[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.

              
              
          U . S . G O V E R N M E N T P U B L I S H I N G O F F I C E

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

          U.S. Superintendent of Documents  Washington, DC 
              20402-0001

          http://bookstore.gpo.gov

          Phone: toll-free (866) 512-1800; DC area (202) 512-1800

[[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




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




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

                          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\
---------------------------------------------------------------------------

    \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

[[Page 74]]

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

[[Page 75]]

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.



Sec.426.207  Confidential commercial information.

    (a) Definitions.
    Confidential commercial information means commercial or financial 
information obtained by the Commission from a submitter that may be 
protected from disclosure under Exemption 4 of the FOIA, 5 U.S.C. 
552(b)(4).
    Submitter means any person or entity, including a corporation, 
State, or foreign government, but not including another Federal 
Government entity, that provides confidential commercial information, 
either directly or indirectly to the Federal Government.
    (b) Designation of confidential commercial information. A submitter 
of confidential commercial information must use good faith efforts to 
designate by appropriate markings, at the time of submission, any 
portion of its submission that it considers to be protected from 
disclosure under Exemption 4. These designations expire 10 years after 
the date of the submission unless the submitter requests and provides 
justification for a longer designation period.
    (c) When notice to submitters is required. (1) The Commission must 
promptly provide written notice to the submitter of confidential 
commercial information whenever records containing such information are 
requested under the FOIA if the agency determines that it may be 
required to disclose the records, provided the requested information has 
been designated in good faith by the submitter or the Commission has a 
reason to believe that the requested information may be protected from 
disclosure under Exemption 4.
    (2) The notice must either describe the commercial information 
requested or include a copy of the requested records or portions of 
records containing the information. In cases involving a voluminous 
number of submitters, the Commission may post or publish a notice in a 
place or manner reasonably likely to inform the submitters of the 
proposed disclosure, instead of sending individual notifications.
    (d) Exceptions to submitter notice requirements. The notice 
requirements of this section do not apply if:

[[Page 76]]

    (1) The Commission determines that the information is exempt under 
the FOIA, and therefore will not be disclosed;
    (2) The information has been lawfully published or has been 
officially made available to the public;
    (3) Disclosure of the information is required by a statute other 
than the FOIA or by a regulation issued in accordance with the 
requirements of Executive Order 12,600 of June 23, 1987; or
    (4) The designation made by the submitter under paragraph (b) of 
this section appears obviously frivolous. In such case, the Commission 
must give the submitter written notice of any final decision to disclose 
the information within a reasonable number of days prior to a specified 
disclosure date.
    (e) Opportunity to object to disclosure. (1) The Commission must 
specify a reasonable time period within which the submitter must respond 
to the notice referenced above.
    (2) If a submitter has any objections to disclosure, it should 
provide the Commission a detailed written statement that specifies all 
grounds for withholding the particular information under any exemption 
of the FOIA. In order to rely on Exemption 4 as basis for nondisclosure, 
the submitter must explain why the information constitutes a trade 
secret or commercial or financial information that is confidential.
    (3) A submitter who fails to respond within the time period 
specified in the notice will be considered to have no objection to 
disclosure of the information. The Commission is not required to 
consider any information received after the date of any disclosure 
decision. Any information provided by a submitter under this subpart may 
itself be subject to disclosure under the FOIA.
    (4) The Commission must consider a submitter's objections and 
specific grounds for nondisclosure in deciding whether to disclose the 
requested information.
    (f) Notice of intent to disclose. Whenever the Commission decides to 
disclose information over the objection of a submitter, the agency must 
provide the submitter written notice, which must include:
    (1) A statement of the reasons why each of the submitter's 
disclosure objections was not sustained;
    (2) A description of the information to be disclosed or copies of 
the records as the Commission intends to release them; and
    (3) A specified disclosure date, which must be a reasonable time 
after the notice.
    (g) Notice of FOIA lawsuit. Whenever a requester files a lawsuit 
seeking to compel the disclosure of confidential commercial information, 
the Commission must promptly notify the submitter.
    (h) Requester notification. The Commission must notify the requester 
whenever it provides the submitter with notice and an opportunity to 
object to disclosure; whenever it notifies the submitter of its intent 
to disclose the requested information; and whenever a submitter files a 
lawsuit to prevent the disclosure of the information.



Sec.426.208  Appeals.

    (a) Grounds for administrative appeals. A requester may appeal an 
initial determination of the Commission, including but not limited to a 
determination:
    (1) To deny access to records in whole or in part (as provided in 
Sec.426.206(c));
    (2) To assign a particular fee category to the requester (as 
provided in Sec.426.209(d));
    (3) To deny a request for a reduction or waiver of fees (as provided 
in Sec.426.209(f));
    (4) That no records could be located that are responsive to the 
request (as provided in Sec.426.206(c)); or
    (5) To deny a request for expedited processing (as provided in Sec.
426.205(c)).
    (b) Initiating appeals. Requesters not satisfied with the FOIA 
Officer's decision may make a written request appealing the decision 
within 90 days of the date of the FOIA Officer's decision. Any appeal 
requests should be clearly marked with the words ``Freedom of 
Information Act Appeal.'' Appeals may be made through the Commission's 
email, [email protected]; website, www.inspire2serve.gov, or 
through the mail, and may be addressed to: FOIA

[[Page 77]]

Appeals, 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. The request should set out the name and contact 
information of the requester, specify the date of the initial request 
and the initial determination, and set forth why the appeal should be 
granted.
    (c) Adjudication of appeals. Appeals will be processed in the order 
of their receipt. An appeal ordinarily will not be adjudicated if the 
request become a matter of FOIA litigation. Before seeking review by a 
court of an agency's adverse determination, a requester generally must 
first submit a timely administrative appeal.
    (d) Appeal decisions. The Commission's Chair or his designee shall 
decide whether to affirm or reverse the initial determination (in whole 
or in part), and shall notify the requester of this decision in writing 
within 20 work days, pursuant to Sec.426.205(c). If the appeal is 
denied (in whole or in part), the Commission will notify the requester 
in writing of the decision, the reasons for the denial (including the 
FOIA exemptions relied upon), the name and title of the official 
responsible for the determination on appeal, and the provisions for 
judicial review and dispute resolution services offered by the OGIS. If 
the appeal is granted in full or in part, the Chief FOIA Officer will 
notify the requester in writing and promptly process the request.
    (e) Dispute resolution. Dispute resolution is a voluntary process. 
If the Commission agrees to participate in the dispute resolution 
services provided by OGIS, it will actively engage as a partner to the 
process in an attempt to resolve the dispute. Requesters may seek 
dispute resolution by contacting the FOIA Public Liaison or OGIS at: 
Office of Government Information Services, National Archives and Records 
Administration, 8601 Adelphi Road, OGIS, College Park, MD 20740; email: 
[email protected]; telephone: (202) 741-5770; facsimile: (202) 741-5769; 
toll free telephone: (877) 684-6448.



Sec.426.209  Preservation of records.

    The Commission 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 
pursuant to title 44 of the United States Code or the General Records 
Schedule 4.2 of the National Archives and Records Administration. The 
Commission will not dispose of or destroy records while they are the 
subject of a pending request, appeal, or lawsuit under the FOIA.



Sec.426.210  Fees.

    (a) In general. The Commission shall charge the requester for 
processing a request under the FOIA in accordance with the provisions of 
this section and with the OMB Guidelines. For purposes of assessing 
fees, the FOIA establishes three categories of requesters: Commercial 
use requesters, non-commercial scientific or educational institutions or 
news media requesters, and all other requesters. Different fees are 
assessed depending on the category. Requesters may seek a fee waiver, 
and the Commission will consider fee waiver requests in accordance with 
the requirements in paragraph (f) of this section. To resolve any fee 
issues that arise under this section, the Commission will contact a 
requester for additional information. No fees shall be charged if the 
amount of fees incurred in processing the request is below $25. The 
Commission ordinarily will collect all applicable fees before sending 
copies of records to a requester. Requesters must pay fees by check or 
money order made payable to the Treasury of the United States, or by 
another method as determined by the Commission.
    (b) Definitions. For purposes of this section:
    Commercial use request means a request that asks for information for 
a use or a purpose that furthers a commercial, trade, or profit 
interest, which can include furthering those interests through 
litigation. The Commission's decision to place a requester in the 
commercial use category will be made

[[Page 78]]

on a case-by-case basis based on the requester's intended use of the 
information. The Commission will notify requesters of their placement in 
this category.

    Direct costs means those expenses that the Commission incurs in 
searching for and duplicating (and, in the case of commercial use 
requests, reviewing) records in order to respond to a FOIA request. For 
example, direct costs include the salary of the employee performing the 
work (i.e., the basic rate of pay for the employee, plus 16 percent of 
that rate to cover benefits) and the cost of operating computers and 
other electronic equipment, such as photocopiers and scanners. Direct 
costs do not include overhead expenses such as the costs of space, and 
of heating or lighting a facility.
    Duplication means reproducing 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.
    Educational institution means any school that operates a program of 
scholarly research. A requester in this fee category must show that the 
request is made in connection with his or her role at the educational 
institution. The Commission may seek verification from the requester 
that the request is in furtherance of scholarly research and the 
Commission will advise requesters of their placement in this category.

    Example 1. A request from a professor of geology at a university for 
records relating to soil erosion, written on letterhead of the 
Department of Geology, would be presumed to be from an educational 
institution.
    Example 2. A request from the same professor of geology seeking drug 
information from the Food and Drug Administration in furtherance of a 
murder mystery he is writing would not be presumed to be an 
institutional request, regardless of whether it was written on 
institutional stationery.
    Example 3. A student who makes a request in furtherance of their 
coursework or other school-sponsored activities and provides a copy of a 
course syllabus or other reasonable documentation to indicate the 
research purpose for the request, would qualify as part of this fee 
category.

    Noncommercial scientific institution means an institution that is 
not operated on a ``commercial'' basis, as defined in this paragraph (b) 
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. A requester in this category must show that the 
request is authorized by and is made under the auspices of a qualifying 
institution and that the records are sought to further scientific 
research and are not for a commercial use. The Commission will advise 
requesters of their placement in this category.
    Representative of the news media means any person or entity that 
gathers information of potential interest to a segment of the public, 
uses its editorial skills to turn the raw materials into a distinct 
work, and distributes that work to an audience. The term ``news'' means 
information that is about current events or that would be of current 
interest to the public. Examples of news media entities include 
television or radio stations that broadcast news to the public at large 
and publishers of periodicals that disseminate news and make their 
products available through a variety of means to the general public, 
including news organizations that disseminate solely on the internet. A 
request for records supporting the news-dissemination function of the 
requester will not be considered to be for a commercial use. 
``Freelance'' journalists who demonstrate a solid basis for expecting 
publication through a news media entity will be considered as a 
representative of the news media. A publishing contract would provide 
the clearest evidence that publication is expected; however, the 
Commission can also consider a requester's past publication record in 
making this determination. The Commission will advise requesters of 
their placement in this category.
    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. Review time includes processing any record for disclosure, 
such as doing all that is necessary to prepare the record for 
disclosure, including the process of redacting the record and marking 
the appropriate exemptions. Review costs are properly charged even if a 
record

[[Page 79]]

ultimately is not disclosed. Review time also includes time spent both 
obtaining and considering any formal objection to disclosure made by a 
confidential commercial information submitter under Sec.426.207 of 
this subpart, but it does not include time spent resolving general legal 
or policy issues regarding the application of exemptions.
    Search means the process of looking for and retrieving records or 
information responsive to a request. Search time includes page-by-page 
or line-by-line identification of information within records and the 
reasonable efforts expended to locate and retrieve information from 
electronic records.
    (c) Fees chargeable for specific services. In responding to FOIA 
requests, the Commission will charge the following fees unless a waiver 
or reduction of fees has been granted under paragraph (f) of this 
section. No additional costs will be added to charges calculated under 
this section.
    (1) Duplicating records. The Commission shall assess requester fees 
for the cost of copying records. The charge will be $0.12 per page, up 
to 8\1/2\ x 14, made by photocopy or similar process. The charge will be 
the actual cost for duplicating photographs, films, and other materials. 
Where paper documents must be scanned so they can be sent 
electronically, the requester must pay the direct costs associated with 
scanning those materials. The Commission will honor a requester's 
preference for receiving a record in a particular form or format where 
the agency can readily reproduce it in the form or format requested.
    (2) Search services. The Commission shall charge a requester for all 
time spent by its employees searching for records that are responsive to 
a request, even if no responsive records are found or the records are 
exempt from disclosure. For non-electronic searches, the Commission 
shall charge for search time at the salary rate (basic pay plus 16 
percent) of the employee who conducts the search. For electronic 
records, the Commission shall charge the requester for the actual direct 
cost of the search, including computer search time, runs, and the 
operator's salary.
    (3) Review of records. The Commission shall only charge review fees 
to requesters who make commercial use requests. Review fees will be 
assessed in connection with the initial review of the record, but no 
charge will be made for review at the administrative appeal stage. 
However, if a particular exemption is deemed to no longer apply, any 
costs associated with an agency's re-review of the records in order to 
consider the use of other exemptions may be assess as review fees. The 
Commission shall charge a requester for time spent reviewing records at 
the salary rate(s) (i.e., basic pay plus 16 percent) of the employees 
who conduct the review.
    (4) Inspection of records in the reading room. Fees for all services 
provided shall be charged whether or not copies are made available to 
the requester for inspection. However, no fee shall be charged for 
monitoring a requester's inspection of records in the physical reading 
room.
    (5) Other services. Although not required to provide special 
services, if the Commission chooses to do so as a matter of 
administrative discretion, the requested services are charged at the 
actual cost to the Commission. Examples of such services include 
certifying that records are true copies or sending records by express 
mail.
    (d) Fees applicable to each category of requester. The Commission 
shall apply the fees set forth in this paragraph, for each category 
described in paragraph (c) of this section, to FOIA requests processed 
by the Commission.
    (1) Commercial use. A requester seeking records for commercial use 
shall be charged the full direct cost of searching for, reviewing, and 
duplicating the records they request as set forth in paragraph (c) of 
this section. The Commission is not required to consider a waiver 
request based upon the assertion that disclosure would be in the public 
interest from a commercial use requester.
    (2) Educational and non-commercial scientific uses. A requester 
seeking records for educational or non-commercial scientific use shall 
be charged only for the cost of duplicating the records they request, 
except that the Commission shall provide the first 100 pages of 
duplication (or cost equivalent for other

[[Page 80]]

media) free of charge. To be eligible, the requester must show that the 
records are not sought for a commercial use, but rather in furtherance 
of scholarly or scientific research.
    (3) News media uses. A requester seeking records under the news 
media use category shall be charged only the cost of duplicating the 
records they request, except that the Commission shall provide the 
requester with the first 100 pages of duplication (or cost equivalent 
for the other media) free of charge.
    (4) Other requests. A requester seeking records for any other use 
shall be charged the full direct cost of searching for and duplicating 
records that are responsive to the request, as set out in paragraph (b) 
of this section, except that the Commission shall provide the first 100 
pages of duplication and the first two hours of search time free of 
charge.
    (e) Other circumstances when fees are not charged. Notwithstanding 
paragraphs (c) and (d) of this section, the Commission may not charge a 
requester a fee for processing a FOIA request if the total fee is equal 
to or less than $25. Additionally, the Commission may not charge a 
requester a search or duplication fee if the Commission fails to comply 
with any time limit under Sec.426.205 or Sec.426.208, unless:
    (1) A court has determined that exceptional circumstances exist, as 
defined by the FOIA, then a failure to comply with such time limit shall 
be excused for the length of time provided by the court order;
    (2) The Commission has determined that unusual circumstances, as 
defined by the FOIA, apply and the Commission provides timely written 
notice to the requester in accordance with Sec.426.205(d), then the 
time limit shall be excused for an additional 10 days; or
    (3) The Commission has determined that unusual circumstances apply; 
more than 5,000 pages are necessary to respond to the request; the 
Commission has provided a timely written notice to the requester in 
accordance with Sec.426.205(d), and the Commission has discussed with 
the requester via written mail, electronic mail, 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. Then the Commission 
may charge a requester all applicable fees.
    (f) Waiver or reduction of fees. (1) A requester may request a 
waiver or reduction of fees otherwise applicable to a FOIA request in 
writing during the initial FOIA request. The waiver must demonstrate 
that the fee reduction or waiver is in the public interest because it 
furnishes information that is likely to contribute significantly to 
public understanding of the operations or activities of the government, 
and the information is not primarily in the commercial interest of the 
requester.
    (2) To determine whether the requester has satisfied the waiver 
request requirements, the Commission shall consider whether the subject 
of the requested records has a direct connection to government 
operations or activities; the disclosable portion of the requested 
records is meaningfully informative, and is not already in the public 
domain; the disclosure would contribute to the understanding of a 
reasonably broad audience, as opposed to the individual requester; and 
the public's understanding would be significantly enhanced by the 
disclosure. The Commission shall also consider whether the requester, or 
any person on whose behalf the requester may be acting, has a commercial 
interest that would be furthered by the disclosure, and whether the 
public interest is greater in magnitude than that of any identified 
commercial interest in disclosure.
    (3) Where only some of the records to be released satisfy the 
requirements for a waiver or reduction of fees, a waiver or reduction 
shall be granted for those records.
    (4) The Commission shall notify the requester in writing regarding 
its determination to reduce or waive fees.
    (5) If the Commission denies a request to reduce or waive fees, then 
the Commission shall advise the requester, in the denial notification 
letter, that the requester may incur fees as a result of processing the 
request. In the denial notification letter, the Commission shall advise 
the requester that the Commission will not proceed to process the 
request further unless the requester, in writing, directs the Commission 
to do so and either agrees to

[[Page 81]]

pay any fees that may apply to processing the request or specifies an 
upper limit (of not less than $25) that the requester is willing to pay 
to process the request. If the Commission does not receive this written 
direction and agreement within 30 days of the date of the denial 
notification letter, then the Commission shall deem the FOIA request to 
be withdrawn.
    (6) If the Commission denies a request to reduce or waive fees, then 
the requester shall have the right to submit an appeal in accordance 
with Sec.426.208. The Commission shall communicate this appeal right 
as part of its denial notification to the requester.
    (g) Notice of estimated fees. (1) When an agency determines or 
estimates that the fees to be assessed in accordance with this section 
will exceed $25, the agency must notify the requester of the actual or 
estimated amount of the fees, including a breakdown of the fees for 
search, review or duplication, 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 Commission will advise the 
requester accordingly. The notice will specify what duplication and 
search time the requester is entitled to and how they have been 
accounted for in the estimate.
    (2) If the agency notifies the requester that the actual or 
estimated fees are in excess of $25, the request will not be considered 
received and further work will not be completed until the requester 
commits in writing to pay the actual or estimated total fee, or 
designates some amount of fees the requester is willing to pay, or in 
the case of a noncommercial use requester who has not yet been provided 
with the statutory entitlements, designates that the requester seeks 
only that which can be provided by the statutory entitlements. The 
requester must provide the commitment or designation in writing, and 
must, when applicable designate an exact dollar amount the requester is 
willing to pay. Agencies are not required to accept payments in 
installments.
    (3) If the requester has indicated a willingness to pay some 
designated amount of fees, but the Commission estimates that the total 
fee will exceed that amount, the Commission will toll 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 Commission 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.
    (4) The FOIA Public Liaison will be available to assist any 
requester in reformulating a request to meet the requester's needs at a 
lower cost.
    (h) Advance payment. (1) For requests other than those described in 
paragraphs (h)(2) and (3) of this section, the Commission will not 
require the requester to make an advance payment before work is 
commenced or continued on a request. Payment owed for work already 
completed (i.e., payment before copies are sent to a requester) is not 
an advance payment.
    (2) When the Commission determines or estimates that a total fee to 
be charged under this section will exceed $250, it may require that the 
requester make an advance payment up to the amount of the entire 
anticipated fee before beginning to process the request. An agency may 
elect to process the request prior to collecting fees when it receives a 
satisfactory assurance of full payment from a requester with a history 
of prompt payment.
    (3) If a requester previously has failed to pay a fee within 30 
calendar days of the date of the billing, the requester shall be 
required to pay the full amount owed plus any applicable interest, and 
to make an advance payment of the full amount of the estimated fee 
before the Commission begins to process a new request.
    (4) In cases in which an agency requires advance payment, the 
request will not be considered received and further work will not be 
completed until the required payment is received. If the requester does 
not pay the advance payment within 30 calendar days after the date of 
the agency's fee determination, the request will be closed.
    (i) Charging interest. The Commission may charge interest on any 
unpaid bill starting on the 31st day following the

[[Page 82]]

date of billing the requester. Interest charges will be assessed at the 
rate provided in 31 U.S.C. 3717 and will accrue from the billing date 
until payment is received by the Commission. The Commission will follow 
the provisions of the Debt Collection Act of 1982 (Pub. L. 97-365, 96 
Stat. 1749), as amended, and its administrative procedures.
    (j) Aggregating requests. If the Commission reasonably determines 
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, the Commission may aggregate those requests and charge 
accordingly. The Commission may presume that multiple requests involving 
related matters submitted within a 30 calendar day period have been made 
in order to avoid fees. For requests separated by a longer period, the 
Commission will aggregate them only where there is a reasonable basis 
for determining that aggregation is warranted in view of all the 
circumstances involved. The Commission shall not aggregate multiple 
requests involving unrelated matters.
    (k) 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 instances where records responsive to a request are 
subject to a statutorily-based fee schedule program, the Commission must 
inform the requester of the contact information for that program.



Sec.426.211  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.



PART 457_ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP
IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE NATIONAL CAPITAL PLANNING 
COMMISSION--Table of Contents



Sec.
457.101 Purpose.
457.102 Application.
457.103 Definitions.
457.104-457.109 [Reserved]
457.110 Self-evaluation.
457.111 Notice.
457.112-457.129 [Reserved]
457.130 General prohibitions against discrimination.
457.131-457.139 [Reserved]
457.140 Employment.
457.141-457.148 [Reserved]
457.149 Program accessibility: Discrimination prohibited.
457.150 Program accessibility: Existing facilities.
457.151 Program accessibility: New construction and alterations.
457.152-457.159 [Reserved]
457.160 Communications.
457.161-457.169 [Reserved]
457.170 Compliance procedures.
457.171-457.999 [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 51 FR 22887, 22896, June 23, 1986, unless otherwise noted.



Sec.457.101  Purpose.

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



Sec.457.102  Application.

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



Sec.457.103  Definitions.

    For purposes of this part, the term--
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, brailled materials, 
audio recordings, telecommunications devices and other similar services 
and devices. Auxiliary aids useful for persons with impaired hearing 
include

[[Page 83]]

telephone handset amplifiers, telephones compatible with hearing aids, 
telecommunication devices for deaf persons (TDD's), interpreters, 
notetakers, written materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term ``physical or mental 
impairment'' includes, but is not limited to, such diseases and 
conditions as orthopedic, visual, speech, and hearing impairments, 
cerebral palsy, epilepsy, muscular dystrophy, multiple sclerosis, 
cancer, heart disease, diabetes, mental retardation, emotional illness, 
and drug addiction and alcoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in subparagraph (1) of 
this definition but is treated by the agency as having such an 
impairment.
    Historic preservation programs means programs conducted by the 
agency that have preservation of historic properties as a primary 
purpose.
    Historic properties means those properties that are listed or 
eligible for listing in the National Register of Historic Places or 
properties designated as historic under a statute of the appropriate 
State or local government body.
    Qualified handicapped person means--
    (1) With respect to preschool, elementary, or secondary education 
services provided by the agency, a handicapped person who is a member of 
a class of persons otherwise entitled by statute, regulation, or agency 
policy to receive education services from the agency.
    (2) With respect to any other agency program or activity under which 
a person is required to perform services or to achieve a level of 
accomplishment, a handicapped person who meets the essential eligibility 
requirements and who can achieve the purpose of the program or activity 
without modifications in the program or activity that the agency can 
demonstrate would result in a fundamental alteration in its nature;
    (3) With respect to any other program or activity, a handicapped 
person

[[Page 84]]

who meets the essential eligibility requirements for participation in, 
or receipt of benefits from, that program or activity; and
    (4) Qualified handicapped person is defined for purposes of 
employment in 29 CFR 1613.702(f), which is made applicable to this part 
by Sec.457.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), 
and the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used 
in this part, section 504 applies only to programs or activities 
conducted by Executive agencies and not to federally assisted programs.
    Substantial impairment means a significant loss of the integrity of 
finished materials, design quality, or special character resulting from 
a permanent alteration.



Sec. Sec.457.104-457.109  [Reserved]



Sec.457.110  Self-evaluation.

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



Sec.457.111  Notice.

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



Sec. Sec.457.112-457.129  [Reserved]



Sec.457.130  General prohibitions against discrimination.

    (a) No qualified handicapped person shall, on the basis of handicap, 
be excluded from participation in, be denied the benefits of, or 
otherwise be subjected to discrimination under any program or activity 
conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--
    (i) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified handicapped person an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified handicapped person with an aid, benefit, 
or service that is not as effective in affording equal opportunity to 
obtain the same result, to gain the same benefit, or to reach the same 
level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
handicapped persons or to any class of handicapped persons than is 
provided to others unless such action is necessary to provide qualified 
handicapped persons with aid, benefits, or services that are as 
effective as those provided to others;
    (v) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or
    (vi) Otherwise limit a qualified handicapped person in the enjoyment 
of any right, privilege, advantage, or

[[Page 85]]

opportunity enjoyed by others receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified handicapped person the 
opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangments, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to handicapped persons.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination under any program or activity 
conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to handicapped persons.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified handicapped persons to 
discrimination on the basis of handicap.
    (6) The agency may not administer a licensing or certification 
program in a manner that subjects qualified handicapped persons to 
discrimination on the basis of handicap, nor may the agency establish 
requirements for the programs or activities of licensees or certified 
entities that subject qualified handicapped persons to discrimination on 
the basis of handicap. However, the programs or activities of entities 
that are licensed or certified by the agency are not, themselves, 
covered by this part.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive order to a different 
class of handicapped persons is not prohibited by this part.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified handicapped 
persons.



Sec. Sec.457.131-457.139  [Reserved]



Sec.457.140  Employment.

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



Sec. Sec.457.141-457.148  [Reserved]



Sec.457.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec.457.150, no qualified 
handicapped person shall, because the agency's facilities are 
inaccessible to or unusable by handicapped persons, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec.457.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by handicapped persons. This paragraph does 
not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by handicapped persons;
    (2) In the case of historic preservation programs, require the 
agency to take any action that would result in a substantial impairment 
of significant historic features of an historic property; or
    (3) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in

[[Page 86]]

the nature of a program or activity or in undue financial and 
administrative burdens. In those circumstances where agency personnel 
believe that the proposed action would fundamentally alter the program 
or activity or would result in undue financial and administrative 
burdens, the agency has the burden of proving that compliance with Sec.
457.150(a) would result in such alteration or burdens. The decision that 
compliance would result in such alteration or burdens must be made by 
the agency head or his or her designee after considering all agency 
resources available for use in the funding and operation of the 
conducted program or activity, and must be accompanied by a written 
statement of the reasons for reaching that conclusion. If an action 
would result in such an alteration or such burdens, the agency shall 
take any other action that would not result in such an alteration or 
such burdens but would nevertheless ensure that handicapped persons 
receive the benefits and services of the program or activity.
    (b) Methods--(1) General. The agency may comply with the 
requirements of this section through such means as redesign of 
equipment, reassignment of services to accessible buildings, assignment 
of aides to beneficiaries, home visits, delivery of services at 
alternate accessible sites, alteration of existing facilities and 
construction of new facilities, use of accessible rolling stock, or any 
other methods that result in making its programs or activities readily 
accessible to and usable by handicapped persons. The agency is not 
required to make structural changes in existing facilities where other 
methods are effective in achieving compliance with this section. The 
agency, in making alterations to existing buildings, shall meet 
accessibility requirements to the extent compelled by the Architectural 
Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), and any 
regulations implementing it. In choosing among available methods for 
meeting the requirements of this section, the agency shall give priority 
to those methods that offer programs and activities to qualified 
handicapped persons in the most integrated setting appropriate.
    (2) Historic preservation programs. In meeting the requirements of 
Sec.457.150(a) in historic preservation programs, the agency shall 
give priority to methods that provide physical access to handicapped 
persons. In cases where a physical alteration to an historic property is 
not required because of Sec.457.150(a)(2) or (a)(3), alternative 
methods of achieving program accessibility include--
    (i) Using audio-visual materials and devices to depict those 
portions of an historic property that cannot otherwise be made 
accessible;
    (ii) Assigning persons to guide handicapped persons into or through 
portions of historic properties that cannot otherwise be made 
accessible; or
    (iii) Adopting other innovative methods.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by October 21, 1986, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by August 22, 1989, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by February 23, 1987 a transition plan setting 
forth the steps necessary to complete such changes. The agency shall 
provide an opportunity to interested persons, including handicapped 
persons or organizations representing handicapped persons, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will

[[Page 87]]

be taken during each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.



Sec.457.151  Program accessibility: New construction and alterations.

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



Sec. Sec.457.152-457.159  [Reserved]



Sec.457.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
handicapped person.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf person (TDD's) or 
equally effective telecommunication systems shall be used.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec.457.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the agency head or 
his or her designee after considering all agency resources available for 
use in the funding and operation of the conducted program or activity, 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, handicapped persons receive the benefits and services 
of the program or activity.



Sec. Sec.457.161-457.169  [Reserved]



Sec.457.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The Executive Director shall be responsible for coordinating 
implementation of this section. Complaints may be sent to Equal 
Employment Opportunity Director, National Capital Planning Commission, 
1325 G Street NW., Washington, DC 20576.

[[Page 88]]

    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the 
Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not readily 
accessible to and usable by handicapped persons.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec.457.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.

[51 FR 22887, 22896, June 23, 1986, as amended at 5l FR 22888, June 23, 
1986]



Sec. Sec.457.171-457.999  [Reserved]



PART 500_ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP
IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE NATIONAL COMMISSION 
FOR EMPLOYMENT POLICY--Table of Contents



Sec.
500.101 Purpose.
500.102 Application.
500.103 Definitions.
500.104-500.109 [Reserved]
500.110 Self-evaluation.
500.111 Notice.
500.112-500.129 [Reserved]
500.130 General prohibitions against discrimination.
500.131-500.139 [Reserved]
500.140 Employment.
500.141-500.148 [Reserved]
500.149 Program accessibility: Discrimination prohibited.
500.150 Program accessibility: Existing facilities.
500.151 Program accessibility: New construction and alterations.
500.152-500.159 [Reserved]
500.160 Communications.
500.161-500.169 [Reserved]
500.170 Compliance procedures.
500.171-500.999 [Reserved]

    Authority: 29 U.S.C. 794.

    Source: 51 FR 22888, 22896, June 23, 1986, unless otherwise noted.



Sec.500.101  Purpose.

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



Sec.500.102  Application.

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

[[Page 89]]



Sec.500.103  Definitions.

    For purposes of this part, the term--
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, brailled materials, 
audio recordings, telecommunications devices and other similar services 
and devices. Auxiliary aids useful for persons with impaired hearing 
include telephone handset amplifiers, telephones compatible with hearing 
aids, telecommunication devices for deaf persons (TDD's), interpreters, 
notetakers, written materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, and drug addiction and 
alcoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in subparagraph (1) of 
this definition but is treated by the agency as having such an 
impairment.
    Historic preservation programs means programs conducted by the 
agency that have preservation of historic properties as a primary 
purpose.
    Historic properties means those properties that are listed or 
eligible for listing in the National Register of Historic Places or 
properties designated as historic under a statute of the appropriate 
State or local government body.
    Qualified handicapped person means--
    (1) With respect to preschool, elementary, or secondary education 
services provided by the agency, a handicapped person who is a member of 
a class of persons otherwise entitled by statute,

[[Page 90]]

regulation, or agency policy to receive education services from the 
agency.
    (2) With respect to any other agency program or activity under which 
a person is required to perform services or to achieve a level of 
accomplishment, a handicapped person who meets the essential eligibility 
requirements and who can achieve the purpose of the program or activity 
without modifications in the program or activity that the agency can 
demonstrate would result in a fundamental alteration in its nature;
    (3) With respect to any other program or activity, a handicapped 
person who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity; 
and
    (4) Qualified handicapped person is defined for purposes of 
employment in 29 CFR 1613.702(f), which is made applicable to this part 
by Sec.500.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), 
and the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used 
in this part, section 504 applies only to programs or activities 
conducted by Executive agencies and not to federally assisted programs.
    Substantial impairment means a significant loss of the integrity of 
finished materials, design quality, or special character resulting from 
a permanent alteration.



Sec. Sec.500.104-500.109  [Reserved]



Sec.500.110  Self-evaluation.

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



Sec.500.111  Notice.

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



Sec. Sec.500.112-500.129  [Reserved]



Sec.500.130  General prohibitions against discrimination.

    (a) No qualified handicapped person shall, on the basis of handicap, 
be excluded from participation in, be denied the benefits of, or 
otherwise be subjected to discrimination under any program or activity 
conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--
    (i) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified handicapped person an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified handicapped person with an aid, benefit, 
or service that is not as effective in affording equal opportunity to 
obtain the same result, to gain the same benefit, or to reach the same 
level of achievement as that provided to others;

[[Page 91]]

    (iv) Provide different or separate aid, benefits, or services to 
handicapped persons or to any class of handicapped persons than is 
provided to others unless such action is necessary to provide qualified 
handicapped persons with aid, benefits, or services that are as 
effective as those provided to others;
    (v) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or
    (vi) Otherwise limit a qualified handicapped person in the enjoyment 
of any right, privilege, advantage, or opportunity enjoyed by others 
receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified handicapped person the 
opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangments, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to handicapped persons.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination under any program or activity 
conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to handicapped persons.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified handicapped persons to 
discrimination on the basis of handicap.
    (6) The agency may not administer a licensing or certification 
program in a manner that subjects qualified handicapped persons to 
discrimination on the basis of handicap, nor may the agency establish 
requirements for the programs or activities of licensees or certified 
entities that subject qualified handicapped persons to discrimination on 
the basis of handicap. However, the programs or activities of entities 
that are licensed or certified by the agency are not, themselves, 
covered by this part.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive order to a different 
class of handicapped persons is not prohibited by this part.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified handicapped 
persons.



Sec. Sec.500.131-500.139  [Reserved]



Sec.500.140  Employment.

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



Sec. Sec.500.141-500.148  [Reserved]



Sec.500.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec.500.150, no qualified 
handicapped person shall, because the agency's facilities are 
inaccessible to or unusable by handicapped persons, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec.500.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and

[[Page 92]]

usable by handicapped persons. This paragraph does not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by handicapped persons;
    (2) In the case of historic preservation programs, require the 
agency to take any action that would result in a substantial impairment 
of significant historic features of an historic property; or
    (3) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec.500.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that would not result in 
such an alteration or such burdens but would nevertheless ensure that 
handicapped persons receive the benefits and services of the program or 
activity.
    (b) Methods--(1) General. The agency may comply with the 
requirements of this section through such means as redesign of 
equipment, reassignment of services to accessible buildings, assignment 
of aides to beneficiaries, home visits, delivery of services at 
alternate accessible sites, alteration of existing facilities and 
construction of new facilities, use of accessible rolling stock, or any 
other methods that result in making its programs or activities readily 
accessible to and usable by handicapped persons. The agency is not 
required to make structural changes in existing facilities where other 
methods are effective in achieving compliance with this section. The 
agency, in making alterations to existing buildings, shall meet 
accessibility requirements to the extent compelled by the Architectural 
Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), and any 
regulations implementing it. In choosing among available methods for 
meeting the requirements of this section, the agency shall give priority 
to those methods that offer programs and activities to qualified 
handicapped persons in the most integrated setting appropriate.
    (2) Historic preservation programs. In meeting the requirements of 
Sec.500.150(a) in historic preservation programs, the agency shall 
give priority to methods that provide physical access to handicapped 
persons. In cases where a physical alteration to an historic property is 
not required because of Sec.500.150(a)(2) or (a)(3), alternative 
methods of achieving program accessibility include--
    (i) Using audio-visual materials and devices to depict those 
portions of an historic property that cannot otherwise be made 
accessible;
    (ii) Assigning persons to guide handicapped persons into or through 
portions of historic properties that cannot otherwise be made 
accessible; or
    (iii) Adopting other innovative methods.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by October 21, 1986, except 
that where structural changes in facilities are undertaken, such changes 
shall be made by August 22, 1989, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by February 23, 1987 a transition plan setting 
forth the steps necessary to complete such changes. The agency shall 
provide an opportunity to interested persons, including handicapped 
persons or organizations representing handicapped persons, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan

[[Page 93]]

shall be made available for public inspection. The plan shall, at a 
minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.



Sec.500.151  Program accessibility: New construction and alterations.

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



Sec. Sec.500.152-500.159  [Reserved]



Sec.500.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
handicapped person.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf person (TDD's) or 
equally effective telecommunication systems shall be used.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and adminstrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec.500.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the agency head or 
his or her designee after considering all agency resources available for 
use in the funding and operation of the conducted program or activity, 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, handicapped persons receive the benefits and services 
of the program or activity.



Sec. Sec.500.161-500.169  [Reserved]



Sec.500.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.

[[Page 94]]

    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The Director shall be responsible for coordinating 
implementation of this section. Complaints may be sent to Director, 
National Commission for Employment Policy, Suite 300, 1522 K Street NW., 
Washington, DC 20005.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the 
Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not readily 
accessible to and usable by handicapped persons.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec.500.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.

[51 FR 22888, 22896, June 23, 1986, as amended at 51 FR 22888, June 23, 
1986]



Sec. Sec.500.171-500.999  [Reserved]



                          CHAPTER V [RESERVED]



[[Page 95]]



            CHAPTER VI--NATIONAL CAPITAL PLANNING COMMISSION




  --------------------------------------------------------------------
Part                                                                Page
600

[Reserved]

601             Implementation of the National Environmental 
                    Policy Act..............................          97
602             National Capital Planning Commission Freedom 
                    of Information Act regulations..........         113
603             Privacy Act regulations.....................         124

[[Page 97]]

                           PART 600 [RESERVED]



PART 601_IMPLEMENTATION OF THE NATIONAL ENVIRONMENTAL POLICY ACT--
Table of Contents



                            Subpart A_General

Sec.
601.1 Purpose.
601.2 Policies.
601.3 Definitions.

                 Subpart B_Lead and Cooperating Agencies

601.4 Designation of Lead Agency.
601.5 Lead Agency obligations.
601.6 Resolving disputes over Lead Agency status.
601.7 Cooperating Agencies.

                   Subpart C_NEPA Submission Schedules

601.8 NEPA submission schedule for applications governed by the National 
          Capital Planning Act.
601.9 NEPA submission schedule for applications governed by the 
          Commemorative Works Act.

                  Subpart D_Initiating the NEPA Process

601.10 Characteristics of Commission actions eligible for a Categorical 
          Exclusion.
601.11 Extraordinary Circumstances.
601.12 National Capital Planning Commission Categorical Exclusions.

                   Subpart E_Environmental Assessments

601.13 Characteristics of Commission actions eligible for an 
          Environmental Assessment.
601.14 Commission actions generally eligible for an Environmental 
          Assessment.
601.15 Process for preparing an Environmental Assessment.
601.16 Finding of No Significant Impact.
601.17 Supplemental Environmental Assessments.

                Subpart F_Environmental Impact Statements

601.18 Requirement for and timing of an Environmental Impact Statement.
601.19 Context, intensity, and significance of impacts.
601.20 Streamlining Environmental Impact Statements.
601.21 Programmatic Environmental Impact Statements and tiering.
601.22 Contents of an Environmental Impact Statement.
601.23 The Environmental Impact Statement process.
601.24 Final Environmental Impact Statement.
601.25 Record of Decision.
601.26 Supplemental Environmental Impact Statement.
601.27 Legislative Environmental Impact Statement.

                      Subpart G_Dispute Resolution

601.28 Dispute resolution.
601.29 [Reserved]

    Authority: 42 U.S.C. 4371; 40 CFR 1507.3

    Source: 82 FR 45424, Sept. 29, 2017; 82 FR 48609, Oct. 19, 2017, 
unless otherwise noted.



                            Subpart A_General



Sec.601.1  Purpose.

    This part establishes rules that supplement the Council on 
Environmental Quality's (CEQ) National Environmental Policy Act (NEPA) 
regulations that the National Capital Planning Commission (NCPC or 
Commission) and its applicants shall follow to ensure:
    (a) Compliance with NEPA, as amended (42 U.S.C. 4321 et seq.) and 
CEQ regulations for implementing the procedural provisions of NEPA (40 
CFR parts 1501 through 1508).
    (b) Compliance with other laws, regulations, and Executive Orders 
identified by NCPC as applicable to a particular application.



Sec.601.2  Policies.

    Consistent with 40 CFR 1500.1 and 1500.2, it shall be the policy of 
the NCPC to:
    (a) Comply with the procedures and policies of NEPA and other 
related laws, regulations, and orders applicable to Commission actions.
    (b) Provide applicants sufficient guidance to ensure plans and 
projects comply with the rules of this part and other laws, regulations, 
and orders applicable to Commission actions.
    (c) Integrate NEPA into its decision-making process at the earliest 
possible stage.
    (d) Integrate the requirements of NEPA and other planning and 
environmental reviews required by law including, without limitation, the 
National Historic Preservation Act, 54 U.S.C.

[[Page 98]]

306108 (NHPA), to ensure all such procedures run concurrently.
    (e) Use the NEPA process to identify and assess the reasonable 
alternatives to proposed actions that will avoid or minimize adverse 
effects on the quality of the human environment in the National Capital 
Region.
    (f) Use all practicable means to protect, restore, and enhance the 
quality of the human environment including the built and socioeconomic 
environments and historic properties within the National Capital Region.
    (g) Streamline the NEPA process and Environmental Impact Statements 
(EIS) to the maximum extent possible.
    (h) Use the NEPA process to assure orderly and effective NCPC 
decision-making and to foster meaningful public involvement in NCPC's 
decisions.



Sec.601.3  Definitions.

    For purposes of this part, the following definitions shall apply:
    Administrative Record means a compilation of all materials (written 
and electronic) that were before the agency at the time it made its 
final decision. An Administrative Record documents an agency's decision-
making process and the basis for the decision.
    Categorical Exclusion or CATEX means, as defined by 40 CFR 1508.4, a 
category of actions which do not individually or cumulatively have a 
significant effect on the human environment except under Extraordinary 
Circumstances and which have been found to have no such effect in 
procedures adopted by a Federal Agency (NCPC) in implementation of CEQ's 
regulations and for which, therefore, neither an Environmental 
Assessment (EA) nor an EIS is required.
    Central Area means the geographic area in the District of Columbia 
comprised of the Shaw School and Downtown Urban Renewal Areas or such 
other area as the District of Columbia and NCPC shall subsequently 
jointly determine.
    Chairman means the Chairman of the National Capital Planning 
Commission appointed by the President, pursuant to 40 U.S.C. 8711(c).
    Commemorative Works Act or CWA means the Federal law codified at 40 
U.S.C. 8901 et seq. that sets forth the requirements for the location 
and development of new memorials and monuments on land under the 
jurisdiction of the National Park Service (NPS) or the General Services 
Administration (GSA) in the District of Columbia and its Environs.
    Commission means the National Capital Planning Commission created by 
40 U.S.C. 8711.
    Comprehensive Plan means The Comprehensive Plan for the National 
Capital: Federal Elements prepared and adopted by the Commission 
pursuant to 40 U.S.C. 8721(a).
    Cooperating Agency means, as defined in 40 CFR 1508.5, any Federal 
Agency other than a Lead Agency that has jurisdiction by law or special 
expertise with respect to a proposal (or reasonable alternative) for 
legislation or other major action significantly affecting the quality of 
the human environment; a state or local agency of similar 
qualifications; or when the effects are on a reservation, an Indian 
Tribe when agreed to by the Lead Agency.
    Cumulative impact means, as defined in 40 CFR 1508.7, the impact on 
the environment that results from the incremental impact of an action 
when added to other past, present, and reasonably foreseeable future 
actions regardless of what agency (Federal or Non-Federal) or person 
undertakes such other actions. Cumulative impacts can result from 
individually minor, but collectively significant, actions taking place 
over a period of time.
    Emergency Circumstances means a sudden and serious occurrence or 
situation requiring immediate attention to protect the lives and safety 
of the public and protect property and ecological resources and 
functions from imminent harm.
    Environmental Assessment or EA means, as defined in 40 CFR 1508.9, a 
concise document for which a Federal Agency is responsible that serves 
to briefly provide sufficient evidence and analysis for determining 
whether to prepare an EIS or a FONSI; aid an agency's compliance with 
NEPA when no EIS is necessary; facilitate preparation of an EIS when one 
is necessary; and includes a brief discussion of the need for the 
proposal, alternatives as required by section 102(2)(E) of NEPA,

[[Page 99]]

the environmental impacts of the proposed action and alternatives, and a 
listing of agencies and persons consulted.
    Environmental Document means, as set forth in 40 CFR 1508.10, an 
Environmental Assessment, and Environmental Impact Statement, and for 
purposes of these regulations, a Categorical Exclusion determination.
    Environmental Impact Statement or EIS means, as defined in 40 CFR 
1508.11, a detailed written statement as required by 42 U.S.C. 
4332(2)(C).
    Environs means the territory surrounding the District of Columbia 
included in the National Capital Region pursuant to 40 U.S.C. 
8702(a)(1).
    Executive Director means the Executive Director employed by the 
National Capital Planning Commission pursuant to 40 U.S.C. 8711(d).
    Executive Director's Recommendation or EDR means a concise written 
report and recommendation prepared by NCPC staff under the direction of 
NCPC's Executive Director regarding a proposed action that is 
transmitted to the Commission for its consideration.
    Extraordinary Circumstances means special circumstances that when 
present negate an agency's ability to categorically exclude a project 
and require an agency to undertake further NEPA review.
    Federal Agency means the executive agencies of the Federal 
government as defined in 5 U.S.C. 105.
    Finding of No Significant Impact or FONSI means, as defined at 40 
CFR 1508.13, a document prepared by NCPC or a Federal Agency applicant 
that briefly presents the reasons why an action, not otherwise excluded 
(40 CFR 1508.4), will not have a significant effect on the human 
environment and for which an EIS will not be prepared. It shall include 
the EA or a summary of it and shall note any other EAs or EISs related 
to it (40 CFR 1501.7(a)(5)). If the EA is included in the FONSI, the 
FONSI need not repeat any of the discussion in the EA but may include 
the EA by reference.
    Lead Agency means, as defined in 40 CFR 1508.16, the agency or 
agencies preparing or having primary responsibility for preparing an EA 
or an EIS.
    Memorandum of Agreement or MOA means for purposes of implementing 
the regulations in this part, a written agreement entered into between a 
Lead, Co-lead, Cooperating Agency, or a Non-Federal Agency to facilitate 
implementation of NEPA and preparation of the requisite environmental 
documentation. A MOA can be written at a programmatic level to apply to 
all projects involving NCPC and particular applicant or on a project-by-
project basis.
    Mitigation means, as defined in 40 CFR 1508.20, avoiding an impact 
altogether by not taking a certain action or parts of an action; 
minimizing impacts by limiting the degree or magnitude of the action and 
its implementation; rectifying the impact by repairing, rehabilitating, 
or restoring the affected environment; reducing or eliminating the 
impact over time by preservation and maintenance operations during the 
life of the action; and compensating for the impact by replacing or 
providing substitute resources or environments.
    Monumental Core means the general area encompassed by the U.S. 
Capitol grounds, the National Mall, the Washington Monument grounds, the 
White House grounds, the Ellipse, West Potomac Park, East Potomac Park, 
the Southwest Federal Center, the Federal Triangle area, President's 
Park, the Northwest Rectangle, Arlington Cemetery and the Pentagon area, 
and Joint Base Myer-Henderson Hall.
    National Capital Planning Act means the July 1952 legislative 
enactment, codified at 40 U.S.C. 8701 et seq. that created the present 
day National Capital Planning Commission and conferred authority upon it 
to serve as the planning authority for the Federal government in the 
National Capital Region.
    National Capital Region means, as defined in 40 U.S.C. 8702(2), the 
District of Columbia; Montgomery and Prince Georges Counties in 
Maryland; Arlington Fairfax, Loudon, and Prince William Counties in 
Virginia; and all cities in Maryland or Virginia in the geographic area 
bounded by the outer boundaries of the combined area of the counties 
listed.

[[Page 100]]

    Non-Federal Agency for purposes of the National Environmental Policy 
Act and the regulations in this part means those applicants outside the 
definition of Federal Agency that prepare plans for or undertake 
projects on land within the National Capital Region subject to NCPC's 
jurisdiction. Non-Federal Agencies include, without limitation, the 
Smithsonian Institution, the John F. Kennedy Center for the Performing 
Arts, the National Gallery of Art, the United States Institute of Peace, 
the Government of the District of Columbia, private parties undertaking 
development on Federal land, and the Maryland National Capital Parks and 
Planning Commission. In most instances, the Non-Federal Agency has legal 
jurisdiction over the project and special expertise relative to the 
project's components.
    Notice of Availability or NOA means a public notice or other means 
of public communication that announces the availability of an EA or an 
EIS for public review.
    Notice of Intent or NOI means, as defined in 40 CFR 1508.22, a 
notice published in the Federal Register that an EIS will be prepared 
and considered. The notice shall briefly describe the proposed action 
and possible alternatives; describe the agency's proposed Public Scoping 
process including whether, when, and where any Public Scoping meeting 
will be held; and state the name and address of a person within the 
agency who can answer questions about the proposed action and the EIS. 
For purposes of NCPC implementation of NEPA, NCPC may determine, at its 
sole discretion, to publish an NOI that an EA will be prepared and 
considered.
    Purpose and need as described in 40 CFR 1502.13 means the underlying 
purpose and need for agency action to which the agency is responding in 
proposing the alternatives including the proposed action.
    Programmatic NEPA Review means a broad or high level NEPA review 
that assesses the environmental impacts of proposed policies, plans or 
programs, or projects for which subsequent project or site-specific NEPA 
analysis will be conducted. A Programmatic NEPA Review utilizes a 
tiering approach.
    Record of Decision or ROD means a concise public record of an 
agency's decision in cases requiring an EIS that is prepared in 
accordance with 40 CFR 1505.2.
    Scope means, as defined in 40 U.S.C. 1508.25, the range of actions 
(connected, cumulative and similar); alternatives (no action, other 
reasonable courses of action; and Mitigation measures not included in 
the proposed action); and impacts (direct, indirect and cumulative) 
considered in an EIS or an EA. The process of defining and determining 
the scope of issues to be addressed in an EIS or EA with public 
involvement shall be referred to as Public Scoping. Internal scoping 
activities shall be referred to by the word scoping without 
capitalization.
    Submission Guidelines means the formally-adopted document which 
describes the application process and application requirements for 
projects requiring review by the Commission.
    Tiering means, as defined in 40 CFR 1508.28, an approach where 
Federal Agency applicants, NCPC on behalf of Non-Federal Agency 
applicants, or NCPC for its own projects initially consider the broad, 
general impacts of a proposed program, plan, policy, or large scale 
project--or at the early stage of a phased proposal--and then conduct 
subsequent narrower, decision focused reviews.



                 Subpart B_Lead and Cooperating Agencies



Sec.601.4  Designation of Lead Agency.

    (a) A Federal Agency applicant shall serve as the Lead Agency and 
prepare an EA or an EIS for:
    (1) An application that requires Commission approval; and
    (2) An application for action on a master plan that includes future 
projects that require Commission approval; provided that:
    (i) The applicant intends to submit individual projects covered by 
the master plan to the Commission within five years of the date of 
Commission action on the master plan; and
    (ii) The applicant intends to use the master plan EA or EIS to 
satisfy its NEPA obligation for specific projects referenced in the 
master plan.

[[Page 101]]

    (b) NCPC shall serve as Lead Agency and prepare an EA or an EIS for:
    (1) An application submitted by a Non-Federal Agency that requires 
Commission approval;
    (2) An application submitted by a Non-Federal Agency for action on a 
master plan that includes future projects that require Commission 
approval; provided that:
    (i) The Non-Federal Agency applicant intends to submit individual 
projects covered by the master plan to the Commission within five years 
of the date of Commission action on the master plan; and
    (ii) The Non-Federal Agency applicant intends to use the master plan 
EA or EIS to satisfy its NEPA obligation for a specific project 
referenced in the master plan; and
    (3) An application for approval of land acquisitions undertaken 
pursuant to 40 U.S.C. 8731-8732.



Sec.601.5  Lead Agency obligations.

    (a) The obligations of a Federal Agency applicant designated as the 
Lead Agency in accordance with Sec.601.4(a) shall include, without 
limitation, the following:
    (1) Act as Lead Agency as defined in 40 CFR 1501.5 for the NEPA 
process.
    (2) Integrate other environmental reviews and other applicable 
regulatory requirements to include, without limitation, Section 106 of 
the NHPA.
    (3) Allow NCPC, to participate as a Co-lead or Cooperating Agency, 
as appropriate, and consult with Commission staff as early as possible 
in the planning process to obtain guidance with respect to the goals, 
objectives, standards, purpose, need, and alternatives for the NEPA 
analysis.
    (4) Invite affected Federal, state, regional and local agencies to 
participate as a Cooperating Agency in the NEPA process.
    (5) Consult with the affected agencies as early as possible in the 
planning process to obtain guidance on the goals, objectives, standards, 
purpose, need, and alternatives for the NEPA analysis.
    (6) Work with Cooperating Agencies and stakeholders in the following 
manner:
    (i) Keep them informed on the project schedule and substantive 
matters; and
    (ii) Allow them an opportunity to review and comment within 
reasonable time frames on, without limitation, Public Scoping notices; 
technical reports; public materials (including responses to comments 
received from the public); potential Mitigation measures; the draft EA 
or EIS; and the draft FONSI or ROD.
    (7) Prepare the appropriate Environmental Document consistent with 
the applicant's NEPA regulations, the requirements of this part, and CEQ 
regulations. If the Lead Agency applies a CATEX and NCPC as Cooperating 
Agency does not have a corresponding CATEX that it can apply, the Lead 
Agency shall prepare an EA to satisfy NCPC's NEPA requirement.
    (8) Determine in its Environmental Document whether an action will 
have an adverse environmental impact or would limit the choice of 
reasonable alternatives under 40 CFR 1505.1(e) and take appropriate 
action to ensure that the objectives and procedures of NEPA are 
achieved.
    (9) Prepare, make available for public review, and issue a FONSI or 
ROD.
    (10) Ensure that the draft and final EIS comply with the 
requirements of 40 CFR 1506.5(c) and include a disclosure statement 
executed by any contractor (or subcontractor) under contract to prepare 
the EIS document and that the disclosure appears as an appendix to the 
EIS.
    (11) Compile, maintain, and produce the Administrative Record.
    (12) Provide periodic reports on implementation of Mitigation 
measures to NCPC and other Cooperating Parties consistent with a 
schedule established in the Environmental Document. All such reports 
shall be posted on NCPC's Web site.
    (13) For an application that has yet to obtain final Commission 
approval, re-evaluate and update Environmental Documents that are five 
or more years old as measured from the time of their adoption when 
either or both of the following criteria apply:
    (i) There are substantial changes to the proposed action that are 
relevant to environmental concerns.

[[Page 102]]

    (ii) There are significant new circumstances or information that are 
relevant to environmental concerns and have a bearing on the proposed 
action or its impacts.
    (14) Consult with NCPC on the outcome of the re-evaluation of its 
Environmental Document; provided that if NCPC disagrees with the Lead 
Agency's conclusion on the need to update its Environmental Document, 
NCPC may, at its sole discretion, either prepare its own Environmental 
Document or decline to consider the application.
    (b) When NCPC serves as Lead Agency in accordance with Sec.
601.4(b), in addition to the obligations listed in paragraphs (a)(1) 
through (14) of this section, NCPC shall:
    (1) Require Non-Federal Agency applicants other than the District of 
Columbia and the Maryland National Capital Parks and Planning Commission 
to enter into a MOA with NCPC. In the MOA, and in subsequent 
implementation thereof, the Non-Federal Agency shall commit to providing 
all necessary assistance to facilitate and ensure NCPC's compliance with 
its NEPA obligation.
    (2) The MOA may be prepared as a programmatic MOA that addresses a 
uniform approach for the treatment of all applications from a particular 
Non-Federal Agency applicant or address a specific Non-Federal Agency 
application. The request to enter into a project specific MOA shall be 
made after a determination is made as to the inability to utilize a 
CATEX.
    (3) A MOA with a Non-Federal Agency shall specify, without 
limitation, roles and responsibilities; project information necessary to 
prepare the proper Environmental Document; project timelines and 
submission schedules; the submission of periodic reports on 
implementation of Mitigation measures, principal contacts and contact 
information; and a mechanism for resolving disputes.
    (4) Upon adoption of the MOA, NCPC shall publish the MOA in the 
Federal Register and post it on NCPC's Web site.



Sec.601.6  Resolving disputes over Lead Agency status.

    (a) In the event of a dispute with a Federal Agency applicant over 
Co-Lead Agency status, the parties shall use their best efforts to 
cooperatively resolve disputes at the working levels of their respective 
agencies and, if necessary, by elevating such disputes within their 
respective agencies.
    (b) If internal resolution at higher agency levels proves 
unsuccessful, at NCPC's sole discretion, one of the following actions 
shall be pursued: The parties shall request CEQ's determination on which 
agency shall serve as Lead, or NCPC shall prepare its own Environmental 
Document, or NCPC shall decline to take action on the underlying 
application.
    (c) Disputes other than those relating to the designation of Lead 
Agency status or Cooperating Agency status as described in Sec.
601.7(b), shall be governed by the requirements of subpart G of this 
part.



Sec.601.7  Cooperating Agencies.

    (a) When a Federal Agency applicant serves as the Lead Agency, NCPC 
shall act as a Cooperating Agency. As a Cooperating Agency, NCPC shall, 
without limitation, undertake the following:
    (1) Act as a Cooperating Agency as described in 40 CFR 1501.6.
    (2) Assist in the preparation of and sign a MOA with terms agreeable 
to NCPC if requested by the Lead Agency. At the Lead Agency's 
discretion, the MOA may be prepared as a programmatic MOA that addresses 
a uniform approach for the treatment of all applications where NCPC 
serves as a Cooperating Agency or address a specific application. The 
request to enter into a project specific MOA shall be made after a 
determination is made by the Lead Agency on the inability to utilize a 
CATEX.
    (3) Participate in the NEPA process by providing comprehensive, 
timely reviews of and comments on key NEPA materials including, without 
limitation, Public Scoping notices; technical reports; documents 
(including responses to comments received from the public); the draft 
and final EA or EIS; and the Draft FONSI or ROD.

[[Page 103]]

    (4) Supply available data, assessments, and other information that 
may be helpful in the preparation of the Environmental Document or the 
Administrative Record in a timely manner.
    (5) Make an independent evaluation of the Federal Agency applicant's 
Environmental Document and take responsibility for the scope and 
contents of the EIS or EA when it is sufficient as required by 40 CFR 
1506.5.
    (6) Prepare and, following Commission final approval of an 
application, sign a FONSI or ROD. Alternatively, if NCPC concurs with 
the contents of a Federal Agency's FONSI or ROD, NCPC may co-sign the 
Federal Agency's document following the Commission's final approval of 
an application if co-signing is consistent with the Federal Agency's 
NEPA regulations.
    (7) Provide documentation requested and needed by the Lead Agency 
for the Administrative Record.
    (b) In the event a Federal Agency applicant fails to allow NCPC to 
participate in a meaningful manner as a Cooperating Agency, the parties 
shall agree to use their best efforts to cooperatively resolve the issue 
at the working levels of their respective agencies, and, if necessary, 
by elevating the issue within their respective agencies. If internal 
resolution at higher agency levels is unsuccessful, the parties may 
agree to seek mediation. Alternatively, NCPC may prepare its own 
Environmental Document either as a stand-alone document or a supplement 
to the Federal Agency applicant's Environmental Document or take no 
action on the underlying application.



                   Subpart C_NEPA Submission Schedules



Sec.601.8  NEPA submission schedule for applications governed by the
National Capital Planning Act.

    (a) NEPA compliance requirements. Federal Agency applicants, and 
NCPC for non-Federal Agency applications, shall comply with NEPA for the 
following types of projects:
    (1) Projects requiring Commission approval; and
    (2) Master plans requiring Commission action with future projects 
requiring subsequent Commission approval; provided that:
    (i) The applicant intends to submit individual projects depicted in 
the master plan to the Commission within five years of the date of 
Commission action on the master plan; and
    (ii) The applicant intends to use the master plan EA or EIS to 
satisfy its NEPA obligation for specific projects referenced in the 
master plan.
    (b) Timing of NEPA compliance. When Federal Agency and Non-Federal 
Agency applicants submit projects of the type described in paragraph (a) 
of this section, the Federal Agency applicant or NCPC for a Non-Federal 
agency application shall submit the requisite Environmental 
Documentation timed to coincide with the Commission's review stages as 
set forth in paragraphs (c) through (f) of this section.
    (c) Concept review. The NEPA Public Scoping process shall have been 
initiated by the Federal Agency applicant or NCPC for a Non-Federal 
Agency application before the applicant submits an application for 
concept review. Alternatively, if the Federal Agency applicant or NCPC 
is contemplating use of a CATEX, the initiation of the Public Scoping 
process may be deferred until the final decision on use of a CATEX is 
made. Any NEPA information available at the time of concept review shall 
be submitted by the Federal Agency applicant or NCPC for a Non-Federal 
Agency application to facilitate effective Commission concept review.
    (d) Preliminary review. A Draft Environmental Document shall be 
issued or published before the applicant submits an application for 
preliminary review. The NEPA information shall be provided to the 
Commission to facilitate the Commission's preliminary review and the 
provision of meaningful Commission comments and direction.
    (e) Final review. (1) At the time a Non-Federal Agency submits an 
application for final approval, the determination (FONSI or ROD) 
resulting from the Environmental Document shall be submitted by NCPC in 
a form consistent with the rules of this part. At the time a Federal 
Agency applicant submits an application to the

[[Page 104]]

Commission for final review, the Federal Agency applicant shall submit a 
determination (FONSI or ROD) in a form consistent with the applicant's 
NEPA regulations. As a Cooperating Agency, NCPC may co-sign the Federal 
Agency's FONSI or ROD following final Commission approval if co-signing 
is consistent with the Federal Agency's NEPA regulations. Alternatively, 
NCPC may prepare and sign its own independent document in accordance 
with the requirements of Sec. Sec.601.16(a) or 601.25(a) through (c).
    (2) If at the time of final review, the Commission denies a Federal 
Agency applicant's project and requests changes thereto, the Federal 
Agency applicant shall proceed in a manner consistent with applicable 
law. The Federal Agency applicant may pursue, among others, the option 
of revising the project in a manner responsive to the Commission's 
comments. If the Federal Agency pursues this option, it shall review and 
consider the need for possible changes to its Environmental Document and 
its FONSI or ROD. Upon resubmission of a revised application for final 
review, the applicant shall submit a revised Environmental Document and 
a revised FONSI or ROD if in its judgement revised documents are 
necessary. If NCPC and the applicant disagree regarding the need for a 
revised Environmental Document and FONSI or ROD, the parties shall work 
together to resolve their differences. The final decision regarding the 
need for a revised Environmental Document and a revised FONSI or ROD 
shall be made by the Commission's Executive Committee.
    (f) Deviations from the submission schedule for Emergency 
Circumstances. (1) This paragraph (f) applies when the following three 
conditions exist: NCPC is the Lead Agency; Emergency Circumstances 
exist; and an Extraordinary Circumstance as set forth in Sec.601.11 is 
present that precludes use of a CATEX.
    (2) When the three conditions described above exist, NCPC shall 
undertake one of the following actions:
    (i) When Emergency Circumstances render it necessary to take an 
action that requires an EA, the Executive Director shall prepare a 
concise, focused EA consistent with CEQ guidance. At the earliest 
opportunity, the Commission shall grant approval for the EA.
    (ii) Where Emergency Circumstances make it necessary for the 
Commission to take an action with significant environmental impact 
without observing the provisions of these regulations, NCPC shall 
consult with CEQ about alternative arrangements. NCPC will limit such 
arrangements to actions necessary to control the immediate impacts of 
the emergency. Other actions remain subject to NEPA review.



Sec.601.9  NEPA submission schedule for applications governed by the 
Commemorative Works Act.

    (a) Timing of NEPA compliance. When, pursuant to the Commemorative 
Works Act, the National Park Service (NPS) or the General Services 
Administration (GSA) submits an application to the Commission for 
approval of a site and design for a commemorative work, NPS or GSA shall 
be required to comply with NEPA and submit the NEPA documentation timed 
to coincide with the Commission's review stages as set forth in 
paragraphs (b) through (e) of this section.
    (b) Concept site review. (1) The NEPA Scoping Process shall have 
been initiated by NPS or GSA before the appropriate agency submits an 
application to the Commission for concept site review. Available NEPA 
documentation for all concept sites shall be included in the application 
to facilitate effective Commission concept review.
    (2) The Commission shall provide comments to NPS or GSA on the 
multiple sites to assist the applicant in selecting a preferred site.
    (c) Concept design review for preferred sites. (1) The NEPA Public 
Scoping Process shall have been initiated before NPS or GSA submits an 
application to the Commission for concept design review. Available NEPA 
documentation shall be included in the application to facilitate 
effective Commission concept review.
    (2) The Commission shall provide comments to NPS or GSA on the 
preferred site(s) and the concept designs for each site to facilitate 
selection of a preferred site and refinement of the memorial design for 
that site. The

[[Page 105]]

Commission may establish guidelines for the applicant to follow in 
preparing its preliminary and final commemorative work design to avoid, 
minimize or mitigate environmental impacts including adverse effects on 
historic properties. If the Commission imposes guidelines to avoid, 
minimize or mitigate adverse impacts, the applicant shall address the 
guidelines in its Environmental Document.
    (d) Preliminary site and design review. (1) NPS or GSA shall have 
issued or published its Draft Environmental Document for the site 
selection process and the memorial design and shall have initiated the 
requisite public comment period before the applicant submits an 
application for preliminary site and design approval. The NEPA 
information shall be provided to the Commission to facilitate the 
Commission's preliminary review and the provision of meaningful 
Commission comments and directions.
    (2) The Commission shall take an action on the preliminary site and 
design and provide comments to the applicant on the preliminary design 
to assist the applicant's preparation of a final design.
    (e) Final site and design review. (1) At the time NPS or GSA submits 
an application to the Commission for final site and design review, the 
determination (FONSI or ROD) resulting from the Environmental Document 
shall be submitted by the applicant in a form consistent with its NEPA 
regulations. As a Cooperating Agency, NCPC may co-sign the applicant's 
FONSI or ROD following final Commission approval if co-signing is 
consistent with the applicant's NEPA regulations. Alternatively, NCPC 
may prepare and sign its own independent document in accordance with the 
requirements of Sec.601.16(a) or Sec.601.25(a) through (c).
    (2) If at the time of final review, the Commission denies the NPS or 
GSA project and requests changes thereto, the applicant shall proceed in 
a manner consistent with applicable law. The Federal Agency applicant 
may pursue, among others, the option of revising the project in a manner 
responsive to the Commission's comments. If the Federal Agency pursues 
this option, it shall review and consider the need for possible changes 
to its Environmental Document and its FONSI or ROD. Upon resubmission of 
a revised application for final review, the applicant shall submit a 
revised Environmental Document and a revised FONSI or ROD if in its 
judgement revised documents are necessary. If NCPC and the applicant 
disagree regarding the need for a revised Environmental Document and 
FONSI or ROD, the parties shall work together to resolve their 
differences. The final decision regarding the need for a revised 
Environmental Document and a revised FONSI or ROD shall be made by the 
Commission's Executive Committee.



                  Subpart D_Initiating the NEPA Process



Sec.601.10  Characteristics of Commission actions eligible for
a Categorical Exclusion.

    (a) A Categorical Exclusion is a type of action that does not 
individually or cumulatively have a significant effect on the human 
environment and which has been found to have no such effect by NCPC.
    (b) Actions that generally qualify for application of a Categorical 
Exclusion and do not require either an EA or an EIS exhibit the 
following characteristics:
    (1) Minimal or no effect on the human environment;
    (2) No significant change to existing environmental conditions;
    (3) No significant cumulative environmental impacts; and
    (4) Similarity to actions previously assessed in an EA concluding in 
a FONSI and monitored to confirm the FONSI.



Sec.601.11  Extraordinary Circumstances.

    (a) Before applying a CATEX listed in Sec.601.12, the Executive 
Director shall determine if a project or plan requires additional 
environmental review or analysis due to the presence of Extraordinary 
Circumstances. If any of the Extraordinary Circumstances listed in 
paragraphs (b)(1) through (11) of this section are present, the 
Executive Director shall not apply a CATEX and ensure that the proper 
Environmental

[[Page 106]]

Document (EA or EIS) shall be prepared and made available to the 
Commission before the Commission takes action on the matter.
    (b) Extraordinary Circumstances that negate the application of a 
CATEX include:
    (1) A reasonable likelihood of significant impact on public health 
or safety.
    (2) A reasonable likelihood of significant environmental impacts on 
sensitive resources unless the impacts have been or will be avoided, 
minimized, or mitigated to non-significant levels through another 
process to include, without limitation, Section 106 of the NHPA. 
Environmentally sensitive resources include without limitation:
    (i) Proposed federally listed, threatened or endangered species or 
their designated critical habitats.
    (ii) Properties listed or eligible for listing on the National 
Register of Historic Places.
    (iii) Areas having special designation or recognition based on 
Federal law or an Executive Order, to include without limitation, 
National Historic Landmarks, floodplains, wetlands, and National Parks.
    (iv) Cultural, scientific or historic resources.
    (3) A reasonable likelihood of effects on the environment that are 
risky, highly uncertain, or unique.
    (4) A reasonable likelihood of violating an Executive Order, or 
Federal, state or local law or requirements imposed for the protection 
of the environment.
    (5) A reasonable likelihood of causing a significant increase in 
surface transportation congestion, disruption of mass transit, and 
interference with pedestrian and bicycle movements.
    (6) A reasonable likelihood of significantly degrading air quality 
or violating air quality control standards under the Clean Air Act (42 
U.S.C. 7401-7671q).
    (7) A reasonable likelihood of significantly impacting water 
quality, public water supply systems, or state or local water quality 
control standards under the Clean Water Act (33 U.S.C. 1251 et seq.) and 
the Safe Drinking Act (42 U.S.C. 300f).
    (8) A reasonable likelihood of a disproportionately high and adverse 
effect on low income and minority populations.
    (9) A reasonable likelihood of degrading existing unsatisfactory 
environmental conditions.
    (10) A reasonable likelihood of establishing a precedent for future 
action or making a decision in principle about future actions with 
potentially significant environmental effects.
    (11) Any other circumstance that makes the action sufficiently 
unique in its potential impacts on the human environment that further 
environmental analysis and review is appropriate.
    (c) The Executive Director shall include in his/her EDR, or the 
documentation of a delegated action, his/her decision to apply a 
Categorical Exclusion including consideration of possible Extraordinary 
Circumstances or not apply a Categorical Exclusion because of 
Extraordinary Circumstances.



Sec.601.12  National Capital Planning Commission Categorical
Exclusions.

    (a) Commission actions that may be categorically excluded and 
normally do not require either an EA or an EIS are listed in paragraphs 
(a)(1) through (13) of this section. An action not specifically included 
in the list is not eligible for a Categorical Exclusion even if it 
appears to meet the general criteria listed in Sec.601.10(b).
    (1) Approval of the installation or restoration of onsite primary or 
secondary electrical distribution systems including minor solar panel 
arrays.
    (2) Approval of the installation or restoration of minor site 
elements, such as but not limited to identification signs, sidewalks, 
patios, fences, curbs, retaining walls, landscaping, and trail or stream 
improvements. Additional features include water distribution lines and 
sewer lines which involve work that is essentially replacement in kind.
    (3) Approval of the installation or restoration of minor building 
elements, such as, but not limited to windows, doors, roofs, building 
signs, and rooftop equipment and green roofs.
    (4) Adoption of a Federal Element of the Comprehensive Plan or 
amendment

[[Page 107]]

thereto or broad based policy or feasibility plans prepared and adopted 
by the Commission in response to the Comprehensive Plan.
    (5) Approval of the installation of communication antennae on 
Federal buildings and co-location of communication antennae on Federal 
property consistent with GSA Bulletin FMR D-242, Placement of Commercial 
Antennas on Federal Property.
    (6) Approval of Federal and District government agency proposals for 
new construction, building expansion, or improvements to existing 
facilities, when all of the following apply:
    (i) The new structure and proposed use are in compliance with local 
planning and zoning and any applicable District of Columbia, state, or 
Federal requirements.
    (ii) The site and the scale of construction are consistent with 
those of existing adjacent or nearby buildings.
    (iii) The proposed use will not substantially increase the number of 
motor vehicles in the vicinity of the facility.
    (iv) There is little to no evidence of unresolved resource conflicts 
or community controversy related to environmental concerns or other 
environmental issues.
    (7) Approval of transfers of jurisdiction pursuant to 40 U.S.C. 8124 
that are not anticipated to result in changes in land-use and that have 
no potential for environmental impact.
    (8) Approval of a minor modification to a General Development Plan 
applicable to lands acquired pursuant to the Capper-Cramton Act, 46 
Stat. 482 (1930), as amended, when non-significant environmental impacts 
are anticipated.
    (9) Reorganization of NCPC.
    (10) Personnel actions, including, but not limited to, 
investigations; performance reviews; award of personal service 
contracts, promotions and awards; reductions in force, reassignments and 
relocations; and employee supervision and training.
    (11) Legal activities including, but not limited to, legal advice 
and opinions; litigation or other methods of dispute resolution; and 
procurement of outside legal services.
    (12) Procurement of goods and services, transactions, and other 
types of activities related to the routine and continuing 
administration, management, maintenance and operations of the Commission 
or its facilities.
    (13) Adoption and issuance of rules, directives, official policies, 
guidelines, and publications or recommendations of an educational, 
financial, informational, legal, technical or procedural nature.
    (b) The Executive Director shall include in his/her EDR, or the 
documentation of a delegated action, his/her decision to apply a 
Categorical Exclusion and the rationale for this decision.



                   Subpart E_Environmental Assessments



Sec.601.13  Characteristics of Commission actions eligible for an
Environmental Assessment.

    (a) An EA is a concise document with sufficient information and 
analysis to enable the Executive Director to determine whether to issue 
a FONSI or prepare an EIS.
    (b) Commission actions that generally require an EA exhibit the 
following characteristics:
    (1) Minor but likely insignificant degradation of environmental 
quality;
    (2) Minor but likely insignificant cumulative impact on 
environmental quality; and
    (3) Minor but likely insignificant impact on protected resources.



Sec.601.14  Commission actions generally eligible for an Environmental
Assessment.

    Commission actions that typically require preparation of an EA 
include without limitation:
    (a) Approval of final plans for Federal public buildings in the 
District of Columbia, and the provisions for open space in and around 
the same, pursuant to 40 U.S.C. 8722(d) and D.C. Code 2-1004(c).
    (b) Approval of final plans for District of Columbia public 
buildings and the open space around them within the Central Area 
pursuant to 40 U.S.C. 8722(e) and D.C. Code 2-1004(d).
    (c) Recommendations to a Federal or District of Columbia agency on 
any

[[Page 108]]

master plan or master plan modification submitted to the Commission that 
include proposed future projects that require Commission approval 
pursuant to 40 U.S.C. 8722(d)-(e) and D.C. Code 2-1004(c)-(d) within a 
five-year timeframe.
    (d) Approval of a final site and design for a commemorative work 
authorized under the Commemorative Works Act pursuant to 40 U.S.C. 8905.
    (e) Approval of transfers of jurisdiction over properties within the 
District of Columbia owned by the United States or the District among or 
between Federal and District authorities, pursuant to 40 U.S.C. 8124, 
unless such transfers met the criteria of Sec.601.12(a)(7).



Sec.601.15  Process for preparing an Environmental Assessment.

    An EA prepared by NCPC as the Lead Agency for a project requiring 
Commission approval shall comply with the following requirements:
    (a) The EA shall include, without limitation, a brief discussion of 
the proposed action; the purpose and need for the proposed action; the 
environmental impacts of the proposed action; the environmental impacts 
of the alternatives considered; Mitigation measures, if necessary; and a 
list of agencies and persons consulted in preparation of the assessment.
    (b) The NCPC shall involve to the extent practicable applicants; 
Federal and District of Columbia agencies; the public; and stakeholders 
in the preparation of an EA.
    (c) The NCPC, at the sole discretion of the Executive Director, may 
undertake Public Scoping for an action requiring an EA. The Public 
Scoping shall generally commence after issuance of a public notice in a 
media source with widespread circulation and the NCPC Web site of NCPC's 
intent to prepare an EA. The notice shall include the date, time and 
location of the Public Scoping meeting.
    (d) The NCPC may solicit public review and comment of a Draft EA. 
The public comment period generally shall be thirty (30) calendar days. 
The public comment period shall begin when the Executive Director 
announces the availability of the Draft EA on the NCPC Web site 
(www.ncpc.gov). The NCPC, at its sole discretion, may decline to 
circulate a draft EA for non-controversial projects.



Sec.601.16  Finding of No Significant Impact.

    (a) If NCPC is the Lead Agency and the final EA supports a FONSI, 
NCPC shall prepare and execute a FONSI. The FONSI shall be prepared 
following closure of the discretionary public comment period on a Draft 
EA, or if no public comment period is deemed necessary, at the 
conclusion of the preparation of an EA. The FONSI shall briefly state 
the reasons why the proposed action will not have a significant effect 
on the environment and include the EA or a summary thereof, any 
Mitigation commitments, and a schedule for implementing the Mitigation 
commitments. The FONSI shall be signed following the Commission final 
approval of the applicant's project.
    (b) If NCPC is not the Lead Agency, it shall evaluate the adequacy 
of the Lead Agency's FONSI. If NCPC determines the FONSI to be adequate, 
NCPC shall proceed as follows. If consistent with the Federal Agency's 
NEPA regulations, NCPC may co-sign the Lead Agency's FONSI following the 
Commission final approval of the application. Alternatively, NCPC may 
prepare and execute its own FONSI consistent with the requirements of 
paragraph (a) of this section and sign the FONSI following the 
Commission's final approval of the project.
    (c) In certain limited circumstances described in 40 CFR 
1501.4(e)(2)(i) and (ii), a FONSI prepared by NCPC shall be available 
for public review for thirty (30) days before NCPC makes it final 
determination. NCPC shall also publish all FONSIs on its Web site seven 
(7) calendar days before the Commission takes action on the underlying 
application.
    (d) If the Commission determines a Lead Agency's EA does not support 
a FONSI, either the Lead Agency shall prepare an EIS, or the Commission 
shall not approve or consider further the underlying application.

[[Page 109]]



Sec.601.17  Supplemental Environmental Assessments.

    (a) The NCPC shall prepare a supplemental EA if five or more years 
have elapsed since adoption of the EA and:
    (1) There are substantial changes to the proposed action that are 
relevant to environmental concerns; or
    (2) There are significant new circumstances or information that are 
relevant to environmental concerns and have a bearing on the proposed 
action or its impacts.
    (b) The NCPC may supplement a Draft or Final EA at any time to 
further the purposes of NEPA.
    (c) The NCPC shall prepare, circulate, and file a supplement to a 
Draft or Final EA, and adopt a FONSI in accordance with the requirements 
of Sec. Sec.601.15 and 601.16. If NCPC is not the Lead Agency, it 
shall proceed as outlined in Sec.601.16(b) and (c).



                Subpart F_Environmental Impact Statements



Sec.601.18  Requirement for and timing of an Environmental Impact
Statement.

    Prior to the Commission's approval of a major Federal action 
significantly affecting the quality of the human environment, the 
Executive Director shall prepare an EIS for a Non-Federal Agency 
application.



Sec.601.19  Context, intensity, and significance of impacts.

    (a) As required by 40 CFR 1508.27(a) and (b), NCPC's determination 
of whether an EIS is required and whether impacts are significant shall 
be made with consideration to the context and intensity of the impacts 
associated with a proposed action.
    (b) The significance of an action is determined in the context of 
its effects on society as a whole, the National Capital Region and its 
Environs, the particular interests affected, and the specific locality 
or area within which the proposed action is located. The context will 
vary from project to project and will be based on the type, attributes, 
and characteristics of a particular proposal.
    (c) The significance of an action is also determined based on the 
severity of impacts imposed by the proposal. Severity shall be 
determined based on an evaluation of a proposal in the manner outlined 
in 40 CFR 1508.27(b)(1) through (10). The evaluation shall also be 
informed by the relevant policies of ``The Comprehensive Plan for the 
National Capital: Federal Elements'' and other applicable Commission 
plans and programs. Proposed actions that conflict with or delay 
achievement of the goals and objectives of Commission plans and programs 
are generally more likely to be found to have significant impacts than 
proposals that are consistent with Commission plans and programs.
    (d) Proposed actions shall also be deemed significant and require an 
EIS if they exhibit at least one of the following characteristics:
    (1) The proposed action results in a substantial change to the 
Monumental Core.
    (2) The proposed action causes substantial alteration to the 
important historical, cultural, and natural features of the National 
Capital and its Environs.
    (3) The proposed action is likely to be controversial because of its 
impacts on the human environment.



Sec.601.20  Streamlining Environmental Impact Statements.

    The NCPC as Lead Agency shall use all available techniques to 
minimize the length of an EIS. Such techniques include, without 
limitation, drafting an EIS in clear, concise language; preparing an 
analytic vs. encyclopedic EIS; reducing emphasis on background 
information; using the scoping process to emphasize significant issues 
and de-emphasize non-significant issues; incorporating relevant 
information by reference; using a programmatic EIS and tiering to 
eliminate duplication in subsequent EISs; and following the format 
guidelines of Sec.601.22.



Sec.601.21  Programmatic Environmental Impact Statements and tiering.

    (a) The NCPC shall prepare a programmatic Environmental Document 
(Programmatic EA or PEA or Programmatic EIS or PEIS) to assess the 
impacts of proposed projects and plans when there is uncertainty 
regarding

[[Page 110]]

the timing, location and environmental impacts of subsequent 
implementing actions. At the time NCPC undertakes a site or project 
specific action within the parameters of the PEA or PEIS, NCPC shall 
tier its Environmental Document by summarizing information in the PEIS 
or PEA, as applicable, and concentrate on the issues applicable to the 
specific action.
    (b) A PEIS or PEA prepared by NCPC shall be governed by the CEQ 
regulations and the rules of this part.



Sec.601.22  Contents of an Environmental Impact Statement.

    (a) When NCPC serves as Lead Agency for an EIS, the following 
information shall be included in the EIS:
    (1) A cover sheet. The cover sheet shall be one-page and include a 
list of responsible and Cooperating Agencies; the title of the proposed 
action that is the subject of the EIS; the name, address, and telephone 
number of the NCPC point of contact; the designation as to whether the 
statement is draft, final, or draft or final supplement; a one paragraph 
abstract of the EIS; and the date by which comments must be received.
    (2) A summary. The summary shall accurately summarize the 
information presented in the EIS. The summary shall focus on the main 
conclusions, areas of controversy, and the issues to be resolved.
    (3) A table of contents. The table of contents shall allow a reader 
to quickly locate subject matter in the EIS--either by topic area and/or 
alternatives analyzed.
    (4) The purpose and need. A statement of the purpose of and need for 
the action briefly stating the underlying purpose and need to which the 
agency is responding.
    (5) The identification of alternatives including the proposed 
action. This section shall provide a brief description and supporting 
documentation for all alternatives including the proposed action; the no 
action alternative; all reasonable alternatives including those not 
within the jurisdiction of the agency; alternatives considered but 
eliminated and the reason for their elimination; the agency's preferred 
alternative, if one exists; the environmentally preferred alternative; 
and Mitigation measures not already included in the proposed action.
    (6) The identification of the affected environment. This section 
shall provide a succinct description of the environment to be affected 
by the proposed action and the alternatives considered. This section 
shall include, if applicable, other activities in the area affected by 
or related to the proposed action.
    (7) The identification of environmental consequences. This section 
shall focus on the environmental impacts of the alternatives including 
the proposed action, any adverse environmental effects which cannot be 
avoided should the proposal be implemented, the relationship between 
short-term uses of the environment and the maintenance and enhancement 
of long-term productivity, and any irreversible commitments of resources 
which would be involved if the proposal is implemented. The impacts 
shall be discussed in terms of direct, indirect and cumulative effects 
and their significance, as well as any appropriate means to mitigate 
adverse impacts. The discussion shall also include issues and impact 
topics considered but dismissed to reveal non-impacted resources. 
Resource areas and issues requiring consideration shall include those 
identified in the scoping process, and, without limitation, the 
following:
    (i) Possible conflicts between the proposed action and the land use 
plans, policies, or controls (local, state, or Indian tribe) for the 
area concerned.
    (ii) Natural and biological resources including topography, 
hydrology, soils, flora, fauna, floodplains, wetlands, and endangered 
species.
    (iii) Air quality.
    (iv) Noise.
    (v) Water resources including wastewater treatment and storm water 
management.
    (vi) Utilities including energy requirements and conservation.
    (vii) Solid waste and hazardous waste generation/removal.
    (viii) Community facilities.
    (ix) Housing.
    (x) Transportation network.
    (xi) Socio-cultural and economic environments.

[[Page 111]]

    (xii) Environmental Justice and the requirements of Executive Order 
12898 (Federal Actions to Address Environmental Justice in Minority 
Populations).
    (xiii) Urban quality and design of the built environment including 
visual resources and aesthetics.
    (xiv) Historic and cultural resources to include documentation of 
the results of the Section 106 Consultation process.
    (xv) Public health and safety.
    (8) A list of preparers. This list shall include all pertinent 
organizations, agencies, individuals, and government representatives 
primarily responsible for the preparation of the EIS and their 
qualifications.
    (9) An index. The index shall be structured to reasonably assist the 
reader of the Draft or Final EIS in identifying and locating major topic 
areas or elements of the EIS information. The level of detail of the 
index shall provide sufficient focus on areas of interest to any reader 
not just the most important topics.
    (10) An appendix. The appendix shall consist of material prepared in 
connection with an EIS (as distinct from material which is incorporated 
by reference) and material which substantiates any analysis fundamental 
to the EIS. The material in the appendix shall be analytical and 
relevant to the decision to be made. The appendix shall be posted on 
NCPC's Web site.
    (b) [Reserved]



Sec.601.23  The Environmental Impact Statement process.

    (a) The NCPC shall involve the applicant, Federal and District of 
Columbia agencies, members of the public and stakeholders in the 
preparation of an EIS. Public participation shall be required as part of 
the Public Scoping process and review of the Draft EIS. The NCPC shall 
also consult with agencies having jurisdiction by law or expertise. 
Agencies with ``jurisdiction by law'' are those with ultimate 
jurisdiction over a project and whose assistance may be required on 
certain issues and those with other kinds of regulatory or advisory 
authority with respect to the action or its effects on particular 
environmental resources.
    (b) To determine the scope of an EIS through a Public Scoping 
process, NCPC shall proceed as follows:
    (1) Disseminate a NOI in accordance with 40 CFR 1501.7 and 1506.6.
    (2) Publish a NOI in the Federal Register and on NCPC's Web site 
which shall begin the Public Scoping process.
    (3) Include the date, time, and location of a Public Scoping meeting 
in the NOI. The public meeting shall be announced at least thirty (30) 
calendar days in advance of its scheduled date.
    (4) Hold Public Scoping meeting(s) in facilities that are accessible 
to the disabled; include translators if requested in advance; include 
signers or interpreters for the hearing impaired if requested in 
advance; and allow special arrangements for consultation with affected 
Indian tribes or other Native American groups who have environmental 
concerns that cannot be shared in a public forum.
    (5) Consider all comments received during the announced comment 
period regarding the analysis of alternatives, the affected environment, 
and identification of potential impacts.
    (6) Apply the provisions of this section to a Supplemental EIS if 
the Executive Director of NCPC, in his/her sole discretion, determines a 
Public Scoping process is required for a Supplemental EIS.
    (c) A Draft EIS shall be available to the public for their review 
and comment, for a period of generally forty-five (45) calendar days. 
The public comment period shall begin when NCPC shares a copy of the 
Draft EIS with EPA in anticipation of EPA's publication of an NOA. The 
NCPC shall hold at least one public meeting during the public comment 
period on a Draft EIS. The public meeting shall be announced at least 
thirty (30) calendar days in advance of its scheduled occurrence. The 
announcement shall identify the subject of the Draft EIS and include the 
public meeting date, time, and location.



Sec.601.24  Final Environmental Impact Statement.

    (a) The NCPC shall prepare a Final EIS following the public comment 
period and the public meeting(s) on the

[[Page 112]]

Draft EIS. The Final EIS shall respond to oral and written comments 
received during the Draft EIS public comment period.
    (b) The Commission shall take final action on an application 
following a thirty (30) day Commission-sponsored review period of the 
Final EIS. The thirty (30) day period shall start when the EPA publishes 
a NOA for the Final EIS in the Federal Register.



Sec.601.25  Record of Decision.

    (a) If NCPC is the Lead Agency and decides to recommend approval of 
a proposed action covered by an EIS, it shall prepare and sign a ROD 
stating the Commission's decision and any Mitigation measures required 
by the Commission.
    (1) The ROD shall include among others:
    (i) A statement of the decision.
    (ii) The identification of alternatives considered in reaching a 
decision specifying the alternatives that were considered to be 
environmentally preferable. The ROD shall discuss preferences among 
alternatives based on relevant factors including economic and technical 
planning considerations and the Commission's statutory mission. The ROD 
shall identify those factors balanced to reach a decision and the 
influence of various factors on the decision.
    (iii) A statement as to whether all practicable means to avoid or 
minimize environmental harm from the alternative selected has been 
adopted, and if not, why they are not.
    (iv) A monitoring and enforcement program that summarizes Mitigation 
measures.
    (v) Date of issuance.
    (vi) Signature of the Chairman.
    (2) The contents of the draft ROD proposed for Commission adoption 
shall be summarized in the EDR and a full version of the draft document 
shall be included as an Appendix to the EDR. The Draft ROD, 
independently of the EDR, shall be made available to the public for 
review fourteen (14) calendar days prior to the Commission's 
consideration of the proposed action for which the EIS was prepared.
    (3) The Commission shall arrive at its decision about the proposed 
action for which NCPC serves as the Lead Agency and its environmental 
effects in a public meeting of record as identified by the Commission's 
monthly agenda.
    (b) If NCPC is not the Lead Agency, following the Commission final 
approval of a project to which a ROD pertains, and consistent with the 
Federal Agency's NEPA regulations, NCPC may take one of the following 
actions. It may either co-sign the Lead Agency's ROD following 
Commission approval of the project if NCPC agrees with its contents and 
conclusions or it shall prepare, sign, and sign and adopt its own ROD in 
accordance with the requirements of paragraphs (a)(1) through (3) of 
this section.
    (c) If the Commission determines a Lead Agency's EIS fails to 
support a ROD, the Lead Agency shall revise its EIS, or, alternatively, 
the Commission shall not approve or give any further consideration to 
underlying application.



Sec.601.26  Supplemental Environmental Impact Statement.

    (a) The NCPC shall prepare a supplemental EIS if five or more years 
has elapsed since adoption of the EIS and:
    (1) There are substantial changes to the proposed action that are 
relevant to environmental concerns; or
    (2) There are significant new circumstances or information that are 
relevant to environmental concerns and have a bearing on the proposed 
action or its impacts.
    (b) The NCPC may supplement a Draft or Final EIS at any time, to 
further the purposes of NEPA.
    (c) The NCPC shall prepare, circulate, and file a supplement to a 
Draft or Final EIS in in accordance with the requirements of Sec. Sec.
601.22 through 601.24 except that Public Scoping is optional for a 
supplemental EIS.
    (d) The NCPC shall prepare a ROD for a Supplemental EIS. The ROD's 
contents, the procedure for public review, and the manner in which it 
shall be adopted shall be as set forth in Sec.601.25.



Sec.601.27  Legislative Environmental Impact Statement.

    (a) Consistent with 40 CFR1506.8, the Executive Director shall 
prepare an EIS for draft legislation initiated by

[[Page 113]]

NCPC for submission to Congress. The EIS for the proposed legislation 
shall be included as part of the formal transmittal of NCPC's 
legislative proposal to Congress.
    (b) The requirements of this section shall not apply to legislation 
Congress directs NCPC to prepare.



                      Subpart G_Dispute Resolution



Sec.601.28  Dispute resolution.

    Any disputes arising under this part, shall be resolved, unless 
otherwise otherwise provided by law or regulation by the parties through 
interagency, good faith negotiations starting at the working levels of 
each agency, and if necessary, by elevating such disputes within the 
respective Agencies. If resolution at higher levels is unsuccessful, the 
parties may participate in mediation.



Sec.601.29  [Reserved]



PART 602_NATIONAL CAPITAL PLANNING COMMISSION FREEDOM OF INFORMATION
ACT REGULATIONS--Table of Contents



Sec.
602.1 Purpose.
602.2 Policy.
602.3 Definitions.
602.4 Information available without a FOIA Request.
602.5 FOIA Request requirements.
602.6 FOIA response requirements.
602.7 Multi-track processing.
602.8 Expedited processing.
602.9 Consultations and referrals.
602.10 Classified and Controlled Unclassified Information.
602.11 Confidential Commercial Information.
602.12 Appeals of Adverse Determinations.
602.13 Fees.
602.14 Fee waiver requirements.
602.15 Preservation of FOIA records.

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

    Source: 82 FR 44037, Sept. 20, 2017, unless otherwise noted.



Sec.602.1  Purpose.

    This part contains the rules the National Capital Planning 
Commission (NCPC or Commission) shall follow in processing third party 
Requests for Records concerning the activities of the NCPC under the 
Freedom of Information Act (FOIA), 5 U.S.C. 552, as amended. Requests 
made by a U.S. citizen or an individual lawfully admitted for permanent 
residence to access his or her own records under the Privacy Act, 5 
U.S.C. 522a are processed under this part and in accordance with part 
603 of Title 1 of the Code of Federal Regulations (CFR) to provide the 
greatest degree of access while safeguarding an individual's personal 
privacy. Information routinely provided to the public as part of regular 
NCPC activity shall be provided to the public without regard to this 
part.



Sec.602.2  Policy.

    (a) It is the NCPC's policy to facilitate the broadest possible 
availability and dissemination of information to the public through use 
of the NCPC's Web site, www.ncpc.gov, and physical distribution of 
materials not available electronically. The NCPC staff shall be 
available to assist the public in obtaining information formally by 
using the procedures herein or informally in a manner not inconsistent 
with the rule set forth in this part.
    (b) To the maximum extent possible, the NCPC shall make available 
agency Records of interest to the public that are appropriate for 
disclosure.



Sec.602.3  Definitions.

    For purposes of this part, the following definitions shall apply:
    Act and FOIA mean the Freedom of Information Act, 5 U.S.C. 552, as 
amended.
    Adverse Determination or Determination shall include a determination 
to withhold, in whole or in part, Records requested in a FOIA Request; 
the failure to respond to all aspects of a Request; the determination to 
deny a request for a Fee Waiver; or the determination to deny a request 
for expedited processing. The term shall also encompass a challenge to 
NCPC's determination that Records have not been described adequately, 
that there are no responsive Records, or that an adequate Search has 
been conducted.
    Agency Record or Record means any documentary material which is 
either created or obtained by a federal agency (Agency) in the 
transaction of Agency

[[Page 114]]

business and under Agency control. Agency Records may include without 
limitation books; papers; maps; charts; plats; plans; architectural 
drawings; photographs and microfilm; machine readable materials such as 
magnetic tape, computer disks and electronic data storage devices; 
electronic records including email messages; and audiovisual material 
such as still pictures, sound, and video recordings. This definition 
generally does not cover records of Agency staff that are created and 
maintained primarily for a staff member's convenience, exempt from 
Agency creation or retention requirements, and withheld from 
distribution to other Agency employees for their official use.
    Confidential Commercial Information means commercial or financial 
information obtained by the NCPC from a Submitter that may be protected 
from disclosure under Exemption 4 of the FOIA. Exemption 4 of the FOIA 
protects trade secrets and commercial or financial information obtained 
from a person which information is privileged or confidential.
    Controlled Unclassified Information means unclassified information 
that does not meet the standards for National Security Classification 
under Executive Order 13536, as amended, but is pertinent to the 
national interests of the United States or to the important interests of 
entities outside the federal government, and under law or policy 
requires protection from unauthorized disclosure, special handling 
safeguards, or prescribed limits on exchange or dissemination.
    Commercial Use Request means a FOIA Request from or on behalf of one 
who seeks information for a use or purpose that furthers the commercial, 
trade, or profit interests of the Requester or the person on whose 
behalf the Request is made.
    Direct Costs means those expenditures that the NCPC incurs in 
searching for, duplicating, and reviewing documents 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 the rate to cover benefits) and the cost of operating 
duplicating machinery. Direct Costs do not include overhead expenses 
such as costs of space, and heating or lighting the facility in which 
the Records are stored.
    Duplication means the process of making a copy of a document 
necessary to respond to a FOIA Request in a form that is reasonably 
usable by a Requester. Copies can take the form of, among others, paper 
copy, audio-visual materials, or machine readable documents (i.e., 
computer disks or electronic data storage devices).
    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, and an institution of vocational education, 
which operates a program or programs of scholarly research. To be 
classified in 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.
    Expedited Processing means giving a FOIA Request priority because a 
Requester has shown a compelling need for the Records.
    Fee Waiver means a waiver in whole or in part of fees if a Requester 
can demonstrate that certain statutory requirements are satisfied 
including that the information is in the public interest and is not 
requested primarily for commercial purposes.
    FOIA Public Liaison means an NCPC official who is responsible for 
assisting in reducing delays, increasing transparency and understanding 
the status of Requests, and assisting in the resolution of disputes.
    FOIA Request or Request means a written Request made by an entity or 
member of the public for an Agency Record submitted via the U.S. Postal 
Service mail or other delivery means to include without limitation 
electronic-mail (email) or facsimile.
    Frequently Requested Documents means documents that have been 
Requested at least three times under the FOIA. It also includes 
documents the NCPC anticipates would likely be the subject of multiple 
Requests.

[[Page 115]]

    Multi-track Processing means placing requests in multiple tracks 
based on the amount of work or time (or both) needed to process the 
request. Simple Requests requiring relatively minimal work and/or review 
are placed in one processing track, more complex Requests are placed in 
one or more other tracks, and expedited Requests are placed in a 
separate track. Requests in each track are processed on a first-in/
first-out basis.
    Noncommercial Scientific Institution means an institution that is 
not operated for commerce, trade or profit, but 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 be in 
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 commercial use but are sought to further 
scientific research.
    Privacy Act Request means, in accordance with NCPC's Privacy Act 
Regulations (1 CFR part 603) a written (paper copy with an original 
signature) request made by an individual for information about himself/
herself that is contained in a Privacy Act system of records. The 
Privacy Act applies only to U.S. citizens and aliens lawfully admitted 
for permanent residence such that only individuals satisfying these 
criteria may make Privacy Act Requests.
    Reading Room Materials means Records, paper or electronic, that are 
required to be made available to the public under 5.U.S.C. 552(a)(2) as 
well as other Records that the NCPC, at its discretion, makes available 
to the public for inspection and copying without requiring the filing of 
a FOIA Request.
    Representative of the News Media means any person or entity that 
gathers information of potential interest to a segment of the 
population, uses his/her/its editorial skills to turn raw material into 
a distinct work, and distributes that work to an audience. News media 
entities include television or radio stations broadcasting to the public 
at large; publishers of periodicals that qualify as disseminators of 
news and make their products available for purchase or subscription by 
the general public; and alternative media to include electronic 
dissemination through telecommunication (internet) services. To be in 
this category, a Requester must not be seeking the Requested Records for 
a commercial use. A Freelance Journalist is a Representative of the News 
Media who is able to demonstrate a solid basis for expecting publication 
through a news organization, even though not actually employed by that 
news organization. A publication contract or past evidence of a specific 
freelance assignment from a news organization may indicate a solid basis 
for expecting publication.
    Requester means an entity or member of the public submitting a FOIA 
Request.
    Requester Category means one of the five categories NCPC places 
Requesters in for the purpose of determining whether the Requester will 
be charged for Search, Review and Duplication, and includes Commercial 
Use Requests, Educational Institutions, Noncommercial Scientific 
Institutions, Representatives of the News Media, and all other 
Requesters.
    Review means the examination of Records to determine whether any 
portion of the located Record is eligible to be withheld. It also 
includes processing any Records for disclosure, i.e., doing all that is 
necessary to excise the record and otherwise prepare the Record for 
release. Review does not include time spent resolving general legal or 
policy issues regarding the application of exemptions.
    Search means the process of looking for material, by manual or 
electronic means that is responsive to a FOIA Request. The term also 
includes page-by-page or line-by-line identification of material within 
documents.
    Submitter means any person or entity outside the federal government 
from whom the NCPC directly or indirectly obtains commercial or 
financial information. The term includes, among others, corporations, 
banks, state and local governments, and agencies of foreign governments 
who provide information to the NCPC.
    Unusual Circumstances means, for purposes of Sec.602.7(c), and 
only to the extent reasonably necessary to the

[[Page 116]]

proper processing of a particular Request:
    (1) The need to Search for and collect the Requested Agency Records 
from establishments that are separate from the Commission's offices;
    (2) The need to Search for, collect and appropriately examine and 
Review a voluminous amount of separate and distinct Agency Records which 
are demanded in a single Request; or
    (3) The need for consultation with another Agency having a 
substantial interest in the determination of the FOIA Request.
    Workday means a regular Federal workday. It does not include 
Saturdays, Sundays, and legal public holidays.



Sec.602.4  Information available without a FOIA Request.

    (a) The NCPC shall maintain an electronic library at www.ncpc.gov 
that makes Reading Room Materials capable of production in electronic 
form available for public inspection and downloading. The NCPC shall 
also maintain an actual public reading room containing Reading Room 
Materials incapable of production in electronic form at NCPC's offices. 
The actual reading room shall be available for use on Workdays during 
the hours of 9:00 a.m. to 4:00 p.m. Requests for appointments to review 
Reading Room Materials in the actual public reading room should be 
directed to the NCPC's Information Resources Specialist identified on 
the NCPC Web site (www.ncpc.gov).
    (b) The following types of Records shall be available routinely 
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) Commission agendas;
    (2) Plans and supporting documentation submitted by applicants to 
the Commission to include environmental and historic preservation 
reports prepared for a plan or project;
    (3) Executive Director's Recommendations;
    (4) Commission Memoranda of Action;
    (5) Transcripts of Commission proceedings;
    (6) The Comprehensive Plan for the National Capital: Federal 
Elements and other plans prepared by the NCPC;
    (7) Federal Capital Improvements Plan for the National Capital 
Region following release of the President's Budget;
    (8) Policies adopted by the Commission;
    (9) Correspondence between the Commission and the Congress, other 
federal and local government agencies, and the public; and
    (10) Frequently Requested Documents.



Sec.602.5  FOIA Request requirements.

    (a) The NCPC shall designate a Chief Freedom of Information Act 
Officer who shall be authorized to grant or deny any Request for a 
Record of the NCPC.
    (b) Requests for a Record or Records that is/are not available in 
the actual or electronic reading rooms shall be directed to the Chief 
Freedom of Information Act Officer.
    (c) All FOIA Requests shall be made in writing. If sent by U.S. 
mail, Requests should be sent to NCPC's official business address 
contained on the NCPC Web site. If sent via email, they should be 
directed to [email protected] To expedite internal handling of FOIA 
Requests, the words Freedom of Information Act Request shall appear 
prominently on the transmittal envelope or the subject line of a Request 
sent via email or facsimile.
    (d) The FOIA Request shall:
    (1) State that the Request is made pursuant to the FOIA;
    (2) Describe the Agency Record(s) Requested in sufficient detail 
including, without limitation, any specific information known such as 
date, title or name, author, recipient, or time frame for which you are 
seeking Records, to enable the NCPC personnel to locate the Requested 
Agency Records;
    (3) State, pursuant to the fee schedule set forth in Sec.602.14, a 
willingness to pay all fees associated with the FOIA Request or the 
maximum fee the Requester is willing to pay to obtain the Requested 
Records, unless the Requester is seeking a Fee Waiver or placement in a 
certain Requester Category;

[[Page 117]]

    (4) State, if desired, the preferred form or format of disclosure of 
Agency Records with which the NCPC shall endeavor to comply unless 
compliance would damage or destroy an original Agency Record or 
reproduction is costly and/or requires the acquisition of new equipment; 
and
    (5) Provide a phone number, email address or mailing address at 
which the Requester can be reached to facilitate the handling of the 
Request.
    (e) If a FOIA Request is unclear, overly broad, involves an 
extremely voluminous amount of Records or a burdensome Search, or fails 
to state a willingness to pay the requisite fees or the maximum fee 
which the Requester is willing to pay, the NCPC shall endeavor to 
contact the Requester to define the subject matter, identify and clarify 
the Records being sought, narrow the scope of the Request, and obtain 
assurances regarding payment of fees. The timeframe for a response set 
forth in Sec.602.6(a) shall be tolled (stopped temporarily) and the 
NCPC will not begin processing a Request until the NCPC obtains the 
information necessary to clarify the Request and/or clarifies issues 
pertaining to the fee.
    (f) NCPC shall designate a FOIA Public Liaison to assist a Requester 
in making a Request or to assist a Requester in correcting a Request 
that does not reasonably describe the Records sought or to correct other 
deficiencies described in paragraph (e) of this section that necessitate 
follow-up with the Requester.



Sec.602.6  FOIA response requirements.

    (a) The Freedom of Information Act Officer, upon receipt of a FOIA 
Request made in compliance with these rules, shall determine whether to 
grant or deny the Request. The Freedom of Information Officer shall 
notify the Requester in writing within 20 Workdays of receipt of a 
perfected Request of his/her determination and the reasons therefore and 
of the right to appeal any Adverse Determination to the head of the 
NCPC.
    (b) In cases involving Unusual Circumstances, the agency may extend 
the 20 Workday time limit by written notice to the Requester. The 
written notice shall set forth the reasons for the extension and the 
date on which a determination is expected to be dispatched. No such 
notice shall specify a date that would result in an extension of more 
than 10 Working Days unless the agency affords the Requester an 
opportunity to modify his/her Request or arranges an alternative 
timeframe with the Requester for completion of the NCPC's processing. 
The agency shall also advise the Requester of his/her right to seek 
assistance from the FOIA Public Liaison or OGIS to resolve time limit 
disputes arising under this paragraph.
    (c) NCPC shall deny a Request based on an exemption contained in the 
FOIA and withhold information from disclosure pursuant to an exemption 
only if NCPC reasonably foresees that disclosure would harm an interest 
protected by an exemption or if disclosure is prohibited by law. If a 
Request is denied based on an exemption, NCPC's response shall comply 
with the requirements of paragraph (d) below.
    (d) If a Request is denied in whole or in part, the Chief FOIA 
Officer's written determination shall include, if technically feasible, 
the precise amount of information withheld, and the exemption under 
which it is being withheld unless revealing the exemption would harm an 
interested protected by the exemption. NCPC shall release any portion of 
a withheld Record that reasonably can be segregated from the exempt 
portion of the Record.



Sec.602.7  Multi-track processing.

    The NCPC may use multiple tracks for processing FOIA Requests based 
on the complexity of Requests and those for which expedited processing 
is Requested. Complexity shall be determined based on the amount of work 
and/or time needed to process a Request and/or the number of pages of 
responsive Records. If the NCPC utilizes Multi-track Processing, it 
shall advise a Requester when a Request is placed in a slower track of 
the limits associated with a faster track and afford the Requester the 
opportunity to limit the scope of its Request to qualify for faster 
processing.

[[Page 118]]



Sec.602.8  Expedited processing.

    (a) The NCPC shall provide Expedited Processing of a FOIA Request if 
the person making the Request demonstrates that the Request involves:
    (1) 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;
    (2) An urgency to inform the public about an actual or alleged 
federal government activity, if made by a person primarily engaged in 
disseminating information;
    (3) The loss of substantial due process rights; or
    (4) A matter of widespread and exceptional media interest in which 
there exists possible questions about the government's integrity which 
affect public confidence.
    (b) A Request for Expedited Processing may be made at the time of 
the initial FOIA Request or at a later time.
    (c) A Requester seeking Expedited Processing must submit a detailed 
statement setting forth the basis for the Expedited Processing Request. 
The Requester must certify in the statement that the need for Expedited 
Processing is true and correct to the best of his/her knowledge. To 
qualify for Expedited Processing, a Requester relying upon the category 
in paragraph (a)(2) of this section must establish:
    (1) He/She is a full time Representative of the News Media or 
primarily engaged in the occupation of information dissemination, though 
it need not be his/her sole occupation;
    (2) A particular urgency to inform the public about the information 
sought by the FOIA Request beyond the public's right to know about the 
government activity generally; and
    (3) The information is of the type that has value that will be lost 
if not disseminated quickly such as a breaking news story. Information 
of historical interest only or information sought for litigation or 
commercial activities will not qualify nor would a news media deadline 
unrelated to breaking news.
    (d) Within 10 calendar days of receipt of a Request for expedited 
processing, the NCPC shall decide whether to grant or deny the Request 
and notify the Requester of the decision in writing. If a Request for 
Expedited Processing is granted, the Request shall be given priority and 
shall be processed in the expedited processing track as fast as 
practicable. If a Request for Expedited Processing is denied, any appeal 
of that decision shall be acted on expeditiously.



Sec.602.9  Consultations and referrals.

    (a) If a Requester seeks a Record in which another agency of the 
Federal Government is better able to determine whether the record is 
exempt from disclosure under the FOIA, NCPC shall either respond to the 
FOIA Request after consultation with the Agency best able to determine 
if the Requested Record(s) is/are subject to disclosure or refer the 
responsibility for responding to the FOIA Request to the Agency 
responsible for originating the Record(s). Generally, the Agency 
originating a Record will be presumed by the NCPC to be the Agency best 
qualified to render a decision regarding disclosure or exemption except 
for Agency Records submitted to the NCPC pursuant to its authority to 
review Agency plans and/or projects.
    (b) Upon referral of Records to another Agency, the NCPC shall 
notify the Requester in writing of the referral, inform the Requester of 
the name of the Agency to which all or part of the responsive records 
have been referred, provide the Requester a description of the part of 
the Request referred, and advise the Requester of a point of contact 
within the receiving Agency.
    (c) The timeframe for a response to a FOIA Request requiring 
consultation or referral shall be based on the date the FOIA Request was 
initially received by the NCPC and not any later date.



Sec.602.10  Classified and Controlled Unclassified Information.

    (a) For Requests for an Agency Record that has been classified or 
may be appropriate for classification by another Agency pursuant to an 
Executive Order concerning the classification of Records, the NCPC shall 
refer the responsibility for responding to the FOIA Request to the 
Agency that either classified the Record, should consider

[[Page 119]]

classifying the Record, or has primary interest in the Record, as 
appropriate.
    (b) Whenever a Request is made for a Record that is designated 
Controlled Unclassified Information by another Agency, the NCPC shall 
refer the FOIA Request to the Agency that designated the Record as 
Controlled Unclassified Information. Decisions to disclose or withhold 
information designated as Controlled Unclassified Information shall be 
made based on the applicability of the statutory exemptions contained in 
the FOIA, not on a Controlled Unclassified Information marking or 
designation.



Sec.602.11  Confidential Commercial Information.

    (a) Confidential Commercial Information obtained by the NCPC from a 
Submitter shall be disclosed under the FOIA only in accordance with the 
requirements of this section.
    (b) A Submitter of Confidential Commercial Information shall use 
good-faith efforts to designate, by appropriate markings, either at the 
time of submission or at a reasonable time thereafter, any portions of 
its submission that it considers to be protected from disclosure under 
Exemption 4 of the FOIA. These designations will expire ten years after 
the date of the submission unless the Submitter requests, and provides 
justification for, a longer designation period.
    (c) Notice shall be given to a Submitter of a FOIA Request for 
potential Confidential Commercial Information if:
    (1) The requested information has been designated in good faith by 
the Submitter as Confidential Commercial Information eligible for 
protection from disclosure under Exemption 4 of the FOIA; or
    (2) The NCPC has reason to believe the requested information is 
Confidential Commercial Information protected from disclosure under 
Exemption 4 of the FOIA.
    (d) Subject to the requirements of paragraphs (c) and (g) of this 
section, the NCPC shall provide a Submitter with prompt written notice 
of a FOIA Request or administrative appeal that seeks the Submitter's 
Confidential Commercial Information. The notice shall give the Submitter 
an opportunity to object to disclosure of any specified portion of that 
Confidential Commercial Information pursuant to paragraph (e) of this 
section. The notice shall either describe the Confidential Commercial 
Information Requested or include copies of the Requested Records or 
portions thereof containing the Confidential Commercial Information. 
When notice to a large number of Submitters is required, NCPC may 
provide notification by posting or publishing the notice in a place 
reasonably likely to accomplish the intent of the notice requirement 
such as a newspaper, newsletter, the NCPC Web site, or the Federal 
Register.
    (e) The NCPC shall allow a Submitter a reasonable time to respond to 
the notice described in paragraph (d) of this section and shall specify 
within the notice the time period for response. If a Submitter has any 
objection to disclosure, it shall submit a detailed written statement. 
The statement must specify all grounds for withholding any portion of 
the Confidential Commercial Information under any exemption of the FOIA 
and, in the case of Exemption 4, it must show why the Confidential 
Commercial Information is a trade secret or commercial or financial 
information that is privileged or confidential. If the Submitter fails 
to respond to the notice within the specified time, the NCPC shall 
consider this failure to respond as no objection to disclosure of the 
Confidential Commercial Information on the part of the Submitter, and 
NCPC shall proceed to release the requested information. A statement 
provided by the Submitter that is not received by NCPC until after the 
NCPC's disclosure decision has been made shall not be considered by the 
NCPC. Information provided by a Submitter under this paragraph may 
itself be subject to disclosure under the FOIA.
    (f) The NCPC shall consider a Submitter's objections and specific 
grounds for nondisclosure in deciding whether to disclose Confidential 
Commercial Information. Whenever the NCPC decides to disclose 
Confidential Commercial Information over the objection of a Submitter, 
the NCPC shall

[[Page 120]]

give the Submitter written notice, which shall include:
    (1) A statement of the reason(s) why each of the Submitter's 
disclosure objections was not sustained;
    (2) A description of the Confidential Commercial Information to be 
disclosed; and
    (3) A specified disclosure date, which shall be a reasonable time 
subsequent to the notice.
    (g) The notice requirements of paragraphs (c) and (d) of this 
section shall not apply if:
    (1) The NCPC determines that the Confidential Commercial Information 
is exempt under FOIA;
    (2) The Confidential Commercial Information has been published 
lawfully or has been officially made available to the public;
    (3) The Confidential Commercial Information's disclosure is required 
by statute (other than the FOIA) or by a regulation issued in accordance 
with the requirements of Executive Order 12600 (Predisclosure 
Notification Procedures for Confidential Commercial Information); or
    (4) The designation made by the Submitter under paragraph (b) of 
this section appears obviously frivolous in which case the NCPC shall, 
within a reasonable time prior to a specified disclosure date, give the 
Submitter written notice of any final decision to disclose the 
Confidential Commercial Information.
    (h) Whenever a Requester files a lawsuit seeking to compel the 
disclosure of Confidential Commercial Information, the NCPC shall 
promptly notify the Submitter.
    (i) Whenever the NCPC provides a Submitter with notice and an 
opportunity to object to disclosure under paragraph (d) of this section, 
the NCPC shall also notify the Requester. Whenever the NCPC notifies a 
Submitter of its intent to disclose Requested Information under 
paragraph (f) of this section, the NCPC shall also notify the Requester. 
Whenever a Submitter files a lawsuit seeking to prevent the disclosure 
of Confidential Commercial Information, the NCPC shall notify the 
Requester.



Sec.602.12  Appeals of Adverse Determinations.

    (a) An appeal of an Adverse Determination shall be made in writing 
to the Chairman of the Commission (Chairman). An appeal may be submitted 
via U.S. mail or other type of manual delivery service or via email or 
facsimile within 90 Workdays of the date of a notice of an Adverse 
Determination. To facilitate handling of an appeal, the words Freedom of 
Information Act Appeal shall appear prominently on the transmittal 
envelope or the subject line of a Request sent via electronic-mail or 
facsimile.
    (b) An appeal of an Adverse Determination shall include a detailed 
statement of the legal, factual or other basis for the Requester's 
objections to an Adverse Determination; a daytime phone number or email 
address where the Requester can be reached if the NCPC requires 
additional information or clarification regarding the appeal; copies of 
the initial Request and the NCPC's written response; and for an Adverse 
Determination of a Request for Expedited Processing or a Fee Waiver, a 
demonstration of compliance with the requirements of Sec. Sec.602.8(a) 
and (c) or 602.15(a) through (c) respectively.
    (c) The Chairman shall respond to an appeal of an Adverse 
Determination in writing within 20 Workdays of receipt.
    (1) If the Chairman grants the appeal, the Chairman shall notify the 
Requester, and the NCPC shall make available copies of the Requested 
Records promptly thereafter upon receipt of the appropriate fee 
determined in accordance with Sec.602.13.
    (2) If the Chairman denies the appeal in whole or in part, the 
letter to the Requester shall state
    (i) The reason(s) for the denial, including the FOIA exemptions(s) 
applied;
    (ii) A statement that the decision is final;
    (iii) A notice of the Requester's right to seek judicial review of 
the denial in the District Court of the United States in either the 
locale in which the Requester resides, the locale in which the Requester 
has his/her principal place of business, or in the District of Columbia; 
and

[[Page 121]]

    (iv) A notice that the Requester may seek dispute resolution 
services from either the NCPC FOIA Public Liaison or the Office of 
Government Information Services (OGIS) to resolve disputes between a 
Requester and the NCPC as a non-exclusive alternative to litigation. 
Contact information for OGIS can be obtained from the OGIS Web site at 
[email protected]
    (d) The NCPC shall not act on an appeal of an Adverse Determination 
if the underlying FOIA Request becomes the subject of FOIA litigation.
    (e) A party seeking court review of an Adverse Determination must 
first appeal the decision under this section to NCPC.



Sec.602.13  Fees.

    (a) NCPC shall charge fees for processing FOIA requests in 
accordance with the provisions of this section and OMB Guidelines.
    (b) For purposes of assessing fees, NCPC shall categorize Requesters 
into three categories: Commercial Use Requesters; Noncommercial 
Scientific Institutions, Educational Institutions, and News Media 
Requesters; and all other Requesters. Different fees shall be charged 
depending upon the category into which a Requester falls. If fees apply, 
a Requesters may seek a fee waiver in accordance with the requirements 
of Sec.602.15.
    (c) Search Fees shall be charged as follows:
    (1) NCPC shall not charge Search fees to Requests made by 
Educational Institutions, Noncommercial Scientific Institutions, or 
Representatives of the New Media. NCPC shall charge Search fees to all 
other Requesters subject to the restrictions of paragraph (f)(5) of this 
section even if NCPC fails to locate any responsive Records or if the 
NCPC withholds Records located based on a FOIA exemption.
    (2) For each quarter hour spent by personnel searching for Requested 
Records, including electronic searches that do not require new 
programming, the Search fees shall be calculated based on the average 
hourly General Schedule (GS) base salary, plus the District of Columbia 
locality payment, plus 16 percent for benefits of employees in the 
following three categories: Staff Assistant (assigned at the GS 9-11 
grades); Professional Personnel (assigned at the GS 11-13 grades); and 
Managerial Staff (assigned at the 14-15 grades). For a Staff Assistant 
the quarter hour fee to Search for and retrieve a Requested Record shall 
be $9.00. If a Search and retrieval cannot be performed entirely by a 
Staff Assistant, and the identification of Records within the scope of a 
Request requires the use of Professional Personnel, the fee shall be 
$12.00 for each quarter hour of Search time spent by Professional 
Personnel. If the time of Managerial Personnel is required, the fee 
shall be $18.00 for each quarter hour of Search time spent by Managerial 
Personnel.
    (3) For a computer Search of Records, Requesters shall be charged 
the Direct Costs of creating a computer program, if necessary, and/or 
conducting the Search. Direct Costs for a computer Search shall include 
the cost that is directly attributable to the Search for responsive 
Records and the costs of the operator's salary for the time attributable 
to the Search.
    (d) Duplication fees shall be charged to all Requesters, subject to 
the limitations of paragraph (f)(5) of this section. For a paper 
photocopy of a Record (no more than one copy of which shall be 
supplied), the fee shall be 10 cents per page for single or double sided 
copies, 90 cents per page for 8\1/2\ by 11 inch color copies, and $1.50 
per page for color copies up to 11 x 17 inches per page. For copies 
produced by computer, and placed on an electronic data saving device or 
provided as a printout, the NCPC shall charge the Direct Costs, 
including operator time, of producing the copy. For other forms of 
Duplication, the NCPC shall charge the Direct Costs of that Duplication.
    (e) Review fees shall be charged to only those Requesters who make a 
Commercial Use Request. Review fees will be charged only for the NCPC 
initial Review of a Record to determine whether an exemption applies to 
a particular Record or portion thereof. No charge will be made for 
Review at the administrative appeal level for an exemption already 
applied. However, Records or portions thereof withheld under an 
exemption that is subsequently determined not applicable

[[Page 122]]

upon appeal may be reviewed again to determine whether any other 
exemption not previously considered applies. If the NCPC determines a 
different exemption applies, the costs of that Review are chargeable. 
Review fees will be charged at the same rates as those charged for a 
Search under paragraph (c)(2) of this section.
    (f) The following limitations on fees shall apply:
    (1) If NCPC fails to comply with the time limits in which to respond 
to a request, NCPC shall not charge Search fees or, in the case of 
Educational Institutions, Noncommercial Scientific Institutions, or 
Representatives of the News Media, duplication fees, except as described 
in paragraphs (f)(2)-(4) of this section.
    (2) If NCPC 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 shall be excused for an additional 10 days.
    (3) If NCPC determines that Unusual Circumstances exist, and more 
than 5000 pages of responsive records are necessary to respond to the 
Request, NCPC may charge Search fees. NCPC may also charge duplication 
fees in the case of Educational Institutions, Noncommercial Scientific 
Institutions, or Representatives of the News Media. The provisions of 
this paragraph shall only apply if NCPC provides timely written notice 
of the Unusual Circumstances to the Requester and discusses with the 
Requester via mail, e-mail or phone (or made at least three good faith 
efforts to do so) how to effectively limit the scope of the Request.
    (4) If a court has determined that exceptional circumstances exist, 
as defined by the FOIA, a failure to comply with the time limits shall 
be excused for the length of time provided by the court order.
    (5) No Search or Review fees shall be charged for a quarter-hour 
period unless more than half of that period is required for Search or 
Review.
    (6) Except for Requesters of a Commercial Use Request, the NCPC 
shall provide without charge the first two hours of Search (or the cost 
equivalent) and the first 100 pages of Duplication (or the cost 
equivalent);
    (7) Except for Requesters of a Commercial Use Request, no fee shall 
be charged for a Request if the total fee calculated under this section 
equals $50.00 or less.
    (8) Requesters other than those making a Commercial Use Request 
shall not be charged a fee unless the total cost of a Search in excess 
of two hours plus the cost of Duplication in excess of 100 pages totals 
more than $50.00.
    (g) If the NCPC determines or estimates fees in excess of $50.00, 
the NCPC shall notify the Requester of the actual or estimated amount of 
total fees, unless in its initial Request the Requester has indicated a 
willingness to pay fees as high as those determined or estimated. If 
only a portion of the fee can be estimated, the NCPC shall advise the 
Requester that the estimated fee constitutes only a portion of the total 
fee. If the NCPC notifies a Requester that actual or estimated fees 
amount to more than $50.00, the Request shall not be considered received 
for purposes of calculating the timeframe for a Response, and no further 
work shall be undertaken on the Request until the Requester agrees to 
pay the anticipated total fee. Any such agreement shall be memorialized 
in writing. A notice under this paragraph shall offer the Requester an 
opportunity to work with the NCPC to reformulate the Request to meet the 
Requester's needs at a lower cost.
    (h) Apart from other provisions of this section, if the Requester 
asks for, or the NCPC 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 actual costs of 
special service shall be charged.
    (i) The NCPC shall charge interest on any unpaid fee starting on the 
31st day following the date of billing the Requester. Interest charges 
will be assessed at the rate provided in 31 U.S.C. 3717 (Interest and 
Penalty on Claims) and will accrue from the date of the billing until 
payment is received by the NCPC. The NCPC shall follow the provisions of 
the Debt Collection Act of 1982 (Pub. L. 97-365, 96 Stat. 1749), as

[[Page 123]]

amended, and its administrative procedures, including the use of 
consumer reporting agencies, collection agencies, and offset.
    (j) Where the NCPC reasonably believes that one or more Requesters 
are acting in concert to subdivide a Request into a series of Requests 
to avoid fees, the NCPC may aggregate the Requests and charge 
accordingly. The NCPC shall presume that multiple Requests of this type 
made within a 30-day period have been made to avoid fees. Where Requests 
are separated by a time period in excess of 30 days, the NCPC shall 
aggregate the multiple Requests if a solid basis exists for determining 
aggregation is warranted under all circumstances involved.
    (k) Advance payments shall be treated as follows:
    (1) For Requests other than those described in paragraphs (k)(2) and 
(3) of this section, the NCPC shall not require an advance payment. An 
advance payment refers to a payment made before work on a Request is 
begun or continued after being stopped for any reason but does not 
extend to payment owed for work already completed but not sent to a 
Requester.
    (2) If the NCPC determines or estimates a total fee under this 
section of more than $250.00, it shall require an advance payment of all 
or part of the anticipated fee before beginning to process a Request, 
unless the Requester provides satisfactory assurance of full payment or 
has a history of prompt payment.
    (3) If a Requester previously failed to pay a properly charged FOIA 
fee to the NCPC within 30 days of the date of billing, the NCPC shall 
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 the NCPC begins to process a new Request or 
continues processing a pending Request from that Requester.
    (4) If the NCPC requires advance payment or payment due under 
paragraphs (k)(2) or (3) of this section, the Request shall not be 
considered received and no further work will be undertaken on the 
Request until the required payment is received.
    (l) Where Records responsive to Requests are maintained for 
distribution by Agencies operating statutorily based fee schedule 
programs, the NCPC shall inform Requesters of the steps for obtaining 
Records from those sources so that they may do so most economically.
    (m) All fees shall be paid by personal check, money order or bank 
draft drawn on a bank of the United States, made payable to the order of 
the Treasurer of the United States.



Sec.602.14  Fee waiver requirements.

    (a) Records responsive to a Request shall be furnished without 
charge or at a reduced charge below that established under Sec.602.13. 
If the Requester demonstrates to the NCPC, and the NCPC determines, 
based on all available information, that Disclosure of the Requested 
information is in the public interest because it is likely to contribute 
significantly to public understanding of the operations or activities of 
the government, and disclosure of the information is not primarily in 
the commercial interest of the Requester.
    (b) To determine if 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, 
the Requester shall demonstrate, and NCPC shall consider, the following 
factors:
    (1) Whether the subject of the Requested Records concerns 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.
    (2) Whether the disclosure is likely to contribute to an 
understanding of government operations or activities. The portions of 
the Requested Records eligible for disclosure must be meaningfully 
informative about government operations or activities. The disclosure of 
information that already is in the public domain, in either a 
duplicative or a substantially identical form, is not likely to 
contribute to an understanding of government operations and

[[Page 124]]

activities because this information is already known.
    (3) Whether disclosure of the Requested information will contribute 
to public understanding. 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 and ability and 
intention to effectively convey information to the public shall be 
considered. It shall be presumed that a Representative of the News Media 
satisfies this consideration.
    (4) Whether the disclosure is likely to contribute significantly to 
public understanding of government operations or activities. The 
public's understanding of the subject in question must be enhanced by 
the disclosure to a significant extent, as compared to the level of 
public understanding existing prior to the disclosure. The NCPC shall 
not make value judgments about whether information that would contribute 
significantly to public understanding of the operations or activities of 
the government is important enough to be made public.
    (c) To determine whether disclosure of the information is not 
primarily in the commercial interest of the Requester, the Requester 
shall demonstrate, and NCPC shall consider, the following factors:
    (1) Whether the Requester has a commercial interest that would be 
furthered by the Requested disclosure. The NCPC shall consider any 
commercial interest of the Requester (with reference to the definition 
of Commercial Use Request in Sec.602.3(f)), or of any person on whose 
behalf the Requester may be acting, that would be furthered by the 
Requested disclosure. Requesters shall be given an opportunity in the 
administrative process to provide explanatory information regarding this 
consideration.
    (2) Whether any identified commercial interest of the Requester is 
sufficiently large in comparison with the public interest in disclosure 
that disclosure is primarily in the commercial interest of the 
Requester. A Fee Waiver is justified where the public interest standard 
of paragraph (b) of this section is satisfied and that public interest 
is greater in magnitude than that of any identified commercial interest 
in disclosure. The NCPC ordinarily shall presume that a Representative 
of the News Media satisfies the public interest standard, and the public 
interest will be the interest primarily served by disclosure to that 
Requester. Disclosure to data brokers or others who merely compile and 
market government information for direct economic return shall not be 
presumed to primarily serve the public interest.
    (d) Where only some of the Records to be released satisfy the 
requirements for a Fee Waiver, a Fee Waiver shall be granted for those 
Records.
    (e) Requests for a Fee Waiver should address the factors listed in 
paragraphs (a) through (c) of this section, insofar as they apply to 
each Request. The NCPC shall exercise its discretion to consider the 
cost-effectiveness of its investment of administrative resources in this 
decision-making process in deciding to grant Fee Waivers.

[82 FR 44037, Sept. 20, 2017; 82 FR 44879, Oct. 19, 2017]



Sec.602.15  Preservation of FOIA records.

    (a) The NCPC shall preserve all correspondence pertaining to FOIA 
Requests received and copies or Records provided until disposition or 
destruction is authorized by the NCPC's General Records schedule 
established in accordance with the National Archives and Records 
Administration (NARA) approved schedule.
    (b) Materials that are responsive to a FOIA Request shall not be 
disposed of or destroyed while the Request or a related lawsuit is 
pending even if the Records would otherwise be authorized for 
disposition under the NCPC's General Records Schedule or NARA or other 
NARA-approved records schedule.



PART 603_PRIVACY ACT REGULATIONS--Table of Contents



Sec.
603.1 Purpose and scope.
603.2 Definitions.
603.3 Privacy Act program responsibilities.
603.4 Standard used to Maintain Records.

[[Page 125]]

603.5 Notice to Individuals supplying information.
603.6 System of Records Notice or SORN.
603.7 Procedures to safeguard Records.
603.8 Employee conduct.
603.9 Government contracts.
603.10 Conditions of disclosure.
603.11 Accounting for disclosures.
603.12 Requests for notification of the existence of Records.
603.13 Requests for access to Records.
603.14 Requests for Amendment or Correction of Records.
603.15 Requests for Accounting of Record disclosures.
603.16 Appeals of Adverse Determinations.
603.17 Fees.
603.18 Privacy Impact Assessments.

    Authority: 5 U.S.C. 552a as amended and 44 U.S.C. ch. 36.

    Source: 82 FR 44046, Sept. 20, 2017, unless otherwise noted.



Sec.603.1  Purpose and scope.

    (a) This part contain the rules the National Capital Planning 
Commission (NCPC) shall follow to implement a privacy program as 
required by the Privacy Act of 1974, 5 U.S.C. 552a (Privacy Act or Act) 
and the privacy provisions of the E-Government Act of 2002 (44 U.S.C. 
ch. 36) (E-Government Act). These rules should be read together with the 
Privacy Act and the privacy related provisions of the E-Government Act, 
which provide additional information respectively about Records 
maintained on individuals and protections for the privacy of personal 
information as agencies implement citizen-centered electronic 
Government.
    (b) Consistent with the requirements of the Privacy Act, the rules 
in this part apply to all Records maintained by NCPC in a System of 
Records; the responsibilities of theNCPC to safeguard this information; 
the procedures by which Individuals may request notification of the 
existence of a record, request access to Records about themselves, 
request an amendment to or correction of those Records, and request an 
accounting of disclosures of those Records by the NCPC; and the 
procedures by which an Individual may appeal an Adverse Determination.
    (c) Consistent with the privacy related requirements of the E-
Government Act, the rules in this part also address the conduct of a 
privacy impact assessment prior to developing or procuring information 
technology that collects, maintains, or disseminates information in an 
identifiable form, initiating a new electronic collection of information 
in identifiable form for 10 or more persons excluding agencies, 
instrumentalities or employees of the federal government, or changing an 
existing System that creates new privacy risks.
    (d) In addition to the rules in this part, the NCPC shall process 
all Privacy Act Requests for Access to Records in accordance with the 
Freedom of Information Act (FOIA), 5 U.S.C. 552, and part 602 of this 
chapter.



Sec.603.2  Definitions.

    For purposes of this part, the following definitions shall apply:
    Adverse Determination shall mean a decision to withhold any 
requested Record in whole or in part; a decision that the requested 
Record does not exist or cannot be located; a decision that the 
requested information is not a Record subject to the Privacy Act; a 
decision that a Record, or part thereof, does not require amendment or 
correction; a decision to refuse to disclose an accounting of 
disclosure; and a decision to deny a fee waiver. The term shall also 
encompass a challenge to NCPC's determination that Records have not been 
described adequately, that there are no responsive Records or that an 
adequate search has been conducted.
    E-Government Act of 2002 shall mean Public Law 107-347, Dec. 17, 
2002, 116 Stat. 2899, the privacy portions of which are set out as a 
note under section 3501 of title 44.
    Individual shall mean a citizen of the United States or an alien 
lawfully admitted for permanent residence.
    Information in Identifiable Form (IIF) shall mean information in an 
Information Technology system or an online collection that directly 
identifies an individual, e.g., name, address, social security number or 
other identifying number or code, telephone number, email address and 
the like; or information by which the NCPC intends to identify specific 
individuals in conjunction with other data elements, e.g., indirect 
identification that may include a combination of gender, race, birth

[[Page 126]]

date, geographic identifiers, and other descriptions.
    Information Technology (IT) shall mean, as defined in the Clinger 
Cohen Act (40 U.S.C. 11101(6)), any equipment, software or 
interconnected system or subsystem that is used in the automatic 
acquisition, storage, manipulation, management, movement, control, 
display, switching, interchange, transmission or reception of data.
    Maintain shall include maintain, collect, use or disseminate a 
Record.
    Privacy Act Officer shall mean the individual within the NCPC 
charged with responsibility for coordinating and implementing NCPC's 
Privacy Act program.
    Privacy Act or Act shall mean the Privacy Act of 1974, as amended 
and codified at 5 U.S.C. 552a.
    Privacy Impact Assessment (PIA) shall mean an analysis of how 
information is handled to ensure handling conforms to applicable legal, 
regulatory, and policy requirements regarding privacy; to determine the 
risks and effects of collecting, maintaining and disseminating 
information in identifiable form in an electronic system; and to examine 
and evaluate protections and alternative processes for handling 
information to mitigate potential privacy risks.
    Record shall mean any item, collection, or grouping of information 
about an Individual that is Maintained by the NCPC, including, but not 
limited to, an Individual's education, financial transactions, medical 
history, and criminal or employment history and that contains a name, or 
identifying number, symbol, or other identifying particular assigned to 
the Individual, such as a finger or voice print or photograph.
    Requester shall mean an Individual who makes a Request for Access to 
a Record, a Request for Amendment or Correction of a Record, or a 
Request for Accounting of a Record under the Privacy Act.
    Request for Access to a Record shall mean a request by an Individual 
made to the NCPC pursuant to subsection (d)(1) of the Privacy Act to 
gain access to his/her Records or to any information pertaining to him/
her in the system and to permit him/her, or a person of his/her 
choosing, to review and copy all or any portion thereof.
    Request for Amendment or Correction of a Record shall mean a request 
made by an Individual to the NCPC pursuant to subsection (d)(2) of the 
Privacy Act to amend or correct a Record pertaining to him/her.
    Routine Use shall mean with respect to disclosure of a Record, the 
use of such Record for a purpose which is compatible with the purpose 
for which the Record is collected.
    Senior Agency Official for Privacy (SAOP) shall mean the individual 
within NCPC responsible for establishing and overseeing the NCPC's 
Privacy Act program.
    System of Records or System (SOR or Systems) shall mean a group of 
any Records under the control of the NCPC from which information is 
retrieved by the name of the individual or by some identifying number, 
symbol, or other identifying particular assigned to the individual.
    System of Record Notice (SORN) shall mean a notice published in the 
Federal Register by the NCPC for each new or revised System of Records 
intended to solicit public comment on the System prior to 
implementation.
    Workday shall mean a regular Federal workday excluding Saturday, 
Sunday and legal Federal holidays when the federal government is closed.



Sec.603.3  Privacy Act program responsibilities.

    (a) The NCPC shall designate a Senior Agency Official for Privacy 
(SAOP) to establish and oversee the NCPC's Privacy Act Program and 
ensure compliance with privacy laws, regulations and the NCPC's privacy 
policies. Specific responsibilities of the SAOP shall include:
    (1) Reporting to the Office of Management and Budget (OMB) and 
Congress on the establishment of or revision to Privacy Act Systems;
    (2) Reporting periodically to OMB on Privacy Act activities as 
required by law and OMB;
    (3) Signing Privacy Act SORNS for publication in the Federal 
Register;
    (4) Approving and signing PIAs; and
    (5) Serving as head of the agency response team when responding to a 
large-scale information breach.

[[Page 127]]

    (b) The NCPC shall designate a Privacy Act Officer (PAO) to 
coordinate and implement the NCPC's Privacy Act program. Specific 
responsibilities of the PAO shall include:
    (1) Developing, issuing and updating, as necessary, the NCPC's 
Privacy Act policies, standards, and procedures;
    (2) Maintaining Privacy Act program Records and documentation;
    (3) Responding to Privacy Act Requests for Records and coordinating 
appeals of Adverse Determinations for Requests for access to Records, 
Requests for Amendment orCorrection of Records, and Requests for 
accounting for disclosures;
    (4) Informing Individuals of information disclosures;
    (5) Working with the NCPC's Division Directors or designated staff 
to develop an appropriate form for collection of Privacy Act information 
and including in the form a Privacy Act statement explaining the purpose 
for collecting the information, how it will be used, the authority for 
such collection, its routine uses, and the effect upon the Individual of 
not providing the requested information;
    (6) Assisting in the development of new or revised SORNs;
    (7) Developing SORN reports for OMB and Congress;
    (8) Submitting new or revised SORNS to the Federal Register for 
publication;
    (9) Assisting in the development of computer matching systems;
    (10) Preparing Privacy Act, Computer Matching, and other reports to 
OMB as required; and
    (11) Evaluating PIA to ensure compliance with E-Government Act 
requirements.
    (c) Other Privacy related responsibilities shall be shared by the 
NCPC Division Directors, the NCPC Chief Information Officer (CIO), the 
NCPC System Developers and Designers, the NCPC Configuration Control 
Board, the NCPC employees, and theChairman of the Commission.
    (1) The NCPC Division Directors shall be responsible for 
coordinating with the PAO the implementation of the requirements set 
forth in this part for Systems of Records applicable to their area of 
management and the preparation of PIA prior to development or 
procurement of new systems that collect, maintain or disseminate IIF. 
Specific responsibilities include:
    (i) Reviewing existing SOR for need, relevance, and purpose for 
existence, and proposing SOR changes to the PAO as necessary in response 
to altered circumstances;
    (ii) Reviewing existing SOR to ensure information is accurate, 
complete and up to date;
    (iii) Coordinating with the PAO the preparation of new or revised 
SORN;
    (iv) Coordinating with the PAO the development of an appropriate 
form for collection of Privacy Act information and including in the form 
a Privacy Act statement explaining the purpose for collecting the 
information, how it will be used, the authority for such collection, its 
routine uses, and the effect upon the Individual of not providing the 
requested information;
    (v) Collecting information directly from individuals whenever 
possible;
    (vi) Assisting the PAO with providing access to Individuals who 
request information in accordance with the procedures established in 
Sec. Sec.603.12, 603.13, 603.14 and 603.15.
    (vii) Amending Records if and when appropriate, and working with the 
PAO to inform recipients of former Records of such amendments;
    (viii) Ensuring that System information is used only for its stated 
purpose;
    (ix) Establishing and overseeing appropriate administrative, 
technical, and physical safeguards to ensure security and 
confidentiality of Records; and
    (x) Working with the SAOP, the PAO and Configuration Control Board 
(CCB) on SORs, preparing a PIA, if needed, and obtaining SAOP approval 
for a PIA prior to its publication on the NCPC Web site.
    (2) The CIO shall be responsible for implementing IT security 
management to include security for information protected by the Privacy 
Act and the E-Government Act of 2002.Specific responsibilities include:
    (i) Overseeing security policy for privacy data; and
    (ii) Reviewing PIAs prepared for information security 
considerations.

[[Page 128]]

    (3) The NCPC System Developers and Designers shall be responsible 
for ensuring that the IT system design and specifications conform to 
privacy standards and requirements and that technical controls are in 
place for safeguarding personal information from unauthorized access.
    (4) The NCPC CCB shall, among other responsibilities, verify that a 
PIA has been prepared prior to approving a request to develop or procure 
information technology that collects, maintains, or disseminates 
Information in Identifiable Form.
    (5) The NCPC employees shall ensure that any personal information 
they use in the conduct of their official responsibilities is protected 
in accordance with the rules set forth in this part.
    (6) The Chairman of the Commission shall be responsible for acting 
on all appeals of Adverse Determinations.

[82 FR 44046, Sept. 20, 2017; 82 FR 44879, Sept. 27, 2017]



Sec.603.4  Standards used to Maintain Records.

    (a) Records Maintained by the NCPC shall contain only such 
information about an Individual as is relevant and necessary to 
accomplish a purpose NCPC must accomplish to comply with relevant 
statutes or Executive Orders of the President.
    (b) Records Maintained by the NCPC and used to make a determination 
about an Individual shall be accurate, relevant, timely, and complete to 
assure a fair determination.
    (c) Information used by the NCPC in making a determination about an 
Individual's rights, benefits, and privileges under federal programs 
shall be collected, to the greatest extent practicable, directly from 
the Individual. In deciding whether collection of information about an 
Individual, as opposed to a third party is practicable, the NCPC shall 
consider the following:
    (1) Whether the information sought can only be obtained from a third 
party;
    (2) Whether the cost to collect the information from an Individual 
is unreasonable compared to the cost of collecting the information from 
a third party;
    (3) Whether there is a risk of collecting inaccurate information 
from a third party that could result in a determination adverse to the 
Individual concerned;
    (4) Whether the information collected from an Individual requires 
verification by a third party; and
    (5) Whether the Individual can verify information collected from 
third parties.
    (d) The NCPC shall not Maintain Records describing how an Individual 
exercises rights guaranteed by the First Amendment to the Constitution 
unless the maintenance of the Record is expressly authorized by statute 
or by the Individual about whom the Record is Maintained or pertinent to 
and within the scope of an authorized law enforcement activity.



Sec.603.5  Notice to Individuals supplying information.

    (a) Each Individual asked to supply information about himself/
herself to be added to a System of Records shall be informed by the NCPC 
of the basis for requesting the information, its potential use, and the 
consequences, if any, of not supplying the information. Notice to the 
Individual shall state at a minimum:
    (1) The legal authority for NCPC's solicitation of the information 
and whether disclosure is mandatory or voluntary;
    (2) The principal purpose(s) for which the NCPC intends to use the 
information;
    (3) The potential routine uses of the information by the NCPC as 
published in a Systems of Records Notice; and
    (4) The effects upon the individual, if any, of not providing all or 
any part of the requested Information to the NCPC.
    (b) When NCPC collects information on a standard form, the notice to 
the Individual shall either be provided on the form, on a tear off sheet 
attached to the form, or on a separate form, whichever is deemed the 
most practical by the NCPC.
    (c) NCPC may ask an Individual to acknowledge, in writing, receipt 
of the notice required by this section.

[[Page 129]]



Sec.603.6  System of Records Notice or SORN.

    (a) The NCPC shall publish a notice in the Federal Register 
describing each System of Records 40-days prior to the establishment of 
a new or revision to an existing System of Records.
    (b) The SORN shall include:
    (1) The name and location of the System of Records. The name shall 
identify the general purpose, and the location shall include whether the 
system is located on the NCPC's main server or central files. The 
physical address of either shall also be included.
    (2) The categories or types of Individuals on whom NCPC Maintains 
Records in the System of Records;
    (3) The categories or types of Records in the System;
    (4) The statutory or Executive Order authority for Maintenance of 
the System;
    (5) The purpose(s) or explanation of why the NCPC collects the 
particular Records including identification of all internal and routine 
uses;
    (6) The policies and practices of the NCPC regarding storage, 
retrieval, access controls, retention and disposal of Records;
    (7) The title and business address of the agency official 
responsible for the identified System of Records;
    (8) The NCPC procedures for notification to an Individual who 
requests if a System of Records contains a Record about the Individual; 
and
    (9) The NCPC sources of Records in the System.



Sec.603.7  Procedures to safeguard Records.

    (a) The NCPC shall implement the procedures set forth in this 
section to insure sufficient administrative, technical and physical 
safeguards exist to protect the security and confidentiality of Records. 
The enumerated procedures shall also protect against any anticipated 
threats or hazards to the security of Records with the potential to 
cause substantial harm, embarrassment, inconvenience, or unfairness to 
any Individual on whom information is Maintained.
    (b) Manual Records subject to the Privacy Act shall be maintained by 
the NCPC in a manner commensurate with the sensitivity of the 
information contained in the Records. The following minimum safeguards 
or safeguards affording comparable protection shall apply to manual 
Systems of Records:
    (1) The NCPC shall post areas where Records are maintained or 
regularly used with an appropriate warning sign stating access to the 
Records shall be limited to authorized persons. The warning shall also 
advise that the Privacy Act prescribes criminal penalties for 
unauthorized disclosure of Records subject to the Act.
    (2) During work hours, the NCPC shall protect areas in which Records 
are Maintained or regularly used by restricting occupancy of the area to 
authorized persons or storing the Records in a locked container and 
room.
    (3) During non-working hours, access to Records shall be restricted 
by their storage in a locked storage container and room.
    (4) Any lock used to secure a room where Records are stored shall 
not be capable of being disengaged with a master key that opens rooms 
other than those in which Records are stored.
    (c) Computerized Records subject to the Privacy Act shall be 
maintained, at a minimum, subject to the safeguards recommended by the 
National Institute of Standards and Technology (NIST) Special 
Publications 800-53, Recommended Security Controls for Federal 
Information Systems and Organizations as revised from time to time or 
any superseding guidance offered by NIST or other federal agency charged 
with the responsibility for providing recommended safeguards for 
computerized Records subject to the Privacy Act.
    (d) NCPC shall maintain a System of Records comprised of Office of 
Personnel Management (OPM) personnel Records in accordance with 
standards prescribed by OPM and published at 5 CFR 293.106-293.107.



Sec.603.8  Employee conduct.

    (a) Employees with duties requiring access to and handling of 
Records shall, at all times, take care to protect the integrity, 
security, and confidentiality of the Records.
    (b) No employee of the NCPC shall disclose Records unless disclosure 
is

[[Page 130]]

permitted by Sec.603.10(b), by part 602 of this chapter, or disclosed 
to the Individual to whom the Record pertains.
    (c) No employee of the NCPC shall alter or destroy a Record unless 
such Record or destruction is undertaken in the course of the employee's 
regular duties or such alteration or destruction is allowed pursuant to 
regulations published by the National Archives and Records 
Administration (NARA) or required by a court of competent jurisdiction. 
Records shall not be destroyed or disposed of while they are the subject 
of a pending request, appeal or lawsuit under the Privacy Act.



Sec.603.9  Government contracts.

    (a) When a contract provides for third party operation of a SOR on 
behalf of the NCPC to accomplish a NCPC function, the contract shall 
require that the requirements of the Privacy Act and the rules in this 
part be applied to such System.
    (b) The Division Director responsible for the contract shall 
designate a NCPC employee to oversee and manage the SOR operated by the 
contractor.



Sec.603.10  Conditions for disclosure.

    (a) Except as set forth in paragraph (b) of this section, no Record 
contained in a SOR shall be disclosed by any means of communication to 
any person, or to another agency, unless prior written consent is 
obtained from the Individual to whom the Record pertains.
    (b) The limitations on disclosure contained in paragraph (a) of this 
section shall not apply when disclosure of a Record is:
    (1) To employees of the NCPC for use in the performance of their 
duties;
    (2) Required by the Freedom of Information Act (FOIA), 5 U.S.C. 555;
    (3) For a Routine Use as described in a SORN;
    (4) To the Bureau of Census for statistical purposes, provided that 
the Record must be transferred in a form that precludes individual 
identification;
    (5) To an Individual who provides NCPC adequate written assurance 
that the Record shall be used solely for statistical or research 
purposes, provided that the Record must be transferred in a form that 
precludes Individual identification;
    (6) To the NARA because the Record warrants permanent retention 
because of historical or other national value as determined by NARA or 
to permit NARA to determine whether the Record has such value;
    (7) To a law enforcement agency for a civil or criminal law 
enforcement activity, provided that the law enforcement agency must 
submit a written request to the NCPC specifying the Record(s) sought and 
the purpose for which they will be used;
    (8) To any person upon demonstration of compelling information that 
an Individual's health or safety is at stake and provided that upon 
disclosure, notification is given to the Individual to whom the Record 
pertains at that Individual's last known address;
    (9) To either House of Congress, and any committee or subcommittee 
thereof, to include joint committees of both houses and any 
subcommittees thereof, when a Record falls within their jurisdiction;
    (10) To the Comptroller General, or any of his authorized 
representatives, to allow the Government Accountability Office to 
perform its duties;
    (11) Pursuant to a court order by a court of competent jurisdiction; 
and
    (12) To a consumer reporting agency trying to collect a claim of the 
government as authorized by 31 U.S.C. 3711(e).



Sec.603.11  Accounting of disclosures.

    (a) Except for disclosures made under Sec. Sec.603.10(b)(1)-(2), 
when a Record is disclosed to any person, or to another agency, NCPC 
shall prepare an accounting of the disclosure. The accounting shall 
Record the date, nature, and purpose of the disclosure and the name and 
address of the person or agency to whom the disclosure was made. The 
NCPC shall maintain all accountings for a minimum of five years or the 
life of the Record, whichever is greatest, after the disclosure is made.
    (b) Except for disclosures under Sec.603.10(b)(7), accountings of 
all disclosures shall be made available to the Individual about whom the 
disclosed Records pertains at his/her request. Such request shall be 
made in accordance with the requirements of Sec.603.15.

[[Page 131]]

    (c) For any disclosure for which an accounting is made, if a 
subsequent amendment or correction or notation of dispute is made to a 
Record by the NCPC in accordance with the requirements of Sec.603.14, 
the Individual and/or agency to whom the Record was originally disclosed 
shall be informed.



Sec.603.12  Requests for notification of the existence of Records.

    (a) An Individual seeking to determine whether a System of Records 
contains Records pertaining to him/her shall do so by appearing in 
person at NCPC's official place of business or by written correspondence 
to the NCPC PAO. In-person requests shall be by appointment only with 
the PAO on a Workday during regular office hours. Written requests sent 
via the U.S. mail shall be directed to the Privacy Act Officer at NCPC's 
official address listed at www.ncpc.gov. If sent via email or facsimile, 
the request shall be directed to the email address or facsimile number 
indicated on the NCPC Web site. To expedite internal handling of Privacy 
Act Requests, the words Privacy Act Request shall appear prominently on 
the envelop or the subject line of an email or facsimile cover sheet.
    (b) The Request shall state that the Individual is seeking 
information concerning the existence of Records about himself/herself 
and shall supply information describing the System where such Records 
might be maintained as set forth in a System of Record Notice.
    (c) The NCPC PAO shall notify the Requester in writing within 20 
Workdays of the Request whether a System contains Records pertaining to 
him/her unless the Records were compiled in reasonable anticipation of a 
civil action or proceeding or the Records are NCPC employee Records 
under the jurisdiction of the OPM. In both of the later cases the 
Request shall be denied. If the Request is denied because the Record(s) 
is/are under the jurisdiction of the OPM, the response shall advise the 
Requester to contact OPM. If the PAO denies the Request, the response 
shall state the reason for the denial and advise the Requester of the 
right to appeal the decision within 60 days of the date of the letter 
denying the request in accordance with the requirements set forth in 
Sec.603.16.



Sec.603.13  Requests for access to Records.

    (a) An Individual seeking access to Records about himself/herself 
shall do so by appearing in person at NCPC's official place of business 
or by written correspondence to the NCPC Privacy Act Officer. In-person 
requests shall be by appointment only with the Privacy Act Officer on a 
Workday during regular office hours. For written requests sent via the 
U.S. mail, the Request shall be directed to the Privacy Act Officer at 
NCPC's official address listed at www.ncpc.gov. If sent via email or 
facsimile, the request shall be directed to the email address or 
facsimile number indicated on the NCPC Web site. To expedite internal 
handling of Privacy Act Requests, the words Privacy Act Request shall 
appear prominently on the envelop or the subject line of an email or 
facsimile cover sheet.
    (b) The Request shall:
    (1) State the Request is made pursuant to the Privacy Act;
    (2) Describe the requested Records in sufficient detail to enable 
their location including, without limitation, the dates the Records were 
compiled and the name or identifying number of each System of Record in 
which they are kept as identified in the list of NCPC's SORNs published 
on its Web site; and
    (3) State pursuant to the fee schedule in set forth in Sec.603.17 
a willingness to pay all fees associated with the Privacy Act Request or 
the maximum fee the Requester is willing to pay.
    (c) The NCPC shall require identification as follows before 
releasing Records to an Individual:
    (1) An Individual Requesting Privacy Act Records in person shall 
present a valid, photographic form of identification such as a driver's 
license, employee identification card, or passport that renders it 
possible for the PAO to verify that the Individual is the same 
Individual as contained in the requested Records.
    (2) An Individual Requesting Privacy Act Records by mail shall state 
their full name, address and date of birth in their correspondence. The 
Request must be signed and the signature must

[[Page 132]]

either be notarized or submitted with a statement signed and dated as 
follows: I declare under penalty of perjury that the foregoing facts 
establishing my identification are true and correct.
    (d) The PAO shall determine within 20 Workdays whether to grant or 
deny an Individual's Request for Access to the requested Record(s) and 
notify the Individual in writing accordingly. The PAO's response shall 
state his/her determination and the reasons therefor. If the Request is 
denied because the Record(s) is/are under the jurisdiction of the OPM, 
the response shall advise the Requester to contact OPM. In the case of 
an Adverse Determination, the written notification shall advise the 
Individual of his/her right to appeal the Adverse Determination in 
accordance with the requirements of Sec.603.16.



Sec.603.14  Requests for Amendment or Correction of Records.

    (a) An Individual seeking to amend or correct a Record pertaining to 
him/her that he/she believes to be inaccurate, irrelevant, untimely or 
incomplete shall submit a written request to the PAO at the address 
listed on NCPC's official Web site www.ncpc.gov. If sent via email or 
facsimile, the Request shall be directed to the email address or 
facsimile number indicated on the NCPC Web site. To expedite internal 
handling, the words Privacy Act Request shall appear prominently on the 
envelop or the subject line of an email or facsimile cover sheet.
    (b) The Request shall:
    (1) State the Request is made pursuant to the Privacy Act;
    (2) Describe the requested Record in sufficient detail to enable its 
location including, without limitation, the dates the Records was 
compiled and the name or identifying number of the System of Record in 
which the Record is kept as identified in the list of NCPC's SORNs 
published on its Web site;
    (3) State in detail the reasons why the Record, or objectionable 
portion(s) thereof, is/are not accurate, relevant, timely or complete.
    (4) Include copies of documents or evidence relied upon in support 
of the Request for Amendment or Correction; and
    (5) State specifically, and in detail, the changes sought to the 
Record, and if the changes include rewriting the Record, or portions 
thereof, or adding new language, the Individual shall propose specific 
language to implement the requested changes.
    (c) A request to Amend or Correct a Record shall be submitted only 
if the Requester has previously requested and been granted access to the 
Record and has inspected or been given a copy of the Record.
    (d) The PAO shall render a decision within 20 Workdays. If the 
Request for an Amendment or Correction fails to meet the requirements of 
paragraphs (b)(1)-(5) of this section, the PAO shall advise the 
Individual of the deficiency and advise what additional information is 
required to act upon the Request. The timeframe for a decision on the 
Request shall be tolled (stopped) during the pendency of a request for 
additional information and shall resume when the additional information 
is received. If the Requester fails to submit the requested additional 
information within a reasonable time, the PAO shall reject the Request.
    (e) The PAO's decision on a Request for Amendment or Correction 
shall be in writing and state the basis for the decision. If the Request 
is denied because the Record(s) is/are under the jurisdiction of the 
OPM, the response shall advise the Requester to contact OPM. In the 
event of an Adverse Determination, the written notification shall advise 
the Individual of his/her right to appeal the Adverse Determination in 
accordance with the requirements of Sec.603.16.
    (f) If the PAO approves the Request for Amendment or Correction, the 
PAO shall ensure that subject Record is amended or corrected, in whole 
or in part. If the PAO denies the Request for Amendment or Correction, a 
notation of dispute shall be noted on the Record. If an accounting of 
disclosure has been made pursuant to Sec.603.11, the PAO shall advise 
all previous recipients of the Record that an amendment or correction or 
notation of dispute has been made and, if applicable, the substance of 
the change.

[[Page 133]]



Sec.603.15  Requests for Accounting of Record disclosures.

    (a) An Individual seeking information regarding an accounting of 
disclosure of a Record pertaining to him/her made in accordance with 
Sec.603.11 shall submit a written request to the PAO at the address 
listed on NCPC's official Web site www.ncpc.gov. If sent via email or 
facsimile, the Request shall be directed to the email address or 
facsimile number indicated on the NCPC Web site. To expedite internal 
handling, the words Privacy Act Request shall appear prominently on the 
envelop or the subject line of an email or facsimile cover sheet.
    (b) The Request shall:
    (1) State the Request is made pursuant to the Privacy Act; and
    (2) Describe the requested Record in sufficient detail to determine 
whether it is or is not contained in an accounting of disclosure.
    (c) The NCPC PAO shall notify the Requester in writing within 20 
Workdays of the Request and advise if the Record was included in an 
accounting of disclosure. In the event of a disclosure, the response 
shall include the date, nature, and purpose of the disclosure and the 
name and address of the person or agency to whom the disclosure was 
made. If the Request is denied because the Record(s) is/are under the 
jurisdiction of the OPM, the response shall advise the Requester to 
contact OPM. In the event of an Adverse Determination, the written 
notification shall advise the Individual of his/her right to appeal the 
Adverse Determination in accordance with the requirements of Sec.
603.16.



Sec.603.16  Appeals of Adverse Determinations.

    (a) Except for appeals pursuant to paragraph (d) of this section, an 
appeal of an Adverse Determination shall be made in writing addressed to 
the Chairman (Chairman) of the National Capital Planning Commission at 
the address listed on NCPC's official Web site www.ncpc.gov. If sent via 
email or facsimile, the Request shall be directed to the email address 
or facsimile number indicated on the NCPC Web site. To expedite internal 
handling, the words Privacy Act Request shall appear prominently on the 
envelop or the subject line of an email or facsimile cover sheet. An 
appeal of an Adverse Determination shall be made within 30 Workdays of 
the date of the decision.
    (b) An appeal of an Adverse Determination shall include a statement 
of the legal, factual or other basis for the Requester's objection to an 
Adverse Determination; a daytime phone number or email where the 
Requester can be reached if the Chairman requires additional information 
or clarification regarding the appeal; copies of the initial request and 
the PAO's written response; and for an Adverse Determination regarding a 
fee waiver, a demonstration of compliance with part 602 of this chapter.
    (c) The Chairman shall respond to an appeal of an Adverse 
Determination in writing within 20 Workdays of receipt of the appeal. If 
the Chairman grants the appeal, the Chairman shall notify the Requester, 
and the NCPC shall take prompt action to respond affirmatively to the 
original Request upon receipt of any fees that may be required. If the 
Chairman denies the appeal, the letter shall state the reason(s) for the 
denial, a statement that the decision is final, and advise the Requester 
of the right to seek judicial review of the denial in the District Court 
of the United States in either the district in which the Requester 
resides, the district in which the Requester has his/her principal place 
of business or the District of Columbia.
    (d) The appeal of an Adverse Determination based on OPM jurisdiction 
of the Records shall be made to OPM pursuant to 5 CFR 297.306.
    (e) The NCPC shall not act on an appeal of an Adverse Determination 
if the underlying Request becomes the subject of litigation.
    (f) A party seeking court review of an Adverse Determination must 
first appeal the Adverse Determination under this section.



Sec.603.17  Fees.

    (a) The NCPC shall charge for the duplication of Records under this 
subpart in accordance with the schedule of fees set forth in part 602 of 
this chapter. The NCPC shall not charge duplication

[[Page 134]]

fees when the Requester asks to inspect the Records personally but is 
provided copies at the discretion of the agency.
    (b) The NCPC shall not charge any fees for the search for or review 
of Records requested by an Individual.



Sec.603.18  Privacy Impact Assessments.

    (a) Consistent with the requirements of the E-Government Act and OMB 
Memorandum M-03-22, the NCPC shall conduct a PIA before:
    (1) Developing or procuring IT systems or projects that collect, 
maintain, or disseminate IIF; or
    (2) Installing a new collection of information that will be 
collected, maintained, or disseminated using IT and includes IIF for 10 
or more persons (excluding agencies, instrumentalities or employees of 
the federal government).
    (b) The PIA shall be prepared through the coordinated effort of the 
NCPC's privacy Officers (SAOP, PAO), Division Directors, CIO, and IT 
staff.
    (c) As a general rule, the level of detail and content of a PIA 
shall be commensurate with the nature of the information to be collected 
and the size and complexity of the IT system involved. Specifically, a 
PIA shall analyze and describe:
    (1) The information to be collected;
    (2) The reason the information is being collected;
    (3) The intended use for the information;
    (4) The identity of those with whom the information will be shared;
    (5) The opportunities Individuals have to decline to provide the 
information or to consent to particular uses and how to consent;
    (6) The manner in which the information will be secured; and
    (7) The extent to which the system of records is being created under 
the Privacy Act.
    (d) In addition to the information specified in paragraphs (b)(1)-
(7) of this section, the PIA must also identify the choices NCPC made 
regarding an IT system or collection of information as result of 
preparing the PIA.
    (e) The CCB shall verify that a PIA has been prepared prior to 
approving a request to develop or procure information technology that 
collects, maintains, or disseminates Information in Identifiable Form.
    (f) The SAOP shall approve and sign the NCPC's PIA. If the SAOP is 
the Contracting Officer for the IT system that necessitated preparation 
of the PIA, the Executive Director shall approve and sign the PIA.
    (g) Following approval of the PIA, the NCPC shall post the PIA 
document on the NCPC Web site located at www.ncpc.gov.

[[Page 135]]



                              FINDING AIDS




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

  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical list of agencies publishing in the CFR are included in 
the CFR Index and Finding Aids volume to the Code of Federal Regulations 
which is published separately and revised annually.

  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected
  

[[Page 137]]



                    Table of CFR Titles and Chapters




                     (Revised as of January 1, 2019)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
       III  Administrative Conference of the United States (Parts 
                300--399)
        IV  Miscellaneous Agencies (Parts 400--599)
        VI  National Capital Planning Commission (Parts 600--699)

                    Title 2--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 2--199)
        II  Office of Management and Budget Guidance (Parts 200--
                299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300--
                399)
        IV  Department of Agriculture (Parts 400--499)
        VI  Department of State (Parts 600--699)
       VII  Agency for International Development (Parts 700--799)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
         X  Department of the Treasury (Parts 1000--1099)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
      XIII  Department of Commerce (Parts 1300--1399)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1800--1899)
        XX  United States Nuclear Regulatory Commission (Parts 
                2000--2099)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Department of Housing and Urban Development (Parts 
                2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)

[[Page 138]]

     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)
      XXIX  Department of Labor (Parts 2900--2999)
       XXX  Department of Homeland Security (Parts 3000--3099)
      XXXI  Institute of Museum and Library Services (Parts 3100--
                3199)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)
     XXXIV  Department of Education (Parts 3400--3499)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
     XXXVI  Office of National Drug Control Policy, Executive 
                Office of the President (Parts 3600--3699)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)
       LIX  Gulf Coast Ecosystem Restoration Council (Parts 5900--
                5999)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--199)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
        IV  Office of Personnel Management and Office of the 
                Director of National Intelligence (Parts 1400--
                1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Parts 2100--2199)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)
      XXVI  Department of Defense (Parts 3600--3699)

[[Page 139]]

    XXVIII  Department of Justice (Parts 3800--3899)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Parts 4300--
                4399)
     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
     XXXVI  Department of Homeland Security (Parts 4600--4699)
    XXXVII  Federal Election Commission (Parts 4700--4799)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)
       XLV  Department of Health and Human Services (Parts 5500--
                5599)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
      XLIX  Federal Labor Relations Authority (Parts 5900--5999)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
       LXX  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 8000--8099)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
    LXXIII  Department of Agriculture (Parts 8300--8399)

[[Page 140]]

     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)
     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
      LXXX  Federal Housing Finance Agency (Parts 9000--9099)
   LXXXIII  Special Inspector General for Afghanistan 
                Reconstruction (Parts 9300--9399)
    LXXXIV  Bureau of Consumer Financial Protection (Parts 9400--
                9499)
    LXXXVI  National Credit Union Administration (Parts 9600--
                9699)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
    XCVIII  Council of the Inspectors General on Integrity and 
                Efficiency (Parts 9800--9899)
      XCIX  Military Compensation and Retirement Modernization 
                Commission (Parts 9900--9999)
         C  National Council on Disability (Parts 10000--10049)
        CI  National Mediation Board (Part 10101)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--199)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)

[[Page 141]]

        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)
       XXV  Office of Advocacy and Outreach, Department of 
                Agriculture (Parts 2500--2599)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy Policy and New Uses, Department of 
                Agriculture (Parts 2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  National Institute of Food and Agriculture (Parts 
                3400--3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

[[Page 142]]

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--499)
         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1399)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Department of 
                Agriculture (Parts 300--599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
      XIII  Nuclear Waste Technical Review Board (Parts 1300--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)
        II  Election Assistance Commission (Parts 9400--9499)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  (Parts 500--599) [Reserved]
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
         X  Bureau of Consumer Financial Protection (Parts 1000--
                1099)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)
      XIII  Financial Stability Oversight Council (Parts 1300--
                1399)

[[Page 143]]

       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research (Parts 1600--1699)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700--1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--1199)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Industry and Security, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  National Technical Information Service, Department of 
                Commerce (Parts 1100--1199)

[[Page 144]]

      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399) [Reserved]

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  U.S. Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  U.S. Immigration and Customs Enforcement, Department 
                of Homeland Security (Parts 400--599) [Reserved]

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)

[[Page 145]]

        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 
                800--899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board (Parts 900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Millennium Challenge Corporation (Parts 1300--1399)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)

[[Page 146]]

        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XV  Emergency Mortgage Insurance and Loan Programs, 
                Department of Housing and Urban Development (Parts 
                2700--2799) [Reserved]
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099) [Reserved]
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

[[Page 147]]

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--899)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900--999)
        VI  Office of the Assistant Secretary, Indian Affairs, 
                Department of the Interior (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Parts 1200--1299)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--End)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--399)
        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--699)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)
      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)
        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)

[[Page 148]]

        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Employee Benefits Security Administration, Department 
                of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Bureau of Safety and Environmental Enforcement, 
                Department of the Interior (Parts 200--299)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
         V  Bureau of Ocean Energy Management, Department of the 
                Interior (Parts 500--599)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)
       XII  Office of Natural Resources Revenue, Department of the 
                Interior (Parts 1200--1299)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)
            Subtitle B--Regulations Relating to Money and Finance
         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 
                200--399)
        IV  Secret Service, Department of the Treasury (Parts 
                400--499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)

[[Page 149]]

      VIII  Office of Investment Security, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)
         X  Financial Crimes Enforcement Network, Department of 
                the Treasury (Parts 1000--1099)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Corps of Engineers, Department of the Army, Department 
                of Defense (Parts 200--399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)

[[Page 150]]

        IV  Office of Career, Technical and Adult Education, 
                Department of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599) 
                [Reserved]
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799) 
                [Reserved]
            Subtitle C--Regulations Relating to Education
        XI  (Parts 1100--1199) [Reserved]
       XII  National Council on Disability (Parts 1200--1299)

                          Title 35 [Reserved]

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
        VI  [Reserved]
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Parts 1500--
                1599)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  U.S. Copyright Office, Library of Congress (Parts 
                200--299)
       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  National Institute of Standards and Technology, 
                Department of Commerce (Parts 400--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

[[Page 151]]

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Regulatory Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--1099)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)
      VIII  Gulf Coast Ecosystem Restoration Council (Parts 1800--
                1899)

          Title 41--Public Contracts and Property Management

            Subtitle A--Federal Procurement Regulations System 
                [Note]
            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 61-1--61-999)
   62--100  [Reserved]
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
  103--104  [Reserved]
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
  129--200  [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)

[[Page 152]]

       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-1--303-99)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
   II--III  [Reserved]
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--699)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1099)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 400--999)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10099)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 400--499)

[[Page 153]]

         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
        IX  Denali Commission (Parts 900--999)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Administration for Children and Families, Department 
                of Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission of Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Parts 2300--2399)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)
        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)
         V  The First Responder Network Authority (Parts 500--599)

[[Page 154]]

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Defense Acquisition Regulations System, Department of 
                Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  Agency for International Development (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management, Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  Broadcasting Board of Governors (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        30  Department of Homeland Security, Homeland Security 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399) 
                [Reserved]
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  Civilian Board of Contract Appeals, General Services 
                Administration (Parts 6100--6199)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

[[Page 155]]

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Pipeline and Hazardous Materials Safety 
                Administration, Department of Transportation 
                (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Motor Carrier Safety Administration, 
                Department of Transportation (Parts 300--399)
        IV  Coast Guard, Department of Homeland Security (Parts 
                400--499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--1499) 
                [Reserved]
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (Parts 
                300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

[[Page 157]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of January 1, 2019)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
Afghanistan Reconstruction, Special Inspector     5, LXXXIII
     General for
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              2, VII; 22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture, Department of                        2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Economic Research Service                       7, XXXVII
  Energy Policy and New Uses, Office of           2, IX; 7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Food and Nutrition Service                      7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  National Institute of Food and Agriculture      7, XXXIV
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force, Department of                          32, VII
  Federal Acquisition Regulation Supplement       48, 53
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII
Animal and Plant Health Inspection Service        7, III; 9, I

[[Page 158]]

Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Army, Department of                               32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase from People Who Are
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Career, Technical, and Adult Education, Office    34, IV
     of
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazardous Investigation       40, VI
     Board
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X, XIII
Civil Rights, Commission on                       5, LXVIII; 45, VII
Civil Rights, Office for                          34, I
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
Court Services and Offender Supervision Agency    5, LXX
     for the District of Columbia
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce, Department of                           2, XIII; 44, IV; 50, VI
  Census Bureau                                   15, I
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II; 37, IV
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Technical Information Service          15, XI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Secretary of Commerce, Office of                15, Subtitle A
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Financial Protection Bureau              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, II
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    5, LXX; 28, VIII
     for the District of Columbia
Customs and Border Protection                     19, I
Defense Contract Audit Agency                     32, I
Defense, Department of                            2, XI; 5, XXVI; 32, 
                                                  Subtitle A; 40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII

[[Page 159]]

  Army Department                                 32, V; 33, II; 36, III; 
                                                  48, 51
  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
Denali Commission                                 45, IX
Disability, National Council on                   5, C; 34, XII
District of Columbia, Court Services and          5, LXX; 28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          2, XXXIV; 5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Career, Technical, and Adult Education, Office  34, IV
       of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
Educational Research and Improvement, Office of   34, VII
Election Assistance Commission                    2, LVIII; 11, II
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employee Benefits Security Administration         29, XXV
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Policy, National Commission for        1, IV
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             2, IX; 5, XXIII; 10, II, 
                                                  III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Environmental Protection Agency                   2, XV; 5, LIV; 40, I, IV, 
                                                  VII
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                2, Subtitle A; 5, III, 
                                                  LXXVII; 14, VI; 48, 99
  National Drug Control Policy, Office of         2, XXXVI; 21, III
  National Security Council                       32, XXI; 47, 2

[[Page 160]]

  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export-Import Bank of the United States           2, XXXV; 5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       5, XXXVII; 11, I
Federal Emergency Management Agency               44, I
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Agency                    5, LXXX; 12, XII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority                 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Financial Crimes Enforcement Network              31, X
Financial Research Office                         12, XVI
Financial Stability Oversight Council             12, XIII
Fine Arts, Commission of                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Food and Drug Administration                      21, I
Food and Nutrition Service                        7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Services Administration                   5, LVII; 41, 105

[[Page 161]]

  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Accountability Office                  4, I
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Gulf Coast Ecosystem Restoration Council          2, LIX; 40, VIII
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          2, III; 5, XLV; 45, 
                                                  Subtitle A
  Centers for Medicare & Medicaid Services        42, IV
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X, XIII
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  2, XXX; 5, XXXVI; 6, I; 8, 
                                                  I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing and Urban Development, Department of      2, XXIV; 5, LXV; 24, 
                                                  Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Immigration and Customs Enforcement Bureau        19, IV
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Independent Counsel, Offices of                   28, VI
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
   Secretary
[[Page 162]]

Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Industry and Security, Bureau of                  15, VII
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII, XV
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior, Department of                           2, XIV
  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Ocean Energy Management, Bureau of              30, V
  Reclamation, Bureau of                          43, I
  Safety and Enforcement Bureau, Bureau of        30, II
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
Investment Security, Office of                    31, VIII
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice, Department of                            2, XXVIII; 5, XXVIII; 28, 
                                                  I, XI; 40, IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration Review, Executive Office for        8, V
  Independent Counsel, Offices of                 28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor, Department of                              2, XXIX; 5, XLII
  Employee Benefits Security Administration       29, XXV
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
     of
[[Page 163]]

  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I, VII
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Libraries and Information Science, National       45, XVII
     Commission on
Library of Congress                               36, VII
  Copyright Royalty Board                         37, III
  U.S. Copyright Office                           37, II
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Military Compensation and Retirement              5, XCIX
     Modernization Commission
Millennium Challenge Corporation                  22, XIII
Mine Safety and Health Administration             30, I
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
Museum and Library Services, Institute of         2, XXXI
National Aeronautics and Space Administration     2, XVIII; 5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National and Community Service, Corporation for   2, XXII; 45, XII, XXV
National Archives and Records Administration      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Capital Planning Commission              1, IV, VI
National Counterintelligence Center               32, XVIII
National Credit Union Administration              5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           2, XXXVI; 21, III
National Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
National Foundation on the Arts and the           45, XI
     Humanities
National Geospatial-Intelligence Agency           32, I
National Highway Traffic Safety Administration    23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II; 37, IV
National Intelligence, Office of Director of      5, IV; 32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          5, CI; 29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       2, XXV; 5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI

[[Page 164]]

National Security Council and Office of Science   47, II
     and Technology Policy
National Technical Information Service            15, XI
National Telecommunications and Information       15, XXIII; 47, III, IV, V
     Administration
National Transportation Safety Board              49, VIII
Natural Resources Conservation Service            7, VI
Natural Resource Revenue, Office of               30, XII
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy, Department of                               32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     2, XX; 5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Ocean Energy Management, Bureau of                30, V
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Patent and Trademark Office, United States        37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 5, IV; 45, 
                                                  VIII
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Pipeline and Hazardous Materials Safety           49, I
     Administration
Postal Regulatory Commission                      5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Privacy and Civil Liberties Oversight Board       6, X
Procurement and Property Management, Office of    7, XXXII
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Safety and Environmental Enforcement, Bureau of   30, II
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                5, XXXIV; 17, II

[[Page 165]]

Selective Service System                          32, XVI
Small Business Administration                     2, XXVII; 13, I
Smithsonian Institution                           36, V
Social Security Administration                    2, XXIII; 20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State, Department of                              2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Tennessee Valley Authority                        5, LXIX; 18, XIII
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     2, XII; 5, L
  Commercial Space Transportation                 14, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 47, IV; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury, Department of the                       2, X;5, XXI; 12, XV; 17, 
                                                  IV; 31, IX
  Alcohol and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs and Border Protection                   19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Claims Collection Standards             31, IX
  Federal Law Enforcement Training Center         31, VII
  Financial Crimes Enforcement Network            31, X
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  Investment Security, Office of                  31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
U.S. Copyright Office                             37, II
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs, Department of                   2, VIII; 38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I, VII
World Agricultural Outlook Board                  7, XXXVIII

[[Page 167]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations (CFR) that 
were made by documents published in the Federal Register since January 
1, 2014 are enumerated in the following list. Entries indicate the 
nature of the changes effected. Page numbers refer to Federal Register 
pages. The user should consult the entries for chapters, parts and 
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the 
annual edition of the monthly List of CFR Sections Affected (LSA). The 
LSA is available at www.govinfo.gov. For changes to this volume of the 
CFR prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 
1964-1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. 
The ``List of CFR Sections Affected 1986-2000'' is available at 
www.govinfo.gov.

                                  2014

1 CFR
                                                                   79 FR
                                                                    Page
Chapter I
51.3 Revised; eff. 1-6-15..........................................66278
51.5 Revised; eff. 1-6-15..........................................66278
51.7 (a) revised; eff. 1-6-15......................................66278
51.9 (a) and (c) revised; eff. 1-6-15..............................66278
Chapter IV
456 Revised........................................................10952

                                2015	2016

                       (No regulations published)

                                  2017

1 CFR
                                                                   82 FR
                                                                    Page
Chapter III
304.1 Revised.......................................................7632
304.2 Revised.......................................................7632
304.3 Revised.......................................................7632
304.5 (b) and (c)(1) revised........................................7632
304.6 Revised.......................................................7633
304.8 Revised.......................................................7633
304.9 (a), (d)(6), (e), (i)(3) and (k) revised......................7633
304.10 (a) revised..................................................7635
Chapter IV
455 Removed........................................................44046
456 Removed........................................................44037
Chapter VI
Chapter VI Established.............................................44037
601 Added..........................................................45424
    Corrected......................................................48609
602 Added..........................................................44037
602.14 Heading and (a) correctly amended...........................44879
602.15 Correctly amended...........................................44879
603 Added..........................................................44046
603.3 (c)(3)(vii) correctly redesignated as (c)(3)(vi).............44879
    (c)(1)(vii) corrected..........................................48609

                                  2018

1 CFR
                                                                   83 FR
                                                                    Page
Chapter I
426 Added; interim.................................................19409
426.201--426.211 (Subpart B) Added; interim........................19415


                                  [all]