[Title 1 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2020 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 1
General Provisions
Revised as of January 1, 2019
Containing a codification of documents of general
applicability and future effect
As of January 1, 2019
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
U.S. GOVERNMENT OFFICIAL EDITION NOTICE
Legal Status and Use of Seals and Logos
The seal of the National Archives and Records Administration
(NARA) authenticates the Code of Federal Regulations (CFR) as
the official codification of Federal regulations established
under the Federal Register Act. Under the provisions of 44
U.S.C. 1507, the contents of the CFR, a special edition of the
Federal Register, shall be judicially noticed. The CFR is
prima facie evidence of the original documents published in
the Federal Register (44 U.S.C. 1510).
It is prohibited to use NARA's official seal and the stylized Code
of Federal Regulations logo on any republication of this
material without the express, written permission of the
Archivist of the United States or the Archivist's designee.
Any person using NARA's official seals and logos in a manner
inconsistent with the provisions of 36 CFR part 1200 is
subject to the penalties specified in 18 U.S.C. 506, 701, and
1017.
Use of ISBN Prefix
This is the Official U.S. Government edition of this publication
and is herein identified to certify its authenticity. Use of
the 0-16 ISBN prefix is for U.S. Government Publishing Office
Official Editions only. The Superintendent of Documents of the
U.S. Government Publishing Office requests that any reprinted
edition clearly be labeled as a copy of the authentic work
with a new ISBN.
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 1:
Chapter I--Administrative Committee of the Federal
Register 3
Chapter II--Office of the Federal Register 35
Chapter III--Administrative Conference of the United
States 41
Chapter IV--Miscellaneous Agencies 63
Chapter V [Reserved]
Chapter VI--National Capital Planning Commission 95
Finding Aids:
Table of CFR Titles and Chapters........................ 137
Alphabetical List of Agencies Appearing in the CFR...... 157
List of CFR Sections Affected........................... 167
[[Page iv]]
----------------------------
Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 1 CFR 1.1 refers to
title 1, part 1, section
1.
----------------------------
[[Page v]]
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, January 1, 2019), 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.
PAST PROVISIONS OF THE CODE
Provisions of the Code that are no longer in force and effect as of
the revision date stated on the cover of each volume are not carried.
Code users may find the text of provisions in effect on any given date
in the past by using the appropriate List of CFR Sections Affected
(LSA). For the convenience of the reader, a ``List of CFR Sections
Affected'' is published at the end of each CFR volume. For changes to
the Code prior to the LSA listings at the end of the volume, consult
previous annual editions of the LSA. For changes to the Code prior to
2001, consult the List of CFR Sections Affected compilations, published
for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.
``[RESERVED]'' TERMINOLOGY
The term ``[Reserved]'' is used as a place holder within the Code of
Federal Regulations. An agency may add regulatory information at a
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used
editorially to indicate that a portion of the CFR was left vacant and
not accidentally dropped due to a printing or computer error.
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.
What if the material incorporated by reference cannot be found? If
you have any problem locating or obtaining a copy of material listed 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, 8601 Adelphi Road, College Park, MD 20740-6001,
or call 202-741-6010.
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 Authorities
and Rules. A list of CFR titles, chapters, subchapters, and parts and an
alphabetical list of agencies publishing in the CFR are also included in
this volume.
[[Page vii]]
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.
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 202-741-6000
or write to the Director, Office of the Federal Register, National
Archives and Records Administration, 8601 Adelphi Road, College Park, MD
20740-6001 or e-mail [email protected].
SALES
The Government Publishing Office (GPO) processes all sales and
distribution of the CFR. For payment by credit card, call toll-free,
866-512-1800, or DC area, 202-512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or
fax your order to 202-512-2104, 24 hours a day. For payment by check,
write to: US Government Publishing Office - New Orders, P.O. Box 979050,
St. Louis, MO 63197-9000.
ELECTRONIC SERVICES
The full text of the Code of Federal Regulations, the LSA (List of
CFR Sections Affected), The United States Government Manual, the Federal
Register, Public Laws, Public Papers of the Presidents of the United
States, Compilation of Presidential Documents and the Privacy Act
Compilation are available in electronic format via www.ofr.gov. For more
information, contact the GPO Customer Contact Center, U.S. Government
Publishing Office. Phone 202-512-1800, or 866-512-1800 (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.archives.gov/federal-
register.
The e-CFR is a regularly updated, unofficial editorial compilation
of CFR material and Federal Register amendments, produced by the Office
of the Federal Register and the Government Publishing Office. It is
available at www.ecfr.gov.
Oliver A. Potts,
Director,
Office of the Federal Register.
January 1, 2019.
[[Page ix]]
THIS TITLE
Title 1--General Provisions is composed of one volume. This volume
is comprised of Chapter I--Administrative Committee of the Federal
Register, Chapter II--Office of the Federal Register, Chapter III--
Administrative Conference of the United States, Chapter IV--
Miscellaneous Agencies, and Chapter VI-- National Capital Planning
Commission. The contents of this volume represents all current
regulations codified under this title of the CFR as of January 1, 2019.
Chapter IV contains the current Privacy Act, Freedom of Information
Act, and Rehabilitation Act regulations issued by miscellaneous
agencies.
For this volume, Ann Worley was Chief Editor. The Code of Federal
Regulations publication program is under the direction of John Hyrum
Martinez, assisted by Stephen J. Frattini.
[[Page 1]]
TITLE 1--GENERAL PROVISIONS
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Part
chapter i--Administrative Committee of the Federal Register. 1
chapter ii--Office of the Federal Register.................. 51
chapter iii--Administrative Conference of the United States. 301
chapter iv--Miscellaneous Agencies.......................... 425
chapter v [Reserved]
chapter vi--National Capital Planning Commission............ 602
[[Page 3]]
CHAPTER I--ADMINISTRATIVE COMMITTEE OF THE FEDERAL REGISTER
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SUBCHAPTER A--GENERAL
Part Page
1 Definitions................................. 5
2 General information......................... 5
3 Services to the public...................... 6
SUBCHAPTER B--THE FEDERAL REGISTER
5 General..................................... 8
6 Indexes and ancillaries..................... 9
SUBCHAPTER C--SPECIAL EDITIONS OF THE FEDERAL REGISTER
8 Code of Federal Regulations................. 11
9 The United States Government Manual......... 12
10 Presidential Papers......................... 13
SUBCHAPTER D--AVAILABILITY OF OFFICE OF THE FEDERAL REGISTER
PUBLICATIONS
11 Subscriptions............................... 15
12 Official distribution within Federal
Government.............................. 16
SUBCHAPTER E--PREPARATION, TRANSMITTAL, AND PROCESSING OF DOCUMENTS
15 Services to Federal agencies................ 19
16 Agency representatives...................... 19
17 Filing for public inspection and publication
schedules............................... 20
18 Preparation and transmittal of documents
generally............................... 22
19 Executive orders and Presidential
proclamations........................... 25
20 Handling of The United States Government
Manual statements....................... 26
21 Preparation of documents subject to
codification............................ 28
22 Preparation of notices and proposed rules... 32
23-49 [Reserved]
[[Page 5]]
SUBCHAPTER A_GENERAL
PART 1_DEFINITIONS--Table of Contents
Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709; 3 CFR,
1954-1958 Comp., p.189.
Sec.1.1 Definitions.
As used in this chapter, unless the context requires otherwise--
Administrative Committee means the Administrative Committee of the
Federal Register established under section 1506 of title 44, United
States Code;
Agency means each authority, whether or not within or subject to
review by another agency, of the United States, other than the Congress,
the courts, the District of Columbia, the Commonwealth of Puerto Rico,
and the territories and possessions of the United States;
Document includes any Presidential proclamation or Executive order,
and any rule, regulation, order, certificate, code of fair competition,
license, notice, or similar instrument issued, prescribed, or
promulgated by an agency;
Document having general applicability and legal effect means any
document issued under proper authority prescribing a penalty or course
of conduct, conferring a right, privilege, authority, or immunity, or
imposing an obligation, and relevant or applicable to the general
public, members of a class, or persons in a locality, as distinguished
from named individuals or organizations; and
Filing means making a document available for public inspection at
the Office of the Federal Register during official business hours. A
document is filed only after it has been received, processed and
assigned a publication date according to the schedule in part 17 of this
chapter.
Regulation and rule have the same meaning.
[37 FR 23603, Nov. 4, 1972, as amended at 50 FR 12466, Mar. 28, 1985]
PART 2_GENERAL INFORMATION--Table of Contents
Sec.
2.1 Scope and purpose.
2.2 Administrative Committee of the Federal Register.
2.3 Office of the Federal Register; location; office hours.
2.4 General authority of Director.
2.5 Publication of statutes, regulations, and related documents.
2.6 Unrestricted use.
Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709; 3 CFR,
1954-1958 Comp., p. 189; 1 U.S.C. 112; 1 U.S.C. 113.
Source: 37 FR 23603, Nov. 4, 1972, unless otherwise noted.
Sec.2.1 Scope and purpose.
(a) This chapter sets forth the policies, procedures, and
delegations under which the Administrative Committee of the Federal
Register carries out its general responsibilities under chapter 15 of
title 44, United States Code.
(b) A primary purpose of this chapter is to inform the public of the
nature and uses of Federal Register publications.
Sec.2.2 Administrative Committee of the Federal Register.
(a) The Administrative Committee of the Federal Register is
established by section 1506 of title 44, United States Code.
(b) The Committee consists of--
(1) The Archivist, or Acting Archivist, of the United States, who is
the Chairman;
(2) An officer of the Department of Justice designated by the
Attorney General; and
(3) The Public Printer or Acting Public Printer.
(c) The Director of the Federal Register is the Secretary of the
Committee.
(d) Any material required by law to be filed with the Committee, and
any correspondence, inquiries, or other material intended for the
Committee or which relate to Federal Register publications shall be sent
to the Director of the Federal Register.
[[Page 6]]
Sec.2.3 Office of the Federal Register; location; office hours.
(a) The Office of the Federal Register is a component of the
National Archives and Records Administration.
(b) The Office is located at 800 North Capitol, NW., suite 700,
Washington, DC.
(c) The mailing address is: Office of the Federal Register, National
Archives and Records Administration, Washington, DC 20408.
(d) Office hours are 8:45 a.m. to 5:15 p.m., Monday through Friday,
except for official Federal holidays.
[37 FR 23603, Nov. 4, 1972, as amended at 54 FR 9676, Mar. 7, 1989; 57
FR 40024, Sept. 1, 1992]
Sec.2.4 General authority of Director.
(a) The Director of the Federal Register is delegated authority to
administer generally this chapter, the related provisions of chapter 15
of title 44, United States Code, and the pertinent provisions of
statutes and regulations contemplated by section 1505 of title 44,
United States Code.
(b) The Director may return to the issuing agency any document
submitted for publication in the Federal Register, or a special edition
thereof, if in the Director's judgment the document does not meet the
minimum requirements of this chapter.
[37 FR 23603, Nov. 4, 1972, as amended at 54 FR 9676, Mar. 7, 1989]
Sec.2.5 Publication of statutes, regulations, and related documents.
(a) The Director of the Federal Register is responsible for the
central filing of the original acts enacted by Congress and the original
documents containing Executive orders and proclamations of the
President, other Presidential documents, regulations, and notices of
proposed rulemaking and other notices, submitted to the Director by
officials of the executive branch of the Federal Government.
(b) Based on the acts and documents filed under paragraph (a) of
this section, the Office of the Federal Register publishes the ``slip
laws,'' the ``United States Statutes at Large,'' the daily Federal
Register and the ``Code of Federal Regulations.''
(c) Based on source materials that are officially related to the
acts and documents filed under paragraph (a) of this section, the Office
also publishes ``The United States Government Manual,'' the ``Public
Papers of the Presidents of the United States,'' the ``Daily Compilation
of Presidential Documents,'' the ``Federal Register Index,'' and the
``LSA (List of CFR Sections Affected).''
[37 FR 23603, Nov. 4, 1972, as amended at 54 FR 9676, Mar. 7, 1989; 74
FR 3952, Jan. 21, 2009]
Sec.2.6 Unrestricted use.
Any person may reproduce or republish, without restriction, any
material appearing in any regular or special edition of the Federal
Register.
PART 3_SERVICES TO THE PUBLIC--Table of Contents
Sec.
3.1 Information services.
3.2 Public inspection of documents.
3.3 Reproduction and certification of copies of acts and documents.
Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709; 3 CFR,
1954-1958 Comp., p. 189.
Source: 37 FR 23604, Nov. 4, 1972, unless otherwise noted.
Sec.3.1 Information services.
Except in cases where the time required would be excessive,
information concerning the publications described in Sec.2.5 of this
chapter and the original acts and documents filed with the Office of the
Federal Register is provided by the staff of that Office. However, the
staff may not summarize or interpret substantive text of any act or
document.
Sec.3.2 Public inspection of documents.
(a) Documents filed with the Office of the Federal Register pursuant
to law are available for public inspection at 800 North Capitol Street,
NW., suite 700, Washington, DC, during the Office of the Federal
Register office hours. There are no formal inspection procedures or
requirements.
[[Page 7]]
(b) The Director of the Federal Register shall cause each document
received by the office to be filed for public inspection not later than
the working day preceding the publication day for that document.
(c) The Director shall cause to be placed on the original and
certified copies of each document a notation of the day and hour when it
was filed and made available for public inspection.
(d) Photocopies of documents or excerpts may be made at the
inspection desk.
[37 FR 23604, Nov. 4, 1972, as amended at 54 FR 9676, Mar. 7, 1989; 57
FR 40025, Sept. 1, 1992]
Sec.3.3 Reproduction and certification of copies of acts and
documents.
The regulations for the public use of records in the National
Archives (36 CFR parts 1252-1258) govern the furnishing of reproductions
of acts and documents and certificates of authentication for them.
Section 1258.14 of those regulations provides for the advance payment of
appropriate fees for reproduction services and for certifying
reproductions.
[51 FR 27017, July 29, 1986, as amended at 54 FR 9676, Mar. 7, 1989]
[[Page 8]]
SUBCHAPTER B_THE FEDERAL REGISTER
PART 5_GENERAL--Table of Contents
Sec.
5.1 Publication policy.
5.2 Documents required to be filed for public inspection and published.
5.3 Publication of other documents.
5.4 Publication not authorized.
5.5 Supplement to the Code of Federal Regulations.
5.6 Daily publication.
5.7 Delivery and mailing.
5.8 Form of citation.
5.9 Categories of documents.
5.10 Forms of publication.
Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709; 3 CFR,
1954-1958 Comp., p. 189.
Source: 37 FR 23604, Nov. 4, 1972, unless otherwise noted.
Sec.5.1 Publication policy.
(a) Pursuant to chapter 15 of title 44, United States Code, and this
chapter, the Director of the Federal Register shall publish a serial
publication called the Federal Register to contain the following:
(1) Executive orders, proclamations, and other Presidential
documents.
(2) Documents required to be published therein by law.
(3) Documents accepted for publication under Sec.5.3.
(b) Each document required or authorized to be filed for publication
shall be published in the Federal Register as promptly as possible,
within limitations imposed by considerations of accuracy, usability, and
reasonable costs.
(c) In prescribing regulations governing headings, preambles,
effective dates, authority citations, and similar matters of form, the
Administrative Committee does not intend to affect the validity of any
document that is filed and published under law.
Sec.5.2 Documents required to be filed for public inspection and
published.
The following documents are required to be filed for public
inspection with the Office of the Federal Register and published in the
Federal Register:
(a) Presidential proclamations and Executive orders in the numbered
series, and each other document that the President submits for
publication or orders to be published.
(b) Each document or class of documents required to be published by
act of Congress.
(c) Each document having general applicability and legal effect.
[37 FR 23604, Nov. 4, 1972, as amended at 54 FR 9676, Mar. 7, 1989]
Sec.5.3 Publication of other documents.
Whenever the Director of the Federal Register considers that
publication of a document not covered by Sec.5.2 would be in the
public interest, the Director may allow that document to be filed for
public inspection with the Office of the Federal Register and published
in the Federal Register.
[54 FR 9676, Mar. 7, 1989]
Sec.5.4 Publication not authorized.
(a) Chapter 15 of title 44, United States Code, does not apply to
treaties, conventions, protocols, or other international agreements, or
proclamations thereof by the President.
(b) Chapter 15 of title 44, United States Code, prohibits the
publication in the Federal Register of comments or news items.
(c) The Director of the Federal Register may not accept any document
for filing and publication unless it is the official action of the
agency concerned. Chapter 15 of title 44, United States Code, does not
authorize or require the filing and publication of other papers from an
agency.
Sec.5.5 Supplement to the Code of Federal Regulations.
The Federal Register serves as a daily supplement to the Code of
Federal Regulations. Each document that is subject to codification and
published in a daily issue shall be keyed to the Code of Federal
Regulations.
[[Page 9]]
Sec.5.6 Daily publication.
There shall be an edition of the Federal Register published for each
official Federal working day.
[54 FR 9676, Mar. 7, 1989]
Sec.5.7 Delivery and mailing.
The Government Printing Office shall distribute the Federal Register
by delivery or by deposit at a post office at or before 9 a.m. on the
publication day, except that each Federal Register dated for a Monday
shall be deposited at a post office at or before 9 a.m. on the preceding
Saturday.
Sec.5.8 Form of citation.
Without prejudice to any other form of citation, Federal Register
material may be cited by volume and page number, and the short form
``FR'' may be used for ``Federal Register''. For example, ``37 FR 6803''
refers to material beginning on page 6803 of volume 37 of the daily
issues.
Sec.5.9 Categories of documents.
Each document published in the Federal Register shall be placed
under one of the following categories, as indicated:
(a) The President. This category contains each Executive order or
Presidential proclamation and each other Presidential document that the
President submits for publication or orders to be published.
(b) Rules and regulations. This category contains each document
having general applicability and legal effect, except those covered by
paragraph (a) of this section. This category includes documents subject
to codification, general policy statements concerning regulations,
interpretations of agency regulations, statements of organization and
function, and documents that affect other documents previously published
in the rules and regulations section.
(c) Proposed rules. This category contains each notice of proposed
rulemaking submitted pursuant to section 553 of title 5, United States
Code, or any other law, which if promulgated as a rule, would have
general applicability and legal effect. This category includes documents
that suggest changes to regulations in the Code of Federal Regulations,
begin a rulemaking proceeding, and affect or relate to other documents
previously published in the proposed rules section.
(d) Notices. This category contains miscellaneous documents
applicable to the public and not covered by paragraphs (a), (b), and (c)
of this section. This category includes announcements of meetings and
other information of public interest.
[37 FR 23604, Nov. 4, 1972, as amended at 54 FR 9676, Mar. 7, 1989]
Sec.5.10 Forms of publication.
Pursuant to section 1506 of title 44, United States Code, the
Administrative Committee publishes the Federal Register in the following
formats: paper; microfiche; and online on GPO Access (44 U.S.C. 4101).
[61 FR 68118, Dec. 27, 1996]
PART 6_INDEXES AND ANCILLARIES--Table of Contents
Sec.
6.1 Index to daily issues.
6.2 Analytical subject indexes.
6.3 Daily lists of parts affected.
6.4 Monthly list of sections affected.
6.5 Indexes, digests, and guides.
Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709; 3 CFR,
1954-1958 Comp., p. 189.
Source: 37 FR 23605, Nov. 4, 1972, unless otherwise noted.
Sec.6.1 Index to daily issues.
Each daily issue of the Federal Register shall be appropriately
indexed.
Sec.6.2 Analytical subject indexes.
Analytical subject indexes covering the contents of the Federal
Register shall be published as currently as practicable and shall be
cumulated and separately published at least once each calendar year.
Sec.6.3 Daily lists of parts affected.
(a) Each daily issue of the Federal Register shall carry a numerical
list of the parts of the Code of Federal Regulations specifically
affected by documents published in that issue.
(b) Beginning with the second issue of each month, each daily issue
shall
[[Page 10]]
also carry a cumulated list of the parts affected by documents published
during that month.
Sec.6.4 Monthly list of sections affected.
A monthly list of sections of the Code of Federal Regulations
affected shall be separately published on a cumulative basis during each
calendar year. The list shall identify the sections of the Code
specifically affected by documents published in the Federal Register
during the period it covers.
Sec.6.5 Indexes, digests, and guides.
(a) The Director of the Federal Register may order the preparation
and publication of indexes, digests, and similar guides, based on laws,
Presidential documents, regulatory documents, and notice materials
published by the Office, which will serve users of the Federal Register.
Indexes, digests, and similar guides will be published yearly or at
other intervals as necessary to keep them current and useful.
(b) Each index, digest, and guide is considered to be a special
edition of the Federal Register whenever the public need requires
special printing or special binding in substantial numbers.
[54 FR 9676, Mar. 7, 1989]
[[Page 11]]
SUBCHAPTER C_SPECIAL EDITIONS OF THE FEDERAL REGISTER
PART 8_CODE OF FEDERAL REGULATIONS--Table of Contents
Sec.
8.1 Policy.
8.2 Orderly development.
8.3 Periodic updating.
8.4 Indexes.
8.5 Ancillaries.
8.6 Forms of publication.
8.7 Agency cooperation.
8.9 Form of citation.
Authority: 44 U.S.C. 1506, 1510; sec. 6, E.O. 10530, 19 FR 2709, 3
CFR, 1954-1958 Comp., p. 189.
Source: 37 FR 23605, Nov. 4, 1972, unless otherwise noted.
Sec.8.1 Policy.
(a) Pursuant to chapter 15 of title 44, United States Code, the
Director of the Federal Register shall publish periodically a special
edition of the Federal Register to present a compact and practical code
called the ``Code of Federal Regulations'', to contain each Federal
regulation of general applicability and legal effect.
(b) The Administrative Committee intends that every practical means
be used to keep the Code as current and readily usable as possible,
within limitations imposed by dependability and reasonable costs.
[37 FR 23605, Nov. 4, 1972, as amended at 54 FR 9677, Mar. 7, 1989]
Sec.8.2 Orderly development.
To assure orderly development of the Code of Federal Regulations
along practical lines, the Director of the Federal Register may
establish new titles in the Code and rearrange existing titles and
subordinate assignments. However, before taking an action under this
section, the Director shall consult with each agency directly affected
by the proposed change.
Sec.8.3 Periodic updating.
(a) Criteria. Each book of the Code shall be updated at least once
each calendar year. If no change in its contents has occurred during the
year, a simple notation to that effect may serve as the supplement for
that year. More frequent updating of any unit of the Code may be made
whenever the Director of the Federal Register determines that the
content of the unit has been substantially superseded or otherwise
determines that such action would be consistent with the intent and
purpose of the Administrative Committee as stated in Sec.8.1.
(b) Staggered publication. The Code will be produced over a 12-month
period under a staggered publication system to be determined by the
Director of the Federal Register.
(c) Cutoff dates. Each updated title of the Code will reflect each
amendment to that title published as a codified regulation in the
Federal Register on or before the ``As of'' date. Thus, each title
updated as of July 1 each year will reflect all amendatory documents
appearing in the daily Federal Register on or before July 1.
[37 FR 23605, Nov. 4, 1972, as amended at 54 FR 9677, Mar. 7, 1989]
Sec.8.4 Indexes.
A subject index to the entire Code shall be annually revised and
separately published. An agency-prepared index for any individual book
may be published with the approval of the Director of the Federal
Register.
Sec.8.5 Ancillaries.
The Code shall provide, among others, the following-described
finding aids:
(a) Parallel tables of statutory authorities and rules. In the Code
of Federal Regulations Index or at such other place as the Director of
the Federal Register considers appropriate, numerical lists of all
sections of the current edition of the United States Code (except
section 301 of title 5) which are cited by issuing agencies as
rulemaking authority for currently effective regulations in the Code of
Federal Regulations. The lists shall be arranged in the order of the
titles and sections of the United States Code with
[[Page 12]]
parallel citations to the pertinent titles and parts of the Code of
Federal Regulations.
(b) Parallel tables of Presidential documents and agency rules. In
the Code of Federal Regulations Index, or at such other place as the
Director of the Federal Register considers appropriate, tables of
proclamations, Executive orders, and similar Presidential documents
which are cited as rulemaking authority in currently effective
regulations in the Code of Federal Regulations.
(c) List of CFR sections affected. Following the text of each Code
of Federal Regulations volume, a numerical list of sections which are
affected by documents published in the Federal Register. (Separate
volumes, ``List of Sections Affected, 1949-1963'' and ``List of CFR
Sections Affected, 1964-1972'', list all sections of the Code which have
been affected by documents published during the period January 1, 1949,
to December 31, 1963, and January 1, 1964, to December 31, 1972,
respectively.) \1\ Listings shall refer to Federal Register pages and
shall be designed to enable the user of the Code to find the precise
text that was in effect on a given date in the period covered.
---------------------------------------------------------------------------
\1\ A three volume set, ``List of CFR Sections Affected, 1973-
1985'', lists all sections of the Code which have been affected during
the period January 1, 1973 to December 31, 1985.
[37 FR 23605, Nov. 4, 1972, as amended at 54 FR 9677, Mar. 7, 1989]
Sec.8.6 Forms of publication.
(a) Under section 1506 of title 44, United States Code, the
Administrative Committee authorizes publication of the Code of Federal
Regulations in the following formats:
(1) Paper;
(2) Microfiche; and
(3) Online on GPO Access (44 US.C. 4101).
(b) The Director of the Federal Register is authorized to regulate
the format of the Code of Federal Regulations according to the needs of
users and compatibility with the facilities of the Government Printing
Office. The Director may provide for the Code of Federal Regulations to
be printed in as many separately bound books as necessary, set
requirements for microfiche images, and oversee the organization and
means of access to material in the online edition.
[65 FR 8843, Feb. 23, 2000]
Sec.8.7 Agency cooperation.
Each agency shall cooperate in keeping publication of the Code
current by complying promptly with deadlines set by the Director of the
Federal Register and the Public Printer.
Sec.8.9 Form of citation.
The Code of Federal Regulations may be cited by title and section,
and the short form ``CFR'' may be used for ``Code of Federal
Regulations.'' For example, ``1 CFR 10.2'' refers to title 1, Code of
Federal Regulations, part 10, section 2.
PART 9_THE UNITED STATES GOVERNMENT MANUAL--Table of Contents
Sec.
9.1 Publication required.
9.2 Scope.
Authority: 5 U.S.C. 552; 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR
2709; 3 CFR, 1954-1958 Comp., p. 189.
Source: 76 FR 6312, Feb. 4, 2011, unless otherwise noted.
Sec.9.1 Publication required.
(a) The Director publishes a special edition of the Federal Register
called ``The United States Government Manual'' as authorized by the
Administrative Committee.
(b) The Director may update the Manual when such supplementation is
considered to be in the public interest.
Sec.9.2 Scope.
(a) The Manual will contain appropriate information about the
Executive, Legislative, and Judicial branches of the Federal Government,
which for the major Executive agencies will include--
(1) Descriptions of the agency's legal authorities, public purposes,
programs, and functions;
(2) Established places and methods whereby the public may obtain
information and make submittals or requests; and
[[Page 13]]
(3) Lists of officials heading major operating units.
(b) The Manual will also contain brief information about quasi-
official agencies and supplemental information that, in the opinion of
the Director, is of enough public interest to warrant.
PART 10_PRESIDENTIAL PAPERS--Table of Contents
Subpart A_Regular Publication
Sec.
10.1 Publication required.
10.2 Scope and sources.
10.3 Format.
Subpart B_Annual Publication
10.10 Publication required.
10.11 Scope and sources.
10.12 Format, indexes, and ancillaries.
10.13 Coverage of prior years.
Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709, 3 CFR,
1954-1958 Comp., p. 189.
Source: 50 FR 12467, Mar. 28, 1985, unless otherwise noted.
Subpart A_Regular Publication
Sec.10.1 Publication required.
The Director publishes a special edition of the Federal Register
compiling recent presidential documents, called ``The Daily Compilation
of Presidential Documents.''
[74 FR 3952, Jan. 21, 2009]
Sec.10.2 Scope and sources.
(a) The text of the publication consists of oral statements by the
President or of writing subscribed by the President, and selected from
transcripts or text issued by the Office of the White House Press
Secretary, including--
(1) Communications to Congress;
(2) Public addresses and remarks;
(3) News conferences and interviews;
(4) Public messages and letters;
(5) Statements released on miscellaneous subjects; and
(6) Formal executive documents promulgated in accordance with law.
(b) In addition, each publication includes selections, either in
full text or ancillary form, from the following groups of documents,
when issued by the Press Office.
(1) Announcements of Presidential appointments and nominations;
(2) White House statements and announcements on miscellaneous
subjects;
(3) Statements by the Press Secretary or Deputy Press Secretary;
(4) Statements and news conferences by senior administration
officials; and
(5) Fact sheets.
[50 FR 12467, Mar. 28, 1985, as amended at 74 FR 3952, Jan. 21, 2009]
Sec.10.3 Format.
The Daily Compilation of Presidential Documents is published online
on the Government Printing Office access system.
[74 FR 3952, Jan. 21, 2009]
Subpart B_Annual Publication
Sec.10.10 Publication required.
The Director of the Federal Register shall publish annually a
special edition of the Federal Register called the ``Public Papers of
the Presidents of the United States''.
Sec.10.11 Scope and sources.
The basic text of the Public Papers consists of the documents
compiled under subpart A of this part.
[74 FR 3952, Jan. 21, 2009]
Sec.10.12 Format, indexes, and ancillaries.
(a) Each publication covers one calendar year, unless procedures
require otherwise, and is divided into books according to the amount of
material to be included. The publication is published in the binding and
style that the Administrative Committee of the Federal Register
considers suitable to the dignity of the Office of the President of the
United States.
(b) Each publication is appropriately indexed and contains
additional ancillary information and illustrative material respecting
significant Presidential documents and activities.
Sec.10.13 Coverage of prior years.
The Administrative Committee may authorize the publication of
volumes of
[[Page 14]]
papers of the Presidents covering specified years before 1945 after
consulting with the National Historical Publications and Records
Commission.
[[Page 15]]
SUBCHAPTER D_AVAILABILITY OF OFFICE OF THE FEDERAL REGISTER
PUBLICATIONS
PART 11_SUBSCRIPTIONS--Table of Contents
Sec.
11.1 Subscription by the public.
11.2 Federal Register.
11.3 Code of Federal Regulations.
11.4 The United States Government Manual.
11.5 Public Papers of the Presidents of the United States.
11.6 [Reserved]
11.7 Federal Register Index.
11.8 LSA (List of CFR Sections Affected).
Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709, 3 CFR,
1954-1958 Comp., p. 189.
Source: 54 FR 9677, Mar. 7, 1989, unless otherwise noted.
Sec.11.1 Subscription by the public.
The Government Printing Office produces the paper and microfiche
editions of the publications described in Sec.2.5 of this chapter, and
the Superintendent of Documents, Government Printing Office, Washington,
DC 20402, makes them available for sale to the public. All fees are
payable in advance to the Superintendent of Documents, Government
Printing Office. They are not available for free distribution to the
public.
[54 FR 9677, Mar. 7, 1989, as amended at 61 FR 68118, Dec. 27, 1996]
Sec.11.2 Federal Register.
(a) The subscription price for the paper edition of the daily
Federal Register is $749 per year. A combined subscription to the daily
Federal Register, the monthly Federal Register Index, and the monthly
LSA (List of CFR Sections Affected) is $808 per year for the paper
edition, or $165 per year for the microfiche edition. Six-month
subscriptions for the paper and microfiche editions are also available
at one-half the annual rate. Those prices exclude postage. The
prevailing postal rates will be applied to orders according to the
delivery method requested. The price of a single copy of the daily
Federal Register, including postage, is based on the number of pages:
$11 for an issue containing less than 200 pages; $22 for an issue
containing 200 to 400 pages; and $33 for an issue containing more than
400 pages. Single issues of the microfiche edition may be purchased for
$3 per copy, including postage.
(b) The online edition of the Federal Register, issued under the
authority of the Administrative Committee, is available on GPO Access, a
service of the Government Printing Office (44 U.S.C. 4101).
[61 FR 68119, Dec. 27, 1996, as amended at 65 FR 8843, Feb. 23, 2000; 66
FR 44524, Aug. 24, 2001; 69 FR 12783, Mar. 18, 2004]
Sec.11.3 Code of Federal Regulations.
(a) The subscription price for a complete set of the Code of Federal
Regulations is $1,019 per year for the bound, paper edition, or $247 per
year for the microfiche edition. Those prices exclude postage. The
prevailing postal rates will be applied to orders according to the
delivery method requested. The Government Printing Office sells
individual volumes of the paper edition of the Code of Federal
Regulations at prices determined by the Superintendent of Documents
under the general direction of the Administrative Committee. The price
of a single volume of the microfiche edition is $4 per copy, including
postage.
(b) The online edition of the Code of Federal Regulations, issued
under the authority of the Administrative Committee, is available on GPO
Access, a service of the Government Printing Office (44 U.S.C. 4101).
[65 FR 8843, Feb. 23, 2000, as amended at 66 FR 44524, Aug. 24, 2001; 69
FR 12783, Mar. 18, 2004]
Sec.11.4 The United States Government Manual.
(a) The online edition of the Manual, issued under the authority of
the Administrative Committee, is available through the Government
Printing Office's Web site.
(b) Copies of a bound, paper edition of the Manual may be sold at a
price determined by the Superintendent of
[[Page 16]]
Documents under the general direction of the Administrative Committee.
[76 FR 6313, Feb. 4, 2011]
Sec.11.5 Public Papers of the Presidents of the United States.
Copies of annual clothbound volumes are sold at a price determined
by the Superintendent of Documents under the general direction of the
Administrative Committee.
Sec.11.6 [Reserved]
Sec.11.7 Federal Register Index.
The annual subscription price for the monthly Federal Register
Index, purchased separately, in paper form, is $29. The price excludes
postage. The prevailing postal rates will be applied to orders according
to the delivery method requested.
[69 FR 12783, Mar. 18, 2004]
Sec.11.8 LSA (List of CFR Sections Affected).
The annual subscription price for the monthly LSA (List of CFR
Sections Affected), purchased separately, in paper form, is $30. The
price excludes postage. The prevailing postal rates will be applied to
orders according to the delivery method requested.
[69 FR 12783, Mar. 18, 2004]
PART 12_OFFICIAL DISTRIBUTION WITHIN FEDERAL GOVERNMENT--
Table of Contents
Sec.
12.1 Federal Register.
12.2 Code of Federal Regulations.
12.4 Weekly Compilation of Presidential Documents.
12.5 Public Papers of the Presidents of the United States.
Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709; 3 CFR,
1954-1958 Comp., p. 189.
Source: 54 FR 9678, Mar. 7, 1989, unless otherwise noted.
Sec.12.1 Federal Register.
(a) Copies of the daily Federal Register in paper or microfiche form
shall be made available to the following without charge:
(1) Members of Congress. Each Senator and each Member of the House
of Representatives will be provided with not more than five copies of
each daily issue based on a written request to the Director of the
Federal Register.
(2) Congressional committees. Each committee of the Senate and the
House of Representatives will be provided with the number of copies
needed for official use based on a written request from the chairperson,
or authorized delegate, to the Director of the Federal Register.
(3) Supreme Court. The Supreme Court will be provided with the
number of copies needed for official use based on a written request to
the Director of the Federal Register.
(4) Other courts. Other constitutional or legislative courts of the
United States will be provided with the number of copies needed for
official use based on a written request from the Director of the
Administrative Office of the U.S. Courts, or authorized delegate, to the
Director of the Federal Register.
(5) Executive agencies. Each Federal executive agency will be
provided with the number of copies needed for official use based on a
written request from the agency Federal Register authorizing officer, or
the alternate, designated under Sec.16.1 of this chapter, to the
Director of the Federal Register.
(b) Requisitions for quantity overruns of specific issues to be paid
for by the agency are available as follows:
(1) To meet its needs for special distribution of the Federal
Register in substantial quantity, any agency may request an overrun of a
specific issue.
(2) An advance printing and binding requisition on Standard Form 1
must be submitted by the agency directly to the Government Printing
Office, to be received not later than 12 noon on the working day before
publication.
(c) Requisitions for quantity overruns of separate part issues to be
paid for by the agency are available as follows:
(1) Whenever it is determined by the Director of the Federal
Register to be in the public interest, one or more documents may be
published as a separate part (e.g., part II, part III) of the Federal
Register.
(2) Advance arrangements for this service must be made with the
Office of the Federal Register.
[[Page 17]]
(3) Any agency may request an overrun of such a separate part by
submitting an advance printing and binding requisition on Standard Form
1 directly to the Government Printing Office, to be received not later
than 12 noon on the working day before the publication date.
(d) An agency may order limited quantities of extra copies of a
specific issue of the Federal Register for official use, from the
Superintendent of Documents, to be paid for by that agency.
(e) Copies of the Federal Register Index and LSA (List of CFR
Sections Affected) are included with each Federal Register official
distribution.
Sec.12.2 Code of Federal Regulations.
(a) Copies of the Code of Federal Regulations in paper or microfiche
form shall be made available to the following without charge:
(1) Congressional committees. Each committee of the Senate and House
of Representatives will be provided with the number of copies needed for
official use based on a written request from the chairperson, or
authorized delegate, to the Director of the Federal Register.
(2) Supreme Court. The Supreme Court will be provided with the
number of copies needed for official use based on a written request to
the Director of the Federal Register.
(3) Other courts. Other constitutional and legislative courts of the
United States will be provided with the number of copies needed for
official use based on a written request from the Director of the
Administrative Office of the U.S. Courts, or authorized delegate, to the
Director of the Federal Register.
(4) Executive agencies. Each Federal executive agency will be
provided with the number of copies needed for official use, not to
exceed 300 copies of individual titles per agency, based on a written
request from the agency Federal Register authorizing officer, or the
alternate, designated under Sec.16.1 of this chapter, to the Director
of the Federal Register.
(b) Legislative, judicial, and executive agencies of the Federal
Government may obtain additional copies of selected units of the Code,
at cost, for official use, by submission, before the press run, of a
printing and binding requisition to the Government Printing Office on
Standard Form 1.
(c) After the press run, each request for extra copies of selected
units of the Code must be addressed to the Superintendent of Documents,
to be paid for by the agency making the request.
Sec.12.4 Weekly Compilation of Presidential Documents.
(a) Copies of the Weekly Compilation of Presidential Documents shall
be made available to the following without charge:
(1) Members of Congress. Each Senator and each Member of the House
of Representatives will be provided with the number of copies needed for
official use based on a written request to the Director of the Federal
Register.
(2) Congressional committees. Each committee of the Senate and the
House of Representatives will be provided with the number of copies
needed for official use based on a written request from the chairperson,
or authorized delegate, to the Director of the Federal Register.
(3) Supreme Court. The Supreme Court will be provided with the
number of copies needed for official use based on a written request to
the Director of the Federal Register.
(4) Other courts. Other constitutional and legislative courts of the
United States will be provided with the number of copies needed for
official use based on a written request from the Director of the
Administrative Office of the U.S. Courts, or authorized delegate, to the
Director of the Federal Register.
(5) Executive agencies. Each Federal executive agency will be
provided with the number of copies needed for official use based on a
written request from the agency Federal Register authorizing officer, or
the alternate designated under Sec.16.1 of this chapter, to the
Director of the Federal Register.
(b) Legislative, judicial, and executive agencies of the Federal
Government may obtain additional copies of selected issues of the Weekly
Compilation of Presidential Documents, at cost, for official use, by
submission, before the press run, of a printing and binding requisition
to the Government Printing Office on a Standard Form 1.
[[Page 18]]
(c) After the press run, each request for extra copies of selected
issues must be addressed to the Superintendent of Documents, to be paid
for by the agency making the request.
Sec.12.5 Public Papers of the Presidents of the United States.
(a) Copies of the Public Papers of the Presidents of the United
States shall be made available to the following without charge:
(1) Members of Congress. Each Senator and each Member of the House
of Representatives will be provided with one copy of each annual
publication published during the Member's term in office based on a
written request to the Director of the Federal Register.
(2) Supreme Court. The Supreme Court will be provided with not more
than 12 copies of each publication based on a written request to the
Director of the Federal Register.
(3) Executive agencies. Each head of a Federal executive agency will
be provided with one copy of each annual publication based on a written
request from the agency Federal Register authorizing officer, or the
alternate, designated under Sec.16.1 of this chapter, to the Director
of the Federal Register.
(b) Legislative, judicial, and executive agencies of the Federal
Government may obtain additional copies, at cost, for official use, by
submission before the press run, of a printing and binding requisition
to the Government Printing Office on Standard Form 1.
(c) After the press run, each request for extra copies must be
addressed to the Superintendent of Documents, to be paid for by the
agency making the request.
[[Page 19]]
SUBCHAPTER E_PREPARATION, TRANSMITTAL, AND PROCESSING OF DOCUMENTS
PART 15_SERVICES TO FEDERAL AGENCIES--Table of Contents
Subpart A_General
Sec.
15.1 Cooperation.
15.2 Information services.
15.3 Staff assistance.
15.4 Reproduction and certification of copies of acts and documents.
Subpart B_Special Assistance
15.10 Information on drafting and publication.
Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709; 3 CFR,
1954-1958 Comp., p. 189.
Source: 37 FR 23607, Nov. 4, 1972, unless otherwise noted.
Subpart A_General
Sec.15.1 Cooperation.
The Director of the Federal Register shall assist each agency in
complying with the pertinent publication laws to assure efficient public
service in promulgating administrative documents having the effect of
legal notice or of law.
Sec.15.2 Information services.
The Director of the Federal Register shall provide for the answering
of each appropriate inquiry presented in person, by telephone, or in
writing. Each written communication and each matter involving the
Administrative Committee shall be sent to the Director, Office of the
Federal Register, National Archives and Records Administration,
Washington, DC 20408.
[50 FR 12468, Mar. 28, 1985]
Sec.15.3 Staff assistance.
The staff of the Office of the Federal Register shall provide
informal assistance and advice to officials of the various agencies with
respect to general or specific programs of regulatory drafting,
procedures, and promulgation practices.
Sec.15.4 Reproduction and certification of copies of acts and
documents.
The Director of the Federal Register shall furnish to requesting
agencies, at cost, reproductions or certified copies of original acts
and documents filed with that Office that are needed for official use
unless funds are appropriated for that purpose.
[50 FR 12468, Mar. 28, 1985, as amended at 54 FR 9679, Mar. 7, 1989]
Subpart B_Special Assistance
Sec.15.10 Information on drafting and publication.
The Director of the Federal Register may prepare, and distribute to
agencies, information and instructions designed to promote effective
compliance with the purposes of chapter 15 of title 44, United States
Code, sections 552-553 of title 5, United States Code, related statutes,
and this chapter. The Director may also develop and conduct programs of
technical instruction.
PART 16_AGENCY REPRESENTATIVES--Table of Contents
Sec.
16.1 Designation.
16.2 Liaison duties.
16.3 Certifying duties.
16.4 Authorizing duties.
Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709; 3 CFR,
1954-1958 Comp., p. 189.
Source: 37 FR 23608, Nov. 4, 1972, unless otherwise noted.
Sec.16.1 Designation.
(a) Each agency shall designate, from its officers or employees,
persons to serve in the following capacities with relation to the Office
of the Federal Register:
(1) A liaison officer and an alternate.
(2) A certifying officer and an alternate.
(3) An authorizing officer and an alternate.
The same person may be designated to serve in one or more of these
positions.
[[Page 20]]
(b) In choosing its liaison officer, each agency should consider
that this officer will be the main contact between that agency and the
Office of the Federal Register and that the liaison officer will be
charged with the duties set forth in Sec.16.2. Therefore, the agency
should choose a person who is directly involved in the agency's
regulatory program.
(c) Each agency shall notify the Director of the name, title,
address, and telephone number of each person it designates under this
section and shall promptly notify the Director of any changes.
Sec.16.2 Liaison duties.
Each agency liaison officer shall--
(a) Represent the agency in all matters relating to the submission
of documents to the Office of the Federal Register, and respecting
general compliance with this chapter;
(b) Be responsible for the effective distribution and use within the
agency of Federal Register information on document drafting and
publication assistance authorized by Sec.15.10 of this chapter;
(c) Promote the agency's participation in the technical instruction
authorized by Sec.15.10 of this chapter; and
(d) Be available to discuss documents submitted for publication with
the editors of the Federal Register.
[54 FR 9679, Mar. 7, 1989]
Sec.16.3 Certifying duties.
The agency certifying officer is responsible for attaching the
required number of true copies of each original document submitted by
the agency to the Office of the Federal Register and for making the
certification required by Sec. Sec.18.5 and 18.6 of this chapter.
[54 FR 9679, Mar. 7, 1989]
Sec.16.4 Authorizing duties.
The agency authorizing officer is responsible for furnishing, to the
Director of the Federal Register, a current mailing list of officers or
employees of the agency who are authorized to receive the Federal
Register, the Code of Federal Regulations, and the Weekly Compilation of
Presidential Documents for official use.
[54 FR 9679, Mar. 7, 1989]
PART 17_FILING FOR PUBLIC INSPECTION AND PUBLICATION SCHEDULES
--Table of Contents
Sec.
Subpart A_Receipt and Processing
17.1 Receipt and processing.
Subpart B_Regular Schedule
17.2 Procedure and timing for regular schedule.
Subpart C_Emergency Schedule
17.3 Criteria for emergency publication.
17.4 Procedure and timing for emergency publication.
17.5 Criteria for emergency filing for public inspection.
17.6 Procedure and timing for emergency filing for public inspection.
Subpart D_Deferred Schedule
17.7 Criteria for deferred schedule.
Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709; 3 CFR,
1954-1958 Comp., p. 189.
Source: 37 FR 23608, Nov. 4, 1972, unless otherwise noted.
Subpart A_Receipt and Processing
Sec.17.1 Receipt and processing.
Unless special arrangements are made with the Director of the
Federal Register, the Office of the Federal Register receives documents
only during official working hours. Upon receipt, each document shall be
held for confidential processing until it is filed for public
inspection.
Subpart B_Regular Schedule
Sec.17.2 Procedure and timing for regular schedule.
(a) Each document received shall be filed for public inspection only
after it has been received, processed and assigned a publication date.
[[Page 21]]
(b) Except as provided in paragraph (d) of this section, each
document received by 2:00 p.m. which meets the requirements of this
chapter shall be assigned to the regular schedule. Unless the issuing
agency makes special arrangements otherwise, or the Office determines
that the document requires a deferred schedule (see 1 CFR 17.7), receipt
of a document by 2:00 p.m. is considered to be a request for filing for
public inspection and publication on the regular schedule. Documents
received after 2:00 p.m. which meet the requirements of this chapter
shall be assigned to the next working day's regular schedule.
(c) The regular schedule for filing for public inspection and
publication is as follows:
------------------------------------------------------------------------
Filed for public
Received before 2:00 p.m. inspection Published
------------------------------------------------------------------------
Monday.......................... Wednesday......... Thursday
Tuesday......................... Thursday.......... Friday
Wednesday....................... Friday............ Monday
Thursday........................ Monday............ Tuesday
Friday.......................... Tuesday........... Wednesday
------------------------------------------------------------------------
Where a legal Federal holiday intervenes, one additional work day is
added.
(d) Each notice of meeting issued under the ``Government in the
Sunshine Act'' (5 U.S.C. 552b(e)(3)) is placed on immediate public
inspection after it has been received, processed, and assigned a
publication date.
(1) Each notice received before 4:00 p.m. is scheduled to be
published 2 working days later.
(2) Each notice received after 4:00 p.m. is scheduled to be
published 3 working days later.
[54 FR 9680, Mar. 7, 1989]
Subpart C_Emergency Schedule
Sec.17.3 Criteria for emergency publication.
The emergency schedule is designed to provide the fastest possible
publication of a document involving the prevention, alleviation,
control, or relief of an emergency situation.
[37 FR 23608, Nov. 4, 1972, as amended at 54 FR 9680, Mar. 7, 1989]
Sec.17.4 Procedure and timing for emergency publication.
(a) Each agency requesting publication on the emergency schedule
shall briefly describe the emergency and the benefits to be attributed
to immediate publication in the Federal Register. The request must be
made by letter.
(b) The Director of the Federal Register shall assign a document to
the emergency schedule whenever the Director concurs with a request for
that action and it is feasible.
(c) Each document assigned to the emergency schedule shall be
published as soon as possible.
(d) Each document assigned to the emergency schedule for publication
will be filed for public inspection on the working day before
publication unless emergency filing for public inspection is also
requested.
[37 FR 23608, Nov. 4, 1972, as amended at 54 FR 9680, Mar. 7, 1989]
Sec.17.5 Criteria for emergency filing for public inspection.
An agency may request emergency filing for public inspection for
documents to be published under the regular, emergency or deferred
publication schedules. Emergency filing for public inspection provides
for the fastest possible public access to a document after it has been
received, processed and assigned a publication date. Emergency filing
for public inspection is considered a special arrangement under Sec.
17.2 of this part that results in deviation from the regular schedule
for filing for public inspection. A document receiving emergency filing
for public inspection remains on public inspection until it is published
according to the schedule for publication.
[54 FR 9680, Mar. 7, 1989]
Sec.17.6 Procedure and timing for emergency filing for public
inspection.
(a) Each agency requesting emergency filing for public inspection
shall briefly describe the emergency and the benefits to be attributed
to immediate public access. The request must be made by letter.
(b) The Director of the Federal Register shall approve an emergency
filing for public inspection request whenever
[[Page 22]]
the Director concurs with a request for that action and it is feasible.
(c) Each document approved for emergency filing for public
inspection shall be filed as soon as possible following processing and
scheduling.
[54 FR 9680, Mar. 7, 1989]
Subpart D_Deferred Schedule
Sec.17.7 Criteria for deferred schedule.
(a) A document may be assigned to the deferred schedule under the
following conditions:
(1) There are technical problems, unusual or lengthy tables, or
illustrations, or the document is of such size as to require
extraordinary processing time.
(2) The agency concerned requests a deferred publication date.
(b) The Office of the Federal Register staff will notify the agency
if its documents must be assigned to a deferred schedule.
[37 FR 23608, Nov. 4, 1972, as amended at 54 FR 9680, Mar. 7, 1989; 54
FR 23343, May 31, 1989]
PART 18_PREPARATION AND TRANSMITTAL OF DOCUMENTS GENERALLY--
Table of Contents
Sec.
18.1 Original and copies required.
18.2 Prohibition on combined category documents.
18.3 Submission of documents and letters of transmittal.
18.4 Form of document.
18.5 Certified copies.
18.6 Form of certification.
18.7 Signature.
18.8 Seal.
18.9 Style.
18.10 Illustrations, tabular material, and forms.
18.12 Preamble requirements.
18.13 Withdrawal or correction of filed documents.
18.15 Correction of errors in printing.
18.16 Reinstatement of expired regulations.
18.17 Effective dates and time periods.
18.20 Identification of subjects in agency regulations.
Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709; 3 CFR,
1954-1958 Comp., p. 189.
Source: 37 FR 23609, Nov. 4, 1972, unless otherwise noted.
Sec.18.1 Original and copies required.
Except as provided in Sec.19.2 of this subchapter for Executive
orders and proclamations, each agency submitting a document to be filed
and published in the Federal Register shall send an original and two
duplicate originals or certified copies. \1\ However, if the document is
printed or processed on both sides, one of the copies sent by the agency
must be a collated, single-sided copy.
---------------------------------------------------------------------------
\1\ Agencies with computer processed data are urged to consult with
the Office of the Federal Register staff about possible use of the data
in the publication process.
[54 FR 9680, Mar. 7, 1989]
Sec.18.2 Prohibition on combined category documents.
(a) The Director of the Federal Register will not accept a document
for filing and publication if it combines material that must appear
under more than one category in the Federal Register. For example, a
document may not contain both rulemaking and notice of proposed
rulemaking material.
(b) Where two related documents are to be published in the same
Federal Register issue, the agency may insert a cross-reference in each
document.
[54 FR 9680, Mar. 7, 1989]
Sec.18.3 Submission of documents and letters of transmittal.
(a) Each document authorized or required by law to be filed for
public inspection with the Office of the Federal Register and published
in the Federal Register shall be sent to the Director of the Federal
Register.
(b) Except for cases involving special handling or treatment, there
is no need for a letter of transmittal for a document submitted for
filing and Federal Register publication.
(c) Receipt dates are determined at the time a signed original and
clear and legible copies are received.
[37 FR 23609, Nov. 4, 1972, as amended at 54 FR 9680, Mar. 7, 1989]
Sec.18.4 Form of document.
(a) A printed or processed document may be accepted for filing for
public inspection and publication if it is on
[[Page 23]]
bond or similar quality paper, legible, and free of adhesive or
correction tape. \2\
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\2\ Agencies with computer processed data are urged to consult with
the Office of the Federal Register staff about possible use of the data
in the publication process.
---------------------------------------------------------------------------
(b) A document in the form of a letter or press release may not be
accepted for filing for public inspection or publication in the rules
and regulations, proposed rules, or notices categories of the Federal
Register.
(c) Original documents submitted by telecommunication and
authenticated by digital signatures consistent with applicable Federal
standards and Office of the Federal Register technical specifications
may be accepted for publication. \3\
---------------------------------------------------------------------------
\3\ At present, submission of documents by telecommunication is
limited to selected pilot projects.
[54 FR 9681, Mar. 7, 1989, as amended at 61 FR 68119, Dec. 27, 1996]
Sec.18.5 Certified copies.
The certified copies or duplicate originals of each document must be
submitted with the original. Each copy or duplicate must be entirely
clear and legible.
[54 FR 9681, Mar. 7, 1989]
Sec.18.6 Form of certification.
Each copy of each document submitted for filing and publication,
except a Presidential document or a duplicate original, must be
certified as follows:
(Certified to be a true copy of the original)
The certification must be signed by a certifying officer designated
under Sec.16.1 of this chapter.
[54 FR 9681, Mar. 7, 1989]
Sec.18.7 Signature.
The original and each duplicate original document must be signed in
ink, with the name and title of the official signing the document typed
or stamped beneath the signature. Initialed or impressed signatures will
not be accepted. Documents submitted under Sec.18.4(c) may be
authenticated as original documents by digital signatures.
[37 FR 23609, Nov. 4, 1972, as amended at 54 FR 9681, Mar. 7, 1989; 61
FR 68119, Dec. 27, 1996]
Sec.18.8 Seal.
Use of a seal on an original document or certified copy is optional
with the issuing agency.
Sec.18.9 Style.
Each document submitted by an agency for filing and publication
shall conform to the current edition of the U.S. Government Printing
Office Style Manual in punctuation, capitalization, spelling, and other
matters of style.
[54 FR 9681, Mar. 7, 1989]
Sec.18.10 Illustrations, tabular material, and forms.
(a) If it is necessary to publish a form or illustration, a clear
and legible original form or illustration, or a clear and completely
legible reproduction approximately 8 \1/2\ by 11 inches, shall be
included in the original document and each certified copy.
(b) A document that includes tabular material may be assigned to the
deferred publication schedule. See Sec.17.7.
[54 FR 9681, Mar. 7, 1989]
Sec.18.12 Preamble requirements.
(a) Each agency submitting a proposed or final rule document for
publication shall prepare a preamble which will inform the reader, who
is not an expert in the subject area, of the basis and purpose for the
rule or proposal.
(b) The preamble shall be in the following format and contain the
following information:
AGENCY:_________________________________________________________________
(Name of issuing agency)
ACTION:_________________________________________________________________
(Notice of Intent), (Advance Notice of Proposed Rulemaking), (Proposed
Rule), (Final Rule), (Other).
SUMMARY:________________________________________________________________
(Brief statements, in simple language, of: (i) the action being taken;
(ii) the circumstances which created the need for the action; and (iii)
the intended effect of the action.)
DATES:__________________________________________________________________
[[Page 24]]
(Comments must be received on or before: _____.) (Proposed effective
date: _____.) (Effective date: _____.) (Hearing: _____.) (Other: _____.)
ADDRESSES:______________________________________________________________
(Any relevant addresses.)
FOR FURTHER INFORMATION CONTACT:
________________________________________________________________________
(For Executive departments and agencies, the name and telephone number
of a person in the agency to contact for additional information about
the document [Presidential Memorandum, 41 FR 42764, September 28,
1976].)
SUPPLEMENTARY INFORMATION:______________________________________________
________________________________________________________________________
(See paragraph (c) of this section.)
(c) The agency may include the following information in the
preamble, as applicable:
(1) A discussion of the background and major issues involved;
(2) In the case of a final rule, any significant differences between
it and the proposed rule;
(3) A response to substantive public comments received; and
(4) Any other information the agency considers appropriate.
[41 FR 56624, Dec. 29, 1976, as amended at 54 FR 9681, Mar. 7, 1989]
Sec.18.13 Withdrawal or correction of filed documents.
(a) A document that has been filed for public inspection with the
Office of the Federal Register but not yet published, may be withdrawn
from publication or corrected by the submitting agency. Withdrawals or
minor corrections may be made with a timely letter, signed by a duly
authorized representative of the agency. Extensive corrections may
require agency withdrawal of the document from publication.
(b) Both the originally filed document and the withdrawing or
correcting letter shall remain on file. The original document and the
withdrawing or correcting letter will be retained by the Office of the
Federal Register after the public inspection period expires.
[54 FR 9681, Mar. 7, 1989]
Sec.18.15 Correction of errors in printing.
(a) Typographical or clerical errors made in the printing of the
Federal Register shall be corrected by insertion of an appropriate
notation or a reprinting in the Federal Register published without
further agency documentation, if the Director of the Federal Register
determines that--
(1) The error would tend to confuse or mislead the reader; or
(2) The error would affect text subject to codification.
(b) The issuing agency shall review published documents and notify
the Office of the Federal Register of printing errors found in published
documents.
(c) If the error was in the document as submitted by the agency, the
issuing agency must prepare and submit for publication a correction
document.
[50 FR 12468, Mar. 28, 1985]
Sec.18.16 Reinstatement of expired regulations.
Agencies may reinstate regulations removed from the Code of Federal
Regulations data base which have expired by their own terms only by
republishing the regulations in full text in the Federal Register.
[54 FR 9681, Mar. 7, 1989]
Sec.18.17 Effective dates and time periods.
(a) Each document submitted for publication in the Federal Register
that includes an effective date or time period should either set forth a
date certain or a time period measured by a certain number of days after
publication in the Federal Register. When a document sets forth a time
period measured by a certain number of days after publication, Office of
the Federal Register staff will compute the date to be inserted in the
document as set forth in paragraph (b) of this section.
(b) Dates certain will be computed by counting the day after the
publication day as one, and by counting each succeeding day, including
Saturdays, Sundays, and holidays. However, where the final count would
fall on a Saturday, Sunday, or holiday, the date certain will be the
next succeeding Federal business day.
(c) In the event an effective date is dependent upon Congressional
action, or an act of Congress or a dispositive Federal court decision
establishes or
[[Page 25]]
changes the effective date of an agency's regulation, the issuing agency
shall promptly publish a document in the Federal Register announcing the
effective date.
[37 FR 23609, Nov. 4, 1972, as amended at 54 FR 9681, Mar. 7, 1989]
Sec.18.20 Identification of subjects in agency regulations.
(a) Federal Register documents. Each agency that submits a document
that is published in the Rules and Regulations section or the Proposed
Rules section of the Federal Register shall--
(1) Include a list of index terms for each Code of Federal
Regulations part affected by the document; and
(2) Place the list of index terms as the last item in the
Supplementary Information portion of the preamble for the document.
(b) Federal Register Thesaurus. To prepare its list of index terms,
each agency shall use terms contained in the Federal Register Thesaurus
of Indexing Terms. Agencies may include additional terms not contained
in the Thesaurus as long as the appropriate Thesaurus terms are also
used. Copies of the Federal Register Thesaurus of Indexing Terms are
available from the Office of the Federal Register, National Archives and
Records Administration, Washington, D.C. 20408.
[46 FR 7163, Jan. 22, 1981, as amended at 54 FR 9681, Mar. 7, 1989]
PART 19_EXECUTIVE ORDERS AND PRESIDENTIAL PROCLAMATIONS--
Table of Contents
Sec.
19.1 Form.
19.2 Routing and approval of drafts.
19.3 Routing and certification of originals and copies.
19.4 Proclamations calling for the observance of special days or events.
19.5 Proclamations of treaties excluded.
19.6 Definition.
Authority: Secs. 1 to 6 of E.O. 11030, 27 FR 5847, 3 CFR, 1959-1963
Comp., p. 610; E.O. 11354, 32 FR 7695, 3 CFR, 1966-1970 Comp., p. 652;
and E.O. 12080, 43 FR 42235, 3 CFR, 1978 Comp., p. 224.
Source: 37 FR 23610, Nov. 4, 1972, unless otherwise noted.
Sec.19.1 Form.
Proposed Executive orders and proclamations shall be prepared in
accordance with the following requirements:
(a) The order or proclamation shall be given a suitable title.
(b) The order or proclamation shall contain a citation of the
authority under which it is issued.
(c) Punctuation, capitalization, spelling, and other matters of
style shall, in general, conform to the most recent edition of the U.S.
Government Printing Office Style Manual.
(d) The spelling of geographic names shall conform to the decisions
of the Board on Geographic Names, established by section 2 of the Act of
July 25, 1947, 61 Stat. 456 (43 U.S.C. 364a).
(e) Descriptions of tracts of land shall conform, so far as
practicable, to the most recent edition of the ``Specifications for
Descriptions of Tracts of Land for Use in Executive Orders and
Proclamations,''\1\ prepared by the Bureau of Land Management,
Department of the Interior.
---------------------------------------------------------------------------
\1\ Agencies with computer processed data are urged to consult with
the Office of the Federal Register staff about possible use of the data
in the publication process.
---------------------------------------------------------------------------
(f) Proposed Executive orders and proclamations shall be typewritten
on paper approximately 8 x 13 inches, shall have a left-hand margin of
approximately 1\1/2\ inches and a right-hand margin of approximately 1
inch, and shall be double-spaced except that quotations, tabulations,
and descriptions of land may be single-spaced.
(g) Proclamations issued by the President shall conclude with the
following-described recitation:
IN WITNESS WHEREOF, I have hereunto set my hand this __ day of
_____, in the year of our Lord _______, and of the Independence of the
United States of America the _______.
[37 FR 23610, Nov. 4, 1972, as amended at 54 FR 9681, Mar. 7, 1989]
Sec.19.2 Routing and approval of drafts.
(a) A proposed Executive order or proclamation shall first be
submitted, with seven copies thereof, to the Director of the Office of
Management and Budget, together with a letter, signed
[[Page 26]]
by the head or other properly authorized officer of the originating
Federal agency, explaining the nature, purpose, background, and effect
of the proposed Executive order or proclamation and its relationship, if
any, to pertinent laws and other Executive orders or proclamations.
(b) If the Director of the Office of Management and Budget approves
the proposed Executive order or proclamation, he shall transmit it to
the Attorney General for his consideration as to both form and legality.
(c) If the Attorney General approves the proposed Executive order or
proclamation, he shall transmit it to the Director of the Office of the
Federal Register, National Archives and Records Administration:
Provided, That in cases involving sufficient urgency the Attorney
General may transmit it directly to the President: And provided further,
That the authority vested in the Attorney General by this section may be
delegated by him, in whole or in part, to the Deputy Attorney General,
Solicitor General, or to such Assistant Attorney General as he may
designate.
(d) After determining that the proposed Executive order or
proclamation conforms to the requirements of Sec.19.1 and is free from
typographical or clerical error, the Director of the Office of the
Federal Register shall transmit it and three copies thereof to the
President.
(e) If the proposed Executive order or proclamation is disapproved
by the Director of the Office of Management and Budget or by the
Attorney General, it shall not thereafter be presented to the President
unless it is accompanied by a statement of the reasons for such
disapproval.
Sec.19.3 Routing and certification of originals and copies.
(a) If the order or proclamation is signed by the President, the
original and two copies shall be forwarded to the Director of the
Federal Register for publication in the Federal Register.
(b) The Office of the Federal Register shall cause to be placed upon
the copies of all Executive orders and proclamations forwarded as
provided in paragraph (a) of this section the following notation, to be
signed by the Director or by some person authorized by him to sign such
notation: ``Certified to be a true copy of the original.''
Sec.19.4 Proclamations calling for the observance of special days or events.
Except as may be otherwise provided by law, responsibility for the
preparation and presentation of proposed proclamations calling for the
observance of special days, or other periods of time, or events, shall
be assigned by the Director of the Office of Management and Budget to
such agencies as he may consider appropriate. Such proposed
proclamations shall be submitted to the Director at least 60 days before
the date of the specified observance. Notwithstanding the provisions of
Sec.19.2, the Director shall transmit any approved commemorative
proclamations to the President.
[37 FR 23610, Nov. 4, 1972, as amended at 54 FR 9681, Mar. 7, 1989]
Sec.19.5 Proclamations of treaties excluded.
Consonant with the provisions of chapter 15 of title 44 of the
United States Code (44 U.S.C. 1511), nothing in these regulations shall
be construed to apply to treaties, conventions, protocols, or other
international agreements, or proclamations thereof by the President.
Sec.19.6 Definition.
The term ``Presidential proclamations and Executive orders,'' as
used in chapter 15 of title 44 of the United States Code (44 U.S.C.
1505(a)), shall, except as the President or his representative may
hereafter otherwise direct, be deemed to include such attachments
thereto as are referred to in the respective proclamations or orders.
PART 20_HANDLING OF THE UNITED STATES GOVERNMENT MANUAL STATEMENTS
--Table of Contents
Sec.
20.1 Liaison officers.
20.2 Preparation of agency statements.
20.3 Organization.
20.4 Description of program activities.
20.5 Sources of information.
20.6 Form, style, arrangement and apportionment of space.
[[Page 27]]
20.7 Deadline dates.
Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709; 3 CFR,
1954-1958 Comp., p. 189.
Source: 37 FR 23611, Nov. 4, 1972, unless otherwise noted.
Sec.20.1 Liaison officers.
(a) Each of the following shall appoint an officer to maintain
liaison with the Office on matters relating to The United States
Government Manual:
(1) Agencies of the legislative and judicial branches.
(2) Executive agencies that do not have a liaison officer designated
under Sec.16.1 of this chapter or who wish to appoint a liaison
officer for Manual matters other than the one designated under such
Sec.16.1.
(3) Quasi-official agencies represented in the Manual.
(4) Any other agency that the Director believes should be included
in the Manual.
(b) Each liaison officer will insure agency compliance with part 9
of this chapter and this part 20.
[37 FR 23611, Nov. 4, 1972, as amended at 50 FR 12468, Mar. 28, 1985; 54
FR 9682, Mar. 7, 1989]
Sec.20.2 Preparation of agency statements.
In accordance with schedules established under Sec.20.7 each
agency shall submit for publication in the Manual an official draft of
the information required by Sec.9.2 of this chapter and this part 20.
Sec.20.3 Organization.
(a) Information about lines of authority and organization may be
reflected in a chart if the chart clearly delineates the agency's
organizational structure. Charts must be prepared so as to be perfectly
legible when reduced to the size of a Manual page. Charts that do not
meet this requirement will not be included in the Manual.
(b) Listings of heads of operating units should be arranged whenever
possible to reflect relationships between units.
(c) Narrative descriptions of organizational structure or hierarchy
that duplicate information conveyed by charts or by lists of officials
will not be published in the Manual.
[37 FR 23611, Nov. 4, 1972, as amended at 54 FR 9682, Mar. 7, 1989]
Sec.20.4 Description of program activities.
(a) Descriptions should clearly state the public purposes that the
agency serves, and the programs that carry out those purposes.
(b) Descriptions of the responsibilities of individuals or of
administrative units common to most agencies will not be accepted for
publication in the Manual.
[54 FR 9682, Mar. 7, 1989]
Sec.20.5 Sources of information.
Pertinent sources of information useful to the public, in areas of
public interest such as employment, consumer activities, contracts,
services to small business, and other topics of public interest should
be provided with each agency statement. These sources of information
shall plainly identify the places at which the public may obtain
information or make submittals or requests.
Sec.20.6 Form, style, arrangement and apportionment of space.
The form, style, and arrangement of agency statements and other
materials included in the Manual and the apportionment of space therein
shall be determined by the Director of the Federal Register. The U.S.
Government Printing Office Style Manual is the applicable reference work
in determining style.
Sec.20.7 Deadline dates.
The Manual is published on a schedule designed to provide the public
with information about their Government on a timely basis. Therefore,
agencies must comply with the deadline dates established by the Director
of the Federal Register for transmittal of statements and charts and for
the verification of proofs. Failure to do so may result in publication
of an outdated statement or the omission of important material, thus
depriving members of the public of information they
[[Page 28]]
have a right to expect in a particular edition of the Manual.
PART 21_PREPARATION OF DOCUMENTS SUBJECT TO CODIFICATION--
Table of Contents
Subpart A_General
Sec.
21.1 Drafting.
21.6 Notice of expiration of codified material.
Code Structure
21.7 Titles and subtitles.
21.8 Chapters and subchapters.
21.9 Parts, subparts, and undesignated center heads.
21.10 Sections.
Numbering
21.11 Standard organization of the Code of Federal Regulations.
21.12 Reservation of numbers.
21.14 Deviations from standard organization of the Code of Federal
Regulations.
Headings
21.16 Required document headings.
21.18 Tables of contents.
21.19 Composition of part headings.
Amendments
21.20 General requirements.
References
21.21 General requirements: References.
21.23 Parallel citations of Code and Federal Register.
21.24 References to 1938 edition of Code.
Effective Date Statement
21.30 General.
OMB Control Numbers
21.35 OMB control numbers.
Subpart B_Citations of Authority
21.40 General requirements: Authority citations.
21.41 Agency responsibility.
21.42 Exceptions.
Placement
21.43 Placing and amending authority citations.
21.45 Nonstatutory authority.
Form
21.51 General.
21.52 Statutory material.
21.53 Nonstatutory materials.
Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709; 3 CFR,
1954-1958 Comp., p. 189.
Source: 37 FR 23611, Nov. 4, 1972, unless otherwise noted.
Subpart A_General
Sec.21.1 Drafting.
(a) Each agency that prepares a document that is subject to
codification shall draft it as an amendment to the Code of Federal
Regulations, in accordance with this subchapter, before submitting it to
the Office of the Federal Register.
(b) Each agency that prepares a document that is subject to
codification shall include words of issuance and amendatory language
that precisely describes the relationship of the new provisions to the
Code.
[37 FR 23611, Nov. 4, 1972, as amended at 54 FR 9682, Mar. 7, 1989]
Sec.21.6 Notice of expiration of codified material.
Whenever a codified regulation expires after a specified period by
its own terms or by law, the issuing agency shall submit a notification
by document for publication in the Federal Register.
[54 FR 9682, Mar. 7, 1989]
Code Structure
Sec.21.7 Titles and subtitles.
(a) The major divisions of the Code are titles, each of which brings
together broadly related Government functions.
(b) Subtitles may be used to distinguish between materials emanating
from an overall agency and the material issued by its various
components. Subtitles may also be used to group chapters within a title.
Sec.21.8 Chapters and subchapters.
(a) The normal divisions of a title are chapters, assigned to the
various agencies within a title descriptive of the subject matter
covered by the agencies' regulations.
(b) Subchapters may be used to group related parts within a chapter.
(c) Chapter and subchapter assignments are made by the Office of the
[[Page 29]]
Federal Register after agency consultation.
[37 FR 23611, Nov. 4, 1972, as amended at 54 FR 9682, Mar. 7, 1989]
Sec.21.9 Parts, subparts, and undesignated center heads.
(a) The normal divisions of a chapter are parts, consisting of a
unified body of regulations applying to a specific function of an
issuing agency or devoted to specific subject matter under the control
of that agency.
(b) Subparts or undesignated center heads may be used to group
related sections within a part. Undesignated center heads may also be
used to group sections within a subpart.
Sec.21.10 Sections.
(a) The normal divisions of a part are sections. Sections are the
basic units of the Code.
(b) When internal division is necessary, a section may be divided
into paragraphs, and paragraphs may be further subdivided using the
lettering indicated in Sec.21.11.
Numbering
Sec.21.11 Standard organization of the Code of Federal Regulations.
The standard organization consists of the following structural
units:
(a) Titles, which are numbered consecutively in Arabic throughout
the Code;
(b) Subtitles, which are lettered consecutively in capitals
throughout the title;
(c) Chapters, which are numbered consecutively in Roman capitals
throughout each title;
(d) Subchapters, which are lettered consecutively in capitals
throughout the chapter;
(e) Parts, which are numbered in Arabic throughout each title;
(f) Subparts, which are lettered in capitals;
(g) Sections, which are numbered in Arabic throughout each part. A
section number includes the number of the part followed by a period and
the number of the section. For example, the section number for section
15 of part 21 is ``Sec.21.15''; and
(h) Paragraphs, which are designated as follows:
level 1 (a), (b), (c), etc.
level 2 (1), (2), (3), etc.
level 3 (i), (ii), (iii), etc.
level 4 (A), (B), (C), etc.
level 5 (1), (2), (3), etc.
level 6 (i), (ii), (iii), etc.
[54 FR 9682, Mar. 7, 1989; 54 FR 23343, May 31, 1989]
Sec.21.12 Reservation of numbers.
In a case where related parts or related sections are grouped under
a heading, numbers may be reserved at the end of each group to allow for
expansion.
[37 FR 23611, Nov. 4, 1972, as amended at 54 FR 9682, Mar. 7, 1989]
Sec.21.14 Deviations from standard organization of the
Code of Federal Regulations.
(a) Any deviation from standard Code of Federal Regulations
designations must be approved in advance by the Office of the Federal
Register. Requests for approval must be submitted in writing at least
five working days before the agency intends to submit the final rule
document for publication and include a copy of the final rule document.
(b) The Director of the Federal Register may allow the keying of
section numbers to correspond to a particular numbering system used by
an agency only when the keying will benefit both that agency and the
public.
[54 FR 9682, Mar. 7, 1989]
Headings
Sec.21.16 Required document headings.
(a) Each rule and proposed rule document submitted to the Office of
the Federal Register shall contain the following headings, when
appropriate, on separate lines in the following order:
(1) Agency name;
(2) Subagency name;
(3) Numerical references to the CFR title and parts affected;
(4) Agency numbers of identifying symbol in brackets, if used;
(5) Brief subject heading describing the document.
(b) Each CFR section in the regulatory text of the document shall
have
[[Page 30]]
a brief descriptive heading, preceding the text, on a separate line.
[50 FR 12468, Mar. 28, 1985]
Sec.21.18 Tables of contents.
A table of contents shall be used at the beginning of the part
whenever a new part is introduced, an existing part is completely
revised, or a group of sections is revised or added and set forth as a
subpart or otherwise separately grouped under a center head. The table
shall follow the part heading and precede the text of the regulations in
that part. It shall also list the headings for the subparts,
undesignated center headings, sections in the part, and appendix
headings to the part or subpart.
[37 FR 23611, Nov. 4, 1972, as amended at 54 FR 9682, Mar. 7, 1989]
Sec.21.19 Composition of part headings.
Each part heading shall indicate briefly the general subject matter
of the part. Phrases such as ``Regulations under the Act of July 28,
1955'' or other expressions that are not descriptive of the subject
matter may not be used. Introductory expressions such as ``Regulations
governing'' and ``Rules applicable to'' may not be used.
Amendments
Sec.21.20 General requirements.
(a) Each amendatory document shall identify in specific terms the
unit amended, and the extent of the changes made.
(b) The number and heading of each section amended shall be set
forth in full on a separate line.
References
Sec.21.21 General requirements: References.
(a) Each reference to the Code of Federal Regulations shall be in
terms of the specific titles, chapters, parts, sections, and paragraphs
involved. Ambiguous references such as ``herein'', ``above'', ``below'',
and similar expressions may not be used.
(b) Each document that contains a reference to material published in
the Code shall include the Code citation as a part of the reference.
(c) Each agency shall publish its own regulations in full text.
Cross-references to the regulations of another agency may not be used as
a substitute for publication in full text, unless the Office of the
Federal Register finds that the regulation meets any of the following
exceptions:
(1) The reference is required by court order, statute, Executive
order or reorganization plan.
(2) The reference is to regulations promulgated by an agency with
the exclusive legal authority to regulate in a subject matter area, but
the referencing agency needs to apply those regulations in its own
programs.
(3) The reference is informational or improves clarity rather than
being regulatory.
(4) The reference is to test methods or consensus standards produced
by a Federal agency that have replaced or preempted private or voluntary
test methods or consensus standards in a subject matter area.
(5) The reference is to the Department level from a subagency.
[37 FR 23611, Nov. 4, 1972, as amended at 50 FR 12468, Mar. 28, 1985]
Sec.21.23 Parallel citations of Code and Federal Register.
For parallel reference, the Code of Federal Regulations and the
Federal Register may be cited in the following forms, as appropriate:
___ CFR ___ (___ FR ___). Sec.___ of this chapter (___ FR ___).
Sec.21.24 References to 1938 edition of Code.
When reference is made to material codified in the 1938 edition of
the Code of Federal Regulations, or a supplement thereto, the following
forms may be used, as appropriate:
___ CFR, 1938 Ed., ___.
___ CFR, 1943, Cum. Supp., ___.
___ CFR, 1946 Supp., ___.
Effective Date Statement
Sec.21.30 General.
Each document subject to codification shall include a clear
statement as to the date or dates upon which its contents become
effective.
[[Page 31]]
OMB Control Numbers
Sec.21.35 OMB control numbers.
To display OMB control numbers in agency regulations, those numbers
shall be placed parenthetically at the end of the section or displayed
in a table or codified section.
[50 FR 12468, Mar. 28, 1985]
Subpart B_Citations of Authority
Sec.21.40 General requirements: Authority citations.
Each section in a document subject to codification must include, or
be covered by, a complete citation of the authority under which the
section is issued, including--
(a) General or specific authority delegated by statute; and
(b) Executive delegations, if any, necessary to link the statutory
authority to the issuing agency.
[50 FR 12468, Mar. 28, 1985]
Sec.21.41 Agency responsibility.
(a) Each issuing agency is responsible for the accuracy and
integrity of the citations of authority in the documents it issues.
(b) Each issuing agency shall formally amend the citations of
authority in its codified material to reflect any changes therein.
Sec.21.42 Exceptions.
The Director of the Federal Register may make exceptions to the
requirements of this subpart relating to placement and form of citations
of authority whenever the Director determines that strict application
would impair the practical use of the citations.
[37 FR 23611, Nov. 4, 1972, as amended at 54 FR 9682, Mar. 7, 1989]
Placement
Sec.21.43 Placing and amending authority citations.
(a) The requirements for placing authority citations vary with the
type of amendment the agency is making in a document. The agency shall
set out the full text of the authority citation for each part affected
by the document.
(1) If a document sets out an entire CFR part, the agency shall
place the complete authority citation directly after the table of
contents and before the regulatory text.
(2) If a document amends only certain sections within a CFR part,
the agency shall present the complete authority citation to this part as
the first item in the list of amendments.
(i) If the authority for issuing an amendment is the same as the
authority listed for the whole CFR part, the agency shall simply restate
the authority.
(ii) If the authority for issuing an amendment changes the authority
citation for the whole CFR part, the agency shall revise the authority
citation in its entirety. The agency may specify the particular
authority under which certain sections are amended in the revised
authority citation.
(b) The agency shall present a centralized authority citation. The
authority citation shall appear at the end of the table of contents for
a part or after each subpart heading within the text of a part.
Citations of authority for particular sections may be specified within
the centralized authority citation.
[50 FR 12469, Mar. 28, 1985, as amended at 54 FR 9682, Mar. 7, 1989]
Sec.21.45 Nonstatutory authority.
Citation to a nonstatutory document as authority shall be placed
after the statutory citations. For example:
Authority: Sec. 9, Pub. L. 89-670, 80 Stat. 944 (49 U.S.C. 1657).
E.O. 11222, 30 FR 6469, 3 CFR, 1965 Comp., p. 10.
[37 FR 23611, Nov. 4, 1972, as amended at 54 FR 9682, Mar. 7, 1989]
Form
Sec.21.51 General.
(a) Formal citations of authority shall be in the shortest form
compatible with positive identification and ready reference.
(b) The Office of the Federal Register shall assist agencies in
developing model citations.
Sec.21.52 Statutory material.
(a) United States Code. All citations to statutory authority shall
include a
[[Page 32]]
United States Code citation, where available. Citations to titles of the
United States Code, whether or not enacted into positive law, may be
cited without Public Law or U.S. Statutes at Large citation. For
example:
Authority: 10 U.S.C. 501.
(b) Public Laws and U.S. Statutes at Large. Citations to Public Laws
and U.S. Statutes at Large are optional when the United States Code is
cited. Citations to current public laws and to the U.S. Statutes at
Large shall refer to the section of the public law and the volume and
page of the U.S. Statutes at Large to which they have been assigned. The
page number shall refer to the page on which the section cited begins.
For example:
Authority: Sec. 5, Pub. L. 89-670, 80 Stat. 935 (49 U.S.C. 1654);
sec. 313, Pub. L. 85-726, 72 Stat. 752 (49 U.S.C. 1354).
[54 FR 9682, Mar. 7, 1989]
Sec.21.53 Nonstatutory materials.
Nonstatutory documents shall be cited by document designation and by
Federal Register volume and page, followed, if possible, by the parallel
citation to the Code of Federal Regulations. For example:
Authority: Special Civil Air Reg. SR-422A, 28 FR 6703, 14 CFR part
4b. E.O. 11130, 28 FR 12789; 3 CFR 1959-1963 Comp.
[37 FR 23611, Nov. 4, 1972, as amended at 54 FR 9683, Mar. 7, 1989]
PART 22_PREPARATION OF NOTICES AND PROPOSED RULES--
Table of Contents
Subpart A_Notices
Sec.
22.1 Name of issuing agency and subdivision.
22.2 Authority citation.
Subpart B_Proposed Rules
22.5 General requirements.
22.6 Code designation.
22.7 Codification.
Authority: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709; 3 CFR,
1954-1958 Comp., p. 189.
Source: 37 FR 23614, Nov. 4, 1972, unless otherwise noted.
Subpart A_Notices
Sec.22.1 Name of issuing agency and subdivision.
(a) The name of the agency issuing a notice shall be placed at the
beginning of the document.
(b) Whenever a specific bureau, service, or similar unit within an
agency issues a notice, the name of that bureau, service, or unit shall
be placed on a separate line below the name of the agency.
(c) An agency that uses file numbers, docket numbers, or similar
identifying symbols shall place them in brackets immediately below the
other headings required by this section.
(d) A suitable short title identifying the subject shall be provided
beginning on a separate line immediately after the other required
caption or captions. Whenever appropriate, an additional brief caption
indicating the nature of the document shall be used.
Sec.22.2 Authority citation.
The authority under which an agency issues a notice shall be cited
in narrative form within text or in parentheses on a separate line
following text.
Subpart B_Proposed Rules
Sec.22.5 General requirements.
Each proposed rule required by section 553 of title 5, United States
Code, or any other statute, and any similar document voluntarily issued
by an agency shall include a statement of--
(a) The time, place, and nature of public rulemaking proceedings;
and
(b) Reference to the authority under which the regulatory action is
proposed.
[37 FR 23614, Nov. 4, 1972, as amended at 54 FR 9683, Mar. 7, 1989]
Sec.22.6 Code designation.
The area of the Code of Federal Regulations directly affected by a
proposed regulatory action shall be identified by placing the
appropriate CFR citation immediately below the name of the issuing
agency. For example:
[[Page 33]]
1 CFR part 22
[37 FR 23614, Nov. 4, 1972, as amended at 54 FR 9683, Mar. 7, 1989]
Sec.22.7 Codification.
Any part of a proposed rule document that contains the full text of
a proposed regulation shall also conform to the pertinent provisions of
part 21 of this chapter.
[37 FR 23614, Nov. 4, 1972, as amended at 54 FR 9683, Mar. 7, 1989]
PARTS 23 49 [RESERVED]
[[Page 35]]
CHAPTER II--OFFICE OF THE FEDERAL REGISTER
--------------------------------------------------------------------
Part Page
50 [Reserved]
51 Incorporation by reference.................. 37
52-299 [Reserved]
[[Page 37]]
PART 50 [RESERVED]
PART 51_INCORPORATION BY REFERENCE--Table of Contents
Sec.
51.1 Policy.
51.3 When will the Director approve a publication?
51.5 How does an agency request approval?
51.7 What publications are eligible?
51.9 What is the proper language of incorporation?
51.11 How does an agency change or remove an approved incorporation?
Authority: 5 U.S.C. 552(a).
Source: 47 FR 34108, Aug. 6, 1982, unless otherwise noted.
Sec.51.1 Policy.
(a) Section 552(a) of title 5, United States Code, provides, in
part, that ``matter reasonably available to the class of persons
affected thereby is deemed published in the Federal Register when
incorporated by reference therein with the approval of the Director of
the Federal Register.''
(b) The Director will interpret and apply the language of section
552(a) together with other requirements which govern publication in the
Federal Register and the Code of Federal Regulations. Those requirements
which govern publication include--
(1) The Federal Register Act (44 U.S.C. 1501 et seq.)
(2) The Administrative Procedure Act (5 U.S.C. 551 et seq.);
(3) The regulations of the Administrative Committee of the Federal
Register under the Federal Register Act (1 CFR Ch. I); and
(4) The acts which require publication in the Federal Register (See
CFR volume entitled ``CFR Index and Finding Aids.'')
(c) The Director will assume in carrying out the responsibilities
for incorporation by reference that incorporation by reference--
(1) Is intended to benefit both the Federal Government and the
members of the class affected; and
(2) Is not intended to detract from the legal or practical
attributes of the system established by the Federal Register Act, the
Administrative Procedure Act, the regulations of the Administrative
Committee of the Federal Register, and the acts which require
publication in the Federal Register.
(d) The Director will carry out the responsibilities by applying the
standards of part 51 fairly and uniformly.
(e) Publication in the Federal Register of a document containing an
incorporation by reference does not of itself constitute an approval of
the incorporation by reference by the Director.
(f) Incorporation by reference of a publication is limited to the
edition of the publication that is approved. Future amendments or
revisions of the publication are not included.
Sec.51.3 When will the Director approve a publication?
(a)(1) The Director will informally approve the proposed
incorporation by reference of a publication when the preamble of a
proposed rule meets the requirements of this part (See Sec.51.5(a)).
(2) If the preamble of a proposed rule does not meet the
requirements of this part, the Director will return the document to the
agency (See 1 CFR 2.4).
(b) The Director will formally approve the incorporation by
reference of a publication in a final rule when the following
requirements are met:
(1) The publication is eligible for incorporation by reference (See
Sec.51.7).
(2) The preamble meets the requirements of this part (See Sec.
51.5(b)(2)).
(3) The language of incorporation meets the requirements of this
part (See Sec.51.9).
(4) The publication is on file with the Office of the Federal
Register.
(5) The Director has received a written request from the agency to
approve the incorporation by reference of the publication.
(c) The Director will notify the agency of the approval or
disapproval of an incorporation by reference in a final rule within 20
working days after the agency has met all the requirements for
requesting approvals (See Sec.51.5).
[79 FR 66278, Nov. 7, 2014]
Sec.51.5 How does an agency request approval?
(a) For a proposed rule, the agency does not request formal approval
but must:
[[Page 38]]
(1) Discuss, in the preamble of the proposed rule, the ways that the
materials it proposes to incorporate by reference are reasonably
available to interested parties or how it worked to make those materials
reasonably available to interested parties; and
(2) Summarize, in the preamble of the proposed rule, the material it
proposes to incorporate by reference.
(b) For a final rule, the agency must request formal approval. The
formal request package must:
(1) Send a letter that contains a written request for approval at
least 20 working days before the agency intends to submit the final rule
document for publication;
(2) Discuss, in the preamble of the final rule, the ways that the
materials it incorporates by reference are reasonably available to
interested parties and how interested parties can obtain the materials;
(3) Summarize, in the preamble of the final rule, the material it
incorporates by reference;
(4) Send a copy of the final rule document that uses the proper
language of incorporation with the written request (See Sec.51.9); and
(5) Ensure that a copy of the incorporated material is on file at
the Office of the Federal Register.
(c) Agencies may consult with the Office of the Federal Register at
any time with respect to the requirements of this part.
[79 FR 66278, Nov. 7, 2014]
Sec.51.7 What publications are eligible?
(a) A publication is eligible for incorporation by reference under 5
U.S.C. 552(a) if it--
(1) Conforms to the policy stated in Sec.51.1;
(2)(i) Is published data, criteria, standards, specifications,
techniques, illustrations, or similar material; and
(ii) Does not detract from the usefulness of the Federal Register
publication system; and
(3) Is reasonably available to and usable by the class of persons
affected. In determining whether a publication is usable, the Director
will consider--
(i) The completeness and ease of handling of the publication; and
(ii) Whether it is bound, numbered, and organized, as applicable.
(b) The Director will assume that a publication produced by the same
agency that is seeking its approval is inappropriate for incorporation
by reference. A publication produced by the agency may be approved, if,
in the judgment of the Director, it meets the requirements of paragraph
(a) and possesses other unique or highly unusual qualities. A
publication may be approved if it cannot be printed using the Federal
Register/Code of Federal Regulations printing system.
(c) The following materials are not appropriate for incorporation by
reference:
(1) Material published previously in the Federal Register.
(2) Material published in the United States Code.
[47 FR 34108, Aug. 6, 1982, as amended at 79 FR 66278, Nov. 7, 2014]
Sec.51.9 What is the proper language of incorporation?
(a) The language incorporating a publication by reference must be
precise, complete, and clearly state that the incorporation by reference
is intended and completed by the final rule document in which it
appears.
(b) The language incorporating a publication by reference is precise
and complete if it--
(1) Uses the words ``incorporated by reference;''
(2) States the title, date, edition, author, publisher, and
identification number of the publication;
(3) Informs the user that the incorporated publication is a
requirement;
(4) Makes an official showing that the publication is in fact
available by stating where and how copies may be examined and readily
obtained with maximum convenience to the user; and
(5) Refers to 5 U.S.C. 552(a).
(c) If the Director approves a publication for incorporation by
reference in a final rule, the agency must include--
(1) The following language under the DATES caption of the preamble
to the final rule document (See 1 CFR 18.12 Preamble requirements):
[[Page 39]]
The incorporation by reference of certain publications listed in the
regulations is approved by the Director of the Federal Register as of
____.
(2) The preamble requirements set out in 51.5(b).
(3) The term ``incorporation by reference'' in the list of index
terms (See 1 CFR 18.20 Identification of subjects in agency
regulations).
[47 FR 34108, Aug. 6, 1982, as amended at 79 FR 66278, Nov. 7, 2014]
Sec.51.11 How does an agency change or remove an approved
incorporation?
(a) An agency that seeks approval for a change to a publication that
is approved for incorporation by reference must--
(1) Publish notice of the change in the Federal Register and amend
the Code of Federal Regulations;
(2) Ensure that a copy of the amendment or revision is on file at
the Office of the Federal Register; and
(3) Notify the Director of the Federal Register in writing that the
change is being made.
(b) If a regulation containing an incorporation by reference fails
to become effective or is removed from the Code of Federal Regulations,
the agency must notify the Director of the Federal Register in writing
of that fact within 5 working days of the occurrence.
PARTS 52 299 [RESERVED]
[[Page 41]]
CHAPTER III--ADMINISTRATIVE CONFERENCE OF THE UNITED STATES
--------------------------------------------------------------------
Part Page
300 [Reserved]
301 Organization and purpose.................... 43
302-303 [Reserved]
304 Disclosure of records or information........ 45
305-399 [Reserved]
[[Page 43]]
PART 300 [RESERVED]
PART 301_ORGANIZATION AND PURPOSE--Table of Contents
Sec.
301.1 Establishment and location.
301.2 Purposes.
301.3 Organization.
301.4 Activities.
301.5 Office of the Chairman.
Authority: 5 U.S.C. 552, 591-96.
Source: 75 FR 68941, Nov. 10, 2010, unless otherwise noted.
Sec.301.1 Establishment and location.
The Administrative Conference of the United States was established
as a permanent independent agency of the Federal Government by the
Administrative Conference Act (5 U.S.C. 591-96), as amended. The
Conference offices are located at 1120 20th Street, NW., South Lobby,
Suite 706, Washington, DC 20036. The offices are open from 8:30 a.m. to
5 p.m., Monday through Friday, excluding legal holidays, unless
otherwise stated. General correspondence and filings should be delivered
to the foregoing address. Electronic filings should be transmitted as
specified by the Conference. The public may obtain information about the
Conference either by accessing its Web site at http://www.acus.gov, by
calling the Conference offices at (202) 480-2080, or by contacting
[email protected]. The Conference's recommendations may be obtained by
accessing its Web site or by visiting the reading room at its offices.
Sec.301.2 Purposes.
The purposes of the Administrative Conference are--
(a) To provide suitable arrangements through which Federal agencies,
assisted by outside experts, may cooperatively study mutual problems,
exchange information, and develop recommendations for action by proper
authorities to the end that private rights may be fully protected and
regulatory activities and other Federal responsibilities may be carried
out expeditiously in the public interest;
(b) To promote more effective public participation and efficiency in
the rulemaking process;
(c) To reduce unnecessary litigation in the regulatory process;
(d) To improve the use of science in the regulatory process; and
(e) To improve the effectiveness of laws applicable to the
regulatory process.
Sec.301.3 Organization.
(a) The Chairman of the Administrative Conference of the United
States is appointed by the President, with the advice and consent of the
Senate, for a five-year term.
(b) The Council consists of the Chairman and 10 other members who
are appointed by the President for three-year terms, of whom not more
than one-half may be employees of Federal regulatory agencies or
Executive departments.
(c) The total membership of the Conference may not, by statute, be
lower than 75 or higher than 101. It comprises, in addition to the
Council, approximately 50 Government members (from Executive departments
and agencies designated by the President and independent regulatory
boards or commissions) and approximately 40 non-Government or public
members appointed by the Chairman with the approval of the Council
(lawyers in private practice, scholars in the field of administrative
law or government, or others specially informed by knowledge and
experience with respect to Federal administrative procedure). Public
members are selected so as to provide broad representation of the views
of private citizens and utilize diverse experience.
(d) Members of the Conference, except the Chairman, are not entitled
to pay for service; although public members are entitled to travel
reimbursement.
(e) The membership is divided into six standing committees, each
assigned a broad area of interest as follows: Adjudication,
Administration, Public Processes, Judicial Review, Regulation, and
Rulemaking.
(f) The membership meeting in plenary session is called the Assembly
of the Administrative Conference. The Council must call at least one
plenary session each year. The Assembly has
[[Page 44]]
authority to adopt bylaws for carrying out the functions of the
Conference.
Sec.301.4 Activities.
(a) The Conference may study the efficiency, adequacy, and fairness
of the administrative procedure used by administrative agencies in
carrying out administrative programs. Subjects for inquiry by the
Conference are developed by the Chairman, the Council, the committees,
and the Assembly. The committees, with the assistance of staff and
consultants, conduct thorough studies of these subjects and develop
proposed recommendations and supporting reports. Reports and
recommendations are considered by the Council and distributed to the
membership, with the views and recommendations of the Council, to be
placed on the agenda of a plenary session. The Assembly has complete
authority to approve, amend, remand, or reject recommendations presented
by the committees. The deliberations of the Assembly are public.
Recommendations may be made to administrative agencies, collectively or
individually, and to the President, Congress, or the Judicial Conference
of the United States, as the Conference considers appropriate.
(b) The Conference may arrange for interchange among administrative
agencies of information potentially useful in improving administrative
procedure, collect information and statistics from administrative
agencies and publish such reports as it considers useful for evaluating
and improving administrative procedure, and enter into arrangements with
any administrative agency or major organizational unit within an
administrative agency pursuant to which the Conference performs any of
the functions described in this section.
(c) The Conference may provide assistance in response to requests
relating to the improvement of administrative procedure in foreign
countries, subject to the concurrence of the Secretary of State or the
Administrator of the Agency for International Development, as
appropriate, except that:
(1) Such assistance shall be limited to the analysis of issues
relating to administrative procedure, the provision of training of
foreign officials in administrative procedure, and the design or
improvement of administrative procedure, where the expertise of members
of the Conference is indicated; and
(2) Such assistance may only be undertaken on a fully reimbursable
basis, including all direct and indirect administrative costs.
(d) For purposes of this section:
(1) ``Administrative program'' includes a Federal function which
involves protection of the public interest and the determination of
rights, privileges, and obligations of private persons through
rulemaking, adjudication, licensing, or investigation, except that it
does not include a military or foreign affairs function of the United
States; and
(2) ``Administrative procedure'' means procedure used in carrying
out an administrative program and is to be broadly construed to include
any aspect of agency organization, procedure, or management which may
affect the equitable consideration of public and private interests, the
fairness of agency decisions, the speed of agency action, and the
relationship of operating methods to later judicial review, but does not
include the scope of agency responsibility as established by law or
matters of substantive policy committed by law to agency discretion.
Sec.301.5 Office of the Chairman.
The Chairman is the chief executive of the Conference. The Chairman
presides at meetings of the Council and at each plenary session of the
Conference. Among his powers is the authority to encourage Federal
agencies to adopt the recommendations of the Conference. The Chairman is
also authorized to make inquiries into matters he considers important
for Conference consideration, including matters proposed by individuals
inside or outside the Federal Government. The purpose of such inquiries
is not to review the results in particular cases, but rather to
determine whether the problems should be made the subject of Conference
study in the interests of developing fair and effective procedures for
such cases. Upon request of the head of an agency, the Chairman is
authorized to furnish assistance and advice on matters of administrative
procedure.
[[Page 45]]
The Chairman may request agency heads to provide information needed by
the Conference, which information shall be supplied to the extent
permitted by law.
PARTS 302 303 [RESERVED]
PART 304_DISCLOSURE OF RECORDS OR INFORMATION--Table of Contents
Subpart A_Procedures for Disclosure of Records Under the Freedom of
Information Act
Sec.
304.1 General provisions.
304.2 Proactive disclosures.
304.3 Requirements for making requests.
304.4 Responsibility for responding to requests.
304.5 Timing of responses to requests.
304.6 Responses to requests.
304.7 Business information.
304.8 Appeals.
304.9 Fees.
304.10 Preservation of records.
304.11 Other rights and services.
Subpart B_Protection of Privacy and Access to Individual Records Under
the Privacy Act of 1974
304.20 General provisions.
304.21 Requests for access to records.
304.22 Responsibility for responding to requests for access to records.
304.23 Responses to requests for access to records.
304.24 Appeals from denials of requests for access to records.
304.25 Requests for amendment or correction of records.
304.26 Requests for an accounting of record disclosures.
304.27 Fees.
304.28 Notice of court-ordered and emergency disclosures.
304.29 Security of systems of records.
304.30 Contracts for the operation of record systems.
304.31 Use and collection of social security numbers and other
information.
304.32 Employee standards of conduct.
304.33 Preservation of records.
304.34 Other rights and services.
Source: 76 FR 18635, Apr. 5, 2011, unless otherwise noted.
Subpart A_Procedures for Disclosure of Records Under the Freedom of
Information Act
Authority: 5 U.S.C. 552, 591-96.
Sec.304.1 General provisions.
(a) This subpart contains the rules that the Administrative
Conference of the United States (``ACUS'' or ``the agency'') follows in
processing requests for disclosure of records under the Freedom of
Information Act (``FOIA'' or ``the Act''), 5 U.S.C. 552, as amended, and
in meeting its responsibilities under the Act. Note that electronic
records are treated as records for the purposes of the FOIA. These rules
should be read together with the text of the FOIA itself and the Uniform
Freedom of Information Fee Schedule and Guidelines published by the
Office of Management and Budget (OMB Guidelines). They also may be read
in conjunction with the agency's ``Freedom of Information Act Reference
Guide,'' which provides basic information about use of the Act in
relation to the agency's records. Requests made by individuals for
records about themselves under the Privacy Act of 1974, 5 U.S.C. 552a,
are processed in accordance with the agency's Privacy Act regulations as
well as under this subpart.
(b) The agency will withhold records or information only when it
reasonably foresees that disclosure would harm an interest protected by
an exemption of the FOIA or when disclosure is prohibited by law. Where
full disclosure is not possible, the agency will consider whether
partial disclosure is possible and, if so, will take reasonable steps to
segregate and release nonexempt information. These policies do not
create any right enforceable in court.
(c) The agency has designated its General Counsel as its Chief FOIA
Officer, who has agency-wide responsibility for efficient and
appropriate compliance with the FOIA and these implementing regulations.
The Chief FOIA Officer has designated the agency's FOIA Public Liaison,
who can assist individuals in locating and obtaining particular agency
records. Contact information for the Chief FOIA Officer and
[[Page 46]]
the FOIA Public Liaison are clearly indicated on the agency's Web site
at https://www.acus.gov/foia.
[82 FR 7632, Jan. 23, 2017]
Sec.304.2 Proactive disclosures.
(a) Records that the FOIA requires ACUS to make regularly available
for public inspection in an electronic format, including any records
that have been requested three or more times, or were previously
released and are likely to become the subject of subsequent requests or
appear to be of general interest, may be accessed through the agency's
Web site at https://www.acus.gov. A subject matter index of such records
(or comparable tool) may also be accessed through the agency's Web site
and will be updated on an ongoing basis.
(b) Information routinely provided to the public as part of a
regular agency activity, including information posted on the agency's
Web site (for example, press releases or recommendations adopted by the
Conference pursuant to the Administrative Conference Act, 5 U.S.C. 591
et seq.), may be provided to the public without following this subpart.
(c) Any requester needing assistance in locating proactively
disclosed or other agency records may contact the agency's FOIA Public
Liaison at (202) 480-2080.
[82 FR 7632, Jan. 23, 2017]
Sec.304.3 Requirements for making requests.
(a) How made and addressed. You may make a request for records by
using the FOIA Request form on the ACUS Web site at https://
www.acus.gov/foia. You may also send a written request letter to the
agency either by mail addressed to FOIA Public Liaison, Administrative
Conference of the United States, 1120 20th Street NW., Suite 706 South,
Washington, DC 20036, or by fax delivery to (202) 386-7190. For the
quickest possible handling of a mail request, you should mark both your
request letter and the envelope ``Freedom of Information Act Request.''
(You may find the agency's ``Freedom of Information Act Reference
Guide''--which is available in electronic format on its Web site and in
paper form--helpful in making your request.) If you are making a request
for records about yourself, see Sec.304.21(d) for additional
requirements. If you are making a request for records about another
individual, then either a written authorization signed by that
individual permitting disclosure of those records to you or proof that
that individual is deceased (for example, a copy of a death certificate
or an obituary notice) will help the processing of your request. Your
request will be considered received as of the date upon which it is
logged in as received by the agency's FOIA Public Liaison.
(b) Description of records sought. (1) You must describe the records
that you seek in enough detail to enable agency personnel to locate them
with a reasonable amount of effort. Whenever possible, your request
should include specific information about each record sought, such as
the date, title or name, author, recipient, and subject matter of the
record. If known, you should include any file designations or similar
descriptions for the records that you want. As a general rule, the more
specific you are about the records or type of records that you want, the
more likely that the agency will be able to locate those records in
response to your request. Before submitting your request, you may
contact the agency's FOIA Public Liaison at (202) 480-2080 for
assistance in describing the records.
(2) If the agency determines that your request does not reasonably
describe records, then it will tell you either what additional
information is needed or why your request is otherwise insufficient. It
also will give you an opportunity to discuss your request by telephone
so that you may modify it to meet the requirements of this section.
Additionally, if your request does not reasonably describe the records
you seek, the agency's response to it may be delayed as an initial
matter.
(c) Format of records sought. Requests may specify the preferred
form or format (including electronic formats) for the records you seek.
The agency will accommodate your request if the record is readily
reproducible in that form or format.
[[Page 47]]
(d) Agreement to pay fees. When you make a FOIA request, it will be
considered to be an agreement by you to pay all applicable fees charged
under Sec.304.9, up to $50.00, unless you specifically request a
waiver of fees. The agency ordinarily will confirm this agreement in an
acknowledgment letter. When making a request, you may specify a
willingness to pay a greater or lesser amount. Your agreement will not
prejudice your ability to seek a waiver or reduction of any applicable
fee at a later time.
[82 FR 7632, Jan. 23, 2017]
Sec.304.4 Responsibility for responding to requests.
(a) In general. The agency will be responsible for responding to a
request in all respects, except in the case of a referral to another
agency as is described in paragraphs (b), (c), and (d) of this section.
In determining which records are responsive to a request, the agency
ordinarily will include only records in its possession and control as of
the date upon which it begins its search for them. If any other date is
used, the agency will inform the requester of that date.
(b) Consultations and referrals. When the agency receives a request
for a record in its possession and control, it will determine whether
another agency of the Federal Government is better able to determine
whether the record is exempt from disclosure under the FOIA and, if so,
whether it should be disclosed as a matter of administrative discretion.
If the agency determines that it is best able to process the record in
response to the request, then it will do so. If the agency determines
that it is not best able to process the record, then it will either:
(1) Respond to the request regarding that record, after consulting
with the agency that is best able to determine whether to disclose it
and with any other agency that has a substantial interest in it; or
(2) Refer the responsibility for responding to the request regarding
that record to another agency that originated the record (but only if
that agency is subject to the FOIA). Ordinarily, the agency that
originated a record will be presumed to be best able to determine
whether to disclose it.
(c) Notice of referral. When the agency refers all or any part of
the responsibility for responding to a request to another agency, it
ordinarily will notify the requester of the referral and inform the
requester of the name of the agency to which the request has been
referred and of the part of the request that has been referred.
(d) Timing of responses to consultations and referrals. All
consultations and referrals will be handled according to the date upon
which the FOIA request initially was received by the first agency, and
not any later date.
(e) Agreements regarding consultations and referrals. The agency may
make agreements with other agencies designed to eliminate the need for
consultations or referrals regarding particular types of records.
Sec.304.5 Timing of responses to requests.
(a) In general. The agency ordinarily will respond to requests
according to their order of receipt.
(b) Multi-track processing. The agency generally uses two processing
tracks that distinguish between simple and complex requests. In
determining the appropriate track for a request, the agency considers,
among other factors, the number of records requested, the number of
pages involved in processing the request and the need for consultations
or referrals. When a request is placed on the complex track, the agency
will provide the requester with an opportunity to narrow or modify the
request so that it can be placed on the simple track. The agency will
contact the requester by telephone, email or letter, whichever is most
efficient, in each case.
(c) Unusual circumstances. (1) Where the statutory time limit of 20
days for processing a request cannot be met because of ``unusual
circumstances,'' as defined in the FOIA, and the agency extends the time
limits on that basis, it will, before expiration of the 20-day period,
notify the requester in writing of the unusual circumstances and of the
date by which the agency estimates
[[Page 48]]
processing of the request can be expected to be completed. Where the
extension is likely to exceed ten working days, the agency will provide
the requester with an opportunity to modify the request or arrange an
alternative time period for processing the original or modified request.
In such instances, the agency's FOIA Public Liaison will contact the
requester, and the requester will be informed of the mediation services
offered by the Office of Government Information Services (``OGIS'')--see
https://www.archives.gov/ogis.
(2) Where the agency reasonably believes that multiple requests
submitted by a requester, or by a group of requesters acting in concert,
constitute a single request that would otherwise involve unusual
circumstances, and the requests involve clearly related matters, they
may be aggregated. Multiple requests involving unrelated matters will
not be aggregated.
(d) Expedited processing. (1) Requests and appeals will be taken out
of order and given expedited treatment whenever it is determined that
they involve:
(i) Circumstances in which the lack of expedited treatment could
reasonably be expected to pose an imminent threat to the life or
physical safety of an individual;
(ii) An urgency to inform the public concerning actual or alleged
federal government activity, if made by a person primarily engaged in
disseminating information; or
(iii) Other circumstances as determined by the agency.
(2) A request for expedited processing may be made at the time of
the initial request for records (i.e., as part of the initial request)
or at any later time.
(3) A requester who seeks expedited processing must submit a
statement, certified to be true and correct to the best of that person's
knowledge and belief, explaining in detail the basis for requesting
expedited processing. For example, a requester within the category in
paragraph (d)(1)(ii) of this section, if not a full-time member of the
news media, must establish that he or she is a person whose main
professional activity or occupation is information dissemination, though
it need not be his or her sole occupation. That requester also must
establish a particular urgency to inform the public about the government
activity involved in the request, beyond the public's right to know
about government activity generally. The formality of certification may
be waived by the agency as a matter of administrative discretion.
(4) Within ten calendar days of its receipt of a request for
expedited processing, the agency will decide whether to grant it and
will notify the requester of the decision. If a request for expedited
treatment is granted, then the request will be given priority and will
be processed as soon as practicable. If a request for expedited
processing is denied, then any appeal of that decision will be acted on
expeditiously.
[76 FR 18635, Apr. 5, 2011, as amended at 82 FR 7632, Jan. 23, 2017]
Sec.304.6 Responses to requests.
(a) Acknowledgments of requests. On receipt of a request, if the
agency cannot provide the requested information within two working days,
then an acknowledgment letter or email message will be sent to the
requester that will confirm the requester's agreement to pay fees under
Sec.304.3(d) and will provide a request tracking number for further
reference. Requesters may use this tracking number to determine the
status of their request--including the date of its receipt and the
estimated date on which action on it will be completed--by calling the
agency's FOIA Public Liaison at (202) 480-2080. In some cases, the
agency may seek further information or clarification from the requester.
(b) Grants of requests. Ordinarily, the agency will have 20 working
days from when a request is received to determine whether to grant or
deny the request. Once the agency makes such a determination, it will
immediately notify the requester in writing. The agency will inform the
requester in the notice of any fee charged under Sec.304.9 and will
disclose records to the requester promptly upon payment of any
applicable fee. The agency will also inform the requester of the
availability of its FOIA Public Liaison to offer assistance.
[[Page 49]]
(c) Adverse determinations of requests. Whenever the agency makes an
adverse determination denying a request in any respect, it will notify
the requester of that determination in writing. Adverse determinations,
or denials of requests, consist of: A determination to withhold any
requested record in whole or in part; a determination that a requested
record does not exist or cannot be located; a determination that a
record is not readily reproducible in the form or format sought by the
requester; a determination that what has been requested is not a record
subject to the FOIA; a determination on any disputed fee matter,
including a denial of a request for a fee waiver; and a denial of a
request for expedited treatment. The denial letter will include:
(1) The name and title or position of the person responsible for the
denial;
(2) A brief statement of the reason(s) for the denial, including any
FOIA exemption(s) applied by the agency in denying the request;
(3) An estimate of the volume of records or information withheld, in
number of pages or in some other reasonable form of estimation. This
estimate does not need to be provided if the volume is otherwise
indicated through deletions on records disclosed in part, or if
providing an estimate would harm an interest protected by an applicable
exemption; and
(4) An indication on the released portion of a record of each
exemption applied, at the place at which it was applied, if technically
feasible.
(5) A statement that the denial may be appealed under Sec.304.8(a)
and a description of the requirements of Sec.304.8(a).
(6) A statement notifying the requester of the assistance available
from the agency's FOIA Public Liaison and the dispute resolution
services offered by OGIS.
(d) Markings on released documents. Records disclosed in part will
be marked or annotated to show the amount of information deleted, unless
doing so would harm an interest protected by an applicable exemption.
The location of the information deleted also will be indicated on the
record, if technically feasible.
[82 FR 7633, Jan. 23, 2017]
Sec.304.7 Business information.
(a) In general. Business information obtained by the agency will be
disclosed under the FOIA only under this section and in accordance with
Executive Order 12,600, 3 CFR part 235 (1988).
(b) Definitions. For purposes of this section:
(1) ``Business information'' means privileged or confidential
commercial or financial information obtained by the agency from a
submitter that may be protected from disclosure under Exemption 4 of the
FOIA.
(2) ``Submitter'' means any person or entity from whom the agency
obtains business information, either directly or indirectly. The term
includes corporations; state, local, and tribal governments; and foreign
governments.
(c) Designation of business information. A submitter of business
information will use good-faith efforts to designate, by appropriate
markings, either at the time of submission or at a reasonable time
thereafter, any and all portion(s) of its submission that it considers
to be protected from disclosure under Exemption 4. These designations
will expire ten years after the date of the submission unless the
submitter requests, and provides justification for, a longer designation
period.
(d) Notice to submitters. The agency will provide a submitter with
prompt written notice of a FOIA request or administrative appeal that
seeks its business information wherever required under paragraph (e) of
this section, except as provided in paragraph (h) of this section, in
order to give the submitter an opportunity to object to disclosure of
any specified portion of that information under paragraph (f) of this
section. The notice will either describe the business information
requested or include copies of the requested records or record portions
containing the information. When notification of a voluminous number of
submitters is required, notification may be made by posting or
publishing the notice in a place reasonably likely to accomplish it.
(e) Where notice is required. Notice will be given to a submitter
wherever:
(1) The information has been designated in good faith by the
submitter as information considered protected from disclosure under
Exemption 4; or
[[Page 50]]
(2) The agency has reason to believe that the information may be
protected from disclosure under Exemption 4.
(f) Opportunity to object to disclosure. The agency will allow a
submitter a reasonable time to respond to the notice described in
paragraph (d) of this section and will specify that time period within
the notice. If a submitter has any objection to disclosure, it is
required to submit a detailed written statement. The statement must
specify all grounds for withholding any portion of the information under
any exemption of the FOIA and, in the case of Exemption 4, it must show
why the information is a trade secret or commercial or financial
information that is privileged or confidential. In the event that a
submitter fails to respond to the notice within the time specified in
it, the submitter will be considered to have no objection to disclosure
of the information. Information provided by the submitter that is not
received by the agency until after its disclosure decision has been made
will not be considered by the agency. Information provided by a
submitter under this paragraph may itself be subject to disclosure under
the FOIA.
(g) Notice of intent to disclose. The agency will consider a
submitter's objections and specific grounds for nondisclosure in
deciding whether to disclose business information. Whenever the agency
decides to disclose business information over the objection of a
submitter, it will give the submitter written notice, which will
include:
(1) A statement of the reason(s) why each of the submitter's
disclosure objections was not sustained;
(2) A description of the business information to be disclosed; and
(3) A specified disclosure date, which will be a reasonable time
subsequent to the notice.
(h) Exceptions to notice requirements. The notice requirements of
paragraphs (d) and (g) of this section will not apply if:
(1) The agency determines that the information should not be
disclosed;
(2) The information lawfully has been published or has been
officially made available to the public;
(3) Disclosure of the information is required by statute (other than
the FOIA) or by a regulation issued in accordance with the requirements
of Executive Order 12,600; or
(4) The designation made by the submitter under paragraph (c) of
this section appears obviously frivolous--except that, in such a case,
the agency will, within a reasonable time prior to a specified
disclosure date, give the submitter written notice of any final decision
to disclose the information.
(i) Notice of FOIA lawsuit. Whenever a requester files a lawsuit
seeking to compel the disclosure of business information, the agency
will promptly notify the submitter.
(j) Corresponding notice to requesters. Whenever the agency provides
a submitter with notice and an opportunity to object to disclosure under
paragraph (d) of this section, it will also notify the requester(s).
Whenever the agency notifies a submitter of its intent to disclose
requested information under paragraph (g) of this section, it will also
notify the requester(s). Whenever a submitter files a lawsuit seeking to
prevent the disclosure of business information, the agency will notify
the requester(s).
Sec.304.8 Appeals.
(a) Appeals of adverse determinations. If you are dissatisfied with
the response to your request, you may appeal an adverse determination
denying your request, in any respect, to the Chairman of the agency. You
must make your appeal in writing, by email or letter, and it must be
received by the agency within 90 calendar days of the date of the
agency's response denying your request. Your appeal should provide
reasons and supporting information as to why the initial determination
was incorrect. The appeal should clearly identify the particular
determination (including the assigned request number, if known) that you
are appealing. For the quickest possible handling of a mail request, you
should mark your appeal ``Freedom of Information Act Appeal.'' The
Chairman or his or her designee will act on the appeal, except that an
appeal ordinarily will not be acted on if the request becomes a matter
of FOIA litigation.
(b) Responses to appeals. The decision on your appeal will be
communicated
[[Page 51]]
to you by email or letter, ordinarily within 20 working days of receipt
of your appeal. A decision affirming an adverse determination in whole
or in part will contain a statement of the reason(s) for the affirmance,
including any FOIA exemption(s) applied, and will inform you of the FOIA
provisions for court review of the decision. The decision will also
inform you of the mediation services offered by OGIS as a non-exclusive
alternative to FOIA litigation. If the adverse determination is reversed
or modified on appeal, in whole or in part, then you will be notified in
a written decision and your request will be reprocessed in accordance
with that appeal decision.
(c) Engaging in dispute resolution services provided by OGIS.
Mediation is a voluntary process. If the agency agrees to participate in
the mediation services provided by OGIS, it will actively engage in the
process in an attempt to resolve the dispute.
(d) When appeal is required. As a general rule, if you wish to seek
review by a court of any adverse determination, you must first appeal it
in a timely fashion under this section.
[82 FR 7633, Jan. 23, 2017]
Sec.304.9 Fees.
(a) In general. The agency will charge for processing requests under
the FOIA in accordance with paragraph (c) of this section and with the
OMB Guidelines. The agency ordinarily will collect all applicable fees
before sending copies of requested records to a requester. Requesters
must pay fees by check or money order made payable to the Treasury of
the United States.
(b) Definitions. For purposes of this section:
(1) ``Commercial use request'' means a request from or on behalf of
a person who seeks information for a use or purpose that furthers his or
her commercial, trade, or profit interests, including furthering those
interests through litigation. The agency will determine, whenever
reasonably possible, the use to which a requester will put the requested
records. When it appears that the requester will put the records to a
commercial use, either because of the nature of the request itself or
because the agency has reasonable cause to doubt a requester's stated
use, the agency will provide the requester a reasonable opportunity to
submit further clarification.
(2) ``Direct costs'' means those expenses that an agency actually
incurs in searching for and duplicating (and, in the case of commercial
use requests, reviewing) records to respond to a FOIA request. Direct
costs include, for example, the salary of the employee performing the
work (the basic rate of pay for the employee, plus 16 percent of that
rate to cover benefits) and the cost of operating duplication machinery.
Not included in direct costs are overhead expenses such as the costs of
space and heating or lighting of the facility in which the records are
kept.
(3) ``Duplication'' means the making of a copy of a record, or of
the information contained in it, necessary to respond to a FOIA request.
Copies can take the form of paper, audiovisual materials, or electronic
records, among others. The agency will honor a requester's specified
preference of form or format of disclosure if the record is readily
reproducible with reasonable efforts in the requested form or format.
(4) ``Educational institution'' means 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, that operates a program of scholarly research. To qualify
under this category, a requester must show that the request is
authorized by and is made under the auspices of a qualifying institution
and that the records are not sought for a commercial use but are sought
to further scholarly research.
(5) ``Noncommercial scientific institution'' means an institution
that is not operated on a ``commercial'' basis, as that term is defined
in paragraph (b)(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. To qualify under
this category, a requester must show that the request is authorized by
and is made under the auspices of a qualifying institution and
[[Page 52]]
that the records are not sought for a commercial use but are sought to
further scientific research.
(6) ``Representative of the news media,'' or ``news-media
requester,'' means any person or entity that gathers information of
potential interest to a segment of the public, uses its editorial skills
to turn the raw materials into a distinct work, and distributes that
work to an audience. For this purpose, 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 are television
or radio stations broadcasting to the public at large and publishers of
periodicals (but only if such entities qualify as disseminators of
``news'') who make their products available for purchase by or
subscription by or free distribution to the general public. These
examples are not all-inclusive. Moreover, as methods of news delivery
evolve (for example, the adoption of the electronic dissemination of
newspapers through telecommunications services), such alternative media
shall be considered to be news-media entities. A freelance journalist
shall be regarded as working for a news-media entity if the journalist
can demonstrate a solid basis for expecting publication through that
entity, whether or not the journalist is actually employed by the
entity. A publication contract would present a solid basis for such an
expectation; the agency may also consider the past publication record of
the requester in making such a determination. To qualify under this
category, a requester must not be seeking the requested records for a
commercial use. A request for records supporting the news-dissemination
function of the requester will not be considered to be for a commercial
use.
(7) ``Review'' means the examination of a record located in response
to a request in order to determine whether any portion of it is exempt
from disclosure. It also includes processing any record for disclosure--
for example, doing all that is necessary to redact it and prepare it for
disclosure. Review costs are recoverable even if a record ultimately is
not disclosed. Review time includes time spent considering any formal
objection to disclosure made by a business submitter under Sec.304.7
but does not include time spent resolving general legal or policy issues
regarding the application of exemptions.
(8) ``Search'' means the process of looking for and retrieving
records or information responsive to a request. It includes page-by-page
or line-by-line identification of information within records and also
includes reasonable efforts to locate and retrieve information from
records maintained in electronic form or format. The agency will conduct
searches in the most efficient and least expensive manner reasonably
possible. For example, it will not search on a line-by-line basis where
duplicating an entire document would be quicker and less expensive.
(c) Fees charged. In responding to FOIA requests, the agency will
charge the following fees unless a waiver or reduction of fees has been
granted under paragraph (k) of this section:
(1) Search. (i) Search fees will be charged for all requests (other
than requests made by educational institutions, noncommercial scientific
institutions, or representatives of the news media) subject to the
limitations of paragraph (d) of this section. The agency may charge for
time spent searching even if it does not locate any responsive record or
if it withholds the record(s) located as entirely exempt from
disclosure.
(ii) For each quarter hour spent by clerical personnel in searching
for and retrieving a requested record, the fee will be $5.00. Where a
search and retrieval cannot be performed entirely by clerical personnel
(for example, where the identification of records within the scope of a
request requires the use of professional personnel) the fee will be
$10.00 for each quarter hour of search time spent by professional
personnel. Where the time of managerial personnel is required, the fee
will be $15.00 for each quarter hour of time spent by those personnel.
(iii) For computer searches of records, requesters will be charged
the direct costs of conducting the search, although certain requesters
(as provided in paragraph (d)(1) of this section) will be charged no
search fee and certain other requesters (as provided in
[[Page 53]]
paragraph (d)(3) of this section) will be entitled to the cost
equivalent of two hours of manual search time without charge. These
direct costs will include the costs of operator/programmer salary
apportionable to the search.
(2) Duplication. Duplication fees will be charged to all requesters,
subject to the limitations of paragraph (d) of this section. For a paper
photocopy of a record (no more than one copy of which need be supplied),
the fee will be ten cents per page. For copies produced by computer,
such as tapes, disks, or printouts, the agency will charge the direct
costs, including operator time, of producing the copy. For other forms
of duplication, the agency will charge the direct costs of that
duplication.
(3) Review. Review fees will be charged to requesters who make a
commercial use request. Review fees will be charged only for the initial
record review, when the agency determines whether an exemption applies
to a particular record or record portion at the initial request level.
No charge will be made for review at the administrative appeal level
regarding an exemption already applied. However, records or record
portions withheld under an exemption that is subsequently determined not
to apply may be reviewed again to determine whether any other exemption
not previously considered applies; the costs of that review are
chargeable where it is made necessary by such a change of circumstances.
Review fees will be charged at the same rates as those used for a search
under paragraph (c)(1)(ii) of this section.
(d) Limitations on charging fees. (1) No search fee will be charged
for requests by educational institutions, noncommercial scientific
institutions, or representatives of the news media.
(2) No search fee or review fee will be charged for a quarter-hour
period unless more than half of that period is required for search or
review.
(3) Except for requesters seeking records for a commercial use, the
agency will provide without charge:
(i) The first 100 pages of duplication (or the cost equivalent); and
(ii) The first two hours of search (or the cost equivalent).
(4) Whenever a total fee calculated under paragraph (c) of this
section is $20.00 or less for any request, no fee will be charged.
(5) The provisions of paragraphs (d)(3) and (4) of this section work
together. This means that for requesters other than those seeking
records for a commercial use, no fee will be charged unless the cost of
search in excess of two hours plus the cost of duplication in excess of
100 pages totals more than $20.00.
(6) (i) If the agency fails to comply with the FOIA's time limits in
which to respond to a request, it may not charge search fees, or, in the
instances of requests from requesters described in paragraph (d)(1) of
this section, may not charge duplication fees, except as described in
(d)(6)(ii)-(iv).
(ii) If the agency has determined that unusual circumstances as
defined by the FOIA apply and the agency provided timely written notice
to the requester in accordance with the FOIA, a failure to comply with
the time limit will be excused for an additional 10 working days.
(iii) If the agency has determined that unusual circumstances, as
defined by the FOIA, apply and more than 5,000 pages are necessary to
respond to the request, the agency may charge search fees, or, in the
case of requesters described in paragraph (d)(1) of this section, may
charge duplication fees, if the following steps are taken. The agency
must have provided timely written notice of unusual circumstances to the
requester in accordance with the FOIA and the agency must have discussed
with the requester via written mail, email, or telephone (or made not
less than three good-faith attempts to do so) how the requester could
effectively limit the scope of the request in accordance with 5 U.S.C.
552(a)(6)(B)(ii). If this exception is satisfied, the agency may charge
all applicable fees incurred in the processing of this request.
(iv) If a court has determined that exceptional circumstances exist,
as defined by the FOIA, a failure to comply with the time limits will be
excused for the length of time provided by the court order.
(e) Notice of anticipated fees in excess of $50.00. (1) When the
agency determines or estimates that the fees to be
[[Page 54]]
charged under this section will amount to more than $50.00, it will
notify the requester of the actual or estimated amount of the fees,
unless the requester has indicated a willingness to pay fees as high as
those anticipated. If only a portion of the fee can be estimated
readily, the agency will advise the requester that the estimated fee
might be only a portion of the total fee. In cases in which a requester
has been notified that actual or estimated fees amount to more than
$50.00, the request will not be considered received and further work
will not be done on it until the requester agrees to pay the total
anticipated fee. Any such agreement should be memorialized in writing. A
notice under this paragraph will offer the requester an opportunity to
discuss the matter with agency personnel in order to reformulate the
request to meet the requester's needs at a lower cost.
(2) If the requester has indicated a willingness to pay some
designated amount of fees, but the agency estimates that the total fee
will exceed that amount, the agency will suspend the processing of the
request when it notifies the requester of the estimated fees in excess
of the amount the requester has indicated a willingness to pay. The
agency will inquire whether the requester wishes to revise the amount of
fees the requester is willing to pay or modify the request. Once the
requester responds, the time to respond will resume from where it was at
the date of the notification.
(3) The agency will make its FOIA Public Liaison available to assist
any requester in reformulating a request to meet the requester's needs
at a lower cost.
(f) Charges for other services. Apart from the other provisions of
this section, when the agency chooses as a matter of administrative
discretion to provide a special service--such as certifying that records
are true copies or sending them by other than ordinary mail--the direct
costs of providing the service ordinarily will be charged.
(g) Charging interest. The agency may charge interest on any unpaid
bill starting on the 31st day following the date of the billing of the
requester. Interest charges will be assessed at the rate provided in 31
U.S.C. 3717 and will accrue from the date of the billing until payment
is received by the agency. The agency will follow the provisions of the
Debt Collection Act of 1982, Public Law 97-365, 96 Stat. 1749, as
amended, and regulations pursuant thereto.
(h) Aggregating requests. Wherever the agency reasonably believes
that a requester or a group of requesters acting together is attempting
to divide a request into a series of requests for the purpose of
avoiding fees, it may aggregate those requests and charge accordingly.
In so doing, it will presume that multiple requests of this type made
within a 30-day period have been made in order to avoid fees. Where
requests are separated by a longer period, the agency will aggregate
them only where there exists a solid basis for determining that
aggregation is warranted under all the circumstances involved. Multiple
requests involving unrelated matters will not be aggregated.
(i) Advance payments. (1) For requests other than those described in
paragraphs (i)(2) and (i)(3) of this section, the agency will not
require the requester to make an advance payment--in other words, a
payment made before work is begun or continued on a request. Payment
owed for work already completed (i.e., a prepayment before copies are
sent to a requester) is not an advance payment.
(2) Where the agency determines or estimates that a total fee to be
charged under this section will be more than $250.00, it may require the
requester to make an advance payment of an amount up to the amount of
the entire anticipated fee before beginning to process the request,
except where it receives a satisfactory assurance of full payment from a
requester that has a history of prompt payment.
(3) Where a requester has previously failed to pay a properly
charged FOIA fee to the agency within 30 calendar days of the date of
billing, the agency may require the requester to pay the full amount
due, plus any applicable interest, and to make an advance payment of the
full amount of any anticipated fee, before it begins to process a new
request or continues to process a pending request from that requester.
[[Page 55]]
(4) In cases in which the agency requires advance payment or payment
due under paragraph (i)(2) or (i)(3) of this section, the request will
not be considered received and further work will not be done on it until
the required payment is received.
(j) Other statutes specifically providing for fees. The fee schedule
of this section does not apply to fees charged under any statute that
specifically requires an agency to set and collect fees for particular
types of records. In cases in which records responsive to requests are
maintained for distribution by another agency under such a statutorily
based fee schedule program, ACUS will inform the requesters of the steps
for obtaining records from those sources so that they may do so most
economically.
(k) Requirements for waiver or reduction of fees. (1) Requesters may
seek a waiver of fees by submitting a written application demonstrating
how 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 requester.
(2) The agency will furnish records responsive to a request without
charge or at a reduced rate when it determines, based on all available
information, that the factors described in paragraphs (k)(2)(i) through
(iii) of this section are satisfied:
(i) Disclosure of the requested information would shed light on the
operations or activities of the government. The subject of the requested
records must concern identifiable operations or activities of the
Federal Government with a connection that is direct and clear, not
remote or attenuated.
(ii) Disclosure of the requested information is likely to contribute
significantly to public understanding of those operations or activities.
This factor is satisfied when the following criteria are met:
(A) Disclosure of the requested records must be meaningfully
informative about government operations or activities. The disclosure of
information that already is in the public domain, in either the same or
a substantially identical form, would not be meaningfully informative if
nothing new would be added to the public's understanding.
(B) The disclosure must contribute to the understanding of a
reasonably broad audience of persons interested in the subject, as
opposed to the individual understanding of the requester. A requester's
expertise in the subject area as well as the requester's ability and
intention to convey information effectively to the public will be
considered. The agency will presume that a representative of the news
media satisfies this consideration.
(iii) The disclosure must not be primarily in the commercial
interest of the requester. To determine whether disclosure of the
requested information is primarily in the commercial interest of the
requester, the agency will consider the following criteria:
(A) Whether the requester has any commercial interest that would be
furthered by the requested disclosure. A commercial interest includes
any commercial, trade, or profit interest. Requesters will be given an
opportunity to provide explanatory information regarding this
consideration.
(B) Whether any identified commercial interest is the primary
interest furthered by the request. A waiver or reduction of fees is
justified when the requirements of paragraphs (k)(2)(i) and (ii) of this
section are satisfied and any commercial interest is not the primary
interest furthered by the request. The agency ordinarily will presume
that when a news media requester has satisfied factors in paragraphs
(k)(2)(i) and (ii) of this section, the request is not primarily in the
commercial interest of the requester. Disclosure to data brokers or
others who merely compile and market government information for direct
economic return will not be presumed primarily to serve the public
interest.
(3) Where only some of the records to be released satisfy the
requirements for a waiver of fees, a waiver will be granted for those
records.
(4) Requests for a waiver or reduction of fees should ordinarily be
made when the request is first submitted to the agency and should
address the criteria
[[Page 56]]
referenced above. A requester may submit a fee waiver request at a later
time so long as the underlying record request is pending or on
administrative appeal. When a requester who has committed to pay fees
subsequently asks for a waiver of those fees and that waiver is denied,
the requester must pay any costs incurred up to the date the fee waiver
request was received.
[76 FR 18635, Apr. 5, 2011, as amended at 82 FR 7633, Jan. 23, 2017]
Sec.304.10 Preservation of records.
(a) The agency will preserve all correspondence pertaining to the
requests that it receives under this subpart, as well as copies of all
requested records, until disposition or destruction is authorized by
title 44 of the United States Code or the National Archives and Records
Administration's General Records Schedule 4.2. Records will not be
disposed of while they are the subject of a pending request, appeal, or
lawsuit under the FOIA.
(b) In the event that the agency contracts with another agency,
entity, or person to maintain records for the agency for the purposes of
records management, it will promptly identify such records in its
``Freedom of Information Reference Guide'' and specify the particular
means by which request for such records can be made.
[76 FR 18635, Apr. 5, 2011, as amended at 82 FR 7635, Jan. 23, 2017]
Sec.304.11 Other rights and services.
Nothing in this subpart shall be construed to entitle any person, as
of right, to any service or to the disclosure of any record to which
such person is not entitled under the FOIA.
Subpart B_Protection of Privacy and Access to Individual Records Under
the Privacy Act of 1974
Authority: 5 U.S.C. 552a, 591-96.
Sec.304.20 General provisions.
(a) Purpose and scope. This subpart contains the rules that the
Administrative Conference of the United States (``ACUS'' or ``the
agency'') follows under the Privacy Act of 1974 (``the Privacy Act''), 5
U.S.C. 552a, as amended, regarding the protection of, and individual
access to, certain records about individuals. These rules should be read
together with and are governed by the Privacy Act itself, which provides
additional information about records maintained on individuals. The
rules in this subpart apply to all records in Privacy Act systems of
records maintained by the agency, which are retrieved by an individual's
name or personal identifier. They describe the procedures by which
individuals may request access to records about themselves, request
amendment or correction of those records, and request an accounting of
disclosures of those records by the agency. In addition, the agency
processes all Privacy Act requests for access to records under the
Freedom of Information Act (``FOIA''), 5 U.S.C. 552, as amended,
following the rules contained in subpart A of this part. Thus, all
Privacy Act requests will be subject to exemptions for access to records
only applicable under both FOIA and the Privacy Act.
(b) Definitions. As used in this subpart:
(1) ``Request for access to a record'' means a request made under
Privacy Act, 5 U.S.C. 552a(d)(1).
(2) ``Request for amendment or correction of a record'' means a
request made under Privacy Act, 5 U.S.C. 552a(d)(2).
(3) ``Request for an accounting'' means a request made under Privacy
Act, 5 U.S.C. 552a(c)(3).
(4) ``Requester'' means an individual who makes a request for
access, a request for amendment or correction, or a request for an
accounting under the Privacy Act.
Sec.304.21 Requests for access to records.
(a) How made and addressed. You may make a request for access to a
record about yourself by appearing in person or by sending an e-mail
message addressed to [email protected]. You may also send a written request
letter to the agency either by mail addressed to 1120 20th Street, NW.,
South Lobby, Suite 706, Washington, DC 20036, or by fax delivery to
(202) 386-7190. For the
[[Page 57]]
quickest possible handling of a mail request, you should mark both your
request letter and the envelope ``Privacy Act Request.''
(b) Description of records sought. You must describe the records
that you want in enough detail to enable agency personnel to locate the
system of records containing them with a reasonable amount of effort.
Whenever possible, your request should describe the records sought, the
time periods in which you believe they were compiled, and the name or
identifying number of each system of records in which you believe they
are kept. The agency publishes a notice in the Federal Register that
describes its systems of records.
(c) Agreement to pay fees. If you make a Privacy Act request for
access to records, it will be considered an agreement by you to pay all
applicable fees charged under Sec.304.27, up to $50.00. Duplication
fees in excess of $50.00 are subject to the requirements of Sec.304.27
of this subpart and the notification requirements in Sec.304.9 of
subpart A. The agency ordinarily will confirm this agreement in an
acknowledgment letter. When making a request, you may specify a
willingness to pay a greater or lesser amount.
(d) Verification of identity. When you make a request for access to
records about yourself, you must verify your identity. You must state
your full name, current address, and date and place of birth. You must
sign your request and your signature must either be notarized or
submitted by you under 28 U.S.C. 1746, a law that permits statements to
be made under penalty of perjury as a substitute for notarization. In
order to help the identification and location of requested records, you
may also, entirely at your option, include the last four digits of your
social security number.
Sec.304.22 Responsibility for responding to requests for access
to records.
(a) In general. The agency will be responsible for responding to a
request in all respects, except in the case of a referral to another
agency as is described in paragraphs (b), (c), and (d) of this section.
In determining which records are responsive to a request, the agency
ordinarily will include only records in its possession and control as of
the date upon which it begins its search for them. If any other date is
used, the agency will inform the requester of that date.
(b) Consultations and referrals. When the agency receives a request
for access to a record in its possession and control, it will determine
whether another agency of the Federal Government, is better able to
determine whether the record is exempt from access under the Privacy
Act. If the agency determines that it is the agency best able to process
the record in response to the request, then it will do so. If it
determines that it is not best able to process the record, then it will
either:
(1) Respond to the request regarding that record, after consulting
with the agency that is best able to determine whether the record is
exempt from access and with any other agency that has a substantial
interest in it; or
(2) Refer the responsibility for responding to the request regarding
that record to the agency that is best able to determine whether it is
exempt from access, or to another agency that originated the record (but
only if that agency is subject to the Privacy Act). Ordinarily, the
agency that originated a record will be presumed to be best able to
determine whether it is exempt from access.
(c) Notice of referral. When the agency refers all or any part of
the responsibility for responding to a request to another agency, it
ordinarily will notify the requester of the referral and inform the
requester of the name of the agency to which the request has been
referred and of the part of the request that has been referred.
(d) Timing of responses to consultations and referrals. All
consultations and referrals will be handled according to the date upon
which the Privacy Act access request was initially received by the first
agency, not any later date.
(e) Agreements regarding consultations and referrals. The agency may
make agreements with other agencies designed to eliminate the need for
consultations or referrals for particular types of records.
[[Page 58]]
Sec.304.23 Responses to requests for access to records.
(a) Acknowledgments of requests. On receipt of a request, the agency
ordinarily will send an acknowledgment letter to the requester that will
confirm the requester's agreement to pay fees under Sec.304.21(c) and
provide an assigned request number for further reference. In some cases,
the agency may seek further information or clarification from the
requester.
(b) Grants of requests for access. Once the agency makes a
determination to grant a request for access in whole or in part, it will
notify the requester in writing. The agency will inform the requester in
the notice of any fee charged under Sec.304.27 and will disclose
records to the requester promptly on payment of any applicable fee. If a
request is made in person, the agency may disclose records to the
requester directly, in a manner not unreasonably disruptive of its
operations, on payment of any applicable fee and with a written record
made of the grant of the request. If a requester is accompanied by
another person, the requester will be required to authorize in writing
any discussion of the records in the presence of the other person.
(c) Adverse determinations of requests for access. Upon making an
adverse determination denying a request for access in any respect, the
agency will notify the requester of that determination in writing.
Adverse determinations, or denials of requests consist of: a
determination to withhold any requested record in whole or in part; a
determination that a requested record does not exist or cannot be
located; a determination that what has been requested is not a record
subject to the Privacy Act; a determination on any disputed fee matter;
and a denial of a request for expedited treatment. The notification
letter will include:
(1) The name and title or position of the person responsible for the
denial;
(2) A brief statement of the reason(s) for the denial, including any
Privacy Act exemption(s) applied in denying the request; and
(3) A statement that the denial may be appealed under Sec.
304.24(a) and a description of the requirements of Sec.304.24(a).
Sec.304.24 Appeals from denials of requests for access to records.
(a) Appeals. If you are dissatisfied with the response to your
request, you may appeal an adverse determination denying your request,
in any respect, to the Chairman of the agency. You must make your appeal
in writing, by e-mail or letter, and it must be received by the agency
within 60 days of the date of the denial of your request. Your appeal
letter should provide reasons and supporting information as to why the
initial determination was incorrect. The appeal should clearly identify
the particular determination (including the assigned request number, if
known) that you are appealing. For the quickest possible handling of a
mail request, you should mark your appeal letter and the envelope
``Privacy Act Appeal.'' The Chairman of the agency or his or her
designee will act on the appeal, except that an appeal ordinarily will
not be acted on if the request becomes a matter of FOIA or Privacy Act
litigation.
(b) Responses to appeals. The decision on your appeal will be made
in writing. A decision affirming an adverse determination in whole or in
part will include a brief statement of the reason(s) for the affirmance,
including any exemption applied, and will inform you of the Privacy Act
provisions for court review of the decision. If the adverse
determination is reversed or modified on appeal in whole or in part,
then you will be notified in a written decision and your request will be
reprocessed in accordance with that appeal decision.
(c) When appeal is required. As a general rule, if you wish to seek
review by a court of any adverse determination or denial of a request,
you must first appeal it under this section.
Sec.304.25 Requests for amendment or correction of records.
(a) How made and addressed. Unless the record is not subject to
amendment or correction as stated in paragraph (f) of this section, you
may make a request for amendment or correction of an ACUS record about
yourself by following same procedures as in Sec.304.21. Your request
should identify each particular record in question, state the amendment
or correction that you
[[Page 59]]
want, and state why you believe that the record is not accurate,
relevant, timely, or complete. You may submit any documentation that you
think would be helpful. If you believe that the same record is
maintained in more than one system of records, you should state that.
(b) Agency responses. Within ten business days of receiving your
request for amendment or correction of records, the agency will send you
a written acknowledgment of its receipt of your request. The agency will
promptly notify you whether your request is granted or denied. If the
agency grants your request in whole or in part, it will describe the
amendment or correction made and will advise you of your right to obtain
a copy of the corrected or amended record, in disclosable form. If the
agency denies your request in whole or in part, it will send you a
letter that will state:
(1) The reason(s) for the denial; and
(2) The procedure for appeal of the denial under paragraph (c) of
this section, including the name and business address of the official
who will act on your appeal.
(c) Appeals. You may appeal a denial of a request for amendment or
correction in the same manner as a denial of a request for access to
records (see Sec.304.24(a)) and the same procedures will be followed.
The agency will ordinarily act on the appeal within 30 business days of
receipt of the appeal, except that the Chairman of the agency may extend
the time for response for good cause shown. If your appeal is denied,
you will be advised of your right to file a Statement of Disagreement as
described in paragraph (d) of this section and of your right under the
Privacy Act for court review of the decision.
(d) Statements of Disagreement. If your appeal under this section is
denied in whole or in part, you have the right to file a Statement of
Disagreement that states your reason(s) for disagreeing with the
agency's denial of your request for amendment or correction. Statements
of Disagreement must be concise, must clearly identify each part of any
record that is disputed, and should be no longer than one typed page for
each fact disputed. The agency will place your Statement of Disagreement
in the system of records in which the disputed record is maintained and
will mark the disputed record to indicate that a Statement of
Disagreement has been filed and exactly where in the system of records
it may be found.
(e) Notification of amendment/correction or disagreement. Within 30
business days of the amendment or correction of a record, the agency
will notify all persons, organizations, or agencies to which it
previously disclosed the record, if an accounting of that disclosure was
made, that the record has been amended or corrected. If an individual
has filed a Statement of Disagreement, the agency will append a copy of
it to the disputed record whenever the record is disclosed and may also
append a concise statement of its reason(s) for denying the request to
amend or correct the record.
(f) Records not subject to amendment or correction. The following
records are not subject to amendment or correction:
(1) Transcripts of testimony given under oath or written statements
made under oath;
(2) Transcripts of grand jury proceedings, judicial proceedings, or
quasi-judicial proceedings, which are the official record of those
proceedings; and
(3) Any other record that originated with the courts.
Sec.304.26 Requests for an accounting of record disclosures.
(a) How made and addressed. Except where accountings of disclosures
are not required to be kept (as stated in paragraph (b) of this
section), you may make a request for an accounting of any disclosure
that has been made by the agency to another person, organization, or
agency of any record about you. This accounting contains the date,
nature, and purpose of each disclosure, as well as the name and address
of the person, organization, or agency to which the disclosure was made.
Your request for an accounting should identify each particular record in
question and should be made in writing to the agency, following the
procedures in Sec.304.21.
(b) Where accountings are not required. The agency is not required
to provide
[[Page 60]]
accountings to you where they relate to:
(1) Disclosures for which accountings are not required to be kept
(i.e., disclosures that are made to officers and employees of the agency
and disclosures required under the FOIA); or
(2) Disclosures made to law enforcement agencies for authorized law
enforcement activities in response to written requests from a duly
authorized representative of any such law enforcement agency specifying
portion of the record desired and the law enforcement activity for which
the record is sought.
(c) Appeals. You may appeal a denial of a request for an accounting
in the same manner as a denial of a request for access to records (see
Sec.304.24(a)) and the same procedures will be followed.
Sec.304.27 Fees.
The agency will charge fees for duplication of records under the
Privacy Act in the same way in which it charges duplication fees under
Sec.304.9 of subpart A. No search or review fee may be charged for any
record under the Privacy Act.
Sec.304.28 Notice of court-ordered and emergency disclosures.
(a) Court-ordered disclosures. When a record pertaining to an
individual is required to be disclosed by a court order, the agency will
make reasonable efforts to provide notice of such order to the
individual. Notice will be given within a reasonable time after the
agency's receipt of the order, except that in a case in which the order
is not a matter of public record, the notice will be given only after
the order becomes public. This notice will be mailed to the individual's
last known address and will contain a copy of the order and a
description of the information disclosed.
(b) Emergency disclosures. Upon disclosing a record pertaining to an
individual made under compelling circumstances affecting health or
safety, the agency will notify that individual of the disclosure. This
notice will be mailed to the individual's last known address and will
state the nature of the information disclosed; the person, organization,
or agency to which it was disclosed; the date of disclosure; and the
compelling circumstances justifying the disclosure.
Sec.304.29 Security of systems of records.
(a) Administrative and physical controls. The agency will have
administrative and physical controls to prevent unauthorized access to
its systems of records, to prevent unauthorized disclosure of records,
and to prevent physical damage to or destruction of records. The
stringency of these controls corresponds to the sensitivity of the
records that the controls protect. At a minimum, these controls are
designed to ensure that:
(1) Records are protected from public view;
(2) The area in which records are kept is supervised during business
hours in order to prevent unauthorized persons from having access to
them;
(3) Records are inaccessible to unauthorized persons outside of
business hours; and
(4) Records are not disclosed to unauthorized persons or under
unauthorized circumstances in oral, written or any other form.
(b) Restrictive procedures. The agency will implement practices and
procedures that restrict access to records to only those individuals
within the agency who must have access to those records in order to
perform their duties and that prevent inadvertent disclosure of records.
Sec.304.30 Contracts for the operation of record systems.
Any approved contract for the operation of a record system will
contain appropriate requirements issued by the General Services
Administration in order to ensure compliance with the requirements of
the Privacy Act for that record system. The contracting officer of the
agency will be responsible for ensuring that the contractor complies
with these contract requirements.
Sec.304.31 Use and collection of social security numbers and other
information.
The agency will ensure that employees authorized to collect
information are aware:
[[Page 61]]
(a) That individuals may not be denied any right, benefit, or
privilege as a result of refusing to provide their social security
numbers, unless the collection is authorized either by a statute or by a
regulation issued prior to 1975;
(b) That individuals requested to provide their social security
numbers, or any other information collected from them, must be informed,
before providing such information, of:
(1) Whether providing social security numbers (or such other
information) is mandatory or voluntary;
(2) Any statutory or regulatory authority that authorizes the
collection of social security numbers (or such other information);
(3) The principal purpose(s) for which the information is intended
to be used;
(4) The routine uses that may be made of the information; and
(5) The effects, in any, on the individual of not providing all or
any part of the requested information; and
(c) That, where the information referred to above is requested on a
form, the requirements for informing such individuals are set forth on
the form used to collect the information, or on a separate form that can
be retained by such individuals.
Sec.304.32 Employee standards of conduct.
The agency will inform its employees of the provisions of the
Privacy Act, including the scope of its restriction against disclosure
of records maintained in a system of records without the prior written
consent of the individual involved, and the Act's civil liability and
criminal penalty provisions. Unless otherwise permitted by law, an
employee of the agency will:
(a) Collect from individuals and maintain only the information that
is relevant and necessary to discharge the agency's responsibilities;
(b) Collect information about an individual directly from that
individual to the greatest extent practicable when the information may
result in an adverse determination about an individual's rights,
benefits, or privileges under Federal programs;
(c) Inform each individual from whom information is collected of the
information set forth in Sec.304.31(b);
(d) Ensure that the agency maintains no system of records without
public notice and also notify appropriate agency officials of the
existence or development of any system of records that is not the
subject of a current or planned public notice;
(e) Maintain all records that are used by it in making any
determination about an individual with such accuracy, relevance,
timeliness, and completeness as is reasonably necessary to ensure
fairness to the individual in the determination;
(f) Except as to disclosures made to an agency or made under the
FOIA, make reasonable efforts, prior to disseminating any record about
an individual, to ensure that the record is accurate, relevant, timely,
and complete;
(g) Maintain no record describing how an individual exercises his or
her First Amendment rights unless such maintenance is expressly
authorized by statute or by the individual about whom the record is
maintained or is pertinent to and within the scope of an authorized law
enforcement activity;
(h) When required by the Privacy Act, maintain an accounting in the
specified form of all disclosures of records by the agency to persons,
organizations, or agencies;
(i) Maintain and use records with care in order to prevent the
unauthorized or inadvertent disclosure of a record to anyone; and
(j) Notify the appropriate agency official of any record that
contains information that the Privacy Act does not permit the agency to
maintain.
Sec.304.33 Preservation of records.
The agency will preserve all correspondence pertaining to the
requests that it receives under this subpart, as well as copies of all
requested records, until disposition or destruction is authorized by
title 44 of the United States Code or the National Archives and Records
Administration's General Records Schedule 14. Records will not be
disposed of while they are the subject of a pending request, appeal, or
lawsuit under the Act.
[[Page 62]]
Sec.304.34 Other rights and services.
Nothing in this subpart shall be construed to entitle any person, as
of right, to any service or to the disclosure of any record to which
such person is not entitled under the Privacy Act.
PARTS 305 399 [RESERVED]
[[Page 63]]
CHAPTER IV--MISCELLANEOUS AGENCIES
--------------------------------------------------------------------
Editorial Note: Federal agencies are required to publish regulations
implementing the provisions of the Freedom of Information Act (5 U.S.C.
552(a)), the Privacy Act of 1974 (Pub. L. 93-579, 5 U.S.C. 552a), the
Government in the Sunshine Act (Pub. L. 94-409, 5 U.S.C. 552b), and
section 504 of the Rehabilitation Act of 1973, as amended by section 119
of the Rehabilitation, Comprehensive Services, and Developmental
Disabilities Amendments of 1978 (29 U.S.C. 794). While most agencies
have existing chapter assignments in the Code of Federal Regulations, a
few agencies do not. Since certain of these agencies are unlikely to be
issuing regulations other than those relating to the acts mentioned
above, the Director of the Office of the Federal Register has grouped
these miscellaneous agencies into this chapter as an efficient means of
administering the CFR system.
Part Page
400-424 [Reserved]
425 President's Commission on White House
Fellowships............................. 65
426 National Commission on Military, National,
and Public Service...................... 67
457 Enforcement of nondiscrimination on the
basis of handicap in programs or
activities conducted by the National
Capital Planning Commission............. 82
500 Enforcement of nondiscrimination on the
basis of handicap in programs or
activities conducted by the National
Commission for Employment Policy........ 88
[[Page 65]]
PARTS 400 424 [RESERVED]
PART 425_PRESIDENT'S COMMISSION ON WHITE HOUSE FELLOWSHIPS--
Table of Contents
Sec.
425.1 Purpose and scope.
425.2 Procedures for notification of existence of records pertaining to
individuals.
425.3 Procedure for requests for access to or disclosure of records
pertaining to individuals.
425.4 Correction of records.
425.5 Disclosure of records to agencies or persons other than the
individual to whom the record pertains.
Authority: 5 U.S.C. 552a(f).
Source: 40 FR 52416, Nov. 10, 1975; 40 FR 56651, Dec. 4, 1975,
unless otherwise noted.
Sec.425.1 Purpose and scope.
This part sets forth the President's Commission on White House
Fellowships procedures under the Privacy Act of 1974 as required by 5
U.S.C. 552a(f). Information to applicants regarding the implementation
of this Act is contained in the White House Fellowships Application
Instructions.
Sec.425.2 Procedures for notification of existence of records
pertaining to individuals.
(a) The system of records, as defined in the Privacy Act of 1974,
maintained by the President's Commission on White House Fellowships is
listed annually in the Federal Register as required by that Act. Any
person who wishes to know whether a system of records contains a record
pertaining to him or her may either appear in person at Room 1308, 1900
E Street, NW., on work days between the hours of 8:30 a.m. and 5 p.m. or
may write to the President's Commission on White House Fellowships
Administrative Officer, Washington, DC 20415 (Phone 202-382-4661). It is
recommended that requests be made in writing.
(b) Requests for notification of the existence of a record should
state, if the requester is other than the individual to whom the record
pertains, the relationship of the requester to that individual. (Note
that requests will not be honored by the Commission pursuant to the
Privacy Act unless made: (1) By the individual to whom the record
pertains or (2) by such individual's legal guardian if the individual
has been declared to be incompetent due to physical or mental incapacity
or age by a court of competent jurisdiction.)
(c) The Commission will acknowledge requests for the existence of
records within 10 working days from the time it receives the request and
will normally notify the requester of the existence or non-existence of
records within 30 working days from receipt of request.
(d) No special identity verification is required for individuals who
wish to know whether a specific system of records pertains to them.
[40 FR 52416, Nov. 10, 1975; 40 FR 56651, Dec. 4, 1975, as amended at 40
FR 59187, Dec. 22, 1975]
Sec.425.3 Procedure for requests for access to or disclosure
of records pertaining to individuals.
(a) Any person may request review of records pertaining to him by
appearing at Room 1308, 1900 E Street, NW., Washington, DC on work days
between the hours of 8:30 a.m. and 5 p.m. or by writing to the
Commission on White House Fellowships Administrative Officer,
Washington, DC 20415. (See paragraph (b) of this section for
identification requirements.) The Commission will strive either to make
the record available within 15 working days of the request or to inform
the requester of the need for additional identification.
(b) In the case of persons making requests by appearing at the
Commission, reasonable identification such as employment identification
cards, drivers licenses, or credit cards will normally be accepted as
sufficient evidence of identity in the absence of any indications to the
contrary.
(c) Charges for copies of records will be at the rate of $0.10 per
photocopy of each page. No charge will be made unless the charge as
computed above would exceed $3 for each request or related series of
requests. If a fee in excess of $25 would be required, the requester
shall be notified and the fee must be tendered before the records will
be copied. Remittances shall be in the form either of a personal check
or
[[Page 66]]
bank draft drawn on a bank in the United States, or a money order.
Remittances shall be made payable to the order of the Treasury of the
United States and mailed or delivered to the Administrative Officer,
President's Commission on White House Fellowships, 1900 E Street, NW.,
Washington, DC 20415.
(d) Individuals will not be denied access to records pertaining to
them.
[40 FR 52416, Nov. 10, 1975; 40 FR 56651, Dec. 4, 1975, as amended at 40
FR 59187, Dec. 22, 1975]
Sec.425.4 Correction of records.
(a) An individual may request that a record or records pertaining to
him or her be amended or corrected. Such requests shall be submitted in
writing to the Administrative Officer at the Commission's business
address.
(b) The signature of the requester will be sufficient identification
for requesting correction of records.
(c) A request for amendment shall contain an exact description of
the item or items sought to be amended and specific reasons for the
requested amendment, as well as the individual's birthdate for purposes
of verification of records.
(d) Within 10 working days after receipt of a request to amend a
record, the Administrative Officer shall transmit to the requester a
written acknowledgement of receipt of request. No acknowledgement is
required if the request can be reviewed and processed with notification
to the individual of compliance or denial within the ten-day period.
Requester will be notified within 30 days whether or not his or her
request has been granted.
(e) If the Administrative Officer determines that the requested
amendment is appropriate to insure that the record is:
(1) Relevant and necessary to accomplish the purposes for which the
records were collected; and
(2) As accurate, timely, and complete as are reasonably necessary to
assure fairness to the requester, the Administrative Officer shall:
(i) Change the record accordingly;
(ii) Advise the requester that the change has been made, thirty days
from receipt of written request;
(iii) After an accounting of disclosures has been kept pursuant to 5
U.S.C. 552a(c), advise all previous recipients of the record, who, the
Commission believes, still retain a copy thereof, of the fact that the
amendment was made and the substance of the amendment.
(f) If, after review of the record, the Administrative Officer
determines that the requested amendment is not in conformity with the
requirements of the Act, he shall:
(1) Advise the requester in writing within thirty days of written
request of such determination together with specific reasons therefor;
and
(2) Inform the requester that further review of the request by the
Director of the Commission is available if a written request therefor is
made within 30 days after date of denial.
(g) Within 30 working days of receipt of a written request for
review pursuant to Sec.425.4(f)(2) the Director shall make an
independent review of the record, using the criteria of Sec.425.4(e)
(1) and (2).
(1) If the Director determines that the record should be amended in
accordance with the request, the Administrative Officer shall take the
actions listed in Sec.425.4(e)(2) (i), (ii), and (iii).
(2) If the Director, after independent review, determines that the
record should not be amended in accordance with the request, the
Administrative Officer shall advise the requester:
(i) Of the determination and the reasons therefor;
(ii) Of his or her right to file with the Administrative Officer a
concise statement of his or her reasons for disagreeing with the refusal
to amend the record;
(iii) That the record will be annotated to indicate to anyone
subsequently having access to it that a statement of disagreement has
been filed, and that the statement will be made available to anyone to
whom the record is disclosed;
(iv) That the Director and the Administrative Officer may, in their
discretion, include a brief summary of their reasons for refusing to
amend the record whenever such disclosure is made;
[[Page 67]]
(v) That any prior recipients of this disputed record, who, the
Commission believes, still retain a copy thereof, will be sent a copy of
the statement of disagreement, after an accounting of disclosures has
been kept pursuant to 5 U.S.C. 552a(c);
(vi) Of his or her right to seek judicial review of the refusal to
amend the record, pursuant to 5 U.S.C. 552a(g)(1)(A).
[40 FR 59187, Dec. 22, 1975]
Sec.425.5 Disclosure of records to agencies or persons other than
the individual to whom the record pertains.
Records subject to the Privacy Act that are requested by any person
other than the individual to whom they pertain will not be made
available except under the following circumstances:
(a) Records may be circulated to appropriate officials incident to
placing Fellows in work assignments for the Fellowship year.
(b) An accounting of the date, nature, and purpose of each
disclosure of a record as well as the name and address of the person and
agency to whom the disclosure was made will be indicated on the record.
This accounting is available to the individual to whom the records
pertain on written request to the Commission.
[40 FR 52416, Nov. 10, 1975; 40 FR 56651, Dec. 4, 1975, as amended at 40
FR 59187, Dec. 22, 1975]
PART 426_NATIONAL COMMISSION ON MILITARY, NATIONAL, AND PUBLIC
SERVICE--Table of Contents
Subpart A_Implementation of the Privacy Act of 1974
Sec.
426.101 Purpose and scope.
426.102 Definitions.
426.103 Inquiries about systems of records or implementation of the
Privacy Act.
426.104 Procedures for accessing records pertaining to an individual.
426.105 Identification required when requesting access to records
pertaining to an individual.
426.106 Procedures for amending or correcting an individual's record.
426.107 Procedures for appealing a refusal to amend or correct a record.
426.108 Fees charged to locate, review, or copy records.
426.109 Procedures for maintaining accounts of disclosures.
Subpart B_Disclosure of Records and Information Under the Freedom of
Information Act
426.201 General.
426.202 Proactive disclosures.
426.203 Requirements for making requests.
426.204 Responsibility for responding to requests.
426.205 Timing of responses to requests.
426.206 Response to requests.
426.207 Confidential commercial information.
426.208 Appeals.
426.209 Preservation of records.
426.210 Fees.
426.211 Other rights and services.
Authority: 5 U.S.C. 552a(f).
Source: 83 FR 19409, May 2, 2018, unless otherwise noted.
Subpart A_Implementation of the Privacy Act of 1974
Sec.426.101 Purpose and scope.
The regulations in this part set forth the Commission's procedures
under the Privacy Act, as required by 5 U.S.C. 552a(f), with respect to
systems of records maintained by the Commission. The rules in this part
apply to all records maintained by the Commission that are retrieved by
an individual's name or by some identifying number, symbol, or other
identifying particular assigned to the individual. These regulations
establish procedures by which an individual may exercise the rights
granted by the Privacy Act to determine whether a Commission system of
records contains a record pertaining to him or her; to gain access to
such records; and to request correction or amendment of such records.
These rules should be read together with the Privacy Act, which provides
additional information about records maintained on individuals.
Sec.426.102 Definitions.
The definitions in subsection (a) of the Privacy Act (5 U.S.C.
552a(a)) apply to this part. In addition, as used in this part:
[[Page 68]]
Business day means a calendar day, excluding Saturdays, Sundays, and
legal public holidays.
Chair means the Chair of the Commission, or his or her designee;
Commission means the National Commission on Military, National, and
Public Service;
Commission system means a system of records maintained by the
Commission;
General Counsel means the General Counsel of the Commission, or his
or her designee.
Individual means a citizen of the United States or an alien lawfully
admitted for permanent residence.
Privacy Act or Act means the Privacy Act of 1974, as amended (5
U.S.C. 552a);
You, your, or other references to the reader of the regulations in
this part are meant to apply to the individual to whom a record
pertains.
Sec.426.103 Inquiries about systems of records or implementation
of the Privacy Act.
Inquiries about the Commission's systems of records or
implementation of the Privacy Act should be sent to the following
address: National Commission on Military, National, and Public Service,
Office of the General Counsel, 2530 Crystal Drive, Suite 1000, Box No.
63, Arlington, VA 22202.
Sec.426.104 Procedures for accessing records pertaining to an
individual.
The following procedures apply to records that are contained in a
Commission system:
(a) You may request to be notified if a system of records that you
name contains records pertaining to you, and to review any such records,
by writing to the Office of the General Counsel (see Sec.
[thinsp]426.103). You also may call the Office of the General Counsel at
703-571-3742 on business days, between the hours of 9 a.m. and 5 p.m.,
to schedule an appointment to make such a request in person. A request
for records should be presented in writing and should identify
specifically the Commission system(s) involved. Your request to access
records pertaining to you will be treated as a request under both the
Privacy Act, as implemented by this part, and the Freedom of Information
Act (5 U.S.C. 552), as implemented by subpart B of this part.
(b) Access to the records, or to any other information pertaining to
you that is contained in the system, shall be provided if the
identification requirements of Sec.[thinsp]426.105 are satisfied and
the records are determined otherwise to be releasable under the Privacy
Act and these regulations. The Commission shall provide you an
opportunity to have a copy made of any such records about you. Only one
copy of each requested record will be supplied, based on the fee
schedule in Sec.[thinsp]426.108.
(c) The Commission will comply promptly with requests made in person
at scheduled appointments, if the requirements of this section are met
and the records sought are immediately available. The Commission will
acknowledge, within 10 business days, mailed requests or personal
requests for records that are not immediately available, and the
information requested will be provided promptly thereafter.
(d) If you make your request in person at a scheduled appointment,
you may, upon your request, be accompanied by a person of your choice to
review your records. The Commission may require that you furnish a
written statement authorizing discussion of your records in the
accompanying person's presence. A record may be disclosed to a
representative chosen by you upon your proper written consent.
(e) Medical or psychological records pertaining to you shall be
disclosed to you unless, in the judgment of the Commission, access to
such records might have an adverse effect upon you. When such a
determination has been made, the Commission may refuse to disclose such
information directly to you. The Commission will, however, disclose this
information to you through a licensed physician designated by you in
writing.
(f) If you are unsatisfied with an adverse determination on your
request to access records pertaining to you, you may appeal that
determination using the procedures set forth in Sec.
[thinsp]426.107(a).
[[Page 69]]
Sec.426.105 Identification required when requesting access
to records pertaining to an individual.
The Commission will require reasonable identification of all
individuals who request access to records in a Commission system to
ensure that records are disclosed to the proper person.
(a) The amount of personal identification required will of necessity
vary with the sensitivity of the record involved. In general, if you
request disclosure in person, you will be required to show an
identification card, such as a driver's license, containing your
photograph and sample signature. However, with regard to records in
Commission systems that contain particularly sensitive and/or detailed
personal information, the Commission reserves the right to require
additional means of identification as are appropriate under the
circumstances. These means include, but are not limited to, requiring
you to sign a statement under oath as to your identity, acknowledging
that you are aware of the criminal penalties for requesting or obtaining
records under false pretenses or falsifying information (see 5 U.S.C.
552a(i)(3); 18 U.S.C. 1001).
(b) If you request disclosure by mail, the Commission will request
such information as may be necessary to ensure that you are properly
identified and for a response to be sent. Authorized means to achieve
this goal include, but are not limited to, requiring that a mail request
include a signed, notarized statement asserting your identity or a
statement signed under oath as described in subsection (a) of this
section.
Sec.426.106 Procedures for amending or correcting an individual's
record.
(a) You are entitled to request amendments to or corrections of
records pertaining to you that you believe are not accurate, relevant,
timely, or complete, pursuant to the provisions of the Privacy Act,
including 5 U.S.C. 552a(d)(2). Such a request should be made in writing
and addressed to the Office of the General Counsel (see Sec.426.103).
(b) Your request for amendments or corrections should specify the
following:
(1) The particular record that you are seeking to amend or correct;
(2) The Commission system from which the record was retrieved;
(3) The precise correction or amendment you desire, preferably in
the form of an edited copy of the record reflecting the desired
modification; and
(4) Your reasons for requesting amendment or correction of the
record.
(c) The Commission will acknowledge a request for amendment or
correction of a record within 10 business days of its receipt, unless
the request can be processed and the individual informed of the General
Counsel's decision on the request within that 10-day period.
(d) If after receiving and investigating your request, the General
Counsel agrees that the record is not accurate, timely, or complete,
based on a preponderance of the evidence, then the record will be
corrected or amended promptly. The record will be deleted without regard
to its accuracy, if the record is not relevant or necessary to
accomplish the Commission's function for which the record was provided
or is maintained. In either case, you will be informed in writing of the
amendment, correction, or deletion. In addition, if accounting was made
of prior disclosures of the record, all previous recipients of the
record will be informed of the corrective action taken.
(e) If after receiving and investigating your request, the General
Counsel does not agree that the record should be amended or corrected,
you will be informed promptly in writing of the refusal to amend or
correct the record and the reason for this decision. You also will be
informed that you may appeal this refusal in accordance with Sec.
426.107.
(f) Requests to amend or correct a record governed by the
regulations of another agency will be forwarded to such agency for
processing, and you will be informed in writing of this referral.
[[Page 70]]
Sec.426.107 Procedures for appealing a refusal to amend or correct
a record.
(a) You may appeal a refusal to amend or correct a record to the
Chair of the Commission. Such appeal must be made in writing within 30
business days of your receipt of the initial refusal to amend or correct
your record. Your appeal should be sent to the Office of the General
Counsel (see Sec.426.103), should indicate that it is an appeal, and
should include the basis for the appeal.
(b) The Chair will review your request to amend or correct the
record, the General Counsel's refusal, and any other pertinent material
relating to the appeal. No hearing will be held.
(c) The Chair shall render his or her decision on your appeal within
30 business days of its receipt by the Commission, unless the Chair, for
good cause shown, extends the 30-day period. Should the Chair extend the
appeal period, you will be informed in writing of the extension and the
circumstances of the delay.
(d) If the Chair determines that the record that is the subject of
the appeal should be amended or corrected, the record will be so
modified, and you will be informed in writing of the amendment or
correction. Where an accounting was made of prior disclosures of the
record, all previous recipients of the record will be informed of the
corrective action taken.
(e) If your appeal is denied, you will be informed in writing of the
following:
(1) The denial and the reasons for the denial;
(2) That you may submit to the Commission a concise statement
setting forth the reasons for your disagreement as to the disputed
record. Under the procedures set forth in paragraph (f) of this section,
your statement will be disclosed whenever the disputed record is
disclosed; and
(3) That you may seek judicial review of the Chair's determination
under 5 U.S.C. 552a(g)(1).
(f) Whenever you submit a statement of disagreement to the
Commission in accordance with paragraph (e)(2) of this section, the
record will be annotated to indicate that it is disputed. In any
subsequent disclosure, a copy of your statement of disagreement will be
disclosed with the record. If the Commission deems it appropriate, a
concise statement of the Chair's reasons for denying your appeal also
may be disclosed with the record. While you will have access to this
statement of the Chair's reasons for denying your appeal, such statement
will not be subject to correction or amendment. Where an accounting was
made of prior disclosures of the record, all previous recipients of the
record will be provided a copy of your statement of disagreement, as
well as any statement of the Chair's reasons for denying your appeal
deemed appropriate.
Sec.426.108 Fees charged to locate, review, or copy records.
(a) The Commission will charge no fees for search time or for any
other time expended by the Commission to review a record. However, the
Commission may charge fees where you request that a copy be made of a
record to which you have been granted access. Where a copy of the record
must be made in order to provide access to the record (e.g., computer
printout where no screen reading is available), the copy will be made
available to you without cost.
(b) Copies of records made by photocopy or similar process will be
charged to you at the rate of $0.12 per page. Where records are not
susceptible to photocopying (e.g., punch cards, magnetic tapes, or
oversize materials), you will be charged actual cost as determined on a
case-by-case basis. Copying fees will not be charged if the cost of
collecting a fee would be equal to or greater than the fee itself.
Copying fees for contemporaneous requests by the same individual shall
be aggregated to determine the total fee.
(c) Special and additional services provided at your request, such
as certification or authentication, postal insurance, and special
mailing arrangement costs, will be charged to you at the market rate.
(d) You may request that a copying fee not be charged or,
alternatively, be reduced, by submitting a written petition to the
Commission's General Counsel (see Sec.426.103) asserting that
[[Page 71]]
you are indigent. If the General Counsel determines, based on the
petition, that you are indigent and that the Commission's resources
permit a waiver of all or part of the fee, the General Counsel may, in
his or her discretion, waive or reduce the copying fee.
(e) All fees shall be paid before any copying request is undertaken.
Sec.426.109 Procedures for maintaining accounts of disclosures.
(a) The Office of the General Counsel shall maintain a log
containing the date, nature, and purpose of each disclosure of a record
to any person or to another agency. Such accounting also shall contain
the name and address of the person or agency to whom each disclosure was
made. This log need not include disclosures made to the Commission's
employees in the course of their official duties, or pursuant to the
provisions of the Freedom of Information Act (5 U.S.C. 552).
(b) The Commission will retain the accounting of each disclosure for
at least five years after the disclosure or for the life of the record
that was disclosed.
(c) The Commission will make the accounting of disclosures of a
record pertaining to you available to you at your request. Such a
request should be made in accordance with the procedures set forth in
Sec.426.104. This paragraph (c) does not apply to disclosures made for
law enforcement purposes under 5 U.S.C. 552a(b)(7).
Subpart B_Disclosure of Records and Information Under the Freedom of
Information Act
Source: 83 FR 19415, May 2, 2018, unless otherwise noted.
Sec.426.201 General.
This subpart contains the regulations of the National Commission on
Military, National, and Public Service (the ``Commission'') implementing
the Freedom of Information Act (``FOIA''), 5 U.S.C. 552, as amended.
These regulations set forth procedures for requesting access to records
maintained by the Commission. These regulations should be read together
with the text of the FOIA, and the Uniform Freedom of Information Fee
Schedule and Guidelines published by the Office of Management and Budget
(``OMB Guidelines''). Requests made by individuals for records about
themselves under the Privacy Act of 1974, 5 U.S.C. 552a, are processed
in accordance with the Commission's Privacy Act regulations as well as
under this subpart.
Sec.426.202 Proactive disclosures.
(a) Records that FOIA requires agencies to make available for public
inspection in an electronic format may be accessed through the
Commission's website at www.inspire2serve.gov. The Commission will
ensure that its website of posted records and indices is reviewed and
updated on an ongoing basis. The Commission has a FOIA Public Liaison
who can assist individuals in locating records particular to the
Commission. A list of agency FOIA Public Liaisons is available at http:/
/www.foia.gov/report-makerequest.html.
(b) The following types of records shall be available routinely on
the website, without resort to formal FOIA request procedures, unless
such records fall within one of the exemptions listed at 5 U.S.C. 552(b)
of the Act:
(1) Any formal report issued by the Commission;
(2) Testimonies and presentations submitted to the Commission;
(3) Schedules for public meetings and hearings of the Commission
along with transcripts or notes of such public meetings and hearings;
(4) Press statements;
(5) Substantive rules of general applicability adopted by the
Commission, procedural rules governing the Commission's general
operations that may affect the public, and statements of general policy
or interpretation of general applicability formulated and adopted by the
Commission; and
(6) Copies of all records, regardless of form or format, that have
been released previously to any person under 5 U.S.C. 552(a)(3), and
that the Commission determines have become or are likely to become the
subject of subsequent requests for substantially the same records. When
the Commission receives three or more requests for substantially the
same records, then the Commission shall make the released
[[Page 72]]
records available in the Commission's reading room and on the
Commission's website.
(c) The Commission shall also maintain a public reading room, at the
Commission's offices, containing records available for public inspection
that cannot be produced in electronic form. The reading room shall be
available for use on workdays during the hours of 9 a.m. to 4 p.m.
Requests for appointments to review the materials in the public reading
room should be directed to the FOIA Public Liaison.
(d) Based upon applicable exemptions in 5 U.S.C. 552(b), the
Commission may redact certain information contained in any matter
described in this section before making such information available for
inspection or publishing it. The justification for the redaction shall
be explained in writing, and the extent of such redaction shall be
indicated on the portion of the record which is made available or
published, unless including that indication would harm an interest
protected by the exemptions under which the redaction is made. The
location of the information deleted must also be indicated on the
record, if technically feasible.
Sec.426.203 Requirements for making requests.
(a) In general. Many documents are available on the Commission's
website and the Commission encourages requesters to visit the website
before making a request for records pursuant to this subpart. Except for
records already available on the website or subject to the FOIA
exemptions and exclusions, the Commission shall promptly provide records
to any person in response to a request that conforms to the rules and
procedures of this section. Requesters may contact the agency's FOIA
Public Liaison to discuss the records they seek and to receive
assistance in describing the records.
(b) Form of request. For records not available on the website,
requesters wishing to obtain information from the Commission should
submit a written request to the Commission. It may be submitted by mail
or via the internet (website or email). A request by mail must be
addressed to: FOIA Request, National Commission on Military, National,
and Public Service, 2530 Crystal Drive, Suite 1000, Box No. 63,
Arlington, VA 22202. As there may be delays in mail delivery, it is
advisable to send the request via email to [email protected]. The
Commission will communicate with the requester by email unless he or she
specifies otherwise. Requesters may specify the preferred form or format
for the records sought, and the Commission will accommodate the request
if the record is readily reproducible in that form or format.
(c) Contents of request. Requests must include the following:
(1) The requester's full name, mailing address, a telephone number
at which the requester can be reached during normal business hours, and
an email address for the requester, if the requester has one;
(2) A description of the records sought in enough detail to allow
the records to be located with a reasonable amount of effort. To the
extent possible, requesters should include specific information, such as
the date, title or name, author, recipient, and subject matter of the
records sought. If known, the requester must include any file
designations or descriptions for the records requested;
(3) If submitting the request as an educational institution, a non-
commercial scientific institution, or a representative of the news
media, information to support being placed in that category of requester
as they are defined in Sec.426.210(b);
(4) A fee waiver request, if applicable (see Sec.426.210(f));
(5) A statement explaining why expedited processing is necessary, if
it is being requested (see Sec.426.205(c)); and
(6) Where the request is making a request for records about himself
or herself, verification of the individual's identity (please see the
Commission's Privacy Act regulations at 1 CFR, chapter IV, part 426,
subpart A).
(d) Date received. The Commission shall deem itself to have received
a request on the date that it receives a request containing the
information required by paragraph (c) of this section. If after
receiving a request, the Commission determines that it does not
reasonably describe the records sought,
[[Page 73]]
the agency must inform the requester what additional information is
needed or why the request is otherwise insufficient. Requesters who are
attempting to reformulate or modify such a request may discuss their
request with the FOIA Public Liaison.
Sec.426.204 Responsibility for responding to requests.
(a) In general. In determining which records are responsive to a
request, an agency ordinarily will include only records in its
possession as of the date that it begins its search. If any other date
is used, the agency must inform the requester of that date. A record
that is excluded from the requirements of the FOIA pursuant to 5 U.S.C.
552(c), is not considered responsive to a request.
(b) Authority to grant or deny requests. The Chief FOIA Officer or
designee is authorized to grant or to deny any requests for records.
(c) Consultation, referral, and coordination. When reviewing records
in response to a request, the Commission will determine whether another
agency of the Federal Government is better able to determine whether the
record is exempt from disclosure under the FOIA. As to any such record,
the Commission will proceed in one of the following ways:
(1) Consultation. When records originated within the Commission, but
contain within them information of interest to another agency or other
Federal Government office, the Commission will typically consult with
that other entity prior to making a release determination.
(2) Referral. When the Commission believes that a different agency
is best able to determine whether to disclose the record, the Commission
typically should refer the responsibility for responding to the request
regarding that record to that agency. Ordinarily, the agency that
originated the record is presumed to be the best agency to make the
disclosure determination. Whenever an agency refers any part of the
responsibility for responding to a request to another agency, it must
document the referral, maintain a copy of the record that it refers, and
notify the requester of the referral, the name of the agency, and the
FOIA agency contact.
(3) Coordination. The standard referral procedure is not appropriate
where disclosure of the identity of the agency to which the referral
would be made could harm an interest protected by an applicable
exemption, such as the exemptions that protect personal privacy or
national security interests. In such instances, in order to avoid harm
to an interest protected by an applicable exemption, the agency that
received the request should coordinate with the originating agency to
seek its views on the disclosability of the record. The release
determination for the record that is the subject of the coordination
should then be conveyed to the requester by the agency that originally
received the request.
(d) Timing of response to consultations and referrals. All
consultations and referrals received by the Commission will be handled
according to the date that the first agency received the perfected FOIA
request.
Sec.426.205 Timing of responses to requests.
(a) In general. The Commission ordinarily will respond to requests
according to their order of receipt. The following timing and steps are
the normal process:
(1) Acknowledgment. The Commission will provide an acknowledgment
notice with an individualized tracking number, the date of receipt of
the request, a confirmation of a waiver or reduction of fees (if
requested), and a summary of the records requested to each requester
within 10 working days after receiving a request that has all of the
requisite information.
(2) Response time. Ordinarily, the Commission shall have 20 work
days from when a request is received to determine whether to grant or
deny a request for records. The 20-day time period shall not be tolled
by the Commission except that the Commission may:
(i) Make one reasonable demand to the requester for clarifying
information about the request and toll the 20-day time period while
awaiting the clarifying information; or
(ii) Notify the requester of the fee assessment for the request and
toll the
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20-day time period while awaiting the requester's response.
(3) Appeal. The Commission will make a decision with respect to an
appeal of a full or partial denial of a request for records within 20
work days after receipt of the appeal.
(b) Multi-Track processing. The Commission uses a multi-track system
to process FOIA requests, so that a FOIA request is processed based on
its complexity. Each request will be assigned to the Standard, Complex,
or Expedited track.
(1) Standard Track. Requests that are routine and require little
search time, review, or analysis are assigned to the Standard Track. The
Commission will respond to these requests in the order in which they are
received and make every effort to respond no later than 20 working days
after receipt of the request.
(2) Complex Track. Requests that are non-routine are assigned to the
Complex Track if the response may be voluminous; requires an unusually
high level of effort for search, review, or duplication; or causes an
undue disruption to the day-to-day activities of the Commission in
carrying out its statutory responsibilities. The requester will be
notified if the request is assigned to the Complex Track and will be
given an estimate of the time for response. The Commission will respond
to Complex Track requests as soon as practicable, and may discuss with
the requester the possibility of reformulating the request to reduce
processing time.
(3) Expedited Track. Requests for expedited processing that meet the
standards set forth in paragraph (c) of this section, will be assigned
to the Expedited track. In such cases, the process described in
paragraph (c) will be followed.
(c) Expedited processing. A request for expedited processing must
accompany the initial request for records, and the request should be
clearly marked ``Expedited Processing Requested.'' It must be a
certified, written statement of compelling need for expedited
processing, stating that the facts are true and correct. The Commission
shall decide whether to grant the request within 10 calendar days of its
receipt, and shall notify the requester in writing. If the Commission
grants this request, then the Commission will give the expedited request
priority over non-expedited requests and shall process it as soon as
practicable. Denials of expedited processing requests can be appealed
using the same procedures as denials of other FOIA requests. In
determining whether processing should be expedited, the Chief FOIA
Officer may consider whether:
(1) Failure to obtain the requested records on an expedited basis
could reasonably be expected to pose an imminent threat to a person's
life or physical safety;
(2) With respect to a request made by a person primarily engaged in
disseminating information, there is an urgency to inform the public
about actual or alleged Federal Government activity; or
(3) A reasonable expectation of an imminent loss of a substantial
due process right.
(d) Unusual circumstances. If the Commission determines that
``unusual circumstances'' exist, as that term is defined in the FOIA,
the time limits for responding to requests and appeals may be extended
by no more than 10 work days by providing written notice of the
extension to the requester. The requester will be given an opportunity
to limit the scope of the request or to arrange with the Commission an
alternative time frame for processing the request. A FOIA Officer shall
include with the notice of extension a brief statement of the reason for
the extension, the date the FOIA Officer expects to make a
determination, and the availability of the FOIA Public Liaison to assist
the requester, and the requester's right to seek dispute resolution
services from the Office of Government Information Services (OGIS) of
the National Archives and Records Administration.
Sec.426.206 Response to requests.
(a) Acknowledgements of requests. The Commission will send an
acknowledgement of the request in writing and assign it an
individualized tracking number if it will take longer than 10 working
days to process. Upon request, the Commission will provide an estimated
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date by which the Commission expects to provide a response to the
requester. If a request involves a voluminous amount of material, or
searches in multiple locations, the agency may provide interim
responses, releasing the records on a rolling basis.
(b) Grant of request. If a FOIA Officer grants a request, in full or
in part, the Commission shall promptly provide the requester written
notice of the decision, what fees apply under section 10 of this
subpart, and the availability of its FOIA Public Liaison to offer
assistance. The requester will be notified whether the request has been
assigned to the Standard, Complex, or Expedited track, pursuant to Sec.
426.205(b).
(c) Request denial. If the Chief FOIA Officer denies a request in
any respect, the Commission will notify the requester of that
determination in writing. A denial of request includes decisions that:
Fees will not be waived, no expedited processing will be done, there are
no responsive records subject to FOIA, the requested record does not
exist or has been destroyed, the requested record is exempt in whole or
in part, or the request does not reasonably describe the records sought.
The written notice will include:
(1) The name and title or position of the person responsible for the
denial;
(2) A brief statement of the reasons for the denial, including any
FOIA exemption applied by the agency in denying the request;
(3) A description of the material withheld, such as the approximate
number of pages or some other reasonable form of estimation;
(4) A statement that the denial may be appealed under section 8(a)
of this subpart, and a description of the appeal requirements; and
(5) A statement notifying the requester of the assistance available
from the agency's FOIA Public Liaison and the dispute resolution
services offered by OGIS.
(d) Redactions. When a portion of a record is withheld, the amount
of information redacted and the claimed exemption will be noted at the
place in the record where the redaction was made.