but not 
including sums owed the Federal Government under the Internal Revenue 
Code) owed to any Federal agency or instrumentality, provided the debt 
is uncontested by the debtor or, if contested, provided that the 
debtor's legal and administrative remedies have been exhausted;
    (4) Violation of a material provision of a voluntary exclusion 
agreement entered into under Sec. 1209.315 or of any settlement of a 
debarment or suspension action; or
    (5) Violation of any requirement of subpart F of this part, relating 
to providing a drug-free workplace, as set forth in Sec. 1209.615 of 
this part.
    (d) Any other cause of so serious or compelling a nature that it 
affects the present responsibility of a person.
[53 FR 19193, 19194, 19204, May 26, 1988, as amended at 54 FR 4950, 
4961, Jan. 31, 1989]



Sec. 1209.310  Procedures.

    NARA shall process debarment actions as informally as practicable, 
consistent with the principles of fundamental fairness, using the 
procedures in Secs. 1209.311 through 1209.314.



Sec. 1209.311  Investigation and referral.

    Information concerning the existence of a cause for debarment from 
any

[[Page 519]]

source shall be promptly reported, investigated, and referred, when 
appropriate, to the debarring official for consideration. After 
consideration, the debarring official may issue a notice of proposed 
debarment.



Sec. 1209.312  Notice of proposed debarment.

    A debarment proceeding shall be initiated by notice to the 
respondent advising:
    (a) That debarment is being considered;
    (b) Of the reasons for the proposed debarment in terms sufficient to 
put the respondent on notice of the conduct or transaction(s) upon which 
it is based;
    (c) Of the cause(s) relied upon under Sec. 1209.305 for proposing 
debarment;
    (d) Of the provisions of Sec. 1209.311 through Sec. 1209.314, and 
any other NARA procedures, if applicable, governing debarment 
decisionmaking; and
    (e) Of the potential effect of a debarment.



Sec. 1209.313  Opportunity to contest proposed debarment.

    (a) Submission in opposition. Within 30 days after receipt of the 
notice of proposed debarment, the respondent may submit, in person, in 
writing, or through a representative, information and argument in 
opposition to the proposed debarment.
    (b) Additional proceedings as to disputed material facts. (1) In 
actions not based upon a conviction or civil judgment, if the debarring 
official finds that the respondent's submission in opposition raises a 
genuine dispute over facts material to the proposed debarment, 
respondent(s) shall be afforded an opportunity to appear with a 
representative, submit documentary evidence, present witnesses, and 
confront any witness the agency presents.
    (2) A transcribed record of any additional proceedings shall be made 
available at cost to the respondent, upon request, unless the respondent 
and the agency, by mutual agreement, waive the requirement for a 
transcript.



Sec. 1209.314  Debarring official's decision.

    (a) No additional proceedings necessary. In actions based upon a 
conviction or civil judgment, or in which there is no genuine dispute 
over material facts, the debarring official shall make a decision on the 
basis of all the information in the administrative record, including any 
submission made by the respondent. The decision shall be made within 45 
days after receipt of any information and argument submitted by the 
respondent, unless the debarring official extends this period for good 
cause.
    (b) Additional proceedings necessary. (1) In actions in which 
additional proceedings are necessary to determine disputed material 
facts, written findings of fact shall be prepared. The debarring 
official shall base the decision on the facts as found, together with 
any information and argument submitted by the respondent and any other 
information in the administrative record.
    (2) The debarring official may refer disputed material facts to 
another official for findings of fact. The debarring official may reject 
any such findings, in whole or in part, only after specifically 
determining them to be arbitrary and capricious or clearly erroneous.
    (3) The debarring official's decision shall be made after the 
conclusion of the proceedings with respect to disputed facts.
    (c)(1) Standard of proof. In any debarment action, the cause for 
debarment must be established by a preponderance of the evidence. Where 
the proposed debarment is based upon a conviction or civil judgment, the 
standard shall be deemed to have been met.
    (2) Burden of proof. The burden of proof is on the agency proposing 
debarment.
    (d) Notice of debarring official's decision. (1) If the debarring 
official decides to impose debarment, the respondent shall be given 
prompt notice:
    (i) Referring to the notice of proposed debarment;
    (ii) Specifying the reasons for debarment;
    (iii) Stating the period of debarment, including effective dates; 
and
    (iv) Advising that the debarment is effective for covered 
transactions throughout the executive branch of the Federal Government 
unless an agency head or an authorized designee makes

[[Page 520]]

the determination referred to in Sec. 1209.215.
    (2) If the debarring official decides not to impose debarment, the 
respondent shall be given prompt notice of that decision. A decision not 
to impose debarment shall be without prejudice to a subsequent 
imposition of debarment by any other agency.



Sec. 1209.315  Settlement and voluntary exclusion.

    (a) When in the best interest of the Government, NARA may, at any 
time, settle a debarment or suspension action.
    (b) If a participant and the agency agree to a voluntary exclusion 
of the participant, such voluntary exclusion shall be entered on the 
Nonprocurement List (see subpart E).



Sec. 1209.320  Period of debarment.

    (a) Debarment shall be for a period commensurate with the 
seriousness of the cause(s). If a suspension precedes a debarment, the 
suspension period shall be considered in determining the debarment 
period.
    (1) Debarment for causes other than those related to a violation of 
the requirements of subpart F of this part generally should not exceed 
three years. Where circumstances warrant, a longer period of debarment 
may be imposed.
    (2) In the case of a debarment for a violation of the requirements 
of subpart F of this part (see Sec. 1209.305(c)(5)), the period of 
debarment shall not exceed five years.
    (b) The debarring official may extend an existing debarment for an 
additional period, if that official determines that an extension is 
necessary to protect the public interest. However, a debarment may not 
be extended solely on the basis of the facts and circumstances upon 
which the initial debarment action was based. If debarment for an 
additional period is determined to be necessary, the procedures of 
Secs. 1209.311 through 1209.314 shall be followed to extend the 
debarment.
    (c) The respondent may request the debarring official to reverse the 
debarment decision or to reduce the period or scope of debarment. Such a 
request shall be in writing and supported by documentation. The 
debarring official may grant such a request for reasons including, but 
not limited to:
    (1) Newly discovered material evidence;
    (2) Reversal of the conviction or civil judgment upon which the 
debarment was based;
    (3) Bona fide change in ownership or management;
    (4) Elimination of other causes for which the debarment was imposed; 
or
    (5) Other reasons the debarring official deems appropriate.
[53 FR 19193, 19194, 19204, May 26, 1988, as amended at 54 FR 4950, 
4961, Jan. 31, 1989]



Sec. 1209.325  Scope of debarment.

    (a) Scope in general. (1) Debarment of a person under these 
regulations constitutes debarment of all its divisions and other 
organizational elements from all covered transactions, unless the 
debarment decision is limited by its terms to one or more specifically 
identified individuals, divisions or other organizational elements or to 
specific types of transactions.
    (2) The debarment action may include any affiliate of the 
participant that is specifically named and given notice of the proposed 
debarment and an opportunity to respond (see Secs. 1209.311 through 
1209.314).
    (b) Imputing conduct. For purposes of determining the scope of 
debarment, conduct may be imputed as follows:
    (1) Conduct imputed to participant. The fraudulent, criminal or 
other seriously improper conduct of any officer, director, shareholder, 
partner, employee, or other individual associated with a participant may 
be imputed to the participant when the conduct occurred in connection 
with the individual's performance of duties for or on behalf of the 
participant, or with the participant's knowledge, approval, or 
acquiescence. The participant's acceptance of the benefits derived from 
the conduct shall be evidence of such knowledge, approval, or 
acquiescence.
    (2) Conduct imputed to individuals associated with participant. The 
fraudulent, criminal, or other seriously improper

[[Page 521]]

conduct of a participant may be imputed to any officer, director, 
shareholder, partner, employee, or other individual associated with the 
participant who participated in, knew of, or had reason to know of the 
participant's conduct.
    (3) Conduct of one participant imputed to other participants in a 
joint venture. The fraudulent, criminal, or other seriously improper 
conduct of one participant in a joint venture, grant pursuant to a joint 
application, or similar arrangement may be imputed to other participants 
if the conduct occurred for or on behalf of the joint venture, grant 
pursuant to a joint application, or similar arrangement may be imputed 
to other participants if the conduct occurred for or on behalf of the 
joint venture, grant pursuant to a joint application, or similar 
arrangement or with the knowledge, approval, or acquiescence of these 
participants. Acceptance of the benefits derived from the conduct shall 
be evidence of such knowledge, approval, or acquiescence.



                          Subpart D--Suspension



Sec. 1209.400  General.

    (a) The suspending official may suspend a person for any of the 
causes in Sec. 1209.405 using procedures established in Secs. 1209.410 
through 1209.413.
    (b) Suspension is a serious action to be imposed only when:
    (1) There exists adequate evidence of one or more of the causes set 
out in Sec. 1209.405, and
    (2) Immediate action is necessary to protect the public interest.
    (c) In assessing the adequacy of the evidence, the agency should 
consider how much information is available, how credible it is given the 
circumstances, whether or not important allegations are corroborated, 
and what inferences can reasonably be drawn as a result. This assessment 
should include an examination of basic documents such as grants, 
cooperative agreements, loan authorizations, and contracts.



Sec. 1209.405  Causes for suspension.

    (a) Suspension may be imposed in accordance with the provisions of 
Secs. 1209.400 through 1209.413 upon adequate evidence:
    (1) To suspect the commission of an offense listed in 
Sec. 1209.305(a); or
    (2) That a cause for debarment under Sec. 1209.305 may exist.
    (b) Indictment shall constitute adequate evidence for purposes of 
suspension actions.



Sec. 1209.410  Procedures.

    (a) Investigation and referral. Information concerning the existence 
of a cause for suspension from any source shall be promptly reported, 
investigated, and referred, when appropriate, to the suspending official 
for consideration. After consideration, the suspending official may 
issue a notice of suspension.
    (b) Decisionmaking process. NARA shall process suspension actions as 
informally as practicable, consistent with principles of fundamental 
fairness, using the procedures in Sec. 1209.411 through Sec. 1209.413.



Sec. 1209.411  Notice of suspension.

    When a respondent is suspended, notice shall immediately be given:
    (a) That suspension has been imposed;
    (b) That the suspension is based on an indictment, conviction, or 
other adequate evidence that the respondent has committed irregularities 
seriously reflecting on the propriety of further Federal Government 
dealings with the respondent;
    (c) Describing any such irregularities in terms sufficient to put 
the respondent on notice without disclosing the Federal Government's 
evidence;
    (d) Of the cause(s) relied upon under Sec. 1209.405 for imposing 
suspension;
    (e) That the suspension is for a temporary period pending the 
completion of an investigation or ensuing legal, debarment, or Program 
Fraud Civil Remedies Act proceedings;
    (f) Of the provisions of Sec. 1209.411 through Sec. 1209.413 and any 
other NARA procedures, if applicable, governing suspension 
decisionmaking; and
    (g) Of the effect of the suspension.

[[Page 522]]



Sec. 1209.412  Opportunity to contest suspension.

    (a) Submission in opposition. Within 30 days after receipt of the 
notice of suspension, the respondent may submit, in person, in writing, 
or through a representative, information and argument in opposition to 
the suspension.
    (b) Additional proceedings as to disputed material facts. (1) If the 
suspending official finds that the respondent's submission in opposition 
raises a genuine dispute over facts material to the suspension, 
respondent(s) shall be afforded an opportunity to appear with a 
representative, submit documentary evidence, present witnesses, and 
confront any witness the agency presents, unless:
    (i) The action is based on an indictment, conviction or civil 
judgment, or
    (ii) A determination is made, on the basis of Department of Justice 
advice, that the substantial interests of the Federal Government in 
pending or contemplated legal proceedings based on the same facts as the 
suspension would be prejudiced.
    (2) A transcribed record of any additional proceedings shall be 
prepared and made available at cost to the respondent, upon request, 
unless the respondent and the agency, by mutual agreement, waive the 
requirement for a transcript.



Sec. 1209.413  Suspending official's decision.

    The suspending official may modify or terminate the suspension (for 
example, see Sec. 1209.320(c) for reasons for reducing the period or 
scope of debarment) or may leave it in force. However, a decision to 
modify or terminate the suspension shall be without prejudice to the 
subsequent imposition of suspension by any other agency or debarment by 
any agency. The decision shall be rendered in accordance with the 
following provisions:
    (a) No additional proceedings necessary. In actions: based on an 
indictment, conviction, or civil judgment; in which there is no genuine 
dispute over material facts; or in which additional proceedings to 
determine disputed material facts have been denied on the basis of 
Department of Justice advice, the suspending official shall make a 
decision on the basis of all the information in the administrative 
record, including any submission made by the respondent. The decision 
shall be made within 45 days after receipt of any information and 
argument submitted by the respondent, unless the suspending official 
extends this period for good cause.
    (b) Additional proceedings necessary. (1) In actions in which 
additional proceedings are necessary to determine disputed material 
facts, written findings of fact shall be prepared. The suspending 
official shall base the decision on the facts as found, together with 
any information and argument submitted by the respondent and any other 
information in the administrative record.
    (2) The suspending official may refer matters involving disputed 
material facts to another official for findings of fact. The suspending 
official may reject any such findings, in whole or in part, only after 
specifically determining them to be arbitrary or capricious or clearly 
erroneous.
    (c) Notice of suspending official's decision. Prompt written notice 
of the suspending official's decision shall be sent to the respondent.



Sec. 1209.415  Period of suspension.

    (a) Suspension shall be for a temporary period pending the 
completion of an investigation or ensuing legal, debarment, or Program 
Fraud Civil Remedies Act proceedings, unless terminated sooner by the 
suspending official or as provided in paragraph (b) of this section.
    (b) If legal or administrative proceedings are not initiated within 
12 months after the date of the suspension notice, the suspension shall 
be terminated unless an Assistant Attorney General or United States 
Attorney requests its extension in writing, in which case it may be 
extended for an additional six months. In no event may a suspension 
extend beyond 18 months, unless such proceedings have been initiated 
within that period.
    (c) The suspending official shall notify the Department of Justice 
of an impending termination of a suspension, at least 30 days before the 
12-month period expires, to give that Department an opportunity to 
request an extension.

[[Page 523]]



Sec. 1209.420  Scope of suspension.

    The scope of a suspension is the same as the scope of a debarment 
(see Sec. 1209.325), except that the procedures of Secs. 1209.410 
through 1209.413 shall be used in imposing a suspension.



       Subpart E--Responsibilities of GSA, Agency and Participants



Sec. 1209.500  GSA responsibilities.

    (a) In accordance with the OMB guidelines, GSA shall compile, 
maintain, and distribute a list of all persons who have been debarred, 
suspended, or voluntarily excluded by agencies under Executive Order 
12549 and these regulations, and those who have been determined to be 
ineligible.
    (b) At a minimum, this list shall indicate:
    (1) The names and addresses of all debarred, suspended, ineligible, 
and voluntarily excluded persons, in alphabetical order, with cross-
references when more than one name is involved in a single action;
    (2) The type of action;
    (3) The cause for the action;
    (4) The scope of the action;
    (5) Any termination date for each listing; and
    (6) The agency and name and telephone number of the agency point of 
contact for the action.



Sec. 1209.505  NARA responsibilities.

    (a) The agency shall provide GSA with current information concerning 
debarments, suspension, determinations of ineligibility, and voluntary 
exclusions it has taken. Until February 18, 1989, the agency shall also 
provide GSA and OMB with information concerning all transactions in 
which NARA has granted exceptions under Sec. 1209.215 permitting 
participation by debarred, suspended, or voluntarily excluded persons.
    (b) Unless an alternative schedule is agreed to by GSA, the agency 
shall advise GSA of the information set forth in Sec. 1209.500(b) and of 
the exceptions granted under Sec. 1209.215 within five working days 
after taking such actions.
    (c) The agency shall direct inquiries concerning listed persons to 
the agency that took the action.
    (d) Agency officials shall check the Nonprocurement List before 
entering covered transactions to determine whether a participant in a 
primary transaction is debarred, suspended, ineligible, or voluntarily 
excluded (Tel. ).
    (e) Agency officials shall check the Nonprocurement List before 
approving principals or lower tier participants where agency approval of 
the principal or lower tier participant is required under the terms of 
the transaction, to determine whether such principals or participants 
are debarred, suspended, ineligible, or voluntarily excluded.



Sec. 1209.510  Participants' responsibilities.

    (a) Certification by participants in primary covered transactions. 
Each participant shall submit the certification in appendix A to this 
part for it and its principals at the time the participant submits its 
proposal in connection with a primary covered transaction, except that 
States need only complete such certification as to their principals. 
Participants may decide the method and frequency by which they determine 
the eligibility of their principals. In addition, each participant may, 
but is not required to, check the Nonprocurement List for its principals 
(Tel. ). Adverse information on the certification will not necessarily 
result in denial of participation. However, the certification, and any 
additional information pertaining to the certification submitted by the 
participant, shall be considered in the administration of covered 
transactions.
    (b) Certification by participants in lower tier covered 
transactions. (1) Each participant shall require participants in lower 
tier covered transactions to include the certification in appendix B to 
this part for it and its principals in any proposal submitted in 
connection with such lower tier covered transactions.
    (2) A participant may rely upon the certification of a prospective 
participant in a lower tier covered transaction that it and its 
principals are not

[[Page 524]]

debarred, suspended, ineligible, or voluntarily excluded from the 
covered transaction by any Federal agency, unless it knows that the 
certification is erroneous. Participants may decide the method and 
frequency by which they determine the eligiblity of their principals. In 
addition, a participant may, but is not required to, check the 
Nonprocurement List for its principals and for participants (Tel. ).
    (c) Changed circumstances regarding certification. A participant 
shall provide immediate written notice to NARA if at any time the 
participant learns that its certification was erroneous when submitted 
or has become erroneous by reason of changed circumstances. Participants 
in lower tier covered transactions shall provide the same updated notice 
to the participant to which it submitted its proposals.



          Subpart F--Drug-Free Workplace Requirements (Grants)

    Source: 55 FR 21688, 21700, May 25, 1990, unless otherwise noted.



Sec. 1209.600  Purpose.

    (a) The purpose of this subpart is to carry out the Drug-Free 
Workplace Act of 1988 by requiring that--
    (1) A grantee, other than an individual, shall certify to the agency 
that it will provide a drug-free workplace;
    (2) A grantee who is an individual shall certify to the agency that, 
as a condition of the grant, he or she will not engage in the unlawful 
manufacture, distribution, dispensing, possession or use of a controlled 
substance in conducting any activity with the grant.
    (b) Requirements implementing the Drug-Free Workplace Act of 1988 
for contractors with the agency are found at 48 CFR subparts 9.4, 23.5, 
and 52.2.



Sec. 1209.605  Definitions.

    (a) Except as amended in this section, the definitions of 
Sec. 1209.105 apply to this subpart.
    (b) For purposes of this subpart--
    (1) Controlled substance means a controlled substance in schedules I 
through V of the Controlled Substances Act (21 U.S.C. 812), and as 
further defined by regulation at 21 CFR 1308.11 through 1308.15;
    (2) Conviction means a finding of guilt (including a plea of nolo 
contendere) or imposition of sentence, or both, by any judicial body 
charged with the responsibility to determine violations of the Federal 
or State criminal drug statutes;
    (3) Criminal drug statute means a Federal or non-Federal criminal 
statute involving the manufacture, distribution, dispensing, use, or 
possession of any controlled substance;
    (4) Drug-free workplace means a site for the performance of work 
done in connection with a specific grant at which employees of the 
grantee are prohibited from engaging in the unlawful manufacture, 
distribution, dispensing, possession, or use of a controlled substance;
    (5) Employee means the employee of a grantee directly engaged in the 
performance of work under the grant, including:
    (i) All direct charge employees;
    (ii) All indirect charge employees, unless their impact or 
involvement is insignificant to the performance of the grant; and,
    (iii) Temporary personnel and consultants who are directly engaged 
in the performance of work under the grant and who are on the grantee's 
payroll.

This definition does not include workers not on the payroll of the 
grantee (e.g., volunteers, even if used to meet a matching requirement; 
consultants or independent contractors not on the payroll; or employees 
of subrecipients or subcontractors in covered workplaces);
    (6) Federal agency or agency means any United States executive 
department, military department, government corporation, government 
controlled corporation, any other establishment in the executive branch 
(including the Executive Office of the President), or any independent 
regulatory agency;
    (7) Grant means an award of financial assistance, including a 
cooperative agreement, in the form of money, or property in lieu of 
money, by a Federal agency directly to a grantee. The term

[[Page 525]]

grant includes block grant and entitlement grant programs, whether or 
not exempted from coverage under the grants management government-wide 
common rule on uniform administrative requirements for grants and 
cooperative agreements. The term does not include technical assistance 
that provides services instead of money, or other assistance in the form 
of loans, loan guarantees, interest subsidies, insurance, or direct 
appropriations; or any veterans' benefits to individuals, i.e., any 
benefit to veterans, their families, or survivors by virtue of the 
service of a veteran in the Armed Forces of the United States;
    (8) Grantee means a person who applies for or receives a grant 
directly from a Federal agency (except another Federal agency);
    (9) Individual means a natural person;
    (10) State means any of the States of the United States, the 
District of Columbia, the Commonwealth of Puerto Rico, any territory or 
possession of the United States, or any agency of a State, exclusive of 
institutions of higher education, hospitals, and units of local 
government. A State instrumentality will be considered part of the State 
government if it has a written determination from a State government 
that such State considers the instrumentality to be an agency of the 
State government.



Sec. 1209.610  Coverage.

    (a) This subpart applies to any grantee of the agency.
    (b) This subpart applies to any grant, except where application of 
this subpart would be inconsistent with the international obligations of 
the United States or the laws or regulations of a foreign government. A 
determination of such inconsistency may be made only by the agency head 
or his/her designee.
    (c) The provisions of subparts A, B, C, D and E of this part apply 
to matters covered by this subpart, except where specifically modified 
by this subpart. In the event of any conflict between provisions of this 
subpart and other provisions of this part, the provisions of this 
subpart are deemed to control with respect to the implementation of 
drug-free workplace requirements concerning grants.



Sec. 1209.615  Grounds for suspension of payments, suspension or termination of grants, or suspension or debarment.

    A grantee shall be deemed in violation of the requirements of this 
subpart if the agency head or his or her official designee determines, 
in writing, that--
    (a) The grantee has made a false certification under Sec. 1209.630;
    (b) With respect to a grantee other than an individual--
    (1) The grantee has violated the certification by failing to carry 
out the requirements of paragraphs (A)(a)-(g) and/or (B) of the 
certification (alternate I to appendix C) or
    (2) Such a number of employees of the grantee have been convicted of 
violations of criminal drug statutes for violations occurring in the 
workplace as to indicate that the grantee has failed to make a good 
faith effort to provide a drug-free workplace.
    (c) With respect to a grantee who is an individual--
    (1) The grantee has violated the certification by failing to carry 
out its requirements (alternate II to appendix C); or
    (2) The grantee is convicted of a criminal drug offense resulting 
from a violation occurring during the conduct of any grant activity.



Sec. 1209.620  Effect of violation.

    (a) In the event of a violation of this subpart as provided in 
Sec. 1209.615, and in accordance with applicable law, the grantee shall 
be subject to one or more of the following actions:
    (1) Suspension of payments under the grant;
    (2) Suspension or termination of the grant; and
    (3) Suspension or debarment of the grantee under the provisions of 
this part.
    (b) Upon issuance of any final decision under this part requiring 
debarment of a grantee, the debarred grantee shall be ineligible for 
award of any grant from any Federal agency for a period specified in the 
decision, not to

[[Page 526]]

exceed five years (see Sec. 1209.320(a)(2) of this part).



Sec. 1209.625  Exception provision.

    The agency head may waive with respect to a particular grant, in 
writing, a suspension of payments under a grant, suspension or 
termination of a grant, or suspension or debarment of a grantee if the 
agency head determines that such a waiver would be in the public 
interest. This exception authority cannot be delegated to any other 
official.



Sec. 1209.630  Certification requirements and procedures.

    (a)(1) As a prior condition of being awarded a grant, each grantee 
shall make the appropriate certification to the Federal agency providing 
the grant, as provided in appendix C to this part.
    (2) Grantees are not required to make a certification in order to 
continue receiving funds under a grant awarded before March 18, 1989, or 
under a no-cost time extension of such a grant. However, the grantee 
shall make a one-time drug-free workplace certification for a non-
automatic continuation of such a grant made on or after March 18, 1989.
    (b) Except as provided in this section, all grantees shall make the 
required certification for each grant. For mandatory formula grants and 
entitlements that have no application process, grantees shall submit a 
one-time certification in order to continue receiving awards.
    (c) A grantee that is a State may elect to make one certification in 
each Federal fiscal year. States that previously submitted an annual 
certification are not required to make a certification for Fiscal Year 
1990 until June 30, 1990. Except as provided in paragraph (d) of this 
section, this certification shall cover all grants to all State agencies 
from any Federal agency. The State shall retain the original of this 
statewide certification in its Governor's office and, prior to grant 
award, shall ensure that a copy is submitted individually with respect 
to each grant, unless the Federal agency has designated a central 
location for submission.
    (d)(1) The Governor of a State may exclude certain State agencies 
from the statewide certification and authorize these agencies to submit 
their own certifications to Federal agencies. The statewide 
certification shall name any State agencies so excluded.
    (2) A State agency to which the statewide certification does not 
apply, or a State agency in a State that does not have a statewide 
certification, may elect to make one certification in each Federal 
fiscal year. State agencies that previously submitted a State agency 
certification are not required to make a certification for Fiscal Year 
1990 until June 30, 1990. The State agency shall retain the original of 
this State agency-wide certification in its central office and, prior to 
grant award, shall ensure that a copy is submitted individually with 
respect to each grant, unless the Federal agency designates a central 
location for submission.
    (3) When the work of a grant is done by more than one State agency, 
the certification of the State agency directly receiving the grant shall 
be deemed to certify compliance for all workplaces, including those 
located in other State agencies.
    (e)(1) For a grant of less than 30 days performance duration, 
grantees shall have this policy statement and program in place as soon 
as possible, but in any case by a date prior to the date on which 
performance is expected to be completed.
    (2) For a grant of 30 days or more performance duration, grantees 
shall have this policy statement and program in place within 30 days 
after award.
    (3) Where extraordinary circumstances warrant for a specific grant, 
the grant officer may determine a different date on which the policy 
statement and program shall be in place.



Sec. 1209.635  Reporting of and employee sanctions for convictions of criminal drug offenses.

    (a) When a grantee other than an individual is notified that an 
employee has been convicted for a violation of a criminal drug statute 
occurring in the workplace, it shall take the following actions:

[[Page 527]]

    (1) Within 10 calendar days of receiving notice of the conviction, 
the grantee shall provide written notice, including the convicted 
employee's position title, to every grant officer, or other designee on 
whose grant activity the convicted employee was working, unless a 
Federal agency has designated a central point for the receipt of such 
notifications. Notification shall include the identification number(s) 
for each of the Federal agency's affected grants.
    (2) Within 30 calendar days of receiving notice of the conviction, 
the grantee shall do the following with respect to the employee who was 
convicted.
    (i) Take appropriate personnel action against the employee, up to 
and including termination, consistent with requirements of the 
Rehabilitation Act of 1973, as amended; or
    (ii) Require the employee to participate satisfactorily in a drug 
abuse assistance or rehabilitation program approved for such purposes by 
a Federal, State, or local health, law enforcement, or other appropriate 
agency.
    (b) A grantee who is an individual who is convicted for a violation 
of a criminal drug statute occurring during the conduct of any grant 
activity shall report the conviction, in writing, within 10 calendar 
days, to his or her Federal agency grant officer, or other designee, 
unless the Federal agency has designated a central point for the receipt 
of such notices. Notification shall include the identification number(s) 
for each of the Federal agency's affected grants.

(Approved by the Office of Management and Budget under control number 
0991-0002)

Appendix A to Part 1209--Certification Regarding Debarment, Suspension, 
     and Other Responsibility Matters--Primary Covered Transactions

                     Instructions for Certification

    1. By signing and submitting this proposal, the prospective primary 
participant is providing the certification set out below.
    2. The inability of a person to provide the certification required 
below will not necessarily result in denial of participation in this 
covered transaction. The prospective participant shall submit an 
explanation of why it cannot provide the certification set out below. 
The certification or explanation will be considered in connection with 
the department or agency's determination whether to enter into this 
transaction. However, failure of the prospective primary participant to 
furnish a certification or an explanation shall disqualify such person 
from participation in this transaction.
    3. The certification in this clause is a material representation of 
fact upon which reliance was placed when the department or agency 
determined to enter into this transaction. If it is later determined 
that the prospective primary participant knowingly rendered an erroneous 
certification, in addition to other remedies available to the Federal 
Government, the department or agency may terminate this transaction for 
cause or default.
    4. The prospective primary participant shall provide immediate 
written notice to the department or agency to which this proposal is 
submitted if at any time the prospective primary participant learns that 
its certification was erroneous when submitted or has become erroneous 
by reason of changed circumstances.
    5. The terms covered transaction, debarred, suspended, ineligible, 
lower tier covered transaction, participant, person, primary covered 
transaction, principal, proposal, and voluntarily excluded, as used in 
this clause, have the meanings set out in the Definitions and Coverage 
sections of the rules implementing Executive Order 12549. You may 
contact the department or agency to which this proposal is being 
submitted for assistance in obtaining a copy of those regulations.
    6. The prospective primary participant agrees by submitting this 
proposal that, should the proposed covered transaction be entered into, 
it shall not knowingly enter into any lower tier covered transaction 
with a person who is proposed for debarment under 48 CFR part 9, subpart 
9.4, debarred, suspended, declared ineligible, or voluntarily excluded 
from participation in this covered transaction, unless authorized by the 
department or agency entering into this transaction.
    7. The prospective primary participant further agrees by submitting 
this proposal that it will include the clause titled ``Certification 
Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-
Lower Tier Covered Transaction,'' provided by the department or agency 
entering into this covered transaction, without modification, in all 
lower tier covered transactions and in all solicitations for lower tier 
covered transactions.
    8. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 9, 
subpart 9.4,

[[Page 528]]

debarred, suspended, ineligible, or voluntarily excluded from the 
covered transaction, unless it knows that the certification is 
erroneous. A participant may decide the method and frequency by which it 
determines the eligibility of its principals. Each participant may, but 
is not required to, check the List of Parties Excluded from Federal 
Procurement and Nonprocurement Programs.
    9. Nothing contained in the foregoing shall be construed to require 
establishment of a system of records in order to render in good faith 
the certification required by this clause. The knowledge and information 
of a participant is not required to exceed that which is normally 
possessed by a prudent person in the ordinary course of business 
dealings.
    10. Except for transactions authorized under paragraph 6 of these 
instructions, if a participant in a covered transaction knowingly enters 
into a lower tier covered transaction with a person who is proposed for 
debarment under 48 CFR part 9, subpart 9.4, suspended, debarred, 
ineligible, or voluntarily excluded from participation in this 
transaction, in addition to other remedies available to the Federal 
Government, the department or agency may terminate this transaction for 
cause or default.

Certification Regarding Debarment, Suspension, and Other Responsibility 
                  Matters--Primary Covered Transactions

    (1) The prospective primary participant certifies to the best of its 
knowledge and belief, that it and its principals:
    (a) Are not presently debarred, suspended, proposed for debarment, 
declared ineligible, or voluntarily excluded by any Federal department 
or agency;
    (b) Have not within a three-year period preceding this proposal been 
convicted of or had a civil judgment rendered against them for 
commission of fraud or a criminal offense in connection with obtaining, 
attempting to obtain, or performing a public (Federal, State or local) 
transaction or contract under a public transaction; violation of Federal 
or State antitrust statutes or commission of embezzlement, theft, 
forgery, bribery, falsification or destruction of records, making false 
statements, or receiving stolen property;
    (c) Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, State or local) with 
commission of any of the offenses enumerated in paragraph (1)(b) of this 
certification; and
    (d) Have not within a three-year period preceding this application/
proposal had one or more public transactions (Federal, State or local) 
terminated for cause or default.
    (2) Where the prospective primary participant is unable to certify 
to any of the statements in this certification, such prospective 
participant shall attach an explanation to this proposal.
[60 FR 33042, 33058, June 26, 1995]

Appendix B to Part 1209--Certification Regarding Debarment, Suspension, 
 Ineligibility and Voluntary Exclusion--Lower Tier Covered Transactions

                     Instructions for Certification

    1. By signing and submitting this proposal, the prospective lower 
tier participant is providing the certification set out below.
    2. The certification in this clause is a material representation of 
fact upon which reliance was placed when this transaction was entered 
into. If it is later determined that the prospective lower tier 
participant knowingly rendered an erroneous certification, in addition 
to other remedies available to the Federal Government the department or 
agency with which this transaction originated may pursue available 
remedies, including suspension and/or debarment.
    3. The prospective lower tier participant shall provide immediate 
written notice to the person to which this proposal is submitted if at 
any time the prospective lower tier participant learns that its 
certification was erroneous when submitted or had become erroneous by 
reason of changed circumstances.
    4. The terms covered transaction, debarred, suspended, ineligible, 
lower tier covered transaction, participant, person, primary covered 
transaction, principal, proposal, and voluntarily excluded, as used in 
this clause, have the meaning set out in the Definitions and Coverage 
sections of rules implementing Executive Order 12549. You may contact 
the person to which this proposal is submitted for assistance in 
obtaining a copy of those regulations.
    5. The prospective lower tier participant agrees by submitting this 
proposal that, should the proposed covered transaction be entered into, 
it shall not knowingly enter into any lower tier covered transaction 
with a person who is proposed for debarment under 48 CFR part 9, subpart 
9.4, debarred, suspended, declared ineligible, or voluntarily excluded 
from participation in this covered transaction, unless authorized by the 
department or agency with which this transaction originated.
    6. The prospective lower tier participant further agrees by 
submitting this proposal that it will include this clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transaction,'' without 
modification, in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.

[[Page 529]]

    7. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 9, 
subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded 
from covered transactions, unless it knows that the certification is 
erroneous. A participant may decide the method and frequency by which it 
determines the eligibility of its principals. Each participant may, but 
is not required to, check the List of Parties Excluded from Federal 
Procurement and Nonprocurement Programs.
    8. Nothing contained in the foregoing shall be construed to require 
establishment of a system of records in order to render in good faith 
the certification required by this clause. The knowledge and information 
of a participant is not required to exceed that which is normally 
possessed by a prudent person in the ordinary course of business 
dealings.
    9. Except for transactions authorized under paragraph 5 of these 
instructions, if a participant in a covered transaction knowingly enters 
into a lower tier covered transaction with a person who is proposed for 
debarment under 48 CFR part 9, subpart 9.4, suspended, debarred, 
ineligible, or voluntarily excluded from participation in this 
transaction, in addition to other remedies available to the Federal 
Government, the department or agency with which this transaction 
originated may pursue available remedies, including suspension and/or 
debarment.

    Certification Regarding Debarment, Suspension, Ineligibility and 
          Voluntary Exclusion--Lower Tier Covered Transactions

    (1) The prospective lower tier participant certifies, by submission 
of this proposal, that neither it nor its principals is presently 
debarred, suspended, proposed for debarment, declared ineligible, or 
voluntarily excluded from participation in this transaction by any 
Federal department or agency.
    (2) Where the prospective lower tier participant is unable to 
certify to any of the statements in this certification, such prospective 
participant shall attach an explanation to this proposal.
[60 FR 33042, 33058, June 26, 1995]

  Appendix C to Part 1209--Certification Regarding Drug-Free Workplace 
                              Requirements

                     Instructions for Certification

    1. By signing and/or submitting this application or grant agreement, 
the grantee is providing the certification set out below.
    2. The certification set out below is a material representation of 
fact upon which reliance is placed when the agency awards the grant. If 
it is later determined that the grantee knowingly rendered a false 
certification, or otherwise violates the requirements of the Drug-Free 
Workplace Act, the agency, in addition to any other remedies available 
to the Federal Government, may take action authorized under the Drug-
Free Workplace Act.
    3. For grantees other than individuals, Alternate I applies.
    4. For grantees who are individuals, Alternate II applies.
    5. Workplaces under grants, for grantees other than individuals, 
need not be identified on the certification. If known, they may be 
identified in the grant application. If the grantee does not identify 
the workplaces at the time of application, or upon award, if there is no 
application, the grantee must keep the identity of the workplace(s) on 
file in its office and make the information available for Federal 
inspection. Failure to identify all known workplaces constitutes a 
violation of the grantee's drug-free workplace requirements.
    6. Workplace identifications must include the actual address of 
buildings (or parts of buildings) or other sites where work under the 
grant takes place. Categorical descriptions may be used (e.g., all 
vehicles of a mass transit authority or State highway department while 
in operation, State employees in each local unemployment office, 
performers in concert halls or radio studios).
    7. If the workplace identified to the agency changes during the 
performance of the grant, the grantee shall inform the agency of the 
change(s), if it previously identified the workplaces in question (see 
paragraph five).
    8. Definitions of terms in the Nonprocurement Suspension and 
Debarment common rule and Drug-Free Workplace common rule apply to this 
certification. Grantees' attention is called, in particular, to the 
following definitions from these rules:
    Controlled substance means a controlled substance in Schedules I 
through V of the Controlled Substances Act (21 U.S.C. 812) and as 
further defined by regulation (21 CFR 1308.11 through 1308.15);
    Conviction means a finding of guilt (including a plea of nolo 
contendere) or imposition of sentence, or both, by any judicial body 
charged with the responsibility to determine violations of the Federal 
or State criminal drug statutes;
    Criminal drug statute means a Federal or non-Federal criminal 
statute involving the manufacture, distribution, dispensing, use, or 
possession of any controlled substance;
    Employee means the employee of a grantee directly engaged in the 
performance of work under a grant, including: (i) All direct charge 
employees; (ii) All indirect charge employees unless their impact or 
involvement is insignificant to the performance of the grant;

[[Page 530]]

and, (iii) Temporary personnel and consultants who are directly engaged 
in the performance of work under the grant and who are on the grantee's 
payroll. This definition does not include workers not on the payroll of 
the grantee (e.g., volunteers, even if used to meet a matching 
requirement; consultants or independent contractors not on the grantee's 
payroll; or employees of subrecipients or subcontractors in covered 
workplaces).

        Certification Regarding Drug-Free Workplace Requirements

             Alternate I. (Grantees Other Than Individuals)

    A. The grantee certifies that it will or will continue to provide a 
drug-free workplace by:
    (a) Publishing a statement notifying employees that the unlawful 
manufacture, distribution, dispensing, possession, or use of a 
controlled substance is prohibited in the grantee's workplace and 
specifying the actions that will be taken against employees for 
violation of such prohibition;
    (b) Establishing an ongoing drug-free awareness program to inform 
employees about--
    (1) The dangers of drug abuse in the workplace;
    (2) The grantee's policy of maintaining a drug-free workplace;
    (3) Any available drug counseling, rehabilitation, and employee 
assistance programs; and
    (4) The penalties that may be imposed upon employees for drug abuse 
violations occurring in the workplace;
    (c) Making it a requirement that each employee to be engaged in the 
performance of the grant be given a copy of the statement required by 
paragraph (a);
    (d) Notifying the employee in the statement required by paragraph 
(a) that, as a condition of employment under the grant, the employee 
will--
    (1) Abide by the terms of the statement; and
    (2) Notify the employer in writing of his or her conviction for a 
violation of a criminal drug statute occurring in the workplace no later 
than five calendar days after such conviction;
    (e) Notifying the agency in writing, within ten calendar days after 
receiving notice under paragraph (d)(2) from an employee or otherwise 
receiving actual notice of such conviction. Employers of convicted 
employees must provide notice, including position title, to every grant 
officer or other designee on whose grant activity the convicted employee 
was working, unless the Federal agency has designated a central point 
for the receipt of such notices. Notice shall include the identification 
number(s) of each affected grant;
    (f) Taking one of the following actions, within 30 calendar days of 
receiving notice under paragraph (d)(2), with respect to any employee 
who is so convicted--
    (1) Taking appropriate personnel action against such an employee, up 
to and including termination, consistent with the requirements of the 
Rehabilitation Act of 1973, as amended; or
    (2) Requiring such employee to participate satisfactorily in a drug 
abuse assistance or rehabilitation program approved for such purposes by 
a Federal, State, or local health, law enforcement, or other appropriate 
agency;
    (g) Making a good faith effort to continue to maintain a drug-free 
workplace through implementation of paragraphs (a), (b), (c), (d), (e) 
and (f).
    B. The grantee may insert in the space provided below the site(s) 
for the performance of work done in connection with the specific grant:

Place of Performance (Street address, city, county, state, zip code)
 --_____________________________________________________________________
 --_____________________________________________________________________
 --_____________________________________________________________________

Check {time}  if there are workplaces on file that are not identified 
here.

              Alternate II. (Grantees Who Are Individuals)

    (a) The grantee certifies that, as a condition of the grant, he or 
she will not engage in the unlawful manufacture, distribution, 
dispensing, possession, or use of a controlled substance in conducting 
any activity with the grant;
    (b) If convicted of a criminal drug offense resulting from a 
violation occurring during the conduct of any grant activity, he or she 
will report the conviction, in writing, within 10 calendar days of the 
conviction, to every grant officer or other designee, unless the Federal 
agency designates a central point for the receipt of such notices. When 
notice is made to such a central point, it shall include the 
identification number(s) of each affected grant.
[55 FR 21690, 21700, May 25, 1990]

[[Page 531]]



PART 1210--UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND AGREEMENTS WITH INSTITUTIONS OF HIGHER EDUCATION, HOSPITALS, AND OTHER NON-PROFIT ORGANIZATIONS--Table of Contents




                           Subpart A--General

Sec.
1210.1  Purpose.
1210.2  Definitions.
1210.3  Effect on other issuances.
1210.4  Deviations.
1210.5  Subawards.

                    Subpart B--Pre-Award Requirements

1210.10  Purpose.
1210.11  Pre-award policies.
1210.12  Forms for applying for Federal assistance.
1210.13  Debarment and suspension.
1210.14  Special award conditions.
1210.15  Metric system of measurement.
1210.16  Resource Conservation and Recovery Act.
1210.17  Certifications and representations.

                   Subpart C--Post-Award Requirements

                    Financial and Program Management

1210.20  Purpose of financial and program management.
1210.21  Standards for financial management systems.
1210.22  Payment.
1210.23  Cost sharing or matching.
1210.24  Program income.
1210.25  Revision of budget and program plans.
1210.26  Non-Federal audits.
1210.27  Allowable costs.
1210.28  Period of availability of funds.

                           Property Standards

1210.30  Purpose of property standards.
1210.31  Insurance coverage.
1210.32  Real property.
1210.33  Federally-owned and exempt property.
1210.34  Equipment.
1210.35  Supplies and other expendable property.
1210.36  Intangible property.
1210.37  Property trust relationship.

                          Procurement Standards

1210.40  Purpose of procurement standards.
1210.41  Recipient responsibilities.
1210.42  Codes of conduct.
1210.43  Competition.
1210.44  Procurement procedures.
1210.45  Cost and price analysis.
1210.46  Procurement records.
1210.47  Contract administration.
1210.48  Contract provisions.

                           Reports and Records

1210.50  Purpose of reports and records.
1210.51  Monitoring and reporting program performance.
1210.52  Financial reporting.
1210.53  Retention and access requirements for records.

                       Termination and Enforcement

1210.60  Purpose of termination and enforcement.
1210.61  Termination.
1210.62  Enforcement.

                 Subpart D--After-the-Award Requirements

1210.70  Purpose.
1210.71  Closeout procedures.
1210.72  Subsequent adjustments and continuing responsibilities.
1210.73  Collection of amounts due.


Appendix A to Part 1210--Contract Provisions

    Authority: 44 U.S.C. 2104(a); 44 U.S.C. 2501-2506.

    Source: 60 FR 53515, Oct. 16, 1995, unless otherwise noted.



                           Subpart A--General



Sec. 1210.1  Purpose.

    This part establishes uniform administrative requirements for NHPRC 
grants and agreements awarded to institutions of higher education, 
hospitals, and other non-profit organizations. Non-profit organizations 
that implement NHPRC programs for the States are also subject to State 
requirements.



Sec. 1210.2  Definitions.

    (a) Accrued expenditures means the charges incurred by the recipient 
during a given period requiring the provision of funds for:
    (1) Goods and other tangible property received;
    (2) Services performed by employees, contractors, subrecipients, and 
other payees; and,
    (3) Other amounts becoming owed under programs for which no current 
services or performance is required.
    (b) Accrued income means the sum of:
    (1) Earnings during a given period from

[[Page 532]]

    (i) Services performed by the recipient, and
    (ii) Goods and other tangible property delivered to purchasers, and
    (2) Amounts becoming owed to the recipient for which no current 
services or performance is required by the recipient.
    (c) Acquisition cost of equipment means the net invoice price of the 
equipment, including the cost of modifications, attachments, 
accessories, or auxiliary apparatus necessary to make the property 
usable for the purpose for which it was acquired. Other charges, such as 
the cost of installation, transportation, taxes, duty or protective in-
transit insurance, shall be included or excluded from the unit 
acquisition cost in accordance with the recipient's regular accounting 
practices.
    (d) Advance means a payment made by Treasury check or other 
appropriate payment mechanism to a recipient upon its request either 
before outlays are made by the recipient or through the use of 
predetermined payment schedules.
    (e) Award means financial assistance that provides support or 
stimulation to accomplish a public purpose. Awards include grants and 
other agreements in the form of money or property in lieu of money, by 
the NHPRC to an eligible recipient. The term does not include: technical 
assistance, which provides services instead of money; other assistance 
in the form of loans, loan guarantees, interest subsidies, or insurance; 
direct payments of any kind to individuals; and, contracts which are 
required to be entered into and administered under procurement laws and 
regulations.
    (f) Cash contributions means the recipient's cash outlay, including 
the outlay of money contributed to the recipient by third parties.
    (g) Closeout means the process by which the NHPRC determines that 
all applicable administrative actions and all required work of the award 
have been completed by the recipient and the NHPRC.
    (h) Contract means a procurement contract under an award or 
subaward, and a procurement subcontract under a recipient's or 
subrecipient's contract.
    (i) Cost sharing or matching means that portion of project or 
program costs not borne by the NHPRC.
    (j) Date of completion means the date on which all work under an 
award is completed or the date on the award document, or any supplement 
or amendment thereto, on which NHPRC sponsorship ends.
    (k) Disallowed costs means those charges to an award that the NHPRC 
determines to be unallowable, in accordance with the applicable Federal 
cost principles or other terms and conditions contained in the award.
    (l) Equipment means tangible nonexpendable personal property 
including exempt property charged directly to the award having a useful 
life of more than one year and an acquisition cost of $5,000 or more per 
unit. However, consistent with recipient policy, lower limits may be 
established.
    (m) Excess property means property under the control of the NHPRC 
that, as determined by the head thereof, is no longer required for its 
needs or the discharge of its responsibilities.
    (n) Exempt property means tangible personal property acquired in 
whole or in part with NHPRC funds, where the NHPRC has statutory 
authority to vest title in the recipient without further obligation to 
the Federal Government. An example of exempt property authority is 
contained in the Federal Grant and Cooperative Agreement Act (31 U.S.C. 
6306), for property acquired under an award to conduct basic or applied 
research by a non-profit institution of higher education or non-profit 
organization whose principal purpose is conducting scientific research.
    (o) Federal awarding agency means the Federal agency that provides 
an award to the recipient.
    (p) Federal funds authorized means the total amount of NHPRC funds 
obligated by the Federal Government for use by the recipient. This 
amount may include any authorized carryover of unobligated funds from 
prior funding periods when permitted by NHPRC regulations or NHPRC 
implementing instructions.
    (q) Federal share of real property, equipment, or supplies means 
that percentage of the property's acquisition

[[Page 533]]

costs and any improvement expenditures paid with NHPRC funds.
    (r) Funding period means the period of time when NHPRC funding is 
available for obligation by the recipient.
    (s) Intangible property and debt instruments means, but is not 
limited to, trademarks, copyrights, patents and patent applications and 
such property as loans, notes and other debt instruments, lease 
agreements, stock and other instruments of property ownership, whether 
considered tangible or intangible.
    (t) NARA means the National Archives and Records Administration.
    (u) NHPRC means the National Historical Publications and Records 
Commission.
    (v) Obligations means the amounts of orders placed, contracts and 
grants awarded, services received and similar transactions during a 
given period that require payment by the recipient during the same or a 
future period.
    (w) Outlays or expenditures means charges made to the project or 
program. They may be reported on a cash or accrual basis. For reports 
prepared on a cash basis, outlays are the sum of cash disbursements for 
direct charges for goods and services, the amount of indirect expense 
charged, the value of third party in-kind contributions applied and the 
amount of cash advances and payments made to subrecipients. For reports 
prepared on an accrual basis, outlays are the sum of cash disbursements 
for direct charges for goods and services, the amount of indirect 
expense incurred, the value of in-kind contributions applied, and the 
net increase (or decrease) in the amounts owed by the recipient for 
goods and other property received, for services performed by employees, 
contractors, subrecipients and other payees and other amounts becoming 
owed under programs for which no current services or performance are 
required.
    (x) Personal property means property of any kind except real 
property. It may be tangible, having physical existence, or intangible, 
having no physical existence, such as copyrights, patents, or 
securities.
    (y) Prior approval means written approval by an authorized official 
evidencing prior consent.
    (z) Program income means gross income earned by the recipient that 
is directly generated by a supported activity or earned as a result of 
the award (see exclusions in Sec. 1210.24 (e) and (h)). Program income 
includes, but is not limited to, income from fees for services 
performed, the use or rental of real or personal property acquired under 
federally-funded projects, the sale of commodities or items fabricated 
under an award, license fees and royalties on patents and copyrights, 
and interest on loans made with award funds. Interest earned on advances 
of Federal funds is not program income. Except as otherwise provided in 
NHPRC regulations or the terms and conditions of the award, program 
income does not include the receipt of principal on loans, rebates, 
credits, discounts, etc., or interest earned on any of them.
    (aa) Project costs means all allowable costs, as set forth in the 
applicable Federal cost principles, incurred by a recipient and the 
value of the contributions made by third parties in accomplishing the 
objectives of the award during the project period.
    (bb) Project period means the period established in the award 
document during which NHPRC sponsorship begins and ends.
    (cc) Property means, unless otherwise stated, real property, 
equipment, intangible property and debt instruments.
    (dd) Real property means land, including land improvements, 
structures and appurtenances thereto, but excludes movable machinery and 
equipment.
    (ee) Recipient means an organization receiving financial assistance 
directly from the NHPRC to carry out a project or program. The term 
includes public and private institutions of higher education, public and 
private hospitals, and other quasi-public and private non-profit 
organizations such as, but not limited to, community action agencies, 
research institutes, educational associations, and health centers. The 
term may include commercial organizations, foreign or international 
organizations (such as agencies of the United Nations) which are 
recipients, subrecipients, or contractors or subcontractors of 
recipients or subrecipients at the discretion of the NHPRC. The term

[[Page 534]]

does not include government-owned contractor-operated facilities or 
research centers providing continued support for mission-oriented, 
large-scale programs that are government-owned or controlled, or are 
designated as federally-funded research and development centers.
    (ff) Research and development means all research activities, both 
basic and applied, and all development activities that are supported at 
universities, colleges, and other non-profit institutions. ``Research'' 
is defined as a systematic study directed toward fuller scientific 
knowledge or understanding of the subject studied. ``Development'' is 
the systematic use of knowledge and understanding gained from research 
directed toward the production of useful materials, devices, systems, or 
methods, including design and development of prototypes and processes. 
The term research also includes activities involving the training of 
individuals in research techniques where such activities utilize the 
same facilities as other research and development activities and where 
such activities are not included in the instruction function.
    (gg) Small awards means a grant or cooperative agreement not 
exceeding the small purchase threshold fixed at 41 U.S.C. 403(11) 
(currently $25,000).
    (hh) Subaward means an award of financial assistance in the form of 
money, or property in lieu of money, made under an award by a recipient 
to an eligible subrecipient or by a subrecipient to a lower tier 
subrecipient. The term includes financial assistance when provided by 
any legal agreement, even if the agreement is called a contract, but 
does not include procurement of goods and services nor does it include 
any form of assistance which is excluded from the definition of 
``award'' in paragraph (e) of this section.
    (ii) Subrecipient means the legal entity to which a subaward is made 
and which is accountable to the recipient for the use of the funds 
provided. The term may include foreign or international organizations 
(such as agencies of the United Nations) at the discretion of the NHPRC.
    (jj) Supplies means all personal property excluding equipment, 
intangible property, and debt instruments as defined in this section, 
and inventions of a contractor conceived or first actually reduced to 
practice in the performance of work under a funding agreement (``subject 
inventions''), as defined in 37 CFR Part 401, ``Rights to Inventions 
Made by Nonprofit Organizations and Small Business Firms Under 
Government Grants, Contracts, and Cooperative Agreements.''
    (kk) Suspension means an action by the NHPRC that temporarily 
withdraws Federal sponsorship under an award, pending corrective action 
by the recipient or pending a decision to terminate the award by the 
NHPRC. Suspension of an award is a separate action from suspension under 
NARA regulations implementing E.O. 12549 and E.O. 12689, ``Debarment and 
Suspension'' (36 CFR Part 1209).
    (ll) Termination means the cancellation of NHPRC sponsorship, in 
whole or in part, under an agreement at any time prior to the date of 
completion.
    (mm) Third party in-kind contributions means the value of non-cash 
contributions provided by non-Federal third parties. Third party in-kind 
contributions may be in the form of real property, equipment, supplies 
and other expendable property, and the value of goods and services 
directly benefiting and specifically identifiable to the project or 
program.
    (nn) Unliquidated obligations, for financial reports prepared on a 
cash basis, means the amount of obligations incurred by the recipient 
that have not been paid. For reports prepared on an accrued expenditure 
basis, they represent the amount of obligations incurred by the 
recipient for which an outlay has not been recorded.
    (oo) Unobligated balance means the portion of the funds authorized 
by the NHPRC that has not been obligated by the recipient and is 
determined by deducting the cumulative obligations from the cumulative 
funds authorized.
    (pp) Unrecovered indirect cost means the difference between the 
amount awarded and the amount which could have been awarded under the 
recipient's approved negotiated indirect cost rate.
    (qq) Working capital advance means a procedure whereby funds are 
advanced

[[Page 535]]

to the recipient to cover its estimated disbursement needs for a given 
initial period.



Sec. 1210.3  Effect on other issuances.

    For awards subject to this part, all administrative requirements of 
codified program regulations, program manuals, handbooks and other 
nonregulatory materials which are inconsistent with the requirements of 
this part shall be superseded, except to the extent they are required by 
statute, or authorized in accordance with the deviations provision in 
Sec. 1210.4.



Sec. 1210.4  Deviations.

    The Office of Management and Budget (OMB) may grant exceptions for 
classes of grants or recipients subject to the requirements of this part 
when exceptions are not prohibited by statute. However, in the interest 
of maximum uniformity, exceptions from the requirements of this part 
shall be permitted only in unusual circumstances. The NHPRC may apply 
more restrictive requirements to a class of recipients when approved by 
OMB. The NHPRC may apply less restrictive requirements when awarding 
small awards, except for those requirements which are statutory. 
Exceptions on a case-by-case basis may also be made by the NHPRC.



Sec. 1210.5  Subawards.

    Unless sections of this part specifically exclude subrecipients from 
coverage, the provisions of this part shall be applied to subrecipients 
performing work under awards if such subrecipients are institutions of 
higher education, hospitals or other non-profit organizations. State and 
local government subrecipients are subject to the provisions of 
regulations implementing the grants management common rule, ``Uniform 
Administrative Requirements for Grants and Cooperative Agreements to 
State and Local Governments,'' published at 36 CFR part 1207.



                    Subpart B--Pre-Award Requirements



Sec. 1210.10  Purpose.

    Sections 1210.11 through 1210.17 prescribes forms and instructions 
and other pre-award matters to be used in applying for NHPRC awards.



Sec. 1210.11  Pre-award policies.

    (a) Use of grants and cooperative agreements, and contracts. In each 
instance, the NHPRC shall decide on the appropriate award instrument 
(i.e., grant, cooperative agreement, or contract). The Federal Grant and 
Cooperative Agreement Act (31 U.S.C. 6301-08) governs the use of grants, 
cooperative agreements and contracts. A grant or cooperative agreement 
shall be used only when the principal purpose of a transaction is to 
accomplish a public purpose of support or stimulation authorized by 
Federal statute. The statutory criterion for choosing between grants and 
cooperative agreements is that for the latter, ``substantial involvement 
is expected between the executive agency and the State, local 
government, or other recipient when carrying out the activity 
contemplated in the agreement.'' Contracts shall be used when the 
principal purpose is acquisition of property or services for the direct 
benefit or use of the Federal Government.
    (b) Public notice and priority setting. The NHPRC shall notify the 
public of its intended funding priorities for discretionary grant 
programs.



Sec. 1210.12  Forms for applying for Federal assistance.

    (a) The NHPRC shall comply with the applicable report clearance 
requirements of 5 CFR Part 1320, ``Controlling Paperwork Burdens on the 
Public,'' with regard to all forms used by the NHPRC in place of or as a 
supplement to the Standard Form 424 (SF-424) series.
    (b) Applicants shall use the SF-424 (Application for Federal 
Assistance) and NA Form 17001 (Budget Form) forms and instructions 
prescribed by

[[Page 536]]

the NHPRC Program Guidelines. OMB Control Number 3095-0004 has been 
assigned to the Budget Form. OMB Control Number 3095-0013 has been 
assigned to the NHPRC Program Guidelines.
    (c) Applicants shall complete the appropriate sections of the SF-424 
(Application for Federal Assistance) indicating whether the application 
was subject to review by the State Single Point of Contact (SPOC) under 
E.O. 12372, ``Intergovernmental Review of Federal Programs.'' The name 
and address of the SPOC for a particular State can be obtained from the 
NHPRC or the Catalog of Federal Domestic Assistance. The SPOC shall 
advise the applicant whether the program for which application is made 
has been selected by that State for review.



Sec. 1210.13  Debarment and suspension.

    The NHPRC and recipients shall comply with the nonprocurement 
debarment and suspension common rule implementing E.O.s 12549 and 12689, 
``Debarment and Suspension'' (36 CFR Part 1209). This common rule 
restricts subawards and contracts with certain parties that are 
debarred, suspended or otherwise excluded from or ineligible for 
participation in Federal assistance programs or activities.



Sec. 1210.14  Special award conditions.

    If an applicant or recipient has a history of poor performance, is 
not financially stable, has a management system that does not meet the 
standards prescribed in this part, has not conformed to the terms and 
conditions of a previous award, or is not otherwise responsible, the 
NHPRC may impose additional requirements as needed, provided that such 
applicant or recipient is notified in writing as to: the nature of the 
additional requirements, the reason why the additional requirements are 
being imposed, the nature of the corrective action needed, the time 
allowed for completing the corrective actions, and the method for 
requesting reconsideration of the additional requirements imposed. Any 
special conditions shall be promptly removed once the conditions that 
prompted them have been corrected.



Sec. 1210.15  Metric system of measurement.

    The Metric Conversion Act, as amended by the Omnibus Trade and 
Competitiveness Act (15 U.S.C. 205) declares that the metric system is 
the preferred measurement system for U.S. trade and commerce. The Act 
requires NARA to establish a date or dates in consultation with the 
Secretary of Commerce, when the metric system of measurement will be 
used in NARA's procurements, grants, and other business-related 
activities. Metric implementation may take longer where the use of the 
system is initially impractical or likely to cause significant 
inefficiencies in the accomplishment of federally-funded activities. 
NARA shall follow the provisions of E.O. 12770, ``Metric Usage in 
Federal Government Programs.''



Sec. 1210.16  Resource Conservation and Recovery Act.

    Under the Resource Conservation and Recovery Act ((RCRA) (Pub. L. 
94-580 codified at 42 U.S.C. 6962), any State agency or agency of a 
political subdivision of a State which is using appropriated Federal 
funds must comply with section 6002. Section 6002 requires that 
preference be given in procurement programs to the purchase of specific 
products containing recycled materials identified in guidelines 
developed by the Environmental Protection Agency (EPA) (40 CFR Parts 247 
through 254). Accordingly, State and local institutions of higher 
education, hospitals, and non-profit organizations that receive direct 
Federal awards or other Federal funds shall give preference in their 
procurement programs funded with Federal funds to the purchase of 
recycled products pursuant to the EPA guidelines.



Sec. 1210.17  Certifications and representations.

    Unless prohibited by statute or codified regulation, the NHPRC is 
authorized to allow recipients to submit certifications and 
representations required by statute, executive order, or regulation on 
an annual basis, if they have an ongoing and continuing relationship 
with the NHPRC. Annual certifications and representations shall be

[[Page 537]]

signed by responsible officials with the authority to ensure recipients' 
compliance with the pertinent requirements.



                   Subpart C--Post-Award Requirements

                    Financial and Program Management



Sec. 1210.20  Purpose of financial and program management.

    Sections 1210.21 through 1210.28 prescribe standards for financial 
management systems, methods for making payments and rules for: 
satisfying cost sharing and matching requirements, accounting for 
program income, budget revision approvals, making audits, determining 
allowability of cost, and establishing fund availability.



Sec. 1210.21  Standards for financial management systems.

    (a) The NHPRC shall require recipients to relate financial data to 
performance data and develop unit cost information whenever practical.
    (b) Recipients' financial management systems shall provide for the 
following.
    (1) Accurate, current and complete disclosure of the financial 
results of each NHPRC-sponsored project or program in accordance with 
the reporting requirements set forth in Sec. 1210.52.
    (2) Records that identify adequately the source and application of 
funds for NHPRC-sponsored activities. These records shall contain 
information pertaining to NHPRC awards, authorizations, obligations, 
unobligated balances, assets, outlays, income and interest.
    (3) Effective control over and accountability for all funds, 
property and other assets. Recipients shall adequately safeguard all 
such assets and assure they are used solely for authorized purposes.
    (4) Comparison of outlays with budget amounts for each award. 
Whenever appropriate, financial information should be related to 
performance and unit cost data.
    (5) Written procedures to minimize the time elapsing between the 
transfer of funds to the recipient from the U.S. Treasury and the 
issuance or redemption of checks, warrants or payments by other means 
for program purposes by the recipient. To the extent that the provisions 
of the Cash Management Improvement Act (CMIA) (Pub. L. 101-453) govern, 
payment methods of State agencies, instrumentalities, and fiscal agents 
shall be consistent with CMIA Treasury-State Agreements or the CMIA 
default procedures codified at 31 CFR Part 205, ``Withdrawal of Cash 
from the Treasury for Advances under Federal Grant and Other Programs.''
    (6) Written procedures for determining the reasonableness, 
allocability and allowability of costs in accordance with the provisions 
of the applicable Federal cost principles and the terms and conditions 
of the award.
    (7) Accounting records including cost accounting records that are 
supported by source documentation.
    (c) Where the Federal Government guarantees or insures the repayment 
of money borrowed by the recipient, the NHPRC, at its discretion, may 
require adequate bonding and insurance if the bonding and insurance 
requirements of the recipient are not deemed adequate to protect the 
interest of the Federal Government.
    (d) The NHPRC may require adequate fidelity bond coverage where the 
recipient lacks sufficient coverage to protect the Federal Government's 
interest.
    (e) Where bonds are required in the situations described in this 
section, the bonds shall be obtained from companies holding certificates 
of authority as acceptable sureties, as prescribed in 31 CFR Part 223, 
``Surety Companies Doing Business with the United States.''



Sec. 1210.22  Payment.

    (a) Payment methods shall minimize the time elapsing between the 
transfer of funds from the United States Treasury and the issuance or 
redemption of checks, warrants, or payment by other means by the 
recipients. Payment methods of State agencies or instrumentalities shall 
be consistent with Treasury-State CMIA agreements or default procedures 
codified at 31 CFR Part 205.
    (b) Recipients will be paid in advance, provided they maintain or 
demonstrate the willingness to maintain written procedures that minimize 
the

[[Page 538]]

time elapsing between the transfer of funds and disbursement by the 
recipient, and financial management systems that meet the standards for 
fund control and accountability as established in Sec. 1210.21. Cash 
advances to a recipient organization shall be limited to the minimum 
amounts needed and be timed to be in accordance with the actual, 
immediate cash requirements of the recipient organization in carrying 
out the purpose of the approved program or project. The timing and 
amount of cash advances shall be as close as is administratively 
feasible to the actual disbursements by the recipient organization for 
direct program or project costs and the proportionate share of any 
allowable indirect costs.
    (c) Whenever possible, advances shall be consolidated to cover 
anticipated cash needs for all awards made by the NHPRC to the 
recipient.
    (1) Advance payment mechanisms include, but are not limited to, 
Treasury check and electronic funds transfer.
    (2) Advance payment mechanisms are subject to 31 CFR Part 205.
    (3) Recipients can submit requests for advances and reimbursements 
at least monthly when a predetermined schedule of electronic funds 
transfer is not used.
    (d) Requests for Treasury check advance payment shall be submitted 
on SF-270, ``Request for Advance or Reimbursement,'' or other forms as 
may be authorized by OMB. This form is not to be used when Treasury 
check advance payments are made to the recipient automatically through 
the use of a predetermined payment schedule or if precluded by special 
NHPRC instructions for electronic funds transfer.
    (e) Reimbursement is the preferred method when the requirements in 
paragraph (b) of this section cannot be met.
    (1) When the reimbursement method is used, the NHPRC shall make 
payment within 30 days after receipt of the billing, unless the billing 
is improper.
    (2) Recipients can submit a request for reimbursement at least 
monthly when a predetermined schedule of electronic funds transfer is 
not used.
    (f) If a recipient cannot meet the criteria for advance payments and 
the NHPRC has determined that reimbursement is not feasible because the 
recipient lacks sufficient working capital, the NHPRC may provide cash 
on a working capital advance basis. Under this procedure, the NHPRC 
shall advance cash to the recipient to cover its estimated disbursement 
needs for an initial period generally geared to the awardee's disbursing 
cycle. Thereafter, the NHPRC shall reimburse the recipient for its 
actual cash disbursements. The working capital advance method of payment 
shall not be used for recipients unwilling or unable to provide timely 
advances to their subrecipient to meet the subrecipient's actual cash 
disbursements.
    (g) To the extent available, recipients shall disburse funds 
available from repayments to and interest earned on a revolving fund, 
program income, rebates, refunds, contract settlements, audit recoveries 
and interest earned on such funds before requesting additional cash 
payments.
    (h) Unless otherwise required by statute, the NHPRC shall not 
withhold payments for proper charges made by recipients at any time 
during the project period unless paragraph (h)(1) or (2) of this section 
apply.
    (1) A recipient has failed to comply with the project objectives, 
the terms and conditions of the award, or NHPRC reporting requirements.
    (2) The recipient or subrecipient is delinquent in a debt to the 
United States as defined in OMB Circular A-129, ``Managing Federal 
Credit Programs.'' Under such conditions, the NHPRC may, upon reasonable 
notice, inform the recipient that payments shall not be made for 
obligations incurred after a specified date until the conditions are 
corrected or the indebtedness to the Federal Government is liquidated.
    (i) Standards governing the use of banks and other institutions as 
depositories of funds advanced under awards are as follows.
    (1) Except for situations described in paragraph (i)(2) of this 
section, the NHPRC shall not require separate depository accounts for 
funds provided to a recipient or establish any eligibility requirements 
for depositories for funds provided to a recipient. However, recipients 
must be able to account for

[[Page 539]]

the receipt, obligation and expenditure of funds.
    (2) Advances of NHPRC funds shall be deposited and maintained in 
insured accounts whenever possible.
    (j) Consistent with the national goal of expanding the opportunities 
for women-owned and minority-owned business enterprises, recipients 
shall be encouraged to use women-owned and minority-owned banks (a bank 
which is owned at least 50 percent by women or minority group members).
    (k) Recipients shall maintain advances of NHPRC funds in interest 
bearing accounts, unless paragraphs (k)(1), (2) or (3) of this section 
apply.
    (1) The recipient receives less than $120,000 in Federal awards per 
year.
    (2) The best reasonably available interest bearing account would not 
be expected to earn interest in excess of $250 per year on Federal cash 
balances.
    (3) The depository would require an average or minimum balance so 
high that it would not be feasible within the expected Federal and non-
Federal cash resources.
    (l) In keeping with Electronic Funds Transfer rules (31 CFR Part 
206), interest earned should be remitted annually to the Department of 
Health and Human Services (HHS) Payment Management System through an 
electronic medium such as the FEDWIRE Deposit system. Recipients which 
do not have this capability should use a check and mail it to the 
Payment Management System, P.O. Box 6021, Rockville, MD 20852. Interest 
amounts up to $250 per year may be retained by the recipient for 
administrative expense. State universities and hospitals shall comply 
with CMIA, as it pertains to interest. If an entity subject to CMIA uses 
its own funds to pay pre-award costs for discretionary awards without 
prior written approval from the NHPRC, it waives its right to recover 
the interest under CMIA.
    (m) Except as noted elsewhere in this part, only the SF-270, Request 
for Advance or Reimbursement, shall be authorized for the recipients in 
requesting advances and reimbursements. The NHPRC requires an original 
and two copies of this form.



Sec. 1210.23  Cost sharing or matching.

    (a) All contributions, including cash and third party in-kind, shall 
be accepted as part of the recipient's cost sharing or matching when 
such contributions meet all of the following criteria.
    (1) Are verifiable from the recipient's records.
    (2) Are not included as contributions for any other federally-
assisted project or program.
    (3) Are necessary and reasonable for proper and efficient 
accomplishment of project or program objectives.
    (4) Are allowable under the applicable cost principles.
    (5) Are not paid by the Federal Government under another award, 
except where authorized by Federal statute to be used for cost sharing 
or matching.
    (6) Are provided for in the approved budget when required by the 
NHPRC.
    (7) Conform to other provisions of this part, as applicable.
    (b) Unrecovered indirect costs may be included as part of cost 
sharing or matching only with the prior approval of the NHPRC.
    (c) Values for recipient contributions of services and property 
shall be established in accordance with the applicable cost principles. 
If the NHPRC authorizes recipients to donate buildings or land for 
construction/facilities acquisition projects or long-term use, the value 
of the donated property for cost sharing or matching shall be the lesser 
of paragraph (c)(1) or (2) of this section.
    (1) The certified value of the remaining life of the property 
recorded in the recipient's accounting records at the time of donation.
    (2) The current fair market value. However, when there is sufficient 
justification, the NHPRC may approve the use of the current fair market 
value of the donated property, even if it exceeds the certified value at 
the time of donation to the project.
    (d) Volunteer services furnished by professional and technical 
personnel, consultants, and other skilled and unskilled labor may be 
counted as cost sharing or matching if the service is an integral and 
necessary part of an approved project or program. Rates for volunteer 
services shall be consistent with those paid for similar work in the

[[Page 540]]

recipient's organization. In those instances in which the required 
skills are not found in the recipient organization, rates shall be 
consistent with those paid for similar work in the labor market in which 
the recipient competes for the kind of services involved. In either 
case, paid fringe benefits that are reasonable, allowable, and allocable 
may be included in the valuation.
    (e) When an employer other than the recipient furnishes the services 
of an employee, these services shall be valued at the employee's regular 
rate of pay (plus an amount of fringe benefits that are reasonable, 
allowable, and allocable, but exclusive of overhead costs), provided 
these services are in the same skill for which the employee is normally 
paid.
    (f) Donated supplies may include such items as expendable equipment, 
office supplies, laboratory supplies or workshop and classroom supplies. 
Value assessed to donated supplies included in the cost sharing or 
matching share shall be reasonable and shall not exceed the fair market 
value of the property at the time of the donation.
    (g) The method used for determining cost sharing or matching for 
donated equipment, buildings and land for which title passes to the 
recipient may differ according to the purpose of the award, if paragraph 
(g)(1) or (2) of this section apply.
    (1) If the purpose of the award is to assist the recipient in the 
acquisition of equipment, buildings or land, the total value of the 
donated property may be claimed as cost sharing or matching.
    (2) If the purpose of the award is to support activities that 
require the use of equipment, buildings or land, normally only 
depreciation or use charges for equipment and buildings may be made. 
However, the full value of equipment or other capital assets and fair 
rental charges for land may be allowed, provided that the NHPRC has 
approved the charges.
    (h) The value of donated property shall be determined in accordance 
with the usual accounting policies of the recipient, with the following 
qualifications.
    (1) The value of donated land and buildings shall not exceed its 
fair market value at the time of donation to the recipient as 
established by an independent appraiser (e.g., certified real property 
appraiser or General Services Administration representative) and 
certified by a responsible official of the recipient.
    (2) The value of donated equipment shall not exceed the fair market 
value of equipment of the same age and condition at the time of 
donation.
    (3) The value of donated space shall not exceed the fair rental 
value of comparable space as established by an independent appraisal of 
comparable space and facilities in a privately-owned building in the 
same locality.
    (4) The value of loaned equipment shall not exceed its fair rental 
value.
    (5) The following requirements pertain to the recipient's supporting 
records for in-kind contributions from third parties.
    (i) Volunteer services shall be documented and, to the extent 
feasible, supported by the same methods used by the recipient for its 
own employees.
    (ii) The basis for determining the valuation for personal service, 
material, equipment, buildings and land shall be documented.



Sec. 1210.24  Program income.

    (a) The NHPRC applies the standards set forth in this section in 
requiring recipient organizations to account for program income related 
to projects financed in whole or in part with Federal funds.
    (b) Except as provided in paragraph (h) of this section, program 
income earned during the project period shall be retained by the 
recipient and, in accordance with these regulations or the terms and 
conditions of the award, shall be used in one or more of the ways listed 
in the following.
    (1) Added to funds committed to the project by the NHPRC and 
recipient and used to further eligible project or program objectives.
    (2) Used to finance the non-Federal share of the project or program.
    (3) Deducted from the total project or program allowable cost in 
determining the net allowable costs on which the Federal share of costs 
is based.

[[Page 541]]

    (c) When the NHPRC authorizes the disposition of program income as 
described in paragraphs (b)(1) or (b)(2) of this section, program income 
in excess of any limits stipulated shall be used in accordance with 
paragraph (b)(3) of this section.
    (d) In the event that the NHPRC does not specify in its regulations 
or the terms and conditions of the award how program income is to be 
used, paragraph (b)(3) of this section shall apply automatically to all 
projects or programs except research. For awards that support research, 
paragraph (b)(1) of this section shall apply automatically unless the 
NHPRC indicates in the terms and conditions another alternative on the 
award or the recipient is subject to special award conditions, as 
indicated in Sec. 1210.14.
    (e) Unless NHPRC regulations or the terms and conditions of the 
award provide otherwise, recipients shall have no obligation to the 
Federal Government regarding program income earned after the end of the 
project period.
    (f) If authorized by NHPRC regulations or the terms and conditions 
of the award, costs incident to the generation of program income may be 
deducted from gross income to determine program income, provided these 
costs have not been charged to the award.
    (g) Proceeds from the sale of property shall be handled in 
accordance with the requirements of the Property Standards (See 
Secs. 1210.30 through 1210.37).
    (h) Unless NHPRC regulations or the terms and condition of the award 
provide otherwise, recipients shall have no obligation to the Federal 
Government with respect to program income earned from license fees and 
royalties for copyrighted material, patents, patent applications, 
trademarks, and inventions produced under an award. However, Patent and 
Trademark Amendments (35 U.S.C. 18) apply to inventions made under an 
experimental, developmental, or research award.



Sec. 1210.25  Revision of budget and program plans.

    (a) The budget plan is the financial expression of the project or 
program as approved during the award process. It may include either the 
Federal and non-Federal share, or only the Federal share, depending upon 
NHPRC requirements. It shall be related to performance for program 
evaluation purposes whenever appropriate.
    (b) Recipients are required to report deviations from budget and 
program plans, and request prior approvals for budget and program plan 
revisions, in accordance with this section.
    (c) Recipients shall request prior approvals from the NHPRC for one 
or more of the following program or budget related reasons.
    (1) Change in the scope or the objective of the project or program 
(even if there is no associated budget revision requiring prior written 
approval).
    (2) Change in a key person specified in the application or award 
document.
    (3) The absence for more than three months, or a 25 percent 
reduction in time devoted to the project, by the approved project 
director or principal investigator.
    (4) The need for additional NHPRC funding.
    (5) The transfer of amounts budgeted for indirect costs to absorb 
increases in direct costs, or vice versa, if approval is required by the 
NHPRC.
    (6) The inclusion, unless waived by the NHPRC, of costs that require 
prior approval in accordance with OMB Circular A-21, ``Cost Principles 
for Institutions of Higher Education,'' OMB Circular A-122, ``Cost 
Principles for Non-Profit Organizations,'' or 45 CFR Part 74 Appendix E, 
``Principles for Determining Costs Applicable to Research and 
Development under Grants and Contracts with Hospitals,'' or 48 CFR Part 
31, ``Contract Cost Principles and Procedures,'' as applicable.
    (7) The transfer of funds allotted for training allowances (direct 
payment to trainees) to other categories of expense.
    (8) Unless described in the application and funded in the approved 
awards, the subaward, transfer or contracting out of any work under an 
award. This provision does not apply to the purchase of supplies, 
material, equipment or general support services.
    (d) No other prior approval requirements for specific items will be 
imposed unless a deviation has been approved by OMB.

[[Page 542]]

    (e) Except for requirements listed in paragraphs (c)(1) and (c)(4) 
of this section, the NHPRC is authorized, at their option, to waive 
cost-related and administrative prior written approvals required by this 
Circular and OMB Circulars A-21 and A-122. Such waivers may include 
authorizing recipients to do any one or more of the following.
    (1) Incur pre-award costs 90 calendar days prior to award or more 
than 90 calendar days with the prior approval of the NHPRC. All pre-
award costs are incurred at the recipient's risk (i.e., the NHPRC is 
under no obligation to reimburse such costs if for any reason the 
recipient does not receive an award or if the award is less than 
anticipated and inadequate to cover such costs).
    (2) Initiate a one-time extension of the expiration date of the 
award of up to 12 months unless one or more of the following conditions 
apply. For one-time extensions, the recipient must notify the NHPRC in 
writing with the supporting reasons and revised expiration date at least 
10 days before the expiration date specified in the award. This one-time 
extension may not be exercised merely for the purpose of using 
unobligated balances.
    (i) The terms and conditions of award prohibit the extension.
    (ii) The extension requires additional NHPRC funds.
    (iii) The extension involves any change in the approved objectives 
or scope of the project.
    (3) Carry forward unobligated balances to subsequent funding 
periods.
    (4) For awards that support research, unless the NHPRC provides 
otherwise in the award or in NHPRC's regulations, the prior approval 
requirements described in paragraph (e) of this section are 
automatically waived (i.e., recipients need not obtain such prior 
approvals) unless one of the conditions included in paragraph (e)(2) of 
this section applies.
    (f) The NHPRC may, at its option, restrict the transfer of funds 
among direct cost categories or programs, functions and activities for 
awards in which the Federal share of the project exceeds $100,000 and 
the cumulative amount of such transfers exceeds or is expected to exceed 
10 percent of the total budget as last approved by the NHPRC. The NHPRC 
shall not permit a transfer that would cause any Federal appropriation 
or part thereof to be used for purposes other than those consistent with 
the original intent of the appropriation.
    (g) All other changes to nonconstruction budgets, except for the 
changes described in paragraph (j), do not require prior approval.
    (h) [Reserved]
    (i) No other prior approval requirements for specific items will be 
imposed unless a deviation has been approved by OMB.
    (j) The NHPRC shall require recipients to notify the NHPRC in 
writing promptly whenever the amount of Federal authorized funds is 
expected to exceed the needs of the recipient for the project period by 
more than $5,000 or five percent of the NHPRC award, whichever is 
greater. This notification shall not be required if an application for 
additional funding is submitted for a continuation award.
    (k) When requesting approval for budget revisions, recipients shall 
use the budget forms that were used in the application unless the NHPRC 
indicates a letter of request suffices.
    (l) Within 30 calendar days from the date of receipt of the request 
for budget revisions, the NHPRC shall review the request and notify the 
recipient whether the budget revisions have been approved. If the 
revision is still under consideration at the end of 30 calendar days, 
the NHPRC shall inform the recipient in writing of the date when the 
recipient may expect the decision.



Sec. 1210.26  Non-Federal audits.

    (a) Recipients and subrecipients that are institutions of higher 
education or other non-profit organizations (including hospitals) shall 
be subject to the audit requirements contained in the Single Audit Act 
Amendments of 1996 (31 U.S.C. 7501-7507) and revised OMB Circular A-133, 
``Audits of States, Local Governments, and Non-Profit Organizations.''
    (b) State and local governments shall be subject to the audit 
requirements contained in the Single Audit Act Amendments of 1996 (31 
U.S.C. 7501-7507) and revised OMB Circular A-133,

[[Page 543]]

``Audits of States, Local Governments, and Non-Profit Organizations.''
    (c) For-profit hospitals not covered by the audit provisions of 
revised OMB Circular A-133 shall be subject to the audit requirements of 
the Federal awarding agencies.
[62 FR 45939, 45943, Aug. 29, 1997]



Sec. 1210.27  Allowable costs.

    For each kind of recipient, there is a set of Federal principles for 
determining allowable costs. Allowability of costs shall be determined 
in accordance with the cost principles applicable to the entity 
incurring the costs. Thus, allowability of costs incurred by State, 
local or federally-recognized Indian tribal governments is determined in 
accordance with the provisions of OMB Circular A-87, ``Cost Principles 
for State and Local Governments.'' The allowability of costs incurred by 
non-profit organizations is determined in accordance with the provisions 
of OMB Circular A-122, ``Cost Principles for Non-Profit Organizations.'' 
The allowability of costs incurred by institutions of higher education 
is determined in accordance with the provisions of OMB Circular A-21, 
``Cost Principles for Educational Institutions.'' The allowability of 
costs incurred by hospitals is determined in accordance with the 
provisions of Appendix E of 45 CFR Part 74, ``Principles for Determining 
Costs Applicable to Research and Development Under Grants and Contracts 
with Hospitals.'' The allowability of costs incurred those non-profit 
organizations listed in Attachment C to Circular A-122 is determined in 
accordance with the provisions of the Federal Acquisition Regulation 
(FAR) at 48 CFR Part 31.



Sec. 1210.28  Period of availability of funds.

    Where a funding period is specified, a recipient may charge to the 
grant only allowable costs resulting from obligations incurred during 
the funding period and any pre-award costs authorized by the NHPRC.

                           Property Standards



Sec. 1210.30  Purpose of property standards.

    Sections 1210.31 through 1210.37 set forth uniform standards 
governing management and disposition of property furnished by the 
Federal Government whose cost was charged to a project supported by an 
NHPRC award. The NHPRC requires recipients to observe these standards 
under awards and shall not impose additional requirements, unless 
specifically required by Federal statute. The recipient may use its own 
property management standards and procedures provided it observes the 
provisions of Secs. 1210.31 through 1210.37.



Sec. 1210.31  Insurance coverage.

    Recipients shall, at a minimum, provide the equivalent insurance 
coverage for real property and equipment acquired with NHPRC funds as 
provided to property owned by the recipient. Federally-owned property 
need not be insured unless required by the terms and conditions of the 
award.



Sec. 1210.32  Real property.

    The NHPRC shall prescribe requirements for recipients concerning the 
use and disposition of real property acquired in whole or in part under 
awards. Unless otherwise provided by statute, such requirements, at a 
minimum, shall contain the following.
    (a) Title to real property shall vest in the recipient subject to 
the condition that the recipient shall use the real property for the 
authorized purpose of the project as long as it is needed and shall not 
encumber the property without approval of the NHPRC.
    (b) The recipient shall obtain written approval by the NHPRC for the 
use of real property in other federally-sponsored projects when the 
recipient determines that the property is no longer needed for the 
purpose of the original project. Use in other projects shall be limited 
to those under federally-sponsored projects (i.e., awards) or programs 
that have purposes consistent with those authorized for support by the 
NHPRC.

[[Page 544]]

    (c) When the real property is no longer needed as provided in 
paragraphs (a) and (b) of this section, the recipient shall request 
disposition instructions from the NHPRC or its successor Federal 
awarding agency. The NHPRC shall observe one or more of the following 
disposition instructions.
    (1) The recipient may be permitted to retain title without further 
obligation to the Federal Government after it compensates the Federal 
Government for that percentage of the current fair market value of the 
property attributable to the Federal participation in the project.
    (2) The recipient may be directed to sell the property under 
guidelines provided by the NHPRC and pay the Federal Government for that 
percentage of the current fair market value of the property attributable 
to the Federal participation in the project (after deducting actual and 
reasonable selling and fix-up expenses, if any, from the sales 
proceeds). When the recipient is authorized or required to sell the 
property, proper sales procedures shall be established that provide for 
competition to the extent practicable and result in the highest possible 
return.
    (3) The recipient may be directed to transfer title to the property 
to the Federal Government or to an eligible third party provided that, 
in such cases, the recipient shall be entitled to compensation for its 
attributable percentage of the current fair market value of the 
property.



Sec. 1210.33  Federally-owned and exempt property.

    (a) Federally-owned property.
    (1) Title to federally-owned property remains vested in the Federal 
Government. Recipients shall submit annually an inventory listing of 
federally-owned property in their custody to the NHPRC. Upon completion 
of the award or when the property is no longer needed, the recipient 
shall report the property to the NHPRC for further Federal agency 
utilization.
    (2) If the NHPRC has no further need for the property, it shall be 
declared excess and reported to the General Services Administration. 
Appropriate instructions shall be issued to the recipient by the NHPRC.
    (b) Exempt property. When statutory authority exists, the NHPRC has 
the option to vest title to property acquired with Federal funds in the 
recipient without further obligation to the Federal Government and under 
conditions the NHPRC considers appropriate. Such property is ``exempt 
property.'' Should the NHPRC not establish conditions, title to exempt 
property upon acquisition shall vest in the recipient without further 
obligation to the Federal Government.



Sec. 1210.34  Equipment.

    (a) Title to equipment acquired by a recipient with NHPRC funds 
shall vest in the recipient, subject to conditions of this section.
    (b) The recipient shall not use equipment acquired with NHPRC funds 
to provide services to non-Federal outside organizations for a fee that 
is less than private companies charge for equivalent services, unless 
specifically authorized by Federal statute, for as long as the Federal 
Government retains an interest in the equipment.
    (c) The recipient shall use the equipment in the project or program 
for which it was acquired as long as needed, whether or not the project 
or program continues to be supported by Federal funds and shall not 
encumber the property without approval of the NHPRC. When no longer 
needed for the original project or program, the recipient shall use the 
equipment in connection with its other federally-sponsored activities, 
in the following order of priority:
    (1) Activities sponsored by the NHPRC which funded the original 
project, then
    (2) Activities sponsored by other Federal awarding agencies.
    (d) During the time that equipment is used on the project or program 
for which it was acquired, the recipient shall make it available for use 
on other projects or programs if such other use will not interfere with 
the work on the project or program for which the equipment was 
originally acquired. First preference for such other use shall be given 
to other projects or programs sponsored by the NHPRC that financed the 
equipment; second preference shall

[[Page 545]]

be given to projects or programs sponsored by other Federal awarding 
agencies. If the equipment is owned by the Federal Government, use on 
other activities not sponsored by the Federal Government shall be 
permissible if authorized by the NHPRC. User charges shall be treated as 
program income.
    (e) When acquiring replacement equipment, the recipient may use the 
equipment to be replaced as trade-in or sell the equipment and use the 
proceeds to offset the costs of the replacement equipment subject to the 
approval of the NHPRC.
    (f) The recipient's property management standards for equipment 
acquired with Federal funds and federally-owned equipment shall include 
all of the following.
    (1) Equipment records shall be maintained accurately and shall 
include the following information.
    (i) A description of the equipment.
    (ii) Manufacturer's serial number, model number, Federal stock 
number, national stock number, or other identification number.
    (iii) Source of the equipment, including the award number.
    (iv) Whether title vests in the recipient or the Federal Government.
    (v) Acquisition date (or date received, if the equipment was 
furnished by the Federal Government) and cost.
    (vi) Information from which one can calculate the percentage of 
Federal participation in the cost of the equipment (not applicable to 
equipment furnished by the Federal Government).
    (vii) Location and condition of the equipment and the date the 
information was reported.
    (viii) Unit acquisition cost.
    (ix) Ultimate disposition data, including date of disposal and sales 
price or the method used to determine current fair market value where a 
recipient compensates the NHPRC for its share.
    (2) Equipment owned by the Federal Government shall be identified to 
indicate Federal ownership.
    (3) A physical inventory of equipment shall be taken and the results 
reconciled with the equipment records at least once every two years. Any 
differences between quantities determined by the physical inspection and 
those shown in the accounting records shall be investigated to determine 
the causes of the difference. The recipient shall, in connection with 
the inventory, verify the existence, current utilization, and continued 
need for the equipment.
    (4) A control system shall be in effect to insure adequate 
safeguards to prevent loss, damage, or theft of the equipment. Any loss, 
damage, or theft of equipment shall be investigated and fully 
documented; if the equipment was owned by the Federal Government, the 
recipient shall promptly notify the NHPRC.
    (5) Adequate maintenance procedures shall be implemented to keep the 
equipment in good condition.
    (6) Where the recipient is authorized or required to sell the 
equipment, proper sales procedures shall be established which provide 
for competition to the extent practicable and result in the highest 
possible return.
    (g) When the recipient no longer needs the equipment, the equipment 
may be used for other activities in accordance with the following 
standards. For equipment with a current per unit fair market value of 
$5,000 or more, the recipient may retain the equipment for other uses 
provided that compensation is made to the NHPRC or its successor. The 
amount of compensation shall be computed by applying the percentage of 
Federal participation in the cost of the original project or program to 
the current fair market value of the equipment. If the recipient has no 
need for the equipment, the recipient shall request disposition 
instructions from the NHPRC. The NHPRC shall determine whether the 
equipment can be used to meet the NHPRC's requirements. If no 
requirement exists within the NHPRC, the availability of the equipment 
shall be reported to the General Services Administration by the NHPRC to 
determine whether a requirement for the equipment exists in other 
Federal agencies. The NHPRC shall issue instructions to the recipient no 
later than 120 calendar days after the recipient's request and the 
following procedures shall govern.
    (1) If so instructed or if disposition instructions are not issued 
within 120

[[Page 546]]

calendar days after the recipient's request, the recipient shall sell 
the equipment and reimburse the NHPRC an amount computed by applying to 
the sales proceeds the percentage of Federal participation in the cost 
of the original project or program. However, the recipient shall be 
permitted to deduct and retain from the Federal share $500 or ten 
percent of the proceeds, whichever is less, for the recipient's selling 
and handling expenses.
    (2) If the recipient is instructed to ship the equipment elsewhere, 
the recipient shall be reimbursed by the Federal Government by an amount 
which is computed by applying the percentage of the recipient's 
participation in the cost of the original project or program to the 
current fair market value of the equipment, plus any reasonable shipping 
or interim storage costs incurred.
    (3) If the recipient is instructed to otherwise dispose of the 
equipment, the recipient shall be reimbursed by the NHPRC for such costs 
incurred in its disposition.
    (4) The NHPRC reserves the right to transfer the title to the 
Federal Government or to a third party named by the Federal Government 
when such third party is otherwise eligible under existing statutes. 
Such transfer shall be subject to the following standards.
    (i) The equipment shall be appropriately identified in the award or 
otherwise made known to the recipient in writing.
    (ii) The NHPRC shall issue disposition instructions within 120 
calendar days after receipt of a final inventory. The final inventory 
shall list all equipment acquired with grant funds and federally-owned 
equipment. If the NHPRC fails to issue disposition instructions within 
the 120 calendar day period, the recipient shall apply the standards of 
this section, as appropriate.
    (iii) When the NHPRC exercises its right to take title, the 
equipment shall be subject to the provisions for federally-owned 
equipment.



Sec. 1210.35  Supplies and other expendable property.

    (a) Title to supplies and other expendable property shall vest in 
the recipient upon acquisition. If there is a residual inventory of 
unused supplies exceeding $5,000 in total aggregate value upon 
termination or completion of the project or program and the supplies are 
not needed for any other federally-sponsored project or program, the 
recipient shall retain the supplies for use on non-Federal sponsored 
activities or sell them, but shall, in either case, compensate the NHPRC 
for its share. The amount of compensation shall be computed in the same 
manner as for equipment.
    (b) The recipient shall not use supplies acquired with NHPRC funds 
to provide services to non-Federal outside organizations for a fee that 
is less than private companies charge for equivalent services, unless 
specifically authorized by Federal statute as long as the Federal 
Government retains an interest in the supplies.



Sec. 1210.36  Intangible property.

    (a) The recipient may copyright any work that is subject to 
copyright and was developed, or for which ownership was purchased, under 
an award. The NHPRC reserves a royalty-free, nonexclusive and 
irrevocable right to reproduce, publish, or otherwise use the work for 
Federal purposes, and to authorize others to do so.
    (b) Recipients are subject to applicable regulations governing 
patents and inventions, including government-wide regulations issued by 
the Department of Commerce at 37 CFR Part 401, ``Rights to Inventions 
Made by Nonprofit Organizations and Small Business Firms Under 
Government Grants, Contracts and Cooperative Agreements.''
    (c) Unless waived by the NHPRC, the Federal Government has the right 
to:
    (1) Obtain, reproduce, publish or otherwise use the data first 
produced under an award; and
    (2) Authorize others to receive, reproduce, publish, or otherwise 
use such data for Federal purposes.
    (d) Title to intangible property and debt instruments acquired under 
an award or subaward vests upon acquisition in the recipient. The 
recipient

[[Page 547]]

shall use that property for the originally-authorized purpose, and the 
recipient shall not encumber the property without approval of the NHPRC. 
When no longer needed for the originally authorized purpose, disposition 
of the intangible property shall occur in accordance with the provisions 
of Sec. 1210.34(g).



Sec. 1210.37  Property trust relationship.

    Real property, equipment, intangible property and debt instruments 
that are acquired or improved with NHPRC funds shall be held in trust by 
the recipient as trustee for the beneficiaries of the project or program 
under which the property was acquired or improved. The NHPRC may require 
recipients to record liens or other appropriate notices of record to 
indicate that personal or real property has been acquired or improved 
with Federal funds and that use and disposition conditions apply to the 
property.

                          Procurement Standards



Sec. 1210.40  Purpose of procurement standards.

    Sections 1210.41 through 1210.48 set forth standards for use by 
recipients in establishing procedures for the procurement of supplies 
and other expendable property, equipment, real property and other 
services with NHPRC funds. These standards are furnished to ensure that 
such materials and services are obtained in an effective manner and in 
compliance with the provisions of applicable Federal statutes and 
executive orders. No additional procurement standards or requirements 
shall be imposed by the NHPRC upon recipients, unless specifically 
required by Federal statute or executive order or approved by OMB.



Sec. 1210.41  Recipient responsibilities.

    The standards contained in this section do not relieve the recipient 
of the contractual responsibilities arising under its contract(s). The 
recipient is the responsible authority, without recourse to the NHPRC, 
regarding the settlement and satisfaction of all contractual and 
administrative issues arising out of procurements entered into in 
support of an award or other agreement. This includes disputes, claims, 
protests of award, source evaluation or other matters of a contractual 
nature. Matters concerning violation of statute are to be referred to 
such Federal, State or local authority as may have proper jurisdiction.



Sec. 1210.42  Codes of conduct.

    The recipient shall maintain written standards of conduct governing 
the performance of its employees engaged in the award and administration 
of contracts. No employee, officer, or agent shall participate in the 
selection, award, or administration of a contract supported by Federal 
funds if a real or apparent conflict of interest would be involved. Such 
a conflict would arise when the employee, officer, or agent, any member 
of his or her immediate family, his or her partner, or an organization 
which employs or is about to employ any of the parties indicated herein, 
has a financial or other interest in the firm selected for an award. The 
officers, employees, and agents of the recipient shall neither solicit 
nor accept gratuities, favors, or anything of monetary value from 
contractors, or parties to subagreements. However, recipients may set 
standards for situations in which the financial interest is not 
substantial or the gift is an unsolicited item of nominal value. The 
standards of conduct shall provide for disciplinary actions to be 
applied for violations of such standards by officers, employees, or 
agents of the recipient.



Sec. 1210.43  Competition.

    All procurement transactions shall be conducted in a manner to 
provide, to the maximum extent practical, open and free competition. The 
recipient shall be alert to organizational conflicts of interest as well 
as noncompetitive practices among contractors that may restrict or 
eliminate competition or otherwise restrain trade. In order to ensure 
objective contractor performance and eliminate unfair competitive 
advantage, contractors that develop or draft specifications, 
requirements, statements of work, invitations for bids and/or requests 
for proposals shall be excluded from competing for such procurements. 
Awards shall be made to

[[Page 548]]

the bidder or offeror whose bid or offer is responsive to the 
solicitation and is most advantageous to the recipient, price, quality 
and other factors considered. Solicitations shall clearly set forth all 
requirements that the bidder or offeror shall fulfill in order for the 
bid or offer to be evaluated by the recipient. Any and all bids or 
offers may be rejected when it is in the recipient's interest to do so.



Sec. 1210.44  Procurement procedures.

    (a) All recipients shall establish written procurement procedures. 
These procedures shall provide for, at a minimum, that paragraphs (a) 
(1), (2) and (3) of this section apply.
    (1) Recipients avoid purchasing unnecessary items.
    (2) Where appropriate, an analysis is made of lease and purchase 
alternatives to determine which would be the most economical and 
practical procurement for the Federal Government.
    (3) Solicitations for goods and services provide for all of the 
following.
    (i) A clear and accurate description of the technical requirements 
for the material, product or service to be procured. In competitive 
procurements, such a description shall not contain features which unduly 
restrict competition.
    (ii) Requirements which the bidder/offeror must fulfill and all 
other factors to be used in evaluating bids or proposals.
    (iii) A description, whenever practicable, of technical requirements 
in terms of functions to be performed or performance required, including 
the range of acceptable characteristics or minimum acceptable standards.
    (iv) The specific features of ``brand name or equal'' descriptions 
that bidders are required to meet when such items are included in the 
solicitation.
    (v) The acceptance, to the extent practicable and economically 
feasible, of products and services dimensioned in the metric system of 
measurement.
    (vi) Preference, to the extent practicable and economically 
feasible, for products and services that conserve natural resources and 
protect the environment and are energy efficient.
    (b) Positive efforts shall be made by recipients to utilize small 
businesses, minority-owned firms, and women's business enterprises, 
whenever possible. Recipients of Federal awards shall take all of the 
following steps to further this goal.
    (1) Ensure that small businesses, minority-owned firms, and women's 
business enterprises are used to the fullest extent practicable.
    (2) Make information on forthcoming opportunities available and 
arrange time frames for purchases and contracts to encourage and 
facilitate participation by small businesses, minority-owned firms, and 
women's business enterprises.
    (3) Consider in the contract process whether firms competing for 
larger contracts intend to subcontract with small businesses, minority-
owned firms, and women's business enterprises.
    (4) Encourage contracting with consortiums of small businesses, 
minority-owned firms and women's business enterprises when a contract is 
too large for one of these firms to handle individually.
    (5) Use the services and assistance, as appropriate, of such 
organizations as the Small Business Administration and the Department of 
Commerce's Minority Business Development Agency in the solicitation and 
utilization of small businesses, minority-owned firms and women's 
business enterprises.
    (c) The type of procuring instruments used (e.g., fixed price 
contracts, cost reimbursable contracts, purchase orders, and incentive 
contracts) shall be determined by the recipient but shall be appropriate 
for the particular procurement and for promoting the best interest of 
the program or project involved. The ``cost-plus-a-percentage-of-cost'' 
or ``percentage of construction cost'' methods of contracting shall not 
be used.
    (d) Contracts shall be made only with responsible contractors who 
possess the potential ability to perform successfully under the terms 
and conditions of the proposed procurement. Consideration shall be given 
to such matters as contractor integrity, record of past performance, 
financial and technical resources or accessibility to other necessary 
resources. In certain circumstances, contracts with certain

[[Page 549]]

parties are restricted by NARA implementation of E.O.s 12549 and 12689, 
``Debarment and Suspension'' (36 CFR Part 1209).
    (e) Recipients shall, on request, make available for the NHPRC, pre-
award review and procurement documents, such as request for proposals or 
invitations for bids, independent cost estimates, etc., when any of the 
following conditions apply.
    (1) A recipient's procurement procedures or operation fails to 
comply with the procurement standards in the NHPRC's implementation of 
this part.
    (2) The procurement is expected to exceed the small purchase 
threshold fixed at 41 U.S.C. 403 (11) (currently $25,000) and is to be 
awarded without competition or only one bid or offer is received in 
response to a solicitation.
    (3) The procurement, which is expected to exceed the small purchase 
threshold, specifies a ``brand name'' product.
    (4) The proposed award over the small purchase threshold is to be 
awarded to other than the apparent low bidder under a sealed bid 
procurement.
    (5) A proposed contract modification changes the scope of a contract 
or increases the contract amount by more than the amount of the small 
purchase threshold.



Sec. 1210.45  Cost and price analysis.

    Some form of cost or price analysis shall be made and documented in 
the procurement files in connection with every procurement action. Price 
analysis may be accomplished in various ways, including the comparison 
of price quotations submitted, market prices and similar indicia, 
together with discounts. Cost analysis is the review and evaluation of 
each element of cost to determine reasonableness, allocability and 
allowability.



Sec. 1210.46  Procurement records.

    Procurement records and files for purchases in excess of the small 
purchase threshold shall include the following at a minimum:
    (a) Basis for contractor selection,
    (b) Justification for lack of competition when competitive bids or 
offers are not obtained, and
    (c) Basis for award cost or price.



Sec. 1210.47  Contract administration.

    A system for contract administration shall be maintained to ensure 
contractor conformance with the terms, conditions and specifications of 
the contract and to ensure adequate and timely follow up of all 
purchases. Recipients shall evaluate contractor performance and 
document, as appropriate, whether contractors have met the terms, 
conditions and specifications of the contract.



Sec. 1210.48  Contract provisions.

    The recipient shall include, in addition to provisions to define a 
sound and complete agreement, the following provisions in all contracts. 
The following provisions shall also be applied to subcontracts.
    (a) Contracts in excess of the small purchase threshold shall 
contain contractual provisions or conditions that allow for 
administrative, contractual, or legal remedies in instances in which a 
contractor violates or breaches the contract terms, and provide for such 
remedial actions as may be appropriate.
    (b) All contracts in excess of the small purchase threshold shall 
contain suitable provisions for termination by the recipient, including 
the manner by which termination shall be effected and the basis for 
settlement. In addition, such contracts shall describe conditions under 
which the contract may be terminated for default as well as conditions 
where the contract may be terminated because of circumstances beyond the 
control of the contractor.
    (c) All negotiated contracts (except those for less than the small 
purchase threshold) awarded by recipients shall include a provision to 
the effect that the recipient, the NHPRC, the Comptroller General of the 
United States, or any of their duly authorized representatives, shall 
have access to any books, documents, papers and records of the 
contractor which are directly pertinent to a specific program for the 
purpose of making audits, examinations, excerpts and transcriptions.
    (d) All contracts, including small purchases, awarded by recipients 
and

[[Page 550]]

their contractors shall contain the procurement provisions of Appendix A 
to this Part, as applicable.

                           Reports and Records



Sec. 1210.50  Purpose of reports and records.

    Sections 1210.51 through 1210.53 set forth the procedures for 
monitoring and reporting on the recipient's financial and program 
performance and the necessary standard reporting forms. They also set 
forth record retention requirements.



Sec. 1210.51  Monitoring and reporting program performance.

    (a) Recipients are responsible for managing and monitoring each 
project, program, subaward, function or activity supported by the award. 
Recipients shall monitor subawards to ensure subrecipients have met the 
audit requirements as delineated in Sec. 1210.26.
    (b) Except as provided in paragraph (f) of this section, interim 
performance reports shall be submitted every six months and shall be due 
30 days after the reporting period; final reports shall be due 90 
calendar days after the end of the grant period.
    (c) If inappropriate, a final performance report shall not be 
required after completion of the project.
    (d) When required, performance reports shall generally contain, for 
each award, brief information on each of the following.
    (1) A comparison of actual accomplishments with the goals and 
objectives established for the period, the findings of the investigator, 
or both. Whenever appropriate and the output of programs or projects can 
be readily quantified, such quantitative data should be related to cost 
data for computation of unit costs.
    (2) Reasons why established goals were not met, if appropriate.
    (3) Other pertinent information including, when appropriate, 
analysis and explanation of cost overruns or high unit costs.
    (e) Recipients shall not be required to submit more than the 
original and two copies of performance reports.
    (f) Recipients shall immediately notify the NHPRC of developments 
that have a significant impact on the award-supported activities. Also, 
notification shall be given in the case of problems, delays, or adverse 
conditions which materially impair the ability to meet the objectives of 
the award. This notification shall include a statement of the action 
taken or contemplated, and any assistance needed to resolve the 
situation.
    (g) The NHPRC may make site visits, as needed.
    (h) The NHPRC shall comply with clearance requirements of 5 CFR Part 
1320 when requesting performance data from recipients.



Sec. 1210.52  Financial reporting.

    (a) The following forms or such other forms as may be approved by 
OMB are authorized for obtaining financial information from recipients.
    (1) SF-269 or SF-269A, Financial Status Report.
    (i) The NHPRC requires recipients to use the SF-269 or SF-269A to 
report the status of funds for all nonconstruction projects or programs. 
The NHPRC may, however, have the option of not requiring the SF-269 or 
SF-269A when the SF-270, Request for Advance or Reimbursement, or SF-
272, Report of Federal Cash Transactions, is determined to provide 
adequate information to meet its needs, except that a final SF-269 or 
SF-269A shall be required at the completion of the project when the SF-
270 is used only for advances.
    (ii) The report may be on a cash or accrual basis.
    (iii) The NHPRC shall determine the frequency of the Financial 
Status Report for each project or program, considering the size and 
complexity of the particular project or program. However, the report 
shall not be required more frequently than quarterly or less frequently 
than annually. A final report shall be required at the completion of the 
agreement.
    (iv) The NHPRC shall require recipients to submit the SF-269 or SF-
269A (an original and no more than two copies) no later than 30 days 
after the end of each specified reporting period for quarterly and semi-
annual reports, and 90 calendar days for annual and final reports. 
Extensions of reporting due

[[Page 551]]

dates may be approved by NHPRC upon request of the recipient.
    (2) SF-272, Report of Federal Cash Transactions.
    (i) When funds are advanced to recipients the NHPRC shall require 
each recipient to submit the SF-272 and, when necessary, its 
continuation sheet, SF-272a. The NHPRC shall use this report to monitor 
cash advanced to recipients and to obtain disbursement information for 
each agreement with the recipients.
    (ii) The NHPRC may require forecasts of Federal cash requirements in 
the ``Remarks'' section of the report.
    (iii) When practical and deemed necessary, the NHPRC may require 
recipients to report in the ``Remarks'' section the amount of cash 
advances received in excess of three days. Recipients shall provide 
short narrative explanations of actions taken to reduce the excess 
balances.
    (iv) Recipients shall be required to submit not more than the 
original and two copies of the SF-272 15 calendar days following the end 
of each quarter. The NHPRC may require a monthly report from those 
recipients receiving advances totaling $1 million or more per year.
    (v) The NHPRC may waive the requirement for submission of the SF-272 
for any one of the following reasons:
    (A) When monthly advances do not exceed $25,000 per recipient, 
provided that such advances are monitored through other forms contained 
in this section;
    (B) If, in the NHPRC's opinion, the recipient's accounting controls 
are adequate to minimize excessive Federal advances; or,
    (C) When the electronic payment mechanisms provide adequate data.
    (b) When the NHPRC needs additional information or more frequent 
reports, the following shall be observed.
    (1) When additional information is needed to comply with legislative 
requirements, the NHPRC shall issue instructions to require recipients 
to submit such information under the ``Remarks'' section of the reports.
    (2) When the NHPRC determines that a recipient's accounting system 
does not meet the standards in Sec. 1210.21, additional pertinent 
information to further monitor awards may be obtained upon written 
notice to the recipient until such time as the system is brought up to 
standard. The NHPRC, in obtaining this information, shall comply with 
report clearance requirements of 5 CFR Part 1320.
    (3) The NHPRC is encouraged to shade out any line item on any report 
if not necessary.
    (4) The NHPRC may accept the identical information from the 
recipients in machine readable format or computer printouts or 
electronic outputs in lieu of prescribed formats.
    (5) The NHPRC may provide computer or electronic outputs to 
recipients when such expedites or contributes to the accuracy of 
reporting.



Sec. 1210.53  Retention and access requirements for records.

    (a) This section sets forth requirements for record retention and 
access to records for awards to recipients. The NHPRC will not impose 
any other record retention or access requirements upon recipients.
    (b) Financial records, supporting documents, statistical records, 
and all other records pertinent to an award shall be retained for a 
period of three years from the date of submission of the final 
expenditure report or, for awards that are renewed quarterly or 
annually, from the date of the submission of the quarterly or annual 
financial report, as authorized by the NHPRC. The only exceptions are 
the following.
    (1) If any litigation, claim, or audit is started before the 
expiration of the 3-year period, the records shall be retained until all 
litigation, claims or audit findings involving the records have been 
resolved and final action taken.
    (2) Records for real property and equipment acquired with NHPRC 
funds shall be retained for 3 years after final disposition.
    (3) When records are transferred to or maintained by the NHPRC, the 
3-year retention requirement is not applicable to the recipient.
    (4) Indirect cost rate proposals, cost allocations plans, etc. as 
specified in paragraph (g) of this section.

[[Page 552]]

    (c) Copies of original records may be substituted for the original 
records if authorized by the NHPRC.
    (d) The NHPRC shall request transfer of certain records to its 
custody from recipients when it determines that the records possess long 
term retention value. However, in order to avoid duplicate 
recordkeeping, the NHPRC may make arrangements for recipients to retain 
any records that are continuously needed for joint use.
    (e) The NHPRC, the Inspector General, Comptroller General of the 
United States, or any of their duly authorized representatives, have the 
right of timely and unrestricted access to any books, documents, papers, 
or other records of recipients that are pertinent to the awards, in 
order to make audits, examinations, excerpts, transcripts and copies of 
such documents. This right also includes timely and reasonable access to 
a recipient's personnel for the purpose of interview and discussion 
related to such documents. The rights of access in this paragraph are 
not limited to the required retention period, but shall last as long as 
records are retained.
    (f) Unless required by statute, the NHPRC will place no restrictions 
on recipients that limit public access to the records of recipients that 
are pertinent to an award, except when the NHPRC can demonstrate that 
such records shall be kept confidential and would have been exempted 
from disclosure pursuant to the Freedom of Information Act (5 U.S.C. 
552) if the records had belonged to the NHPRC.
    (g) Indirect cost rate proposals, cost allocations plans, etc. 
Paragraphs (g)(1) and (g)(2) of this section apply to the following 
types of documents, and their supporting records: indirect cost rate 
computations or proposals, cost allocation plans, and any similar 
accounting computations of the rate at which a particular group of costs 
is chargeable (such as computer usage chargeback rates or composite 
fringe benefit rates).
    (1) If submitted for negotiation. If the recipient submits to the 
cognizant Federal agency or the subrecipient submits to the recipient 
the proposal, plan, or other computation to form the basis for 
negotiation of the rate, then the 3-year retention period for its 
supporting records starts on the date of such submission.
    (2) If not submitted for negotiation. If the recipient is not 
required to submit to the NHPRC or the subrecipient is not required to 
submit to the recipient the proposal, plan, or other computation for 
negotiation purposes, then the 3-year retention period for the proposal, 
plan, or other computation and its supporting records starts at the end 
of the fiscal year (or other accounting period) covered by the proposal, 
plan, or other computation.

                       Termination and Enforcement



Sec. 1210.60  Purpose of termination and enforcement.

    Sections 1210.61 and 1210.62 set forth uniform suspension, 
termination and enforcement procedures.



Sec. 1210.61  Termination.

    (a) Awards may be terminated in whole or in part only if paragraphs 
(1), (2) or (3) of this section apply.
    (1) By the NHPRC, if a recipient materially fails to comply with the 
terms and conditions of an award.
    (2) By the NHPRC with the consent of the recipient, in which case 
the two parties shall agree upon the termination conditions, including 
the effective date and, in the case of partial termination, the portion 
to be terminated.
    (3) By the recipient upon sending to the NHPRC written notification 
setting forth the reasons for such termination, the effective date, and, 
in the case of partial termination, the portion to be terminated. 
However, if the NHPRC determines in the case of partial termination that 
the reduced or modified portion of the grant will not accomplish the 
purposes for which the grant was made, it may terminate the grant in its 
entirety under either paragraphs (a)(1) or (2) of this section.
    (b) If costs are allowed under an award, the responsibilities of the 
recipient referred to in Sec. 1210.71(a), including those for property 
management as applicable, shall be considered in the termination of the 
award, and provision

[[Page 553]]

shall be made for continuing responsibilities of the recipient after 
termination, as appropriate.



Sec. 1210.62  Enforcement.

    (a) Remedies for noncompliance. If a recipient materially fails to 
comply with the terms and conditions of an award, whether stated in a 
Federal statute, regulation, assurance, application, or notice of award, 
the NHPRC may, in addition to imposing any of the special conditions 
outlined in Sec. 1210.14, take one or more of the following actions, as 
appropriate in the circumstances.
    (1) Temporarily withhold cash payments pending correction of the 
deficiency by the recipient or more severe enforcement action by the 
NHPRC.
    (2) Disallow (that is, deny both use of funds and any applicable 
matching credit for) all or part of the cost of the activity or action 
not in compliance.
    (3) Wholly or partly suspend or terminate the current award.
    (4) Withhold further awards for the project or program.
    (5) Take other remedies that may be legally available.
    (b) Hearings and appeals. In taking an enforcement action, the NHPRC 
shall provide the recipient an opportunity for hearing, appeal, or other 
administrative proceeding to which the recipient is entitled under any 
statute or regulation applicable to the action involved.
    (c) Effects of suspension and termination. Costs of a recipient 
resulting from obligations incurred by the recipient during a suspension 
or after termination of an award are not allowable unless the NHPRC 
expressly authorizes them in the notice of suspension or termination or 
subsequently. Other recipient costs during suspension or after 
termination which are necessary and not reasonably avoidable are 
allowable if paragraphs (c)(1) and (2) of this section apply.
    (1) The costs result from obligations which were properly incurred 
by the recipient before the effective date of suspension or termination, 
are not in anticipation of it, and in the case of a termination, are 
noncancellable.
    (2) The costs would be allowable if the award were not suspended or 
expired normally at the end of the funding period in which the 
termination takes effect.
    (d) Relationship to debarment and suspension. The enforcement 
remedies identified in this section, including suspension and 
termination, do not preclude a recipient from being subject to debarment 
and suspension under E.O.s 12549 and 12689 and NARA implementing 
regulations (see Sec. 1210.13).



                 Subpart D--After-the-Award Requirements



Sec. 1210.70  Purpose.

    Sections 1210.71 through 1210.73 contain closeout procedures and 
other procedures for subsequent disallowances and adjustments.



Sec. 1210.71  Closeout procedures.

    (a) Recipients shall submit, within 90 calendar days after the date 
of completion of the award, all financial, performance, and other 
reports as required by the terms and conditions of the award. The NHPRC 
may approve extensions when requested by the recipient.
    (b) Unless the NHPRC authorizes an extension, a recipient shall 
liquidate all obligations incurred under the award not later than 90 
calendar days after the funding period or the date of completion as 
specified in the terms and conditions of the award or in agency 
implementing instructions.
    (c) The NHPRC shall make prompt payments to a recipient for 
allowable reimbursable costs under the award being closed out.
    (d) The recipient shall promptly refund any balances of unobligated 
cash that the NHPRC has advanced or paid and that is not authorized to 
be retained by the recipient for use in other projects. OMB Circular A-
129 governs unreturned amounts that become delinquent debts.
    (e) When authorized by the terms and conditions of the award, the 
NHPRC shall make a settlement for any upward or downward adjustments to 
the Federal share of costs after closeout reports are received.
    (f) The recipient shall account for any real and personal property 
acquired with Federal funds or received

[[Page 554]]

from the Federal Government in accordance with Secs. 1210.31 through 
1210.37.
    (g) In the event a final audit has not been performed prior to the 
closeout of an award, the NHPRC shall retain the right to recover an 
appropriate amount after fully considering the recommendations on 
disallowed costs resulting from the final audit.



Sec. 1210.72  Subsequent adjustments and continuing responsibilities.

    (a) The closeout of an award does not affect any of the following.
    (1) The right of the NHPRC to disallow costs and recover funds on 
the basis of a later audit or other review.
    (2) The obligation of the recipient to return any funds due as a 
result of later refunds, corrections, or other transactions.
    (3) Audit requirements in Sec. 1210.26.
    (4) Property management requirements in Secs. 1210.31 through 
1210.37.
    (5) Records retention as required in Sec. 1210.53.
    (b) After closeout of an award, a relationship created under an 
award may be modified or ended in whole or in part with the consent of 
the NHPRC and the recipient, provided the responsibilities of the 
recipient referred to in Sec. 1210.73(a), including those for property 
management as applicable, are considered and provisions made for 
continuing responsibilities of the recipient, as appropriate.



Sec. 1210.73  Collection of amounts due.

    (a) Any funds paid to a recipient in excess of the amount to which 
the recipient is finally determined to be entitled under the terms and 
conditions of the award constitute a debt to the Federal Government. If 
not paid within a reasonable period after the demand for payment, the 
NHPRC may reduce the debt by:
    (1) Making an administrative offset against other requests for 
reimbursements;
    (2) Withholding advance payments otherwise due to the recipient; or
    (3) Taking other action permitted by statute.
    (b) Except as otherwise provided by law, the NHPRC shall charge 
interest on an overdue debt in accordance with 4 CFR Chapter II, 
``Federal Claims Collection Standards.''

              Appendix A to Part 1210--Contract Provisions

    All contracts, awarded by a recipient including small purchases, 
shall contain the following provisions as applicable:
    1. Equal Employment Opportunity--All contracts shall contain a 
provision requiring compliance with E.O. 11246, ``Equal Employment 
Opportunity,'' as amended by E.O. 11375, ``Amending Executive Order 
11246 Relating to Equal Employment Opportunity,'' and as supplemented by 
regulations at 41 CFR part 60, ``Office of Federal Contract Compliance 
Programs, Equal Employment Opportunity, Department of Labor.''
    2. Copeland ``Anti-Kickback'' Act (18 U.S.C. 874 and 40 U.S.C. 
276c)--All contracts and subgrants in excess of $2,000 for construction 
or repair awarded by recipients and subrecipients shall include a 
provision for compliance with the Copeland ``Anti-Kickback'' Act (18 
U.S.C. 874), as supplemented by Department of Labor regulations (29 CFR 
part 3, ``Contractors and Subcontractors on Public Building or Public 
Work Financed in Whole or in Part by Loans or Grants from the United 
States''). The Act provides that each contractor or subrecipient shall 
be prohibited from inducing, by any means, any person employed in the 
construction, completion, or repair of public work, to give up any part 
of the compensation to which he is otherwise entitled. The recipient 
shall report all suspected or reported violations to the Federal 
awarding agency.
    3. Davis-Bacon Act, as amended (40 U.S.C. 276a to a-7)--When 
required by Federal program legislation, all construction contracts 
awarded by the recipients and subrecipients of more than $2,000 shall 
include a provision for compliance with the Davis-Bacon Act (40 U.S.C. 
276a to a-7) and as supplemented by Department of Labor regulations (29 
CFR part 5, ``Labor Standards Provisions Applicable to Contracts 
Governing Federally Financed and Assisted Construction''). Under this 
Act, contractors shall be required to pay wages to laborers and 
mechanics at a rate not less than the minimum wages specified in a wage 
determination made by the Secretary of Labor. In addition, contractors 
shall be required to pay wages not less than once a week. The recipient 
shall place a copy of the current prevailing wage determination issued 
by the Department of Labor in each solicitation and the award of a 
contract shall be conditioned upon the acceptance of the wage 
determination. The recipient shall report all suspected or reported 
violations to the Federal awarding agency.
    4. Contract Work Hours and Safety Standards Act (40 U.S.C. 327-
333)--Where applicable, all contracts awarded by recipients in

[[Page 555]]

excess of $2,000 for construction contracts and in excess of $2,500 for 
other contracts that involve the employment of mechanics or laborers 
shall include a provision for compliance with Sections 102 and 107 of 
the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-333), as 
supplemented by Department of Labor regulations (29 CFR part 5). Under 
Section 102 of the Act, each contractor shall be required to compute the 
wages of every mechanic and laborer on the basis of a standard work week 
of 40 hours. Work in excess of the standard work week is permissible 
provided that the worker is compensated at a rate of not less than 1\1/
2\ times the basic rate of pay for all hours worked in excess of 40 
hours in the work week. Section 107 of the Act is applicable to 
construction work and provides that no laborer or mechanic shall be 
required to work in surroundings or under working conditions which are 
unsanitary, hazardous or dangerous. These requirements do not apply to 
the purchases of supplies or materials or articles ordinarily available 
on the open market, or contracts for transportation or transmission of 
intelligence.
    5. Rights to Inventions Made Under a Contract or Agreement--
Contracts or agreements for the performance of experimental, 
developmental, or research work shall provide for the rights of the 
Federal Government and the recipient in any resulting invention in 
accordance with 37 CFR part 401, ``Rights to Inventions Made by 
Nonprofit Organizations and Small Business Firms Under Government 
Grants, Contracts and Cooperative Agreements,'' and any implementing 
regulations issued by the awarding agency.
    6. Clean Air Act (42 U.S.C. 7401 et seq.) and the Federal Water 
Pollution Control Act (33 U.S.C. 1251 et seq.), as amended--Contracts 
and subgrants of amounts in excess of $100,000 shall contain a provision 
that requires the recipient to agree to comply with all applicable 
standards, orders or regulations issued pursuant to the Clean Air Act 
(42 U.S.C. 7401 et seq.) and the Federal Water Pollution Control Act as 
amended (33 U.S.C. 1251 et seq.). Violations shall be reported to the 
Federal awarding agency and the Regional Office of the Environmental 
Protection Agency (EPA).
    7. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352)--Contractors who 
apply or bid for an award of $100,000 or more shall file the required 
certification. Each tier certifies to the tier above that it will not 
and has not used Federal appropriated funds to pay any person or 
organization for influencing or attempting to influence an officer or 
employee of any agency, a member of Congress, officer or employee of 
Congress, or an employee of a member of Congress in connection with 
obtaining any Federal contract, grant or any other award covered by 31 
U.S.C. 1352. Each tier shall also disclose any lobbying with non-Federal 
funds that takes place in connection with obtaining any Federal award. 
Such disclosures are forwarded from tier to tier up to the recipient.
    8. Debarment and Suspension (E.O. 12549 and E.O. 12689)--No contract 
shall be made to parties listed on the General Services Administration's 
List of Parties Excluded from Federal Procurement or Nonprocurement 
Programs in accordance with E.O. 12549 and E.O. 12689, ``Debarment and 
Suspension.'' This list contains the names of parties debarred, 
suspended, or otherwise excluded by agencies, and contractors declared 
ineligible under statutory or regulatory authority other than E.O. 
12549. Contractors with awards that exceed the small purchase threshold 
shall provide the required certification regarding its exclusion status 
and that of its principal employees.

[[Page 556]]



                    SUBCHAPTER B--RECORDS MANAGEMENT





PART 1220--FEDERAL RECORDS; GENERAL--Table of Contents




Sec.
1220.1  Scope of subchapter.
1220.2  Responsibility for records management programs.

                      Subpart A--General Provisions

1220.10  Authority.
1220.12  Applicability.
1220.14  General definitions.
1220.16  Reports to the Congress and the Director of the Office of 
          Management and Budget.
1220.18  Inspection of records subject to the Privacy Act of 1974.

              Subpart B--Agency Records Management Programs

1220.30  Authority.
1220.32  Program content.
1220.34  Creation of records.
1220.36  Maintenance and use of records.
1220.38  Disposition of records.
1220.40  Liaison offices.
1220.42  Agency internal evaluations.

                   Subpart C--NARA Evaluation Program

1220.50  Authority.
1220.52  Purpose and scope.
1220.54  Evaluation process.
1220.56  Evaluation report.
1220.58  Agency action plans and progress reports.
1220.60  Followup notification and reviews.

    Authority: 44 U.S.C. 2104(a) and chs. 29 and 33.

    Source: 50 FR 26930, June 28, 1985, unless otherwise noted.



Sec. 1220.1  Scope of subchapter.

    Subchapter B prescribes policies for Federal agencies' records 
management programs relating to records creation and maintenance, 
adequate documentation, and proper records disposition.



Sec. 1220.2  Responsibility for records management programs.

    The National Archives and Records Administration Act of 1984 amended 
the records management statutes to divide records management 
responsibilities between the National Archives and Records 
Administration (NARA) and the General Services Administration (GSA). 
Under the Act, NARA is responsible for adequacy of documentation and 
records disposition and GSA is responsible for economy and efficiency in 
records management. NARA regulations are codified in this subchapter. 
GSA records management regulations are codified in 41 CFR chapter 201, 
Subchapters A and B. Federal agency records management programs must be 
in compliance with regulations promulgated by both NARA and GSA.
[57 FR 19807, May 8, 1992]



                      Subpart A--General Provisions



Sec. 1220.10  Authority.

    The regulations in this part are issued under the provisions of the 
National Archives and Records Administration Act of 1984 (Pub. L. 98-
497, 44 U.S.C. 101 note).



Sec. 1220.12  Applicability.

    The regulations in subchapter B apply to all Federal agencies as 
defined in Sec. 1220.14.



Sec. 1220.14  General definitions.

    As used in subchapter B--
    Agency (see Executive agency and Federal agency).
    Adequate and proper documentation means a record of the conduct of 
Government business that is complete and accurate to the extent required 
to document the organization, functions, policies, decisions, 
procedures, and essential transactions of the agency and that is 
designed to furnish the information necessary to protect the legal and 
financial rights of the Government and of persons directly affected by 
the agency's activities.
    Appraisal is the process by which the National Archives and Records 
Administration (NARA) determines the value and thus the final 
disposition of Federal records, making them either temporary or 
permanent.
    Comprehensive schedule is a printed agency manual or directive 
containing descriptions of and disposition instructions for all 
documentary materials,

[[Page 557]]

record and nonrecord, created by a Federal agency or major component of 
an Executive department. Unless taken from the General Records Schedules 
(GRS) issued by NARA, the disposition instructions for agency records 
must be approved by NARA on one or more Standard Form(s) 115, Request 
for Records Disposition Authority, prior to issuance by the agency. The 
disposition instructions for the nonrecord material are established by 
the agency and do not require NARA approval.
    Contingent records are records whose final disposition is dependent 
on an action or event, such as sale of property or destruction of a 
facility, which will take place at some unspecified time in the future.
    Disposition means those actions taken, after appraisal by NARA, 
regarding records no longer needed for the conduct of the regular 
current business of the agency. 44 U.S.C. 2901(5) defines records 
disposition as any activity with respect to:
    (a) Disposal of temporary records no longer needed for the conduct 
of business by destruction or donation to an eligible person or 
organization outside of Federal custody in accordance with the 
requirements of part 1228 of this chapter.
    (b) Transfer of records to Federal agency storage facilities or 
records centers;
    (c) Transfer to the National Archives of the United States of 
records determined to have sufficient historical or other value to 
warrant continued preservation; or
    (d) Transfer of records from one Federal agency to any other Federal 
agency in accordance with the requirements of part 1228 of this chapter.
    Documentary materials is a collective term for records and nonrecord 
materials that refers to all media on which information is recorded, 
regardless of the nature of the medium or the method or circumstances of 
recording.
    Evaluation means the selective or comprehensive inspection, audit, 
or review of one or more Federal agency records management programs for 
effectiveness and for compliance with applicable laws and regulations. 
It includes recommendations for correcting or improving records 
management policies, procedures, and activities, and follow-up 
activities, including reporting on such activities, for implementing the 
recommendations.
    Executive agency means any executive department or independent 
establishment in the executive branch of the Government, including any 
wholly-owned Government corporation.
    Federal agency means any executive agency or any establishment in 
the legislative or judicial branch of the Government (except the Supreme 
Court, Senate, the House of Representatives, and the Architect of the 
Capitol and any activities under his direction). (44 U.S.C. 2901(14)).
    File means an arrangement of records. The term is used to denote 
papers, photographs, photographic copies, maps, machine-readable 
information, or other recorded information regardless of physical form 
or characteristics, accumulated or maintained in filing equipment, 
boxes, or machine-readable media, or on shelves, and occupying office or 
storage space.
    National Archives of the United States means those records that have 
been determined by the Archivist of the United States to have sufficient 
historical or other value to warrant their continued preservation by the 
Federal Government and that have been transferred to the legal custody 
of the Archivist of the United States on a Standard Form 258 (Request to 
Transfer, Approval, and Receipt of Records to National Archives of the 
United States).
    Nonrecord materials are those Federally owned informational 
materials that do not meet the statutory definition of records (44 
U.S.C. 3301) or that have been excluded from coverage by the definition. 
Excluded materials are extra copies of documents kept only for 
reference, stocks of publications and processed documents, and library 
or museum materials intended solely for reference or exhibit.
    Permanent record means any Federal record that has been determined 
by NARA to have sufficient value to warrant its preservation in the 
National Archives. Permanent records include all records accessioned by 
NARA's Office of the National Archives and later increments of the same 
records, and

[[Page 558]]

those for which the disposition is permanent on SF 115s, Request for 
Records Disposition Authority, approved by NARA on or after May 14, 
1973.
    Recordkeeping requirements means all statements, in statutes, 
regulations, and agency directives or authoritative issuances, providing 
general and specific guidance for Federal agency personnel on particular 
records to be created and maintained by the agency.
    Recordkeeping system is a manual or automated system in which 
records are collected, organized, and categorized to facilitate their 
preservation, retrieval, use, and disposition.
    Records include all books, papers, maps, photographs, machine 
readable materials, or other documentary materials, regardless of 
physical form or characteristics, made or received by an agency of the 
United States Government under Federal law or in connection with the 
transaction of public business and preserved or appropriate for 
preservation by that agency or its legitimate successor as evidence of 
the organization, functions, policies, decisions, procedures, operations 
or other activities of the Government or because of the informational 
value of the data in them (44 U.S.C. 3301).
    Records maintenance and use, as used in subchapter B, means any 
activity involving location of records of a Federal agency or the 
storage, retrieval, and handling of records kept at office file 
locations by or for a Federal agency.
    Records management, as used in subchapter B, means the planning, 
controlling, directing, organizing, training, promoting, and other 
managerial activities involved with respect to records creation, records 
maintenance and use, and records disposition in order to achieve 
adequate and proper documentation of the policies and transactions of 
the Federal Government and effective and economical management of agency 
operations.
    Records schedule or schedule means
    (a) An SF 115, Request for Records Disposition Authority, that has 
been approved by NARA to authorize the disposition of Federal records;
    (b) A General Records Schedule (GRS) issued by NARA; or
    (c) A printed agency manual or directive containing the records 
descriptions and disposition instructions approved by NARA on one or 
more SF 115s or issued by NARA in the GRS. (See also the definition 
Comprehensive schedule.)
    Series means file units or documents arranged according to a filing 
system or kept together because they relate to a particular subject or 
function, result from the same activity, document a specific kind of 
transaction, take a particular physical form, or have some other 
relationship arising out of their creation, receipt, or use, such as 
restrictions on access and use. Also called a records series.
    Temporary records. A temporary record is any record which has been 
determined by the Archivist of the United States to have insufficient 
value (on the basis of current standards) to warrant its preservation by 
the National Archives and Records Administration. This determination may 
take the form of:
    (a) A series of records designated as disposable in an agency 
records disposition schedule approved by NARA (Standard Form 115, 
Request for Records Disposition Authority); or
    (b) A series of records designated as disposable in a General 
Records Schedule.
    Unscheduled records are records the final disposition of which has 
not been approved by NARA. Unscheduled records are those that have not 
been included on a Standard Form 115, Request for Records Disposition 
Authority, approved by NARA; those described but not authorized for 
disposal on an SF 115 approved prior to May 14, 1973; and those 
described on an SF 115 but not approved by NARA (withdrawn, canceled, or 
disapproved).
[45 FR 5705, Jan. 24, 1980 and 50 FR 26931, 26933, June 28, 1985, as 
amended at 52 FR 34134, Sept. 9, 1987; 55 FR 27423, 27427, July 2, 1990; 
57 FR 19807, May 8, 1992; 59 FR 28783, June 3, 1994; 60 FR 44639, Aug. 
28, 1995]



Sec. 1220.16  Reports to the Congress and the Director of the Office of Management and Budget.

    Under 44 U.S.C. 2904(c)(8), the Archivist of the United States is 
required to report to Congress and the Office of Management and Budget 
annually on

[[Page 559]]

the results of records management activities, including evaluations of 
responses by Federal agencies to any recommendations resulting from 
studies or inspections conducted by NARA.



Sec. 1220.18  Inspection of records subject to the Privacy Act of 1974.

    In accordance with 44 U.S.C. 2906, when NARA inspects an agency 
record which is contained in a system of records subject to the Privacy 
Act of 1974 (5 U.S.C. 552a), the records shall be maintained by the 
Archivist or his designee as a record contained in a system of records 
or considered to be a record contained in a system of records for the 
purposes of subsections (b), (c), and (i) of section 552a of title 5.



              Subpart B--Agency Records Management Programs



Sec. 1220.30  Authority.

    Section 3101 of title 44 U.S.C. requires the head of each Federal 
agency to make and preserve records containing adequate and proper 
documentation of the organization, functions, policies, decisions, 
procedures and essential transactions of the agency and designed to 
furnish the information necessary to protect the legal and financial 
rights of the Government and of persons directly affected by the 
agency's activities.



Sec. 1220.32  Program content.

    Agency programs shall, among other things, provide for:
    (a) Cooperation with NARA in developing and applying standards, 
procedures, and techniques designed to improve the management of 
records, promote the maintenance and security of records deemed 
appropriate for permanent preservation, and facilitate the segregation 
and disposal of temporary records.
    (b) Compliance with sections 2101-2117, 2501-2507, 2901-2909, 3101-
3107, and 3301-3314 of title 44 U.S.C. and with NARA regulations issued 
in title 36 of the Code of Federal Regulations.



Sec. 1220.34  Creation of records.

    Adequate records management controls over the creation of Federal 
agency records shall be instituted to ensure that agency functions are 
adequately and properly documented. Federal agencies shall also comply 
with GSA regulations on creation of records found in 41 CFR part 201-9.
[57 FR 19807, May 8, 1992]



Sec. 1220.36  Maintenance and use of records.

    Adequate records management controls over the maintenance and use of 
records shall be instituted to ensure that permanent records can be 
located when needed and that they are preserved for eventual transfer to 
the National Archives of the United States. Agencies shall also be in 
compliance with GSA regulations on the maintenance and use of records 
found in 41 CFR part 201-9.
[57 FR 19807, May 8, 1992]



Sec. 1220.38  Disposition of records.

    Provision shall be made to ensure that permanent records are 
preserved but that records no longer of current use to an agency are 
promptly disposed of or retired. Effective techniques for the 
accomplishment of these ends are the development of records disposition 
schedules; the transfer of records to records centers and the National 
Archives of the United States; the conversion of the information to 
other media; and the disposal of valueless records. Disposition of any 
records requires the approval of the Archivist of the United States (see 
part 1228 of this chapter).



Sec. 1220.40  Liaison offices.

    An office or offices within each Federal agency shall be assigned 
responsibility for the development of the records management program 
required by this part. The office to which responsibility is assigned 
shall be reported to the NARA, Life Cycle Management Division (NWML), 
8601 Adelphi Rd., College Park, MD 20740-6001. The name, title, and 
telephone number of the official or officials authorized by the head of 
the agency to approve records disposition schedules and transfers of 
records to the custody of the National Archives shall also be

[[Page 560]]

submitted to the Life Cycle Management Division.
[50 FR 26930, June 28, 1985, as amended at 63 FR 35829, July 1, 1998]



Sec. 1220.42  Agency internal evaluations.

    Each agency shall periodically evaluate its records management 
programs relating to records creation and recordkeeping requirements, 
maintenance and use of records, and records disposition. These 
evaluations shall include periodic monitoring of staff determinations of 
the record status of documentary materials, including electronic mail, 
and implementation of these decisions. These evaluations should 
determine compliance with NARA regulations in subchapter B of this 
chapter and assess the effectiveness of the agency's records management 
program.
[60 FR 44639, Aug. 28, 1995]



                   Subpart C--NARA Evaluation Program

    Source: 59 FR 28783, June 3, 1994, unless otherwise noted.



Sec. 1220.50  Authority.

    44 U.S.C. chapter 29 vests in the Archivist of the United States the 
responsibility for providing guidance and assistance to Federal agencies 
with respect to ensuring adequate and proper documentation and proper 
records disposition. Sections 2904 and 2906 specifically authorize the 
Archivist to conduct inspections or surveys of records and records 
management programs and practices within and between Federal agencies 
and require officers and employees of agencies to cooperate fully in 
such inspections. Section 2904 also authorizes the Archivist to report 
to the appropriate oversight and appropriations committees of the 
Congress and the Director of OMB on the results of inspections, the 
responses by agencies to NARA evaluation recommendations, and estimates 
of the costs to the Federal government resulting from the failure to 
implement such recommendations.



Sec. 1220.52  Purpose and scope.

    (a) NARA evaluations assess how effectively Federal agencies make 
and preserve complete and accurate records of their organization, 
functions, policies, decisions, procedures, and essential transactions; 
and maintain an active, continuing records management program including 
proper records disposition. Agencies shall be evaluated for compliance 
with requirements in 44 U.S.C. chapters 31 and 33 and all the 
regulations issued thereunder in 36 CFR subchapter B.
    (b) NARA evaluations may include comprehensive reviews of agency 
records management programs, or selective reviews focused on adequate 
and proper documentation, on records disposition, on the management of 
specific types of record media or on the management of records in 
particular program areas. NARA evaluations may be of one agency or may 
be multi-agency. These evaluations may be conducted solely within 
headquarters offices, only at field locations, or at a combination of 
field sites and headquarters.
    (c) Evaluations will involve site visits by NARA; submission by NARA 
to the agency of a written report containing findings, analyses, and 
recommendations; and submission to NARA by the agency of an action plan 
for implementing the recommendations followed by regular progress 
reports. Interagency report control number 0153-NARA-AR has been 
assigned to the action plan and progress reports in accordance with 41 
CFR subpart 201-45.6.



Sec. 1220.54  Evaluation process.

    (a) NARA shall select Federal agencies to be evaluated on the basis 
of perceived need by NARA or specific request by the agency, or on the 
basis of a compliance monitoring cycle developed by NARA. NARA will 
determine the scope of the evaluation. An agency may request an 
evaluation of its records management program by contacting the Director, 
Life Cycle Management Division; however, the final determination of 
agencies to be evaluated will be made by NARA. The heads of agencies 
will be notified in writing by the Archivist of the United States of the 
intent to conduct an evaluation and the scope of the evaluation at least

[[Page 561]]

180 calendar days prior to initiating the evaluation.
    (b) Once NARA has notified the agency, the agency head will, by the 
date specified in the Archivist's letter:
    (1) Acknowledge in writing NARA's intention to evaluate, and provide 
the Archivist with the name and telephone number of the senior official 
with overall responsibility for records management and of a headquarters 
official who will work with NARA to facilitate the evaluation process;
    (2) Provide written notification of the evaluation to all 
appropriate offices and employees and contractors potentially involved; 
this notification will include instructions to cooperate with NARA by 
setting up interviews, providing requested information, and making 
records available for inspection;
    (3) Provide NARA with a copy of the written notification in 
paragraph (b)(2) of this section and with a list of names and telephone 
numbers of officials responsible for records management in field sites, 
if applicable, who will work with NARA during the evaluation;
    (4) For comprehensive evaluations, provide NARA with a set of 
internal records management directives, orders, bulletins, or similar 
authoritative issuances; copies of the two most recent internal records 
management evaluations; and any special records-related reports. 
Included may be: issuances relating to adequate and proper documentation 
and recordkeeping requirements; personal papers; management and 
disposition of textual, electronic, audiovisual, cartographic and 
architectural, micrographic, and vital records; disaster mitigation and 
recovery; and any other records-related documentation requested by NARA. 
A subset of this documentation will be requested for more limited 
evaluations;
    (5) Provide NARA with a current version of the agency manual(s) 
covering records creation, maintenance, storage, and disposition, and a 
list of information systems maintained as required by OMB Circular A-
130, section 9a(5), and a list of offices and/or functions and 
activities not currently covered by schedules;
    (6) Arrange for appropriate management and program officials in 
headquarters and, if applicable, at field sites to be briefed by NARA at 
the beginning and at the end of the evaluation process; and
    (7) Take immediate corrective action regarding any serious problems 
that NARA may bring to the agency's attention during the course of the 
evaluation process such as the unauthorized destruction of records or 
the unauthorized donation or other transfer of records to non-NARA 
facilities.
[59 FR 28783, June 3, 1994, as amended at 63 FR 35829, July 1, 1998]



Sec. 1220.56  Evaluation report.

    (a) NARA will submit a draft evaluation report for factual review 
and comment to the agency within 120 calendar days of the last 
evaluation site visit or exit briefing. After receipt of agency 
comments, NARA will finalize the report, incorporating any changes 
resulting from factual errors identified by the agency. The final report 
will be transmitted by the Archivist to the head of the agency within 30 
calendar days of receiving comments from the agency.
    (b) The head of the agency will:
    (1) Comment within 60 calendar days, in writing, on the contents of 
the draft report. If necessary, agencies can request extensions. No 
response from the agency within the allotted time will indicate that the 
agency concurs in the factual accuracy of the draft report.
    (2) Review the final report and assign implementation 
responsibility; and
    (3) Distribute the final report to all concerned and appropriate 
persons and offices.



Sec. 1220.58  Agency action plans and progress reports.

    (a) Action plans. (1) The action plan will be submitted to NARA 
within 90 calendar days after the date of transmittal of the final 
report. If necessary, agencies can request extensions. The plan shall be 
submitted by the agency head or the designated senior official for 
information resources management. The action plan will include:
    (i) The name of the senior official and the office responsible for 
coordinating implementation agency-wide;

[[Page 562]]

    (ii) The specific action(s) the agency will take to implement each 
evaluation report recommendation. If an agency is unable to implement a 
recommendation, the rationale for not acting shall be documented in the 
action plan;
    (iii) The name of the official and office or program responsible for 
the overall coordination of the agency's followup actions who will be 
the liaison with NARA;
    (iv) The estimated time needed to complete each action and the 
proposed quarter and year for starting and completing each action;
    (v) Major milestones with dates for tracking the completion of 
implementation actions that are expected to extend longer than 3 years 
past the date of the action plan; and,
    (vi) If requested by NARA, separate action plans for each field site 
visited, incorporating the information required by paragraphs (a)(1)(i) 
through (a)(1)(v) of this section.
    (2) NARA will analyze the action plan(s) submitted by the agency for 
adequacy and effectiveness in implementing the recommendations contained 
in the evaluation report. NARA will provide comments to the agency on 
the plan(s) within 60 calendar days.
    (3) The agency will revise the action plan until it is approved by 
NARA.
    (b) Progress reports. (1) Once the action plan(s) has been approved 
by NARA, the head of the agency will submit progress reports to NARA 
every 6 months. The reports will include:
    (i) A description of what has been accomplished on each action since 
the last report;
    (ii) The current status of the action;
    (iii) Any changes in the offices or programs responsible for over-
all or specific action implementation; and,
    (iv) If appropriate, explanation of any delays in implementation and 
revised target dates and milestones for completion of the action.
    (2) The agency will continue to submit these progress reports until 
NARA and the agency agree all actions have been completed, NARA and the 
agency agree that the agency has implemented the recommendation(s) to 
the fullest extent possible, or NARA indicates in writing that regular 
progress reports are no longer required.
    (3) NARA will review and comment on agency progress reports, and 
work closely with the agency to provide assistance in evaluation 
implementation.



Sec. 1220.60  Follow-up notification and reviews.

    (a) If NARA determines that there is not substantial progress in the 
full implementation of evaluation recommendations or that the agency has 
not corrected serious problems identified in the report, the Archivist, 
after notifying the head of the agency, may notify Congress and 
appropriate Federal oversight agencies of the evaluation findings and 
the agency response.
    (b) NARA may initiate follow-up reviews at specific offices or field 
sites. Results of these follow-up reviews shall be communicated to the 
head of the agency and, if NARA determines it to be appropriate, to 
Congress and Federal oversight agencies.



PART 1222--CREATION AND MAINTENANCE OF FEDERAL RECORDS--Table of Contents




                           Subpart A--General

Sec.
1222.10  Authority.
1222.12  Defining Federal records.

                     Subpart B--Program Requirements

1222.20  Agency responsibilities.

       Subpart C--Standards for Agency Recordkeeping Requirements

1222.30  Purpose.
1222.32  General requirements.
1222.34  Identifying Federal records.
1222.36  Identifying personal papers.
1222.38  Categories of documentary materials to be covered by 
          recordkeeping requirements.
1222.40  Removal of records.
1222.42  Removal of nonrecord materials.
1222.44  Directives documenting agency programs, policies, and 
          procedures.
1222.46  Recordkeeping requirements of other agencies.
1222.48  Data created or received and maintained for the Government by 
          contractors.
1222.50  Records maintenance.

    Authority: 44 U.S.C. 2904, 3101, and 3102.

    Source: 55 FR 27423, July 2, 1990, unless otherwise noted.

[[Page 563]]



                           Subpart A--General



Sec. 1222.10  Authority.

    (a) 44 U.S.C. 2904, vests in the Archivist of the United States 
responsibility for providing guidance and assistance to Federal agencies 
with respect to ensuring adequate and proper documentation of the 
policies and transactions of the Federal Government, including 
developing and issuing standards to improve the management of records.
    (b) 44 U.S.C. 3101, requires that the head of each Federal agency 
shall make and preserve records containing adequate and proper 
documentation of the organization, functions, policies, decisions, 
procedures, and essential transactions of the agency and designed to 
furnish the information necessary to protect the legal and financial 
rights of the Government and of persons directly affected by the 
agency's activities.
    (c) 44 U.S.C. 3102, requires that the head of each Federal agency 
shall establish and maintain an active, continuing program for the 
economical and efficient management of the records of the agency. The 
program, among other things, shall provide for--
    (1) Effective controls over the creation, and over the maintenance 
and use of records in the conduct of current business;
    (2) Cooperation with the Administrator of General Services and the 
Archivist in applying standards, procedures, and techniques designed to 
improve the management of records, promote the maintenance and security 
of records deemed appropriate for preservation, and facilitate the 
segregation and disposal of records of temporary value.



Sec. 1222.12  Defining Federal records.

    (a) The statutory definition of Federal records is contained in 44 
U.S.C. 3301 and is stated in Sec. 1220.14 of this chapter.
    (b) Several key terms, phrases, and concepts in the statutory 
definition of records are defined as follows:
    (1) Documentary materials is a collective term for records, 
nonrecord materials, and personal papers that refers to all media 
containing recorded information, regardless of the nature of the media 
or the method(s) or circumstance(s) of recording.
    (2) Regardless of physical form or characteristics means that the 
medium may be paper, film, disk, or other physical type or form; and 
that the method of recording may be manual, mechanical, photographic, 
electronic, or any other combination of these or other technologies.
    (3) Made means the act of creating and recording information by 
agency personnel in the course of their official duties, regardless of 
the method(s) or the medium involved. The act of recording is generally 
identifiable by the circulation of the information to others or by 
placing it in files accessible to others.
    (4) Received means the acceptance or collection of documentary 
materials by agency personnel in the course of their official duties 
regardless of their origin (for example, other units of their agency, 
private citizens, public officials, other agencies, contractors, 
Government grantees) and regardless of how transmitted (in person or by 
messenger, mail, electronic means, or by any other method). In this 
context, the term does not refer to misdirected materials. It may or may 
not refer to loaned or seized materials depending on the conditions 
under which such materials came into agency custody or were used by the 
agency. Advice of legal counsel should be sought regarding the 
``record'' status of loaned or seized materials.
    (5) Preserved means the filing, storing, or any other method of 
systematically maintaining documentary materials by the agency. This 
term covers materials not only actually filed or otherwise 
systematically maintained but also those temporarily removed from 
existing filing systems.
    (6) Appropriate for preservation means documentary materials made or 
received which in the judgment of the agency should be filed, stored, or 
otherwise systematically maintained by an agency because of the evidence 
of agency activities or information they contain, even though the 
materials may not be covered by its current filing or maintenance 
procedures.
[55 FR 27423, July 2, 1990; 55 FR 31982, Aug. 6, 1990]

[[Page 564]]



                     Subpart B--Program Requirements



Sec. 1222.20  Agency responsibilities.

    (a) The head of each Federal agency, in meeting the requirements of 
44 U.S.C. 2904, 3101, and 3102, shall observe the responsibilities and 
standards set forth in this part. Agencies are also subject to 
regulations issued by the General Services Administration (GSA) in 41 
CFR chapter 201.
    (b) Each Federal agency shall:
    (1) Assign to one or more offices of the agency the responsibility 
for the development and implementation of agency-wide programs to 
identify, develop, issue, and periodically review recordkeeping 
requirements for records for all agency activities at all levels and 
locations in all media including paper, microform, audiovisual, 
cartographic, and electronic (including those created or received using 
electronic mail);
    (2) Integrate programs for the identification, development, 
issuance, and periodic review of recordkeeping requirements with other 
records and information resources management programs of the agency, 
including the requirement of close coordination between the office 
designated in 36 CFR 1222.20(b)(1) and the office assigned overall 
records management responsibility in accordance with 36 CFR 1220.40, if 
the two are different;
    (3) Issue a directive(s) establishing program objectives, 
responsibilities, and authorities for agency recordkeeping requirements. 
Copies of the directive(s) (including subsequent amendments or 
supplements) shall be disseminated throughout the agency, as 
appropriate, and a copy shall be sent to NARA (NWML);
    (4) Establish procedures for the participation of records management 
officials in developing new or revised agency programs, processes, 
systems, and procedures in order to ensure that adequate recordkeeping 
requirements are established and implemented;
    (5) Ensure that adequate training is provided to all agency 
personnel on policies, responsibilities, and techniques for the 
implementation of recordkeeping requirements and the distinction between 
records and nonrecord materials, regardless of media, including those 
materials created by individuals using computers to send or receive 
electronic mail.
    (6) Develop and implement records schedules for all records created 
and received by the agency and obtain NARA approval of the schedules in 
accordance with 36 CFR part 1228;
    (7) Ensure compliance with applicable Governmentwide policies, 
procedures, and standards relating to recordkeeping requirements as may 
be issued by the Office of Management and Budget, the General Services 
Administration, the National Archives and Records Administration, the 
National Institute of Standards and Technology, or other agencies, as 
appropriate;
    (8) Review recordkeeping requirements, as part of the periodic 
information resources management reviews required by 44 U.S.C. 3506, or 
the periodic records management evaluations required by 36 CFR 1220.54, 
in order to validate their currency and to ensure that recordkeeping 
requirements are being implemented.
    (9) Remind all employees annually of the agency's recordkeeping 
policies and of the sanctions provided for the unlawful removal or 
destruction of Federal records (18 U.S.C. 2071).
[55 FR 27423, July 2, 1990, as amended at 58 FR 49194, Sept. 22, 1993; 
60 FR 44640, Aug. 28, 1995; 63 FR 35829, July 1, 1998]



       Subpart C--Standards for Agency Recordkeeping Requirements



Sec. 1222.30  Purpose.

    (a) The clear articulation of recordkeeping requirements by Federal 
agencies is essential if agencies are to meet the requirements of 44 
U.S.C. 3101 and 3102 with respect to creating, receiving, maintaining, 
and preserving adequate and proper documentation, and with respect to 
maintaining an active, continuing program for the economical and 
efficient management of agency records.
    (b) Although many agencies regularly issue recordkeeping 
requirements for routine operations, many do not adequately specify such 
requirements for documenting policies and decisions, nor do they provide 
sufficient guidance on distinguishing between records and nonrecord 
materials, and maintaining

[[Page 565]]

records created or received on electronic mail systems.
    (c) Since agency functions, activities, and administrative practices 
vary so widely, NARA cannot issue a comprehensive list of all categories 
of documentary materials appropriate for preservation by an agency as 
evidence of its activities or because of the information they contain. 
In all cases, the agency must consider the intent or circumstances of 
creation or receipt of the materials to determine whether their 
systematic maintenance shall be required.
[55 FR 27423, July 2, 1990, as amended at 60 FR 44640, Aug. 28, 1995]



Sec. 1222.32  General requirements.

    Agencies shall identify, develop, issue, and periodically review 
their recordkeeping requirements for all agency operations and for 
records in all media, including those records created or received on 
electronic mail systems. Recordkeeping requirements shall:
    (a) Identify and prescribe specific categories of documentary 
materials to be systematically created or received and maintained by 
agency personnel in the course of their official duties;
    (b) Prescribe the use of materials and recording techniques that 
ensure the preservation of records as long as they are needed by the 
Government;
    (c) Prescribe the manner in which these materials shall be 
maintained wherever held; and
    (d) Distinguish records from nonrecord materials and, with the 
approval of the Archivist of the United States, prescribe action for the 
final disposition of agency records when they are no longer needed for 
current business.
[55 FR 27423, July 2, 1990, as amended at 60 FR 44640, Aug. 28, 1995]



Sec. 1222.34  Identifying Federal records.

    (a) General. To ensure that complete and accurate records are made 
and retained in the Federal Government, it is essential that agencies 
distinguish between records and nonrecord materials by the appropriate 
application of the definition of records (see 44 U.S.C. 3301 and 36 CFR 
1220.14) to agency documentary materials. Applying the definition of 
records to most documentary materials created or received by agencies 
presents few problems when agencies have established and periodically 
updated recordkeeping requirements covering all media and all agency 
activities at all levels and locations.
    (b) Record status. Documentary materials are records when they meet 
both of the following conditions:
    (1) They are made or received by an agency of the United States 
Government under Federal law or in connection with the transaction of 
agency business; and
    (2) They are preserved or are appropriate for preservation as 
evidence of agency organization and activities or because of the value 
of the information they contain.
    (c) Working files and similar materials. Working files, such as 
preliminary drafts and rough notes, and other similar materials shall be 
maintained for purposes of adequate and proper documentation if:
    (1) They were circulated or made available to employees, other than 
the creator, for official purposes such as approval, comment, action, 
recommendation, follow-up, or to communicate with agency staff about 
agency business; and
    (2) They contain unique information, such as substantive annotations 
or comments included therein, that adds to a proper understanding of the 
agency's formulation and execution of basic policies, decisions, 
actions, or responsibilities.
    (d) Record status of copies. The determination as to whether a 
particular document is a record does not depend upon whether it contains 
unique information. Multiple copies of the same document and documents 
containing duplicative information, including messages created or 
received on electronic mail systems, may each have record status 
depending on how they are used to transact agency business. See 
paragraph (f)(2) of this section concerning the nonrecord status of 
extra copies.
    (e) Electronic mail messages. Messages created or received on 
electronic mail systems may meet the definition of record in 44 U.S.C. 
3301.

[[Page 566]]

    (f) Nonrecord materials. Nonrecord materials are Government-owned 
documentary materials that do not meet the conditions of record status 
(see Sec. 1222.34(b)) or that are specifically excluded from status as 
records by statute (see 44 U.S.C. 3301):
    (1) Library and museum material (but only if such material is made 
or acquired and preserved solely for reference or exhibition purposes);
    (2) Extra copies of documents (but only if the sole reason such 
copies are preserved is for convenience of reference); and
    (3) Stocks of publications and of processed documents. (Each agency 
shall create and maintain serial or record sets of its publications and 
processed documents, as evidence of agency activities and for the 
information they contain, including annual reports, brochures, 
pamphlets, books, handbooks, posters and maps.)
    (g) Agency responsibilities. Agencies shall take appropriate action 
to ensure that all staff are capable of identifying Federal records. For 
electronic mail systems, agencies shall ensure that all staff are 
informed of the potential record status of messages, transmittal and 
receipt data, directories, and distribution lists.
[55 FR 27423, July 2, 1990, as amended at 60 FR 44640, Aug. 28, 1995]



Sec. 1222.36  Identifying personal papers.

    (a) Personal papers are documentary materials, or any reasonably 
segregable portion thereof, of a private or nonpublic character that do 
not relate to, or have an effect upon, the conduct of agency business. 
Personal papers are excluded from the definition of Federal records and 
are not owned by the Government. Examples of personal papers include:
    (1) Materials accumulated by an official before joining Government 
service that are not used subsequently in the transaction of Government 
business;
    (2) Materials relating solely to an individual's private affairs, 
such as outside business pursuits, professional affiliations, or private 
political associations that do not relate to agency business; and
    (3) Diaries, journals, personal correspondence, or other personal 
notes that are not prepared or used for, or circulated or communicated 
in the course of, transacting Government business.
    (b) Personal papers shall be clearly designated as such and shall at 
all times be maintained separately from the office's records.
    (c) If information about private matters and agency business appears 
in the same document, the document shall be copied at the time of 
receipt, with the personal information deleted, and treated as a Federal 
record.
    (d) Materials labeled ``personal,'' ``confidential,'' or 
``private,'' or similarly designated, and used in the transaction of 
public business, are Federal records subject to the provisions of 
pertinent laws and regulations. The use of a label such as ``personal'' 
is not sufficient to determine the status of documentary materials in a 
Federal office.
[55 FR 27423, July 2, 1990; 55 FR 28136, July 9, 1990; 55 FR 31982, Aug. 
6, 1990]



Sec. 1222.38  Categories of documentary materials to be covered by recordkeeping requirements.

    Agency recordkeeping requirements shall prescribe the creation and 
maintenance of records of the transaction of agency business that are 
sufficient to:
    (a) Document the persons, places, things, or matters dealt with by 
the agency.
    (b) Facilitate action by agency officials and their successors in 
office.
    (c) Make possible a proper scrutiny by the Congress or other duly 
authorized agencies of the Government.
    (d) Protect the financial, legal, and other rights of the Government 
and of persons directly affected by the Government's actions.
    (e) Document the formulation and execution of basic policies and 
decisions and the taking of necessary actions, including all significant 
decisions and commitments reached orally (person to person, by 
telecommunications, or in conference).
    (f) Document important board, committee, or staff meetings.



Sec. 1222.40  Removal of records.

    Agencies shall develop procedures to ensure that departing officials 
do not

[[Page 567]]

remove Federal records from agency custody.



Sec. 1222.42  Removal of nonrecord materials.

    (a) Nonrecord materials, including extra copies of agency records 
kept only for convenience of reference, may be removed from Government 
agencies only with the approval of the head of the agency or the 
individual authorized to act for the agency on matters pertaining to 
agency records.
    (b) Agencies shall ensure that when nonrecord material containing 
classified information is removed from the executive branch, it is 
protected under conditions equivalent to those required of executive 
branch agencies. The originating agency or its successor in function 
retains control over access to such classified information, even after 
it is properly removed from the agency.
    (c) Agencies shall ensure the appropriate protection of nonrecord 
material containing information which is restricted from release under 
the Privacy Act or other statutes, when such restricted nonrecord 
material is removed from Government agencies.
[56 FR 26336, June 7, 1991]



Sec. 1222.44  Directives documenting agency programs, policies, and procedures.

    Agency recordkeeping requirements shall prescribe that the programs, 
policies, and procedures of the agency shall be adequately documented in 
appropriate directives. A record copy of each such directive (including 
those superseded) shall be maintained by the appropriate agency 
directives management officer(s) as part of the official files.



Sec. 1222.46  Recordkeeping requirements of other agencies.

    When statutes, regulations, directives or authoritative issuances of 
other agencies prescribe an agency's recordkeeping requirements, the 
agency so affected shall include these in appropriate directives or 
other authoritative issuances prescribing its organization, functions, 
or activities.



Sec. 1222.48  Data created or received and maintained for the Government by contractors.

    (a) Contractors performing Congressionally-mandated program 
functions are likely to create or receive data necessary to provide 
adequate and proper documentation of these programs and to manage them 
effectively. Agencies shall specify the delivery of the Government of 
all data needed for the adequate and proper documentation of contractor-
operated programs in accordance with requirements of the Federal 
Acquisition Regulation (FAR) and, where applicable, the Defense Federal 
Acquisition Regulation Supplement (DFARS).
    (b) When contracts involve the creation of data for the Government's 
use, in addition to specifying a final product, agency officials may 
need to specify the delivery of background data that may have reuse 
value to the Government. Before specifying the background data that 
contractors must deliver to the agency, program and contracting 
officials shall consult with agency records and information managers and 
historians and, when appropriate, with other Government agencies to 
ensure that all agency and Government needs are met, especially when the 
data deliverables support a new agency mission or a new Government 
program.
    (c) Deferred ordering and delivery-of-data clauses and rights-in-
data clauses shall be included in contracts whenever necessary to ensure 
adequate and proper documentation or because the data have reuse value 
to the Government.
    (d) When data deliverables include electronic records, the agency 
shall require the contractor to deliver sufficient technical 
documentation to permit the agency or other Government agencies to use 
the data.
    (e) All data created for Government use and delivered to, or falling 
under the legal control of, the Government are Federal records and shall 
be managed in accordance with records management legislation as codified 
at 44 U.S.C. chapters 21, 29, 31, and 33, the Freedom of Information Act 
(5 U.S.C. 552), and the Privacy Act (5 U.S.C.

[[Page 568]]

552a), and shall be scheduled for disposition in accordance with 36 CFR 
part 1228.



Sec. 1222.50  Records maintenance.

    (a) Agencies shall prescribe an appropriate records maintenance 
program so that complete records are filed or otherwise identified and 
preserved, records can be found when needed, the identification and 
retention of permanent records are facilitated, and permanent and 
temporary records are physically segregated or, for electronic records, 
segregable.
    (b) Each Federal agency, in providing for effective controls over 
the maintenance of records, shall:
    (1) Establish and implement standards and procedures for 
classifying, indexing, and filing records as set forth in GSA and NARA 
handbooks;
    (2) Formally specify official file locations for records in all 
media and prohibit the maintenance of records at unauthorized locations;
    (3) Formally specify which officials are responsible for maintenance 
and disposition of electronic records and which computer systems are 
used for recordkeeping;
    (4) Standardize reference service procedures to facilitate the 
finding, charging out, and refiling of paper, audiovisual, and 
cartographic and architectural records, and to ensure that reference to 
electronic records minimizes the risk of unauthorized additions, 
deletions, or alterations;
    (5) Make available to all agency employees published standards, 
guides, and instructions designed for easy reference and revision;
    (6) Review its records maintenance program periodically to determine 
its adequacy; audit a representative sample of its paper, audiovisual, 
electronic, cartographic, and architectural files for duplication, 
misclassification, or misfiles;
    (7) Maintain microform, audiovisual, and electronic records in 
accordance with 36 CFR parts 1230, 1232, and 1234, respectively;
    (8) Establish and implement procedures for maintaining records and 
nonrecord materials separately; ensure that record materials generated 
electronically are clearly identified as records and protected from 
unauthorized change or deletion for the length of their scheduled 
retention period; and
    (9) Establish and implement procedures for the separate maintenance 
of any personal papers in accordance with Sec. 1222.36.
[55 FR 27423, July 2, 1990, as amended at 60 FR 44640, Aug. 28, 1995]



PART 1228--DISPOSITION OF FEDERAL RECORDS--Table of Contents




Sec.
1228.1  Scope of part.

                 Subpart A--Records Disposition Programs

1228.10  Authority.
1228.12  Basic elements of disposition programs.

                      Subpart B--Scheduling Records

1228.20  Authorities.
1228.22  Developing records schedules.
1228.24  Formulation of agency records schedules.
1228.26  Request for records disposition authority.
1228.28  Scheduling pemanent records.
1228.30  Scheduling temporary records.
1228.32  Request to change disposition authority.

                  Subpart C--General Records Schedules

1228.40  Authority.
1228.42  Applicability.
1228.44  Current schedules.
1228.46  Availability.

                    Subpart D--Implementing Schedules

1228.50  Application of schedules.
1228.52  Withdrawal of disposal authority.
1228.54  Temporary extension of retention periods.
1228.56  Transfer of permanent records.
1228.58  Destruction of temporary records.
1228.60  Donation of temporary records.

          Subpart E--Loan of Permanent and Unscheduled Records

1228.70  Authority.
1228.72  Approval.
1228.74  Agency action.
1228.76  NARA action on request.
1228.78  Retrieval of records.

          Subpart F--Emergency Authorization to Destroy Records

1228.90  General provisions.

[[Page 569]]

1228.92  Menaces to human life or health or to property.
1228.94  State of war or threatened war.

   Subpart G--Damage to, Alienation, and Unauthorized Destruction of 
                                 Records

1228.100  Responsibilities.
1228.102  Criminal penalties.
1228.104  Reporting.
1228.106  Exclusions.

Subpart H--Transfer of Records From the Custody of One Executive Agency 
                               to Another

1228.120  Authority.
1228.122  Approval.
1228.124  Agency request.
1228.126  Agency concurrences.
1228.128  Records of terminated agencies.
1228.130  Equipment.
1228.132  Costs of transfers.
1228.134  Restrictions on use of records.
1228.136  Exceptions.

        Subpart I--Transfer of Records to Federal Records Centers

1228.150  Authority.
1228.152  Procedures for transfers to Federal records centers.
1228.154  Transfers to the National Personnel Records Center (NPRC).
1228.156  Transferring vital records to Federal records centers.
1228.160  Release of equipment.
1228.162  Use of records in Federal records centers.
1228.164  Disposal clearance for records in Federal records centers.

         Subpart J--Transfer of Records to the National Archives

1228.180  Authority.
1228.182  Types of records to be transferred.
1228.183  Certification for retention of records in agency custody.
1228.184  Audiovisual records.
1228.186  Cartographic and architectural records.
1228.188  Electronic records.
1228.190  Transfer of records.
1228.192  Restrictions on transferred records.
1228.194  Records subject to the Privacy Act of 1974.
1228.196  Release of equipment.
1228.198  Use of records transferred to the National Archives.
1228.200  Disposal clearances.

                    Subpart K--Agency Records Centers

1228.220  Authority.
1228.222  Facility standards for agency records centers.
1228.224  Requests for authority to establish or relocate records 
          centers.

    Authority: 44 U.S.C. chs. 21, 29, and 33.

    Source: 45 FR 5705, Jan. 24, 1980. Redesignated at 50 FR 15723, Apr. 
19, 1985, unless otherwise noted.

    Editorial Note: See Derivation Table appearing in the Finding Aids 
section of this volume.



Sec. 1228.1  Scope of part.

    This part sets policies and establishes standards, procedures, and 
techniques for the disposition of all Federal records in accordance with 
44 U.S.C. chapters 21, 29, 31, and 33. The disposition of documentary 
materials created or acquired by a Federal agency, regardless of 
physical form or characteristics, is controlled by this part if any of 
the following conditions are met:
    (a) The materials are created or received in the course of business 
and contain information related to the organization, functions, 
policies, decisions, procedures, operations, or other official 
activities of the agency. Also included is documentation of oral 
exchanges such as telephone conversations and meetings during which 
policy was discussed or formulated or other significant activities of 
the agency were planned, discussed, or transacted.
    (b) The creation, retention, or disposition of the materials is 
mandated by statute or agency or other Federal regulations, directives, 
policies, or procedures.
    (c) The materials are controlled, maintained, preserved, processed, 
filed, or otherwise handled following established agency procedures for 
records.
    (d) The material contains unique information, such as substantive 
annotations, including drafts, transmittal sheets, and final documents 
or other materials circulated or made available to employees other than 
the creator for official purposes, such as approval, comment, action, 
recommendation, follow-up, or to keep agency staff informed regarding 
agency business.
    (e) The material was created or received on an electronic mail 
system and it meets the definition of record. For specific instructions 
on the disposition of records created or received

[[Page 570]]

on electronic mail systems, see 36 CFR 1234.32.
[55 FR 27428, July 2, 1990, as amended at 60 FR 44640, Aug. 28, 1995]



                 Subpart A--Records Disposition Programs



Sec. 1228.10  Authority.

    The head of each agency (in accordance with 44 U.S.C. 2904, 3102, 
and 3301) is required to establish and maintain a records disposition 
program to ensure efficient, prompt, and orderly reduction in the 
quantity of records and to provide for the proper maintenance of records 
designated as permanent by NARA.
[55 FR 27428, July 2, 1990]



Sec. 1228.12  Basic elements of disposition programs.

    The primary steps in managing a records disposition program are 
given below. Details of each element are contained in the NARA records 
management handbook, Disposition of Federal Records (NSN 7610-01-055-
8704).
    (a) Issue a program directive assigning authorities and 
responsibilities for records disposition activities in the agency and 
keep that directive up to date.
    (b) Develop, implement, and maintain an accurate, current, and 
comprehensive records schedule.
    (c) Train all agency personnel taking part in the agency's records 
disposition activities.
    (d) Publicize the program to make all agency employees aware of 
their records disposition responsibilities.
    (e) Evaluate the results of the program to ensure adequacy, 
effectiveness, and efficiency.
[55 FR 27428, July 2, 1990]



                      Subpart B--Scheduling Records

    Source: 55 FR 27429, July 2, 1990, unless otherwise noted.



Sec. 1228.20  Authorities.

    (a) The head of each agency shall direct the creation and 
preservation of records containing accurate and complete documentation 
of the organization, functions, policies, decisions, procedures, and 
essential transactions of the agency (44 U.S.C. 3101). The National 
Archives and Records Administration shall establish standards for the 
retention of those records having continuing value, and assist Federal 
agencies in applying the standards to records in their custody (44 
U.S.C. 2905).
    (b) No Federal records shall be destroyed or otherwise alienated 
from the Government except in accordance with procedures described in 
this part 1228 (44 U.S.C. 3314).



Sec. 1228.22  Developing records schedules.

    The primary steps in developing agency records schedules are given 
below. Details in each step are contained in the NARA records management 
handbook, Disposition of Federal Records (NSN 7610-01-055-8704). 
Ultimately, all records of an agency must be scheduled, but they need 
not all be scheduled at the same time. An agency may schedule the 
records of one function, program or organizational element at a time.
    (a) Determine the functions and activities documented by the records 
to be scheduled.
    (b) Prepare an inventory of the records including a description of 
their medium, location, volume, inclusive dates, informational content 
and use.
    (c) Evaluate the period of time the agency needs each records series 
or system by reference to its uses and value to agency operations or 
legal obligations.
    (d) Based on agency need, formulate specific recommended disposition 
instructions for each records series or each part of an automated 
information system, including file breaks, retention periods for 
temporary records, transfer periods for permanent records, and 
instructions for the retirement of records to Federal records centers, 
when appropriate. Recommended retention periods take into account the 
rights of the Government and the rights of those directly affected by 
agency actions.
    (e) Assemble into a draft schedule the descriptions and recommended 
disposition instructions for logical blocks of

[[Page 571]]

records, i.e., entire agency, organizational component, or functional 
area.
    (f) Obtain approval of the records schedules from NARA (and from the 
General Accounting Office, when so required under title 8 of the GAO 
``Policy and Procedures Manual for the Guidance of Federal Agencies'').



Sec. 1228.24  Formulation of agency records schedules.

    (a) General. Agency records schedules approved by the Archivist of 
the United States specify the disposition for agency records. Records of 
continuing (permanent) value will be scheduled for retention and 
immediate or eventual transfer to the legal custody of NARA. All other 
records will be scheduled for destruction or donation after a specific 
period of time based on administrative, fiscal, and legal values.
    (b) Characteristics of schedules. Though records disposition 
authority may be requested from NARA on a program-by-program, function-
by-function, or office-by-office basis, all agency records must be 
scheduled. Schedules must follow the guidelines provided below:
    (1) Schedules shall identify and describe clearly each series or 
system and shall contain disposition instructions that can be readily 
applied. (Additional information is required for permanent records as 
specified in Sec. 1228.28(b).) Schedules must be prepared so that each 
office will have standing instructions detailing the disposal, transfer, 
or retention of records.
    (2) SF 115s shall include only new records not covered by the 
General Records Schedules (GRS) (see subpart C), deviations from the GRS 
(see Sec. 1228.42), or previously scheduled records requiring changes in 
retention periods or substantive changes in description.
    (3) All schedules shall take into account the physical organization 
of records or the filing system so that disposal or transfer can be 
handled in blocks.
    (4) The disposition of nonrecord materials is controlled by 
instructions in the agency's printed or published records disposition 
manual. These instructions do not require NARA approval. Such items 
shall not be included on SF 115s. Non-record materials, such as extra 
copies of documents preserved solely for reference, and stocks of 
processed documents, and personal materials shall be maintained 
separately from official agency files to aid in records disposition.
    (c) Provisions of schedules. Records schedules shall provide for:
    (1) The destruction of records that have served their statutory, 
fiscal, or administrative uses and no longer have sufficient value to 
justify further retention. Procedures for obtaining disposal 
authorizations are prescribed in Sec. 1228.30;
    (2) The removal to a Federal records center (or to an agency records 
center approved under subpart K) of records not eligible for immediate 
destruction or other disposition but which are no longer needed in 
office space. These records are maintained by the records center until 
they are eligible for further disposition action;
    (3) The retention of the minimum volume of current records in office 
space consistent with effective and efficient operations; and
    (4) The identification of records of permanent value in accordance 
with Sec. 1228.28, and the establishment of cutoff periods and dates 
when such records will be transferred to the legal custody of NARA.



Sec. 1228.26  Request for records disposition authority.

    (a) Submission. Requests for records disposition authority shall be 
initiated by Federal agencies by submitting Standard Form 115, Request 
for Records Disposition Authority, to NARA (NWML). An SF 115 is used for 
requesting authority to schedule (or establish the disposition for) 
permanent and temporary records, either on a recurring or one-time 
basis.
    (1) New Federal agencies shall apply General Records Schedules to 
eligible records and shall submit to NARA SF 115s covering all remaining 
records within 2 years of their establishment.
    (2) Agencies shall submit to NARA schedules for the records of new 
programs and of programs that are reorganized or otherwise changed in a 
way that results in the creation of new or

[[Page 572]]

different records within 1 year of the implementation of the change.
    (b) Certification. The signature of the authorized agency 
representative on the SF 115 shall constitute certification that the 
records recommended for disposal do not or will not have sufficient 
administrative, legal, or fiscal value to the agency to warrant 
retention beyond the expiration of the specified period and that records 
described as having permanent value will be transferred to the National 
Archives upon expiration of the stated period.
    (c) Disapproval of requests for disposition authority. Requests for 
records disposition authority may be returned to the agency if the SF 
115 is improperly prepared. The agency shall make the necessary 
corrections and resubmit the form to NARA (NWML). NARA may disapprove 
the disposition request for an item if, after appraisal of the records, 
NARA determines that the proposed disposition is not consistent with the 
value of the records. In such cases, NARA will notify the agency in 
writing.
[55 FR 27429, July 2, 1990; 55 FR 28136, July 9, 1990, as amended at 63 
FR 35829, July 1, 1998]



Sec. 1228.28  Scheduling permanent records.

    (a) Initiation. Federal agencies propose permanent retention of 
records in accordance with guidelines contained in the NARA records 
management handbook, Disposition of Federal Records (NSN 7610-01-055-
8704).
    (b) Requirements. Each item proposed for permanent retention on an 
SF 115 shall include the following:
    (1) Records series title used by agency personnel to identify the 
records;
    (2) Complete description of the records including physical type and 
information contents;
    (3) Inclusive dates;
    (4) An arrangement statement;
    (5) Statement of restrictions on access which NARA should impose in 
conformity with the Freedom of Information Act if the records are 
proposed for immediate transfer;
    (6) An estimate of the volume of records accumulated annually if the 
records are current and continuing;
    (7) The total volume to date; and
    (8) Disposition instructions, developed using the following 
guidelines:
    (i) If the records series or system is current and continuing, the 
SF 115 will include a disposition instruction specifying the period of 
time after which the records will be transferred to the National 
Archives, normally within 30 years for paper records, 5-10 years for 
audiovisual or microform records, and as soon as the records become 
inactive or the agency cannot meet the maintenance requirements found in 
Sec. 1228.188 of this part for electronic records.
    (ii) If the records series or system is nonrecurring, i.e., no 
additional records will be created or acquired, the agency may propose 
either immediate or future transfer to the National Archives.
    (c) Determination. NARA will determine whether or not records are of 
permanent value and when the transfer of the permanent records will take 
place.
    (1) If NARA determines that records are not permanent, it will 
notify the agency and negotiate an appropriate disposition. The 
disposition instruction on the SF 115 will be modified prior to NARA 
approval.
    (2) If NARA determines that records are permanent, but that the 
transfer instructions are not appropriate, it will negotiate appropriate 
transfer terms with the agency. The disposition instruction on the SF 
115 will be modified prior to NARA approval.
[55 FR 27429, July 2, 1990; 55 FR 31982, Aug. 6, 1990]



Sec. 1228.30  Scheduling temporary records.

    (a) Initiation. Federal agencies request authority to dispose of 
records, either immediately or on a recurring basis. Requests for 
immediate disposal are limited to records already in existence which no 
longer accumulate. For recurring records, approved schedules provide 
continuing authority to destroy the records. The retention periods 
approved by NARA are mandatory, and the agency shall dispose of the 
records after expiration of the retention period, except as provided in 
Sec. 1228.54.
    (b) Requirements. Each item on an SF 115 proposed for eventual 
destruction shall include the following:

[[Page 573]]

    (1) Records series title used by agency personnel to identify the 
records;
    (2) Description of the records including physical type and 
informational content;
    (3) If the records are contained in a Privacy Act system of records, 
a citation to the agency's alpha-numeric or numeric code designation for 
the system of records. If the system of records was added or deleted 
since the publication of the current Office of the Federal Register 
compilation of Privacy Act Issuances, the agency shall also cite the 
date and page of the Federal Register on which the new system notice 
appears or the deleted system is announced.
    (4) Disposition instructions, developed using the following 
guidelines:
    (i) If the records series or system is current and continuing, the 
SF 115 will include a disposition instruction specifying the period of 
time after which the records will be destroyed.
    (ii) If the records series or system is nonrecurring, i.e., no 
additional records will be created or acquired, the agency may propose 
either immediate destruction or destruction on a future date.
    (c) Determination. NARA may determine that records proposed as 
temporary merit permanent retention and transfer to the National 
Archives. In such cases, NARA arranges with the agency to change the 
disposition instruction prior to approval of the SF 115.
    (d) General Accounting Office concurrence. Each Federal agency shall 
obtain the approval of the Comptroller General for the disposal of 
program records less than 3 years old and for certain classes of records 
relating to claims and demands by or against the Government, and to 
accounts in which the Government is concerned in accordance with the GAO 
``Policy and Procedures Manual for Guidance of Federal Agencies,'' title 
8--Records Management (44 U.S.C. 3309). This approval must be obtained 
before the approval of the disposal request by NARA, but the request may 
be submitted concurrently to GAO and NARA.
    (e) Withdrawn items. Agencies may request that items listed on the 
SF 115 be withdrawn in order to aid in NARA's processing (appraisal) of 
the remaining items on the schedule.
    (1) If, during the course of the appraisal process, NARA determines 
that records described by an item(s) on the proposed schedule do not 
exist or are not arranged as stated on the SF 115, NARA may request the 
agency to withdraw the item(s) from consideration, if the agency is 
unable to offer sufficient clarification.
    (2) If NARA and the agency cannot agree on the retention period for 
an item(s), the items(s) may be withdrawn. In these cases, the agency 
will submit an SF 115 with a revised proposal for disposition within 6 
months of the date of the approval of the original SF 115.
[55 FR 27429, July 2, 1990, as amended at 57 FR 22432, May 28, 1992]



Sec. 1228.32  Request to change disposition authority.

    (a) Agencies desiring to change the approved retention period of a 
series or system of records shall submit an SF 115. Disposition 
authorities contained in an approved SF 115 are automatically superseded 
by approval of a later SF 115 applicable to the same records unless the 
later SF 115 specified an effective date. Agencies submitting revised 
schedules shall indicate on the SF 115 the relevant schedule and item 
numbers to be superseded, the citation to the current printed records 
disposition schedule, if any, and/or the General Records Schedules and 
item numbers that cover the records.
    (b) Agencies proposing to change the retention period of a series or 
system of records shall submit with the SF 115 an explanation and 
justification for the change. The need to retain records longer than the 
retention period specified in the disposition instructions on an 
approved SF 115 for purposes of audit, court order, investigation, 
litigation, study, or any other administrative purpose that justifies 
the temporary extension of the retention period shall be governed by the 
procedures set forth in Sec. 1228.54. Agencies shall not submit an SF 
115 to change the retention period in such cases.
[61 FR 19554, May 2, 1996; 61 FR 24702, May 16, 1996]

[[Page 574]]



                  Subpart C--General Records Schedules

    Source: 55 FR 27430, July 2, 1990, unless otherwise noted.



Sec. 1228.40  Authority.

    The Archivist of the United States shall issue schedules authorizing 
disposal, after specified periods of time, of records common to several 
or all agencies after determining that the records lack value for 
continued retention by the U.S. Government. General Records Schedules 
constitute authority to destroy records described therein after 
expiration of the stated retention period. Application of the 
disposition instructions in these schedules is mandatory (44 U.S.C. 
3303a).



Sec. 1228.42  Applicability.

    (a) New items or changes in the disposition of GRS records supersede 
approved agency schedules for the same series or system of records, 
unless the agency schedule provides for a shorter retention period, or 
unless NARA indicates that the GRS standard must be applied without 
exception. Agencies shall not request authority to apply GRS 
authorizations (see Sec. 1228.24(b)(2)).
    (b) Agencies may request exceptions to disposition instructions in 
the GRS by submitting an SF 115 in accordance with Sec. 1228.30 
accompanied by a written justification explaining why the agency needs 
the records for a different period of time from other agencies.
    (c) Provisions of the General Records Schedules may be applied to 
records in the custody of the National Archives at NARA's discretion 
subject to the provisions of Sec. 1228.200.



Sec. 1228.44  Current schedules.

    The following General Records Schedules governing the disposition of 
records common to several or all agencies were developed by the National 
Archives and Records Administration after consultation with other 
appropriate agencies. They have been approved by the Archivist of the 
United States.

              Schedule Number and Type of Records Governed

    1. Civilian Personnel Records.
    2. Payrolling and Pay Administration Records.
    3. Procurement, Supply and Grant Records.
    4. Property Disposal Records.
    5. Budget Preparation, Presentation, and Apportionment Records.
    6. Accountable Officers' Accounts Records.
    7. Expenditure Accounting Records.
    8. Stores, Plant, and Cost Accounting Records.
    9. Travel and Transportation Records.
    10. Motor Vehicle Maintenance and Operation Records.
    11. Space and Maintenance Records.
    12. Communications Records.
    13. Printing, Binding, Duplication, and Distribution Records.
    14. Information Services Records.
    15. Housing Records.
    16. Administrative Management Records.
    17. Cartographic, Aerial Photographic, Architectural, and 
Engineering Records.
    18. Security and Protective Services Records.
    19. Research and Development Records: RESCINDED.
    20. Electronic Records.
    21. Audiovisual Records.
    22. Inspector General Records.
    23. Records Common to Most Offices Within Agencies.



Sec. 1228.46  Availability.

    The GRS and instructions for their use are available from NARA 
(NWM). The Archivist of the United States distributes new schedules and 
schedule revisions under sequentially numbered GRS transmittals.
[55 FR 27430, July 2, 1990, as amended at 63 FR 35829, July 1, 1998]



                    Subpart D--Implementing Schedules

    Source: 55 FR 27431, July 2, 1990, unless otherwise noted.



Sec. 1228.50  Application of schedules.

    The application of approved schedules is mandatory (44 U.S.C. 
3303a). The Archivist of the United States will determine whether or not 
records may be destroyed or transferred to the National Archives. If the 
Archivist approves the request for disposition authority, NARA will 
notify the agency by returning one copy of the completed SF 115. This 
shall constitute mandatory authority for the final disposition

[[Page 575]]

of the records (for withdrawal of disposal authority or the extension of 
retention periods, see Secs. 1228.52 and 1228.54). The authorized 
destruction shall be accomplished as prescribed in Sec. 1228.58. The 
head of each Federal agency shall direct the application of records 
schedules to ensure the agency maintains recorded information necessary 
to conduct Government business, avoid waste, and preserve permanent 
records for transfer to the National Archives. The agency head shall 
take the following steps to ensure proper dissemination and application 
of approved schedules:
    (a) Issue an agency directive incorporating the disposition 
authorities approved by NARA, i.e., SF 115s (except for one-time 
authorities covering nonrecurring records) and the General Records 
Schedules. Also include nonrecord materials with disposition 
instructions developed by the agency. Once all records and nonrecord 
materials are included, this document is the agency's comprehensive 
schedule. Agencies may also issue other directives containing 
instructions relating to agency records disposition procedures.
    (1) Published schedules do not include nonrecurring records for 
which NARA has granted authority for immediate disposal or transfer to 
the National Archives. They do include general instructions for 
retirement of records to the Federal records centers, transfer of 
records to the National Archives, and other records disposition 
procedures.
    (2) Comprehensive schedules are formally published manuals or 
directives that provide for the disposition of all recurring records and 
nonrecord materials created by an agency. These schedules must cite the 
GRS or SF 115 and item numbers that provide the legal disposition 
authority for items covering record material.
    (3) Prior to issuance, agencies may consult with NARA concerning 
directives or other issuances containing approved schedules, 
instructions for use of the Federal records centers, transfer of records 
to the National Archives, or other matters covered by NARA procedures or 
regulations.
    (4) Agencies shall forward to the National Archives and Records 
Administration (NWML) three copies of each final directive or other 
issuance relating to records disposition and 20 copies of all published 
records schedules (printed agency manuals) and changes.
    (b) Establish internal training programs to acquaint appropriate 
personnel with the requirements and procedures of the records 
disposition program.
    (c) Apply the approved records disposition schedules to the agency's 
records.
    (1) Records described by items marked ``disposition not approved'' 
or ``withdrawn'' may not be destroyed until a specific disposition has 
been approved by NARA.
    (2) Disposition authorities for items on approved SF 115s that 
specify an organizational component of the department or independent 
agency as the creator or custodian of the records may be applied to the 
same records after internal reorganization, but only if the nature, 
content, and functional importance of the records remain the same. 
Authority approved for items described in a functional format may be 
applied to any organizational component within the department or 
independent agency that is responsible for the relevant function.
    (3) Disposition authorities approved for one department or 
independent agency may not be applied by another. Departments or 
agencies that acquire records from another department or agency, and/or 
continue creating the same series of records previously created by 
another department or agency through interagency reorganization must 
submit an SF 115 to NARA for disposition authorization for the records 
within one year of the reorganization.
    (4) Unless otherwise specified, disposition authorities apply 
retroactively to all existing records as described in the schedule, 
including records acquired by transfer of function within or between 
agencies, as long as the nature, content, and functional importance of 
the records series is unchanged.

[[Page 576]]

    (d) Review approved schedules, and, if necessary, update them 
annually. Additions and changes to the GRS shall be incorporated or 
otherwise disseminated within 6 months of issuance from NARA.
[55 FR 27431, July 2, 1990, as amended at 63 FR 35829, July 1, 1998]



Sec. 1228.52  Withdrawal of disposal authority.

    In an emergency or in the interest of efficiency of Government 
operations, NARA will withdraw disposal authorizations in approved 
disposal schedules (44 U.S.C. 2909). This withdrawal may apply to 
particular items on schedules submitted by agencies or may apply to all 
existing authorizations for the disposal of a specified type of record 
obtained by any or all agencies of the Government. If the withdrawal is 
applicable to only one agency, that agency will be notified of this 
action by letter signed by the Archivist; if applicable to more than one 
agency, notification may be by NARA bulletin issued and signed by the 
Archivist.



Sec. 1228.54  Temporary extension of retention periods.

    (a) Approved agency records schedules and the General Records 
Schedules are mandatory (44 U.S.C. 3303a). Except as specified in 
Sec. 1228.32(b), records series or systems approved for destruction 
shall not be maintained longer without the prior written approval of the 
National Archives and Records Administration (NWML). However, extended 
retention of an individual shipment of records to a Federal Records 
Center for a period up to 6 months is governed by procedures in 
Sec. 1228.164(c).
    (b) Upon submission of adequate justification, NARA may authorize a 
Federal agency to extend the retention period of a series or system of 
records (44 U.S.C. 2909). These extensions of retention periods will be 
granted for records which are required to conduct Government operations 
because of special circumstances which alter the normal administrative, 
legal, or fiscal value of the records.
    (c) The head of a Federal agency may request approval of a temporary 
extension of a retention period by sending a letter to NARA (NWML), 8601 
Adelphi Rd., College Park, MD 20740-6001. The request shall include:
    (1) A concise description of the records series for which the 
extension is requested.
    (2) A complete citation of the specific provisions of the agency 
records schedule or the General Records Schedule currently governing 
disposition of the records;
    (3) A statement of the estimated period of time that the records 
will be required; and
    (4) A statement of the current and proposed physical location of the 
records including information on whether the records have been or will 
be transferred to one or more Federal records centers.
    (d) Approval of a request for extension of retention periods may 
apply to records in the custody of one Federal agency or records common 
to several or all Federal agencies. If approval of a request is 
applicable to records in the custody of one agency, that agency will be 
notified by letter. If approval is applicable to records common to 
several agencies, notification may be made by NARA bulletin.
    (e) Upon approval of a request for a change in retention periods 
applicable to records that have been or will be transferred to one or 
more Federal records centers, centers will be notified of the change and 
agencies will be furnished a copy of the notification. Agencies shall 
forward to the National Archives and Records Administration (NWML) 20 
copies of all formally issued instructions which extend retention 
periods.
    (f) Upon expiration of an approved extension of retention period, 
NARA will notify all affected agencies to apply normal retention 
requirements.
    (g) Except when NARA agrees to continue to store and service records 
on a reimbursable basis or waives the requirements of this paragraph 
under a condition specified in paragraph (h) of this section, agencies 
shall remove from Federal records centers at the agency's expense 
records that, because of audit, court order, investigation,

[[Page 577]]

litigation, study, or any other administrative reason, the agency wishes 
to retain longer than the scheduled retention period for the records. 
The removal of records must be accomplished within 90 days of the date 
of the notification from the Federal records center that the retention 
period has expired. Agencies that wish to establish an agreement or 
inquire about their records should write to NARA, Office of Regional 
Records Services (NR), 8601 Adelphi Road, College Park, MD 20740-6001.
    (h) NARA will waive the requirements specified in paragraph (g) of 
this section when:
    (1) The temporary extension of retention period has been imposed by 
NARA, for instance when NARA plans to reappraise the archival value of 
records or when NARA is working on a new or revised General Records 
Schedule item;
    (2) The agency has submitted an SF 115, Request for Disposition 
Authority, to NARA to request a change in the scheduled disposition of a 
series of records;
    (3) NARA and the agency mutually agree that a temporary extension is 
required to meet exceptional records management situations such as a 
NARA-agency screening project to separate permanent from disposable 
records or application of a new records disposition schedule to 
previously unscheduled records; or
    (4) The administrative cost to NARA to implement a reimbursable 
agreement would exceed the reimbursement received.
[55 FR 27431, July 2, 1990, as amended at 61 FR 19554, May 2, 1996; 61 
FR 24702, May 16, 1996; 63 FR 35829, July 1, 1998]



Sec. 1228.56  Transfer of permanent records.

    All records scheduled as permanent shall be transferred to the 
National Archives after the period specified on the SF 115 in accordance 
with procedures specified under subpart J.



Sec. 1228.58  Destruction of temporary records.

    (a) Authority. Federal agencies are required to follow regulations 
issued by the Archivist of the United States governing the methods of 
destroying records (44 U.S.C. 3302). Only the methods described in this 
section shall be used.
    (b) Sale or salvage. Paper records to be disposed of normally must 
be sold as wastepaper. If the records are restricted because they are 
national security classified or exempted from disclosure by statute, 
including the Privacy Act, or regulation, the wastepaper contractor must 
be required to pulp, macerate, shred, or otherwise definitively destroy 
the information contained in the records, and their destruction must be 
witnessed either by a Federal employee or, if authorized by the agency 
that created the records, by a contractor employee. The contract for 
sale must prohibit the resale of all other paper records for use as 
records or documents. Records other than paper records (audio, visual, 
and data tapes, disks, and diskettes) may be salvaged and sold in the 
same manner and under the same conditions as paper records. All sales 
must be in accordance with the established procedures for the sale of 
surplus personal property. (See 41 CFR part 101-45, Sale, Abandonment, 
or Destruction of Personal Property.)
    (c) Destruction. If the records cannot be sold advantageously or 
otherwise salvaged, the records may be destroyed by burning, pulping, 
shredding, macerating, or other suitable means.



Sec. 1228.60  Donation of temporary records.

    (a) When the public interest will be served, a Federal agency may 
propose the transfer of records eligible for disposal to an appropriate 
person, organization, institution, corporation, or government (including 
a foreign government) that has requested them. Records will not be 
transferred without prior written approval of NARA.
    (b) The head of a Federal agency shall request the approval of such 
a transfer by sending a letter to NARA (NWML), 8601 Adelphi Rd., College 
Park, MD 20740-6001. The request shall include:
    (1) The name of the department or agency, and subdivisions thereof, 
having custody of the records;
    (2) The name and address of the proposed recipient of the records;

[[Page 578]]

    (3) A list containing:
    (i) An identification by series or system of the records to be 
transferred,
    (ii) The inclusive dates of the records,
    (iii) The NARA disposition of job (SF 115) or GRS and item numbers 
that authorize disposal of the records;
    (4) A statement providing evidence:
    (i) That the proposed transfer is in the best interests of the 
Government,
    (ii) That the proposed recipient agrees not to sell the records as 
records or documents, and
    (iii) That the transfer will be made without cost to the U.S. 
Government;
    (5) A certification that:
    (i) The records contain no information the disclosure of which is 
prohibited by law or contrary to the public interest, and/or
    (ii) That records proposed for transfer to a person or commercial 
business are directly pertinent to the custody or operations of 
properties acquired from the Government, and/or
    (iii) That a foreign government desiring the records has an official 
interest in them.
    (c) NARA will consider such request and determine whether the 
donation is in the public interest. Upon approval NARA will notify the 
requesting agency in writing. If NARA determines such a proposed 
donation is contrary to the public interest, the request will be denied 
and the agency will be notified that the records must be destroyed in 
accordance with the appropriate disposal authority.
[55 FR 27431, July 2, 1990, as amended at 63 FR 35829, July 1, 1998]



          Subpart E--Loan of Permanent and Unscheduled Records

    Source: 55 FR 27433, July 2, 1990, unless otherwise noted.



Sec. 1228.70  Authority.

    The Archivist of the United States has authority over the placement 
of permanent records (44 U.S.C. 2107 and 2904). As unscheduled records 
have not been appraised, they will be deemed permanent for the purposes 
of this section and are also covered by this authority.



Sec. 1228.72  Approval.

    No permanent or unscheduled records shall be loaned to non-Federal 
recipients without prior written approval from NARA. This authorization 
is not required for temporary loan of permanent and unscheduled records 
between Federal agencies.



Sec. 1228.74  Agency action.

    (a) An agency proposing to loan permanent or unscheduled records 
shall execute a written loan agreement with the proposed recipient. The 
agreement shall include:
    (1) The name of the department or agency and subdivisions thereof 
having custody of the records;
    (2) The name and address of the proposed recipient of the records;
    (3) A list containing:
    (i) An identification by series or system of the records to be 
loaned,
    (ii) The inclusive dates for each series,
    (iii) The volume and media of the records to be loaned, and
    (iv) The NARA disposition job (SF 115) and item numbers covering the 
records, if any;
    (4) A statement of the purpose and duration of the loan;
    (5) A statement specifying any restrictions on the use of the 
records and how these restrictions will be administered by the donee; 
and
    (6) A certification that the records will be stored according to the 
environmental specifications for archival records.
    (b) The Archivist of the United States shall be a signatory on all 
loan agreements for permanent and unscheduled records. An agreement may 
not be implemented until the Archivist has signed.
    (c) The head of the Federal agency shall request approval for the 
loan by sending a letter to NARA (NWML), 8601 Adelphi Rd., College Park, 
MD 20740-6001, transmitting the proposed loan agreement and specifying 
the name, title, and telephone number of the person NARA should contact 
about the proposed loan.
[57 FR 22432, May 28, 1992, as amended at 63 FR 35829, July 1, 1998]

[[Page 579]]



Sec. 1228.76  NARA action on request.

    NARA will review the request and, if found acceptable, return the 
approved agreement to the agency. NARA will deny the request if the 
records should be transferred to the National Archives in accordance 
with subpart J of this part or if the loan would endanger the records or 
otherwise contravene the regulations in 36 CFR chapter XII, subchapter 
B. If NARA disapproves the loan, the Archivist will notify the agency in 
writing and provide instructions for the disposition of the records.
[57 FR 22432, May 28, 1992; 57 FR 24308, June 8, 1992]



Sec. 1228.78  Retrieval of records.

    An agency shall contact the recipient of the loan of permanent or 
unscheduled records 30 days prior to the expiration of the loan period 
(as stated in the loan agreement) to arrange for the return of the 
records. If the agency extends the duration of the loan, it shall notify 
NARA (NWML) in writing, specifying the reason for the extension and 
providing a new time limit for the loan.
[57 FR 22432, May 28, 1992, as amended at 63 FR 35829, July 1, 1998]



          Subpart F--Emergency Authorization to Destroy Records



Sec. 1228.90  General provisions.

    Under certain conditions, records may be destroyed without regard to 
the provisions of subpart D.
[45 FR 5705, Jan. 24, 1980. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and 55 FR 27433, July 2, 1990]



Sec. 1228.92  Menaces to human life or health or to property.

    (a) Agencies may destroy records that constitute a continuing menace 
to human health or life or to property (44 U.S.C. 3310). When such 
records are identified, the agency head shall notify NARA (NWML), 
specifying the nature of the records, their location and quantity, and 
the nature of the menace. If NARA concurs in the determination, the 
Archivist will direct the immediate destruction of the records or other 
appropriate means of destroying the recorded information. However, if 
the records are still or motion picture film on nitrocellulose base that 
has deteriorated to the extent described in paragraph (b) of this 
section, the head of the agency may follow the procedure therein 
provided.
    (b) Whenever any radarscope, aerial, or other still or motion 
picture film on nitrocellulose base has deteriorated to the extent that 
it is soft and sticky, is emitting a noxious order, contains gas 
bubbles, or has retrograded into acrid powder, and the head of the 
agency having custody of it shall determine that it constitutes a menace 
to human health or life or to property, then the agency shall without 
prior authorization of the Archivist:
    (1) Arrange for its destruction in a manner that will salvage its 
silver content if the silver content is of sufficient quantity and 
market value per troy ounce to warrant such salvage;
    (2) Authorize burial in approved landfills, in the event the 
quantity is not sufficiently large to justify the salvaging of its 
silver content; or
    (3) Effect other appropriate methods in the event that the methods 
provided in paragraph (b)(1) or (2) of this section are not feasible.
    (c) These films should be removed from inhabited buildings as soon 
as possible.
    (d) Within 30 days after the destruction of the film as provided in 
this section, the head of the agency who directed its destruction shall 
submit a written statement to NARA (NWML), 8601 Adelphi Rd., College 
Park, MD 20740-6001, describing the film and showing when, where, and 
how the destruction was accomplished.
    (e) This report has been cleared in accordance with 41 CFR part 201-
45 and assigned Interagency Report Control Number 1095-NAR-AR.
[45 FR 5705, Jan. 24, 1980. Redesignated and amended at 50 FR 15723, 
15725, Apr. 19, 1985; 51 FR 23538, June 30, 1986. Redesignated and 
amended at 55 FR 27433, July 2, 1990; 63 FR 35829, July 1, 1998]



Sec. 1228.94  State of war or threatened war.

    (a) Destruction of records outside the territorial limits of the 
continental United States is authorized whenever,

[[Page 580]]

during a state of war between the United States and any other nation or 
when hostile action by a foreign power appears imminent, the head of the 
agency that has custody of the records determines that their retention 
would be prejudicial to the interest of the United States, or that they 
occupy space urgently needed for military purposes and are without 
sufficient administrative, legal, research, or other value to warrant 
their continued preservation (44 U.S.C. 3311).
    (b) Within 6 months after the destruction of any records under this 
authorization, a written statement describing the character of the 
records and showing when and where the disposal was accomplished shall 
be submitted to NARA (NWML) by the agency official who directed the 
disposal.
[55 FR 27433, July 2, 1990, as amended at 63 FR 35829, July 1, 1998]



   Subpart G--Damage to, Alienation, and Unauthorized Destruction of 
                                 Records



Sec. 1228.100  Responsibilities.

    (a) The Archivist of the United States and the heads of Federal 
agencies are responsible for preventing the alienation or unauthorized 
destruction of records, including all forms of mutilation. Records may 
not be removed from Federal custody or destroyed without regard to the 
provisions of agency records schedules (SF 115) approved by NARA or the 
General Records Schedules issued by NARA (44 U.S.C. 2905, 3106, and 
3303a).
    (b) The heads of Federal agencies are responsible for ensuring that 
all employees are aware of the provisions of the law relating to 
unauthorized destruction, alienation, or mutilation of records, and 
should direct that any such action be reported to them.
[55 FR 27433, July 2, 1990]



Sec. 1228.102  Criminal penalties.

    The maximum penalty for the willful and unlawful destruction, 
damage, or alienation of Federal records is a $2,000 fine, 3 years in 
prison, or both (18 U.S.C. 2071).
[55 FR 27434, July 2, 1990]



Sec. 1228.104  Reporting.

    (a) The head of a Federal agency shall report any unlawful or 
accidental destruction, defacing, alteration, or removal of records in 
the custody of that agency to NARA (NWML), 8601 Adelphi Rd., College 
Park, MD 20740-6001. The report shall include:
    (1) A complete description of the records with volume and dates if 
known;
    (2) The office of origin;
    (3) A statement of the exact circumstances surrounding the 
alienation, defacing, or destruction of the records;
    (4) A statement of the safeguards established to prevent further 
loss of documentation; and
    (5) When appropriate, details of the actions taken to salvage, 
retrieve, or reconstruct the records.
    (b) This report has been cleared in accordance with 41 CFR part 201-
45 and assigned Interagency Report Control Number 0285-NAR-AR.
    (c) The Archivist of the United States will assist the head of the 
agency in contacting the Attorney General for the recovery of any 
unlawfully removed records.
[45 FR 5705, Jan. 24, 1980, as amended at 46 FR 60205, Dec. 9, 1981. 
Redesignated and amended at 50 FR 15723, 15725, Apr. 19, 1985; 51 FR 
23538, June 30, 1986. Redesignated and amended at 55 FR 27434, July 2, 
1990; 63 FR 35829, July 1, 1998]



Sec. 1228.106  Exclusions.

    Private or personal files are not governed by these provisions. 36 
CFR 1222.20(d) provides the legal definition of personal papers and 
prescribes standards for their maintenance.
[45 FR 5705, Jan. 24, 1980. Redesignated and amended at 50 FR 15723, 
15725, Apr. 19, 1985. Further redesignated at 55 FR 27433, July 2, 1990]



Subpart H--Transfer of Records from the Custody of One Executive Agency 
                               to Another

    Source: 45 FR 5705, Jan. 24, 1980, unless otherwise noted. 
Redesignated at 50 FR 15723, Apr. 19, 1985, and 55 FR 27433, July 2, 
1990.

[[Page 581]]



Sec. 1228.120  Authority.

    The Archivist of the United States will issue regulations governing 
the transfer of records from the custody of one executive agency to 
another (44 U.S.C. 2908).



Sec. 1228.122  Approval.

    No records shall be transferred from the custody of one executive 
agency to another without the prior written approval of the National 
Archives and Records Administration except as provided in Sec. 1228.136.



Sec. 1228.124  Agency request.

    The head of any executive agency may request the transfer of records 
to or from his or her agency. Approval shall be requested by letter 
addressed to the NARA (NWML), in which are included:
    (a) A concise description of the records to be transferred, 
including the volume in cubic feet;
    (b) A statement of the restrictions imposed on the use of records;
    (c) A statement of the agencies and persons using the records and 
the purpose of this use;
    (d) A statement of the current and proposed physical and 
organizational locations of the records; and
    (e) A justification for the transfer including an explanation of why 
it is in the best interests of the Government.
[45 FR 5705, Jan. 24, 1980. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and amended at 50 FR 26934, June 28, 1985. Redesignated and amended at 
55 FR 27434, July 2, 1990; 63 FR 35829, July 1, 1998]



Sec. 1228.126  Agency concurrences.

    Copies of the concurrence or nonconcurrence in the transfer by the 
heads of any agencies concerned shall be attached to the agency request.



Sec. 1228.128  Records of terminated agencies.

    Transfers of records of executive agencies whose functions are 
terminated or are in process of liquidation are expressly subject to 
this part 1228 and no such transfers shall be made except in accordance 
with its provisions.



Sec. 1228.130  Equipment.

    Records storage equipment shall be transferred with the records 
contained therein in accordance with arrangements previously agreed to 
by the agencies concerned.



Sec. 1228.132  Costs of transfers.

    Approved transfers shall be made without reimbursement to the agency 
of original custody for any cost involved, except when this 
reimbursement is previously agreed to by the agencies concerned.



Sec. 1228.134  Restrictions on use of records.

    Whenever any records that are transferred are subject to 
restrictions upon their use imposed under a statute, Executive order, or 
agency determination, these restrictions shall continue in effect after 
the transfer. Restrictions imposed by agency determination may be 
removed by agreement between the agencies concerned.



Sec. 1228.136  Exceptions.

    Prior written approval of NARA is not required when:
    (a) Records are transferred to Federal records centers or the 
National Archives in accordance with subparts I and J.
    (b) Records are loaned for official use.
    (c) The transfer of records or functions or both is required by 
statute, Executive Order, Presidential reorganization plan, or Treaty, 
or by specific determinations made thereunder.
    (d) The records are transferred between two components of the same 
Executive department.
    (e) Records accessioned by the National Archives, later found to 
lack sufficient value for continued retention by the National Archives 
are governed exclusively for further disposition in accordance with 
Sec. 1228.200.
[55 FR 27434, July 2, 1990]



        Subpart I--Transfer of Records to Federal Records Centers



Sec. 1228.150  Authority.

    The Archivist of the United States is authorized to establish, 
maintain, and

[[Page 582]]

operate records centers for the storage, processing, and servicing of 
records for Federal agencies (44 U.S.C. 2907). These centers are known 
as Federal records centers. In addition, a National Personnel Records 
Center is maintained for designated records of the Department of Defense 
and the Office of Personnel Management and for other designated records 
pertaining to former Federal civilian employees. A list of these records 
centers follows:

------------------------------------------------------------------------
              Area served                     Federal records center
------------------------------------------------------------------------
District of Columbia, Maryland, West     Washington National Records
 Virginia, and Virginia (except U.S.      Center, 4205 Suitland Rd.,
 Court records).                          Washington, DC 20409-0002.
Designated records of the Military       National Personnel Records
 Departments and the U.S. Coast Guard.    Center (Military Personnel
                                          Records), 9700 Page Ave., St.
                                          Louis, MO 63132-5100.
The entire Federal Government personnel  National Personnel Records
 records of separated Federal             Center (Civilian Personnel
 employees; medical and pay records of    Records), 111 Winnebago St.,
 all Federal employees; designated        St. Louis, MO 63118-4199.
 medical records of Army and Air Force
 military personnel and their
 dependents; and records of agencies in
 the St. Louis area (Missouri only), of
 Scott AFB, IL, and of the Memphis
 Service Center, Internal Revenue
 Service.
National collection of long term         Federal Records Center, 100 Dan
 records.                                 Fox Dr., Pittsfield, MA 01201-
                                          8230.
Maine, Vermont, New Hampshire,           Federal Records Center, 380
 Massachusetts, Connecticut, and Rhode    Trapelo Rd., Waltham, MA 02154-
 Island.                                  6399.
New York, New Jersey, Puerto Rico, and   Federal Records Center,
 the Virgin Islands.                      Military Ocean Terminal, Bldg.
                                          22, Bayonne, NJ 07002-5388.
Delaware, Pennsylvania, and U.S. court   Federal Records Center, 14700
 records for Maryland, Virginia, and      Townsend Rd., Philadelphia, PA
 West Virginia.                           19154-1025.
North Carolina, South Carolina,          Federal Records Center, 1557
 Tennessee, Mississippi, Alabama,         St. Joseph Ave., East Point,
 Georgia, Florida, and Kentucky.          GA 30344-2593.
Illinois, Wisconsin, Minnesota, and      Federal Records Center, 7358 S.
 U.S. court records for Indiana,          Pulaski Rd., Chicago, IL 60629-
 Michigan, and Ohio.                      5898.
Indiana, Michigan, and Ohio except for   Federal Records Center, 3150
 U.S. court records.                      Springboro Drive, Dayton, OH
                                          45439-1883.
Kansas, Iowa, Nebraska, and Missouri     Federal Records Center, 2312 E.
 except greater St. Louis area.           Bannister Rd., Kansas City, MO
                                          64131-3060.
Texas, Oklahoma, Arkansas, Louisiana,    Federal Records Center, P.O.
 and New Mexico.                          Box 6216, Fort Worth, TX 76115-
                                          0216.
Colorado, Wyoming, Utah, Montana, North  Federal Records Center, Denver
 Dakota, and South Dakota.                Federal Center Bldg. 48, P.O.
                                          Box 25307, Denver, CO 80225-
                                          0307.
Nevada except Clark County, California   Federal Records Center, 1000
 except southern California, American     Commodore Dr., San Bruno, CA
 Samoa.                                   94066-2350.
Arizona; Clark County, Nevada, and       Federal Records Center, 24000
 southern California (counties of San     Avila Rd., P.O. Box 6719,
 Luis Obispo, Kern, San Bernadino,        Laguna Niguel, CA 92607-6719.
 Santa Barbara, Ventura, Orange, Los
 Angeles, Riverside, Inyo, Imperial,
 and San Diego).
Washington, Oregon, Idaho, Alaska,       Federal Records Center, 6125
 Hawaii, and Pacific Ocean area (except   Sand Point Way NE., Seattle,
 American Samoa).                         WA 98115-7999.
------------------------------------------------------------------------

[45 FR 5705, Jan. 24, 1980. Redesignated and amended at 50 FR 15723, 
15725, Apr. 19, 1985. Redesignated at 55 FR 27433, July 2, 1990; 57 FR 
21742, May 22, 1992; 61 FR 19554, May 2, 1996]



Sec. 1228.152  Procedures for transfers to Federal records centers.

    This section prescribes general procedures for the transfer of 
records to Federal records centers. For greater detail consult the NARA 
Records Management Handbook, Federal Archives and Records Centers (NSN 
7610-00-298-6904).
    (a) Federal records centers will accept for transfer any records of 
Federal agencies, subject to the following conditions:
    (1) The records are properly scheduled. If the records are not 
scheduled, or if the records are scheduled for final disposition after 
the occurrence of an event at some unspecified future time (contingent), 
an exception to this regulation must be obtained by submitting a 
request, in writing, to the NARA (NR), 8601 Adelphi Rd., College Park, 
MD 20740-6001.
    (i) Requests for exceptions for unscheduled records will be 
considered only if an SF 115 has been submitted and accepted in 
accordance with the provisions of subpart C. The request must include 
information on the volume of the records and the anticipated reference 
activity.

[[Page 583]]

    (ii) Requests for exceptions for contingent records must include the 
series title, records disposition schedule and item numbers, approximate 
volume accumulated annually, periodic review interval for disposal and 
justification for retirement to a Federal records center.
    (2) The records are not authorized for immediate disposal and 
transportation costs are not in excess of the resulting savings.
    (3) Facilities for storing and providing reference on the records 
are available.
    (b) Priority will be given to the removal of records from office 
space, from space convertible to office use, from leased space, and from 
filing equipment that can be reused.
    (c) Inquiries concerning the appropriateness of transfers may be 
sent to the Director of the Federal records center serving the area in 
which the records are located. Inquiries shall specify the nature and 
quantity of the records proposed for transfer.
    (d) Tranfers of records on an agencywide basis may be initiated by 
submitting a request to NARA (NR), 8601 Adelphi Rd., College Park, MD 
20740-6001. Requests shall specify the nature and quantity of the 
records proposed for transfer.
    (e) Transfers to Federal records centers shall be preceded by the 
submission of Standard Form 135, Records Transmittal and Receipt.
    (1) A separate accession number is required for each series of 
records listed on the Standard Form 135. An accession consists of 
records in one series that have the same disposition authority and 
disposition date.
    (2) Standard Forms 135 proposing the transfer of the following 
categories of records must contain, either in block 6F of the form or on 
attached plain paper, a folder title list of the box contents or 
equivalent detailed records description, and each accession must be 
listed on a separate SF 135:
    (i) Records scheduled for permanent retention;
    (ii) Unscheduled records (if authorized for transfer by NARA in 
accordance with paragraph (a)(1)(i) of this section) which have been 
proposed for permanent retention on the pending SF 135;
    (iii) Records which are scheduled for sampling or selecting files 
for permanent retention by the National Archives; and
    (iv) Records for which the agency has implemented the sampling or 
selection technique specified in the agency records control schedule to 
separate permanent and disposable records.
    (3) Permanent microforms from offices in the Washington, DC, area 
are stored at the Washington National Records Center. Permenent 
microforms from all other offices are stored at the National Personnel 
Records Center--Civilian Personnel Records. Submit Standard Forms 135 
proposing the transfer of permanent microforms to the appropriate 
center. (See 36 CFR 1230.22 for inspection requirements for microforms 
transferred to a Federal records center.)
    (4) Agencies shall prepare an original and two copies of the 
Standard Form 135, retain one copy for filing purposes, and send the 
original and one copy to the Federal records center to arrive at least 
10 workdays before the desired date of the records shipment. The records 
center will review the Standard Form 135 for completeness to determine 
the appropriateness of the transfer. If the transfer is approved, the 
records center may annotate block 6J of the Standard Form 135 with the 
Federal records center shelf location where each accession will be 
stored. The Federal records center returns a copy of the Standard Form 
135 to the agency indicating that the records may be transferred. This 
copy shall be placed in the first carton of the shipment when the 
records are shipped to the center.
    (f) The physical transfer of records to a records center should be 
accomplished as soon as possible after the agency has received the 
annotated copy of the Standard Form 135. If NARA has not received the 
shipment within 90 days after transmittal of the annotated SF 135 to the 
agency (120 days for agencies located outside the continental United 
States), it will return the SF 135 to the agency. The agency will then 
have to resubmit the accessioning paperwork.

[[Page 584]]

    (g) Upon receipt of the records shipment at the center, the cartons 
are matched against the copy of the Standard Form 135 submitted with the 
transfer. That copy is signed by center officials and returned to the 
agency for its files. Any changes in location designation will be noted 
on this receipt copy before it is returned to the agency. This is the 
only receipt the center will provide for transferred material, including 
records having security classifications up to and including ``Secret.''
[45 FR 5705, Jan. 24, 1980, as amended at 48 FR 2776, Jan. 21, 1983; 49 
FR 33253, Aug. 22, 1984. Redesignated and amended at 50 FR 15723, 15725, 
Apr. 19, 1985; 50 FR 26934, June 28, 1985; 54 FR 3778, Jan. 26, 1989. 
Redesignated and amended at 55 FR 27434, July 2, 1990; 56 FR 14026, Apr. 
5, 1991; 56 FR 15134, Apr. 15, 1991; 56 FR 23648, May 23, 1991; 63 FR 
35829, July 1, 1998]



Sec. 1228.154  Transfers to the National Personnel Records Center (NPRC).

    General Records Schedules 1 and 2 specify that certain Federal 
civilian personnel, medical, and pay records must be centrally stored at 
the National Personnel Records Center (Civilian Personnel Records), 111 
Winnebago Street, St. Louis, MO 63118.
    (a) The following four types of records are so specified:
    (1) Official personnel folders of separated Federal civilian 
employees;
    (2) Service record cards of employees who separated or transferred 
on or before December 31, 1947;
    (3) Audited individual earnings and pay cards and comprehensive 
payrolls; and
    (4) Employee medical folders of separated Federal civilian 
employees.
    (b) The official personnel folder (OPF) and the employee medical 
folder (EMF) must be forwarded to the National Personnel Records Center 
at the same time. Only x rays that will easily fit inside the EMF 
without folding will be accepted by the Center. X rays over 11\3/
4\" x 10" in size that are required for long-term retention must be 
retained by the agency. The agency must place a notice in the EMF 
indicating how a subsequent Federal employer may obtain the oversized x 
rays. The OPF and the EMF must be labeled in the upper right corner to 
identify the employee by name (last name first), date of birth, and 
social security number only. Temporary records must be removed from the 
folders before transmittal. Agencies must make every effort to locate 
all long-term documents required to be part of the folders and to file 
them before the folders are transferred. Small quantities of folders 
(OPF's and EMF's) must be mailed in a sealed envelope. Larger quantities 
must be mailed in a carton. No advance notification of transmittal or SF 
135, Records Transmittal and Receipt, is required from the transferring 
agency, and no receipt will be furnished by the Center.
    (c) A cover letter must accompany loose personnel or medical 
documents forwarded for interfiling in an OPF or EMF previously sent to 
the Center. Only those documents required for long-term retention may be 
forwarded for interfiling. Each document must contain the former 
employee's current name and name under which formerly employed, if 
different; date of birth; social security number; and date of 
separation. Letters accompanying loose personnel documents must clearly 
identify the agency personnel office and address. Letters accompanying 
loose medical documents must include the name and address of the 
agency's designated medical records manager (i.e., medical, health, 
safety, or personnel officer or other designee). Medical documents 
required to be part of the EMF may not be sent for interfiling in agency 
accessions retired prior to September 1, 1984. Such documents must be 
placed in an EMF and sent to the National Personnel Records Center in 
accordance with the instructions in paragraph (b) of this section if the 
employee has left Federal service.
    (d) Transfer of fiscal records must be in accordance with the 
procedures outlined in Sec. 1228.152.
    (e) Standard Form 127, Request for Official Personnel Folder 
(Separated Employee), must be used by agencies when requesting 
transmission of personnel folders of separated employees. Standard Form 
184, Request for Employee Medical Folder (Separated Employee), must be 
used when requesting medical folders. The name and address of the 
agency's designated medical records manager must be shown on the

[[Page 585]]

request form. Use of the appropriate request form will help ensure 
prompt transmission of the desired folder. Each request must be 
submitted in duplicate.
    (f) Occupational medical records of separated Federal civilian 
employees who were not in positions subject to civil service rules and 
regulations may be retired if the records are properly scheduled and if 
access procedures are furnished for use by the Center.
    (1) It is recommended that a folder similar to the SF 66-D, Employee 
Medical Folder, but different in color, be used for medical records of 
non-civil-service employees.
    (2) If the records are not scheduled, an exception may be obtained 
by submitting a request to the Assistant Archivist for Regional Records 
Services, NARA (NR), 8601 Adelphi Rd., College Park, MD 20740-6001. The 
request must identify the location(s) of records and the volume proposed 
for transfer. The request will be considered only if an SF 115, Request 
for Records Disposition Authority, has been received by NARA's Life 
Cycle Management Division (NWML).
    (g) Medical records of non-Federal employees (e.g., contractor 
employees and student volunteers) must be disposed of in accordance with 
the approved agency disposition schedule.
[53 FR 13408, Apr. 25, 1988. Redesignated at 55 FR 27433, July 2, 1990, 
as amended at 63 FR 35829, July 1, 1998]



Sec. 1228.156  Transferring vital records to Federal records centers.

    NARA provides for the storage and protection of rights and interests 
vital records under the dispersed concept as described in part 1236. The 
facilities of all NARA Federal records centers (FRC) without regard to 
geographical location are now available for agencies desiring to store 
these records. Each NARA Federal records center has areas with suitable 
temperature and humidity controls allowing the safe storage of paper 
records, magnetic tape, and photographic film. Agencies may make 
arrangements through the NARA (NR), 8601 Adelphi Rd., College Park, MD 
20740-6001, for the transfer of indispensable vital records to these 
depositories and for their use.
[45 FR 5705, Jan. 24, 1980. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and 55 FR 27433, July 2, 1990, as amended at 63 FR 35829, July 1, 1998]



Sec. 1228.160  Release of equipment.

    File equipment received with the transfer of records to a Federal 
records center will normally be disposed of in accordance with 
applicable excess personal property regulations. An agency desiring 
return of the equipment should make this request before transfer of the 
records to the records center.
[45 FR 5705, Jan. 24, 1980. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and 55 FR 27433, July 2, 1990]



Sec. 1228.162  Use of records in Federal records centers.

    Each agency record which is accepted by the Archivist of the United 
States for storage, processing, and servicing in accordance with 44 
U.S.C. 3103 shall, for the purposes of this section, be considered to be 
maintained by the agency which deposited the record. The Archivist of 
the United States will not disclose the record except to the agency 
which maintains the record, or under rules established by that agency 
which are not inconsistent with existing laws.
    (a) Standard Form 180, Request Pertaining to Military Records, must 
be used by Federal agencies to obtain information from military service 
records in the National Personnel Records Center (Military Personnel 
Records). Agencies may furnish copies of that form to the public to aid 
in inquiries. Members of the public and non-governmental organizations 
also may obtain copies of Standard Form 180 by submitting a written 
request to the National Personnel Records Center (Military Personnel 
Records), 9700 Page Boulevard, St. Louis, MO 63132.
    (b) Requests for Federal civilian personnel files and medical files 
from the National Personnel Records Center must be made in accordance 
with Sec. 1228.154. Requests for medical records retired to other 
Federal Records Centers prior to September 1, 1984, must be made on 
Optional Form 11, Reference Request--Federal Records Centers. The

[[Page 586]]

request must include the name and address of the agency's designated 
medical records manager.
    (c) For any other requests, agencies should use Optional Form 11, 
Reference Request--Federal Records Centers, or a form jointly designated 
by that agency and NARA.
[45 FR 5707, Jan. 24, 1980. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and amended at 53 FR 13409, Apr. 25, 1988. Redesignated at 55 FR 27433, 
July 2, 1990]



Sec. 1228.164  Disposal clearances for records in Federal records centers.

    (a) Records at the National Personnel Records Center covered by 
General Records Schedules 1 and 2 will be destroyed in accordance with 
those schedules without further agency clearance.
    (b) Contingent records (records of Federal agencies scheduled for 
destruction after occurrence of an event at some unspecified time in the 
future) held by Federal records centers will be destroyed upon receipt 
of agency concurrence in response to NA Form 13000, Agency Review for 
Contingent Disposal, or other written concurrence. If the agency does 
not respond to the review notice within 90 calendar days, the records 
center may return the records to the agency and reject future transfers 
of that records series.
    (c) Other records of Federal agencies held by Federal records 
centers will be destroyed with the concurrence of the agency concerned 
by use of NA Form 13001, Notice of Intent to Destroy Records, or other 
written concurrence for each disposal action. If an agency is notified 
of the eligibility of its records for disposal and the agency fails to 
respond to this notification within 90 calendar days, the records will 
be destroyed in accordance with the appropriate disposition authority. 
If an agency does not concur in the scheduled destruction of an 
accession, the agency may request extended retention of the records for 
up to an additional 6 months by submitting written justification, 
including a new disposal date, within 90 days to the records center 
director. Further extensions must be requested in accordance with 
Sec. 1228.54 of this part.
[45 FR 5705, Jan. 24, 1980, as amended at 49 FR 6371, Feb. 21, 1984; 49 
FR 36502, Sept. 18, 1984. Redesignated and amended at 50 FR 15723, 
15725, Apr. 19, 1985. Redesignated and amended at 55 FR 27434, July 2, 
1990; 61 FR 19555, May 2, 1996 ]



         Subpart J--Transfer of Records to the National Archives



Sec. 1228.180  Authority.

    (a) Transfer of records. The Archivist of the United States is 
authorized by 44 U.S.C. 2107 to:
    (1) Accept for deposit with the National Archives of the United 
States the records of a Federal agency or of the Congress determined by 
the Archivist of the United States to have sufficient historical or 
other value to warrant their continued preservation by the U.S. 
Government; and
    (2) Direct and effect the transfer to the National Archives of the 
United States of Federal agency records that have been in existence for 
more than 30 years and that have been determined by the Archivist of the 
United States to have sufficient historical or other value to warrant 
their continued preservation by the U.S. Government.
    (b) Custody of records transferred. Under 44 U.S.C. 2108, the 
Archivist of the United States is responsible for the custody, use, and 
withdrawal of records transferred to him.
    (c) Transferred records subject to statutory or other restrictions. 
When records, the use of which is subject to statutory limitations and 
restrictions, are so transferred, permissive and restrictive statutory 
provisions concerning the examination and use of records applicable to 
the head of the transferring agency are applicable to the Archivist of 
the United States and the employees of the National Archives and Records 
Administration.
[54 FR 2111, Jan. 19, 1989. Redesignated at 55 FR 27433, July 2, 1990, 
as amended at 57 FR 22432, May 28, 1992]



Sec. 1228.182  Types of records to be transferred.

    (a) General. Records that have been determined by the Archivist of 
the

[[Page 587]]

United States to have sufficient historical or other value to warrant 
preservation; i.e., appraised by NARA and identified as permanent 
records, are normally transferred to the National Archives of the United 
States when:
    (1) They are 30 years old; or
    (2) At any age when:
    (i) The originating agency no longer needs to use the records for 
the purpose for which they were created or in its regular current 
business; or
    (ii) Agency needs will be satisfied by use of the records in NARA 
research rooms or by copies of the records; and restrictions on the use 
of records are acceptable to NARA and do not violate the Freedom of 
Information Act (5 U.S.C. 552). Records appraised as permanent that are 
not yet eligible for transfer because of agency needs or restrictions 
may be stored in a Federal records center pending transfer. (See subpart 
I of this part.)
    (b) Archival depositories. NARA reserves the right to determine and 
change the archival depository in which records transferred to the 
National Archives of the United States are stored. Such determinations 
are normally made as follows:
    (1) Presidential libraries. Records appropriate for preservation in 
a Presidential library because they can most effectively be used in 
conjunction with materials already in that library.
    (2) Regional Archives. (i) Records of field offices of Federal 
agencies, except for records of agency field offices located in the 
Washington, DC area;
    (ii) Records including both headquarters and field office records of 
regional agencies such as the Tennessee Valley Authority; and
    (iii) Other records determined by NARA to be of primarily regional 
or local interest.
    (3) National Archives Building and other Washington, DC area 
depositories. (i) Records of Washington, DC area field offices of 
Federal agencies and other records relating to the District of Columbia 
and the Washington, DC area, such as records of the National Capital 
Planning Commission;
    (ii) All other records not deposited in a Presidential library or 
Regional Archives.
[42 FR 57315, Nov. 2, 1977, as amended at 46 FR 60206, Dec. 9, 1981. 
Redesignated and amended at 50 FR 15723, 15725, Apr. 19, 1985. 
Redesignated at 55 FR 27433, July 2, 1990, as amended at 57 FR 22432, 
May 28, 1992]



Sec. 1228.183  Certification for retention of records in agency custody.

    (a) Permanent records shall be transferred to the National Archives 
of the United States when the records have been in existence for more 
than 30 years unless the head of the agency which has custody of the 
records certifies in writing to the Archivist that the records must be 
retained in agency custody for use in the conduct of the regular current 
business of the agency. Records that are scheduled in a NARA-approved 
records schedule to be transferred to the National Archives of the 
United States after a specified period of time are subject to the 
certification requirement only if the records are not transferred as 
scheduled.
    (b) In order to certify that records must be retained for the 
conduct of regular current business, an agency should consider the 
following factors:
    (1) Character of use (to be retained by an agency, records should be 
used for the normal routine business of the agency at the time of 
certification);
    (2) Frequency of use (to be retained by an agency, records should be 
used more than one time per month per file unit); and,
    (3) Preservation of the records (to be retained by an agency, 
permanently valuable records should be preserved in accordance with NARA 
guidelines).
    (c) The written certification of need of a series of 30-year-old 
records for current agency business must:
    (1) Include a comprehensive description and location of records to 
be retained;
    (2) Cite the NARA approved authority for the disposition of the 
records if scheduled (SF 115 item number);
    (3) Describe the current business for which the records are 
required;
    (4) Estimate the length of time the records will be needed by the 
agency

[[Page 588]]

for current business (if no date is provided by the agency, approved 
certification requests will be effective for a maximum of five years);
    (5) Explain why the current needs of the agency cannot be met by the 
services NARA provides for records deposited with the National Archives 
of the United States; and,
    (6) If the records are being retained to enable the agency to 
provide routine public reference, cite the statute authorizing this 
agency activity.
    (d) NARA will not accept an agency certification that a specific 
body of records over 30 years old, regardless of physical form or 
characteristics, is being used for the ``conduct of the regular current 
business,'' if that agency is retaining such records primarily to:
    (1) Provide to persons outside the agency access which can be 
provided by NARA; or
    (2) Function as an agency archives, unless specifically authorized 
by statute or NARA.
[57 FR 22433, May 28, 1992]



Sec. 1228.184  Audiovisual records.

    The following types of audiovisual records appraised as permanent 
shall be transferred to the National Archives as soon as they become 
inactive or whenever the agency cannot provide proper care and handling 
of the records, including adequate storage conditions, to facilitate 
their preservation by the National Archives (see part 1232 of this 
chapter). In general the physical types described below constitute the 
minimum record elements for archival purposes that are required to 
provide for future preservation, duplication, and reference needs.
    (a) Motion pictures. (1) Agency-sponsored or produced motion picture 
films (e.g., public information films) whether for public or internal 
use:
    (i) Original negative or color original plus separate optical sound 
track;
    (ii) Intermediate master positive or duplicate negative plus optical 
track sound track; and,
    (iii) Sound projection print and video recording, if both exist.
    (2) Agency-acquired motion picture films: Two projection prints in 
good condition or one projection print and one videotape.
    (3) Unedited footage, outtakes and trims (the discards of film 
productions) that are properly arranged, labeled, and described and show 
unstaged, unrehearsed events of historical interest or historically 
significant phenomena:
    (i) Original negative or color original; and
    (ii) Matching print or videotape.
    (b) Still pictures. (1) For black-and- white photographs, an 
original negative and a captioned print although the captioning 
information can be maintained in another file such as a data base if the 
file number correlation is clear. If the original negative is nitrate, 
unstable acetate, or glass based, a duplicate negative on a polyester 
base is also needed.
    (2) For color photographs, the original color negative, color 
transparency, or color slide; a captioned print of the original color 
negative; and/or captioning information as described above if for an 
original color transparency or original color slide; and a duplicate 
negative, or slide, or transparency, if they exist.
    (3) For slide sets, the original and a reference set, and the 
related audio recording and script.
    (4) For other pictorial records such as posters, original art work, 
and filmstrips, the original and a reference copy.
    (c) Sound recordings. (1) Disc recordings:
    (i) For conventional disc recordings, the master tape and two disc 
pressings of each recording, typically a vinyl copy for playback at 
33\1/3\ revolutions per minute (rpm).
    (ii) For compact discs, the origination recording regardless of form 
and two compact discs.
    (2) For analog audio recordings on magnetic tape (open reel, 
cassette, or cartridge), the original tape, or the earliest available 
generation of the recording, and a subsequent generation copy for 
reference. Section 1232.30(d) of this subchapter requires the use of 
open-reel analog magnetic tape for original audio recordings.

[[Page 589]]

    (d) Video recordings. (1) For videotape, the original or earliest 
generation videotape and a copy for reference. Section 1232.30(c) of 
this subchapter requires the use of industrial-quality or professional 
videotapes for use as originals, although VHS copies can be transferred 
as reference copies.
    (2) For video discs, the premaster videotape used to manufacture the 
video disc and two copies of the disc. Video discs that depend on 
interactive software and nonstandard equipment may not be acceptable for 
transfer.
    (e) Finding aids and production documentation. The following records 
shall be transferred to the National Archives with the audiovisual 
records to which they pertain.
    (1) Existing finding aids such as data sheets, shot lists, 
continuities, review sheets, catalogs, indexes, list of captions, and 
other documentation that are helpful or necessary for the proper 
identification, or retrieval of audiovisual records. Agencies should 
contact the Nontextual Archives Division, or its appropriate audiovisual 
branch, to determine the type of hardware and software that is currently 
acceptable for transfer to the National Archives as an agency electronic 
finding aid that will accompany its audiovisual records. In general, 
however, agencies must transfer two copies of the electronic finding 
aid, one in its native format with its field structure documented, and a 
second copy in a contemporary format available at the time of transfer 
that NARA will be able to support and import to its database.
    (2) Production case files or similar files that include copies of 
production contracts, scripts, transcripts, and appropriate 
documentation bearing on the origin, acquisition, release, and ownership 
of the production.
[61 FR 32336, June 24, 1996]



Sec. 1228.186  Cartographic and architectural records.

    The following classes of cartographic and architectural records 
appraised as permanent should be transferred to the National Archives as 
soon as they become inactive or whenever the agency cannot provide the 
proper care and handling of the materials to guarantee their 
preservation.
    (a) Maps and charts. (1) Manuscript maps; printed and processed maps 
on which manuscript changes, additions, or annotations have been made 
for record purposes or which bear manuscript signatures to indicate 
official approval; and single printed or processed maps that have been 
attached to or interfiled with other documents of a record character or 
in any way made an integral part of a record.
    (2) Master sets of printed or processed maps in the custody of the 
agency by which they were issued. Such master sets should be kept 
segregated from the stock of maps held for distribution and from maps 
received from other agencies. A master set should include one copy of 
each edition of a printed or processed map issued.
    (3) Computer-related and computer-plotted maps that cannot be 
reproduced by the National Archives because of destruction of the 
magnetic tapes or other stored data or because of the unavailability of 
ADP equipment.
    (4) Index maps, card indexes, lists, catalogs, or other finding aids 
that may be helpful in using the maps transferred.
    (5) Records related to preparing, compiling, editing, or printing 
maps, such as manuscript field notebooks of surveys, triangulation and 
other geodetic computations, and project folders containing 
specifications to be followed and appraisals of source materials to be 
used.
    (b) Aerial photography and remote sensing imagery. (1) Vertical and 
oblique negative aerial film, conventional aircraft.
    (2) Annotated copy negatives, internegatives, rectified negatives, 
and glass plate negatives from vertical and oblique aerial film, 
conventional aircraft.
    (3) Annotated prints from aerial film, conventional aircraft.
    (4) Infrared, ultraviolet, multispectral (multiband), video, imagery 
radar, and related tapes, converted to a film base.
    (5) Indexes and other finding aids in the form of photo mosaics, 
flight line indexes, coded grids, and coordinate grids.

[[Page 590]]

    (c) Architectural and related engineering drawings. (1) Design 
drawings, preliminary and presentation drawings, and models which 
document the evolution of the design of a building or structure.
    (2) Master sets of drawings which document the condition of a 
building or structure in terms of its initial construction and 
subsequent alterations. This category includes final working drawings, 
``as-built'' drawings, shop drawings, and repair and alteration 
drawings.
    (3) Drawings of repetitive or standard details of one or more 
buildings or structures.
    (4) ``Measured'' drawings of existing buildings and original or 
photocopies of drawings reviewed for approval.
    (5) Related finding aids and specifications to be followed.
[42 FR 57315, Nov. 2, 1977. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and 55 FR 27433, July 2, 1990, as amended at 57 FR 22433, May 28, 1992]



Sec. 1228.188  Electronic records.

    (a) Timing of transfers. Each agency is responsible for the 
integrity of the records it transfers to the National Archives. To 
ensure that permanently valuable electronic records are preserved, each 
Federal agency shall transfer electronic records to NARA promptly in 
accordance with the agency's records disposition schedule. Furthermore, 
if the agency cannot provide proper care and handling of the media (see 
part 1234 of this chapter), or if the media are becoming obsolete and 
the agency cannot migrate the records to newer media, the agency shall 
contact NARA to arrange for timely transfer of permanently valuable 
electronic records, even when sooner than provided in the records 
schedule.
    (b) Temporary retention of copy. Each agency shall retain a second 
copy of any permanently valuable electronic records that it transfers to 
the National Archives until it receives official notification from NARA 
that the transfer was successful and that NARA has assumed 
responsibility for continuing preservation of the records.
    (c) Transfer media. This paragraph covers the transfer of permanent 
records to the National Archives; it does not apply to the use or 
storage of records in agency custody. See 36 CFR 1234.30 for the 
requirements governing the selection of electronic records storage 
media. The agency shall use only media that is sound and free from 
defects for such transfers; the agency shall choose reasonable steps to 
meet this requirement. The media forms that are approved for transfer 
are open reel magnetic tape, magnetic tape cartridge, and Compact-Disk, 
Read Only Memory (CD-ROM), as described in paragraphs (c) (1) and (2) of 
this section.
    (1) Magnetic tape. Agencies may transfer electronic records to the 
National Archives on magnetic tape using either open-reel magnetic tape 
or tape cartridges. Open-reel magnetic tape shall be on \1/2\ inch 9-
track tape reels recorded at 1600 or 6250 bpi that meet ANSI X3.39-1986, 
American National Standard: Recorded Magnetic Tape for Information 
Interchange (1600 CPI, PE) or ANSI X3.54-1986, American National 
Standard: Recorded Magnetic Tape for Information Interchange (6250 CPI, 
Group Coded Recording), respectively. Tape cartridges shall be 18-track 
3480-class cartridges recorded at 37,871 bpi that meet ANSI X3.180-1990, 
American National Standard: Magnetic Tape and Cartridge for Information 
Interchange--18-Track, Parallel, \1/2\ inch (12.65 mm), 37871 cpi (1491 
cpmm), Group-Coded--Requirements for Recording. The data shall be 
blocked at no more than 32,760 bytes per block. The standards cited in 
this paragraph are available from the American National Standards 
Institute, (ANSI), Inc., 11 West 42nd Street, New York, NY 10036. They 
are also available for inspection at the Office of the Federal Register, 
800 North Capitol Street, NW., Suite 700, Washington, D.C. This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. These 
materials are incorporated by reference as they exist on the date of 
approval and a notice of any change in these materials will be published 
in the Federal Register.
    (2) Compact-Disk, Read Only Memory (CD-ROM). Agencies may use CD-
ROMs to transfer electronic records

[[Page 591]]

scheduled to be preserved in the National Archives. The files on such a 
CD-ROM must comply with the format and documentation requirements 
specified in paragraphs (d) and (e) of this section.
    (i) CD-ROMs used for this purpose must conform to ANSI/NISO/ISO 
9660-1990, American National Standard for Volume and File Structure of 
CD-ROM for Information Exchange. The standard is available from the 
National Information Standards Organization (NISO), P.O. Box 1056, 
Bethesda, MD or the American National Standards Institute, 11 West 42nd 
Street, 13th floor, New York NY 10036. It is also available for 
inspection at the Office of the Federal Register, 800 North Capitol 
Street, NW., Suite 700, Washington, D.C. This incorporation by reference 
was approved by the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51. These materials are incorporated by 
reference as they exist on the date of approval and a notice of any 
change in these materials will be published in the Federal Register.
    (ii) Permanently valuable electronic records must be stored in 
discrete files. The CD-ROMs transferred may contain other files, such as 
software or temporary records, but all permanently valuable records must 
be in files that contain only permanent records. Agencies should 
indicate at the time of transfer if a CD-ROM contains temporary records 
and, if so, where those records are located on the CD-ROM. The agency 
must also specify whether NARA should return the CD-ROM to the agency or 
dispose of it after copying the permanent records to an archival medium.
    (iii) In some cases, permanently valuable electronic records that an 
agency disseminates on CD-ROM exist on other media, such as magnetic 
tape. In such cases, the agency and NARA will mutually agree on the most 
appropriate medium for transfer of the records to the National Archives.
    (d) Formats. The agency may not transfer to the National Archives 
electronic records that are in a format dependent on specific hardware 
and/or software. The records shall be written in ASCII or EBCDIC with 
all control characters and other non-data characters removed (except as 
specified in paragraphs (d) (1), (2), and (3) of this section). The 
records must not be compressed unless NARA has approved the transfer in 
the compressed form in advance. In such cases, NARA may require the 
agency to provide the software to decompress the records.
    (1) Data files and databases. Data files and databases shall be 
transferred to the National Archives as flat files or as rectangular 
tables; i.e., as two-dimensional arrays, lists, or tables. All 
``records'' (within the context of the computer program, as opposed to a 
Federal record) or ``tuples,'' i.e., ordered collections of data items, 
within a file or table should have the same logical format. Each data 
element within a record should contain only one data value. A record 
should not contain nested repeating groups of data items. The file 
should not contain extraneous control characters, except record length 
indicators for variable length records, or marks delimiting a data 
element, field, record, or file. If records or data elements in 
different files need to be linked or combined, then each record must 
contain one or more data elements that constitute primary and/or foreign 
keys enabling valid linkages between the related records in separate 
files.
    (2) Textual documents. Electronic textual documents shall be 
transferred as plain ASCII files; however, such files may contain 
Standard Generalized Markup Language (SGML) tags.
    (3) Digital spatial data files. Digital spatial data files shall be 
transferred to NARA in accordance with the Spatial Data Transfer 
Standard (SDTS) as defined in the Federal Information Processing 
Standard 173-1 (June 10, 1994) which is incorporated by reference. 
Digital geospatial data files created on systems procured prior to 
February 1994 which do not have a SDTS capability are exempt from this 
requirement. Agencies should consult with NARA for guidance on 
transferring noncompliant digital geospatial data files created between 
February 1, 1994 and the effective date of this paragraph. The standard 
cited in this paragraph is available

[[Page 592]]

from the National Technical Information Service, Department of Commerce, 
Springfield, VA 22161. When ordering, cite FIPSPUB173-1, Spacial Data 
Transfer Standard (SDTS). This standard is also available for inspection 
at the Office of the Federal Register, 800 North Capitol Street, NW., 
Suite 700, Washington, D.C. This incorporation by reference was approved 
by the Director of the Federal Register in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. These materials are incorporated by reference 
as they exist on the date of approval and a notice of any change in 
these materials will be published in the Federal Register.
    (4) Other categories of electronic records. Agencies should identify 
any foreseeable problems in the possible transfer of potentially 
permanent electronic records in accordance with paragraphs (d) (1), (2), 
and (3) of this section at the time the records are scheduled. Special 
transfer requirements agreed upon by NARA and the agency shall be 
included in the disposition instructions.
    (5) NARA consultation. The agency shall consult with NARA for 
guidance on the transfer of types of electronic records other than those 
prescribed in paragraphs (d) (1), (2), and (3) of this section.
    (e) Documentation. Documentation adequate to identify, service and 
interpret electronic records that have been designated for preservation 
by NARA shall be transferred with the records. This documentation shall 
include completed NARA Form 14097, Technical Description for Transfer of 
Electronic Records, and a completed NARA Form 14028, Information System 
Description Form, or their equivalents. Where possible, agencies should 
submit required documentation in an electronic form that conforms to the 
provisions of this section.
    (1) Data files. Documentation for data files and data bases must 
include record layouts, data element definitions, and code translation 
tables (codebooks) for coded data. Data element definitions, codes used 
to represent data values and interpretations of these codes must match 
the actual format and codes as transferred.
    (2) Digital spatial data files. Digital spatial data files shall 
include the documentation specified in paragraph (e)(1) of this section. 
In addition, documentation for digital spatial data files may include 
metadata that conforms to the Federal Geographic Data Committee's 
Content Standards for Digital Geospatial Metadata, as specified in 
Executive Order 12906 of April 11, 1994 (3 CFR, 1995 Comp., p. 882).
    (3) Documents containing SGML tags. Documentation for electronic 
files containing textual documents with SGML tags shall include a table 
for interpreting the SGML tags, when appropriate.
[62 FR 54584, Oct. 21, 1997]



Sec. 1228.190  Transfer of records.

    (a) Policy. Federal records will be transferred to the National 
Archives of the United States only if they are listed as permanent on an 
SF 115, Request for Records Disposition Authority approved by NARA since 
May 14, 1973, or if they are accretions (continuations of series already 
accessioned) to holdings of the National Archives. Transfers are 
initiated by submission of an SF 258, Request to Transfer, Approval and 
Receipt of Records to the National Archives of the United States.
    (b) Initiation of request to transfer. (1) NARA will provide the SF 
258 for records scheduled for immediate transfer on an SF 115 approved 
after September 30, 1987. NARA will send the SF 258 to the agency with 
the approved SF 115. The agency will sign and return the SF 258 to the 
address indicated on the form.
    (2) Future transfers of series in agency space. Sixty days before 
the scheduled date of transfer to the National Archives of the United 
States, the transferring agency shall submit an SF 258 to the Office of 
Records Services--Washington, DC (MWMD) or to the appropriate Regional 
Records Services Facility if so provided on the SF 115. NARA will 
determine whether specified restrictions are acceptable and whether 
adequate space and equipment are available.
    (3) Future transfers of series in Federal Records Centers. NARA will 
initiate the SF 258 and send it to the agency 90 days before the 
scheduled transfer

[[Page 593]]

date. The agency shall approve or disapprove the SF 258 and send it to 
the address indicated on the form 60 days before the scheduled transfer 
date.
    (c) Physical and legal transfer. The Office of the National Archives 
will provide shipping or delivery instructions to the agency or Federal 
Records Center. Legal custody of the records passes to NARA when the 
NARA official signs the SF 258 acknowledging receipt of the records.
[52 FR 34134, Sept. 9, 1987. Redesignated at 55 FR 27433, July 2, 1990, 
as amended at 57 FR 22432, 22434, May 28, 1992; 63 FR 35829, July 1, 
1998]



Sec. 1228.192  Restrictions on transferred records.

    (a) General. Before records are transferred to the National 
Archives, the head of an agency may state in writing restrictions that 
appear to him or her to be necessary or desirable in the public interest 
on the use or examination of records. The head of an agency must, 
however, justify and cite the statute or Freedom of Information Act 
exemption (5 U.S.C. 552(b)) that authorizes placing restrictions on the 
use or examination of records being considered for transfer. If the 
Archivist agrees, restrictions will be placed on the records.
    (b) Records less than 30 years old. Unless required by law, the 
Archivist will not remove or relax restrictions placed upon records less 
than 30 years old without the concurrence in writing of the head of the 
agency from which the material was transferred or of his or her 
successor, if any. If the transferring agency has been terminated and 
there is no successor in function, the Achivist is authorized to relax, 
remove or impose restrictions in the public interest.
    (c) Records 30 or more years old. After the records have been in 
existence for 30 years or more, statutory or other restrictions referred 
to in this section shall expire unless the Archivist determines, after 
consulting with the head of the transferring agency, that the 
restrictions shall remain in force for a longer period. Such 
restrictions may be extended by the Archivist beyond 30 years only for 
reasons consistent with standards established in relevant statutory law, 
including the Freedom of Information Act (5 U.S.C. 552). Restrictions 
are systematically extended beyond 30 years where agencies advise NARA 
on the SF 258 that a particular category of records requires such 
protection. NARA has identified specific categories of records, 
including classified information and information that would invade the 
privacy of an individual, which may require extended protection beyond 
30 years. See 36 CFR part 1256.
[57 FR 22434, May 28, 1992]



Sec. 1228.194  Records subject to the Privacy Act of 1974.

    For records constituting systems of records subject to the Privacy 
Act of 1974 (5 U.S.C. 552a), the agency shall attach to the SF 258 the 
most recent agency Privacy Act system notice covering the records.
[57 FR 22434, May 28, 1992]



Sec. 1228.196  Release of equipment.

    Equipment received with the transfer of records to the National 
Archives will, when emptied, normally be retained by NARA or disposed of 
in accordance with applicable excess property regulations, unless the 
transferring agency requests its return.
[42 FR 57316, Nov. 2, 1977. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and 55 FR 27433, July 2, 1990]



Sec. 1228.198  Use of records transferred to the National Archives.

    (a) In accordance with 44 U.S.C. 2108, restrictions lawfully imposed 
on the use of transferred records will be observed and enforced by NARA 
to the extent to which they do not violate 5 U.S.C. 552. The regulations 
in subchapters B and C of this title, insofar as they relate to the use 
of records in the National Archives of the United States apply to 
official use of the records by Federal agencies as well as to the 
public.
    (b) In instances of demonstrated need, and subject to any 
restrictions on their use, records deposited in the National Archives 
may be borrowed for official use outside the building in which they are 
housed by Federal agencies and the Congress, subject to the following 
conditions:

[[Page 594]]

    (1) Documents of high intrinsic value shall not be removed from the 
building in which they are housed except with the written approval of 
the Archivist;
    (2) Records will not be loaned to enable agencies to answer routine 
reference inquiries from other agencies or the public;
    (3) Records in fragile condition, or otherwise deteriorated to an 
extent that further handling will endanger them, will not be loaned;
    (4) Each official who borrows records shall provide a receipt for 
them at the time they are delivered and shall be responsible for their 
prompt return upon the expiration of the loan period specified by NARA; 
and
    (5) Each official who borrows computer magnetic tapes shall assume 
responsibility for proper care and handling of the tapes.
[42 FR 57316, Nov. 2, 1977. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and amended at 50 FR 26935, June 28, 1985. Redesignated at 55 FR 27433, 
July 2, 1990, as amended at 57 FR 22434, May 28, 1992]



Sec. 1228.200  Disposal clearances.

    No records of a Federal agency still in existence will be disposed 
of by NARA except with the concurrence of the agency concerned or as 
authorized on Standard Form 258, Request to Transfer--Approval and 
Receipt of Records to National Archives of the United States.
[42 FR 57316, Nov. 2, 1977. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and 55 FR 27433, July 2, 1990]



                    Subpart K--Agency Records Centers



Sec. 1228.220  Authority.

    Federal agencies are authorized to maintain and operate records 
centers for the storage, servicing, and disposal of their own noncurrent 
records when these centers are approved by the Archivist (44 U.S.C. 
3103). Centers operated by Federal agencies are referred to in this 
subchapter B as ``agency records centers.''
[47 FR 34787, Aug. 11, 1982. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and 55 FR 27433, July 2, 1990]



Sec. 1228.222  Facility standards for agency records centers.

    Inspection of agency records centers by NARA shall include an 
evaluation of the agency's compliance with the facility standards for 
records centers specified below:
    (a) General. (1) The facility should be a single-story building, at 
or above grade level, constructed with noncombustible materials.
    (2) A floor load limit shall be established for the records storage 
area by a structural engineer. The allowable load limit shall be posted 
in a conspicuous place and shall not be exceeded.
    (3) Steel shelving or other open-shelf records storage equipment 
shall be braced to prevent collapse under full load in accordance with 
Federal Specifications AS-S-271 or AA-S-1047. The records storage height 
shall not exceed 15 feet. Agencies operating records centers which have 
storage heights in excess of 15 feet may apply in writing to the NARA 
(NR), 8601 Adelphi Rd., College Park, MD 20740-6001, for an exemption to 
this requirement. If a request for exemption is denied, agencies will be 
required to remodel existing centers to meet the 15-foot requirement.
    (4) The area occupied by the center shall be equipped with an anti-
intrusion alarm system, or equivalent, to protect against unlawful entry 
after hours.
    (b) Fire safety. (1) All walls separating records areas from each 
other and from other storage areas in the building shall be 4-hour fire 
resistant. The records areas shall not exceed 40,000 square feet each. 
Two-hour-rated firewalls shall be provided between the records storage 
areas and other auxiliary spaces. Penetrations in the walls shall not 
reduce the specified fire resistance ratings.
    (2) Openings in firewalls separating records storage areas shall be 
avoided as far as possible but if openings are necessary they shall be 
protected by self-closing or automatic Class A firedoors, or equivalent, 
on each side of the wall openings.
    (3) Roof support structures that cross or penetrate firewalls shall 
be cut and supported independently on each side of the firewall.

[[Page 595]]

    (4) If firewalls are erected with expansion joints, the joints shall 
be protected to their full height with No. 10 iron astragals lapping the 
opening on each side of the firewall.
    (5) Building columns in the records storage areas shall be 2-hour 
fire resistant from the floor to the point where they meet the ceiling 
or roof framing system.
    (6) Automatic roof vents shall not be designed into new or existing 
buildings.
    (7) Where lightweight steel roof or floor supporting members (e.g., 
bar joists having top chords with angles 2 by 1\1/2\ inches or smaller, 
\1/4\-inch thick or smaller, and \13/16\-inch or smaller web diameters) 
are present, they shall be protected either by applying a 10 minute fire 
resistive coating to the top chords of the joists, or by retrofitting 
the sprinkler system with large drop sprinkler heads. Retrofitting may 
require modifications to the piping system to ensure that adequate water 
capacity and pressure are provided in the areas to be protected with 
these large drop sprinkler heads.
    (8) Furnace or boiler rooms shall be separated from records storage 
areas by 4-hour-rated firewalls, with no openings directly from these 
rooms to the records storage areas. No open flame (oil or gas) equipment 
or unit heaters shall be installed or used in any records storage area.
    (9) The arrangement of the records storage equipment shall be such 
that there shall be no dead-end aisles. Equipment rows running 
perpendicular to the wall shall terminate at least 18 inches from the 
wall.
    (10) No oil-type electrical transformers, regardless of size, except 
thermally protected devices included in fluorescent light ballasts, 
shall be installed in the records storage areas. All electrical wiring 
shall be in metal conduit, except that armored cable may be used where 
flexible connections to light fixtures are required.
    (11) All records storage and adjoining areas shall be protected by 
automatic wetpipe sprinklers. Automatic sprinklers are specified herein 
because they provide the most effective fire protection for high-piled 
storage of paper records on open-type shelving.

    Note: Other automatic extinguishing systems or protective measures 
may provide an acceptable level of fire-loss risk depending upon 
specific conditions, such as type or importance of the records, the type 
and stacking height of the storage equipment used; or how the space is 
designed, controlled, and operated (as well as its value). Agencies may 
elect to use alternate standards, as appropriate to their needs, such as 
those issued by the National Fire Protection Association (see NFPA 13, 
NFPA 231, NFPA 231C, NFPA 232, and NFPA 232AM). Also, agencies may 
consult the Chief of the Accident and Fire Prevention Branch in the GSA 
regional office about these or other systems and protective measures.

    (12) The sprinkler system shall be rated at 286 degrees Fahrenheit 
and designed to provide 0.30 gpm per square foot for the most remote 
1,500 square feet of floor area with a minimum flowing pressure of 7.0 
psi at the most remote sprinkler head. Installation shall be in 
accordance with Standard Number 13 of the National Fire Protection 
Association.
    (13) Maximum spacing of the sprinkler heads shall be on a 10-foot 
grid and the positioning of the heads shall provide complete, 
unobstructed coverage, with a clearance of not less than 18 inches from 
the top of the highest stored materials.
    (14) The sprinkler system shall be equipped with a water-flow alarm 
connected to a continuously staffed fire department or central station, 
with responsibility for immediate response.
    (15) A manual fire alarm system shall be provided with central 
station service or other automatic means of notifying the municipal fire 
department. A manual alarm pull station shall be located adjacent to 
each exit. Supplemental manual alarm stations are permitted within the 
records storage areas.
    (16) All water cutoff valves in the sprinkler system shall be 
equipped with automatic closure alarm connected to a continously staffed 
station, with responsibility for immediate response.
    (17) A dependable water supply free of interruption shall be 
provided. This normally requires a backup supply system having 
sufficient pressure and capacity to meet both firehose and sprinkler 
requirements for 2 hours.

[[Page 596]]

    (18) Interior firehose stations equipped with a 1\1/2\-inch diameter 
hose shall be provided in the records storage areas, enabling any point 
in the records storage area to be reached by a 50-foot hose stream from 
a 100-foot hose lay. The fire hoses shall not be provided, however, 
unless training in the handling and use of small hoses, protective gear, 
and breathing equipment has been given, and these protective items are 
available for brigade members.
    (19) In addition to the designed sprinkler flow demand, 500 gpm 
shall be provided for hose stream demand. The hose stream demand shall 
be calculated into the system at the base of the main sprinkler riser.
    (20) Fire hydrants should be located within 250 feet of each 
exterior entrance or other access to the records center that could be 
used by firefighters. All hydrants should be at least 50 feet away from 
the building walls and adjacent to a roadway usable by fire apparatus.
    (21) Portable water-type fire extinguishers (2\1/2\-gallon stored 
pressure-type) shall be provided at each fire alarm striking station.
    (22) Catwalks may be provided in the aisles between the metal stacks 
in high-activity records storage areas without provision of sprinklers 
under the walkway. Where provided, the walking surface of the catwalks 
shall be of expanded metal at least 0.09-inch thickness with a 2-inch 
mesh length. The surface opening ratio shall be equal to or greater than 
that outlined in Military Specification (MIL-M-17194C) of March 8, 1955. 
The sprinkler water demand for protection over bays with catwalks where 
records are not oriented perpendicular to the aisles shall be calculated 
hydraulically to give 0.3 gpm per square foot for the most remote 2,000 
square feet.
    (23) Storage of hazardous cellulose nitrate film requires special 
facilities not covered by the above standards. (See NFPA 40 and NFPA 
232.)
    (c) Archives. (1) Archival materials, whether on paper, plastic, or 
other media, generally require a much higher level of protection than 
temporary records, such as environmentally controlled and filtered 
storage space, and other safety measures not included in this section on 
agency records centers.
    (2) Firesafety criteria for archives shall be the same as that for 
records centers, except that fire detection shall be incorporated into 
the archival storage areas in accordance with NFPA Standard 72E, and 
fire divisions in the archival storage areas may be reduced in size to 
reflect a management decision on the maximum amount of archives subject 
to damage or loss from fire.
[45 FR 5705, Jan. 24, 1980, as amended at 47 FR 34787, Aug. 11, 1982. 
Redesignated at 50 FR 15723, Apr. 19, 1985, and 55 FR 27433, July 2, 
1990, as amended at 63 FR 35829, July 1, 1998]



Sec. 1228.224  Requests for authority to establish or relocate records centers.

    No agency records center shall be established or relocated from one 
city to another without the prior written approval of NARA.
    (a) Exclusions. For purposes of this section, the term ``agency 
records center'' excludes:
    (1) Records staging areas containing either less than 5,000 square 
feet of storage space or less than 25,000 cubic feet of records each 
used by agencies for the temporary storage of materials before their 
transfer to a records center or other disposition, provided no records 
are held in these staging areas more than 5 years. The facility 
standards in Sec. 1228.222 apply to these staging areas.
    (2) Records holding areas of either less than 5,000 square feet of 
floor space or less than 25,000 cubic feet of holdings each used solely 
for the storage of noncurrent records that are not suitable for transfer 
to a records center or archives for economic, high security, technical 
servicing, or other reasons. The facility standards is Sec. 1228.222 
apply to these records areas.
    (b) Content of requests. Requests for authority to establish or 
relocate an agency records center shall be submitted in writing to the 
Archivist of the United States. These requests shall specify:
    (1) Proposed location of the agency records center,
    (2) Space to be occupied in gross square feet,

[[Page 597]]

    (3) Nature and quantity of records to be stored,
    (4) Total personnel to be employed, and
    (5) Justification for the proposed center which shall include a 
comparison between the annual cost per cubic foot to store the records 
in the agency records centers and the cost to store the same records in 
a NARA Federal records center. An analysis of NARA's Federal records 
center space and equipment cost may be obtained from the Office of 
Regional Records Services (NR), NARA, 8601 Adelphi Rd., College Park, MD 
20740-6001. The justification also should indicate whether the records 
to be stored in the agency center have high security classification, 
require specialized processing or high-cost indexing, or are to be used 
by technical agency personnel stationed at the records center.
    (c) Approval of requests. Requests for the establishment or 
relocation of an agency records center will be approved by the Archivist 
of the United States when greater economy or efficiency can be achieved 
through its operation than by the use of a Federal records center 
operated by NARA.
[45 FR 5705, Jan. 24, 1980, as amended at 47 FR 34788, Aug. 11, 1982; 50 
FR 82, Jan. 2, 1985. Redesignated at 50 FR 15723, Apr. 19, 1985, and 55 
FR 27433, July 2, 1990; 63 FR 35829, July 1, 1998]



PART 1230--MICROGRAPHIC RECORDS MANAGEMENT--Table of Contents




                           Subpart A--General

Sec.
1230.1  Scope of part.
1230.2  Authority.
1230.3  Publications incorporated by reference.
1230.4  Definitions.

                     Subpart B--Program Requirements

1230.7  Agency responsibilities.

              Subpart C--Standards for Microfilming Records

1230.10  Disposition authorization.
1230.12  Preparatory steps prior to filming.
1230.14  Film and image requirements for permanent records or 
          unscheduled records.
1230.16  Film and image requirements for temporary records, duplicates, 
          and user copies.

 Subpart D--Standards for the Storage, Use and Disposition of Microform 
                                 Records

1230.20  Storage.
1230.22  Inspection.
1230.24  Use of microform records.
1230.26  Disposition of microform records.

              Subpart E--Centralized Micrographic Services

1230.50  Services available.
1230.52  Fees for services.

    Authority: 44 U.S.C. 2907, 3302 and 3312.



                           Subpart A--General

    Source: 55 FR 27435, July 2, 1990, unless otherwise noted.



Sec. 1230.1  Scope of part.

    This part provides standards for using micrographic technology in 
the creation, use, storage, inspection, retrieval, preservation, and 
disposition of Federal records.
[58 FR 49194, Sept. 22, 1993]



Sec. 1230.2  Authority.

    As provided in 44 U.S.C. chapters 29 and 33, the Archivist of the 
United States is authorized to establish standards for the reproduction 
of records by photographic and microphotographic processes with a view 
to the disposal of original records; to establish uniform standards 
within the Government for the creation, storage, use, and disposition of 
processed microform records; and to establish, maintain, and operate 
centralized microfilming services for Federal agencies.



Sec. 1230.3  Publications incorporated by reference.

    (a) General. The following publications cited in this section are 
hereby incorporated by reference into Part 1230. They are available from 
the issuing organizations at the addresses listed in this section. They 
are also available for inspection at the Office of the Federal Register, 
800 North Capitol Street NW., suite 700, Washington, DC. This 
incorporation by reference was approved by the Director of the Federal

[[Page 598]]

Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. These 
materials are incorporated as they exist on the date of approval, and a 
notice of any change in these materials will be published in the Federal 
Register.
    (b) American National Standards Institute (ANSI and International 
(ISO) standards. ANSI and ISO standards cited in this part are available 
from the American National Standards Institute, 11 West 42nd St., New 
York, NY 10036.

    ANSI/NAPM IT9.1-1992, American National Standard for Imaging Media 
(Film)--Silver-Gelatin Type--Specifications for Stability.
    ANSI IT9.2-1991, American National Standard for Imaging Media--
Photographic Processed Films, Plates, and Papers--Filing Enclosures and 
Storage Containers.
    ANSI IT9.11-1991, American National Standard for Imaging Media--
Processed Safety Photographic Film--Storage.
    ANSI IT2.19-1990, American National Standard for Photography--
Density Measurements--Geometric Conditions for Transmission Density.
    ANSI/ISO 5/3-1984, ANSI PH2.18-1985, Photography (Sensitometry)--
Density Measurements--Spectral Conditions.

    (c) Association of Information and Image Management (AIIM) 
Standards. The following AIIM standards are available from the 
Association of Information and Image Management, 1100 Wayne Avenue, 
suite 1100, Silver Spring, MD 20910. AIIM standards that are identified 
as Federal Information Processing Standards (FIPS) are also available 
from the address shown in paragraph (d).

    ANSI/AIIM MS1-1988, Recommended Practice for Alphanumeric Computer-
Output Microforms--Operational Practices for Inspection and Quality 
Control. (FIPS 82).
    ANSI/AIIM MS5-1991, Microfiche. (FIPS 54-1).
    ANSI/AIIM MS14-1988, Specifications for 16mm and 35mm Roll 
Microfilm. (FIPS 54-1).
    ANSI/AIIM MS19-1987, Recommended Practice for Identification of 
Microforms.
    ANSI/AIIM MS23-1991, Practice for Operational Procedures/Inspection 
and Quality Control of First-generation, Silver Microfilm of Documents.
    ANSI/AIIM MS32-1987, Microrecording of Engineering Source Documents 
on 35mm Microfilm.
    ANSI/AIIM MS41-1988, Unitized Microfilm Carriers (Aperture, Camera, 
Copy, and Image Cards).
    ANSI/AIIM MS43-1988, Recommended Practice for Operational 
Procedures/Inspection and Quality Control for Duplicate Microforms of 
Documents and From COM.
    ANSI/AIIM MS45-1990, Recommended Practice for Inspection of Stored 
Silver-Gelatin Microforms for Evidence of Deterioration.
    ANSI/ISO 3334-1991, ANSI/AIIM MS51-1991, Micrographics--ISO 
Resolution Test Chart No. 2--Description and Use.

    (d) National Institute of Standards and Technology (NIST) 
publications. The following publication is available from the National 
Institute of Standards and Technology, Office of Standard Reference 
Materials, Rm. B311 Chemistry, Gaithersburg, MD 20899.

    NIST-SRM 1010a, Microcopy Resolution Test Chart (ISO Test Chart No. 
2), certified June 1, 1990.
[58 FR 49194, Sept. 22, 1993]



Sec. 1230.4  Definitions.

    For the purpose of this part the following definitions shall apply:
    Archival microfilm. A photographic film that meets the standards 
described in Sec. 1230.14 and that is suitable for the preservation of 
permanent records when stored in accordance with Sec. 1230.20(a). Such 
film must conform to film designated as LE 500 in ANSI/NAPM IT9.1-1992.
    Background density. The opacity of the area of the microform not 
containing information.
    Computer-assisted retrieval (CAR) system. A records storage and 
retrieval system, normally microfilm-based, that uses a computer for 
indexing, automatic markings such as blips or bar codes for 
identification, and automatic devices for reading those markings and, in 
some applications, for transporting the film for viewing.
    Computer Output Microfilm (COM). Microfilm containing data produced 
by a recorder from computer generated signals.
    Facility. An area set aside for equipment and operations required in 
the production or reproduction of microforms either for internal use or 
for the use of other organizational elements of the Federal Government.
    Microfilm. (a) Raw (unexposed and unprocessed) fine-grain, high 
resolution photographic film with characteristics that make it suitable 
for use in micrographics;

[[Page 599]]

    (b) The process of recording microimages on film; or
    (c) A fine-grain, high resolution photographic film containing an 
image greatly reduced in size from the original.
    Microform. A term used for any form containing microimages.
    Microimage. A unit of information such as a page of text or a 
drawing, that has been made too small to be read without magnification.
    Permanent record. Any record (see definition in 44 U.S.C. 3301) that 
has been determined by the Archivist of the United States to have 
sufficient historical or other value to warrant its continued 
preservation by the Government.
    Temporary record. Any record approved by the Archivist of the United 
States for disposal, either immediately or after a specified retention 
period. Temporary records may warrant microfilming for economies of 
storage and distribution.
    Unscheduled record. Any record that has not been appraised by NARA, 
i.e., a record that has neither been approved for disposal nor 
designated as permanent by the Archivist of the United States in 
accordance with part 1228 of this chapter.
    Use or work copies. Duplicates of original film which are prepared 
for use as reference copies or as duplication masters for recurring or 
large-scale duplication. These copies are not to be confused with the 
preservation master copies which are stored under the conditions in 
Sec. 1230.20 and which are not to be used for reference purposes.
[55 FR 27435, July 2, 1990, as amended at 58 FR 49195, Sept. 22, 1993]



                     Subpart B--Program Requirements

    Source: 58 FR 49195, Sept. 22, 1993, unless otherwise noted.



Sec. 1230.7  Agency responsibilities.

    The head of each Federal agency must ensure that the management of 
microform records incorporates the following elements:
    (a) Assigning responsibility to develop and implement an agencywide 
program for managing all records on microform media and notifying the 
National Archives and Records Administration (NWM), 8601 Adelphi Rd., 
College Park, MD 20740-6001 of the name and title of the person assigned 
the responsibility.
    (b) Integrating the management of microform records with other 
records and information resources management programs of the agency.
    (c) Incorporating microform records management objectives, 
responsibilities, and authorities in pertinent agency directives and 
disseminating them throughout the agency as appropriate.
    (d) Establishing procedures for addressing records management 
concerns, including recordkeeping and disposition requirements, before 
approving new microform records systems or enhancements to existing 
systems.
    (e) Ensuring that adequate training is provided for the managers and 
users of microform records.
    (f) Developing and securing NARA approval of records schedules 
covering microform records, and ensuring proper implementation of the 
schedule provisions.
    (g) Ensuring that computerized indexes associated with microform 
records, such as in a computer-assisted retrieval (CAR) system, are 
scheduled in accordance with part 1234 of this chapter.
    (h) Reviewing the agency's program periodically to ensure compliance 
with NARA standards in this part for the creation, storage, use, 
inspection, and disposition of microform records.
[58 FR 49195, Sept. 22, 1993, as amended at 63 FR 35829, July 1, 1998]



              Subpart C--Standards for Microfilming Records

    Source: 55 FR 27436, July 2, 1990, unless otherwise noted.



Sec. 1230.10  Disposition authorization.

    (a) Permanent or unscheduled records. Agencies must schedule the 
disposition of both source documents (originals) and microforms by 
submitting Standard Form (SF) 115, Request for Records Disposition 
Authority, to NARA in accordance with part 1228 of this chapter.

[[Page 600]]

Source documents may not be disposed of before NARA authorization is 
received. The original records shall not be destroyed after microfilming 
when NARA determines that the original records have intrinsic value or 
when NARA concludes that the microforms present reference problems 
because of the access restrictions, including security classification, 
or other characteristics of the original records.
    (1) Agencies using microfilming methods and procedures meeting the 
standards in Sec. 1230.14 shall include on the SF 115 the following 
certification: ``This certifies that the records described on this form 
were (or will be) microfilmed in accordance with the standards set forth 
in 36 CFR part 1230.''
    (2) Agencies using microfilming methods, materials and procedures 
that do not meet the standards in Sec. 1230.14(a) shall include on the 
SF 115 a description of the system and standards used.
    (3) Agencies proposing to retain and store the silver original 
microforms of permanent records after disposal of the original records 
shall include on the SF 115 a statement that the agency's storage 
conditions shall comply with the standards of Sec. 1230.20 and that the 
inspections required by Sec. 1230.22 will be performed.
    (b) Temporary records. Agencies do not need to obtain further NARA 
approval before disposing of scheduled temporary records that have been 
microfilmed. The approved retention period for temporary records shall 
be applied to microform copies of such records; the original records 
shall be destroyed upon verification of the microfilm, unless legal 
requirements preclude early destruction of the originals.



Sec. 1230.12  Preparatory steps prior to filming.

    (a) The integrity of the original records authorized for disposal 
shall be maintained by ensuring that the microforms are adequate 
substitutes for the original records and serve the purpose for which 
such records were created or maintained. Copies shall be complete and 
contain all information shown on the originals.
    (b) The records shall be arranged, identified, and indexed so that 
any particular document or component of the records can be located. Each 
microform roll or fiche shall include accurate titling information on a 
titling target or header. At a minimum, titling information shall 
include the name of the agency and organization; the title of the 
records; the number or identifier for each unit of film; the security 
classification, if any; and the inclusive dates, names, or other data 
identifying the records to be included on a unit of film. For fiche, 
complete titling information may be placed as a microimage in frame 1 if 
the information will not fit on the header.
    (c) Each microform shall contain an identification target showing 
the date of filming. When necessary to give the film copy better legal 
standing, the target shall also identify the person authorizing the 
microfilming. See ANSI/AIIM MS19-1987 for standards for identification 
targets.
    (d) The following formats are mandatory standards for microforms.
    (1) Roll film--(i) Source documents. The formats described in ANSI/
AIIM MS14-1988 must be used for microfilming source documents on 16mm 
and 35mm roll film. A reduction ratio no greater than 1:24 is 
recommended for typewritten or correspondence types of documents. See 
ANSI/AIIM MS23-1991 for determining the appropriate reduction ratio and 
format for meeting the image quality requirements. When microfilming on 
35mm film for aperture card applications, the format dimensions in ANSI/
AIIM MS32-1987, Table 1 are mandatory, the aperture card format ``D 
Aperture'' shown in ANSI/AIIM MS41-1988, Figure 1, must be used. The 
components of the aperture card, including the paper and adhesive, must 
conform to the requirements of ANSI IT9.2-1991. The 35mm film used in 
the aperture card application must conform to film designated as LE500 
in ANSI/NAPM IT9.1-1992.
    (ii) COM. Computer output microfilm (COM) generated images shall be 
the simplex mode described in ANSI/AIIM MS14-1988 at an effective ratio 
of 1:24 or 1:48 depending upon the application.

[[Page 601]]

    (2) Microfiche. For microfilming source documents or computer 
generated information (COM) on microfiche, the appropriate formats and 
reduction ratios prescribed in ANSI/AIIM MS5-1990 must be used as 
specified for the size and quality of the documents being filmed. See 
ANSI/AIIM MS23-1991 for determining the appropriate reduction ratio and 
format for meeting the image quality requirements.
    (e) Index placement--(1) Source documents. When filming original 
(source) documents, all indexes, registers, or other finding aids, if 
microfilmed, shall be placed either in the first frames of the first 
roll of film or in the last frames of the last roll of film of a series 
or in the last frames of the last microfiche or microfilm jacket of a 
series.
    (2) COM. Computer-generated microforms shall have the indexes 
following the data on a roll of film or in the last frames of a single 
microfiche, or the last frames of the last fiche in a series. Other 
index locations may be used only if dictated by special system 
constraints.
[55 FR 27436, July 2, 1990, as amended at 58 FR 49195, Sept. 22, 1993; 
60 FR 13908, Mar. 15, 1995]



Sec. 1230.14  Film and image requirements for permanent records or unscheduled records.

    (a) Application. The following standards apply to the microfilming 
of permanent records where the original paper record will be destroyed 
or otherwise disposed of. Systems that produce original permanent 
records on microfilm with no paper originals, such as computer output 
microfilm (COM), must be designed so that they produce microfilm which 
meets the standards of this section. Unscheduled records from systems 
such as COM must also meet the standards of this section. Prior NARA 
approval of a SF 115 is required before unscheduled paper records are 
disposed of after microfilming.
    (b) Film stock standards. Only polyester-based silver gelatin type 
film that conforms to ANSI/NAPM IT9.1-1992 for LE 500 film must be used 
in all applications.
    (c) Processing standards. Microforms shall be processed so that the 
residual thiosulfate ion concentration will not exceed 0.014 grams per 
square meter in accordance with ANSI/NAPM IT9.1-1992. Processing shall 
be in accordance with processing procedures in ANSI/AIIM MS1-1988 and 
MS23-1991.
    (d) Quality standards--(1) Resolution--(i) Source documents. The 
method for determining minimum resolution on microforms of source 
documents shall conform to the Quality Index Method for determining 
resolution and anticipated losses when duplicating as described in ANSI/
AIIM MS23-1991 and MS43-1988. Resolution tests shall be performed using 
a NIST-SRM 1010a, Microcopy Resolution Test Chart (a calibrated and 
certified photographic reproduction) as specified in ISO 3334-1991 (the 
standard practice for using the test chart), and the patterns will be 
read following the instructions of ISO 3334-1991. The character used to 
determine the height used in the Quality Index formula shall be the 
smallest character used to display information. A Quality Index of five 
is required at the third generation level.
    (ii) COM. Computer output microforms (COM) shall meet the 
requirements of ANSI/AIIM MS1-1988.
    (2) Background density of images. The background ISO standard visual 
diffuse transmission density on microforms shall be appropriate to the 
type of documents being filmed. The procedure for density measurement is 
described in ANSI/AIIM MS23-1991 and the densitometer shall be in 
accordance with ANSI/ISO 5/3-1984, for spectral conditions and ANSI 
IT2.19-1990, for geometric conditions for transmission density. 
Recommended visual diffuse transmission background densities for images 
of documents are as follows:

------------------------------------------------------------------------
                                                              Background
          Classification             Description of document    density
------------------------------------------------------------------------
Group 1...........................  High-quality, high-         1.3-1.5
                                     contrast printed books,
                                     periodicals, and black
                                     typing.
Group 2...........................  Fine-line originals,       1.15-1.4
                                     black opaque pencil
                                     writing, and documents
                                     with small high-
                                     contrast printing.
Group 3...........................  Pencil and ink drawings,    1.0-1.2
                                     faded printing, and
                                     very small printing,
                                     such as footnotes at
                                     the bottom of a printed
                                     page.

[[Page 602]]

Group 4...........................  Low-contrast manuscripts    0.8-1.0
                                     and drawings, graph
                                     paper with pale, fine-
                                     colored lines; letters
                                     typed with a worn
                                     ribbon; and poorly
                                     printed, faint
                                     documents.
Group 5...........................  Poor-contrast documents    0.7-0.85
                                     (special exception).
------------------------------------------------------------------------


----------------------------------------------------------------------------------------------------------------
                                                                                                        Minimum
             Film type                      Process           Density measurement     Min.     Max.     density
                                                                    method           Dmax*    Dmin*   difference
----------------------------------------------------------------------------------------------------------------
Silver gelatin....................  Conventional..........  Printing or diffuse...     0.75     0.15       0.60
Silver gelatin....................  Full reversal.........  Printing..............     1.50     0.20       1.30
----------------------------------------------------------------------------------------------------------------
*Character or line density, measured with a microdensitometer or by comparing the film under a microscope with
  an image of a known density.

    (3) Base plus fog density of films. The base plus fog density of 
unexposed, processed films should not exceed 0.10. When a tinted base 
film is used, the density will be increased. The difference must be 
added to the values given in the tables in paragraph (d)(2) of this 
section.
    (4) Line or Stroke Width. Due to optical limitations in most 
photographic systems, film images of thin lines appearing in the 
original document will tend to fill in as a function of their width and 
density. Therefore, as the reduction ratio of a given system is 
increased, the background density shall be reduced as needed to ensure 
that the copies produced will contain legible characters.
[55 FR 27436, July 2, 1990, as amended at 58 FR 49195, Sept. 22, 1993]



Sec. 1230.16  Film and image requirements for temporary records, duplicates, and user copies.

    (a) Temporary records with a retention period over 99 years. 
Agencies must follow the film and image requirements in Sec. 1230.14.
    (b) Other temporary records. Agencies must select an appropriate 
film stock that meets agency needs for temporary microforms to be kept 
for less than 100 years and ensures the preservation of the microforms 
for their full retention period. NARA does not require use of particular 
standards for processing microfilm of such temporary records; agencies 
may consult appropriate ANSI standards or manufacturer's instructions.
[58 FR 49196, Sept. 22, 1993]



 Subpart D--Standards for the Storage, Use and Disposition of Microform 
                                 Records

    Source: 55 FR 27438, July 2, 1990, unless otherwise noted.



Sec. 1230.20  Storage.

    (a) Permanent and unscheduled records. The extended term storage 
conditions specified in ANSI IT9.11-1991 and ANSI IT9.2-1991 are 
required for storing permanent and unscheduled microform records, except 
that the relative humidity of the storage area must be a constant 35% 
RH, plus or minus 5%. Non-silver copies of permanent or unscheduled 
microforms must not be stored in the same storage area as silver gelatin 
originals or duplicate copies.
    (b) Temporary records. Temporary microform records must be stored 
under conditions that will ensure their preservation for their full 
retention period. Agencies may consult ANSI IT9.11-1991 and ANSI IT9.2-
1991 to determine appropriate storage conditions; however, NARA does not 
require adherence to this standard for temporary records.
[58 FR 49196, Sept. 22, 1993]

[[Page 603]]



Sec. 1230.22  Inspection.

    (a) Permanent and unscheduled records.
    (1) Master films of permanent records microfilmed in order to 
dispose of the original records, master films of permanent records 
originally created on microfilm, and other master films scheduled for 
transfer to the National Archives, must be inspected by the agency 
creating the film when the films are 2 years old and, until they are 
transferred to a Federal records center or to the National Archives, 
every 2 years thereafter. The inspection must be made in accordance with 
ANSI/AIIM MS45-1990.
    (2) Microforms cannot be accepted for deposit with the National 
Archives of the United States until the first inspection (occurring 
after the microforms are 2 years old) has been performed. Permanent 
microforms may be transferred to a Federal records center only after the 
agency has performed the first inspection or has certified that the 
microforms will be inspected by the agency, an agency contractor, or the 
Federal records center (on a reimbursable basis) when they become 2 
years old.
    (3) To facilitate inspection, an inventory of microfilm must be 
maintained, listing each microform series/publication by production 
date, producer, processor, format, and results of previous inspections.
    (4) The elements of the inspection shall consist of:
    (i) An inspection for aging blemishes following ANSI/AIIM MS45-1990;
    (ii) A rereading of resolution targets;
    (iii) A remeasurement of density; and
    (iv) A certification of the environmental conditions under which the 
microforms are stored, as specified in Sec. 1230.20(a).
    (5) An inspection report must be prepared, and a copy must be 
furnished to NARA in accordance with Sec. 1230.26(b). The inspection 
report must contain:
    (i) A summary of the inspection findings, including:
    (A) A list of batches by year that includes the identification 
numbers of microfilm rolls and microfiche in each batch;
    (B) The quantity of microforms inspected;
    (C) An assessment of the overall condition of the microforms;
    (D) A summary of any defects discovered, e.g., redox blemishes or 
base deformation; and
    (E) A summary of corrective action taken.
    (ii) A detailed inspection log created during the inspection that 
contains the following information:
    (A) A complete description of all records inspected (title; roll or 
fiche number or other unique identifier for each unit of film inspected; 
security classification, if any; and inclusive dates, names, or other 
data identifying the records on the unit of film);
    (B) The date of inspection;
    (C) The elements of inspection (see subparagraph (a)(4) of this 
section);
    (D) Any defects uncovered; and
    (E) The corrective action taken.
    (6) An agency having in its custody a master microform that is 
deteriorating, as shown by the inspection, shall prepare a silver 
duplicate in accordance with Sec. 1230.14 to replace the deteriorating 
master. The duplicate film will be subject to the 2-year inspection 
requirement before transfer to a Federal Record Center or to the 
National Archives.
    (7) Inspection must be performed in an environmentally controlled 
area in accordance with ANSI/AIIM MS45-1990.
    (b) Temporary records. Inspection by sampling procedures described 
in Sec. 1230.22(a) is recommended but not required.
[55 FR 27438, July 2, 1990, as amended at 58 FR 49196, Sept. 22, 1993]



Sec. 1230.24  Use of microform records.

    (a) The silver gelatin original microform or duplicate silver 
gelatin microform created in accordance with Sec. 1230.14 of this part 
(archival microform) must not be used for reference purposes. Duplicates 
must be used for reference and for further duplication on a recurring 
basis or for large-scale duplication, as well as for distribution of 
records on microform. Agency procedures must ensure that the archival 
microform remains clean and undamaged during the process of making a 
duplicating master.
    (b) Agencies retaining the original record in accordance with an 
approved

[[Page 604]]

records disposition schedule may apply agency standards for the use of 
microform records.
[55 FR 27438, July 2, 1990, as amended at 58 FR 49196, Sept. 22, 1993]



Sec. 1230.26  Disposition of microform records.

    The disposition of microform records shall be carried out in the 
same manner prescribed for other types of records in part 1228 of this 
chapter with the following additional requirements:
    (a) The silver gelatin original (or duplicate silver gelatin 
microform created in accordance with Sec. 1230.14) plus one microform 
copy of each permanent record microfilmed by an agency, must be 
transferred to an approved agency records center, the National Archives 
of the United States, or to a Federal records center, at the time that 
the records are to be transferred in accordance with the approved 
records disposition schedule, SF 258, or other authorization for 
transfer. Non-silver copies must be packaged separately from the silver 
gelatin original or silver duplicate microform copy and labeled clearly 
as non-silver copies.
    (b) The microforms shall be accompanied by:
    (1) Information identifying the agency and organization; the title 
of the records; the number or identifier for each unit of film; the 
security classification, if any; the inclusive dates, names, or other 
data identifying the records to be included on a unit of film;
    (2) Any finding aids relevant to the microform that are not 
contained in the microform; and
    (3) The inspection log forms and inspection reports required by 
Sec. 1230.22(a) (5) and (6).
    (c) The information required in this paragraph (b) shall be attached 
to the SF 135 when records are being transferred to a Federal records 
center and to the SF 258 when records are being transferred to the legal 
custody of the National Archives.
[55 FR 27438, July 2, 1990, as amended at 58 FR 49196, Sept. 22, 1993]



              Subpart E--Centralized Micrographic Services



Sec. 1230.50  Services available.

    NARA provides reimbursable microfilming services at many of its 
Federal records centers, including the preparation, indexing, and 
filming of records, inspection of film, and labeling of film containers. 
Agencies desiring microfilming services should contact the Office of 
Regional Records Services (NR), 8601 Adelphi Rd., College Park, MD 
20740-6001, or the director of the Federal records center serving the 
agency's records (see Sec. 1228.150 of this chapter).
[50 FR 26935, June 28, 1985. Redesignated at 55 FR 27435, July 2, 1990, 
as amended at 63 FR 35830, July 1, 1998]



Sec. 1230.52  Fees for services.

    The fees for microfilming services will be announced in NARA 
bulletins. For microfilming services not listed, contact the office 
shown in Sec. 1230.50.
[50 FR 26935, June 28, 1985. Redesignated at 55 FR 27435, July 2, 1990]



PART 1232--AUDIOVISUAL RECORDS MANAGEMENT--Table of Contents




                           Subpart A--General

Sec.
1232.1  Applicability and scope.
1232.2  Objectives.
1232.10  Definitions.

                Subpart B--Audiovisual Records Management

1232.20  Agency program responsibilities.
1232.22  Nitrocellulose film.
1232.24  Unstable cellulose-acetate film.
1232.26  Storage conditions.
1232.28  Maintenance and operations.
1232.30  Choosing formats.
1232.32  Disposition.

    Authority: 44 U.S.C. 2904 and 3101; and OMB Circular A-130.

    Source: 61 FR 32337, June 24, 1996, unless otherwise noted.

[[Page 605]]



                           Subpart A--General



Sec. 1232.1  Applicability and scope.

    This part prescribes policies and procedures for managing 
audiovisual records to ensure adequate and proper documentation and 
authorized, timely, and appropriate disposition.



Sec. 1232.2  Objectives.

    The objectives of audiovisual records management are to achieve the 
effective creation, maintenance, use, and disposition of audiovisual and 
related records by establishing standards for maintenance and 
disposition, physical security, and preservation and by reviewing 
recordkeeping practices on a continuing basis to improve procedures.



Sec. 1232.10  Definitions.

    For the purposes of this part, the following definitions shall apply 
(see also Sec. 1220.14 of this chapter for other definitions).
    Audiovisual. Any pictorial or aural means of communicating 
information.
    Audiovisual equipment. Equipment used for recording, producing, 
duplicating, processing, broadcasting, distributing, storing or 
exhibiting audiovisual materials or for providing any audiovisual 
services.
    Audiovisual production. An organized and unified presentation, 
developed according to a plan or script, containing visual imagery, 
sound, or both, and used to convey information. An audiovisual 
production generally is a self-contained presentation. Audiovisual 
productions may include motion media with synchronous sound such as 
motion picture film, videotape or other video formats, audio recordings, 
and other media such as synchronized audio and visual presentations such 
as multimedia productions.
    Audiovisual records. Records in pictorial or aural form that include 
still and motion media, sound recordings, graphic works, mixed media, 
and related finding aids and production files.



                Subpart B--Audiovisual Records Management



Sec. 1232.20  Agency program responsibilities.

    Each Federal agency, in providing for effective controls over the 
creation of records, shall establish an appropriate program for the 
management of audiovisual records. This program shall be governed by the 
following requirements:
    (a) Prescribe the types of records to be created and maintained so 
that audiovisual activities and their products are properly documented. 
(Regulations on the appropriate types of permanent audiovisual records 
are located in Sec. 1228.184 of this chapter.)
    (b) Ensure that adequate training is provided to:
    (1) Agency personnel responsible for the disposition of audiovisual 
records;
    (2) Contractor personnel who have temporary custody of audiovisual 
records; and,
    (3) All users who create, handle, or maintain audiovisual records or 
operate equipment for their use.
    (c) Ensure that contract provisions protect the Government's legal 
title and control over audiovisual records and related documentation 
produced or maintained by contract. Ensure that contract provisions 
identify as deliverables any working papers/files that are needed for 
adequate and proper documentation. Include a provision that permits the 
Government to inspect contractor facilities used for the storage and 
handling of permanent or unscheduled audiovisual records. Agencies shall 
inspect such facilities at least once each year.
    (d) Keep inventories indicating the location of all generations of 
audiovisual records, whether in agency storage or in another facility 
such as a laboratory or library distribution center.
    (e) Schedule disposition of all audiovisual records as soon as 
practicable after creation. General Records Schedule 21 provides 
mandatory disposal authorization for temporary audiovisual records 
common to most Federal offices. Agencies must submit an SF 115,

[[Page 606]]

Request for Records Disposition Authority, to NARA to obtain 
authorization for the disposition of all other audiovisual records. The 
schedules covering permanent records must specify the different record 
elements identified in Sec. 1228.184, and must always include related 
finding aids.
    (f) Periodically review agency audiovisual recordkeeping practices 
for conformance with requirements and take necessary corrective action.



Sec. 1232.22  Nitrocellulose film.

    Nitrocellulose-base film once used in the manufacture of sheet film 
and motion pictures may be occasionally found in records storage areas. 
The nitrocellulose base, a substance akin to gun cotton, is chemically 
unstable and highly inflammable.
    (a) Agencies must remove nitrocellulose film materials from records 
storage areas.
    (b) Agencies must immediately notify NARA about the existence of 
nitrocellulose film materials because of their age and instability. NARA 
will determine if they may be destroyed or destroyed after a copy is 
made for transfer, as appropriate.
    (c) If NARA appraises nitrate film materials as disposable, but the 
agency wishes to retain them, agencies must follow the guidance in NFPA 
40-1994, Standard for the Storage and Handling of Cellulose Nitrate 
Motion Picture Film, which is incorporated by reference. NFPA 40-1994 is 
available from the National Fire Protection Association, Batterymarch 
Park, Quincy, MA 02269. This standard is also available for inspection 
at the Office of the Federal Register, 800 North Capitol Street, NW., 
suite 700, Washington, D.C. This incorporation by reference was approved 
by the Director of the Federal Register in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. These materials are incorporated by reference 
as they exist on the date of approval and a notice of any change in 
these materials will be published in the Federal Register.
    (d) The packing and shipping of nitrate film are governed by the 
following Department of Transportation regulations: 49 CFR 172.101, 
Hazardous materials table; 172.504, Transportation; 173.24, Standard 
requirements for all packages; and 173.177, Motion picture film and X- 
ray film--nitrocellulose base.



Sec. 1232.24  Unstable cellulose-acetate film.

    Cellulose-acetate film, also known as safety film, is nonflammable 
and does not represent the same degree of hazard as nitrate film 
materials. Nonetheless, cellulose-acetate film also deteriorates over 
time. Temperature, humidity, harmful storage enclosures, and gaseous 
products influence the rate of deterioration. Agencies shall inspect 
cellulose-acetate film periodically for an acetic odor, wrinkling, or 
the presence of crystalline deposits on the edge or surface of the film 
that indicate deterioration. Agencies shall notify NARA within 30 days 
after inspection about deteriorating permanent or unscheduled 
audiovisual records composed of cellulose acetate so that they can be 
copied.



Sec. 1232.26  Storage conditions.

    Agencies must:
    (a) Provide audiovisual records storage facilities that are secure 
from unauthorized access and make them safe from fire, water, flood, 
chemical or gas damage and from other harmful conditions. See NFPA 232A-
1995, Guide for Fire Protection for Archives and Records Centers issued 
by the National Fire Protection Association, which is incorporated by 
reference. The standard is available from the National Fire Protection 
Association, Batterymarch Park, Quincy, MA 02269. This standard is also 
available for inspection at the Office of the Federal Register, 800 
North Capitol Street, NW., suite 700, Washington, D.C. This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1CFR part 51. These 
materials are incorporated by reference as they exist on the date of 
approval and a notice of any change in these materials will be published 
in the Federal Register.
    (b) Maintain good ambient storage conditions for permanent or 
unscheduled audiovisual records. Generally, the temperature should not 
exceed 70

[[Page 607]]

degrees Fahrenheit and relative humidity should be maintained between 
30-40% and not exceed 50%. Avoid fluctuating temperatures and humidity. 
Cooler temperatures and lower relative humidity are recommended for the 
storage of all film, to prolong the useful life of the film base and 
image. Cold temperatures combined with 30-35% relative humidity are 
especially recommended to retard the fading of color film. Optimal 
environmental conditions are stated in ANSI/NAPM IT9.11-1993, Imaging 
Media-- Processed Safety Photographic Films--Storage. If possible store 
all permanently scheduled records in these conditions, and schedule them 
to be transferred to the National Archives as soon as possible.
    (c) For the storage of permanent or unscheduled records, use 
audiovisual storage containers or enclosures made of noncorroding metal, 
inert plastics, paper products and other safe materials recommended and 
specified in ANSI standards: ANSI/NAPM IT9.11-1993, Imaging Media--
Processed Safety Photographic Films--Storage; and ANSI IT9.2-1991, 
Imaging Media--Photographic Processed Films, Plates, and Papers--Filing 
Enclosures and Storage Containers. These standards, which are 
incorporated by reference, are available from the American National 
Standards Institute (ANSI), Inc., 11 West 42nd Street, New York, NY 
10036. These standards are also available for inspection at the Office 
of the Federal Register, 800 North Capitol Street, NW., suite 700, 
Washington, D.C. This incorporation by reference was approved by the 
Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 
1 CFR part 51. These materials are incorporated by reference as they 
exist on the date of approval and a notice of any change in these 
materials will be published in the Federal Register.
    (d) Store originals and use copies (e.g., negatives and prints) 
separately, whenever practicable.
    (e) Store series of permanent and unscheduled x-ray films in 
accordance with this section, and store series of temporary x-ray films 
under conditions that will ensure their preservation for their full 
retention period, in accordance with ANSI/NAPM IT9.11-1993, Imaging 
Media--Processed Safety Photographic Films--Storage. This requirement 
does not apply to x-rays that are interspersed among paper records, as 
in case files.



Sec. 1232.28  Maintenance and operations.

    Agencies must:
    (a) Handle audiovisual records in accordance with commonly accepted 
industry practices because of their extreme vulnerability to damage. For 
further information, consult the American National Standards Institute 
(ANSI), Inc., 11 West 42nd Street, New York, NY 10036; and the Society 
of Motion Picture and Television Engineers, 595 West Hartsdale Avenue, 
White Plains, NY 10607.
    (b) Use only personnel trained to perform their audiovisual duties 
and responsibilities and ensure that equipment intended for projection 
or playback is in good working order.
    (c) Loan permanent or unscheduled audiovisual records to non-Federal 
recipients only in conformance with the provisions of part 1228 subpart 
E of this chapter. Such records may be loaned to other Federal agencies 
only if a record copy is maintained in the agency's custody.
    (d) Take all steps necessary to prevent accidental or deliberate 
alteration or erasure of audiovisual records.
    (e) Ensure that no information recorded on permanent or unscheduled 
magnetic sound or video media is erased.
    (f) If different versions of audiovisual productions (e.g., short 
and long versions or foreign-language versions) are prepared, keep an 
unaltered copy of each version for record purposes.
    (g) Maintain the association between audiovisual records and the 
finding aids for them, such as captions and published and unpublished 
catalogs, and production files and similar documentation created in the 
course of audiovisual production.
    (h) Maintain disposable audiovisual records separate from permanent 
ones in accordance with General Records Schedule 21 and a records 
schedule approved by NARA for the agency's other audiovisual records.

[[Page 608]]



Sec. 1232.30  Choosing formats.

    Agencies must:
    (a) When ordering photographic materials for permanent or 
unscheduled records, ensure that still picture negatives and motion 
picture preprints (negatives, masters, etc.) are composed of polyester 
bases and are processed in accordance with industry standards as 
specified in ANSI/ISO 543-1990 (ANSI IT9.6-1991) Photography--
Photographic Films--Specifications for Safety Film; and, ANSI/NAPM 
IT9.1-1992 Imaging Media (Film)--Silver-Gelatin Type--Specifications for 
Stability, which are incorporated by reference. (Currently, not all 
motion picture stocks are available on a polyester base.) It is 
particularly important to ensure that residual sodium thiosulfate (hypo) 
on newly processed black-and-white photographic film does not exceed 
.014 grams per square meter. Require laboratories to process film in 
accordance with this standard. Excessive hypo will shorten the longevity 
of film and accelerate color fading. Process color film in accordance 
with the manufacturer's recommendations. If using reversal type 
processing, request full photographic reversal; i.e., develop, bleach, 
expose, develop, fix, and wash. The standards cited in this paragraph 
are available from the American National Standards Institute (ANSI), 
Inc., 11 West 42nd Street, New York, NY 10036. These standards are also 
available for inspection at the Office of the Federal Register, 800 
North Capitol Street, NW., suite 700, Washington, D.C. This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. These 
materials are incorporated by reference as they exist on the date of 
approval and a notice of any change in these materials be published in 
the Federal Register.
    (b) Refrain from using motion pictures in a final ``A & B'' format 
(two precisely matched reels designed to be printed together) for the 
reproduction of excerpts or stock footage.
    (c) Use only industrial or professional recording equipment and 
videotape, previously unrecorded, for original copies of permanent or 
unscheduled recordings. Limit the use of consumer formats to 
distribution or reference copies or to subjects scheduled for disposal. 
Video cassettes in the VHS format are unsuitable for use as originals of 
permanent or unscheduled records due to their inability to be copied 
without significant loss in image quality.
    (d) Record permanent or unscheduled audio recordings on \1/4\-inch 
open-reel tapes at 3 \3/4\ or 7 \1/2\ inches per second, full track, 
using professional unrecorded polyester splice-free tape stock. Audio 
cassettes, including mini-cassettes, are not sufficiently durable for 
use as originals in permanent records or unscheduled records although 
they may be used as reference copies.



Sec. 1232.32  Disposition.

    The disposition of audiovisual records shall be carried out in the 
same manner as that prescribed for other types of records in part 1228 
of this chapter. For further instructions on the transfer of permanent 
audiovisual records to the National Archives see Sec. 1228.184 of this 
chapter, Audiovisual Records.



PART 1234--ELECTRONIC RECORDS MANAGEMENT--Table of Contents




                           Subpart A--General

Sec.
1234.1  Scope of part.
1234.2  Definitions.

                     Subpart B--Program Requirements

1234.10  Agency responsibilities.

     Subpart C--Standards for the Creation, Use, Preservation, and 
                    Disposition of Electronic Records

1234.20  Creation and use of data files.
1234.22  Creation and use of text documents.
1234.24  Standards for managing electronic mail records.
1234.26  Judicial use of electronic records.
1234.28  Security of electronic records.
1234.30  Selection and maintenance of electronic records storage media.
1234.32  Retention and disposition of electronic records.
1234.34  Destruction of electronic records.

    Authority: 44 U.S.C. 2904, 3101, 3102, and 3105.

    Source: 55 FR 19218, May 8, 1990, unless otherwise noted.

[[Page 609]]



                           Subpart A--General



Sec. 1234.1  Scope of part.

    This part establishes the basic requirements related to the 
creation, maintenance, use, and disposition of electronic records. 
Electronic records include numeric, graphic, and text information, which 
may be recorded on any medium capable of being read by a computer and 
which satisfies the definition of a record. This includes, but is not 
limited to, magnetic media, such as tapes and disks, and optical disks. 
Unless otherwise noted, these requirements apply to all electronic 
information systems, whether on microcomputers, minicomputers, or main-
frame computers, regardless of storage media, in network or stand-alone 
configurations. This part also covers creation, maintenance and use, and 
disposition of Federal records created by individuals using electronic 
mail applications.
[60 FR 44640, Aug. 28, 1995]



Sec. 1234.2  Definitions.

    Basic records management terms are defined in 36 CFR 1220.14. As 
used in part 1234--
    Data base means a set of data, consisting of at least one data file, 
that is sufficient for a given purpose.
    Data base management system means a software system used to access 
and retrieve data stored in a data base.
    Data file means related numeric, textual, or graphic information 
that is organized in a strictly prescribed form and format.
    Electronic information system. A system that contains and provides 
access to computerized Federal records and other information.
    Electronic mail message. A document created or received on an 
electronic mail system including brief notes, more formal or substantive 
narrative documents, and any attachments, such as word processing and 
other electronic documents, which may be transmitted with the message.
    Electronic mail system. A computer application used to create, 
receive, and transmit messages and other documents. Excluded from this 
definition are file transfer utilities (software that transmits files 
between users but does not retain any transmission data), data systems 
used to collect and process data that have been organized into data 
files or data bases on either personal computers or mainframe computers, 
and word processing documents not transmitted on an e-mail system.
    Electronic record means any information that is recorded in a form 
that only a computer can process and that satisfies the definition of a 
Federal record in 44 U.S.C. 3301.
    Electronic recordkeeping system. An electronic system in which 
records are collected, organized, and categorized to facilitate their 
preservation, retrieval, use, and disposition.
    Text documents means narrative or tabular documents, such as 
letters, memorandums, and reports, in loosely prescribed form and 
format.
    Transmission and receipt data.
    (1) Transmission data. Information in electronic mail systems 
regarding the identities of sender and addressee(s), and the date and 
time messages were sent.
    (2) Receipt data. Information in electronic mail systems regarding 
date and time of receipt of a message, and/or acknowledgment of receipt 
or access by addressee(s).
[55 FR 19218, May 8, 1990, as amended at 60 FR 44641, Aug. 28, 1995]



                     Subpart B--Program Requirements



Sec. 1234.10  Agency responsibilities.

    The head of each Federal agency shall ensure that the management of 
electronic records incorporates the following elements:
    (a) Assigning responsibility to develop and implement an agencywide 
program for the management of all records created, received, maintained, 
used, or stored on electronic media; and notifying the National Archives 
and Records Administration, Modern Records Programs (NWM), 8601 Adelphi 
Rd., College Park, MD 20740-6001 and the General Services 
Administration, Regulations Branch (KMPR), Washington, DC 20405, of the 
name and title of the person assigned the responsibility.
    (b) Integrating the management of electronic records with other 
records

[[Page 610]]

and information resources management programs of the agency.
    (c) Incorporating electronic records management objectives, 
responsibilities, and authorities in pertinent agency directives and 
disseminating them throughout the agency as appropriate.
    (d) Establishing procedures for addressing records management 
requirements, including recordkeeping requirements and disposition, 
before approving new electronic information system or enhancements to 
existing systems.
    (e) Ensuring that adequate training is provided for users of 
electronic mail systems on recordkeeping requirements, the distinction 
between Federal records and nonrecord materials, procedures for 
designating Federal records, and moving or copying records for inclusion 
in an agency recordkeeping system;
    (f) Ensuring that adequate training is provided for users of 
electronic information system in the operation, care, and handling of 
the equipment, software, and media used in the system.
    (g) Developing and maintaining up-to-date documentation about all 
electronic information system that is adequate to: Specify all technical 
characteristics necessary for reading or processing the records; 
identify all defined inputs and outputs of the system; define the 
contents of the files and records; determine restrictions on access and 
use; understand the purpose(s) and function(s) of the system; describe 
update cycles or conditions and rules for adding information to the 
system, changing information in it, or deleting information; and ensure 
the timely, authorized disposition of the records.
    (h) Specifying the location, manner, and media in which electronic 
records will be maintained to meet operational and archival 
requirements, and maintaining inventories of electronic information 
system to facilitate disposition.
    (i) Developing and securing NARA approval of records disposition 
schedules, and ensuring implementation of their provisions.
    (j) Specifying the methods of implementing controls over national 
security-classified, sensitive, proprietary, and Privacy Act records 
stored and used electronically.
    (k) Establishing procedures to ensure that the requirements of this 
part are applied to those electronic records that are created or 
maintained by contractors.
    (l) Ensuring compliance with applicable Governmentwide policies, 
procedures, and standards such as those issued by the Office of 
Management and Budget, the General Accounting Office, the General 
Services Administration, the National Archives and Records 
Administration, and the National Institute of Standards and Technology.
    (m) Reviewing electronic information system periodically for 
conformance to established agency procedures, standards, and policies as 
part of the periodic reviews required by 44 U.S.C. 3506. The review 
should determine if the records have been properly identified and 
described, and whether the schedule descriptions and retention periods 
reflect the current informational content and use. If not, or if 
substantive changes have been made in the structure, design, codes, 
purposes, or uses of the system, submit an SF 115, Request for Records 
Disposition Authority, to NARA.
[55 FR 19218, May 8, 1990, as amended at 60 FR 44641, Aug. 28, 1995; 63 
FR 35830, July 1, 1998]



     Subpart C--Standards for the Creation, Use, Preservation, and 
                    Disposition of Electronic Records



Sec. 1234.20  Creation and use of data files.

    (a) For electronic information systems that produce, use, or store 
data files, disposition instructions for the data shall be incorporated 
into the system's design.
    (b) Agencies shall maintain adequate and up-to-date technical 
documentation for each electronic information system that produces, 
uses, or stores data files. Minimum documentation required is a 
narrative description of the system; physical and technical 
characteristics of the records, including a record layout that describes 
each field

[[Page 611]]

including its name, size, starting or relative position, and a 
description of the form of the data (such as alphabetic, zoned decimal, 
packed decimal, or numeric), or a data dictionary or the equivalent 
information associated with a data base management system including a 
description of the relationship between data elements in data bases; and 
any other technical information needed to read or process the records.
[55 FR 19218, May 8, 1990, as amended at 60 FR 44641, Aug. 28, 1995]



Sec. 1234.22  Creation and use of text documents.

    (a) Electronic recordkeeping systems that maintain the official file 
copy of text documents on elecronic media shall meet the following 
minimum requirements:
    (1) Provide a method for all authorized users of the system to 
retrieve desired documents, such as an indexing or text search system;
    (2) Provide an appropriate level of security to ensure integrity of 
the documents;
    (3) Provide a standard interchange format when necessary to permit 
the exchange of documents on electronic media between agency computers 
using different software/operating systems and the conversion or 
migration of documents on electronic media from one system to another; 
and
    (4) Provide for the disposition of the documents including, when 
necessary, the requirements for transferring permanent records to NARA 
(see Sec. 1228.188 of this chapter).
    (b) Before a document is created electronically on electronic 
recordkeeping systems that will maintain the official file copy on 
electronic media, each document shall be identified sufficiently to 
enable authorized personnel to retrieve, protect, and carry out the 
disposition of documents in the system. Appropriate identifying 
information for each document maintained on the electronic media may 
include: office of origin, file code, key words for retrieval, addressee 
(if any), signator, author, date, authorized disposition (coded or 
otherwise), and security classification (if applicable). Agencies shall 
ensure that records maintained in such systems can be correlated with 
related records on paper, microform, or other media.
[55 FR 19218, May 8, 1990, as amended at 60 FR 44641, Aug. 28, 1995]



Sec. 1234.24  Standards for managing electronic mail records.

    Agencies shall manage records created or received on electronic mail 
systems in accordance with the provisions of this chapter pertaining to 
adequacy of documentation, recordkeeping requirements, agency records 
management responsibilities, and records disposition (36 CFR parts 1220, 
1222, and 1228).
    (a) Agency instructions on identifying and preserving electronic 
mail messages will address the following unique aspects of electronic 
mail:
    (1) Some transmission data (names of sender and addressee(s) and 
date the message was sent) must be preserved for each electronic mail 
record in order for the context of the message to be understood. 
Agencies shall determine if any other transmission data is needed for 
purposes of context.
    (2) Agencies that use an electronic mail system that identifies 
users by codes or nicknames or identifies addressees only by the name of 
a distribution list shall instruct staff on how to retain names on 
directories or distributions lists to ensure identification of the 
sender and addressee(s) of messages that are records.
    (3) Agencies that use an electronic mail system that allows users to 
request acknowledgments or receipts showing that a message reached the 
mailbox or inbox of each addressee, or that an addressee opened the 
message, shall issue instructions to e-mail users specifying when to 
request such receipts or acknowledgments for recordkeeping purposes and 
how to preserve them.
    (4) Agencies with access to external electronic mail systems shall 
ensure that Federal records sent or received on these systems are 
preserved in the appropriate recordkeeping system and that reasonable 
steps are taken to capture available transmission and receipt data 
needed by the agency for recordkeeping purposes.

[[Page 612]]

    (5) Some e-mail systems provide calendars and task lists for users. 
These may meet the definition of Federal record. Calendars that meet the 
definition of Federal records are to be managed in accordance with the 
provisions of General Records Schedule 23, Item 5.
    (6) Draft documents that are circulated on electronic mail systems 
may be records if they meet the criteria specified in 36 CFR 1222.34.
    (b) Agencies shall consider the following criteria when developing 
procedures for the maintenance of electronic mail records in appropriate 
recordkeeping systems, regardless of format.
    (1) Recordkeeping systems that include electronic mail messages 
must:
    (i) Provide for the grouping of related records into classifications 
according to the nature of the business purposes the records serve;
    (ii) Permit easy and timely retrieval of both individual records and 
files or other groupings of related records;
    (iii) Retain the records in a usable format for their required 
retention period as specified by a NARA-approved records schedule;
    (iv) Be accessible by individuals who have a business need for 
information in the system;
    (v) Preserve the transmission and receipt data specified in agency 
instructions; and
    (vi) Permit transfer of permanent records to the National Archives 
and Records Administration (see 36 CFR 1228.188 and 36 CFR 1234.32(a)).
    (2) Agencies shall not store the recordkeeping copy of electronic 
mail messages that are Federal records only on the electronic mail 
system, unless the system has all of the features specified in paragraph 
(b)(1) of this section. If the electronic mail system is not designed to 
be a recordkeeping system, agencies shall instruct staff on how to copy 
Federal records from the electronic mail system to a recordkeeping 
system.
    (c) Agencies that maintain their electronic mail records 
electronically shall move or copy them to a separate electronic 
recordkeeping system unless their system has the features specified in 
paragraph (b)(1) of this section. Because they do not have the features 
specified in paragraph (b)(1) of this section, backup tapes should not 
be used for recordkeeping purposes. Agencies may retain records from 
electronic mail systems in an off-line electronic storage format (such 
as optical disk or magnetic tape) that meets the requirements described 
at 36 CFR 1234.30(a). Agencies that retain permanent electronic mail 
records scheduled for transfer to the National Archives shall either 
store them in a format and on a medium that conforms to the requirements 
concerning transfer at 36 CFR 1228.188 or shall maintain the ability to 
convert the records to the required format and medium at the time 
transfer is scheduled.
    (d) Agencies that maintain paper files as their recordkeeping 
systems shall print their electronic mail records and the related 
transmission and receipt data specified by the agency.
[60 FR 44641, Aug. 28, 1995]



Sec. 1234.26  Judicial use of electronic records.

    Electronic records may be admitted in evidence to Federal courts for 
use in court proceedings (Federal Rules of Evidence 803(8)) if 
trustworthiness is established by thoroughly documenting the 
recordkeeping system's operation and the controls imposed upon it. 
Agencies should implement the following procedures to enhance the legal 
admissibility of electronic records.
    (a) Document that similar kinds of records generated and stored 
electronically are created by the same processes each time and have a 
standardized retrieval approach.
    (b) Substantiate that security procedures prevent unauthorized 
addition, modification or deletion of a record and ensure system 
protection against such problems as power interruptions.
    (c) Identify the electronic media on which records are stored 
throughout their life cycle, the maximum time span that records remain 
on each storage medium, and the NARA-approved disposition of all 
records.
    (d) Coordinate all of the above with legal counsel and senior IRM 
and records management staff.
[55 FR 19218, May 8, 1990. Redesignated at 60 FR 44641, Aug. 28, 1995]

[[Page 613]]



Sec. 1234.28  Security of electronic records.

    Agencies shall implement and maintain an effective records security 
program that incorporates the following:
    (a) Ensures that only authorized personnel have access to electronic 
records.
    (b) Provides for backup and recovery of records to protect against 
information loss.
    (c) Ensures that appropriate agency personnel are trained to 
safeguard sensitive or classified electronic records.
    (d) Minimizes the risk of unauthorized alteration or erasure of 
electronic records.
    (e) Ensures that electronic records security is included in computer 
systems security plans prepared pursuant to the Computer Security Act of 
1987 (40 U.S.C. 759 note).
[55 FR 19218, May 8, 1990. Redesignated at 60 FR 44641, Aug. 28, 1995]



Sec. 1234.30  Selection and maintenance of electronic records storage media.

    (a) Agencies shall select appropriate media and systems for storing 
agency records throughout their life, which meet the following 
requirements:
    (1) Permit easy retrieval in a timely fashion;
    (2) Facilitate distinction between record and nonrecord material;
    (3) Retain the records in a usable format until their authorized 
disposition date; and
    (4) If the media contains permanent records and does not meet the 
requirements for transferring permanent records to NARA as outlined in 
Sec. 1228.188 of this chapter, permit the migration of the permanent 
records at the time of transfer to a medium which does meet the 
requirements.
    (b) The following factors shall be considered before selecting a 
storage medium or converting from one medium to another:
    (1) The authorized life of the records, as determined during the 
scheduling process;
    (2) The maintenance necessary to retain the records;
    (3) The cost of storing and retrieving the records;
    (4) The records density;
    (5) The access time to retrieve stored records;
    (6) The portability of the medium (that is, selecting a medium that 
will run on equipment offered by multiple manufacturers) and the ability 
to transfer the information from one medium to another (such as from 
optical disk to magnetic tape); and
    (7) Whether the medium meets current applicable Federal Information 
Processing Standards.
    (c) Agencies should avoid the use of floppy disks for the exclusive 
long-term storage of permanent or unscheduled electronic records.
    (d) Agencies shall ensure that all authorized users can identify and 
retrieve information stored on diskettes, removable disks, or tapes by 
establishing or adopting procedures for external labeling.
    (e) Agencies shall ensure that information is not lost because of 
changing technology or deterioration by converting storage media to 
provide compatibility with the agency's current hardware and software. 
Before conversion to a different medium, agencies must determine that 
the authorized disposition of the electronic records can be implemented 
after conversion.
    (f) Agencies shall back up electronic records on a regular basis to 
safeguard against the loss of information due to equipment malfunctions 
or human error. Duplicate copies of permanent or unscheduled records 
shall be maintained in storage areas separate from the location of the 
records that have been copied.
    (g) Maintenance of magnetic computer tape. (1) Agencies shall test 
magnetic computer tapes no more than 6 months prior to using them to 
store electronic records that are unscheduled or scheduled for permanent 
retention. This test should verify that the tape is free of permanent 
errors and in compliance with National Institute of Standards and 
Technology or industry standards.
    (2) Agencies shall maintain the storage and test areas for computer 
magnetic tapes containing permanent and unscheduled records at the 
following temperatures and relative humidities:

Constant temperature--62 to 68  deg.F.
Constant relative humidity--35% to 45%


[[Page 614]]


    (3) Agencies shall rewind under controlled tension all tapes 
containing unscheduled and permanent records every 3\1/2\ years.
    (4) Agencies shall annually read a statistical sample of all reels 
of magnetic computer tape containing permanent and unscheduled records 
to identify any loss of data and to discover and correct the causes of 
data loss. In tape libraries with 1800 or fewer reels, a 20% sample or a 
sample size of 50 reels, whichever is larger, should be read. In tape 
libraries with more than 1800 reels, a sample of 384 reels should be 
read. Tapes with 10 or more errors should be replaced and, when 
possible, lost data shall be restored. All other tapes which might have 
been affected by the same cause (i.e., poor quality tape, high usage, 
poor environment, improper handling) shall be read and corrected as 
appropriate.
    (5) Agencies shall copy permanent or unscheduled data on magnetic 
tapes before the tapes are 10 years old onto tested and verified new 
tapes.
    (6) External labels (or the equivalent automated tape management 
system) for magnetic tapes used to store permanent or unscheduled 
electronic records shall provide unique identification for each reel, 
including the name of the organizational unit responsible for the data, 
system title, and security classification, if applicable. Additionally, 
the following information shall be maintained for (but not necessarily 
attached to) each reel used to store permanent or unscheduled electronic 
records: file title(s); dates of creation; dates of coverage; the 
recording density; type of internal labels; volume serial number, if 
applicable; number of tracks; character code/software dependency; 
information about block size; and reel sequence number, if the file is 
part of a multi-reel set. For numeric data files, include record format 
and logical record length, if applicable; data set name(s) and sequence, 
if applicable; and number of records for each data set.
    (7) Agencies shall prohibit smoking and eating in magnetic computer 
tape storage libraries and test or evaluation areas that contain 
permanent or unscheduled records.
    (h) Maintenance of direct access storage media. (1) Agencies shall 
issue written procedures for the care and handling of direct access 
storage media which draw upon the recommendations of the manufacturers.
    (2) External labels for diskettes or removable disks used when 
processing or temporarily storing permanent or unscheduled records shall 
include the following information: name of the organizational unit 
responsible for the records, descriptive title of the contents, dates of 
creation, security classification, if applicable, and identification of 
the software and hardware used.
[55 FR 19218, May 8, 1990. Redesignated at 60 FR 44641, Aug. 28, 1995; 
62 FR 54585, Oct. 21, 1997]



Sec. 1234.32  Retention and disposition of electronic records.

    Agencies shall establish policies and procedures to ensure that 
electronic records and their documentation are retained as long as 
needed by the Government. These retention procedures shall include 
provisions for:
    (a) Scheduling the disposition of all electronic records, as well as 
related documentation and indexes, by applying General Records Schedules 
(particularly GRS 20 or GRS 23) as appropriate or submitting an SF 115, 
Request for Records Disposition Authority, to NARA (see part 1228 of 
this chapter). The information in electronic information systems, 
including those operated for the Government by a contractor, shall be 
scheduled as soon as possible but no later than one year after 
implementation of the system.
    (b) Transferring a copy of the electronic records and any related 
documentation and indexes to the National Archives at the time specified 
in the records disposition schedule in accordance with instructions 
found in Sec. 1228.188 of this chapter. Transfer may take place at an 
earlier date if convenient for both the agency and the National Archives 
and Records Administration.
    (c) Establishing procedures for regular recopying, reformatting, and 
other necessary maintenance to ensure the retention and usability of 
electronic records throughout their authorized life cycle (see 
Sec. 1234.28).

[[Page 615]]

    (d) Electronic mail records may not be deleted or otherwise disposed 
of without prior disposition authority from NARA (44 U.S.C. 3303a). This 
applies to the original version of the record that is sent or received 
on the electronic mail system and any copies that have been transferred 
to a recordkeeping system. See 36 CFR part 1228 for records disposition 
requirements.
    (1) Disposition of records on the electronic mail system. When an 
agency has taken the necessary steps to retain the record in a 
recordkeeping system, the identical version that remains on the user's 
screen or in the user's mailbox has no continuing value. Therefore, NARA 
has authorized deletion of the version of the record on the electronic 
mail system under General Records Schedule 20, Item 14, after the record 
has been preserved in a recordkeeping system along with all appropriate 
transmission data.
    (2) Records in recordkeeping systems. The disposition of electronic 
mail records that have been transferred to an appropriate recordkeeping 
system is governed by the records schedule or schedules that control the 
records in that system. If the records in the system are not scheduled, 
the agency shall follow the procedures at 36 CFR part 1228.
[55 FR 19218, May 8, 1990. Redesignated and amended at 60 FR 44641, 
44642, Aug. 28, 1995]



Sec. 1234.34  Destruction of electronic records.

    Electronic records may be destroyed only in accordance with a 
records disposition schedule approved by the Archivist of the United 
States, including General Records Schedules. At a minimum each agency 
shall ensure that:
    (a) Electronic records scheduled for destruction are disposed of in 
a manner that ensures protection of any sensitive, proprietary, or 
national security information.
    (b) Magnetic recording media previously used for electronic records 
containing sensitive, proprietary, or national security information are 
not reused if the previously recorded information can be compromised by 
reuse in any way.
    (c) Agencies shall establish and implement procedures that 
specifically address the destruction of electronic records generated by 
individuals employing electronic mail.
[55 FR 19218, May 8, 1990. Redesignated and amended at 60 FR 44641, 
44642, Aug. 28, 1995]



PART 1236--MANAGEMENT OF VITAL RECORDS--Table of Contents




                           Subpart A--General

Sec.
1236.10  Purpose.
1236.12  Authority.
1236.14  Definitions.

                        Subpart B--Vital Records

1236.20  Vital records program objectives.
1236.22  Identification of vital records.
1236.24  Use of vital records and copies of vital records.
1236.26  Protection of vital records.
1236.28  Disposition of original vital records.

    Authority: 44 U.S.C. 2104(a), 2904(a), 3101; E. O. 12656, 53 FR 
47491, 3 CFR, 1988 Comp., p. 585.

    Source: 60 FR 29990, June 7, 1995, unless otherwise noted.



                           Subpart A--General



Sec. 1236.10  Purpose.

    This part prescribes policies and procedures for establishing a 
program for the identification and protection of vital records, those 
records needed by agencies for continuity of operations before, during, 
and after emergencies, and those records needed to protect the legal and 
financial rights of the Government and persons affected by Government 
activities. The records may be maintained on a variety of media 
including paper, magnetic tape or disk, photographic film, and 
microfilm. The management of vital records is part of an agency's 
continuity of operations plan designed to meet emergency management 
responsibilities.



Sec. 1236.12  Authority.

    Heads of agencies are responsible for the vital records program 
under the following authorities:
    (a) To make and preserve records containing adequate and proper 
documentation of the agency's organization, functions, policies, 
procedures, decisions, and essential transactions,

[[Page 616]]

and to furnish information to protect the legal and financial rights of 
the Government and of persons directly affected by the agency's 
activities (44 U.S.C. 3101).
    (b) To perform national security emergency preparedness functions 
and activities (Executive Order 12656).



Sec. 1236.14  Definitions.

    Basic records management terms are defined in 36 CFR 1220.14. As 
used in part 1236:
    Contingency planning means instituting policies and procedures to 
mitigate the effects of potential emergencies or disasters on an 
agency's operations and records. Contingency planning is part of the 
continuity of operations planning required under Federal Preparedness 
Circulars and other guidance issued by the Federal Emergency Management 
Agency (FEMA) and Executive Order 12656.
    Cycle means the periodic removal of obsolete copies of vital records 
and their replacement with copies of current vital records. This may 
occur daily, weekly, quarterly, annually or at other designated 
intervals.
    Disaster means an unexpected occurrence inflicting widespread 
destruction and distress and having long-term adverse effects on agency 
operations. Each agency defines what a long-term adverse effect is in 
relation to its most critical program activities.
    Emergency means a situation or an occurrence of a serious nature, 
developing suddenly and unexpectedly, and demanding immediate action. 
This is generally of short duration, for example, an interruption of 
normal agency operations for a week or less. It may involve electrical 
failure or minor flooding caused by broken pipes.
    Emergency operating records are that type of vital records essential 
to the continued functioning or reconstitution of an organization during 
and after an emergency. Included are emergency plans and directive(s), 
orders of succession, delegations of authority, staffing assignments, 
selected program records needed to continue the most critical agency 
operations, as well as related policy or procedural records that assist 
agency staff in conducting operations under emergency conditions and for 
resuming normal operations after an emergency.
    Legal and financial rights records are that type of vital records 
essential to protect the legal and financial rights of the Government 
and of the individuals directly affected by its activities. Examples 
include accounts receivable records, social security records, payroll 
records, retirement records, and insurance records. These records were 
formerly defined as ``rights-and-interests'' records.
    National security emergency means any occurrence, including natural 
disaster, military attack, technological emergency, or other emergency, 
that seriously degrades or threatens the national security of the United 
States, as defined in Executive Order 12656.
    Off-site storage means a facility other than an agency's normal 
place of business where vital records are stored for protection. This is 
to ensure that the vital records are not subject to damage or 
destruction from an emergency or disaster affecting an agency's normal 
place of business.
    Vital records mean essential agency records that are needed to meet 
operational responsibilities under national security emergencies or 
other emergency or disaster conditions (emergency operating records) or 
to protect the legal and financial rights of the Government and those 
affected by Government activities (legal and financial rights records).
    Vital records program means the policies, plans, and procedures 
developed and implemented and the resources needed to identify, use, and 
protect the essential records needed to meet operational 
responsibilities under national security emergencies or other emergency 
or disaster conditions or to protect the Government's rights or those of 
its citizens. This is a program element of an agency's emergency 
management function.



                        Subpart B--Vital Records



Sec. 1236.20  Vital records program objectives.

    The vital records program is conducted to identify and protect those 
records that specify how an agency will

[[Page 617]]

operate in case of emergency or disaster, those records vital to the 
continued operations of the agency during and after an emergency or 
disaster, and records needed to protect the legal and financial rights 
of the Government and of the persons affected by its actions. An agency 
identifies vital records in the course of contingency planning 
activities carried out in the context of the emergency management 
function. In carrying out the vital records program agencies shall:
    (a) Specify agency staff responsibilities;
    (b) Ensure that all concerned staff are appropriately informed about 
vital records;
    (c) Ensure that the designation of vital records is current and 
complete; and
    (d) Ensure that vital records and copies of vital records are 
adequately protected, accessible, and immediately usable.



Sec. 1236.22  Identification of vital records.

    Vital records include emergency plans and related records that 
specify how an agency is to respond to an emergency as well as those 
records that would be needed to continue operations and protect legal 
and financial rights. Agencies should consider the informational content 
of records series and electronic records systems when identifying vital 
records. Only the most recent and complete source of the vital 
information needs to be treated as vital records.



Sec. 1236.24  Use of vital records and copies of vital records.

    Agencies shall ensure that retrieval procedures for vital records 
require only routine effort to locate needed information, especially 
since individuals unfamiliar with the records may need to use them 
during an emergency or disaster. Agencies also shall ensure that all 
equipment needed to read vital records or copies of vital records will 
be available in case of emergency or disaster. For electronic records 
systems, agencies also shall ensure that system documentation adequate 
to operate the system and access the records will be available in case 
of emergency or disaster.



Sec. 1236.26  Protection of vital records.

    Agencies shall take appropriate measures to ensure the survival of 
the vital records or copies of vital records in case of emergency or 
disaster. In the case of electronic records, this requirement is met if 
the information needed in the event of emergency or disaster is 
available in a copy made for general security purposes, even when the 
copy contains other information.
    (a) Duplication. Computer backup tapes created in the normal course 
of system maintenance or other electronic copies that may be routinely 
created in the normal course of business may be used as the vital record 
copy. For hard copy records, agencies may choose to make microform 
copies. Standards for the creation, preservation and use of microforms 
are found in 36 CFR part 1230, Micrographic Records Management. The 
Computer Security Act of 1987 (40 U.S.C. 759, Pub. L. 100-235), OMB 
Circular A-130, and 36 CFR part 1234, Electronic Records Management, and 
41 CFR part 201, subchapter B, Management and Use of Information and 
Records, specify protective measures and standards for electronic 
records.
    (b) Storage. When agencies choose duplication as a protection 
method, the copy of the vital record stored off-site is normally a 
duplicate of the original record. Designating and using duplicate copies 
of original records as vital records facilitates destruction or deletion 
of obsolete duplicates when replaced by updated copies, whereas original 
vital records must be retained for the period specified in the agency 
records disposition schedule. The agency may store the original records 
off-site if protection of original signatures is necessary, or if it 
does not need to keep the original record at its normal place of 
business.
    (c) Storage considerations. Agencies need to consider several 
factors when deciding where to store copies of vital records. Copies of 
emergency operating vital records need to be accessible in a very short 
period of time for use in the event of an emergency or disaster. Copies 
of legal and financial rights records

[[Page 618]]

may not be needed as quickly. In deciding where to store vital records 
copies, agencies shall treat records that have the properties of both 
categories, that is, emergency operating and legal and financial rights 
records, as emergency operating records.
    (1) Under certain circumstances, Federal records centers (FRC's) may 
store copies of emergency operating vital records. FRC's will store 
small volumes of such records, but may not be able to provide storage 
for large collections or ones requiring constant recycling of the vital 
records, except under reimbursable agreement. Prior to preparing the 
records for shipment, the agency must contact the FRC to determine if 
the center can accommodate the storage requirements and return copies in 
an acceptable period of time.
    (2) The off-site copy of legal and financial rights vital records 
may be stored at an off-site agency location or, in accordance with 
Sec. 1228.156 of this chapter, at an FRC.
    (3) When using an FRC for storing vital records that are duplicate 
copies of original records, the agency must specify on the SF 135, 
Records Transmittal and Receipt, that they are vital records (duplicate 
copies) and the medium on which they are maintained. The agency shall 
also periodically cycle (update) them by removing obsolete items and 
replacing them with the most recent version, when necessary.
    (4) Agencies that transfer permanent, original vital records 
maintained on electronic or microform media to the custody of the 
National Archives may designate such records as their off-site copy. 
That designation may remain in effect until the information in such 
transferred records is superseded or becomes obsolete.



Sec. 1236.28  Disposition of original vital records.

    The disposition of original vital records is governed by records 
schedules approved by NARA (see part 1228, Disposition of Federal 
Records). Original records that are not scheduled may not be destroyed 
or deleted.



PART 1238--PROGRAM ASSISTANCE--Table of Contents




Sec.
1238.1  Scope of part.
1238.2  Requests for assistance.

    Authority: 44 U.S.C. 2904 and 3101.



Sec. 1238.1  Scope of part.

    The National Archives and Records Administration publishes 
handbooks, conducts workshops and other training sessions, and furnishes 
information and guidance to Federal agencies about the creation of 
records, their maintenance and use, and their disposition.
[50 FR 26940, June 28, 1985]



Sec. 1238.2  Requests for assistance.

    Agencies desiring information or assistance related to any of the 
areas covered by subchapter B should contact the NARA Life Cycle 
Management Division (NWML), 8601 Adelphi Rd., College Park, MD 20740-
6001. Agency field organizations may contact the appropriate Regional 
Administrator regarding records in or scheduled for transfer to the 
records center and/or the archival operations within the region.
[57 FR 19807, May 8, 1992, as amended at 63 FR 35830, July 1, 1998]

[[Page 619]]



                SUBCHAPTER C--PUBLIC AVAILABILITY AND USE





PART 1250--PUBLIC AVAILABILITY OF NARA ADMINISTRATIVE RECORDS AND INFORMATIONAL MATERIALS--Table of Contents




Sec.
1250.1  Scope of part.

                      Subpart A--General Provisions

1250.10  Purpose.
1250.12  Availability of records.
1250.14  Applying exemptions.
1250.16  Records of other agencies.

 Subpart B--Publication of General Agency Information and Rules in the 
                            Federal Register

1250.20  Published information and rules.

       Subpart C--Availability of Orders, Regulations, and Manuals

1250.30  General.
1250.32  Available materials
1250.34  Index.
1250.36  Public inspection and copying.

                             Subpart D--Fees

1250.37  Definitions.
1250.38  Search fees.
1250.39  Review fees.
1250.40  Reproduction fees.
1250.41  Other fees.
1250.42  Fees applicable to categories of requesters.
1250.43  Prepayment of fees.
1250.44  Waiver or reduction of fees.
1250.45  Form of payment.
1250.46  Payment collection.

                      Subpart E--Described Records

1250.50  General.
1250.52  Procedures for making records available.
1250.54  Submission of requests for described records.
1250.56  Response to initial request.
1250.58  Appeal within NARA.
1250.60  Extention of time limits.

                          Subpart F--Exemptions

1250.70  Categories of records exempt from disclosure under FOIA.

    Subpart G--Predisclosure Notification Procedures for Commercial 
                               Information

1250.75  Predisclosure notification procedures for commercial 
          information.

  Subpart H--Subpoenas and Other Legal Demands for NARA Administrative 
                                 Records

1250.80  Service of subpoena and other legal demands for NARA 
          administrative records.

    Authority: 44 U.S.C. 2104(a); 5 U.S.C. 552; E.O. 12600, 52 FR 23781, 
3 CFR, 1987 Comp., p. 235.

    Source: 50 FR 27202, July 1, 1985, unless otherwise noted.



Sec. 1250.1  Scope of part.

    This part sets forth policies and procedures concerning the 
availability to the public of all records and informational materials 
generated, developed, or held by NARA with respect to:
    (a) NARA organization and functions and regulations of general 
applicability;
    (b) NARA final orders and staff manuals; and
    (c) Operational and other appropriate agency records.

This part also covers exemptions from disclosure of these records; 
procedures for the guidance of the public in inspecting and obtaining 
copies of NARA records; and the service of a subpoena or other legal 
demand with respect to NARA administrative records.



                      Subpart A--General Provisions



Sec. 1250.10  Purpose.

    This part implements the provisions of the Freedom of Information 
Act (``FOIA''), 5 U.S.C. 552, as amended. This part prescribes 
procedures by which the public may inspect and obtain copies of NARA 
records under FOIA.



Sec. 1250.12  Availability of records.

    NARA administrative records are available to the greatest extent 
possible in keeping with the spirit and intent of the FOIA. Requesters 
should

[[Page 620]]

address their requests to the office designated in Sec. 1250.54. The 
person making the request need not have a particular interest in the 
subject matter, nor provide justification for the request except to the 
extent necessary to determine the requester's category for fee 
assessment purposes as explained in Sec. 1250.42. The FOIA requirement 
that records be available to the public refers only to records in 
existence when the request is submitted. The Act does not require an 
agency to compile or create information or records in response to a FOIA 
request.
[52 FR 29519, Aug. 10, 1987]



Sec. 1250.14  Applying exemptions.

    NARA may deny a request for a NARA record if the record falls within 
an exemption of FOIA as outlined in subpart E of this part. Except when 
a record is classified or when disclosure would violate any Federal law, 
the authority to withhold a record is permissive rather than mandatory. 
NARA will not withhold a record unless there is a compelling reason to 
do so. In the absence of a compelling reason, NARA will disclose a 
record although it otherwise is subject to exemption.



Sec. 1250.16  Records of other agencies.

    (a) Other agencies' records managed by NARA. The availability of 
records of other agencies in the physical custody of NARA and records 
which have been accessioned into the National Archives of the United 
States and Federal Records Centers is governed by part 1254 of this 
chapter. (Availability of Records and Donated Historical Materials.)
    (b) Current records of other agencies. If NARA receives a request to 
make available current records that are the primary responsibility of 
another agency, NARA shall refer the request to the agency concerned for 
appropriate action. NARA shall inform the requestor that NARA has 
forwarded the request to the responsible agency.



 Subpart B--Publication of General Agency Information and Rules in the 
                            Federal Register



Sec. 1250.20  Published information and rules.

    In accordance with 5 U.S.C. 552(a)(1), NARA publishes in the Federal 
Register, for the guidance of the public, the following general 
information concerning NARA:
    (a) A description of its central and field organization and the 
established places at which, the employees from whom, and the methods 
whereby the public may obtain information, make submittals or requests, 
or obtain decisions;
    (b) Statements of the general courses and methods by which functions 
are channeled and determined, including the nature and requirements of 
all formal and informal procedures available;
    (c) Rules of procedure, descriptions of forms available or the 
places where forms may be obtained, and instructions on the scope and 
content of all papers, reports, and examinations;
    (d) Substantive rules of general applicability adopted as authorized 
by law and statements of general policy or interpretations of general 
applicability formulated and adopted by NARA;
    (e) Each amendment, revision, or repeal of the materials described 
in this section.



       Subpart C--Availability of Orders, Regulations, and Manuals



Sec. 1250.30  General.

    NARA makes available for public inspection and copying the materials 
described in paragraph (a)(2) of the FOIA (5 U.S.C. 552(a)(2)), which 
are listed in Sec. 1250.32, and an Index of those materials as described 
in Sec. 1250.34, at the National Archives Building located at 7th and 
Pennsylvania Avenue, NW., Washington, DC. Copying services are available 
at fees specified in Sec. 1250.40.
[52 FR 29519, Aug. 10, 1987]

[[Page 621]]



Sec. 1250.32  Available materials.

    NARA materials available under this subpart C are as follows:
    (a) NARA orders;
    (b) Written statements of NARA policy that are not published in the 
Federal Register;
    (c) Administrative staff manuals and instructions to staff affecting 
a member of the public unless these materials are promptly published and 
copies offered for sale.



Sec. 1250.34  Index.

    NARA will maintain and make available for public inspection and 
copying current indexes regarding any matter issued, adopted, or 
promulgated after July 4, 1967, and described in Sec. 1250.32. NARA will 
publish quarterly and make available copies of each index or supplement 
thereto. The index will be maintained for public inspection by the 
Office of Management and Administration, National Archives (NA), 
Washington, DC 20408. The public may write to the Policy and Program 
Analysis Division, National Archives (NAA), Washington, DC 20408, to 
request a copy of the index.
[51 FR 23416, June 27, 1986, as amended at 57 FR 22430, May 28, 1992]



Sec. 1250.36  Public inspection and copying.

    NARA will make records not subject to exemption available at the 
NARA facility where the records are located during normal working hours 
(see part 1253 of this chapter), or at an alternative NARA facility as 
mutually agreed upon by NARA and the requester. NARA will agree to show 
the originals or a copy of the originals if the originals are located at 
another NARA facility, make one copy available at a fee, or a 
combination of these alternatives.



                             Subpart D--Fees

    Source: 52 FR 29519, Aug. 10, 1987, unless otherwise noted.



Sec. 1250.37  Definitions.

    Commercial-use requester means a requester seeking information for a 
use or purpose that furthers the commercial, trade, or profit interests 
of the requester or the person on whose behalf the request is made.
    Educational-institution request means a request from a preschool, a 
public or private elementary or secondary school, an institution of 
undergraduate higher education, an institution of graduate higher 
education, an institution of professional education, or an institution 
of vocational education which operates a program or programs of 
scholarly research. The request must serve the scholarly research goals 
of the institution or school rather than the individual goals of the 
requester. A request from a student in furtherance of the completion of 
a course of instruction does not qualify as an educational institution 
request.
    Freelance-journalist means an individual who qualifies as a 
representative of the news media because the individual can demonstrate 
a solid basis for expecting publication through a news organization, 
even though not actually in its employ. A publication contract would be 
the clearest proof of a solid basis, but the individual's past 
publication history may also be considered in demonstrating this solid 
basis.
    News media representative means a person actively gathering news for 
an entity that is organized and operated to publish or broadcast news to 
the public. The term news means information that is about current events 
or that would be of current interest to the public. Examples of news 
media entities include television or radio stations broadcasting to the 
public at large, and publishers of periodicals (but only in those 
instances when they can qualify as disseminators of news) who make their 
products available for purchase or subscription by the general public.
    Non-commercial scientific institution means an institution that is 
not operated on a basis that furthers the commercial, trade, or profit 
interests of any person or organization, and which is operated solely 
for the purpose of conducting scientific research the results of which 
are not intended to promote any particular product or industry.
    Other requesters means any individual who is not a commercial-use 
requester, a representative of the news media, a

[[Page 622]]

freelance-journalist, or one associated with an educational or non-
commercial scientific institution whose research activities conform to 
the definition above. This term does not include requests from records 
subjects for records about themselves filed in NARA's systems of 
records; such requests are handled in accordance with 36 CFR part 1202.



Sec. 1250.38  Search fees.

    (a) The search fee is $10 per hour or fraction thereof when 
clerical/administrative staff manually search for records responsive to 
a request, and $18 per hour or fraction thereof when NARA must use 
professional staff to manually search for the requested records because 
clerical/administrative staff would be unable to locate them. The search 
fee for computerized searches is the wage (plus 16 percent fringe 
benefits) of the computer operator per hour or fraction thereof plus the 
actual computer operating costs.
    (b) NARA may charge for search time spent in trying to locate NARA 
records which are responsive to the request regardless of whether or not 
any responsive records are identified. NARA will not engage in line-by-
line search when merely duplicating an entire document is feasible and 
would prove to be a less expensive and quicker method of complying with 
the request.
    (c) When the search includes nonpersonnel expenditures to locate and 
identify requested information (e.g., transport or travel costs, etc.), 
the applicable fee is the direct cost to NARA.
    (d) NARA will charge for the aggregate of all time spent in 
searching for documents responsive to a series of requests when NARA 
reasonably believes a requester or group of requesters is dividing a 
request into a series of requests to evade assessment of applicable 
fees.



Sec. 1250.39  Review fees.

    (a) NARA will not charge review fees for time spent resolving 
general legal or policy issues regarding the application of exemptions.
    (b) The review fee is $24 per hour or fraction thereof, for time 
spent in activities set forth in paragraphs (d)(1), (d)(2), and (d)(3) 
of this section.
    (c) NARA will charge only commercial-use requesters review fees.
    (d) NARA may charge for the time spent engaged in the following 
activities to determine ``review time'' subject to review fees:
    (1) Time spent examining all documents that are responsive to a 
request to determine whether any portion of any document is exempt from 
mandatory disclosure regardless of whether any information is ultimately 
withheld.
    (2) Time spent excising information and otherwise preparing records 
for release (except preparing the copies that will be made available to 
the requester).
    (3) The aggregate of all time spent in reviewing documents to 
determine whether any portion of any document is permitted to be 
withheld when NARA reasonably believes that a requester or group of 
requesters is dividing a request into a series of requests to evade the 
assessment of applicable fees.
    (e) A fee of $.20 per page will be charged for making working copies 
of pages from which information must be excised.



Sec. 1250.40  Reproduction fees.

    (a) Electrostatic reproductions--(1) Prepared by NARA staff. Paper 
reproductions of NARA paper records made by NARA staff will be furnished 
for $.20 a page.
    (2) Self-service. At NARA facilities with self-service electrostatic 
copiers, requesters may make reproductions of released documents for 
$.10 a page.
    (b) Reproductions from electromagnetic media. Direct costs to NARA 
for staff time for programming, computer operations, and printouts or 
magnetic tape to reproduce the requested data will be charged 
requesters.
    (c) Other media. The cost for reproduction of records from or to 
other media will be provided upon request. NARA will charge the direct 
costs to NARA of providing the reproduction.



Sec. 1250.41  Other fees.

    (a) Mailing costs. Actual postage and shipping costs will be charged 
when the requester asks for special methods such as express mail.

[[Page 623]]

    (b) Certification. A fee of $2.00 will be charged for each 
certification.
    (c) Interest. Interest charges on unpaid fees will be charged 
beginning on the 31st day after billing at the rate prescribed in 31 
U.S.C. 3717, and will accrue from the date of the billing.



Sec. 1250.42  Fees applicable to categories of requesters.

    (a) NARA policy. (1) NARA will assess fees on the basis of the 
category of the requester as defined in Sec. 1250.37. The initial 
request should include sufficient information for NARA to determine the 
category of the requester. If sufficient information is not provided for 
NARA to make a determination, NARA will seek clarification from the 
requester before assigning a requester to a specific category and before 
beginning to process the request. If a requester disagrees with a NARA 
category-of-requester determination, this determination may be appealed, 
following the procedures set forth in Sec. 1250.58.
    (2) NARA will not assess fees otherwise chargeable if the aggregate 
of all applicable fees is less than $10.
    (3) If NARA estimates that total applicable search and reproduction 
charges are likely to exceed $25, NARA will notify the requester of the 
estimated amount of fees, unless the requester has indicated in advance 
a willingness to pay fees as high as those anticipated. The requester 
will be offered the opportunity to confer with a NARA official with the 
object of reformulating the request to meet the requester's need at a 
lower cost.
    (4) For those requests eligible for 2 hours free search time, NARA 
may begin charging for computerized search time once the cost of the 
search (including the operator time and the cost of operating the 
computer to process the request) equals the equivalent dollar amount of 
two hours of a manual search by a clerical/administrative employee.
    (b) Commercial-use requesters. Commercial-use requesters, as defined 
in Sec. 1250.37, who make requests for reasonably described records will 
be assessed the following fees:
    (1) Search fees as set forth in Sec. 1250.38;
    (2) Review fees as set forth in Sec. 1250.39
    (3) Reproduction fees as set forth in Sec. 1250.40; and
    (4) Other fees as set forth in Sec. 1250.41, as applicable.
    (c) Educational and non-commercial scientific institution 
requesters. When NARA receives a request from a qualified educational 
institution or a non-commercial scientific institution requester, as 
defined in Sec. 1250.37, for reasonably described records, NARA will 
assess:
    (1) Reproduction costs as set forth in Sec. 1250.40, except the 
first 100 pages or their equivalent will be provided free; and
    (2) Other costs as set forth in Sec. 1250.41, if applicable. NARA 
will not charge search or review fees.
    (d) Requesters who are qualified representatives of the news media 
or qualified freelance-journalists. When NARA receives a request from a 
qualified representative of the news media or freelance-journalist, as 
defined in Sec. 1250.37, for reasonably described records, NARA will 
assess reproduction fees as set forth in Sec. 1250.40, except the first 
100 pages or their equivalent will be provided free. NARA will not 
charge search or review fees.
    (e) Requests from other requesters. When NARA receives a request 
from an individual defined as ``other requesters'' in Sec. 1250.37 for 
reasonably described records, NARA will assess:
    (1) Search fees as set forth in Sec. 1250.38 for any search time in 
excess of two hours of manual search or its computerized search 
equivalent;
    (2) Reproduction fees as set forth in Sec. 1250.40, as applicable, 
except the first 100 pages or their equivalent will be provided free; 
and
    (3) Other fees as set forth in Sec. 1250.41, if applicable.



Sec. 1250.43  Prepayment of fees.

    (a) NARA may require prepayment of all fees when:
    (1) Applicable fees are likely to exceed $250, and
    (i) The requester has no history of payment;
    (ii) After notifying a requester who has a history of prompt payment 
of FOIA fees of the estimated fees, NARA does not receive satisfactory 
assurances of full payment: Or

[[Page 624]]

    (2) A requester has previously failed to pay a fee and interest 
charges within 30 days of the date of billing.
    (b) The amount of the prepayment will be the anticipated fees for 
the current request, and if applicable, any previously assessed fees and 
any interest which have not been received by NARA.



Sec. 1250.44  Waiver or reduction of fees.

    (a) Any request for waiver or reduction of a fee shall be included 
in the initial letter requesting access to NARA records under 
Sec. 1250.54. The waiver or reduction request should explain how release 
of the requested information is likely to benefit the public by 
contributing significantly to the public understanding of the operations 
or activities of the government, and why the information is not 
primarily in the commercial interest of the requester.
    (b) Documents shall be furnished without a fee or at a reduced fee 
if NARA determines that the information 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.
    (c) If NARA denies a request for a waiver or reduction of a fee, the 
requester may appeal this denial, following the procedures set forth in 
Sec. 1250.58.



Sec. 1250.45  Form of payment.

    Requesters shall pay fees by check or money order payable to: 
``National Archives and Records Administration'' and addressed to the 
official named by NARA in its correspondence.



Sec. 1250.46  Payment collection.

    As provided for in the Debt Collection Act of 1982 (Pub. L. 97-365), 
NARA may employ collection agencies and may disclose information 
concerning nonpayment of fees to consumer reporting agencies when fees 
have not been paid within 31 days of billing.



                      Subpart E--Described Records



Sec. 1250.50  General.

    (a) Except for records made available in accordance with subparts B 
and C of this part, NARA promptly will make records available to a 
requester when the request describes the records so as to enable a 
professional NARA employee to identify and locate the record(s) unless 
NARA invokes an exemption in accordance with subpart F of this part. 
NARA will consult with the requester, when necessary, to more 
specifically identify the requested record(s).
    (b) Upon receipt of a request that does not reasonably describe the 
records requested, NARA may contact the requester to seek a more 
specific description. The 10-workday time limit set forth in 
Sec. 1250.56 will not start until NARA receives a request reasonably 
describing the records.
[50 FR 27202, July 1, 1985, as amended at 52 FR 29521, Aug. 10, 1987]



Sec. 1250.52  Procedures for making records available.

    This section sets forth initial procedures for making requested 
records available. These procedures do not apply to records of other 
agencies that have been transferred to NARA in accordance with 44 U.S.C. 
2107 and 3103; in those cases, the procedures in part 1254 of this 
chapter govern.



Sec. 1250.54  Submission of requests for described records.

    For records located in NARA, the requester shall submit a request in 
writing to the NARA FOIA Officer, National Archives (NAA), Washington, 
DC 20408. Requests shall include the words ``Freedom of Information 
Request'' prominently marked on both the face of the request letter and 
the envelope. The 10-workday time limit for agency decisions set forth 
in Sec. 1250.56 begins with receipt of the request by the NARA office 
which maintains the requested records. A requester who has questions 
concerning a FOIA request may consult the NARA FOIA Officer.



Sec. 1250.56  Response to initial request.

    NARA shall mail a response to an initial FOIA request within 10 
workdays (that is, excluding Saturdays, Sundays, and legal Federal 
holidays) after receipt of a request by the NARA office that maintains 
the records. In unusual circumstances, NARA will inform the requester of 
the agency's need

[[Page 625]]

to extend the time to respond to the request.



Sec. 1250.58  Appeal with NARA.

    (a) A requester who receives a denial of access in whole or in part 
of a request or who receives a response that no responsive records were 
found, and who considers the latter response as adverse in nature, may 
appeal that decision or finding within NARA to the appropriate NARA FOIA 
Appeal Official. If the denial was signed by the Assistant Archivist for 
Management and Administration, the appeal shall be addressed to the 
Deputy Archivist of the United States, National Archives (ND), 
Washington, DC 20408. If the denial was signed by the Inspector General, 
the appeal shall be addressed to the Archivist of the United States, 
National Archives (N), Washington, DC 20408.
    (b) The NARA FOIA Appeal Official must receive an appeal no later 
than 35 calendar days after the date of the NARA letter of denial.
    (c) (1) The requester shall appeal in writing. The appeal letter 
shall include a brief statement of the reason(s):
    (i) If an appeal of denial of access, why NARA should release the 
records, or
    (ii) If an appeal of a requester category determination, why the 
requester should be considered to be a member of a different category, 
or
    (iii) If an appeal of a denial of a fee reduction or waiver request 
that the requester is not otherwise entitled to, how disclosure of the 
information is likely to contribute significantly to public 
understanding of the operations or activities of government and why it 
is not a request primarily intended to benefit the commercial, trade, or 
profit interests of the requester, or
    (iv) If no responsive records were found and the requester considers 
this to be an adverse determination, why the requester thinks that the 
search does not meet the requirements of the FOIA.
    (2) The appeal letter shall include the words ``Freedom of 
Information Appeal'' on both the face of the appeal letter and the 
envelope, and the requester shall enclose with the appeal letter a copy 
of the initial request and denial.
    (3) NARA has 20 workdays after receipt of an appeal to make a 
determination with respect to the appeal. The 20-workday time limit 
begins when the NARA FOIA Appeal Official receives the appeal.
    (d) A requester who has received a denial of an appeal may seek 
judicial review of NARA's decision in the United States district court 
in the district in which the requester resides or has a principal place 
of business, or where the records are situated, or in the District of 
Columbia.
[50 FR 27202, July 1, 1985, as amended at 51 FR 23416, June 27, 1986; 52 
FR 29521, Aug. 10, 1987; 54 FR 32068, Aug. 4, 1989; 57 FR 22430, May 28, 
1992]



Sec. 1250.60  Extension of time limits.

    In unusual circumstances the NARA FOIA Appeal Official may extend 
the time limits prescribed in Sec. 1250.58. If necessary, more than one 
extension of time may be taken. However, the total extension of time 
shall not exceed 10 workdays with respect to a particular request. The 
extension may be divided between the initial and appeal stages or within 
a single stage. NARA shall provide a written notice to the requester of 
any extension of time limits.
[50 FR 27197, July 1, 1985, as amended at 54 FR 32068, Aug. 4, 1989]



                          Subpart F--Exemptions



Sec. 1250.70  Categories of records exempt from disclosure under the FOIA.

    (a) 5 U.S.C. 552(b) provides that the requirements of the FOIA do 
not apply to matters that are:
    (1) Specifically authorized under criteria established by an 
Executive order to be kept secret in the interest of national defence or 
foreign policy and that are, in fact, properly classified under the 
Executive order;
    (2) Related solely to the internal personnel rules and practices of 
an agency;
    (3) Specifically exempted from disclosure by statute, other than the 
Privacy Act, provided that the statute:
    (i) Requires that the matters be withheld from the public in such a 
manner as to leave no discretion on the issue, or

[[Page 626]]

    (ii) Establishes particular criteria for withholding or refers to 
particular types of matters to be withheld;
    (4) Trade secrets and commercial or financial information obtained 
from a person that are privileged or confidential;
    (5) Interagency or intra-agency memorandums or letters which would 
not be available by law to a party other than an agency in litigation 
with the agency;
    (6) Personnel and medical files and similar files the disclosure of 
which would constitute a clearly unwarranted invasion of personal 
privacy;
    (7) Records or information compiled for law enforcement purposes, 
but only to the extent that the production of such law enforcement 
records or information:
    (i) Could reasonably be expected to interfere with enforcement 
proceedings:
    (ii) Would deprive a person of a right to a fair trial or an 
impartial adjudication;
    (iii) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy;
    (iv) Could reasonably be expected to disclose the identity of a 
confidential source, including a State, local or foreign agency or 
authority or any private institution which furnished information on a 
confidential basis, and, in the case of a record or information compiled 
by a criminal law enforcement authority in the course of a criminal 
investigation, or by an agency conducting lawful national security 
intelligence investigation, information furnished by a confidential 
source;
    (v) Would disclose techniques and procedures for law enforcement 
investigations or prosecutions, or would disclose guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law; or
    (vi) Could reasonably be expected to endanger the life or physical 
safety of any individual.
    (8) Contained in or related to examination, operating, or condition 
reports prepared by, on behalf of, or for the use of an agency 
responsible for the regulation or supervision of financial institutions; 
and
    (9) Geological and geophysical information and data, including maps, 
concerning wells.
    (b) NARA will provide any reasonably segregable portion of a record 
to a requester after deletion of the portions that are exempt under this 
section.
    (c) NARA will invoke no exemption under this section if the 
requested records would be available under the Privacy Act of 1974 and 
NARA implementing regulations in part 1202 of this chapter, or if 
disclosure would cause no demonstrable harm to any public or private 
interest.
[50 FR 27202, July 1, 1985, as amended at 52 FR 29521, Aug. 10, 1987]



    Subpart G--Predisclosure Notification Procedures for Commercial 
                               Information



Sec. 1250.75  Predisclosure notification procedures for commercial information.

    (a) General. Commercial information provided to NARA shall not be 
disclosed to the public except in accordance with this subpart.
    (b) Definitions.
    Potentially confidential commercial information means records 
provided to NARA by a submitter that may contain material exempt from 
release under 5 U.S.C. 552(b)(4) because disclosure could reasonably be 
expected to cause the submitter substantial competitive harm.
    Submitter means any person or entity providing potentially 
confidential commercial information to an agency. The term submitter 
includes, but is not limited to, corporations, state governments, and 
foreign governments.
    (c) Designation of potentially confidential commercial information. 
Submitters of commercial information may designate the information as 
commercially confidential. The designation must:
    (1) Be made by the submitter when the information is submitted to 
NARA or within 30 workdays thereafter;
    (2) Specify precisely which information is claimed as commercially 
confidential;
    (3) Be made in good faith;

[[Page 627]]

    (4) Be supported by a certification by the submitter that the 
information has not been published or previously officially disclosed to 
the public.
    (d) Notice of receipt of a request to release information. (1) NARA 
shall give the submitter prompt written notice of receipt of a FOIA 
request for the submitter's potentially confidential commercial 
information when:
    (i) The submitter, in good faith, has designated the material as 
commercially confidential in accordance with paragraph (c) of this 
section; and
    (ii) The FOIA request is received within 10 years of the date of 
submission.
    (2) The written notice of receipt of an FOIA request shall either 
describe the potentially confidential commercial information requested, 
or provide copies of the records containing the information. The notice 
shall be mailed to the last known address of the submitter.
    (3) When notice is given to a submitter pursuant to this section, 
NARA shall inform the requester that:
    (i) The notice has been sent to the submitter;
    (ii) That NARA's response to the request may be delayed beyond the 
limitations specified in 5 U.S.C. 552(a)(6)(A) and (B) to allow for time 
to notify the submitter, and to consider any response; and
    (iii) That the delay may be considered a denial of access to records 
and the requester may seek judicial review. However, the requester shall 
be invited to agree to a voluntary extension of time so that NARA may 
consider any claims of confidentiality by the submitter.
    (e) Opportunity to object to disclosure. (1) Through the notice 
described in paragraph (d) of this section, NARA shall afford a 
submitter a reasonable amount of time to provide NARA:
    (i) A detailed statement of any objections to disclosure. The 
statement shall specify which information is claimed to be of a 
confidential commercial nature, and shall specify all grounds for 
withholding any of the information under the exemptions of the FOIA. If 
exemption (b)(4) of the FOIA is cited, the statement shall explain how 
the release of the information can be reasonably expected to cause 
substantial competitive harm to the submitter; and
    (ii) Certification that the information has not been published or 
previously disclosed to the public.
    (2) The statement provided pursuant to this subsection may itself be 
subject to disclosure under the FOIA
    (f) Notice of intent to disclose. (1) NARA shall consider any good 
faith designations of commercial confidentiality made when the 
information was initially submitted to NARA, and the submitter's timely 
objections and specific grounds for nondisclosure received in response 
to the notice of receipt of a request prior to determining whether to 
disclose the information in question.
    (2) When NARA decides to disclose commercial information over the 
objections of a submitter, whether in response to a request to release 
or as the result of an appeal of a denial of access, NARA shall provide 
the submitter a written notice which:
    (i) States the reasons why the submitter's objections were not 
sustained;
    (ii) Describes or contains a copy of the information to be 
disclosed; and
    (iii) Specifies a disclosure date. NARA shall inform the submitter 
that disclosure will be made on the specified disclosure date, unless 
barred by court order.
    (3) NARA shall inform the requester that such notice has been given 
to the submitter and of the proposed disclosure date.
    (4) When NARA and the submitter are in agreement concerning 
disclosure, disclosure shall take place as soon as possible.
    (5) The notice of receipt of a request shall serve as the notice of 
intent to disclose when the submitter fails to respond to the initial 
notice within a reasonable period of time.
    (g) Notice of lawsuit. NARA will promptly inform the requester and 
the submitter of any law suit filed by the other concerning possible 
disclosure.
    (h) Exceptions to notice requirement. The notice requirements of 
this section do not apply when:
    (1) NARA determines that the information should not be disclosed in 
accordance with one or more FOIA exemptions;

[[Page 628]]

    (2) The information has been published or officially made available 
to the public;
    (3) Disclosure of the information is required by law (other than 5 
U.S.C. 552); or
    (4) NARA has no substantial reason to believe that disclosure would 
result in competitive harm.
[54 FR 32068, Aug. 4, 1989]



  Subpart H--Subpoenas or Other Legal Demands for NARA Administrative 
                                 Records



Sec. 1250.80  Service of subpoena or other legal demand for NARA administrative records.

    (a) A subpoena duces tecum or other legal demand for the production 
of NARA administrative records should be addressed to the Director of 
the Legal Services Staff, National Archives (NXL), Washington, DC 20408, 
with respect to NARA records.
    (b) The Archivist of the United States and the Director of the Legal 
Services Staff are the only NARA employees authorized to accept, on 
behalf of NARA, service of a subpoena duces tecum or other legal demands 
for NARA administrative records.
    (c) Regulations concerning service of a subpoena or other legal 
demand for records accessioned into the National Archives of the United 
States, records of other agencies in the custody of the Federal records 
centers, and donated historical materials are located at part 1254 of 
this chapter.
[50 FR 27202, July 1, 1985. Redesignated at 54 FR 32068, Aug. 4, 1989]



PART 1252--PUBLIC USE OF RECORDS, DONATED HISTORICAL MATERIALS, AND FACILITIES; GENERAL--Table of Contents




Sec.
1252.1  Scope.
1252.2  Definitions.

    Authority: 44 U.S.C. 2104(a).



Sec. 1252.1  Scope.

    This subchapter prescribes rules and procedures governing the public 
use of records and donated historical materials in the custody of the 
National Archives and Records Administration (NARA). Except for part 
1250, this subchapter does not apply to current operating records of 
NARA. This subchapter also prescribes rules and procedures governing the 
public use of certain NARA facilities.
[59 FR 29191, June 6, 1994]



Sec. 1252.2  Definitions.

    The following definitions are established for terms used in this 
subchapter.
    Archives or archival records mean Federal records that have been 
determined by NARA to have sufficient historical or other value to 
warrant their continued preservation by the U.S. Government, and have 
been transferred to the National Archives of the United States.
    Director means the head of a Presidential library, the head of a 
Presidential Materials Staff, the head of a NARA division, branch, 
archival center, or unit responsible for servicing archival records, the 
head of a regional archives, or the head of a Federal records center.
    Documents mean, for purposes of part 1254 of this chapter, archives, 
FRC records, donated historical materials, Nixon Presidential historical 
materials, and Presidential records, regardless of the media on which 
they are contained. Document form may include paper, microforms, 
photographs, sound recordings, motion pictures, maps, drawings, and 
electronic files.
    Donated historical materials means books, correspondence, documents, 
papers, pamphlets, magnetic tapes, pictures, photographs, plats, maps, 
films, motion pictures, sound recordings, and other documental media 
having historical or commemorative value accepted by NARA from a source 
other than an agency of the U.S. Government.
    Federal records center includes the Washington National Records 
Center, the National Personnel Records Center, and the Federal records 
centers listed in Sec. 1253.6 of this chapter.
    Federal records center records (FRC records) mean records which, 
pending their transfer to the National Archives of the United States or 
their disposition in any other manner authorized by

[[Page 629]]

law, have been transferred to a Federal records center operated by NARA.
    Nixon Presidential historical materials has the meaning specified in 
Sec. 1275.16 of this chapter.
    Presidential records has the meaning specified in Sec. 1270.14 of 
this chapter.
    Records mean records or microfilm copies of records transferred to 
NARA under 44 U.S.C. 2107 and 3103; namely, archives and Federal records 
center records as the terms are defined in Sec. 1252.2. The term records 
does not include current operating records of NARA, the public 
availability of which is governed by part 1250 of this chapter, or 
donated historical materials as defined in this section.
    Researcher means a person who has been granted access to original 
documents or copies of documents.
[33 FR 4885, Mar. 22, 1968, 42 FR 13022, Mar. 8, 1977, and 49 FR 33253, 
Aug. 22, 1984. Redesignated and amended at 50 FR 15723, 15726, Apr. 19, 
1985; 59 FR 29191, June 6, 1994]



PART 1253--LOCATION OF RECORDS AND HOURS OF USE--Table of Contents




Sec.
1253.1  National Archives Building.
1253.2  National Archives at College Park.
1253.3  Presidential libraries.
1253.4  Washington National Records Center.
1253.5  National Personnel Records Center.
1253.6  Federal Records Centers.
1253.7  Regional Archives System.

    Authority: 44 U.S.C. 2104(a).



Sec. 1253.1  National Archives Building.

    The National Archives Building is located at Seventh Street and 
Pennsylvania Avenue, NW., Washington, DC 20408. Hours: For the Central 
Research Room and Microfilm Research Room, 8:45 a.m. to 5 p.m., Monday 
and Wednesday; 8:45 a.m. to 9 p.m., Tuesday, Thursday, and Friday; 8:45 
a.m. to 4:45 p.m. on Saturday. For other research rooms, 8:45 a.m. to 5 
p.m., Monday through Friday.
[59 FR 6901, Feb. 14, 1994]



Sec. 1253.2  National Archives at College Park.

    The National Archives at College Park is located at 8601 Adelphi 
Road, College Park, MD 20740-6001. Research complex hours are 8:45 a.m. 
to 5 p.m., Monday and Wednesday; 8:45 a.m. to 9 p.m., Tuesday, Thursday, 
and Friday; and 8:45 a.m. to 4:45 p.m. Saturday.
[59 FR 6900, Feb. 14, 1994]



Sec. 1253.3  Presidential libraries.

    Some of the Presidential Libraries may offer extended research room 
hours on selected evenings and Saturdays; museums within the Libraries 
offer Saturday and Sunday hours. More specific information on extended 
hours is available from each Presidential Library. The hours listed in 
this section are the minimum hours that each Presidential Library is 
normally open.
    (a) Herbert Hoover Library, 210 Parkside Dr., West Branch, IA. 
Mailing address: PO Box 488, West Branch, IA 52358-0488. Hours: 9 a.m. 
to 5 p.m., Monday through Friday.
    (b) Franklin D. Roosevelt Library, 511 Albany Post Rd., Hyde Park, 
NY 12538-1999. Hours: 8:45 a.m. to 5 p.m., Monday through Friday.
    (c) Harry S. Truman Library, 500 W. US Hwy 24, Independence, MO 
64050-1798. Hours: 8:45 a.m. to 4:45 p.m., Monday through Friday.
    (d) Dwight D. Eisenhower Library, 200 SE Fourth Street, Abilene, KS 
67410-2900. Hours: 9 a.m. to 4:45 p.m., Monday through Friday.
    (e) John Fitzgerald Kennedy Library, Columbia Point, Boston, MA 
02125. Hours: 8 a.m. to 4:30 p.m., Monday through Friday.
    (f) Lyndon Baines Johnson Library, 2313 Red River St., Austin, TX 
78705-5702. Hours: 9 a.m. to 5 p.m., Monday through Friday.
    (g) Gerald R. Ford Library, 1000 Beal Avenue, Ann Arbor, MI 48109-
2114. Hours: 8:45 a.m. to 4:45 p.m., Monday through Friday.
    (h) Gerald R. Ford Museum, 303 Pearl St. NW, Grand Rapids MI 49504-
5353. Hours: 9 a.m. to 4:45 p.m., Sunday through Saturday.
    (i) Jimmy Carter Library, 1 Copenhill Ave NE, Atlanta, GA 30307-
1406. Hours: 9 a.m. to 4:45 p.m., Monday through Friday.
    (j) Ronald Reagan Library, 40 Presidential Dr, Simi Valley, CA 
93065-0666.

[[Page 630]]

Hours: 9 a.m. to 4:30 p.m., Monday through Friday.
[46 FR 37652, July 22, 1981. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and amended at 52 FR 23821, June 25, 1987; 57 FR 21742, May 22, 1992; 60 
FR 40416, Aug. 8, 1995; 61 FR 390, Jan. 5, 1996]



Sec. 1253.4  Washington National Records Center.

    Washington National Records Center, 4205 Suitland Road, Suitland, 
MD. Mailing address: Washington National Records Center, 4205 Suitland 
Road, Washington, DC 20409-0002. Hours: 8:30 a.m. to 4 p.m., Monday 
through Friday. From May 6, 1996, through August 30, 1996, appointments 
may be made to use archival records at the Center by calling the 
Suitland Reference Branch at (301) 457-7190.
[61 FR 14972, Apr. 4, 1996]



Sec. 1253.5  National Personnel Records Center.

    (a) Military Personnel Records, National Personnel Records Center, 
9700 Page Ave., St. Louis, MO 63132-5100. Hours: 7:30 a.m. to 4 p.m., 
Monday through Friday.
    (b) Civilian Personnel Records, National Personnel Records Center, 
111 Winnebago St., St. Louis, MO 63118-4199. Hours: 7:30 a.m. to 4 p.m., 
Monday through Friday.
[60 FR 40417, Aug. 8, 1995]



Sec. 1253.6  Federal Records Centers.

    (a) 380 Trapelo Rd., Waltham, MA 02154-6399. Hours: 8 a.m. to 4 
p.m., Monday through Friday.
    (b) 100 Dan Fox Dr., Pittsfield, MA 01201-8230. Hours: 7:30 a.m. to 
4 p.m., Monday through Friday.
    (c) Military Ocean Terminal Bldg. 22, Bayonne, NJ 07002-5388. Hours: 
7:30 a.m. to 4 p.m., Monday through Friday.
    (d) 14700 Townsend Rd., Philadelphia, PA 19154. Hours: 7:30 a.m. to 
4 p.m., Monday through Friday.
    (e) 1557 St. Joseph Ave., East Point, GA 30344-2593. Hours: 8 a.m. 
to 4 p.m., Monday through Friday.
    (f) 3150 Springboro Rd., Dayton, OH 45439-1883. Hours: 7:30 a.m. to 
4 p.m., Monday through Friday.
    (g) 7358 S. Pulaski Rd., Chicago, IL 60629-5898. Hours: 8 a.m. to 4 
p.m., Monday through Friday.
    (h) 2312 E. Bannister Rd., Kansas City, MO 64131-3060. Hours: 8 a.m. 
to 4 p.m., Monday through Friday.
    (i) 501 W. Felix St., Bldg. 1, Dock 1, Fort Worth, TX. Mailing 
Address: PO Box 6216, Fort Worth, TX 76115-6216. Hours: 8 a.m. to 4 
p.m., Monday through Friday.
    (j) Denver Federal Center Bldg. 48, Denver, CO. Mailing Address: PO 
Box 25307, Denver, CO 80225-0307. Hours: 7:30 a.m. to 4 p.m., Monday 
through Friday.
    (k) 1000 Commodore Dr., San Bruno, CA 94066-2350. Hours: 7:30 a.m. 
to 3:30 p.m., Monday through Friday.
    (l) 2400 Avila Rd., 1st Floor East, Laguna Niguel, CA. Mailing 
Address: PO Box 6719, Laguna Niguel, CA 92607-6719. Hours: 8 a.m. to 
4:30 p.m., Monday through Friday.
    (m) 6125 Sand Point Way NE, Seattle, WA 98115-7999. Hours: 8 a.m. to 
4 p.m., Monday through Friday.
[60 FR 40417, Aug. 8, 1995, as amended at 61 FR 390, Jan. 5, 1996]



Sec. 1253.7  Regional Archives System.

    Some of the Regional Archives may offer extended research room hours 
on selected evenings and Saturdays. More specific information on 
extended hours is available from each Regional Archives. The hours 
listed in this section are the minimum hours that each Regional Archives 
is normally open.
    (a) National Archives--New England Region, 380 Trapelo Rd., Waltham, 
MA 02154-6399. Hours: 8 a.m. to 4 p.m., Monday through Friday. 
Telephone: (617) 647-8100.
    (b) National Archives--Pittsfield Region, 100 Dan Fox Dr., 
Pittsfield, MA 01201-8230. Hours: 9 a.m. to 3:30 p.m., Monday through 
Friday. Telephone: (413) 445-8458.
    (c) National Archives--Northeast Region, 201 Varick St., New York, 
NY 10014-4811. Hours: 8 a.m. to 4 p.m., Monday through Friday. 
Telephone: (212) 337-1300.
    (d) National Archives--Mid-Atlantic Region, 900 Market St. Room 
1350, Philadelphia, PA 19107-4292. Hours: 8 a.m. to 4 p.m., Monday 
through Friday. Telephone: (215) 597-3000.

[[Page 631]]

    (e) National Archives--Southeast Region, 1557 St. Joseph Ave., East 
Point, GA 30344-2593. Hours: 8 a.m. to 4 p.m., Monday through Friday. 
Telephone: (404) 763-7477.
    (f) National Archives--Great Lakes Region, 7358 S. Pulaski Rd., 
Chicago, IL 60629-5898. Hours: 8 a.m. to 4 p.m., Monday through Friday. 
Telephone: (312) 353-0162.
    (g) National Archives--Central Plains Region, 2312 E. Bannister Rd., 
Kansas City, MO 64131-3060. Hours: 8 a.m. to 4 p.m., Monday through 
Friday. Telephone: (816) 926-6934.
    (h) National Archives--Southwest Region, 501 West Felix St., Bldg. 
1, Dock 1, Fort Worth, TX. Mailing address: PO Box 6216, Fort Worth, TX 
76115-0216. Hours: 8 a.m. to 4 p.m., Monday through Friday. Telephone: 
(817) 334-5525.
    (i) National Archives--Rocky Mountain Region, Denver Federal Center, 
Bldg. 48, Denver, CO. Mailing address: PO Box 25307, Denver, CO 80225-
0307. Hours: 8 a.m. to 4 p.m., Monday through Friday. Telephone: (303) 
236-0817.
    (j) National Archives--Pacific Southwest Region, 2400 Avila Rd., 1st 
Floor East, Laguna Niguel, CA. Mailing address: PO Box 6719, Laguna 
Niguel, CA 92607-6719. Hours: 8 a.m. to 4 p.m., Monday through Friday. 
Telephone: (714) 643-4241.
    (k) National Archives--Pacific Sierra Region, 1000 Commodore Dr., 
San Bruno, CA 94066-2350. Hours: 8 a.m. to 4 p.m., Monday through 
Friday. Telephone: (415) 876-9009.
    (l) National Archives--Pacific Northwest Region, 6125 Sand Point Way 
NE, Seattle, WA 98115-7999. Hours: 8 a.m. to 4 p.m., Monday through 
Friday. Telephone: (206) 526-6507.
    (m) National Archives--Alaska Region, 654 W. 3rd Ave. Rm. 012, 
Anchorage, AK 99501-2145. Hours: 8 a.m. to 4 p.m., Monday through 
Friday. Telephone: (907) 271-2441.
[60 FR 40417, Aug. 8, 1995, as amended at 61 FR 390, Jan. 5, 1996]



PART 1254--AVAILABILITY OF RECORDS AND DONATED HISTORICAL MATERIALS--Table of Contents




                           Subpart A--General

Sec.
1254.1  General provisions.
1254.2  Location of documents and hours of use.
1254.4  Research procedures.
1254.6  Researcher identification card.
1254.8  Subpoenas and other legal demands for records transferred to the 
          National Archives and Records Administration.

                     Subpart B--Research Room Rules

1254.10  Registration.
1254.12  Researcher's responsibility for documents.
1254.14  Restrictions on using microfilm readers.
1254.16  Prevention of damage to documents.
1254.17  Keeping documents in order.
1254.18  Removal or mutilation of documents.
1254.20  Conduct.
1254.24  Locker use policy.
1254.26  Additional rules for use of certain research rooms in NARA 
          facilities in the Washington, DC, area.
1254.27  Additional rules for use of certain research rooms in Federal 
          records centers, regional archives, and Presidential 
          libraries.

    Subpart C--Access to Unclassified Records and Donated Historical 
                                Materials

1254.30  Archives.
1254.32  FRC records.
1254.34  Records of defunct agencies.
1254.35  Presidential records and Nixon Presidential materials.
1254.36  Donated historical materials.
1254.38  Freedom of Information Act requests.
1254.39  Requests for commercial information.

           Subpart D--Access to National Security Information

1254.40  Access to national security information.
1254.44  Freedom of Information Act requests.
1254.46  Public requests for mandatory review of classified information 
          under Executive Order 12356.
1254.48  Access by historical researchers and former Presidential 
          appointees.

[[Page 632]]

1254.50  Fees.

    Subpart E--Information, Reproduction, and Authentication Services

1254.70  NARA copying services.
1254.71  Researcher use of the self-service card-operated copiers in the 
          National Archives Building and the Washington National Records 
          Center.
1254.72  Information about documents.
1254.74  Information from documents.
1254.76  Certification of copies.

                Subpart F--Microfilming Archival Records

1254.90  General.
1254.92  Requests to microfilm records and donated historical materials.
1254.94  Criteria for granting the requests.
1254.96  Microfilm preparation.
1254.98  Equipment standards.
1254.100  Microfilming procedures.
1254.102  Rescinding permission.

    Authority: 44 U.S.C. 2101-2118; 5 U.S.C. 552; and E.O. 12600, 52 FR 
23781, 3 CFR, 1987 Comp., p. 235.

    Editorial Note: Nomenclature changes to part 1254 appear at 59 FR 
29192, June 6, 1994.



                           Subpart A--General



Sec. 1254.1  General provisions.

    (a) Researchers will normally use documents in designated research 
rooms only.
    (b) Original documents will not normally be made available when 
microfilm copies or other alternative copies of the documents are 
available.
    (c) Persons seeking information that is published and readily 
available will normally be referred to a public library.
    (d) A director may require that researchers under the age of 16 
years be accompanied by an adult researcher who agrees in writing to be 
present when the documents are used and to be responsible for compliance 
with the research room rules set forth in subpart B.
    (e) Requests received in the normal course of reference service that 
do not specifically cite the Freedom of Information Act (5 U.S.C. 552) 
are not considered requests made under the act. Requests under the act 
must follow the procedure set forth in subpart C or subpart D of this 
part.
    (f) Certain documents in the custody of NARA are available for 
exhibit, but are loaned only if the exhibitor meets exacting 
requirements regarding security, insurance coverage and humidity and 
temperature control of the exhibit area. These requirements may be 
obtained by writing to National Archives (NE), Washington, DC 20408.
[33 FR 4885, Mar. 22, 1968, as amended at 40 FR 7924, Feb. 24, 1975; 40 
FR 28610, July 8, 1975; 42 FR 13022, Mar. 8, 1977. Redesignated and 
amended at 50 FR 15723, 15726, Apr. 19, 1985; 59 FR 29192, June 6, 1994]



Sec. 1254.2  Location of documents and hours of use.

    (a) Researchers should identify the location of the documents 
needed. Inquiries may be addressed to the National Archives (NNRS), 
Washington, DC 20408.
    (b) The locations and hours of operation (expressed in local time) 
of the depositories administered by the National Archives and Records 
Administration are shown in part 1253 of this chapter.
    (c) Except for Federal holidays and other times specified by the 
Archivist or other authorized NARA officials, documents will be made 
available according to the schedule set forth in part 1253.
    (d) In addition to the times specified in part 1253, documents may 
be made available at such other times as are authorized by a director.
[40 FR 7925, Feb. 24, 1975, as amended at 42 FR 13022, Mar. 8, 1977; 49 
FR 33253, Aug. 22, 1984. Redesignated at 50 FR 15723, Apr. 19, 1985, and 
amended at 56 FR 2135, Jan. 22, 1991; 59 FR 29192, June 6, 1994]



Sec. 1254.4  Research procedures.

    (a) Before applying to use documents, the researcher should ask the 
depository holding them whether the documents are available, whether 
there are enough documents to warrant a visit, or whether copies would 
be more practical.
    (b) Researchers must apply in person at the depository that has 
custody of the documents.
    (c) Researchers who wish to use documents not on microfilm in a 
depository where the microfilm research room is separate from textual 
research rooms, must complete a researcher identification application 
form and provide the

[[Page 633]]

information needed to decide which documents can be made available. 
Researchers who wish to use only microfilm documents in a depository 
where the microfilm research room is not separate from textual research 
rooms must also comply with this paragraph. Applicants must show 
identification containing a picture or physical description of the 
applicant, e.g., a driver's license or school identification card. 
Exceptions to this requirement must be approved by the director. If 
applying for access to large quantities of documents or to documents 
that are especially fragile or valuable, the researcher may be required 
to furnish additional information about personal or professional 
qualifications or to furnish additional reasons why access is required. 
The collection of information contained in this paragraph has been 
approved by the Office of Management and Budget with the control number 
3095-0016.
    (d) A researcher will not be issued a researcher identification card 
if the branch chief or director of the relevant repository determines 
that:
    (1) The documents which the researcher wishes to use are not in the 
legal custody of NARA; or
    (2) The researcher is not interested in documents maintained by NARA 
but in information contained in secondary sources available at other 
institutions.
    (e) Researchers using only microfilm, where the microfilm research 
room is separate from textual research rooms, are not issued an 
identification card but must register as described in Sec. 1254.10.
    (f) In addition to the procedures in this section, researchers 
desiring to use archives that contain national security classified 
information must follow procedures in subpart D.
    (g) The legal custody and control over access to records that are in 
the physical custody of the records centers, but not yet accessioned 
into the National Archives of the United States, remains with the 
agency. NARA informs researchers of the procedures required to obtain 
access.
[49 FR 33253, Aug. 22, 1984. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and amended at 56 FR 2135, Jan. 22, 1991; 59 FR 29192, June 6, 1994]



Sec. 1254.6  Researcher identification card.

    An identification card is issued to each person whose application is 
approved to use records other than microfilm. The card is valid at each 
depository (except the Presidential libraries which issue cards valid 
only at the issuing library) for 2 years, but it may be renewed upon 
application. Cards are not transferable and must be produced if 
requested by a guard or research room attendant.
[49 FR 33254, Aug. 22, 1984. Redesignated at 50 FR 15723, Apr. 19, 1985]



Sec. 1254.8  Subpoenas and other legal demands for records transferred to the National Archives and Records Administration.

    (a) Access to records transferred to a Federal records center is 
controlled by the instructions and restrictions imposed on NARA by the 
Federal agency that transferred the records to the Federal records 
center. NARA will honor a subpoena duces tecum or other legal demand for 
the production of these records, to the extent required by law, if the 
transferring agency has imposed no restrictions. When the transferring 
agency has imposed restrictions, NARA will notify the authority issuing 
the subpoena or other legal demand that NARA must abide by the agency-
imposed restrictions and will request the authority to pursue the matter 
directly with the transferring agency.
    (b) The Archivist of the United States, the Director of the Legal 
Services Staff (NXL) or his designee, and the Director of the Federal 
Records Center in which the records are stored are the only NARA 
officials authorized to accept a subpoena or other legal demand for 
records transferred to a Federal records center.
    (c) A subpoena duces tecum or other legal demand for the production 
of documents designated as archives or donated historical materials 
administered by NARA may be served only on the Archivist of the United 
States, the Director of the Legal Services Staff (NXL) or his designee, 
the appropriate

[[Page 634]]

Assistant Archivist, Director of a Regional Archives, or Director of a 
Presidential Library.
[50 FR 15727, Apr. 19, 1985, as amended at 59 FR 29192, June 6, 1994]



                     Subpart B--Research Room Rules



Sec. 1254.10  Registration.

    Researchers must register each day they enter a research facility, 
furnishing the information asked on the registration sheet and may be 
asked to provide additional personal identification.
[59 FR 29192, June 6, 1994]



Sec. 1254.12  Researcher's responsibility for documents.

    (a) The research room attendant may limit the quantity of documents 
delivered to a researcher at one time. The researcher must sign for the 
documents received and may be required to show his/her researcher 
identification card. The researcher is responsible for the proper 
handling of and prevention of damage to all documents delivered to him/
her until he/she returns them. When the researcher is finished using the 
documents, the documents must be returned to the research room 
attendant. The reference service slip that accompanies the documents to 
the research room must not be removed. If asked to do so, the researcher 
must return documents as much as 15 minutes before closing time. Before 
leaving a research room, even for a short time, a researcher must notify 
the research room attendant and place all documents in their proper 
containers.
    (b) When microfilm is available on a self-service basis, research 
room attendants will assist researchers in identifying research sources 
on microfilm and provide information concerning how to locate and 
retrieve the roll(s) of film containing the information of interest. The 
researcher is responsible for retrieving and examining the roll(s). 
Unless a researcher requires assistance in learning how to operate 
microfilm reading equipment, the researcher is expected to install the 
microfilm on the reader. Unless otherwise permitted, a researcher is 
limited to one roll of microfilm at a time. After using each roll, the 
researcher is responsible for refiling the roll of microfilm in the 
location from which it was removed, unless instructed otherwise.
    (c) Researchers are responsible for complying with provisions of the 
Copyright Act (Title 17, United States Code) which governs the making 
and use of electrostatic copies or other reproductions of copyrighted 
materials.
[59 FR 29192, June 6, 1994]



Sec. 1254.14  Restrictions on using microfilm readers.

    (a) Use of the microfilm readers in the National Archives Building 
will be on a first-come, first-served basis. When other researchers are 
waiting to use a microfilm reader, a 3-hour limit may be placed on using 
a reader. After 3 hours of machine use, the researcher may sign the 
waiting list for an additional 3-hour period.
    (b) The number of researchers in the microfilm research room in the 
National Archives Building will be limited, for fire safety reasons, to 
those researchers assigned a microfilm reader.
    (c) Directors of regional archives may permit reservations for use 
of microfilm readers and set time limits on use to meet local 
circumstances. Rules for use will be posted in the research room.
[59 FR 29193, June 6, 1994]



Sec. 1254.16  Prevention of damage to documents.

    (a) Researchers must exercise all possible care to prevent damage to 
documents.
    (b) Documents may not be used at a desk where there is food or 
liquid or where an ink pen is being used. Only pencils may be used in 
research rooms where original documents are used.
    (c) Documents must not be leaned on, written on, folded anew, 
traced, or handled in any way likely to cause damage.
    (d) Documents must be identified for reproduction only with a paper 
tab provided by NARA. Documents may not be fastened with paper clips or 
rubber bands.

[[Page 635]]

    (e) Microfilm must be carefully removed from and returned to the 
proper microfilm boxes. Care must be taken loading and unloading 
microfilm from microfilm readers. Damaged microfilm must be reported to 
the research room attendant as soon as it is discovered.
    (f) Exceptionally valuable or fragile documents may be used only 
under the conditions specified by the research room attendant.
[59 FR 29193, June 6, 1994]



Sec. 1254.17  Keeping documents in order.

    A researcher must keep unbound documents in the order in which they 
are delivered to him/her. Documents that appear to be in disorder must 
not be rearranged by the researcher, but must be referred to the 
research room attendant. Researchers may use only one folder at a time. 
Researchers are not allowed to remove documents from more than one 
container at a time. Researchers should bring to the attention of the 
research room attendant microfilm put in the wrong box or file cabinet.
[Redesignated and revised at 59 FR 29193, June 6, 1994]



Sec. 1254.18  Removal or mutilation of documents.

    Researchers may not remove documents from a research room. Removing 
or mutilating documents is forbidden by law and is punishable by fine or 
imprisonment or both (18 U.S.C. 2071). Researchers must check personal 
belongings, including briefcases, folders, coats, newspapers, or 
containers of any kind before entering a research room. Upon leaving, 
researchers must present for examination any article that could contain 
documents. To ensure that documents are not unlawfully removed or 
mutilated, the director may issue and post at the entrance to the 
research room instructions supplementing the rules in subpart B.
[49 FR 33254, Aug. 22, 1984. Redesignated at 50 FR 15723, Apr. 19, 1985]



Sec. 1254.20  Conduct.

    (a) Regulations. Researchers are subject to the provisions of part 
1280 of this chapter and to all rules and regulations issued and posted 
or distributed by a facility director supplementing subpart B of this 
part, including rules on the use of NARA equipment. Eating, drinking, 
and chewing gum in a research room are prohibited. Smoking is prohibited 
except in designated smoking areas. Loud talking and other activities 
likely to disturb other researchers are also prohibited. Persons 
desiring to use typewriters, computers, sound recording devices, or 
similar equipment must work in areas designated by the research room 
attendant.
    (b) Revocation of a researcher identification card. If researchers 
who receive researcher identification cards refuse to comply with the 
rules and regulations of a NARA facility, or by their actions 
demonstrate that they present a danger to the documents or a danger or 
annoyance to other researchers or employees, they may have their 
identification cards revoked by the director. A researcher whose card is 
revoked is denied research privileges at all NARA facilities and must 
receive a written notice of the reasons for the revocation within 3 
workdays. A researcher whose identification card is revoked has 30 
calendar days after the revocation to appeal in writing to the Archivist 
of the United States, National Archives (N), Washington, DC 20408, for 
reinstatement of research privileges. On receiving an appeal, the 
Archivist of the United States has 30 days to decide whether or not to 
reinstate the research privileges. If the revocation is upheld or if no 
appeal is made, the researcher may not apply for another identification 
card for 6 months from the date of the revocation, and all NARA 
facilities will be so notified. At the end of 6 months, a researcher 
whose identification card was revoked may reapply for a new card. Upon 
application, a new identification card is issued for a probationary 
period of 2 months. However, if the probationary reinstatement of a 
researcher poses a serious threat to the safety of persons or property, 
the director may deny probationary reinstatement and will so advise the 
applicant in writing within 3 workdays of receiving the application. At 
the end of the probationary period the researcher may apply for a new 
identification card valid for 2 years. If

[[Page 636]]

the researcher's conduct in NARA facilities during the probationary 
period is proper, a regular 2-year identification card is issued. If the 
researcher's conduct during the probationary period is found 
unsatisfactory or if the director denies reinstatement, research 
privileges will again be denied for 6 months. A second and any later 
revocation of research privileges may be appealed to the Archivist of 
the United States under the procedures in this section.
    (c) Withdrawal of research privileges for researchers not required 
to have a researcher identification card. If researchers who are not 
required to have researcher identification cards refuse to comply with 
the rules and regulations of a NARA facility or by their actions 
demonstrate that they present a danger to NARA property or a danger or 
nuisance to other researchers or employees, NARA may withdraw all 
research privileges. A researcher whose research privileges are 
withdrawn under this paragraph will lose research privileges at all NARA 
research rooms, including those for which no researcher identification 
card is required. A researcher whose research privileges have been 
withdrawn may not apply for a researcher identification card, or for 
readmittance to research rooms not requiring a research card, until 
research privileges have been restored (see below). A researcher whose 
research privileges are withdrawn under this paragraph will be sent a 
written notice of the reasons for the withdrawal within 3 workdays. The 
researcher has 30 calendar days after the withdrawal to appeal in 
writing to the Archivist of the United States (address: National 
Archives and Records Administration (N), Washington, DC 20408) for 
reinstatement of research privileges. The Archivist of the United States 
has 30 calendar days from receipt of the appeal to decide whether or not 
to reinstate the research privileges. If the withdrawal is upheld or if 
no appeal is made, the researcher may request reinstatement of 
privileges no earlier than 180 calendar days from the date the 
privileges were revoked. If readmission to a NARA facility poses a 
threat to the safety of persons or property, NARA may continue to extend 
the withdrawal period for 180-day periods. The researcher will be 
notified in writing of all such extensions within 3 workdays of NARA 
receiving a request for reinstatement of research privileges. The 
researcher may appeal any decision to extend the withdrawal of research 
privileges to the Archivist of the United States. All appeals must be 
made in writing to the Archivist of the United States within 30 calendar 
days of the decision being appealed.
[49 FR 33254, Aug. 22, 1984. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and amended at 51 FR 17187, May 9, 1986; 56 FR 2135, Jan. 22, 1991; 59 
FR 29193, June 6, 1994]



Sec. 1254.24  Locker use policy.

    (a) The National Archives and Records Administration (NARA) 
prohibits researchers from carrying boxes, briefcases, satchels, 
valises, purses, or other large containers into the research rooms or 
authorized stack areas. To accommodate researchers who have these items, 
lockers or other storage facilities are conveniently located near 
research rooms. These lockers or other storage facilities are available 
on a first-come-first-served basis.
    (b) Researchers' personal belongings must be removed each night from 
the lockers or other storage facilities provided to hold them unless 
special permission is obtained in advance from designated research room 
staff. If personal belongings are not removed from the facilities by the 
researcher, they will be removed by NARA personnel. Directions for 
reclaiming confiscated items will be posted near the lockers or other 
storage facilities.
    (c) The National Archives and Records Administration is not 
responsible for the loss or theft of articles stored in the lockers.
[45 FR 8603, Feb. 8, 1980. Redesignated at 50 FR 15723, Apr. 19, 1985]



Sec. 1254.26  Additional rules for use of certain research rooms in NARA facilities in the Washington, DC, area.

    (a) Admission to research rooms in the National Archives Building, 
the Washington National Records Center, and the National Archives at 
College Park facility at which original documents are made available is 
limited to individuals examining and/or copying

[[Page 637]]

documents and other materials in the custody of the National Archives 
and Records Administration. Children under the age of 16 will not be 
admitted to these research rooms unless they have been granted research 
privileges or are granted an exception to this provision to view 
specific documents that a parent or other accompanying adult researcher 
is using. The exception will be granted by the Director of the User 
Services Division for a child who is able to read and who will be 
closely supervised by the adult researcher while in the research room. 
Normally, such a child will be admitted only for the short period 
required to view the documents. Unless otherwise permitted, children 
under the age of 16 who have been granted special permission to 
accompany an adult using records may not actively participate in 
research activities, e.g., removing, copying, or refiling documents. 
Students under the age of 16 who wish to perform research on original 
documents must apply in person to the Director of the User Services 
Division and present a letter of reference from a teacher. Such students 
may contact the National Archives by phone or letter in advance of their 
visit to discuss their eligibility for research privileges. Students 
under the age of 16 who have been granted research privileges will be 
required to be accompanied in the research room by an adult with similar 
privileges, unless the Director of the User Services Division 
specifically waives this requirement with respect to individual 
researchers.
    (b) The procedures in paragraphs (c) through (g) of this section 
apply to all research rooms in the National Archives Building (except 
the Microfilm Research Room); the Suitland Research Room in the 
Washington National Records Center; and the research rooms in the 
National Archives at College Park. These procedures are in addition to 
the procedures specified elsewhere in this part.
    (c) All researchers bringing personal typewriters, tape recorders, 
cameras, personal computers, and other equipment, into the National 
Archives Building shall complete the Equipment Log at the guard's desk 
in the lobby. The log will evidence personal ownership and will be 
checked by the guard when such equipment is removed from the building.
    (d) Researchers must present a valid researcher identification card 
to the guard or research room attendant on entering the room. All 
researchers are required to sign each day the research room registration 
sheet at the entrance to the research room. Researchers will also record 
the time they leave the research room at the end of the visit for that 
day. Researchers are not required to sign in or out when leaving the 
area temporarily.
    (e) Researchers may not bring into the research rooms overcoats, 
raincoats, hats, or similar apparel; personal copying equipment, 
including personal paper-to-paper copiers; briefcases, suitcases, 
daypacks, purses, or similar containers of personal property; notebooks, 
notepaper, notecards, folders or other containers for papers. These 
items may be stored at no cost in lockers available in the hallway 
adjacent to the various research rooms. The following exceptions may be 
granted:
    (1) Hand-held wallets and coin purses for the carrying of currency, 
coins, credit cards, keys, drivers licenses and other identification 
cards may be brought into research rooms, but are subject to inspection 
when the researcher enters or leaves the room. The guard or research 
room attendant shall judge whether the wallet or purse may be considered 
small for purposes of this section;
    (2) Notes, references, lists of documents to be consulted, and other 
materials may be admitted if the chief of the branch administering the 
research room or the senior archivist on duty in the research room 
determines they are essential to a researcher's work requirements. 
Materials will be presented to the research room attendant when the 
researcher enters the research room. Materials approved for admission 
will be stamped to indicate that they are the personal property of the 
researcher;
    (3) Typewriters, personal computers, tape recorders, and hand-held 
cameras may be admitted by the research room attendant provided that 
they are inspected, approved, and tagged prior to

[[Page 638]]

admittance. The chief of the branch administering the research room or 
the senior archivist on duty in the research room will review the 
determination made by the research room attendant if requested to do so 
by the researcher; and
    (4) Notepaper and notecards provided by the National Archives and 
electrostatic copies made on copying machines in NARA research rooms 
which are marked with the statement ``Reproduced at the National 
Archives'' may be brought back into the research room on subsequent 
visits but must be presented on entry to the research room attendant for 
inspection.
    (f) NARA will furnish to researchers, without charge, pencils and 
specially marked lined and unlined notepaper and notecards, for use in 
the research rooms. Pencils and unused notepaper and notecards should be 
returned to the research room attendant at the end of the day.
    (g) The personal property of all researchers, including notes, 
electrostatic copies, typerwriter cases, tape recorders, cameras, 
personal computers, and other property, will be inspected before removal 
from the research room. Guards and research room attendants may request 
that a member of the research room staff examine such personal items 
prior to their removal from the research room.
    (h) In addition to the procedures in paragraphs (c) through (g) of 
this section, the following procedures apply to the Motion Picture, 
Sound, and Video Research Room (hereinafter, ``the research room'') in 
the National Archives Building:
    (1) Use of NARA viewing and listening equipment in the research room 
is provided on a first-come-first-served basis. When others are waiting 
to use the equipment, a three-hour limit may be imposed on the use of 
the equipment.
    (2) The following procedures shall be followed when personal 
recording equipment and accessories are brought into the unrestricted 
viewing and copying area in the research room:
    (i) Personal recording equipment brought into the unrestricted 
viewing and copying area in the research room must be inspected and 
tagged by the research room attendant prior to admittance. All equipment 
and accessory devices must be placed on the table adjacent to the 
viewing station, except that a tripod holding a video camera may be 
placed on the floor in front of a film viewing station.
    (ii) Researchers shall remain in the research room while their 
personal equipment is in use at an audio or video viewing station. The 
film viewing stations must be attended at all times while in use. 
Researchers shall remove their personal equipment from the research room 
when they leave the room for the day or for extended breaks.
    (iii) NARA will not be responsible for assisting with ``hook-up'' to 
NARA viewing equipment; for providing compatibility between the personal 
recording equipment and NARA viewing equipment; or for the quality of 
the copies made by researchers. NARA will provide the researcher 
information on the types of NARA equipment being used in the research 
room and on the cables necessary for hook up to the NARA viewing 
equipment.
    (3) When a researcher brings audio or video recording tapes or 
cassettes into the unrestricted area of the research room, the research 
room attendant will mark the recording media ``NARA-approved personal 
property'' for identification purposes. Such media shall be inspected 
upon exit from the research room, as well as upon exit from the National 
Archives Building.
    (4) A NARA-furnished video copying station and 120-minute blank 
video cassette may be reserved, for a fee, on a first-come, first-served 
basis for a 90-minute period of time. If no other individual is waiting 
to use the station, an additional time period may be reserved at the end 
of the current period. Personal recording devices may not be connected 
to NARA equipment at the video copying station. Only NARA-provided tapes 
may be used at the video copying station. Fees for use of the station 
and blank cassette are specified in Sec. 1258.12 of this chapter.
    (5) The NARA or personal recording device and media may be used to 
make a personal-use copy of unrestricted archival materials in the 
research room.
    (6) Each researcher will be provided a copy of the Motion Picture, 
Sound, and

[[Page 639]]

Video Research Room rules and a warning notice on potential copyright 
claims in unrestricted titles. The researcher must sign a statement 
acknowledging receipt of the rules and notice. The individual making 
and/or using the copy is responsible for obtaining any needed permission 
or release from a copyright owner for other use of the copy.
    (7) No personal recording device or media is permitted in the 
restricted viewing area in the research room.
[51 FR 17187, May 9, 1986, as amended at 56 FR 2135, Jan. 22, 1991; 56 
FR 58312, Nov. 19, 1991; 57 FR 46306, Oct. 8, 1992; 59 FR 29193, June 6, 
1994]



Sec. 1254.27  Additional rules for use of certain research rooms in Federal records centers, regional archives, and Presidential libraries.

    (a) When directed by the appropriate director, the following 
procedures shall be observed in Federal Records Center, regional 
archives and Presidential library archival research rooms where original 
documents are used. These procedures are in addition to the procedures 
specified elsewhere in this part.
    (b) Researchers must present a valid researcher identification card 
to the guard or research room attendant on entering the room. All 
researchers are required to sign each day the research room registration 
sheet at the entrance to the research room. Where instructed to do so, 
researchers also sign out when leaving the research room for the day. 
Researchers are not required to sign in or out when leaving the area 
temporarily or at the end of the day.
    (c) Researchers may not bring into the research room overcoats, 
raincoats, hats, and similar apparel, and briefcases, suitcases, 
daypacks, purses, or similar containers of personal property. In 
facilities where NARA provides notepaper and notecards, researchers also 
may not bring into the research room notebooks, notepaper, notecards, 
folders or other containers for papers. In facilities where NARA 
provides a self-service copier, researchers may not bring into the 
research room personal copying equipment including personal paper-to-
paper copiers. These items may be stored at no cost in lockers or other 
storage facilities in the NARA facility. The following exceptions may be 
granted:
    (1) Hand-held wallets and coin purses for carrying currency, coins, 
credit cards, keys, drivers licenses and other identification cards may 
be brought into research rooms, but are subject to inspection when the 
researcher enters or leaves the room. The guard or research room 
attendant shall judge whether the wallet or purse may be considered 
small for purposes of this section;
    (2) Notes, references, lists of documents to be consulted, and other 
materials may be admitted if the director, or the senior attendant on 
duty in the research room determines they are essential to a 
researcher's work requirements. Materials will be presented to the 
attendant when the researcher enters the research room. If the materials 
are approved for admission, they may be stamped to indicate that they 
are the researcher's property;
    (3) Typewriters, personal computers, tape recorders, and hand-held 
cameras may be admitted by the guard or research room attendant provided 
that they are inspected, approved, and tagged prior to admittance. The 
director, or the senior attendant on duty in the research room will 
review the determination made by the guard or research room attendant if 
requested to do so by the researcher. In facilities where personal 
paper-to-paper copiers are permitted, the researcher must obtain prior 
written approval from the facility director to bring in the copier. The 
request to bring a personal copier should state the space and power 
consumption requirements and the intended period of use; and
    (4) Notepaper and notecards provided by the National Archives and 
electrostatic copies made on copying machines in NARA research rooms 
which are marked with the statement ``Reproduced at the National 
Archives'' may be brought back into the research room on subsequent 
visits but must be presented on entry to the guard or research room 
attendant for inspection.
    (d) NARA may furnish specially marked lined and unlined notepaper 
and notecards, without charge, to researchers for use in the research 
rooms. Unused notepaper and

[[Page 640]]

notecards should be returned to the research room attendant at the end 
of the day.
    (e) The personal property of all researchers, including notes, 
electrostatic copies, typewriter cases, tape recorders, cameras, 
personal computers, and other personal property, will be inspected 
before removal from the research room. Guards and research room 
attendants may request that a member of the research room staff examine 
such personal items prior to their removal from the research room.
    (f) Researchers may use NARA self-service copiers or authorized 
personal paper-to-paper copiers to copy documents in accordance with 
NARA document handling instructions and after review of the documents by 
the research room attendant to determine their suitability for copying. 
The director or the senior archivist on duty in the research room will 
review the determination of suitability if requested by the researcher. 
The following types of documents are not suitable for copying on a self-
service or personal copier:
    (1) Bound archival volumes;
    (2) Documents fastened together by staples, clips, acco fasteners, 
rivets, or similar fasteners, where folding or bending the document may 
cause damage;
    (3) Documents larger than the glass copy plate of the copier;
    (4) Documents with uncancelled security classification markings;
    (5) Documents with legal restrictions on copying; and
    (6) Documents which, in the judgement of the research room 
attendant, are in poor physical condition or which may be subject to 
possible damage if copied.
[51 FR 31617, Sept. 4, 1986, as amended at 59 FR 29192, 29194, June 6, 
1994]



    Subpart C--Access to Unclassified Records and Donated Historical 
                                Materials



Sec. 1254.30  Archives.

    The use of archives is subject to the restrictions prescribed by 
statute or Executive order or by the restrictions specified in writting 
in accordance with 44 U.S.C. 2108 by the agency from which the records 
were transferred. NARA will make available any reasonably segregable 
portion of a record after the restricted portion has been deleted. The 
restrictions are published in the ``Guide to the National Archives of 
the United States,'' and supplemented by restriction statements approved 
by the Archivist of the United States and set forth in part 1256 of this 
chapter. The Guide is available from the Superintendent of Documents, 
Government Printing Office, Washington, DC 20402. The Guide may also be 
consulted at the NARA research facilities listed in part 1253 of this 
chapter.
[54 FR 32069, Aug. 4, 1989]



Sec. 1254.32  FRC records.

    Requests for access to records on deposit in Federal records centers 
shall be addressed directly to the appropriate agency or to the FRC 
director at the address shown in part 1253. The use of FRC records is 
subject to access rules prescribed by the agency from which the records 
were transferred. When the agency's rules permit, NARA makes FRC records 
available to requesters. When access is precluded by these rules and 
restrictions, the FRC director will refer to the responsible agency the 
requests and any appeals for access, including those made under the 
Freedom of Information Act.
[40 FR 7925, Feb. 24, 1975. Redesignated at 50 FR 15723, Apr. 19, 1985]



Sec. 1254.34  Records of defunct agencies.

    Access to archives and FRC records received from agencies which have 
ceased to exist without a successor in function are handled in 
accordance with Secs. 1254.30 and 1254.50.
[44 FR 18496, Mar. 28, 1979. Redesignated at 50 FR 15723, Apr. 19, 1985]



Sec. 1254.35  Presidential records and Nixon Presidential materials.

    Access to Presidential records transferred to NARA is governed by 36 
CFR part 1270. Access to the Nixon Presidential materials is governed by 
36 CFR part 1275.
[59 FR 29194, June 6, 1994]

[[Page 641]]



Sec. 1254.36  Donated historical materials.

    The public use of donated historical materials is subject to 
restrictions on their use and availability as stated in writing by the 
donors or depositors of such materials and other restrictions imposed by 
statute. (Researchers are encouraged to confer with the appropriate 
director or reference staff member on any question of copyright.) In 
addition, use is subject to all conditions specified by the Archivist of 
the United States for purposes of archival preservation.
[59 FR 29194, June 6, 1994]



Sec. 1254.38  Freedom of Information Act requests.

    (a) Applicability. This section applies to Freedom of Information 
Act requests for unclassified and classified archives. This section does 
not apply to requests for FRC records or donated historical materials.
    (b) Definitions.
    Potentially confidential commercial information means records 
submitted to any agency by a submitter that may contain material exempt 
from release under 5 U.S.C. 552(b)(4) because disclosure could 
reasonably be expected to cause a submitter substantial competitive 
harm.
    Submitter means any person or entity providing potentially 
confidential commercial information to an agency. The term submitter 
includes, but is not limited to, corporations, state governments, and 
foreign governments.
    (c) Requirements. Requests for access to archives under the FOIA 
shall reasonably describe the records requested, shall be made in 
writing to the director of the appropriate NARA depository listed in 
part 1253 of this chapter or to the Assistant Archivist for the National 
Archives, and shall clearly indicate that the request is being made 
under the Act.
    (d) Processing time. NARA shall inform requesters of the 
availability of records within 10 workdays after receiving a request, 
except when precluded from doing so by conditions as described in 5 
U.S.C. 552a(6)(B), or by the need to consult with a submitter, as set 
forth in Sec. 1254.39.
    (e) Denial of access. Denials under the FOIA of access to archives 
are made by the appropriate director of a Presidential library or a 
regional archives or the Assistant Archivist for the National Archives, 
who, within 10 workdays, shall notify the requester of the reasons for 
the denial and of the procedures for appeal.
    (f) Appeals. (1) A requester whose request for access is denied in 
whole or in part, or who receives a response that no responsive records 
were found and who considers the latter response as adverse in nature, 
may appeal that decision or finding within NARA. The appeal shall be in 
writing and addressed to the Deputy Archivist of the United States (ND), 
National Archives, Washington, DC 20408.
    (2) The Deputy Archivist must receive an appeal no later than 35 
calendar days after the date of the NARA letter of denial to be 
considered timely.
    (3) The appeal letter shall include the words ``Freedom of 
Information Act Appeal'' on both the letter and the envelope, and the 
requester shall enclose with the appeal letter a copy of the initial 
request and the denial.
    (4) In the appeal letter the requester shall briefly state the 
reasons why NARA should release the records, or, if no responsive 
records were found and the requester considers this to be an adverse 
determination, why the requester thinks that the search does not meet 
the requirements of the FOIA.
    (5) The Deputy Archivist shall consult with the agency specifying 
the restriction, when appropriate, and make a determination within 20 
workdays after the date of receipt by the Deputy Archivist of the 
appeal. If an extension is required, the Deputy Archivist shall notify 
the requester within 20 workdays from receipt of the request. Time 
extensions shall not exceed 10 workdays in the aggregate: either solely 
in the initial stage or solely in the appellate stage, or divided 
between them.
    (6) If the determination is adverse in whole or in part, the Deputy 
Archivist shall notify the requester of the right to judicial review.
    (7) Denials and appeals of denials of access to information under 
the FOIA exemption 552(b)(1), national security

[[Page 642]]

information, are processed in accordance with the provisions of 
Sec. 1254.40.
[54 FR 32069, Aug. 4, 1989, as amended at 56 FR 2136, Jan. 22, 1991; 57 
FR 22431, May 28, 1992]



Sec. 1254.39  Requests for commercial information.

    (a) Notice of receipt of request. (1) Submitters of potentially 
confidential commercial information shall be given written notice and an 
opportunity to object to release when a request is received for 
information the submitter designated in accordance with the recipient 
agency's regulations as commercial confidential, and the request is 
received less than 10 years after submission of the information.
    (2) When the request is for information from a single or small 
number of submitters, the notice shall be sent to the submitter's last 
known address.
    (3) When the request is for information from a large number of 
submitters, notice shall be provided by publication of a notice in the 
Federal Register.
    (4) The notice shall either describe the potentially commercially 
confidential information requested (if the notice is published in the 
Federal Register), or provide copies of the records containing the 
information.
    (5) NARA shall inform the requester that:
    (i) Notice of receipt of a request has been provided to the 
submitter;
    (ii) The response to the request may be delayed beyond the 
limitations specified in 5 U.S.C. 552(a)(6) (A) and (B) to allow for 
time to provide notice to the submitter, and to consider any response;
    (iii) The delay may be considered as a denial of access to records 
and that the requester may seek judicial review. However, the requester 
shall be invited to agree to a voluntary extension of time so that NARA 
may consider any claims of commercial confidentiality provided by the 
submitter.
    (b) Opportunity to object to disclosure. (1) Through the notice 
described in paragraph (a)(1) of this section, NARA shall afford a 
submitter a reasonable period of time within which to provide NARA with 
a detailed statement of any objections to disclosure. A reasonable 
extension of the time limit for response may be granted when 
appropriate.
    (2) The statement shall specify which information is claimed to be 
of a confidential commercial nature, and shall specify all grounds for 
withholding any of the information under the exemptions of the FOIA. If 
exemption (b)(4) of the FOIA is cited, the statement shall explain how 
the release of the information can be reasonably expected to cause 
substantial competitive harm to the submitter.
    (3) The statement shall contain a certification that the information 
has not been published or officially released to the public.
    (4) The statement provided pursuant to this subsection may itself be 
subject to disclosure under the FOIA under Sec. 1250.75.
    (c) Notice of intent to disclose. NARA shall carefully consider any 
good faith designations of commercial confidentiality made when the 
information was initially submitted to an agency, and any timely 
objections submitted in response to the NARA notice of receipt of a 
request to release. Except as provided for in paragraph (e) of this 
section, when NARA determines to disclose, whether in response to a 
request to release or as the result of an appeal of a denial of access, 
notice shall be sent to the submitter that:
    (1) States why the initial designation or the objections were not 
sustained;
    (2) Describes or encloses a copy of the information proposed for 
disclosed; and
    (3) Specifies a date on which it is proposed to release the 
information unless barred by court order. The requester shall be 
simultaneously informed of the disclosure date.
    (d) Notice of law suit. NARA will promptly inform the requester and 
submitter of any law suit filed by the other concerning possible 
disclosure.
    (e) Exception to notice requirements. The notice requirements of 
this section do not apply when:
    (1) NARA determines that the information should not be disclosed in 
accordance with one or more FOIA exemptions;
    (2) The information has been published or officially made available 
to the public;

[[Page 643]]

    (3) Disclosure of the information is required by law (other than 5 
U.S.C. 552); or,
    (4) More than 10 years have passed since the date of submission, 
regardless of any designation as commercially confidential made by the 
submitter in accordance with the recipient agency's regulations, and 
NARA has no substantitial reason to believe that disclosure would result 
in competitive harm.
    (5) The submitter failed to respond to a notice of receipt of 
request, in which case this initial notice shall serve as the notice of 
intent to disclose.
[54 FR 32070, Aug. 4, 1989]



           Subpart D--Access to National Security Information



Sec. 1254.40  Access to national security information.

    (a) Declassification of and public access to national security 
information and material, hereinafter referred to as ``classified 
information'' or collectively termed ``information'' is governed by 
Executive Order 12356 of April 2, 1982 (3 CFR, 1982 Comp., p. 166), the 
implementing Information Security Oversight Office Directive Number 1 of 
June 22, 1982 (47 FR 27836, June 25, 1982) and the Freedom of 
Information Act (5 U.S.C. 552).
    (b) Public access to documents declassified in accordance with this 
regulation may be restricted or denied for other reasons under the 
provisions of 5 U.S.C. 552(b) for accessioned agency records; 36 CFR 
1254.36 for donated historical materials; 44 U.S.C. 2201 et seq. and 36 
CFR part 1270 for Presidential records; and 44 U.S.C. 2111 note and 36 
CFR part 1275 for Nixon Presidential materials.
[59 FR 29194, June 6, 1994]



Sec. 1254.44  Freedom of Information Act requests.

    (a) Requests for access to national security information under the 
Freedom of Information Act. Requests for access to national security 
information under the Freedom of Information Act are processed in 
accordance with the provisions of Sec. 1254.38. Time limits for 
responses to Freedom of Information Act requests for national security 
information are those provided in the act rather than the longer time 
limits provided for responses to mandatory review requests specified by 
Executive Order 12356.
    (b) Agency action. Upon receipt of a request forwarded by NARA for a 
determination regarding declassification, the agency with 
declassification responsibility shall:
    (1) Advise whether the information should be declassified in whole 
or in part or should continue to be exempt from declassification;
    (2) Provide a brief statement of the reason any requested 
information should not be declassified; and
    (3) Return all reproductions referred for determination, including a 
copy of each document which should be released only in part, marked to 
indicate the portions which remain classified.
    (c) Denials and Appeals. Denials under the Freedom of Information 
Act of access to national security information accessioned into the 
National Archives are made by designated officials of the originating or 
responsible agency. NARA notifies the requestor of the agency's 
determination. Appeals of denials of access to national security 
information must be made in writing to the appropriate authority in the 
agency having declassification responsibility for the denied information 
as indicated in Sec. 1254.42. The agency appellate authority shall make 
a determination in accordance with 5 U.S.C. 552(b). The agency appellate 
authority shall notify NARA and the requestor in writing of the final 
denials. The agency will also furnish to NARA a copy of each document 
released only in part, marked to indicate the portions which remain 
classified.
[49 FR 1349, Jan. 11, 1984. Redesignated at 50 FR 15723, Apr. 19, 1985; 
further redesignated and amended at 51 FR 22076, June 18, 1986; 54 FR 
32070, Aug. 4, 1989]



Sec. 1254.46  Public requests for mandatory review of classified information under Executive Order 12356.

    United States citizens or permanent resident aliens, Federal 
agencies, or State or local governments wishing to request mandatory 
review of classified information that has been accessioned

[[Page 644]]

into the National Archives or donated to the Government may do so by 
describing the document or material containing the information with 
sufficient specificity to enable NARA to locate it with a reasonable 
amount of effort. When practicable, a request shall include the name of 
the originator and recipient of the information, as well as its date, 
subject, and file designation. If the information sought cannot be 
identified from the description provided or if the information sought is 
so voluminous that processing it would interfere with NARA's capacity to 
serve all requestors on an equitable basis, NARA shall notify the 
requestor that, unless additional information is provided or the scope 
of the request is narrowed, no further action will be taken. NARA shall 
review for declassification and release the requested information or 
those declassified portions of the request that constitute a coherent 
segment unless withholding is otherwise warranted under applicable law. 
Requests for mandatory review should be addressed to the appropriate 
NARA depository listed in part 1253.
[49 FR 1350, Jan. 11, 1984. Redesignated at 50 FR 15723, Apr. 19, 1985]



Sec. 1254.48  Access by historical researchers and former Presidential appointees.

    (a) Access to classified information may be granted to U.S. citizens 
who are engaged in historical research projects or who previously 
occupied policy-making positions to which they were appointed by the 
President. Persons desiring permission to examine material under this 
special historical researcher/Presidential appointees access program 
should contact NARA at least 4 months before they desire access to the 
materials to permit time for the responsible agencies to process the 
requests for access. NARA will inform requesters of the agencies to 
which they will have to apply for permission to examine classified 
information, including classified information originated by the White 
House or classified information in the custody of the National Archives 
which was originated by a defunct agency.
    (b) Requestors may examine records under this program only after the 
originating or responsible agency:
    (1) Determines in writing that access is consistent with the 
interest of national security;
    (2) Takes appropriate steps to protect classified information from 
unauthorized disclosure or compromise, and ensures that the information 
is safeguarded in a manner consistent with Executive Order 12356; and
    (3) Limits the access granted to former presidential appointees to 
items that the person originated, reviewed, signed, or received while 
serving as a presidential appointee.
    (c) To protect against the possibility of unauthorized access to 
restricted documents, a director may issue instructions supplementing 
the research room rules provided in subpart B.
[49 FR 1352, Jan. 11, 1984. Redesignated at 50 FR 15723, Apr. 19, 1985 
and 51 FR 22076, June 18, 1986; 59 FR 29194, June 6, 1994]



Sec. 1254.50  Fees.

    NARA will charge requesters for copies of declassified documents 
according to the fees listed in Sec. 1258.12 of this chapter.
[59 FR 29194, June 6, 1994]



    Subpart E--Information, Reproduction, and Authentication Services



Sec. 1254.70  NARA copying services.

    (a) The copying of documents will be done by personnel of the 
National Archives and Records Administration with equipment belonging to 
NARA. NARA reserves the right to make a duplicate, at NARA expense, of 
any material copied. Such duplicates may be used by NARA to make 
additional copies for others.
    (b) In order to preserve the original documents, documents which are 
available on microfilm or other alternate copy will not be copied by 
other means as long as a legible copy (electrostatic, photographic, or 
microfilm) can be made from the microfilm.
[52 FR 20080, May 29, 1987; 59 FR 29194, June 6, 1994]

[[Page 645]]



Sec. 1254.71  Researcher use of the self-service card-operated copiers in the National Archives Building, the Washington National Records Center and the 
          National Archives at College Park.

    (a) General. Self-service card-operated copiers are located in 
research rooms in the National Archives Building, the Suitland Research 
Room in the Washington National Records Center, and the National 
Archives at College Park. Other copiers set aside for use by reservation 
are located in designated research areas. Procedures for use are 
outlined in paragraphs (b) through (g) of this section.
    (b) Hours of use. (1) Copiers located in research rooms in the 
National Archives Building, the Suitland Research Room in the Washington 
National Records Center, and the National Archives at College Park may 
be used until 15 minutes prior to closing of the research room. There is 
a five-minute time limit on these copiers when others are waiting to use 
the copier. Researchers using microfilm reader-printers may be limited 
to three copies when others are waiting to use the machine. Researchers 
wishing to copy large quantities of documents should see a staff member 
in the research room to reserve a copier for an extended time period.
    (2) Reserved self-service copiers located in the designated research 
area on the second floor of the National Archives Building may be used 
between 9 a.m. and 12 noon and between 1 p.m. and 5 p.m., Monday through 
Friday, except Federal holidays. The reserved self-service copier 
located in the designated research area at the Washington National 
Records Center may be used between the hours of 8 a.m. and 12 noon and 
between 1 p.m. and 4 p.m., Monday through Friday, except Federal 
holidays.
    (i) A copier may be reserved for one hour at a time in the textual 
research room in the National Archives Building and the National 
Archives at College Park and for one-half hour at a time in the 
Microfilm Research Room in the National Archives Building and in the 
Suitland Research Room in the Washington National Records Center. 
Another appointment may be reserved after completing the scheduled 
appointment. The appointment may be forfeited if the researcher does not 
arrive within 10 minutes after the scheduled time.
    (ii) If an appointment must be canceled due to copier failure, NARA 
will make every effort to schedule a new mutually agreed-upon time. 
However, NARA will not displace researchers whose appointments are not 
affected by the copier failure.
    (c) Copying procedures. (1) Individual documents to be copied shall 
be tabbed in accordance with the procedures governing the tabbing of 
documents and returned to their container. The research room attendant 
will examine the documents to determine whether they can be copied on 
the self-service copier. The chief of the branch administering the 
research room will review the determination of suitability if asked to 
do so by the researcher.
    (2) Researchers using the reserved copiers must submit the 
containers of documents to the attendant for review at least one hour 
prior to the scheduled appointment. The research room staff will deliver 
the containers to the designated area where the reserved copiers are 
located. Researchers using self-service copiers located in the research 
room will transport their containers of documents to the copier 
themselves.
    (3) Researchers may copy from only one box and one folder at a time. 
After copying the documents, the researcher must show the original 
documents and the copies to a research room attendant.
    (d) Documents not suitable for self-service copying. The following 
types of documents may not be copied on the self-service copiers:
    (1) Bound archival volumes;
    (2) Documents fastened together by staples, clips, acco fasteners, 
rivets, or similar fasteners, where folding or bending documents may 
cause damage;
    (3) Documents larger than the glass copy plate of the copier;
    (4) Documents with uncanceled security classification markings;
    (5) Documents with legal restrictions on copying; and
    (6) Documents which, in the judgement of the research room 
attendant, are in poor physical condition or which

[[Page 646]]

may be subject to possible damage if copied.
    (e) Cancellation of security classification markings.
    (1) Security classification markings (RESTRICTED, CONFIDENTIAL, 
SECRET, TOP SECRET, and others) on declassified records must be properly 
canceled before documents are copied. Only a NARA staff member can 
cancel security markings. Properly declassified documents will bear the 
declassification authority.
    (2) Researchers may not remove from the research room copies of 
documents bearing uncanceled classification markings. Copies of 
documents with uncanceled markings will be confiscated.
    (3) When individual documents are being copied, the research room 
staff will cancel the classification markings on each page and will 
place the declassification authority on the first page of each document. 
If the researcher is copying only selected pages from a document, the 
researcher must make a copy of the first page bearing the 
declassification authority and attach that page to any subsequent 
page(s) copied from the document. This declassification authority must 
be presented to the guard when copies of documents are removed from the 
research room and/or the building.
    (4) Researchers using the reserved copiers are provided with a 
declassification strip which is attached to the copier. The strip, which 
is reproduced on each page copied, cancels the security markings.
    (f) Purchasing debitcards for copiers. Researchers may use cash to 
purchase a debitcard from a vending machine during the hours that self-
service copiers are in operation. Additionally, debitcards may be 
purchased with cash, check, money order, credit card, or funds from an 
active deposit account from the Cashier's Office located in room G-1 of 
the National Archives Building between the hours of 8:45 a.m. and 4:30 
p.m., Monday through Friday, except Federal holidays. During the evening 
and weekend hours, the research room supervisor can make change for $20 
or less. The debitcard will, when inserted into the copier, enable the 
user to make copies, for the appropriate fee, up to the value on the 
debitcard. Researchers may add value to the debitcard by using the 
vending machine. The fee for self-service copies is found in 
Sec. 1258.12 of this chapter.
    (g) Refunds of unused amounts on debitcards.
    (1) To obtain a refund of any unused amount on a debitcard, a 
researcher must bring the debitcard to the Cashier's Office in room G-1 
of the National Archives Building. Cash refunds for debitcards are 
currently limited to $20.00 or less. Refunds due for more than $20.00 
are currently paid by U.S. Treasury check in approximately 6-8 weeks. 
Refunds due on debitcards obtained using credit cards will be made by 
issuing a credit of the refund amount to the credit card. Refunds due on 
debitcards obtained using funds from a deposit account will be made by 
crediting the refund to the deposit account.
    (2) An NATF Form 30A, Request for Debit Card Refund or Credit, must 
be submitted to the Cashier's Office. The form is available from the 
research room staff or the Cashier. During evening hours and on 
Saturdays, researchers should enclose the completed form and debitcard 
in a preaddressed envelope, also available in the research room. The 
envelope may be dropped through the mail slot in room G-1 or mailed to 
the Cashier.
[56 FR 2136, Jan. 22, 1991; 56 FR 5731, Feb. 12, 1991; 59 FR 29194, June 
6, 1994]



Sec. 1254.72  Information about documents.

    (a) Upon request, overall information pertaining to holdings or 
about specific documents will be furnished, provided that the time 
required to furnish the information is not excessive, and provided that 
the information is not restricted (see subpart C and subpart D).
    (b) When so specified by a director, requests must be made on 
prescribed forms. Such forms will be approved by OMB as information 
collections and will bear the approved control number.
[59 FR 29195, June 6, 1994]



Sec. 1254.74  Information from documents.

    Normally, information contained in the documents will be furnished 
in the

[[Page 647]]

form of photocopies of the documents, subject to the provisions of 
Sec. 1254.70. NARA will certify facts and make administrative 
determinations on the basis of archives, or of FRC records when 
appropriate officials of other agencies have authorized NARA to do so. 
Such certifications and determinations will be authenticated by the seal 
of NARA, the National Archives of the United States, or the transferring 
agency, as appropriate.
[59 FR 29195, June 6, 1994]



Sec. 1254.76  Certification of copies.

    The responsible director, or any of his or her superiors, the 
Director of the Federal Register, and their designees are authorized to 
certify copies of documents as true copies.
[59 FR 29195, June 6, 1994]



                Subpart F--Microfilming Archival Records

    Source: 52 FR 20081, May 29, 1987, unless otherwise noted.



Sec. 1254.90  General.

    (a) This subpart establishes rules and procedures governing the use 
of privately owned microfilm equipment to film archival records and 
donated historical materials in the National Archives Building, the 
Washington National Records Center, the regional archives, and the 
Presidential libraries.
    (b) Persons or organizations wishing to microfilm Federal agency 
records in the custody of a Federal Records Center should contact the 
director of the Center about procedures for obtaining permission to film 
those records.
    (c) Federal agencies needing to microfilm archival records in 
support of the agency's mission must contact the Assistant Archivist for 
the National Archives, as soon as possible after the need is identified, 
for information concerning standards and procedures for microfilming 
archival records.
[52 FR 20081, May 29, 1987, as amended at 59 FR 29195, June 6, 1994]



Sec. 1254.92  Requests to microfilm records and donated historical materials.

    (a) Requests to microfilm archival records or donated historical 
materials (except donated historical materials under the control of the 
Office of Presidential Libraries) in the National Archives Building, the 
Washington National Records Center, or the regional archives must be 
made in writing to the Assistant Archivist for the National Archives 
(NN), NARA, Washington, DC 20408. Requests to microfilm records or 
donated historical materials in a Presidential library or donated 
historical materials in the National Archives Building under the control 
of the Office of Presidential Libraries must be made in writing to the 
Assistant Archivist for Presidential Libraries (NL), NARA, Washington, 
DC 20408. OMB control number 3095-0017 has been assigned to the 
information collection contained in this section.
    (b) Request to use privately owned microfilm equipment should be 
submitted six months in advance of the proposed starting date of the 
microfilming project. Requests submitted with less advance notice will 
be considered and may be approved if space is available for the cameras 
in the area set aside for private microfilming and if the records 
require minimal preparation for filming. Only one microfilming project 
may be included in a request. NARA will not accept additional requests 
from an individual or organization to microfilm records in a NARA 
facility while NARA is evaluating an earlier request from that 
individual or organization to microfilm records at that facility. NARA 
will establish the number of camera spaces available to a single project 
based upon the total number of projects approved for filming at that 
time.
    (c) The request must include:
    (1) A description of the documents to be copied which includes the 
following elements:
    (i) Agency of origin or, for donated historical materials, title of 
the collection,
    (ii) Title of series or file segment;
    (iii) Date span; and
    (iv) Estimated volume in number of pages or cubic feet.

[[Page 648]]

    (2) The estimated amount of time (work-days) that the microfilm 
copying project will take; the date that the requester would like to 
begin the project; and the number of persons who would require training 
(see Sec. 1254.100(b)).
    (3) The number and a description of the equipment that will be used 
for copying including:
    (i) The name of the manufacturer and model number; and
    (ii) The type of light source to be employed (fluorescent, tungsten, 
or electronic flash) and if electronic flash (i.e., strobe) or 
fluorescent, whether the light source is filtered to omit ultraviolet 
radiation.
    (4) A statement of the procedures which will be followed to ensure 
that all pages are copied, that the images on the microfilm are legible, 
and that the microfilm is properly processed. At a minimum, the 
procedures should meet the requirements specified in part 1230 of this 
chapter regarding the microfilming of permanent records.
    (d) The requester must agree to credit the National Archives or the 
particular Presidential Library having custody of the original 
documents. The credit must appear at the beginning of a microfilm 
publication and in any publicity material or descriptions of the 
publication.
    (1) If the original documents are Federal records, the requester 
must agree to include on the film this statement: ``The documents 
reproduced in this publication are among the records of the (name of 
agency) in the custody of the National Archives of the United States. No 
copyright is claimed in these official U.S. Government records.''
    (2) If the original documents are donated historical materials, the 
requester must agree to include on the film this statement: ``The 
documents reproduced in this publication are donated historical 
materials from (name of donor) in the custody of the (name of 
Presidential library or National Archives). The National Archives 
administers them in accordance with the requirements of the donor's deed 
of gift and the U.S. Copyright Law, Title 17, U.S.C.''.
    (e) If the person or organization producing the film plans to 
copyright the microfilm publication, the National Archives and Records 
Administration must be given a royalty-free worldwide license to sell 
the publication seven years after filming at the NARA facility is 
completed, or earlier if there is no commercial distributor.
[52 FR 20081, May 29, 1987; 52 FR 22415, June 11, 1987; 59 FR 29195, 
June 6, 1994]



Sec. 1254.94  Criteria for granting the requests.

    (a) NARA will evaluate the requests on the basis of the extent to 
which completion of a proposed project would further NARA's efforts to 
preserve and to make available to the public the historically valuable 
records of the Government.
    (b) NARA will approve only requests to microfilm a complete body of 
documents, such as an entire series or a major continous segment of a 
very large series which is reasonably divisible. Microfilming a complete 
body of documents means that all documents within the file unit(s) to be 
microfilmed will be consecutively copied, from the first to the last 
page, not skipping any pages in between except for pages that are exact 
duplicates or blank pages that are not included in a pagination scheme.
    (c) NARA will normally approve only requests which include 
assurances that the project will adhere to the specifications in part 
1230 of this chapter which concern microfilm stock standards, index 
placement, and microfilm processing for permanent records.
    (d) NARA will approve only requests which specify that NARA will 
receive a first generation silver halide duplicate negative containing 
no splices made from the original camera negative of the microform 
record created in accordance with part 1230 of this chapter.
    (1) NARA may use this duplicate negative microform to make duplicate 
preservation and reference copies. The copies may be made available for 
NARA and public use in NARA facilities and programs.
    (2) NARA may also sell copies of the microform seven years after 
filming at

[[Page 649]]

the NARA facility is completed, or earlier if there is no commerical 
distributor. NARA may choose to add its own editorial material to the 
microform copies which NARA distributes or sells.
    (e) NARA will not approve any request that does not include all of 
the information required by Sec. 1254.92.
    (f) NARA will normally not approve requests to microfilm documents:
    (1) Which have previously been microfilmed and made available to the 
public;
    (2) Which have been approved for microfilming by another party; or
    (3) Which NARA plans to film as a NARA microfilm publication or 
which relate closely to other documents previously microfilmed or 
approved for microfilming by NARA. Exceptions to this provision may be 
granted at the discretion of NARA.
    (g) NARA will normally not approve requests to microfilm the 
following categories of documents:
    (1) Documents which include documents with general or specific 
restrictions on access that preclude their reproduction;
    (2) Documents which include documents which are known to be 
protected by copyright;
    (3) Documents of high intrinsic value which may be handled only by 
authorized NARA personnel;
    (4) Documents in vulnerable physical condition;
    (5) Documents having a high research demand and which would have to 
be denied to others for an extended period of time during the 
microfilming process. Where possible, NARA will assist requesters in 
developing filming schedules that avoid the need to close documents for 
a lengthy period of time; and
    (6) Oversize documents, bound volumes, and other formats that would 
be subject to excessive stress and possible damage from special 
equipment planned to be used by the requester, as well as documents 
fastened with grommets, heavy duty staples, miscellaneous fasteners, or 
wafers and other adhesives that cannot be removed without tearing or 
breaking documents.
    (h) NARA will normally not approve requests from persons or 
organizations who have failed to produce usable microfilm or to honor 
commitments made in previous requests, or who have had a previous 
permission to microfilm documents rescinded because of their conduct.
    (i) NARA will not approve requests to microfilm documents in NARA 
facilities in which there is insufficient space available for private 
microfilming. NARA will not move documents from a facility lacking space 
for private microfilming to another NARA facility for that purpose.
    (j) Federal agencies microfilming records in support of the agency's 
mission may use the space set aside for private microfilming. Agency 
microfilming takes precedence over private microfilming when there is 
insufficient space to accommodate both at the same time.



Sec. 1254.96  Microfilm preparation.

    (a) As part of its evaluation of a request to microfilm documents, 
NARA will determine the amount of microfilm preparation that NARA must 
do before the documents can be microfilmed and the estimated cost of 
such preparation. The fees for microfilm preparation will be based on 
direct salary costs (including benefits) and supply costs when NARA 
staff performs the work. When the work is performed by a NARA 
contractor, the fees will be the cost to NARA. Microfilm preparation 
includes:
    (1) Verifying or correcting the arrangement of documents after 
withdrawn items are reviewed and refiled when appropriate;
    (2) Screening the documents for possible restrictions on use;
    (3) Declassifying security classified documents;
    (4) Removing document fasteners from documents when the fasteners 
can be removed without damage to the documents; and
    (5) Taking any document conservation actions that must be 
accomplished in order to film the documents, such as document flattening 
or mending.
    (b) NARA will provide the requester detailed information on the fees 
for microfilm preparation in the letter of approval. Payment of fees 
will be made in accordance with Sec. 1258.14 of this chapter. When a 
body of documents

[[Page 650]]

will require extensive microfilm preparation, a different payment 
schedule may be established at the discretion of NARA.
[52 FR 20081, May 29, 1987; 52 FR 22415, June 11, 1987; 59 FR 29195, 
June 6, 1994]



Sec. 1254.98  Equipment standards.

    (a) Equipment must be designed for the microfilming of documents in 
roll form or standard fiche form and be operable from a table top. Only 
planetary type camera equipment may be used. Automatic feed devices may 
not be used. Book cradles or other specialized equipment designed for 
use with bound volumes, oversized documents, or other formats will be 
approved by the Office of the National Archives on a case-by-case basis.
    (b) The power consumption of the equipment normally must not exceed 
1.2 kilowatts. Power normally available is 115 volts, 60 hz. Requests 
for electricity exceeding that normally available must be made at least 
90 days in advance.
    (c) Equipment having clamps or other devices to exert pressure upon 
or to affix the document to any surface in a way that might damage the 
document may not be used.
    (d) The equipment must not use a heat generating light source in 
close enough proximity to the documents to result in their physicial 
distortion or degradation. All sources of ultraviolet light must be 
filtered.
[52 FR 20081, May 29, 1987; 52 FR 22415, June 11, 1987]



Sec. 1254.100  Microfilming procedures.

    (a) Equipment used must conform to the equipment standards in 
Sec. 1254.98.
    (b) Documents must be handled in accordance with the training and 
instructions provided by NARA personnel so that documents are not 
damaged during copying and so that their original order is maintained. 
Only persons who have attended NARA training will be permitted to handle 
the documents or supervise microfilming operations. Training will be 
offered only in Washington, DC.
    (c) Documents from only one file unit may be microfilmed at a time.
    (d) Documents may not be left unattended on the copying equipment or 
elsewhere.
    (e) Under normal microfilming conditions, actual copying time per 
sheet must not exceed 30 seconds.
    (f) Any lights used with the camera must be turned off when the 
camera is not in actual operation.
    (g) Microfilm equipment may be operated only in the presence of the 
research room attendant or a designated NARA employee.
    (h) The equipment normally should be in use each working day that it 
is in a NARA facility. The director of the NARA facility (as defined in 
Sec. 1252.2 of this chapter) will decide when equipment must be removed 
because of lack of regular use. The equipment must be promptly removed 
upon request of the facility director.
    (i) NARA assumes no responsibility for loss or damage to microfilm 
equipment or supplies left unattended.
    (j) NARA will inspect the microform output at scheduled intervals 
during the project to verify that the processed film meets the microfilm 
preparation and filming standards required by part 1230 of this chapter. 
To enable NARA to properly inspect the film, NARA must receive the film 
within 5 days after it has been processed. The person or organization 
producing the microfilm will provide NARA with a silver halide duplicate 
negative of the filmed records (see Sec. 1254.94(d)) according to the 
schedule shown in (k). If the processed film does not meet the 
standards, NARA may require that the records be refilmed.
    (k) When 10,000 or fewer images are filmed, the person or 
organization producing the microfilm will provide NARA with a silver 
halide duplicate negative upon completion of the project. When the 
project involves more than 10,000 images, a silver halide duplicate 
negative of the first completed roll or segment of the project 
reproducing this image count will be provided to NARA for evaluation; 
subsequent completed segments of the project, in quantities 
approximating 100,000 or fewer images, will be provided to NARA within 
30 days after filming unless NARA approved other arrangements.

[[Page 651]]



Sec. 1254.102  Rescinding permission.

    NARA may, at any time, rescind permission to microfilm records:
    (a) If the person or organization fails to comply with the 
microfilming procedures in Sec. 1254.100;
    (b) If inspection of the processed microfilm reveals persistent 
problems with the quality of the filming or processing;
    (c) If the person or organization fails to proceed with the 
microfilming or project as indicated in the request, or
    (d) If the microfilming project is having an unanticipated adverse 
effect on the condition of the documents or the space set aside in the 
NARA facility for microfilming.



PART 1256--RESTRICTIONS ON THE USE OF RECORDS--Table of Contents




Sec.
1256.1  Scope of part.
1256.2  Restrictions on access.
1256.4  Access to records containing personal information.

                     Subpart A--General Restrictions

1256.10  National security information.
1256.12  Information exempted from disclosure by statute.
1256.14  Trade secrets and commercial or financial information.
1256.16  Information which would invade the privacy of an individual.
1256.18  Information related to law enforcement investigations.

                    Subpart B--Specific Restrictions

1256.40  Agency-imposed restrictions.

  Subpart C--Domestic Distribution of United States Information Agency 
         Materials in the National Archives of the United States

1256.50  Scope of subpart.
1256.52  Purpose.
1256.54  Definition.
1256.56  Transfer of USIA audiovisual records to NARA.
1256.58  Domestic distribution of USIA audiovisual records transferred 
          to NARA.
1256.60  Fees.

    Authority: 44 U.S.C. 2101-2118; 22 U.S.C. 1461(b).



Sec. 1256.1  Scope of part.

    This part contains material referred to in Sec. 1254.30.
[40 FR 56892, Dec. 5, 1975. Redesignated and amended at 50 FR 15723, 
15727, Apr. 19, 1985]



Sec. 1256.2  Restrictions on access.

    The use of some archives and donated historical materials 
transferred to the National Archives of the United States, especially 
those of recent date, is subject to restrictions prescribed in statute 
or Executive order, or restrictions specified by the donor or agency 
from which the records were transferred and imposed by the Archivist of 
the United States. Restrictions on access to particular records that 
have been specified by the donor or transferring agency are known as 
``specific restrictions.'' Restrictions on access that may apply to more 
than one record group are termed ``general restrictions,'' and apply to 
the kinds of information or classes of records designated, regardless of 
the record group to which such records have been allocated. Both 
specific and general restrictions have been published in the ``Guide to 
the National Archives of the United States.'' (See Sec. 1254.30.) 
Subparts A and B contain restrictions that have been added or revised 
since the publication of the latest edition of the Guide.
[40 FR 56892, Dec. 5, 1975. Redesignated at 50 FR 15723, Apr. 19, 1985]



Sec. 1256.4  Access to records containing personal information.

    (a) NARA policy. Access to archival records containing information 
access to which would invade the privacy of an individual is restricted 
by Sec. 1256.16.
    (1) NARA may authorize access to such records for the purpose of 
statistical or quantitative research to qualified persons doing 
biomedical research under the conditions outlined in this section.
    (2) If NARA is able to make a copy of such records with all personal 
identifiers masked or deleted, NARA will make such a ``sanitized'' copy 
of the record available to all researchers in accordance with part 1254 
of this chapter.
    (3) NARA will not grant access to restricted census and survey 
records of

[[Page 652]]

the Bureau of the Census less than 72 years old containing data 
identifying individuals enumerated in population censuses in accordance 
with 44 U.S.C. 2108(b).
    (4) NARA will not grant access contrary to a specific restriction to 
records which have specific restrictions on access imposed by the agency 
of origin in accordance with Sec. 1256.40.
    (b) Request for access. Researchers who wish to have access to 
records the use of which is restricted by Sec. 1256.16 to conduct 
biomedical research must submit a written request to the Assistant 
Archivist for the National Archives (NN), National Archives and Records 
Administration, Washington, DC 20408. OMB control number 3095-0002 has 
been assigned to this collection of information requirement. Researchers 
are encouraged to consult informally NARA prior to submitting the formal 
request. The request must include the following information:
    (1) Name and mailing address;
    (2) Institutional affiliation and position, if applicable;
    (3) List of published research;
    (4) References from two persons who have first-hand knowledge of the 
requester's qualifications to perform the research;
    (5) A statement of the nature of the research to be conducted and 
any plans for publication or presentation of the research findings;
    (6) A listing of all sources of great funds supporting the research 
project or its publication;
    (7) A statement of the methodology to be used;
    (8) A statement of the administrative, technical, and physical 
safeguards to be employed by the researcher to prevent unauthorized use 
or disclosure of the records;
    (9) A listing of the record groups and series titles to be used; and
    (10) A statement that the researcher will abide by the conditions of 
access to be prescribed by NARA and that the researcher will assume 
responsibility for the action of all persons working with the researcher 
on the project.
    (c) Access Review Committee. Requests made under paragraph (b) of 
this section will be reviewed by NARA's Access Review Committee, which 
is composed of the Deputy Archivist of the United States, the Assistant 
Archivist for the National Archives, and the director(s) of the NARA 
division(s) which has custody of the requested records. The Committee 
may consult other persons within and outside the Federal Government who 
are knowledgeable in the research field for assistance in evaluating a 
request.
    (1) The Committee will examine the request to determine:
    (i) Whether the requested information is of such a highly sensitive 
personal nature that disclosure should not be permitted even for 
biomedical statistical or quantitative research;
    (ii) Whether the methodology proposed by the requester will permit 
the researcher to obtain the projected research results without 
revealing personally identifying information;
    (iii) Whether the research results will be published or presented at 
an academic or research conference;
    (iv) Whether the requester is a bona-fide biomedical researcher who 
has previous experience in conducting statistical research projects and 
publishing articles or books on such research;
    (v) Whether the safeguards proposed by the requester will adequately 
protect the personal information; and
    (vi) Whether NARA has sufficient staff and space available to 
safeguard privacy interests necessary to accommodate the research 
project.
    (2) The decision of the Committee will be made in writing to the 
requester within 15 workdays after receipt of a completed request. At 
the discretion of the Committee, the researcher may meet with the 
Committee to discuss the project or to discuss revising the research 
proposal to meet possible objections of the Committee.
    (d) Conditions of access. Researchers who are granted access to 
restricted records, all others associated with the research project who 
will have access to personally identifiable information from the 
records, and the manager of any ADP facility handling the records or 
data elements containing personal identifiers shall agree in writing to 
maintain the confidentiality of the information and to adhere to the 
conditions of access imposed by NARA. NARA may impose some or all of the

[[Page 653]]

following conditions of access on any project; additional conditions may 
be imposed on the use of specific records or on specific projects:
    (1) The records may be used only for the purpose of the statistical 
research and for the statistical reporting of research findings as 
described in the approved research project. The records may not be used 
for any other purpose without NARA approval;
    (2) The records and copies of any data elements which permit the 
identification of an individual or which can be identified with an 
individual may not be transferred to any person or institution not 
directly involved with the approved research project;
    (3) Reasonable administrative, technical, and physical safeguards, 
as approved by NARA, to prevent unauthorized use or disclosure of the 
records shall be established by the researcher and followed by all 
persons associated with the research project;
    (4) When required by NARA, the records shall be consulted at the 
NARA facility where the records are located;
    (5) Any individually identifiable information in the researcher's 
notes or in authorized copies of the records shall be rendered anonymous 
by the researcher at the earliest possible time consistent with the 
purpose of the research project;
    (6) Persons who are identified in the records may not be contacted 
by or on behalf of the researcher;
    (7) Prior to publication or public presentation of the data, the 
final research product(s) shall be provided to the Assistant Archivist 
for the National Archives for review. NARA's review shall be limited to 
ensuring that there is no possible identification of individuals in the 
research findings. NARA will not evaluate the validity of the research 
findings;
    (8) All research notes containing personally identifiable 
information from privacy-restricted records and/or copies of such 
records shall, upon completion of the project, be destroyed or returned 
to NARA, whichever condition NARA has imposed as a condition of access. 
If the notes and/or copies are destroyed, the researcher shall verify in 
writing to the Assistant Archivist for the National Archives that the 
research notes and/or copies have been destroyed.
    (e) Noncompliance with conditions of access. If NARA discovers that 
a researcher has violated any of the conditions of access imposed by 
NARA, NARA shall take steps to revoke the NARA research privileges of 
that person and shall consult with the NARA legal counsel to determine 
any other steps to be taken to prevent any further disclosure of the 
personal information concerned. NARA may also inform the following 
persons and organizations of the researcher's failure to follow the 
conditions of use:
    (1) The institution with which the researcher is affiliated, if 
applicable;
    (2) Persons who served as references in the application for access;
    (3) Organizations which provided grant funds for the project;
    (4) The sponsor of the publication or public presentation; and/or
    (5) Appropriate professional organizations.
[53 FR 6821, Mar. 3, 1988]



                     Subpart A--General Restrictions



Sec. 1256.10  National security information.

    (a) Records. Records containing information regarding national 
defense or foreign policy and properly classified under an Executive 
order.
    (b) Restrictions. Such records may be disclosed only in accordance 
with the provisions of such Executive order and its implementing 
directive.
    (c) Imposed by. Archivist of the United States in accordance with 5 
U.S.C. 552 and 44 U.S.C. 2108.
[48 FR 6540, Feb. 14, 1983. Redesignated at 50 FR 15723, Apr. 19, 1985]



Sec. 1256.12  Information exempted from disclosure by statute.

    (a) Records. Records containing information which is specifically 
exempted from disclosure by statute.
    (b) Restrictions. Such records may be disclosed only in accordance 
with the provisions of 44 U.S.C. 2108.

[[Page 654]]

    (c) Imposed by. Archivist of the United States in accordance with 5 
U.S.C. 552 and 44 U.S.C. 2108.
[48 FR 6541, Feb. 14, 1983, as amended at 48 FR 45393, Oct. 5, 1983. 
Redesignated at 50 FR 15723, Apr. 19, 1985]



Sec. 1256.14  Trade secrets and commercial or financial information.

    (a) Records. Records not restricted by statute but which contain 
trade secrets and commercial or financial information submitted to the 
government with an expressed or implied understanding of 
confidentiality.
    (b) Restrictions. Such records may be disclosed only if:
    (1) The party that provided the information agrees to its release; 
or
    (2) In the judgment of the Archivist of the United States, the 
passage of time is such that release of the information would not result 
in substantial competitive harm.
    (c) Imposed by. Archivist of the United States in accordance with 5 
U.S.C. 552 and 44 U.S.C. 2108.
[48 FR 6541, Feb. 14, 1983. Redesignated at 50 FR 15723, Apr. 19, 1985]



Sec. 1256.16  Information which would invade the privacy of an individual.

    (a) Records. Records containing information about a living 
individual which reveal details of a highly personal nature that the 
individual could reasonably assert a claim to withhold from the public 
to avoid a clearly unwarranted invasion of privacy, including but not 
limited to information about the physical or mental health or the 
medical or psychiatric care or treatment of the individual, and that--
    (1) Contain personal information not known to have been previously 
made public, and
    (2) Relate to events less than 75 years old.
    (b) Restrictions. Such records may be disclosed only:
    (1) To those officers and employees of the agency that transferred 
the records to the National Archives who have a need for the record in 
the performance of their official duties;
    (2) To those officers and employees of the agency that originated 
the information in the records who have a need for the records in the 
performance of their official duties;
    (3) To researchers for the purpose of statistical or quantitative 
research when such researchers have provided the National Archives with 
adequate written assurance that the record will be used solely as a 
statistical research or reporting record and that no individually 
identifiable information will be disclosed; or
    (4) To the subject individual or his duly authorized representative 
(the individual requesting access will be required to furnish reasonable 
and appropriate identification). Access will not be granted, however, to 
records containing the following categories of information:
    (i) Investigatory material compiled for law enforcement purposes or 
for the purpose of determining suitability, eligibility, or 
qualifications for Federal civilian employment, military service, or 
Federal contracts if the identity of the source who furnished the 
information to the Government under an expressed or implied promise of 
confidentiality is revealed;
    (ii) Evaluation material used to determine potential for promotion 
in the armed services if the identity of the source who furnished the 
information to the government under an expressed or implied promise of 
confidentiality is revealed; and
    (iii) Security classified material.
    (c) Imposed by. Archivist of the United States in accordance with 5 
U.S.C. 552 and 44 U.S.C. 2108.
[48 FR 6541, Feb. 14, 1983. Redesignated at 50 FR 15723, Apr. 19, 1985]



Sec. 1256.18  Information related to law enforcement investigations.

    (a) Records. Records compiled for law enforcement purposes.
    (b) Restrictions. Such records may be disclosed only:
    (1) If the release of the information does not interfere with 
enforcement proceedings, and
    (2) If confidential sources and/or confidential information are not 
revealed, and
    (3) If the release of the information would not constitute an 
unwarranted invasion of personal privacy, and

[[Page 655]]

    (4) If confidential investigation techniques are not described, and
    (5) If the release of the information would not endanger the safety 
of law enforcement personnel, or
    (6) If, in the judgment of the Archivist of the United States the 
passage of time is such that:
    (i) The safety of persons is not endangered, and
    (ii) The public interest in disclosure outweighs the continued need 
for confidentiality.
    (c) Imposed by. Archivist of the United States in accordance with 5 
U.S.C. 552 and 44 U.S.C. 2108.
[48 FR 6541, Feb. 14, 1983, as amended at 48 FR 45393, Oct. 5, 1983. 
Redesignated at 50 FR 15723, Apr. 19, 1985]



                    Subpart B--Specific Restrictions



Sec. 1256.40  Agency-imposed restrictions.

    Some records in NARA legal custody are covered by restrictions 
imposed by the agency of origin that are in conformance with the Freedom 
of Information Act.
[50 FR 15727, Apr. 19, 1985]



  Subpart C--Domestic Distribution of United States Information Agency 
         Materials in the National Archives of the United States

    Source: 62 FR 31725, June 11, 1997, unless otherwise noted.



Sec. 1256.50  Scope of subpart.

    This subpart prescribes procedures governing the public availability 
of audiovisual records and other materials subject to 22 U.S.C. 1461(b) 
that have been transferred to the National Archives of the United States 
by the United States Information Agency (USIA).



Sec. 1256.52  Purpose.

    This subpart implements section 501 of the United States Information 
and Educational Exchange Act of 1948 (22 U.S.C. 1461), as amended by 
section 202 of Public Law 101-246 (104 Stat. 49, Feb. 16, 1990). This 
subpart prescribes procedures by which the public may inspect and obtain 
copies of USIA audiovisual records and other materials prepared for 
dissemination abroad that have been transferred to NARA for preservation 
and domestic distribution.



Sec. 1256.54  Definition.

    For the purposes of this subpart--Audiovisual records mean motion 
picture films, videotapes, and sound recordings, and other materials 
regardless of physical form or characteristics that were prepared for 
dissemination abroad.



Sec. 1256.56  Transfer of USIA audiovisual records to NARA.

    The provisions of 44 U.S.C. 2107 and 36 CFR part 1228 apply to the 
transfer of USIA audiovisual records to NARA, and to their deposit with 
the National Archives of the United States. At the time the audiovisual 
records are transferred to NARA, the Director of USIA, in accordance 
with Sec. 1228.184(e) of this chapter, will also transfer any production 
or title files bearing on the ownership of rights in the productions in 
connection with USIA's official overseas programming.



Sec. 1256.58  Domestic distribution of USIA audiovisual records transferred to NARA.

    No USIA audiovisual records in the National Archives of the United 
States that were prepared for dissemination abroad will be available for 
copying until it has been at least 12 years since such materials were 
first disseminated abroad, or, in the case of materials prepared for 
foreign dissemination but not disseminated abroad, until it has been at 
least 12 years since the preparation of the materials.
    (a) Access to USIA audiovisual records that neither have copyright 
protection nor contain copyright material. USIA audiovisual records 
prepared for dissemination abroad that NARA determines neither have 
copyright protection nor contain copyrighted material are available for 
examination and copying in accordance with the regulations set forth in 
parts 1252, 1253, 1254, 1256, and 1258 of this chapter. In determining 
whether materials have copyright protection or contain copyrighted 
material, NARA will rely on information

[[Page 656]]

contained within or affixed to individual records (e.g., copyright 
notices); information contained within relevant USIA production, title, 
or other files that have been transferred to NARA by USIA; information 
provided by requesters pursuant to paragraph (b)(2) of this section 
(e.g., evidence from the Copyright Office that copyright has lapsed or 
expired); and information provided by copyright or license holders.
    (b) Reproduction of USIA audiovisual records that either have 
copyright protection or contain copyrighted material.
    (1) USIA audiovisual records prepared for dissemination abroad that 
NARA determines may have copyright protection or may contain copyrighted 
material will be made available for examination in NARA research 
facilities in accordance with the regulations set forth in this Title.
    (2) Copies of USIA audiovisual records prepared for dissemination 
abroad that NARA determines may have copyright protection or may contain 
copyrighted material will be provided to persons seeking the release of 
such materials in the United States once NARA has:
    (i) Ensured, in accordance with paragraph (b)(3) of this section, 
that the persons seeking copies have secured and paid for necessary 
United States rights and licenses;
    (ii) Been provided with evidence from the Copyright Office 
sufficient to determine that copyright protection in the materials 
sought, or relevant portions therein, has lapsed or expired; or
    (iii) Received a requester's signed certification in accordance with 
paragraph (b)(4) of this section that the materials sought will be used 
only for purposes permitted by the Copyright Act of 1976, as amended, 
including the fair use provisions of 17 U.S.C. 107. No copies of USIA 
audiovisual records will be provided until the fees authorized under 
part 1258 of this chapter have been paid to NARA.
    (3) If NARA has determined that a USIA audiovisual record prepared 
for dissemination abroad may have copyright protection or may contain 
copyrighted material, persons seeking the release of such material in 
the United States may obtain copies of the material by submitting to 
NARA written evidence from all copyright and/or license owner(s) that 
any necessary fees have been paid or waived and any necessary licenses 
have been secured.
    (4) If NARA has determined that a USIA audiovisual record prepared 
for dissemination abroad may have copyright protection or may contain 
copyrighted material, persons seeking the release of such material in 
the United States may obtain copies of the material by submitting to 
NARA the following certification statement:

    I, (printed name of individual), certify that my use of the 
copyrighted portions of the (name or title and NARA identifier of work 
involved) provided to me by the National Archives and Records 
Administration (NARA), will be limited to private study, scholarship, or 
research purposes, or for other purposes permitted by the Copyright Act 
of 1976, as amended. I understand that I am solely responsible for the 
subsequent use of the copyrighted portions of the work identified above.

    (c) In every instance where a copy of an audiovisual record is 
provided under this subpart, and NARA has determined that the work being 
reproduced may have copyright protection or may contain copyrighted 
material, NARA shall provide a warning notice of copyright.
    (d) Nothing in this section shall limit NARA's ability to make 
copies of USIA audiovisual records for preservation, arrangement, repair 
and rehabilitation, description, exhibition, security, or reference 
purposes.



Sec. 1256.60  Fees.

    Copies or reproductions of audiovisual records will only be provided 
under this subpart upon payment of fees in accordance with 44 U.S.C. 
2116(c) and 22 U.S.C. 1461(b)(3).



PART 1258--FEES--Table of Contents




Sec.
1258.1  Authority.
1258.2  Applicability.
1258.4  Exclusions.
1258.6  Color reproductions.
1258.8  Copy negatives.
1258.10  Mail orders.
1258.12  Fee schedule.
1258.14  Payment of fees.
1258.16  Effective date.


[[Page 657]]


    Authority: 44 U.S.C. 2116(c).



Sec. 1258.1  Authority.

    44 U.S.C. 2116(c) authorizes the charging of a fee for making or 
authenticating copies or reproductions of materials transferred to the 
Archivist's custody. Under 44 U.S.C. 2307 the Chairman, National 
Archives Trust Fund Board, is authorized to prepare and publish special 
works and collections of sources and to prepare, duplicate, edit, and 
release historical photographic materials and sound recordings and sell 
those publications and releases at a price that will cover their cost, 
plus 10 percent.
[40 FR 7926, Feb. 24, 1975. Redesignated and amended at 50 FR 15723, 
15727, Apr. 19, 1985]



Sec. 1258.2  Applicability.

    (a) Except as otherwise provided in this section, fees for the 
reproduction of NARA archival records, donated historical materials, and 
records filed with the Office of the Federal Register are as set forth 
in Sec. 1258.12. Some reproduction services listed in Sec. 1258.12 may 
not be available at all NARA facilities.
    (b) The fees set forth in Sec. 1258.12 apply to reproduction of FRC 
records, except when NARA and the agency that transferred the records 
have agreed to apply that agency's fee schedule.
    (c) The following categories are excluded from the fees set forth in 
Sec. 1258.12.
    (1) National Archives Trust Fund Board publications, including 
microfilm publications. Prices are available from the Product Sales 
Section (NWPS), 700 Pennsylvania Ave., NW., Room G-9, Washington, DC 
20408.
    (2) [Reserved]
    (3) Motion picture, sound recording, and video holdings of the 
National Archives and Presidential libraries. Information on the 
availability of and prices for reproduction of these materials are 
available from the Motion Picture, Sound, and Video Branch (NWDNM), 8601 
Adelphi Rd., Room 3340, College Park, MD 20740-6001, or from the 
Presidential library which has such materials (see Sec. 1253.3 of this 
chapter for addresses).
    (4) Electronic records. Information on the availability of and 
prices for duplication are available from the Center for Electronic 
Records (NWRE), 8601 Adelphi Rd., Room 5320, College Park, MD 20740-
6001, or from the Presidential library which has such materials (see 
Sec. 1253.3 of this chapter for addresses).
    (5) Still photography, including aerial film, and oversize maps and 
drawings. Information on the availability and prices of reproductions of 
records held in the Still Pictures Branch (NWDNS) and the Cartographic 
and Architectural Branch (NWDNC), both located at the National Archives 
at College Park facility, 8601 Adelphi Rd., College Park, MD 20740-6001, 
and in the Presidential libraries and regional records services facility 
(see Secs. 1253.3 and 1253.7 of this chapter for addresses) should be 
obtained from the unit which has the original records.
    (6) Reproduction of the following types of records using the 
specified order form:
    (i) Military service files and pension files more than 75 years old 
(order form NATF Form 80). Reproduction of a military service file (or 
selected documents from the file if voluminous)--$10.
    (ii) Passenger arrival lists (order form NATF Form 81)--$10.
    (iii) Federal Census requests (order form NATF Form 82)--$6.
    (iv) Eastern Cherokee applications to the Court of Claims (order 
form NATF Form 83)--$10.
    (v) Land entry records (order form NATF Form 84)--$10.
    (7) Reproductions of NARA administrative records made in response to 
FOIA requests under part 1250 of this chapter. Fees for such 
reproductions are found in Sec. 1250.40 of this chapter.
    (8) Orders for expedited service (``rush'' orders) for reproduction 
of still pictures and motion picture and video recordings among the 
holdings of a Presidential library. Orders may be accepted on an 
expedited basis by the library when the library determines that 
sufficient personnel are available to handle such orders or that the 
NARA contractor making the reproduction can provide the service. Rush 
orders are subject to a surcharge to cover the additional cost of 
providing expedited service.

[[Page 658]]

    (9) Orders requiring additional expense to meet unusual customer 
specifications such as the use of special techniques to make a 
photographic copy more legible than the original document, or unusual 
format or background requirement for negative microfilm. Fees for these 
orders are computed for each order.
[40 FR 7928, Feb. 24, 1975, as amended at 49 FR 9726, Mar. 15, 1984; 49 
FR 42934, Oct. 25, 1984. Redesignated and amended at 50 FR 15723, 15727, 
Apr. 19, 1985; 52 FR 29521, Aug. 10, 1987; 53 FR 12151, Apr. 13, 1988; 
53 FR 23760, June 24, 1988; 56 FR 3776, Jan. 31, 1991; 57 FR 21743, May 
22, 1992; 60 FR 5580, Jan. 30, 1995; 62 FR 32203, June 13, 1997]



Sec. 1258.4  Exclusions.

    No fee is charged for reproduction or certification in the following 
instances:
    (a) Documents furnished to other elements of the Federal Government. 
However, a fee may be charged if the appropriate director determines 
that the service cannot be performed without reimbursement.
    (b) When NARA wishes to disseminate information about its activities 
to the general public through press, radio, television, and newsreel 
representatives;
    (c) When the reproduction is to furnish the donor of a document or 
other gift with a copy of the original;
    (d) When the reproduction is for individuals or associations having 
official voluntary or cooperative relations with NARA in its work;
    (e) When the reproduction is for a foreign, State, or local 
government or an international agency and furnishing it without charge 
is an appropriate courtesy;
    (f) For records center records only:
    (1) When furnishing the service free conforms to generally 
established business custom, such as furnishing personal reference data 
to prospective employers of former Government employees;
    (2) When the reproduction of not more than one copy of the document 
is required to obtain from the Government financial benefits to which 
the requesting person may be entitled (e.g., veterans or their 
dependents, employees with workmen's compensation claims, or persons 
insured by the Government);
    (3) When the reproduction of not more than one copy of a hearing or 
other formal proceeding involving security requirements for Federal 
employment is requested by a person directly concerned in the hearing or 
proceeding; and
    (4) When the reproduction of not more than one copy of a document is 
for a person who has been required to furnish a personal document to the 
Government (e.g., a birth certificate required to be given to an agency 
where the original cannot be returned to the individual).
[40 FR 7928, Feb. 24, 1975. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and amended at 50 FR 50905, Dec. 13, 1985; 57 FR 21743, May 22, 1992; 62 
FR 32203, June 13, 1997]



Sec. 1258.6  Color reproductions.

    Color reproductions are furnished to the public and the Government 
only on a fee basis.
[40 FR 7928, Feb. 24, 1975. Redesignated at 50 FR 15723, Apr. 19, 1985]



Sec. 1258.8  Copy negatives.

    Requests for photographs of materials for which no copy negative is 
on file are handled as follows:
    (a) The cost of the negative shall be charged to the customer; 
except in cases where NARA wishes to retain the negative for its own 
use.
    (b) When no fee is charged the negative becomes the property of 
NARA. When a fee is charged the negative becomes the property of the 
customer.
[40 FR 7928, Feb. 24, 1975. Redesignated at 50 FR 15723, Apr. 19, 1985]



Sec. 1258.10  Mail orders.

    (a) There is a minimum fee of $10 per order for reproductions which 
are sent by mail to the customer.
    (b) Orders to addresses in the United States are sent either first 
class or UPS depending on the weight of the order and availability of 
UPS service. When a customer requests special mailing services (such as 
Express Mail or registered mail) and/or shipment to a foreign address, 
the cost of the special service and/or additional postage for

[[Page 659]]

foreign mail is added to the cost of the reproductions.
[49 FR 9726, Mar. 15, 1984. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and amended at 56 FR 3777, Jan. 31, 1991; 62 FR 32203, June 13, 1997]



Sec. 1258.12  Fee schedule.

    (a) Certification: $10.
    (b) Electrostatic copying: (1) Paper-to-paper copies (up to and 
including 11 in. by 17 in.) made by the customer on a NARA self-service 
copier: $0.10 per copy.
    (2) Paper-to-paper copies (up to and including 11 in. by 17 in.) 
made by NARA staff:
    (i) At a Presidential library; at a regional records services 
facility; and, when ordered on a same-day ``cash and carry'' basis, at a 
Washington, DC, area facility: $0.50 per copy.
    (ii) All other orders placed at a Washington, DC, area facility: $10 
for the first 1-20 copies; $5 for each additional block of up to 20 
copies.
    (3) Oversized electrostatic copies (per linear foot): $2.50.
    (4) Electrostatic copies (22 in. by 34 in.): $2.50.
    (5) Microfilm or microfiche to paper copies made by the customer on 
a NARA self-service copier: $0.25.
    (6) Microfilm or microfiche to paper copies made by NARA staff: 
$1.75.
    (c) Microfilm. (1) Original negative microfilm (paper-to-microfilm): 
$10 for the first 1-15 images; $14 for each additional block of up to 20 
pages.
    (2) Direct duplicate copy of accessioned microfilm: $34.00 per roll.
    (3) Positive copy of accessioned microfilm: $34.00 per roll.
    (d) Diazo microfiche duplication (per fiche): $2.10.
    (e) Self-service video copying in the Motion Picture, Sound and 
Video Research Room: (1) Initial 90-min use of video copying station 
with 120-minute videocassette: $20.
    (2) Additional 90-minute use of video copying station with no 
videocassette: $14.
    (3) Blank 120-minute VHS videocassette: $6.
    (f) Self-service Polaroid prints: $9 per print.
    (g) Preservation of records. In order to preserve certain records 
which are in poor physical condition, NARA may restrict customers to 
microfilm copies instead of electrostatic copies.
    (h) Unlisted processes. Fees for reproduction processes not listed 
in Sec. 1258.12 are computed upon request.
[56 FR 3777, Jan. 31, 1991; 56 FR 5652, Feb. 12, 1991, as amended at 57 
FR 21743, May 22, 1992; 57 FR 46306, Oct. 8, 1992; 60 FR 5580, Jan. 30, 
1995; 62 FR 32204, June 13, 1997]



Sec. 1258.14  Payment of fees.

    Fees may be paid in cash, by check or money order made payable to 
the National Archives Trust Fund, or by selected credit cards. 
Remittances from outside the United States must be made by international 
money order payable in U.S. dollars or a check drawn on a U.S. bank. 
Fees must be paid in advance except when the appropriate director 
approves a request for handling them on an account receivable basis. 
Purchasers with special billing requirements must state them when 
placing orders and must complete any special forms for NARA approval in 
advance.
[57 FR 21743, May 22, 1992]



Sec. 1258.16  Effective date.

    The fees in Sec. 1258.12 are effective on July 14, 1997.
[62 FR 32204, June 13, 1997]

[[Page 660]]



                     SUBCHAPTER D--DECLASSIFICATION





PART 1260--DECLASSIFICATION OF AND PUBLIC ACCESS TO NATIONAL SECURITY INFORMATION--Table of Contents




Sec.
1260.1  Scope of part.
1260.2  Declassification responsibility.
1260.4  Agency liaison.

  Subpart A--Mandatory Review of Classified U.S. Government Originated 
 Information and Foreign Government Information Provided to the United 
                          States in Confidence

1260.10  NARA action.
1260.12  Agency action.

                          Subpart B--[Reserved]

 Subpart C--Mandatory Review of Classified Information Originated by a 
Defunct Agency or Received by a Defunct Agency From a Foreign Government

1260.30  NARA action.
1260.32  Agency action.

    Subpart D--Mandatory Review of Classified White House Originated 
Information and Foreign Government Information Received or Classified in 
                 the White House Less Than 30 Years Old

1260.40  Information subject to mandatory review.
1260.42  NARA action.
1260.44  NARA appellate process.
1260.46  Agency action.

 Subpart E--Mandatory Review of Classified White House Information More 
                            Than 30 Years Old

1260.50  Mandatory review of classified White House originated 
          information and foreign government information received by or 
          classified in the White House more than 30 years old.

                    Subpart F--Other Mandatory Review

1260.60  Mandatory review of classified White House information in the 
          custody of other agencies.

         Subpart G--Requests for Reclassification of Information

1260.70  Information originated by or under the declassification 
          jurisdiction of Federal agencies.
1260.72  Information originated in the White House and under the 
          declassification jurisdiction of the Archivist.
1260.74  Appeals.

    Authority: 44 U.S.C. 2104(a); Executive Order 12356 of April 2, 1982 
(3 CFR 1982 Comp., p. 166).

    Source: 49 FR 1344, Jan. 11. 1984, unless otherwise noted. 
Redesignated at 50 FR 15723, Apr. 19, 1985.



Sec. 1260.1  Scope of part.

    (a) Declassification of and public access to national security 
information and material (hereafter referred to as ``classified 
information'' or collectively termed ``information'') is governed by 
Executive Order 12356 of April 2, 1982 (47 FR 14874, 3 CFR 1982 Comp, p. 
166) and by the Information Security Oversight Office Directive Number 1 
of June 22, 1982 (47 FR 27836, June 25, 1982).
    (b) Documents declassified in accordance with this regulation may be 
withheld from release under the provisions of 5 U.S.C. 552(b) for 
accessioned agency records; 36 CFR 1254.36 for donated historical 
materials; 44 U.S.C. 2201 et seq. and 36 CFR part 1270 for Presidential 
records; and 44 U.S.C. 2111 note and 36 CFR part 1275 for Nixon 
Presidential materials. Procedures for public requests for mandatory 
review of classified information under Executive Order 12356 are found 
in Sec. 1254.46 of this chapter.
[57 FR 21744, May 22, 1992]



Sec. 1260.2  Declassification responsibility.

    (a) Classified U.S. Government originated information less than 30 
years old. Declassification of U.S. Government originated information 
less than 30 years old is the responsibility of the agency that 
originated the information.

[[Page 661]]

    (b) Foreign government information provided to the United States in 
confidence and less than 30 years old. Declassification of foreign 
government information (provided to the U.S. in confidence) less than 30 
years old, is the responsibility of the agency that initially received 
or classified the foreign government information in consultation with 
concerned agencies. NARA may make a declassification determination on 
foreign government information less than 30 years old only when the 
responsible agency has specifically authorized this action.
    (c) Classified U.S. Government originated information and foreign 
government information provided in confidence more than 30 years old. 
Systematic reviews of U.S. Government originated information and foreign 
government information (provided to the U.S. in confidence) more than 30 
years old (except for intelligence file series described in paragraph 
(d) of this section) accessioned into the National Archives or donated 
to the Government are the responsibility of NARA. NARA shall conduct 
systematic declassification reviews in accordance with guidelines 
provided by the head of the originating agency or, with respect to 
foreign government information, in accordance with guidelines provided 
by the head of the agency having declassification jurisdiction over the 
information. If no guidelines for review of foreign government 
information have been provided by the agency heads, the Director of the 
Information Security Oversight Office, after coordinating with the 
agencies having declassification authority over the information, shall 
issue general guidelines for systematic declassification reviews. With 
respect to the systematic reviews of Presidential papers or records, 
guidelines shall be developed by the Archivist of the United States and 
approved by the National Security Council.
    (d) Classified U.S. Government originated information concerning 
intelligence and cryptology. Systematic reviews of file series of 
accessioned records and presidential papers or records concerning 
intelligence activities (including special activities), or intelligence 
sources or methods, and cryptology created after 1945, shall be 
conducted as the records become 50 years old. NARA shall conduct 
systematic declassification reviews in accordance with guidlines 
provided by the Director of the Central Intelligence Agency concerning 
information on intelligence activities and intelligence sources and 
methods, and by the Secretary of Defense concerning cryptologic 
information.
    (e) White House information. Declassification of information from a 
previous administration which was originated by the President; by the 
White House staff; by committees, commission, or boards appointed by the 
President; or by others specifically providing advice and counsel to a 
President or acting on behalf of the President (hereinafter referred to 
as ``White House information'') is the responsibility of the Archivist 
of the United States. Declassification determinations will be made after 
consultation with agencies having primary subject matter interest and 
will be consistent with the provisions of applicable laws or lawful 
agreements.
    (f) Information orginated by a defunct agency. NARA is responsible 
for declassification of all information in the custody of NARA 
originated by an agency that has ceased to exist and whose functions 
have not been transferred to another agency and of all foreign 
government information originally received or classified by such an 
agency. NARA shall make declassification determinations after 
consultation with all agencies having primary subject matter interest.
[49 FR 1349, Jan. 11, 1984. Redesignated at 50 FR 15723, Apr. 19, 1985 
and 51 FR 22076, June 18, 1986. Further redesignated at 59 FR 29194, 
June 6, 1994]



Sec. 1260.4  Agency liaison.

    To ensure that NARA will be able to respond promptly to mandatory 
review requests and appeals from denials, the head of each agency shall 
be requested to provide NARA with the current name, title, and address 
of the agency's designated mandatory review and appellate authority.
[49 FR 1344, Jan. 11, 1984. Redesignated and amended at 50 FR 15723, 
15727, Apr. 19, 1985]

[[Page 662]]



  Subpart A--Mandatory Review of Classified U.S. Government Originated 
 Information and Foreign Government Information Provided to the United 
                          States in Confidence



Sec. 1260.10  NARA action.

    (a) Information less than 30 years old. NARA shall promptly 
acknowledge receipt of a request for mandatory review of classified U.S. 
Government originated information, and within 30 calendar days of 
receipt of the request, shall forward the request, with copies of the 
documents containing the requested information, to the agency that 
originated the information or to the agency that the Archivist 
determines has primary subject matter interest. With respect to foreign 
government information, the request and copies of the documents shall be 
forwarded to the agency which initially received or classified the 
information. If unable to identify that agency, NARA shall forward the 
request to the agency which has primary subject matter interest. NARA 
shall inform the requester that referrals have been made to the 
appropriate Government agency.
    (b) Information more than 30 years old. NARA shall acknowledge 
receipt of a request for mandatory review of classified U.S. Government 
originated information or foreign government information which NARA may 
review for declassification using systematic review guidelines, and 
within 60 days of receipt of the request shall act upon it and notify 
the requester of the action taken. If additional time is necessary to 
make a declassification determination, NARA shall notify the requester 
of the time needed to process the request. Except in unusual 
circumstances, NARA will make a final determination within 1 year of the 
receipt of the request. Information which NARA may not declassify using 
the systematic review guidelines will be promptly forwarded, with copies 
of the documents containing the requested information, to the 
responsible agency. NARA shall inform the requester that referrals have 
been made to the appropriate Government agency.
[51 FR 22076, June 18, 1986]



Sec. 1260.12  Agency action.

    Upon receipt of a request for mandatory review of classified U.S. 
Government originated information or foreign government information 
forwarded by NARA, the originating or responsible agency shall:
    (a) Either make a prompt declassification determination and notify 
NARA accordingly, or inform NARA of the additional time needed to 
process the request. NARA will inform the requester of the agency 
action. Except in unusual circumstances, agencies shall make a final 
determination within one year.
    (b) Notify NARA of any other agency to which it forwarded the 
request in those cases requiring the declassification determination of 
another agency.
    (c) Return to NARA a complete copy of each declassified document 
with the agency determination. NARA will forward the reproduction to the 
requester. When a request cannot be declassified in its entirety, the 
agency must also furnish NARA, for transmission to the requester, the 
following:
    (1) A brief statement of the reasons the requested information 
cannot be declassified; and
    (2) A statement of the requester's right to appeal within 60 
calendar days of receipt of the denial; the procedures for taking such 
action; and the name, title, and address of the appeal authority.
    (d) The agency appellate authority shall make a determination within 
30 working days following receipt of an appeal. If additional time is 
required to make a determination, the agency appellate authority shall 
notify NARA of the additional time needed and the reason for the 
extension. The agency appellate authority shall notify NARA in writing 
of the final determination and of the reasons for any denial. NARA will 
provide the researcher a copy of any notifications.
    (e) Furnish to NARA a complete copy of each document to be released 
only in part, clearly marked to indicate the portions which remain 
classified.
[49 FR 1344, Jan. 11, 1984. Redesignated at 50 FR 15723, Apr. 19, 1985, 
and amended at 51 FR 22077, June 18, 1986; 57 FR 21744, May 22, 1992]

[[Page 663]]



                          Subpart B [Reserved]



 Subpart C--Mandatory Review of Classified Information Originated by a 
Defunct Agency or Received by a Defunct Agency From a Foreign Government



Sec. 1260.30  NARA action.

    NARA is responsible for declassification of all information in the 
custody of NARA originated by an agency which has ceased to exist and 
whose functions have not been transferred to another agency and of all 
foreign government information originally received or classified by such 
an agency. NARA will promptly acknowledge receipt of requests for such 
information, review the information using applicable systematic review 
guidelines, and, when necessary, consult with any agency having primary 
subject matter interest. NARA shall either make a prompt 
declassification determination and notify the requester accordingly, or 
inform the requester of the additional time needed to process the 
request. Except in unusual circumstances NARA shall make a final 
determination within one year. If the request is denied in whole or in 
part, the Assistant Archivist for the National Archives or the Assistant 
Archivist for Presidential Libraries will furnish the requester a brief 
statement of the reasons for denial and a notice of the right to appeal 
the determination within 60 calendar days to the Deputy Archivist of the 
United States (mailing address: National Archives (ND), Washington, DC 
20408). Upon receipt of an appeal the Deputy Archivist shall, within 30 
working days:
    (a) Review the previous decision made to deny the information and, 
as necessary;
    (b) Consult with the appellate authorities in any agency having 
primary subject matter interest in the information previously denied; 
and
    (c) Notify the requester of the determination and make available to 
the requester any additional information that has been declassified as a 
result of the appeal.



Sec. 1260.32  Agency action.

    Upon receipt of a request forwarded by NARA for consultation 
regarding the declassification of information originated by a defunct 
agency or of foreign government information originally received or 
classified by a defunct agency, the agency with primary subject matter 
interest shall:
    (a) Advise the Archivist whether the information should be 
declassified in whole or in part or should continue to be exempt from 
declassification; and
    (b) Return the request to NARA along with a brief statement of the 
reasons any requested information should not be declassified.



    Subpart D--Mandatory Review of Classified White House Originated 
Information and Foreign Government Information Received or Classified in 
                 the White House Less Than 30 Years Old



Sec. 1260.40  Information subject to mandatory review.

    Information originated by a President, the White House staff, by 
committees, commissions, or boards appointed by a President, or others 
specifically providing advice and counsel to a President or acting on 
behalf of a President (hereafter cited as White House originated 
information) is subject to mandatory review consistent with the 
provisions of applicable laws or lawful agreements that pertain to the 
respective Presidential papers or records. Unless precluded by such laws 
or agreements, White House originated information is subject to 
mandatory review 10 years after the close of the administration which 
created the materials or when the materials have been archivally 
processed, whichever occurs first.
[49 FR 1344, Jan. 11, 1984. Redesignated and amended at 50 FR 15723, 
15728, Apr. 19, 1985



Sec. 1260.42  NARA action.

    (a) NARA shall promptly acknowledge receipt of a request for 
mandatory review of such classified White House originated information 
and foreign

[[Page 664]]

government information received or classified in the White House.
    (b) NARA will review the requested information, determine which 
agencies have primary subject matter interest, forward to those agencies 
copies of material containing the requested information, and request 
their recommendations regarding declassification.
    (c) NARA will review the recommendations returned by the agencies 
and make its declassification determination within one year of receipt 
of the request, except in unusual circumstances.
    (d) When the request cannot be declassified in its entirety, NARA 
will furnish the requester:
    (1) A brief statement of the reasons the requested information 
cannot be declassified;
    (2) Access to those portions of documents releasable only in part 
that constitute a coherent segment; and
    (3) A notice of the right to appeal the determination within 60 
calendar days to the Deputy Archivist of the United States (mailing 
address: National Archives (ND), Washington, DC 20408).



Sec. 1260.44  NARA appellate process.

    Upon receipt of an appeal, the Deputy Archivist shall within 30 
working days:
    (a) Review the decision made to deny the information;
    (b) Consult with the appellate authorities in agencies having 
primary subject matter interest in the information previously denied;
    (c) Notify the requester of the determination and make available to 
the requester any additional information which has been declassified as 
a result of the appeal; and
    (d) Notify the requester of the right to appeal denials of access to 
the Director, Information Security Oversight Office (mailing address: 
General Services Administration (Z), Washington, DC 20405).



Sec. 1260.46  Agency action.

    Upon receipt of a request forwarded by NARA for consultation 
regarding declassification of White House originated information and 
foreign government information received by or classified in the White 
House, the agency with primary subject matter interest shall:
    (a) Advise the Archivist whether the information should be 
declassified in whole or in part or should continue to be exempt from 
declassification; and
    (b) Provide a brief statement of the reasons any requested 
information should not be declassified and return a complete copy of the 
reproductions to NARA; and
    (c) Return all reproductions referred for consultation including a 
complete copy of each document which should be released only in part, 
clearly marked to indicate the portions which remain classified.
[49 FR 1344, Jan. 11, 1984, as amended at 57 FR 21744, May 22, 1992]



 Subpart E--Mandatory Review of Classified White House Information More 
                            Than 30 Years Old



Sec. 1260.50  Mandatory review of classified White House originated information and foreign government information received by or classified in the White House 
          more than 30 years old.

    (a) NARA shall promptly acknowledge the receipt of a request for 
mandatory review of classified White House originated information and 
foreign government information received by or classified in the White 
House more than 30 years old, and shall act upon that request within 60 
calendar days. If additional time is necessary to make a 
declassification determination, NARA shall notify the requester of the 
time needed to process the request. NARA will make a final determination 
within 1 year of the receipt of the request, except in unusual 
circumstances.
    (b) NARA shall review the information using applicable systematic 
review guidelines and will make available to the requester information 
declassified using those guidelines.
    (c) Information which cannot be declassified by NARA using 
systematic review guidelines will be promptly forwarded to the agencies 
with primary subject matter interest and further processed in accordance 
with Sec. 1260.42(b) through (d) and Secs. 1260.44 through 1260.46.

[[Page 665]]



                    Subpart F--Other Mandatory Review



Sec. 1260.60  Mandatory review of classified White House information in the custody of other agencies.

    Agencies having custody of classified White House information of a 
previous administration shall forward requests for mandatory review of 
such information to the Office of the National Archives (mailing 
address: National Archives (NND), Washington, DC 20408) together with 
copies of documents containing the requested information and the 
agency's recommendations regarding declassification. NARA will make a 
declassification determination on such requests after consulting with 
any other agency with primary subject matter interest and will reply to 
the requester. If the request is denied in whole or in part, the 
requester may appeal within 60 calendar days of receipt of the denial to 
the Deputy Archivist of the United States (mailing address: National 
Archives (ND), Washington, DC 20408). Appeals are processed in 
accordance to the procedures listed in Sec. 1260.44.



         Subpart G--Requests for Reclassification of Information



Sec. 1260.70  Information originated by or under the declassification jurisdiction of Federal agencies.

    An agency may request NARA to temporarily close, re-review, and 
possibly reclassify records and donated historical materials originated 
by the agency which were declassified in accordance with E.O. 12356 or 
predecessor Orders. The agency shall submit the request in writing to 
the Assistant Archivist for the National Archives (NN) or to the 
Assistant Archivist for Presidential Libraries (NL) (mailing address: 
National Archives (NL), Washington, DC 20408). If the urgency of the 
matter precludes a written request, an authorized agency official may 
make a preliminary request by telephone. A written request shall follow 
the oral request within 5 workdays. In the request the authorized agency 
official shall:
    (a) Identify the records or donated historical materials involved as 
specifically as possible;
    (b) Explain the reason the agency believes a re-review and possible 
reclassification may be necessary in the interest of national security; 
and
    (c) Provide any information the agency may have concerning any 
previous public disclosure of the information in the records or donated 
historical materials.



Sec. 1260.72  Information originated in the White House and under the declassification jurisdiction of the Archivist.

    Requests from agencies to re-review and possibly reclassify 
information originated by a President; the White House staff; committees 
commissions, or boards appointed by the President; or others 
specifically providing advice and counsel to a President or acting on 
behalf of a President and which has been declassified and disclosed 
shall be submitted in writing to the Archivist of the United States. In 
the request the authorized agency official shall:
    (a) Specifically identify the record or donated historical material;
    (b) Explain the reason the agency believes a re-review and possible 
reclassification may be necessary in the interest of national security; 
and
    (c) Provide any information the agency may have concerning the 
public disclosure of the information in the records or donated 
historical material.



Sec. 1260.74  Appeals.

    NARA may appeal to the Director, Information Security Oversight 
Office, any re-review or reclassification request from an agency when, 
in the Archivist's opinion, the facts of previous disclosure suggest 
that such action is unwarranted or unjustified.

[[Page 666]]



                   SUBCHAPTER E--PRESIDENTIAL RECORDS





PART 1270--PRESIDENTIAL RECORDS--Table of Contents




                      Subpart A--General Provisions

Sec.
1270.10  Scope of part.
1270.12  Application.
1270.14  Definitions.

         Subpart B--Actions Taken on Behalf of Former Presidents

1270.20  Designation of person or persons to act for former President.
1270.22  When Archivist may act for former President.

               Subpart C--Disposal of Presidential Records

1270.30  Disposal of Presidential Records by incumbent President.
1270.32  Disposal of Presidential Records in the custody of the 
          Archivist.

                Subpart D--Access to Presidential Records

1270.40  Identification of restricted records.
1270.42  Denial of access to public; right to appeal.
1270.44  Exceptions to restricted access.
1270.46  Notice of intent to disclose Presidential Records.

  Subpart E--Presidential Records Compiled for Law Enforcement Purposes

1270.50  Consultation with law enforcement agencies.

    Authority: The Presidential Records Act of 1978, Pub. L. 95-591, 92 
Stat. 2523-27, as amended by the National Archives and Records 
Administration Act of 1984, Pub. L. 98-497, sec. 107(b)(7), 98 Stat. 
2287 (1984) (codified at 44 U.S.C. 2201-07).

    Source: 53 FR 50404, Dec. 15, 1988, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 1270.10  Scope of part.

    These regulations implement the provisions of the Presidential 
Records Act of 1978, Pub. L. No. 95-591, 92 Stat. 2523-27, as amended by 
Pub. L. No. 98-497, sec. 107(b)(7), 98 Stat. 2287 (1984) (codified at 44 
U.S.C. 2201-07), by setting forth the policies and procedures governing 
preservation, protection, and disposal of, and access to Presidential 
and Vice-Presidential records created during a term of office of the 
President or Vice President beginning on or after January 20, 1981. 
Nothing in these regulations is intended to govern procedures for 
assertion of, or response to, any constitutionally based privilege which 
may be available to an incumbent or former President.



Sec. 1270.12  Application.

    (a) These regulations apply to all Presidential records created 
during a term of office of the President beginning on or after January 
20, 1981.
    (b) Vice-Presidential records shall be subject to the provisions of 
this part in the same manner as Presidential records. The Vice 
President's duties and responsibilities, with respect to Vice-
Presidential records, shall be the same as the President's duties and 
responsibilities with respect to Presidential records. The Archivist's 
authority with respect to Vice-Presidential records shall be the same as 
the Archivist's authority with respect to Presidential records, except 
that the Archivist may, when he determines it to be in the public 
interest, enter into an agreement with a non-Federal archival repository 
for the deposit of Vice-Presidential records.



Sec. 1270.14  Definitions.

    For the purposes of this part--
    (a) The terms documentary material, Presidential records, personal 
records, Archivist, and former President have the meanings given them by 
44 U.S.C. 2201 (1)-(5), respectively.
    (b) The term agency has the meaning given it by 5 U.S.C. 551(1) (A)-
(D) and 552(f).
    (c) The term Presidential archival depository has the meaning given 
it by 44 U.S.C. 2101(1).
    (d) The term Vice-Presidential records means documentary materials, 
or any reasonably segregable portion thereof, created or received by the 
Vice President, his immediate staff, or a unit or individual of the 
Office of the Vice President whose function is to advise and assist the 
Vice President, in the

[[Page 667]]

course of conducting activities which relate to or have an effect upon 
the carrying out of the constitutional, statutory, or other official or 
ceremonial duties of the Vice President. The term includes documentary 
materials of the kind included under the term Presidential records.
    (e) The term filed means the date something is received in the 
office of the official to whom it is addressed.



         Subpart B--Actions Taken on Behalf of Former Presidents



Sec. 1270.20  Designation of person or persons to act for former President.

    (a) A President or former President may designate some person or 
persons to exercise, upon death or disability of the President or former 
President, any or all of the discretion or authority granted to the 
President or former President by chapter 22 of title 44 U.S.C.
    (b) When a President or former President designates a person or 
persons to act for him pursuant to paragraph (a) of this section, this 
designation shall be effective only if the Archivist has received notice 
of the designation before the President or former President dies or is 
disabled.
    (c) The notice required by paragraph (b) of this section shall be in 
writing, and shall include the following information:
    (1) Name(s) of the person or persons designated to act for the 
President or former President;
    (2) The current addresses of the person or persons designated; and
    (3) The records, identified with reasonable specificity, over which 
the designee(s) will exercise discretion or authority.



Sec. 1270.22  When Archivist may act for former President.

    In those instances where a President has specified, in accordance 
with 44 U.S.C. 2204(a), restrictions on access to Presidential records, 
but has not made a designation under Sec. 1270.20 of this subpart, the 
Archivist shall, upon the death or disability of a President or former 
President, exercise the discretion or authority granted to a President 
or former President by 44 U.S.C. 2204.



               Subpart C--Disposal of Presidential Records



Sec. 1270.30  Disposal of Presidential records by incumbent President.

    A President may, while in office, dispose of any Presidential 
records which in his opinion lack administrative, historical, 
informational, or evidentiary value if one of the following two sets of 
requirements is satisfied:
    (a)(1) The President has obtained the written views of the Archivist 
concerning the proposed disposal; and
    (2) The Archivist states in his written views to the President that 
he does not intend to request, with respect to the President's proposed 
disposal of Presidential records, the advice of the Committees on Rules 
and Administration and Governmental Affairs of the Senate, and the 
Committees on House Administration and Government Operations of the 
House of Representatives because he does not consider--
    (i) The records proposed for disposal to be of special interest to 
the Congress; or
    (ii) Consultation with the Congress concerning the proposed disposal 
to be in the public interest; or
    (b)(1) The President has obtained the written views of the Archivist 
concerning the proposed disposal;
    (2) The Archivist states in his written views either--
    (i) That the records proposed for disposal may be of special 
interest to the Congress; or
    (ii) That consultation with the Congress concerning the proposed 
disposal is in the public interest; and
    (3) The President submits copies of the proposed disposal schedule 
to the Committees on Rules and Administration and Governmental Affairs 
of the Senate and the Committees on House Administration and Government 
Operations of the House of Representatives at least 60 calendar days of 
continuous session of Congress in advance of the proposed disposal date. 
For the purpose of this section, continuity of session is broken only by 
an adjournment of Congress sine die, and the days on which either House 
is not in session because of

[[Page 668]]

an adjournment of more than 3 days to a day certain are excluded in the 
computation of the days in which Congress is in continuous session.



Sec. 1270.32  Disposal of Presidential Records in the custody of the Archivist.

    (a) The Archivist may dispose of Presidential records which he has 
appraised and determined to have insufficient administrative, 
historical, informational, or evidentiary value to warrant their 
continued preservation.
    (b) When Presidential records are scheduled for disposal pursuant to 
paragraph (a) of this section, the Archivist shall publish a notice of 
this disposal in the Federal Register at least 60 days before the 
proposed disposal date.
    (c) The notice required by paragraph (b) of this section, shall 
include the following:
    (1) A reasonably specific description of the records scheduled for 
disposal; and
    (2) A concise statement of the reason for disposal of the records.
    (d) Publication in the Federal Register of the notice required by 
paragraph (b) of this section shall constitute a final agency action for 
purposes of review under chapter 7 of title 5 U.S.C. (5 U.S.C. 701-706).



                Subpart D--Access to Presidential Records



Sec. 1270.40  Identification of restricted records.

    (a) If a President, prior to the conclusion of his term of office or 
last consecutive term of office, as the case may be, specifies 
durations, not to exceed 12 years, for which access to certain 
information contained in Presidential records shall be restricted, in 
accordance with 44 U.S.C. 2204, the Archivist or his designee shall 
identify the Presidential records affected, or any reasonably segregable 
portion thereof, in consultation with that President or his designated 
representative(s).
    (b) The Archivist shall restrict public access to the information 
contained in those records identified as affected until--
    (1) The date on which the former President waives the restriction on 
disclosure of the record or information contained within;
    (2) The expiration of the period of restriction specified under 44 
U.S.C. 2204(a) for the category of information under which a certain 
record, or a portion thereof, was restricted; or
    (3) The Archivist has determined that the former President or an 
agent of the former President has placed in the public domain through 
publication a restricted record or a reasonably segregable portion 
thereof, if this date is earlier than either of the dates specified in 
paragraph (b)(1) or (2) of this section.



Sec. 1270.42  Denial of access to public; right to appeal.

    (a) Any person denied access to a Presidential record (hereinafter 
the requester) because of a determination that the record or a 
reasonably segregable portion thereof was (1) properly restricted under 
44 U.S.C. 2204(a), and (2) not placed in the public domain by the former 
President or his agent, may file an administrative appeal with the 
Assistant Archivist for Presidential Libraries (NL), Washington, DC 
20408.
    (b) Appeals shall be filed no later than 10 working days after the 
requester receives written notification that access to Presidential 
records has been denied.
    (c) Appeals shall be in writing and shall set forth the reason(s) 
why the requester believes access to the records sought should be 
allowed. The requester shall identify the specific records sought.
    (d) Upon receipt of an appeal, the Assistant Archivist for 
Presidential Libraries shall have 30 working days from the date an 
appeal is filed to consider the appeal and to respond in writing to the 
requester. The Assistant Archivist's response shall state whether or not 
the Presidential records requested are to be released and the basis for 
this determination. The decision of the Assistant Archivist to withhold 
release of Presidential records is final and not subject to judicial 
review.

[[Page 669]]



Sec. 1270.44  Exceptions to restricted access.

    (a) Notwithstanding any restrictions on access imposed pursuant to 
section 2204 or these regulations, and subject to any rights, defenses, 
or privileges which the United States or any agency or person may 
invoke, Presidential records shall be made available in the following 
instances:
    (1) Pursuant to subpoena or other judicial process properly issued 
by a court of competent jurisdiction for the purposes of any civil or 
criminal investigation or proceeding;
    (2) To an incumbent President if the records sought contain 
information which is needed for the conduct of current business of his 
office and is not otherwise available;
    (3) To either House of Congress, or, to the extent of matter within 
its jurisdiction, to a Congressional committee or subcommittee if the 
records sought contain information which is needed for the conduct of 
business within its jurisdiction and is not otherwise available.
    (b) Requests by an incumbent President, a House of Congress, or a 
Congressional committee or subcommittee pursuant to paragraph (a) of 
this section shall be addressed to the Archivist. All requests shall be 
in writing and, where practicable, identify the records sought with 
reasonable specificity.
    (c) Presidential records of a former President shall be available to 
the former President or his designated representative upon request.



Sec. 1270.46  Notice of intent to disclose Presidential records.

    (a) The Archivist or his designee shall notify a former President or 
his designated representative(s) before any Presidential records of his 
Administration are disclosed.
    (b)(1) The notice given by the Archivist or his designee shall:
    (i) Be in writing;
    (ii) Identify the particular records with reasonable specificity;
    (iii) State the reason for the disclosure; and
    (iv) Specify the date on which the record will be disclosed.
    (2) In the case of records to be disclosed in accordance with 
Sec. 1270.44, the notice shall also:
    (i) Identify the requester and the nature of the request;
    (ii) Specify whether the requested records contain materials to 
which access would otherwise be restricted pursuant to 44 U.S.C. 2204(a) 
and identify the category of restriction within which the record to be 
disclosed falls; and
    (iii) Specify the date of the request.
    (c) If, after receiving the notice required by paragraph (a) of this 
section, a former President raises rights or privileges which he 
believes should preclude the disclosure of a Presidential record, and 
the Archivist nevertheless determines that the record in question should 
be disclosed, in whole or in part, the Archivist shall notify the former 
President or his representative of this determination. The notice given 
by the Archivist or his designee shall:
    (1) Be in writing;
    (2) State the basis upon which the determination to disclose the 
record is made; and
    (3) Specify the date on which the record will be disclosed.
    (d) The Archivist shall not disclose any records covered by any 
notice required by paragraph (a) or (c) of this section for at least 30 
calendar days from receipt of the notice by the former President, unless 
a shorter time period is required by a demand for Presidential records 
under Sec. 1270.44.
    (e) Copies of all notices provided to former Presidents under this 
section shall be provided at the same time to the incumbent President.



  Subpart E--Presidential Records Compiled for Law Enforcement Purposes



Sec. 1270.50  Consultation with law enforcement agencies.

    (a) For the processing of Presidential records compiled for law 
enforcement purposes that may be subject to 5 U.S.C. 552(b)(7), the 
Archivist shall request specific guidance from the appropriate Federal 
agency on the proper treatment of a record if there is no general 
guidance applicable, if the record is particularly sensitive, or if

[[Page 670]]

the type of record or information is widespread throughout the files.
    (b) When specific agency guidance is requested under paragraph (a) 
of this section, the Archivist shall notify the appropriate Federal 
agency of the decision regarding disclosure of the specific documents. 
Notice shall include the following:
    (1) A description of the records in question;
    (2) Statements that the records described contain information 
compiled for law enforcement purposes and may be subject to the 
exemption provided by 5 U.S.C. 552(b)(7) for records of this type; and,
    (3) The name of a contact person at NARA.
    (c) Agency guidance under this section is not binding on the 
Archivist. The final determination on whether Presidential records may 
be subject to the exemption in 5 U.S.C. 552(b)(7) is the Archivist's 
responsibility.

[[Page 671]]



               SUBCHAPTER F--NIXON PRESIDENTIAL MATERIALS





PART 1275--PRESERVATION AND PROTECTION OF AND ACCESS TO THE PRESIDENTIAL HISTORICAL MATERIALS OF THE NIXON ADMINISTRATION--Table of Contents




Sec.
1275.1  Scope of part.

                      Subpart A--General Provisions

1275.10  Purpose.
1275.12  Application.
1275.14  Legal custody.
1275.16  Definitions.
1275.18  Requests or demands for access.

                 Subpart B--Preservation and Protection

1275.20  Responsibility.
1275.22  Security.
1275.24  Archival processing.
1275.26  Access procedures.
1275.28  Extraordinary authority during emergencies.

   Subpart C--Access to Materials by Former President Nixon, Federal 
            Agencies, and for Use in Any Judicial Proceeding

1275.30  Access by former President Nixon.
1275.32  Access by Federal agencies.
1275.34  Access for use in judicial proceedings.

                     Subpart D--Access by the Public

1275.40  Scope of subpart.
1275.42  Processing period; notice of proposed opening.
1275.44  Rights and privileges; right to a fair trial.
1275.46  Segregation and review; Senior Archival Panel; Presidential 
          Materials Review Board.
1275.48  Transfer of materials.
1275.50  Restriction of materials related to abuses of governmental 
          power.
1275.52  Restriction of materials of general historical significance 
          unrelated to abuses of governmental power.
1275.54  Periodic review of restrictions.
1275.56  Appeal of restrictions.
1275.58  Deletion of restricted portions.
1275.60  Requests for declassification.
1275.62  Reference room locations, hours, and rules.
1275.64  Reproduction of tape recordings of Presidential conversations.
1275.66  Reproduction and authentication of other materials.
1275.68  Amendment of regulations.
1275.70  Freedom of information requests.

Appendix A to Part 1275--Settlement Agreement

    Authority: Sec. 102(a) of the National Archives and Records 
Administration Act of 1984, Pub. L. 98-497; 44 U.S.C. 2104; and secs. 
103 and 104 of the Presidential Recordings and Materials Preservation 
Act 88 Stat. 1695; 44 U.S.C. 2111 note.

    Source: 51 FR 7230, Feb. 28, 1986, unless otherwise noted.



Sec. 1275.1  Scope of part.

    This part sets forth policies and procedures concerning the 
preservation and protection of and access to the tape recordings, 
papers, documents, memorandums, transcripts, and other objects and 
materials which constitute the Presidential historical materials of 
Richard M. Nixon, covering the period beginning January 20, 1969, and 
ending August 9, 1974.



                      Subpart A--General Provisions



Sec. 1275.10  Purpose.

    This part 1275 implements the provisions of title I of the 
Presidential Recordings and Materials Preservation Act (Pub. L. 93-526; 
88 Stat. 1695). It prescribes policies and procedures by which the 
National Archives and Records Administration will preserve, protect, and 
provide access to the Presidential historical materials of the Nixon 
Administration.



Sec. 1275.12  Application.

    This part 1275 applies to all of the Presidential historical 
materials of the Nixon Administration in the custody of the Archivist of 
the United States pursuant to the provisions of title I of the 
Presidential Recordings and Materials Preservation Act (Pub. L. 93-526; 
88 Stat. 1695).

[[Page 672]]



Sec. 1275.14  Legal custody.

    The Archivist of the United States has or will obtain exclusive 
legal custody and control of all Presidential historical materials of 
the Nixon Administration held pursuant to the provisions of title I of 
the Presidential Recordings and Materials Preservation Act (Pub. L. 93-
526; 88 Stat. 1695).



Sec. 1275.16  Definitions.

    For the purposes of this part 1275, the following terms have the 
meaning ascribed to them in this Sec. 1275.16.
    (a) Presidential historical materials. The term Presidential 
historical materials (also referred to as historical materials and 
materials) shall mean all papers, correspondence, documents, pamphlets, 
books, photographs, films, motion pictures, sound and video recordings, 
machine-readable media, plats, maps, models, pictures, works of art, and 
other objects or materials made or received by former President Richard 
M. Nixon or by members of his staff in connection with his 
constitutional or statutory powers or duties as President and retained 
or appropriate for retention as evidence of or information about these 
powers or duties. Included in this definition are materials relating to 
the political activities of former President Nixon or members of his 
staff, but only when those activities directly relate to or have a 
direct effect upon the carrying out of constitutional or statutory 
powers or duties. Excluded from this definition are documentary 
materials of any type that are determined to be the official records of 
an agency of the Government; private or personal materials; stocks of 
publications, processed documents, and stationery; and extra copies of 
documents produced only for convenience or reference when they are 
clearly so identified.
    (b) Private or personal materials. The term private or personal 
materials shall mean those papers and other documentary or commemorative 
materials in any physical form relating solely to a person's family or 
other non-governmental activities, including private political 
associations, and having no connection with his constitutional or 
statutory powers or duties as President or as a member of the 
President's staff.
    (c) Abuses of governmental power popularly identifed under the 
generic term ``Watergate.'' The term abuses of governmental power 
popularly identified under the generic term ``Watergate'' (also referred 
to as abuses of governmental power), shall mean those alleged acts, 
whether or not corroborated by judicial, administrative or legislative 
proceedings, which allegedly were conducted, directed or approved by 
Richard M. Nixon, his staff or persons associated with him in his 
constitutional or statutory functions as President, or as political 
activities directly relating to or having a direct effect upon those 
functions, and which--
    (1) Were within the purview of the charters of the Senate Select 
Committee on Presidential Campaign Activities or the Watergate Special 
Prosecution Force; or
    (2) Are circumscribed in the Articles of Impeachment adopted by the 
House Committee on the Judiciary and reported to the House of 
Representatives for consideration in House Report No. 93-1305.
    (d) General historical significance. The term general historical 
significance shall mean having administrative, legal, research or other 
historical value as evidence of or information about the constitutional 
or statutory powers or duties of the President, which an archivist has 
determined is of a quality sufficient to warrant the retention by the 
United States of materials so designated.
    (e) Archivist. The term Archivist shall mean the Archivist of the 
United States or his designated agent. The term archivist shall mean an 
employee of the National Archives and Records Administration who, by 
education or experience, is specially trained in archival science.
    (f) Agency. The term agency shall mean an executive department, 
military department, independent regulatory or nonregulatory agency, 
Government corporation, Government-controlled corporation, or other 
establishment in the executive branch of the Government including the 
Executive Office of the President. For purposes of Sec. 1275.32 only, 
the term agency shall also include the White House Office.

[[Page 673]]

    (g) Archival processing. The term archival processing may include 
the following general acts performed by archivists with respect to the 
Presidential historical materials: Shelving boxes of documents in 
chronological, alphabetical, numerical or other sequence; surveying and 
developing a location register and cross-index of the boxes; arranging 
materials; refoldering and reboxing the documents and affixing labels; 
producing finding aids such as folder title lists, scope and content 
notes, biographical data, and series descriptions; rewinding, 
duplicating and preserving the original tape recordings; enhancing the 
tape recordings on which the conversations are wholly or partially 
unintelligible so that extraneous noises may be filtered out; producing 
general subject matter logs of the tape recordings; reproducing and 
transcribing tape recordings; reviewing the materials to identify items 
that appear subject to restriction; identifying items in poor physical 
condition and assuring their preservation; identifying materials 
requiring further processing; and preparation for public access of all 
materials which are not subject to restriction.
    (h) Staff. The term staff shall mean those persons whose salaries 
were paid fully or partially from appropriations to the White House 
Office or Domestic Council, or who were detailed on a nonreimbursable 
basis to the White House Office or Domestic Council from any other 
Federal activity; or those pesons who otherwise were designated as 
assistants to the President, in connection with their service in that 
capacity; or any persons whose files were sent to the White House 
Central Files Unit or Special Files Unit, for purposes of those files.
    (i) National security classified information. The term national 
security classified information shall mean any matter which is security 
classified under existing law, and has been or should be designated as 
such.
[51 FR 7230, Feb. 28, 1986, as amended at 61 FR 17844, Apr. 23, 1996]



Sec. 1275.18  Requests or demands for access.

    Each agency which receives a request or legal demand for access to 
Presidential historical materials of the Nixon Administration shall 
immediately forward the request or demand to the Archivist of the United 
States, National Archives and Records Administration (NARA), Washington, 
DC 20408.



                 Subpart B--Preservation and Protection



Sec. 1275.20  Responsibility.

    The Archivist is responsible for the preservation and protection of 
the Nixon Presidential historical materials.
[61 FR 17845, Apr. 23, 1996]



Sec. 1275.22  Security.

    The Archivist is responsible for providing adequate security for the 
Presidential historical materials.



Sec. 1275.24  Archival processing.

    When authorized by the Archivist and until the commencement of 
archival processing in accordance with subpart D of this part, 
archivists may process the Presidential historical materials to the 
extent necessary for protecting and preserving the materials, and for 
providing authorized access to the materials pursuant to subpart C of 
this part.



Sec. 1275.26  Access procedures.

    (a) The Archivist will receive and/or prepare appropriate 
documentation of each access authorized under this part 1275.
    (b) Entry to the records storage areas will be provided by the 
Archivist only to archival, maintenance, security, or other necessary 
personnel or to Mr. Nixon or his agent. Two persons, at least one of 
whom represents the Archivist, will be present at all times that records 
storage areas are occupied.
    (c) The Archivist will determine that each individual having access 
to the Presidental historical materials has a security clearance 
equivalent to the highest degree of national security classification 
that may be applicable to any of the material examined.

[[Page 674]]

    (d) The Archivist will provide former President Nixon or his 
designated attorney or agent (hereinafter Mr. Nixon), prior notice of, 
and allow him to be present during, each search necessary to comply with 
an authorized access under Sec. 1275.32 or Sec. 1275.34.
    (e) Only NARA archivists shall conduct searches necessary to comply 
with authorized accesses under Secs. 1275.32 and 1275.34.
    (f) Prior to releasing Presidential historical materials in 
accordance with an access authorized under Sec. 1275.32 or Sec. 1275.34, 
the Archivist will give Mr. Nixon notice of the nature and identity of, 
and at his request allow him access to, those Presidential historical 
materials which the archivists have determined are covered by the 
subpoena, or other lawful process, or request. The notice will also 
inform Mr. Nixon that he may file a claim with the Archivist objecting 
to the release of all or portions of the described materials within 5 
workdays of his receiving the notice described herein. The claim should 
detail the alleged rights and privileges of Mr. Nixon which would be 
violated by the release of the materials. The Archivist will refrain 
from releasing any of the materials to the requester during this period, 
and while any claim of right or privilege is pending before him, will 
refrain from releasing the materials subject to the claim.
    (g) The Archivist will notify Mr. Nixon in writing of the 
administrative determination on any claims filed in accordance with 
paragraph (f) of this section. In the event the determination is wholly 
or partially adverse to the claim, the Archivist will refrain from 
releasing the materials to the requester for an additional 5 workdays 
from Mr. Nixon's receipt of the determination.
    (h) Whenever possible, a copy, which shall be certified upon 
request, instead of the original documentary Presidential historical 
materials shall be provided to comply with a subpoena or other lawful 
process or request. Whenever the original documentary material is 
removed, a certified copy of the material shall be inserted in the 
proper file until the return of the original.



Sec. 1275.28  Extraordinary authority during emergencies.

    In the event of an emergency that threatens the physical 
preservation of the Presidential historical materials or their environs, 
the Archivist will take such steps as may be necessary, including 
removal of the materials to temporary locations outside the metropolitan 
area of the District of Columbia, to preserve and protect the materials.



   Subpart C--Access to Materials by Former President Nixon, Federal 
            Agencies, and For Use in Any Judicial Proceeding



Sec. 1275.30  Access by former President Nixon.

    In accordance with the provisions of subpart B of this part, former 
President Richard M. Nixon or his designated agent shall at all times 
have access to Presidential historical materials in the custody and 
control of the Archivist.



Sec. 1275.32  Access by Federal agencies.

    In accordance with the provisions of subpart B of this part, any 
Federal agency or department in the executive branch shall have access 
for lawful Government use to the Presidential historical materials in 
the custody and control of the Archivist to the extent necessary for 
ongoing Government business. The Archivist will only consider written 
requests from heads of agencies or departments, deputy heads of agencies 
or departments, or heads of major organizational components or functions 
within agencies or departments.



Sec. 1275.34  Access for use in judicial proceedings.

    In accordance with the provisions of subpart B of this part, and 
subject to any rights, defenses, or privileges which the Federal 
Government or any person may invoke, the Presidential historical 
materials in the custody and control of the Archivist will be made 
available for use in any judicial proceeding and are subject to subpoena 
or other lawful process.

[[Page 675]]



                     Subpart D--Access by the Public



Sec. 1275.40  Scope of subpart.

    This subpart sets forth policies and procedures concerning public 
access to the Presidential historical materials of Richard M. Nixon.



Sec. 1275.42  Processing period; notice of proposed opening.

    (a)(1) The archivists will conduct archival processing of those 
materials other than tape recordings to prepare them for public access. 
In processing the materials, the archivists will give priority to 
segregating private or personal materials and transferring them to their 
proprietary or commemorative owner in accordance with Sec. 1275.48. In 
conducting such archival processing, the archivists will restrict 
portions of the materials pursuant to Secs. 1275.50 and 1275.52. All 
materials other than tape recordings to which reference is made in 
Sec. 1275.64 will be prepared for public access and released subject to 
restrictions or outstanding claims or petitions seeking such 
restrictions. The Archivist will open for public access each integral 
file segment of materials upon completion of archival processing of that 
segment.
    (2) The archivists will conduct archival processing of the tape 
recordings to prepare them for public access in accordance with the 
provisions set forth in the Settlement Agreement (see Appendix A to this 
part). In conducting the archival processing of the tape recordings, the 
archivists will restrict segments of the tape recordings pursuant to 
Secs. 1275.50 and 1275.52. The tape segments which consist of abuses of 
governmental power information, as defined in Sec. 1275.16(c), will be 
given priority processing by the archivists and will be prepared for 
public access and released following review and resolution of objections 
from the Nixon estate and other interested parties as set forth in the 
Settlement Agreement (see Appendix A to this Part). After the tape 
segments which consist of abuses of governmental power information have 
been released, the archivists will conduct archival processing of those 
tape recordings which were taped in the Cabinet Room, as set forth in 
the Settlement Agreement, Appendix A to this Part. Following release of 
the Cabinet Room tape recordings, the remaining tape recordings will be 
prepared for public access and released in five segments in accordance 
with the schedule set forth in the Settlement Agreement. In addition, 
NARA will identify and return any additional private or personal 
segments to the Nixon estate, at approximately the time that NARA 
proposes each segment for public release.
    (b) At least 30 calendar days prior to the opening to public access 
of any integral file segment of the materials, the Archivist will 
publish notice in the Federal Register of the proposed opening. The 
notice will reasonably identify the material to be opened and will 
include a reference to the right of any interested person to file a 
claim or petition in accordance with Sec. 1275.44. Copies of the notice 
will be sent to the incumbent President of the United States or his 
designated agent and by first-class mail to the last known address of: 
Mr. Nixon, or his designated agent or heirs; any former staff member 
reasonably identifiable as the individual responsible for creating or 
maintaining the file segment proposed to be opened; any individual named 
in the material which the Archivist may not restrict in accordance with 
Sec. 1275.50(b) because the material is essential to an understanding of 
any abuse of governmental power; and any persons named in the materials 
who are registered with the National Archives and Records Administration 
in accordance with paragraph (c) of this section.
    (c) The Archivist will maintain a registry which shall contain the 
names and mailing addresses of persons who wish to receive personal 
notice of the proposed opening of integral file segments of the 
materials when those segments contain references about them. To be 
included in the registry, a person must submit his/her name and mailing 
address to the National Archives and Records Administration (NLN), 
Washington, DC 20408. Both the envelope and letter should be prominently 
marked, ``Nixon Materials Registry.'' By submitting his/her name for 
inclusion in the registry, a person agrees to reimburse the United 
States for the cost of

[[Page 676]]

first-class postage for each instance of personal notice received.
[51 FR 7230, Feb. 28, 1986, as amended at 61 FR 17845, Apr. 23, 1996]



Sec. 1275.44  Rights and privileges; right to a fair trial.

    (a) Within 30 days following publication of the notice prescribed in 
Sec. 1275.42(b), any person claiming a legal or constitutional right or 
privilege which would prevent or limit public access to any of the 
materials shall notify the Archivist in writing of the claimed right or 
privilege and the specific materials to which it relates. Unless the 
claim states that particular materials are private or personal (see 
paragraph (d) of this section), the Archivist will notify the claimant 
by certified mail, return receipt requested, of his decision regarding 
public access to the pertinent materials. If that decision is adverse to 
the claimant, the Archivist will refrain from providing public access to 
the pertinent materials for at least 30 calendar days from receipt by 
the claimant of such notice.
    (b) Within 30 days following publication of the notice prescribed in 
Sec. 1275.42(b), officers of any Federal, State, or local court and 
other persons who believe that public access to any of the materials may 
jeopardize an individual's right to a fair and impartial trial should 
petition the Archivist setting forth the relevant circumstances that 
warrant withholding specified materials. The Archivist will notify the 
petitioner by certified mail, return receipt requested, of his decision 
regarding public access to the pertinent materials. If that decision is 
adverse to the petitioner, the Archivist will refrain from providing 
public access to the pertinent materials for at least 30 calendar days 
from receipt by the petitioner of such notice.
    (c) In reaching decisions required by paragraphs (a) and (b) of this 
section, the Archivist may consult with other appropriate Federal 
agencies. If these consultations require the transfer of copies of the 
materials to Federal officials in agencies other than the National 
Archives and Records Administration, the Archivist will transfer these 
copies in accordance with the procedures prescribed in Secs. 1275.26 and 
1275.32.
    (d) Within 30 days following publication of notice prescribed in 
Sec. 1275.42(b), any person claiming that materials proposed for public 
access are in fact private or personal, as defined in Sec. 1275.16(b), 
and that he or she is the proprietary or commemorative owner of those 
materials shall notify the Archivist in writing. The claim shall 
describe the specific materials to which it refers, and the claimant's 
basis for concluding that these materials are private or personal. Upon 
receipt of such a claim, the Archivist will transmit it to the 
Presidential Materials Review Board for its consideration and 
determination in accordance with Sec. 1275.46(i). The Archivist will 
refrain from providing public access to the pertinent materials or from 
returning them to the claimant for at least 30 calendar days from 
receipt by the claimant or any intervening parties of the Board's 
determination.
    (e)(1) In place of the right to make all other objections with 
respect to the tape segments that NARA has designated as abuses of 
governmental power materials, the Nixon estate may object to their 
release only on the ground that such designation by NARA is clearly 
inconsistent with the term ``abuses of governmental power'' as used in 
Sec. 104(a)(1) of the Presidential Recordings and Materials Preservation 
Act (PRMPA) and defined in Sec. 1275.16(c), as qualified by 
Sec. 1275.50(b). Any such objection may not be based on isolated 
instances of alleged failure by NARA to apply the appropriate review 
standard, but only on a pattern of misapplication of the requirements of 
the PRMPA and its implementing regulations. Further, any such objection 
must be accompanied by specific examples of alleged review errors and 
contain sufficient information to enable the review panel of three 
Presidential Library archivists appointed by the Archivist, as described 
in the Settlement Agreement, Appendix A to this Part, to locate those 
examples readily.
    (2) If an objection is made by the Nixon estate to the abuses of 
governmental power tape segments, the matter shall be immediately 
referred to a

[[Page 677]]

panel of three Presidential Library archivists appointed by the 
Archivist as set forth in the Settlement Agreement, Appendix A to this 
Part. The decision of the panel shall be either that the Nixon estate's 
objection is sustained or that it is rejected. The decision shall 
include a brief statement of the panel's reasons, but it need not 
include an item-by-item determination. In deciding whether the 
designation by NARA of the material proposed to be released is clearly 
inconsistent with the definition of ``abuses of governmental power'', 
the panel shall consider whether the release would seriously injure 
legitimate interests of identifiable individuals, whether the errors 
suggest a pattern of misinterpretation, and any other factor that bears 
on the issue of whether NARA's designation of material as relating to 
``abuses of governmental power'' was reasonable, considered as a whole. 
The panel's decision shall be final and binding on all parties to the 
Kutler litigation, and no party may exercise any right to appeal to any 
person, board, or court that might otherwise be available.
    (3) The Nixon estate may, at any time, elect to use the procedures 
outlined in paragraphs (e)(1) and (e)(2) of this section for the tape 
recordings other than the abuses of governmental power segments, except 
that the standard under which objections shall be made by the Nixon 
estate, and under which the review panel shall decide their merits, is 
whether the release taken as a whole is plainly inconsistent with the 
requirements of the Presidential Recordings and Materials Preservation 
Act of 1974 and these regulations. If the Nixon estate elects to use the 
procedures in paragraph 1 of the Settlement Agreement (Appendix A to 
this Part) in place of the provisions in paragraphs 4 (b) and (d) and 
5(c) of the Settlement Agreement for a tape segment, the estate cannot 
subsequently revert back to the formal objection process set forth in 
this section for that tape segment.
[51 FR 7230, Feb. 28, 1986; 51 FR 8671, Mar. 13, 1986, as amended at 61 
FR 17845, Apr. 23, 1996]



Sec. 1275.46  Segregation and review; Senior Archival Panel; Presidential Materials Review Board.

    (a) During the processing period described in Sec. 1275.42(a), the 
Archivist will assign archivists to segregate private or personal 
materials, as defined in Sec. 1275.16(b). The archivists shall have sole 
responsibility for the initial review and determination of private or 
personal materials. At all times when the archivists or other authorized 
officials have access to the materials in accordance with these 
regulations, they shall take all reasonable steps to minimize the degree 
of intrusion into private or personal materials. Except as provided in 
these regulations, the archivists or other authorized officials shall 
not disclose to any person private or personal or otherwise restricted 
information learned as a result of their activities under these 
regulations.
    (b) During the processing period described in Sec. 1275.42(a), the 
Archivist will assign archivists to segregate materials neither relating 
to abuses of governmental power, as defined in Sec. 1275.16(c), nor 
otherwise having general historical significance, as defined in 
Sec. 1275.16(d). The archivists shall have sole responsibility for the 
initial review and determination of those materials which are not 
related to abuses of governmental power and do not otherwise have 
general historical significance.
    (c) During the processing period described in Sec. 1275.42(a), the 
Archivist will assign archivists to segregate materials subject to 
restriction, as prescribed in Secs. 1275.50 and 1275.52. The archivists 
shall have sole responsibility for the initial review and determination 
of materials that should be restricted. The archivists shall insert a 
notification of withdrawal at the front of the file folder or container 
affected by the removal of restricted material. The notification shall 
include a brief description of the restricted material and the basis for 
the restriction as prescribed in Secs. 1275.50 and 1275.52.
    (d) If the archivists are unable to make a determination required in 
paragraphs (a), (b), or (c) of this section, or if the archivists 
conclude that

[[Page 678]]

the required determination raises significant issues involving 
interpretation of these regulations or will have far-reaching 
precedential value, the archivists shall submit the pertinent materials, 
or representative examples of them, to a panel of senior archivists 
selected by the Archivist. The Panel shall then have the sole 
responsibility for the initial determination required in paragraphs (a), 
(b), or (c) of this section.
    (e) If the Senior Archival Panel is unable to make a determination 
required in paragraph (d) of this section, or if the panel concludes 
that the required determination raises significant issues involving 
interpretation of these regulations or will have far-reaching 
precedential value, the Panel shall certify the matter and submit the 
pertinent materials, or representative examples of them, to the 
Presidential Materials Review Board.
    (f) The Presidential Materials Review Board (Board) shall consist of 
the Archivist, who shall serve as Chairman, and the following additional 
members:
    (1) The Assistant Archivist for the Office of the National Archives;
    (2) The Assistant Archivist for the Office of the Presidential 
Libraries;
    (3) The Director of the Legal Counsel Staff of the National Archives 
and Records Administration; and
    (4) The Historian of a Federal agency who shall be selected by the 
Archivist in his capacity as Chairman.

The Board shall meet at the call of the Chairman. Three members of the 
Board shall constitute a quorum for the conduct of the Board's business, 
although each member of the Board may participate in all of the Board's 
decisions. Members of the Board may be represented by their delegates on 
those occasions when they are unable to attend the meetings of the 
Board. The Board may consult with officials of interested Federal 
agencies in formulating its decisions. To the extent these consultations 
require the transfer of copies of materials to Federal officials outside 
the National Archives and Records Administration, the Board shall comply 
with the requirements of Secs. 1275.26 and 1275.32.
    (g) When the matter certified to the Board by the Senior Archival 
Panel involves a determination required in paragraphs (a) or (b) of this 
section, the Board shall prepare a final written decision, together with 
dissenting and concurring opinions, of the proper categorization and 
disposition of the pertinent materials. The Board's decision will be the 
final administrative determination.
    (h) When the matter certified to the Board by the Senior Archival 
Panel involves a determination required in paragraph (c) of this 
section, the Board shall recommend an initial determination to the 
Senior Archival Panel, which shall retain the sole responsibility for 
the initial determination.
    (i) When the Board considers a matter referred to it by the 
Archivist as provided in Sec. 1275.44(d), it shall follow these 
procedures:
    (1) The Board shall notify the claimant of its consideration of the 
claim, and invite the claimant to supplement at his discretion the basis 
for the claim.
    (2) The Board will publish notice in the Federal Register, advising 
the public of its consideration of the claim, and describing the 
materials in question as fully as reasonably possible without disclosing 
arguably private or personal information. The notice will further advise 
that any member of the public may petition the Board within 15 calendar 
days of the publication of notice, setting forth the intervenor's views 
concerning the public or private nature of the materials.
    (3) The Board shall take into account the positions maintained by 
the claimant and any intervenors in reaching its decision. The Board 
shall issue its decision, including dissenting and concurring opinions, 
no sooner than 20 days nor later than 60 days from the publication of 
notice in the Federal Register provided in paragraph (h)(2), of this 
section. The Board's decision shall be the final administrative 
determination. The Archivist will notify the claimant and any 
intervenors of the Board's decision by certified mail, return receipt 
requested, and shall refrain from acting upon that decision for 30 
calendar days as provided in Sec. 1275.44(d).
[51 FR 7230, Feb. 28, 1986, as amended at 61 FR 17845, Apr. 23, 1996]

[[Page 679]]



Sec. 1275.48  Transfer of materials.

    (a) The Archivist will transfer sole custody and use of those 
materials determined to be private or personal, or to be neither related 
to abuses of governmental power nor otherwise of general historical 
significance, to former President Nixon's estate, or, when appropriate 
and after notifying the Nixon estate, to the former staff member having 
primary proprietary or commemorative interest in the materials; however, 
no physical part of any original tape recording or a master preservation 
copy to which reference is made in Sec. 1275.64 shall be transferred to 
the heirs of former President. NARA will maintain the original tape 
recordings and a master preservation copy, including the private and 
personal segments, in a manner consistent with the PRMPA and these 
regulations and will restrict access to all private or personal material 
on the originals and the master preservation copy.
    (b) Materials determined to be neither related to abuses of 
governmental power nor otherwise of general historical significance, and 
transferred pursuant to paragraph (a) of this section, shall upon such 
transfer no longer be deemed Presidential historical materials as 
defined in Sec. 1275.16(a).
[51 FR 7230, Feb. 28, 1986, as amended at 61 FR 17845, Apr. 23, 1996]



Sec. 1275.50  Restriction of materials related to abuses of governmental power.

    (a) The Archivist will restrict access to materials determined 
during the processing period to relate to abuses of governmental power, 
as defined in Sec. 1275.16(c), when:
    (1) The Archivist, in accordance with Sec. 1275.44, is in the 
process of reviewing or has determined the validity of a claim by any 
person of a legal or constitutional right or privilege; or
    (2) The Archivist, in accordance with Sec. 1275.44, is in the 
process of reviewing or has determined the validity of a petition by any 
person of the need to protect an individual's right to a fair and 
impartial trial; or
    (3) The release of the materials would violate a Federal statute; or
    (4) The materials are authorized under criteria established by 
Executive order to be kept secret in the interest of national defense or 
foreign policy, provided that any question as to whether materials are 
in fact properly classified or are properly subject to classification 
shall be resolved in accordance with the applicable Executive order or 
as otherwise provided by law. However, the Archivist may waive this 
restriction when:
    (i)(A) The requester is engaged in a historical research project; or
    (B) The requester is a former Federal official who had been 
appointed by the President to a policymaking position and who seeks 
access only to those classified materials which he originated, reviewed, 
signed or received while in public office; and
    (ii) The requester has a security clearance equivalent to the 
highest degree of national security classification that may be 
applicable to any of the materials to be examined; and
    (iii) The Archivist has determined that the heads of agencies having 
subject matter interest in the material do not object to the granting of 
access to the materials; and
    (iv) The requester has signed a statement, which declares that the 
requester will not publish, disclose, or otherwise compromise the 
classified material to be examined and that the requester has been made 
aware of Federal criminal statutes which prohibit the compromise or 
disclosure of this information.
    (b) The Archivist will restrict access to any portion of materials 
determined to relate to abuses of governmental power when the release of 
those portions would constitute a clearly unwarranted invasion of 
personal privacy or constitute libel of a living person: Provided, That 
if material related to an abuse of governmental power refers to, 
involves or incorporates such personal information, the Archivist will 
make available such personal information, or portions thereof, if such 
personal information, or portions thereof, is essential to an 
understanding of the abuses of governmental power.

[[Page 680]]



Sec. 1275.52  Restriction of materials of general historical significance unrelated to abuses of governmental power.

    (a) The Archivist will restrict access to materials determined 
during the processing period to be of general historical significance, 
but not related to abuses of governmental power, under one or more of 
the circumstances specified in Sec. 1275.50(a).
    (b) The Archivist will restrict access to materials of general 
historical significance, but not related to abuses of governmental 
power, when the release of these materials would:
    (1) Disclose trade secrets and commercial or financial information 
obtained from a person and privileged or confidential; or
    (2) Constitute a clearly unwarranted invasion of personal privacy or 
constitute libel of a living person; or
    (3) Disclose investigatory materials compiled for law enforcement 
purposes, but only when the disclosure of such records would:
    (i) Interfere with enforcement proceedings;
    (ii) Deprive a person of a right to a fair trial or an impartial 
adjudication;
    (iii) Constitute an unwarranted invasion of personal privacy;
    (iv) Disclose the identity of a confidential source, and in the case 
of a record compiled by a criminal law enforcement authority in the 
course of a criminal investigation or by an agency conducting a lawful 
national security intelligence investigation, confidential information 
furnished only by the confidential source;
    (v) Disclose investigative techniques and procedures; or
    (vi) Endanger the life or physical safety of law enforcement 
personnel.



Sec. 1275.54  Periodic review of restrictions.

    The Archivist periodically will assign archivists to review 
materials placed under restriction by Sec. 1275.50 or Sec. 1275.52 and 
to make available for public access those materials which, with the 
passage of time or other circumstances, no longer require restriction. 
If the archivists are unable to determine whether certain materials 
should remain restricted, the archivists shall submit the pertinent 
materials, or representative examples of them, to the Senior Archival 
Panel described in Sec. 1275.44(d), which shall then have the 
responsibility for determining if the materials should remain 
restricted. The Senior Archival Panel may seek the recommendations of 
the Presidential Materials Review Board, in the manner prescribed in 
paragraph (e) and (h) of Sec. 1275.46, in making its determination. 
Before opening previously restricted materials, the Archivist will 
comply with the notice requirements of Sec. 1275.42(b).
[51 FR 7230, Feb. 28, 1986; 51 FR 8671, Mar. 13, 1986]



Sec. 1275.56  Appeal of restrictions.

    Upon petition of any researcher who claims in writing to the 
Archivist that the restriction of specified materials is inappropriate 
and should be removed, the archivists shall submit the pertinent 
materials, or representative examples of them, to the Presidential 
Materials Review Board described in Sec. 1275.46(f). The Board shall 
review the restricted materials, and consult with interested Federal 
agencies as necessary. To the extent these consultations require the 
transfer of copies of materials to Federal officials outside the 
National Archives and Records Administration, the Board shall comply 
with the requirements of Secs. 1275.26 and 1275.32. As necessary and 
practicable, the Board shall also seek the views of any person, 
including former President Nixon, whose rights or privileges might be 
adversely affected by a decision to open the materials. The Board shall 
prepare a final written decision, including dissenting and concurring 
opinions, as to the continued restriction of all or part of the 
pertinent materials. The Board's decision shall be the final 
administrative determination. The Archivist will notify the petitioner 
and other interested persons of the final administrative determination 
within 60 calendar days following receipt of such petition. If the 
Board's decision is to open previously restricted materials, the 
Archivist will comply with the notice requirements of Sec. 1275.42(b).
[51 FR 7230, Feb. 28, 1986, as amended at 61 FR 17846, Apr. 23, 1996]

[[Page 681]]



Sec. 1275.58  Deletion of restricted portions.

    The Archivist will provide a requester any reasonably segregable 
portions of otherwise restricted materials after the deletion of the 
portions which are restricted under this Sec. 1275.50 or Sec. 1275.52.



Sec. 1275.60  Requests for declassification.

    Challenges to the classification and requests for the 
declassification of national security classified materials shall be 
governed by the provisions of 36 CFR part 1254 of this chapter, as that 
may be amended from time to time.



Sec. 1275.62  Reference room locations, hours, and rules.

    The Archivist shall, from time to time, separately prescribe the 
precise location or locations where the materials shall be available for 
public reference, and the hours of operation and rules governing the 
conduct of researchers using such facilities. This information may be 
obtained by writing to: Office of Presidential Libraries (NL), The 
National Archives, Washington, DC 20408.



Sec. 1275.64  Reproduction of tape recordings of Presidential conversations.

    (a) To ensure the preservation of original tape recordings of 
conversations which were recorded or caused to be recorded by any 
officer or employee of the Federal Government and which:
    (1) Involve former President Richard M. Nixon or other individuals 
who, at the time of the conversation, were employed by the Federal 
Government; and
    (2) Were recorded in the White House or in the office of the 
President in the Executive Office Buildings located in Washington, DC; 
Camp David, MD; Key Biscayne, FL; or San Clemente, CA; and
    (3) Were recorded during the period beginning January 20, 1969, and 
ending August 9, 1974, the Archivist will produce duplicate copies of 
such tape recordings in his custody for public and official reference 
use. The original tape recordings shall not be available for public 
access.
    (b) Since the original tape recordings may contain information which 
is subject to restriction in accordance with Sec. 1275.50 or 
Sec. 1275.52, the archivists shall review the tapes and delete 
restricted portions from copies for public and official reference use.
    (c) Researchers may listen to reference copies of the tape 
recordings described in paragraph (a) of this section in a National 
Archives building in the Washington, DC area and at other reference 
locations established by the Archivist in accordance with Sec. 1275.62.
    (d) The reproduction for members of the public of the reference 
copies of the available tape recordings described in paragraph (a) of 
this section will be permitted as follows: Copies of tape recordings 
will be made available following the public release of the last of the 
tape segments contemplated in Sec. 1275.42(a). If the releases 
contemplated in Sec. 1275.42(a) are not completed by December 31, 1999, 
NARA will, beginning January 1, 2000, allow members of the public to 
obtain copies only of the abuses of governmental power tapes, together 
with any other tapes publicly released as of the effective date of the 
Settlement Agreement. If the releases contemplated in Sec. 1275.42(a) 
are not completed by December 31, 2002, NARA will, beginning January 1, 
2003, allow members of the public to obtain copies of all tapes that 
have been made available to the public by that date and tapes that 
subsequently become available as they are released. Such copying will be 
controlled by NARA or its designated contractor. The fees for the 
reproduction of the tape recordings under this section shall be those 
prescribed in the schedule set forth in part 1258 of this chapter or 
pertinent successor regulation, as that schedule is amended from time to 
time.
    (e) The Archivist shall produce and maintain a master preservation 
copy of the original tape recordings for preservation purposes.
[51 FR 7230, Feb. 28, 1986, as amended at 61 FR 17846, Apr. 23, 1996]



Sec. 1275.66  Reproduction and authentication of other materials.

    (a) Copying of materials other than tape recordings described in 
Sec. 1275.64 may be done by NARA, by a contractor designated by NARA, or 
by researchers using self-service copiers. Such self-

[[Page 682]]

service copying shall be done in accordance with the NARA policy on 
self-service copying set forth at 36 CFR 1254.71, to ensure that such 
copying will not harm the materials or disrupt reference activities.
    (b) The Archivist may authenticate and attest copies of materials 
when necessary for the purpose of the research.
    (c) The fees for reproduction and authentication of materials under 
this section shall be those prescribed in the schedule set forth in part 
1258 of this chapter or pertinent successor regulation, as that schedule 
is amended from time to time.
[51 FR 7230, Feb. 28, 1986, as amended at 61 FR 17846, Apr. 23, 1996]



Sec. 1275.68  Amendment of regulations.

    The Archivist may from time to time amend the regulations of this 
subpart D in accordance with the applicable law concerning such 
amendments.



Sec. 1275.70  Freedom of information requests.

    (a) The Archivist will process Freedom of Information Act requests 
for access to only those materials within the Presidential historical 
materials which are identifiable by an archivist as records of an agency 
as defined in Sec. 1275.16(f). The Archivist will process these requests 
in accordance with the Freedom of Information regulations set forth in 
Sec. 1254.30 of this chapter or pertinent successor regulations.
    (b) In order to allow NARA archivists to devote as much time and 
effort as possible to the processing of materials for general public 
access, the Archivist will not process those Freedom of Information 
requests where the requester can reasonably obtain the same materials 
through a request directed to an agency (as defined in Sec. 1275.16(f)), 
unless the requester demonstrates that he or she has unsuccessfully 
sought access from that agency or its successor in law or function.
[51 FR 7230, Feb. 28, 1986, as amended at 61 FR 17846, Apr. 23, 1996]

              Appendix A to Part 1275--Settlement Agreement

    Settlement Agreement filed April 12, 1996, in Stanley I. Kutler and 
Public Citizen v. John W. Carlin, Archivist of the United States, and 
William E. Griffin and John H. Taylor, Co-executors of Richard M. 
Nixon's Estate, Civil Action No. 92-0662-NHJ (D.D.C.) (Johnson, J.)

                          Settlement Agreement

    This Settlement Agreement (``Agreement'') is made by and entered 
into among plaintiffs Stanley I. Kutler and Public Citizen; defendant/
cross-claim defendant John W. Carlin, in his official capacity as 
Archivist of the United States; and defendant-intervenors/cross-
claimants John H. Taylor and William E. Griffin, co-executors of the 
estate of Richard M. Nixon (``the Nixon estate''), in the above-entitled 
action by and through the parties' undersigned attorneys.
    It is hereby agreed, by and among the parties, appearing through 
their undersigned attorneys, that this action is partially settled on 
the following terms:

                           Terms of Agreement

    1(a). As soon as practicable, the National Archives and Records 
Administration (``the Archives'') will publicly release the segments of 
tape recordings made during the Presidency of Richard M. Nixon (``tape 
recordings'' or ``tapes'') identified by the Archives as relating to 
``abuses of governmental power,'' as defined by 36 C.F.R. Part 1275, 
along with the corresponding portions of the tape log and any other 
finding aid. The date of that release, which is expected to be on or 
about November 15, 1996, shall be determined in the following manner.
    (b). No later than April 15, 1996, the Archives shall deliver to an 
agent of the Nixon estate a copy of the approximately 201 hours of 
abuses of governmental power tape segments that it proposes to release, 
together with the corresponding portions of the tape log and any other 
finding aid, for review by the Nixon estate to determine whether it 
intends to object to the release. The Archives agrees to provide a 
period of orientation to the designated Nixon estate agent with respect 
to the review of the abuses of governmental power tape segments and to 
be available to respond to questions thereafter.
    (c). In place of the right to make all other objections with respect 
to the tape recordings that the Archives has designated as abuses of 
governmental power materials, the Nixon estate agrees that it may object 
to their release only on the ground that such designation by the 
Archives is clearly inconsistent with the term ``abuses of governmental 
power'' as used in section 104(a)(1) of

[[Page 683]]

the Presidential Recordings and Materials Preservation Act of 1974 
(``the Act''), 44 U.S.C. Sec. 2111 note, and defined in 36 C.F.R. 
1275.16(c), as qualified by 36 C.F.R. 1275.50(b). Any such objection 
shall be in writing and may not be based on isolated instances of 
alleged failure by the Archives to apply the appropriate review 
standard, but only on a pattern of misapplication of the requirements of 
the Act and its implementing regulations. Further, any such objection 
must be accompanied by specific examples of alleged review errors and 
contain sufficient information to enable the review panel described in 
subparagraph 1(e) below to locate those examples readily. Nothing in 
this paragraph shall preclude the Nixon estate and the Archives from 
having informal discussions regarding the appropriate treatment of any 
of the abuses of governmental power tape segments.
    (d). The Nixon estate shall have until October 1, 1996, to submit 
any objection in accordance with subparagraph 1(c) above. If no such 
objection is filed, the Archives shall proceed to issue a notice of 
proposed release pursuant to 36 C.F.R. 1275.42 as soon as possible, but 
no later than October 15, 1996.
    (e). If an objection is made, the matter shall be immediately 
referred to a panel of the following three Presidential Library 
archivists: David Alsobrook, Frances Seeber, and Claudia Anderson. If 
any of these three persons is unable to serve, the Archivist shall 
appoint a substitute who is acceptable to the other parties.
    (f). The panel shall have such access to the tapes as it deems 
necessary to make its decision. The decision of the panel shall be 
either that the Nixon estate's objection is sustained or that it is 
rejected. The decision shall include a brief statement of the panel's 
reasons, but it need not include an item-by-item determination. In 
deciding whether the designation by the Archives of the material 
proposed to be released is clearly inconsistent with the definition of 
``abuses of governmental power,'' the panel shall consider whether the 
release would seriously injure legitimate interests of identifiable 
individuals, whether the errors suggest a pattern of misinterpretation, 
and any other factor that bears on the issue of whether the Archives' 
designation of material as relating to abuses of governmental power was 
reasonable, considered as a whole. The decision of the panel shall be 
made within sixty (60) days of the date of the objection. However, if 
the panel determines that exceptional circumstances interfere with its 
ability to meet this deadline, the panel shall have up to an additional 
sixty (60) days to make its decision. The Archives shall notify the 
other parties of the need for an extension and briefly describe the 
reasons therefor. The panel's decision shall be final and binding on all 
parties, and no party may exercise any right to appeal to any person, 
board, or court that might otherwise be available. Nothing contained in 
this Agreement shall preclude the panel from advising the Archives of 
any particular processing errors that it believes may have been made, 
but the Archivist shall make the final determination as to whether to 
accept such advice.
    (g). If the objection of the Nixon estate is sustained, the Archives 
shall re-review the tapes sufficiently to address the concerns raised by 
whatever aspect of the objection is sustained. At the conclusion of such 
re-review, the same process of review, first by the Nixon estate and 
then by the panel in the event of further objection, shall be repeated 
for those tape segments concerning the subject matter of the sustained 
objection prior to any release of tape recordings designated as relating 
to abuses of governmental power.
    (h). The Nixon estate agrees to inform the Archives and plaintiffs 
whether it intends to file objections as soon as it has made its 
decision. If there is an objection by the Nixon estate and it is 
overruled, the Federal Register notice shall be published within ten 
(10) days of the date of the panel's decision.
    (i). If, following the Federal Register notice, no objection by 
other individuals to a release is received within the time provided by 
law, the Archives shall release the tape recordings within ten (10) days 
after such time has expired. If objections are received, they shall be 
promptly considered by the Archives and shall be decided as soon 
thereafter as practical. Any materials as to which an objection to 
release has been timely filed shall not be released until such objection 
has been resolved pursuant to 36 C.F.R. 1275.44. All materials not 
objected to shall be released no later than thirty (30) days after the 
time for objections has expired, provided that the Archives may withhold 
any additional conversation to which no objection has been made, pending 
final resolution of an objection to another conversation, if (i) such 
additional conversation is in close proximity on the tapes to the 
objected-to conversation and it would be burdensome for the Archives to 
separate out the releasable and objected-to portions, or (ii) the 
subjects of the releasable and the objected-to conversations are closely 
related to one another and the Archives determines that it might be 
misleading or might unfairly prejudice a living individual to release 
only one conversation. Any release under this Agreement shall include 
the corresponding portions of the tape log and any other finding aid.
    (j). The Archives shall send to plaintiff Kutler, to arrive no later 
than the day that the release of the tapes occurs, a copy of the 
portions of the tape log and any other finding aid that correspond to 
the tapes being released. The Archives shall also make suitable 
arrangements for plaintiff Kutler to listen to such tapes on the date of 
their release,

[[Page 684]]

and/or on such other subsequent business days as plaintiff Kutler shall 
designate.
    2(a). Although the Agreement provides that the Archives will 
identify and return to the Nixon estate a copy of any private or 
personal materials identified on the tapes, the parties have been unable 
to reach agreement regarding the Archivist's retention and maintenance 
of the original tape recordings in their entirety, including those 
segments deemed to be private or personal, along with a master 
preservation copy. The government's position is that it is complying 
with the Act by retaining the original tapes and a master preservation 
copy, including those portions containing private or personal 
conversations. The Nixon estate's position, with which plaintiffs agree, 
is that the family has statutory, constitutional, and other rights that 
prevent the Archives from retaining private or personal materials, on 
both the original tapes and all copies.
    (b). The parties have agreed to litigate the issue described in 
subparagraph 2(a) above, including the validity of 36 C.F.R. 1275.48(a) 
and 1275.64(e) as proposed for amendment. The parties further agree that 
the Court shall retain jurisdiction of that issue, as provided in 
paragraph 14 below, and that the right to litigate this issue includes 
the right to seek review in the United States Court of Appeals for the 
District of Columbia Circuit and the United States Supreme Court. If 
there is litigation between the Nixon estate and the Archivist over the 
issue described in subparagraph 2(a) above, the plaintiffs shall support 
the Nixon estate in any such litigation by filing a brief supporting the 
estate's position in District Court. The parties agree to make all 
reasonable efforts to expedite resolution of this issue.
    (c). This Agreement and all discussions, negotiations and exchanges 
of information leading to it shall be entirely without prejudice to any 
positions the parties may take in the event of such litigation. Nothing 
in this Agreement, in any discussions leading to it, or in any 
information or materials exchanged by the parties as part of the 
mediation may be relied on or disclosed by any party to support or rebut 
the position of any party with respect to the treatment of private or 
personal materials on the original tapes. Nothing in this subparagraph 
prevents any party from expressing its understanding as to the meaning 
and effect of the legal position of another party.
    3. The Archives will provide to the Nixon estate any additional 
private or personal materials at approximately the time that the 
Archives proposes each segment identified in paragraphs 4 and 5 below 
for public release. Any additional copies of that material (other than 
on a master preservation copy, the status of which will be determined in 
accordance with the resolution of the issue as described in subparagraph 
2(a) above), will be destroyed by appropriate method, with appropriate 
means of verification.
    4(a). The second group of tapes to be processed for release is the 
approximately 278 hours recorded in the Cabinet Room. The projected date 
for publishing a notice of proposed opening of tapes in that group is 
August 1, 1997. The Archives will make the Cabinet Room tapes proposed 
for release available to the Nixon estate in no fewer than four (4) 
segments. The process by which those tapes will be reviewed by the Nixon 
estate, and the objections handled by the Archives, is set forth in the 
following subparagraphs of this paragraph 4.
    (b). The Nixon estate agrees to review each segment as it is 
received and promptly to call to the attention of the Archives any 
concerns that it may have. The Archives and the Nixon estate agree to 
attempt to work out their differences informally in order to minimize 
any objections to a proposed release. To facilitate informal 
consultation between the Nixon estate and the Archives concerning the 
tape review, the Archivist shall designate a panel member identified in 
subparagraph 1(e) above who will serve as a contact with the Nixon 
estate and assure access to information relating to Presidential 
libraries practices and procedures that may arise in the course of the 
tape review. The designated individual will be responsible for assuring 
that the Nixon estate has access to the appropriate person to answer its 
concerns. The Nixon estate may communicate with the designated 
individual orally or in writing. If the Archives agrees with the Nixon 
estate that any portion of a segment that has been sent to the Nixon 
estate as a proposed release should not be released, the Archives shall 
assure that there is appropriate documentation to reflect that change.
    (c). The Nixon estate will have a period of at least six (6) months 
in which to review all of the Cabinet Room tapes, beginning on the date 
the Archives makes the first installment of such tapes available to the 
estate for review (but in no event will the six (6) months begin earlier 
than November 15, 1996). During the review of the Cabinet Room tapes, 
the Nixon estate will employ an agent or agents who will spend an 
average of at least thirty two (32) hours a week (total) in actual 
review of the tapes. The Nixon estate may request from the Archives an 
extension of the six-month review period, which the Archives shall grant 
if good cause is shown.
    (d). If, during its review, the Nixon estate becomes aware that 
there are materials proposed for release that it believes should not be 
heard even by individuals on the registry list, it will promptly advise 
the Archives of any such materials so that they can be reviewed and/or 
segregated by the Archives before any other individual is permitted to 
listen to them. The Nixon estate will cooperate

[[Page 685]]

with the Archives so that the required Federal Register notice is 
published as soon as possible, but in no event shall such notice be 
provided later than ten (10) days after the time the Nixon estate 
completes its review. Final objections from the Nixon estate to the 
release of portions of the tapes shall be filed in accordance with 36 
C.F.R. Part 1275 no later than the date for filing objections by other 
persons. Thereafter, subject to paragraph 7 below, the provisions of 
subparagraphs 1(i) and 1(j) above will apply.
    5(a). The remaining tapes, consisting of approximately 2338 hours, 
shall be processed for release in five (5) segments. Because the precise 
number of hours of tapes for each month cannot readily be determined, 
the parties have agreed to divide the releases into the segments set 
forth below. The Archives will begin processing (which includes, but is 
not limited to, tape review, preparing tapes for declassification 
review, tape editing and production of finding aids) each segment before 
processing of the preceding segment is concluded. Processing of the 
tapes in each segment is projected to take from about fifteen (15) to 
about twenty three (23) months. The approximate number of hours of tapes 
to be reviewed in each segment is set forth in parentheses in the 
following listing of the segments. The projected number of months 
between the completion of the Archives' processing of the immediately 
preceding segment and the completion of the Archives' processing of each 
listed segment is set forth in brackets.

1. February 1971-July 1971 (437 hours) [8 months]
2. August 1971-December 1971 (405 hours) [7 months]
3. January 1972-June 1972 (440 hours) [7 months]
4. July 1972-October 1972 (410 hours) [6 months]
5. November 1972-July 1973 (646 hours) [10 months]

    (b). The time estimates in this Agreement are not enforceable as 
such, but the parties agree to have the Court retain jurisdiction to 
consider requests that it enter a binding order setting a schedule for 
the Archives to complete the processing of the tapes. No party may seek 
such an order unless that party first provides twenty (20) days' written 
notice to the other parties of that party's intention to seek such an 
order. Further, no party may seek such an order except on the ground 
that the Archives has unreasonably failed to meet the estimates 
contained herein by a substantial amount. The type of proof that will 
demonstrate reasonableness on the part of the Archives in this regard 
may include, but will not necessarily be limited to, a showing that the 
Archives is reasonably allocating its resources among its various 
programs and activities in the event that it experiences a shortage of 
resources, including any occasioned by court order.
    (c). Portions of each segment processed by the Archives shall be 
provided to the Nixon estate when the processing of each month of tape 
recorded material is completed, unless there are a very few hours for 
two (2) or more months, which may then be combined into a single unit. 
During its review of the chronological tape segments, the Nixon estate 
will employ an agent or agents who will spend an average of at least 
thirty two (32) hours a week (total) in actual review of the tapes, 
forty eight (48) weeks of the year. As its review of the tapes proceeds, 
the Nixon estate shall provide a written report of its progress to the 
Archives and the plaintiffs on a bimonthly basis. The report shall 
include the number of hours worked in each week, the number of hours of 
tapes reviewed in each week, and the Nixon estate's projected completion 
date for review of the segment currently under review. The provisions of 
subparagraphs 4(b) and 4(d) above shall apply to the review, objections, 
and releases with respect to the chronological tape segments, subject to 
paragraph 7 below.
    (d). If one of the other parties to this Agreement determines that 
the Nixon estate's review is not being conducted diligently or in good 
faith, or that the estate's estimated completion date(s) of one or more 
segments is unreasonable, that party may petition the Archivist to 
establish an earlier date(s) for the completion of the review of that 
segment and/or of future segments. Any such date(s) established by the 
Archivist shall provide the Nixon estate with a reasonable opportunity 
to protect and assert its interests without unduly delaying the release 
of the tapes, and shall be based upon consideration of the progress of 
the Archives' review and its scheduled completion date(s); the progress 
to date of the estate's review; and the time reasonably necessary to 
complete the estate's review and to formulate and present any 
objections. The Archives may also propose earlier dates for the 
completion of the review by the Nixon estate on the basis provided for 
in this subparagraph. If a proposal for an earlier date is made, the 
Nixon estate will have a reasonable opportunity to respond.
    6. Once the Archives has completed processing the approximately 2338 
hours of tapes discussed in paragraph 5 above, and has made 
corresponding releases, the Archives shall identify any additional 
copies of partial tape segments in its possession. If the Archives 
determines that some or all of such additional partial tape segments are 
duplicative of any tape recordings that it has already processed, the 
Archives may dispose of the duplicative tape segments, following 
notification to the parties, subject to paragraph 3 above. To the extent 
that such partial tape

[[Page 686]]

segments are not duplicative of the tape recordings already processed, 
the Archives shall promptly process such non-duplicative portions and 
shall treat any portions determined to be private or personal 
consistently with the resolution of the issue to be litigated as 
described in paragraph 2 above.
    7(a). After completion of the procedures described in paragraph 4 
above, the Cabinet Room tapes that are found to be releasable under 
paragraph 4 above may be released if either there has been a final 
decision by the district court on the issue to be litigated as described 
in subparagraph 2(a) above, or the release is scheduled after April 1, 
1998, whichever of these two events happens sooner.
    (b). After completion of the procedures described in paragraph 5 
above, the tapes described in paragraph 5(a) above that are found to be 
releasable may be released if either there has been a final judgment by 
the district court, which is not subject to further review by appeal or 
certiorari, with regard to the issue to be litigated as described in 
subparagraph 2(a) above, or there has been a final decision by the 
United States Court of Appeals for the District of Columbia Circuit on 
this issue, or the release is scheduled to take place after November 1, 
1999, whichever of these three events happens sooner.
    (c). As used in subparagraphs 7(a) and (b) above, the term ``final 
decision'' means a decision not subject to reconsideration under Rule 59 
of the Federal Rules of Civil Procedure, or Rules 35 or 40 of the 
Federal Rules of Appellate Procedure, respectively.
    8. The Nixon estate may, at any time, elect to use the procedures in 
paragraph 1 above with respect to any tape segment in place of the 
provisions of paragraphs 4(b) and (d) and 5(c) above, with the following 
substitution: The standard under which objections shall be made, and 
under which the panel shall decide their merits, is whether the release 
taken as a whole is plainly inconsistent with the requirements of the 
Act and its implementing regulations. Provided, however, that once the 
Nixon estate elects to use the procedures in paragraph 1 above in place 
of the provisions in paragraphs 4(b) and (d) and 5(c) above, it cannot 
subsequently revert back to the formal objection process set forth in 36 
C.F.R. Part 1275 for that tape segment.
    9. Within thirty (30) days of the Court's entry of an order as 
described in paragraph 14 below, the Archivist shall designate a 
particular person who shall be responsible for responding to reasonable 
inquiries from the plaintiffs on the status of the releases and 
objections. Such designation may be changed at any time at the 
Archivist's discretion by a notice to plaintiffs through their counsel.
    10. If the Archives appoints a Senior Archival Panel as defined in 
36 C.F.R. 1275.46(d) and (e), no party to the Agreement may object to 
the appointment of such a panel on the ground that the suggestion to 
appoint such a panel was originated by an individual other than the 
processing archivists assigned to the Archives' Nixon Presidential 
Materials Staff.
    11. The Archives will allow members of the public to obtain copies 
of publicly accessible portions of the tapes after the releases 
described in paragraph 5 above, are completed; provided, however, that 
if the releases described in paragraph 5 above are not completed by 
December 31, 1999, the Archives will allow members of the public to 
obtain copies only of the abuses of governmental power tapes, together 
with any other tapes publicly released as of the date of the filing of 
this Agreement with the Court, beginning January 1, 2000. Further 
provided, that if the releases described in paragraph 5 above are not 
completed by December 31, 2002, the Archives will, beginning January 1, 
2003, allow members of the public to obtain copies of all tapes that 
have been made available to the public by that date and tapes that 
subsequently become available, as they are released.
    12(a). Promptly after the Court enters the Order provided for in 
paragraph 14 below, plaintiff Kutler will withdraw his request under the 
Freedom of Information Act, 5 U.S.C. 552, for any and all tape logs and 
other finding aids, which is pending in Kutler v. Carlin, et al., Civ. 
A. No. 92-0661-NHJ (D.D.C.). In all other respects, plaintiff Kutler's 
request in that action shall be unaffected by this Agreement.
    (b). Nothing in this Agreement shall affect the processing by the 
Archives of any dictabelts, which are a collection of recordings of 
former President Nixon and other White House staff members dictating 
memoranda, correspondence and speech drafts, that are included in the 
materials that are subject to the Act.
    13. Pursuant to Rule 315 of this Court, the plaintiffs and the 
defendant shall attempt to resolve the plaintiffs' claim for attorneys' 
fees and expenses and shall advise the Court no later than forty-five 
(45) days after this Court has entered the Order provided for in 
paragraph 14 below on whether they have been able to resolve the issue 
of attorneys' fees and expenses. If no resolution has been reached, they 
will, at that time, recommend a schedule to the Court to resolve such 
claim.
    14. The parties agree to the dissolution of the preliminary 
injunction entered on August 9, 1993, and dismissal with prejudice of 
this action, including all claims and cross-claims, except for the issue 
to be litigated as described in subparagraph 2(a) above, and any fees 
and expenses claimed pursuant to paragraph 13 above, by filing the 
attached Joint Motion to Vacate Preliminary Injunction and to Dismiss 
Claims, and the attached Consent Order. The parties agree that the

[[Page 687]]

Court shall retain jurisdiction to: (a) Consider the entry of an order 
in accordance with the terms of paragraph 5 above; (b) resolve the issue 
to be litigated as described in subparagraph 2(a) above; (c) determine 
any fees and expenses claimed pursuant to paragraph 13 above; and (d) 
for the purpose of enforcing the terms of this Agreement. The parties 
further agree that such jurisdiction, except with respect to the issue 
described in paragraph 2 above, will be retained only until the later of 
the implementation of paragraph 11 above or the completion of the 
releases called for in paragraph 5 above. Plaintiffs and the Nixon 
estate further agree that they will not challenge any regulations issued 
by the Archives which implement and are consistent with this Agreement.
    15. The terms of this Agreement may not be altered except with the 
written consent of the parties. Nothing in this Agreement constitutes an 
admission of liability or wrongdoing on the part of any party.
    Executed this 12th day of April, 1996.

    For Plaintiffs Stanley I. Kutler and Public Citizen:
Alan B. Morrison,

(D.C. Bar No. 073114), Public Citizen Litigation Group, 1600 20th Street 
NW., Washington, DC 20009, (202) 588-1000.

    For Defendant John W. Carlin:
Anne L. Weismann,

(D.C. Bar No. 298190)

Judry L. Subar,

(D.C. Bar No. 347518)

Alina S. Kofsky,

(D.C. Bar No. 419093), Department of Justice, Federal Programs Branch, 
Civil Division, 901 E Street NW., Room 1010, Washington, DC 20530, (202) 
514-4523.

    For Defendant-Intervenors John H. Taylor and William E. Griffin:

Herbert J. Miller,

(D.C. Bar No. 026120)

R. Stan Mortenson,

(D.C. Bar No. 114678)

Scott L. Nelson,

(D.C. Bar No. 413548)

Ellen Fels Berkman,

(D.C. Bar No. 433310)

Miller, Cassidy, Larroca & Lewin,

2555 M Street, NW., Washington, DC 20037, (202) 293-6400.
[61 FR 17846, Apr. 23, 1996]

[[Page 688]]



                      SUBCHAPTER G--NARA FACILITIES





PART 1280--PUBLIC USE OF FACILITIES--Table of Contents




                      Subpart A--General Provisions

Sec.
1280.1  Applicability.
1280.2  Admittance of children under the age of 16.
1280.3  Conformity with signs and directions.
1280.4  Vehicular and pedestrian traffic.
1280.5  Dogs and other animals.
1280.6  Inspection.
1280.7  Distribution of handbills and other materials.
1280.8  Prohibited activities.

                  Subpart B--National Archives Building

1280.10  Admittance of visitors to National Archives Exhibition Hall.
1280.12  Filming or photographing the exterior of the National Archives 
          Building.
1280.14  Permission for filming the interior of the National Archives 
          Building, the Washington National Records Center, and the 
          Pickett Street Annex.
1280.16  Filming or photographing documents in exhibit areas for 
          personal use.
1280.18  Artificial lighting in public areas.
1280.20  The National Archives Library.
1280.22  National Archives Theater and conference rooms.
1280.24  Application for outside use of National Archives Theater and 
          conference rooms.
1280.26  Archivist's Reception Room.
1280.28  Application for outside use of the Archivist's Reception Room.

             Subpart C--Facilities in Presidential Libraries

1280.40  Museum areas.
1280.42  Auditoriums and other public spaces.
1280.44  Supplemental rules.
1280.46  Book collections.
1280.48  Photographing documents.

 Subpart D--Federal Records Centers and National Archives Field Branches

1280.60  Use of conference rooms.
1280.62  Restrictions on use.

    Authority: 44 U.S.C. 2104(a).



                      Subpart A--General Provisions

    Source: 52 FR 23822, June 25, 1987, unless otherwise noted.



Sec. 1280.1  Applicability.

    All persons using the facilities in the National Archives Building 
and the Presidential Libraries (referred to in this subpart as ``NARA 
property'') are subject to the provisions of subpart A of this part. 
Persons using other NARA facilities are subject to the GSA regulations, 
Conduct on Federal Property, at 41 CFR subpart 101-20.3.



Sec. 1280.2  Admittance of children under the age of 16.

    Children under the age of 16 will not be admitted to NARA facilities 
unless accompanied by an adult. Children under the age of 16 must be 
supervised by the accompanying adult at all times while on NARA 
property. The director of a NARA facility may authorize a lower age 
limit for admission of unaccompanied children to meet local 
circumstances, e.g., students who have been given permission to conduct 
research without adult supervision.
[56 FR 2137, Jan. 22, 1991]



Sec. 1280.3  Conformity with signs and directions.

    Persons in and on NARA property shall at all times comply with 
official NARA signs (e.g., restrictions on smoking or parking) and with 
the directions of the guards and NARA staff.



Sec. 1280.4  Vehicular and pedestrian traffic.

    (a) The blocking of entrances, driveways, walks, loading platforms, 
or fire hydrants on NARA property is prohibited.
    (b) Except in emergencies, members of the public may not park in 
spaces reserved for holders of NARA parking permits.



Sec. 1280.5  Dogs and other animals.

    Dogs and other animals, except seeing eye dogs or other guide dogs, 
may not be brought upon NARA property without permission of the 
appropriate NARA official.

[[Page 689]]



Sec. 1280.6  Inspection.

    Packages, briefcases, and other containers brought into, while on, 
or being removed from the NARA property are subject to inspection.



Sec. 1280.7  Distribution of handbills and other materials.

    Distribution or posting of handbills, flyers, pamphlets or other 
materials on bulletin boards or elsewhere is prohibited on NARA 
property, except in those spaces designated by NARA as public forums. 
This prohibition also does not apply to displays or notices distributed 
as part of authorized Government activities or bulletin boards used by 
employees to post personal notices.



Sec. 1280.8  Prohibited activities.

    (a) Gambling. Participating in games for money or other personal 
property or the operating of gambling devices, the conduct of a lottery 
or pool, or the selling or purchasing of numbers tickets, in or on NARA 
property is prohibited. This prohibition does not apply to the vending 
or exchange of chances by licensed blind operators of vending facilities 
for any lottery set forth in a State law and conducted by an agency of a 
State as authorized by section 2(a)(5) of the Randolph-Sheppard Act (20 
U.S.C. 107, et seq.).
    (b) Illegal drugs. The possession or use of illegal drugs on NARA 
property and/or entering on NARA property under the influence of alcohol 
or any illegal drug is prohibited.
    (c) Weapons and explosives. No person entering or while on NARA 
property shall carry or possess firearms, other dangerous or deadly 
weapons, either openly or concealed, except for official purposes. No 
person entering or while on NARA property shall carry or possess 
explosives, or items intended to be used to fabricate an explosive or 
incendiary device.
    (d) Soliciting, vending, and debt collection. Charitable or 
commercial or political soliciting, vending of all kinds, displaying or 
distributing commercial advertising, or collecting private debts on NARA 
property is prohibited. National or local drives for funds for welfare, 
health or other purposes which are authorized by the Office of Personnel 
Management and approved by NARA are exempt from this paragraph.
    (e) Disturbances. Loitering, disorderly conduct, or other conduct on 
NARA property which creates a loud or unusual noise or a nuisance; which 
unreasonably obstructs the usual use of entrances, foyers, lobbies, 
corridors, offices, elevators, stairways, or parking areas; which 
otherwise impedes or disrupts the performance of official duties by 
Government employees; or which prevents the general public from 
obtaining NARA-provided services in a timely manner, is prohibited.
    (f) Other. The improper disposal of rubbish on NARA property; the 
willful destruction of or damage to NARA property; the theft of 
property; the creation of any hazard on NARA property to persons or 
things; or the throwing of any kind of articles from or at a NARA 
building is prohibited.



                  Subpart B--National Archives Building



Sec. 1280.10  Admittance of visitors to National Archives Exhibition Hall.

    Unless otherwise directed by the Archivist of the United States, 
visitors are admitted to the Exhibition Hall from 10 a.m. to 9 p.m. 
except during winter months (the day after Labor Day through March 31) 
when the Exhibition Hall is closed at 5:30 p.m. The building is closed 
on Christmas Day. Visitors are admitted only through the Constitution 
Avenue entrance. However, the guards are authorized to admit handicapped 
visitors to the Exhibition Hall through the Pennsylvania Avenue entrance 
and the Main Floor gates.
[45 FR 29577, May 5, 1980. Redesignated and amended at 50 FR 15723, 
15728, Apr. 19, 1985]



Sec. 1280.12  Filming or photographing the exterior of the National Archives Building.

    (a) Definition. Property under the control of the Archivist includes 
the Pennsylvania Avenue NW., entrance between 7th and 9th Streets 
including the area within the retaining walls on either side of the 
entrance, inclusive of the statues, and the steps leading up to the 
entrance of the building; on the 7th Street, 9th Street, and 
Constitution

[[Page 690]]

Avenue NW., sides of the building, all property between the National 
Archives Building and the street, including the sidewalks and other 
grounds; the steps leading up to the Constitution Avenue NW., entrance; 
the Constitution Avenue entrance; and the portico area between the steps 
and the Constitution Avenue entrance. Use of the sidewalks and other 
grounds on the Pennsylvania Avenue side of the National Archives 
Building not under the control of the Archivist of the United States is 
controlled by the National Park Service and/or the Pennsylvania Avenue 
Development Corporation.
    (b) Applicability. This section applies to all persons and groups 
who wish to film or photograph the exterior of the National Archives 
Building from property under the control of the Archivist of the United 
States, except for individuals who wish to film or photograph the 
exterior of the National Archives Building for their own personal use.
    (c) Pennsylvania Avenue entrance. Persons and groups must obtain the 
permission of the National Archives Public Affairs Officer or his/her 
designee (NXI), either in writing or by telephone, before filming or 
photographing the Pennsylvania Avenue entrance of the National Archives 
Building. Filming and photographing will be permitted only for the 
purpose of providing background to stories about either NARA or a 
researcher who has made use of National Archives holdings. Press 
interviews will not be permitted unless NARA or other Government 
employees are being interviewed in connection with official business.
    (d) Constitution Avenue entrance. Permission to film or photograph 
the Constitution Avenue entrance, the portico, or the steps leading to 
these areas will only be granted if the filming or photographing to be 
done relates to interviews done with NARA or other Government employees 
or to the coverage of NARA-sponsored programs, e.g., Constitution Day 
programs.
    (e) Conditions and restrictions. The following conditions and 
restrictions apply to all persons and groups granted permission under 
this section:
    (1) Permission to film or photograph will not be granted to persons 
or groups wishing to promote commercial enterprises or commodities, or 
to persons or groups involved with political, sectarian, or similar 
activities.
    (2) Filming or photographing may not impede ingress or egress of 
visitors to the National Archives Building.
    (3) Permission to film or photograph the exterior of the National 
Archives Building does not constitute approval or sponsorship by NARA of 
the persons or groups involved, of their activities or views, or of the 
uses to which the works depicting the National Archives Building are 
put.
    (4) Permission to film or photograph does not release the perons or 
groups involved from liability for injuries to persons or property that 
result from their activities on property to which the Archivist controls 
access.
    (5) Persons and groups granted permission to film or photograph 
under this section must conduct their activities at all times in 
accordance with the regulations contained in subpart A of this part 
(Secs. 1280.1 through 1280.8).
[55 FR 29577, July 20, 1990]



Sec. 1280.14  Permission for filming the interior of the National Archives Building, the Washington National Records Center, and the Pickett Street Annex.

    (a) Applicability. (1) This section applies to all persons and 
groups who wish to film or photograph the interior of the National 
Archives Building, the interior of the Washington National Records 
Center, and interior of the Pickett Street Annex, with the following 
exceptions:
    (i) Individuals covered by Sec. 1280.16 of this chapter; and
    (ii) Individuals who have permission to use privately-owned 
microfilming equipment to film archival records and donated historical 
materials under the provisions of Secs. 1254.90 through 1254.102 of this 
chapter.
    (2) This section does not apply to the following areas within the 
National Archives Building, which are covered by Secs. 1280.22 through 
1280.28 of this chapter:
    (i) Conference rooms;
    (ii) The National Archives Theater; and
    (iii) The Archivist's Reception Room.

[[Page 691]]

    (b) Permission for filming or photographing. Persons and groups must 
obtain the permission of the Public Affairs Officer or his/her designee 
before filming or photographing the interior of the National Archives 
Building, the Washington National Records Center, and/or the Pickett 
Street Annex. Permission must be requested in writing at least one week 
prior to the proposed activity. Filming and photographing will only be 
permitted for the purpose of providing background to stories about NARA 
or a researcher making use of National Archives holdings. Press 
interviews will not be permitted unless NARA or other Government 
employees are being interviewed in connection with official business. 
Filming or photographing will not be permitted in areas of the buildings 
not open to the general public or to researchers, or in records storage 
(stack) areas.
    (c) Conditions and restrictions. The following conditions and 
restrictions apply to all persons and groups granted permission under 
this section:
    (1) Permission to film or photograph will not be granted to persons 
or groups wishing to promote commercial enterprises or commodities, or 
to persons or groups involved with political, sectarian, or similar 
activities.
    (2) Persons and groups must be accompanied at all times by a member 
of the Public Affairs Staff when in the National Archives Building, 
Washington National Records Center, or Pickett Street Annex for other 
than research purposes (see part 1254 of this chapter for regulations on 
research use of records and donated historical materials.)
    (3) The filming and photographing of documents shall take place only 
in areas designated by the NARA Public Affairs Staff. NARA may limit or 
prohibit use of artificial light in connection with the filming or 
photographing of documents.
    (4) Interviews with NARA staff and researchers shall take place only 
in areas designated by the NARA Public Affairs Staff.
    (5) Approved film and photography sessions will normally be limited 
to two hours.
    (6) Persons and groups are subject at all times to the regulations 
set forth at subpart A of this part.
    (7) Permission to film or photograph under this section does not 
constitute approval or sponsorship by NARA of the persons or groups 
involved, of their activities or views, or of the uses to which the 
works depicting the facilities are put.
    (8) Permission to film or photograph under this section does not 
release the persons or groups involved from liability for injuries to 
persons or property that result from their activities on NARA property.
[55 FR 29577, July 20, 1990]



Sec. 1280.16  Filming or photographing documents in exhibit areas for personal use.

    Filming or photographing documents or exhibits in the Exhibition 
Hall, the Pennsylvania Avenue lobby, or any other exhibit areas in the 
National Archives Building without supplemental artificial light 
sources, or tripods, or similar equipment is permitted for personal use 
at any time during regular hours. However, such activities may not take 
place on the steps or ramp leading to the Declaration of Independence, 
the Constitution, and the Bill of Rights.
[55 FR 29578, July 20, 1990]



Sec. 1280.18  Artificial lighting in public areas.

    Supplemental artificial lighting devices may be used with prior 
approval of the Public Affairs Officer (NXI) when filming documents in 
public areas of the National Archives Building subject to the following 
restrictions:
    (a) Facsimiles shall be used in place of the Declaration of 
Independence, the Constitution, or the Bill of Rights if supplemental 
artificial lighting is to be used. When high intensity lighting is used, 
all other exhibited documents that fall within the boundaries of such 
illumination must be covered or replaced by facsimiles. If approval is 
granted for filming facsimiles or for filming other exhibited documents, 
a high intensity light source may not expose any exhibited item to more 
than

[[Page 692]]

500 foot-candles nor be used to illuminate any one item for more than 
five minutes. The use of high intensity lighting in an exhibit area may 
not exceed one hour.
    (b) Ladders, scaffolding, and tripods may be used before regular 
hours, but must be kept at a distance from documents greater than the 
height of the equipment.
    (c) Auxiliary power units may be used. Existing lights will not be 
replaced by higher wattage or intensity lights. A NARA electrician must 
be present at all times whenever there is a change to the normal power 
supply. Organizations who film after regular hours will be billed for 
the electrician's time.
[39 FR 11885, Apr. 1, 1974. Redesignated and amended at 50 FR 15723, 
15728, Apr. 19, 1985; 52 FR 23822, June 25, 1987. Further redesignated 
and amended at 55 FR 29577, July 20, 1990; 55 FR 33904, Aug. 20, 1990]



Sec. 1280.20  The National Archives Library.

    The National Archives Library is operated to meet the needs of 
researchers and NARA staff members. Other persons desiring to use 
library materials will generally be referred to public libraries and 
other possible sources of such materials.
[33 FR 4885, Mar. 22, 1968. Redesignated at 50 FR 15723, Apr. 19, 1985. 
Further redesignated at 55 FR 29577, July 20, 1990; 55 FR 33904, Aug. 
20, 1990]



Sec. 1280.22  National Archives Theater and conference rooms.

    The theater in the National Archives Building was designed and will 
be used primarily for furnishing reference services on the motion 
picture holdings of the National Archives. Conference rooms in the 
National Archives Building will be used for conferences and official 
meetings. When not required for such uses, conference rooms may be 
assigned to other organizations. Application for use of a room will be 
approved only if the purpose for which it is requested is educational or 
is related to the programs of the National Archives and Records 
Administration. The theater and conference rooms shall not be used to 
promote commercial enterprises or commodities, for political, sectarian, 
or similar purposes, or for meetings sponsored by profitmaking 
organizations. Use of the theater and conference rooms will not be 
authorized for any organization or group of individuals that engages in 
discriminatory practices proscribed in the Civil Rights Act of 1964 (42 
U.S.C. 2000a, note).
[39 FR 11885, Apr. 1, 1974. Redesignated and amended at 50 FR 15723, 
15728, Apr. 19, 1985. Further redesignated at 55 FR 29577, July 20, 
1990; 55 FR 33904, Aug. 20, 1990]



Sec. 1280.24  Application for outside use of National Archives Theater and conference rooms.

    (a) Applications for use of the theater and conference rooms shall 
be submitted in writing by the head of the requesting organization, or 
his duly authorized representative, at least 1 week in advance of the 
requested use. Applications for use shall be addressed to National 
Archives (NA), Washington, DC 20408, and shall include the following 
information:
    (1) The name of the requesting organization;
    (2) The date and the hours of contemplated use;
    (3) A brief description of the programs;
    (4) The number of persons expected to attend the meeting or 
performance (The capacity of the theater is 216 persons; conference 
rooms accommodate between 35 and 70 persons.);
    (5) A statement regarding the intention to exhibit motion pictures 
or slides and, if so, the size (35mm or 16mm) of the film or slides, and 
whether the film to be shown is on nitrate or safety base; and
    (6) Samples of any literature, folders, or posters to be distributed 
or exhibited at the meeting or performance.
    (b) No program will be permitted to continue beyond 10 p.m.
    (c) Applications for use on Saturdays, Sundays, holidays, or at 
times when the building is closed will be considered if fully justified.
    (d) No admission fee will be charged, no indirect assessment will be 
made for admission, and no collection will be taken except as 
specifically authorized by the Archivist of the United States for 
special nonprofit-making events

[[Page 693]]

which are held by organizations sponsored by the National Archives and 
Records Administration. Commercial advertising or the sale of articles 
is not permitted.
    (e) The serving or consumption of food or beverages within the 
theater is prohibited. Food or beverages may be served in the conference 
rooms if approved in advance.
    (f) Smoking within the theater and conference rooms is prohibited. 
Smoking is allowed only in designated smoking areas.
    (g) If the projection of motion pictures or slides is a part of the 
program, operators will be furnished by the National Archives and 
Records Administration on a reimbursable basis.
    (h) Posting of any material about the premises is subject to prior 
approval.
    (i) All persons attending meetings or performances will be required 
to go directly to the theater, which is on the fifth floor, or to the 
assigned conference room. No one will be admitted to the parts of the 
building that are closed to the public.
[33 FR 4885, Mar. 22, 1968, as amended at 39 FR 11885, Apr. 1, 1974; 41 
FR 7750, Feb. 20, 1976. Redesignated and amended at 50 FR 15723, 15728, 
Apr. 19, 1985; 52 FR 23823, June 25, 1987. Further redesignated at 55 FR 
29577, July 20, 1990; 55 FR 33904, Aug. 20, 1990]



Sec. 1280.26  Archivist's Reception Room.

    The Archivist's Reception Room is primarily intended for meetings 
and other functions of NARA. The Archivist may sponsor, co-sponsor or, 
if the room is not scheduled for use by NARA, authorize the use of the 
room by other Federal agencies for official government functions, or by 
private individuals and organizations. Such use by private individuals 
and groups must be for the benefit of or in connection with the archival 
and records activities administered by the National Archives and Records 
Administration and must be consistent with the public perception of the 
National Archives as a research and cultural institution. The National 
Archives Trust Fund Board refurbished the Archivist's Reception Room 
from private gifts and donations. In order to maintain this Room in its 
present condition, as well as to cover the cost of additional cleaning, 
guard and other required services, the use of this Room by private 
individuals and organizations requires a donation to the National 
Archives Trust Fund. Federal agencies using the room for official 
government functions shall reimburse NARA only for the cost of 
additional guard and NARA staff services. The Archivist's Reception Room 
shall not be used to promote commercial enterprises or products or for 
political, sectarian, or similar purposes. Use of the Room will not be 
authorized for any organization or group that engages in discriminatory 
practices proscribed by the Civil Rights Act of 1964, as amended.
[52 FR 23823, June 25, 1987. Redesignated at 55 FR 29577, July 20, 1990; 
55 FR 33904, Aug. 20, 1990]



Sec. 1280.28  Application for outside use of the Archivist's Reception Room.

    (a) Applications for use of the Archivist's Reception Room shall be 
submitted in writing by the private individual or by the head of the 
requesting organization or the duly authorized representative of the 
organization, normally 30 days in advance. Applications for use shall be 
submitted to the Assistant Archivist for Public Programs (NE), National 
Archives and Records Administration, Washington, DC 20408 and shall 
include the following:
    (1) The name of the requesting organization or individual;
    (2) The date and hours of contemplated use;
    (3) A description of the purpose, anticipated number of attendees, 
and the name of the individual designated to serve as host and 
responsible official for the event;
    (4) Whether audiovisual services are required (these must be 
provided by NARA on a reimbursible basis);
    (5) Samples of any literature, folders, or posters to be distributed 
or exhibited.
    (b) A donation to the National Archives Trust Fund to cover the 
costs involved in the maintenance and use of the Room is needed. Further 
information may be obtained from the Assistant Archivist for Public 
Programs.
    (c) The Room is available from 8:00 a.m. until 9:30 p.m., Monday 
through Friday, and from 9:00 a.m. until 4:30

[[Page 694]]

p.m. on Saturday. Use of the room at other hours requires the special 
approval of the Archivist. A NARA staff member must be available at all 
times when the room is in use.
    (d) Those using the Room must obtain approval from NARA before 
distributing or displaying any item and must not misrepresent their 
identity to the public nor conduct any activities in a misleading or 
fraudulent manner. If any notice or advertisement is to mention the 
National Archives or incorporate its seal, the approval of the Archivist 
of the United States is required.
    (e) Those using the Room must provide persons as needed to register 
guests, distribute approved literature, name tags, or similar material.
    (f) NARA must approve in advance the use of a caterer who will bring 
beverages, food, or equipment into the National Archives Building. NARA 
must approve any equipment or decorations to be used and any 
entertainment to occur in the National Archives Building.
    (g) No Government property shall be destroyed, displaced, or damaged 
by the user. The user must take prompt action to replace, return, 
restore, repair or repay NARA for any damage caused to Government 
property during the use of NARA facilities.
[52 FR 23823, June 25, 1987. Redesignated at 55 FR 29577, July 20, 1990; 
55 FR 33904, Aug. 20, 1990]



             Subpart C--Facilities in Presidential Libraries



Sec. 1280.40  Museum areas.

    (a) Unless otherwise directed by the library director, the hours of 
admission to museums of the libraries are as follows:
    (1) Monday through Saturday, 9 a.m. to 5 p.m., including Federal 
legal holidays.
    (2) Sunday, 2 p.m. to 5 p.m. (10 a.m. to 5 p.m. from May 16 to 
September 15), including Federal legal holidays.
    (3) Museums will be closed on Thanksgiving, Christmas, and New 
Year's days.
    (b) Visitors to the museums of the libraries may be required to 
check all parcels and luggage at designated places.
    (c) Eating and smoking are prohibited in the museums of the 
libraries and in other library areas except where designated by the 
library director.
[33 FR 4885, Mar. 22, 1968. Redesignated at 50 FR 15723, Apr. 19, 1985]



Sec. 1280.42  Auditoriums and other public spaces.

    (a) Presidential library auditoriums and other public spaces in the 
library buildings and the library grounds are intended primarily for the 
use of the library in carrying out its programs. These areas may also be 
used by other organizations for lectures, seminars, meetings, and 
similar activities when these activities are sponsored, cosponsored, or 
authorized by the Library to further the library's interests, and when 
such activities will not interfere with the normal operation of the 
library. Any activities sponsored, cosponsored, or authorized by the 
library must be related to the mission and programs of the library and 
must be consistent with the public perception of the library as a 
research and cultural institution. Application for such use shall be 
made in writing to the library director (see Sec. 1253.3 of this chapter 
for the address).
    (b) Use of the auditoriums and other public spaces will not be 
authorized for any profitmaking, commercial advertising and sales, 
sectarian, or similar purpose or for any use inconsistent with those 
authorized in paragraph (a) of this section.
    (c) No admission fee will be charged except by the library, no 
indirect assessment fees will be made for admission, and no collections 
will be taken. The library director may assess additional charges to 
reimburse the Government for expenses incurred as a result of the use by 
groups of library facilities.
[48 FR 41770, Sept. 19, 1983. Redesignated at 50 FR 15723, Apr. 19, 
1985, and amended at 52 FR 23823, June 25, 1987]



Sec. 1280.44  Supplemental rules.

    Library directors may establish appropriate supplemental rules 
governing

[[Page 695]]

use of Presidential libraries and adjacent buildings and areas under 
NARA control.
[52 FR 23823, June 25, 1987]



Sec. 1280.46  Book collections.

    The book collections of Presidential libraries are available to 
researchers needing the unique resources of such libraries and to NARA 
staff members. Other persons desiring to use the book collections will 
generally be referred to public libraries and other possible sources of 
such materials.
[35 FR 18737, Dec. 10, 1970. Redesignated at 50 FR 15723, Apr. 19, 1985]



Sec. 1280.48  Photographing documents.

    (a) Visitors are permitted to take photographs in Presidential 
libraries and adjacent buildings open to the public, subject to 
restrictions set forth in paragraph (c) of this section.
    (b) Photographs for news, advertising, or commercial purpose may be 
taken only after the Presidential library director approves the request.
    (c) Artificial light devices shall not be used anywhere in a 
Presidential library where such use may cause damage to documents. 
Persons desiring to use photolighting devices shall request special 
permission from the director of the Presidential library concerned and 
shall follow procedures prescribed in Sec. 1280.14(c).
[39 FR 11885, Apr. 1, 1974. Redesignated at 50 FR 15723, Apr. 19, 1985]



 Subpart D--Federal Records Centers and National Archives Field Branches



Sec. 1280.60  Use of conference rooms.

    Conference rooms in Federal Records Centers and National Archives 
Field Branches will be used for official meetings and for conferences 
sponsored by NARA. When not required for such use, assignments for other 
purposes during normal working hours may be made. Applications for such 
use will be approved only if the purpose for which it is requested is 
educational or is related to NARA programs. Applications for such use 
shall be made to the Federal Records Center Director or the National 
Archives Field Branch Director (see Sec. 1253.6 of this chapter for the 
address).
[52 FR 23823, June 25, 1987]



Sec. 1280.62  Restrictions on use.

    Use of the conference rooms will not be authorized for any 
profitmaking, political, sectarian, or similar purpose or for any 
organization or group that engages in discriminatory practices 
proscribed in the Civil Rights Act of 1964 (42 U.S.C. 2000a, note).
[39 FR 11885, Apr. 1, 1974. Redesignated and amended at 50 FR 15723, 
15728, Apr. 19, 1985]



PART 1284--EXHIBITS--Table of Contents




Sec.
1284.1  Scope of part.
1284.20  Temporary exhibition of privately-owned material.

    Authority: 44 U.S.C. 2104(a).



Sec. 1284.1  Scope of part.

    This part sets forth policies and procedures concerning the 
exhibition of materials at the National Archives Building.
[55 FR 25307, June 21, 1990]



Sec. 1284.20  Temporary exhibition of privately-owned material.

    (a) Documents, paintings, or other objects belonging to private 
individuals or organizations normally will not be accepted for display 
at the National Archives Building except as part of a NARA-produced 
exhibit.
    (b) NARA may accept for temporary special exhibit at the National 
Archives Building privately-owned documents or other objects under the 
following conditions:
    (1) The material to be displayed relates to the institutional 
history of the National Archives and Records Administration or its 
predecessor organizations, the National Archives Establishment and the 
National Archives and Records Service;
    (2) Exhibition space is available in the building that the NARA 
Office of Public Programs and the Document Conservation Branch judge to 
be appropriate in terms of security, light level,

[[Page 696]]

climate control, and available exhibition cases or other necessary 
fixtures; and
    (3) NARA has resources (such as exhibit and security staff) 
available to produce the special exhibit.
    (c) The Assistant Archivist for Public Programs (NE), in conjunction 
with the NARA General Counsel when appropriate, shall review all offers 
to display privately-owned material and shall negotiate the terms of 
exhibition for offers that can be accepted. The lender shall provide 
evidence of title to and authenticity of the item(s) to be displayed 
before any loan agreement is executed.
    (d) The Assistant Archivist shall inform the offeror of NARA's 
decision within 60 days.
[55 FR 25307, June 21, 1990]



PARTS 1285--1299  [RESERVED]




[[Page 697]]



             CHAPTER XIV--ASSASSINATION RECORDS REVIEW BOARD




  --------------------------------------------------------------------
Part                                                                Page
1400            Guidance for interpretation and 
                    implementation of the President John F. 
                    Kennedy Assassination Records Collection 
                    Act of 1992 (JFK Act)...................         699
1405            Rules implementing the Government in the 
                    Sunshine Act............................         702
1410            Rules implementing the Freedom of 
                    Information Act.........................         705
1415            Rules implementing the Privacy Act..........         712
1416--1499

  [Reserved]

[[Page 699]]



PART 1400--GUIDANCE FOR INTERPRETATION AND IMPLEMENTATION OF THE PRESIDENT JOHN F. KENNEDY ASSASSINATION RECORDS COLLECTION ACT OF 1992 (JFK ACT)--Table of Contents




Sec.
1400.1  Scope of assassination record.
1400.2  Scope of additional records and information.
1400.3  Sources of assassination records and additional records and 
          information.
1400.4  Types of materials included in scope of assassination record and 
          additional records and information.
1400.5  Requirement that assassination records be released in their 
          entirety.
1400.6  Originals and copies.
1400.7  Additional guidance.
1400.8  Implementing the JFK Act--Notice of Assassination Record 
          Designation.

    Authority: 44 U.S.C. 2107.

    Source: 60 FR 33349, June 28, 1995, unless otherwise noted.



Sec. 1400.1  Scope of assassination record.

    (a) An assassination record includes, but is not limited to, all 
records, public and private, regardless of how labeled or identified, 
that document, describe, report on, analyze or interpret activities, 
persons, or events reasonably related to the assassination of President 
John F. Kennedy and investigations of or inquiries into the 
assassination.
    (b) An assassination record further includes, without limitation:
    (1) All records as defined in Section 3(2) of the JFK Act;
    (2) All records collected by or segregated by all Federal, state, 
and local government agencies in conjunction with any investigation or 
analysis of or inquiry into the assassination of President Kennedy (for 
example, any intra-agency investigation or analysis of or inquiry into 
the assassination; any interagency communication regarding the 
assassination; any request by the House Select Committee on 
Assassinations to collect documents and other materials; or any inter- 
or intra-agency collection or segregation of documents and other 
materials);
    (3) Other records or groups of records listed in the Notice of 
Assassination Record Designation, as described in Sec. 1400.8 of this 
chapter.



Sec. 1400.2  Scope of additional records and information.

    The term additional records and information includes:
    (a) All documents used by government offices and agencies during 
their declassification review of assassination records as well as all 
other documents, indices, and other material (including but not limited 
to those that disclose cryptonyms, code names, or other identifiers that 
appear in assassination records) that the Assassination Records Review 
Board (Review Board) has a reasonable basis to believe may constitute an 
assassination record or would assist in the identification, evaluation 
or interpretation of an assassination record. The Review Board will 
identify in writing those records and other materials it intends to seek 
under this section.
    (b) All training manuals, instructional materials, and guidelines 
created or used by the agencies in furtherance of their review of 
assassination records.
    (c) All records, lists, and documents describing the procedure by 
which the agencies identified or selected assassination records for 
review.
    (d) Organizational charts of government agencies.
    (e) Records necessary and sufficient to describe the agency's:
    (1) Records policies and schedules;
    (2) Filing systems and organization;
    (3) Storage facilities and locations;
    (4) Indexing symbols, marks, codes, instructions, guidelines, 
methods, and procedures;
    (5) Search methods and procedures used in the performance of the 
agencies' duties under the JFK Act; and
    (6) Reclassification to a higher level, transfer, destruction, or 
other information (e.g., theft) regarding the status of assassination 
records.
    (f) Any other record that does not fall within the scope of 
assassination record as described in Sec. 1400.1, but which has the 
potential to enhance, enrich, and broaden the historical record of the 
assassination.

[[Page 700]]



Sec. 1400.3  Sources of assassination records and additional records and information.

    Assassination records and additional records and information may be 
located at, or under the control of, without limitation:
    (a) Agencies, offices, and entities of the executing, legislative, 
and judicial branches of the Federal Government;
    (b) Agencies, offices, and entities of the executive, legislative, 
and judicial branches of state and local governments;
    (c) Record repositories and archives of Federal, state, and local 
governments, including presidential libraries;
    (d) Record repositories and archives of universities, libraries, 
historical societies, and other similar organizations;
    (e) Individuals who possess such records by virtue of service with a 
government agency, office, or entity;
    (f) Persons, including individuals and corporations, who have 
obtained such records from sources identified in paragraphs (a) through 
(e) of this section;
    (g) Persons, including individuals and corporations, who have 
themselves created or have obtained such records from sources other than 
those identified in paragraphs (a) through (e) of this section;
    (h) Federal, state, and local courts where such records are being 
held under seal; or
    (i) Foreign governments.



Sec. 1400.4  Types of materials included in scope of assassination record and additional records and information.

    The term record in assassination record and additional records and 
information includes, for purposes of interpreting and implementing the 
JFK Act:
    (a) papers, maps, and other documentary material;
    (b) photographs;
    (c) motion pictures;
    (d) sound and video recordings;
    (e) machine readable information in any form; and
    (f) artifacts.



Sec. 1400.5  Requirement that assassination records be released in their entirety.

    An assassination record shall be released in its entirety except for 
portions specifically postponed pursuant to the grounds for postponement 
of public disclosure of records established in Sec. 2107.6 of the JFK 
Act, and no portion of any assassination record shall be withheld from 
public disclosure solely on grounds of non-relevance unless, in the 
Review Board's sole discretion, release of part of a record is 
sufficient to comply with the intent and purposes of the JFK Act.



Sec. 1400.6  Originals and copies.

    (a) For purposes of determining whether originals or copies of 
assassination records will be made part of the President John F. Kennedy 
Assassination Records Collection (JFK Assassination Records Collection) 
established under the JFK Act, the following shall apply:
    (1) In the case of papers, maps, and other documentary materials, 
the Review Board may determine that record copies of government records, 
either the signed original, original production or a reproduction that 
has been treated as the official record maintained to chronicle 
government functions or activities, may be placed in the JFK 
Assassination Records Collection;
    (2) In the case of other papers, maps, and other documentary 
material, the Review Board may determine that a true and accurate copy 
of a record in lieu of the original may be placed in the JFK 
Assassination Records Collection;
    (3) In the case of photographs, the original negative, whenever 
available (otherwise, the earliest generation print that is a true and 
accurate copy), may be placed in the JFK Assassination Records 
Collection;
    (4) In the case of motion pictures, the camera original, whenever 
available (otherwise, the earliest generation print that is a true and 
accurate copy), may be placed in the JFK Assassination Records 
Collection;
    (5) In the case of sound and video recordings, the original 
recording, whenever available (otherwise, the earliest

[[Page 701]]

generation copy that is a true and accurate copy), may be placed in the 
JFK Assassination Records Collection;
    (6) In the case of machine-readable information, a true and accurate 
copy of the original (duplicating all information contained in the 
original and in a format that permits retrieval of the information), may 
be placed in the JFK Assassination Records Collection; and
    (7) In the case of artifacts, the original objects themselves may be 
placed in the JFK Assassination Records Collection.
    (b) To the extent records from foreign governments are included in 
the JFK Assassination Records Collection, copies of the original records 
shall be sufficient for inclusion in the collection.
    (c) In cases where a copy, as defined in paragraph (a) of this 
section, is authorized by the Review Board to be included in the JFK 
Assassination Records Collection, the Review Board may require that a 
copy be certified if, in its discretion, it determines a certification 
to be necessary to ensure the integrity of the JFK Assassination Records 
Collection. In cases where an original, as defined in paragraph (a) of 
this section, is required for inclusion in the JFK Assassination Records 
Collection, the Review Board may, at its discretion, accept the best 
available copy. In such cases that records included in the JFK 
Assassination Records Collection, whether originals or copies, contain 
illegible portions, such records shall have attached thereto a certified 
transcription of the illegible language to the extent practicable.
    (d) For purposes of implementing the JFK Act, the term copy means a 
true and accurate photocopy duplication by a means appropriate to the 
medium of the original record that preserves and displays the integrity 
of the record and the information contained in it.
    (e) Nothing in this section shall be interpreted to suggest that 
additional copies of any assassination records contained in the JFK 
Assassination Records Collection are not also assassination records 
that, at the Review Board's discretion, may also be placed in the JFK 
Assassination Records Collection.
    (f) Nothing in this section shall be interpreted to prevent or to 
preclude copies of any electronic assassination records from being 
reformatted electronically in order to conform to different hardward 
and/or software requirements of audiovisual or machine readable formats 
if such is the professional judgment of the National Archives and 
Records Administration.



Sec. 1400.7  Additional guidance.

    (a) A government agency, office, or entity includes, for purposes of 
interpreting and implementing the JFK Act, all current, past, and former 
departments, agencies, offices, divisions, foreign offices, bureaus, and 
deliberative bodies of any Federal, state, or local government and 
includes all inter- or intra-agency working groups, committees, and 
meetings that possess or created records relating to the assassination 
of President John F. Kennedy.
    (b) The inclusion of artifacts in the scope of the term 
assassination record is understood to apply solely to the JFK 
Assassination Records Collection and to implement fully the terms of the 
JFK Act and has no direct or indirect bearing on the interpretation or 
implementation of any other statute or regulation.
    (c) Whenever artifacts are included in the JFK Assassination Records 
Collection, it shall be sufficient to comply with the JFK Act if the 
public is provided access to photographs, drawings, or similar materials 
depicting the artifacts. Additional display of or examination by the 
public of artifacts in the JFK Assassination Records Collection shall 
occur under the terms and conditions established by the National 
Archives and Records Administration to ensure their preservation and 
protection for posterity.
    (d) The terms and, or, any, all, and the plural and singular forms 
of nouns shall be understood in their broadest and most inclusive sense 
and shall not be understood to be terms of limitation.
    (e) Unless the Review Board in its sole discretion directs 
otherwise, records that are identified with respect to a particular 
person shall include all records ralating to that person that

[[Page 702]]

use or reflect the true name or any other name, pseudonym, codeword, 
symbol number, cryptonym, or alias used to identify that person.
    (f) Unless the Review Board in its sole discretion directs 
otherwise, records that are identified by the Review Board with respect 
to a particular operation or program shall include all records, 
pertaining to that program by any other name, pseudonym, codeword, 
symbol, number, or cryptonym.



Sec. 1400.8  Implementing the JFK Act--Notice of Assassination Record Designation.

    (a) A Notice of Assassination Record Designation (NARD) shall be the 
mechanism for the Review Board to announce publicly its determination 
that a record or group of records meets the definition of assassination 
records.
    (b) Notice of all NARDs will be published in the Federal Register 
within 30 days of the decision to designate such records as 
assassination records.
    (c) In determining to designate such records as assassination 
records, the Review Board must determine that the record or group of 
record will more likely than not enhance, enrich, and broaden the 
historical record of the assassination.



PART 1405--RULES IMPLEMENTING THE GOVERNMENT IN THE SUNSHINE ACT--Table of Contents




Sec.
1405.1  Applicability.
1405.2  Definitions.
1405.3  Open meetings requirement.
1405.4  Grounds on which meetings may be closed or information may be 
          withheld.
1405.5  Procedures for closing meetings, or withholding information, and 
          requests by affected persons to close a meeting.
1405.6  Procedures for public announcements of meetings.
1405.7  Changes affecting a meeting following the public announcement of 
          a meeting.
1405.8  Availability and retention of transcripts, recordings, and 
          minutes, and applicable fees.
1405.9  Severability.

    Authority: 5 U.S.C. 552b; 44 U.S.C. 2107.

    Source: 60 FR 45336, Aug. 31, 1995, unless otherwise noted.



Sec. 1405.1  Applicability.

    (a) This part implements the provisions of the Government in the 
Sunshine Act (5 U.S.C. 552b). These procedures apply to meetings of the 
Review Board. The Review Board may waive the provisions set forth in 
this Part to the extent authorized by law.
    (b) Requests for all documents other than the transcripts, 
recordings, and minutes described in 1405.8 shall be governed by Review 
Board regulations pursuant to the Freedom of Information Act (5 U.S.C. 
552).



Sec. 1405.2  Definitions.

    As used in this part:
    Chairperson means the Member elected by the Board to serve in said 
position pursuant to 44 U.S.C. 2107.7(f).
    General Counsel means the Review Board's principal legal officer, or 
an attorney serving as Acting General Counsel.
    Government office means any office of the Federal Government that 
has possession or control of assassination records as set forth in 44 
U.S.C. 2107.3(5).
    Meeting means the deliberations of three or more Members where such 
deliberations determine or result in the joint conduct or disposition of 
official Review Board business. A meeting does not include:
    (1) Notation voting or similar consideration of business, whether by 
circulation of material to the Members individually in writing or by a 
polling of the Members individually by telephone.
    (2) Action by three or more Members to:
    (i) Open or to close a meeting or to release or to withhold 
information pursuant to Sec. 1405.5;
    (ii) Set an agenda for a proposed meeting;
    (iii) Call a meeting on less than seven days' notice as permitted by 
Sec. 1405.6(b); or
    (iv) Change the subject matter or the determinations to open or to 
close a publicly announced meeting under Sec. 1405.7(b).
    (3) A session attended by three or more Members for which the 
purpose is to receive briefings from the Review Board's staff or expert 
consultants,

[[Page 703]]

provided that members of the Review Board do not engage in deliberations 
at such sessions that determine or result in the joint conduct or 
disposition of official Review Board business on such matters. The 
General Counsel will inform the Review Board if developing discussions 
at a briefing or gathering should be deferred until a notice of an open 
meeting can be published in the Federal Register.
    (4) A session attended by three or more Members for which the 
purpose is to receive informational briefings from representatives of 
government offices discussing classified or otherwise restricted 
information in accordance with the provisions of the JFK Act, provided 
that Members of the Review Board do not engage in deliberations at such 
sessions that determine or result in the joint conduct or disposition of 
official Review Board business on such matters.
    (5) A gathering of three or more Members for the purpose of holding 
informal preliminary discussions or exchanges of views, but that does 
not effectively predetermine official Review Board action.
    Member means a current member of the Review Board as provided by 
law.
    Presiding Officer means the Chairperson or any other Member 
authorized by the Review Board to preside at a meeting.
    Review Board means the Assassination Records Review Board created 
pursuant to 44 U.S.C. 2107.7.



Sec. 1405.3  Open meetings requirement.

    Any meetings of the Review Board, as defined in Sec. 1504.2, shall 
be conducted in accordance with this part. Except as provided in 
Sec. 1405.4, the Review Board's meetings, or portions thereof, shall be 
open to public observation.



Sec. 1405.4  Grounds on which meetings may be closed or information may be withheld.

    A meeting may be closed when the Review Board properly determines 
that an open meeting would disclose information that may be withheld 
under the criteria enumerated below. Similarly, information that 
otherwise would be required to be disclosed under Secs. 1405.5, 1405.6, 
and 1405.7 may also be withheld under these criteria. All records of 
closed meetings shall, however, be disclosed at a future date consistent 
with the terms and requirements of the JFK Act. Except in a case where 
the Review Board finds that the public interest requires otherwise, the 
criteria for closing meetings are whether information disclosed at such 
meetings is likely to:
    (a) Disclose matters that are:
    (1) Specifically authorized under criteria established by the 
Executive Order to be kept secret in the interests of national defense 
or foreign policy; and
    (2) In fact properly classified pursuant to such Executive order;
    (b) Relate solely to the internal personnel rules and practices of 
the Review Board;
    (c) Disclose matters specifically exempted from disclosure by 
statute (other than 5 U.S.C. 552), provided that such statute:
    (1) Requires that the matters be withheld from the public in such a 
manner as to leave no discretion on the issue; or
    (2) Establishes particular criteria for withholding or refers to 
particular types of matters to be withheld.
    (d) Discloses trade secrets and commercial or financial information 
obtained from a person and is privileged or confidential;
    (e) Involves accusing any person of a crime, or formally censuring 
any person;
    (f) Discloses information of a personal nature where disclosure 
would constitute a clearly unwarranted invasion of personal privacy;
    (g) Discloses investigatory records compiled for law enforcement 
purposes, or information which, if written, would be contained in such 
records, but only to the extent that the production of such records or 
information would:
    (1) Interfere with enforcement proceedings;
    (2) Deprive a person of a right to a fair trial or an impartial 
adjudication;
    (3) Constitute an unwarranted invasion to personal privacy;
    (4) Disclose the identity of a confidential source and, in the case 
of a record compiled by a criminal law enforcement authority in the 
course of a criminal investigation, or by an agency

[[Page 704]]

conducting a lawful national security intelligence investigation, 
confidential information furnished only by the confidential source;
    (5) Disclose investigative techniques and procedures; or
    (6) Endanger the life or physical safety of law enforcement 
personnel;
    (h) Specifically concern the Review Board's issuance of a subpoena, 
or the Review Board's participation in a civil action or proceeding, an 
action in a foreign court or international tribunal, or an arbitration, 
or the initiation, conduct, or disposition by the Review Board of a 
particular case of formal agency adjudication pursuant to the procedures 
in 5 U.S.C. 554 or otherwise involving a determination on the record 
after opportunity for a hearing; or
    (i) Disclose other information for which the Sunshine Act provides 
an exemption to the open meeting requirements of the Act.



Sec. 1405.5  Procedures for closing meetings, or withholding information, and requests by affected persons to close a meeting.

    (a) A majority of all Members may vote to close a meeting or 
withhold information pertaining to that meeting. A separate vote shall 
be taken with respect to each action under Sec. 1405.4. A majority of 
the Review Board may act by taking a single vote with respect to a 
series of meetings, a portion or portions of which are proposed to be 
closed to the public, or with respect to any information concerning such 
series of meetings, so long as each meeting in such series involves the 
same particular matters and is scheduled to be held no more than thirty 
days after the initial meeting in such series. Each Member's vote under 
the paragraph shall be recorded and no proxies shall be permitted.
    (b) Any person whose interests may be directly affected if a portion 
of a meeting is open may request the Review Board to close that portion 
of the meeting on the grounds referred to in Sec. 1405.4 (e), (f), or 
(g). Requests, with reasons in support thereof, should be submitted to 
the Office of the General Counsel, Assassination Records Review Board, 
600 E Street, NW., 2nd Floor, Washington, DC 20530. On the motion of any 
Member, the Review Board shall determine by recorded vote whether to 
grant the request.
    (c) Within one working day of any vote taken pursuant to this 
section, the Review Board shall make publicly available a written copy 
of such vote reflecting the vote of each Member on the question. If a 
portion of a meeting is to be closed to the public, the Review Board 
shall make available a full written explanation of its action closing 
the meeting (or portion thereof) and a list of all persons expected to 
attend the meeting and their affiliation.
    (d) For each closed meeting, the General Counsel shall publicly 
certify that, in his or her opinion, the meeting may be closed to the 
public and shall state each relevant exemptive provision. A copy of such 
certification shall be available for public inspection.
    (e) For each closed meeting, the Presiding Officer shall issue a 
statement setting forth the time, place, and persons present. A copy of 
such statement shall be available for public inspection.
    (f) For each closed meeting, with the exception of a meeting closed 
pursuant to Sec. 1405.4(h), the Review Board shall maintain a complete 
transcript or electronic recording adequate to record fully the 
proceedings of each meeting. For meetings or portions thereof that are 
closed pursuant to 1405.4(h), the Review Board may maintain a set of 
minutes in lieu of such transcript or recording. Such minutes shall 
fully and clearly describe all matters discussed and shall provide a 
full and accurate summary of any actions taken, and the reasons 
therefor, including a description of each of the views expressed on any 
item and the record of any roll call vote. The records of closed 
meetings, in addition to all other records of the Review Board, shall be 
included as permanent records in the JFK Collection at the National 
Archives as provided by the JFK Act.



Sec. 1405.6  Procedures for public announcements of meetings.

    (a) For each meeting, the Review Board shall make public 
announcement, at least one week before the meeting, of the:
    (1) Time of the meeting;

[[Page 705]]

    (2) Place of the meeting;
    (3) Subject matter of the meeting;
    (4) Whether the meeting is to be open or closed; and
    (5) The name and business telephone number of the official 
designated by the Review Board to respond to requests for information 
about the meeting.
    (b) The one week advance notice required by paragraph (a) of this 
section may be reduced only if:
    (1) A majority of all Members determines by recorded vote that 
Review Board business requires that such meeting be scheduled in less 
than seven days; and
    (2) The public announcement required by paragraph (a) of this 
section is made at the earliest practicable time.



Sec. 1405.7  Changes affecting a meeting following the public announcement of a meeting.

    (a) After there has been a public announcement of a meeting, the 
time or place of such meeting may be changed only if the Review Board 
publicly announces such change at the earliest practicable time. Members 
need not approve such change by recorded vote.
    (b) After there has been a public announcement of a meeting, the 
subject matter of such meeting, or the determination of the Review Board 
to open or to close a meeting or a portion thereof to the public, may be 
changed only when:
    (1) A majority of all Members determines, by recorded vote, the 
Review Board business so requires and that no earlier announcement of 
the change was possible; and
    (2) The Review Board publicly announces such change and the vote of 
each Member thereof at the earliest practicable time.



Sec. 1405.8  Availability and retention of transcripts, recordings, and minutes, and applicable fees.

    In accordance with the provisions of the JFK Act, the Review Board 
shall retain the transcript, electronic recording, or minutes of the 
discussion of any item on the agenda or of any testimony received at a 
closed meeting for inclusion as a permanent record in the JFK Collection 
at the National Archives once the work of the Review Board is completed. 
The public shall have access to such records consistent with the 
provisions of the JFK Act which, according to the understanding of the 
Review Board, supersedes the Sunshine Act and FOIA. Copies of any 
nonexempt transcript or minutes, or transaction of such recordings 
disclosing the identity of each speaker, shall be furnished to any 
person at the actual cost of transcript or duplication unless otherwise 
provided by the terms of the JFK Act. If at some later time the Review 
Board determines that there is no further justification for withholding 
a portion of a transcript, electronic recording, or minutes or other 
item of information for the public which had been previously withheld, 
such portion or information shall be made publicly available.



Sec. 1405.9  Severability.

    If any provision of this part of the application of such provision 
to any person or circumstance, is held invalid, the reminder of this 
part of the application of such provision to persons or circumstances 
other than those as to which it is held invalid, shall not be affected 
thereby.



PART 1410--RULES IMPLEMENTING THE FREEDOM OF INFORMATION ACT--Table of Contents




Sec.
1410.5  Scope.
1410.10  Definitions.
1410.15  Requests for Review Board records available through the Public 
          Reading Room.
1410.20  Review Board records exempt from public disclosure.
1410.25  Requests for Review Board records not available through the 
          Public Reading Room (FOIA requests).
1410.30  Requests for waiver or reduction of fees.
1410.35  Fees for Review Board record requests.
1410.40  Processing of FOIA requests.
1410.45  Procedure for appeal of denial of requests for Review Board 
          records and denial of requests for fee waiver or reduction.
1410.50  Requests for classified agency records.

    Authority: 5 U.S.C. 552; 44 U.S.C. 2107.

[[Page 706]]


    Source: 60 FR 45339, Aug. 31, 1995, unless otherwise noted.



Sec. 1410.5  Scope.

    This part contains the Review Board's regulations implementing the 
Freedom of Information Act, 5 U.S.C. 552.



Sec. 1410.10  Definitions.

    (a) Review Board record is a record in the possession and control of 
the Review Board that is associated with Review Board business. Review 
Board records do not include:
    (1) Publicly available books, periodicals, films, sound or video 
recordings, photographs, or other publications that are owned or 
copyrighted by nonfederal sources that the Review Board acquires and 
uses for reference and research purposes;
    (2) Records owned by another Federal agency that the Review Board 
temporarily holds for the purpose of conducting its review under the 
President John F. Kennedy Assassination Records Collection Act of 1992 
(JFK Act) (FOIA requests for such documents should be directed to the 
originating agency);
    (3) Records delivered to the Review Board for transfer to the JFK 
Collection at the National Archives and Records Administration (NARA).
    (b) Designated FOIA Officer means the person designated by the 
Executive Director to administer the Review Board's activities pursuant 
to the regulations in this part. The Designated FOIA Officer shall also 
be the Review Board officer having custody of or responsibility for 
Review Board records and shall be the Review Board's officer responsible 
for authorizing or denying production of Review Board records upon 
request filed pursuant to Sec. 1410.25.
    (c) Executive Director means the principal staff official appointed 
by the Review Board pursuant to 44 U.S.C. 2107.8(a).
    (d) Review Board means the Assassination Records Review Board 
created pursuant to 44 U.S.C. 2107.7.



Sec. 1410.15  Requests for Review Board records available through the Public Reading Room.

    (a) A Public Reading Room will be maintained at the Review Board 
headquarters and will be open between 10 a.m. and 4:30 p.m., Monday 
through Friday, except on Federal holidays. Documents may be obtained in 
person from the Public Reading Room.
    (b) The Public Reading Room records will include the following (if 
and when such records are created):
    (1) The Review Board's rules and regulations;
    (2) Statements of policy adopted by the Review Board;
    (3) Transcripts of public hearings;
    (4) Review Board orders, decisions, notices, and other formal 
actions;
    (5) Copies of all unclassified filings, certifications, pleadings, 
Review Board records, briefs, orders, judgments, decrees, and mandates 
in court proceedings to which the Review Board is a party and the 
correspondence with the courts or clerks of court;
    (6) Unclassified reports to Congress in which the Review Board's 
operations during a past fiscal year are described;
    (7) Administrative staff manuals and instructions to staff to the 
extent that such manuals or instructions affect a member of the public; 
and
    (8) Indices of the documents identified in this section, but not 
including drafts thereof.



Sec. 1410.20  Review Board records exempt from public disclosure.

    The Review Board will make all Review Board records available for 
inspection and copying, except that it may exempt from release those 
portions of:
    (a) Review Board records specifically authorized under criteria 
established by an Executive Order to be kept secret in the interest of 
national defense or foreign policy, and that are in fact properly 
classified pursuant to such Executive Order;
    (b) Review Board records related solely to the internal personnel 
rules and practices of the Review Board;
    (c) Review Board records specifically exempted from disclosure by 
statute (other than 5 U.S.C. 552), provided that such statute:
    (1) Requires that the matters be withheld from the public in such a 
manner as to leave no discretion on the issue, or

[[Page 707]]

    (2) Establishes particular criteria for withholding or refers to 
particular types of matters to be withheld;
    (d) Trade secrets and commercial or financial information obtained 
from a person and privileged or confidential;
    (e) Inter-agency or intra-agency memoranda or letters which would 
not be available by law to a party other than an agency in litigation 
with the agency;
    (f) Personnel and medical files and similar files the disclosure of 
which would constitute a clearly unwarranted invasion of personal 
privacy;
    (g) Records or information compiled for law enforcement purposes, 
but only to the extent that the production of such law enforcement 
records or information:
    (1) Could reasonably be expected to interfere with enforcement 
proceedings;
    (2) Would deprive a person of a right to a fair trial or an 
impartial adjudication;
    (3) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy;
    (4) Could reasonably be expected to disclose the identify of a 
confidential source, including a state, local, or foreign agency or 
authority or any private institution which furnished information on a 
confidential basis, and, in the case of a record of information compiled 
by a criminal law enforcement authority in the course of a criminal 
investigation or by an agency conducting a lawful national security 
intelligence investigation, information furnished by a confidential 
source;
    (5) Would disclose techniques and procedures for law enforcement 
investigations or prosecutions, or would disclose guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law; or
    (6) Could reasonably be expected to endanger the life or physical 
safety of any individual
    (h) Contained in or related to examination, operating, or condition 
reports prepared by, on behalf of, or for the use of an agency 
responsible for the regulation or supervision of financial institutions; 
or
    (i) Geological and geophysical information and data, including maps, 
concerning wells.



Sec. 1410.25  Requests for Review Board records not available through the Public Reading Room (FOIA Requests).

    (a) Upon the request of any person, the Review Board shall make 
available for public inspection and copying any reasonably described 
Review Board record in the possession and control of the Review Board, 
but not available through the Public Reading Room, subject to the 
provisions of this part.
    (b) A person may request access to Review Board records that are not 
available through the Public Reading Room by using the following 
procedures:
    (1) The request must be in writing and must reasonably describe the 
Review Board records requested to enable Review Board personnel to 
locate them with a reasonable amount of effort. A request for all Review 
Board records falling within a reasonably specific and well-defined 
category shall be regarded as conforming to the statutory requirement 
that Review Board records be reasonably described. Where possible, 
specific information such as dates or titles that may help identify the 
Review Board records should be supplied by the requester, including the 
names and titles of Review Board personnel who may have been contacted 
regarding the request prior to the submission of the written request.
    (2) The request should be addressed to the Designated FOIA Officer, 
and clearly marked ``Freedom of Information Act Request.'' The address 
for such requests is: Designated FOIA Officer, Assassination Records 
Review Board, 600 E Street, N.W., 2nd Floor, Washington, D.C. 20530. 
Requests must be either mailed or hand-delivered to the above address. 
Hand-delivered requests will be received between 8:30 a.m. and 5 p.m., 
Monday through Friday, except on Federal holidays. For purposes of 
calculating the time for response to the request under Sec. 1410.40, the 
request shall not be deemed to have been received until it is in the 
possession of the Designated FOIA Officer or

[[Page 708]]

such other person who may be responsible for receiving such requests.
    (3) The request must include:
    (i) A statement by the requester of a willingness to pay the fee 
applicable under Sec. 1410.35(b), or to pay that fee not to exceed a 
specific amount, or
    (ii) A request for waiver or reduction of fees.

No request shall be deemed to have been received until the Review Board 
has received a statement of willingness to pay, as indicated in 
paragraph (b)(3)(i), of this section or has received and approved a 
request for waiver or reduction of fees.
    (c) Requests for Review Board records containing information 
received from another agency, or records prepared jointly by the Review 
Board and other agencies, and that do not fall under category 
Sec. 1410.10(a)(2) above, shall be treated as requests for Review Board 
records. The Designated FOIA Officer shall, however, coordinate with the 
appropriate official of the other agency. The notice of determination to 
the requester, in the event part or all of the record is recommended for 
denial by the other agency, shall cite the other agency denying 
officials as well as the Designated FOIA Officer if a denial by the 
Review Board is also involved.
    (d) If a request does not reasonably describe the Review Board 
records sought, as provided in paragraph (b) of this section, the Review 
Board response shall specify the reasons why the request failed to meet 
those requirements and shall offer the requester the opportunity to 
confer with knowledgeable Review Board personnel in an attempt to 
restate the request. If additional information is needed from the 
requester to render the agency records reasonably described, any 
restated request submitted by the requester shall be treated as an 
initial request for purpose of calculating the time for response under 
Sec. 1410.40.
    (e) The Review Board will not be required to create new agency 
records, compile lists of selected items from its files, or create new 
statistical or other data.
    (f) The Review Board staff may also respond to oral, unmarked, or 
generally stated requests for information and documents even though 
those requests do not comply with the provisions of this rule.



Sec. 1410.30  Request for waiver or reduction of fees.

    (a) The Review Board shall collect fees for record requests made 
under Sec. 1410.25 as provided in Sec. 1410.35(b), unless the Review 
Board grants a written request for a waiver or reduction of fees. The 
Designated FOIA Officer shall make a determination on a fee waiver or 
reduction request within five working days of the request coming into 
his or her possession. If the determination is made that the written 
request for a waiver or reduction of fees does not meet the requirements 
of this section, the Designated FOIA Officer shall inform the requester 
that the request for waiver or reduction of fees is being denied and set 
forth the appeal rights under Sec. 1410.45.
    (b) A person requesting the Review Board to waive or reduce search, 
review, or duplication fees shall:
    (1) Describe the purpose for which the requester intends to use the 
requested information;
    (2) Explain the extent to which the requester will extract and 
analyze the substantive content of the Review Board record;
    (3) Describe the nature of the specific activity or research in 
which the Review Board records will be used and the specific 
qualification the requester possesses to utilize information for the 
intended use in such a way that it will contribute to public 
understanding of the operations or activities of the Government;
    (4) Describe the likely impact of disclosure of the requested 
records on the public's understanding of the subject as compared to the 
level of understanding of the subject existing prior to disclosure;
    (5) Describe the size and nature public to whose understanding a 
contribution will be made;
    (6) Describe the intended means of dissemination to the general 
public;
    (7) Indicate if public access to information will be provided free 
of charge or provided for an access or publication fee; and

[[Page 709]]

    (8) Describe any commercial or private interest the requester or any 
other party has in the Review Board records sought.
    (c) The Review Board shall waive or reduce fees, without further 
specific information from the requester if, from information provided 
with the request for Review Board records made under Sec. 1410.25, it 
can determine that 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.
    (d) In making a determination regarding a request for a waiver or 
reduction of fees, the Review Board shall consider the following 
factors:
    (1) Whether disclosure is likely to contribute significantly to 
public understanding of Government operations or activities, and
    (2) Whether the requester has a commercial interest and, if so, the 
extent of any interests and how they would be furthered by the 
disclosure of the requested Review Board records.



Sec. 1410.35  Fees for Review Board record requests.

    (a) Fees for Review Board records available through the Public 
Reading Room. Duplication fees charged shall be limited to the costs of 
duplication of the requested Review Board records or the cost to have 
them duplicated. A schedule of fees for this duplication service is set 
forth at paragraph (b)(6) of this section. A person may also obtain a 
copy of the schedule of fees in person or by mail from the Public 
Reading Room.
    (b) Fees for Review Board records not available through the Public 
Reading Room (FOIA) requests).
    (1) Definitions. For the purpose of paragraph (b) of this section:
    Commercial use request means a request from or on behalf of one who 
seeks information for a use or purpose that furthers the commercial, 
trade, or profit interests of the requester or the person on whose 
behalf the request is made. In determining whether a requester properly 
belongs in this category, the Review Board must determine the use to 
which a requester will put the documents requested. Moreover, where the 
Review Board has reasonable cause to doubt the use to which a requester 
will put the records sought, or where that use is not clear from the 
request itself, the Review Board will seek additional clarification from 
the Office of Management and Budget before assigning the request to a 
specific category.
    Direct costs means those expenditures which the Review Board incurs 
in search, review, and duplication, to respond to requests under 
Sec. 1410.25. Direct costs include, for example, the salary and benefits 
cost of Review Board employees applied to time spent in responding to 
the request and the cost of operating duplicating machinery. Not 
included in direct costs are overhead expenses such as cost of space, 
and heating or lighting the facility in which the Review Board records 
are stored.
    Educational institution refers to a preschool, a public or private 
elementary or secondary school, an institution of undergraduate higher 
education, an institution of graduate higher education, an institution 
of professional education, and an institution of vocational education, 
which operates a program or programs of scholarly research.
    Noncommercial scientific institution refers to an institution that 
is not operated on a commercial basis and which is operated solely for 
the purpose of conducting scientific research the results of which are 
not intended to promote any particular product or industry.
    Representative of the news media refers to any person actively 
gathering news for an entity that is organized and operated to publish 
or broadcast news to the public, and may include cable casting or 
computer on-line dissemination if offered as a service that is organized 
and operated to disseminate news to the public. The term ``news'' means 
information that is about current events or that would be of current 
interest to the public. Examples of news media entities include 
television or radio stations broadcasting to the public at large, and 
publishers of periodicals (but only in those instances when the 
periodicals can qualify as disseminations of ``news'') who make their 
products available for free and or for purchase or

[[Page 710]]

subscription by the general public. These examples are not intended to 
be all-inclusive. A ``freelance'' journalist may be regarded as working 
for a news organization if the journalist can demonstrate a solid basis 
for expecting publication through that organization, even though the 
journalist is not actually employed by the news organization. A 
publication contract is the best proof, but the Review Board may also 
look to the past publication record of a requester in making this 
determination.
    (2) Fees.
    (i) If the Review Board determines that the documents are requested 
for commercial use, it shall charge the average salary rate, including 
benefits, for Review Board employees, for document search time and for 
document review time, in addition to the costs of duplication as 
established in the schedule of fees in paragraph (b)(6) of this section.
    (ii) If documents are not sought for commercial use and the request 
is made by an educational or noncommercial scientific institution, whose 
purpose is scholarly or scientific research, or a representative of the 
news media, the Review Board's charges shall be limited to the direct 
costs of duplication as established in the schedule of fees in paragraph 
(b)(6) of this section. There shall be no charge for the first 100 pages 
of duplication.
    (iii) For a request not described in paragraphs (b)(2)(i) or 
(b)(2)(ii) of this section the Review Board shall charge the average 
salary rate for Review Board employees (including benefits), for 
document search time, and the direct costs of duplication as established 
in the schedule of fees in paragraph (b)(6) of this section. There shall 
be no charge for document review time and the first 100 pages of 
reproduction and the first two hours of search time will be furnished 
without charge.
    (iv) If the Review Board is asked by a requester to send Review 
Board records by special methods such as express mail, it may do so, 
provided that the requester pays for the express delivery service.
    (v) The Review Board may assess charges for time spent searching, 
even if it fails to locate the records, or if Review Board records 
located are determined to be exempt from disclosure.
    (vi) Whenever the Review Board estimates that fees are likely to 
exceed $25, it shall notify the requester of the estimated costs, unless 
the requester has indicated in advance a willingness to pay fees as high 
as those anticipated. Such a notice shall offer the requester an 
opportunity to confer with the Review Board personnel to reformulate the 
request to meet the requester's needs at a lower cost.
    (3) Limitations on Fees. The Review Board, or its designate, may 
establish minimum fees below which no charges will be collected, if it 
determines that the costs of routine collection and processing of the 
fees are likely to equal or exceed the amount of the fees. If total fees 
determined by the Review Board for a FOIA request would be less than the 
appropriate threshold, the Review Board shall not charge the requesters.
    (4) Payment of fees.
    (i) Payment of fees must be by check or money order made payable to 
the Assassination Records Review Board.
    (ii) Advance Payments.
    (A) If the Review Board estimates or determines that allowable 
charges that a requester may be required to pay are likely to exceed 
$250, the Review Board shall notify such requester of the estimated cost 
and either require satisfactory assurance of full payment where the 
requester has a history of prompt payment of fees, or require advance 
payment of the charges if a requester has no payment history.
    (B) If a requester has previously failed to pay a fee in a timely 
fashion, the Review Board shall require the requester to pay the full 
amount owed plus any applicable interest, and to make an advance payment 
of the full amount of the estimated fee before the Review Board will 
begin to process a new request or pending request from that requester.
    (C) When the Review Board requires advance payment under this 
paragraph, the administrative time limits prescribed in Sec. 1410.40(b) 
will begin only after the Review Board has received the fee payments.
    (5) Aggregation of Requests. Requesters may not file multiple 
requests, each

[[Page 711]]

seeking portions of a document or documents, solely in order to avoid 
payment of fees. When the Review Board 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 evading 
assessment of fees, the Review Board may aggregate any such requests and 
charge the requester accordingly. The Review Board shall not, however, 
aggregate multiple requests on unrelated subjects from a requester.
    (6) Fee Schedule. Fees will be charged as provided below:
    (i) Duplication of Review Board records. Review Board records will 
be duplicated at a rate of $.10 per page, provided the Review Board 
staff duplicates the records. If the Review Board determines that the 
duplication is so time-consuming that it must be sent to an outside 
duplication service, the requester will be charged the actual commercial 
rate.
    (ii) Duplication of large documents. Large documents (e.g., maps, 
diagrams) will be duplicated at actual commercial rates.
    (iii) Review. Review fees shall be assessed with respect to only 
those requesters who seek Review Board records for a commercial use, as 
defined in (b)(2)(i) of this section. For each hour spent by agency 
personnel in reviewing a requested Review Board record for possible 
disclosure, the fee shall be $20.15 except that where the time of 
managerial personnel is required, the fee shall be $47.40 for each hour 
of time spent by such managerial personnel.
    (iv) Search. For each hour spent by administrative personnel in 
searching for and retrieving a requested Review Board record, the fee 
shall be $14.75. Where a search and retrieval cannot be performed 
entirely by clerical personnel--for example, where the identification of 
Review Board records within the scope of a request requires the use of 
professional personnel--the fee shall be $20.15 for each hour of search 
time spent by such professional personnel. Where the time of managerial 
personnel is required, the fee shall be $47.40 for each hour of time 
spent by such managerial personnel.



Sec. 1410.40  Processing of FOIA requests.

    (a) Where a request complies with Sec. 1410.25 as to specificity and 
statement of willingness to pay or request for fee waiver or reduction, 
the Designated FOIA Officer shall acknowledge receipt of the request and 
commence processing of the request. The Designated FOIA Officer shall 
prepare a written response:
    (1) Granting the request;
    (2) Denying the request;
    (3) Granting or denying it in part;
    (4) Stating that the request has been referred to another agency 
under Sec. 1410.25; or
    (5) Informing the requester that responsive Review Board records 
cannot be located or do not exist.
    (b) Action pursuant to this section to provide access to requested 
Review Board records shall be taken within 10 working days of receipt of 
a request for Review Board records, as defined in Sec. 1410.25, except 
that where unusual circumstances require an extension of time before a 
decision on a request can be reached and the person requesting Review 
Board records is promptly informed in writing by the Designated FOIA 
Officer of the reason for such extension and the date on which a 
determination is expected to be made, the Designated FOIA Officer may 
take an extension not to exceed 10 working days.
    (c) For purposes of this section and Sec. 1410.45, the term 
``unusual circumstances'' may include but is not limited to the 
following:
    (1) The need to search, collect, and appropriately examine a 
voluminous amount of separate and distinct Review Board records that are 
demanded in a single request; or
    (2) The need for consultation, which shall be conducted with all 
practicable speed, with another agency having a substantial interest in 
the determination of the request or among two or more components of the 
agency having substantial subject-matter interest therein.

[[Page 712]]



Sec. 1410.45  Procedure for appeal of denial of requests for Review Board records and denial of requests for fee waiver or reduction.

    (a)(1) A person whose request for access to Review Board records or 
request for fee waiver or reduction is denied in whole or in part may 
appeal that determination to the Executive Director within 30 days of 
the determination. Appeals filed pursuant to this section must be in 
writing, directed to the Executive Director at the address stated above, 
and clearly marked ``Freedom of Information Act Appeal.'' Such an appeal 
received by the Review Board that is not properly addressed and marked 
will be so addressed and marked by Review Board personnel as soon as it 
is properly identified and then will be forwarded to the Executive 
Director. Appeals taken pursuant to this paragraph will be considered to 
be received upon actual receipt by the Executive Director.
    (2) The Executive Director shall make a determination with respect 
to any appeal within 20 working days after the receipt of such appeal. 
If, on appeal, the denial of the request for Review Board records or fee 
reduction is in whole or in part upheld, the Executive Director shall 
notify the person making such request of the provisions for judicial 
review of that determination.
    (b) In unusual circumstances, as defined in Sec. 1410.40(c), the 
time limits prescribed for deciding an appeal pursuant to this section 
may be extended by up to 10 working days by the Executive Director, who 
will send written notice to the requester setting forth the reasons for 
such extension and the date on which a determination or appeal is 
expected to be dispatched.



Sec. 1410.50  Requests for classified agency records.

    The Review Board may at any time be in possession of classified 
records received from other Federal agencies. Except with respect to 
those documents identified in Sec. 1410.10(a)(2), the Review Board shall 
refer requests under Sec. 1410.25 for such records or information to the 
other agency without making an independent determination as to the 
releasability of such documents. The Review Board shall refer requests 
for classified records in a manner consistent with Executive Order 12958 
of April 17, 1995, or other such law as may apply.



PART 1415--RULES IMPLEMENTING THE PRIVACY ACT--Table of Contents




Sec.
1415.5  Scope.
1415.10  Definitions.
1415.15  Systems of records notification.
1415.20  Requests by individuals for access to their own records.
1415.25  Processing of requests.
1415.30  Appeals from access denials.
1415.35  Requests for amendment of records.
1415.40  Appeals from amendment of denials.
1415.45  Disclosure of records to third parties.
1415.50  Fees.
1415.55  Exemptions.

    Authority: 5 U.S.C. 552a; 44 U.S.C. 2107.

    Source: 60 FR 64123, Dec. 14, 1995, unless otherwise noted.



Sec. 1415.5  Scope.

    This part contains the Review Board's regulations implementing the 
Privacy Act of 1974, 5 U.S.C. 552a.



Sec. 1415.10  Definitions.

    In addition to the definitions provided in the Privacy Act, the 
following terms are defined as follows:
    Assassination records, for the purpose of this regulation only, are 
records created by Government offices (other than the Review Board), 
entities, and individuals that relate to the assassination of President 
John F. Kennedy that may, from time to time, come into the temporary 
custody of the Review Board but that are not the legal property of the 
Review Board.
    Executive Director means the principal staff official appointed by 
the Review Board pursuant to 44 U.S.C. 2107.8(a).
    JFK Act means the President John F. Kennedy Records Collection Act 
of 1992.
    Privacy Act Officer means the person designated by the Executive 
Director to administer the Review Board's activities pursuant to the 
regulations in this part.
    Review Board means the Assassination Records Review Board created 
pursuant to 44 U.S.C. 2107.7.

[[Page 713]]

    System of records means a group of records that is within the 
possession and control of the Review Board and from which information is 
retrieved by the name of the individual or by some identifying number, 
symbol, or other identifying particular assigned to the individual. 
Assassination records, as defined above, are not included in the Review 
Board's systems of records.



Sec. 1415.15  Systems of records notification.

    Any individual who wishes to know whether a system of records 
contains a record pertaining to him or her may file a request in person 
or in writing. Written requests should be directed to the Privacy Act 
Officer, Assassination Records Review Board, 600 E Street, NW, 
Washington, DC 20530, and should be clearly marked ``Privacy Act 
Request.''



Sec. 1415.20  Requests by an individual for access to their own records.

    (a) Requests in writing. An individual may request access to his or 
her own records in writing by addressing a letter to the Privacy Act 
Officer, Assassination Records Review Board, 600 E Street, NW, 2nd 
Floor, Washington, DC 20530. The request should contain the following 
information:
    (1) Full name, address, and telephone number of requester;
    (2) Proof of identification, which should be a copy of one of the 
following: Valid driver's license, valid passport, or other current 
identification which contains both an address and picture of the 
requester;
    (3) The system of records in which the desired information is 
contained; and
    (4) At the requester's option, authorization for expenses (see 
Sec. 1415.50 below).
    (b) Requests in person. Any individual may examine his or her own 
record on the Review Board's premises. To do so, the individual should 
call the Review Board's offices at (202) 724-0088 and ask to speak to 
the Privacy Act Officer. This call should be made at least two weeks 
prior to the time the requester would like to see the records. During 
this call, the requester should be prepared to provide the same 
information as that listed in paragraph (a) of this section except for 
proof of identification.



Sec. 1415.25  Processing of requests.

    (a) The Privacy Act Officer will process all requests under both the 
Freedom of Information Act and the Privacy Act.
    (b) The Privacy Act Officer will respond to the request within ten 
working days of its receipt by the Privacy Act Officer. If the Review 
Board needs additional time to respond, the Privacy Act Officer will 
provide the requester an explanation as to why the Review Board requires 
an extension.
    (c) Following the initial call from the requester, the Privacy Act 
Officer will determine: whether the records identified by the requester 
exist, and whether they are subject to any exemption under Sec. 1415.55 
below. If the records exist and are not subject to exemption, the 
Privacy Act Officer will call the requester and arrange an appointment 
at a mutually agreeable time when the records can be examined. At the 
appointment, the requester will be asked to present identification as 
stated in Sec. 1415.20(a)(2). The requester may be accompanied by one 
individual of his or her own choosing, and should state during this call 
whether or not a second individual will be present at the appointment. 
In the event that a second individual accompanies the requester, the 
requester will be asked to provide the Review Board with written consent 
to disclose his or her records to the second individual.
    (d) If a request is received for information compiled in reasonable 
anticipation of a civil action or proceeding, the Privacy Act Officer 
will determine whether to disclose the information and will inform the 
requester whether this information is subject to release under the 
Privacy Act (see 5 U.S.C. 552a(d)(5)).



Sec. 1415.30  Appeals from access denials.

    When access to records has been denied in whole or in part by the 
Privacy Act Officer, the requester may file an appeal in writing. This 
appeal should be directed to the Executive Director, Assassination 
Records Review Board,

[[Page 714]]

600 E Street, NW., 2nd Floor, Washington, DC 20530. The appeal letter 
must specify those denied records that are still sought and state why 
the denial by the Privacy Act Officer is erroneous. The Executive 
Director or his representative will respond to such appeals within 
thirty working days after the appeal letter is received in the Review 
Board's offices, unless, for good cause shown, the Executive Director 
extends such thirty day period. The appeal determination will explain 
the basis for continuing to deny access to any requested records and 
will notify the requester of his or her right to judicial review of the 
Executive Director's determination.



Sec. 1415.35  Requests for amendment of records.

    (a) Amendment requests. Any person is entitled to request amendment 
of a record pertaining to him or her. This request must be made in 
writing and should be addressed to the Privacy Act Officer, 
Assassination Records Review Board, 600 E Street, NW., 2nd Floor, 
Washington, DC 20530. The letter should clearly identify the amendments 
desired. An edited copy will usually be acceptable for this purpose.
    (b) Initial response. The Privacy Act Officer will acknowledge the 
request for amendment within ten working days of receipt of the request. 
The Privacy Act Officer will provide a letter to the requester within 
thirty working days stating whether or not the request for amendment has 
been granted or denied. The Privacy Act Officer will amend information 
that is not accurate, relevant, timely, or complete, unless the record 
is excluded or exempt. If the Privacy Act Officer decides to deny any 
portion of the amendment request, the reasons for the denial will be 
provided to the requester. In addition, the Privacy Act Officer will 
inform the requester of his or her right to appeal the Privacy Act 
Officer's determination to the Executive Director.



Sec. 1415.40  Appeals from amendment of denials.

    (a) When amendment of records has been denied by the Privacy Act 
Officer, the requester may file an appeal in writing. This appeal should 
be directed to the Executive Director, Assassination Records Review 
Board, 600 E Street, NW., 2nd Floor, Washington, DC 20530. The appeal 
letter must specify the record subject to the appeal, and state why the 
denial of amendment by the Privacy Act Officer is erroneous. The 
Executive Director or his representative will respond to such appeals 
within thirty working days (subject to extension by the Executive 
Director for good cause) after the appeal letter has been received in 
the Review Board's offices.
    (b) The appeal determination, if adverse to the requester in any 
respect, will:
    (1) Explain the basis for denying amendment of the specified 
records;
    (2) Inform the requester that he or she may file a concise statement 
setting forth reasons for disagreeing with the Executive Director's 
determination; and
    (3) Inform the requester of his or her right to pursue a judicial 
remedy under 5 U.S.C. 552a(g)(1)(A).



Sec. 1415.45  Disclosure of records to third parties.

    Records subject to the Privacy Act that are requested by a person 
other than the individual to whom they pertain will not be made 
available except in the following circumstances:
    (a) Release is required under the Freedom of Information Act in 
accordance with the Review Board's FOIA regulations, 36 CFR part 1410;
    (b) Pursuant to a written request by, or with the prior written 
consent of, the individual to whom the record pertains; or
    (c) Release is authorized by 5 U.S.C. 552a(b)(1) or (3) through 
(11).



Sec. 1415.50  Fees.

    A fee will not be charged for search or review of requested records, 
or for amendment of records. When a request is made for copies of 
records, a copying fee will be charged at the same rate established for 
FOIA requests. See 36 CFR 1410.35. However, the first 100 pages will be 
free of charge.

[[Page 715]]



Sec. 1415.55  Exemptions.

    (a) The systems of records entitled ``Personal Security Files'' and 
``Subject File'' contain some information specifically authorized under 
criteria established by an Executive Order to be kept secret in the 
interest of national defense or foreign policy and which is properly 
classified pursuant to such Executive Order. Therefore, to the extent 
that information in these systems falls within the coverage of exemption 
(k)(1) of the Privacy Act, 5 U.S.C. 552a(k)(1), these systems of records 
are eligible for exemption from the requirements of the following 
subsections of the Privacy Act: subsections (c)(3), (d), (e)(1), 
(e)(4)(G), (H) and (I) and (f). Disclosure of information properly 
classified pursuant to an Executive Order would jeopardize the national 
defense or foreign policy of the United States.
    (b) The systems of records entitled ``Agency Contacts,'' 
``Investigations,'' ``Public Contacts,'' and ``Subject File'' consist, 
in part, of investigatory material compiled by the Review Board for law 
enforcement purposes other than material within the scope of subsection 
(j)(2) of 5 U.S.C. 552a. Provided however, that if any individual is 
denied any right, privilege or benefit that he would otherwise be 
entitled by Federal law, or for which he would otherwise be eligible, as 
a result of the maintenance of such material, such material shall be 
provided to such individual, except to the extent that the disclosure of 
such material would reveal the identity of a source who furnished 
information to the Government under an express promise that the identity 
of the source would be held in confidence, or prior to January 1, 1975, 
under an implied promise that the identity of the source would be held 
in confidence. Therefore, to the extent that information in these 
systems falls within the coverage of exemption (k)(2) of the Privacy 
Act, 5 U.S.C. 552a(k)(2), these systems of records are eligible for 
exemption from the requirements of the following subsections of the 
Privacy Act, for the reasons stated below.
    (1) From subsection (c)(3) because release of the agency's 
accounting of certain disclosures to an individual who is the subject of 
an investigation could reveal the nature and scope of the investigation 
and could result in the altering or destruction of evidence, improper 
influencing of witnesses, and other evasive actions that could impede or 
compromise the investigation.
    (2) From subsection (d) because release of investigative records to 
an individual who is the subject of an investigation could interfere 
with pending or prospective law enforcement proceedings, constitute an 
unwarranted invasion of the personal privacy of third parties, reveal 
the identity of confidential sources, or reveal sensitive investigative 
techniques and procedures.
    (3) From subsections (d)(2), (3), and (4) because amendment or 
correction of investigative records could interfere with pending or 
prospective law enforcement proceedings, or could impose an impossible 
administrative and investigative burden by requiring the Review Board 
continuously to retrograde its investigations attempting to resolve 
questions of accuracy, relevance, timeliness, and completeness.
    (4) From subsection (e)(1), because it is often impossible to 
determine relevance or necessity of information in the early stages of 
an investigation. The value of such information is a question of 
judgment and timing; what appears relevant and necessary when collected 
may ultimately be evaluated and viewed as irrelevant and unnecessary to 
an investigation.
    (5) From subsection (e)(4)(G) and (H), because the Review Board is 
claiming an exemption for subsections (d) (Access to Records) and (f) 
(Agency Rules) of the Act, these subsections are inapplicable to the 
extent that these systems of records are exempted from subsections (d) 
and (f).
    (6) From subsection (f) because procedures for notice to an 
individual pursuant to subsection (f)(1) as to the existence of records 
pertaining to the person dealing with an actual or potential 
investigation must be exempted because such notice to an individual 
would be detrimental to the successful conduct of a pending or future 
investigation. In addition, mere notice of an investigation could inform 
the subject or others that their activities either are, or may become, 
the subject of an

[[Page 716]]

investigation and might enable the subjects to avoid detection or to 
destroy assassination records. Since the Review Board is claiming an 
exemption for subsection (d) of the Act (Access to Records) the rules 
require pursuant to subsection (f)(2) through (5) are inapplicable to 
these systems of records to the extent that these systems of records are 
exempted from subsection (d).
    (c) The systems of records entitled ``Employment Applications'' and 
``Personal Security Files'' consist in part of investigatory material 
compiled by the Review Board for the purpose of determining suitability, 
eligibility, or qualifications for Federal civilian employment or 
Federal contracts, the release of which would reveal the identity of a 
source who furnished information to the Government under an express 
promise that the identity of the source would be held in confidence. 
Therefore, to the extent that information in these systems falls within 
the coverage of Exemption (k)(5) of the Privacy Act, 5 U.S.C. 
552a(k)(5), these systems of records are eligible for exemption from the 
requirements of subsection (d)(1), because release would reveal the 
identity of a source who furnished information to the Government under 
an express promise of confidentiality. Revealing the identity of a 
confidential source could impede future cooperation by sources, and 
could result in harassment or harm to such sources.



1416--1499  [Reserved]



[[Page 717]]


                              FINDING AIDS





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

  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical list of agencies publishing in the CFR are included in 
the CFR Index and Finding Aids volume to the Code of Federal Regulations 
which is published separately and revised annually.
  Material Approved for Incorporation by Reference
  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  Redesignation Tables
  List of CFR Sections Affected

[[Page 719]]

            Material Approved for Incorporation by Reference

                      (Revised as of July 1, 1998)

  The Director of the Federal Register has approved under 5 U.S.C. 
552(a) and 1 CFR Part 51 the incorporation by reference of the following 
publications. This list contains only those incorporations by reference 
effective as of the revision date of this volume. Incorporations by 
reference found within a regulation are effective upon the effective 
date of that regulation. For more information on incorporation by 
reference, see the preliminary pages of this volume.


36 CFR (300 TO END)

ARCHITECTURAL BARRIERS AND COMPLIANCE BOARD
                                                                  36 CFR


American National Standards Institute

  11 West 42nd Street, New York, NY 10036 
  Telephone: (212) 642-4900
ANSI A117.1--1986 Providing Accessibility and         1190.31; 1190.32; 
  Usability for Physically Handicapped People.          1190.33; 1190.40

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
                                                                  36 CFR


American National Standards Institute (ANSI)

  11 West 42nd Street, New York, NY 10036 
  Telephone: (212) 642-4900
ANSI IT2.19-1990, American National Standard for         1230.3; 1230.14
  Photography--Density Measurements--Geometric 
  Conditions for Transmission Density.
ANSI/NAPM IT9.1-1992, American National Standard        1230.3; 1230.4; 
  for Imaging Media (Film)--Silver-Gelatin Type--     1230.12; 1230.14; 
  Specifications for Stability.                                  1232.30
ANSI IT9.2-1991, American National Standard for        1230.3; 1230.12; 
  Imaging Media--Photographic Processed Films,          1230.20; 1232.26
  Plates, and Papers--Filing Enclosures and 
  Storage Containers.
ANSI IT9.11-1991, American National Standard for       1230.3; 1230.20; 
  Imaging Media--Processed Safety Photographic                   1232.26
  Film--Storage.
ANSI/ISO 5/3-1984, ANSI PH2.18-1985, Photography               1230.3(b)
  (Sensitometry)--Density Measurements--Spectral 
  Conditions.
ANSI/ISO 543-1990 (ANSI IT9.6-1991) Photography--                1232.30
  Photographic Films--Specifications for Safety 
  Film.
ISO 3334-1989, Micrographics--ISO resolution test              1230.3(b)
  chart No. 2--Description and use.
ANSI X3.39-1986 American National Standard:                     1228.188
  Recorded Magnetic Tape forInformation 
  Interchange (1600 CPI, PE).
ANSI X3.54-1986 American National Standard:                     1228.188
  Recorded Magnetic Tape for Information 
  Interchange (6250 CPI, Group Coded Recording).
ANSI X3.180-1990, American National Standard:                   1228.188
Magnetic Tape and Cartridge for Information 
[[Page 720]] - 18-Track, Parallel, 1/2 inch 
  (12.65mm), 37 871 CPI (1491 cpmm), Group-Coded-
Association for Information and Image Management (AIIM)

  1100 Wayne Avenue, Suite 1100, Silver Spring, MD 
  20910
ANSI/AIIM MS1-1988, Recommended Practice for                   1230.3(c)
  Alphanumeric Computer-Output Microforms--
  Operational Practices for Inspection and Quality 
  Control (FIPS 82).
ANSI/AIIM MS5-1991, Microfiche (FIPS 54-1)........       1230.3; 1230.12
ANSI/AIIM MS14-1988, Specifications for 16mm and               1230.3(c)
  35mm Roll Microfilm (FIPS 54-1).
ANSI/AIIM MS19-1987, Recommended Practice for                  1230.3(c)
  Identification of Microforms.
ANSI/AIIM MS23-1991, Practice for Operational          1230.2; 1230.12; 
  Procedures/Inspection and Quality Control of                   1230.14
  First-generation, Silver Microfilm of Documents.
ANSI/AIIM MS32-1987, Microrecording of Engineering    1230.3(c); 1230.12
  Source Documents on 35mm Microfilm.
ANSI/AIIM MS41-1988, Unitized Microfilm Carriers               1230.3(c)
  (Aperture, Camera, Copy, and Image Cards).
ANSI/AIIM MS43-1988, Recommended Practice for                  1230.3(c)
  Operational Procedures/Inspection and Quality 
  Control for Duplicate Microfilms of Documents 
  and From COM.
ANSI/AIIM MS45-1990, Recommended Practice for            1230.3; 1230.22
  Inspection of Stored Silver-Gelatin Microforms 
  for Evidence of Deterioration.
ANSI/ISO 3334-1991, ANSI/AIIM MS51-1991,                 1230.3; 1230.14
  Micrographics--ISO Resolution Test Chart No. 2--
  Description and Use.


National Fire Protection Association

  1 Batterymarch Park, Quincy, MA 02269-9101, FAX 
  (617) 770-3500
NFPA 40-1994 Standard for the Storage and Handling               1232.22
  of Cellulose Nitrate Motion Picture Film.
NFPA 232A-1995 Guide for Fire Protection for                     1232.26
  Archives and Records Centers.


National Information Standard Organization

  4733 Bethesda Avenue, Bethesda, MD 20814
ANSI/NISO/ISO 9660-1990, American National                      1228.188
  Standard for Volume and File Structure of CD-ROM 
  for Information Exchange.


National Institute of Standards and Technology (formerly the National 
Bureau of Standards)

  Office of Standard Reference Materials, Rm. B311 
  Chemistry, Gaithersburg, MD 20899
NBS-SRM 1010a, Microcopy Resolution Test Chart                 1230.3(d)
  (ISO Test Chart No. 2), certified June 1, 1990.


U.S. Department of Commerce

  National Technical Information Service, 5285 
  Port Royal Rd., Springfield, VA 22161 Telephone: 
  (703) 487-4650, FAX: (703) 487-4142
Federal Information Processing Standards                        1288.188
  Publication 173-1, Spatial Data Transfer 
  Standard (SDTS), June 10, 1994.



[[Page 721]]



                    Table of CFR Titles and Chapters

Requirements for Recording.


                      (Revised as of June 29, 1998)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
        IV  Miscellaneous Agencies (Parts 400--500)

                          Title 2--[Reserved]

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  General Accounting Office (Parts 1--99)
        II  Federal Claims Collection Standards (General 
                Accounting Office--Department of Justice) (Parts 
                100--299)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
        IV  Advisory Committee on Federal Pay (Parts 1400--1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
       VII  Advisory Commission on Intergovernmental Relations 
                (Parts 1700--1799)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Part 2100)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)

[[Page 722]]

      XXII  Federal Deposit Insurance Corporation (Part 3201)
     XXIII  Department of Energy (Part 3301)
      XXIV  Federal Energy Regulatory Commission (Part 3401)
       XXV  Department of the Interior (Part 3501)
      XXVI  Department of Defense (Part 3601)
    XXVIII  Department of Justice (Part 3801)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Part 4301)
      XXXV  Office of Personnel Management (Part 4501)
        XL  Interstate Commerce Commission (Part 5001)
       XLI  Commodity Futures Trading Commission (Part 5101)
      XLII  Department of Labor (Part 5201)
     XLIII  National Science Foundation (Part 5301)
       XLV  Department of Health and Human Services (Part 5501)
      XLVI  Postal Rate Commission (Part 5601)
     XLVII  Federal Trade Commission (Part 5701)
    XLVIII  Nuclear Regulatory Commission (Part 5801)
         L  Department of Transportation (Part 6001)
       LII  Export-Import Bank of the United States (Part 6201)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Part 6401)
      LVII  General Services Administration (Part 6701)
     LVIII  Board of Governors of the Federal Reserve System (Part 
                6801)
       LIX  National Aeronautics and Space Administration (Part 
                6901)
        LX  United States Postal Service (Part 7001)
       LXI  National Labor Relations Board (Part 7101)
      LXII  Equal Employment Opportunity Commission (Part 7201)
     LXIII  Inter-American Foundation (Part 7301)
       LXV  Department of Housing and Urban Development (Part 
                7501)
      LXVI  National Archives and Records Administration (Part 
                7601)
      LXIX  Tennessee Valley Authority (Part 7901)
      LXXI  Consumer Product Safety Commission (Part 8101)
     LXXIV  Federal Mine Safety and Health Review Commission (Part 
                8401)
     LXXVI  Federal Retirement Thrift Investment Board (Part 8601)
    LXXVII  Office of Management and Budget (Part 8701)

                          Title 6--[Reserved]

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture

[[Page 723]]

         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
      XIII  Northeast Dairy Compact Commission (Parts 1300--1399)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy, Department of Agriculture (Parts 
                2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  [Reserved]

[[Page 724]]

    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

                    Title 8--Aliens and Nationality

         I  Immigration and Naturalization Service, Department of 
                Justice (Parts 1--499)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Meat and Poultry 
                Inspection, Department of Agriculture (Parts 300--
                599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
        XI  United States Enrichment Corporation (Parts 1100--
                1199)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)

[[Page 725]]

       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  Office of Thrift Supervision, Department of the 
                Treasury (Parts 500--599)
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Thrift Depositor Protection Oversight Board (Parts 
                1500--1599)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700-1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Export Administration, Department of 
                Commerce (Parts 700--799)

[[Page 726]]

      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  United States Customs Service, Department of the 
                Treasury (Parts 1--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)

[[Page 727]]

        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Employment Standards Administration, Department of 
                Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 
                800--899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training, Department of Labor 
                (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development, International 
                Development Cooperation Agency (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  United States Information Agency (Parts 500--599)
        VI  United States Arms Control and Disarmament Agency 
                (Parts 600--699)
       VII  Overseas Private Investment Corporation, International 
                Development Cooperation Agency (Parts 700--799)
        IX  Foreign Service Grievance Board Regulations (Parts 
                900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Board for International Broadcasting (Parts 1300--
                1399)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

[[Page 728]]

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--deral 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs and Section 202 Direct Loan Program) 
                (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--999)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)

[[Page 729]]

        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary-Indian Affairs, 
                Department of the Interior (Part 1001)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Part 1200)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--799)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Bureau of Alcohol, Tobacco and Firearms, Department of 
                the Treasury (Parts 1--299)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--199)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)

[[Page 730]]

      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Pension and Welfare Benefits Administration, 
                Department of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Minerals Management Service, Department of the 
                Interior (Parts 200--299)
       III  Board of Surface Mining and Reclamation Appeals, 
                Department of the Interior (Parts 300--399)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
        VI  Bureau of Mines, Department of the Interior (Parts 
                600--699)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)
            Subtitle B--Regulations Relating to Money and Finance
         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 
                200--399)
        IV  Secret Service, Department of the Treasury (Parts 
                400--499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense

[[Page 731]]

       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)
      XXIX  Presidential Commission on the Assignment of Women in 
                the Armed Forces (Part 2900)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Corps of Engineers, Department of the Army (Parts 
                200--399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799)
        XI  National Institute for Literacy (Parts 1100-1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

[[Page 732]]

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
       XIV  Assassination Records Review Board (Parts 1400-1499)

             Title 37--Patents, Trademarks, and Copyrights

         I  Patent and Trademark Office, Department of Commerce 
                (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--499)
         V  Under Secretary for Technology, Department of Commerce 
                (Parts 500--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--99)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Rate Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--799)
         V  Council on Environmental Quality (Parts 1500--1599)

          Title 41--Public Contracts and Property Management

            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans 
                Employment and Training, Department of Labor 
                (Parts 61-1--61-999)

[[Page 733]]

            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System
       201  Federal Information Resources Management Regulation 
                (Parts 201-1--201-99) [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Parts 303-1--303-2)
       304  Payment from a Non-Federal Source for Travel Expenses 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Health Care Financing Administration, Department of 
                Health and Human Services (Parts 400--499)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 200--499)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10005)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

[[Page 734]]

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
      XXII  Christopher Columbus Quincentenary Jubilee Commission 
                (Parts 2200--2299)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Transportation (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

[[Page 735]]

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Department of Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  United States Agency for International Development 
                (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  United States Information Agency (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        35  Panama Canal Commission (Parts 3500--3599)
        44  Federal Emergency Management Agency (Parts 4400--4499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)

[[Page 736]]

        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399)
        54  Defense Logistics Agency, Department of Defense (Part 
                5452)
        57  African Development Foundation (Parts 5700--5799)
        61  General Services Administration Board of Contract 
                Appeals (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Research and Special Programs Administration, 
                Department of Transportation (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Highway Administration, Department of 
                Transportation (Parts 300--399)
        IV  Coast Guard, Department of Transportation (Parts 400--
                499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (Parts 
                300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)

[[Page 737]]

        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

                      CFR Index and Finding Aids

            Subject/Agency Index
            List of Agency Prepared Indexes
            Parallel Tables of Statutory Authorities and Rules
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 739]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of June 29, 1998)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Commission on Intergovernmental          5, VII
     Relations
Advisory Committee on Federal Pay                 5, IV
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development, United      22, II
     States
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Research Service                       7, XXXVII
  Energy, Office of                               7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Food and Nutrition Service                      7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Alcohol, Tobacco and Firearms, Bureau of          27, I
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX

[[Page 740]]

Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Arms Control and Disarmament Agency, United       22, VI
     States
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Assassination Records Review Board                36, XIV
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase From People Who Are
Board for International Broadcasting              22, XIII
Census Bureau                                     15, I
Central Intelligence Agency                       32, XIX
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Christopher Columbus Quincentenary Jubilee        45, XXII
     Commission
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               44, IV
  Census Bureau                                   15, I`
  Economic Affairs, Under Secretary               37, V
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Export Administration, Bureau of                15, VII
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office                     37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  Technology, Under Secretary for                 37, V
  Technology Administration                       15, XI
  Technology Policy, Assistant Secretary for      37, IV
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Product Safety Commission                5, LXXI; 16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Corporation for National and Community Service    45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Customs Service, United States                    19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII

[[Page 741]]

  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Under Secretary                 37, V
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
Elementary and Secondary Education, Office of     34, II
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             5, XXIII; 10, II, III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Enrichment Corporation, United States             10, XI
Environmental Protection Agency                   5, LIV; 40, I
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Administration, Office of                       5, XV
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                25, III, LXXVII; 48, 99
  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export Administration, Bureau of                  15, VII
Export-Import Bank of the United States           5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII

[[Page 742]]

Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               4, II
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       11, I
Federal Emergency Management Agency               44, I
  Federal Acquisition Regulation                  48, 44
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II; 49, III
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority, and General    5, XIV; 22, XIV
     Counsel of the Federal Labor Relations 
     Authority
Federal Law Enforcement Training Center           31, VII
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Pay, Advisory Committee on                5, IV
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Property Management Regulations System    41, Subtitle C
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Fishery Conservation and Management               50, VI
Food and Drug Administration                      21, I
Food and Nutrition Service                        7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Accounting Office                         4, I, II
General Services Administration                   5, LVII
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Property Management Regulations System  41, 101, 105
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
     of Certain Employees
[[Page 743]]

  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Great Lakes Pilotage                              46, III
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          5, XLV; 45, Subtitle A
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Health Care Financing Administration            42, IV
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Health Care Financing Administration              42, IV
Housing and Urban Development, Department of      5, LXV; 24, Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Human Development Services, Office of             45, XIII
Immigration and Naturalization Service            8, I
Independent Counsel, Office of                    28, VII
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Information Agency, United States                 22, V
  Federal Acquisition Regulation                  48, 19
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Intergovernmental Relations, Advisory Commission  5, VII
     on
Interior Department
  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  Minerals Management Service                     30, II

[[Page 744]]

  Mines, Bureau of                                30, VI
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            43, Subtitle A
  Surface Mining and Reclamation Appeals, Board   30, III
       of
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
  International Development, United States        22, II; 48, 7
       Agency for
  Overseas Private Investment Corporation         5, XXXIII; 22, VII
International Fishing and Related Activities      50, III
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                5, XXVIII; 28, I
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             4, II
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration and Naturalization Service          8, I
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  5, XLII
  Benefits Review Board                           20, VII
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Pension and Welfare Benefits Administration     29, XXV
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training, Office of    41, 61; 20, IX
       the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II
Management and Budget, Office of                  5, III, LXXVII; 48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II
Micronesian Status Negotiations, Office for       32, XXVII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II

[[Page 745]]

Mines, Bureau of                                  30, VI
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
National Aeronautics and Space Administration     5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National Archives and Records Administration      5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Bureau of Standards                      15, II
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National and Community Service, Corporation for   45, XII, XXV
National Council on Disability                    34, XII
National Credit Union Administration              12, VII
National Drug Control Policy, Office of           21, III
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III
     Administration
National Transportation Safety Board              49, VIII
National Weather Service                          15, IX
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Dairy Compact Commission                7, XIII
Nuclear Regulatory Commission                     5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Offices of Independent Counsel                    28, VI
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Panama Canal Commission                           48, 35
Panama Canal Regulations                          35, I
Patent and Trademark Office                       37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension and Welfare Benefits Administration       29, XXV
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
     Acquisition Regulation
[[Page 746]]

  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Postal Rate Commission                            5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Commission on the Assignment of      32, XXIX
     Women in the Armed Forces
Presidential Documents                            3
Prisons, Bureau of                                28, V
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Regional Action Planning Commissions              13, V
Relocation Allowances                             41, 302
Research and Special Programs Administration      49, I
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     13, I
Smithsonian Institution                           36, V
Social Security Administration                    20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  22, I
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV
Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Depositor Protection Oversight Board       12, XV
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     5, L
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Commercial Space Transportation                 14, III
  Contract Appeals, Board of                      48, 63
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II; 49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 49, V
  Research and Special Programs Administration    49, I
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A

[[Page 747]]

  Surface Transportation Board                    49, X
Transportation, Office of                         7, XXXIII
Temporary Duty (TDY) Travel Allowances            41, 301
Treasury Department                               5, XXI; 17, IV
  Alcohol, Tobacco and Firearms, Bureau of        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs Service, United States                  19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  International Investment, Office of             31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S., Scholarship Foundation          45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
United States Enrichment Corporation              10, XI
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training, Office of the  41, 61; 20, IX
     Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Vocational and Adult Education, Office of         34, IV
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I
World Agricultural Outlook Board                  7, XXXVIII


[[Page 749]]



                         Redesignation Table No. 1

                           Redesignation Table
------------------------------------------------------------------------
             New section                          Old section
------------------------------------------------------------------------
1228.1                                1228.1
1228.10                               1228.10
1228.12                               1228.12
1228.20(a)                            1228.30
1228.20(b)                            1228.60
1228.22                               1228.12
1228.22(a)                            ..................................
1228.22(b)                            1228.12(a)
1228.22(c)                            ..................................
1228.22(d)                            1228.12(b)
1228.22(e)                            1228.12(c)
1228.22(f)                            1228.12(d)
1228.24(a)                            1228.20(a)
1228.24(b)                            1228.20(b)
1228.24(b)(1)                         1228.20(b)(1)
1228.24(b)(2)                         1228.20(b)(3)
1228.24(b)(3)                         1228.20(b)(4)
1228.24(b)(4)                         1228.20(b)(5)
1228.24(c)                            1228.20(c)
1228.26(a)                            ..................................
1228.26(a)(1)                         1228.20(b)
1228.26(a)(2)                         1228.20(b)(6)
1228.26(b)                            1228.20(d)
1228.26(c)                            1228.20(e)
1228.28(a)                            ..................................
1228.28(b)(1)                         ..................................
1228.28(b)(2)                         ..................................
1228.28(b)(3)                         ..................................
1228.28 (b)(4) through (b)(7)         1228.32(b)
1228.28(b)(8)(i)                      1228.32(c)
1228.28(b)(8)(ii)                     1228.32(d)
1228.28(c)                            1228.34(a)
1228.28(c)(1)                         1228.34(b)
1228.28(c)(2)                         1228.34(c)
1228.30(a)                            ..................................
1228.30(b)                            ..................................
1228.30(c)                            1228.34(d)
1228.30(d)                            1228.64
1228.30(e)                            ..................................
1228.32                               1228.70
1228.40                               1228.22, 1228.22(a)(1) and
                                       1228.22(a)(2)
1228.42(a)                            1228.22(a)(3)
1228.42(b)                            1228.22(a)(4)
1228.42(c)                            1228.22(a)(5)
1228.44                               1228.22(b)
1228.46                               1228.22(c)
1228.50                               1228.22(h) and 1228.66
1228.50(a)                            ..................................
1228.50(a)(1)                         ..................................
1228.50(a)(2)                         ..................................
1228.50(a)(3)                         ..................................
1228.50(a)(4)                         1228.20(a), 1228.20(h), and
                                       1228.66
1228.50(b)                            ..................................
1228.50(c)                            ..................................
1228.50(c)(1)                         1228.20(g)(1)
1228.50(c)(2)                         1228.20(g)(2)
1228.50(c)(3)                         1228.20(g)(3)
1228.50(c)(4)                         ..................................
1228.50(d)                            1228.20(b)(6)
1228.52                               1228.68
1228.54 (a) through (f)               1228.72
1228.54(g)                            ..................................
1228.56                               1228.34(e)
1228.58(a)                            1228.74(a)
1228.58(b)                            1228.74(b)
1228.58(c)                            1228.74(d)
1228.60                               1228.74(c)
1228.70                               ..................................
1228.72                               ..................................
1228.74                               ..................................
1228.76                               ..................................
1228.92(a)                            1228.92(a)
1228.92(b)                            1228.92(b)
1228.92(b)(1)                         1228.92(b)(1)
1228.92(b)(2)                         1228.92(b)(2)
1228.92(d)                            1228.92(d)
1228.94                               1228.94
1228.100                              1228.100
1228.102                              1228.102
1228.104 (a) through (a)(4)           1228.104
1228.104(a)(5)                        ..................................
1228.124                              1228.124
1228.136                              1228.136
1228.152(a)(1)(i)                     1228.152(a)(1)(i)
------------------------------------------------------------------------



[[Page 751]]

                         Redesignation Table No. 2

                           Redesignation Table
------------------------------------------------------------------------
             Old section                          New section
------------------------------------------------------------------------
1152.735-401                          1152.735-402
1152.735-402                          1152.735-403
1152.735-403                          1152.735-404
1152.735-404                          1152.735-406
1152.735-405                          1152.735-407
1152.735-407                          1152.735-409
1152.735-408                          1152.735-410
1152.735-409                          1152.735-411
1152.735-410                          1152.735-412
1152.735-411                          1152.735-413
------------------------------------------------------------------------



[[Page 753]]



List of CFR Sections Affected




All changes in this volume of the Code of Federal Regulations which were 
made by documents published in the Federal Register since January 1, 
1986, are enumerated in the following list. Entries indicate the nature 
of the changes effected. Page numbers refer to Federal Register pages. 
The user should consult the entries for chapters and parts as well as 
sections for revisions.
For the period before January 1, 1986, see the ``List of CFR Sections 
Affected, 1949-1963, 1964-1972, and 1973-1985'' published in seven 
separate volumes.

                                  1986

36 CFR
                                                                   51 FR
                                                                    Page
Chapter IV
406  Added....................................................4577, 4579
406.103  Corrected..................................................7543
406.150  (c) corrected..............................................7543
406.170  (c) revised................................................4577
Chapter VII
701.3  Revised.....................................................22073
701.4  Amended.....................................................22073
701.5  Revised.....................................................22073
701.6  Amended.....................................................22073
701.9  Amended.....................................................22073
701.13  Revised....................................................22073
701.14  Revised....................................................22073
701.15  Revised....................................................22073
701.16  (b) amended................................................22073
701.17  Revised....................................................22074
701.20  Revised....................................................22074
701.21  Revised....................................................22074
701.23  Revised....................................................22074
701.24  Revised....................................................22074
701.25  Revised....................................................22074
701.26  Revised....................................................22074
701.27  Revised....................................................22074
701.28  Revised....................................................22074
701.29  Revised....................................................22075
701.30  Revised....................................................22075
701.31  Amended....................................................22075
701.32  Revised....................................................22075
    Correctly designated...........................................23537
701.33  (b) revised................................................22075
701.34  Revised....................................................22075
701.35  (b) amended................................................22075
703.6  (a)(2) amended..............................................22076
Chapter VIII
800  Revised.......................................................31118
812  Added; eff. 8-22-86....................................22893, 22896
812.170  (c) revised; eff. 8-22-86.................................22893
Chapter IX
904  Revised..................................................7014, 7022
909  Added; eff. 8-22-86....................................22894, 22896
909.170  (c) revised; eff. 8-22-86.................................22894
Chapter X
Chapter X  Chapter vacated.........................................23056
1000  Redesignated as 45 Part 2105 and nomenclature change.........23056
1002  Redesignated as 45 Part 2106 and nomenclature change.........23056
Chapter XI
1150.41  (f) through (i) amended...................................18789
1153  Revised......................................................17734
1155.3  (b)(1) revised; (b)(4)(i) removed; (b)(4) (ii) through 
        (iv) redesignated as (b)(4) (i) through (iii); new 
        (b)(4)(i) revised..........................................36804
Chapter XII
1228.22  (b) list amended..........................................23538
1228.74  (b) revised...............................................23538
1228.92  (e) revised...............................................23538
1228.104  (b) revised..............................................23538
1228.162  (a) revised..............................................23538
1236.8  (a) amended................................................23538
1239  Removed......................................................23538
1250.34  Revised...................................................23416
1250.38  Revised...................................................23416
1250.44  Revised...................................................23416
1250.58  (b) revised...............................................23416

[[Page 754]]

1254.20  (a) revised...............................................17187
1254.26  Added.....................................................17187
1254.27  Added.....................................................31617
1254.42  Redesignated as 1254.44 and (c) amended; new 1254.42 
        redesignated from 1254.44..................................22076
1254.44  Redesignated from 1254.42 and (c) amended.................22076
1254.48  Removed; new 1254.48 redesignated from 1254.56............22076
1254.50  Removed; new 1254.50 redesignated from 1254.58............22076
1254.52  Removed...................................................22076
1254.54  Removed...................................................22076
1254.56  Redesignated as 1254.48...................................22076
1254.58  Redesignated as 1254.50...................................22076
1254.71  Added.....................................................17187
1258.12  (c)(1) revised............................................17188
1260.1  Revised....................................................22076
1260.2  Removed....................................................22076
1260.10  Revised...................................................22076
1260.12  Introductory text revised.................................22077
1260.20--1260.22 (Subpart B)  Removed..............................22077
1275  Added.........................................................7230
1275.44  (b) corrected..............................................8671
1275.54  Heading corrected..........................................8671

                                  1987

36 CFR
                                                                   52 FR
                                                                    Page
Chapter VII
701.34  Revised....................................................34383
702.3  Revised.......................................................672
702.4  Redesignated as 702.5 and revised; new 702.4 added............672
702.5  Redesignated as 702.6; new 702.5 redesignated from 702.4 
        and revised..................................................672
702.6  Redesignated as 702.7; new 702.6 redesignated from 702.5......672
    Revised..........................................................673
702.7  Redesignated as 702.8; new 702.7 redesignated from 702.6......672
    Revised..........................................................673
702.8  Redesignated as 702.9; new 702.8 redesignated from 702.7......672
    Revised..........................................................673
702.9  Redesignated as 702.10; new 702.9 redesignated from 702.8 
                                                                     672
702.10  Redesignated as 702.11; new 702.10 redesignated from 702.9
                                                                     672
702.11  Redesignated as 702.12; new 702.11 redesignated from 
        702.10.......................................................672
702.12  Redesignated as 702.13; new 702.12 redesignated from 
        702.11.......................................................672
702.13  Redesignated as 702.14; new 702.13 redesignated from 
        702.12.......................................................672
702.14  Redesignated as 702.15; new 702.14 redesignated from 
        702.13.......................................................672
    Revised..........................................................673
702.15  Redesignated from 702.14.....................................672
    Revised..........................................................673
Chapter VIII
800.6  (a)(2) and (c)(2) corrected.................................25376
800.10  Introductory text designation (a) correctly removed........25376
800.12  (a) corrected..............................................25376
Chapter IX
902  Authority citation revised....................................26677
902.80  (b) revised................................................26677
902.81  Revised....................................................26677
902.82  Revised....................................................26677
902.83  Revised....................................................26679
903  Authority citation revised....................................34384
903.11  Redesignated as 903.12; new 903.11 added; interim..........34384
    Confirmed......................................................39224
903.12  Redesignated as 903.13; new 903.12 redesignated from 
        903.11; interim............................................34384
    Confirmed......................................................39224
903.13  Redesignated from 903.12; interim..........................34384
    Confirmed......................................................39224
904  Authority citation revised....................................48021
    Revised; eff. 4-2-89...........................................48022

[[Page 755]]

904.1  Heading revised; (a) and (b) redesignated as (a) (1) and 
        (2); introductory text designated as new (a) introductory 
        text; new (a) heading and (b) added........................48021
Chapter XI
1120.2  (h) through (o) added; interim.............................43195
1120.25  Amended; interim..........................................43195
1120.51  (a) revised; (b) and (c) redesignated as (e) and (f); new 
        (e) (1), (3) and (4) removed; new (e) (2) and (5) through 
        (8) redesignated as (e) (3) through (7); new (b), (c), 
        (d), (e) (1) and (2) and (g) added; new (f) amended; 
        interim....................................................43195
1120.53  (b) and (c) redesignated as (c) and (e); new (c) revised; 
        new (e) amended; new (b) and (d) added; interim............43196
1154  Added; eff. 7-6-87...........................................16380
1155  Revised......................................................47718
Chapter XII
1220.14  Amended...................................................34134
1228  Authority citation revised...................................34134
1228.32  Revised...................................................34134
1228.34  Revised...................................................34134
1228.36  Removed...................................................34134
1228.190  Revised..................................................34134
1228.192  Removed..................................................34135
1232.4  Revised......................................................948
1250.12  Revised...................................................29519
1250.30  Revised...................................................29519
1250.38  Removed...................................................29519
1250.40  Removed...................................................29519
1250.42  Removed...................................................29519
1250.44  Removed...................................................29519
1250.46  Removed...................................................29519
1250.37--1250.46 (Subpart D)  Added................................29519
1250.50--1250.60 (Subpart D)  Redesignated as Subpart E............29519
1250.50--1250.60 (Subpart E)  Redesignated from Subpart D..........29519
1250.70 (Subpart E)  Redesignated as Subpart F.....................29519
1250.70 (Subpart F)  Redesignated from Subpart E...................29519
1250.80 (Subpart F)  Redesignated as Subpart G.....................29519
1250.80 (Subpart G)  Redesignated from Subpart F...................29519
1250.50  (a) amended...............................................29521
1250.58  (c) revised...............................................29521
1250.70  (a)(7) revised............................................29521
1253.1  Revised....................................................23821
1253.3  (b) through (g) revised; (h) and (i) added.................23821
1253.4  Amended....................................................23821
1253.6  Revised....................................................23821
1254.70  Revised...................................................20080
1254.90--1254.102 (Subpart F)  Added...............................20081
1254.92  (a) and (c)(5)(i) corrected...............................22415
1254.96  (a)(1) corrected..........................................22415
1254.98  (d) corrected.............................................22415
1258.2  (c)(7) added...............................................29521
1258.12  (c)(3) amended............................................29521
1280.1--1280.8 (Subpart A)  Heading added..........................23821
1280.1  Revised and transferred to new Subpart A...................23822
1280.3--1280.8  Added..............................................23822
1280.10--1280.24 (Subpart A)  Redesignated as (Subpart B)..........23822
1280.12  Revised...................................................23822
1280.14  Introductory text, (a), and (b) revised...................23822
1280.20  (f) revised...............................................23823
1280.22  Added.....................................................23823
1280.24  Added.....................................................23823
1280.40--1280.48 (Subpart B)  Redesignated as (Subpart C)..........23822
1280.42  (a) revised...............................................23823
1280.44  Revised...................................................23823
1280.60--1280.62 (Subpart C)  Redesignated as (Subpart D) and 
        heading revised............................................23822
1280.60  Revised...................................................23823

                                  1988

36 CFR
                                                                   53 FR
                                                                    Page
Chapter IV
404  Revised.........................................................120
Chapter IX
902  Authority citation revised....................................10374
902.03  Amended....................................................10374
902.54  (a)(1) revised; (c) added..................................10374
Chapter XI
1150  Authority citation revised...................................39473
1150.4  Revised....................................................39473
1150.12  Revised...................................................39473

[[Page 756]]

1150.41  Revised...................................................39474
1150.51  Revised...................................................39474
1150.52  Redesignated from 1150.53.................................39474
1150.53  Redesignated as 1150.52; new 1150.53 redesignated from 
        1150.54....................................................39474
1150.54  Redesignated as 1150.53...................................39474
1153  Revised......................................................19777
1154.160  (d) removed; (e) redesignated as (d).....................24265
1155  Revised......................................................19780
1190.34  Added.....................................................35510
Chapter XII
1202.50  Revised...................................................12150
1202.54  Revised...................................................12150
1207  Added; eff. 10-1-88.....................................8072, 8087
1208  Added.................................................25884, 25885
1208.170  (c) revised..............................................25884
1209  Added; eff. 10-1-88...................................19193, 19204
    Nomenclature change; eff. 10-1-88..............................19194
1209.105  (w) added; eff. 10-1-88..................................19194
1228.154  Revised..................................................13408
1228.162  (a) and (b) revised......................................13409
1254.71  Heading, (a), (c), (d), (e) and (f) revised................1349
1256.4  Added.......................................................6821
1258.2  (a) revised; (c)(10) added.................................12151
    (a) revised....................................................23760
1258.11  Added.....................................................12151
1258.12  Revised...................................................12151
    (e) through (i) correctly designated as (d) through (h)........16257
    (a) revised; (b)(3) amended....................................23760
1258.16  Revised...................................................12151
1270  Added........................................................50404

                                  1989

36 CFR
                                                                   54 FR
                                                                    Page
Chapter IX
904  Regulations at 52 FR 48021 confirmed; see regulation codified 
        at 49 CFR 24................................................8912
Chapter XI
1153.2  (a)(10) removed; (a)(11) redesignated as (a)(10) and 
        revised....................................................32338
1153.4  (d)(1)(ii) removed; (d)(1) (iii) through (vi) redesignated 
        as (d)(1) (ii) through (v); introductory text, (d)(1) 
        introductory text and (1), and (i) revised.................32338
1153.6  (a)(2) removed; (a)(3) redesignated as (a)(2)..............32338
1155.1  (d)(11) revised............................................32338
1155.2  Introductory text, (a)(3), and (h) revised; (j) removed; 
        (k) redesignated as (j); new (j)(1) revised................32338
1155.3  (a)(2) revised; (a)(4) added...............................32338
1190  Authority citation revised....................................5443
1190.2  (e) removed.................................................5444
1190.3  Amended.....................................................5444
1190.7  Removed; new 1190.7 redesignated from 1190.9................5444
1190.8  Removed.....................................................5444
1190.9  Redesignated as 1190.7......................................5444
1190.30--1190.34 (Subpart C)  Redesignated as 1190.30--1190.34 
        (Subpart B).................................................5444
1190.31  Introductory text, (a), (k), (o), and (p) revised; (b) 
        introductory text and (1) table, (c), (d), (e), (f) 
        introductory text and (2), (g), (h), (i), (l), (m), (n), 
        (o), (r), (s), (1) table, and (t) amended; (j), (u), and 
        (v) added...................................................5444
    (g) and (t) corrected..........................................34977
1190.32  (a), (b) and (c) amended; (f) removed......................5446
1190.33  (a)(4) removed; (a)(2) and (3) redesignated as (a)(3) and 
        (4); (a)(1), (2), and new (3), (c)(1), (2), and (3) 
        amended; (c)(6)(i) through (vi) revised; new (a)(2) and 
        (c)(6)(vii) added...........................................5446
1190.40--1190.50 (Subpart C)  Redesignated from 1190.40--1190.240 
        (Subpart D) and revised.....................................5447
1190.40--1190.240 (Subpart D)  Redesignated as 1190.40--1190.50 
        (Subpart C) and revised.....................................5447
1190 (Subpart E)  Redesignated as (Subpart D) and section added.....5448
1190.60  Added......................................................5448
Chapter XII
1202  Nomenclature change..........................................32067

[[Page 757]]

1202.4  Amended....................................................32067
1202.46  (d) redesignated as (e); new (d) added....................32067
1202.48  (a) revised...............................................32067
1202.66  (a) revised...............................................32068
1202.68  Revised...................................................32068
1202.70  (a) revised...............................................32068
1209  Heading and authority citation revised........................4961
    Technical correction............................................6363
1209.305  (c) (3) and (4) amended; (c)(5) added; interim......4950, 4961
1209.320  (a) revised; interim................................4950, 4961
1209.600--1209.630 (Subpart F)  Added; interim................4950, 4961
1209  Appendix C added; interim...............................4950, 4961
1228  Authority citation revised....................................2111
1228.152  (f) revised...............................................3778
1228.180  Revised...................................................2111
1250  Authority citation revised...................................32068
1250.58  (b) and (c) amended; (a) revised..........................32068
1250.60  Amended...................................................32068
1250.75 (Subpart G)  Added.........................................32068
1250.80 (Subpart G)  Redesignated as 1250.80 (Subpart H)...........32068
1250.80 (Subpart H)  Redesignated from 1250.80 (Subpart G).........32068
1254  Authority citation revised...................................32069
1254.30  Revised...................................................32069
1254.38  Added.....................................................32069
1254.39  Added.....................................................32070
1254.44  (a) amended...............................................32070

                                  1990

36 CFR
                                                                   55 FR
                                                                    Page
Chapter III
327  Authority citation revised....................................30697
327.30  Revised....................................................30697
Chapter VII
704  Added.........................................................32566
704.20  Added......................................................32570
704.21  Added......................................................52845
704.30 (Subpart B)  Added..........................................32571
Chapter XI
1120.2  Regulation at 52 FR 43195 confirmed; (h) through (o) 
        revised.....................................................2519
1120.23  Amended....................................................2520
1120.51  Regulation at 52 FR 43195 confirmed; revised...............2520
1120.53  Regulation at 52 FR 43195 confirmed; (b) through (e) 
        revised.....................................................2521
1155.2  (h) revised; (k) added.....................................12639
Chapter XII
1206.1--1206.6  Designated as Subpart A............................21542
1206.2  (b) and (c) revised; (d) through (g) added.................21542
1206.4  Revised....................................................21542
1206.6  Revised....................................................21542
1206.10--1206.22 (Subpart A)  Redesignated as 1206.10--1206.20 
        (Subpart B) and revised....................................21542
1206.10--1206.20 (Subpart B)  Redesignated from 1206.10--1206.22 
        (Subpart A) and revised....................................21542
1206.30--1206.38 (Subpart B)  Redesignated as 1206.30--1206.34 
        (Subpart C) and revised....................................21543
1206.30--1206.38 (Subpart C)  Redesignated from 1206.30--1206.38 
        (Subpart B) and revised....................................21543
1206.50--1206.94 (Subpart C)  Redesignated as 1206.50--1206.94 
        (Subpart D) and revised....................................21544
1206.50--1206.94 (Subpart D)  Redesignated form 1206.50--1206.94 
        (Subpart C) and revised....................................21544
1209.305  Regulation at 54 FR 4950, 4960 confirmed.................21699
1209.320  Regulation at 54 FR 4950, 4960 confirmed.................21699
1209.600--1209.635 (Subpart F)  Revised; eff. in part 7-24-90.....21688, 
                                                                   21700
1209  Appendix C Revised; eff. in part 7-24-90..............21690, 21700
1220  Authority citation revised...................................27427
1220.14  Amended............................................27423, 27427
1222  Revised......................................................27423
1222.12  (b)(5) corrected..........................................31982
1222.36  (b) corrected.............................................28136
    (a)(3) corrected...............................................31982
1224  Removed......................................................27426
1228.1  Revised....................................................27428
1228.10--1228.12 (Subpart A)  Revised..............................27428
1228.20--1228.32 (Subpart B)  Revised..............................27429
1228.26  (a)(2) corrected..........................................28136

[[Page 758]]

1228.28  (c) corrected.............................................31982
1228.40--1228.46 (Subpart C)  Revised..............................27430
1228.50--1228.60 (Subpart D)  Revised..............................27431
1228.70--1228.76 (Subpart E)  Added................................27433
1228.90--1228.94 (Subpart E)  Redesignated as 1228.90--1228.94 
        (Subpart F)................................................27433
1228.90--1228.94 (Subpart F)  Redesignated from 1228.90--1228.94 
        (Subpart E)................................................27433
1228.92  (a), (b), and (d) revised.................................27433
1228.94  Revised...................................................27433
1228.100--1228.106 (Subpart F)  Redesignated as 1228.100--1228.106 
        (Subpart G)................................................27433
1228.100--1228.106 (Subpart G)  Redesignated from 1228.100--
        1228.106 (Subpart F) and heading revised...................27433
1228.100  Revised..................................................27433
1228.102  Revised..................................................27434
1228.104  (a) introductory text, (3), and (4) revised; (a)(5) 
        added......................................................27434
1228.120--1228.136 (Subpart G)  Redesignated as 1228.120--1228.136 
        (Subpart H)................................................27433
1228.120--1228.136 (Subpart H)  Redesignated from 1228.120--
        1228.136 (Subpart G).......................................27433
1228.124  (d) amended; (e) revised; (f) removed....................27434
1228.136  Revised..................................................27434
1228.150--1228.164 (Subpart H)  Redesignated as 1228.150--1228.164 
        (Subpart I)................................................27433
1228.150--1228.164 (Subpart I)  Redesignated from 1228.150--
        1228.164 (Subpart H).......................................27433
1228.152  (a)(1)(i) revised........................................27434
1228.164  (b) and (c) revised......................................27434
1228.180--1228.200 (Subpart I)  Redesignated as 1228.180--1228.200 
        (Subpart J)................................................27433
1228.180--1228.200 (Subpart J)  Redesignated from 1228.180--
        1228.200 (Subpart I).......................................27433
1228.220--1228.224 (Subpart J)  Redesignated as 1228.220--1228.224 
        (Subpart K)................................................27433
1228.220--1228.224 (Subpart K)  Redesignated from 1228.220--
        1228.224 (Subpart J).......................................27433
1230.1--1230.4  Designated as Subpart A and revised................27435
1230.3  Added......................................................27436
1230.10--1230.14 (Subpart A)  Redesignated as 1230.10--1230.16 
        (Subpart B)................................................27435
1230.10--1230.16 (Subpart B)  Redesignated from 1230.10--1230.14 
        (Subpart A)................................................27435
    Revised........................................................27436
1230.20--1230.26 (Subpart B)  Redesignated as 1230.20--1230.26 
        (Subpart C)................................................27435
1230.20--1230.26 (Subpart C)  Redesignated from 1230.20--1230.26 
        (Subpart B).........................................27435, 27438
    Revised........................................................27438
1230.50--1230.52 (Subpart C)  Redesignated as 1230.50--1230.52 
        (Subpart D)................................................27435
1230.50--1230.52 (Subpart D)  Redesignated from 1230.50--1230.52 
        (Subpart C)................................................27435
1234  Revised......................................................19218
1234.20--1234.32 (Subpart C)  Subpart heading corrected............23730
1280.12  Redesignated as 1280.16; new 1280.12 added................29577
    Correctly designated as 1280.16................................33904
1280.14  Redesignated as 1280.18; new 1280.14 added................29577
    Correctly designated as 1280.18................................33904
1280.16  Redesignated as 1280.12; new 1280.16 redesignated from 
        1280.20....................................................29577
    Revised........................................................29578
    Correctly designated as 1280.20................................33904
    Correctly designated from 1280.12..............................33904
1280.18  Redesignated as 1280.22; new 1280.18 redesignated from 
        1280.14....................................................29577
    (b) revised....................................................29578
    Correctly designated from 1280.14..............................33904
    Correctly designated as 1280.22................................33904
1280.20  Redesignated as 1280.24; new 1280.20 redesignated from 
        1280.16....................................................29577

[[Page 759]]

    Correctly designated as 1280.24................................33904
    Correctly designated from 1280.16..............................33904
1280.22  Redesignated as 1280.26; new 1280.22 redesignated from 
        1280.18....................................................29577
    Correctly designated as 1280.26................................33904
    Correctly designated from 1280.18..............................33904
1280.24  Redesignated as 1280.28...................................29577
    Correctly designated as 1280.28................................33904
    Correctly designated from 1280.20..............................33904
1280.26  Redesignated from 1280.22.................................29577
    Correctly designated from 1280.22..............................33904
1280.28  Redesignated from 1280.24.................................29577
    Correctly designated from 1280.24..............................33904
1284  Added........................................................25307

                                  1991

36 CFR
                                                                   56 FR
                                                                    Page
Chapter III
327.30  (k) amended; eff. 10-1-91..................................29587
    Regulation at 56 FR 29587 effective date stayed................49706
327.31  Added; eff. 10-1-91........................................29587
    Regulation at 56 FR 29587 effective date stayed................49706
    Revised........................................................61163
    Corrected......................................................65190
Chapter VII
704.22  Added......................................................49414
Chapter XI
1152  Authority citation revised.....................................958
1152.735-102  (b) through (f) revised; (g) added.....................958
1152.735-103  Revised................................................958
1152.735-104  Removed; new 1152.735-104 redesignated from 
        1152.735-105; (a) designation, (b) and concluding text 
        removed......................................................958
1152.735-105  Redesignated as 1152.735-104...........................958
1152.735-203  (c) amended............................................958
1152.735-204  Revised................................................958
1152.735-209  Added..................................................959
1152.735-210  (c) revised; introductory text republished.............959
1152.735-401  Redesignated as 1152.735-402; new 1152.735-401 added
                                                                     959
1152.735-402  Redesignated as 1152.735-403; new 1152.735-402 
        redesignated from 1152.735-401 and revised...................959
1152.735-403  Redesignated as 1152.735-404; new 1152.735-403 
        redesignated from 1152.735-402...............................959
1152.735-404  Redesignated as 1152.735-406; new 1152.735-404 
        redesignated from 1152.735-403 and revised...................959
1152.735-405  Redesignated as 1152.735-407...........................959
    Added............................................................960
1152.735-406  Redesignated from 1152.735-404.........................959
    Revised..........................................................960
1152.735-407  Redesignated as 1152.735-409; new 1152.735-407 
        redesignated from 1152.735-405...............................959
    (a) revised......................................................960
1152.735-408  Redesignated as 1152.735-410...........................959
    Added............................................................960
1152.735-409  Redesignated as 1152.735-411; new 1152.735-409 
        redesignated from 1152.735-407...............................959
1152.735-410  Redesignated as 1152.735-412; new 1152.735-410 
        redesignated from 1152.735-408...............................959
1152.735-411  Redesignated as 1152.735-413; new 1152.735-411 
        redesignated from 1152.735-409...............................959
    Revised..........................................................960
1152.735-412  Redesignated from 1152.735-410.........................959
1152.735-413  Redesignated from 1152.735-411.........................959
    Revised..........................................................960
1152  Appendix A removed.............................................960
1155.1  (c) revised.................................................2851
1191  Added........................................................35453
    Authority citation revised.....................................45518

[[Page 760]]

1191.1  Corrected..................................................38174
    Revised........................................................45518
1191  Appendix amended...............................45518, 45520, 45526
1192  Added........................................................45558
Chapter XII
1222.36  (a)(3) corrected; CFR correction...........................3978
1222.42  Revised...................................................26336
1228.152  (e) revised..............................................14026
    (e)(4) corrected...............................................15134
    (e)(2) introductory text correctly revised.....................23648
1253.4  Revised.....................................................2134
1253.6  Introductory text and (d) removed; (e) through (m) 
        redesignated as (d) through (l); heading, (c) and new (e) 
        revised.....................................................2134
1253.7  Added.......................................................2134
1254  Authority citation revised...................................58312
1254.2  (a) revised.................................................2135
1254.4  (d) through (f) redesignated as (e) through (g); new (d) 
        added.......................................................2135
1254.12  Revised....................................................2135
1254.20  (c) added..................................................2135
1254.26  (a) through (f) redesignated as (b) through (g); new (a) 
        added; new (b) revised......................................2135
    (b) and (e) introductory text revised..........................58312
1254.38  (e) revised................................................2136
1254.71  Revised....................................................2136
    (b)(1), (c)(1) and (2) corrected................................5731
1258.2  (c)(1) through (6) revised..................................3776
1258.10  (a) revised................................................3777
1258.11  Revised....................................................3777
1258.12  Revised....................................................3777
    (b)(1) correctly revised........................................5652
1258.16  Revised....................................................3777
1280.2  Added.......................................................2137

                                  1992

36 CFR
                                                                   57 FR
                                                                    Page
Chapter III
327.30  Appendix C amended..................................21895, 29220
Chapter XI
1191  Appendix corrected......................................1393, 1396
Chapter XII
1202.32  Revised...................................................22430
1202.100  Revised..................................................22430
1220.2  Revised....................................................19807
1220.14  Amended...................................................19807
1220.34  Revised...................................................19807
1220.36  Revised...................................................19807
1228.30  (b)(3) revised............................................22432
1228.74  Revised...................................................22432
1228.76  Revised...................................................22432
    Corrected......................................................24308
1228.78  Added.....................................................22432
1228.150  Amended..................................................21742
1228.180  (a)(2) and (c) revised...................................22432
1228.182  (a)(2)(ii) revised; (b)(2) and (3)(ii) amended...........22432
1228.183  Added....................................................22433
1228.184  Introductory text, (a) introductory text, (b) 
        introductory text, (1), (c) introductory text and (e)(1) 
        revised....................................................22433
1228.186  Introductory text revised................................22433
1228.188  Revised..................................................22433
1228.190  (b)(2) amended...........................................22432
    (b)(1) revised.................................................22434
1228.192  Added....................................................22434
1228.194  Revised..................................................22434
1228.198  (a) and (b)(4) revised...................................22434
1238.2  Revised....................................................19807
1250  Authority citation revised...................................22430
1250.34  Amended...................................................22430
1250.58  (a) and (c) revised.......................................22430
1253.2  Amended....................................................21742
1253.3  (b), (c), (e), (g) and (h) revised; (j) added..............21742
1253.5  (a) revised................................................21742
1253.6  (c), (d), (h), (i) and (k) revised.........................21742
1253.7  (b) and (j) revised........................................21742
1254.26  (e) introductory text amended; (h) added..................46306
1254.38  (f)(1) and (4) revised....................................22431
1258.2  (c)(3), (6)(ii) and (8) revised............................21743
1258.4  Introductory text and (f) revised; (g) through (i) removed
                                                                   21743
1258.12  (g) revised...............................................21743
1258.12  (g) and (h) redesignated as (h) and (i); new (g) added; 
        interim....................................................46306
    Confirmed......................................................60997
1258.14  Revised...................................................21743
1260.1  Revised....................................................21744

[[Page 761]]

1260.12  (a), (c) introductory text, (2) and (d) revised; (e) 
        added......................................................21744
1260.46  (b) and (c) revised.......................................21744

                                  1993

36 CFR
                                                                   58 FR
                                                                    Page
Chapter VII
704  Authority citation revised....................................30708
704.10  Revised; eff. 7-12-93......................................30708
704.11  Revised; eff. 7-12-93......................................30709
Chapter XI
1191  Authority citation revised...................................38211
    Appendix redesignated as appendix A and amended................38211
Chapter XII
1222.20  (b)(1) revised............................................49194
1230.1  Revised....................................................49194
1230.3  Revised....................................................49194
1230.4  Amended....................................................49195
1230.7 (Subpart B)  Added..........................................49195
1230.10--1230.16 (Subpart B)  Redesignated as Subpart C............49195
1230.12  (d)(1)(i) and (2) revised.................................49195
1230.14  (a) and (b) revised; (c), (d)(1)(i) and (2) amended.......49195
1230.16  Revised...................................................49196
1230.20--1230.26 (Subpart C)  Redesignated as Subpart D............49195
1230.20  Revised...................................................49196
1230.22  (a)(6) removed; (a)(7) and (8) redesignated as (a)(6) and 
        (7); (a)(1), (4)(i), (5) and new (a)(7) revised............49196
1230.24  (a) revised...............................................49196
1230.26  (a) revised...............................................49196
1230.50--1230.52 (Subpart D)  Redesignated as Subpart E............49195
1232.6  Nomenclature change........................................28506

                                  1994

36 CFR
                                                                   59 FR
                                                                    Page
Chapter VII
701  Authority citation revised....................................55811
701.35  Revised....................................................55812
704  Authority citation revised....................................35034
704.23  Added......................................................35034
704.24  Added......................................................35035
704.30 (Subpart B)  Removed........................................35035
705  Added.........................................................38367
Chapter XI
1191  Authority  citation revised..................................31744
    Technical  correction..........................................32751
1191.2  Added......................................................17446
1191  appendix A amended; interim; eff. 12-20-94...................31745
Chapter XII
1220.14  Amended; eff. 7-5-94......................................28783
1220.42  Added; eff. 7-5-94........................................28783
1220.50--1220.60 (Subpart C)  Revised; eff. 7-5-94.................28783
1252.1  Revised; eff. 7-6-94.......................................29191
1252.2  Amended; eff. 7-6-94.......................................29191
1253.1  Revised.....................................................6901
1253.2  Revised; interim............................................6900
    Regulation  at 59 FR 6900 confirmed............................23638
1254.1  (a) and (d) amended; (b) and (e) revised; eff. 7-6-94......29192
1254.2  Heading and (b) revised; (a), (c) and (d) amended; eff. 7-
        6-94.......................................................29192
1254.4  (a), (b) and (d) amended; (c) revised; eff. 7-6-94.........29192
1254.8  (c) amended; eff. 7-6-94...................................29192
1254.10  Revised; eff. 7-6-94......................................29192
1254.12  Revised; eff. 7-6-94......................................29192
1254.14  Revised; eff. 7-6-94......................................29193
1254.16  Revised; eff. 7-6-94......................................29193
1254.17  Redesignated from 1254.22 and revised; eff. 7-6-94........29193
1254.18  Amended; eff. 7-6-94......................................29192
1254.20  (b) amended; eff. 7-6-94..................................29192
    (a)  revised; eff. 7-6-94......................................29193
1254.22  Redesignated as 1254.17; eff. 7-6-94......................29193
1254.26  (e)(2) amended; eff. 7-6-94...............................29192
    Heading,  (a), (b), (d), (f) and (h)(1) revised; eff. 7-6-94 
                                                                   29193
1254.27  (c)(2),  (f)(2), (4) and (5) amended; eff. 7-6-94.........29192
    Heading,  (b), (f) introductory text, (3) and (6) revised; 
(a), (c)(2) and (3) amended; eff. 7-6-94...........................29194
1254.35  Added; eff. 7-6-94........................................29194
1254.36  Revised; eff. 7-6-94......................................29194
1254.40  Revised; eff. 7-6-94......................................29194
1254.42  Redesignated as 1260.2; eff. 7-6-94................29194, 29196

[[Page 762]]

1254.48  (a) and (c) revised; eff. 7-6-94..........................29194
1254.50  Revised; eff. 7-6-94......................................29194
1254.70  (a) amended; eff. 7-6-94..................................29192
    (b)  revised; eff. 7-6-94......................................29194
1254.71  (c)(1), (2), (3), (d) introductory text, (2), (4) and (5) 
        amended; eff. 7-6-94.......................................29192
    (a),  (b)(1), (2)(i), (d)(3), (6), (f) and (g)(1) revised; 
eff. 7-6-94........................................................29194
1254.72  Revised; eff. 7-6-94......................................29195
1254.74  Revised; eff. 7-6-94......................................29195
1254.76  Revised; eff. 7-6-94......................................29195
1254.90  (a) revised; eff. 7-6-94..................................29195
1254.92  (c)(5) introductory text, (i), (ii) and (6) redesignated 
        as (d) introductory text, (1), (2) and (e); heading, (a) 
        and new (d)(2) revised; eff. 7-6-94........................29195
    (c)(1)  introductory text amended; eff. 7-6-94.................29192
1254.94  (b), (f) introductory text, (3), (g) introductory text 
        through (6), (h) and (i) amended; eff. 7-6-94..............29192
1254.96  (a) introductory text through (3), (5) and (b) amended; 
        eff. 7-6-94................................................29192
    (a) introductory text amended; eff. 7-6-94.....................29195
1254.98  (a), (c), and (d) amended; eff. 7-6-94....................29192
1254.100  (b), (c) and (d) amended; eff. 7-6-94....................29192
1254.102  (d) amended; eff. 7-6-94.................................29192
1260.2  Redesignated from 1254.42; eff. 7-6-94..............29194, 29196

                                  1995

36 CFR
                                                                   60 FR
                                                                    Page
Chapter VII
701.5  Existing text designated as (b); new (a) added..............34853
701.6  Existing text designated as (a); new (a) amended; (b), (c) 
        and (d) added..............................................34853
Chapter XII
1207.36  (d), (g), (h) and (i) revised......................19639, 19643
1209.100  Revised; eff. 8-25-95.............................33040, 33058
1209.105  Amended; eff. 8-25-95.............................33041, 33058
1209.110  (c) revised; eff. 8-25-95.........................33041, 33058
1209.200  Revised; eff. 8-25-95.............................33041, 33058
1209.215  Revised; eff. 8-25-95.............................33041, 33058
1209.220  Revised; eff. 8-25-95.............................33041, 33058
1209.225  Revised; eff. 8-25-95.............................33041, 33058
1209  Appendixes A and B revised; eff. 8-25-95..............33042, 33058
1210  Added; interim...............................................53515
1220.14  Amended...................................................44639
1220.42  Revised...................................................44639
1222  Heading revised..............................................44639
1222.20  (b)(1) and (5) revised....................................44640
1222.30  (b) revised...............................................44640
1222.32  Introductory text revised.................................44640
1222.34  (d) redesignated as (f); new (d), (e) and (g) added.......44640
1222.50  (b)(3) through (8) redesignated as (b)(4) through (9); 
        (a), (b)(2), new (4), new (6) and new (8) revised; new 
        (b)(3) added...............................................44640
1228  Authority citation revised...................................44640
1228.1  (e) added..................................................44640
1230  Heading revised..............................................13908
1230.12  (d)(1)(i) amended.........................................13908
1234.1  Revised....................................................44640
1234.2  Amended....................................................44641
1234.10  (e) through (l) redesignated as (f) through (m); (d), new 
        (f), new (g), new (h) and new (m) amended; new (e) added 
                                                                   44641
1234.20  (a) and (b) amended.......................................44641
1234.22  (a) and (b) amended.......................................44641
1234.24  Redesignated as 1234.26; new 1234.24 added................44641
1234.26  Redesignated as 1234.28; new 1234.26 redesignated from 
        1234.24....................................................44641
1234.28  Redesignated as 1234.30; new 1234.28 redesignated from 
        1234.26....................................................44641
1234.30  Redesignated as 1234.32; new 1234.30 redesignated from 
        1234.28....................................................44641

[[Page 763]]

1234.32  Redesignated as 1234.34; new 1234.32 redesignated from 
        1234.30....................................................44641
    Heading revised; (a) amended; (d) added........................44642
1234.34  Redesignated from 1234.32.................................44641
    (c) added......................................................44642
1236  Revised......................................................29990
1253.3  Introductory text added; (a) through (f), (h), (i) and (j) 
        revised; interim...........................................40416
1253.4  Revised; interim...........................................40417
1253.5  Revised; interim...........................................40417
1253.6  Revised; interim...........................................40417
1253.7  Revised; interim...........................................40417
1258.2  (c)(1) through (5) revised; interim.........................5580
    Regulation at 60 FR 5580 confirmed.............................26828
1258.12  (b) removed; interim.......................................5580
    Regulation at 60 FR 5580 confirmed.............................26828
Chapter XIV
    Chapter XIV Established........................................33349
1405  Added........................................................45336
1410  Added........................................................45339
1415  Added........................................................64123

                                  1996

36 CFR
                                                                   61 FR
                                                                    Page
Chapter III
327  Authority citation revised....................................18500
Chapter VII
701.33  (a)(4) revised.............................................49262
Chapter IX
Chapter  IX Note added.............................................11308
Chapter XI
1191.2  Revised....................................................39324
Chapter XII
1206.1  Revised.....................................................5656
1206.2  (e), (f) and (g) revised....................................5656
1206.6  Revised.....................................................5657
1206.7  Added.......................................................5657
1206.10  Revised....................................................5657
1206.12  Revised....................................................5657
1206.14  Removed....................................................5657
1206.16  Revised....................................................5657
1206.18  (a) and (c) revised........................................5657
1206.20  Revised....................................................5657
1206.30  Revised....................................................5657
1206.32  Revised....................................................5657
1206.34  Removed....................................................5657
1206.36  Revised....................................................5657
1206.38  Revised....................................................5658
1206.50  (c) revised................................................5658
1206.52  Revised....................................................5658
1206.54  Revised....................................................5658
1206.56  Revised....................................................5658
1206.58  (b), (c) and (d) revised...................................5658
1206.66  (b) and (c) revised........................................5659
1206.68  Revised....................................................5659
1206.78  Revised....................................................5659
1206.79  Added......................................................5660
1206.94  Revised....................................................5660
1210  Regulation at 60 FR 53515 confirmed...........................5660
1228.32  Revised...................................................19554
    (a) corrected..................................................24702
1228.54  (a) and (g) revised; (h) added............................19554
    Second (h)(2) and (3) correctly designated as (h)(3) and 
(h)(4); (g) and new (h)(3) corrected...............................24702
1228.150  Table revised............................................19554
1228.164  (c) revised..............................................19555
1228.184  Revised; eff. 7-24-96....................................32336
1232  Revised; eff. 7-24-96........................................32337
1253.3  Regulation at 60 FR 40416 confirmed; (d) revised.............390
1253.4  Regulation at 60 FR 40417 confirmed..........................390
    Revised........................................................14972
1253.5  Regulation at 60 FR 40417 confirmed..........................390
1253.6  Regulation at 60 FR 40417 confirmed; (h), (i) and (m) 
        revised......................................................390
1253.7  Regulation at 60 FR 40417 confirmed; (g), (h), (l) and (m) 
        revised......................................................390
1275.16  (e) and (g) revised.......................................17844
1275.20  Revised...................................................17845
1275.42  (a) revised; interim......................................17845
1275.44  (e) added; interim........................................17845
1275.46  (d), (f) and (i)(2) amended...............................17845
1275.48  (a) revised; interim......................................17845
1275.56  Amended...................................................17846
1275.64  (b) amended...............................................17846
    (d) and (e) added; interim.....................................17846
1275.66  (a) revised...............................................17846
1275.70  (a) and (b) amended.......................................17846
1275  Appendix A added.............................................17846

[[Page 764]]

                                  1997

36 CFR
                                                                   62 FR
                                                                    Page
Chapter VII
701.8  Revised.....................................................64280
703  Revised.......................................................50254
Chapter XII
1207  Authority citation revised...................................45943
1207.26  (a), (b) introductory text and (1) revised.........45939, 45943
1210.26  (a), (b) and (c) revised...........................45939, 45943
1228.188  Revised..................................................54584
1234.30  (a)(4) revised............................................54585
1256  Authority citation revised...................................31724
1256.50--1256.60 (Subpart C)  Added; eff. 7-11-97..................31725
1258.2  (c)(1), (3), (4) and (5) revised; (c)(6)(v) added; (c)(10) 
        removed; eff. 7-14-97......................................32203
1258.4  (f) introductory text revised; eff. 7-14-97................32203
1258.10  (a) revised; eff. 7-14-97.................................32203
1258.11  Removed; eff. 7-14-97.....................................32203
1258.12  (a) through (f) revised; (g) removed; (h) and (i) 
        redesignated as (g) and (h); eff. 7-14-97..................32203
1258.16  Revised; eff. 7-14-97.....................................32204

                                  1998

   (Regulations published from January 1, 1998, through July 1, 1998)

36 CFR
                                                                   63 FR
                                                                    Page
Chapter III
327.30  Appendixes A and C amended; eff. 8-17-98...................35828
Chapter VII
701.35  Revised.....................................................8854
Chapter X
Chapter  X Established; interim....................................35697
Chapter XI
1151  Revised.......................................................1924
1153  Removed.......................................................1926
1155  Removed.......................................................1926
1191  Appendix A amended......................................2016, 2071
1193  Added.........................................................5630
Chapter XII
1220.40  Amended...................................................35829
1220.54  Amended...................................................35829
1222.20  (b)(3) amended............................................35829
1228  General Records Schedule No. 20..............................19369
1228.26  Amended...................................................35829
1228.46  Amended...................................................35829
1228.50  Amended...................................................35829
1228.54  Amended...................................................35829
1228.60  Amended...................................................35829
1228.74  Amended...................................................35829
1228.78  Amended...................................................35829
1228.92  Amended...................................................35829
1228.94  Amended...................................................35829
1228.104  Amended..................................................35829
1228.124  Amended..................................................35829
1228.152  Amended..................................................35829
1228.154  Amended..................................................35829
1228.156  Amended..................................................35829
1228.190  Amended..................................................35829
1228.222  (a)(3) amended...........................................35829
1228.224  Amended..................................................35829
1230.7  Amended....................................................35829
1230.50  Amended...................................................35830
1234.10  (a) amended...............................................35830
1238.2  Amended....................................................35830