Home.Freedom of Information Act.Freedom of Information Act
[Federal Register: June 30, 2000 (Volume 65, Number 127)]
[Rules and Regulations]
[Page 40503-40516]
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DEPARTMENT OF THE TREASURY
31 CFR Part 1
[1505-AA76]
Departmental Offices; Disclosure of Records: Freedom of
Information Act
AGENCY: Department of the Treasury.
ACTION: Final rule.
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SUMMARY: This document amends the Department of the Treasury's
regulations on the disclosure of records under the Freedom of
Information Act (FOIA). The amendment incorporates requirements of the
Electronic Freedom of Information Act Amendments of 1996 (Pub. L. 104-
231) with respect to records maintained in electronic formats, the
timing of agency responses to FOIA requests, and other procedural
matters.
EFFECTIVE DATE: June 30, 2000.
FOR FURTHER INFORMATION CONTACT: Alana Johnson, Departmental Disclosure
Officer, Department of the Treasury (202) 622-0930.
SUPPLEMENTARY INFORMATION: On May 6, 1999, the Department published a
proposed rule that revised and updated its regulations on disclosure of
records under the Freedom of Information Act (FOIA). See 64 FR 24454,
May 6, 1999. The public was afforded an opportunity to participate in
the rulemaking through submission of written comments on the proposed
rule.
Comments
Comments were received from a public interest organization. Two of
its recommendations were adopted in part, and as a result, new or
revised language has been incorporated in the final regulation. The
Department's responses to the specific recommendations made by the
public interest organization are given below:
1. Time-of-Request Cut-off Policy. The commenter objected to the
use of the date of receipt of a request by the appropriate bureau
official as a cut-off date for records considered to be responsive to
the request. Commenter believes that a later cut-off date will in some
circumstances result in a much fuller and complete disclosure. The
Department's proposed use of the date of receipt is a wide-spread
government practice. To do it otherwise would be administratively
impractical. Therefore, Treasury has determined that use of the date of
receipt as a cut-off date for responsive records is reasonable.
2. Expedited Processing and Standard Regarding ``Urgency to
Inform.'' The proposed regulation pertaining to requests for expedited
processing at Sec. 1.5(e)(2)(ii) includes language which defines
``compelling need'' with respect to a request made by a person
primarily engaged in disseminating information. The regulation states
that the standard of ``urgency to inform'' requires that the records
requested ``pertain to a matter of current exigency to the American
public and that delaying a response to a request for records would
compromise a significant recognized interest to and throughout the
American general public.'' The commenter objects to this standard,
asserting that it unduly restricts the types of requests that must be
expedited under the statute. The Department believes that the terms
``significant recognized interest'' and ``to and throughout the
American public'' do not narrow the application of the statutory
language but rather clarify appropriately the basis for permitting
expedited processing in specific circumstances. Therefore, no change
will be made to this section.
3. Categories for Expedited Processing. The commenter recommended
that an additional category for expedited processing be added: The loss
of substantial due process rights. The Department has decided not to
accept this recommendation. This does not eliminate the use of the FOIA
process for this purpose, and other avenues are available to an
individual to seek records to support a claim that due process rights
are not being afforded.
4. The commenter expressed concern about Treasury's receipt of
multiple FOIA requests for records about a particular current event,
and the possible resultant delay in processing those requests because
of an existing request backlog. The Department agrees with the addition
of language in the regulation in order to address this concern, and has
added the following as paragraph (4) in Sec. 1.5(a):
When a bureau receives five or more requests for substantially
the same records, it shall place those requests in front of an
existing request backlog that the responsible official may have.
Upon completion of processing, the released records shall be made
available in the bureau's public reading room, and if created on or
after November 1, 1996, shall be made available in the electronic
reading room of the bureau's web site.
5. Timing for Release of Information Made Available by Computer
Telecommunications. The commenter objected to the Department's language
at Sec. 1.4(b), which states that records required to be made available
pursuant to section (a)(2) of the FOIA shall be made available on the
Internet ``no later than one year after such records are created.'' The
commenter believes that the ``no later than one year'' provision is not
authorized by statute and imposes a needless delay that frustrates the
purpose of the electronic reading room requirement. The Department
disagrees. However, the final rule has been revised to include ``as
soon as practicable but'' after ``November 1, 1996'' and before ``no
later than one year after such records are created * * *.'' In
addition, we believe that the inclusion of language at Sec. 1.5(c)
(addressing the commenter's concern about existing backlogs delaying
multiple requests for same records) addresses this particular concern
also. Should multiple requests for the same records be received, those
records will be given first priority processing and placed on the
Internet.
6. Consultations and Referrals. The commenter objects to the
Department's practice of referring records which originated at another
bureau or agency to that originating bureau or agency for direct
response to the requester. The commenter recommends that requests be
referred to the originating agency only if that agency ``intended to
retain the authority to decide if and when materials are released to
the public'' and if ``an intention on the part of the originating
agency that it retain control is made evident either by explicit
indications to that effect on the face of each record or by the
circumstances surrounding the creation and transfer of records.'' The
proposed regulations are designed not to delay responses to requests
but to facilitate them by providing a process, common throughout the
Government, not only in the FOIA context, but in all manner of records
handling (e.g., response to Congressional inquiries, declassification
review, archival determinations, and discovery in civil litigation),
for recognizing other agency equities in documents and providing the
agencies opportunity to exercise their judgments about them. There is
no suggestion in these regulations that the Department is not
ultimately responsible for responding to FOIA requests for documents
within its control.
7. Standards for Multi-track Processing. The commenter recommends
that standards for multi-track processing should be articulated in the
regulation. The separate bureaus of the Treasury Department are
responsible for establishing FOIA processing operations for their
bureau. It is our view that bureau FOIA managers are best able to
determine appropriate and
[[Page 40504]]
best multi-track processes for their particular request processing
operations, should they choose to establish them. For this reason, the
regulation contains only general authority for establishing multi-track
processing of requests, leaving bureaus the freedom to implement a
multi-track system that will work best for their operations. Further,
Treasury FOIA personnel are encouraged to communicate with individual
requesters to assist them in narrowing the scope of a request if
appropriate or possible, or in explaining the kinds or volumes of
records existing that may be responsive to a request, with the goal of
expediting processing. Therefore, the Department does not intend to
regulate standards for multi-track processing.
8. Guides for Locating Records. Lastly, the commenter offered
enhancements to ``The Freedom of Information Guide to Treasury
Records,'' and the commenter's suggestions will be considered. They
also recommended that the regulation be amended at Sec. 1.5(d)
``Reasonable description of records'' to include the following: ``You
may want to refer to our handbook located on the Internet at
www.ustreas.gov for assistance in describing the records you seek and
for further information on filing a FOIA request.'' Since similar
language is in Sec. 1.5(b)(3), this recommendation has not been
adopted.
The Department has determined that this document is not a
significant regulatory action for purposes of E.O. 12866. Because this
document merely incorporates the provisions of the Electronic Freedom
of Information Act Amendments of 1996 into Treasury's FOIA regulations
and clarifies the current regulations, it is hereby certified that this
rule will not have a significant economic impact on a substantial
number of small entities. For this reason, a regulatory flexibility
analysis under the Regulatory Flexibility Act, 5 U.S.C. 601-612, is not
required.
The Paperwork Reduction Act does not apply because the rule does
not impose information collection requirements that require the
approval of the Office of Management and Budget under 44 U.S.C. 3501,
et seq.
Dated: May 16, 2000.
Lisa Ross,
Acting Assistant Secretary of the Treasury (Management) and Chief
Financial Officer.
List of Subjects in 31 CFR Part 1
Freedom of Information.
For the reasons set forth above, Part 1, Subpart A of Title 31 of
the Code of Federal Regulations is revised as follows:
PART 1--DISCLOSURE OF RECORDS
1. The authority citation for Part 1 continues to read as follows:
Authority: 5 U.S.C. 301 and 31 U.S.C. 321. Subpart A also issued
under 5 U.S.C. 552, as amended.
2. Part 1, Subpart A, is revised to read as follows:
Subpart A--Freedom of Information Act
Sec.
1.1 General.
1.2 Information made available.
1.3 Publication in the Federal Register.
1.4 Public inspection and copying.
1.5 Specific requests for other records.
1.6 Business information.
1.7 Fees for services.
Appendices to Subpart A
Appendix A--Departmental Offices
Appendix B--Internal Revenue Service
Appendix C--United States Customs Service
Appendix D--United States Secret Service
Appendix E--Bureau of Alcohol, Tobacco and Firearms
Appendix F--Bureau of Engraving and Printing
Appendix G--Financial Management Service
Appendix H--United States Mint
Appendix I--Bureau of the Public Debt
Appendix J--Office of the Comptroller of the Currency
Appendix K--Federal Law Enforcement Training Center
Appendix L--Office of Thrift Supervision
Subpart A--Freedom of Information Act
Sec. 1.1 General.
(a) Purpose and scope. (1) This subpart contains the regulations of
the Department of the Treasury implementing the Freedom of Information
Act (FOIA), 5 U.S.C. 552, as amended by the Electronic Freedom of
Information Act Amendments of 1996. The regulations set forth
procedures for requesting access to records maintained by the
Department of the Treasury. These regulations apply to all bureaus of
the Department of the Treasury. Any reference in this subpart to the
Department or its officials, employees, or records shall be deemed to
refer also to the bureaus or their officials, employees, or records.
Persons interested in the records of a particular bureau should also
consult the appendix to this subpart that pertains to that bureau. The
head of each bureau is hereby authorized to substitute the officials
designated and change the addresses specified in the appendix to this
subpart applicable to the bureau. The bureaus of the Department of the
Treasury for the purposes of this subpart are:
(i) The Departmental Offices, which include the offices of:
(A) The Secretary of the Treasury, including immediate staff;
(B) The Deputy Secretary of the Treasury, including immediate
staff;
(C) The Chief of Staff, including immediate staff;
(D) The Executive Secretary and all offices reporting to such
official, including immediate staff;
(E) The Under Secretary of the Treasury for International Affairs
and all offices reporting to such official, including immediate staff;
(F) The Under Secretary of the Treasury for Domestic Finance and
all offices reporting to such official, including immediate staff;
(G) The Under Secretary for Enforcement and all offices reporting
to such official, including immediate staff;
(H) The Assistant Secretary of the Treasury for Financial
Institutions and all offices reporting to such official, including
immediate staff;
(I) The Assistant Secretary of the Treasury for Economic Policy and
all offices reporting to such official, including immediate staff;
(J) The Fiscal Assistant Secretary and all offices reporting to
such official, including immediate staff;
(K) The General Counsel and all offices reporting to such official,
including immediate staff; except legal counsel to the components
listed in paragraphs (a)(1)(i)(L), and (a)(1)(i)(S), and (a)((1)(ii)
through (xii) of this section;
(L) The Inspector General and all offices reporting to such
official, including immediate staff;
(M) The Assistant Secretary of the Treasury for International
Affairs and all offices reporting to such official, including immediate
staff;
(N) The Assistant Secretary of the Treasury for Legislative Affairs
and Public Liaison and all offices reporting to such official,
including immediate staff;
(O) The Assistant Secretary of the Treasury for Management and
Chief Financial Officer and all offices reporting to such official,
including immediate staff;
(P) The Assistant Secretary of the Treasury for Public Affairs and
all offices reporting to such official, including immediate staff;
(Q) The Assistant Secretary of the Treasury for Tax Policy and all
offices reporting to such official, including immediate staff;
(R) The Treasurer of the United States, including immediate staff;
[[Page 40505]]
(S) The Treasury Inspector General for Tax Administration and all
offices reporting to such official, including immediate staff.
(ii) The Bureau of Alcohol, Tobacco and Firearms.
(iii) The Office of the Comptroller of the Currency.
(iv) The United States Customs Service.
(v) The Bureau of Engraving and Printing.
(vi) The Federal Law Enforcement Training Center.
(vii) The Financial Management Service.
(viii) The Internal Revenue Service.
(ix) The United States Mint.
(x) The Bureau of the Public Debt.
(xi) The United States Secret Service.
(xii) The Office of Thrift Supervision.
(2) For purposes of this subpart, the office of the legal counsel
for the components listed in paragraphs (a)(1)(ii) through (xii) of
this section are to be considered a part of their respective bureaus.
Any office which is now in existence or may hereafter be established,
which is not specifically listed or known to be a component of any of
those listed in paragraphs (a)(1)(i) through (xii) of this section,
shall be deemed a part of the Departmental Offices for the purpose of
making requests for records under this subpart.
(b) Definitions. As used in this subpart, the following terms shall
have the following meanings:
(1) Agency has the meaning given in 5 U.S.C. 551(1) and 5 U.S.C.
552(f).
(2) Appeal means a request for a review of an agency's
determination with regard to a fee waiver, category of requester,
expedited processing, or denial in whole or in part of a request for
access to a record or records.
(3) Bureau means an entity of the Department of the Treasury that
is authorized to act independently in disclosure matters.
(4) Business information means trade secrets or other commercial or
financial information.
(5) Business submitter means any entity which provides business
information to the Department of the Treasury or its bureaus and which
has a proprietary interest in the information.
(6) Computer software means tools by which records are created,
stored, and retrieved. Normally, computer software, including source
code, object code, and listings of source and object codes, regardless
of medium, are not agency records. However, when data are embedded
within the software and cannot be extracted without the software, the
software may have to be treated as an agency record. Proprietary (or
copyrighted) software is not an agency record.
(7) Confidential commercial information means records provided to
the government by a submitter that arguably contain material exempt
from release under Exemption 4 of the Freedom of Information Act, 5
U.S.C. 552(b)(4), because disclosure could reasonably be expected to
cause substantial competitive harm.
(8) Duplication refers to the process of making a copy of a record
in order to respond to a FOIA request. Such copies can take the form of
paper copy, microform, audio-visual materials, or machine readable
documentation (e.g., magnetic tape or disk), among others.
(9) Electronic records means those records and information which
are created, stored, and retrievable by electronic means. This
ordinarily does not include computer software, which is a tool by which
to create, store, or retrieve electronic records.
(10) Request means any request for records made pursuant to 5
U.S.C. 552(a)(3).
(11) Requester means any person who makes a request for access to
records.
(12) Responsible official means a disclosure officer or the head of
the organizational unit having immediate custody of the records
requested, or an official designated by the head of the organizational
unit.
(13) Review, for fee purposes, refers to the process of examining
records located in response to a commercial use request to determine
whether any portion of any record located is permitted to be withheld.
It also includes processing any records for disclosure; e.g., doing all
that is necessary to excise them and otherwise prepare them for
release.
(14) Search includes all time spent looking for material that is
responsive to a request, including page-by-page or line-by-line
identification of material within records. Searches may be done
manually or by automated means.
Sec. 1.2 Information made available.
(a) General. The FOIA (5 U.S.C. 552) provides for access to
information and records developed or maintained by Federal agencies.
The provisions of section 552 are intended to assure the right of the
public to information. Generally, this section divides agency
information into three major categories and provides methods by which
each category of information is to be made available to the public. The
three major categories of information are as follows:
(1) Information required to be published in the Federal Register
(see Sec. 1.3);
(2) Information required to be made available for public inspection
and copying or, in the alternative, to be published and offered for
sale (see Sec. 1.4); and
(3) Information required to be made available to any member of the
public upon specific request (see Sec. 1.5).
(b) Subject only to the exemptions and exclusions set forth in 5
U.S.C. 552(b) and (c), any person shall be afforded access to
information or records in the possession of any bureau of the
Department of the Treasury, subject to the regulations in this subpart
and any regulations of a bureau implementing or supplementing them.
(c) Exemptions. (1) The disclosure requirements of 5 U.S.C. 552(a)
do not apply to certain matters which are exempt under 5 U.S.C. 552(b);
nor do the disclosure requirements apply to certain matters which are
excluded under 5 U.S.C. 552(c).
(2) Even though an exemption described in 5 U.S.C. 552(b) may be
applicable to the information or records requested, a Treasury bureau
may, if not precluded by law, elect under the circumstances of that
request not to apply the exemption. The fact that the exemption is not
applied by a bureau in response to a particular request shall have no
precedential significance in processing other requests, but is merely
an indication that, in the processing of the particular request, the
bureau finds no necessity for applying the exemption.
Sec. 1.3 Publication in the Federal Register.
(a) Requirement. Subject to the application of the exemptions and
exclusions in 5 U.S.C. 552(b) and (c) and subject to the limitations
provided in 5 U.S.C. 552(a)(1), each Treasury bureau shall, in
conformance with 5 U.S.C. 552(a)(1), separately state, publish and
maintain current in the Federal Register for the guidance of the public
the following information with respect to that bureau:
(1) Descriptions of its central and field organization and the
established places at which, the persons from whom, and the methods
whereby, the public may obtain information, make submittals or
requests, or obtain decisions;
(2) Statements of the general course and method by which its
functions are channeled and determined, including the nature and
requirements of all formal and informal procedures available;
(3) Rules of procedure, descriptions of forms available or the
places at which forms may be obtained, and instructions as to the scope
and contents of all papers, reports, or examinations;
[[Page 40506]]
(4) Substantive rules of general applicability adopted as
authorized by law, and statements of general policy or interpretations
of general applicability formulated and adopted by the bureau; and
(5) Each amendment, revision, or repeal of matters referred to in
paragraphs (a)(1) through (4) of this section.
(b) The United States Government Manual. The functions of each
bureau are summarized in the description of the Department and its
bureaus in the United States Government Manual, which is issued
annually by the Office of the Federal Register.
Sec. 1.4 Public inspection and copying.
(a) In general. Subject to the application of the exemptions and
exclusions described in 5 U.S.C. 552(b) and (c), each Treasury bureau
shall, in conformance with 5 U.S.C. 552(a)(2), make available for
public inspection and copying, or, in the alternative, promptly publish
and offer for sale the following information with respect to the
bureau:
(1) Final opinions, including concurring and dissenting opinions,
and orders, made in the adjudication of cases;
(2) Those statements of policy and interpretations which have been
adopted by the bureau but are not published in the Federal Register;
(3) Its administrative staff manuals and instructions to staff that
affect a member of the public;
(4) Copies of all records, regardless of form or format, which have
been released to any person under 5 U.S.C. 552(a)(3), and which the
bureau determines have become or are likely to become the subject of
subsequent requests for substantially the same records because they are
clearly of interest to the public at large. The determination that
records have become or may become the subject of subsequent requests
shall be made by the Responsible Official (as defined at
Sec. 1.1(b)(12)).
(5) A general index of the records referred to in paragraph (a)(4)
of this section.
(b) Information made available by computer telecommunications. For
records required to be made available for public inspection and copying
pursuant to 5 U.S.C. 552(a)(2) (paragraphs (a)(1) through (4) of this
section) which are created on or after November 1, 1996, as soon as
practicable but no later than one year after such records are created,
each bureau shall make such records available on the Internet.
(c) Deletion of identifying details. To prevent a clearly
unwarranted invasion of personal privacy, or pursuant to an exemption
in 5 U.S.C. 552(b), a Treasury bureau may delete information contained
in any matter described in paragraphs (a)(1) through (4) of this
section before making such matters available for inspection or
publishing it. The justification for the deletion shall be explained
fully in writing, and the extent of such deletion shall be indicated on
the portion of the record which is made available or published, unless
including that indication would harm an interest protected by the
exemption in 5 U.S.C. 552(b) under which the deletion is made. If
technically feasible, the extent of the deletion shall be indicated at
the place in the record where the deletion was made.
(d) Public reading rooms. Each bureau of the Department of the
Treasury shall make available for public inspection and copying, in a
reading room or otherwise, the material described in paragraphs (a)(1)
through (5) of this section. Fees for duplication shall be charged in
accordance with Sec. 1.7. See the appendices to this subpart for the
location of established bureau reading rooms.
(e) Indexes. (1) Each bureau of the Department of the Treasury
shall maintain and make available for public inspection and copying
current indexes identifying any material described in paragraphs (a)(1)
through (3) of this section. In addition, each bureau shall promptly
publish, quarterly or more frequently, and distribute (by sale or
otherwise) copies of each index or supplement unless the head of each
bureau (or a delegate) determines by order published in the Federal
Register that the publication would be unnecessary and impractical, in
which case the bureau shall nonetheless provide copies of the index on
request at a cost not to exceed the direct cost of duplication.
(2) Each bureau shall make the index referred to in paragraph
(a)(5) of this section available on the Internet by December 31, 1999.
Sec. 1.5 Specific requests for other records.
(a) In general. (1) Except for records made available under 5
U.S.C. 552(a)(1) and (a)(2), but subject to the application of the
exemptions and exclusions described in 5 U.S.C. 552(b) and (c), each
bureau of the Department of the Treasury shall promptly make the
requested records available to any person in conformance with 5 U.S.C.
552(a)(3). The request must conform in every respect with the rules and
procedures of this subpart and the applicable bureau's appendix to this
subpart. Any request or appeal from the initial denial of a request
that does not comply with the requirements in this subpart will not be
considered subject to the time constraints of paragraphs (h), (i), and
(j) of this section, unless and until the request is amended to comply.
Bureaus shall promptly advise the requester in what respect the request
or appeal is deficient so that it may be amended and resubmitted for
consideration in accordance with this subpart. If a requester does not
respond within 30 days to a communication from a bureau to amend the
request in order for it to be in conformance with this subpart, the
request file will be considered closed. When the request conforms with
the requirements of this subpart, bureaus shall make every reasonable
effort to comply with the request within the time constraints. If the
description of the record requested is of a type that is not maintained
by the bureau, the requester shall be so advised and the request shall
be returned to the requester.
(2) This subpart applies only to records in the possession or
control of the bureau at the time of the request. Records considered to
be responsive to the request are those in existence on or before the
date of receipt of the request by the appropriate bureau official.
Requests for the continuing production of records created after the
date of the appropriate bureau official's receipt of the request shall
not be honored. Bureaus shall provide the responsive record or records
in the form or format requested if the record or records are readily
reproducible by the bureau in that form or format. Bureaus shall make
reasonable efforts to maintain their records in forms or formats that
are reproducible for the purpose of disclosure. For purposes of this
section, readily reproducible means, with respect to electronic format,
a record or records that can be downloaded or transferred intact to a
floppy disk, compact disk (CD), tape, or other electronic medium using
equipment currently in use by the office or offices processing the
request. Even though some records may initially be readily
reproducible, the need to segregate exempt from nonexempt records may
cause the releasable material to not be readily reproducible.
(3) Requests for information classified pursuant to Executive Order
12958, ``Classified National Security Information,'' require the
responsible bureau to review the information to determine whether it
continues to warrant classification. Information
[[Page 40507]]
which no longer warrants classification under the Executive Order's
criteria shall be declassified and made available to the requester,
unless the information is otherwise exempt from disclosure.
(4) When a bureau receives five or more requests for substantially
the same records, it shall place those requests in front of an existing
request backlog that the responsible official may have. Upon completion
of processing, the released records shall be made available in the
bureau's public reading room, and if created on or after November 1,
1996, shall be made available in the electronic reading room of the
bureau's web site.
(b) Form of request. In order to be subject to the provisions of
this section, the following must be satisfied.
(1) The request for records shall be made in writing, signed by the
person making the request, and state that it is made pursuant to the
Freedom of Information Act, 5 U.S.C. 552, or this subpart.
(2) The request shall indicate whether the requester is a
commercial user, an educational institution, non-commercial scientific
institution, representative of the news media, or ``other'' requester,
subject to the fee provisions described in Sec. 1.7. In order for the
Department to determine the proper category for fee purposes as defined
in this section, a request for records shall also state how the records
released will be used. This information shall not be used to determine
the releasibility of any record or records. A determination of the
proper category of requester shall be based upon a review of the
requester's submission and the bureau's own records. Where a bureau has
reasonable cause to doubt the use to which a requester will put the
records sought, or where that use is not clear from the request itself,
bureaus should seek additional clarification before assigning the
request to a specific category. The categories of requesters are
defined as follows:
(i) Commercial. A commercial use request refers to a request from
or on behalf of one who seeks information for a use or purpose that
furthers the commercial, trade, or profit interests of the requester or
the person on whose behalf the request is made, which can include
furthering those interests through litigation. The bureaus may
determine from the use specified in the request that the requester is a
commercial user.
(ii) Educational institution. This refers to a preschool, a public
or private elementary or secondary school, an institution of graduate
higher education, an institution of undergraduate higher education, an
institution of professional education, and an institution of vocational
education, which operates a program or programs of scholarly research.
This category does not include requesters wanting records for use in
meeting individual academic research or study requirements.
(iii) Non-commercial scientific institution. This refers to an
institution that is not operated on a ``commercial'' basis as that term
is defined in paragraph (b)(2)(i) of this section, and which is
operated solely for the purpose of conducting scientific research, the
results of which are not intended to promote any particular product or
industry.
(iv) Representative of the news media. This refers to any person
actively gathering news for an entity that is organized and operated to
publish or broadcast news to the public. The term news means
information that is about current events or that would be of current
interest to the public. Examples of news media entities include
television or radio stations broadcasting to the public at large, and
publishers of periodicals (but only in those instances when they can
qualify as disseminators of ``news'') who make their products available
for purchase or subscription by the general public. These examples are
not intended to be all-inclusive. In the case of ``freelance''
journalists, they may be regarded as working for a news organization if
they can demonstrate a solid basis for expecting publication through
that organization, even though not actually employed by it. A
publication contract would be the clearest proof, but bureaus may also
look to the past publication record of a requester in making this
determination.
(v) ``Other'' Requester. This refers to a requester who does not
fall within any of the previously described categories.
(3) The request must be properly addressed to the bureau that
maintains the record. The functions of each bureau are summarized in
The United States Government Manual which is issued annually and is
available from the Superintendent of Documents. Both the envelope and
the request itself should be clearly marked ``Freedom of Information
Act Request.'' See the appendices to this subpart for the office or
officer to which requests shall be addressed for each bureau. A
requester in need of guidance in defining a request or determining the
proper bureau to which a request should be sent may contact Disclosure
Services at 202/622-0930, or may write to Disclosure Services,
Department of the Treasury, 1500 Pennsylvania Avenue, NW, Washington,
DC 20220. Requesters may access the ``FOIA Home Page'' at the
Department of the Treasury World Wide Web site at: http://www.treas.gov.
(4) The request must reasonably describe the records in accordance
with paragraph (d) of this section.
(5) The request must set forth the address where the person making
the request wants to be notified about whether or not the request will
be granted.
(6) The request must state whether the requester wishes to inspect
the records or desires to have a copy made and furnished without first
inspecting them.
(7) The request must state the firm agreement of the requester to
pay the fees for search, duplication, and review as may ultimately be
determined in accordance with Sec. 1.7. The agreement may state the
upper limit (but not less than $25) that the requester is willing to
pay for processing the request. A request that fees be waived or
reduced may accompany the agreement to pay fees and shall be considered
to the extent that such request is made in accordance with Sec. 1.7(d)
and provides supporting information to be measured against the fee
waiver standard set forth in Sec. 1.7(d)(1). The requester shall be
notified in writing of the decision to grant or deny the fee waiver. A
requester shall be asked to provide an agreement to pay fees when the
request for a fee waiver or reduction is denied and the initial request
for records does not include such agreement. If a requester has an
outstanding balance of search, review, or duplication fees due for FOIA
request processing, the requirements of this paragraph are not met
until the requester has remitted the outstanding balance due.
(c) Requests for records not in control of bureau; referrals;
consultations. (1) When a requested record is in the possession or
under the control of a bureau of the Department other than the office
to which the request is addressed, the request for the record shall be
transferred to the appropriate bureau and the requester notified. This
referral shall not be considered a denial of access within the meaning
of these regulations. The bureau of the Department to which this
referral is made shall treat this request as a new request addressed to
it and the time limits for response set forth by paragraph (h)(1) of
this section shall begin when the referral is received by the
designated office or officer of the bureau.
(2) When a requested record has been created by an agency or
Treasury bureau other than the Treasury bureau possessing the record,
the bureau having custody of the record shall refer the record to the
originating agency or
[[Page 40508]]
Treasury bureau for a direct response to the requester. The requester
shall be informed of the referral unless otherwise instructed by the
originating agency. This is not a denial of a FOIA request; thus no
appeal rights accrue to the requester.
(3) When a FOIA request is received for a record created by a
Treasury bureau that includes information originated by another bureau
of the Department of the Treasury or another agency, the record shall
be referred to the originating agency or bureau for review and
recommendation on disclosure. The agency or bureau shall respond to the
referring office. The Treasury bureau shall not release any such
records without prior consultation with the originating bureau or
agency.
(4) In certain instances and at the discretion of the Departmental
Offices, requests having impact on two or more bureaus of the
Department may be coordinated by the Departmental Offices.
(d) Reasonable description of records. The request for records must
describe the records in reasonably sufficient detail to enable
employees who are familiar with the subject area of the request to
locate the records without placing an unreasonable burden upon the
Department. Whenever possible, a request should include specific
information about each record sought, such as the date, title or name,
author, recipients, and subject matter of the record. If the Department
determines that the request does not reasonably describe the records
sought, the requester shall be given an opportunity to provide
additional information. Such opportunity may, when necessary, involve a
discussion with knowledgeable Department of the Treasury personnel. The
reasonable description requirement shall not be used by officers or
employees of the Department of the Treasury to improperly withhold
records from the public.
(e) Requests for expedited processing. (1) When a request for
records includes a request for expedited processing, both the envelope
and the request itself must be clearly marked, ``Expedited Processing
Requested.''
(2) Records will be processed as soon as practicable when a
requester asks for expedited processing in writing and is granted such
expedited treatment by the Department. The requester must demonstrate a
compelling need for expedited processing of the requested records. A
compelling need is defined as follows:
(i) Failure to obtain the requested records on an expedited basis
could reasonably be expected to pose an imminent threat to the life or
physical safety of an individual. The requester shall fully explain the
circumstances warranting such an expected threat so that the Department
may make a reasoned determination that a delay in obtaining the
requested records could pose such a threat; or
(ii) With respect to a request made by a person primarily engaged
in disseminating information, urgency to inform the public concerning
actual or alleged Federal Government activity. A person ``primarily
engaged in disseminating information'' does not include individuals who
are engaged only incidentally in the dissemination of information. The
standard of ``urgency to inform'' requires that the records requested
pertain to a matter of current exigency to the American public and that
delaying a response to a request for records would compromise a
significant recognized interest to and throughout the American general
public. The requester must adequately explain the matter or activity
and why the records sought are necessary to be provided on an expedited
basis.
(3) A demonstration of a compelling need by a person making a
request for expedited processing shall be made by a statement certified
by the requester to be true and correct to the best of his or her
knowledge and belief. The statement must be in the form prescribed by
28 U.S.C. 1746, ``I declare under penalty of perjury that the foregoing
is true and correct to the best of my knowledge and belief. Executed on
[date].''
(4) Upon receipt by the appropriate bureau official, a request for
expedited processing shall be considered and a determination as to
whether to grant or deny the request for expedited processing shall be
made, and the requester notified, within 10 calendar days of the date
of the request. However, in no event shall the bureau have fewer than
five days (excluding Saturdays, Sundays, and legal public holidays)
from the date of receipt of the request for such processing. The
determination to grant or deny a request for expedited processing may
be made solely on the information contained in the initial letter
requesting expedited treatment.
(5) Appeals of initial determinations to deny expedited processing
must be made within 10 calendar days of the date of the initial letter
of determination denying expedited processing. Both the envelope and
the appeal itself shall be clearly marked, ``Appeal for Expedited
Processing.''
(6) An appeal determination regarding expedited processing shall be
made, and the requester notified, within 10 days (excluding Saturdays,
Sundays, and legal public holidays) from the date of receipt of the
appeal.
(f) Date of receipt of request. A request for records shall be
considered to have been received on the date on which a complete
request containing the information required by paragraph (b) of this
section has been received. A determination that a request is deficient
in any respect is not a denial of access, and such determinations are
not subject to administrative appeal. Requests shall be stamped with
the date of receipt by the office prescribed in the appropriate
appendix. As soon as the date of receipt has been established, the
requester shall be so informed and shall also be advised when to expect
a response. The acknowledgment of receipt requirement shall not apply
if a disclosure determination will be issued prior to the end of the
20-day time limit.
(g) Search for record requested. Department of the Treasury
employees shall search to identify and locate requested records,
including records stored at Federal Records Centers. Searches for
records maintained in electronic form or format may require the
application of codes, queries, or other minor forms of programming to
retrieve the requested records. Wherever reasonable, searches shall be
done by electronic means. However, searches of electronic records are
not required when such searches would significantly interfere with the
operation of a Treasury automated information system or would require
unreasonable effort to conduct. The Department of the Treasury is not
required under 5 U.S.C. 552 to tabulate or compile information for the
purpose of creating a record or records that do not exist.
(h) Initial determination. (1) In general. The officers designated
in the appendices to this part shall make initial determinations either
to grant or to deny in whole or in part requests for records. Such
officers shall respond in the approximate order of receipt of the
requests, to the extent consistent with sound administrative practice.
These determinations shall be made and the requester notified within 20
days (excepting Saturdays, Sundays, and legal public holidays) after
the date of receipt of the request, as determined in accordance with
paragraph (f) of this section, unless the designated officer invokes an
extension pursuant to paragraph (j)(1) of this section or the requester
otherwise agrees to an extension of the 20-day time limitation.
(2) Granting of request. If the request is granted in full or in
part, and if the requester wants a copy of the records, a copy of the
records shall be mailed to
[[Page 40509]]
the requester, together with a statement of the applicable fees, either
at the time of the determination or shortly thereafter.
(3) Inspection of records. In the case of a request for inspection,
the requester shall be notified in writing of the determination, when
and where the requested records may be inspected, and of the fees
incurred in complying with the request. The records shall then promptly
be made available for inspection at the time and place stated, in a
manner that will not interfere with Department of the Treasury
operations and will not exclude other persons from making inspections.
The requester shall not be permitted to remove the records from the
room where inspection is made. If, after making inspection, the
requester desires copies of all or a portion of the requested records,
copies shall be furnished upon payment of the established fees
prescribed by Sec. 1.7. Fees may be charged for search and review time
as stated in Sec. 1.7.
(4) Denial of request. If it is determined that the request for
records should be denied in whole or in part, the requester shall be
notified by mail. The letter of notification shall:
(i) State the exemptions relied on in not granting the request;
(ii) If technically feasible, indicate the amount of information
deleted at the place in the record where such deletion is made (unless
providing such indication would harm an interest protected by the
exemption relied upon to deny such material);
(iii) Set forth the name and title or position of the responsible
official;
(iv) Advise the requester of the right to administrative appeal in
accordance with paragraph (i) of this section; and
(v) Specify the official or office to which such appeal shall be
submitted.
(5) No records found. If it is determined, after a thorough search
for records by the responsible official or his delegate, that no
records have been found to exist, the responsible official will so
notify the requester in writing. The letter of notification will advise
the requester of the right to administratively appeal the Department's
determination that no records exist (i.e., to challenge the adequacy of
the Department's search for responsive records) in accordance with
paragraph (i) of this section. The response shall specify the official
or office to which the appeal shall be submitted for review.
(i) Administrative appeal. (1)(i) A requester may appeal a
Department of the Treasury initial determination when:
(A) Access to records has been denied in whole or in part;
(B) There has been an adverse determination of the requester's
category as provided in Sec. 1.7(d)(4);
(C) A request for fee waiver or reduction has been denied;
(D) It has been determined that no responsive records exist; or
(E) A request for expedited processing has been denied.
(ii) An appeal, other than an appeal for expedited processing, must
be submitted within 35 days of the date of the initial determination or
the date of the letter transmitting the last records released,
whichever is later, except in the case of a denial for expedited
processing. An appeal of a denial for expedited processing must be made
within 10 days of the date of the initial determination to deny
expedited processing (see Sec. 1.5(e)(5)). All appeals must be
submitted to the official specified in the appropriate appendix to this
subpart whose title and address should also have been included in the
initial determination. An appeal that is improperly addressed shall be
considered not to have been received by the Department until the office
specified in the appropriate appendix receives the appeal.
(2) The appeal shall--
(i) Be made in writing and signed by the requester or his or her
representative;
(ii) Be addressed to and mailed or hand delivered within 35 days
(or within 10 days when expedited processing has been denied) of the
date of the initial determination, or the date of the letter
transmitting the last records released, whichever is later, to the
office or officer specified in the appropriate appendix to this subpart
and also in the initial determination. (See the appendices to this
subpart for the address to which appeals made by mail should be
addressed);
(iii) Set forth the address where the requester desires to be
notified of the determination on appeal;
(iv) Specify the date of the initial request and date of the letter
of initial determination, and, where possible, enclose a copy of the
initial request and the initial determination being appealed.
(3)(i) Appeals shall be stamped with the date of their receipt by
the office to which addressed, and shall be processed in the
approximate order of their receipt. The receipt of the appeal shall be
acknowledged by the office or officer specified in the appropriate
appendix to this subpart and the requester advised of the date the
appeal was received and the expected date of response. The decision to
affirm the initial determination (in whole or in part) or to grant the
request for records shall be made and notification of the determination
mailed within 20 days (exclusive of Saturdays, Sundays, and legal
public holidays) after the date of receipt of the appeal, unless
extended pursuant to paragraph (j)(1) of this section. If it is decided
that the initial determination is to be upheld (in whole or in part)
the requester shall be--
(A) Notified in writing of the denial;
(B) Notified of the reasons for the denial, including the FOIA
exemptions relied upon;
(C) Notified of the name and title or position of the official
responsible for the determination on appeal; and
(D) Provided with a statement that judicial review of the denial is
available in the United States District Court for the judicial district
in which the requester resides or has a principal place of business,
the judicial district in which the requested records are located, or
the District of Columbia in accordance with 5 U.S.C. 552(a)(4)(B).
(ii) If the initial determination is reversed on appeal, the
requester shall be so notified and the request shall be processed
promptly in accordance with the decision on appeal.
(4) If a determination cannot be made within the 20-day period (or
within a period of extension pursuant to paragraph (j)(1) of this
section), the requester may be invited to agree to a voluntary
extension of the 20-day appeal period. This voluntary extension shall
not constitute a waiver of the right of the requester ultimately to
commence an action in a United States district court.
(j) Time extensions; unusual circumstances. (1) In unusual
circumstances, the time limitations specified in paragraphs (h) and (i)
of this section may be extended by written notice from the official
charged with the duty of making the determination to the person making
the request or appeal setting forth the reasons for this extension and
the date on which the determination is expected to be sent. As used in
this paragraph, unusual circumstances means, but only to the extent
reasonably necessary to the proper processing of the particular
requests:
(i) The need to search for and collect the requested records from
field facilities or other establishments that are separate from the
office processing the request;
(ii) The need to search for, collect, and appropriately examine a
voluminous amount of separate and distinct records which are demanded
in a single request; or
[[Page 40510]]
(iii) The need for consultation, which shall be conducted with all
practicable speed, with another agency having a substantial interest in
the determination of the request, or among two or more bureaus or
components of bureaus of the Department of the Treasury having
substantial subject matter interest therein.
(2) Any extension or extensions of time shall not cumulatively
total more than 10 days (exclusive of Saturdays, Sundays, and legal
public holidays). However, if additional time is needed to process the
request, the bureau shall notify the requester and provide the
requester an opportunity to limit the scope of the request or arrange
for an alternative time frame for processing the request or a modified
request. The requester shall retain the right to define the desired
scope of the request, as long as it meets the requirements contained in
this subpart.
(3) Bureaus may establish multitrack processing of requests based
on the amount of work or time, or both, involved in processing
requests.
(4) If more than one request is received from the same requester,
or from a group of requesters acting in concert, and the Department
believes that such requests constitute a single request which would
otherwise satisfy the unusual circumstances specified in paragraph
(j)(1) of this section, and the requests involve clearly related
matters, the Department may aggregate these requests for processing
purposes.
(k) Failure to comply. If a bureau of the Department of the
Treasury fails to comply with the time limits specified in paragraphs
(h) or (i) of this section , or the time extensions of paragraph (j) of
this section, any person making a request for records in accordance
with Sec. 1.5 shall be considered to have exhausted administrative
remedies with respect to the request. Accordingly, the person making
the request may initiate suit as set forth in paragraph (l) of this
section.
(l) Judicial review. If an adverse determination is made upon
appeal pursuant to paragraph (i) of this section, or if no
determination is made within the time limits specified in paragraphs
(h) and (i) of this section, together with any extension pursuant to
paragraph (j)(1) of this section or within the time otherwise agreed to
by the requester, the requester may commence an action in a United
States district court in the district in which he resides, in which his
principal place of business is located, in which the records are
situated, or in the District of Columbia, pursuant to 5 U.S.C.
552(a)(4).
(m) Preservation of records. Under no circumstances shall records
be destroyed while they are the subject of a pending request, appeal,
or lawsuit under the FOIA.
(n) Processing requests that are not properly addressed. A request
that is not properly addressed as specified in the appropriate appendix
to this subpart shall be forwarded to the appropriate bureau or bureaus
for processing. If the recipient of the request does not know the
appropriate bureau to forward it to, the request shall be forwarded to
the Departmental Disclosure Officer (Disclosure Services, DO), who will
determine the appropriate bureau. A request not addressed to the
appropriate bureau will be considered to have been received for
purposes of paragraph (f) of this section when the request has been
received by the appropriate bureau office as designated in the
appropriate appendix to this subpart. An improperly addressed request,
when received by the appropriate bureau office, shall be acknowledged
by that bureau.
Sec. 1.6 Business information.
(a) In general. Business information provided to the Department of
the Treasury by a business submitter shall not be disclosed pursuant to
a Freedom of Information Act request except in accordance with this
section.
(b) Notice to business submitters. A bureau shall provide a
business submitter with prompt written notice of receipt of a request
or appeal encompassing its business information whenever required in
accordance with paragraph (c) of this section, and except as is
provided in paragraph (g) of this section. Such written notice shall
either describe the exact nature of the business information requested
or provide copies of the records or portions of records containing the
business information.
(c) When notice is required. The bureau shall provide a business
submitter with notice of receipt of a request or appeal whenever:
(1) The business submitter has in good faith designated the
information as commercially or financially sensitive information, or
(2) The bureau has reason to believe that disclosure of the
information could reasonably be expected to cause substantial
competitive harm.
(3) Notice of a request for business information falling within
paragraph (c)(1) or (2) of this section shall be required for a period
of not more than ten years after the date of submission unless the
business submitter requests, and provides acceptable justification for,
a specific notice period of greater duration.
(4) The submitter's claim of confidentiality should be supported by
a statement by an authorized representative of the company providing
specific justification that the information in question is in fact
confidential commercial or financial information and has not been
disclosed to the public.
(d) Opportunity to object to disclosure. (1) Through the notice
described in paragraph (b) of this section, a bureau shall afford a
business submitter ten days from the date of the notice (exclusive of
Saturdays, Sundays, and legal public holidays) to provide the bureau
with a detailed statement of any objection to disclosure. Such
statement shall specify all grounds for withholding any of the
information under any exemption of the Freedom of Information Act and,
in the case of Exemption 4, shall demonstrate why the information is
considered to be a trade secret or commercial or financial information
that is privileged or confidential. Information provided by a business
submitter pursuant to this paragraph may itself be subject to
disclosure under the FOIA.
(2) When notice is given to a submitter under this section, the
requester shall be advised that such notice has been given to the
submitter. The requester shall be further advised that a delay in
responding to the request may be considered a denial of access to
records and that the requester may proceed with an administrative
appeal or seek judicial review, if appropriate. However, the requester
will be invited to agree to a voluntary extension of time so that the
bureau may review the business submitter's objection to disclose.
(e) Notice of intent to disclose. A bureau shall consider carefully
a business submitter's objections and specific grounds for
nondisclosure prior to determining whether to disclose business
information. Whenever a bureau decides to disclose business information
over the objection of a business submitter, the bureau shall forward to
the business submitter a written notice which shall include:
(1) A statement of the reasons for which the business submitter's
disclosure objections were not sustained;
(2) A description of the business information to be disclosed; and
(3) A specified disclosure date which is not less than ten days
(exclusive of Saturdays, Sundays, and legal public holidays) after the
notice of the final decision to release the requested information has
been mailed to the submitter. Except as otherwise
[[Page 40511]]
prohibited by law, a copy of the disclosure notice shall be forwarded
to the requester at the same time.
(f) Notice of FOIA lawsuit. Whenever a requester brings suit
seeking to compel disclosure of business information covered by
paragraph (c) of this section, the bureau shall promptly notify the
business submitter.
(g) Exception to notice requirement. The notice requirements of
this section shall not apply if:
(1) The bureau determines that the information shall not be
disclosed;
(2) The information lawfully has been published or otherwise made
available to the public; or
(3) Disclosure of the information is required by law (other than 5
U.S.C. 552).
Sec. 1.7 Fees for services.
(a) In general. This fee schedule is applicable uniformly
throughout the Department of the Treasury and pertains to requests
processed under the Freedom of Information Act. Specific levels of fees
are prescribed for each of the following categories of requesters.
Requesters are asked to identify the applicable fee category they
belong to in their initial request in accordance with Sec. 1.5(b).
(1) Commercial use requesters. These requesters are assessed
charges which recover the full direct costs of searching for,
reviewing, and duplicating the records sought. Commercial use
requesters are not entitled to two hours of free search time or 100
free pages of duplication of documents. Moreover, when a request is
received for disclosure that is primarily in the commercial interest of
the requester, the Department is not required to consider a request for
a waiver or reduction of fees based upon the assertion that disclosure
would be in the public interest. The Department may recover the cost of
searching for and reviewing records even if there is ultimately no
disclosure of records, or no records are located.
(2) Educational and Non-Commercial Scientific Institution
Requesters. Records shall be provided to requesters in these categories
for the cost of duplication alone, excluding charges for the first 100
pages. To be eligible, requesters must show that the request is made
under the auspices of a qualifying institution and that the records are
not sought for a commercial use, but are sought in furtherance of
scholarly (if the request is from an educational institution) or
scientific (if the request is from a non-commercial scientific
institution) research. These categories do not include requesters who
want records for use in meeting individual academic research or study
requirements.
(3) Requesters who are Representatives of the News Media. Records
shall be provided to requesters in this category for the cost of
duplication alone, excluding charges for the first 100 pages.
(4) All Other Requesters. Requesters who do not fit any of the
categories described above shall be charged fees that will recover the
full direct cost of searching for and duplicating records that are
responsive to the request, except that the first 100 pages of
duplication and the first two hours of search time shall be furnished
without charge. The Department may recover the cost of searching for
records even if there is ultimately no disclosure of records, or no
records are located. Requests from persons for records about themselves
filed in the Department's systems of records shall continue to be
treated under the fee provisions of the Privacy Act of 1974 which
permit fees only for duplication, after the first 100 pages are
furnished free of charge.
(b) Fee waiver determination. Where the initial request includes a
request for reduction or waiver of fees, the responsible official shall
determine whether to grant the request for reduction or waiver before
processing the request and notify the requester of this decision. If
the decision does not waive all fees, the responsible official shall
advise the requester of the fact that fees shall be assessed and, if
applicable, payment must be made in advance pursuant to Sec. 1.7(e)(2).
(c) When fees are not charged. (1) No fee shall be charged for
monitoring a requester's inspection of records.
(2) Fees shall be charged in accordance with the schedule contained
in paragraph (g) of this section for services rendered in responding to
requests for records, unless any one of the following applies:
(i) Services were performed without charge;
(ii) The cost of collecting a fee would be equal to or greater than
the fee itself; or,
(iii) The fees were waived or reduced in accordance with paragraph
(d) of this section.
(d) Waiver or reduction of fees. (1) Fees may be waived or reduced
on a case-by-case basis in accordance with this paragraph by the
official who determines the availability of the records, provided such
waiver or reduction has been requested in writing. Fees shall be waived
or reduced by this official when it is determined, based upon the
submission of the requester, that a waiver or reduction of the fees is
in the public interest because furnishing the information is likely to
contribute significantly to public understanding of the operations or
activities of the government and is not primarily in the commercial
interest of the requester. Fee waiver/reduction requests shall be
evaluated against the fee waiver policy guidance issued by the
Department of Justice on April 2, 1987.
(2) Normally no charge shall be made for providing records to state
or foreign governments, international governmental organizations, or
local government agencies or offices.
(3) Appeals from denials of requests for waiver or reduction of
fees shall be decided in accordance with the criteria set forth in
paragraph (d)(1) of this section by the official authorized to decide
appeals from denials of access to records. Appeals shall be addressed
in writing to the office or officer specified in the appropriate
appendix to this subpart within 35 days of the denial of the initial
request for waiver or reduction and shall be decided within 20 days
(excluding Saturdays, Sundays, and legal public holidays).
(4) Appeals from an adverse determination of the requester's
category as described in Sec. 1.5(b)(2) and provided in Sec. 1.5(i)(1)
shall be decided by the official authorized to decide appeals from
denials of access to records and shall be based upon a review of the
requester's submission and the bureau's own records. Appeals shall be
addressed in writing to the office or officer specified in the
appropriate appendix to this subpart within 35 days of the date of the
bureau's determination of the requester's category and shall be decided
within 20 days (excluding Saturdays, Sundays, and legal public
holidays).
(e) Advance notice of fees. (1) When the fees for processing the
request are estimated to exceed the limit set by the requester, and
that amount is less than $250, the requester shall be notified of the
estimated costs. The requester must provide an agreement to pay the
estimated costs; however, the requester shall also be given an
opportunity to reformulate the request in an attempt to reduce fees.
(2) If the requester has failed to state a limit and the costs are
estimated to exceed $250.00, the requester shall be notified of the
estimated costs and must pre-pay such amount prior to the processing of
the request, or provide satisfactory assurance of full payment if the
requester has a history of prompt payment of FOIA fees. The requester
shall also be given an opportunity to
[[Page 40512]]
reformulate the request in such a way as to constitute a request for
responsive records at a reduced fee.
(3) When the Department or a bureau of the Department acts under
paragraphs (e)(1) or (2) of this section, the administrative time
limits of 20 days (excluding Saturdays, Sundays, and legal public
holidays) from receipt of initial requests or appeals, plus extensions
of these time limits, shall begin only after fees have been paid, a
written agreement to pay fees has been provided, or a request has been
reformulated.
(f) Form of payment. (1) Payment may be made by check or money
order payable to the Treasury of the United States or the relevant
bureau of the Department of the Treasury.
(2) The Department of the Treasury reserves the right to request
prepayment after a request is processed and before documents are
released.
(3) When costs are estimated or determined to exceed $250, the
Department shall either obtain satisfactory assurance of full payment
of the estimated cost where the requester has a history of prompt
payment of FOIA fees or require a requester to make an advance payment
of the entire estimated or determined fee before continuing to process
the request.
(4) If a requester has previously failed to pay a fee within 30
days of the date of the billing, the requester shall be required to pay
the full amount owed plus any applicable interest, and to make an
advance payment of the full amount of the estimated fee before the
Department begins to process a new request or the pending request.
Whenever interest is charged, the Department shall begin assessing
interest on the 31st day following the day on which billing was sent.
Interest shall be at the rate prescribed in 31 U.S.C. 3717. In
addition, the Department shall take all steps authorized by the Debt
Collection Act of 1982, as amended by the Debt Collection Improvement
Act of 1996, including administrative offset pursuant to 31 CFR Part 5,
disclosure to consumer reporting agencies and use of collection
agencies, to effect payment.
(g) Amounts to be charged for specific services. The fees for
services performed by a bureau of the Department of the Treasury shall
be imposed and collected as set forth in this paragraph.
(1) Duplicating records. All requesters, except commercial
requesters, shall receive the first 100 pages duplicated without
charge. Absent a determination to waive fees, a bureau shall charge
requesters as follows:
(i) $.20 per page, up to 8\1/2\ x 14", made by photocopy or
similar process.
(ii) Photographs, films, and other materials--actual cost of
duplication.
(iii) Other types of duplication services not mentioned above--
actual cost.
(iv) Material provided to a private contractor for copying shall be
charged to the requester at the actual cost charged by the private
contractor.
(2) Search services. Bureaus shall charge for search services
consistent with the following:
(i) Searches for other than electronic records. The Department
shall charge for search time at the salary rate(s) (basic pay plus 16
percent) of the employee(s) making the search. However, where a single
class of personnel is used exclusively (e.g., all administrative/
clerical, or all professional/executive), an average rate for the range
of grades typically involved may be established. This charge shall
include transportation of personnel and records necessary to the search
at actual cost. Fees may be charged for search time as prescribed in
Sec. 1.7, even if the search does not yield any responsive records, or
if records are denied.
(ii) Searches for electronic records. The Department shall charge
for actual direct cost of the search, including computer search time,
runs, and the operator's salary. The fee for computer output shall be
actual direct costs. For requesters in the ``all other'' category, when
the cost of the search (including the operator time and the cost of
operating the computer to process a request) equals the equivalent
dollar amount of two hours of the salary of the person performing the
search (i.e., the operator), the charge for the computer search will
begin.
(3) Review of records. The Department shall charge commercial use
requesters for review of records at the salary rate(s) (i.e., basic pay
plus 16 percent) of the employee(s) making the review. However, when a
single class of personnel is used exclusively (e.g., all
administrative/clerical, or all professional/executive), an average
rate for the range of grades typically involved may be established.
Fees may be charged for review time as prescribed in Sec. 1.7, even if
records ultimately are not disclosed.
(4) Inspection of records. Fees for all services provided shall be
charged whether or not copies are made available to the requester for
inspection.
(5) Other services. Other services and materials requested which
are not covered by this part nor required by the FOIA are chargeable at
the actual cost to the Department. This includes, but is not limited
to:
(i) Certifying that records are true copies;
(ii) Sending records by special methods such as express mail, etc.
(h) Aggregating requests. When the Department or a bureau of the
Department reasonably believes that a requester or group of requesters
is attempting to break a request down into a series of requests for the
purpose of evading the assessment of fees, the agency shall aggregate
any such requests and charge accordingly.
Appendices to Subpart A
Appendix A--Departmental Offices
1. In general. This appendix applies to the Departmental Offices
as defined in 31 CFR 1.1(a)(1).
2. Public reading room. The public reading room for the
Departmental Offices is the Treasury Library. The Library is located
in the Main Treasury Building, 1500 Pennsylvania Avenue, NW.,
Washington, DC 20220. For building security purposes, visitors are
required to make an appointment by calling 202-622-0990.
3. Requests for records. Initial determinations under 31 CFR
1.5(h) as to whether to grant requests for records of the
Departmental Offices will be made by the head of the organizational
unit having immediate custody of the records requested or the
delegate of such official. Requests for records should be addressed
to: Freedom of Information Request, DO, Assistant Director,
Disclosure Services, Department of the Treasury, 1500 Pennsylvania
Avenue, NW, Washington, DC 20220.
4. Administrative appeal of initial determination to deny
records.
(i) Appellate determinations under 31 CFR 1.5(i) with respect to
records of the Departmental Offices will be made by the Secretary,
Deputy Secretary, Under Secretary, General Counsel, Inspector
General, Treasury Inspector General for Tax Administration,
Treasurer of the United States, or Assistant Secretary having
jurisdiction over the organizational unit which has immediate
custody of the records requested, or the delegate of such officer.
(ii) Appellate determinations with respect to requests for
expedited processing shall be made by the Deputy Assistant Secretary
(Administration).
(iii) Appeals should be addressed to: Freedom of Information
Appeal, DO, Assistant Director, Disclosure Services, Department of
the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
5. Delivery of process. Service of process will be received by
the General Counsel of the Department of the Treasury or the
delegate of such officer and shall be delivered to the following
location: General Counsel, Department of the Treasury, Room 3000,
Main Treasury Building, 1500 Pennsylvania Avenue, NW., Washington,
DC 20220.
[[Page 40513]]
Appendix B--Internal Revenue Service
1. In general. This appendix applies to the Internal Revenue
Service. See also 26 CFR 601.702.
2. Public reading room. The public reading rooms for the
Internal Revenue Service are maintained at the following location:
National Office
Mailing Address
Freedom of Information Reading Room, PO Box 795, Ben Franklin
Station, Washington, DC 20044
Walk-In Address
Room 1621, 1111 Constitution Avenue, NW., Washington, DC
Northeast Region
Mailing Address
Freedom of Information Reading Room, PO Box 5138, E:QMS:D, New York,
NY 10163
Walk-In Address
11th Floor, 110 W. 44th Street, New York, NY
Midstates Region
Mailing Address
Freedom of Information Reading Room, Mail Code 7000 DAL, 1100
Commerce Street, Dallas, TX 75242
Walk-In Address
10th Floor, Rm. 10B37, 1100 Commerce Street, Dallas, TX
Southeast Region
Mailing Address
401 W. Peachtree Street, NW., Stop 601D, Room 868, Atlanta, GA 30365
Walk-In Address
Same as mailing address
Western Region
Mailing Address
1301 Clay Street, Stop 800-S, Oakland, CA 94612
Walk-In Address
8th Floor, 1301 Clay Street, Oakland, CA
3. Requests for records. Initial determinations under 31 CFR
1.5(h) as to whether to grant requests for records of the Internal
Revenue Service, grant expedited processing, grant a fee waiver, or
determine requester category will be made by those officials
specified in 26 CFR 601.702.
4. Administrative appeal of initial determination to deny
records. Appellate eterminations under 31 CFR 1.5(i) with respect to
records of the Internal Revenue Service will be made by the
Commissioner of Internal Revenue or the delegate of such officer.
Appeals made by mail should be addressed to: Freedom of Information
Appeal, Commissioner of Internal Revenue Service, c/o Ben Franklin
Station, PO Box 929, Washington, DC 20044.
Appeals may be delivered personally to the Assistant Chief
Counsel (Disclosure Litigation) CC:EL:D, Office of the Chief
Counsel, Internal Revenue Building, 1111 Constitution Avenue NW.,
Washington, D.C.
5. Delivery of process. Service of process shall be effected
consistent with Rule 4 of the Federal Rule of Civil Procedure, and
directed to the Commissioner of Internal Revenue at the following
address: Commissioner, Internal Revenue Service, 1111 Constitution
Avenue NW., Washington, DC 20224. Attention: CC:EL:D.
Appendix C--United States Customs Service
1. In general. This appendix applies to the United States
Customs Service.
2. Public reading room. The public reading room for the United
States Customs Service is maintained at the following location:
United States Customs Service, 1300 Pennsylvania Avenue NW.,
Washington, DC 20229.
3. Requests for records.
(a) Headquarters--Initial determinations under 31 CFR 1.5(h) as
to whether to grant requests for records will be made by the
appropriate Division Director at Customs Service Headquarters having
custody of or functional jurisdiction over the subject matter of the
requested records. If the request relates to records maintained in
an office which is not within a division, the initial determination
shall be made by the individual designated for that purpose by the
Assistant Commissioner having responsibility for that office.
Requests may be mailed or delivered in person to: Freedom of
Information Act, Chief, Disclosure Law Branch, U.S. Customs Service,
1300 Pennsylvania Avenue, NW., Washington, DC 20229.
(b) Field Offices--Initial determinations under 31 CFR 1.5(h) as
to whether to grant requests for records maintained by the Office of
Investigations will be made by the Special Agent in Charge in whose
office the records are maintained. Initial determinations of records
maintained in Customs Ports of Entry as to whether or not to grant
requests for records will be made by the Port Director of the
Customs Service Port having jurisdiction over the Port of Entry in
which the records are maintained. Requests may be mailed or faxed to
or delivered personally to the respective Special Agents in Charge
or Port Directors of the Customs Service Ports at the following
locations:
Offices of Special Agents in Charge (SACS)
Atlanta--SAC
1691 Phoenix Blvd., Suite 250, Atlanta, Georgia 30349, Phone (770)
994-2230, FAX (770) 994-2262
Detroit--SAC
McNamara Federal Building, 477 Michigan Avenue, Room 350, Detroit,
Michigan 48226-2568, Phone (313) 226-3166, FAX (313) 226-6282
Baltimore--SAC
40 South Gay Street, 3rd Floor Baltimore, Maryland 21202, Phone
(410) 962-2620, FAX (410) 962-3469
El Paso--SAC
9400 Viscount Blvd., Suite 200, El Paso, Texas 79925, Phone (915)
540-5700, FAX (915) 540-5754
Boston--SAC
10 Causeway Street, Room 722, Boston, MA 02222-1054, Phone (617)
565-7400, FAX (617) 565-7422
Houston--SAC
4141 N. Sam Houston Pkwy, E., Houston, Texas 77032, Phone (281) 985-
0500, FAX (281) 985-0505
Buffalo--SAC
111 West Huron Street, Room 416, Buffalo, New York 14202, Phone
(716) 551-4375, FAX (716) 551-4379
Los Angeles--SAC
300 South Ferry St., Room 2037, Terminal Island, CA 90731, Phone
(310) 514-6231, FAX (310) 514-6280
Chicago--SAC
610 South Canal Street, Room 1001, Chicago, Illinois 60607, Phone
(312) 353-8450, FAX (312) 353-8455
Miami--SAC
8075 NW 53rd Street, Scranton Building, Miami, Florida 33166, Phone
(305) 597-6030, FAX (305) 597-6227
Denver--SAC
115 Inverness Drive, East, Suite 300, Englewood, CO 80112-5131,
Phone (303) 784-6480, FAX (303) 784-6490
New Orleans--SAC
423 Canal Street, Room 207, New Orleans, LA 70130, Phone (504) 670-
2416, FAX (504) 589-2059
New York--SAC
6 World Trade Center, New York, New York 10048-0945, Phone (212)
466-2900, FAX (212) 466-2903
San Juan--SAC
#1, La Puntilla Street, Room 110, San Juan, PR 00901, Phone (787)
729-6975 FAX (787) 729-6646
San Antonio--SAC
10127 Morocco, Suite 180, San Antonio, Texas 78216, Phone (210) 229-
4561, FAX (210) 229-4582
Seattle--SAC
1000--2nd Avenue, Suite 2300, Seattle, Washington, 98104, Phone
(206) 553-7531, FAX (206) 553-0826
San Diego--SAC
185 West ``F'' Street, Suite 600, San Diego, CA 92101, Phone (619)
557-6850, FAX (619) 557-5109
Tampa--SAC
2203 North Lois Avenue, Suite 600, Tampa, Florida 33607, Phone (813)
348-1881, FAX (813) 348-1871
San Francisco--SAC
1700 Montgomery Street, Suite 445, San Francisco, CA 94111, Phone
(415) 705-4070, FAX (415) 705-4065
[[Page 40514]]
Tucson--SAC
555 East River Road, Tucson, Arizona 85704, Phone (520) 670-6026,
FAX (520) 670-6233
Customs Service Ports
Anchorage: 605 West Fourth Avenue Anchorage, AK 99501. Phone:
(907) 271-2675; FAX: (907) 271-2684.
Minneapolis: 110 South Street Minneapolis, MN 55401. Phone:
(612) 348-1690; FAX: (612) 348-1630.
Baltimore: 200 St. Paul Place Baltimore, MD 21202. Phone: (410)
962-2666; FAX: (410) 962-9335.
Mobile: 150 North Royal Street Mobile, AL 36602. Phone: (205)
441-5106; FAX: (205) 441-6061.
Blaine: 9901 Pacific Highway Blaine, WA 98230. Phone: (360) 332-
5771; FAX: (360) 332-4701.
New Orleans: 423 Canal Street New Orleans, LA 70130. Phone:
(504) 589-6353; FAX: (504) 589-7305.
Boston: 10 Causeway Street Boston, MA 02222-1059. Phone: (617)
565-6147; FAX: (617) 565-6137.
New York: 6 World Trade Center New York, NY 10048. Phone: (212)
466-4444; FAX: (212) 455-2097.
Buffalo: 111 West Huron Street Buffalo, NY 14202-22378. Phone:
(716) 551-4373; FAX: (716) 551-5011.
New York-JFK Area: Building #77 Jamaica, NY 11430. Phone: (718)
553-1542; FAX: (718) 553-0077.
Champlain: 35 West Service Road Rts. 1 & 9 South Champlain, NY
12919. Phone: (518) 298-8347; FAX: (518) 298-8314.
New York-NY/Newark Area: Hemisphere Center, Newark, NJ 07114.
Phone: (201) 645-3760; FAX: (201) 645-6634.
Charleston: 200 East Bay Street Charleston, SC 29401. Phone:
(803) 727-4296; FAX: (803) 727-4043.
Nogales: 9 North Grand Avenue Nogales, AZ 85621. Phone: (520)
287-1410; FAX: (520) 287-1421.
Charlotte: 1801-K Cross Beam Drive Charlotte, NC 28217. Phone:
(704) 329-6101; FAX: (704) 329-6103.
Norfolk: 200 Granby Street Norfolk, VA 23510. Phone: (804) 441-
3400; FAX: (804) 441-6630.
Charlotte/Amalie: Main Post OFC-Sugar Estate St. Thomas, VI
00801. Phone: (809) 774-2511; FAX: (809) 776-3489.
Pembina: PO Box 610 Pembina, ND 58271. Phone: (701) 825-6201;
FAX: (701) 825-6473.
Chicago: 610 South Canal Street Chicago, IL 60607. Phone: (312)
353-6100; FAX: (312) 353-2337.
Philadelphia: 2nd & Chestnut Streets Philadelphia, PA 19106.
Phone: (215) 597-4605; FAX: (215) 597-2103.
Cleveland: 56 Erieview Plaza Cleveland, OH 44114. Phone: (216)
891-3804; FAX: (216) 891-3836.
Portland, Oregon: 511 NW Broadway Portland, OR 97209. Phone:
(503) 326-2865; FAX: (503) 326-3511.
Dallas/Fort Worth: PO Box 61905 Dallas/Fort Worth Airport, TX
75261. Phone: (972) 574-2170; FAX: (972) 574-4818.
Providence: 49 Pavilion Avenue Providence, RI 02905. Phone:
(401) 941-6326; FAX: (401) 941-6628.
Denver: 4735 Oakland Street Denver, CO 80239. Phone: (303) 361-
0715; FAX: (303) 361-0722.
San Diego: 610 West Ash Street San Diego, CA 92188. Phone: (619)
557-6758; FAX: (619) 557-5314.
Detroit: 477 Michigan Avenue Detroit, MI 48226. Phone: (313)
226-3178; FAX: (313) 226-3179.
San Francisco: 555 Battery Avenue San Francisco, CA 94111.
Phone: (415) 744-7700; FAX: (415) 744-7710.
Duluth: 515 West 1st Street Duluth, MN 55802-1390. Phone: (218)
720-5201; FAX: (218) 720-5216.
San Juan: #1 La Puntilla San Juan, PR 00901. Phone: (809) 729-
6965; FAX: (809) 729-6978.
El Paso: 9400 Viscount Boulevard El Paso, TX 79925. Phone: (915)
540-5800; FAX: (915) 540-3011.
Savannah: 1 East Bay Street Savannah, GA 31401. Phone: (912)
652-4256; FAX: (912) 652-4435.
Great Falls: 300 2nd Avenue South Great Falls, MT 59403. Phone:
(406) 453-7631; FAX: (406) 453-7069.
Seattle: 1000 2nd Avenue Seattle, WA 98104-1049. Phone: (206)
553-0770; FAX: (206) 553-2970.
Honolulu: 335 Merchant Street Honolulu, HI 96813. Phone: (808)
522-8060; FAX: (808) 522-8060.
St. Albans: P.O. Box 1490 St. Albans, VT 05478. Phone: (802)
524-7352; FAX: (802) 527-1338.
Houston/Galveston: 1717 East Loop Houston, TX 77029. Phone:
(713) 985-6712; FAX: (713) 985-6705.
St. Louis: 4477 Woodson Road St. Louis, MO 63134-3716. Phone:
(314) 428-2662; FAX: (314) 428-2889.
Laredo/Colombia: P.O. Box 3130 Laredo, TX 78044. Phone: (210)
726-2267; FAX: (210) 726-2948.
Tacoma: 2202 Port of Tacoma Road, Tacoma, WA 98421. Phone: (206)
593-6336; FAX: (206) 593-6351.
Los Angeles: 300 South Ferry Street Terminal Island, CA 90731.
Phone: (310) 514-6001; FAX: (310) 514-6769.
Tampa: 4430 East Adamo Drive Tampa, FL 33605. Phone: (813) 228-
2381; FAX: (813) 225-7309.
Miami Airport: 6601 West 25th Street Miami, FL 33102-5280.
Phone: (305) 869-2800; FAX: (305) 869-2822.
Washington, DC: P.O. Box 17423 Washington, DC. 20041. Phone:
(703) 318-5900; FAX: (703) 318-6706.
Milwaukee: P.O. Box 37260 Milwaukee, WI 53237-0260. Phone: (414)
571-2860; FAX: (414) 762-0253.
(c) All such requests should be conspicuously labeled on the
face of the envelope, ``Freedom of Information Act Request'' or
``FOIA Request''.
4. Administrative appeal of initial determination to deny
records. Appellate determinations under 31 CFR 1.5(i) will be made
by the Assistant Commissioner of Customs (Office of Regulations and
Rulings), or his designee, and all such appeals should be mailed,
faxed (202/927-1873) or personally delivered to the United States
Customs Service, 1300 Pennsylvania Avenue, NW., Washington, DC
20229. If possible, a copy of the initial letter of determination
should be attached to the appeal.
5. Delivery of process. Service of process will be received by
the Chief Counsel, United States Customs Service, 1300 Pennsylvania
Avenue, NW., Washington, DC 20229.
Appendix D--United States Secret Service
1. In general. This appendix applies to the United States Secret
Service.
2. Public reading room. The United States Secret Service will
provide a room on an ad hoc basis when necessary. Contact the
Disclosure Officer, Room 720, 1800 G Street, NW., Washington, DC
20223 to make appointments.
3. Requests for records. Initial determinations under 31 CFR
1.5(h) as to whether to grant requests for records of the United
States Secret Service will be made by the Freedom of Information and
Privacy Acts Officer, United States Secret Service. Requests may be
mailed or delivered in person to: Freedom of Information Act
Request, FOIA and Privacy Acts Officer, U.S. Secret Service, Room
720, 1800 G Street, NW., Washington, DC 20223.
4. Administrative appeal of initial determination to deny
records. Appellate determinations under 31 CFR 1.5(i) with respect
to records of the United States Secret Service will be made by the
Deputy Director, United States Secret Service. Appeals should be
addressed to: Freedom of Information Appeal, Deputy Director, U.S.
Secret Service, Room 800, 1800 G Street, NW., Washington, DC 20223.
5. Delivery of Process. Service of process will be received by
the United States Secret Service Chief Counsel at the following
address: Chief Counsel, U.S. Secret Service, Room 842, 1800 G
Street, NW., Washington, DC 20223.
Appendix E--Bureau of Alcohol, Tobacco and Firearms
1. In general. This appendix applies to the Bureau of Alcohol,
Tobacco and Firearms.
2. Public reading room. The Bureau of Alcohol, Tobacco and
Firearms will make materials available for review on an ad hoc basis
when necessary. Contact the Chief, Disclosure Division, Bureau of
Alcohol, Tobacco, and Firearms, 650 Massachusetts Avenue, NW.,
Washington, DC 20226.
3. Requests for records. Initial determinations under 31 CFR
1.5(h) as to whether to grant requests for records of the Bureau of
Alcohol, Tobacco, and Firearms will be made by the Chief, Disclosure
Division, Office of Assistant Director (Liaison and Public
Information) or the delegate of such officer. Requests may be mailed
or delivered in person to: Freedom of Information Act Request,
Chief, Disclosure Division, Bureau of Alcohol, Tobacco, and
Firearms, 650 Massachusetts Avenue, NW., Washington, DC 20226.
4. Administrative appeal of initial determination to deny
records. Appellate determinations under 31 CFR 1.5(i) with respect
to records of the Bureau of Alcohol,
[[Page 40515]]
Tobacco and Firearms will be made by the Assistant Director, Liaison
and Public Information, Bureau of Alcohol, Tobacco, and Firearms or
the delegate of such officer.
Appeals may be mailed or delivered in person to: Freedom of
Information Appeal, Assistant Director, Liaison and Public
Information, Bureau of Alcohol, Tobacco, and Firearms, 650
Massachusetts Avenue, NW., Washington, DC 20226.
5. Delivery of process. Service of process will be received by
the Director of the Bureau of Alcohol, Tobacco, and Firearms at the
following location: Bureau of Alcohol, Tobacco, and Firearms, 650
Massachusetts Avenue, NW., Washington, DC 20226, Attention: Chief
Counsel.
Appendix F--Bureau of Engraving and Printing
1. In general. This appendix applies to the Bureau of Engraving
and Printing.
2. Public reading room. Contact the Disclosure Officer, 14th and
C Streets, SW., Washington, DC 20228, to make an appointment.
3. Requests for records. Initial determinations under 31 CFR
1.5(h) as to whether to grant requests for records of the Bureau of
Engraving and Printing will be made by the Assistant to the
Director. Requests may be mailed or delivered in person to: Freedom
of Information Act Request, Disclosure Officer, (Assistant to the
Director), Room 112-M, Bureau of Engraving and Printing, Washington,
DC 20228.
4. Administrative appeal of initial determination to deny
records. Appellate determinations under 31 CFR 1.5(i) with respect
to records of the Bureau of Engraving and Printing will be made by
the Director of the Bureau of Engraving and Printing or the delegate
of the Director. Appeals may be mailed or delivered in person to:
Freedom of Information Appeal, Director, Bureau of Engraving and
Printing, 14th and C Streets, SW., Room 119-M, Washington, DC 20228.
5. Delivery of process. Service of process will be received by
the Chief Counsel or the delegate of such officer at the following
location: Chief Counsel, Bureau of Engraving and Printing, 14th and
C Streets, SW., Room 104-24 M, Washington, DC 20228.
Appendix G--Financial Management Service
1. In general. This appendix applies to the Financial Management
Service.
2. Public reading room. The public reading room for the
Financial Management Service is maintained at the following
location: Library, Main Treasury Building, 1500 Pennsylvania Avenue
NW., Washington, DC 20220. For building security purposes, visitors
are required to make an appointment by calling 202/622-0990.
3. Requests for records. Initial determinations under 31 CFR
1.5(h) whether to grant requests for records will be made by the
Disclosure Officer, Financial Management Service. Requests may be
mailed or delivered in person to: Freedom of Information Request,
Disclosure Officer, Financial Management Service, 401 14th Street,
SW., Washington, DC 20227.
4. Administrative appeal of initial determination to deny
records. Appellate determinations under 31 CFR 1.5(i) will be made
by the Commissioner, Financial Management Service. Appeals may be
mailed to: Freedom of Information Appeal (FOIA), Commissioner,
Financial Management Service, 401 14th Street, SW., Washington, DC
20227.
Appeals may be delivered personally to the Office of the
Commissioner, Financial Management Service, 401 14th Street, SW.,
Washington, DC.
5. Delivery of process. Service of process will be received by
the Commissioner, Financial Management Service, and shall be
delivered to: Commissioner, Financial Management Service, Department
of the Treasury, 401 14th Street, SW., Washington, DC 20227.
Appendix H--United States Mint
1. In general. This appendix applies to the United States Mint.
2. Public reading room. The U.S. Mint will provide a room on an
ad hoc basis when necessary. Contact the Freedom of Information/
Privacy Act Officer, United States Mint, Judiciary Square Building,
7th floor, 633 3rd Street, NW., Washington, DC 20220.
3. Requests for records. Initial determinations under 31 CFR
1.5(h) as to whether to grant requests for records of the United
States Mint will be made by the Freedom of Information/Privacy Act
Officer, United States Mint. Requests may be mailed or delivered in
person to: Freedom of Information Act Request, Freedom of
Information/Privacy Act Officer, United States Mint, Judiciary
Square Building, 7th Floor, 633 3rd Street, NW., Washington, DC
20220.
4. Administrative appeal of initial determination to deny
records. Appellate determinations under 31 CFR 1.5(i) with respect
to records of the United States Mint will be made by the Director of
the Mint. Appeals made by mail should be addressed to: Freedom of
Information Appeal, Director, United States Mint, Judiciary Square
Building, 7th Floor, 633 3rd Street, NW., Washington, DC 20220.
5. Delivery of process. Service of process will be received by
the Director of the Mint and shall be delivered to: Chief Counsel,
United States Mint, Judiciary Square Building, 7th Floor, 633 3rd
Street, NW., Washington, D.C. 20220.
Appendix I--Bureau of the Public Debt
1. In general. This appendix applies to the Bureau of the Public
Debt.
2. Public reading room. The public reading room for the Bureau
of the Public Debt is maintained at the following location: Library,
Main Treasury Building, 1500 Pennsylvania Avenue, NW, Washington, DC
20220. For building security purposes, visitors are required to make
an appointment by calling 202/622-0990.
3. Requests for records. Initial determinations under 31 CFR
1.5(h) as to whether to grant requests for records will be made by
the Disclosure Officer of the Bureau of the Public Debt. Requests
may be sent to: Freedom of Information Act Request, Disclosure
Officer, Bureau of the Public Debt, Department of the Treasury, 999
E Street, NW., Room 500, Washington, D.C. 20239-0001.
4. Administrative appeal of initial determination to deny
records. Appellate determinations under 31 CFR 1.5(i) with respect
to records of the Bureau of the Public Debt will be made by the
Commissioner of the Public Debt. Appeals may be sent to: Freedom of
Information Appeal, Commissioner of the Public Debt, Department of
the Treasury, 999 E Street, NW., Room 500, Washington, DC 20239-
0001.
5. Delivery of process. Service of process will be received by
the Chief Counsel, Bureau of the Public Debt, or the delegate of
such officer, and shall be delivered to the following location:
Chief Counsel's Office, Bureau of the Public Debt, Room 501, 999 E
Street, NW., Washington, DC 20239-0001, or Bureau of the Public
Debt, 200 Third Street, Room G-15, Parkersburg, WV 26106-1328.
Appendix J--Office of the Comptroller of the Currency
1. In general. This appendix applies to the Office of the
Comptroller of the Currency.
2. Public reading room. The Office of the Comptroller of the
Currency will make materials available through its Public
Information Room at 250 E Street, SW., Washington, DC 20219.
3. Requests for records. Initial determinations under 31 CFR
1.5(h) as to whether to grant requests for records of the Office of
the Comptroller of the Currency will be made by the Disclosure
Officer or the official so designated. Requests may be mailed or
delivered in person to: Freedom of Information Act Request,
Disclosure Officer, Communications Division, 3rd Floor, Comptroller
of the Currency, 250 E Street, SW., Washington, DC 20219.
4. Administrative appeal of initial determination to deny
records. Appellate determinations under 31 CFR 1.5(i) with respect
to records of the Office of the Comptroller of the Currency will be
made by the Chief Counsel or delegates of such person. Appeals made
by mail should be addressed to: Communications Division, Comptroller
of the Currency, 250 E Street, SW., Washington, DC 20219.
Appeals may be delivered personally to the Communications
Division, Comptroller of the Currency, 250 E Street, SW.,
Washington, DC.
5. Delivery of process. Service of process will be received by
the Director, Litigation Division, Comptroller of the Currency, and
shall be delivered to such officer at the following location:
Litigation Division, Comptroller of the Currency, 250 E Street, SW.,
Washington, DC 20219.
Appendix K--Federal Law Enforcement Training Center
1. In general. This apppendix applies to the Federal Law
Enforcement Training Center.
2. Public reading room. The public reading room for the Federal
Law Enforcement Training Center is maintained at the following
location: Library, Building 262, Federal Law Enforcement Training
Center, Glynco, GA 31524.
[[Page 40516]]
3. Requests for records. Initial determinations under 31 CFR
1.5(h) as to whether to grant requests for records will be made by
the Chief, Management Analysis Division, Federal Law Enforcement
Training Center. Requests made by mail should be addressed to:
Freedom of Information Act Request, Freedom of Information Act
Officer, Federal Law Enforcement Training Center, Department of the
Treasury, Building 94, Glynco, GA 31524.
Requests may be delivered personally to the Management Analysis
Division, Federal Law Enforcement Training Center, Building 94,
Glynco, GA.
4. Administrative appeal of initial determination to deny
records. Appellate determinations under 31 CFR 1.5(i) with respect
to records of the consolidated Federal Law Enforcement Training
Center will be made by the Director, Federal Law Enforcement
Training Center. Appeals may be mailed to: Freedom of Information
Appeal, Federal Law Enforcement Training Center, Department of the
Treasury, Building 94, Glynco, GA 31524.
5. Delivery of process. Service of process will be received by
the Legal Counsel of the Federal Law Enforcement Training Center, or
his delegate, and shall be delivered to such officer at the
following location: Legal Counsel, Federal Law Enforcement Training
Center, Department of the Treasury, Building 94, Glynco, GA 31524.
Appendix L--Office of Thrift Supervision
1. In general. This appendix applies to the Office of Thrift
Supervision (OTS). OTS regulatory handbooks and other publications
are available for sale. Information may be obtained by calling the
OTS Order Department at 301/645-6264. OTS regulatory handbooks and
other publications may be purchased by forwarding a request, along
with a check to: OTS Order Department, PO Box 753, Waldorf, MD 20604
or by calling 301/645-6264 to pay by VISA or MASTERCARD.
2. Public reading room. The public reading room for the Office
of Thrift Supervision is maintained at the following location: 1700
G Street, NW., Washington, DC 20552.
3. Requests for records. Initial determinations under 31 CFR
1.5(h) as to whether to grant requests for records of the Office of
Thrift Supervision will be made by the Director, OTS Dissemination
Branch. Requests for records should be addressed to: Freedom of
Information Request, Manager, Dissemination Branch, Records
Management & Information Policy Division, Office of Thrift
Supervision, 1700 G Street, NW., Washington, DC 20552.
Requests for records may be delivered in person to: Public
Reference Room, Office of Thrift Supervision, 1700 G Street, NW.,
Washington, DC.
4. Administrative appeal of initial determination to deny
records. Appellate determinations under 31 CFR 1.5(i) with respect
to records of the Office of Thrift Supervision will be made by the
Director, Records Management & Information Policy, Office of Thrift
Supervision, or their designee. Appeals made by mail should be
addressed to: Freedom of Information Appeal, Director, Records
Management & Information Policy Division, Office of Thrift
Supervision, 1700 G Street, NW., Washington, DC 20552.
Appeals may be delivered in person to: Public Reference Room,
Office of Thrift Supervision, 1700 G Street, NW., Washington, DC.
5. Delivery of process. Service of process will be received by
the Corporate Secretary of the Office of Thrift Supervision or their
designee and shall be delivered to the following location: Corporate
Secretary, Office of Thrift Supervision, 1700 G Street, NW.,
Washington, DC 20552.
[FR Doc. 00-16446 Filed 6-29-00; 8:45 am]
BILLING CODE 4810-25-P
| TTB Annual Report Statistics Initial Requests |
|||
| Year | Received | Processed | Pending |
| 2012 2011 2010 2009 2008 2007 2006 2005 2004 |
73 75 94 86 121 84 100 140 223 |
70 76 93 92 120 85 122 186 201 |
3 0 1 0 6 5 6 28 74 |
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