[Federal Register Volume 68, Number 17 (Monday, January 27, 2003)]
[Rules and Regulations]
[Pages 4056-4069]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-1996]



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Part VIII





Department of Homeland Security





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6 CFR Chapter I and Part 5



Freedom of Information Act and Privacy Act Procedures; Interim Final 
Rule

6 CFR Part 5



Production or Disclosure of Official Information in Connection With 
Legal Proceedings; Interim Final Rule

6 CFR Part 7



Classified National Security Information; Interim Final Rule

  Federal Register / Vol. 68, No. 17 / Monday, January 27, 2003 / Rules 
and Regulations  

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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

6 CFR Chapter I and Part 5


Freedom of Information Act and Privacy Act Procedures

AGENCY: Office of the Secretary, Homeland Security.

ACTION: Interim final rule.

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SUMMARY: This interim final rule establishes procedures for the public 
to obtain information from the Office of the Secretary, Department of 
Homeland Security, under the Freedom of Information Act and the Privacy 
Act.

DATES: This interim final rule is effective January 27, 2003. Written 
comments may be submitted by February 26, 2003.

ADDRESSES: Submit written comments (preferably an original and three 
copies) to Associate General Counsel (General Law), Department of 
Homeland Security, Washington, DC 20528.

FOR FURTHER INFORMATION CONTACT: D.E. Ogden, (202) 612-1951, not a toll 
free call.

SUPPLEMENTARY INFORMATION:

I. Background

    On November 25, 2002, the President signed into law the Homeland 
Security Act (Pub. L. 107-296), which created the new Department of 
Homeland Security (DHS). Pursuant to the provisions of the Act, the new 
Department came into existence on January 24, 2003.
    In order to establish procedures to facilitate public interaction 
with the DHS Office of the Secretary, DHS is issuing an initial series 
of proposed and interim final regulations.

II. The Interim Final Rule

    This interim final rule establishes procedures for the DHS Office 
of the Secretary necessary to implement the Freedom of Information Act 
(5 U.S.C. 552) and the Privacy Act (5 U.S.C. 552a). Except to the 
extent a Department component has adopted separate guidance under FOIA 
or the Privacy Act, the provisions of this subpart shall to apply each 
component of the Department.
    The Freedom of Information Act provides for the full disclosure of 
agency records and information to the public unless that information is 
exempted under clearly delineated statutory language. The Privacy Act 
serves to safeguard public interest in informational privacy by 
delineating the duties and responsibilities of federal agencies that 
collect, store, and disseminate personal information about individuals. 
The procedures established here ensure that the Department of Homeland 
Security fully satisfies its responsibility to the public to disclose 
departmental information while simultaneously safeguarding individual 
privacy.
    The Privacy Act serves to balance the government's need to maintain 
information about individuals with the rights of individuals to be 
protected against unwarranted invasions of their privacy stemming from 
federal agencies' collection, maintenance, use, and disclosure of 
personal information about them. Agencies are required to issue 
regulations outlining the agency's rules and procedures for 
implementation of the Privacy Act and its provisions in the agency. 
This includes procedures on how individuals may request access to 
information about themselves, request amendment or correction of those 
records, and request an accounting of disclosures of their records by 
the Department.

III. Procedural Requirements

    Because the DHS came into existence on January 24, 2003, it is 
necessary to promptly establish procedures to facilitate the 
interaction of the public with the Department. Furthermore, this 
Interim Final Rule generally parallels the procedures currently used by 
other agencies to implement the Freedom of Information Act and the 
Privacy Act. Accordingly the Department has determined that notice and 
public procedure are impracticable, unnecessary and contrary to the 
public interest pursuant to 5 U.S.C. 553(b)(B). For the same reasons, 
the Department has determined that this interim rule should be issued 
without a delayed effective date pursuant to 5 U.S.C. 553 (d)(3).
    Because no notice of proposed rulemaking is required, the 
provisions of the Regulatory Flexibility Act (5 U.S.C. Chapter 6) do 
not apply. It has been determined that this rulemaking is not a 
significant regulatory action for the purposes of Executive Order 
12866. Accordingly, a regulatory impact analysis is not required.

List of Subjects in 6 CFR Part 5

    Classified information, Freedom of information, Privacy.

Authority and Issuance

    For the reasons set forth above, the Department of Homeland 
Security establishes 6 CFR Chapter I in new Title 6--Homeland Security, 
consisting at this time of part 5 to read as set forth below.

    Dated: January 24, 2003.
Tom Ridge,
Secretary of Homeland Security.

Title 6--Homeland Security

CHAPTER I--DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY

PART 5--DISCLOSURE OF RECORDS AND INFORMATION

Subpart A--Freedom of Information Act
Sec.
5.1 General provisions.
5.2 Public reading rooms.
5.3 Requirements for making requests.
5.4 Responsibility for responding to requests.
5.5 Timing of responses to requests.
5.6 Responses to requests.
5.7 Classified information.
5.8 Business information.
5.9 Appeals.
5.10 Preservation of records.
5.11 Fees.
5.12 Other rights and services.
Subpart B--Privacy Act
5.20 General provisions.
5.21 Requests for access to records.
5.22 Responsibility for responding to requests for access to 
records.
5.23 Responses to requests for access to records.
5.24 Classified information.
5.25 Appeals.
5.26 Requests for amendment or correction of records.
5.27 Requests for an accounting of record disclosures.
5.28 Preservation of records.
5.29 Fees.
5.30 Notice of court-ordered and emergency disclosures.
5.31 Security of systems of records.
5.32 Contracts for the operation of record systems.
5.33 Use and collection of social security numbers.
5.34 Standards of conduct for administration of the Privacy Act.
5.35 Sanctions and penalties.
5.36 Other rights and services.

Appendix A to Part 5--FOIA/Privacy Act Offices of the Department of 
Homeland Security

Appendix B to Part 5--Public Reading Rooms of the Department of 
Homeland Security

    Authority: Pub. L. 107-296, 116 Stat. 2135; (6 U.S.C. 101 et 
seq.); 5 U.S.C. 301. Subpart A also issued under 5 U.S.C. 552. 
Subpart B also issued under 5 U.S.C. 552a.

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Subpart A--Freedom of Information Act


Sec.  5.1  General provisions.

    (a)(1) This subpart A contains the rules that the Department of 
Homeland Security (Department) follows in processing requests for 
records under the Freedom of Information Act (FOIA) (5 U.S.C. 552). 
These rules should be read together with the FOIA, which provides 
additional information about access to records maintained by the 
Department. Requests made by individuals for records about themselves 
under the Privacy Act of 1974 (5 U.S.C. 552a), which are processed 
under subpart B of this part, are processed under this subpart also. 
Information routinely provided to the public as part of a regular 
Department activity (for example, press releases issued by the 
Assistant Secretary for Public Affairs may be provided to the public 
without following this subpart).
    (2) The provisions established by this subpart shall apply to all 
Department components that are transferred to the Department. Except to 
the extent a Department component has adopted separate guidance under 
FOIA, the provisions of this subpart shall apply to each component of 
the Department. Departmental components may issue their own guidance 
under this subpart pursuant to approval by the Department.
    (b) As used in this subpart, component means each separate bureau, 
office, board, division, commission, service, or administration of the 
Department.


Sec.  5.2  Public reading rooms.

    (a) Records that are required to be maintained by the Department in 
a public reading room will be made available electronically at 
www.dhs.gov/foia. Each Department component will be responsible for 
determining which of the records it generates are required to be made 
available and to make those records available either in its own reading 
room or in the Department's central reading room. Each component shall 
maintain and make available for public inspection and copying a current 
subject-matter index of its reading room records. Each index shall be 
updated regularly, at least quarterly, with respect to newly included 
records.
    (b) The Department components maintain public reading rooms or 
areas at the locations listed below:
    (1) Animal and Plant Health Inspection Service Library, 4700 River 
Road, Riverdale, MD 20737-1232;
    (2) Plum Island Animal Disease Center, the APHIS address above or, 
USDA-ARS, 5601 Sunnyside Avenue, Building 1, Room 2248, Beltsville, MD 
20705-5128;
    (3) Critical Infrastructure Assurance Office (A former office of 
the Bureau of Industry and Security) does not maintain a conventional 
public reading room. Records that are required to be in the public 
reading room are available electronically at http://www.bis.doc.gov/FOIA/Default.htm;
    (4) FIRESTAT (formerly the Integrated Hazard Information System of 
the National Oceanic and Atmospheric Administration), NOAA Public 
Reference Facility, 1305 East-West Highway (SSMC4), Room 8627, Silver 
Spring, MD 20910;
    (5) National Communication Service (a former component of the 
Defense Information Systems Agency) does not maintain a conventional 
public reading room. Records that are required to be in the public 
reading room are available electronically at http://disa.mil/gc/foia/foia.html;
    (6) The address for each component and program listed below is: 
U.S. Department of Energy; 1000 Independence Avenue, SW., Washington, 
DC 20585:
    (i) Energy Assurance Office;
    (ii) Environmental Measurements Laboratory;
    (iii) Nuclear Incident Response Team;
    (iv) The chemical and biological national security and supporting 
programs and activities of the non-proliferation and verification 
research and development program;
    (v) The life sciences activities related to microbial pathogens of 
Biological and Environmental Research Program;
    (vi) The nuclear smuggling programs and activities within the 
proliferation detection program of the non-proliferation and 
verification research and development program;
    (vii) The nuclear assessment program and activities of the 
assessment, detection, and cooperation program of the international 
materials protection and cooperation program, and the advanced 
scientific computing research program and activities at Lawrence 
Livermore National Laboratory; and
    (viii) The National Infrastructure Simulation and Analysis Center;
    (7) The address for each component and program listed below is: 
Freedom of Information Act Officer at: Department of Health and Human 
Services, Freedom of Information Officer, Room 645-F, Hubert H. 
Humphrey Building, Independence Avenue, SW., Washington, DC 20201:
    (i) Metropolitan Medical Response System;
    (ii) National Disaster Medical System;
    (8) Office of Emergency Preparedness please contact the Strategic 
National Stockpile Centers for Disease Control and Agency for Toxic 
Substances and Disease Registry, 1600 Clifton Road, NE., Room 4103, 
Building 1, Atlanta, GA 30333;
    (9) Immigration and Naturalization Service, 111 Massachusetts 
Avenue, NW., 2nd Floor, ULLICO Building, Washington, DC 20536;
    (10) For the National Infrastructure Protection Center, the 
National Domestic Preparedness Office, and the Domestic Emergency 
Support Team: Federal Bureau of Investigation, 935 Pennsylvania Avenue, 
NW., Department of Justice, Washington, DC 20535-0001;
    (11) Office of Domestic Preparedness, U.S. Department of Justice, 
Office of Justice Programs, 810 7th Street, NW., Room 5430, Washington, 
DC 20531;
    (12) Visa Office, Department of State, 2201 C Street, NW., 
Washington, DC 20520;
    (13) Federal Aviation Administration, 800 Independence Avenue, SW., 
Washington, DC 20591;
    (14) Transportation Security Administration, 400 Seventh Street, 
SW., Washington, DC 20590;
    (15) United States Coast Guard Headquarters, 2100 Second Street, 
SW., Washington, DC 20593-0001 (for district offices, consult your 
phone book);
    (16) The Federal Law Enforcement Training Center does not maintain 
a conventional public reading room. Records that are required to be in 
the public reading room are available electronically at http://www.fletc.gov/irm/foia/readingroom.htm;
    (17) U.S. Customs Service, Freedom of Information Request, 1300 
Pennsylvania Avenue, NW., Mint Annex, Washington, DC 20229-0001 (for a 
list of field office reading room locations please consult 19 CFR 
103.1);
    (18) U.S. Secret Service, Main Treasury, Freedom of Information 
Request, 950 H Street, NW., Suite 3000, Washington, DC;
    (19) Federal Emergency Management Agency, Federal Center Plaza, 500 
C Street, SW., Room 840, Washington, DC 20472 (for regional offices, 
consult your phone book);
    (20) For the Federal Computer Incident Response Center and the 
Federal Protective Service: Central Office, GSA Headquarters, 1800 F 
Street, NW (CAI), Washington, DC 20405 (for regional offices, consult 
the phone book);
    (c) Components shall also make reading room records created by the 
Department on or after November 1, 1996, available electronically via 
the component web-site. This includes each component's index of its 
reading room

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records, which will indicate which records are available 
electronically.


Sec.  5.3  Requirements for making requests.

    (a) How made and addressed. You may make a request for records of 
the Department by writing directly to the Department component that 
maintains those records. For additional information about the FOIA, you 
may refer directly to the statute. If you are making a request for 
records about yourself, see Sec.  5.21(d) for additional requirements. 
If you are making a request for records about another individual, 
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) 
must be submitted. Your request should be sent to the component's FOIA 
office at the address listed in appendix A to part 5. In most cases, 
your FOIA request should be sent to a component's central FOIA office. 
(The functions of each component are summarized elsewhere in this title 
and in the description of the Department and its components in the 
``United States Government Manual,'' which is issued annually and is 
available in most libraries, as well as for sale from the Government 
Printing Office's Superintendent of Documents. This manual also can be 
accessed electronically at the Government Printing Office's World Wide 
Web site (which can be found at http://www.access.gpo.gov/su_docs).) 
If you cannot determine where within the Department to send your 
request, you may send it to the Departmental Disclosure Officer, 
Department of Homeland Security, Washington, DC 20528. That office will 
forward your request to the component(s) it believes most likely to 
have the records that you want. Your request will be considered 
received as of the date it is received by the proper component's FOIA 
office. For the quickest possible handling, you should mark both your 
request letter and the envelope ``Freedom of Information Act Request.''
    (b) Description of records sought. You must describe the records 
that you seek in enough detail to enable Department 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 
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 the Department will be able to locate those records in 
response to your request. If a component determines that your request 
does not reasonably describe records, it shall tell you either what 
additional information is needed or why your request is otherwise 
insufficient. The component also shall give you an opportunity to 
discuss your request so that you may modify it to meet the requirements 
of this section. If your request does not reasonably describe the 
records you seek, the agency's response to your request may be delayed.
    (c) Agreement to pay fees. If you make a FOIA request, it shall be 
considered a firm commitment by you to pay all applicable fees charged 
under Sec.  5.11 up to $ 25.00, unless you seek a waiver of fees. In 
making your FOIA request, please indicate whether you are willing to 
pay for the request or desire a waiver. The component responsible for 
responding to your request ordinarily will confirm this commitment in 
an acknowledgement letter. When making a request, you may specify a 
willingness to pay a greater or lesser amount. If you are seeking a 
waiver of fees you must provide a justification for your fee waiver 
request in accordance with the requirements of Sec.  5.11(k). If your 
request for a fee waiver is denied, the component will notify you of 
that decision and will request an agreement from you to pay fees up to 
$25, or a greater or lesser amount specified by you. Your request shall 
not be considered received and further work shall not be done on it 
until you agree to pay fees. If you do not provide a firm commitment to 
pay the anticipated fee within the time period specified by the 
component, the request will be administratively closed.


Sec.  5.4  Responsibility for responding to requests.

    (a) In general. Except as stated in paragraphs (c), (d), and (e) of 
this section, the component that first receives a request for a record 
and has possession of that record is the component responsible for 
responding to the request. In determining which records are responsive 
to a request, a component ordinarily will include only records in its 
possession as of the date the component begins its search for them. If 
any other date is used, the component shall inform the requester of 
that date.
    (b) Authority to grant or deny requests. The head of a component, 
or the component head's designee, is authorized to grant or deny any 
request for a record of that component.
    (c) Consultations and referrals. When a component receives a 
request for a record in its possession, it shall determine whether 
another component, or 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 receiving component determines 
that it is best able to process the record in response to the request, 
then it shall do so. If the receiving component determines that it is 
not best able to process the record, then it shall either:
    (1) Respond to the request regarding that record, after consulting 
with the component or agency best able to determine whether to disclose 
it and with any other component or agency that has a substantial 
interest in it; or
    (2) Refer the responsibility for responding to the request 
regarding that record to the component best able to determine whether 
to disclose it, or to another agency that originated the record (but 
only if that agency is subject to the FOIA). Ordinarily, the component 
or agency that originated a record will be presumed to be best able to 
determine whether to disclose it.
    (d) Law enforcement information. Whenever a request is made for a 
record containing information that relates to an investigation of a 
possible violation of law and was originated by another component or 
agency, the receiving component shall either refer the responsibility 
for responding to the request regarding that information to that other 
component or agency or consult with that other component or agency.
    (e) Classified information. Whenever a request is made for a record 
containing information that has been classified, or may be appropriate 
for classification, by another component or agency under Executive 
Order 12958 or any other executive order concerning the classification 
of records, the receiving component shall refer the responsibility for 
responding to the request regarding that information to the component 
or agency that classified the information, or which should consider the 
information for classification, or which has the primary interest in 
it, as appropriate. Whenever a record contains information that has 
been derivatively classified by a component because it contains 
information classified by another component or agency, the component 
shall refer the responsibility for responding to the request regarding 
that information to the component or agency that classified the 
underlying information.

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    (f) Notice of referral. Whenever a component refers all or any part 
of the responsibility for responding to a request to another component 
or agency, it ordinarily shall notify the requester of the referral and 
inform the requester of the name of each component or agency to which 
the request has been referred and of the part of the request that has 
been referred.
    (g) Timing of responses to consultations and referrals. All 
consultations and referrals will be handled according to the date the 
FOIA request initially was received by the first component or agency, 
not any later date.
    (h) Agreements regarding consultations and referrals. Components 
may make agreements with other components or agencies to eliminate the 
need for consultations or referrals for particular types of records.


Sec.  5.5  Timing of responses to requests.

    (a) In general. Components ordinarily shall respond to requests 
according to their order of receipt.
    (b) Multitrack processing. (1) A component may use two or more 
processing tracks by distinguishing between simple and more complex 
requests based on the amount of work and/or time needed to process the 
request, including through limits based on the number of pages 
involved. If a component does so, it shall advise requesters in its 
slower track(s) of the limits of its faster track(s).
    (2) A component using multitrack processing may provide requesters 
in its slower track(s) with an opportunity to limit the scope of their 
requests in order to qualify for faster processing within the specified 
limits of the component's faster track(s). A component doing so will 
contact the requester either by telephone or by letter, whichever is 
more efficient in each case.
    (c) Unusual circumstances. (1) Where the statutory time limits for 
processing a request cannot be met because of ``unusual 
circumstances,'' as defined in the FOIA, and the component determines 
to extend the time limits on that basis, the component shall as soon as 
practicable notify the requester in writing of the unusual 
circumstances and of the date by which processing of the request can be 
expected to be completed. Where the extension is for more than ten 
working days, the component shall provide the requester with an 
opportunity either to modify the request so that it may be processed 
within the time limits or to arrange an alternative time period with 
the component for processing the request or a modified request.
    (2) Where a component 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 about an actual or alleged 
federal government activity, if made by a person primarily engaged in 
disseminating information.
    (2) A request for expedited processing may be made at the time of 
the initial request for records or at any later time. A request for 
expedited processing must be submitted to the component that maintains 
the record requested. Requests based on the categories in paragraphs 
(d)(1)(i), (ii), and (iii) of this section must be submitted to the 
component that maintains the records requested.
    (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. A 
requester within the category in paragraph (d)(1)(ii) of this section 
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 as a matter of administrative discretion.
    (4) Within ten calendar days of its receipt of a request for 
expedited processing, the proper component shall decide whether to 
grant it and shall notify the requester of the decision. If a request 
for expedited treatment is granted, the request shall be given priority 
and shall be processed as soon as practicable. If a request for 
expedited processing is denied, any appeal of that decision shall be 
acted on expeditiously.


Sec.  5.6  Responses to requests.

    (a) Acknowledgements of requests. On receipt of a request, a 
component ordinarily shall send an acknowledgement letter to the 
requester which shall confirm the requester's agreement to pay fees 
under Sec.  5.3(c) and provide an assigned request number for further 
reference.
    (b) Grants of requests. Ordinarily, a component shall have twenty 
business days from when a request is received to determine whether to 
grant or deny the request. Once a component makes a determination to 
grant a request in whole or in part, it shall notify the requester in 
writing. The component shall inform the requester in the notice of any 
fee charged under Sec.  5.11 and shall disclose records to the 
requester promptly on payment of any applicable fee. Records disclosed 
in part shall 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 
shall be indicated on the record, if technically feasible.
    (c) Adverse determinations of requests. A component making an 
adverse determination denying a request in any respect shall 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 processing. The denial letter shall be signed by 
the head of the component, or the component head's designee, and shall 
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 applied by the component 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

[[Page 4060]]

would harm an interest protected by an applicable exemption; and
    (4) A statement that the denial may be appealed under Sec.  5.9(a) 
and a description of the requirements of Sec.  5.9(a).


Sec.  5.7  Classified information.

    In processing a request for information that is classified under 
Executive Order 12958 (3 CFR, 1996 Comp., p. 333) or any other 
executive order, the originating component shall review the information 
to determine whether it should remain classified. Information 
determined to no longer require classification shall not be withheld on 
the basis of Exemption 1 of the FOIA. On receipt of any appeal 
involving classified information, the Associate General Counsel 
(General Law) shall take appropriate action to ensure compliance with 
Part 7 of this title.


Sec.  5.8  Business information.

    (a) In general. Business information obtained by the Department 
from a submitter will be disclosed under the FOIA, if otherwise 
allowable, only under this section.
    (b) Definitions. For purposes of this section:
    (1) Business information means commercial or financial information 
obtained by the Department 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 Department 
obtains business information, directly or indirectly. The term 
includes, but is not limited to, 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 portions 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. A component shall 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 shall 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 shall 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
    (2) The component has reason to believe that the information may be 
protected from disclosure under Exemption 4.
    (f) Opportunity to object to disclosure. A component 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 component until after its disclosure 
decision has been made shall not be considered by the component. 
Information provided by a submitter under this paragraph may itself be 
subject to disclosure under the FOIA.
    (g) Notice of intent to disclose. A component shall consider a 
submitter's objections and specific grounds for nondisclosure in 
deciding whether to disclose business information. Whenever a component 
decides to disclose business information over the objection of a 
submitter, the component shall 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 business information to be disclosed; and
    (3) A specified disclosure date, which shall be a reasonable time 
subsequent to the notice.
    (h) Exceptions to notice requirements. The notice requirements of 
paragraphs (d) and (g) of this section shall not apply if:
    (1) The component determines that the information should not be 
disclosed pursuant to exemption four and/or any other exemption of the 
FOIA;
    (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 12600 (3 CFR, 1988 Comp., p. 235); or
    (4) The designation made by the submitter under paragraph (c) of 
this section appears obviously frivolous, except that in such a case 
the component shall, 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 component 
shall promptly notify the submitter.
    (j) Corresponding notice to requesters. Whenever a component 
provides a submitter with notice and an opportunity to object to 
disclosure under paragraph (d) of this section, the component shall 
also notify the requester(s). Whenever a component notifies a submitter 
of its intent to disclose requested information under paragraph (g) of 
this section, the component shall also notify the requester(s). 
Whenever a submitter files a lawsuit seeking to prevent the disclosure 
of business information, the component shall notify the requester(s).


Sec.  5.9  Appeals.

    (a) Appeals of adverse determinations. (1) If you are dissatisfied 
with a component's response to your request, you may appeal an adverse 
determination denying your request, in any respect, to the Associate 
General Counsel (General Law), Department of Homeland Security, 
Washington, DC 20528. You must make your appeal in writing and it must 
be received by the Associate General Counsel (General Law) within 60 
days of the date of the letter denying your request. Your appeal letter 
may include as much or as little related information as you wish, as 
long as it clearly identifies the component determination (including 
the assigned request number, if known) that you are appealing. For the 
quickest possible handling, you should mark your appeal

[[Page 4061]]

letter and the envelope ``Freedom of Information Act Appeal.''
    (2) An adverse determination by the Associate General Counsel 
(General Law) will be the final action of the Department; and
    (3) 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 made 
in writing. A decision affirming an adverse determination in whole or 
in part shall 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. If the adverse 
determination is reversed or modified on appeal, in whole or in part, 
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. If you wish to seek review by a court 
of any adverse determination, you must first appeal it under this 
section.


Sec.  5.10  Preservation of records.

    Each component shall 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 FOIA.


Sec.  5.11  Fees.

    (a) In general. Components shall charge for processing requests 
under the FOIA in accordance with paragraph (c) of this section, except 
where fees are limited under paragraph (d) of this section or where a 
waiver or reduction of fees is granted under paragraph (k) of this 
section. A component ordinarily shall 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, which can include 
furthering those interests through litigation. Components shall 
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 a component has reasonable cause to doubt 
a requester's stated use, the component shall 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, microform, audiovisual materials, or 
electronic records (for example, magnetic tape or disk), among others. 
Components shall 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 by the office 
responding to the request.
    (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 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 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 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 a commercial use but are sought to further 
scientific research.
    (6) Representative of the news media, or news media requester, 
means any person actively gathering news for an entity that is 
organized and operated to publish or broadcast news to the public. The 
term ``news'' means information that is about current events or that 
would be of current interest to the public. Examples of news media 
entities include television or radio stations broadcasting to the 
public at large and publishers of periodicals (but only in those 
instances where they can qualify as disseminators of ``news'') who make 
their products available for purchase or subscription by the general 
public. For ``freelance'' journalists to be regarded as working for a 
news organization, they must demonstrate a solid basis for expecting 
publication through that organization. A publication contract would be 
the clearest proof, but components shall also look to the past 
publication record of a requester in making this determination. To be 
in this category, a requester must not be seeking the requested records 
for a commercial use. However, a request for records supporting the 
news-dissemination function of the requester shall 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.  5.8, 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. Components shall 
ensure that searches are done in the most efficient and least expensive 
manner reasonably possible. For example, components shall not search 
line-by-line where duplicating an entire document would be quicker and 
less expensive.
    (c) Fees. In responding to FOIA requests, components shall 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 shall be charged for all requests other 
than requests made by educational

[[Page 4062]]

institutions, noncommercial scientific institutions, or representatives 
of the news media, subject to the limitations of paragraph (d) of this 
section. Components may charge for time spent searching even if they do 
not locate any responsive record or if they withhold the record(s) 
located as entirely exempt from disclosure.
    (ii) Fees for search time are assessed by the hourly wage of the 
personnel filling the request. These fees are subject to change. 
Currently, for each quarter hour spent by clerical personnel in 
searching for and retrieving a requested record, the fee will be $4.00. 
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 $7.00 for each quarter hour of search time spent by 
professional personnel. Where the time of managerial personnel is 
required, the fee will be $10.25 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 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 cost of operating a central processing unit for that 
portion of operating time that is directly attributable to searching 
for responsive records, as well as the costs of operator/programmer 
salary apportionable to the search.
    (iv) For requests requiring the retrieval of records from any 
Federal Records Center, certain additional costs may be incurred in 
accordance with the Transactional Billing Rate Schedule established by 
the National Archives and Records Administration, effective October 1, 
2002.
    (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 or printouts, components will 
charge the direct costs, including operator time, of producing the 
copy. For other forms of duplication, components 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 (the review done when a component 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 for 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 charged for a search under paragraph (c)(1)(ii) of this 
section.
    (d) Restrictions 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, 
components 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) No fee will be charged whenever a total fee calculated under 
paragraph (c) of this section is less than the agency's cost to process 
the check. Currently, whenever a total fee calculated under paragraph 
(c) of this section is $14.00 or less for any request, no fee will be 
charged.
    (5) The provisions of paragraphs (d) (3) and (d)(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 $14.00.
    (e) Notice of anticipated fees in excess of $25.00. When a 
component determines or estimates that the fees to be charged under 
this section will amount to more than $25.00, the component shall 
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 component shall advise the requester that the estimated 
fee may 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 $25.00, the request shall not be considered received and 
further work shall not be done on it until the requester makes a firm 
commitment to pay the anticipated total fee. Any such agreement should 
be memorialized by the requester in writing and must be received by the 
component within a time period specified by the component in its notice 
to the requester. If the requester does not provide a firm commitment 
to pay the anticipated fee within the time period specified by the 
component, the request will be administratively closed. A notice under 
this paragraph will offer the requester an opportunity to discuss the 
matter with Department personnel in order to reformulate the 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 a component 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. Components may charge interest on any unpaid 
bill 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 and will accrue from the date of the billing until payment 
is received by the component. Components will follow the provisions of 
the Debt Collection Act of 1982 (Pub. L. 97-365, 96 Stat. 1749), as 
amended, and its administrative procedures, including the use of 
consumer reporting agencies, collection agencies, and offset.
    (h) Aggregating requests. Where a component 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, the component may aggregate those requests and charge 
accordingly. Components may 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, components 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 (3) of this section, a component shall not 
require the requester to make a advance payment before work is begun or 
continued on a request. Payment owed for work already completed (such 
as a prepayment before

[[Page 4063]]

copies are sent to a requester) is not an advance payment.
    (2) Where a component 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 any component or agency within 30 days of the date 
of billing, a component 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 the component 
begins to process a new request or continues to process a pending 
request from that requester.
    (4) In cases in which a component requires advance payment, the 
request shall 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. Where records responsive to requests 
are maintained for distribution by agencies operating such statutorily 
based fee schedule programs, components will inform 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) Records 
responsive to a request will be furnished without charge or at a charge 
reduced below that established under paragraph (c) of this section 
where a component determines, based on all available information, that 
the requester has demonstrated that:
    (i) 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
    (ii) Disclosure of the information is not primarily in the 
commercial interest of the requester.
    (2) To determine whether the first fee waiver requirement is met, 
components will consider the following factors:
    (i) The subject of the request: 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.
    (ii) The informative value of the information to be disclosed: 
Whether the disclosure is ``likely to contribute'' to an understanding 
of government operations or activities. The disclosable portions of the 
requested records must be meaningfully informative about government 
operations or activities in order to be ``likely to contribute'' to an 
increased public understanding of those operations or activities. The 
disclosure of information that already is in the public domain, in 
either a duplicative or a substantially identical form, would not be as 
likely to contribute to such understanding where nothing new would be 
added to the public's understanding.
    (iii) The contribution to an understanding of the subject by the 
public likely to result from disclosure: Whether disclosure of the 
requested information will contribute to ``public understanding.'' The 
disclosure must contribute to the understanding of 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 will satisfy this 
consideration.
    (iv) The significance of the contribution to public understanding: 
Whether the disclosure is likely to contribute ``significantly'' to 
public understanding of government operations or activities. The 
public's understanding of the subject in question, as compared to the 
level of public understanding existing prior to the disclosure, must be 
enhanced by the disclosure to a significant extent. Components 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.
    (3) To determine whether the second fee waiver requirement is met, 
components will consider the following factors:
    (i) The existence and magnitude of a commercial interest: Whether 
the requester has a commercial interest that would be furthered by the 
requested disclosure. Components shall consider any commercial interest 
of the requester (with reference to the definition of ``commercial 
use'' in paragraph (b)(1) of this section), 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.
    (ii) The primary interest in disclosure: 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 
or reduction is justified where the public interest standard is 
satisfied and that public interest is greater in magnitude than that of 
any identified commercial interest in disclosure. Components ordinarily 
shall presume that where a news media requester has satisfied the 
public interest standard, 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.
    (4) Where only some of the records to be released satisfy the 
requirements for a waiver of fees, a waiver shall be granted for those 
records.
    (5) Requests for the waiver or reduction of fees should address the 
factors listed in paragraphs (k)(2) and (3) of this section, insofar as 
they apply to each request. Components will exercise their discretion 
to consider the cost-effectiveness of their investment of 
administrative resources in this decisionmaking process, however, in 
deciding to grant waivers or reductions of fees.
    (l) Payment of outstanding fees. The Department shall not process a 
FOIA request from persons with an unpaid fee from any previous FOIA 
request to any Federal agency until that outstanding fee has been paid 
in full to the agency.


Sec.  5.12  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--Privacy Act


Sec.  5.20  General provisions.

    (a) Purpose and scope. (1) This subpart contains the rules that the 
Department of Homeland Security (Department) follows under the Privacy 
Act of 1974 (5 U.S.C. 552a). These rules should be read together with 
the Privacy Act, which provides additional information about records 
maintained

[[Page 4064]]

on individuals. The rules in this subpart apply to all records in 
systems of records maintained by the Department that 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 by the Department. In 
addition, the Department processes all Privacy Act requests for access 
to records under the Freedom of Information Act (FOIA) ( 5 U.S.C. 552), 
following the rules contained in subpart A of this part, which gives 
requests the benefit of both statutes.
    (2) The provisions established by this subpart shall apply to all 
Department components that are transferred to the Department. Except to 
the extent a Department component has adopted separate guidance under 
the Privacy Act, the provisions of this subpart shall apply to each 
component of the Department. Departmental components may issue their 
own guidance under this subpart pursuant to approval by the Department.
    (b) Definitions. As used in this subpart:
    (1) Component means each separate bureau, office, board, division, 
commission, service, or administration of the Department.
    (2) Request for access to a record means a request made under 
Privacy Act subsection (d)(1).
    (3) Request for amendment or correction of a record means a request 
made under Privacy Act subsection (d)(2).
    (4) Request for an accounting means a request made under Privacy 
Act subsection (c)(3).
    (5) 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.
    (c) Authority to request records for a law enforcement purpose. The 
head of a component or designee thereof is authorized to make written 
requests under subsection (b)(7) of the Privacy Act for records 
maintained by other agencies that are necessary to carry out an 
authorized law enforcement activity.
    (d) Notice on Departmental use of (b)(1) exemption. As a general 
matter, when applying the (b)(1) exemption for disclosures within an 
agency on a need to know basis, the Department will consider itself a 
single entity, meaning that information may be disclosed between 
components of the Department under the (b)(1) exemption.
    (e) Interim Retention of Authorities. As an interim solution, all 
agencies and components under the Department will retain the necessary 
authority from their original purpose in order to conduct these 
necessary activities. This includes the authority to maintain Privacy 
Act systems of records, disseminate information pursuant to existing or 
new routine uses, and retention of exemption authorities under sections 
(j) and (k) of the Privacy Act, where applicable. This retention of an 
agency or component's authorities and information practices will remain 
in effect until this regulation is promulgated as a final rule, or the 
Department revises all systems of records notices. This retention of 
authority is necessary to allow components to fulfill their mission and 
purpose during the transition period of the establishment of the 
Department. During this transition period, the Department shall 
evaluate with the components the existing authorities and information 
practices and determine what revisions (if any) are appropriate and 
should be made to these existing authorities and practices. The 
Department anticipates that such revisions will be made either through 
the issuance of a revised system of records notices or through 
subsequent final regulations.


Sec.  5.21  Requests for access to records.

    (a) How made and addressed. You may make a request for access to a 
Department of Homeland Security record about yourself by appearing in 
person or by writing directly to the Department component that 
maintains the record. Your request should be sent or delivered to the 
component's Privacy Act office at the address listed in appendix A to 
this part. In most cases, a component's central Privacy Act office is 
the place to send a Privacy Act request. For records held by a field 
office of the U.S. Customs Service, U.S. Secret Service, U.S. Coast 
Guard, or any other Department component with field offices, however, 
you must write directly to that Customs, Secret Service, Coast Guard, 
or other field office address, which can be found in most telephone 
books or by calling the component's central Privacy Act office. (The 
functions of each component are summarized elsewhere in this title and 
in the description of the Department and its components in the ``United 
States Government Manual,'' which is issued annually and is available 
in most libraries, as well as for sale from the Government Printing 
Office's Superintendent of Documents. This manual also can be accessed 
electronically at the Government Printing Office's World Wide Web site 
(which can be found at http://www.access.gpo.gov/su_docs). Some 
records are maintained under a government-wide systems of records 
notice, for example, Official Personnel Files are maintained under the 
authority of the Office of Personnel Management. In order to access 
records maintained under a government-wide notice, please send your 
request to the Privacy Act office of the original department or agency 
from which the component was transferred to the Department. If you 
cannot determine where within the Department to send your request, you 
may send it to the Departmental Disclosure Officer, Department of 
Homeland Security, Washington, DC 20528, and that office will forward 
it to the component(s) it believes most likely to have the records that 
you seek. For the quickest possible handling, 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 Department 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 Department publishes notices in the Federal 
Register that describe its components' systems of records. A 
description of the Department's systems of records also may be found as 
part of the ``Privacy Act Compilation'' published by the National 
Archives and Records Administration's Office of the Federal Register. 
This compilation is available in most large reference and university 
libraries. This compilation also can be accessed electronically at the 
Government Printing Office's World Wide Web site (which can be found at 
http://www.access.gpo.gov/su_docs).
    (c) Agreement to pay fees. If you make a Privacy Act request for 
access to records, it shall be considered an agreement by you to pay 
all applicable fees charged under Sec.  5.29, up to $25.00. The 
component responsible for responding to your request ordinarily shall 
confirm this agreement in an acknowledgement 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

[[Page 4065]]

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. While no specific form is required, you may obtain forms 
for this purpose from the Departmental Disclosure Officer, Department 
of Homeland Security, Washington, DC 20528. In order to help the 
identification and location of requested records, you may also, at your 
option, include your social security number.
    (e) Verification of guardianship. When making a request as the 
parent or guardian of a minor or as the guardian of someone determined 
by a court to be incompetent, for access to records about that 
individual, you must establish:
    (1) The identity of the individual who is the subject of the 
record, by stating the name, current address, date and place of birth, 
and, at your option, the social security number of the individual;
    (2) Your own identity, as required in paragraph (d) of this 
section;
    (3) That you are the parent or guardian of that individual, which 
you may prove by providing a copy of the individual's birth certificate 
showing your parentage or by providing a court order establishing your 
guardianship; and
    (4) That you are acting on behalf of that individual in making the 
request.
    (f) Verification in the case of third party information requests. 
If you are making a request for records concerning an individual on 
behalf of that individual, you must provide a statement from the 
individual verifying the identity of the individual as provided in 
paragraph (d) of this section. You must also provide a statement from 
the individual certifying the individual's agreement that records 
concerning the individual may be released to you.


Sec.  5.22  Responsibility for responding to requests for access to 
records.

    (a) In general. Except as stated in paragraphs (c), (d), and (e) of 
this section, the component that first receives a request for access to 
a record, and has possession of that record, is the component 
responsible for responding to the request. In determining which records 
are responsive to a request, a component ordinarily shall include only 
those records in its possession as of the date the component begins its 
search for them. If any other date is used, the component shall inform 
the requester of that date.
    (b) Authority to grant or deny requests. The head of a component, 
or the component head's designee, is authorized to grant or deny any 
request for access or amendment to a record of that component.
    (c) Consultations and referrals. When a component receives a 
request for access to a record in its possession, it shall determine 
whether another component, or another agency of the Federal Government, 
is better able to determine whether the record is exempt from access 
under the Privacy Act. If the receiving component determines that it is 
best able to process the record in response to the request, then it 
shall do so. If the receiving component determines that it is not best 
able to process the record, then it shall either:
    (1) Respond to the request regarding that record, after consulting 
with the component or agency best able to determine whether the record 
is exempt from access and with any other component or agency that has a 
substantial interest in it; or
    (2) Refer the responsibility for responding to the request 
regarding that record to the component 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 component or agency that originated a record will be 
presumed to be best able to determine whether it is exempt from access.
    (d) Law enforcement information. Whenever a request is made for 
access to a record containing information that relates to an 
investigation of a possible violation of law and that was originated by 
another component or agency, the receiving component shall either refer 
the responsibility for responding to the request regarding that 
information to that other component or agency or shall consult with 
that other component or agency.
    (e) Classified information. Whenever a request is made for access 
to a record containing information that has been classified by or may 
be appropriate for classification by another component or agency under 
Executive Order 12958 or any other executive order concerning the 
classification of records, the receiving component shall refer the 
responsibility for responding to the request regarding that information 
to the component or agency that classified the information, should 
consider the information for classification, or has the primary 
interest in it, as appropriate. Whenever a record contains information 
that has been derivatively classified by a component because it 
contains information classified by another component or agency, the 
component shall refer the responsibility for responding to the request 
regarding that information to the component or agency that classified 
the underlying information.
    (f) Release of Medical Records. Pursuant to 5 U.S.C. 552a(f)(3), 
where requests are made for access to medical records, including 
psychological records, the decision to release directly to the 
individual, or to withhold direct release, shall be made by a medical 
practitioner. Where the medical practitioner has ruled that direct 
release will cause harm to the individual who is requesting access, 
normal release through the individual's chosen medical practitioner 
will be recommended. Final review and decision on appeals of 
disapprovals of direct release will rest with the General Counsel.
    (g) Notice of referral. Whenever a component refers all or any part 
of the responsibility for responding to a request to another component 
or agency, it ordinarily shall notify the requester of the referral and 
inform the requester of the name of each component or agency to which 
the request has been referred and of the part of the request that has 
been referred.
    (h) Timing of responses to consultations and referrals. All 
consultations and referrals shall be handled according to the date the 
Privacy Act access request was initially received by the first 
component or agency, not any later date.
    (i) Agreements regarding consultations and referrals. Components 
may make agreements with other components or agencies to eliminate the 
need for consultations or referrals for particular types of records.


Sec.  5.23  Responses to requests for access to records.

    (a) Acknowledgements of requests. On receipt of a request, a 
component ordinarily shall send an acknowledgement letter to the 
requester which shall confirm the requester's agreement to pay fees 
under Sec.  5.21(c) and provide an assigned request number for further 
reference.
    (b) Grants of requests for access. Once a component makes a 
determination to grant a request for access in whole or in part, it 
shall notify the requester in writing. The component shall inform the 
requester in the notice of any fee charged under Sec.  5.29 and shall 
disclose records to the requester promptly on payment of any applicable 
fee. If a request is made in person, the component may disclose records 
to the requester directly, in a manner not unreasonably disruptive of 
its

[[Page 4066]]

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 shall 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. A component 
making an adverse determination denying a request for access in any 
respect shall 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 shall be signed by the head of the component, or the component 
head's designee, and shall 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 by the component in denying the 
request; and
    (3) A statement that the denial may be appealed under Sec.  5.25(a) 
and a description of the requirements of Sec.  5.25(a).


Sec.  5.24  Classified information.

    In processing a request for access to a record containing 
information that is classified under Executive Order 12958 or any other 
executive order, the originating component shall review the information 
to determine whether it should remain classified. Information 
determined to no longer require classification shall not be withheld 
from a requester on the basis of Exemption (k)(1) of the Privacy Act. 
On receipt of any appeal involving classified information, the 
Associate General Counsel (General Law), shall take appropriate action 
to ensure compliance with Part 7 of this title.


Sec.  5.25  Appeals.

    (a) Appeals. If you are dissatisfied with a component's response to 
your request for access to records, you may appeal an adverse 
determination denying your request in any respect to the Associate 
General Counsel (General Law), Department of Homeland Security, 
Washington, DC 20528. You must make your appeal in writing and it must 
be received by the Associate General Counsel (General Law) within 60 
days of the date of the letter denying your request. Your appeal letter 
may include as much or as little related information as you wish, as 
long as it clearly identifies the component determination (including 
the assigned request number, if known) that you are appealing. For the 
quickest possible handling, you should mark both your appeal letter and 
the envelope ``Privacy Act Appeal.''
    (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 Privacy Act 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, you will be notified in a written decision 
and your request will be reprocessed in accordance with that appeal 
decision. An adverse determination by the Associate General Counsel 
(General Law) will be the final action of the Department.
    (c) When appeal is required. 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. An appeal will not be acted on if the 
request becomes a matter of litigation.


Sec.  5.26  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 a record of the 
Department about you by writing directly to the Department component 
that maintains the record, following the procedures in Sec.  5.21. Your 
request should identify each particular record in question, state the 
amendment or correction that you 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 in more than one system of records, you 
should state that and address your request to each component that 
maintains a system of records containing the record.
    (b) Component responses. Within ten working days of receiving your 
request for amendment or correction of records, a component shall send 
you a written acknowledgment of its receipt of your request, and it 
shall promptly notify you whether your request is granted or denied. If 
the component grants your request in whole or in part, it shall 
describe the amendment or correction made and shall advise you of your 
right to obtain a copy of the corrected or amended record, in 
disclosable form. If the component denies your request in whole or in 
part, it shall send you a letter signed by the head of the component, 
or the component head's designee, that shall 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 to the Associate General Counsel (General Law) in the same 
manner as a denial of a request for access to records (see Sec.  5.25) 
and the same procedures shall be followed. If your appeal is denied, 
you shall 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 
Department'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. Your Statement of Disagreement must 
be sent to the component involved, which shall place it in the system 
of records in which the disputed record is maintained and shall mark 
the disputed record to indicate that a Statement of Disagreement has 
been filed and where in the system of records it may be found.
    (e) Notification of amendment/correction or disagreement. Within 30 
working days of the amendment or correction of a record, the component 
that maintains the record shall 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 
component shall 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:

[[Page 4067]]

    (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;
    (3) Presentence records that originated with the courts; and
    (4) Records in systems of records that have been exempted from 
amendment and correction under Privacy Act (5 U.S.C. 552a(j) or (k)) by 
notice published in the Federal Register.


Sec.  5.27  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 Department 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 by writing directly to the 
Department component that maintains the record, following the 
procedures in Sec.  5.21.
    (b) Where accountings are not required. Components are not required 
to provide accountings to you where they relate to:
    (1) Disclosures for which accountings are not required to be kept, 
such as disclosures that are made to employees within the agency and 
disclosures that are made under the FOIA;
    (2) Disclosures made to law enforcement agencies for authorized law 
enforcement activities in response to written requests from those law 
enforcement agencies specifying the law enforcement activities for 
which the disclosures are sought; or
    (3) Disclosures made from law enforcement systems of records that 
have been exempted from accounting requirements.
    (c) Appeals. You may appeal a denial of a request for an accounting 
to the Associate General Counsel (General Law) in the same manner as a 
denial of a request for access to records (see Sec.  5.25) and the same 
procedures will be followed.


Sec.  5.28  Preservation of records.

    Each component 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.


Sec.  5.29  Fees.

    (a) Components shall charge fees for duplication of records under 
the Privacy Act in the same way in which they charge duplication fees 
under Sec.  5.11.
    (b) The Department shall not process a request under the Privacy 
Act from persons with an unpaid fee from any previous Privacy Act 
request to any Federal agency until that outstanding fee has been paid 
in full to the agency.


Sec.  5.30  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 component 
shall make reasonable efforts to provide notice of this to the 
individual. Notice shall be given within a reasonable time after the 
component's receipt of the order, except that in a case in which the 
order is not a matter of public record, the notice shall be given only 
after the order becomes public. This notice shall be mailed to the 
individual's last known address and shall contain a copy of the order 
and a description of the information disclosed. Notice shall not be 
given if disclosure is made from a criminal law enforcement system of 
records that has been exempted from the notice requirement.
    (b) Emergency disclosures. Upon disclosing a record pertaining to 
an individual made under compelling circumstances affecting health or 
safety, the component shall notify that individual of the disclosure. 
This notice shall be mailed to the individual's last known address and 
shall 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.  5.31  Security of systems of records.

    (a) In general. Each component shall establish 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 shall correspond to the sensitivity of the records that the 
controls protect. At a minimum, each component's administrative and 
physical controls shall ensure that:
    (1) Records are protected from public view;
    (2) The area in which records are kept is supervised during 
business hours 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 either oral or written form.
    (b) Procedures required. Each component shall have procedures that 
restrict access to records to only those individuals within the 
Department who must have access to those records in order to perform 
their duties and that prevent inadvertent disclosure of records.


Sec.  5.32  Contracts for the operation of record systems.

    Under 5 U.S.C. 552a(m), any approved contract for the operation of 
a record system will contain the standard contract requirements issued 
by the General Services Administration to ensure compliance with the 
requirements of the Privacy Act for that record system. The contracting 
component will be responsible for ensuring that the contractor complies 
with these contract requirements.


Sec.  5.33  Use and collection of social security numbers.

    Each component shall ensure that employees authorized to collect 
information are aware:
    (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; and
    (b) That individuals requested to provide their social security 
numbers must be informed of:
    (1) Whether providing social security numbers is mandatory or 
voluntary;
    (2) Any statutory or regulatory authority that authorizes the 
collection of social security numbers; and
    (3) The uses that will be made of the numbers.


Sec.  5.34  Standards of conduct for administration of the Privacy Act.

    Each component will inform its employees of the provisions of the 
Privacy Act, including the Act's civil liability and criminal penalty 
provisions. Unless otherwise permitted by law, the Department shall:

[[Page 4068]]

    (a) Collect from individuals only the information that is relevant 
and necessary to discharge the responsibilities of the Department;
    (b) Collect information about an individual directly from that 
individual whenever practicable and when the information may result in 
adverse determinations about an individual's rights, benefits, and 
privileges under federal programs;
    (c) Inform each individual from whom information is collected of:
    (1) The legal authority to collect the information and whether 
providing it is mandatory or voluntary;
    (2) The principal purpose for which the Department intends to use 
the information;
    (3) The routine uses the Department may make of the information; 
and
    (4) The effects on the individual, if any, of not providing the 
information;
    (d) Ensure that the component maintains no system of records 
without public notice and that it notifies appropriate Department 
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 the Department 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 it 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 Department to 
persons, organizations, or agencies;
    (i) Maintain and use records with care to prevent the unauthorized 
or inadvertent disclosure of a record to anyone.


Sec.  5.35  Sanctions and penalties.

    Under the provisions of the Privacy Act, 5 U.S.C. 552a, civil and 
criminal penalties may be assessed.


Sec.  5.36  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.

Appendix A to Part 5--FOIA /Privacy Act Offices of the Department of 
Homeland Security

    I. For the following Headquarters components of the Department 
of Homeland Security, FOIA and Privacy Act requests should be sent 
to the Departmental Disclosure Office, Department of Homeland 
Security, Washington, DC 20528. The Headquarters components are:

A

Office of the Secretary
Office of the Deputy Secretary
Office of the Under Secretary for Management

B

Office of the General Counsel
Office of the Inspector General
Office of International Affairs
Office of Legislative Affairs
Office of Public Affairs
Office of National Capital Region Coordination
Office of Professional Responsibility
Office for State and Local Government Coordination

C

Directorate of Border and Transportation Security
Directorate of Emergency Preparedness and Response
Directorate of Information Analysis and Infrastructure Protection
Directorate of Science and Technology
    II. Requests made to components that have transferred or will 
transfer into the Department of Homeland Security, should be sent as 
follows:
    A. Former components of the Department of Agriculture:

1. Animal and Plant Health Inspection Service, USDA, APHIS, LPA, 
FOIA, 4700 River Road, Unit 50, Riverdale, MD 20737-1232
2. Plum Island Animal Disease Center; Submit request to the APHIS 
address above or, FOIA Coordinator, USDA-REE-ARS-Information Staff, 
5601 Sunnyside Avenue, Bldg. 1, Room 2248, Mail Stop 5128, 
Beltsville, MD 20705-5128

    B. Former components of the Department of Commerce:

1. Critical Infrastructure Assurance Office (A former office of the 
Bureau of Industry and Security); Freedom of Information 
Coordinator, Bureau of Industry and Security, Room 6883, U.S. 
Department of Commerce, Washington, DC 20230
2. FIRESTAT (formerly the Integrated Hazard Information System of 
the National Oceanic and Atmospheric Administration), National 
Oceanic and Atmospheric Administration, Public Reference Facility 
(OFAx2), 1315 East-West Highway (SSMC3), Room 10703, Silver Spring, 
MD 20910
    C. Former components of the Department of Defense:

1. National Communications Service (A former component of the 
Defense Information Systems Agency), Defense Information Systems 
Agency, ATTN: RGC/FOIA Officer, 701 S. Courthouse Rd., Arlington, VA 
22204-2199

    D. Former components and programs of the Department of Energy:

    The address for each component and program listed below is: U.S. 
Department of Energy, 1000 Independence Avenue, SW., Washington, DC 
20585
    1. Energy Assurance Office
    2. Environmental Measurements Laboratory
    3. Nuclear Incident Response Team
    4. The chemical and biological national security and supporting 
programs and activities of the non-proliferation and verification 
research and development program.
    5. The life sciences activities related to microbial pathogens 
of Biological and Environmental Research Program.
    6. The nuclear smuggling programs and activities within the 
proliferation detection program of the non-proliferation and 
verification research and development program.
    7. The nuclear assessment program and activities of the 
assessment, detection, and cooperation program of the international 
materials protection and cooperation program, and the advanced 
scientific computing research program and activities at Lawrence 
Livermore National Laboratory.
    8. National Infrastructure Simulation and Analysis Center
    E. Former components of the Department of Health and Human 
Services:

    1. The address for each component and program listed below is: 
Department of Health and Human Services, Freedom of Information 
Officer, Room 645-F, Hubert H. Humphrey Building, Independence 
Avenue, SW., Washington, DC 20201;
    a. Metropolitan Medical Response System,
    b. National Disaster Medical System, and
    c. Office of Emergency Preparedness
    d. Strategic National Stockpile
    2. Centers for Disease Control and Agency for Toxic Substances 
and Disease Registry, Attn: FOI Office, MS-D54, 1600 Clifton Road, 
NE., Atlanta, GA 30333.
    F. Former components of the Department of Justice:

    1. Immigration and Naturalization Service, Director, Freedom of 
Information/Privacy Act Program, Department of Justice, 425 Eye 
Street, NW., 2nd Floor, ULLICO Building, Washington, DC 20536 (for 
field offices, consult your phone book).
    2. The address for each component and program listed below is: 
Federal Bureau of Investigation, Chief, FOIPA Section, 935 
Pennsylvania Avenue, NW., Department of Justice, Washington, DC 
20535-0001;
    a. National Infrastructure Protection Center,
    b. National Domestic Preparedness Office, and
    c. Domestic Emergency Support Team.
    3. Office of Domestic Preparedness, U.S. Department of Justice, 
Office of Justice Programs, Office of the General Counsel,

[[Page 4069]]

Attention: FOIA Staff, 810 7th Street, NW., Room 5400, Washington, 
DC 20531.
    G. Former components of the Department of State:

Visa Office, Information and Privacy Coordinator, Office of 
Information Resources, Management Programs and Services, A/RPS/IPS, 
SA-2, Department of State, Washington, DC 20522-6001, Re: Freedom of 
Information Act Request.
    H. Former components of the Department of Transportation:

1. Federal Aviation Administration, National Freedom of Information 
Act Staff, ARC-40, 800 Independence Avenue, SW., Washington, DC 
20591 (for regional centers, consult your phone book).
2. Transportation Security Administration, TSA-1, FOIA Division, 400 
Seventh Street, SW., Washington, DC 20590
3. United States Coast Guard, HQ USCG Commandant, G-CIM, 2100 Second 
Street, SW., Washington, DC 20593-0001 (for district offices, 
consult your phone book).

    I. Former components of the Department of Treasury:

1. Federal Law Enforcement Training Center, Freedom of Information 
Act Officer, Townhouse 389, Glynco, GA 31524
2. U.S. Customs Service, Freedom of Information Act Request, Mint 
Annex, 1300 Pennsylvania Avenue, NW., Washington, DC 20229 (for 
field offices, consult your phone book).
3. U.S. Secret Service, Freedom of Information Act Request, 950 H 
Street, NW., Suite 3000, Washington, DC 20223, e-mail 
[email protected]. Appeals should be addressed to the Deputy 
Director, United States Secret Service, Freedom of Information and 
Privacy Act Appeal Officer, at these same contact points.

    J. Federal Emergency Management Agency: Federal Emergency 
Management Agency, Office of General Counsel, 500 C Street, SW., 
Room 840, Washington, DC 20472 (for regional offices, consult your 
phone book).
    K. Former components of the General Services Administration:

1. For the Federal Computer Incident Response Center and the Federal 
Protective Service: Chief, FOIA Information Management Branch, GSA 
(CAIM), 1800 F Street, NW., Washington, DC 20405 (for regional 
offices, consult your phone book).

Appendix B to Part 5--Public Reading Rooms of the Department of 
Homeland Security

    The Headquarters components of the Department of Homeland 
Security do not maintain a conventional public reading room. Records 
that are required to be in the public reading room are available 
electronically at http://www.dhs.gov/FOIA.
    Entities that will transfer into the Department of Homeland 
Security maintain public reading rooms as follows:
    1. Former components of the Department of Agriculture:

Animal and Plant Health Inspection Service Library, 4700 River Road, 
Riverdale, MD 20737-1232
Plum Island Animal Disease Center, the APHIS address above or, USDA-
ARS, 5601 Sunnyside Avenue, Building 1, Room 2248, Beltsville, MD 
20705-5128
    2. Former components of the Department of Commerce:

    The Critical Infrastructure Assurance Office (A former office of 
the Bureau of Industry and Security) does not maintain a 
conventional public reading room. Records that are required to be in 
the public reading room are available electronically at http://www.bis.doc.gov/FOIA/Default.htm
    FIRESTAT (formerly the Integrated Hazard Information System of 
the National Oceanic and Atmospheric Administration), NOAA Public 
Reference Facility, 1305 East-West Highway (SSMC4), Room 8627, 
Silver Spring, MD 20910
    3. Former components of the Department of Defense:
    The National Communication Service (A former component of the 
Defense Information Systems Agency) does not maintain a conventional 
public reading room. Records that are required to be in the public 
reading room are available electronically at http://disa.mil/gc/foia/foia.html
    4. Former components and programs of the Department of Energy:

The address for each component and program listed below is: U.S. 
Department of Energy; 1000 Independence Avenue, SW., Washington, DC 
20585

Energy Assurance Office
Environmental Measurements Laboratory
Nuclear Incident Response Team

    The chemical and biological national security and supporting 
programs and activities of the non-proliferation and verification 
research and development program.
    The life sciences activities related to microbial pathogens of 
Biological and Environmental Research Program.
    The nuclear smuggling programs and activities within the 
proliferation detection program of the non-proliferation and 
verification research and development program.
    The nuclear assessment program and activities of the assessment, 
detection, and cooperation program of the international materials 
protection and cooperation program, and the advanced scientific 
computing research program and activities at Lawrence Livermore 
National Laboratory.

The National Infrastructure Simulation and Analysis Center

    5. Former components of the Department of Health and Human 
Services:
    For the Metropolitan Medical Response System, the National 
Disaster Medical System, and the Office of Emergency Preparedness 
please contact the Freedom of Information Act Officer at: Department 
of Health and Human Services, Freedom of Information Officer, Room 
645-F, Hubert H. Humphrey Building, Independence Avenue, SW., 
Washington, DC 20201
    Strategic National Stockpile, Centers for Disease Control and 
Agency for Toxic Substances and Disease Registry, 1600 Clifton Road, 
NE., Room 4103, Building 1, Atlanta, GA 30333
    6. Former components of the Department of Justice:
    Immigration and Naturalization Service, 111 Massachusetts 
Avenue, NW., 2nd Floor, ULLICO Building, Washington, DC 20536
    For the National Infrastructure Protection Center, the National 
Domestic Preparedness Office, and the Domestic Emergency Support 
Team: Federal Bureau of Investigation, 935 Pennsylvania Avenue, NW., 
Department of Justice, Washington, DC 20535-0001
    Office of Domestic Preparedness, U.S. Department of Justice, 
Office of Justice Programs, 810 7th Street, NW., Room 5430, 
Washington, DC 20531
    7. Former components of the Department of State:
    Visa Office, Department of State, 2201 C Street, NW., 
Washington, DC 20520
    8. Former components of the Department of Transportation:
    Federal Aviation Administration, 800 Independence Avenue, SW., 
Washington, DC 20591
    Transportation Security Administration, 400 Seventh Street, SW., 
Washington, DC 20590
    United States Coast Guard Headquarters, 2100 Second Street, SW., 
Washington, DC 20593-0001 (for district offices, consult your phone 
book).
    9. Former components of the Department of Treasury:
    The Federal Law Enforcement Training Center does not maintain a 
conventional public reading room. Records that are required to be in 
the public reading room are available electronically at http://www.fletc.gov/irm/foia/readingroom.htm
    U.S. Customs Service, 1300 Pennsylvania Avenue, NW., Washington, 
DC 20229 (for a list of field office public reading rooms please 
consult 19 CFR 103.1).
    U.S. Secret Service, Main Treasury, 1500 Pennsylvania Avenue, 
NW., Washington, DC 20220
    10. Federal Emergency Management Agency:
    Federal Emergency Management Agency, Federal Center Plaza, 500 C 
Street, SW., Room 840 Washington, DC 20472 (for regional offices, 
consult your phone book)
    11. Former components of the General Services Administration:
    For the Federal Computer Incident Response Center and the 
Federal Protective Service: Central Office, GSA Headquarters, 1800 F 
Street, NW., (CAI), Washington, DC 20405 (for regional offices, 
consult your phone book)

[FR Doc. 03-1996 Filed 1-24-03; 11:34 am]
BILLING CODE 4410-10-P