Title 1 General Provisions

Home , Edition notice, United States Code

Revised as of January 1, 2019

Containing a codification of documents of general applicability and future effect

As of January 1, 2019

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

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Legal Status and Use of Seals and Logos The seal of the National Archives and Records Administration (NARA) authenticates the Code of Federal Regulations (CFR) as the official codification of Federal regulations established under the Federal Register Act. Under the provisions of 44 U.S.C. 1507, the contents of the CFR, a special edition of the Federal Register, shall be judicially noticed. The CFR is prima facie evidence of the original documents published in the Federal Register (44 U.S.C. 1510). It is prohibited to use NARA’s official seal and the stylized Code of Federal Regulations logo on any republication of this material without the express, written permission of the Archivist of the United States or the Archivist’s designee. Any person using NARA’s official seals and logos in a manner inconsistent with the provisions of 36 CFR part 1200 is subject to the penalties specified in 18 U.S.C. 506, 701, and 1017.

Use of ISBN Prefix This is the Official U.S. Government edition of this publication and is herein identified to certify its authenticity. Use of the 0–16 ISBN prefix is for U.S. Government Publishing Office Official Edi- tions only. The Superintendent of Documents of the U.S. Govern- ment Publishing Office requests that any reprinted edition clearly be labeled as a copy of the authentic work with a new ISBN.

U.S. GOVERNMENT PUBLISHING OFFICE U.S. Superintendent of Documents • Washington, DC 20402–0001 http://bookstore.gpo.gov Phone: toll-free (866) 512-1800; DC area (202) 512-1800

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Page Explanation ...... v

Title 1:

Chapter I—Administrative Committee of the Federal Register ...... 3

Chapter II—Office of the Federal Register ...... 35

Chapter III—Administrative Conference of the United States ...... 41

Chapter IV—Miscellaneous Agencies ...... 63

Chapter V [Reserved]

Chapter VI—National Capital Planning Commission ...... 95

Finding Aids:

Table of CFR Titles and Chapters ...... 137

Alphabetical List of Agencies Appearing in the CFR ...... 157

List of CFR Sections Affected ...... 167

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To cite the regulations in this volume use title, part and section number. Thus, 1 CFR 1.1 refers to title 1, part 1, section 1.

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The Code of Federal Regulations is a codification of the general and permanent rules published in the Federal Register by the Executive departments and agencies of the Federal Government. The Code is divided into 50 titles which represent broad areas subject to Federal regulation. Each title is divided into chapters which usually bear the name of the issuing agency. Each chapter is further subdivided into parts covering specific regulatory areas. Each volume of the Code is revised at least once each calendar year and issued on a quarterly basis approximately as follows: Title 1 through Title 16...... as of January 1 Title 17 through Title 27 ...... as of April 1 Title 28 through Title 41 ...... as of July 1 Title 42 through Title 50...... as of October 1 The appropriate revision date is printed on the cover of each volume. LEGAL STATUS The contents of the Federal Register are required to be judicially noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the text of the original documents (44 U.S.C. 1510). HOW TO USE THE CODE OF FEDERAL REGULATIONS The Code of Federal Regulations is kept up to date by the individual issues of the Federal Register. These two publications must be used together to determine the latest version of any given rule. To determine whether a Code volume has been amended since its revision date (in this case, January 1, 2019), consult the ‘‘List of CFR Sections Affected (LSA),’’ which is issued monthly, and the ‘‘Cumulative List of Parts Affected,’’ which appears in the Reader Aids section of the daily Federal Register. These two lists will identify the Federal Register page number of the latest amendment of any given rule. EFFECTIVE AND EXPIRATION DATES Each volume of the Code contains amendments published in the Federal Reg- ister since the last revision of that volume of the Code. Source citations for the regulations are referred to by volume number and page number of the Federal Register and date of publication. Publication dates and effective dates are usually not the same and care must be exercised by the user in determining the actual effective date. In instances where the effective date is beyond the cutoff date for the Code a note has been inserted to reflect the future effective date. In those instances where a regulation published in the Federal Register states a date certain for expiration, an appropriate note will be inserted following the text. OMB CONTROL NUMBERS The Paperwork Reduction Act of 1980 (Pub. L. 96–511) requires Federal agencies to display an OMB control number with their information collection request.

VerDate Sep<11>2014 15:54 Mar 19, 2019 Jkt 247004 PO 00000 Frm 00005 Fmt 8008 Sfmt 8092 Q:\01\1V1.TXT PC31 kpayne on VMOFRWIN702 with $$_JOB Many agencies have begun publishing numerous OMB control numbers as amendments to existing regulations in the CFR. These OMB numbers are placed as close as possible to the applicable recordkeeping or reporting requirements. PAST PROVISIONS OF THE CODE Provisions of the Code that are no longer in force and effect as of the revision date stated on the cover of each volume are not carried. Code users may find the text of provisions in effect on any given date in the past by using the appropriate List of CFR Sections Affected (LSA). For the convenience of the reader, a ‘‘List of CFR Sections Affected’’ is published at the end of each CFR volume. For changes to the Code prior to the LSA listings at the end of the volume, consult previous annual editions of the LSA. For changes to the Code prior to 2001, consult the List of CFR Sections Affected compilations, published for 1949- 1963, 1964-1972, 1973-1985, and 1986-2000. ‘‘[RESERVED]’’ TERMINOLOGY The term ‘‘[Reserved]’’ is used as a place holder within the Code of Federal Regulations. An agency may add regulatory information at a ‘‘[Reserved]’’ location at any time. Occasionally ‘‘[Reserved]’’ is used editorially to indicate that a portion of the CFR was left vacant and not accidentally dropped due to a printing or computer error. INCORPORATION BY REFERENCE What is incorporation by reference? Incorporation by reference was established by statute and allows Federal agencies to meet the requirement to publish regulations in the Federal Register by referring to materials already published else- where. For an incorporation to be valid, the Director of the Federal Register must approve it. The legal effect of incorporation by reference is that the material is treated as if it were published in full in the Federal Register (5 U.S.C. 552(a)). This material, like any other properly issued regulation, has the force of law. What is a proper incorporation by reference? The Director of the Federal Register will approve an incorporation by reference only when the requirements of 1 CFR part 51 are met. Some of the elements on which approval is based are: (a) The incorporation will substantially reduce the volume of material published in the Federal Register. (b) The matter incorporated is in fact available to the extent necessary to afford fairness and uniformity in the administrative process. (c) The incorporating document is drafted and submitted for publication in accordance with 1 CFR part 51. What if the material incorporated by reference cannot be found? If you have any problem locating or obtaining a copy of material listed as an approved incorporation by reference, please contact the agency that issued the regulation containing that incorporation. If, after contacting the agency, you find the material is not available, please notify the Director of the Federal Register, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, or call 202-741-6010. CFR INDEXES AND TABULAR GUIDES A subject index to the Code of Federal Regulations is contained in a separate volume, revised annually as of January 1, entitled CFR INDEX AND FINDING AIDS. This volume contains the Parallel Table of Authorities and Rules. A list of CFR titles, chapters, subchapters, and parts and an alphabetical list of agencies publishing in the CFR are also included in this volume.

VerDate Sep<11>2014 15:54 Mar 19, 2019 Jkt 247004 PO 00000 Frm 00006 Fmt 8008 Sfmt 8092 Q:\01\1V1.TXT PC31 kpayne on VMOFRWIN702 with $$_JOB An index to the text of ‘‘Title 3—The President’’ is carried within that volume. The Federal Register Index is issued monthly in cumulative form. This index is based on a consolidation of the ‘‘Contents’’ entries in the daily Federal Reg- ister. A List of CFR Sections Affected (LSA) is published monthly, keyed to the revision dates of the 50 CFR titles. REPUBLICATION OF MATERIAL There are no restrictions on the republication of material appearing in the Code of Federal Regulations. INQUIRIES For a legal interpretation or explanation of any regulation in this volume, contact the issuing agency. The issuing agency’s name appears at the top of odd-numbered pages. For inquiries concerning CFR reference assistance, call 202–741–6000 or write to the Director, Office of the Federal Register, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001 or e-mail [email protected]. SALES The Government Publishing Office (GPO) processes all sales and distribution of the CFR. For payment by credit card, call toll-free, 866-512-1800, or DC area, 202-512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2104, 24 hours a day. For payment by check, write to: US Government Publishing Office – New Orders, P.O. Box 979050, St. Louis, MO 63197-9000. ELECTRONIC SERVICES The full text of the Code of Federal Regulations, the LSA (List of CFR Sections Affected), The United States Government Manual, the Federal Register, Public Laws, Public Papers of the Presidents of the United States, Compilation of Presi- dential Documents and the Privacy Act Compilation are available in electronic format via www.ofr.gov. For more information, contact the GPO Customer Con- tact Center, U.S. Government Publishing Office. Phone 202-512-1800, or 866-512- 1800 (toll-free). E-mail, [email protected]. The Office of the Federal Register also offers a free service on the National Archives and Records Administration’s (NARA) World Wide Web site for public law numbers, Federal Register finding aids, and related information. Connect to NARA’s web site at www.archives.gov/federal-register. The e-CFR is a regularly updated, unofficial editorial compilation of CFR material and Federal Register amendments, produced by the Office of the Federal Register and the Government Publishing Office. It is available at www.ecfr.gov.

OLIVER A. POTTS, Director, Office of the Federal Register. January 1, 2019.

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Title 1—GENERAL PROVISIONS is composed of one volume. This volume is comprised of Chapter I—Administrative Committee of the Federal Register, Chapter II—Office of the Federal Register, Chapter III—Administrative Conference of the United States, Chapter IV—Miscellaneous Agencies, and Chapter VI— National Capital Planning Commission. The contents of this volume represents all current regulations codified under this title of the CFR as of January 1, 2019.

Chapter IV contains the current Privacy Act, Freedom of Information Act, and Rehabilitation Act regulations issued by miscellaneous agencies.

For this volume, Ann Worley was Chief Editor. The Code of Federal Regula- tions publication program is under the direction of John Hyrum Martinez, assisted by Stephen J. Frattini.

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Part

CHAPTER I—Administrative Committee of the Federal Reg- ister ...... 1

CHAPTER II—Office of the Federal Register ...... 51

CHAPTER III—Administrative Conference of the United States ...... 301

CHAPTER IV—Miscellaneous Agencies ...... 425 CHAPTER V [Reserved]

CHAPTER VI—National Capital Planning Commission ...... 602

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SUBCHAPTER A—GENERAL

Part Page 1 Definitions ...... 5 2 General information...... 5 3 Services to the public ...... 6

SUBCHAPTER B—THE FEDERAL REGISTER 5 General ...... 8 6 Indexes and ancillaries ...... 9

SUBCHAPTER C—SPECIAL EDITIONS OF THE FEDERAL REGISTER 8 Code of Federal Regulations ...... 11 9 The United States Government Manual ...... 12 10 Presidential Papers...... 13

SUBCHAPTER D—AVAILABILITY OF OFFICE OF THE FEDERAL REGISTER PUBLICATIONS 11 Subscriptions ...... 15 12 Official distribution within Federal Government ... 16

SUBCHAPTER E—PREPARATION, TRANSMITTAL, AND PROCESSING OF DOCUMENTS 15 Services to Federal agencies ...... 19 16 Agency representatives...... 19 17 Filing for public inspection and publication schedules ...... 20 18 Preparation and transmittal of documents generally ...... 22 19 Executive orders and Presidential proclamations .. 25 20 Handling of The United States Government Man- ual statements ...... 26 21 Preparation of documents subject to codification .. 28 22 Preparation of notices and proposed rules ...... 32 23–49 [Reserved]

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PART 1—DEFINITIONS 2.2 Administrative Committee of the Fed- eral Register. 2.3 Office of the Federal Register; location; AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, office hours. 19 FR 2709; 3 CFR, 1954–1958 Comp., p.189. 2.4 General authority of Director. 2.5 Publication of statutes, regulations, and § 1.1 Definitions. related documents. As used in this chapter, unless the 2.6 Unrestricted use. context requires otherwise— AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, Administrative Committee means the 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189; 1 Administrative Committee of the Fed- U.S.C. 112; 1 U.S.C. 113. eral Register established under section SOURCE: 37 FR 23603, Nov. 4, 1972, unless 1506 of title 44, United States Code; otherwise noted. Agency means each authority, whether or not within or subject to review by § 2.1 Scope and purpose. another agency, of the United States, other than the Congress, the courts, (a) This chapter sets forth the poli- the District of Columbia, the Common- cies, procedures, and delegations under wealth of Puerto Rico, and the terri- which the Administrative Committee tories and possessions of the United of the Federal Register carries out its States; general responsibilities under chapter Document includes any Presidential 15 of title 44, United States Code. proclamation or Executive order, and (b) A primary purpose of this chapter any rule, regulation, order, certificate, is to inform the public of the nature code of fair competition, license, no- and uses of Federal Register publica- tice, or similar instrument issued, pre- tions. scribed, or promulgated by an agency; Document having general applicability § 2.2 Administrative Committee of the and legal effect means any document Federal Register. issued under proper authority pre- (a) The Administrative Committee of scribing a penalty or course of conduct, the Federal Register is established by conferring a right, privilege, authority, section 1506 of title 44, United States or immunity, or imposing an obliga- Code. tion, and relevant or applicable to the (b) The Committee consists of— general public, members of a class, or (1) The Archivist, or Acting Archi- persons in a locality, as distinguished from named individuals or organiza- vist, of the United States, who is the tions; and Chairman; Filing means making a document (2) An officer of the Department of available for public inspection at the Justice designated by the Attorney Office of the Federal Register during General; and official business hours. A document is (3) The Public Printer or Acting Pub- filed only after it has been received, lic Printer. processed and assigned a publication (c) The Director of the Federal Reg- date according to the schedule in part ister is the Secretary of the Com- 17 of this chapter. mittee. Regulation and rule have the same (d) Any material required by law to meaning. be filed with the Committee, and any [37 FR 23603, Nov. 4, 1972, as amended at 50 correspondence, inquiries, or other ma- FR 12466, Mar. 28, 1985] terial intended for the Committee or which relate to Federal Register publi- PART 2—GENERAL INFORMATION cations shall be sent to the Director of the Federal Register. Sec. 2.1 Scope and purpose.

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§ 2.3 Office of the Federal Register; lo- (c) Based on source materials that cation; office hours. are officially related to the acts and (a) The Office of the Federal Register documents filed under paragraph (a) of is a component of the National Ar- this section, the Office also publishes chives and Records Administration. ‘‘The United States Government Man- (b) The Office is located at 800 North ual,’’ the ‘‘Public Papers of the Presi- Capitol, NW., suite 700, Washington, dents of the United States,’’ the ‘‘Daily DC. Compilation of Presidential Docu- (c) The mailing address is: Office of ments,’’ the ‘‘FEDERAL REGISTER the Federal Register, National Ar- Index,’’ and the ‘‘LSA (List of CFR chives and Records Administration, Sections Affected).’’ Washington, DC 20408. (d) Office hours are 8:45 a.m. to 5:15 [37 FR 23603, Nov. 4, 1972, as amended at 54 p.m., Monday through Friday, except FR 9676, Mar. 7, 1989; 74 FR 3952, Jan. 21, 2009] for official Federal holidays. § 2.6 Unrestricted use. [37 FR 23603, Nov. 4, 1972, as amended at 54 Any person may reproduce or repub- FR 9676, Mar. 7, 1989; 57 FR 40024, Sept. 1, 1992] lish, without restriction, any material appearing in any regular or special edi- § 2.4 General authority of Director. tion of the FEDERAL REGISTER. (a) The Director of the Federal Reg- ister is delegated authority to admin- PART 3—SERVICES TO THE PUBLIC ister generally this chapter, the related provisions of chapter 15 of title 44, Sec. United States Code, and the pertinent 3.1 Information services. provisions of statutes and regulations 3.2 Public inspection of documents. contemplated by section 1505 of title 44, 3.3 Reproduction and certification of copies United States Code. of acts and documents. (b) The Director may return to the AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, issuing agency any document sub- 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189. mitted for publication in the FEDERAL REGISTER, or a special edition thereof, SOURCE: 37 FR 23604, Nov. 4, 1972, unless if in the Director’s judgment the docu- otherwise noted. ment does not meet the minimum requirements of this chapter. § 3.1 Information services. Except in cases where the time re- [37 FR 23603, Nov. 4, 1972, as amended at 54 FR 9676, Mar. 7, 1989] quired would be excessive, information concerning the publications described § 2.5 Publication of statutes, regula- in § 2.5 of this chapter and the original tions, and related documents. acts and documents filed with the Of- (a) The Director of the Federal Reg- fice of the Federal Register is provided ister is responsible for the central fil- by the staff of that Office. However, ing of the original acts enacted by Con- the staff may not summarize or inter- gress and the original documents con- pret substantive text of any act or doc- taining Executive orders and proclama- ument. tions of the President, other Presi- dential documents, regulations, and § 3.2 Public inspection of documents. notices of proposed rulemaking and (a) Documents filed with the Office of other notices, submitted to the Direc- the Federal Register pursuant to law tor by officials of the executive branch are available for public inspection at of the Federal Government. 800 North Capitol Street, NW., suite (b) Based on the acts and documents 700, Washington, DC, during the Office filed under paragraph (a) of this sec- of the Federal Register office hours. tion, the Office of the Federal Register There are no formal inspection proce- publishes the ‘‘slip laws,’’ the ‘‘United States Statutes at Large,’’ the daily dures or requirements. FEDERAL REGISTER and the ‘‘Code of Federal Regulations.’’

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(b) The Director of the Federal Reg- § 3.3 Reproduction and certification of ister shall cause each document re- copies of acts and documents. ceived by the office to be filed for pub- The regulations for the public use of lic inspection not later than the working day preceding the publication day records in the National Archives (36 for that document. CFR parts 1252–1258) govern the fur- (c) The Director shall cause to be nishing of reproductions of acts and placed on the original and certified documents and certificates of authen- copies of each document a notation of tication for them. Section 1258.14 of the day and hour when it was filed and those regulations provides for the ad- made available for public inspection. vance payment of appropriate fees for (d) Photocopies of documents or ex- reproduction services and for certi- cerpts may be made at the inspection fying reproductions. desk. [51 FR 27017, July 29, 1986, as amended at 54 [37 FR 23604, Nov. 4, 1972, as amended at 54 FR 9676, Mar. 7, 1989] FR 9676, Mar. 7, 1989; 57 FR 40025, Sept. 1, 1992]

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PART 5—GENERAL (a) Presidential proclamations and Executive orders in the numbered se- Sec. ries, and each other document that the 5.1 Publication policy. President submits for publication or 5.2 Documents required to be filed for pub- orders to be published. lic inspection and published. (b) Each document or class of docu- 5.3 Publication of other documents. ments required to be published by act 5.4 Publication not authorized. 5.5 Supplement to the Code of Federal Reg- of Congress. ulations. (c) Each document having general ap- 5.6 Daily publication. plicability and legal effect. 5.7 Delivery and mailing. 5.8 Form of citation. [37 FR 23604, Nov. 4, 1972, as amended at 54 5.9 Categories of documents. FR 9676, Mar. 7, 1989] 5.10 Forms of publication. § 5.3 Publication of other documents. AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189. Whenever the Director of the Federal Register considers that publication of a SOURCE: 37 FR 23604, Nov. 4, 1972, unless otherwise noted. document not covered by § 5.2 would be in the public interest, the Director § 5.1 Publication policy. may allow that document to be filed (a) Pursuant to chapter 15 of title 44, for public inspection with the Office of United States Code, and this chapter, the Federal Register and published in the Director of the Federal Register the FEDERAL REGISTER. shall publish a serial publication called [54 FR 9676, Mar. 7, 1989] the FEDERAL REGISTER to contain the following: § 5.4 Publication not authorized. (1) Executive orders, proclamations, (a) Chapter 15 of title 44, United and other Presidential documents. States Code, does not apply to treaties, (2) Documents required to be pub- conventions, protocols, or other inter- lished therein by law. national agreements, or proclamations (3) Documents accepted for publication under § 5.3. thereof by the President. (b) Each document required or au- (b) Chapter 15 of title 44, United thorized to be filed for publication States Code, prohibits the publication shall be published in the FEDERAL REG- in the FEDERAL REGISTER of comments ISTER as promptly as possible, within or news items. limitations imposed by considerations (c) The Director of the Federal Reg- of accuracy, usability, and reasonable ister may not accept any document for costs. filing and publication unless it is the (c) In prescribing regulations gov- official action of the agency concerned. erning headings, preambles, effective Chapter 15 of title 44, United States dates, authority citations, and similar Code, does not authorize or require the matters of form, the Administrative filing and publication of other papers Committee does not intend to affect from an agency. the validity of any document that is filed and published under law. § 5.5 Supplement to the Code of Fed- eral Regulations. § 5.2 Documents required to be filed for public inspection and published. The FEDERAL REGISTER serves as a daily supplement to the Code of Fed- The following documents are re- eral Regulations. Each document that quired to be filed for public inspection is subject to codification and published with the Office of the Federal Register in a daily issue shall be keyed to the and published in the FEDERAL REG- Code of Federal Regulations. ISTER:

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§ 5.6 Daily publication. changes to regulations in the Code of Federal Regulations, begin a rule- There shall be an edition of the FED- making proceeding, and affect or relate ERAL REGISTER published for each official Federal working day. to other documents previously published in the proposed rules section. [54 FR 9676, Mar. 7, 1989] (d) Notices. This category contains miscellaneous documents applicable to § 5.7 Delivery and mailing. the public and not covered by para- The Government Printing Office graphs (a), (b), and (c) of this section. shall distribute the FEDERAL REGISTER This category includes announcements by delivery or by deposit at a post of- of meetings and other information of fice at or before 9 a.m. on the publica- public interest. tion day, except that each FEDERAL [37 FR 23604, Nov. 4, 1972, as amended at 54 REGISTER dated for a Monday shall be FR 9676, Mar. 7, 1989] deposited at a post office at or before 9 a.m. on the preceding Saturday. § 5.10 Forms of publication. § 5.8 Form of citation. Pursuant to section 1506 of title 44, United States Code, the Administrative Without prejudice to any other form Committee publishes the FEDERAL of citation, FEDERAL REGISTER mate- REGISTER in the following formats: rial may be cited by volume and page paper; microfiche; and online on GPO number, and the short form ‘‘FR’’ may Access (44 U.S.C. 4101). be used for ‘‘FEDERAL REGISTER’’. For example, ‘‘37 FR 6803’’ refers to mate- [61 FR 68118, Dec. 27, 1996] rial beginning on page 6803 of volume 37 of the daily issues. PART 6—INDEXES AND ANCILLARIES § 5.9 Categories of documents. Each document published in the FED- Sec. ERAL REGISTER shall be placed under 6.1 Index to daily issues. one of the following categories, as indi- 6.2 Analytical subject indexes. cated: 6.3 Daily lists of parts affected. 6.4 Monthly list of sections affected. (a) The President. This category con- 6.5 Indexes, digests, and guides. tains each Executive order or Presi- dential proclamation and each other AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, Presidential document that the Presi- 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189. dent submits for publication or orders SOURCE: 37 FR 23605, Nov. 4, 1972, unless to be published. otherwise noted. (b) Rules and regulations. This category contains each document having § 6.1 Index to daily issues. general applicability and legal effect, Each daily issue of the FEDERAL REG- except those covered by paragraph (a) ISTER shall be appropriately indexed. of this section. This category includes documents subject to codification, gen- § 6.2 Analytical subject indexes. eral policy statements concerning reg- Analytical subject indexes covering ulations, interpretations of agency reg- the contents of the FEDERAL REGISTER ulations, statements of organization shall be published as currently as prac- and function, and documents that af- ticable and shall be cumulated and sep- fect other documents previously pub- arately published at least once each lished in the rules and regulations sec- calendar year. tion. (c) Proposed rules. This category con- § 6.3 Daily lists of parts affected. tains each notice of proposed rule- (a) Each daily issue of the FEDERAL making submitted pursuant to section REGISTER shall carry a numerical list 553 of title 5, United States Code, or of the parts of the Code of Federal Reg- any other law, which if promulgated as ulations specifically affected by docu- a rule, would have general applica- ments published in that issue. bility and legal effect. This category (b) Beginning with the second issue includes documents that suggest of each month, each daily issue shall

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also carry a cumulated list of the parts publication of indexes, digests, and affected by documents published dur- similar guides, based on laws, Presi- ing that month. dential documents, regulatory documents, and notice materials published § 6.4 Monthly list of sections affected. by the Office, which will serve users of A monthly list of sections of the the FEDERAL REGISTER. Indexes, di- Code of Federal Regulations affected gests, and similar guides will be pub- shall be separately published on a cu- lished yearly or at other intervals as mulative basis during each calendar necessary to keep them current and year. The list shall identify the sec- useful. tions of the Code specifically affected (b) Each index, digest, and guide is by documents published in the FED- considered to be a special edition of the ERAL REGISTER during the period it covers. FEDERAL REGISTER whenever the public need requires special printing or spe- § 6.5 Indexes, digests, and guides. cial binding in substantial numbers. (a) The Director of the Federal Reg- [54 FR 9676, Mar. 7, 1989] ister may order the preparation and

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PART 8—CODE OF FEDERAL notation to that effect may serve as REGULATIONS the supplement for that year. More fre- quent updating of any unit of the Code Sec. may be made whenever the Director of 8.1 Policy. the Federal Register determines that 8.2 Orderly development. the content of the unit has been sub- 8.3 Periodic updating. stantially superseded or otherwise de- 8.4 Indexes. termines that such action would be 8.5 Ancillaries. consistent with the intent and purpose 8.6 Forms of publication. of the Administrative Committee as 8.7 Agency cooperation. 8.9 Form of citation. stated in § 8.1. (b) Staggered publication. The Code AUTHORITY: 44 U.S.C. 1506, 1510; sec. 6, E.O. will be produced over a 12-month period 10530, 19 FR 2709, 3 CFR, 1954–1958 Comp., p. under a staggered publication system 189. to be determined by the Director of the SOURCE: 37 FR 23605, Nov. 4, 1972, unless Federal Register. otherwise noted. (c) Cutoff dates. Each updated title of the Code will reflect each amendment § 8.1 Policy. to that title published as a codified (a) Pursuant to chapter 15 of title 44, regulation in the FEDERAL REGISTER on United States Code, the Director of the or before the ‘‘As of’’ date. Thus, each Federal Register shall publish periodi- title updated as of July 1 each year will cally a special edition of the FEDERAL reflect all amendatory documents ap- REGISTER to present a compact and pearing in the daily FEDERAL REGISTER practical code called the ‘‘Code of Fed- on or before July 1. eral Regulations’’, to contain each Fed- eral regulation of general applicability [37 FR 23605, Nov. 4, 1972, as amended at 54 FR 9677, Mar. 7, 1989] and legal effect. (b) The Administrative Committee § 8.4 Indexes. intends that every practical means be A subject index to the entire Code used to keep the Code as current and shall be annually revised and sepa- readily usable as possible, within limi- rately published. An agency-prepared tations imposed by dependability and index for any individual book may be reasonable costs. published with the approval of the Di- [37 FR 23605, Nov. 4, 1972, as amended at 54 rector of the Federal Register. FR 9677, Mar. 7, 1989] § 8.5 Ancillaries. § 8.2 Orderly development. The Code shall provide, among oth- To assure orderly development of the ers, the following-described finding Code of Federal Regulations along aids: practical lines, the Director of the Fed- (a) Parallel tables of statutory authori- eral Register may establish new titles ties and rules. In the Code of Federal in the Code and rearrange existing ti- Regulations Index or at such other tles and subordinate assignments. How- place as the Director of the Federal ever, before taking an action under Register considers appropriate, numer- this section, the Director shall consult ical lists of all sections of the current with each agency directly affected by edition of the United States Code (ex- the proposed change. cept section 301 of title 5) which are cited by issuing agencies as rule- § 8.3 Periodic updating. making authority for currently effec- (a) Criteria. Each book of the Code tive regulations in the Code of Federal shall be updated at least once each cal- Regulations. The lists shall be ar- endar year. If no change in its contents ranged in the order of the titles and has occurred during the year, a simple sections of the United States Code with

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parallel citations to the pertinent ti- essary, set requirements for microfiche tles and parts of the Code of Federal images, and oversee the organization Regulations. and means of access to material in the (b) Parallel tables of Presidential docu- online edition. ments and agency rules. In the Code of [65 FR 8843, Feb. 23, 2000] Federal Regulations Index, or at such other place as the Director of the Fed- § 8.7 Agency cooperation. eral Register considers appropriate, tables of proclamations, Executive or- Each agency shall cooperate in keep- ders, and similar Presidential docu- ing publication of the Code current by ments which are cited as rulemaking complying promptly with deadlines set authority in currently effective regula- by the Director of the Federal Register tions in the Code of Federal Regula- and the Public Printer. tions. § 8.9 Form of citation. (c) List of CFR sections affected. Fol- lowing the text of each Code of Federal The Code of Federal Regulations may Regulations volume, a numerical list be cited by title and section, and the of sections which are affected by docu- short form ‘‘CFR’’ may be used for ments published in the FEDERAL REG- ‘‘Code of Federal Regulations.’’ For ex- ISTER. (Separate volumes, ‘‘List of Sec- ample, ‘‘1 CFR 10.2’’ refers to title 1, tions Affected, 1949–1963’’ and ‘‘List of Code of Federal Regulations, part 10, CFR Sections Affected, 1964–1972’’, list section 2. all sections of the Code which have been affected by documents published PART 9—THE UNITED STATES during the period January 1, 1949, to GOVERNMENT MANUAL December 31, 1963, and January 1, 1964, to December 31, 1972, respectively.) 1 Sec. Listings shall refer to FEDERAL REG- 9.1 Publication required. ISTER pages and shall be designed to en- 9.2 Scope. able the user of the Code to find the AUTHORITY: 5 U.S.C. 552; 44 U.S.C. 1506; sec. precise text that was in effect on a 6, E.O. 10530, 19 FR 2709; 3 CFR, 1954–1958 given date in the period covered. Comp., p. 189. [37 FR 23605, Nov. 4, 1972, as amended at 54 SOURCE: 76 FR 6312, Feb. 4, 2011, unless oth- FR 9677, Mar. 7, 1989] erwise noted.

§ 8.6 Forms of publication. § 9.1 Publication required. (a) Under section 1506 of title 44, (a) The Director publishes a special United States Code, the Administrative edition of the FEDERAL REGISTER called Committee authorizes publication of ‘‘The United States Government Man- the Code of Federal Regulations in the ual’’ as authorized by the Administra- following formats: tive Committee. (1) Paper; (b) The Director may update the (2) Microfiche; and Manual when such supplementation is (3) Online on GPO Access (44 US.C. considered to be in the public interest. 4101). (b) The Director of the Federal Reg- § 9.2 Scope. ister is authorized to regulate the for- (a) The Manual will contain appro- mat of the Code of Federal Regulations priate information about the Execu- according to the needs of users and tive, Legislative, and Judicial branches compatibility with the facilities of the of the Federal Government, which for Government Printing Office. The Di- the major Executive agencies will in- rector may provide for the Code of Fed- clude— eral Regulations to be printed in as (1) Descriptions of the agency’s legal many separately bound books as nec- authorities, public purposes, programs, and functions; 1 A three volume set, ‘‘List of CFR Sections (2) Established places and methods Affected, 1973–1985’’, lists all sections of the whereby the public may obtain infor- Code which have been affected during the pe- mation and make submittals or re- riod January 1, 1973 to December 31, 1985. quests; and

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(3) Lists of officials heading major (1) Announcements of Presidential operating units. appointments and nominations; (b) The Manual will also contain brief (2) White House statements and an- information about quasi-official agen- nouncements on miscellaneous sub- cies and supplemental information jects; that, in the opinion of the Director, is (3) Statements by the Press Sec- of enough public interest to warrant. retary or Deputy Press Secretary; (4) Statements and news conferences PART 10—PRESIDENTIAL PAPERS by senior administration officials; and (5) Fact sheets. Subpart A—Regular Publication [50 FR 12467, Mar. 28, 1985, as amended at 74 Sec. FR 3952, Jan. 21, 2009] 10.1 Publication required. 10.2 Scope and sources. § 10.3 Format. 10.3 Format. The Daily Compilation of Presi- dential Documents is published online Subpart B—Annual Publication on the Government Printing Office ac- 10.10 Publication required. cess system. 10.11 Scope and sources. 10.12 Format, indexes, and ancillaries. [74 FR 3952, Jan. 21, 2009] 10.13 Coverage of prior years.

AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, Subpart B—Annual Publication 19 FR 2709, 3 CFR, 1954–1958 Comp., p. 189. § 10.10 Publication required. SOURCE: 50 FR 12467, Mar. 28, 1985, unless otherwise noted. The Director of the Federal Register shall publish annually a special edition Subpart A—Regular Publication of the FEDERAL REGISTER called the ‘‘Public Papers of the Presidents of the § 10.1 Publication required. United States’’. The Director publishes a special edi- § 10.11 Scope and sources. tion of the FEDERAL REGISTER com- piling recent presidential documents, The basic text of the Public Papers called ‘‘The Daily Compilation of Pres- consists of the documents compiled idential Documents.’’ under subpart A of this part. [74 FR 3952, Jan. 21, 2009] [74 FR 3952, Jan. 21, 2009]

§ 10.2 Scope and sources. § 10.12 Format, indexes, and ancillaries. (a) The text of the publication consists of oral statements by the Presi- (a) Each publication covers one cal- dent or of writing subscribed by the endar year, unless procedures require President, and selected from tran- otherwise, and is divided into books ac- scripts or text issued by the Office of cording to the amount of material to the White House Press Secretary, in- be included. The publication is pub- cluding— lished in the binding and style that the (1) Communications to Congress; Administrative Committee of the Fed- (2) Public addresses and remarks; eral Register considers suitable to the (3) News conferences and interviews; dignity of the Office of the President of (4) Public messages and letters; the United States. (5) Statements released on miscella- (b) Each publication is appropriately neous subjects; and indexed and contains additional ancil- (6) Formal executive documents pro- lary information and illustrative mate- mulgated in accordance with law. rial respecting significant Presidential (b) In addition, each publication in- documents and activities. cludes selections, either in full text or ancillary form, from the following § 10.13 Coverage of prior years. groups of documents, when issued by The Administrative Committee may the Press Office. authorize the publication of volumes of

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papers of the Presidents covering speci- with the National Historical Publica- fied years before 1945 after consulting tions and Records Commission.

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PART 11—SUBSCRIPTIONS pages; and $33 for an issue containing more than 400 pages. Single issues of Sec. the microfiche edition may be pur- 11.1 Subscription by the public. chased for $3 per copy, including post- 11.2 Federal Register. age. 11.3 Code of Federal Regulations. (b) The online edition of the FEDERAL 11.4 The United States Government Manual. REGISTER, issued under the authority 11.5 Public Papers of the Presidents of the of the Administrative Committee, is United States. available on GPO Access, a service of 11.6 [Reserved] 11.7 Federal Register Index. the Government Printing Office (44 11.8 LSA (List of CFR Sections Affected). U.S.C. 4101).

AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, [61 FR 68119, Dec. 27, 1996, as amended at 65 19 FR 2709, 3 CFR, 1954–1958 Comp., p. 189. FR 8843, Feb. 23, 2000; 66 FR 44524, Aug. 24, 2001; 69 FR 12783, Mar. 18, 2004] SOURCE: 54 FR 9677, Mar. 7, 1989, unless otherwise noted. § 11.3 Code of Federal Regulations. § 11.1 Subscription by the public. (a) The subscription price for a com- The Government Printing Office pro- plete set of the Code of Federal Regula- duces the paper and microfiche editions is $1,019 per year for the bound, tions of the publications described in paper edition, or $247 per year for the § 2.5 of this chapter, and the Super- microfiche edition. Those prices ex- intendent of Documents, Government clude postage. The prevailing postal Printing Office, Washington, DC 20402, rates will be applied to orders accord- makes them available for sale to the ing to the delivery method requested. public. All fees are payable in advance The Government Printing Office sells to the Superintendent of Documents, individual volumes of the paper edition Government Printing Office. They are of the Code of Federal Regulations at not available for free distribution to prices determined by the Super- the public. intendent of Documents under the general direction of the Administrative [54 FR 9677, Mar. 7, 1989, as amended at 61 FR Committee. The price of a single vol- 68118, Dec. 27, 1996] ume of the microfiche edition is $4 per § 11.2 Federal Register. copy, including postage. (b) The online edition of the Code of (a) The subscription price for the Federal Regulations, issued under the paper edition of the daily FEDERAL authority of the Administrative Com- REGISTER is $749 per year. A combined mittee, is available on GPO Access, a subscription to the daily FEDERAL REG- service of the Government Printing Of- ISTER, the monthly FEDERAL REGISTER fice (44 U.S.C. 4101). Index, and the monthly LSA (List of CFR Sections Affected) is $808 per year [65 FR 8843, Feb. 23, 2000, as amended at 66 for the paper edition, or $165 per year FR 44524, Aug. 24, 2001; 69 FR 12783, Mar. 18, for the microfiche edition. Six-month 2004] subscriptions for the paper and microfiche editions are also available at one- § 11.4 The United States Government half the annual rate. Those prices ex- Manual. clude postage. The prevailing postal (a) The online edition of the Manual, rates will be applied to orders accord- issued under the authority of the Ad- ing to the delivery method requested. ministrative Committee, is available The price of a single copy of the daily through the Government Printing Of- FEDERAL REGISTER, including postage, fice’s Web site. is based on the number of pages: $11 for (b) Copies of a bound, paper edition of an issue containing less than 200 pages; the Manual may be sold at a price de- $22 for an issue containing 200 to 400 termined by the Superintendent of

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Documents under the general direction more than five copies of each daily of the Administrative Committee. issue based on a written request to the [76 FR 6313, Feb. 4, 2011] Director of the Federal Register. (2) Congressional committees. Each § 11.5 Public Papers of the Presidents committee of the Senate and the House of the United States. of Representatives will be provided Copies of annual clothbound volumes with the number of copies needed for are sold at a price determined by the official use based on a written request Superintendent of Documents under from the chairperson, or authorized the general direction of the Adminis- delegate, to the Director of the Federal trative Committee. Register. (3) Supreme Court. The Supreme Court § 11.6 [Reserved] will be provided with the number of copies needed for official use based on § 11.7 Federal Register Index. a written request to the Director of the The annual subscription price for the Federal Register. monthly FEDERAL REGISTER Index, pur- (4) Other courts. Other constitutional chased separately, in paper form, is $29. or legislative courts of the United The price excludes postage. The pre- States will be provided with the num- vailing postal rates will be applied to ber of copies needed for official use orders according to the delivery meth- based on a written request from the Di- od requested. rector of the Administrative Office of [69 FR 12783, Mar. 18, 2004] the U.S. Courts, or authorized delegate, to the Director of the Federal Register. § 11.8 LSA (List of CFR Sections Af- (5) Executive agencies. Each Federal fected). executive agency will be provided with The annual subscription price for the the number of copies needed for official monthly LSA (List of CFR Sections Af- use based on a written request from the fected), purchased separately, in paper agency Federal Register authorizing form, is $30. The price excludes post- officer, or the alternate, designated age. The prevailing postal rates will be under § 16.1 of this chapter, to the Di- applied to orders according to the de- rector of the Federal Register. livery method requested. (b) Requisitions for quantity over- runs of specific issues to be paid for by [69 FR 12783, Mar. 18, 2004] the agency are available as follows: (1) To meet its needs for special dis- PART 12—OFFICIAL DISTRIBUTION tribution of the FEDERAL REGISTER in WITHIN FEDERAL GOVERNMENT substantial quantity, any agency may request an overrun of a specific issue. Sec. (2) An advance printing and binding 12.1 Federal Register. 12.2 Code of Federal Regulations. requisition on Standard Form 1 must 12.4 Weekly Compilation of Presidential be submitted by the agency directly to Documents. the Government Printing Office, to be 12.5 Public Papers of the Presidents of the received not later than 12 noon on the United States. working day before publication. AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, (c) Requisitions for quantity over- 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189. runs of separate part issues to be paid SOURCE: 54 FR 9678, Mar. 7, 1989, unless oth- for by the agency are available as fol- erwise noted. lows: (1) Whenever it is determined by the § 12.1 Federal Register. Director of the Federal Register to be (a) Copies of the daily FEDERAL REG- in the public interest, one or more doc- ISTER in paper or microfiche form shall uments may be published as a separate be made available to the following part (e.g., part II, part III) of the FED- without charge: ERAL REGISTER. (1) Members of Congress. Each Senator (2) Advance arrangements for this and each Member of the House of Rep- service must be made with the Office of resentatives will be provided with not the Federal Register.

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(3) Any agency may request an over- press run, of a printing and binding run of such a separate part by submit- requisition to the Government Print- ting an advance printing and binding ing Office on Standard Form 1. requisition on Standard Form 1 di- (c) After the press run, each request rectly to the Government Printing Of- for extra copies of selected units of the fice, to be received not later than 12 Code must be addressed to the Super- noon on the working day before the intendent of Documents, to be paid for publication date. by the agency making the request. (d) An agency may order limited quantities of extra copies of a specific § 12.4 Weekly Compilation of Presi- issue of the FEDERAL REGISTER for offi- dential Documents. cial use, from the Superintendent of (a) Copies of the Weekly Compilation Documents, to be paid for by that of Presidential Documents shall be agency. made available to the following with- (e) Copies of the Federal Register out charge: Index and LSA (List of CFR Sections (1) Members of Congress. Each Senator Affected) are included with each FED- and each Member of the House of Rep- ERAL REGISTER official distribution. resentatives will be provided with the number of copies needed for official use § 12.2 Code of Federal Regulations. based on a written request to the Di- (a) Copies of the Code of Federal Reg- rector of the Federal Register. ulations in paper or microfiche form (2) Congressional committees. Each shall be made available to the fol- committee of the Senate and the House lowing without charge: of Representatives will be provided (1) Congressional committees. Each with the number of copies needed for committee of the Senate and House of official use based on a written request Representatives will be provided with from the chairperson, or authorized the number of copies needed for official delegate, to the Director of the Federal use based on a written request from the Register. chairperson, or authorized delegate, to (3) Supreme Court. The Supreme Court the Director of the Federal Register. will be provided with the number of (2) Supreme Court. The Supreme Court copies needed for official use based on will be provided with the number of a written request to the Director of the copies needed for official use based on Federal Register. a written request to the Director of the (4) Other courts. Other constitutional Federal Register. and legislative courts of the United (3) Other courts. Other constitutional States will be provided with the num- and legislative courts of the United ber of copies needed for official use States will be provided with the num- based on a written request from the Di- ber of copies needed for official use rector of the Administrative Office of based on a written request from the Di- the U.S. Courts, or authorized delegate, rector of the Administrative Office of to the Director of the Federal Register. the U.S. Courts, or authorized delegate, (5) Executive agencies. Each Federal to the Director of the Federal Register. executive agency will be provided with (4) Executive agencies. Each Federal the number of copies needed for official executive agency will be provided with use based on a written request from the the number of copies needed for official agency Federal Register authorizing use, not to exceed 300 copies of indi- officer, or the alternate designated vidual titles per agency, based on a under § 16.1 of this chapter, to the Di- written request from the agency Fed- rector of the Federal Register. eral Register authorizing officer, or the (b) Legislative, judicial, and execu- alternate, designated under § 16.1 of tive agencies of the Federal Govern- this chapter, to the Director of the ment may obtain additional copies of Federal Register. selected issues of the Weekly Compila- (b) Legislative, judicial, and execu- tion of Presidential Documents, at tive agencies of the Federal Govern- cost, for official use, by submission, be- ment may obtain additional copies of fore the press run, of a printing and selected units of the Code, at cost, for binding requisition to the Government official use, by submission, before the Printing Office on a Standard Form 1.

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(c) After the press run, each request written request to the Director of the for extra copies of selected issues must Federal Register. be addressed to the Superintendent of (3) Executive agencies. Each head of a Documents, to be paid for by the agen- Federal executive agency will be pro- cy making the request. vided with one copy of each annual publication based on a written request § 12.5 Public Papers of the Presidents from the agency Federal Register au- of the United States. thorizing officer, or the alternate, des- (a) Copies of the Public Papers of the ignated under § 16.1 of this chapter, to Presidents of the United States shall the Director of the Federal Register. be made available to the following (b) Legislative, judicial, and execu- without charge: tive agencies of the Federal Govern- (1) Members of Congress. Each Senator ment may obtain additional copies, at and each Member of the House of Rep- cost, for official use, by submission be- resentatives will be provided with one fore the press run, of a printing and copy of each annual publication pub- binding requisition to the Government lished during the Member’s term in of- Printing Office on Standard Form 1. fice based on a written request to the (c) After the press run, each request Director of the Federal Register. for extra copies must be addressed to (2) Supreme Court. The Supreme Court the Superintendent of Documents, to will be provided with not more than 12 be paid for by the agency making the copies of each publication based on a request.

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PART 15—SERVICES TO FEDERAL § 15.4 Reproduction and certification AGENCIES of copies of acts and documents. The Director of the Federal Register Subpart A—General shall furnish to requesting agencies, at cost, reproductions or certified copies Sec. of original acts and documents filed 15.1 Cooperation. with that Office that are needed for of- 15.2 Information services. ficial use unless funds are appropriated 15.3 Staff assistance. for that purpose. 15.4 Reproduction and certification of copies of acts and documents. [50 FR 12468, Mar. 28, 1985, as amended at 54 FR 9679, Mar. 7, 1989] Subpart B—Special Assistance

15.10 Information on drafting and publica- Subpart B—Special Assistance tion. § 15.10 Information on drafting and AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, publication. 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189. The Director of the Federal Register SOURCE: 37 FR 23607, Nov. 4, 1972, unless may prepare, and distribute to agen- otherwise noted. cies, information and instructions designed to promote effective compliance Subpart A—General with the purposes of chapter 15 of title 44, United States Code, sections 552–553 § 15.1 Cooperation. of title 5, United States Code, related statutes, and this chapter. The Direc- The Director of the Federal Register tor may also develop and conduct pro- shall assist each agency in complying grams of technical instruction. with the pertinent publication laws to assure efficient public service in pro- mulgating administrative documents PART 16—AGENCY having the effect of legal notice or of REPRESENTATIVES law. Sec. § 15.2 Information services. 16.1 Designation. 16.2 Liaison duties. The Director of the Federal Register 16.3 Certifying duties. shall provide for the answering of each 16.4 Authorizing duties. appropriate inquiry presented in per- AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, son, by telephone, or in writing. Each 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189. written communication and each matter involving the Administrative Com- SOURCE: 37 FR 23608, Nov. 4, 1972, unless otherwise noted. mittee shall be sent to the Director, Office of the Federal Register, National § 16.1 Designation. Archives and Records Administration, Washington, DC 20408. (a) Each agency shall designate, from its officers or employees, persons to [50 FR 12468, Mar. 28, 1985] serve in the following capacities with relation to the Office of the Federal § 15.3 Staff assistance. Register: The staff of the Office of the Federal (1) A liaison officer and an alternate. Register shall provide informal assist- (2) A certifying officer and an alter- ance and advice to officials of the var- nate. ious agencies with respect to general or (3) An authorizing officer and an al- specific programs of regulatory draft- ternate. ing, procedures, and promulgation The same person may be designated to practices. serve in one or more of these positions.

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(b) In choosing its liaison officer, Compilation of Presidential Documents each agency should consider that this for official use. officer will be the main contact be- [54 FR 9679, Mar. 7, 1989] tween that agency and the Office of the Federal Register and that the liaison officer will be charged with the duties PART 17—FILING FOR PUBLIC IN- set forth in § 16.2. Therefore, the agency SPECTION AND PUBLICATION should choose a person who is directly SCHEDULES involved in the agency’s regulatory program. Sec. (c) Each agency shall notify the Di- rector of the name, title, address, and Subpart A—Receipt and Processing telephone number of each person it des- 17.1 Receipt and processing. ignates under this section and shall promptly notify the Director of any Subpart B—Regular Schedule changes. 17.2 Procedure and timing for regular sched- § 16.2 Liaison duties. ule. Each agency liaison officer shall— Subpart C—Emergency Schedule (a) Represent the agency in all matters relating to the submission of docu- 17.3 Criteria for emergency publication. ments to the Office of the Federal Reg- 17.4 Procedure and timing for emergency ister, and respecting general compli- publication. ance with this chapter; 17.5 Criteria for emergency filing for public (b) Be responsible for the effective inspection. 17.6 Procedure and timing for emergency distribution and use within the agency filing for public inspection. of Federal Register information on document drafting and publication as- Subpart D—Deferred Schedule sistance authorized by § 15.10 of this chapter; 17.7 Criteria for deferred schedule. (c) Promote the agency’s participa- AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, tion in the technical instruction au- 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189. thorized by § 15.10 of this chapter; and SOURCE: 37 FR 23608, Nov. 4, 1972, unless (d) Be available to discuss documents otherwise noted. submitted for publication with the edi- tors of the FEDERAL REGISTER. Subpart A—Receipt and [54 FR 9679, Mar. 7, 1989] Processing

§ 16.3 Certifying duties. § 17.1 Receipt and processing. The agency certifying officer is re- Unless special arrangements are sponsible for attaching the required made with the Director of the Federal number of true copies of each original Register, the Office of the Federal Reg- document submitted by the agency to ister receives documents only during the Office of the Federal Register and official working hours. Upon receipt, for making the certification required each document shall be held for con- by §§ 18.5 and 18.6 of this chapter. fidential processing until it is filed for [54 FR 9679, Mar. 7, 1989] public inspection. § 16.4 Authorizing duties. Subpart B—Regular Schedule The agency authorizing officer is responsible for furnishing, to the Direc- § 17.2 Procedure and timing for reg- tor of the Federal Register, a current ular schedule. mailing list of officers or employees of (a) Each document received shall be the agency who are authorized to re- filed for public inspection only after it ceive the FEDERAL REGISTER, the Code has been received, processed and as- of Federal Regulations, and the Weekly signed a publication date.

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(b) Except as provided in paragraph § 17.4 Procedure and timing for emer- (d) of this section, each document re- gency publication. ceived by 2:00 p.m. which meets the re- (a) Each agency requesting publica- quirements of this chapter shall be as- tion on the emergency schedule shall signed to the regular schedule. Unless briefly describe the emergency and the the issuing agency makes special ar- benefits to be attributed to immediate rangements otherwise, or the Office de- publication in the FEDERAL REGISTER. termines that the document requires a The request must be made by letter. deferred schedule (see 1 CFR 17.7), re- (b) The Director of the Federal Reg- ceipt of a document by 2:00 p.m. is con- ister shall assign a document to the sidered to be a request for filing for emergency schedule whenever the Di- public inspection and publication on rector concurs with a request for that the regular schedule. Documents re- action and it is feasible. ceived after 2:00 p.m. which meet the (c) Each document assigned to the requirements of this chapter shall be emergency schedule shall be published assigned to the next working day’s reg- as soon as possible. ular schedule. (d) Each document assigned to the (c) The regular schedule for filing for emergency schedule for publication public inspection and publication is as will be filed for public inspection on follows: the working day before publication unless emergency filing for public inspec- Received before Filed for public in- tion is also requested. 2:00 p.m. spection Published [37 FR 23608, Nov. 4, 1972, as amended at 54 Monday ...... Wednesday ...... Thursday FR 9680, Mar. 7, 1989] Tuesday ...... Thursday ...... Friday Wednesday ...... Friday ...... Monday § 17.5 Criteria for emergency filing for Thursday ...... Monday ...... Tuesday public inspection. Friday ...... Tuesday ...... Wednesday An agency may request emergency filing for public inspection for docu- Where a legal Federal holiday inter- ments to be published under the reg- venes, one additional work day is ular, emergency or deferred publica- added. tion schedules. Emergency filing for (d) Each notice of meeting issued public inspection provides for the fast- under the ‘‘Government in the Sun- est possible public access to a docu- shine Act’’ (5 U.S.C. 552b(e)(3)) is placed ment after it has been received, proc- on immediate public inspection after it essed and assigned a publication date. has been received, processed, and as- Emergency filing for public inspection signed a publication date. is considered a special arrangement (1) Each notice received before 4:00 under § 17.2 of this part that results in p.m. is scheduled to be published 2 deviation from the regular schedule for working days later. filing for public inspection. A docu- (2) Each notice received after 4:00 ment receiving emergency filing for p.m. is scheduled to be published 3 public inspection remains on public in- working days later. spection until it is published according [54 FR 9680, Mar. 7, 1989] to the schedule for publication. [54 FR 9680, Mar. 7, 1989] Subpart C—Emergency Schedule § 17.6 Procedure and timing for emergency filing for public inspection. § 17.3 Criteria for emergency publication. (a) Each agency requesting emergency filing for public inspection shall The emergency schedule is designed briefly describe the emergency and the to provide the fastest possible publica- benefits to be attributed to immediate tion of a document involving the pre- public access. The request must be vention, alleviation, control, or relief made by letter. of an emergency situation. (b) The Director of the Federal Reg- [37 FR 23608, Nov. 4, 1972, as amended at 54 ister shall approve an emergency filing FR 9680, Mar. 7, 1989] for public inspection request whenever

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the Director concurs with a request for § 18.1 Original and copies required. that action and it is feasible. Except as provided in § 19.2 of this (c) Each document approved for subchapter for Executive orders and emergency filing for public inspection proclamations, each agency submitting shall be filed as soon as possible fol- a document to be filed and published in lowing processing and scheduling. the FEDERAL REGISTER shall send an [54 FR 9680, Mar. 7, 1989] original and two duplicate originals or certified copies. 1 However, if the docu- Subpart D—Deferred Schedule ment is printed or processed on both sides, one of the copies sent by the § 17.7 Criteria for deferred schedule. agency must be a collated, single-sided copy. (a) A document may be assigned to the deferred schedule under the fol- [54 FR 9680, Mar. 7, 1989] lowing conditions: (1) There are technical problems, un- § 18.2 Prohibition on combined category documents. usual or lengthy tables, or illustrations, or the document is of such size (a) The Director of the Federal Reg- as to require extraordinary processing ister will not accept a document for fil- time. ing and publication if it combines ma- (2) The agency concerned requests a terial that must appear under more deferred publication date. than one category in the FEDERAL REG- (b) The Office of the Federal Register ISTER. For example, a document may staff will notify the agency if its docu- not contain both rulemaking and no- ments must be assigned to a deferred tice of proposed rulemaking material. schedule. (b) Where two related documents are to be published in the same FEDERAL [37 FR 23608, Nov. 4, 1972, as amended at 54 REGISTER issue, the agency may insert FR 9680, Mar. 7, 1989; 54 FR 23343, May 31, a cross-reference in each document. 1989] [54 FR 9680, Mar. 7, 1989]

PART 18—PREPARATION AND § 18.3 Submission of documents and TRANSMITTAL OF DOCUMENTS letters of transmittal. GENERALLY (a) Each document authorized or required by law to be filed for public in- Sec. spection with the Office of the Federal 18.1 Original and copies required. Register and published in the FEDERAL 18.2 Prohibition on combined category doc- REGISTER shall be sent to the Director uments. of the Federal Register. 18.3 Submission of documents and letters of transmittal. (b) Except for cases involving special 18.4 Form of document. handling or treatment, there is no need 18.5 Certified copies. for a letter of transmittal for a docu- 18.6 Form of certification. ment submitted for filing and FEDERAL 18.7 Signature. REGISTER publication. 18.8 Seal. (c) Receipt dates are determined at 18.9 Style. the time a signed original and clear 18.10 Illustrations, tabular material, and and legible copies are received. forms. 18.12 Preamble requirements. [37 FR 23609, Nov. 4, 1972, as amended at 54 18.13 Withdrawal or correction of filed docu- FR 9680, Mar. 7, 1989] ments. 18.15 Correction of errors in printing. § 18.4 Form of document. 18.16 Reinstatement of expired regulations. (a) A printed or processed document 18.17 Effective dates and time periods. may be accepted for filing for public in- 18.20 Identification of subjects in agency regulations. spection and publication if it is on

AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, 1 Agencies with computer processed data 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189. are urged to consult with the Office of the SOURCE: 37 FR 23609, Nov. 4, 1972, unless Federal Register staff about possible use of otherwise noted. the data in the publication process.

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bond or similar quality paper, legible, original documents by digital signa- and free of adhesive or correction tures. tape. 2 [37 FR 23609, Nov. 4, 1972, as amended at 54 (b) A document in the form of a let- FR 9681, Mar. 7, 1989; 61 FR 68119, Dec. 27, ter or press release may not be accept- 1996] ed for filing for public inspection or publication in the rules and regula- § 18.8 Seal. tions, proposed rules, or notices cat- Use of a seal on an original document egories of the FEDERAL REGISTER. or certified copy is optional with the (c) Original documents submitted by issuing agency. telecommunication and authenticated by digital signatures consistent with § 18.9 Style. applicable Federal standards and Office Each document submitted by an of the Federal Register technical speci- agency for filing and publication shall fications may be accepted for publica- conform to the current edition of the tion. 3 U.S. Government Printing Office Style [54 FR 9681, Mar. 7, 1989, as amended at 61 FR Manual in punctuation, capitalization, 68119, Dec. 27, 1996] spelling, and other matters of style. § 18.5 Certified copies. [54 FR 9681, Mar. 7, 1989] The certified copies or duplicate § 18.10 Illustrations, tabular material, originals of each document must be and forms. submitted with the original. Each copy (a) If it is necessary to publish a form or duplicate must be entirely clear and or illustration, a clear and legible legible. original form or illustration, or a clear [54 FR 9681, Mar. 7, 1989] and completely legible reproduction approximately 8 1⁄2 by 11 inches, shall § 18.6 Form of certification. be included in the original document Each copy of each document sub- and each certified copy. mitted for filing and publication, ex- (b) A document that includes tabular cept a Presidential document or a du- material may be assigned to the de- plicate original, must be certified as ferred publication schedule. See § 17.7. follows: [54 FR 9681, Mar. 7, 1989] (Certified to be a true copy of the original) § 18.12 Preamble requirements. The certification must be signed by a (a) Each agency submitting a pro- certifying officer designated under posed or final rule document for publi- § 16.1 of this chapter. cation shall prepare a preamble which [54 FR 9681, Mar. 7, 1989] will inform the reader, who is not an expert in the subject area, of the basis § 18.7 Signature. and purpose for the rule or proposal. The original and each duplicate (b) The preamble shall be in the fol- original document must be signed in lowing format and contain the fol- ink, with the name and title of the offi- lowing information: cial signing the document typed or AGENCY: llllllllllllllllll stamped beneath the signature. Ini- (Name of issuing agency) tialed or impressed signatures will not ACTION: llllllllllllllllll be accepted. Documents submitted (Notice of Intent), (Advance Notice of Pro- under § 18.4(c) may be authenticated as posed Rulemaking), (Proposed Rule), (Final Rule), (Other). 2 Agencies with computer processed data SUMMARY: lllllllllllllllll are urged to consult with the Office of the (Brief statements, in simple language, of: (i) Federal Register staff about possible use of the action being taken; (ii) the cir- the data in the publication process. cumstances which created the need for the 3 At present, submission of documents by action; and (iii) the intended effect of the telecommunication is limited to selected action.) pilot projects. DATES: lllllllllllllllllll

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(Comments must be received on or before: REGISTER shall be corrected by inser- lllll.) (Proposed effective date: tion of an appropriate notation or a re- lllll.) (Effective date: lllll.) printing in the FEDERAL REGISTER pub- (Hearing: lllll.) (Other: lllll.) lished without further agency docu- ADDRESSES: llllllllllllllll mentation, if the Director of the Fed- (Any relevant addresses.) eral Register determines that— FOR FURTHER INFORMATION CONTACT: (1) The error would tend to confuse or llllllllllllllllllllllll mislead the reader; or (For Executive departments and agencies, the name and telephone number of a per- (2) The error would affect text sub- son in the agency to contact for additional ject to codification. information about the document [Presi- (b) The issuing agency shall review dential Memorandum, 41 FR 42764, Sep- published documents and notify the Of- tember 28, 1976].) fice of the Federal Register of printing SUPPLEMENTARY INFORMATION: llll errors found in published documents. llllllllllllllllllllllll (c) If the error was in the document (See paragraph (c) of this section.) as submitted by the agency, the issuing (c) The agency may include the fol- agency must prepare and submit for lowing information in the preamble, as publication a correction document. applicable: [50 FR 12468, Mar. 28, 1985] (1) A discussion of the background and major issues involved; § 18.16 Reinstatement of expired regu- (2) In the case of a final rule, any sig- lations. nificant differences between it and the Agencies may reinstate regulations proposed rule; removed from the Code of Federal Reg- (3) A response to substantive public ulations data base which have expired comments received; and by their own terms only by repub- (4) Any other information the agency lishing the regulations in full text in considers appropriate. the FEDERAL REGISTER. [41 FR 56624, Dec. 29, 1976, as amended at 54 [54 FR 9681, Mar. 7, 1989] FR 9681, Mar. 7, 1989] § 18.17 Effective dates and time peri- § 18.13 Withdrawal or correction of ods. filed documents. (a) Each document submitted for (a) A document that has been filed publication in the FEDERAL REGISTER for public inspection with the Office of that includes an effective date or time the Federal Register but not yet pub- period should either set forth a date lished, may be withdrawn from publica- certain or a time period measured by a tion or corrected by the submitting certain number of days after publica- agency. Withdrawals or minor correction in the FEDERAL REGISTER. When a tions may be made with a timely let- document sets forth a time period ter, signed by a duly authorized rep- measured by a certain number of days resentative of the agency. Extensive after publication, Office of the Federal corrections may require agency with- Register staff will compute the date to drawal of the document from publica- be inserted in the document as set tion. forth in paragraph (b) of this section. (b) Both the originally filed docu- (b) Dates certain will be computed by ment and the withdrawing or cor- counting the day after the publication recting letter shall remain on file. The day as one, and by counting each suc- original document and the withdrawing ceeding day, including Saturdays, Sun- or correcting letter will be retained by days, and holidays. However, where the the Office of the Federal Register after final count would fall on a Saturday, the public inspection period expires. Sunday, or holiday, the date certain [54 FR 9681, Mar. 7, 1989] will be the next succeeding Federal business day. § 18.15 Correction of errors in print- (c) In the event an effective date is ing. dependent upon Congressional action, (a) Typographical or clerical errors or an act of Congress or a dispositive made in the printing of the FEDERAL Federal court decision establishes or

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changes the effective date of an agen- § 19.1 Form. cy’s regulation, the issuing agency Proposed Executive orders and proc- shall promptly publish a document in lamations shall be prepared in accord- the FEDERAL REGISTER announcing the ance with the following requirements: effective date. (a) The order or proclamation shall [37 FR 23609, Nov. 4, 1972, as amended at 54 be given a suitable title. FR 9681, Mar. 7, 1989] (b) The order or proclamation shall contain a citation of the authority § 18.20 Identification of subjects in under which it is issued. agency regulations. (c) Punctuation, capitalization, spell- (a) Federal Register documents. Each ing, and other matters of style shall, in agency that submits a document that general, conform to the most recent is published in the Rules and Regula- edition of the U.S. Government Print- tions section or the Proposed Rules ing Office Style Manual. section of the FEDERAL REGISTER (d) The spelling of geographic names shall— shall conform to the decisions of the (1) Include a list of index terms for Board on Geographic Names, estab- each Code of Federal Regulations part lished by section 2 of the Act of July affected by the document; and 25, 1947, 61 Stat. 456 (43 U.S.C. 364a). (2) Place the list of index terms as (e) Descriptions of tracts of land the last item in the Supplementary In- shall conform, so far as practicable, to formation portion of the preamble for the most recent edition of the ‘‘Speci- the document. fications for Descriptions of Tracts of (b) Federal Register Thesaurus. To pre- Land for Use in Executive Orders and pare its list of index terms, each agen- Proclamations,’’1 prepared by the Bu- cy shall use terms contained in the reau of Land Management, Department Federal Register Thesaurus of Indexing of the Interior. Terms. Agencies may include addi- (f) Proposed Executive orders and tional terms not contained in the The- proclamations shall be typewritten on saurus as long as the appropriate The- paper approximately 8 × 13 inches, shall saurus terms are also used. Copies of have a left-hand margin of approxi- the Federal Register Thesaurus of In- mately 11⁄2 inches and a right-hand dexing Terms are available from the margin of approximately 1 inch, and Office of the Federal Register, National shall be double-spaced except that Archives and Records Administration, quotations, tabulations, and descrip- Washington, D.C. 20408. tions of land may be single-spaced. (g) Proclamations issued by the [46 FR 7163, Jan. 22, 1981, as amended at 54 FR 9681, Mar. 7, 1989] President shall conclude with the following-described recitation: PART 19—EXECUTIVE ORDERS AND IN WITNESS WHEREOF, I have hereunto PRESIDENTIAL PROCLAMATIONS set my hand this ll day of lllll, in the year of our Lord lllllll, and of the Independence of the United States of Amer- Sec. ica the lllllll. 19.1 Form. 19.2 Routing and approval of drafts. [37 FR 23610, Nov. 4, 1972, as amended at 54 19.3 Routing and certification of originals FR 9681, Mar. 7, 1989] and copies. 19.4 Proclamations calling for the observ- § 19.2 Routing and approval of drafts. ance of special days or events. (a) A proposed Executive order or 19.5 Proclamations of treaties excluded. proclamation shall first be submitted, 19.6 Definition. with seven copies thereof, to the Direc- AUTHORITY: Secs. 1 to 6 of E.O. 11030, 27 FR tor of the Office of Management and 5847, 3 CFR, 1959–1963 Comp., p. 610; E.O. Budget, together with a letter, signed 11354, 32 FR 7695, 3 CFR, 1966–1970 Comp., p. 652; and E.O. 12080, 43 FR 42235, 3 CFR, 1978 1 Agencies with computer processed data Comp., p. 224. are urged to consult with the Office of the SOURCE: 37 FR 23610, Nov. 4, 1972, unless Federal Register staff about possible use of otherwise noted. the data in the publication process.

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by the head or other properly author- or by some person authorized by him to ized officer of the originating Federal sign such notation: ‘‘Certified to be a agency, explaining the nature, purpose, true copy of the original.’’ background, and effect of the proposed Executive order or proclamation and § 19.4 Proclamations calling for the ob- its relationship, if any, to pertinent servance of special days or events. laws and other Executive orders or Except as may be otherwise provided proclamations. by law, responsibility for the prepara- (b) If the Director of the Office of tion and presentation of proposed proc- Management and Budget approves the lamations calling for the observance of proposed Executive order or proclama- special days, or other periods of time, tion, he shall transmit it to the Attor- or events, shall be assigned by the Di- ney General for his consideration as to rector of the Office of Management and both form and legality. Budget to such agencies as he may con- (c) If the Attorney General approves sider appropriate. Such proposed proc- the proposed Executive order or procla- lamations shall be submitted to the Di- mation, he shall transmit it to the Di- rector at least 60 days before the date rector of the Office of the Federal Reg- of the specified observance. Notwith- ister, National Archives and Records standing the provisions of § 19.2, the Di- Administration: Provided, That in cases rector shall transmit any approved involving sufficient urgency the Attor- commemorative proclamations to the ney General may transmit it directly President. to the President: And provided further, [37 FR 23610, Nov. 4, 1972, as amended at 54 That the authority vested in the Attor- FR 9681, Mar. 7, 1989] ney General by this section may be delegated by him, in whole or in part, to § 19.5 Proclamations of treaties ex- the Deputy Attorney General, Solicitor cluded. General, or to such Assistant Attorney Consonant with the provisions of General as he may designate. chapter 15 of title 44 of the United (d) After determining that the pro- States Code (44 U.S.C. 1511), nothing in posed Executive order or proclamation these regulations shall be construed to conforms to the requirements of § 19.1 apply to treaties, conventions, proto- and is free from typographical or cler- cols, or other international agree- ical error, the Director of the Office of ments, or proclamations thereof by the the Federal Register shall transmit it President. and three copies thereof to the Presi- dent. § 19.6 Definition. (e) If the proposed Executive order or The term ‘‘Presidential proclama- proclamation is disapproved by the Di- tions and Executive orders,’’ as used in rector of the Office of Management and chapter 15 of title 44 of the United Budget or by the Attorney General, it States Code (44 U.S.C. 1505(a)), shall, shall not thereafter be presented to the except as the President or his rep- President unless it is accompanied by a resentative may hereafter otherwise di- statement of the reasons for such dis- rect, be deemed to include such attach- approval. ments thereto as are referred to in the respective proclamations or orders. § 19.3 Routing and certification of originals and copies. (a) If the order or proclamation is PART 20—HANDLING OF THE signed by the President, the original UNITED STATES GOVERNMENT and two copies shall be forwarded to MANUAL STATEMENTS the Director of the Federal Register for publication in the FEDERAL REGISTER. Sec. (b) The Office of the Federal Register 20.1 Liaison officers. shall cause to be placed upon the copies 20.2 Preparation of agency statements. 20.3 Organization. of all Executive orders and proclama- 20.4 Description of program activities. tions forwarded as provided in para- 20.5 Sources of information. graph (a) of this section the following 20.6 Form, style, arrangement and appor- notation, to be signed by the Director tionment of space.

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20.7 Deadline dates. charts or by lists of officials will not be AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, published in the Manual. 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189. [37 FR 23611, Nov. 4, 1972, as amended at 54 SOURCE: 37 FR 23611, Nov. 4, 1972, unless FR 9682, Mar. 7, 1989] otherwise noted. § 20.4 Description of program activi- § 20.1 Liaison officers. ties. (a) Each of the following shall ap- (a) Descriptions should clearly state point an officer to maintain liaison the public purposes that the agency with the Office on matters relating to serves, and the programs that carry The United States Government Man- out those purposes. ual: (b) Descriptions of the responsibil- (1) Agencies of the legislative and ju- ities of individuals or of administrative dicial branches. units common to most agencies will (2) Executive agencies that do not not be accepted for publication in the have a liaison officer designated under Manual. § 16.1 of this chapter or who wish to appoint a liaison officer for Manual mat- [54 FR 9682, Mar. 7, 1989] ters other than the one designated under such § 16.1. § 20.5 Sources of information. (3) Quasi-official agencies rep- Pertinent sources of information use- resented in the Manual. ful to the public, in areas of public in- (4) Any other agency that the Direc- terest such as employment, consumer tor believes should be included in the activities, contracts, services to small Manual. business, and other topics of public in- (b) Each liaison officer will insure terest should be provided with each agency compliance with part 9 of this agency statement. These sources of in- chapter and this part 20. formation shall plainly identify the places at which the public may obtain [37 FR 23611, Nov. 4, 1972, as amended at 50 FR 12468, Mar. 28, 1985; 54 FR 9682, Mar. 7, information or make submittals or re- 1989] quests.

§ 20.2 Preparation of agency state- § 20.6 Form, style, arrangement and ments. apportionment of space. In accordance with schedules estab- The form, style, and arrangement of lished under § 20.7 each agency shall agency statements and other materials submit for publication in the Manual included in the Manual and the appor- an official draft of the information re- tionment of space therein shall be de- quired by § 9.2 of this chapter and this termined by the Director of the Fed- part 20. eral Register. The U.S. Government Printing Office Style Manual is the ap- § 20.3 Organization. plicable reference work in determining (a) Information about lines of author- style. ity and organization may be reflected in a chart if the chart clearly delin- § 20.7 Deadline dates. eates the agency’s organizational The Manual is published on a sched- structure. Charts must be prepared so ule designed to provide the public with as to be perfectly legible when reduced information about their Government to the size of a Manual page. Charts on a timely basis. Therefore, agencies that do not meet this requirement will must comply with the deadline dates not be included in the Manual. established by the Director of the Fed- (b) Listings of heads of operating eral Register for transmittal of state- units should be arranged whenever pos- ments and charts and for the sible to reflect relationships between verification of proofs. Failure to do so units. may result in publication of an out- (c) Narrative descriptions of organi- dated statement or the omission of im- zational structure or hierarchy that portant material, thus depriving mem- duplicate information conveyed by bers of the public of information they

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have a right to expect in a particular AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, edition of the Manual. 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189. SOURCE: 37 FR 23611, Nov. 4, 1972, unless PART 21—PREPARATION OF DOCU- otherwise noted. MENTS SUBJECT TO CODIFICA- TION Subpart A—General

Subpart A—General § 21.1 Drafting. (a) Each agency that prepares a docu- Sec. ment that is subject to codification 21.1 Drafting. 21.6 Notice of expiration of codified mate- shall draft it as an amendment to the rial. Code of Federal Regulations, in accordance with this subchapter, before sub- CODE STRUCTURE mitting it to the Office of the Federal 21.7 Titles and subtitles. Register. 21.8 Chapters and subchapters. (b) Each agency that prepares a docu- 21.9 Parts, subparts, and undesignated cen- ment that is subject to codification ter heads. shall include words of issuance and 21.10 Sections. amendatory language that precisely NUMBERING describes the relationship of the new provisions to the Code. 21.11 Standard organization of the Code of Federal Regulations. [37 FR 23611, Nov. 4, 1972, as amended at 54 21.12 Reservation of numbers. FR 9682, Mar. 7, 1989] 21.14 Deviations from standard organization of the Code of Federal Regulations. § 21.6 Notice of expiration of codified material. HEADINGS Whenever a codified regulation ex- 21.16 Required document headings. 21.18 Tables of contents. pires after a specified period by its own 21.19 Composition of part headings. terms or by law, the issuing agency shall submit a notification by docu- AMENDMENTS ment for publication in the FEDERAL 21.20 General requirements. REGISTER.

REFERENCES [54 FR 9682, Mar. 7, 1989]

21.21 General requirements: References. CODE STRUCTURE 21.23 Parallel citations of Code and Federal Register. § 21.7 Titles and subtitles. 21.24 References to 1938 edition of Code. (a) The major divisions of the Code EFFECTIVE DATE STATEMENT are titles, each of which brings to- 21.30 General. gether broadly related Government functions. OMB CONTROL NUMBERS (b) Subtitles may be used to distin- 21.35 OMB control numbers. guish between materials emanating from an overall agency and the mate- Subpart B—Citations of Authority rial issued by its various components. 21.40 General requirements: Authority cita- Subtitles may also be used to group tions. chapters within a title. 21.41 Agency responsibility. 21.42 Exceptions. § 21.8 Chapters and subchapters.

PLACEMENT (a) The normal divisions of a title are chapters, assigned to the various agen- 21.43 Placing and amending authority cita- cies within a title descriptive of the tions. 21.45 Nonstatutory authority. subject matter covered by the agencies’ regulations. FORM (b) Subchapters may be used to group 21.51 General. related parts within a chapter. 21.52 Statutory material. (c) Chapter and subchapter assign- 21.53 Nonstatutory materials. ments are made by the Office of the

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Federal Register after agency consulta- (h) Paragraphs, which are designated tion. as follows: [37 FR 23611, Nov. 4, 1972, as amended at 54 level 1 (a), (b), (c), etc. FR 9682, Mar. 7, 1989] level 2 (1), (2), (3), etc. level 3 (i), (ii), (iii), etc. § 21.9 Parts, subparts, and undesig- level 4 (A), (B), (C), etc. nated center heads. level 5 (1), (2), (3), etc. level 6 (i), (ii), (iii), etc. (a) The normal divisions of a chapter are parts, consisting of a unified body [54 FR 9682, Mar. 7, 1989; 54 FR 23343, May 31, 1989] of regulations applying to a specific function of an issuing agency or de- § 21.12 Reservation of numbers. voted to specific subject matter under In a case where related parts or re- the control of that agency. lated sections are grouped under a (b) Subparts or undesignated center heading, numbers may be reserved at heads may be used to group related sec- the end of each group to allow for ex- tions within a part. Undesignated cen- pansion. ter heads may also be used to group sections within a subpart. [37 FR 23611, Nov. 4, 1972, as amended at 54 FR 9682, Mar. 7, 1989] § 21.10 Sections. § 21.14 Deviations from standard orga- (a) The normal divisions of a part are nization of the Code of Federal Reg- sections. Sections are the basic units of ulations. the Code. (a) Any deviation from standard Code (b) When internal division is nec- of Federal Regulations designations essary, a section may be divided into must be approved in advance by the Of- paragraphs, and paragraphs may be fice of the Federal Register. Requests further subdivided using the lettering for approval must be submitted in writ- indicated in § 21.11. ing at least five working days before the agency intends to submit the final NUMBERING rule document for publication and include a copy of the final rule docu- § 21.11 Standard organization of the Code of Federal Regulations. ment. (b) The Director of the Federal Reg- The standard organization consists of ister may allow the keying of section the following structural units: numbers to correspond to a particular (a) Titles, which are numbered con- numbering system used by an agency secutively in Arabic throughout the only when the keying will benefit both Code; that agency and the public. (b) Subtitles, which are lettered consecutively in capitals throughout the [54 FR 9682, Mar. 7, 1989] title; HEADINGS (c) Chapters, which are numbered consecutively in Roman capitals § 21.16 Required document headings. throughout each title; (a) Each rule and proposed rule docu- (d) Subchapters, which are lettered ment submitted to the Office of the consecutively in capitals throughout Federal Register shall contain the fol- the chapter; lowing headings, when appropriate, on (e) Parts, which are numbered in Ara- separate lines in the following order: bic throughout each title; (1) Agency name; (f) Subparts, which are lettered in (2) Subagency name; capitals; (3) Numerical references to the CFR (g) Sections, which are numbered in title and parts affected; Arabic throughout each part. A section (4) Agency numbers of identifying number includes the number of the symbol in brackets, if used; part followed by a period and the num- (5) Brief subject heading describing ber of the section. For example, the the document. section number for section 15 of part 21 (b) Each CFR section in the regu- is ‘‘§ 21.15’’; and latory text of the document shall have

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a brief descriptive heading, preceding (c) Each agency shall publish its own the text, on a separate line. regulations in full text. Cross-references to the regulations of another [50 FR 12468, Mar. 28, 1985] agency may not be used as a substitute § 21.18 Tables of contents. for publication in full text, unless the Office of the Federal Register finds A table of contents shall be used at that the regulation meets any of the the beginning of the part whenever a following exceptions: new part is introduced, an existing part (1) The reference is required by court is completely revised, or a group of sec- order, statute, Executive order or reor- tions is revised or added and set forth ganization plan. as a subpart or otherwise separately (2) The reference is to regulations grouped under a center head. The table promulgated by an agency with the ex- shall follow the part heading and pre- clusive legal authority to regulate in a cede the text of the regulations in that subject matter area, but the ref- part. It shall also list the headings for erencing agency needs to apply those the subparts, undesignated center regulations in its own programs. headings, sections in the part, and ap- (3) The reference is informational or pendix headings to the part or subpart. improves clarity rather than being reg- [37 FR 23611, Nov. 4, 1972, as amended at 54 ulatory. FR 9682, Mar. 7, 1989] (4) The reference is to test methods or consensus standards produced by a § 21.19 Composition of part headings. Federal agency that have replaced or Each part heading shall indicate preempted private or voluntary test briefly the general subject matter of methods or consensus standards in a the part. Phrases such as ‘‘Regulations subject matter area. under the Act of July 28, 1955’’ or other (5) The reference is to the Depart- expressions that are not descriptive of ment level from a subagency. the subject matter may not be used. In- [37 FR 23611, Nov. 4, 1972, as amended at 50 troductory expressions such as ‘‘Regu- FR 12468, Mar. 28, 1985] lations governing’’ and ‘‘Rules applicable to’’ may not be used. § 21.23 Parallel citations of Code and Federal Register. AMENDMENTS For parallel reference, the Code of § 21.20 General requirements. Federal Regulations and the FEDERAL REGISTER may be cited in the following (a) Each amendatory document shall forms, as appropriate: identify in specific terms the unit amended, and the extent of the changes lll CFR lll (lll FR lll). § lll made. of this chapter (lll FR lll). (b) The number and heading of each § 21.24 References to 1938 edition of section amended shall be set forth in Code. full on a separate line. When reference is made to material REFERENCES codified in the 1938 edition of the Code of Federal Regulations, or a supple- § 21.21 General requirements: Ref- ment thereto, the following forms may erences. be used, as appropriate: (a) Each reference to the Code of Fed- lll CFR, 1938 Ed., lll. eral Regulations shall be in terms of lll CFR, 1943, Cum. Supp., lll. the specific titles, chapters, parts, sec- lll CFR, 1946 Supp., lll. tions, and paragraphs involved. Ambig- uous references such as ‘‘herein’’, EFFECTIVE DATE STATEMENT ‘‘above’’, ‘‘below’’, and similar expressions may not be used. § 21.30 General. (b) Each document that contains a Each document subject to codifica- reference to material published in the tion shall include a clear statement as Code shall include the Code citation as to the date or dates upon which its a part of the reference. contents become effective.

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OMB CONTROL NUMBERS (1) If a document sets out an entire CFR part, the agency shall place the § 21.35 OMB control numbers. complete authority citation directly To display OMB control numbers in after the table of contents and before agency regulations, those numbers the regulatory text. shall be placed parenthetically at the (2) If a document amends only cer- end of the section or displayed in a tain sections within a CFR part, the table or codified section. agency shall present the complete authority citation to this part as the first [50 FR 12468, Mar. 28, 1985] item in the list of amendments. (i) If the authority for issuing an Subpart B—Citations of Authority amendment is the same as the authority listed for the whole CFR part, the § 21.40 General requirements: Author- agency shall simply restate the authority citations. ity. Each section in a document subject (ii) If the authority for issuing an to codification must include, or be cov- amendment changes the authority ci- ered by, a complete citation of the au- tation for the whole CFR part, the thority under which the section is agency shall revise the authority cita- issued, including— tion in its entirety. The agency may (a) General or specific authority dele- specify the particular authority under gated by statute; and which certain sections are amended in (b) Executive delegations, if any, nec- the revised authority citation. essary to link the statutory authority (b) The agency shall present a cen- to the issuing agency. tralized authority citation. The authority citation shall appear at the end [50 FR 12468, Mar. 28, 1985] of the table of contents for a part or after each subpart heading within the § 21.41 Agency responsibility. text of a part. Citations of authority (a) Each issuing agency is responsible for particular sections may be specified for the accuracy and integrity of the within the centralized authority cita- citations of authority in the docu- tion. ments it issues. [50 FR 12469, Mar. 28, 1985, as amended at 54 (b) Each issuing agency shall for- FR 9682, Mar. 7, 1989] mally amend the citations of authority in its codified material to reflect any § 21.45 Nonstatutory authority. changes therein. Citation to a nonstatutory document as authority shall be placed after the § 21.42 Exceptions. statutory citations. For example: The Director of the Federal Register AUTHORITY: Sec. 9, Pub. L. 89–670, 80 Stat. may make exceptions to the require- 944 (49 U.S.C. 1657). E.O. 11222, 30 FR 6469, 3 ments of this subpart relating to place- CFR, 1965 Comp., p. 10. ment and form of citations of author- [37 FR 23611, Nov. 4, 1972, as amended at 54 ity whenever the Director determines FR 9682, Mar. 7, 1989] that strict application would impair the practical use of the citations. FORM

[37 FR 23611, Nov. 4, 1972, as amended at 54 § 21.51 General. FR 9682, Mar. 7, 1989] (a) Formal citations of authority PLACEMENT shall be in the shortest form compatible with positive identification and § 21.43 Placing and amending author- ready reference. ity citations. (b) The Office of the Federal Register (a) The requirements for placing au- shall assist agencies in developing thority citations vary with the type of model citations. amendment the agency is making in a document. The agency shall set out the § 21.52 Statutory material. full text of the authority citation for (a) United States Code. All citations to each part affected by the document. statutory authority shall include a

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United States Code citation, where Subpart A—Notices available. Citations to titles of the United States Code, whether or not en- § 22.1 Name of issuing agency and sub- acted into positive law, may be cited division. without Public Law or U.S. Statutes at (a) The name of the agency issuing a Large citation. For example: notice shall be placed at the beginning AUTHORITY: 10 U.S.C. 501. of the document. (b) Whenever a specific bureau, serv- (b) Public Laws and U.S. Statutes at ice, or similar unit within an agency Large. Citations to Public Laws and issues a notice, the name of that bu- U.S. Statutes at Large are optional reau, service, or unit shall be placed on when the United States Code is cited. a separate line below the name of the Citations to current public laws and to agency. the U.S. Statutes at Large shall refer (c) An agency that uses file numbers, to the section of the public law and the docket numbers, or similar identifying volume and page of the U.S. Statutes symbols shall place them in brackets at Large to which they have been as- immediately below the other headings signed. The page number shall refer to required by this section. the page on which the section cited be- (d) A suitable short title identifying gins. For example: the subject shall be provided beginning AUTHORITY: Sec. 5, Pub. L. 89–670, 80 Stat. on a separate line immediately after 935 (49 U.S.C. 1654); sec. 313, Pub. L. 85–726, 72 the other required caption or captions. Stat. 752 (49 U.S.C. 1354). Whenever appropriate, an additional [54 FR 9682, Mar. 7, 1989] brief caption indicating the nature of the document shall be used. § 21.53 Nonstatutory materials. Nonstatutory documents shall be § 22.2 Authority citation. cited by document designation and by The authority under which an agency FEDERAL REGISTER volume and page, issues a notice shall be cited in nar- followed, if possible, by the parallel ci- rative form within text or in paren- tation to the Code of Federal Regula- theses on a separate line following tions. For example: text. AUTHORITY: Special Civil Air Reg. SR–422A, 28 FR 6703, 14 CFR part 4b. E.O. 11130, 28 FR Subpart B—Proposed Rules 12789; 3 CFR 1959–1963 Comp. [37 FR 23611, Nov. 4, 1972, as amended at 54 § 22.5 General requirements. FR 9683, Mar. 7, 1989] Each proposed rule required by section 553 of title 5, United States Code, PART 22—PREPARATION OF or any other statute, and any similar NOTICES AND PROPOSED RULES document voluntarily issued by an agency shall include a statement of— Subpart A—Notices (a) The time, place, and nature of public rulemaking proceedings; and Sec. (b) Reference to the authority under 22.1 Name of issuing agency and subdivi- which the regulatory action is pro- sion. posed. 22.2 Authority citation. [37 FR 23614, Nov. 4, 1972, as amended at 54 Subpart B—Proposed Rules FR 9683, Mar. 7, 1989]

22.5 General requirements. § 22.6 Code designation. 22.6 Code designation. The area of the Code of Federal Regu- 22.7 Codification. lations directly affected by a proposed AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, regulatory action shall be identified by 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189. placing the appropriate CFR citation SOURCE: 37 FR 23614, Nov. 4, 1972, unless immediately below the name of the otherwise noted. issuing agency. For example:

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1 CFR part 22 posed regulation shall also conform to the pertinent provisions of part 21 of [37 FR 23614, Nov. 4, 1972, as amended at 54 FR 9683, Mar. 7, 1989] this chapter. [37 FR 23614, Nov. 4, 1972, as amended at 54 § 22.7 Codification. FR 9683, Mar. 7, 1989] Any part of a proposed rule document that contains the full text of a pro- PARTS 23–49 [RESERVED]

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Part Page 50 [Reserved] 51 Incorporation by reference ...... 37 52–299 [Reserved]

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(1) Discuss, in the preamble of the (ii) Whether it is bound, numbered, proposed rule, the ways that the mate- and organized, as applicable. rials it proposes to incorporate by ref- (b) The Director will assume that a erence are reasonably available to in- publication produced by the same agen- terested parties or how it worked to cy that is seeking its approval is inap- make those materials reasonably avail- propriate for incorporation by ref- able to interested parties; and erence. A publication produced by the (2) Summarize, in the preamble of the agency may be approved, if, in the proposed rule, the material it proposes judgment of the Director, it meets the to incorporate by reference. requirements of paragraph (a) and pos- (b) For a final rule, the agency must sesses other unique or highly unusual request formal approval. The formal qualities. A publication may be ap- request package must: proved if it cannot be printed using the (1) Send a letter that contains a writ- FEDERAL REGISTER/Code of Federal ten request for approval at least 20 Regulations printing system. working days before the agency intends (c) The following materials are not to submit the final rule document for publication; appropriate for incorporation by ref- (2) Discuss, in the preamble of the erence: final rule, the ways that the materials (1) Material published previously in it incorporates by reference are reason- the FEDERAL REGISTER. ably available to interested parties and (2) Material published in the United how interested parties can obtain the States Code. materials; [47 FR 34108, Aug. 6, 1982, as amended at 79 (3) Summarize, in the preamble of the FR 66278, Nov. 7, 2014] final rule, the material it incorporates by reference; § 51.9 What is the proper language of (4) Send a copy of the final rule docu- incorporation? ment that uses the proper language of (a) The language incorporating a pub- incorporation with the written request lication by reference must be precise, (See § 51.9); and complete, and clearly state that the in- (5) Ensure that a copy of the incor- corporation by reference is intended porated material is on file at the Office and completed by the final rule docu- of the Federal Register. ment in which it appears. (c) Agencies may consult with the Of- fice of the Federal Register at any time (b) The language incorporating a pub- with respect to the requirements of lication by reference is precise and this part. complete if it— (1) Uses the words ‘‘incorporated by [79 FR 66278, Nov. 7, 2014] reference;’’ § 51.7 What publications are eligible? (2) States the title, date, edition, author, publisher, and identification (a) A publication is eligible for incor- number of the publication; poration by reference under 5 U.S.C. (3) Informs the user that the incor- 552(a) if it— porated publication is a requirement; (1) Conforms to the policy stated in (4) Makes an official showing that § 51.1; the publication is in fact available by (2)(i) Is published data, criteria, standards, specifications, techniques, stating where and how copies may be illustrations, or similar material; and examined and readily obtained with (ii) Does not detract from the useful- maximum convenience to the user; and ness of the FEDERAL REGISTER publica- (5) Refers to 5 U.S.C. 552(a). tion system; and (c) If the Director approves a publica- (3) Is reasonably available to and usa- tion for incorporation by reference in a ble by the class of persons affected. In final rule, the agency must include— determining whether a publication is (1) The following language under the usable, the Director will consider— DATES caption of the preamble to the (i) The completeness and ease of han- final rule document (See 1 CFR 18.12 dling of the publication; and Preamble requirements):

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The incorporation by reference of (1) Publish notice of the change in certain publications listed in the regu- the FEDERAL REGISTER and amend the lations is approved by the Director of Code of Federal Regulations; the Federal Register as of llll. (2) Ensure that a copy of the amend- (2) The preamble requirements set ment or revision is on file at the Office out in 51.5(b). of the Federal Register; and (3) The term ‘‘incorporation by ref- (3) Notify the Director of the Federal erence’’ in the list of index terms (See Register in writing that the change is 1 CFR 18.20 Identification of subjects in being made. agency regulations). (b) If a regulation containing an in- [47 FR 34108, Aug. 6, 1982, as amended at 79 corporation by reference fails to be- FR 66278, Nov. 7, 2014] come effective or is removed from the Code of Federal Regulations, the agen- § 51.11 How does an agency change or cy must notify the Director of the Fed- remove an approved incorporation? eral Register in writing of that fact (a) An agency that seeks approval for within 5 working days of the occur- a change to a publication that is ap- rence. proved for incorporation by reference must— PARTS 52–299 [RESERVED]

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Part Page 300 [Reserved] 301 Organization and purpose ...... 43 302–303 [Reserved] 304 Disclosure of records or information ...... 45 305–399 [Reserved]

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authority to adopt bylaws for carrying ministrative procedure, and the design out the functions of the Conference. or improvement of administrative procedure, where the expertise of members § 301.4 Activities. of the Conference is indicated; and (a) The Conference may study the ef- (2) Such assistance may only be un- ficiency, adequacy, and fairness of the dertaken on a fully reimbursable basis, administrative procedure used by ad- including all direct and indirect admin- ministrative agencies in carrying out istrative costs. administrative programs. Subjects for (d) For purposes of this section: inquiry by the Conference are devel- (1) ‘‘Administrative program’’ in- oped by the Chairman, the Council, the cludes a Federal function which in- committees, and the Assembly. The volves protection of the public interest committees, with the assistance of and the determination of rights, privi- staff and consultants, conduct thor- leges, and obligations of private per- ough studies of these subjects and de- sons through rulemaking, adjudication, velop proposed recommendations and licensing, or investigation, except that supporting reports. Reports and rec- it does not include a military or for- ommendations are considered by the eign affairs function of the United Council and distributed to the member- States; and ship, with the views and recommenda- (2) ‘‘Administrative procedure’’ tions of the Council, to be placed on means procedure used in carrying out the agenda of a plenary session. The an administrative program and is to be Assembly has complete authority to broadly construed to include any as- approve, amend, remand, or reject rec- pect of agency organization, procedure, ommendations presented by the com- or management which may affect the mittees. The deliberations of the As- equitable consideration of public and sembly are public. Recommendations private interests, the fairness of agen- may be made to administrative agency decisions, the speed of agency ac- cies, collectively or individually, and tion, and the relationship of operating to the President, Congress, or the Judi- methods to later judicial review, but cial Conference of the United States, as does not include the scope of agency re- the Conference considers appropriate. sponsibility as established by law or (b) The Conference may arrange for matters of substantive policy com- interchange among administrative mitted by law to agency discretion. agencies of information potentially useful in improving administrative § 301.5 Office of the Chairman. procedure, collect information and sta- The Chairman is the chief executive tistics from administrative agencies of the Conference. The Chairman pre- and publish such reports as it considers sides at meetings of the Council and at useful for evaluating and improving ad- each plenary session of the Conference. ministrative procedure, and enter into Among his powers is the authority to arrangements with any administrative encourage Federal agencies to adopt agency or major organizational unit the recommendations of the Con- within an administrative agency pursu- ference. The Chairman is also author- ant to which the Conference performs ized to make inquiries into matters he any of the functions described in this considers important for Conference section. consideration, including matters pro- (c) The Conference may provide as- posed by individuals inside or outside sistance in response to requests relat- the Federal Government. The purpose ing to the improvement of administra- of such inquiries is not to review the tive procedure in foreign countries, results in particular cases, but rather subject to the concurrence of the Sec- to determine whether the problems retary of State or the Administrator of should be made the subject of Con- the Agency for International Develop- ference study in the interests of devel- ment, as appropriate, except that: oping fair and effective procedures for (1) Such assistance shall be limited such cases. Upon request of the head of to the analysis of issues relating to ad- an agency, the Chairman is authorized ministrative procedure, the provision to furnish assistance and advice on of training of foreign officials in ad- matters of administrative procedure.

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The Chairman may request agency Subpart A—Procedures for Disclo- heads to provide information needed by sure of Records Under the the Conference, which information Freedom of Information Act shall be supplied to the extent permitted by law. AUTHORITY: 5 U.S.C. 552, 591–96.

PARTS 302–303 [RESERVED] § 304.1 General provisions. (a) This subpart contains the rules PART 304—DISCLOSURE OF that the Administrative Conference of RECORDS OR INFORMATION the United States (‘‘ACUS’’ or ‘‘the agency’’) follows in processing requests Subpart A—Procedures for Disclosure of for disclosure of records under the Records Under the Freedom of Infor- Freedom of Information Act (‘‘FOIA’’ mation Act or ‘‘the Act’’), 5 U.S.C. 552, as amended, and in meeting its responsibilities Sec. under the Act. Note that electronic 304.1 General provisions. records are treated as records for the 304.2 Proactive disclosures. purposes of the FOIA. These rules 304.3 Requirements for making requests. should be read together with the text 304.4 Responsibility for responding to re- of the FOIA itself and the Uniform quests. Freedom of Information Fee Schedule 304.5 Timing of responses to requests. and Guidelines published by the Office 304.6 Responses to requests. of Management and Budget (OMB 304.7 Business information. Guidelines). They also may be read in 304.8 Appeals. conjunction with the agency’s ‘‘Free- 304.9 Fees. dom of Information Act Reference 304.10 Preservation of records. Guide,’’ which provides basic informa- 304.11 Other rights and services. tion about use of the Act in relation to Subpart B—Protection of Privacy and Ac- the agency’s records. Requests made by cess to Individual Records Under the individuals for records about them- Privacy Act of 1974 selves under the Privacy Act of 1974, 5 U.S.C. 552a, are processed in accord- 304.20 General provisions. ance with the agency’s Privacy Act 304.21 Requests for access to records. regulations as well as under this sub- 304.22 Responsibility for responding to re- part. quests for access to records. (b) The agency will withhold records 304.23 Responses to requests for access to or information only when it reasonably records. foresees that disclosure would harm an 304.24 Appeals from denials of requests for interest protected by an exemption of access to records. the FOIA or when disclosure is prohib- 304.25 Requests for amendment or correc- ited by law. Where full disclosure is not tion of records. possible, the agency will consider 304.26 Requests for an accounting of record whether partial disclosure is possible disclosures. and, if so, will take reasonable steps to 304.27 Fees. segregate and release nonexempt infor- 304.28 Notice of court-ordered and emergency disclosures. mation. These policies do not create 304.29 Security of systems of records. any right enforceable in court. 304.30 Contracts for the operation of record (c) The agency has designated its systems. General Counsel as its Chief FOIA Offi- 304.31 Use and collection of social security cer, who has agency-wide responsibility numbers and other information. for efficient and appropriate compli- 304.32 Employee standards of conduct. ance with the FOIA and these imple- 304.33 Preservation of records. menting regulations. The Chief FOIA 304.34 Other rights and services. Officer has designated the agency’s FOIA Public Liaison, who can assist in- SOURCE: 76 FR 18635, Apr. 5, 2011, unless otherwise noted. dividuals in locating and obtaining particular agency records. Contact information for the Chief FOIA Officer and

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the FOIA Public Liaison are clearly in- site and in paper form—helpful in mak- dicated on the agency’s Web site at ing your request.) If you are making a https://www.acus.gov/foia. request for records about yourself, see [82 FR 7632, Jan. 23, 2017] § 304.21(d) for additional requirements. If you are making a request for records § 304.2 Proactive disclosures. about another individual, then either a (a) Records that the FOIA requires written authorization signed by that ACUS to make regularly available for individual permitting disclosure of public inspection in an electronic for- those records to you or proof that that mat, including any records that have individual is deceased (for example, a been requested three or more times, or copy of a death certificate or an obit- were previously released and are likely uary notice) will help the processing of to become the subject of subsequent re- your request. Your request will be con- quests or appear to be of general inter- sidered received as of the date upon est, may be accessed through the agen- which it is logged in as received by the cy’s Web site at https://www.acus.gov. A agency’s FOIA Public Liaison. subject matter index of such records (b) Description of records sought. (1) (or comparable tool) may also be You must describe the records that you accessed through the agency’s Web site seek in enough detail to enable agency and will be updated on an ongoing personnel to locate them with a rea- basis. sonable amount of effort. Whenever (b) Information routinely provided to possible, your request should include the public as part of a regular agency specific information about each record activity, including information posted sought, such as the date, title or name, on the agency’s Web site (for example, author, recipient, and subject matter press releases or recommendations of the record. If known, you should in- adopted by the Conference pursuant to clude any file designations or similar the Administrative Conference Act, 5 descriptions for the records that you U.S.C. 591 et seq.), may be provided to want. As a general rule, the more spe- the public without following this sub- cific you are about the records or type part. of records that you want, the more (c) Any requester needing assistance likely that the agency will be able to in locating proactively disclosed or other agency records may contact the locate those records in response to agency’s FOIA Public Liaison at (202) your request. Before submitting your 480–2080. request, you may contact the agency’s FOIA Public Liaison at (202) 480–2080 [82 FR 7632, Jan. 23, 2017] for assistance in describing the records. (2) If the agency determines that § 304.3 Requirements for making requests. your request does not reasonably describe records, then it will tell you ei- (a) You may How made and addressed. ther what additional information is make a request for records by using the needed or why your request is other- FOIA Request form on the ACUS Web wise insufficient. It also will give you site at https://www.acus.gov/foia. You an opportunity to discuss your request may also send a written request letter to the agency either by mail addressed by telephone so that you may modify it to FOIA Public Liaison, Administra- to meet the requirements of this sec- tive Conference of the United States, tion. Additionally, if your request does 1120 20th Street NW., Suite 706 South, not reasonably describe the records Washington, DC 20036, or by fax deliv- you seek, the agency’s response to it ery to (202) 386–7190. For the quickest may be delayed as an initial matter. possible handling of a mail request, (c) Format of records sought. Requests you should mark both your request let- may specify the preferred form or for- ter and the envelope ‘‘Freedom of In- mat (including electronic formats) for formation Act Request.’’ (You may find the records you seek. The agency will the agency’s ‘‘Freedom of Information accommodate your request if the Act Reference Guide’’—which is avail- record is readily reproducible in that able in electronic format on its Web form or format.

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(d) Agreement to pay fees. When you will be presumed to be best able to de- make a FOIA request, it will be consid- termine whether to disclose it. ered to be an agreement by you to pay (c) Notice of referral. When the agency all applicable fees charged under § 304.9, refers all or any part of the responsi- up to $50.00, unless you specifically re- bility for responding to a request to an- quest a waiver of fees. The agency ordi- other agency, it ordinarily will notify narily will confirm this agreement in the requester of the referral and inform an acknowledgment letter. When mak- the requester of the name of the agen- ing a request, you may specify a will- cy to which the request has been re- ingness to pay a greater or lesser ferred and of the part of the request amount. Your agreement will not prej- that has been referred. udice your ability to seek a waiver or (d) Timing of responses to consultations reduction of any applicable fee at a and referrals. All consultations and re- later time. ferrals will be handled according to the [82 FR 7632, Jan. 23, 2017] date upon which the FOIA request initially was received by the first agency, § 304.4 Responsibility for responding and not any later date. to requests. (e) Agreements regarding consultations (a) In general. The agency will be re- and referrals. The agency may make sponsible for responding to a request in agreements with other agencies de- all respects, except in the case of a re- signed to eliminate the need for con- ferral to another agency as is described sultations or referrals regarding par- in paragraphs (b), (c), and (d) of this ticular types of records. section. In determining which records are responsive to a request, the agency § 304.5 Timing of responses to re- ordinarily will include only records in quests. its possession and control as of the (a) In general. The agency ordinarily date upon which it begins its search for will respond to requests according to them. If any other date is used, the their order of receipt. agency will inform the requester of (b) Multi-track processing. The agency that date. generally uses two processing tracks (b) Consultations and referrals. When that distinguish between simple and the agency receives a request for a complex requests. In determining the record in its possession and control, it will determine whether another agency appropriate track for a request, the of the Federal Government is better agency considers, among other factors, able to determine whether the record is the number of records requested, the exempt from disclosure under the FOIA number of pages involved in processing and, if so, whether it should be dis- the request and the need for consulta- closed as a matter of administrative tions or referrals. When a request is discretion. If the agency determines placed on the complex track, the agen- that it is best able to process the cy will provide the requester with an record in response to the request, then opportunity to narrow or modify the it will do so. If the agency determines request so that it can be placed on the that it is not best able to process the simple track. The agency will contact record, then it will either: the requester by telephone, email or (1) Respond to the request regarding letter, whichever is most efficient, in that record, after consulting with the each case. agency that is best able to determine (c) Unusual circumstances. (1) Where whether to disclose it and with any the statutory time limit of 20 days for other agency that has a substantial in- processing a request cannot be met be- terest in it; or cause of ‘‘unusual circumstances,’’ as (2) Refer the responsibility for re- defined in the FOIA, and the agency ex- sponding to the request regarding that tends the time limits on that basis, it record to another agency that origi- will, before expiration of the 20-day pe- nated the record (but only if that agen- riod, notify the requester in writing of cy is subject to the FOIA). Ordinarily, the unusual circumstances and of the the agency that originated a record date by which the agency estimates

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processing of the request can be ex- quester also must establish a par- pected to be completed. Where the ex- ticular urgency to inform the public tension is likely to exceed ten working about the government activity in- days, the agency will provide the re- volved in the request, beyond the quester with an opportunity to modify public’s right to know about govern- the request or arrange an alternative ment activity generally. The formality time period for processing the original of certification may be waived by the or modified request. In such instances, agency as a matter of administrative the agency’s FOIA Public Liaison will discretion. contact the requester, and the re- (4) Within ten calendar days of its requester will be informed of the medi- ceipt of a request for expedited proc- ation services offered by the Office of essing, the agency will decide whether Government Information Services to grant it and will notify the re- (‘‘OGIS’’)—see https://www.archives.gov/ quester of the decision. If a request for ogis. expedited treatment is granted, then (2) Where the agency reasonably be- the request will be given priority and lieves that multiple requests submitted will be processed as soon as prac- by a requester, or by a group of re- ticable. If a request for expedited proc- questers acting in concert, constitute a essing is denied, then any appeal of single request that would otherwise in- that decision will be acted on expedi- volve unusual circumstances, and the tiously. requests involve clearly related mat- [76 FR 18635, Apr. 5, 2011, as amended at 82 ters, they may be aggregated. Multiple FR 7632, Jan. 23, 2017] requests involving unrelated matters will not be aggregated. § 304.6 Responses to requests. (d) Expedited processing. (1) Requests (a) Acknowledgments of requests. On and appeals will be taken out of order receipt of a request, if the agency can- and given expedited treatment when- not provide the requested information ever it is determined that they involve: within two working days, then an ac- (i) Circumstances in which the lack knowledgment letter or email message of expedited treatment could reason- will be sent to the requester that will ably be expected to pose an imminent confirm the requester’s agreement to threat to the life or physical safety of pay fees under § 304.3(d) and will pro- an individual; vide a request tracking number for fur- (ii) An urgency to inform the public ther reference. Requesters may use this concerning actual or alleged federal tracking number to determine the sta- government activity, if made by a per- tus of their request—including the date son primarily engaged in disseminating of its receipt and the estimated date on information; or which action on it will be completed— (iii) Other circumstances as deter- by calling the agency’s FOIA Public Li- mined by the agency. aison at (202) 480–2080. In some cases, (2) A request for expedited processing the agency may seek further informa- may be made at the time of the initial tion or clarification from the re- request for records (i.e., as part of the quester. initial request) or at any later time. (b) Grants of requests. Ordinarily, the (3) A requester who seeks expedited agency will have 20 working days from processing must submit a statement, when a request is received to determine certified to be true and correct to the whether to grant or deny the request. best of that person’s knowledge and be- Once the agency makes such a deter- lief, explaining in detail the basis for mination, it will immediately notify requesting expedited processing. For the requester in writing. The agency example, a requester within the cat- will inform the requester in the notice egory in paragraph (d)(1)(ii) of this sec- of any fee charged under § 304.9 and will tion, if not a full-time member of the disclose records to the requester news media, must establish that he or promptly upon payment of any applica- she is a person whose main professional ble fee. The agency will also inform the activity or occupation is information requester of the availability of its dissemination, though it need not be FOIA Public Liaison to offer assist- his or her sole occupation. That re- ance.

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(c) Adverse determinations of requests. § 304.7 Business information. Whenever the agency makes an adverse (a) In general. Business information determination denying a request in any obtained by the agency will be dis- respect, it will notify the requester of closed under the FOIA only under this that determination in writing. Adverse section and in accordance with Execu- determinations, or denials of requests, tive Order 12,600, 3 CFR part 235 (1988). consist of: A determination to withhold (b) Definitions. For purposes of this any requested record in whole or in section: part; a determination that a requested (1) ‘‘Business information’’ means record does not exist or cannot be lo- privileged or confidential commercial cated; a determination that a record is or financial information obtained by not readily reproducible in the form or the agency from a submitter that may format sought by the requester; a de- be protected from disclosure under Ex- termination that what has been re- emption 4 of the FOIA. quested is not a record subject to the (2) ‘‘Submitter’’ means any person or FOIA; a determination on any disputed entity from whom the agency obtains fee matter, including a denial of a re- business information, either directly or quest for a fee waiver; and a denial of indirectly. The term includes corpora- a request for expedited treatment. The tions; state, local, and tribal govern- denial letter will include: ments; and foreign governments. (1) The name and title or position of (c) Designation of business information. the person responsible for the denial; A submitter of business information (2) A brief statement of the reason(s) will use good-faith efforts to designate, for the denial, including any FOIA ex- by appropriate markings, either at the emption(s) applied by the agency in de- time of submission or at a reasonable nying the request; time thereafter, any and all portion(s) (3) An estimate of the volume of of its submission that it considers to be records or information withheld, in protected from disclosure under Ex- number of pages or in some other rea- emption 4. These designations will ex- sonable form of estimation. This esti- pire ten years after the date of the sub- mate does not need to be provided if mission unless the submitter requests, the volume is otherwise indicated and provides justification for, a longer through deletions on records disclosed designation period. in part, or if providing an estimate (d) Notice to submitters. The agency would harm an interest protected by an will provide a submitter with prompt applicable exemption; and written notice of a FOIA request or ad- (4) An indication on the released por- ministrative appeal that seeks its busi- tion of a record of each exemption ap- ness information wherever required plied, at the place at which it was ap- under paragraph (e) of this section, ex- plied, if technically feasible. cept as provided in paragraph (h) of (5) A statement that the denial may this section, in order to give the sub- be appealed under § 304.8(a) and a de- mitter an opportunity to object to dis- scription of the requirements of closure of any specified portion of that § 304.8(a). information under paragraph (f) of this (6) A statement notifying the re- section. The notice will either describe quester of the assistance available the business information requested or from the agency’s FOIA Public Liaison include copies of the requested records and the dispute resolution services of- or record portions containing the infor- fered by OGIS. mation. When notification of a volumi- (d) Markings on released documents. nous number of submitters is required, Records disclosed in part will be notification may be made by posting or marked or annotated to show the publishing the notice in a place reason- amount of information deleted, unless ably likely to accomplish it. doing so would harm an interest pro- (e) Where notice is required. Notice tected by an applicable exemption. The will be given to a submitter wherever: location of the information deleted (1) The information has been des- also will be indicated on the record, if ignated in good faith by the submitter technically feasible. as information considered protected [82 FR 7633, Jan. 23, 2017] from disclosure under Exemption 4; or

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(2) The agency has reason to believe FOIA) or by a regulation issued in ac- that the information may be protected cordance with the requirements of Ex- from disclosure under Exemption 4. ecutive Order 12,600; or (f) Opportunity to object to disclosure. (4) The designation made by the sub- The agency will allow a submitter a mitter under paragraph (c) of this sec- reasonable time to respond to the no- tion appears obviously frivolous—ex- tice described in paragraph (d) of this cept that, in such a case, the agency section and will specify that time pe- will, within a reasonable time prior to riod within the notice. If a submitter a specified disclosure date, give the has any objection to disclosure, it is re- submitter written notice of any final quired to submit a detailed written decision to disclose the information. statement. The statement must specify (i) Notice of FOIA lawsuit. Whenever a all grounds for withholding any portion requester files a lawsuit seeking to of the information under any exemp- compel the disclosure of business infor- tion of the FOIA and, in the case of Ex- mation, the agency will promptly no- emption 4, it must show why the infor- tify the submitter. mation is a trade secret or commercial (j) Corresponding notice to requesters. or financial information that is privi- Whenever the agency provides a sub- leged or confidential. In the event that mitter with notice and an opportunity a submitter fails to respond to the no- to object to disclosure under paragraph tice within the time specified in it, the (d) of this section, it will also notify submitter will be considered to have no the requester(s). Whenever the agency objection to disclosure of the informa- notifies a submitter of its intent to dis- tion. Information provided by the sub- close requested information under mitter that is not received by the agen- paragraph (g) of this section, it will cy until after its disclosure decision also notify the requester(s). Whenever has been made will not be considered a submitter files a lawsuit seeking to by the agency. Information provided by prevent the disclosure of business in- a submitter under this paragraph may formation, the agency will notify the itself be subject to disclosure under the requester(s). FOIA. (g) Notice of intent to disclose. The § 304.8 Appeals. agency will consider a submitter’s ob- (a) Appeals of adverse determinations. jections and specific grounds for non- If you are dissatisfied with the re- disclosure in deciding whether to dis- sponse to your request, you may appeal close business information. Whenever an adverse determination denying your the agency decides to disclose business request, in any respect, to the Chair- information over the objection of a man of the agency. You must make submitter, it will give the submitter your appeal in writing, by email or let- written notice, which will include: ter, and it must be received by the (1) A statement of the reason(s) why agency within 90 calendar days of the each of the submitter’s disclosure ob- date of the agency’s response denying jections was not sustained; your request. Your appeal should pro- (2) A description of the business in- vide reasons and supporting informa- formation to be disclosed; and tion as to why the initial determina- (3) A specified disclosure date, which tion was incorrect. The appeal should will be a reasonable time subsequent to clearly identify the particular deter- the notice. mination (including the assigned re- (h) Exceptions to notice requirements. quest number, if known) that you are The notice requirements of paragraphs appealing. For the quickest possible (d) and (g) of this section will not apply handling of a mail request, you should if: mark your appeal ‘‘Freedom of Infor- (1) The agency determines that the mation Act Appeal.’’ The Chairman or information should not be disclosed; his or her designee will act on the ap- (2) The information lawfully has been peal, except that an appeal ordinarily published or has been officially made will not be acted on if the request be- available to the public; comes a matter of FOIA litigation. (3) Disclosure of the information is (b) Responses to appeals. The decision required by statute (other than the on your appeal will be communicated

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to you by email or letter, ordinarily doubt a requester’s stated use, the within 20 working days of receipt of agency will provide the requester a rea- your appeal. A decision affirming an sonable opportunity to submit further adverse determination in whole or in clarification. part will contain a statement of the (2) ‘‘Direct costs’’ means those ex- reason(s) for the affirmance, including penses that an agency actually incurs any FOIA exemption(s) applied, and in searching for and duplicating (and, will inform you of the FOIA provisions in the case of commercial use requests, for court review of the decision. The reviewing) records to respond to a decision will also inform you of the FOIA request. Direct costs include, for mediation services offered by OGIS as example, the salary of the employee a non-exclusive alternative to FOIA performing the work (the basic rate of litigation. If the adverse determination pay for the employee, plus 16 percent of is reversed or modified on appeal, in that rate to cover benefits) and the whole or in part, then you will be noti- cost of operating duplication machin- fied in a written decision and your re- ery. Not included in direct costs are quest will be reprocessed in accordance overhead expenses such as the costs of with that appeal decision. space and heating or lighting of the fa- (c) Engaging in dispute resolution serv- cility in which the records are kept. ices provided by OGIS. Mediation is a (3) ‘‘Duplication’’ means the making voluntary process. If the agency agrees of a copy of a record, or of the informa- to participate in the mediation serv- tion contained in it, necessary to re- ices provided by OGIS, it will actively spond to a FOIA request. Copies can engage in the process in an attempt to take the form of paper, audiovisual ma- resolve the dispute. terials, or electronic records, among (d) When appeal is required. As a gen- others. The agency will honor a re- eral rule, if you wish to seek review by quester’s specified preference of form a court of any adverse determination, or format of disclosure if the record is you must first appeal it in a timely readily reproducible with reasonable fashion under this section. efforts in the requested form or format. [82 FR 7633, Jan. 23, 2017] (4) ‘‘Educational institution’’ means a preschool, a public or private elemen- § 304.9 Fees. tary or secondary school, an institu- (a) In general. The agency will charge tion of undergraduate higher edu- for processing requests under the FOIA cation, an institution of graduate high- in accordance with paragraph (c) of er education, an institution of profes- this section and with the OMB Guide- sional education, or an institution of lines. The agency ordinarily will col- vocational education, that operates a lect all applicable fees before sending program of scholarly research. To qual- copies of requested records to a re- ify under this category, a requester quester. Requesters must pay fees by must show that the request is author- check or money order made payable to ized by and is made under the auspices the Treasury of the United States. of a qualifying institution and that the (b) Definitions. For purposes of this records are not sought for a commer- section: cial use but are sought to further (1) ‘‘Commercial use request’’ means scholarly research. a request from or on behalf of a person (5) ‘‘Noncommercial scientific insti- who seeks information for a use or pur- tution’’ means an institution that is pose that furthers his or her commer- not operated on a ‘‘commercial’’ basis, cial, trade, or profit interests, includ- as that term is defined in paragraph ing furthering those interests through (b)(1) of this section, and that is oper- litigation. The agency will determine, ated solely for the purpose of con- whenever reasonably possible, the use ducting scientific research the results to which a requester will put the re- of which are not intended to promote quested records. When it appears that any particular product or industry. To the requester will put the records to a qualify under this category, a re- commercial use, either because of the quester must show that the request is nature of the request itself or because authorized by and is made under the the agency has reasonable cause to auspices of a qualifying institution and

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that the records are not sought for a made by a business submitter under commercial use but are sought to fur- § 304.7 but does not include time spent ther scientific research. resolving general legal or policy issues (6) ‘‘Representative of the news regarding the application of exemp- media,’’ or ‘‘news-media requester,’’ tions. means any person or entity that gath- (8) ‘‘Search’’ means the process of ers information of potential interest to looking for and retrieving records or a segment of the public, uses its edi- information responsive to a request. It torial skills to turn the raw materials includes page-by-page or line-by-line into a distinct work, and distributes identification of information within that work to an audience. For this pur- records and also includes reasonable ef- pose, the term ‘‘news’’ means informa- forts to locate and retrieve information tion that is about current events or from records maintained in electronic that would be of current interest to the form or format. The agency will con- public. Examples of news-media enti- duct searches in the most efficient and ties are television or radio stations least expensive manner reasonably pos- broadcasting to the public at large and sible. For example, it will not search publishers of periodicals (but only if on a line-by-line basis where dupli- such entities qualify as disseminators cating an entire document would be of ‘‘news’’) who make their products quicker and less expensive. available for purchase by or subscrip- (c) Fees charged. In responding to tion by or free distribution to the gen- FOIA requests, the agency will charge eral public. These examples are not all- the following fees unless a waiver or re- inclusive. Moreover, as methods of duction of fees has been granted under news delivery evolve (for example, the paragraph (k) of this section: adoption of the electronic dissemina- (1) Search. (i) Search fees will be tion of newspapers through tele- charged for all requests (other than re- communications services), such alter- quests made by educational institu- native media shall be considered to be tions, noncommercial scientific insti- news-media entities. A freelance jour- tutions, or representatives of the news nalist shall be regarded as working for media) subject to the limitations of a news-media entity if the journalist paragraph (d) of this section. The agen- can demonstrate a solid basis for ex- cy may charge for time spent searching pecting publication through that enti- even if it does not locate any respon- ty, whether or not the journalist is ac- sive record or if it withholds the tually employed by the entity. A publi- record(s) located as entirely exempt cation contract would present a solid from disclosure. basis for such an expectation; the agen- (ii) For each quarter hour spent by cy may also consider the past publica- clerical personnel in searching for and tion record of the requester in making retrieving a requested record, the fee such a determination. To qualify under will be $5.00. Where a search and re- this category, a requester must not be trieval cannot be performed entirely by seeking the requested records for a clerical personnel (for example, where commercial use. A request for records the identification of records within the supporting the news-dissemination scope of a request requires the use of function of the requester will not be professional personnel) the fee will be considered to be for a commercial use. $10.00 for each quarter hour of search (7) ‘‘Review’’ means the examination time spent by professional personnel. of a record located in response to a re- Where the time of managerial per- quest in order to determine whether sonnel is required, the fee will be $15.00 any portion of it is exempt from disclo- for each quarter hour of time spent by sure. It also includes processing any those personnel. record for disclosure—for example, (iii) For computer searches of doing all that is necessary to redact it records, requesters will be charged the and prepare it for disclosure. Review direct costs of conducting the search, costs are recoverable even if a record although certain requesters (as pro- ultimately is not disclosed. Review vided in paragraph (d)(1) of this sec- time includes time spent considering tion) will be charged no search fee and any formal objection to disclosure certain other requesters (as provided in

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paragraph (d)(3) of this section) will be $20.00 or less for any request, no fee entitled to the cost equivalent of two will be charged. hours of manual search time without (5) The provisions of paragraphs (d)(3) charge. These direct costs will include and (4) of this section work together. the costs of operator/programmer sal- This means that for requesters other ary apportionable to the search. than those seeking records for a com- (2) Duplication. Duplication fees will mercial use, no fee will be charged un- be charged to all requesters, subject to less the cost of search in excess of two the limitations of paragraph (d) of this hours plus the cost of duplication in section. For a paper photocopy of a excess of 100 pages totals more than record (no more than one copy of which $20.00. need be supplied), the fee will be ten (6) (i) If the agency fails to comply cents per page. For copies produced by with the FOIA’s time limits in which computer, such as tapes, disks, or to respond to a request, it may not printouts, the agency will charge the charge search fees, or, in the instances direct costs, including operator time, of requests from requesters described of producing the copy. For other forms in paragraph (d)(1) of this section, may of duplication, the agency will charge not charge duplication fees, except as the direct costs of that duplication. described in (d)(6)(ii)–(iv). (3) Review. Review fees will be (ii) If the agency has determined that charged to requesters who make a com- unusual circumstances as defined by mercial use request. Review fees will the FOIA apply and the agency pro- be charged only for the initial record vided timely written notice to the re- review, when the agency determines quester in accordance with the FOIA, a whether an exemption applies to a par- failure to comply with the time limit ticular record or record portion at the will be excused for an additional 10 initial request level. No charge will be working days. made for review at the administrative (iii) If the agency has determined appeal level regarding an exemption al- that unusual circumstances, as defined ready applied. However, records or by the FOIA, apply and more than 5,000 record portions withheld under an ex- pages are necessary to respond to the emption that is subsequently deter- request, the agency may charge search mined not to apply may be reviewed fees, or, in the case of requesters de- again to determine whether any other scribed in paragraph (d)(1) of this sec- exemption not previously considered tion, may charge duplication fees, if applies; the costs of that review are the following steps are taken. The chargeable where it is made necessary agency must have provided timely by such a change of circumstances. Re- written notice of unusual cir- view fees will be charged at the same cumstances to the requester in accord- rates as those used for a search under ance with the FOIA and the agency paragraph (c)(1)(ii) of this section. must have discussed with the requester (d) Limitations on charging fees. (1) No via written mail, email, or telephone search fee will be charged for requests (or made not less than three good-faith by educational institutions, non- attempts to do so) how the requester commercial scientific institutions, or could effectively limit the scope of the representatives of the news media. request in accordance with 5 U.S.C. (2) No search fee or review fee will be 552(a)(6)(B)(ii). If this exception is sat- charged for a quarter-hour period un- isfied, the agency may charge all appli- less more than half of that period is re- cable fees incurred in the processing of quired for search or review. this request. (3) Except for requesters seeking (iv) If a court has determined that records for a commercial use, the agen- exceptional circumstances exist, as de- cy will provide without charge: fined by the FOIA, a failure to comply (i) The first 100 pages of duplication with the time limits will be excused for (or the cost equivalent); and the length of time provided by the (ii) The first two hours of search (or court order. the cost equivalent). (e) Notice of anticipated fees in excess (4) Whenever a total fee calculated of $50.00. (1) When the agency deter- under paragraph (c) of this section is mines or estimates that the fees to be

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charged under this section will amount rate provided in 31 U.S.C. 3717 and will to more than $50.00, it will notify the accrue from the date of the billing requester of the actual or estimated until payment is received by the agen- amount of the fees, unless the re- cy. The agency will follow the provi- quester has indicated a willingness to sions of the Debt Collection Act of 1982, pay fees as high as those anticipated. If Public Law 97–365, 96 Stat. 1749, as only a portion of the fee can be esti- amended, and regulations pursuant mated readily, the agency will advise thereto. the requester that the estimated fee (h) Aggregating requests. Wherever the might be only a portion of the total agency reasonably believes that a re- fee. In cases in which a requester has quester or a group of requesters acting been notified that actual or estimated together is attempting to divide a re- fees amount to more than $50.00, the quest into a series of requests for the request will not be considered received purpose of avoiding fees, it may aggre- and further work will not be done on it gate those requests and charge accord- until the requester agrees to pay the ingly. In so doing, it will presume that total anticipated fee. Any such agree- multiple requests of this type made ment should be memorialized in writ- within a 30-day period have been made ing. A notice under this paragraph will in order to avoid fees. Where requests offer the requester an opportunity to are separated by a longer period, the discuss the matter with agency per- agency will aggregate them only where sonnel in order to reformulate the re- there exists a solid basis for deter- quest to meet the requester’s needs at mining that aggregation is warranted a lower cost. under all the circumstances involved. (2) If the requester has indicated a Multiple requests involving unrelated willingness to pay some designated matters will not be aggregated. amount of fees, but the agency esti- (i) Advance payments. (1) For requests mates that the total fee will exceed other than those described in para- that amount, the agency will suspend graphs (i)(2) and (i)(3) of this section, the processing of the request when it the agency will not require the re- notifies the requester of the estimated quester to make an advance payment— fees in excess of the amount the re- in other words, a payment made before quester has indicated a willingness to work is begun or continued on a re- pay. The agency will inquire whether quest. Payment owed for work already the requester wishes to revise the completed (i.e., a prepayment before amount of fees the requester is willing copies are sent to a requester) is not an to pay or modify the request. Once the advance payment. requester responds, the time to respond (2) Where the agency determines or will resume from where it was at the estimates that a total fee to be charged date of the notification. under this section will be more than (3) The agency will make its FOIA $250.00, it may require the requester to Public Liaison available to assist any make an advance payment of an requester in reformulating a request to amount up to the amount of the entire meet the requester’s needs at a lower anticipated fee before beginning to cost. process the request, except where it re- (f) Charges for other services. Apart ceives a satisfactory assurance of full from the other provisions of this sec- payment from a requester that has a tion, when the agency chooses as a history of prompt payment. matter of administrative discretion to (3) Where a requester has previously provide a special service—such as certi- failed to pay a properly charged FOIA fying that records are true copies or fee to the agency within 30 calendar sending them by other than ordinary days of the date of billing, the agency mail—the direct costs of providing the may require the requester to pay the service ordinarily will be charged. full amount due, plus any applicable (g) Charging interest. The agency may interest, and to make an advance pay- charge interest on any unpaid bill ment of the full amount of any antici- starting on the 31st day following the pated fee, before it begins to process a date of the billing of the requester. In- new request or continues to process a terest charges will be assessed at the pending request from that requester.

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(4) In cases in which the agency re- tially identical form, would not be quires advance payment or payment meaningfully informative if nothing due under paragraph (i)(2) or (i)(3) of new would be added to the public’s un- this section, the request will not be derstanding. considered received and further work (B) The disclosure must contribute to will not be done on it until the re- the understanding of a reasonably quired payment is received. broad audience of persons interested in (j) Other statutes specifically providing the subject, as opposed to the indi- for fees. The fee schedule of this section vidual understanding of the requester. does not apply to fees charged under A requester’s expertise in the subject any statute that specifically requires area as well as the requester’s ability an agency to set and collect fees for and intention to convey information particular types of records. In cases in effectively to the public will be consid- which records responsive to requests ered. The agency will presume that a are maintained for distribution by an- representative of the news media satis- other agency under such a statutorily fies this consideration. based fee schedule program, ACUS will (iii) The disclosure must not be pri- inform the requesters of the steps for marily in the commercial interest of obtaining records from those sources so the requester. To determine whether that they may do so most economi- disclosure of the requested information cally. is primarily in the commercial interest (k) Requirements for waiver or reduc- of the requester, the agency will con- tion of fees. (1) Requesters may seek a sider the following criteria: waiver of fees by submitting a written (A) Whether the requester has any application demonstrating how disclo- commercial interest that would be sure of the requested information is in furthered by the requested disclosure. the public interest because it is likely A commercial interest includes any to contribute significantly to public commercial, trade, or profit interest. understanding of the operations or ac- Requesters will be given an oppor- tivities of the government and is not primarily in the commercial interest of tunity to provide explanatory informa- the requester. tion regarding this consideration. (2) The agency will furnish records (B) Whether any identified commer- responsive to a request without charge cial interest is the primary interest or at a reduced rate when it deter- furthered by the request. A waiver or mines, based on all available informa- reduction of fees is justified when the tion, that the factors described in para- requirements of paragraphs (k)(2)(i) graphs (k)(2)(i) through (iii) of this sec- and (ii) of this section are satisfied and tion are satisfied: any commercial interest is not the pri- (i) Disclosure of the requested infor- mary interest furthered by the request. mation would shed light on the oper- The agency ordinarily will presume ations or activities of the government. that when a news media requester has The subject of the requested records satisfied factors in paragraphs (k)(2)(i) must concern identifiable operations or and (ii) of this section, the request is activities of the Federal Government not primarily in the commercial inter- with a connection that is direct and est of the requester. Disclosure to data clear, not remote or attenuated. brokers or others who merely compile (ii) Disclosure of the requested infor- and market government information mation is likely to contribute signifi- for direct economic return will not be cantly to public understanding of those presumed primarily to serve the public operations or activities. This factor is interest. satisfied when the following criteria (3) Where only some of the records to are met: be released satisfy the requirements for (A) Disclosure of the requested a waiver of fees, a waiver will be grant- records must be meaningfully informed for those records. ative about government operations or (4) Requests for a waiver or reduction activities. The disclosure of informa- of fees should ordinarily be made when tion that already is in the public do- the request is first submitted to the main, in either the same or a substan- agency and should address the criteria

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referenced above. A requester may sub- under the Privacy Act of 1974 (‘‘the Pri- mit a fee waiver request at a later time vacy Act’’), 5 U.S.C. 552a, as amended, so long as the underlying record re- regarding the protection of, and indi- quest is pending or on administrative vidual access to, certain records about appeal. When a requester who has com- individuals. These rules should be read mitted to pay fees subsequently asks together with and are governed by the for a waiver of those fees and that Privacy Act itself, which provides addi- waiver is denied, the requester must tional information about records main- pay any costs incurred up to the date tained on individuals. The rules in this the fee waiver request was received. subpart apply to all records in Privacy [76 FR 18635, Apr. 5, 2011, as amended at 82 Act systems of records maintained by FR 7633, Jan. 23, 2017] the agency, which are retrieved by an individual’s name or personal identi- § 304.10 Preservation of records. fier. They describe the procedures by (a) The agency will preserve all cor- which individuals may request access respondence pertaining to the requests to records about themselves, request that it receives under this subpart, as amendment or correction of those well as copies of all requested records, records, and request an accounting of until disposition or destruction is au- disclosures of those records by the thorized by title 44 of the United agency. In addition, the agency proc- States Code or the National Archives esses all Privacy Act requests for ac- and Records Administration’s General cess to records under the Freedom of Records Schedule 4.2. Records will not Information Act (‘‘FOIA’’), 5 U.S.C. 552, be disposed of while they are the sub- as amended, following the rules con- ject of a pending request, appeal, or tained in subpart A of this part. Thus, lawsuit under the FOIA. all Privacy Act requests will be subject (b) In the event that the agency con- to exemptions for access to records tracts with another agency, entity, or only applicable under both FOIA and person to maintain records for the the Privacy Act. agency for the purposes of records (b) Definitions. As used in this sub- management, it will promptly identify part: such records in its ‘‘Freedom of Infor- (1) ‘‘Request for access to a record’’ mation Reference Guide’’ and specify means a request made under Privacy the particular means by which request Act, 5 U.S.C. 552a(d)(1). for such records can be made. (2) ‘‘Request for amendment or correction of a record’’ means a request [76 FR 18635, Apr. 5, 2011, as amended at 82 FR 7635, Jan. 23, 2017] made under Privacy Act, 5 U.S.C. 552a(d)(2). § 304.11 Other rights and services. (3) ‘‘Request for an accounting’’ Nothing in this subpart shall be con- means a request made under Privacy strued to entitle any person, as of Act, 5 U.S.C. 552a(c)(3). right, to any service or to the disclo- (4) ‘‘Requester’’ means an individual sure of any record to which such person who makes a request for access, a re- is not entitled under the FOIA. quest for amendment or correction, or a request for an accounting under the Subpart B—Protection of Privacy Privacy Act. and Access to Individual § 304.21 Requests for access to records. Records Under the Privacy (a) How made and addressed. You may Act of 1974 make a request for access to a record about yourself by appearing in person AUTHORITY: 5 U.S.C. 552a, 591–96. or by sending an e-mail message addressed to [email protected]. You may also § 304.20 General provisions. send a written request letter to the (a) Purpose and scope. This subpart agency either by mail addressed to 1120 contains the rules that the Administra- 20th Street, NW., South Lobby, Suite tive Conference of the United States 706, Washington, DC 20036, or by fax de- (‘‘ACUS’’ or ‘‘the agency’’) follows livery to (202) 386–7190. For the

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quickest possible handling of a mail re- ordinarily will include only records in quest, you should mark both your re- its possession and control as of the quest letter and the envelope ‘‘Privacy date upon which it begins its search for Act Request.’’ them. If any other date is used, the (b) Description of records sought. You agency will inform the requester of must describe the records that you that date. want in enough detail to enable agency (b) Consultations and referrals. When personnel to locate the system of the agency receives a request for access records containing them with a reason- to a record in its possession and con- able amount of effort. Whenever pos- trol, it will determine whether another sible, your request should describe the agency of the Federal Government, is records sought, the time periods in better able to determine whether the which you believe they were compiled, record is exempt from access under the and the name or identifying number of Privacy Act. If the agency determines each system of records in which you that it is the agency best able to proc- believe they are kept. The agency pub- ess the record in response to the re- lishes a notice in the FEDERAL REG- quest, then it will do so. If it deter- ISTER that describes its systems of records. mines that it is not best able to process (c) Agreement to pay fees. If you make the record, then it will either: a Privacy Act request for access to (1) Respond to the request regarding records, it will be considered an agree- that record, after consulting with the ment by you to pay all applicable fees agency that is best able to determine charged under § 304.27, up to $50.00. Du- whether the record is exempt from ac- plication fees in excess of $50.00 are cess and with any other agency that subject to the requirements of § 304.27 has a substantial interest in it; or of this subpart and the notification re- (2) Refer the responsibility for requirements in § 304.9 of subpart A. The sponding to the request regarding that agency ordinarily will confirm this record to the agency that is best able agreement in an acknowledgment let- to determine whether it is exempt from ter. When making a request, you may access, or to another agency that origi- specify a willingness to pay a greater nated the record (but only if that agen- or lesser amount. cy is subject to the Privacy Act). Ordi- (d) Verification of identity. When you narily, the agency that originated a make a request for access to records record will be presumed to be best able about yourself, you must verify your to determine whether it is exempt from identity. You must state your full access. name, current address, and date and (c) Notice of referral. When the agency place of birth. You must sign your re- refers all or any part of the responsi- quest and your signature must either bility for responding to a request to an- be notarized or submitted by you under other agency, it ordinarily will notify 28 U.S.C. 1746, a law that permits state- the requester of the referral and inform ments to be made under penalty of per- the requester of the name of the agen- jury as a substitute for notarization. In order to help the identification and lo- cy to which the request has been re- cation of requested records, you may ferred and of the part of the request also, entirely at your option, include that has been referred. the last four digits of your social secu- (d) Timing of responses to consultations rity number. and referrals. All consultations and referrals will be handled according to the § 304.22 Responsibility for responding date upon which the Privacy Act ac- to requests for access to records. cess request was initially received by (a) In general. The agency will be re- the first agency, not any later date. sponsible for responding to a request in (e) Agreements regarding consultations all respects, except in the case of a re- and referrals. The agency may make ferral to another agency as is described agreements with other agencies de- in paragraphs (b), (c), and (d) of this signed to eliminate the need for con- section. In determining which records sultations or referrals for particular are responsive to a request, the agency types of records.

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§ 304.23 Responses to requests for ac- § 304.24 Appeals from denials of re- cess to records. quests for access to records. (a) Acknowledgments of requests. On (a) Appeals. If you are dissatisfied receipt of a request, the agency ordi- with the response to your request, you narily will send an acknowledgment may appeal an adverse determination letter to the requester that will con- denying your request, in any respect, firm the requester’s agreement to pay to the Chairman of the agency. You fees under § 304.21(c) and provide an as- must make your appeal in writing, by signed request number for further ref- e-mail or letter, and it must be re- erence. In some cases, the agency may ceived by the agency within 60 days of seek further information or clarifica- the date of the denial of your request. tion from the requester. Your appeal letter should provide rea- (b) Grants of requests for access. Once sons and supporting information as to the agency makes a determination to why the initial determination was in- grant a request for access in whole or correct. The appeal should clearly in part, it will notify the requester in identify the particular determination writing. The agency will inform the re- (including the assigned request num- quester in the notice of any fee charged ber, if known) that you are appealing. under § 304.27 and will disclose records For the quickest possible handling of a to the requester promptly on payment mail request, you should mark your ap- of any applicable fee. If a request is peal letter and the envelope ‘‘Privacy made in person, the agency may dis- Act Appeal.’’ The Chairman of the close records to the requester directly, agency or his or her designee will act in a manner not unreasonably disrup- on the appeal, except that an appeal or- tive of its operations, on payment of dinarily will not be acted on if the re- any applicable fee and with a written quest becomes a matter of FOIA or Pri- record made of the grant of the re- vacy Act litigation. quest. If a requester is accompanied by (b) Responses to appeals. The decision another person, the requester will be on your appeal will be made in writing. required to authorize in writing any A decision affirming an adverse deter- discussion of the records in the pres- mination in whole or in part will in- ence of the other person. clude a brief statement of the reason(s) (c) Adverse determinations of requests for the affirmance, including any ex- for access. Upon making an adverse de- emption applied, and will inform you of termination denying a request for ac- the Privacy Act provisions for court re- cess in any respect, the agency will no- view of the decision. If the adverse de- tify the requester of that determina- termination is reversed or modified on tion in writing. Adverse determina- appeal in whole or in part, then you tions, or denials of requests consist of: will be notified in a written decision a determination to withhold any re- and your request will be reprocessed in quested record in whole or in part; a accordance with that appeal decision. determination that a requested record (c) When appeal is required. As a gen- does not exist or cannot be located; a eral rule, if you wish to seek review by determination that what has been re- a court of any adverse determination quested is not a record subject to the or denial of a request, you must first Privacy Act; a determination on any appeal it under this section. disputed fee matter; and a denial of a request for expedited treatment. The § 304.25 Requests for amendment or notification letter will include: correction of records. (1) The name and title or position of (a) How made and addressed. Unless the person responsible for the denial; the record is not subject to amendment (2) A brief statement of the reason(s) or correction as stated in paragraph (f) for the denial, including any Privacy of this section, you may make a re- Act exemption(s) applied in denying quest for amendment or correction of the request; and an ACUS record about yourself by fol- (3) A statement that the denial may lowing same procedures as in § 304.21. be appealed under § 304.24(a) and a de- Your request should identify each par- scription of the requirements of ticular record in question, state the § 304.24(a). amendment or correction that you

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want, and state why you believe that ment in the system of records in which the record is not accurate, relevant, the disputed record is maintained and timely, or complete. You may submit will mark the disputed record to indi- any documentation that you think cate that a Statement of Disagreement would be helpful. If you believe that has been filed and exactly where in the the same record is maintained in more system of records it may be found. than one system of records, you should (e) Notification of amendment/correction state that. or disagreement. Within 30 business days (b) Agency responses. Within ten busi- of the amendment or correction of a ness days of receiving your request for record, the agency will notify all per- amendment or correction of records, sons, organizations, or agencies to the agency will send you a written ac- which it previously disclosed the knowledgment of its receipt of your re- record, if an accounting of that disclo- quest. The agency will promptly notify sure was made, that the record has you whether your request is granted or been amended or corrected. If an indi- denied. If the agency grants your re- vidual has filed a Statement of Dis- quest in whole or in part, it will de- agreement, the agency will append a scribe the amendment or correction copy of it to the disputed record when- made and will advise you of your right ever the record is disclosed and may to obtain a copy of the corrected or also append a concise statement of its amended record, in disclosable form. If reason(s) for denying the request to the agency denies your request in amend or correct the record. whole or in part, it will send you a let- (f) Records not subject to amendment or ter that will state: correction. The following records are (1) The reason(s) for the denial; and not subject to amendment or correc- (2) The procedure for appeal of the tion: denial under paragraph (c) of this sec- (1) Transcripts of testimony given tion, including the name and business under oath or written statements made address of the official who will act on under oath; your appeal. (2) Transcripts of grand jury pro- (c) Appeals. You may appeal a denial ceedings, judicial proceedings, or of a request for amendment or correc- quasi-judicial proceedings, which are tion in the same manner as a denial of the official record of those proceedings; a request for access to records (see and § 304.24(a)) and the same procedures will (3) Any other record that originated be followed. The agency will ordinarily with the courts. act on the appeal within 30 business days of receipt of the appeal, except § 304.26 Requests for an accounting of that the Chairman of the agency may record disclosures. extend the time for response for good (a) How made and addressed. Except cause shown. If your appeal is denied, where accountings of disclosures are you will be advised of your right to file not required to be kept (as stated in a Statement of Disagreement as de- paragraph (b) of this section), you may scribed in paragraph (d) of this section make a request for an accounting of and of your right under the Privacy any disclosure that has been made by Act for court review of the decision. the agency to another person, organi- (d) Statements of Disagreement. If your zation, or agency of any record about appeal under this section is denied in you. This accounting contains the whole or in part, you have the right to date, nature, and purpose of each dis- file a Statement of Disagreement that closure, as well as the name and ad- states your reason(s) for disagreeing dress of the person, organization, or with the agency’s denial of your re- agency to which the disclosure was quest for amendment or correction. made. Your request for an accounting Statements of Disagreement must be should identify each particular record concise, must clearly identify each in question and should be made in writ- part of any record that is disputed, and ing to the agency, following the proce- should be no longer than one typed dures in § 304.21. page for each fact disputed. The agency (b) Where accountings are not required. will place your Statement of Disagree- The agency is not required to provide

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accountings to you where they relate disclosed; the date of disclosure; and to: the compelling circumstances justi- (1) Disclosures for which accountings fying the disclosure. are not required to be kept (i.e., disclosures that are made to officers and em- § 304.29 Security of systems of records. ployees of the agency and disclosures (a) Administrative and physical con- required under the FOIA); or trols. The agency will have administra- (2) Disclosures made to law enforce- tive and physical controls to prevent ment agencies for authorized law en- unauthorized access to its systems of forcement activities in response to records, to prevent unauthorized dis- written requests from a duly author- closure of records, and to prevent phys- ized representative of any such law en- ical damage to or destruction of forcement agency specifying portion of records. The stringency of these con- the record desired and the law enforce- trols corresponds to the sensitivity of ment activity for which the record is the records that the controls protect. sought. At a minimum, these controls are de- (c) Appeals. You may appeal a denial signed to ensure that: of a request for an accounting in the (1) Records are protected from public same manner as a denial of a request view; for access to records (see § 304.24(a)) and (2) The area in which records are the same procedures will be followed. kept is supervised during business § 304.27 Fees. hours in order to prevent unauthorized persons from having access to them; The agency will charge fees for dupli- (3) Records are inaccessible to unau- cation of records under the Privacy Act thorized persons outside of business in the same way in which it charges hours; and duplication fees under § 304.9 of subpart A. No search or review fee may be (4) Records are not disclosed to unau- charged for any record under the Pri- thorized persons or under unauthorized vacy Act. circumstances in oral, written or any other form. § 304.28 Notice of court-ordered and (b) Restrictive procedures. The agency emergency disclosures. will implement practices and proce- (a) Court-ordered disclosures. When a dures that restrict access to records to record pertaining to an individual is re- only those individuals within the agen- quired to be disclosed by a court order, cy who must have access to those the agency will make reasonable ef- records in order to perform their duties forts to provide notice of such order to and that prevent inadvertent disclo- the individual. Notice will be given sure of records. within a reasonable time after the agency’s receipt of the order, except § 304.30 Contracts for the operation of record systems. that in a case in which the order is not a matter of public record, the notice Any approved contract for the oper- will be given only after the order be- ation of a record system will contain comes public. This notice will be appropriate requirements issued by the mailed to the individual’s last known General Services Administration in address and will contain a copy of the order to ensure compliance with the re- order and a description of the informa- quirements of the Privacy Act for that tion disclosed. record system. The contracting officer (b) Emergency disclosures. Upon dis- of the agency will be responsible for closing a record pertaining to an indi- ensuring that the contractor complies vidual made under compelling cir- with these contract requirements. cumstances affecting health or safety, the agency will notify that individual § 304.31 Use and collection of social se- of the disclosure. This notice will be curity numbers and other informa- mailed to the individual’s last known tion. address and will state the nature of the The agency will ensure that employ- information disclosed; the person, or- ees authorized to collect information ganization, or agency to which it was are aware:

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(a) That individuals may not be de- (c) Inform each individual from nied any right, benefit, or privilege as whom information is collected of the a result of refusing to provide their so- information set forth in § 304.31(b); cial security numbers, unless the col- (d) Ensure that the agency maintains lection is authorized either by a stat- no system of records without public no- ute or by a regulation issued prior to tice and also notify appropriate agency 1975; officials of the existence or develop- (b) That individuals requested to pro- ment of any system of records that is vide their social security numbers, or not the subject of a current or planned any other information collected from public notice; them, must be informed, before pro- (e) Maintain all records that are used viding such information, of: by it in making any determination (1) Whether providing social security about an individual with such accu- numbers (or such other information) is racy, relevance, timeliness, and com- mandatory or voluntary; pleteness as is reasonably necessary to (2) Any statutory or regulatory au- ensure fairness to the individual in the thority that authorizes the collection determination; of social security numbers (or such (f) Except as to disclosures made to other information); an agency or made under the FOIA, (3) The principal purpose(s) for which make reasonable efforts, prior to dis- the information is intended to be used; seminating any record about an individual, to ensure that the record is ac- (4) The routine uses that may be curate, relevant, timely, and complete; made of the information; and (g) Maintain no record describing (5) The effects, in any, on the indi- how an individual exercises his or her vidual of not providing all or any part First Amendment rights unless such of the requested information; and maintenance is expressly authorized by (c) That, where the information re- statute or by the individual about ferred to above is requested on a form, whom the record is maintained or is the requirements for informing such pertinent to and within the scope of an individuals are set forth on the form authorized law enforcement activity; used to collect the information, or on a (h) When required by the Privacy separate form that can be retained by Act, maintain an accounting in the such individuals. specified form of all disclosures of records by the agency to persons, orga- § 304.32 Employee standards of con- nizations, or agencies; duct. (i) Maintain and use records with The agency will inform its employees care in order to prevent the unauthor- of the provisions of the Privacy Act, ized or inadvertent disclosure of a including the scope of its restriction record to anyone; and against disclosure of records main- (j) Notify the appropriate agency of- tained in a system of records without ficial of any record that contains infor- the prior written consent of the indi- mation that the Privacy Act does not vidual involved, and the Act’s civil li- permit the agency to maintain. ability and criminal penalty provisions. Unless otherwise permitted by § 304.33 Preservation of records. law, an employee of the agency will: The agency will preserve all cor- (a) Collect from individuals and respondence pertaining to the requests maintain only the information that is that it receives under this subpart, as relevant and necessary to discharge the well as copies of all requested records, agency’s responsibilities; until disposition or destruction is au- (b) Collect information about an indi- thorized by title 44 of the United vidual directly from that individual to States Code or the National Archives the greatest extent practicable when and Records Administration’s General the information may result in an ad- Records Schedule 14. Records will not verse determination about an individ- be disposed of while they are the sub- ual’s rights, benefits, or privileges ject of a pending request, appeal, or under Federal programs; lawsuit under the Act.

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§ 304.34 Other rights and services. sure of any record to which such person is not entitled under the Privacy Act. Nothing in this subpart shall be construed to entitle any person, as of right, to any service or to the disclo- PARTS 305–399 [RESERVED]

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EDITORIAL NOTE: Federal agencies are required to publish regulations implementing the provisions of the Freedom of Information Act (5 U.S.C. 552(a)), the Privacy Act of 1974 (Pub. L. 93–579, 5 U.S.C. 552a), the Government in the Sunshine Act (Pub. L. 94–409, 5 U.S.C. 552b), and section 504 of the Rehabilitation Act of 1973, as amended by section 119 of the Rehabilita- tion, Comprehensive Services, and Developmental Disabilities Amendments of 1978 (29 U.S.C. 794). While most agencies have existing chapter assignments in the Code of Federal Regula- tions, a few agencies do not. Since certain of these agencies are unlikely to be issuing regulations other than those relating to the acts mentioned above, the Director of the Office of the Federal Register has grouped these miscellaneous agencies into this chapter as an efficient means of administering the CFR system.

Part Page 400–424 [Reserved] 425 President’s Commission on White House Fellow- ships ...... 65 426 National Commission on Military, National, and Public Service ...... 67 457 Enforcement of nondiscrimination on the basis of handicap in programs or activities conducted by the National Capital Planning Commission ...... 82 500 Enforcement of nondiscrimination on the basis of handicap in programs or activities conducted by the National Commission for Employment Pol- icy ...... 88

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bank draft drawn on a bank in the (iii) After an accounting of disclo- United States, or a money order. Re- sures has been kept pursuant to 5 mittances shall be made payable to the U.S.C. 552a(c), advise all previous re- order of the Treasury of the United cipients of the record, who, the Com- States and mailed or delivered to the mission believes, still retain a copy Administrative Officer, President’s thereof, of the fact that the amend- Commission on White House Fellow- ment was made and the substance of ships, 1900 E Street, NW., Washington, the amendment. DC 20415. (f) If, after review of the record, the (d) Individuals will not be denied ac- Administrative Officer determines that cess to records pertaining to them. the requested amendment is not in con- [40 FR 52416, Nov. 10, 1975; 40 FR 56651, Dec. formity with the requirements of the 4, 1975, as amended at 40 FR 59187, Dec. 22, Act, he shall: 1975] (1) Advise the requester in writing within thirty days of written request of § 425.4 Correction of records. such determination together with spe- (a) An individual may request that a cific reasons therefor; and record or records pertaining to him or (2) Inform the requester that further her be amended or corrected. Such re- review of the request by the Director of quests shall be submitted in writing to the Commission is available if a writ- the Administrative Officer at the Com- ten request therefor is made within 30 mission’s business address. days after date of denial. (b) The signature of the requester (g) Within 30 working days of receipt will be sufficient identification for re- of a written request for review pursu- questing correction of records. ant to § 425.4(f)(2) the Director shall (c) A request for amendment shall make an independent review of the contain an exact description of the record, using the criteria of § 425.4(e) (1) item or items sought to be amended and (2). and specific reasons for the requested (1) If the Director determines that amendment, as well as the individual’s the record should be amended in ac- birthdate for purposes of verification of cordance with the request, the Admin- records. istrative Officer shall take the actions (d) Within 10 working days after re- listed in § 425.4(e)(2) (i), (ii), and (iii). ceipt of a request to amend a record, (2) If the Director, after independent the Administrative Officer shall trans- review, determines that the record mit to the requester a written ac- should not be amended in accordance knowledgement of receipt of request. with the request, the Administrative No acknowledgement is required if the Officer shall advise the requester: request can be reviewed and processed with notification to the individual of (i) Of the determination and the rea- compliance or denial within the ten- sons therefor; day period. Requester will be notified (ii) Of his or her right to file with the within 30 days whether or not his or Administrative Officer a concise state- her request has been granted. ment of his or her reasons for dis- (e) If the Administrative Officer de- agreeing with the refusal to amend the termines that the requested amend- record; ment is appropriate to insure that the (iii) That the record will be anno- record is: tated to indicate to anyone subse- (1) Relevant and necessary to accom- quently having access to it that a plish the purposes for which the statement of disagreement has been records were collected; and filed, and that the statement will be (2) As accurate, timely, and complete made available to anyone to whom the as are reasonably necessary to assure record is disclosed; fairness to the requester, the Adminis- (iv) That the Director and the Ad- trative Officer shall: ministrative Officer may, in their dis- (i) Change the record accordingly; cretion, include a brief summary of (ii) Advise the requester that the their reasons for refusing to amend the change has been made, thirty days record whenever such disclosure is from receipt of written request; made;

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(v) That any prior recipients of this 426.108 Fees charged to locate, review, or disputed record, who, the Commission copy records. believes, still retain a copy thereof, 426.109 Procedures for maintaining accounts will be sent a copy of the statement of of disclosures. disagreement, after an accounting of Subpart B—Disclosure of Records and In- disclosures has been kept pursuant to 5 formation Under the Freedom of Infor- U.S.C. 552a(c); mation Act (vi) Of his or her right to seek judicial review of the refusal to amend the 426.201 General. record, pursuant to 5 U.S.C. 426.202 Proactive disclosures. 552a(g)(1)(A). 426.203 Requirements for making requests. 426.204 Responsibility for responding to re- [40 FR 59187, Dec. 22, 1975] quests. 426.205 Timing of responses to requests. § 425.5 Disclosure of records to agen- 426.206 Response to requests. cies or persons other than the indi- 426.207 Confidential commercial informa- vidual to whom the record pertains. tion. Records subject to the Privacy Act 426.208 Appeals. that are requested by any person other 426.209 Preservation of records. than the individual to whom they per- 426.210 Fees. tain will not be made available except 426.211 Other rights and services. under the following circumstances: AUTHORITY: 5 U.S.C. 552a(f). (a) Records may be circulated to appropriate officials incident to placing SOURCE: 83 FR 19409, May 2, 2018, unless otherwise noted. Fellows in work assignments for the Fellowship year. (b) An accounting of the date, nature, Subpart A—Implementation of the and purpose of each disclosure of a Privacy Act of 1974 record as well as the name and address of the person and agency to whom the § 426.101 Purpose and scope. disclosure was made will be indicated The regulations in this part set forth on the record. This accounting is avail- the Commission’s procedures under the able to the individual to whom the Privacy Act, as required by 5 U.S.C. records pertain on written request to 552a(f), with respect to systems of the Commission. records maintained by the Commission. The rules in this part apply to all [40 FR 52416, Nov. 10, 1975; 40 FR 56651, Dec. 4, 1975, as amended at 40 FR 59187, Dec. 22, records maintained by the Commission 1975] that are retrieved by an individual’s name or by some identifying number, PART 426—NATIONAL COMMIS- symbol, or other identifying particular assigned to the individual. These regu- SION ON MILITARY, NATIONAL, lations establish procedures by which AND PUBLIC SERVICE an individual may exercise the rights granted by the Privacy Act to deter- Subpart A—Implementation of the Privacy mine whether a Commission system of Act of 1974 records contains a record pertaining to Sec. him or her; to gain access to such 426.101 Purpose and scope. records; and to request correction or 426.102 Definitions. amendment of such records. These 426.103 Inquiries about systems of records or rules should be read together with the implementation of the Privacy Act. Privacy Act, which provides additional 426.104 Procedures for accessing records per- information about records maintained taining to an individual. on individuals. 426.105 Identification required when requesting access to records pertaining to § 426.102 Definitions. an individual. 426.106 Procedures for amending or cor- The definitions in subsection (a) of recting an individual’s record. the Privacy Act (5 U.S.C. 552a(a)) apply 426.107 Procedures for appealing a refusal to to this part. In addition, as used in this amend or correct a record. part:

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Business day means a calendar day, U.S.C. 552), as implemented by subpart excluding Saturdays, Sundays, and B of this part. legal public holidays. (b) Access to the records, or to any Chair means the Chair of the Com- other information pertaining to you mission, or his or her designee; that is contained in the system, shall Commission means the National Com- be provided if the identification re- mission on Military, National, and quirements of § 426.105 are satisfied and Public Service; the records are determined otherwise Commission system means a system of to be releasable under the Privacy Act records maintained by the Commission; and these regulations. The Commission General Counsel means the General shall provide you an opportunity to Counsel of the Commission, or his or have a copy made of any such records her designee. about you. Only one copy of each re- Individual means a citizen of the quested record will be supplied, based United States or an alien lawfully ad- on the fee schedule in § 426.108. mitted for permanent residence. (c) The Commission will comply Privacy Act or Act means the Privacy promptly with requests made in person Act of 1974, as amended (5 U.S.C. 552a); at scheduled appointments, if the re- You, your, or other references to the quirements of this section are met and reader of the regulations in this part the records sought are immediately are meant to apply to the individual to available. The Commission will ac- whom a record pertains. knowledge, within 10 business days, mailed requests or personal requests § 426.103 Inquiries about systems of records or implementation of the for records that are not immediately Privacy Act. available, and the information requested will be provided promptly Inquiries about the Commission’s thereafter. systems of records or implementation of the Privacy Act should be sent to (d) If you make your request in per- the following address: National Com- son at a scheduled appointment, you mission on Military, National, and may, upon your request, be accom- Public Service, Office of the General panied by a person of your choice to re- Counsel, 2530 Crystal Drive, Suite 1000, view your records. The Commission Box No. 63, Arlington, VA 22202. may require that you furnish a written statement authorizing discussion of § 426.104 Procedures for accessing your records in the accompanying per- records pertaining to an individual. son’s presence. A record may be dis- The following procedures apply to closed to a representative chosen by records that are contained in a Com- you upon your proper written consent. mission system: (e) Medical or psychological records (a) You may request to be notified if pertaining to you shall be disclosed to a system of records that you name con- you unless, in the judgment of the tains records pertaining to you, and to Commission, access to such records review any such records, by writing to might have an adverse effect upon you. the Office of the General Counsel (see When such a determination has been § 426.103). You also may call the Office made, the Commission may refuse to of the General Counsel at 703–571–3742 disclose such information directly to on business days, between the hours of you. The Commission will, however, 9 a.m. and 5 p.m., to schedule an ap- disclose this information to you pointment to make such a request in through a licensed physician des- person. A request for records should be ignated by you in writing. presented in writing and should iden- (f) If you are unsatisfied with an ad- tify specifically the Commission sys- verse determination on your request to tem(s) involved. Your request to access access records pertaining to you, you records pertaining to you will be treated as a request under both the Privacy may appeal that determination using Act, as implemented by this part, and the procedures set forth in § 426.107(a). the Freedom of Information Act (5

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§ 426.105 Identification required when (b) Your request for amendments or requesting access to records per- corrections should specify the fol- taining to an individual. lowing: The Commission will require reason- (1) The particular record that you are able identification of all individuals seeking to amend or correct; who request access to records in a (2) The Commission system from Commission system to ensure that which the record was retrieved; records are disclosed to the proper per- (3) The precise correction or amend- son. ment you desire, preferably in the form (a) The amount of personal identi- of an edited copy of the record reflect- fication required will of necessity vary ing the desired modification; and with the sensitivity of the record in- (4) Your reasons for requesting volved. In general, if you request dis- amendment or correction of the record. closure in person, you will be required (c) The Commission will acknowledge to show an identification card, such as a request for amendment or correction a driver’s license, containing your pho- of a record within 10 business days of tograph and sample signature. How- its receipt, unless the request can be ever, with regard to records in Com- processed and the individual informed mission systems that contain particu- of the General Counsel’s decision on larly sensitive and/or detailed personal the request within that 10-day period. information, the Commission reserves (d) If after receiving and inves- the right to require additional means tigating your request, the General of identification as are appropriate Counsel agrees that the record is not under the circumstances. These means accurate, timely, or complete, based on include, but are not limited to, requir- a preponderance of the evidence, then ing you to sign a statement under oath the record will be corrected or amend- as to your identity, acknowledging ed promptly. The record will be deleted that you are aware of the criminal pen- without regard to its accuracy, if the alties for requesting or obtaining record is not relevant or necessary to records under false pretenses or fal- accomplish the Commission’s function sifying information (see 5 U.S.C. for which the record was provided or is 552a(i)(3); 18 U.S.C. 1001). maintained. In either case, you will be (b) If you request disclosure by mail, informed in writing of the amendment, the Commission will request such in- correction, or deletion. In addition, if formation as may be necessary to en- accounting was made of prior disclosure that you are properly identified sures of the record, all previous recipi- and for a response to be sent. Author- ents of the record will be informed of ized means to achieve this goal in- the corrective action taken. clude, but are not limited to, requiring (e) If after receiving and inves- that a mail request include a signed, tigating your request, the General notarized statement asserting your Counsel does not agree that the record identity or a statement signed under should be amended or corrected, you oath as described in subsection (a) of this section. will be informed promptly in writing of the refusal to amend or correct the § 426.106 Procedures for amending or record and the reason for this decision. correcting an individual’s record. You also will be informed that you may appeal this refusal in accordance (a) You are entitled to request amendments to or corrections of with § 426.107. records pertaining to you that you be- (f) Requests to amend or correct a lieve are not accurate, relevant, time- record governed by the regulations of ly, or complete, pursuant to the provi- another agency will be forwarded to sions of the Privacy Act, including 5 such agency for processing, and you U.S.C. 552a(d)(2). Such a request should will be informed in writing of this re- be made in writing and addressed to ferral. the Office of the General Counsel (see § 426.103).

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§ 426.107 Procedures for appealing a statement of disagreement will be dis- refusal to amend or correct a closed with the record. If the Commis- record. sion deems it appropriate, a concise (a) You may appeal a refusal to statement of the Chair’s reasons for de- amend or correct a record to the Chair nying your appeal also may be dis- of the Commission. Such appeal must closed with the record. While you will be made in writing within 30 business have access to this statement of the days of your receipt of the initial re- Chair’s reasons for denying your ap- fusal to amend or correct your record. peal, such statement will not be sub- Your appeal should be sent to the Of- ject to correction or amendment. fice of the General Counsel (see Where an accounting was made of prior § 426.103), should indicate that it is an disclosures of the record, all previous appeal, and should include the basis for recipients of the record will be pro- the appeal. vided a copy of your statement of dis- (b) The Chair will review your re- agreement, as well as any statement of quest to amend or correct the record, the Chair’s reasons for denying your the General Counsel’s refusal, and any appeal deemed appropriate. other pertinent material relating to the appeal. No hearing will be held. § 426.108 Fees charged to locate, re- (c) The Chair shall render his or her view, or copy records. decision on your appeal within 30 busi- (a) The Commission will charge no ness days of its receipt by the Commis- fees for search time or for any other sion, unless the Chair, for good cause time expended by the Commission to shown, extends the 30-day period. review a record. However, the Commis- Should the Chair extend the appeal pe- sion may charge fees where you request riod, you will be informed in writing of that a copy be made of a record to the extension and the circumstances of which you have been granted access. the delay. Where a copy of the record must be (d) If the Chair determines that the made in order to provide access to the record that is the subject of the appeal record (e.g., computer printout where should be amended or corrected, the no screen reading is available), the record will be so modified, and you will copy will be made available to you be informed in writing of the amend- without cost. ment or correction. Where an account- (b) Copies of records made by photo- ing was made of prior disclosures of the copy or similar process will be charged record, all previous recipients of the to you at the rate of $0.12 per page. record will be informed of the correc- Where records are not susceptible to tive action taken. photocopying (e.g., punch cards, mag- (e) If your appeal is denied, you will be informed in writing of the following: netic tapes, or oversize materials), you (1) The denial and the reasons for the will be charged actual cost as deter- denial; mined on a case-by-case basis. Copying (2) That you may submit to the Com- fees will not be charged if the cost of mission a concise statement setting collecting a fee would be equal to or forth the reasons for your disagree- greater than the fee itself. Copying fees ment as to the disputed record. Under for contemporaneous requests by the the procedures set forth in paragraph same individual shall be aggregated to (f) of this section, your statement will determine the total fee. be disclosed whenever the disputed (c) Special and additional services record is disclosed; and provided at your request, such as cer- (3) That you may seek judicial review tification or authentication, postal in- of the Chair’s determination under 5 surance, and special mailing arrange- U.S.C. 552a(g)(1). ment costs, will be charged to you at (f) Whenever you submit a statement the market rate. of disagreement to the Commission in (d) You may request that a copying accordance with paragraph (e)(2) of this fee not be charged or, alternatively, be section, the record will be annotated to reduced, by submitting a written peti- indicate that it is disputed. In any sub- tion to the Commission’s General sequent disclosure, a copy of your Counsel (see § 426.103) asserting that

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you are indigent. If the General Coun- formation Fee Schedule and Guidelines sel determines, based on the petition, published by the Office of Management that you are indigent and that the and Budget (‘‘OMB Guidelines’’). Re- Commission’s resources permit a waiv- quests made by individuals for records er of all or part of the fee, the General about themselves under the Privacy Counsel may, in his or her discretion, Act of 1974, 5 U.S.C. 552a, are processed waive or reduce the copying fee. in accordance with the Commission’s (e) All fees shall be paid before any Privacy Act regulations as well as copying request is undertaken. under this subpart.

§ 426.109 Procedures for maintaining § 426.202 Proactive disclosures. accounts of disclosures. (a) Records that FOIA requires agen- (a) The Office of the General Counsel cies to make available for public in- shall maintain a log containing the spection in an electronic format may date, nature, and purpose of each dis- be accessed through the Commission’s closure of a record to any person or to website at www.inspire2serve.gov. The another agency. Such accounting also Commission will ensure that its shall contain the name and address of website of posted records and indices is the person or agency to whom each dis- reviewed and updated on an ongoing closure was made. This log need not in- basis. The Commission has a FOIA clude disclosures made to the Commis- Public Liaison who can assist individ- sion’s employees in the course of their uals in locating records particular to official duties, or pursuant to the pro- the Commission. A list of agency FOIA visions of the Freedom of Information Public Liaisons is available at http:// Act (5 U.S.C. 552). www.foia.gov/report-makerequest.html. (b) The Commission will retain the (b) The following types of records accounting of each disclosure for at shall be available routinely on the least five years after the disclosure or website, without resort to formal FOIA for the life of the record that was dis- request procedures, unless such records closed. fall within one of the exemptions listed (c) The Commission will make the at 5 U.S.C. 552(b) of the Act: accounting of disclosures of a record (1) Any formal report issued by the pertaining to you available to you at Commission; your request. Such a request should be (2) Testimonies and presentations made in accordance with the proce- submitted to the Commission; dures set forth in § 426.104. This para- (3) Schedules for public meetings and graph (c) does not apply to disclosures hearings of the Commission along with made for law enforcement purposes transcripts or notes of such public under 5 U.S.C. 552a(b)(7). meetings and hearings; (4) Press statements; Subpart B—Disclosure of Records (5) Substantive rules of general appli- and Information Under the cability adopted by the Commission, Freedom of Information Act procedural rules governing the Com- mission’s general operations that may SOURCE: 83 FR 19415, May 2, 2018, unless affect the public, and statements of otherwise noted. general policy or interpretation of general applicability formulated and § 426.201 General. adopted by the Commission; and This subpart contains the regulations (6) Copies of all records, regardless of of the National Commission on Mili- form or format, that have been retary, National, and Public Service (the leased previously to any person under 5 ‘‘Commission’’) implementing the U.S.C. 552(a)(3), and that the Commis- Freedom of Information Act (‘‘FOIA’’), sion determines have become or are 5 U.S.C. 552, as amended. These regula- likely to become the subject of subse- tions set forth procedures for request- quent requests for substantially the ing access to records maintained by the same records. When the Commission Commission. These regulations should receives three or more requests for sub- be read together with the text of the stantially the same records, then the FOIA, and the Uniform Freedom of In- Commission shall make the released

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records available in the Commission’s tional, and Public Service, 2530 Crystal reading room and on the Commission’s Drive, Suite 1000, Box No. 63, Arling- website. ton, VA 22202. As there may be delays (c) The Commission shall also main- in mail delivery, it is advisable to send tain a public reading room, at the Com- the request via email to mission’s offices, containing records [email protected]. The Commis- available for public inspection that sion will communicate with the re- cannot be produced in electronic form. quester by email unless he or she speci- The reading room shall be available for fies otherwise. Requesters may specify use on workdays during the hours of 9 the preferred form or format for the a.m. to 4 p.m. Requests for appoint- records sought, and the Commission ments to review the materials in the will accommodate the request if the public reading room should be directed record is readily reproducible in that to the FOIA Public Liaison. form or format. (d) Based upon applicable exemptions (c) Contents of request. Requests must in 5 U.S.C. 552(b), the Commission may include the following: redact certain information contained (1) The requester’s full name, mailing in any matter described in this section address, a telephone number at which before making such information avail- the requester can be reached during able for inspection or publishing it. normal business hours, and an email The justification for the redaction address for the requester, if the re- shall be explained in writing, and the quester has one; extent of such redaction shall be indi- (2) A description of the records cated on the portion of the record sought in enough detail to allow the which is made available or published, records to be located with a reasonable unless including that indication would amount of effort. To the extent pos- harm an interest protected by the ex- sible, requesters should include specific emptions under which the redaction is information, such as the date, title or made. The location of the information name, author, recipient, and subject deleted must also be indicated on the matter of the records sought. If known, record, if technically feasible. the requester must include any file designations or descriptions for the § 426.203 Requirements for making re- records requested; quests. (3) If submitting the request as an (a) In general. Many documents are educational institution, a non-commer- available on the Commission’s website cial scientific institution, or a rep- and the Commission encourages re- resentative of the news media, infor- questers to visit the website before mation to support being placed in that making a request for records pursuant category of requester as they are de- to this subpart. Except for records al- fined in § 426.210(b); ready available on the website or sub- (4) A fee waiver request, if applicable ject to the FOIA exemptions and exclu- (see § 426.210(f)); sions, the Commission shall promptly (5) A statement explaining why expe- provide records to any person in re- dited processing is necessary, if it is sponse to a request that conforms to being requested (see § 426.205(c)); and the rules and procedures of this sec- (6) Where the request is making a re- tion. Requesters may contact the agen- quest for records about himself or her- cy’s FOIA Public Liaison to discuss the self, verification of the individual’s records they seek and to receive assist- identity (please see the Commission’s ance in describing the records. Privacy Act regulations at 1 CFR, (b) Form of request. For records not chapter IV, part 426, subpart A). available on the website, requesters (d) Date received. The Commission wishing to obtain information from the shall deem itself to have received a re- Commission should submit a written quest on the date that it receives a re- request to the Commission. It may be quest containing the information re- submitted by mail or via the internet quired by paragraph (c) of this section. (website or email). A request by mail If after receiving a request, the Com- must be addressed to: FOIA Request, mission determines that it does not National Commission on Military, Na- reasonably describe the records sought,

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the agency must inform the requester the agency, and the FOIA agency con- what additional information is needed tact. or why the request is otherwise insuffi- (3) Coordination. The standard refer- cient. Requesters who are attempting ral procedure is not appropriate where to reformulate or modify such a re- disclosure of the identity of the agency quest may discuss their request with to which the referral would be made the FOIA Public Liaison. could harm an interest protected by an applicable exemption, such as the ex- § 426.204 Responsibility for responding emptions that protect personal privacy to requests. or national security interests. In such (a) In general. In determining which instances, in order to avoid harm to an records are responsive to a request, an interest protected by an applicable ex- agency ordinarily will include only emption, the agency that received the records in its possession as of the date request should coordinate with the that it begins its search. If any other originating agency to seek its views on date is used, the agency must inform the disclosability of the record. The re- the requester of that date. A record lease determination for the record that that is excluded from the requirements is the subject of the coordination of the FOIA pursuant to 5 U.S.C. 552(c), should then be conveyed to the re- is not considered responsive to a requester by the agency that originally quest. received the request. (b) Authority to grant or deny requests. (d) Timing of response to consultations The Chief FOIA Officer or designee is and referrals. All consultations and re- authorized to grant or to deny any referrals received by the Commission will quests for records. be handled according to the date that (c) Consultation, referral, and coordina- the first agency received the perfected tion. When reviewing records in re- FOIA request. sponse to a request, the Commission will determine whether another agency § 426.205 Timing of responses to re- of the Federal Government is better quests. able to determine whether the record is (a) In general. The Commission ordi- exempt from disclosure under the narily will respond to requests accord- FOIA. As to any such record, the Com- ing to their order of receipt. The fol- mission will proceed in one of the following timing and steps are the normal lowing ways: process: (1) Consultation. When records origi- (1) Acknowledgment. The Commission nated within the Commission, but con- will provide an acknowledgment notice tain within them information of inter- with an individualized tracking num- est to another agency or other Federal ber, the date of receipt of the request, Government office, the Commission a confirmation of a waiver or reduction will typically consult with that other of fees (if requested), and a summary of entity prior to making a release deter- the records requested to each requester mination. within 10 working days after receiving (2) Referral. When the Commission be- a request that has all of the requisite lieves that a different agency is best information. able to determine whether to disclose (2) Response time. Ordinarily, the the record, the Commission typically Commission shall have 20 work days should refer the responsibility for re- from when a request is received to de- sponding to the request regarding that termine whether to grant or deny a re- record to that agency. Ordinarily, the quest for records. The 20-day time pe- agency that originated the record is riod shall not be tolled by the Commis- presumed to be the best agency to sion except that the Commission may: make the disclosure determination. (i) Make one reasonable demand to Whenever an agency refers any part of the requester for clarifying informa- the responsibility for responding to a tion about the request and toll the 20- request to another agency, it must doc- day time period while awaiting the ument the referral, maintain a copy of clarifying information; or the record that it refers, and notify the (ii) Notify the requester of the fee as- requester of the referral, the name of sessment for the request and toll the

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20-day time period while awaiting the shall notify the requester in writing. If requester’s response. the Commission grants this request, (3) Appeal. The Commission will then the Commission will give the ex- make a decision with respect to an ap- pedited request priority over non-expe- peal of a full or partial denial of a re- dited requests and shall process it as quest for records within 20 work days soon as practicable. Denials of expe- after receipt of the appeal. dited processing requests can be ap- (b) Multi-Track processing. The Com- pealed using the same procedures as de- mission uses a multi-track system to nials of other FOIA requests. In deter- process FOIA requests, so that a FOIA mining whether processing should be request is processed based on its com- expedited, the Chief FOIA Officer may plexity. Each request will be assigned consider whether: to the Standard, Complex, or Expedited (1) Failure to obtain the requested track. records on an expedited basis could rea- (1) Standard Track. Requests that are sonably be expected to pose an immi- routine and require little search time, nent threat to a person’s life or phys- review, or analysis are assigned to the ical safety; Standard Track. The Commission will (2) With respect to a request made by respond to these requests in the order a person primarily engaged in dissemi- in which they are received and make nating information, there is an ur- every effort to respond no later than 20 gency to inform the public about ac- working days after receipt of the re- tual or alleged Federal Government ac- quest. tivity; or (2) Complex Track. Requests that are (3) A reasonable expectation of an non-routine are assigned to the Com- imminent loss of a substantial due plex Track if the response may be volu- process right. minous; requires an unusually high (d) Unusual circumstances. If the Com- level of effort for search, review, or du- mission determines that ‘‘unusual cir- plication; or causes an undue disrup- cumstances’’ exist, as that term is de- tion to the day-to-day activities of the fined in the FOIA, the time limits for Commission in carrying out its statu- responding to requests and appeals tory responsibilities. The requester may be extended by no more than 10 will be notified if the request is as- work days by providing written notice signed to the Complex Track and will of the extension to the requester. The be given an estimate of the time for re- requester will be given an opportunity sponse. The Commission will respond to limit the scope of the request or to to Complex Track requests as soon as arrange with the Commission an alter- practicable, and may discuss with the native time frame for processing the requester the possibility of reformu- request. A FOIA Officer shall include lating the request to reduce processing with the notice of extension a brief time. statement of the reason for the exten- (3) Expedited Track. Requests for ex- sion, the date the FOIA Officer expects pedited processing that meet the stand- to make a determination, and the ards set forth in paragraph (c) of this availability of the FOIA Public Liaison section, will be assigned to the Expe- to assist the requester, and the re- dited track. In such cases, the process quester’s right to seek dispute resolu- described in paragraph (c) will be fol- tion services from the Office of Govern- lowed. ment Information Services (OGIS) of (c) Expedited processing. A request for the National Archives and Records Ad- expedited processing must accompany ministration. the initial request for records, and the request should be clearly marked ‘‘Ex- § 426.206 Response to requests. pedited Processing Requested.’’ It must (a) Acknowledgements of requests. The be a certified, written statement of Commission will send an acknowledge- compelling need for expedited proc- ment of the request in writing and as- essing, stating that the facts are true sign it an individualized tracking num- and correct. The Commission shall de- ber if it will take longer than 10 work- cide whether to grant the request with- ing days to process. Upon request, the in 10 calendar days of its receipt, and Commission will provide an estimated

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date by which the Commission expects § 426.207 Confidential commercial in- to provide a response to the requester. formation. If a request involves a voluminous (a) Definitions. amount of material, or searches in Confidential commercial information multiple locations, the agency may means commercial or financial infor- provide interim responses, releasing mation obtained by the Commission the records on a rolling basis. from a submitter that may be pro- (b) Grant of request. If a FOIA Officer tected from disclosure under Exemp- grants a request, in full or in part, the tion 4 of the FOIA, 5 U.S.C. 552(b)(4). Commission shall promptly provide the Submitter means any person or entity, requester written notice of the deci- including a corporation, State, or for- sion, what fees apply under section 10 eign government, but not including an- of this subpart, and the availability of other Federal Government entity, that its FOIA Public Liaison to offer assist- provides confidential commercial infor- ance. The requester will be notified mation, either directly or indirectly to whether the request has been assigned the Federal Government. (b) Designation of confidential commer- to the Standard, Complex, or Expedited cial information. A submitter of con- track, pursuant to § 426.205(b). fidential commercial information must (c) Request denial. If the Chief FOIA use good faith efforts to designate by Officer denies a request in any respect, appropriate markings, at the time of the Commission will notify the resubmission, any portion of its submis- quester of that determination in writ- sion that it considers to be protected ing. A denial of request includes deci- from disclosure under Exemption 4. sions that: Fees will not be waived, no These designations expire 10 years expedited processing will be done, after the date of the submission unless there are no responsive records subject the submitter requests and provides to FOIA, the requested record does not justification for a longer designation exist or has been destroyed, the re- period. quested record is exempt in whole or in (c) When notice to submitters is re- part, or the request does not reason- quired. (1) The Commission must ably describe the records sought. The promptly provide written notice to the written notice will include: submitter of confidential commercial (1) The name and title or position of information whenever records con- the person responsible for the denial; taining such information are requested (2) A brief statement of the reasons under the FOIA if the agency deter- for the denial, including any FOIA ex- mines that it may be required to dis- emption applied by the agency in deny- close the records, provided the re- ing the request; quested information has been des- (3) A description of the material ignated in good faith by the submitter withheld, such as the approximate or the Commission has a reason to be- number of pages or some other reason- lieve that the requested information able form of estimation; may be protected from disclosure under Exemption 4. (4) A statement that the denial may (2) The notice must either describe be appealed under section 8(a) of this the commercial information requested subpart, and a description of the appeal or include a copy of the requested requirements; and records or portions of records con- (5) A statement notifying the retaining the information. In cases in- quester of the assistance available volving a voluminous number of sub- from the agency’s FOIA Public Liaison mitters, the Commission may post or and the dispute resolution services of- publish a notice in a place or manner fered by OGIS. reasonably likely to inform the sub- (d) Redactions. When a portion of a mitters of the proposed disclosure, in- record is withheld, the amount of infor- stead of sending individual notifica- mation redacted and the claimed ex- tions. emption will be noted at the place in (d) Exceptions to submitter notice re- the record where the redaction was quirements. The notice requirements of made. this section do not apply if:

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(1) The Commission determines that the submitter written notice, which the information is exempt under the must include: FOIA, and therefore will not be dis- (1) A statement of the reasons why closed; each of the submitter’s disclosure ob- (2) The information has been lawfully jections was not sustained; published or has been officially made (2) A description of the information available to the public; to be disclosed or copies of the records (3) Disclosure of the information is as the Commission intends to release required by a statute other than the them; and FOIA or by a regulation issued in ac- (3) A specified disclosure date, which cordance with the requirements of Ex- must be a reasonable time after the no- ecutive Order 12,600 of June 23, 1987; or tice. (4) The designation made by the sub- (g) Notice of FOIA lawsuit. Whenever a mitter under paragraph (b) of this sec- requester files a lawsuit seeking to tion appears obviously frivolous. In compel the disclosure of confidential such case, the Commission must give commercial information, the Commis- the submitter written notice of any sion must promptly notify the sub- final decision to disclose the informa- mitter. tion within a reasonable number of (h) Requester notification. The Com- days prior to a specified disclosure mission must notify the requester date. whenever it provides the submitter (e) Opportunity to object to disclosure. with notice and an opportunity to ob- (1) The Commission must specify a rea- ject to disclosure; whenever it notifies sonable time period within which the the submitter of its intent to disclose submitter must respond to the notice the requested information; and when- referenced above. ever a submitter files a lawsuit to pre- (2) If a submitter has any objections vent the disclosure of the information. to disclosure, it should provide the § 426.208 Appeals. Commission a detailed written statement that specifies all grounds for (a) Grounds for administrative appeals. withholding the particular information A requester may appeal an initial de- under any exemption of the FOIA. In termination of the Commission, includ- order to rely on Exemption 4 as basis ing but not limited to a determination: for nondisclosure, the submitter must (1) To deny access to records in whole explain why the information con- or in part (as provided in § 426.206(c)); stitutes a trade secret or commercial (2) To assign a particular fee cat- or financial information that is con- egory to the requester (as provided in fidential. § 426.209(d)); (3) A submitter who fails to respond (3) To deny a request for a reduction within the time period specified in the or waiver of fees (as provided in notice will be considered to have no ob- § 426.209(f)); jection to disclosure of the informa- (4) That no records could be located tion. The Commission is not required that are responsive to the request (as to consider any information received provided in § 426.206(c)); or after the date of any disclosure deci- (5) To deny a request for expedited sion. Any information provided by a processing (as provided in § 426.205(c)). submitter under this subpart may (b) Initiating appeals. Requesters not itself be subject to disclosure under the satisfied with the FOIA Officer’s deci- FOIA. sion may make a written request ap- (4) The Commission must consider a pealing the decision within 90 days of submitter’s objections and specific the date of the FOIA Officer’s decision. grounds for nondisclosure in deciding Any appeal requests should be clearly whether to disclose the requested infor- marked with the words ‘‘Freedom of mation. Information Act Appeal.’’ Appeals may (f) Notice of intent to disclose. When- be made through the Commission’s ever the Commission decides to dis- email, [email protected]; website, close information over the objection of www.inspire2serve.gov, or through the a submitter, the agency must provide mail, and may be addressed to: FOIA

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Appeals, National Commission on Mili- § 426.209 Preservation of records. tary, National, and Public Service, 2530 The Commission will preserve all Crystal Drive, Suite 1000, Box No. 63, correspondence pertaining to the re- Arlington, VA 22202. As there may be quests that it receives under this sub- delays in mail delivery, it is advisable part, as well as copies of all requested to send the request via email. The re- records, until disposition or destruc- quest should set out the name and con- tion is authorized pursuant to title 44 tact information of the requester, of the United States Code or the Gen- specify the date of the initial request eral Records Schedule 4.2 of the Na- and the initial determination, and set forth why the appeal should be grant- tional Archives and Records Adminis- ed. tration. The Commission will not dis- pose of or destroy records while they (c) Adjudication of appeals. Appeals are the subject of a pending request, will be processed in the order of their appeal, or lawsuit under the FOIA. receipt. An appeal ordinarily will not be adjudicated if the request become a § 426.210 Fees. matter of FOIA litigation. Before seeking review by a court of an agency’s ad- (a) In general. The Commission shall verse determination, a requester gen- charge the requester for processing a erally must first submit a timely ad- request under the FOIA in accordance ministrative appeal. with the provisions of this section and (d) Appeal decisions. The Commis- with the OMB Guidelines. For purposes sion’s Chair or his designee shall decide of assessing fees, the FOIA establishes whether to affirm or reverse the initial three categories of requesters: Com- determination (in whole or in part), mercial use requesters, non-commer- and shall notify the requester of this cial scientific or educational institu- decision in writing within 20 work tions or news media requesters, and all days, pursuant to § 426.205(c). If the ap- other requesters. Different fees are as- peal is denied (in whole or in part), the sessed depending on the category. Re- Commission will notify the requester questers may seek a fee waiver, and the in writing of the decision, the reasons Commission will consider fee waiver for the denial (including the FOIA ex- requests in accordance with the re- emptions relied upon), the name and quirements in paragraph (f) of this sec- title of the official responsible for the tion. To resolve any fee issues that determination on appeal, and the pro- arise under this section, the Commis- visions for judicial review and dispute sion will contact a requester for addi- resolution services offered by the tional information. No fees shall be OGIS. If the appeal is granted in full or charged if the amount of fees incurred in part, the Chief FOIA Officer will no- in processing the request is below $25. tify the requester in writing and The Commission ordinarily will collect promptly process the request. all applicable fees before sending copies (e) Dispute resolution. Dispute resolu- of records to a requester. Requesters tion is a voluntary process. If the Com- must pay fees by check or money order mission agrees to participate in the made payable to the Treasury of the dispute resolution services provided by United States, or by another method as OGIS, it will actively engage as a part- determined by the Commission. ner to the process in an attempt to re- (b) Definitions. For purposes of this solve the dispute. Requesters may seek section: dispute resolution by contacting the Commercial use request means a re- FOIA Public Liaison or OGIS at: Office quest that asks for information for a of Government Information Services, use or a purpose that furthers a com- National Archives and Records Admin- mercial, trade, or profit interest, which istration, 8601 Adelphi Road, OGIS, can include furthering those interests College Park, MD 20740; email: through litigation. The Commission’s [email protected]; telephone: (202) 741–5770; decision to place a requester in the facsimile: (202) 741–5769; toll free tele- commercial use category will be made phone: (877) 684–6448.

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on a case-by-case basis based on the re- ated on a ‘‘commercial’’ basis, as de- quester’s intended use of the informa- fined in this paragraph (b) and that is tion. The Commission will notify re- operated solely for the purpose of con- questers of their placement in this cat- ducting scientific research the results egory. of which are not intended to promote Direct costs means those expenses any particular product or industry. A that the Commission incurs in search- requester in this category must show ing for and duplicating (and, in the that the request is authorized by and is case of commercial use requests, re- made under the auspices of a qualifying viewing) records in order to respond to institution and that the records are a FOIA request. For example, direct sought to further scientific research costs include the salary of the em- and are not for a commercial use. The ployee performing the work (i.e., the Commission will advise requesters of basic rate of pay for the employee, plus their placement in this category. 16 percent of that rate to cover bene- Representative of the news media fits) and the cost of operating com- means any person or entity that gath- puters and other electronic equipment, ers information of potential interest to such as photocopiers and scanners. Di- a segment of the public, uses its edi- rect costs do not include overhead ex- torial skills to turn the raw materials penses such as the costs of space, and into a distinct work, and distributes of heating or lighting a facility. that work to an audience. The term Duplication means reproducing a copy ‘‘news’’ means information that is of a record, or of the information con- about current events or that would be tained in it, necessary to respond to a of current interest to the public. Exam- FOIA request. Copies can take the form ples of news media entities include tel- of paper, audiovisual materials, or evision or radio stations that broadcast electronic records, among others. news to the public at large and pub- Educational institution means any lishers of periodicals that disseminate school that operates a program of news and make their products avail- scholarly research. A requester in this able through a variety of means to the fee category must show that the re- general public, including news organi- quest is made in connection with his or zations that disseminate solely on the her role at the educational institution. internet. A request for records sup- The Commission may seek verification porting the news-dissemination func- from the requester that the request is tion of the requester will not be consid- in furtherance of scholarly research ered to be for a commercial use. and the Commission will advise re- ‘‘Freelance’’ journalists who dem- questers of their placement in this cat- onstrate a solid basis for expecting egory. publication through a news media entity will be considered as a representa- Example 1. A request from a professor of ge- tive of the news media. A publishing ology at a university for records relating to soil erosion, written on letterhead of the De- contract would provide the clearest partment of Geology, would be presumed to evidence that publication is expected; be from an educational institution. however, the Commission can also con- Example 2. A request from the same pro- sider a requester’s past publication fessor of geology seeking drug information record in making this determination. from the Food and Drug Administration in The Commission will advise requesters furtherance of a murder mystery he is writ- of their placement in this category. ing would not be presumed to be an institu- Review means the examination of a tional request, regardless of whether it was written on institutional stationery. record located in response to a request Example 3. A student who makes a request in order to determine whether any por- in furtherance of their coursework or other tion of it is exempt from disclosure. school-sponsored activities and provides a Review time includes processing any copy of a course syllabus or other reasonable record for disclosure, such as doing all documentation to indicate the research pur- that is necessary to prepare the record pose for the request, would qualify as part of for disclosure, including the process of this fee category. redacting the record and marking the Noncommercial scientific institution appropriate exemptions. Review costs means an institution that is not oper- are properly charged even if a record

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ultimately is not disclosed. Review (3) Review of records. The Commission time also includes time spent both ob- shall only charge review fees to retaining and considering any formal ob- questers who make commercial use re- jection to disclosure made by a con- quests. Review fees will be assessed in fidential commercial information sub- connection with the initial review of mitter under § 426.207 of this subpart, the record, but no charge will be made but it does not include time spent refor review at the administrative appeal solving general legal or policy issues stage. However, if a particular exemp- regarding the application of exemption is deemed to no longer apply, any tions. costs associated with an agency’s re-re- Search means the process of looking view of the records in order to consider for and retrieving records or informa- the use of other exemptions may be as- tion responsive to a request. Search sess as review fees. The Commission time includes page-by-page or line-by- shall charge a requester for time spent line identification of information with- reviewing records at the salary rate(s) in records and the reasonable efforts (i.e., basic pay plus 16 percent) of the expended to locate and retrieve infor- employees who conduct the review. mation from electronic records. (4) Inspection of records in the reading (c) Fees chargeable for specific services. room. Fees for all services provided In responding to FOIA requests, the shall be charged whether or not copies Commission will charge the following are made available to the requester for fees unless a waiver or reduction of fees inspection. However, no fee shall be has been granted under paragraph (f) of charged for monitoring a requester’s this section. No additional costs will be inspection of records in the physical added to charges calculated under this reading room. section. (5) Other services. Although not re- (1) Duplicating records. The Commis- quired to provide special services, if sion shall assess requester fees for the the Commission chooses to do so as a cost of copying records. The charge matter of administrative discretion, will be $0.12 per page, up to 81⁄2 x 14, the requested services are charged at made by photocopy or similar process. the actual cost to the Commission. Ex- The charge will be the actual cost for amples of such services include certi- duplicating photographs, films, and fying that records are true copies or other materials. Where paper docu- sending records by express mail. ments must be scanned so they can be (d) Fees applicable to each category of sent electronically, the requester must requester. The Commission shall apply pay the direct costs associated with the fees set forth in this paragraph, for scanning those materials. The Commis- each category described in paragraph sion will honor a requester’s preference (c) of this section, to FOIA requests for receiving a record in a particular processed by the Commission. form or format where the agency can (1) Commercial use. A requester seek- readily reproduce it in the form or for- ing records for commercial use shall be mat requested. charged the full direct cost of search- (2) Search services. The Commission ing for, reviewing, and duplicating the shall charge a requester for all time records they request as set forth in spent by its employees searching for paragraph (c) of this section. The Com- records that are responsive to a re- mission is not required to consider a quest, even if no responsive records are waiver request based upon the asser- found or the records are exempt from tion that disclosure would be in the disclosure. For non-electronic public interest from a commercial use searches, the Commission shall charge requester. for search time at the salary rate (2) Educational and non-commercial sci- (basic pay plus 16 percent) of the em- entific uses. A requester seeking records ployee who conducts the search. For for educational or non-commercial sci- electronic records, the Commission entific use shall be charged only for the shall charge the requester for the ac- cost of duplicating the records they re- tual direct cost of the search, including quest, except that the Commission computer search time, runs, and the shall provide the first 100 pages of du- operator’s salary. plication (or cost equivalent for other

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media) free of charge. To be eligible, request. Then the Commission may the requester must show that the charge a requester all applicable fees. records are not sought for a commer- (f) Waiver or reduction of fees. (1) A re- cial use, but rather in furtherance of quester may request a waiver or reduc- scholarly or scientific research. tion of fees otherwise applicable to a (3) News media uses. A requester seek- FOIA request in writing during the ini- ing records under the news media use tial FOIA request. The waiver must category shall be charged only the cost demonstrate that the fee reduction or of duplicating the records they request, waiver is in the public interest because except that the Commission shall pro- it furnishes information that is likely vide the requester with the first 100 to contribute significantly to public pages of duplication (or cost equivalent understanding of the operations or ac- for the other media) free of charge. tivities of the government, and the in- (4) Other requests. A requester seeking formation is not primarily in the com- records for any other use shall be mercial interest of the requester. charged the full direct cost of search- (2) To determine whether the re- ing for and duplicating records that are quester has satisfied the waiver request responsive to the request, as set out in requirements, the Commission shall paragraph (b) of this section, except consider whether the subject of the re- that the Commission shall provide the quested records has a direct connection first 100 pages of duplication and the to government operations or activities; first two hours of search time free of the disclosable portion of the requested charge. records is meaningfully informative, (e) Other circumstances when fees are and is not already in the public do- not charged. Notwithstanding para- main; the disclosure would contribute graphs (c) and (d) of this section, the to the understanding of a reasonably Commission may not charge a re- broad audience, as opposed to the indi- quester a fee for processing a FOIA re- vidual requester; and the public’s un- quest if the total fee is equal to or less derstanding would be significantly en- than $25. Additionally, the Commission hanced by the disclosure. The Commis- may not charge a requester a search or sion shall also consider whether the re- duplication fee if the Commission fails quester, or any person on whose behalf to comply with any time limit under the requester may be acting, has a § 426.205 or § 426.208, unless: commercial interest that would be (1) A court has determined that ex- furthered by the disclosure, and wheth- ceptional circumstances exist, as de- er the public interest is greater in mag- fined by the FOIA, then a failure to comply with such time limit shall be nitude than that of any identified com- excused for the length of time provided mercial interest in disclosure. by the court order; (3) Where only some of the records to (2) The Commission has determined be released satisfy the requirements for that unusual circumstances, as defined a waiver or reduction of fees, a waiver by the FOIA, apply and the Commis- or reduction shall be granted for those sion provides timely written notice to records. the requester in accordance with (4) The Commission shall notify the § 426.205(d), then the time limit shall be requester in writing regarding its de- excused for an additional 10 days; or termination to reduce or waive fees. (3) The Commission has determined (5) If the Commission denies a re- that unusual circumstances apply; quest to reduce or waive fees, then the more than 5,000 pages are necessary to Commission shall advise the requester, respond to the request; the Commission in the denial notification letter, that has provided a timely written notice to the requester may incur fees as a result the requester in accordance with of processing the request. In the denial § 426.205(d), and the Commission has notification letter, the Commission discussed with the requester via writ- shall advise the requester that the ten mail, electronic mail, or telephone Commission will not proceed to process (or made not less than three good-faith the request further unless the re- attempts to do so) how the requester quester, in writing, directs the Com- could effectively limit the scope of the mission to do so and either agrees to

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pay any fees that may apply to proc- that amount, the Commission will toll essing the request or specifies an upper the processing of the request when it limit (of not less than $25) that the re- notifies the requester of the estimated quester is willing to pay to process the fees in excess of the amount the re- request. If the Commission does not requester has indicated a willingness to ceive this written direction and agree- pay. The Commission will inquire ment within 30 days of the date of the whether the requester wishes to revise denial notification letter, then the the amount of fees the requester is Commission shall deem the FOIA re- willing to pay or modify the request. quest to be withdrawn. Once the requester responds, the time (6) If the Commission denies a re- to respond will resume from where it quest to reduce or waive fees, then the was at the date of the notification. requester shall have the right to sub- (4) The FOIA Public Liaison will be mit an appeal in accordance with available to assist any requester in re- § 426.208. The Commission shall commu- formulating a request to meet the re- nicate this appeal right as part of its quester’s needs at a lower cost. denial notification to the requester. (h) Advance payment. (1) For requests (g) Notice of estimated fees. (1) When other than those described in para- an agency determines or estimates graphs (h)(2) and (3) of this section, the that the fees to be assessed in accord- Commission will not require the re- ance with this section will exceed $25, quester to make an advance payment the agency must notify the requester before work is commenced or contin- of the actual or estimated amount of ued on a request. Payment owed for the fees, including a breakdown of the work already completed (i.e., payment fees for search, review or duplication, before copies are sent to a requester) is unless the requester has indicated a not an advance payment. willingness to pay fees as high as those (2) When the Commission determines anticipated. If only a portion of the fee or estimates that a total fee to be can be estimated readily the Commis- charged under this section will exceed sion will advise the requester accord- $250, it may require that the requester ingly. The notice will specify what du- make an advance payment up to the plication and search time the requester amount of the entire anticipated fee is entitled to and how they have been before beginning to process the re- accounted for in the estimate. quest. An agency may elect to process (2) If the agency notifies the re- the request prior to collecting fees quester that the actual or estimated when it receives a satisfactory assur- fees are in excess of $25, the request ance of full payment from a requester will not be considered received and fur- with a history of prompt payment. ther work will not be completed until (3) If a requester previously has failed the requester commits in writing to to pay a fee within 30 calendar days of pay the actual or estimated total fee, the date of the billing, the requester or designates some amount of fees the shall be required to pay the full requester is willing to pay, or in the amount owed plus any applicable inter- case of a noncommercial use requester est, and to make an advance payment who has not yet been provided with the of the full amount of the estimated fee statutory entitlements, designates before the Commission begins to proc- that the requester seeks only that ess a new request. which can be provided by the statutory (4) In cases in which an agency re- entitlements. The requester must pro- quires advance payment, the request vide the commitment or designation in will not be considered received and fur- writing, and must, when applicable des- ther work will not be completed until ignate an exact dollar amount the re- the required payment is received. If the quester is willing to pay. Agencies are requester does not pay the advance not required to accept payments in in- payment within 30 calendar days after stallments. the date of the agency’s fee determina- (3) If the requester has indicated a tion, the request will be closed. willingness to pay some designated (i) Charging interest. The Commission amount of fees, but the Commission es- may charge interest on any unpaid bill timates that the total fee will exceed starting on the 31st day following the

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date of billing the requester. Interest 457.103 Definitions. charges will be assessed at the rate 457.104–457.109 [Reserved] provided in 31 U.S.C. 3717 and will ac- 457.110 Self-evaluation. crue from the billing date until pay- 457.111 Notice. ment is received by the Commission. 457.112–457.129 [Reserved] 457.130 General prohibitions against dis- The Commission will follow the provi- crimination. sions of the Debt Collection Act of 1982 457.131–457.139 [Reserved] (Pub. L. 97–365, 96 Stat. 1749), as amend- 457.140 Employment. ed, and its administrative procedures. 457.141–457.148 [Reserved] (j) Aggregating requests. If the Com- 457.149 Program accessibility: Discrimina- mission reasonably determines that a tion prohibited. requester or a group of requesters act- 457.150 Program accessibility: Existing fa- ing together is attempting to divide a cilities. request into a series of requests for the 457.151 Program accessibility: New con- purpose of avoiding fees, the Commis- struction and alterations. sion may aggregate those requests and 457.152–457.159 [Reserved] 457.160 Communications. charge accordingly. The Commission 457.161–457.169 [Reserved] may presume that multiple requests 457.170 Compliance procedures. involving related matters submitted 457.171–457.999 [Reserved] within a 30 calendar day period have been made in order to avoid fees. For AUTHORITY: 29 U.S.C. 794. requests separated by a longer period, SOURCE: 51 FR 22887, 22896, June 23, 1986, the Commission will aggregate them unless otherwise noted. only where there is a reasonable basis for determining that aggregation is § 457.101 Purpose. warranted in view of all the cir- This part effectuates section 119 of cumstances involved. The Commission the Rehabilitation, Comprehensive shall not aggregate multiple requests Services, and Developmental Disabil- involving unrelated matters. ities Amendments of 1978, which (k) Other statutes specifically providing amended section 504 of the Rehabilita- for fees. The fee schedule of this section tion Act of 1973 to prohibit discrimina- does not apply to fees charged under tion on the basis of handicap in pro- any statute that specifically requires grams or activities conducted by Exec- an agency to set and collect fees for utive agencies or the United States particular types of records. In in- Postal Service. stances where records responsive to a request are subject to a statutorily- § 457.102 Application. based fee schedule program, the Com- This part applies to all programs or mission must inform the requester of activities conducted by the agency. the contact information for that program. § 457.103 Definitions. § 426.211 Other rights and services. For purposes of this part, the term— Assistant Attorney General means the Nothing in this subpart shall be con- Assistant Attorney General, Civil strued to entitle any person, as of Rights Division, United States Depart- right, to any service or to the disclo- ment of Justice. sure of any record to which such person Auxiliary aids means services or de- is not entitled under the FOIA. vices that enable persons with impaired sensory, manual, or speaking PART 457—ENFORCEMENT OF skills to have an equal opportunity to NONDISCRIMINATION ON THE participate in, and enjoy the benefits BASIS OF HANDICAP IN PRO- of, programs or activities conducted by GRAMS OR ACTIVITIES CON- the agency. For example, auxiliary aids DUCTED BY THE NATIONAL CAP- useful for persons with impaired vision ITAL PLANNING COMMISSION include readers, brailled materials, audio recordings, telecommunications Sec. devices and other similar services and 457.101 Purpose. devices. Auxiliary aids useful for per- 457.102 Application. sons with impaired hearing include

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telephone handset amplifiers, tele- hearing, speaking, breathing, learning, phones compatible with hearing aids, and working. telecommunication devices for deaf (3) Has a record of such an impairment persons (TDD’s), interpreters, means has a history of, or has been notetakers, written materials, and misclassified as having, a mental or other similar services and devices. physical impairment that substantially Complete complaint means a written limits one or more major life activi- statement that contains the complain- ties. ant’s name and address and describes (4) Is regarded as having an impairment the agency’s alleged discriminatory ac- means— tion in sufficient detail to inform the agency of the nature and date of the al- (i) Has a physical or mental impair- leged violation of section 504. It shall ment that does not substantially limit be signed by the complainant or by major life activities but is treated by someone authorized to do so on his or the agency as constituting such a limi- her behalf. Complaints filed on behalf tation; of classes or third parties shall describe (ii) Has a physical or mental impair- or identify (by name, if possible) the ment that substantially limits major alleged victims of discrimination. life activities only as a result of the at- Facility means all or any portion of titudes of others toward such impair- buildings, structures, equipment, ment; or roads, walks, parking lots, rolling (iii) Has none of the impairments de- stock or other conveyances, or other fined in subparagraph (1) of this defini- real or personal property. tion but is treated by the agency as Handicapped person means any person having such an impairment. who has a physical or mental impair- Historic preservation programs means ment that substantially limits one or programs conducted by the agency that more major life activities, has a record have preservation of historic properties of such an impairment, or is regarded as a primary purpose. as having such an impairment. means those prop- As used in this definition, the phrase: Historic properties (1) Physical or mental impairment in- erties that are listed or eligible for cludes— listing in the National Register of His- (i) Any physiological disorder or con- toric Places or properties designated as dition, cosmetic disfigurement, or ana- historic under a statute of the appro- tomical loss affecting one or more of priate State or local government body. the following body systems: Neuro- Qualified handicapped person means— logical; musculoskeletal; special sense (1) With respect to preschool, elemen- organs; respiratory, including speech tary, or secondary education services organs; cardiovascular; reproductive; provided by the agency, a handicapped digestive; genitourinary; hemic and person who is a member of a class of lymphatic; skin; and endocrine; or persons otherwise entitled by statute, (ii) Any mental or psychological dis- regulation, or agency policy to receive order, such as mental retardation, or- education services from the agency. ganic brain syndrome, emotional or (2) With respect to any other agency mental illness, and specific learning program or activity under which a per- disabilities. The term ‘‘physical or son is required to perform services or mental impairment’’ includes, but is to achieve a level of accomplishment, a not limited to, such diseases and condi- handicapped person who meets the es- tions as orthopedic, visual, speech, and sential eligibility requirements and hearing impairments, cerebral palsy, epilepsy, muscular dystrophy, multiple who can achieve the purpose of the pro- sclerosis, cancer, heart disease, diabe- gram or activity without modifications tes, mental retardation, emotional ill- in the program or activity that the ness, and drug addiction and alco- agency can demonstrate would result holism. in a fundamental alteration in its na- (2) Major life activities includes func- ture; tions such as caring for one’s self, per- (3) With respect to any other pro- forming manual tasks, walking, seeing, gram or activity, a handicapped person

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who meets the essential eligibility re- sons such information regarding the quirements for participation in, or re- provisions of this part and its applica- ceipt of benefits from, that program or bility to the programs or activities activity; and conducted by the agency, and make (4) Qualified handicapped person is de- such information available to them in fined for purposes of employment in 29 such manner as the head of the agency CFR 1613.702(f), which is made applica- finds necessary to apprise such persons ble to this part by § 457.140. of the protections against discrimina- Section 504 means section 504 of the tion assured them by section 504 and Rehabilitation Act of 1973 (Pub. L. 93– this regulation. 112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the Rehabilitation Act §§ 457.112–457.129 [Reserved] Amendments of 1974 (Pub. L. 93–516, 88 Stat. 1617), and the Rehabilitation, § 457.130 General prohibitions against Comprehensive Services, and Develop- discrimination. mental Disabilities Amendments of (a) No qualified handicapped person 1978 (Pub. L. 95–602, 92 Stat. 2955). As shall, on the basis of handicap, be ex- used in this part, section 504 applies cluded from participation in, be denied only to programs or activities con- the benefits of, or otherwise be sub- ducted by Executive agencies and not jected to discrimination under any pro- to federally assisted programs. gram or activity conducted by the Substantial impairment means a sig- agency. nificant loss of the integrity of finished (b)(1) The agency, in providing any materials, design quality, or special aid, benefit, or service, may not, di- character resulting from a permanent rectly or through contractual, licens- alteration. ing, or other arrangements, on the basis of handicap— §§ 457.104–457.109 [Reserved] (i) Deny a qualified handicapped per- § 457.110 Self-evaluation. son the opportunity to participate in (a) The agency shall, by August 24, or benefit from the aid, benefit, or 1987, evaluate its current policies and service; practices, and the effects thereof, that (ii) Afford a qualified handicapped do not or may not meet the require- person an opportunity to participate in ments of this part, and, to the extent or benefit from the aid, benefit, or modification of any such policies and service that is not equal to that af- practices is required, the agency shall forded others; proceed to make the necessary modi- (iii) Provide a qualified handicapped fications. person with an aid, benefit, or service (b) The agency shall provide an op- that is not as effective in affording portunity to interested persons, includ- equal opportunity to obtain the same ing handicapped persons or organiza- result, to gain the same benefit, or to tions representing handicapped per- reach the same level of achievement as sons, to participate in the self-evalua- that provided to others; tion process by submitting comments (iv) Provide different or separate aid, (both oral and written). benefits, or services to handicapped (c) The agency shall, until three persons or to any class of handicapped years following the completion of the persons than is provided to others un- self-evaluation, maintain on file and less such action is necessary to provide make available for public inspection: qualified handicapped persons with aid, (1) A description of areas examined benefits, or services that are as effec- and any problems identified, and tive as those provided to others; (2) A description of any modifications (v) Deny a qualified handicapped per- made. son the opportunity to participate as a member of planning or advisory boards; § 457.111 Notice. or The agency shall make available to (vi) Otherwise limit a qualified employees, applicants, participants, handicapped person in the enjoyment beneficiaries, and other interested per- of any right, privilege, advantage, or

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opportunity enjoyed by others receiv- limited by Federal statute or Execu- ing the aid, benefit, or service. tive order to a different class of handi- (2) The agency may not deny a quali- capped persons is not prohibited by fied handicapped person the oppor- this part. tunity to participate in programs or (d) The agency shall administer pro- activities that are not separate or dif- grams and activities in the most inte- ferent, despite the existence of permis- grated setting appropriate to the needs sibly separate or different programs or of qualified handicapped persons. activities. (3) The agency may not, directly or §§ 457.131–457.139 [Reserved] through contractual or other § 457.140 Employment. arrangments, utilize criteria or methods of administration the purpose or ef- No qualified handicapped person fect of which would— shall, on the basis of handicap, be sub- (i) Subject qualified handicapped per- jected to discrimination in employ- sons to discrimination on the basis of ment under any program or activity handicap; or conducted by the agency. The defini- (ii) Defeat or substantially impair actions, requirements, and procedures of complishment of the objectives of a section 501 of the Rehabilitation Act of program or activity with respect to 1973 (29 U.S.C. 791), as established by handicapped persons. the Equal Employment Opportunity (4) The agency may not, in deter- Commission in 29 CFR part 1613, shall mining the site or location of a facil- apply to employment in federally con- ity, make selections the purpose or ef- ducted programs or activities. fect of which would— §§ 457.141–457.148 [Reserved] (i) Exclude handicapped persons from, deny them the benefits of, or oth- § 457.149 Program accessibility: Dis- erwise subject them to discrimination crimination prohibited. under any program or activity con- Except as otherwise provided in ducted by the agency; or § 457.150, no qualified handicapped per- (ii) Defeat or substantially impair son shall, because the agency’s facili- the accomplishment of the objectives ties are inaccessible to or unusable by of a program or activity with respect handicapped persons, be denied the to handicapped persons. benefits of, be excluded from participa- (5) The agency, in the selection of tion in, or otherwise be subjected to procurement contractors, may not use discrimination under any program or criteria that subject qualified handi- activity conducted by the agency. capped persons to discrimination on the basis of handicap. § 457.150 Program accessibility: Exist- (6) The agency may not administer a ing facilities. licensing or certification program in a (a) General. The agency shall operate manner that subjects qualified handi- each program or activity so that the capped persons to discrimination on program or activity, when viewed in its the basis of handicap, nor may the entirety, is readily accessible to and agency establish requirements for the usable by handicapped persons. This programs or activities of licensees or paragraph does not— certified entities that subject qualified (1) Necessarily require the agency to handicapped persons to discrimination make each of its existing facilities ac- on the basis of handicap. However, the cessible to and usable by handicapped programs or activities of entities that persons; are licensed or certified by the agency (2) In the case of historic preserva- are not, themselves, covered by this tion programs, require the agency to part. take any action that would result in a (c) The exclusion of nonhandicapped substantial impairment of significant persons from the benefits of a program historic features of an historic prop- limited by Federal statute or Execu- erty; or tive order to handicapped persons or (3) Require the agency to take any the exclusion of a specific class of action that it can demonstrate would handicapped persons from a program result in a fundamental alteration in

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the nature of a program or activity or (2) Historic preservation programs. In in undue financial and administrative meeting the requirements of § 457.150(a) burdens. In those circumstances where in historic preservation programs, the agency personnel believe that the pro- agency shall give priority to methods posed action would fundamentally that provide physical access to handi- alter the program or activity or would capped persons. In cases where a phys- result in undue financial and adminis- ical alteration to an historic property trative burdens, the agency has the is not required because of § 457.150(a)(2) burden of proving that compliance with or (a)(3), alternative methods of § 457.150(a) would result in such alter- achieving program accessibility in- ation or burdens. The decision that clude— compliance would result in such alter- (i) Using audio-visual materials and ation or burdens must be made by the devices to depict those portions of an agency head or his or her designee historic property that cannot other- after considering all agency resources wise be made accessible; available for use in the funding and op- (ii) Assigning persons to guide handi- eration of the conducted program or capped persons into or through por- activity, and must be accompanied by tions of historic properties that cannot a written statement of the reasons for otherwise be made accessible; or reaching that conclusion. If an action (iii) Adopting other innovative meth- would result in such an alteration or ods. such burdens, the agency shall take (c) Time period for compliance. The any other action that would not result in such an alteration or such burdens agency shall comply with the obliga- but would nevertheless ensure that tions established under this section by handicapped persons receive the bene- October 21, 1986, except that where fits and services of the program or ac- structural changes in facilities are un- tivity. dertaken, such changes shall be made (b) Methods—(1) General. The agency by August 22, 1989, but in any event as may comply with the requirements of expeditiously as possible. this section through such means as re- (d) Transition plan. In the event that design of equipment, reassignment of structural changes to facilities will be services to accessible buildings, assign- undertaken to achieve program acces- ment of aides to beneficiaries, home sibility, the agency shall develop, by visits, delivery of services at alternate February 23, 1987 a transition plan set- accessible sites, alteration of existing ting forth the steps necessary to com- facilities and construction of new fa- plete such changes. The agency shall cilities, use of accessible rolling stock, provide an opportunity to interested or any other methods that result in persons, including handicapped persons making its programs or activities read- or organizations representing handi- ily accessible to and usable by handicapped persons, to participate in the capped persons. The agency is not re- development of the transition plan by quired to make structural changes in submitting comments (both oral and existing facilities where other methods written). A copy of the transition plan are effective in achieving compliance shall be made available for public in- with this section. The agency, in mak- spection. The plan shall, at a mining alterations to existing buildings, imum— shall meet accessibility requirements (1) Identify physical obstacles in the to the extent compelled by the Archi- agency’s facilities that limit the acces- tectural Barriers Act of 1968, as amend- sibility of its programs or activities to ed (42 U.S.C. 4151–4157), and any regula- handicapped persons; tions implementing it. In choosing (2) Describe in detail the methods among available methods for meeting that will be used to make the facilities the requirements of this section, the accessible; agency shall give priority to those (3) Specify the schedule for taking methods that offer programs and ac- the steps necessary to achieve compli- tivities to qualified handicapped per- ance with this section and, if the time sons in the most integrated setting ap- period of the transition plan is longer propriate. than one year, identify steps that will

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be taken during each year of the tran- bility shall be used at each primary en- sition period; and trance of an accessible facility. (4) Indicate the official responsible (d) This section does not require the for implementation of the plan. agency to take any action that it can demonstrate would result in a funda- § 457.151 Program accessibility: New mental alteration in the nature of a construction and alterations. program or activity or in undue finan- Each building or part of a building cial and administrative burdens. In that is constructed or altered by, on those circumstances where agency per- behalf of, or for the use of the agency sonnel believe that the proposed action shall be designed, constructed, or al- would fundamentally alter the program tered so as to be readily accessible to or activity or would result in undue fi- and usable by handicapped persons. nancial and administrative burdens, The definitions, requirements, and the agency has the burden of proving standards of the Architectural Barriers that compliance with § 457.160 would re- Act (42 U.S.C. 4151–4157), as established sult in such alteration or burdens. The in 41 CFR 101–19.600 to 101–19.607, apply decision that compliance would result to buildings covered by this section. in such alteration or burdens must be made by the agency head or his or her §§ 457.152–457.159 [Reserved] designee after considering all agency resources available for use in the fund- § 457.160 Communications. ing and operation of the conducted pro- (a) The agency shall take appropriate gram or activity, and must be accom- steps to ensure effective communica- panied by a written statement of the tion with applicants, participants, per- reasons for reaching that conclusion. If sonnel of other Federal entities, and an action required to comply with this members of the public. section would result in such an alter- (1) The agency shall furnish appro- ation or such burdens, the agency shall priate auxiliary aids where necessary take any other action that would not to afford a handicapped person an equal result in such an alteration or such opportunity to participate in, and burdens but would nevertheless ensure enjoy the benefits of, a program or ac- that, to the maximum extent possible, tivity conducted by the agency. handicapped persons receive the bene- (i) In determining what type of auxil- fits and services of the program or ac- iary aid is necessary, the agency shall tivity. give primary consideration to the requests of the handicapped person. §§ 457.161–457.169 [Reserved] (ii) The agency need not provide individually prescribed devices, readers for § 457.170 Compliance procedures. personal use or study, or other devices (a) Except as provided in paragraph of a personal nature. (b) of this section, this section applies (2) Where the agency communicates to all allegations of discrimination on with applicants and beneficiaries by the basis of handicap in programs or telephone, telecommunication devices activities conducted by the agency. for deaf person (TDD’s) or equally ef- (b) The agency shall process com- fective telecommunication systems plaints alleging violations of section shall be used. 504 with respect to employment accord- (b) The agency shall ensure that in- ing to the procedures established by terested persons, including persons the Equal Employment Opportunity with impaired vision or hearing, can Commission in 29 CFR part 1613 pursu- obtain information as to the existence ant to section 501 of the Rehabilitation and location of accessible services, ac- Act of 1973 (29 U.S.C. 791). tivities, and facilities. (c) The Executive Director shall be (c) The agency shall provide signage responsible for coordinating implemen- at a primary entrance to each of its in- tation of this section. Complaints may accessible facilities, directing users to be sent to Equal Employment Oppor- a location at which they can obtain in- tunity Director, National Capital Plan- formation about accessible facilities. ning Commission, 1325 G Street NW., The international symbol for accessi- Washington, DC 20576.

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(d) The agency shall accept and investigations to other Federal agencies, vestigate all complete complaints for except that the authority for making which it has jurisdiction. All complete the final determination may not be complaints must be filed within 180 delegated to another agency. days of the alleged act of discrimina- [51 FR 22887, 22896, June 23, 1986, as amended tion. The agency may extend this time at 5l FR 22888, June 23, 1986] period for good cause. (e) If the agency receives a complaint §§ 457.171–457.999 [Reserved] over which it does not have jurisdiction, it shall promptly notify the com- PART 500—ENFORCEMENT OF plainant and shall make reasonable ef- NONDISCRIMINATION ON THE forts to refer the complaint to the appropriate government entity. BASIS OF HANDICAP IN PRO- (f) The agency shall notify the Archi- GRAMS OR ACTIVITIES CON- tectural and Transportation Barriers DUCTED BY THE NATIONAL COM- Compliance Board upon receipt of any MISSION FOR EMPLOYMENT POL- complaint alleging that a building or ICY facility that is subject to the Architec- tural Barriers Act of 1968, as amended Sec. (42 U.S.C. 4151–4157), or section 502 of 500.101 Purpose. the Rehabilitation Act of 1973, as 500.102 Application. amended (29 U.S.C. 792), is not readily 500.103 Definitions. 500.104–500.109 [Reserved] accessible to and usable by handi- 500.110 Self-evaluation. capped persons. 500.111 Notice. (g) Within 180 days of the receipt of a 500.112–500.129 [Reserved] complete complaint for which it has ju- 500.130 General prohibitions against dis- risdiction, the agency shall notify the crimination. complainant of the results of the inves- 500.131–500.139 [Reserved] tigation in a letter containing— 500.140 Employment. 500.141–500.148 [Reserved] (1) Findings of fact and conclusions 500.149 Program accessibility: Discrimina- of law; tion prohibited. (2) A description of a remedy for each 500.150 Program accessibility: Existing fa- violation found; and cilities. (3) A notice of the right to appeal. 500.151 Program accessibility: New con- (h) Appeals of the findings of fact and struction and alterations. conclusions of law or remedies must be 500.152–500.159 [Reserved] filed by the complainant within 90 days 500.160 Communications. 500.161–500.169 [Reserved] of receipt from the agency of the letter 500.170 Compliance procedures. required by § 457.170(g). The agency 500.171–500.999 [Reserved] may extend this time for good cause. (i) Timely appeals shall be accepted AUTHORITY: 29 U.S.C. 794. and processed by the head of the agen- SOURCE: 51 FR 22888, 22896, June 23, 1986, cy. unless otherwise noted. (j) The head of the agency shall notify the complainant of the results of § 500.101 Purpose. the appeal within 60 days of the receipt This part effectuates section 119 of of the request. If the head of the agen- the Rehabilitation, Comprehensive cy determines that additional informa- Services, and Developmental Disabil- tion is needed from the complainant, ities Amendments of 1978, which he or she shall have 60 days from the amended section 504 of the Rehabilita- date of receipt of the additional infor- tion Act of 1973 to prohibit discrimina- mation to make his or her determination on the basis of handicap in pro- tion on the appeal. grams or activities conducted by Exec- (k) The time limits cited in para- utive agencies or the United States graphs (g) and (j) of this section may be Postal Service. extended with the permission of the Assistant Attorney General. § 500.102 Application. (l) The agency may delegate its au- This part applies to all programs or thority for conducting complaint in- activities conducted by the agency.

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

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regulation, or agency policy to receive sons, to participate in the self-evalua- education services from the agency. tion process by submitting comments (2) With respect to any other agency (both oral and written). program or activity under which a per- (c) The agency shall, until three son is required to perform services or years following the completion of the to achieve a level of accomplishment, a self-evaluation, maintain on file and handicapped person who meets the es- make available for public inspection: sential eligibility requirements and (1) a description of areas examined who can achieve the purpose of the pro- and any problems identified, and gram or activity without modifications (2) a description of any modifications in the program or activity that the made. agency can demonstrate would result in a fundamental alteration in its na- § 500.111 Notice. ture; The agency shall make available to (3) With respect to any other pro- employees, applicants, participants, gram or activity, a handicapped person beneficiaries, and other interested per- who meets the essential eligibility re- sons such information regarding the quirements for participation in, or re- provisions of this part and its applica- ceipt of benefits from, that program or bility to the programs or activities activity; and conducted by the agency, and make (4) Qualified handicapped person is de- such information available to them in fined for purposes of employment in 29 such manner as the head of the agency CFR 1613.702(f), which is made applica- finds necessary to apprise such persons ble to this part by § 500.140. of the protections against discrimina- Section 504 means section 504 of the tion assured them by section 504 and Rehabilitation Act of 1973 (Pub. L. 93– this regulation. 112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the Rehabilitation Act §§ 500.112–500.129 [Reserved] Amendments of 1974 (Pub. L. 93–516, 88 Stat. 1617), and the Rehabilitation, § 500.130 General prohibitions against Comprehensive Services, and Develop- discrimination. mental Disabilities Amendments of (a) No qualified handicapped person 1978 (Pub. L. 95–602, 92 Stat. 2955). As shall, on the basis of handicap, be ex- used in this part, section 504 applies cluded from participation in, be denied only to programs or activities con- the benefits of, or otherwise be sub- ducted by Executive agencies and not jected to discrimination under any pro- to federally assisted programs. gram or activity conducted by the Substantial impairment means a sig- agency. nificant loss of the integrity of finished (b)(1) The agency, in providing any materials, design quality, or special aid, benefit, or service, may not, di- character resulting from a permanent rectly or through contractual, licens- alteration. ing, or other arrangements, on the basis of handicap— §§ 500.104–500.109 [Reserved] (i) Deny a qualified handicapped person the opportunity to participate in § 500.110 Self-evaluation. or benefit from the aid, benefit, or (a) The agency shall, by August 24, service; 1987, evaluate its current policies and (ii) Afford a qualified handicapped practices, and the effects thereof, that person an opportunity to participate in do not or may not meet the require- or benefit from the aid, benefit, or ments of this part, and, to the extent service that is not equal to that af- modification of any such policies and forded others; practices is required, the agency shall (iii) Provide a qualified handicapped proceed to make the necessary modi- person with an aid, benefit, or service fications. that is not as effective in affording (b) The agency shall provide an op- equal opportunity to obtain the same portunity to interested persons, includ- result, to gain the same benefit, or to ing handicapped persons or organiza- reach the same level of achievement as tions representing handicapped per- that provided to others;

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(iv) Provide different or separate aid, agency establish requirements for the benefits, or services to handicapped programs or activities of licensees or persons or to any class of handicapped certified entities that subject qualified persons than is provided to others un- handicapped persons to discrimination less such action is necessary to provide on the basis of handicap. However, the qualified handicapped persons with aid, programs or activities of entities that benefits, or services that are as effec- are licensed or certified by the agency tive as those provided to others; are not, themselves, covered by this (v) Deny a qualified handicapped per- part. son the opportunity to participate as a (c) The exclusion of nonhandicapped member of planning or advisory boards; persons from the benefits of a program or limited by Federal statute or Execu- (vi) Otherwise limit a qualified tive order to handicapped persons or handicapped person in the enjoyment the exclusion of a specific class of of any right, privilege, advantage, or handicapped persons from a program opportunity enjoyed by others receiv- limited by Federal statute or Execu- ing the aid, benefit, or service. tive order to a different class of handi- (2) The agency may not deny a quali- capped persons is not prohibited by fied handicapped person the oppor- this part. tunity to participate in programs or (d) The agency shall administer pro- activities that are not separate or dif- grams and activities in the most inte- ferent, despite the existence of permis- grated setting appropriate to the needs sibly separate or different programs or of qualified handicapped persons. activities. §§ 500.131–500.139 [Reserved] (3) The agency may not, directly or through contractual or other § 500.140 Employment. arrangments, utilize criteria or meth- No qualified handicapped person ods of administration the purpose or ef- shall, on the basis of handicap, be sub- fect of which would— jected to discrimination in employ- (i) Subject qualified handicapped per- ment under any program or activity sons to discrimination on the basis of conducted by the agency. The defini- handicap; or tions, requirements, and procedures of (ii) Defeat or substantially impair ac- section 501 of the Rehabilitation Act of complishment of the objectives of a 1973 (29 U.S.C. 791), as established by program or activity with respect to the Equal Employment Opportunity handicapped persons. Commission in 29 CFR part 1613, shall (4) The agency may not, in deter- apply to employment in federally con- mining the site or location of a facil- ducted programs or activities. ity, make selections the purpose or effect of which would— §§ 500.141–500.148 [Reserved] (i) Exclude handicapped persons from, deny them the benefits of, or oth- § 500.149 Program accessibility: Dis- erwise subject them to discrimination crimination prohibited. under any program or activity con- Except as otherwise provided in ducted by the agency; or § 500.150, no qualified handicapped per- (ii) Defeat or substantially impair son shall, because the agency’s facili- the accomplishment of the objectives ties are inaccessible to or unusable by of a program or activity with respect handicapped persons, be denied the to handicapped persons. benefits of, be excluded from participa- (5) The agency, in the selection of tion in, or otherwise be subjected to procurement contractors, may not use discrimination under any program or criteria that subject qualified handi- activity conducted by the agency. capped persons to discrimination on the basis of handicap. § 500.150 Program accessibility: Exist- (6) The agency may not administer a ing facilities. licensing or certification program in a (a) General. The agency shall operate manner that subjects qualified handi- each program or activity so that the capped persons to discrimination on program or activity, when viewed in its the basis of handicap, nor may the entirety, is readily accessible to and

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usable by handicapped persons. This are effective in achieving compliance paragraph does not— with this section. The agency, in mak- (1) Necessarily require the agency to ing alterations to existing buildings, make each of its existing facilities ac- shall meet accessibility requirements cessible to and usable by handicapped to the extent compelled by the Archi- persons; tectural Barriers Act of 1968, as amend- (2) In the case of historic preserva- ed (42 U.S.C. 4151–4157), and any regulation programs, require the agency to tions implementing it. In choosing take any action that would result in a among available methods for meeting substantial impairment of significant the requirements of this section, the historic features of an historic prop- agency shall give priority to those erty; or methods that offer programs and ac- (3) Require the agency to take any tivities to qualified handicapped per- action that it can demonstrate would sons in the most integrated setting ap- result in a fundamental alteration in propriate. the nature of a program or activity or (2) Historic preservation programs. In in undue financial and administrative meeting the requirements of § 500.150(a) burdens. In those circumstances where in historic preservation programs, the agency personnel believe that the pro- agency shall give priority to methods posed action would fundamentally that provide physical access to handi- alter the program or activity or would capped persons. In cases where a phys- result in undue financial and adminis- ical alteration to an historic property trative burdens, the agency has the is not required because of § 500.150(a)(2) burden of proving that compliance with or (a)(3), alternative methods of § 500.150(a) would result in such alter- achieving program accessibility in- ation or burdens. The decision that clude— compliance would result in such alter- (i) Using audio-visual materials and ation or burdens must be made by the devices to depict those portions of an agency head or his or her designee historic property that cannot other- after considering all agency resources wise be made accessible; available for use in the funding and operation of the conducted program or (ii) Assigning persons to guide handi- activity, and must be accompanied by capped persons into or through por- a written statement of the reasons for tions of historic properties that cannot reaching that conclusion. If an action otherwise be made accessible; or would result in such an alteration or (iii) Adopting other innovative meth- such burdens, the agency shall take ods. any other action that would not result (c) Time period for compliance. The in such an alteration or such burdens agency shall comply with the obliga- but would nevertheless ensure that tions established under this section by handicapped persons receive the bene- October 21, 1986, except that where fits and services of the program or ac- structural changes in facilities are un- tivity. dertaken, such changes shall be made (b) Methods—(1) General. The agency by August 22, 1989, but in any event as may comply with the requirements of expeditiously as possible. this section through such means as re- (d) Transition plan. In the event that design of equipment, reassignment of structural changes to facilities will be services to accessible buildings, assign- undertaken to achieve program acces- ment of aides to beneficiaries, home sibility, the agency shall develop, by visits, delivery of services at alternate February 23, 1987 a transition plan set- accessible sites, alteration of existing ting forth the steps necessary to com- facilities and construction of new fa- plete such changes. The agency shall cilities, use of accessible rolling stock, provide an opportunity to interested or any other methods that result in persons, including handicapped persons making its programs or activities read- or organizations representing handi- ily accessible to and usable by handicapped persons, to participate in the capped persons. The agency is not re- development of the transition plan by quired to make structural changes in submitting comments (both oral and existing facilities where other methods written). A copy of the transition plan

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shall be made available for public infor deaf person (TDD’s) or equally ef- spection. The plan shall, at a min- fective telecommunication systems imum— shall be used. (1) Identify physical obstacles in the (b) The agency shall ensure that in- agency’s facilities that limit the acces- terested persons, including persons sibility of its programs or activities to with impaired vision or hearing, can handicapped persons; obtain information as to the existence (2) Describe in detail the methods and location of accessible services, ac- that will be used to make the facilities tivities, and facilities. accessible; (c) The agency shall provide signage (3) Specify the schedule for taking at a primary entrance to each of its in- the steps necessary to achieve compli- accessible facilities, directing users to ance with this section and, if the time a location at which they can obtain in- period of the transition plan is longer formation about accessible facilities. than one year, identify steps that will The international symbol for accessi- be taken during each year of the tran- bility shall be used at each primary en- sition period; and trance of an accessible facility. (4) Indicate the official responsible (d) This section does not require the for implementation of the plan. agency to take any action that it can demonstrate would result in a funda- § 500.151 Program accessibility: New mental alteration in the nature of a construction and alterations. program or activity or in undue finan- Each building or part of a building cial and adminstrative burdens. In that is constructed or altered by, on those circumstances where agency per- behalf of, or for the use of the agency sonnel believe that the proposed action shall be designed, constructed, or al- would fundamentally alter the program tered so as to be readily accessible to or activity or would result in undue fi- and usable by handicapped persons. nancial and administrative burdens, The definitions, requirements, and the agency has the burden of proving standards of the Architectural Barriers that compliance with § 500.160 would re- Act (42 U.S.C. 4151–4157), as established sult in such alteration or burdens. The in 41 CFR 101–19.600 to 101–19.607, apply decision that compliance would result to buildings covered by this section. in such alteration or burdens must be made by the agency head or his or her §§ 500.152–500.159 [Reserved] designee after considering all agency resources available for use in the fund- § 500.160 Communications. ing and operation of the conducted pro- (a) The agency shall take appropriate gram or activity, and must be accom- steps to ensure effective communica- panied by a written statement of the tion with applicants, participants, per- reasons for reaching that conclusion. If sonnel of other Federal entities, and an action required to comply with this members of the public. section would result in such an alter- (1) The agency shall furnish appro- ation or such burdens, the agency shall priate auxiliary aids where necessary take any other action that would not to afford a handicapped person an equal result in such an alteration or such opportunity to participate in, and burdens but would nevertheless ensure enjoy the benefits of, a program or ac- that, to the maximum extent possible, tivity conducted by the agency. handicapped persons receive the bene- (i) In determining what type of auxil- fits and services of the program or ac- iary aid is necessary, the agency shall tivity. give primary consideration to the requests of the handicapped person. §§ 500.161–500.169 [Reserved] (ii) The agency need not provide individually prescribed devices, readers for § 500.170 Compliance procedures. personal use or study, or other devices (a) Except as provided in paragraph of a personal nature. (b) of this section, this section applies (2) Where the agency communicates to all allegations of discrimination on with applicants and beneficiaries by the basis of handicap in programs or telephone, telecommunication devices activities conducted by the agency.

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(b) The agency shall process com- complainant of the results of the inves- plaints alleging violations of section tigation in a letter containing— 504 with respect to employment accord- (1) Findings of fact and conclusions ing to the procedures established by of law; the Equal Employment Opportunity (2) A description of a remedy for each Commission in 29 CFR part 1613 pursu- violation found; and ant to section 501 of the Rehabilitation (3) A notice of the right to appeal. Act of 1973 (29 U.S.C. 791). (h) Appeals of the findings of fact and (c) The Director shall be responsible conclusions of law or remedies must be for coordinating implementation of filed by the complainant within 90 days this section. Complaints may be sent of receipt from the agency of the letter to Director, National Commission for required by § 500.170(g). The agency Employment Policy, Suite 300, 1522 K may extend this time for good cause. Street NW., Washington, DC 20005. (i) Timely appeals shall be accepted (d) The agency shall accept and in- and processed by the head of the agen- vestigate all complete complaints for cy. which it has jurisdiction. All complete (j) The head of the agency shall no- complaints must be filed within 180 tify the complainant of the results of days of the alleged act of discrimina- the appeal within 60 days of the receipt tion. The agency may extend this time of the request. If the head of the agen- period for good cause. cy determines that additional informa- (e) If the agency receives a complaint tion is needed from the complainant, over which it does not have jurisdic- he or she shall have 60 days from the tion, it shall promptly notify the complainant and shall make reasonable ef- date of receipt of the additional infor- forts to refer the complaint to the ap- mation to make his or her determina- propriate government entity. tion on the appeal. (f) The agency shall notify the Archi- (k) The time limits cited in para- tectural and Transportation Barriers graphs (g) and (j) of this section may be Compliance Board upon receipt of any extended with the permission of the complaint alleging that a building or Assistant Attorney General. facility that is subject to the Architec- (l) The agency may delegate its au- tural Barriers Act of 1968, as amended thority for conducting complaint in- (42 U.S.C. 4151–4157), or section 502 of vestigations to other Federal agencies, the Rehabilitation Act of 1973, as except that the authority for making amended (29 U.S.C. 792), is not readily the final determination may not be accessible to and usable by handi- delegated to another agency. capped persons. [51 FR 22888, 22896, June 23, 1986, as amended (g) Within 180 days of the receipt of a at 51 FR 22888, June 23, 1986] complete complaint for which it has jurisdiction, the agency shall notify the §§ 500.171–500.999 [Reserved]

CHAPTER V [RESERVED]

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Part Page 600 [Reserved] 601 Implementation of the National Environmental Policy Act ...... 97 602 National Capital Planning Commission Freedom of Information Act regulations ...... 113 603 Privacy Act regulations ...... 124

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306108 (NHPA), to ensure all such pro- quirements for the location and devel- cedures run concurrently. opment of new memorials and monu- (e) Use the NEPA process to identify ments on land under the jurisdiction of and assess the reasonable alternatives the National Park Service (NPS) or the to proposed actions that will avoid or General Services Administration (GSA) minimize adverse effects on the quality in the District of Columbia and its En- of the human environment in the Na- virons. tional Capital Region. Commission means the National Cap- (f) Use all practicable means to pro- ital Planning Commission created by 40 tect, restore, and enhance the quality U.S.C. 8711. of the human environment including Comprehensive Plan means The Com- the built and socioeconomic environ- prehensive Plan for the National Cap- ments and historic properties within ital: Federal Elements prepared and the National Capital Region. adopted by the Commission pursuant (g) Streamline the NEPA process and to 40 U.S.C. 8721(a). Environmental Impact Statements Cooperating Agency means, as defined (EIS) to the maximum extent possible. in 40 CFR 1508.5, any Federal Agency (h) Use the NEPA process to assure other than a Lead Agency that has ju- orderly and effective NCPC decision- risdiction by law or special expertise making and to foster meaningful pub- with respect to a proposal (or reason- lic involvement in NCPC’s decisions. able alternative) for legislation or other major action significantly affect- § 601.3 Definitions. ing the quality of the human environ- For purposes of this part, the fol- ment; a state or local agency of similar lowing definitions shall apply: qualifications; or when the effects are Administrative Record means a com- on a reservation, an Indian Tribe when pilation of all materials (written and agreed to by the Lead Agency. electronic) that were before the agency Cumulative impact means, as defined at the time it made its final decision. in 40 CFR 1508.7, the impact on the en- An Administrative Record documents vironment that results from the incre- an agency’s decision-making process mental impact of an action when added and the basis for the decision. to other past, present, and reasonably Categorical Exclusion or CATEX foreseeable future actions regardless of means, as defined by 40 CFR 1508.4, a what agency (Federal or Non-Federal) category of actions which do not indi- or person undertakes such other ac- vidually or cumulatively have a sig- tions. Cumulative impacts can result nificant effect on the human environ- from individually minor, but collec- ment except under Extraordinary Cir- tively significant, actions taking place cumstances and which have been found over a period of time. to have no such effect in procedures Emergency Circumstances means a sud- adopted by a Federal Agency (NCPC) in den and serious occurrence or situation implementation of CEQ’s regulations requiring immediate attention to pro- and for which, therefore, neither an tect the lives and safety of the public Environmental Assessment (EA) nor an and protect property and ecological re- EIS is required. sources and functions from imminent Central Area means the geographic harm. area in the District of Columbia com- Environmental Assessment or EA prised of the Shaw School and Down- means, as defined in 40 CFR 1508.9, a town Urban Renewal Areas or such concise document for which a Federal other area as the District of Columbia Agency is responsible that serves to and NCPC shall subsequently jointly briefly provide sufficient evidence and determine. analysis for determining whether to Chairman means the Chairman of the prepare an EIS or a FONSI; aid an National Capital Planning Commission agency’s compliance with NEPA when appointed by the President, pursuant no EIS is necessary; facilitate prepara- to 40 U.S.C. 8711(c). tion of an EIS when one is necessary; Commemorative Works Act or CWA and includes a brief discussion of the means the Federal law codified at 40 need for the proposal, alternatives as U.S.C. 8901 et seq. that sets forth the re- required by section 102(2)(E) of NEPA,

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the environmental impacts of the pro- Memorandum of Agreement or MOA posed action and alternatives, and a means for purposes of implementing listing of agencies and persons con- the regulations in this part, a written sulted. agreement entered into between a Environmental Document means, as set Lead, Co-lead, Cooperating Agency, or forth in 40 CFR 1508.10, an Environ- a Non-Federal Agency to facilitate im- mental Assessment, and Environ- plementation of NEPA and preparation mental Impact Statement, and for pur- of the requisite environmental docu- poses of these regulations, a Categor- mentation. A MOA can be written at a ical Exclusion determination. programmatic level to apply to all Environmental Impact Statement or EIS projects involving NCPC and particular means, as defined in 40 CFR 1508.11, a applicant or on a project-by-project detailed written statement as required basis. by 42 U.S.C. 4332(2)(C). Mitigation means, as defined in 40 Environs means the territory sur- CFR 1508.20, avoiding an impact alto- rounding the District of Columbia in- gether by not taking a certain action cluded in the National Capital Region or parts of an action; minimizing im- pursuant to 40 U.S.C. 8702(a)(1). pacts by limiting the degree or mag- Executive Director means the Execu- nitude of the action and its implemen- tive Director employed by the National tation; rectifying the impact by repair- Capital Planning Commission pursuant ing, rehabilitating, or restoring the af- to 40 U.S.C. 8711(d). fected environment; reducing or elimi- Executive Director’s Recommendation nating the impact over time by preser- or EDR means a concise written report vation and maintenance operations and recommendation prepared by during the life of the action; and com- NCPC staff under the direction of pensating for the impact by replacing NCPC’s Executive Director regarding a or providing substitute resources or en- proposed action that is transmitted to vironments. the Commission for its consideration. Monumental Core means the general Extraordinary Circumstances means area encompassed by the U.S. Capitol special circumstances that when grounds, the National Mall, the Wash- present negate an agency’s ability to ington Monument grounds, the White categorically exclude a project and re- House grounds, the Ellipse, West Poto- quire an agency to undertake further mac Park, East Potomac Park, the NEPA review. Southwest Federal Center, the Federal Federal Agency means the executive Triangle area, President’s Park, the agencies of the Federal government as Northwest Rectangle, Arlington Ceme- defined in 5 U.S.C. 105. tery and the Pentagon area, and Joint Finding of No Significant Impact or Base Myer-Henderson Hall. FONSI means, as defined at 40 CFR National Capital Planning Act means 1508.13, a document prepared by NCPC the July 1952 legislative enactment, or a Federal Agency applicant that codified at 40 U.S.C. 8701 et seq. that briefly presents the reasons why an ac- created the present day National Cap- tion, not otherwise excluded (40 CFR ital Planning Commission and con- 1508.4), will not have a significant ef- ferred authority upon it to serve as the fect on the human environment and for planning authority for the Federal gov- which an EIS will not be prepared. It ernment in the National Capital Re- shall include the EA or a summary of gion. it and shall note any other EAs or EISs National Capital Region means, as de- related to it (40 CFR 1501.7(a)(5)). If the fined in 40 U.S.C. 8702(2), the District of EA is included in the FONSI, the Columbia; Montgomery and Prince FONSI need not repeat any of the dis- Georges Counties in Maryland; Arling- cussion in the EA but may include the ton Fairfax, Loudon, and Prince Wil- EA by reference. liam Counties in Virginia; and all cit- Lead Agency means, as defined in 40 ies in Maryland or Virginia in the geo- CFR 1508.16, the agency or agencies graphic area bounded by the outer preparing or having primary responsi- boundaries of the combined area of the bility for preparing an EA or an EIS. counties listed.

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Non-Federal Agency for purposes of Record of Decision or ROD means a the National Environmental Policy Act concise public record of an agency’s de- and the regulations in this part means cision in cases requiring an EIS that is those applicants outside the definition prepared in accordance with 40 CFR of Federal Agency that prepare plans 1505.2. for or undertake projects on land with- Scope means, as defined in 40 U.S.C. in the National Capital Region subject 1508.25, the range of actions (connected, to NCPC’s jurisdiction. Non-Federal cumulative and similar); alternatives Agencies include, without limitation, (no action, other reasonable courses of the Smithsonian Institution, the John action; and Mitigation measures not F. Kennedy Center for the Performing included in the proposed action); and Arts, the National Gallery of Art, the impacts (direct, indirect and cumu- United States Institute of Peace, the lative) considered in an EIS or an EA. Government of the District of Colum- The process of defining and deter- bia, private parties undertaking devel- mining the scope of issues to be ad- opment on Federal land, and the Mary- dressed in an EIS or EA with public in- land National Capital Parks and Plan- volvement shall be referred to as Public ning Commission. In most instances, Scoping. Internal scoping activities the Non-Federal Agency has legal ju- shall be referred to by the word scoping risdiction over the project and special without capitalization. expertise relative to the project’s com- Submission Guidelines means the for- ponents. mally-adopted document which de- Notice of Availability or NOA means a scribes the application process and ap- public notice or other means of public plication requirements for projects re- communication that announces the quiring review by the Commission. availability of an EA or an EIS for pub- Tiering means, as defined in 40 CFR lic review. 1508.28, an approach where Federal Notice of Intent or NOI means, as de- Agency applicants, NCPC on behalf of fined in 40 CFR 1508.22, a notice pub- Non-Federal Agency applicants, or lished in the FEDERAL REGISTER that NCPC for its own projects initially con- an EIS will be prepared and considered. sider the broad, general impacts of a The notice shall briefly describe the proposed program, plan, policy, or proposed action and possible alter- large scale project—or at the early natives; describe the agency’s proposed stage of a phased proposal—and then Public Scoping process including conduct subsequent narrower, decision whether, when, and where any Public focused reviews. Scoping meeting will be held; and state the name and address of a person with- Subpart B—Lead and Cooperating in the agency who can answer ques- Agencies tions about the proposed action and the EIS. For purposes of NCPC imple- § 601.4 Designation of Lead Agency. mentation of NEPA, NCPC may deter- (a) A Federal Agency applicant shall mine, at its sole discretion, to publish serve as the Lead Agency and prepare an NOI that an EA will be prepared and an EA or an EIS for: considered. (1) An application that requires Com- Purpose and need as described in 40 mission approval; and CFR 1502.13 means the underlying pur- (2) An application for action on a pose and need for agency action to master plan that includes future which the agency is responding in pro- projects that require Commission ap- posing the alternatives including the proval; provided that: proposed action. (i) The applicant intends to submit Programmatic NEPA Review means a individual projects covered by the mas- broad or high level NEPA review that ter plan to the Commission within five assesses the environmental impacts of years of the date of Commission action proposed policies, plans or programs, or on the master plan; and projects for which subsequent project (ii) The applicant intends to use the or site-specific NEPA analysis will be master plan EA or EIS to satisfy its conducted. A Programmatic NEPA Re- NEPA obligation for specific projects view utilizes a tiering approach. referenced in the master plan.

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(b) NCPC shall serve as Lead Agency (i) Keep them informed on the project and prepare an EA or an EIS for: schedule and substantive matters; and (1) An application submitted by a (ii) Allow them an opportunity to re- Non-Federal Agency that requires view and comment within reasonable Commission approval; time frames on, without limitation, (2) An application submitted by a Public Scoping notices; technical re- Non-Federal Agency for action on a ports; public materials (including re- master plan that includes future sponses to comments received from the projects that require Commission ap- public); potential Mitigation measures; proval; provided that: the draft EA or EIS; and the draft (i) The Non-Federal Agency applicant FONSI or ROD. intends to submit individual projects (7) Prepare the appropriate Environ- covered by the master plan to the Com- mental Document consistent with the mission within five years of the date of applicant’s NEPA regulations, the re- Commission action on the master plan; quirements of this part, and CEQ regu- and lations. If the Lead Agency applies a (ii) The Non-Federal Agency appli- CATEX and NCPC as Cooperating cant intends to use the master plan EA Agency does not have a corresponding or EIS to satisfy its NEPA obligation CATEX that it can apply, the Lead for a specific project referenced in the Agency shall prepare an EA to satisfy master plan; and NCPC’s NEPA requirement. (3) An application for approval of (8) Determine in its Environmental land acquisitions undertaken pursuant Document whether an action will have to 40 U.S.C. 8731–8732. an adverse environmental impact or would limit the choice of reasonable al- § 601.5 Lead Agency obligations. ternatives under 40 CFR 1505.1(e) and (a) The obligations of a Federal take appropriate action to ensure that Agency applicant designated as the the objectives and procedures of NEPA Lead Agency in accordance with are achieved. § 601.4(a) shall include, without limita- (9) Prepare, make available for public tion, the following: review, and issue a FONSI or ROD. (1) Act as Lead Agency as defined in (10) Ensure that the draft and final 40 CFR 1501.5 for the NEPA process. EIS comply with the requirements of 40 (2) Integrate other environmental re- CFR 1506.5(c) and include a disclosure views and other applicable regulatory statement executed by any contractor requirements to include, without limi- (or subcontractor) under contract to tation, Section 106 of the NHPA. prepare the EIS document and that the (3) Allow NCPC, to participate as a disclosure appears as an appendix to Co-lead or Cooperating Agency, as ap- the EIS. propriate, and consult with Commis- (11) Compile, maintain, and produce sion staff as early as possible in the the Administrative Record. planning process to obtain guidance (12) Provide periodic reports on im- with respect to the goals, objectives, plementation of Mitigation measures standards, purpose, need, and alter- to NCPC and other Cooperating Parties natives for the NEPA analysis. consistent with a schedule established (4) Invite affected Federal, state, re- in the Environmental Document. All gional and local agencies to participate such reports shall be posted on NCPC’s as a Cooperating Agency in the NEPA Web site. process. (13) For an application that has yet (5) Consult with the affected agencies to obtain final Commission approval, as early as possible in the planning re-evaluate and update Environmental process to obtain guidance on the Documents that are five or more years goals, objectives, standards, purpose, old as measured from the time of their need, and alternatives for the NEPA adoption when either or both of the fol- analysis. lowing criteria apply: (6) Work with Cooperating Agencies (i) There are substantial changes to and stakeholders in the following man- the proposed action that are relevant ner: to environmental concerns.

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(ii) There are significant new cir- § 601.6 Resolving disputes over Lead cumstances or information that are Agency status. relevant to environmental concerns (a) In the event of a dispute with a and have a bearing on the proposed ac- Federal Agency applicant over Co-Lead tion or its impacts. Agency status, the parties shall use (14) Consult with NCPC on the out- their best efforts to cooperatively re- come of the re-evaluation of its Envi- solve disputes at the working levels of ronmental Document; provided that if their respective agencies and, if nec- NCPC disagrees with the Lead Agen- essary, by elevating such disputes cy’s conclusion on the need to update within their respective agencies. its Environmental Document, NCPC (b) If internal resolution at higher may, at its sole discretion, either pre- agency levels proves unsuccessful, at pare its own Environmental Document NCPC’s sole discretion, one of the fol- or decline to consider the application. lowing actions shall be pursued: The (b) When NCPC serves as Lead Agen- parties shall request CEQ’s determina- cy in accordance with § 601.4(b), in addition on which agency shall serve as tion to the obligations listed in para- Lead, or NCPC shall prepare its own graphs (a)(1) through (14) of this sec- Environmental Document, or NCPC tion, NCPC shall: shall decline to take action on the underlying application. (1) Require Non-Federal Agency ap- (c) Disputes other than those relating plicants other than the District of Co- to the designation of Lead Agency sta- lumbia and the Maryland National tus or Cooperating Agency status as Capital Parks and Planning Commis- described in § 601.7(b), shall be governed sion to enter into a MOA with NCPC. by the requirements of subpart G of In the MOA, and in subsequent imple- this part. mentation thereof, the Non-Federal Agency shall commit to providing all § 601.7 Cooperating Agencies. necessary assistance to facilitate and (a) When a Federal Agency applicant ensure NCPC’s compliance with its serves as the Lead Agency, NCPC shall NEPA obligation. act as a Cooperating Agency. As a Co- (2) The MOA may be prepared as a operating Agency, NCPC shall, without programmatic MOA that addresses a limitation, undertake the following: uniform approach for the treatment of (1) Act as a Cooperating Agency as all applications from a particular Non- described in 40 CFR 1501.6. Federal Agency applicant or address a (2) Assist in the preparation of and specific Non-Federal Agency applica- sign a MOA with terms agreeable to tion. The request to enter into a NCPC if requested by the Lead Agency. project specific MOA shall be made At the Lead Agency’s discretion, the after a determination is made as to the MOA may be prepared as a pro- inability to utilize a CATEX. grammatic MOA that addresses a uni- (3) A MOA with a Non-Federal Agen- form approach for the treatment of all cy shall specify, without limitation, applications where NCPC serves as a roles and responsibilities; project infor- Cooperating Agency or address a spe- mation necessary to prepare the proper cific application. The request to enter Environmental Document; project into a project specific MOA shall be timelines and submission schedules; made after a determination is made by the submission of periodic reports on the Lead Agency on the inability to implementation of Mitigation meas- utilize a CATEX. ures, principal contacts and contact in- (3) Participate in the NEPA process formation; and a mechanism for resolv- by providing comprehensive, timely reviews of and comments on key NEPA ing disputes. materials including, without limita- (4) Upon adoption of the MOA, NCPC tion, Public Scoping notices; technical shall publish the MOA in the FEDERAL reports; documents (including re- REGISTER and post it on NCPC’s Web sponses to comments received from the site. public); the draft and final EA or EIS; and the Draft FONSI or ROD.

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(4) Supply available data, assessing subsequent Commission approval; ments, and other information that may provided that: be helpful in the preparation of the En- (i) The applicant intends to submit vironmental Document or the Adminis- individual projects depicted in the trative Record in a timely manner. master plan to the Commission within (5) Make an independent evaluation five years of the date of Commission of the Federal Agency applicant’s Envi- action on the master plan; and ronmental Document and take respon- (ii) The applicant intends to use the sibility for the scope and contents of master plan EA or EIS to satisfy its the EIS or EA when it is sufficient as NEPA obligation for specific projects required by 40 CFR 1506.5. referenced in the master plan. (6) Prepare and, following Commis- (b) Timing of NEPA compliance. When sion final approval of an application, Federal Agency and Non-Federal Agen- sign a FONSI or ROD. Alternatively, if cy applicants submit projects of the NCPC concurs with the contents of a type described in paragraph (a) of this Federal Agency’s FONSI or ROD, NCPC section, the Federal Agency applicant may co-sign the Federal Agency’s doc- or NCPC for a Non-Federal agency ap- ument following the Commission’s plication shall submit the requisite En- final approval of an application if co- vironmental Documentation timed to signing is consistent with the Federal coincide with the Commission’s review Agency’s NEPA regulations. stages as set forth in paragraphs (c) (7) Provide documentation requested through (f) of this section. and needed by the Lead Agency for the (c) Concept review. The NEPA Public Administrative Record. Scoping process shall have been initi- (b) In the event a Federal Agency ap- ated by the Federal Agency applicant plicant fails to allow NCPC to partici- or NCPC for a Non-Federal Agency ap- pate in a meaningful manner as a Co- plication before the applicant submits operating Agency, the parties shall an application for concept review. Al- agree to use their best efforts to coop- ternatively, if the Federal Agency ap- eratively resolve the issue at the work- plicant or NCPC is contemplating use ing levels of their respective agencies, of a CATEX, the initiation of the Pub- and, if necessary, by elevating the lic Scoping process may be deferred issue within their respective agencies. until the final decision on use of a If internal resolution at higher agency CATEX is made. Any NEPA informa- levels is unsuccessful, the parties may tion available at the time of concept agree to seek mediation. Alternatively, review shall be submitted by the Fed- NCPC may prepare its own Environ- eral Agency applicant or NCPC for a mental Document either as a stand- Non-Federal Agency application to fa- alone document or a supplement to the cilitate effective Commission concept Federal Agency applicant’s Environ- review. mental Document or take no action on (d) Preliminary review. A Draft Envi- the underlying application. ronmental Document shall be issued or published before the applicant submits Subpart C—NEPA Submission an application for preliminary review. Schedules The NEPA information shall be provided to the Commission to facilitate § 601.8 NEPA submission schedule for the Commission’s preliminary review applications governed by the Na- and the provision of meaningful Com- tional Capital Planning Act. mission comments and direction. (a) NEPA compliance requirements. (e) Final review. (1) At the time a Federal Agency applicants, and NCPC Non-Federal Agency submits an appli- for non-Federal Agency applications, cation for final approval, the deter- shall comply with NEPA for the fol- mination (FONSI or ROD) resulting lowing types of projects: from the Environmental Document (1) Projects requiring Commission shall be submitted by NCPC in a form approval; and consistent with the rules of this part. (2) Master plans requiring Commis- At the time a Federal Agency appli- sion action with future projects requir- cant submits an application to the

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Commission for final review, the Fed- EA consistent with CEQ guidance. At eral Agency applicant shall submit a the earliest opportunity, the Commis- determination (FONSI or ROD) in a sion shall grant approval for the EA. form consistent with the applicant’s (ii) Where Emergency Circumstances NEPA regulations. As a Cooperating make it necessary for the Commission Agency, NCPC may co-sign the Federal to take an action with significant envi- Agency’s FONSI or ROD following final ronmental impact without observing Commission approval if co-signing is the provisions of these regulations, consistent with the Federal Agency’s NCPC shall consult with CEQ about al- NEPA regulations. Alternatively, ternative arrangements. NCPC will NCPC may prepare and sign its own limit such arrangements to actions independent document in accordance necessary to control the immediate im- with the requirements of §§ 601.16(a) or pacts of the emergency. Other actions 601.25(a) through (c). remain subject to NEPA review. (2) If at the time of final review, the Commission denies a Federal Agency § 601.9 NEPA submission schedule for applicant’s project and requests applications governed by the Com- changes thereto, the Federal Agency memorative Works Act. applicant shall proceed in a manner (a) Timing of NEPA compliance. When, consistent with applicable law. The pursuant to the Commemorative Works Federal Agency applicant may pursue, Act, the National Park Service (NPS) among others, the option of revising or the General Services Administration the project in a manner responsive to (GSA) submits an application to the the Commission’s comments. If the Commission for approval of a site and Federal Agency pursues this option, it design for a commemorative work, shall review and consider the need for NPS or GSA shall be required to com- possible changes to its Environmental ply with NEPA and submit the NEPA Document and its FONSI or ROD. Upon documentation timed to coincide with resubmission of a revised application the Commission’s review stages as set for final review, the applicant shall forth in paragraphs (b) through (e) of submit a revised Environmental Docu- this section. ment and a revised FONSI or ROD if in (b) Concept site review. (1) The NEPA its judgement revised documents are Scoping Process shall have been initi- necessary. If NCPC and the applicant ated by NPS or GSA before the appro- disagree regarding the need for a re- priate agency submits an application vised Environmental Document and to the Commission for concept site re- FONSI or ROD, the parties shall work view. Available NEPA documentation together to resolve their differences. for all concept sites shall be included The final decision regarding the need in the application to facilitate effec- for a revised Environmental Document tive Commission concept review. and a revised FONSI or ROD shall be (2) The Commission shall provide made by the Commission’s Executive comments to NPS or GSA on the mul- Committee. tiple sites to assist the applicant in se- (f) Deviations from the submission lecting a preferred site. schedule for Emergency Circumstances. (c) Concept design review for preferred (1) This paragraph (f) applies when the sites. (1) The NEPA Public Scoping following three conditions exist: NCPC Process shall have been initiated be- is the Lead Agency; Emergency Cir- fore NPS or GSA submits an applica- cumstances exist; and an Extraor- tion to the Commission for concept de- dinary Circumstance as set forth in sign review. Available NEPA docu- § 601.11 is present that precludes use of mentation shall be included in the ap- a CATEX. plication to facilitate effective Com- (2) When the three conditions de- mission concept review. scribed above exist, NCPC shall under- (2) The Commission shall provide take one of the following actions: comments to NPS or GSA on the pre- (i) When Emergency Circumstances ferred site(s) and the concept designs render it necessary to take an action for each site to facilitate selection of a that requires an EA, the Executive Di- preferred site and refinement of the rector shall prepare a concise, focused memorial design for that site. The

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Commission may establish guidelines possible changes to its Environmental for the applicant to follow in preparing Document and its FONSI or ROD. Upon its preliminary and final commemora- resubmission of a revised application tive work design to avoid, minimize or for final review, the applicant shall mitigate environmental impacts in- submit a revised Environmental Docu- cluding adverse effects on historic ment and a revised FONSI or ROD if in properties. If the Commission imposes its judgement revised documents are guidelines to avoid, minimize or miti- necessary. If NCPC and the applicant gate adverse impacts, the applicant disagree regarding the need for a re- shall address the guidelines in its Envi- vised Environmental Document and ronmental Document. FONSI or ROD, the parties shall work (d) Preliminary site and design review. together to resolve their differences. (1) NPS or GSA shall have issued or The final decision regarding the need published its Draft Environmental Doc- for a revised Environmental Document ument for the site selection process and a revised FONSI or ROD shall be and the memorial design and shall have made by the Commission’s Executive initiated the requisite public comment Committee. period before the applicant submits an application for preliminary site and de- Subpart D—Initiating the NEPA sign approval. The NEPA information Process shall be provided to the Commission to facilitate the Commission’s prelimi- § 601.10 Characteristics of Commission nary review and the provision of mean- actions eligible for a Categorical ingful Commission comments and di- Exclusion. rections. (a) A Categorical Exclusion is a type (2) The Commission shall take an ac- of action that does not individually or tion on the preliminary site and design cumulatively have a significant effect and provide comments to the applicant on the human environment and which on the preliminary design to assist the has been found to have no such effect applicant’s preparation of a final de- by NCPC. sign. (b) Actions that generally qualify for (e) Final site and design review. (1) At application of a Categorical Exclusion the time NPS or GSA submits an appli- and do not require either an EA or an cation to the Commission for final site EIS exhibit the following characteris- and design review, the determination tics: (FONSI or ROD) resulting from the En- vironmental Document shall be sub- (1) Minimal or no effect on the mitted by the applicant in a form con- human environment; sistent with its NEPA regulations. As a (2) No significant change to existing Cooperating Agency, NCPC may co- environmental conditions; sign the applicant’s FONSI or ROD fol- (3) No significant cumulative envi- lowing final Commission approval if ronmental impacts; and co-signing is consistent with the appli- (4) Similarity to actions previously cant’s NEPA regulations. Alter- assessed in an EA concluding in a natively, NCPC may prepare and sign FONSI and monitored to confirm the its own independent document in ac- FONSI. cordance with the requirements of § 601.16(a) or § 601.25(a) through (c). § 601.11 Extraordinary Circumstances. (2) If at the time of final review, the (a) Before applying a CATEX listed in Commission denies the NPS or GSA § 601.12, the Executive Director shall project and requests changes thereto, determine if a project or plan requires the applicant shall proceed in a manner additional environmental review or consistent with applicable law. The analysis due to the presence of Ex- Federal Agency applicant may pursue, traordinary Circumstances. If any of among others, the option of revising the Extraordinary Circumstances list- the project in a manner responsive to ed in paragraphs (b)(1) through (11) of the Commission’s comments. If the this section are present, the Executive Federal Agency pursues this option, it Director shall not apply a CATEX and shall review and consider the need for ensure that the proper Environmental

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Document (EA or EIS) shall be pre- (8) A reasonable likelihood of a dis- pared and made available to the Com- proportionately high and adverse effect mission before the Commission takes on low income and minority popu- action on the matter. lations. (b) Extraordinary Circumstances (9) A reasonable likelihood of degrad- that negate the application of a ing existing unsatisfactory environ- CATEX include: mental conditions. (1) A reasonable likelihood of signifi- (10) A reasonable likelihood of estab- cant impact on public health or safety. lishing a precedent for future action or (2) A reasonable likelihood of signifi- making a decision in principle about cant environmental impacts on sen- future actions with potentially signifi- sitive resources unless the impacts cant environmental effects. have been or will be avoided, mini- (11) Any other circumstance that mized, or mitigated to non-significant makes the action sufficiently unique in levels through another process to in- its potential impacts on the human en- clude, without limitation, Section 106 vironment that further environmental of the NHPA. Environmentally sen- analysis and review is appropriate. sitive resources include without limi- (c) The Executive Director shall in- tation: clude in his/her EDR, or the docu- (i) Proposed federally listed, threat- mentation of a delegated action, his/ ened or endangered species or their des- her decision to apply a Categorical Ex- ignated critical habitats. clusion including consideration of pos- (ii) Properties listed or eligible for sible Extraordinary Circumstances or listing on the National Register of His- not apply a Categorical Exclusion be- toric Places. cause of Extraordinary Circumstances. (iii) Areas having special designation or recognition based on Federal law or § 601.12 National Capital Planning an Executive Order, to include without Commission Categorical Exclusions. limitation, National Historic Land- (a) Commission actions that may be marks, floodplains, wetlands, and Na- categorically excluded and normally do tional Parks. not require either an EA or an EIS are (iv) Cultural, scientific or historic re- listed in paragraphs (a)(1) through (13) sources. of this section. An action not specifi- (3) A reasonable likelihood of effects cally included in the list is not eligible on the environment that are risky, for a Categorical Exclusion even if it highly uncertain, or unique. appears to meet the general criteria (4) A reasonable likelihood of vio- listed in § 601.10(b). lating an Executive Order, or Federal, (1) Approval of the installation or state or local law or requirements im- restoration of onsite primary or sec- posed for the protection of the environ- ondary electrical distribution systems ment. including minor solar panel arrays. (5) A reasonable likelihood of causing (2) Approval of the installation or a significant increase in surface trans- restoration of minor site elements, portation congestion, disruption of such as but not limited to identifica- mass transit, and interference with pe- tion signs, sidewalks, patios, fences, destrian and bicycle movements. curbs, retaining walls, landscaping, and (6) A reasonable likelihood of signifi- trail or stream improvements. Addi- cantly degrading air quality or vio- tional features include water distribu- lating air quality control standards tion lines and sewer lines which in- under the Clean Air Act (42 U.S.C. 7401– volve work that is essentially replace- 7671q). ment in kind. (7) A reasonable likelihood of signifi- (3) Approval of the installation or cantly impacting water quality, public restoration of minor building elements, water supply systems, or state or local such as, but not limited to windows, water quality control standards under doors, roofs, building signs, and rooftop the Clean Water Act (33 U.S.C. 1251 et equipment and green roofs. seq.) and the Safe Drinking Act (42 (4) Adoption of a Federal Element of U.S.C. 300f). the Comprehensive Plan or amendment

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thereto or broad based policy or feasi- activities related to the routine and bility plans prepared and adopted by continuing administration, manage- the Commission in response to the ment, maintenance and operations of Comprehensive Plan. the Commission or its facilities. (5) Approval of the installation of (13) Adoption and issuance of rules, communication antennae on Federal directives, official policies, guidelines, buildings and co-location of commu- and publications or recommendations nication antennae on Federal property of an educational, financial, informa- consistent with GSA Bulletin FMR D– tional, legal, technical or procedural 242, Placement of Commercial Anten- nature. nas on Federal Property. (b) The Executive Director shall in- (6) Approval of Federal and District clude in his/her EDR, or the docu- government agency proposals for new mentation of a delegated action, his/ construction, building expansion, or her decision to apply a Categorical Ex- improvements to existing facilities, clusion and the rationale for this deci- when all of the following apply: sion. (i) The new structure and proposed use are in compliance with local plan- Subpart E—Environmental ning and zoning and any applicable District of Columbia, state, or Federal Assessments requirements. § 601.13 Characteristics of Commission (ii) The site and the scale of con- actions eligible for an Environ- struction are consistent with those of mental Assessment. existing adjacent or nearby buildings. (iii) The proposed use will not sub- (a) An EA is a concise document with stantially increase the number of sufficient information and analysis to motor vehicles in the vicinity of the fa- enable the Executive Director to deter- cility. mine whether to issue a FONSI or pre- (iv) There is little to no evidence of pare an EIS. unresolved resource conflicts or com- (b) Commission actions that gen- munity controversy related to environ- erally require an EA exhibit the fol- mental concerns or other environ- lowing characteristics: mental issues. (1) Minor but likely insignificant (7) Approval of transfers of jurisdic- degradation of environmental quality; tion pursuant to 40 U.S.C. 8124 that are (2) Minor but likely insignificant cu- not anticipated to result in changes in mulative impact on environmental land-use and that have no potential for quality; and environmental impact. (3) Minor but likely insignificant im- (8) Approval of a minor modification pact on protected resources. to a General Development Plan applicable to lands acquired pursuant to the § 601.14 Commission actions generally Capper-Cramton Act, 46 Stat. 482 (1930), eligible for an Environmental As- sessment. as amended, when non-significant environmental impacts are anticipated. Commission actions that typically (9) Reorganization of NCPC. require preparation of an EA include (10) Personnel actions, including, but without limitation: not limited to, investigations; perform- (a) Approval of final plans for Fed- ance reviews; award of personal service eral public buildings in the District of contracts, promotions and awards; re- Columbia, and the provisions for open ductions in force, reassignments and space in and around the same, pursuant relocations; and employee supervision to 40 U.S.C. 8722(d) and D.C. Code 2– and training. 1004(c). (11) Legal activities including, but (b) Approval of final plans for Dis- not limited to, legal advice and opin- trict of Columbia public buildings and ions; litigation or other methods of dis- the open space around them within the pute resolution; and procurement of Central Area pursuant to 40 U.S.C. outside legal services. 8722(e) and D.C. Code 2–1004(d). (12) Procurement of goods and serv- (c) Recommendations to a Federal or ices, transactions, and other types of District of Columbia agency on any

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master plan or master plan modifica- NCPC Web site (www.ncpc.gov). The tion submitted to the Commission that NCPC, at its sole discretion, may de- include proposed future projects that cline to circulate a draft EA for non- require Commission approval pursuant controversial projects. to 40 U.S.C. 8722(d)–(e) and D.C. Code 2– 1004(c)–(d) within a five-year time- § 601.16 Finding of No Significant Im- frame. pact. (d) Approval of a final site and design (a) If NCPC is the Lead Agency and for a commemorative work authorized the final EA supports a FONSI, NCPC under the Commemorative Works Act shall prepare and execute a FONSI. The pursuant to 40 U.S.C. 8905. FONSI shall be prepared following clo- (e) Approval of transfers of jurisdic- sure of the discretionary public com- tion over properties within the District of Columbia owned by the United ment period on a Draft EA, or if no States or the District among or be- public comment period is deemed nec- tween Federal and District authorities, essary, at the conclusion of the prepa- pursuant to 40 U.S.C. 8124, unless such ration of an EA. The FONSI shall brief- transfers met the criteria of ly state the reasons why the proposed § 601.12(a)(7). action will not have a significant effect on the environment and include the EA § 601.15 Process for preparing an Envi- or a summary thereof, any Mitigation ronmental Assessment. commitments, and a schedule for im- An EA prepared by NCPC as the Lead plementing the Mitigation commit- Agency for a project requiring Com- ments. The FONSI shall be signed fol- mission approval shall comply with the lowing the Commission final approval following requirements: of the applicant’s project. (a) The EA shall include, without (b) If NCPC is not the Lead Agency, limitation, a brief discussion of the it shall evaluate the adequacy of the proposed action; the purpose and need Lead Agency’s FONSI. If NCPC deter- for the proposed action; the environ- mines the FONSI to be adequate, NCPC mental impacts of the proposed action; shall proceed as follows. If consistent the environmental impacts of the al- with the Federal Agency’s NEPA regu- ternatives considered; Mitigation lations, NCPC may co-sign the Lead measures, if necessary; and a list of Agency’s FONSI following the Commis- agencies and persons consulted in prep- sion final approval of the application. aration of the assessment. (b) The NCPC shall involve to the ex- Alternatively, NCPC may prepare and tent practicable applicants; Federal execute its own FONSI consistent with and District of Columbia agencies; the the requirements of paragraph (a) of public; and stakeholders in the prepa- this section and sign the FONSI fol- ration of an EA. lowing the Commission’s final approval (c) The NCPC, at the sole discretion of the project. of the Executive Director, may under- (c) In certain limited circumstances take Public Scoping for an action re- described in 40 CFR 1501.4(e)(2)(i) and quiring an EA. The Public Scoping (ii), a FONSI prepared by NCPC shall shall generally commence after be available for public review for thirty issuance of a public notice in a media (30) days before NCPC makes it final source with widespread circulation and determination. NCPC shall also publish the NCPC Web site of NCPC’s intent to all FONSIs on its Web site seven (7) prepare an EA. The notice shall include calendar days before the Commission the date, time and location of the Pub- takes action on the underlying applica- lic Scoping meeting. tion. (d) The NCPC may solicit public re- (d) If the Commission determines a view and comment of a Draft EA. The Lead Agency’s EA does not support a public comment period generally shall FONSI, either the Lead Agency shall be thirty (30) calendar days. The public prepare an EIS, or the Commission comment period shall begin when the Executive Director announces the shall not approve or consider further availability of the Draft EA on the the underlying application.

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§ 601.17 Supplemental Environmental of impacts imposed by the proposal. Se- Assessments. verity shall be determined based on an (a) The NCPC shall prepare a supple- evaluation of a proposal in the manner mental EA if five or more years have outlined in 40 CFR 1508.27(b)(1) through elapsed since adoption of the EA and: (10). The evaluation shall also be in- (1) There are substantial changes to formed by the relevant policies of ‘‘The the proposed action that are relevant Comprehensive Plan for the National to environmental concerns; or Capital: Federal Elements’’ and other (2) There are significant new cir- applicable Commission plans and pro- cumstances or information that are grams. Proposed actions that conflict relevant to environmental concerns with or delay achievement of the goals and have a bearing on the proposed ac- and objectives of Commission plans tion or its impacts. and programs are generally more like- (b) The NCPC may supplement a ly to be found to have significant im- Draft or Final EA at any time to fur- pacts than proposals that are con- ther the purposes of NEPA. sistent with Commission plans and pro- (c) The NCPC shall prepare, cir- grams. culate, and file a supplement to a Draft (d) Proposed actions shall also be or Final EA, and adopt a FONSI in ac- deemed significant and require an EIS cordance with the requirements of if they exhibit at least one of the fol- §§ 601.15 and 601.16. If NCPC is not the lowing characteristics: Lead Agency, it shall proceed as out- (1) The proposed action results in a lined in § 601.16(b) and (c). substantial change to the Monumental Core. Subpart F—Environmental Impact (2) The proposed action causes sub- Statements stantial alteration to the important historical, cultural, and natural fea- § 601.18 Requirement for and timing of tures of the National Capital and its an Environmental Impact State- Environs. ment. (3) The proposed action is likely to be Prior to the Commission’s approval controversial because of its impacts on of a major Federal action significantly the human environment. affecting the quality of the human environment, the Executive Director § 601.20 Streamlining Environmental shall prepare an EIS for a Non-Federal Impact Statements. Agency application. The NCPC as Lead Agency shall use all available techniques to minimize § 601.19 Context, intensity, and signifi- the length of an EIS. Such techniques cance of impacts. include, without limitation, drafting (a) As required by 40 CFR 1508.27(a) an EIS in clear, concise language; pre- and (b), NCPC’s determination of paring an analytic vs. encyclopedic whether an EIS is required and wheth- EIS; reducing emphasis on background er impacts are significant shall be information; using the scoping process made with consideration to the context to emphasize significant issues and de- and intensity of the impacts associated emphasize non-significant issues; in- with a proposed action. corporating relevant information by (b) The significance of an action is reference; using a programmatic EIS determined in the context of its effects and tiering to eliminate duplication in on society as a whole, the National subsequent EISs; and following the for- Capital Region and its Environs, the mat guidelines of § 601.22. particular interests affected, and the specific locality or area within which § 601.21 Programmatic Environmental the proposed action is located. The Impact Statements and tiering. context will vary from project to (a) The NCPC shall prepare a pro- project and will be based on the type, grammatic Environmental Document attributes, and characteristics of a par- (Programmatic EA or PEA or Pro- ticular proposal. grammatic EIS or PEIS) to assess the (c) The significance of an action is impacts of proposed projects and plans also determined based on the severity when there is uncertainty regarding

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the timing, location and environmental mentally preferred alternative; and impacts of subsequent implementing Mitigation measures not already in- actions. At the time NCPC undertakes cluded in the proposed action. a site or project specific action within (6) The identification of the affected the parameters of the PEA or PEIS, environment. This section shall pro- NCPC shall tier its Environmental vide a succinct description of the envi- Document by summarizing information ronment to be affected by the proposed in the PEIS or PEA, as applicable, and action and the alternatives considered. concentrate on the issues applicable to This section shall include, if applica- the specific action. ble, other activities in the area af- (b) A PEIS or PEA prepared by NCPC fected by or related to the proposed ac- shall be governed by the CEQ regulation. tions and the rules of this part. (7) The identification of environmental consequences. This section § 601.22 Contents of an Environmental shall focus on the environmental im- Impact Statement. pacts of the alternatives including the (a) When NCPC serves as Lead Agen- proposed action, any adverse environ- cy for an EIS, the following informa- mental effects which cannot be avoided tion shall be included in the EIS: should the proposal be implemented, (1) A cover sheet. The cover sheet the relationship between short-term shall be one-page and include a list of uses of the environment and the main- responsible and Cooperating Agencies; tenance and enhancement of long-term the title of the proposed action that is productivity, and any irreversible com- the subject of the EIS; the name, ad- mitments of resources which would be dress, and telephone number of the involved if the proposal is imple- NCPC point of contact; the designation mented. The impacts shall be discussed as to whether the statement is draft, in terms of direct, indirect and cumu- final, or draft or final supplement; a lative effects and their significance, as one paragraph abstract of the EIS; and well as any appropriate means to miti- the date by which comments must be gate adverse impacts. The discussion received. shall also include issues and impact (2) A summary. The summary shall topics considered but dismissed to re- accurately summarize the information veal non-impacted resources. Resource presented in the EIS. The summary areas and issues requiring consider- shall focus on the main conclusions, ation shall include those identified in areas of controversy, and the issues to the scoping process, and, without limi- be resolved. tation, the following: (3) A table of contents. The table of (i) Possible conflicts between the pro- contents shall allow a reader to quick- posed action and the land use plans, ly locate subject matter in the EIS—ei- policies, or controls (local, state, or In- ther by topic area and/or alternatives dian tribe) for the area concerned. analyzed. (ii) Natural and biological resources (4) The purpose and need. A state- including topography, hydrology, soils, ment of the purpose of and need for the flora, fauna, floodplains, wetlands, and action briefly stating the underlying endangered species. purpose and need to which the agency (iii) Air quality. is responding. (iv) Noise. (5) The identification of alternatives (v) Water resources including waste- including the proposed action. This water treatment and storm water man- section shall provide a brief description agement. and supporting documentation for all (vi) Utilities including energy re- alternatives including the proposed ac- quirements and conservation. tion; the no action alternative; all rea- (vii) Solid waste and hazardous waste sonable alternatives including those generation/removal. not within the jurisdiction of the agen- (viii) Community facilities. cy; alternatives considered but elimi- (ix) Housing. nated and the reason for their elimi- (x) Transportation network. nation; the agency’s preferred alter- (xi) Socio-cultural and economic en- native, if one exists; the environ- vironments.

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(xii) Environmental Justice and the (b) To determine the scope of an EIS requirements of Executive Order 12898 through a Public Scoping process, (Federal Actions to Address Environ- NCPC shall proceed as follows: mental Justice in Minority Popu- (1) Disseminate a NOI in accordance lations). with 40 CFR 1501.7 and 1506.6. (xiii) Urban quality and design of the (2) Publish a NOI in the FEDERAL built environment including visual re- REGISTER and on NCPC’s Web site sources and aesthetics. which shall begin the Public Scoping (xiv) Historic and cultural resources process. to include documentation of the results (3) Include the date, time, and loca- of the Section 106 Consultation process. tion of a Public Scoping meeting in the (xv) Public health and safety. NOI. The public meeting shall be announced at least thirty (30) calendar (8) A list of preparers. This list shall days in advance of its scheduled date. include all pertinent organizations, (4) Hold Public Scoping meeting(s) in agencies, individuals, and government facilities that are accessible to the dis- representatives primarily responsible abled; include translators if requested for the preparation of the EIS and their in advance; include signers or inter- qualifications. preters for the hearing impaired if re- (9) An index. The index shall be quested in advance; and allow special structured to reasonably assist the arrangements for consultation with af- reader of the Draft or Final EIS in fected Indian tribes or other Native identifying and locating major topic American groups who have environ- areas or elements of the EIS informa- mental concerns that cannot be shared tion. The level of detail of the index in a public forum. shall provide sufficient focus on areas (5) Consider all comments received of interest to any reader not just the during the announced comment period most important topics. regarding the analysis of alternatives, (10) An appendix. The appendix shall the affected environment, and identi- consist of material prepared in connec- fication of potential impacts. tion with an EIS (as distinct from ma- (6) Apply the provisions of this sec- terial which is incorporated by ref- tion to a Supplemental EIS if the Exec- erence) and material which substan- utive Director of NCPC, in his/her sole tiates any analysis fundamental to the discretion, determines a Public EIS. The material in the appendix shall Scoping process is required for a Sup- be analytical and relevant to the deci- plemental EIS. sion to be made. The appendix shall be (c) A Draft EIS shall be available to posted on NCPC’s Web site. the public for their review and com- (b) [Reserved] ment, for a period of generally forty- five (45) calendar days. The public com- § 601.23 The Environmental Impact ment period shall begin when NCPC Statement process. shares a copy of the Draft EIS with (a) The NCPC shall involve the appli- EPA in anticipation of EPA’s publica- cant, Federal and District of Columbia tion of an NOA. The NCPC shall hold at agencies, members of the public and least one public meeting during the stakeholders in the preparation of an public comment period on a Draft EIS. EIS. Public participation shall be re- The public meeting shall be announced quired as part of the Public Scoping at least thirty (30) calendar days in ad- process and review of the Draft EIS. vance of its scheduled occurrence. The The NCPC shall also consult with agen- announcement shall identify the sub- cies having jurisdiction by law or ex- ject of the Draft EIS and include the pertise. Agencies with ‘‘jurisdiction by public meeting date, time, and loca- law’’ are those with ultimate jurisdiction. tion over a project and whose assistance may be required on certain issues § 601.24 Final Environmental Impact and those with other kinds of regu- Statement. latory or advisory authority with re- (a) The NCPC shall prepare a Final spect to the action or its effects on par- EIS following the public comment pe- ticular environmental resources. riod and the public meeting(s) on the

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Draft EIS. The Final EIS shall respond which NCPC serves as the Lead Agency to oral and written comments received and its environmental effects in a pub- during the Draft EIS public comment lic meeting of record as identified by period. the Commission’s monthly agenda. (b) The Commission shall take final (b) If NCPC is not the Lead Agency, action on an application following a following the Commission final ap- thirty (30) day Commission-sponsored proval of a project to which a ROD per- review period of the Final EIS. The tains, and consistent with the Federal thirty (30) day period shall start when Agency’s NEPA regulations, NCPC the EPA publishes a NOA for the Final may take one of the following actions. EIS in the FEDERAL REGISTER. It may either co-sign the Lead Agen- cy’s ROD following Commission ap- § 601.25 Record of Decision. proval of the project if NCPC agrees (a) If NCPC is the Lead Agency and with its contents and conclusions or it decides to recommend approval of a shall prepare, sign, and sign and adopt proposed action covered by an EIS, it its own ROD in accordance with the re- shall prepare and sign a ROD stating quirements of paragraphs (a)(1) the Commission’s decision and any through (3) of this section. Mitigation measures required by the (c) If the Commission determines a Commission. Lead Agency’s EIS fails to support a (1) The ROD shall include among oth- ROD, the Lead Agency shall revise its ers: EIS, or, alternatively, the Commission (i) A statement of the decision. shall not approve or give any further (ii) The identification of alternatives consideration to underlying applica- considered in reaching a decision speci- tion. fying the alternatives that were considered to be environmentally pref- § 601.26 Supplemental Environmental erable. The ROD shall discuss pref- Impact Statement. erences among alternatives based on (a) The NCPC shall prepare a supple- relevant factors including economic mental EIS if five or more years has and technical planning considerations elapsed since adoption of the EIS and: and the Commission’s statutory mis- (1) There are substantial changes to sion. The ROD shall identify those fac- the proposed action that are relevant tors balanced to reach a decision and to environmental concerns; or the influence of various factors on the (2) There are significant new cir- decision. cumstances or information that are (iii) A statement as to whether all relevant to environmental concerns practicable means to avoid or minimize and have a bearing on the proposed ac- environmental harm from the alter- tion or its impacts. native selected has been adopted, and if (b) The NCPC may supplement a not, why they are not. Draft or Final EIS at any time, to fur- (iv) A monitoring and enforcement ther the purposes of NEPA. program that summarizes Mitigation (c) The NCPC shall prepare, cir- measures. culate, and file a supplement to a Draft (v) Date of issuance. or Final EIS in in accordance with the (vi) Signature of the Chairman. requirements of §§ 601.22 through 601.24 (2) The contents of the draft ROD except that Public Scoping is optional proposed for Commission adoption for a supplemental EIS. shall be summarized in the EDR and a (d) The NCPC shall prepare a ROD for full version of the draft document shall a Supplemental EIS. The ROD’s con- be included as an Appendix to the EDR. tents, the procedure for public review, The Draft ROD, independently of the and the manner in which it shall be EDR, shall be made available to the adopted shall be as set forth in § 601.25. public for review fourteen (14) calendar days prior to the Commission’s consid- § 601.27 Legislative Environmental Im- eration of the proposed action for pact Statement. which the EIS was prepared. (a) Consistent with 40 CFR1506.8, the (3) The Commission shall arrive at its Executive Director shall prepare an decision about the proposed action for EIS for draft legislation initiated by

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NCPC for submission to Congress. The the NCPC under the Freedom of Infor- EIS for the proposed legislation shall mation Act (FOIA), 5 U.S.C. 552, as be included as part of the formal trans- amended. Requests made by a U.S. cit- mittal of NCPC’s legislative proposal izen or an individual lawfully admitted to Congress. for permanent residence to access his (b) The requirements of this section or her own records under the Privacy shall not apply to legislation Congress Act, 5 U.S.C. 522a are processed under directs NCPC to prepare. this part and in accordance with part 603 of Title 1 of the Code of Federal Subpart G—Dispute Resolution Regulations (CFR) to provide the greatest degree of access while safe- § 601.28 Dispute resolution. guarding an individual’s personal pri- Any disputes arising under this part, vacy. Information routinely provided shall be resolved, unless otherwise oth- to the public as part of regular NCPC erwise provided by law or regulation by activity shall be provided to the public the parties through interagency, good without regard to this part. faith negotiations starting at the § 602.2 Policy. working levels of each agency, and if necessary, by elevating such disputes (a) It is the NCPC’s policy to facili- within the respective Agencies. If reso- tate the broadest possible availability lution at higher levels is unsuccessful, and dissemination of information to the parties may participate in medi- the public through use of the NCPC’s ation. Web site, www.ncpc.gov, and physical distribution of materials not available § 601.29 [Reserved] electronically. The NCPC staff shall be available to assist the public in obtain- PART 602—NATIONAL CAPITAL ing information formally by using the PLANNING COMMISSION FREE- procedures herein or informally in a DOM OF INFORMATION ACT manner not inconsistent with the rule set forth in this part. REGULATIONS (b) To the maximum extent possible, the NCPC shall make available agency Sec. Records of interest to the public that 602.1 Purpose. 602.2 Policy. are appropriate for disclosure. 602.3 Definitions. 602.4 Information available without a FOIA § 602.3 Definitions. Request. For purposes of this part, the fol- 602.5 FOIA Request requirements. lowing definitions shall apply: 602.6 FOIA response requirements. Act and FOIA mean the Freedom of 602.7 Multi-track processing. Information Act, 5 U.S.C. 552, as 602.8 Expedited processing. 602.9 Consultations and referrals. amended. 602.10 Classified and Controlled Unclassified Adverse Determination or Determina- Information. tion shall include a determination to 602.11 Confidential Commercial Informa- withhold, in whole or in part, Records tion. requested in a FOIA Request; the fail- 602.12 Appeals of Adverse Determinations. ure to respond to all aspects of a Re- 602.13 Fees. quest; the determination to deny a re- 602.14 Fee waiver requirements. 602.15 Preservation of FOIA records. quest for a Fee Waiver; or the determination to deny a request for expe- AUTHORITY: 5 U.S.C. 552, as amended. dited processing. The term shall also SOURCE: 82 FR 44037, Sept. 20, 2017, unless encompass a challenge to NCPC’s de- otherwise noted. termination that Records have not been described adequately, that there § 602.1 Purpose. are no responsive Records, or that an This part contains the rules the Na- adequate Search has been conducted. tional Capital Planning Commission Agency Record or Record means any (NCPC or Commission) shall follow in documentary material which is either processing third party Requests for created or obtained by a federal agency Records concerning the activities of (Agency) in the transaction of Agency

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business and under Agency control. include overhead expenses such as Agency Records may include without costs of space, and heating or lighting limitation books; papers; maps; charts; the facility in which the Records are plats; plans; architectural drawings; stored. photographs and microfilm; machine Duplication means the process of readable materials such as magnetic making a copy of a document nec- tape, computer disks and electronic essary to respond to a FOIA Request in data storage devices; electronic records a form that is reasonably usable by a including email messages; and audio- Requester. Copies can take the form of, visual material such as still pictures, among others, paper copy, audio-visual sound, and video recordings. This defi- materials, or machine readable docu- nition generally does not cover records ments (i.e., computer disks or elec- of Agency staff that are created and tronic data storage devices). maintained primarily for a staff mem- Educational Institution means a pre- ber’s convenience, exempt from Agency school, a public or private elementary creation or retention requirements, or secondary school, an institution of and withheld from distribution to undergraduate higher education, an in- other Agency employees for their offi- stitution of graduate higher education, cial use. an institution of professional edu- Confidential Commercial Information cation, and an institution of vocational means commercial or financial infor- education, which operates a program or mation obtained by the NCPC from a programs of scholarly research. To be Submitter that may be protected from classified in this category, a Requester disclosure under Exemption 4 of the must show that the Request is author- FOIA. Exemption 4 of the FOIA pro- ized by and is made under the auspices tects trade secrets and commercial or of a qualifying institution and that the financial information obtained from a records are not sought for a commer- person which information is privileged cial use but are sought to further or confidential. scholarly research. Controlled Unclassified Information Expedited Processing means giving a means unclassified information that FOIA Request priority because a Re- does not meet the standards for Na- quester has shown a compelling need tional Security Classification under for the Records. Executive Order 13536, as amended, but Fee Waiver means a waiver in whole is pertinent to the national interests of or in part of fees if a Requester can the United States or to the important demonstrate that certain statutory re- interests of entities outside the federal quirements are satisfied including that government, and under law or policy the information is in the public inter- requires protection from unauthorized est and is not requested primarily for disclosure, special handling safeguards, commercial purposes. or prescribed limits on exchange or dis- FOIA Public Liaison means an NCPC semination. official who is responsible for assisting Commercial Use Request means a FOIA in reducing delays, increasing trans- Request from or on behalf of one who parency and understanding the status seeks information for a use or purpose of Requests, and assisting in the reso- that furthers the commercial, trade, or lution of disputes. profit interests of the Requester or the FOIA Request or Request means a person on whose behalf the Request is written Request made by an entity or made. member of the public for an Agency Direct Costs means those expenditures Record submitted via the U.S. Postal that the NCPC incurs in searching for, Service mail or other delivery means duplicating, and reviewing documents to include without limitation elec- to respond to a FOIA Request. Direct tronic-mail (email) or facsimile. Costs include, for example, the salary Frequently Requested Documents of the employee performing the work means documents that have been Re- (the basic rate of pay for the employee quested at least three times under the plus 16 percent of the rate to cover ben- FOIA. It also includes documents the efits) and the cost of operating dupli- NCPC anticipates would likely be the cating machinery. Direct Costs do not subject of multiple Requests.

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Multi-track Processing means placing purchase or subscription by the general requests in multiple tracks based on public; and alternative media to in- the amount of work or time (or both) clude electronic dissemination through needed to process the request. Simple telecommunication (internet) services. Requests requiring relatively minimal To be in this category, a Requester work and/or review are placed in one must not be seeking the Requested processing track, more complex Re- Records for a commercial use. A Free- quests are placed in one or more other lance Journalist is a Representative of tracks, and expedited Requests are the News Media who is able to dem- placed in a separate track. Requests in onstrate a solid basis for expecting each track are processed on a first-in/ publication through a news organiza- first-out basis. tion, even though not actually em- Noncommercial Scientific Institution ployed by that news organization. A means an institution that is not oper- publication contract or past evidence ated for commerce, trade or profit, but of a specific freelance assignment from is operated solely for the purpose of a news organization may indicate a conducting scientific research the re- solid basis for expecting publication. sults of which are not intended to pro- Requester means an entity or member mote any particular product or indus- of the public submitting a FOIA Re- try. To be in this category, a Requester quest. must show that the Request is author- Requester Category means one of the ized by and is made under the auspices five categories NCPC places Requesters of a qualifying institution and that the in for the purpose of determining Records are not sought for commercial whether the Requester will be charged use but are sought to further scientific for Search, Review and Duplication, research. and includes Commercial Use Requests, Privacy Act Request means, in accord- Educational Institutions, Noncommer- ance with NCPC’s Privacy Act Regula- cial Scientific Institutions, Represent- tions (1 CFR part 603) a written (paper atives of the News Media, and all other copy with an original signature) re- Requesters. quest made by an individual for infor- Review means the examination of mation about himself/herself that is Records to determine whether any por- contained in a Privacy Act system of tion of the located Record is eligible to records. The Privacy Act applies only be withheld. It also includes processing to U.S. citizens and aliens lawfully ad- any Records for disclosure, i.e., doing mitted for permanent residence such all that is necessary to excise the that only individuals satisfying these record and otherwise prepare the criteria may make Privacy Act Re- Record for release. Review does not in- quests. clude time spent resolving general Reading Room Materials means legal or policy issues regarding the ap- Records, paper or electronic, that are plication of exemptions. required to be made available to the Search means the process of looking public under 5.U.S.C. 552(a)(2) as well as for material, by manual or electronic other Records that the NCPC, at its means that is responsive to a FOIA Re- discretion, makes available to the pub- quest. The term also includes page-by- lic for inspection and copying without page or line-by-line identification of requiring the filing of a FOIA Request. material within documents. Representative of the News Media Submitter means any person or entity means any person or entity that gath- outside the federal government from ers information of potential interest to whom the NCPC directly or indirectly a segment of the population, uses his/ obtains commercial or financial infor- her/its editorial skills to turn raw ma- mation. The term includes, among oth- terial into a distinct work, and distrib- ers, corporations, banks, state and utes that work to an audience. News local governments, and agencies of for- media entities include television or eign governments who provide informa- radio stations broadcasting to the pub- tion to the NCPC. lic at large; publishers of periodicals Unusual Circumstances means, for that qualify as disseminators of news purposes of § 602.7(c), and only to the and make their products available for extent reasonably necessary to the

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proper processing of a particular Re- (6) The Comprehensive Plan for the quest: National Capital: Federal Elements (1) The need to Search for and collect and other plans prepared by the NCPC; the Requested Agency Records from es- (7) Federal Capital Improvements tablishments that are separate from Plan for the National Capital Region the Commission’s offices; following release of the President’s (2) The need to Search for, collect Budget; and appropriately examine and Review (8) Policies adopted by the Commis- a voluminous amount of separate and sion; distinct Agency Records which are de- (9) Correspondence between the Com- manded in a single Request; or mission and the Congress, other federal (3) The need for consultation with an- and local government agencies, and the other Agency having a substantial in- public; and terest in the determination of the (10) Frequently Requested Docu- FOIA Request. ments. Workday means a regular Federal workday. It does not include Satur- § 602.5 FOIA Request requirements. days, Sundays, and legal public holi- (a) The NCPC shall designate a Chief days. Freedom of Information Act Officer who shall be authorized to grant or § 602.4 Information available without a deny any Request for a Record of the FOIA Request. NCPC. (a) The NCPC shall maintain an elec- (b) Requests for a Record or Records tronic library at www.ncpc.gov that that is/are not available in the actual makes Reading Room Materials capa- or electronic reading rooms shall be di- ble of production in electronic form rected to the Chief Freedom of Infor- available for public inspection and mation Act Officer. downloading. The NCPC shall also (c) All FOIA Requests shall be made maintain an actual public reading in writing. If sent by U.S. mail, Re- room containing Reading Room Mate- quests should be sent to NCPC’s official rials incapable of production in elec- business address contained on the tronic form at NCPC’s offices. The ac- NCPC Web site. If sent via email, they tual reading room shall be available for should be directed to [email protected]. use on Workdays during the hours of To expedite internal handling of FOIA 9:00 a.m. to 4:00 p.m. Requests for ap- Requests, the words Freedom of Infor- pointments to review Reading Room mation Act Request shall appear Materials in the actual public reading prominently on the transmittal enve- room should be directed to the NCPC’s lope or the subject line of a Request Information Resources Specialist iden- sent via email or facsimile. tified on the NCPC Web site (d) The FOIA Request shall: (www.ncpc.gov). (1) State that the Request is made (b) The following types of Records pursuant to the FOIA; shall be available routinely without re- (2) Describe the Agency Record(s) Re- sort to formal FOIA Request proce- quested in sufficient detail including, dures unless such Records fall within without limitation, any specific infor- one of the exemptions listed at 5 U.S.C. mation known such as date, title or 552(b) of the Act: name, author, recipient, or time frame (1) Commission agendas; for which you are seeking Records, to (2) Plans and supporting documenta- enable the NCPC personnel to locate tion submitted by applicants to the the Requested Agency Records; Commission to include environmental (3) State, pursuant to the fee sched- and historic preservation reports pre- ule set forth in § 602.14, a willingness to pared for a plan or project; pay all fees associated with the FOIA (3) Executive Director’s Rec- Request or the maximum fee the Re- ommendations; quester is willing to pay to obtain the (4) Commission Memoranda of Ac- Requested Records, unless the Re- tion; quester is seeking a Fee Waiver or (5) Transcripts of Commission pro- placement in a certain Requester Cat- ceedings; egory;

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(4) State, if desired, the preferred notice shall set forth the reasons for form or format of disclosure of Agency the extension and the date on which a Records with which the NCPC shall en- determination is expected to be dis- deavor to comply unless compliance patched. No such notice shall specify a would damage or destroy an original date that would result in an extension Agency Record or reproduction is cost- of more than 10 Working Days unless ly and/or requires the acquisition of the agency affords the Requester an op- new equipment; and portunity to modify his/her Request or (5) Provide a phone number, email arranges an alternative timeframe address or mailing address at which the with the Requester for completion of Requester can be reached to facilitate the NCPC’s processing. The agency the handling of the Request. shall also advise the Requester of his/ (e) If a FOIA Request is unclear, her right to seek assistance from the overly broad, involves an extremely vo- FOIA Public Liaison or OGIS to resolve luminous amount of Records or a bur- time limit disputes arising under this densome Search, or fails to state a paragraph. willingness to pay the requisite fees or (c) NCPC shall deny a Request based the maximum fee which the Requester on an exemption contained in the FOIA is willing to pay, the NCPC shall en- and withhold information from disclo- deavor to contact the Requester to de- sure pursuant to an exemption only if fine the subject matter, identify and NCPC reasonably foresees that disclo- clarify the Records being sought, nar- sure would harm an interest protected row the scope of the Request, and ob- by an exemption or if disclosure is pro- tain assurances regarding payment of hibited by law. If a Request is denied fees. The timeframe for a response set based on an exemption, NCPC’s re- forth in § 602.6(a) shall be tolled sponse shall comply with the require- (stopped temporarily) and the NCPC ments of paragraph (d) below. will not begin processing a Request (d) If a Request is denied in whole or until the NCPC obtains the informa- in part, the Chief FOIA Officer’s writ- tion necessary to clarify the Request ten determination shall include, if and/or clarifies issues pertaining to the technically feasible, the precise fee. (f) NCPC shall designate a FOIA Pub- amount of information withheld, and lic Liaison to assist a Requester in the exemption under which it is being making a Request or to assist a Re- withheld unless revealing the exemp- quester in correcting a Request that tion would harm an interested pro- does not reasonably describe the tected by the exemption. NCPC shall Records sought or to correct other defi- release any portion of a withheld ciencies described in paragraph (e) of Record that reasonably can be seg- this section that necessitate follow-up regated from the exempt portion of the with the Requester. Record.

§ 602.6 FOIA response requirements. § 602.7 Multi-track processing. (a) The Freedom of Information Act The NCPC may use multiple tracks Officer, upon receipt of a FOIA Request for processing FOIA Requests based on made in compliance with these rules, the complexity of Requests and those shall determine whether to grant or for which expedited processing is Re- deny the Request. The Freedom of In- quested. Complexity shall be deter- formation Officer shall notify the Re- mined based on the amount of work quester in writing within 20 Workdays and/or time needed to process a Re- of receipt of a perfected Request of his/ quest and/or the number of pages of re- her determination and the reasons sponsive Records. If the NCPC utilizes therefore and of the right to appeal any Multi-track Processing, it shall advise Adverse Determination to the head of a Requester when a Request is placed the NCPC. in a slower track of the limits associ- (b) In cases involving Unusual Cir- ated with a faster track and afford the cumstances, the agency may extend Requester the opportunity to limit the the 20 Workday time limit by written scope of its Request to qualify for fast- notice to the Requester. The written er processing.

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§ 602.8 Expedited processing. quester of the decision in writing. If a (a) The NCPC shall provide Expedited Request for Expedited Processing is Processing of a FOIA Request if the granted, the Request shall be given pri- person making the Request dem- ority and shall be processed in the ex- onstrates that the Request involves: pedited processing track as fast as (1) Circumstances in which the lack practicable. If a Request for Expedited of expedited treatment could reason- Processing is denied, any appeal of that ably be expected to pose an imminent decision shall be acted on expedi- threat to the life or physical safety of tiously. an individual; § 602.9 Consultations and referrals. (2) An urgency to inform the public about an actual or alleged federal gov- (a) If a Requester seeks a Record in ernment activity, if made by a person which another agency of the Federal primarily engaged in disseminating in- Government is better able to determine formation; whether the record is exempt from dis- (3) The loss of substantial due process closure under the FOIA, NCPC shall ei- rights; or ther respond to the FOIA Request after (4) A matter of widespread and excep- consultation with the Agency best able tional media interest in which there to determine if the Requested exists possible questions about the gov- Record(s) is/are subject to disclosure or ernment’s integrity which affect public refer the responsibility for responding confidence. to the FOIA Request to the Agency re- (b) A Request for Expedited Proc- sponsible for originating the Record(s). essing may be made at the time of the Generally, the Agency originating a initial FOIA Request or at a later time. Record will be presumed by the NCPC (c) A Requester seeking Expedited to be the Agency best qualified to Processing must submit a detailed render a decision regarding disclosure statement setting forth the basis for or exemption except for Agency the Expedited Processing Request. The Records submitted to the NCPC pursu- Requester must certify in the state- ant to its authority to review Agency ment that the need for Expedited Proc- plans and/or projects. essing is true and correct to the best of (b) Upon referral of Records to an- his/her knowledge. To qualify for Expe- other Agency, the NCPC shall notify dited Processing, a Requester relying the Requester in writing of the refer- upon the category in paragraph (a)(2) ral, inform the Requester of the name of this section must establish: of the Agency to which all or part of (1) He/She is a full time Representa- the responsive records have been re- tive of the News Media or primarily en- ferred, provide the Requester a descrip- gaged in the occupation of information tion of the part of the Request referred, dissemination, though it need not be and advise the Requester of a point of his/her sole occupation; contact within the receiving Agency. (2) A particular urgency to inform (c) The timeframe for a response to a the public about the information FOIA Request requiring consultation sought by the FOIA Request beyond or referral shall be based on the date the public’s right to know about the the FOIA Request was initially re- government activity generally; and ceived by the NCPC and not any later (3) The information is of the type date. that has value that will be lost if not disseminated quickly such as a break- § 602.10 Classified and Controlled Un- ing news story. Information of histor- classified Information. ical interest only or information (a) For Requests for an Agency sought for litigation or commercial ac- Record that has been classified or may tivities will not qualify nor would a be appropriate for classification by an- news media deadline unrelated to other Agency pursuant to an Executive breaking news. Order concerning the classification of (d) Within 10 calendar days of receipt Records, the NCPC shall refer the re- of a Request for expedited processing, sponsibility for responding to the FOIA the NCPC shall decide whether to grant Request to the Agency that either clas- or deny the Request and notify the Re- sified the Record, should consider

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classifying the Record, or has primary shall give the Submitter an oppor- interest in the Record, as appropriate. tunity to object to disclosure of any (b) Whenever a Request is made for a specified portion of that Confidential Record that is designated Controlled Commercial Information pursuant to Unclassified Information by another paragraph (e) of this section. The no- Agency, the NCPC shall refer the FOIA tice shall either describe the Confiden- Request to the Agency that designated tial Commercial Information Re- the Record as Controlled Unclassified quested or include copies of the Re- Information. Decisions to disclose or quested Records or portions thereof withhold information designated as containing the Confidential Commer- Controlled Unclassified Information cial Information. When notice to a shall be made based on the applica- large number of Submitters is required, bility of the statutory exemptions con- NCPC may provide notification by tained in the FOIA, not on a Controlled posting or publishing the notice in a Unclassified Information marking or place reasonably likely to accomplish designation. the intent of the notice requirement such as a newspaper, newsletter, the § 602.11 Confidential Commercial In- formation. NCPC Web site, or the FEDERAL REG- ISTER. (a) Confidential Commercial Informa- (e) The NCPC shall allow a Submitter tion obtained by the NCPC from a Sub- a reasonable time to respond to the no- mitter shall be disclosed under the tice described in paragraph (d) of this FOIA only in accordance with the re- section and shall specify within the no- quirements of this section. tice the time period for response. If a (b) A Submitter of Confidential Com- Submitter has any objection to disclo- mercial Information shall use good- faith efforts to designate, by appro- sure, it shall submit a detailed written priate markings, either at the time of statement. The statement must specify submission or at a reasonable time all grounds for withholding any portion thereafter, any portions of its submis- of the Confidential Commercial Infor- sion that it considers to be protected mation under any exemption of the from disclosure under Exemption 4 of FOIA and, in the case of Exemption 4, the FOIA. These designations will ex- it must show why the Confidential pire ten years after the date of the sub- Commercial Information is a trade se- mission unless the Submitter requests, cret or commercial or financial infor- and provides justification for, a longer mation that is privileged or confiden- designation period. tial. If the Submitter fails to respond (c) Notice shall be given to a Sub- to the notice within the specified time, mitter of a FOIA Request for potential the NCPC shall consider this failure to Confidential Commercial Information respond as no objection to disclosure of if: the Confidential Commercial Informa- (1) The requested information has tion on the part of the Submitter, and been designated in good faith by the NCPC shall proceed to release the re- Submitter as Confidential Commercial quested information. A statement pro- Information eligible for protection vided by the Submitter that is not re- from disclosure under Exemption 4 of ceived by NCPC until after the NCPC’s the FOIA; or disclosure decision has been made shall (2) The NCPC has reason to believe not be considered by the NCPC. Infor- the requested information is Confiden- mation provided by a Submitter under tial Commercial Information protected this paragraph may itself be subject to from disclosure under Exemption 4 of disclosure under the FOIA. the FOIA. (f) The NCPC shall consider a Sub- (d) Subject to the requirements of mitter’s objections and specific paragraphs (c) and (g) of this section, grounds for nondisclosure in deciding the NCPC shall provide a Submitter whether to disclose Confidential Com- with prompt written notice of a FOIA mercial Information. Whenever the Request or administrative appeal that NCPC decides to disclose Confidential seeks the Submitter’s Confidential Commercial Information over the ob- Commercial Information. The notice jection of a Submitter, the NCPC shall

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give the Submitter written notice, § 602.12 Appeals of Adverse Deter- which shall include: minations. (1) A statement of the reason(s) why (a) An appeal of an Adverse Deter- each of the Submitter’s disclosure ob- mination shall be made in writing to jections was not sustained; the Chairman of the Commission (2) A description of the Confidential (Chairman). An appeal may be sub- Commercial Information to be dis- mitted via U.S. mail or other type of closed; and manual delivery service or via email or (3) A specified disclosure date, which facsimile within 90 Workdays of the shall be a reasonable time subsequent date of a notice of an Adverse Deter- to the notice. mination. To facilitate handling of an (g) The notice requirements of para- appeal, the words Freedom of Informa- graphs (c) and (d) of this section shall tion Act Appeal shall appear promi- not apply if: nently on the transmittal envelope or (1) The NCPC determines that the the subject line of a Request sent via Confidential Commercial Information electronic-mail or facsimile. is exempt under FOIA; (b) An appeal of an Adverse Deter- (2) The Confidential Commercial In- mination shall include a detailed state- formation has been published lawfully ment of the legal, factual or other or has been officially made available to basis for the Requester’s objections to the public; an Adverse Determination; a daytime phone number or email address where (3) The Confidential Commercial In- the Requester can be reached if the formation’s disclosure is required by NCPC requires additional information statute (other than the FOIA) or by a or clarification regarding the appeal; regulation issued in accordance with copies of the initial Request and the the requirements of Executive Order NCPC’s written response; and for an 12600 (Predisclosure Notification Proce- Adverse Determination of a Request dures for Confidential Commercial In- for Expedited Processing or a Fee formation); or Waiver, a demonstration of compliance (4) The designation made by the Sub- with the requirements of §§ 602.8(a) and mitter under paragraph (b) of this sec- (c) or 602.15(a) through (c) respectively. tion appears obviously frivolous in (c) The Chairman shall respond to an which case the NCPC shall, within a appeal of an Adverse Determination in reasonable time prior to a specified dis- writing within 20 Workdays of receipt. closure date, give the Submitter writ- (1) If the Chairman grants the appeal, ten notice of any final decision to dis- the Chairman shall notify the Re- close the Confidential Commercial In- quester, and the NCPC shall make formation. available copies of the Requested (h) Whenever a Requester files a law- Records promptly thereafter upon re- suit seeking to compel the disclosure ceipt of the appropriate fee determined of Confidential Commercial Informa- in accordance with § 602.13. tion, the NCPC shall promptly notify (2) If the Chairman denies the appeal the Submitter. in whole or in part, the letter to the (i) Whenever the NCPC provides a Requester shall state Submitter with notice and an oppor- (i) The reason(s) for the denial, in- tunity to object to disclosure under cluding the FOIA exemptions(s) ap- paragraph (d) of this section, the NCPC plied; shall also notify the Requester. When- (ii) A statement that the decision is ever the NCPC notifies a Submitter of final; its intent to disclose Requested Infor- (iii) A notice of the Requester’s right mation under paragraph (f) of this sec- to seek judicial review of the denial in tion, the NCPC shall also notify the the District Court of the United States Requester. Whenever a Submitter files in either the locale in which the Re- a lawsuit seeking to prevent the disclo- quester resides, the locale in which the sure of Confidential Commercial Infor- Requester has his/her principal place of mation, the NCPC shall notify the Re- business, or in the District of Colum- quester. bia; and

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(iv) A notice that the Requester may Staff Assistant (assigned at the GS 9–11 seek dispute resolution services from grades); Professional Personnel (as- either the NCPC FOIA Public Liaison signed at the GS 11–13 grades); and or the Office of Government Informa- Managerial Staff (assigned at the 14–15 tion Services (OGIS) to resolve dis- grades). For a Staff Assistant the quar- putes between a Requester and the ter hour fee to Search for and retrieve NCPC as a non-exclusive alternative to a Requested Record shall be $9.00. If a litigation. Contact information for Search and retrieval cannot be per- OGIS can be obtained from the OGIS formed entirely by a Staff Assistant, Web site at [email protected]. and the identification of Records with- (d) The NCPC shall not act on an ap- in the scope of a Request requires the peal of an Adverse Determination if the use of Professional Personnel, the fee underlying FOIA Request becomes the shall be $12.00 for each quarter hour of subject of FOIA litigation. Search time spent by Professional Per- (e) A party seeking court review of sonnel. If the time of Managerial Per- an Adverse Determination must first sonnel is required, the fee shall be appeal the decision under this section $18.00 for each quarter hour of Search to NCPC. time spent by Managerial Personnel. (3) For a computer Search of Records, § 602.13 Fees. Requesters shall be charged the Direct (a) NCPC shall charge fees for proc- Costs of creating a computer program, essing FOIA requests in accordance if necessary, and/or conducting the with the provisions of this section and Search. Direct Costs for a computer OMB Guidelines. Search shall include the cost that is di- (b) For purposes of assessing fees, rectly attributable to the Search for NCPC shall categorize Requesters into responsive Records and the costs of the three categories: Commercial Use Re- operator’s salary for the time attrib- questers; Noncommercial Scientific In- utable to the Search. stitutions, Educational Institutions, (d) Duplication fees shall be charged and News Media Requesters; and all to all Requesters, subject to the limita- other Requesters. Different fees shall tions of paragraph (f)(5) of this section. be charged depending upon the cat- For a paper photocopy of a Record (no egory into which a Requester falls. If more than one copy of which shall be fees apply, a Requesters may seek a fee supplied), the fee shall be 10 cents per waiver in accordance with the require- page for single or double sided copies, ments of § 602.15. 90 cents per page for 81⁄2 by 11 inch (c) Search Fees shall be charged as color copies, and $1.50 per page for follows: color copies up to 11 x 17 inches per (1) NCPC shall not charge Search fees page. For copies produced by computer, to Requests made by Educational Insti- and placed on an electronic data saving tutions, Noncommercial Scientific In- device or provided as a printout, the stitutions, or Representatives of the NCPC shall charge the Direct Costs, in- New Media. NCPC shall charge Search cluding operator time, of producing the fees to all other Requesters subject to copy. For other forms of Duplication, the restrictions of paragraph (f)(5) of the NCPC shall charge the Direct Costs this section even if NCPC fails to lo- of that Duplication. cate any responsive Records or if the (e) Review fees shall be charged to NCPC withholds Records located based only those Requesters who make a on a FOIA exemption. Commercial Use Request. Review fees (2) For each quarter hour spent by will be charged only for the NCPC ini- personnel searching for Requested tial Review of a Record to determine Records, including electronic searches whether an exemption applies to a par- that do not require new programming, ticular Record or portion thereof. No the Search fees shall be calculated charge will be made for Review at the based on the average hourly General administrative appeal level for an ex- Schedule (GS) base salary, plus the emption already applied. However, District of Columbia locality payment, Records or portions thereof withheld plus 16 percent for benefits of employ- under an exemption that is subse- ees in the following three categories: quently determined not applicable

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upon appeal may be reviewed again to and the first 100 pages of Duplication determine whether any other exemp- (or the cost equivalent); tion not previously considered applies. (7) Except for Requesters of a Com- If the NCPC determines a different ex- mercial Use Request, no fee shall be emption applies, the costs of that Re- charged for a Request if the total fee view are chargeable. Review fees will calculated under this section equals be charged at the same rates as those $50.00 or less. charged for a Search under paragraph (8) Requesters other than those mak- (c)(2) of this section. ing a Commercial Use Request shall (f) The following limitations on fees not be charged a fee unless the total shall apply: cost of a Search in excess of two hours (1) If NCPC fails to comply with the plus the cost of Duplication in excess time limits in which to respond to a re- of 100 pages totals more than $50.00. quest, NCPC shall not charge Search (g) If the NCPC determines or esti- fees or, in the case of Educational In- mates fees in excess of $50.00, the NCPC stitutions, Noncommercial Scientific shall notify the Requester of the actual Institutions, or Representatives of the or estimated amount of total fees, un- News Media, duplication fees, except as less in its initial Request the Re- described in paragraphs (f)(2)–(4) of this quester has indicated a willingness to section. pay fees as high as those determined or (2) If NCPC has determined that un- estimated. If only a portion of the fee usual circumstances as defined by the can be estimated, the NCPC shall ad- FOIA apply, and the agency provided vise the Requester that the estimated timely written notice to the Requester fee constitutes only a portion of the in accordance with the FOIA, a failure total fee. If the NCPC notifies a Re- to comply with the time limit shall be quester that actual or estimated fees excused for an additional 10 days. amount to more than $50.00, the Re- (3) If NCPC determines that Unusual quest shall not be considered received Circumstances exist, and more than for purposes of calculating the time- 5000 pages of responsive records are frame for a Response, and no further necessary to respond to the Request, work shall be undertaken on the Re- NCPC may charge Search fees. NCPC quest until the Requester agrees to pay may also charge duplication fees in the the anticipated total fee. Any such case of Educational Institutions, Non- agreement shall be memorialized in commercial Scientific Institutions, or writing. A notice under this paragraph Representatives of the News Media. shall offer the Requester an oppor- The provisions of this paragraph shall tunity to work with the NCPC to refor- only apply if NCPC provides timely mulate the Request to meet the Re- written notice of the Unusual Cir- quester’s needs at a lower cost. cumstances to the Requester and dis- (h) Apart from other provisions of cusses with the Requester via mail, e- this section, if the Requester asks for, mail or phone (or made at least three or the NCPC chooses as a matter of ad- good faith efforts to do so) how to ef- ministrative discretion to provide a fectively limit the scope of the Re- special service—such as certifying that quest. Records are true copies or sending (4) If a court has determined that ex- them by other than ordinary mail, the ceptional circumstances exist, as de- actual costs of special service shall be fined by the FOIA, a failure to comply charged. with the time limits shall be excused (i) The NCPC shall charge interest on for the length of time provided by the any unpaid fee starting on the 31st day court order. following the date of billing the Re- (5) No Search or Review fees shall be quester. Interest charges will be as- charged for a quarter-hour period un- sessed at the rate provided in 31 U.S.C. less more than half of that period is re- 3717 (Interest and Penalty on Claims) quired for Search or Review. and will accrue from the date of the (6) Except for Requesters of a Com- billing until payment is received by mercial Use Request, the NCPC shall the NCPC. The NCPC shall follow the provide without charge the first two provisions of the Debt Collection Act of hours of Search (or the cost equivalent) 1982 (Pub. L. 97–365, 96 Stat. 1749), as

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amended, and its administrative proce- (l) Where Records responsive to Re- dures, including the use of consumer quests are maintained for distribution reporting agencies, collection agencies, by Agencies operating statutorily and offset. based fee schedule programs, the NCPC (j) Where the NCPC reasonably be- shall inform Requesters of the steps for lieves that one or more Requesters are obtaining Records from those sources acting in concert to subdivide a Re- so that they may do so most economi- quest into a series of Requests to avoid cally. fees, the NCPC may aggregate the Re- (m) All fees shall be paid by personal quests and charge accordingly. The check, money order or bank draft NCPC shall presume that multiple Re- drawn on a bank of the United States, quests of this type made within a 30- made payable to the order of the Treas- day period have been made to avoid urer of the United States. fees. Where Requests are separated by a time period in excess of 30 days, the § 602.14 Fee waiver requirements. NCPC shall aggregate the multiple Re- (a) Records responsive to a Request quests if a solid basis exists for deter- shall be furnished without charge or at mining aggregation is warranted under a reduced charge below that estab- all circumstances involved. lished under § 602.13. If the Requester (k) Advance payments shall be treat- demonstrates to the NCPC, and the ed as follows: NCPC determines, based on all avail- (1) For Requests other than those de- able information, that Disclosure of scribed in paragraphs (k)(2) and (3) of the Requested information is in the this section, the NCPC shall not re- public interest because it is likely to quire an advance payment. An advance contribute significantly to public un- payment refers to a payment made be- derstanding of the operations or activi- fore work on a Request is begun or con- ties of the government, and disclosure tinued after being stopped for any rea- of the information is not primarily in son but does not extend to payment the commercial interest of the Re- owed for work already completed but quester. not sent to a Requester. (b) To determine if disclosure of the (2) If the NCPC determines or esti- Requested information is in the public mates a total fee under this section of interest because it is likely to con- more than $250.00, it shall require an tribute significantly to public under- advance payment of all or part of the standing of the operations or activities anticipated fee before beginning to of the government, the Requester shall process a Request, unless the Re- demonstrate, and NCPC shall consider, quester provides satisfactory assurance the following factors: of full payment or has a history of (1) Whether the subject of the Re- prompt payment. quested Records concerns the oper- (3) If a Requester previously failed to ations or activities of the government. pay a properly charged FOIA fee to the The subject of the Requested Records NCPC within 30 days of the date of bill- must concern identifiable operations or ing, the NCPC shall require the Re- activities of the federal government, quester to pay the full amount due, with a connection that is direct and plus any applicable interest, and to clear, not remote or attenuated. make an advance payment of the full (2) Whether the disclosure is likely to amount of any anticipated fee, before contribute to an understanding of gov- the NCPC begins to process a new Re- ernment operations or activities. The quest or continues processing a pend- portions of the Requested Records eli- ing Request from that Requester. gible for disclosure must be meaning- (4) If the NCPC requires advance pay- fully informative about government ment or payment due under paragraphs operations or activities. The disclosure (k)(2) or (3) of this section, the Request of information that already is in the shall not be considered received and no public domain, in either a duplicative further work will be undertaken on the or a substantially identical form, is not Request until the required payment is likely to contribute to an under- received. standing of government operations and

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activities because this information is tion is satisfied and that public inter- already known. est is greater in magnitude than that (3) Whether disclosure of the Re- of any identified commercial interest quested information will contribute to in disclosure. The NCPC ordinarily public understanding. The disclosure shall presume that a Representative of must contribute to the understanding the News Media satisfies the public in- of a reasonably broad audience of per- terest standard, and the public interest sons interested in the subject, as op- will be the interest primarily served by posed to the individual understanding disclosure to that Requester. Disclo- of the Requester. A Requester’s exper- sure to data brokers or others who tise in the subject area and ability and merely compile and market govern- intention to effectively convey infor- ment information for direct economic mation to the public shall be consid- return shall not be presumed to pri- ered. It shall be presumed that a Rep- marily serve the public interest. resentative of the News Media satisfies (d) Where only some of the Records this consideration. to be released satisfy the requirements (4) Whether the disclosure is likely to for a Fee Waiver, a Fee Waiver shall be contribute significantly to public un- granted for those Records. derstanding of government operations (e) Requests for a Fee Waiver should or activities. The public’s under- address the factors listed in paragraphs standing of the subject in question (a) through (c) of this section, insofar must be enhanced by the disclosure to as they apply to each Request. The a significant extent, as compared to NCPC shall exercise its discretion to the level of public understanding exist- consider the cost-effectiveness of its ing prior to the disclosure. The NCPC investment of administrative resources shall not make value judgments about in this decision-making process in de- whether information that would con- ciding to grant Fee Waivers. tribute significantly to public understanding of the operations or activities [82 FR 44037, Sept. 20, 2017; 82 FR 44879, Oct. 19, 2017] of the government is important enough to be made public. § 602.15 Preservation of FOIA records. (c) To determine whether disclosure of the information is not primarily in (a) The NCPC shall preserve all cor- the commercial interest of the Re- respondence pertaining to FOIA Re- quester, the Requester shall dem- quests received and copies or Records onstrate, and NCPC shall consider, the provided until disposition or destruc- following factors: tion is authorized by the NCPC’s Gen- (1) Whether the Requester has a com- eral Records schedule established in mercial interest that would be accordance with the National Archives furthered by the Requested disclosure. and Records Administration (NARA) The NCPC shall consider any commer- approved schedule. cial interest of the Requester (with ref- (b) Materials that are responsive to a erence to the definition of Commercial FOIA Request shall not be disposed of Use Request in § 602.3(f)), or of any per- or destroyed while the Request or a re- son on whose behalf the Requester may lated lawsuit is pending even if the be acting, that would be furthered by Records would otherwise be authorized the Requested disclosure. Requesters for disposition under the NCPC’s Gen- shall be given an opportunity in the ad- eral Records Schedule or NARA or ministrative process to provide explan- other NARA-approved records sched- atory information regarding this con- ule. sideration. (2) Whether any identified commer- PART 603—PRIVACY ACT cial interest of the Requester is suffi- REGULATIONS ciently large in comparison with the public interest in disclosure that dis- Sec. closure is primarily in the commercial 603.1 Purpose and scope. interest of the Requester. A Fee Waiver 603.2 Definitions. is justified where the public interest 603.3 Privacy Act program responsibilities. standard of paragraph (b) of this sec- 603.4 Standard used to Maintain Records.

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603.5 Notice to Individuals supplying infor- procuring information technology that mation. collects, maintains, or disseminates in- 603.6 System of Records Notice or SORN. formation in an identifiable form, ini- 603.7 Procedures to safeguard Records. 603.8 Employee conduct. tiating a new electronic collection of 603.9 Government contracts. information in identifiable form for 10 603.10 Conditions of disclosure. or more persons excluding agencies, in- 603.11 Accounting for disclosures. strumentalities or employees of the 603.12 Requests for notification of the exist- federal government, or changing an ex- ence of Records. isting System that creates new privacy 603.13 Requests for access to Records. 603.14 Requests for Amendment or Correc- risks. tion of Records. (d) In addition to the rules in this 603.15 Requests for Accounting of Record part, the NCPC shall process all Pri- disclosures. vacy Act Requests for Access to 603.16 Appeals of Adverse Determinations. Records in accordance with the Free- 603.17 Fees. dom of Information Act (FOIA), 5 603.18 Privacy Impact Assessments. U.S.C. 552, and part 602 of this chapter. AUTHORITY: 5 U.S.C. 552a as amended and 44 U.S.C. ch. 36. § 603.2 Definitions. SOURCE: 82 FR 44046, Sept. 20, 2017, unless For purposes of this part, the fol- otherwise noted. lowing definitions shall apply: § 603.1 Purpose and scope. Adverse Determination shall mean a decision to withhold any requested (a) This part contain the rules the National Capital Planning Commission Record in whole or in part; a decision (NCPC) shall follow to implement a that the requested Record does not privacy program as required by the exist or cannot be located; a decision Privacy Act of 1974, 5 U.S.C. 552a (Pri- that the requested information is not a vacy Act or Act) and the privacy provi- Record subject to the Privacy Act; a sions of the E-Government Act of 2002 decision that a Record, or part thereof, (44 U.S.C. ch. 36) (E-Government Act). does not require amendment or correc- These rules should be read together tion; a decision to refuse to disclose an with the Privacy Act and the privacy accounting of disclosure; and a decision related provisions of the E-Government to deny a fee waiver. The term shall Act, which provide additional informa- also encompass a challenge to NCPC’s tion respectively about Records main- determination that Records have not tained on individuals and protections been described adequately, that there for the privacy of personal information are no responsive Records or that an as agencies implement citizen-centered adequate search has been conducted. electronic Government. E-Government Act of 2002 shall mean (b) Consistent with the requirements Public Law 107–347, Dec. 17, 2002, 116 of the Privacy Act, the rules in this Stat. 2899, the privacy portions of part apply to all Records maintained which are set out as a note under sec- by NCPC in a System of Records; the tion 3501 of title 44. responsibilities of theNCPC to safe- Individual shall mean a citizen of the guard this information; the procedures United States or an alien lawfully ad- by which Individuals may request noti- mitted for permanent residence. fication of the existence of a record, re- Information in Identifiable Form (IIF) quest access to Records about them- shall mean information in an Informa- selves, request an amendment to or tion Technology system or an online correction of those Records, and re- collection that directly identifies an quest an accounting of disclosures of individual, e.g., name, address, social those Records by the NCPC; and the security number or other identifying procedures by which an Individual may number or code, telephone number, appeal an Adverse Determination. email address and the like; or informa- (c) Consistent with the privacy re- tion by which the NCPC intends to lated requirements of the E-Govern- identify specific individuals in conjunc- ment Act, the rules in this part also tion with other data elements, e.g., in- address the conduct of a privacy im- direct identification that may include pact assessment prior to developing or a combination of gender, race, birth

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date, geographic identifiers, and other Request for Amendment or Correction of descriptions. a Record shall mean a request made by Information Technology (IT) shall an Individual to the NCPC pursuant to mean, as defined in the Clinger Cohen subsection (d)(2) of the Privacy Act to Act (40 U.S.C. 11101(6)), any equipment, amend or correct a Record pertaining software or interconnected system or to him/her. subsystem that is used in the auto- Routine Use shall mean with respect matic acquisition, storage, manipula- to disclosure of a Record, the use of tion, management, movement, control, such Record for a purpose which is display, switching, interchange, trans- compatible with the purpose for which mission or reception of data. the Record is collected. Maintain shall include maintain, col- Senior Agency Official for Privacy lect, use or disseminate a Record. (SAOP) shall mean the individual with- Privacy Act Officer shall mean the in- in NCPC responsible for establishing dividual within the NCPC charged with and overseeing the NCPC’s Privacy Act responsibility for coordinating and im- program. plementing NCPC’s Privacy Act pro- System of Records or System (SOR or gram. Systems) shall mean a group of any Privacy Act or Act shall mean the Pri- Records under the control of the NCPC vacy Act of 1974, as amended and codi- from which information is retrieved by fied at 5 U.S.C. 552a. the name of the individual or by some Privacy Impact Assessment (PIA) shall identifying number, symbol, or other mean an analysis of how information is identifying particular assigned to the handled to ensure handling conforms to individual. applicable legal, regulatory, and policy System of Record Notice (SORN) shall requirements regarding privacy; to de- mean a notice published in the FED- termine the risks and effects of col- ERAL REGISTER by the NCPC for each lecting, maintaining and disseminating new or revised System of Records in- information in identifiable form in an tended to solicit public comment on electronic system; and to examine and the System prior to implementation. evaluate protections and alternative Workday shall mean a regular Fed- processes for handling information to eral workday excluding Saturday, Sun- mitigate potential privacy risks. day and legal Federal holidays when shall mean any item, collec- Record the federal government is closed. tion, or grouping of information about an Individual that is Maintained by the § 603.3 Privacy Act program respon- NCPC, including, but not limited to, an sibilities. Individual’s education, financial transactions, medical history, and criminal (a) The NCPC shall designate a Sen- or employment history and that con- ior Agency Official for Privacy (SAOP) tains a name, or identifying number, to establish and oversee the NCPC’s symbol, or other identifying particular Privacy Act Program and ensure com- assigned to the Individual, such as a pliance with privacy laws, regulations finger or voice print or photograph. and the NCPC’s privacy policies. Spe- Requester shall mean an Individual cific responsibilities of the SAOP shall who makes a Request for Access to a include: Record, a Request for Amendment or (1) Reporting to the Office of Man- Correction of a Record, or a Request agement and Budget (OMB) and Con- for Accounting of a Record under the gress on the establishment of or revi- Privacy Act. sion to Privacy Act Systems; Request for Access to a Record shall (2) Reporting periodically to OMB on mean a request by an Individual made Privacy Act activities as required by to the NCPC pursuant to subsection law and OMB; (d)(1) of the Privacy Act to gain access (3) Signing Privacy Act SORNS for to his/her Records or to any informa- publication in the FEDERAL REGISTER; tion pertaining to him/her in the sys- (4) Approving and signing PIAs; and tem and to permit him/her, or a person (5) Serving as head of the agency re- of his/her choosing, to review and copy sponse team when responding to a all or any portion thereof. large-scale information breach.

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

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(3) The NCPC System Developers and (3) Whether there is a risk of col- Designers shall be responsible for en- lecting inaccurate information from a suring that the IT system design and third party that could result in a deter- specifications conform to privacy mination adverse to the Individual con- standards and requirements and that cerned; technical controls are in place for safe- (4) Whether the information collected guarding personal information from from an Individual requires unauthorized access. verification by a third party; and (4) The NCPC CCB shall, among other (5) Whether the Individual can verify responsibilities, verify that a PIA has information collected from third par- been prepared prior to approving a re- ties. quest to develop or procure informa- (d) The NCPC shall not Maintain tion technology that collects, main- Records describing how an Individual tains, or disseminates Information in exercises rights guaranteed by the Identifiable Form. First Amendment to the Constitution (5) The NCPC employees shall ensure unless the maintenance of the Record that any personal information they use is expressly authorized by statute or by in the conduct of their official respon- the Individual about whom the Record sibilities is protected in accordance is Maintained or pertinent to and with- with the rules set forth in this part. in the scope of an authorized law en- (6) The Chairman of the Commission forcement activity. shall be responsible for acting on all appeals of Adverse Determinations. § 603.5 Notice to Individuals supplying [82 FR 44046, Sept. 20, 2017; 82 FR 44879, Sept. information. 27, 2017] (a) Each Individual asked to supply information about himself/herself to be § 603.4 Standards used to Maintain added to a System of Records shall be Records. informed by the NCPC of the basis for (a) Records Maintained by the NCPC requesting the information, its poten- shall contain only such information tial use, and the consequences, if any, about an Individual as is relevant and of not supplying the information. No- necessary to accomplish a purpose tice to the Individual shall state at a NCPC must accomplish to comply with minimum: relevant statutes or Executive Orders (1) The legal authority for NCPC’s so- of the President. licitation of the information and (b) Records Maintained by the NCPC whether disclosure is mandatory or and used to make a determination voluntary; about an Individual shall be accurate, (2) The principal purpose(s) for which relevant, timely, and complete to as- the NCPC intends to use the informa- sure a fair determination. tion; (c) Information used by the NCPC in making a determination about an Indi- (3) The potential routine uses of the vidual’s rights, benefits, and privileges information by the NCPC as published under federal programs shall be col- in a Systems of Records Notice; and lected, to the greatest extent prac- (4) The effects upon the individual, if ticable, directly from the Individual. In any, of not providing all or any part of deciding whether collection of informa- the requested Information to the tion about an Individual, as opposed to NCPC. a third party is practicable, the NCPC (b) When NCPC collects information shall consider the following: on a standard form, the notice to the (1) Whether the information sought Individual shall either be provided on can only be obtained from a third the form, on a tear off sheet attached party; to the form, or on a separate form, (2) Whether the cost to collect the in- whichever is deemed the most practical formation from an Individual is unrea- by the NCPC. sonable compared to the cost of col- (c) NCPC may ask an Individual to lecting the information from a third acknowledge, in writing, receipt of the party; notice required by this section.

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§ 603.6 System of Records Notice or the sensitivity of the information con- SORN. tained in the Records. The following (a) The NCPC shall publish a notice minimum safeguards or safeguards af- in the FEDERAL REGISTER describing fording comparable protection shall each System of Records 40-days prior apply to manual Systems of Records: to the establishment of a new or revi- (1) The NCPC shall post areas where sion to an existing System of Records. Records are maintained or regularly (b) The SORN shall include: used with an appropriate warning sign (1) The name and location of the Sys- stating access to the Records shall be tem of Records. The name shall iden- limited to authorized persons. The tify the general purpose, and the loca- warning shall also advise that the Pri- tion shall include whether the system vacy Act prescribes criminal penalties is located on the NCPC’s main server for unauthorized disclosure of Records or central files. The physical address of subject to the Act. either shall also be included. (2) During work hours, the NCPC (2) The categories or types of Individ- shall protect areas in which Records uals on whom NCPC Maintains Records are Maintained or regularly used by re- in the System of Records; stricting occupancy of the area to au- (3) The categories or types of Records thorized persons or storing the Records in the System; in a locked container and room. (4) The statutory or Executive Order (3) During non-working hours, access authority for Maintenance of the Sys- to Records shall be restricted by their tem; storage in a locked storage container (5) The purpose(s) or explanation of and room. why the NCPC collects the particular (4) Any lock used to secure a room Records including identification of all where Records are stored shall not be internal and routine uses; capable of being disengaged with a (6) The policies and practices of the master key that opens rooms other NCPC regarding storage, retrieval, ac- than those in which Records are stored. cess controls, retention and disposal of (c) Computerized Records subject to Records; the Privacy Act shall be maintained, at (7) The title and business address of a minimum, subject to the safeguards the agency official responsible for the recommended by the National Institute identified System of Records; of Standards and Technology (NIST) (8) The NCPC procedures for notifica- Special Publications 800–53, Rec- tion to an Individual who requests if a ommended Security Controls for Fed- System of Records contains a Record eral Information Systems and Organi- about the Individual; and zations as revised from time to time or (9) The NCPC sources of Records in any superseding guidance offered by the System. NIST or other federal agency charged with the responsibility for providing § 603.7 Procedures to safeguard recommended safeguards for computer- Records. ized Records subject to the Privacy (a) The NCPC shall implement the Act. procedures set forth in this section to (d) NCPC shall maintain a System of insure sufficient administrative, tech- Records comprised of Office of Per- nical and physical safeguards exist to sonnel Management (OPM) personnel protect the security and confiden- Records in accordance with standards tiality of Records. The enumerated prescribed by OPM and published at 5 procedures shall also protect against CFR 293.106–293.107. any anticipated threats or hazards to the security of Records with the poten- § 603.8 Employee conduct. tial to cause substantial harm, embar- (a) Employees with duties requiring rassment, inconvenience, or unfairness access to and handling of Records to any Individual on whom information shall, at all times, take care to protect is Maintained. the integrity, security, and confiden- (b) Manual Records subject to the tiality of the Records. Privacy Act shall be maintained by the (b) No employee of the NCPC shall NCPC in a manner commensurate with disclose Records unless disclosure is

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permitted by § 603.10(b), by part 602 of a form that precludes Individual iden- this chapter, or disclosed to the Indi- tification; vidual to whom the Record pertains. (6) To the NARA because the Record (c) No employee of the NCPC shall warrants permanent retention because alter or destroy a Record unless such of historical or other national value as Record or destruction is undertaken in determined by NARA or to permit the course of the employee’s regular NARA to determine whether the duties or such alteration or destruction Record has such value; is allowed pursuant to regulations pub- (7) To a law enforcement agency for a lished by the National Archives and civil or criminal law enforcement ac- Records Administration (NARA) or re- tivity, provided that the law enforce- quired by a court of competent juris- ment agency must submit a written re- diction. Records shall not be destroyed quest to the NCPC specifying the or disposed of while they are the sub- Record(s) sought and the purpose for ject of a pending request, appeal or which they will be used; lawsuit under the Privacy Act. (8) To any person upon demonstration of compelling information that an § 603.9 Government contracts. Individual’s health or safety is at stake (a) When a contract provides for and provided that upon disclosure, no- third party operation of a SOR on be- tification is given to the Individual to half of the NCPC to accomplish a NCPC whom the Record pertains at that Indi- function, the contract shall require vidual’s last known address; that the requirements of the Privacy (9) To either House of Congress, and Act and the rules in this part be ap- any committee or subcommittee there- plied to such System. of, to include joint committees of both (b) The Division Director responsible houses and any subcommittees thereof, for the contract shall designate a when a Record falls within their juris- NCPC employee to oversee and manage diction; the SOR operated by the contractor. (10) To the Comptroller General, or any of his authorized representatives, § 603.10 Conditions for disclosure. to allow the Government Account- (a) Except as set forth in paragraph ability Office to perform its duties; (b) of this section, no Record contained (11) Pursuant to a court order by a in a SOR shall be disclosed by any court of competent jurisdiction; and means of communication to any per- (12) To a consumer reporting agency son, or to another agency, unless prior trying to collect a claim of the govern- written consent is obtained from the ment as authorized by 31 U.S.C. 3711(e). Individual to whom the Record pertains. § 603.11 Accounting of disclosures. (b) The limitations on disclosure con- (a) Except for disclosures made under tained in paragraph (a) of this section §§ 603.10(b)(1)–(2), when a Record is dis- shall not apply when disclosure of a closed to any person, or to another Record is: agency, NCPC shall prepare an ac- (1) To employees of the NCPC for use counting of the disclosure. The ac- in the performance of their duties; counting shall Record the date, nature, (2) Required by the Freedom of Infor- and purpose of the disclosure and the mation Act (FOIA), 5 U.S.C. 555; name and address of the person or (3) For a Routine Use as described in agency to whom the disclosure was a SORN; made. The NCPC shall maintain all ac- (4) To the Bureau of Census for sta- countings for a minimum of five years tistical purposes, provided that the or the life of the Record, whichever is Record must be transferred in a form greatest, after the disclosure is made. that precludes individual identifica- (b) Except for disclosures under tion; § 603.10(b)(7), accountings of all disclo- (5) To an Individual who provides sures shall be made available to the In- NCPC adequate written assurance that dividual about whom the disclosed the Record shall be used solely for sta- Records pertains at his/her request. tistical or research purposes, provided Such request shall be made in accord- that the Record must be transferred in ance with the requirements of § 603.15.

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(c) For any disclosure for which an quest in accordance with the require- accounting is made, if a subsequent ments set forth in § 603.16. amendment or correction or notation of dispute is made to a Record by the § 603.13 Requests for access to NCPC in accordance with the require- Records. ments of § 603.14, the Individual and/or (a) An Individual seeking access to agency to whom the Record was origi- Records about himself/herself shall do nally disclosed shall be informed. so by appearing in person at NCPC’s official place of business or by written § 603.12 Requests for notification of correspondence to the NCPC Privacy the existence of Records. Act Officer. In-person requests shall be (a) An Individual seeking to deter- by appointment only with the Privacy mine whether a System of Records con- Act Officer on a Workday during reg- tains Records pertaining to him/her ular office hours. For written requests shall do so by appearing in person at sent via the U.S. mail, the Request NCPC’s official place of business or by shall be directed to the Privacy Act Of- written correspondence to the NCPC ficer at NCPC’s official address listed PAO. In-person requests shall be by ap- at www.ncpc.gov. If sent via email or pointment only with the PAO on a facsimile, the request shall be directed Workday during regular office hours. to the email address or facsimile num- Written requests sent via the U.S. mail ber indicated on the NCPC Web site. To shall be directed to the Privacy Act Of- expedite internal handling of Privacy Act Requests, the words Privacy Act ficer at NCPC’s official address listed Request shall appear prominently on at www.ncpc.gov. If sent via email or the envelop or the subject line of an facsimile, the request shall be directed email or facsimile cover sheet. to the email address or facsimile num- (b) The Request shall: ber indicated on the NCPC Web site. To (1) State the Request is made pursu- expedite internal handling of Privacy ant to the Privacy Act; Act Requests, the words Privacy Act (2) Describe the requested Records in Request shall appear prominently on sufficient detail to enable their loca- the envelop or the subject line of an tion including, without limitation, the email or facsimile cover sheet. dates the Records were compiled and (b) The Request shall state that the the name or identifying number of each Individual is seeking information con- System of Record in which they are cerning the existence of Records about kept as identified in the list of NCPC’s himself/herself and shall supply infor- SORNs published on its Web site; and mation describing the System where (3) State pursuant to the fee schedule such Records might be maintained as in set forth in § 603.17 a willingness to set forth in a System of Record Notice. pay all fees associated with the Pri- (c) The NCPC PAO shall notify the vacy Act Request or the maximum fee Requester in writing within 20 Work- the Requester is willing to pay. days of the Request whether a System (c) The NCPC shall require identifica- contains Records pertaining to him/her tion as follows before releasing Records unless the Records were compiled in to an Individual: reasonable anticipation of a civil ac- (1) An Individual Requesting Privacy tion or proceeding or the Records are Act Records in person shall present a NCPC employee Records under the ju- valid, photographic form of identifica- risdiction of the OPM. In both of the tion such as a driver’s license, em- later cases the Request shall be denied. ployee identification card, or passport If the Request is denied because the that renders it possible for the PAO to Record(s) is/are under the jurisdiction verify that the Individual is the same of the OPM, the response shall advise Individual as contained in the re- the Requester to contact OPM. If the quested Records. PAO denies the Request, the response (2) An Individual Requesting Privacy shall state the reason for the denial Act Records by mail shall state their and advise the Requester of the right full name, address and date of birth in to appeal the decision within 60 days of their correspondence. The Request the date of the letter denying the re- must be signed and the signature must

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either be notarized or submitted with a (5) State specifically, and in detail, statement signed and dated as follows: the changes sought to the Record, and I declare under penalty of perjury that if the changes include rewriting the the foregoing facts establishing my Record, or portions thereof, or adding identification are true and correct. new language, the Individual shall pro- (d) The PAO shall determine within pose specific language to implement 20 Workdays whether to grant or deny the requested changes. an Individual’s Request for Access to (c) A request to Amend or Correct a the requested Record(s) and notify the Record shall be submitted only if the Individual in writing accordingly. The Requester has previously requested and PAO’s response shall state his/her de- been granted access to the Record and termination and the reasons therefor. has inspected or been given a copy of If the Request is denied because the the Record. Record(s) is/are under the jurisdiction (d) The PAO shall render a decision of the OPM, the response shall advise the Requester to contact OPM. In the within 20 Workdays. If the Request for case of an Adverse Determination, the an Amendment or Correction fails to written notification shall advise the meet the requirements of paragraphs Individual of his/her right to appeal the (b)(1)–(5) of this section, the PAO shall Adverse Determination in accordance advise the Individual of the deficiency with the requirements of § 603.16. and advise what additional information is required to act upon the Request. § 603.14 Requests for Amendment or The timeframe for a decision on the Correction of Records. Request shall be tolled (stopped) during (a) An Individual seeking to amend the pendency of a request for addi- or correct a Record pertaining to him/ tional information and shall resume her that he/she believes to be inac- when the additional information is re- curate, irrelevant, untimely or incom- ceived. If the Requester fails to submit plete shall submit a written request to the requested additional information the PAO at the address listed on within a reasonable time, the PAO NCPC’s official Web site www.ncpc.gov. shall reject the Request. If sent via email or facsimile, the Re- (e) The PAO’s decision on a Request quest shall be directed to the email ad- for Amendment or Correction shall be dress or facsimile number indicated on in writing and state the basis for the the NCPC Web site. To expedite inter- decision. If the Request is denied be- nal handling, the words Privacy Act cause the Record(s) is/are under the ju- Request shall appear prominently on risdiction of the OPM, the response the envelop or the subject line of an shall advise the Requester to contact email or facsimile cover sheet. OPM. In the event of an Adverse Deter- (b) The Request shall: mination, the written notification (1) State the Request is made pursu- shall advise the Individual of his/her ant to the Privacy Act; right to appeal the Adverse Determina- (2) Describe the requested Record in tion in accordance with the require- sufficient detail to enable its location including, without limitation, the ments of § 603.16. dates the Records was compiled and (f) If the PAO approves the Request the name or identifying number of the for Amendment or Correction, the PAO System of Record in which the Record shall ensure that subject Record is is kept as identified in the list of amended or corrected, in whole or in NCPC’s SORNs published on its Web part. If the PAO denies the Request for site; Amendment or Correction, a notation (3) State in detail the reasons why of dispute shall be noted on the Record. the Record, or objectionable portion(s) If an accounting of disclosure has been thereof, is/are not accurate, relevant, made pursuant to § 603.11, the PAO timely or complete. shall advise all previous recipients of (4) Include copies of documents or the Record that an amendment or cor- evidence relied upon in support of the rection or notation of dispute has been Request for Amendment or Correction; made and, if applicable, the substance and of the change.

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§ 603.15 Requests for Accounting of prominently on the envelop or the sub- Record disclosures. ject line of an email or facsimile cover (a) An Individual seeking informa- sheet. An appeal of an Adverse Deter- tion regarding an accounting of disclo- mination shall be made within 30 sure of a Record pertaining to him/her Workdays of the date of the decision. made in accordance with § 603.11 shall (b) An appeal of an Adverse Deter- submit a written request to the PAO at mination shall include a statement of the address listed on NCPC’s official the legal, factual or other basis for the Web site www.ncpc.gov. If sent via Requester’s objection to an Adverse email or facsimile, the Request shall be Determination; a daytime phone num- directed to the email address or fac- ber or email where the Requester can simile number indicated on the NCPC be reached if the Chairman requires ad- Web site. To expedite internal han- ditional information or clarification dling, the words Privacy Act Request regarding the appeal; copies of the ini- shall appear prominently on the en- tial request and the PAO’s written re- velop or the subject line of an email or sponse; and for an Adverse Determina- facsimile cover sheet. tion regarding a fee waiver, a dem- (b) The Request shall: onstration of compliance with part 602 (1) State the Request is made pursu- of this chapter. ant to the Privacy Act; and (c) The Chairman shall respond to an (2) Describe the requested Record in appeal of an Adverse Determination in sufficient detail to determine whether writing within 20 Workdays of receipt it is or is not contained in an account- of the appeal. If the Chairman grants ing of disclosure. the appeal, the Chairman shall notify (c) The NCPC PAO shall notify the the Requester, and the NCPC shall Requester in writing within 20 Work- take prompt action to respond affirma- days of the Request and advise if the tively to the original Request upon re- Record was included in an accounting ceipt of any fees that may be required. of disclosure. In the event of a disclo- If the Chairman denies the appeal, the sure, the response shall include the letter shall state the reason(s) for the date, nature, and purpose of the disclo- denial, a statement that the decision is sure and the name and address of the final, and advise the Requester of the person or agency to whom the disclo- right to seek judicial review of the de- sure was made. If the Request is denied nial in the District Court of the United because the Record(s) is/are under the States in either the district in which jurisdiction of the OPM, the response the Requester resides, the district in shall advise the Requester to contact which the Requester has his/her prin- OPM. In the event of an Adverse Deter- cipal place of business or the District mination, the written notification of Columbia. shall advise the Individual of his/her (d) The appeal of an Adverse Deter- right to appeal the Adverse Determina- mination based on OPM jurisdiction of tion in accordance with the require- the Records shall be made to OPM pur- ments of § 603.16. suant to 5 CFR 297.306. § 603.16 Appeals of Adverse Deter- (e) The NCPC shall not act on an ap- minations. peal of an Adverse Determination if the (a) Except for appeals pursuant to underlying Request becomes the subparagraph (d) of this section, an appeal ject of litigation. of an Adverse Determination shall be (f) A party seeking court review of an made in writing addressed to the Chair- Adverse Determination must first ap- man (Chairman) of the National Cap- peal the Adverse Determination under ital Planning Commission at the ad- this section. dress listed on NCPC’s official Web site www.ncpc.gov. If sent via email or fac- § 603.17 Fees. simile, the Request shall be directed to (a) The NCPC shall charge for the du- the email address or facsimile number plication of Records under this subpart indicated on the NCPC Web site. To ex- in accordance with the schedule of fees pedite internal handling, the words set forth in part 602 of this chapter. Privacy Act Request shall appear The NCPC shall not charge duplication

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fees when the Requester asks to in- (3) The intended use for the informa- spect the Records personally but is pro- tion; vided copies at the discretion of the (4) The identity of those with whom agency. the information will be shared; (b) The NCPC shall not charge any (5) The opportunities Individuals fees for the search for or review of have to decline to provide the informa- Records requested by an Individual. tion or to consent to particular uses and how to consent; § 603.18 Privacy Impact Assessments. (6) The manner in which the informa- (a) Consistent with the requirements tion will be secured; and of the E-Government Act and OMB (7) The extent to which the system of Memorandum M–03–22, the NCPC shall records is being created under the Pri- conduct a PIA before: vacy Act. (1) Developing or procuring IT sys- (d) In addition to the information tems or projects that collect, maintain, specified in paragraphs (b)(1)–(7) of this or disseminate IIF; or section, the PIA must also identify the (2) Installing a new collection of in- choices NCPC made regarding an IT formation that will be collected, maintained, or disseminated using IT and system or collection of information as includes IIF for 10 or more persons (ex- result of preparing the PIA. cluding agencies, instrumentalities or (e) The CCB shall verify that a PIA employees of the federal government). has been prepared prior to approving a (b) The PIA shall be prepared request to develop or procure informa- through the coordinated effort of the tion technology that collects, main- NCPC’s privacy Officers (SAOP, PAO), tains, or disseminates Information in Division Directors, CIO, and IT staff. Identifiable Form. (c) As a general rule, the level of de- (f) The SAOP shall approve and sign tail and content of a PIA shall be com- the NCPC’s PIA. If the SAOP is the mensurate with the nature of the infor- Contracting Officer for the IT system mation to be collected and the size and that necessitated preparation of the complexity of the IT system involved. PIA, the Executive Director shall ap- Specifically, a PIA shall analyze and prove and sign the PIA. describe: (g) Following approval of the PIA, (1) The information to be collected; the NCPC shall post the PIA document (2) The reason the information is on the NCPC Web site located at being collected; www.ncpc.gov.

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A list of CFR titles, subtitles, chapters, subchapters and parts and an alphabetical list of agencies publishing in the CFR are included in the CFR Index and Finding Aids volume to the Code of Federal Regulations which is published separately and revised annually. Table of CFR Titles and Chapters Alphabetical List of Agencies Appearing in the CFR List of CFR Sections Affected

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Title 1—General Provisions

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

Title 2—Grants and Agreements

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

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

Title 3—The President

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

Title 4—Accounts

I Government Accountability Office (Parts 1—199)

Title 5—Administrative Personnel

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

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

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

Title 6—Domestic Security

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

Title 7—Agriculture

SUBTITLE A—OFFICE OF THE SECRETARY OF AGRICULTURE (PARTS 0—26) SUBTITLE B—REGULATIONS OF THE DEPARTMENT OF AGRICULTURE I Agricultural Marketing Service (Standards, Inspections, Mar- keting Practices), Department of Agriculture (Parts 27—209) II Food and Nutrition Service, Department of Agriculture (Parts 210—299) III Animal and Plant Health Inspection Service, Department of Ag- riculture (Parts 300—399) IV Federal Crop Insurance Corporation, Department of Agriculture (Parts 400—499) V Agricultural Research Service, Department of Agriculture (Parts 500—599) VI Natural Resources Conservation Service, Department of Agri- culture (Parts 600—699) VII Farm Service Agency, Department of Agriculture (Parts 700— 799) VIII Grain Inspection, Packers and Stockyards Administration (Fed- eral Grain Inspection Service), Department of Agriculture (Parts 800—899)

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

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

Title 9—Animals and Animal Products

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

Title 10—Energy

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

Title 11—Federal Elections

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

Title 12—Banks and Banking

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

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

Title 13—Business Credit and Assistance

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

Title 14—Aeronautics and Space

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

Title 15—Commerce and Foreign Trade

SUBTITLE A—OFFICE OF THE SECRETARY OF COMMERCE (PARTS 0— 29) SUBTITLE B—REGULATIONS RELATING TO COMMERCE AND FOREIGN TRADE I Bureau of the Census, Department of Commerce (Parts 30—199) II National Institute of Standards and Technology, Department of Commerce (Parts 200—299) III International Trade Administration, Department of Commerce (Parts 300—399) IV Foreign-Trade Zones Board, Department of Commerce (Parts 400—499) VII Bureau of Industry and Security, Department of Commerce (Parts 700—799) VIII Bureau of Economic Analysis, Department of Commerce (Parts 800—899) IX National Oceanic and Atmospheric Administration, Department of Commerce (Parts 900—999) XI National Technical Information Service, Department of Com- merce (Parts 1100—1199)

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XIII East-West Foreign Trade Board (Parts 1300—1399) XIV Minority Business Development Agency (Parts 1400—1499) SUBTITLE C—REGULATIONS RELATING TO FOREIGN TRADE AGREE- MENTS XX Office of the United States Trade Representative (Parts 2000— 2099) SUBTITLE D—REGULATIONS RELATING TO TELECOMMUNICATIONS AND INFORMATION XXIII National Telecommunications and Information Administration, Department of Commerce (Parts 2300—2399) [Reserved]

Title 16—Commercial Practices

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

Title 17—Commodity and Securities Exchanges

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

Title 18—Conservation of Power and Water Resources

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

Title 19—Customs Duties

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

Title 20—Employees’ Benefits

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

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

Title 21—Food and Drugs

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

Title 22—Foreign Relations

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

Title 23—Highways

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

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

Title 24—Housing and Urban Development

SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT (PARTS 0—99) SUBTITLE B—REGULATIONS RELATING TO HOUSING AND URBAN DE- VELOPMENT I Office of Assistant Secretary for Equal Opportunity, Department of Housing and Urban Development (Parts 100—199) II Office of Assistant Secretary for Housing-Federal Housing Com- missioner, Department of Housing and Urban Development (Parts 200—299) III Government National Mortgage Association, Department of Housing and Urban Development (Parts 300—399) IV Office of Housing and Office of Multifamily Housing Assistance Restructuring, Department of Housing and Urban Develop- ment (Parts 400—499) V Office of Assistant Secretary for Community Planning and De- velopment, Department of Housing and Urban Development (Parts 500—599) VI Office of Assistant Secretary for Community Planning and De- velopment, Department of Housing and Urban Development (Parts 600—699) [Reserved] VII Office of the Secretary, Department of Housing and Urban Devel- opment (Housing Assistance Programs and Public and Indian Housing Programs) (Parts 700—799) VIII Office of the Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Develop- ment (Section 8 Housing Assistance Programs, Section 202 Di- rect Loan Program, Section 202 Supportive Housing for the El- derly Program and Section 811 Supportive Housing for Persons With Disabilities Program) (Parts 800—899) IX Office of Assistant Secretary for Public and Indian Housing, De- partment of Housing and Urban Development (Parts 900—1699) XII Office of Inspector General, Department of Housing and Urban Development (Parts 2000—2099) XV Emergency Mortgage Insurance and Loan Programs, Depart- ment of Housing and Urban Development (Parts 2700—2799) [Reserved] XX Office of Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Develop- ment (Parts 3200—3899) XXIV Board of Directors of the HOPE for Homeowners Program (Parts 4000—4099) [Reserved] XXV Neighborhood Reinvestment Corporation (Parts 4100—4199)

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

Title 26—Internal Revenue

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

Title 27—Alcohol, Tobacco Products and Firearms

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

Title 28—Judicial Administration

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

Title 29—Labor

SUBTITLE A—OFFICE OF THE SECRETARY OF LABOR (PARTS 0—99) SUBTITLE B—REGULATIONS RELATING TO LABOR I National Labor Relations Board (Parts 100—199)

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

Title 30—Mineral Resources

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

Title 31—Money and Finance: Treasury

SUBTITLE A—OFFICE OF THE SECRETARY OF THE TREASURY (PARTS 0—50) SUBTITLE B—REGULATIONS RELATING TO MONEY AND FINANCE I Monetary Offices, Department of the Treasury (Parts 51—199) II Fiscal Service, Department of the Treasury (Parts 200—399) IV Secret Service, Department of the Treasury (Parts 400—499) V Office of Foreign Assets Control, Department of the Treasury (Parts 500—599) VI Bureau of Engraving and Printing, Department of the Treasury (Parts 600—699) VII Federal Law Enforcement Training Center, Department of the Treasury (Parts 700—799)

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

Title 32—National Defense

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

Title 33—Navigation and Navigable Waters

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

Title 34—Education

SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF EDU- CATION (PARTS 1—99) SUBTITLE B—REGULATIONS OF THE OFFICES OF THE DEPARTMENT OF EDUCATION I Office for Civil Rights, Department of Education (Parts 100—199) II Office of Elementary and Secondary Education, Department of Education (Parts 200—299) III Office of Special Education and Rehabilitative Services, Depart- ment of Education (Parts 300—399)

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

Title 35 [Reserved]

Title 36—Parks, Forests, and Public Property

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

Title 37—Patents, Trademarks, and Copyrights

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

Title 38—Pensions, Bonuses, and Veterans’ Relief

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

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

Title 40—Protection of Environment

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

Title 41—Public Contracts and Property Management

SUBTITLE A—FEDERAL PROCUREMENT REGULATIONS SYSTEM [NOTE] SUBTITLE B—OTHER PROVISIONS RELATING TO PUBLIC CONTRACTS 50 Public Contracts, Department of Labor (Parts 50–1—50–999) 51 Committee for Purchase From People Who Are Blind or Severely Disabled (Parts 51–1—51–99) 60 Office of Federal Contract Compliance Programs, Equal Employ- ment Opportunity, Department of Labor (Parts 60–1—60–999) 61 Office of the Assistant Secretary for Veterans’ Employment and Training Service, Department of Labor (Parts 61–1—61–999) 62—100 [Reserved] SUBTITLE C—FEDERAL PROPERTY MANAGEMENT REGULATIONS SYSTEM 101 Federal Property Management Regulations (Parts 101–1—101–99) 102 Federal Management Regulation (Parts 102–1—102–299) 103—104 [Reserved] 105 General Services Administration (Parts 105–1—105–999) 109 Department of Energy Property Management Regulations (Parts 109–1—109–99) 114 Department of the Interior (Parts 114–1—114–99) 115 Environmental Protection Agency (Parts 115–1—115–99) 128 Department of Justice (Parts 128–1—128–99) 129—200 [Reserved] SUBTITLE D—OTHER PROVISIONS RELATING TO PROPERTY MANAGE- MENT [RESERVED] SUBTITLE E—FEDERAL INFORMATION RESOURCES MANAGEMENT REGULATIONS SYSTEM [RESERVED] SUBTITLE F—FEDERAL TRAVEL REGULATION SYSTEM 300 General (Parts 300–1—300–99) 301 Temporary Duty (TDY) Travel Allowances (Parts 301–1—301–99)

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

Title 42—Public Health

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

Title 43—Public Lands: Interior

SUBTITLE A—OFFICE OF THE SECRETARY OF THE INTERIOR (PARTS 1—199) SUBTITLE B—REGULATIONS RELATING TO PUBLIC LANDS I Bureau of Reclamation, Department of the Interior (Parts 400— 999) II Bureau of Land Management, Department of the Interior (Parts 1000—9999) III Utah Reclamation Mitigation and Conservation Commission (Parts 10000—10099)

Title 44—Emergency Management and Assistance

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

Title 45—Public Welfare

SUBTITLE A—DEPARTMENT OF HEALTH AND HUMAN SERVICES (PARTS 1—199) SUBTITLE B—REGULATIONS RELATING TO PUBLIC WELFARE II Office of Family Assistance (Assistance Programs), Administra- tion for Children and Families, Department of Health and Human Services (Parts 200—299) III Office of Child Support Enforcement (Child Support Enforce- ment Program), Administration for Children and Families, Department of Health and Human Services (Parts 300—399) IV Office of Refugee Resettlement, Administration for Children and Families, Department of Health and Human Services (Parts 400—499)

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

Title 46—Shipping

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

Title 47—Telecommunication

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

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

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SUBTITLE A—OFFICE OF THE SECRETARY OF TRANSPORTATION (PARTS 1—99) SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION I Pipeline and Hazardous Materials Safety Administration, De- partment of Transportation (Parts 100—199) II Federal Railroad Administration, Department of Transportation (Parts 200—299) III Federal Motor Carrier Safety Administration, Department of Transportation (Parts 300—399) IV Coast Guard, Department of Homeland Security (Parts 400—499) V National Highway Traffic Safety Administration, Department of Transportation (Parts 500—599) VI Federal Transit Administration, Department of Transportation (Parts 600—699) VII National Railroad Passenger Corporation (AMTRAK) (Parts 700—799) VIII National Transportation Safety Board (Parts 800—999) X Surface Transportation Board (Parts 1000—1399) XI Research and Innovative Technology Administration, Depart- ment of Transportation (Parts 1400—1499) [Reserved] XII Transportation Security Administration, Department of Home- land Security (Parts 1500—1699)

Title 50—Wildlife and Fisheries

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

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

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2014 1 CFR—Continued 82 FR Page 1 CFR 79 FR Chapter III—Continued Page 304.10 (a) revised...... 7635 Chapter I Chapter IV 51.3 Revised; eff. 1-6-15...... 66278 51.5 Revised; eff. 1-6-15...... 66278 455 Removed...... 44046 51.7 (a) revised; eff. 1-6-15...... 66278 456 Removed...... 44037 51.9 (a) and (c) revised; eff. 1-6- Chapter VI 15...... 66278 Chapter VI Established ...... 44037 Chapter IV 601 Added ...... 45424 456 Revised ...... 10952 Corrected...... 48609 602 Added ...... 44037 2015–2016 602.14 Heading and (a) correctly amended...... 44879 (No regulations published) 602.15 Correctly amended...... 44879 603 Added ...... 44046 2017 603.3 (c)(3)(vii) correctly redesig- 1 CFR 82 FR nated as (c)(3)(vi) ...... 44879 Page (c)(1)(vii) corrected ...... 48609 Chapter III 304.1 Revised ...... 7632 2018 304.2 Revised ...... 7632 304.3 Revised ...... 7632 1 CFR 83 FR 304.5 (b) and (c)(1) revised...... 7632 Page 304.6 Revised ...... 7633 Chapter I 304.8 Revised ...... 7633 426 Added; interim...... 19409 304.9 (a), (d)(6), (e), (i)(3) and (k) 426.201—426.211 (Subpart B) revised ...... 7633 Added; interim ...... 19415 Æ

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